I ^—f United States Department of Commerce

f^Ll | Technology Administration

National Institute of Standards and Technology

NISI

PUBLICATIONS

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NIST Special Publication 849

Proceedings of the Joint DoD/NIST

Workshop on International Precision

Fabrication Research and Development

October 27-29, 1992

J. D. Meyer, Editor

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100

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//8M9

1993
7he National Institute of Standards and Technology was established in 1988 by Congress to "assist industry in the development of technology . . . needed to improve product quality, to modernize

manufacturing processes, to ensure product reliability . . . and to facilitate rapid commercialization ... of

products based on new scientific discoveries."

NIST, originally founded as the National Bureau of Standards in 1901, works to strengthen U.S.

industry's competitiveness; advance science and engineering; and improve public health, safety, and the

environment. One of the agency's basic functions is to develop, maintain, and retain custody of the national

standards of measurement, and provide the means and methods for comparing standards used in science,

engineering, manufacturing, commerce, industry, and education with the standards adopted or recognized

by the Federal Government.

As an agency of the U.S. Commerce Department's Technology Administration, NIST conducts basic

and applied research in the physical sciences and engineering and performs related services. The Institute does generic and precompetitive work on new and advanced technologies. NIST's research facilities are located at Gaithersburg, MD 20899, and at Boulder, CO 80303. Major technical operating units and their principal activities are listed below. For more information contact the Public Inquiries Desk, 301-975-3058.

Technology Services Manufacturing Engineering Laboratory

• Manufacturing Technology Centers Program • Precision Engineering

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Laboratory • Intelligent Processing of Materials

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'At Boulder, CO 80303.

2 Some elements at Boulder, CO 80303.
NIST Special Publication 849

Proceedings of the Joint DoD/NIST

Workshop on International Precision

Fabrication Research and Development

October 27-29, 1992

J. D. Meyer, Editor

Manufacturing Engineering Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899

Sponsored by

U.S. Department of Defense and

National Institute of Standards and Technology

March 1993

U.S. Department of Commerce

Ronald H. Brown, Secretary

National Institute of Standards and Technology

Raymond G. Kammer, Acting Director
National Institute of Standards U.S. Government Printing Office

and Technology Washington: 1993

Special Publication 849

Natl. Inst. Stand. Technol.

Spec. Publ. 849

244 pages (Mar. 1993)

CODEN: NSPUE2

For sale by the Superintendent

of Documents

U.S. Government Printing Office

Washington, DC 20402
FOREWORD

An international workshop was held in Rockville, Maryland, on October 27-29,

1992 to discuss major research and development programs in precision

fabrication. Approximately 25 leading experts attended the workshop, which

was co-sponsored by the U.S. Department of Defense's Manufacturing

Technology Program

Several papers, each covering a specific geographic region or topic, were

presented at the meeting. Copies of these presentations are included in these

proceedings.

In addition to individual R&D programs and technology sources in North

America, Western Europe, Eastern Europe, and Asia, the workshop participants

also discussed R&D needs, priorities, underlying motivations, and opportunities

for international collaboration. The results of these discussions will be

summarized in a separate report. Information about the summary report may be

obtained from the editor of these proceedings.

J . D. Meyer

Gaithersburg, Maryland

October 1992

Except where attributed to NIST authors, the content of individual sections of this volume has not been reviewed or edited by the National

Institute of Standards and Technology. NIST therefore accepts no responsibility for comments or recommendations therein. The mention of

trade names in this volume is in no sense an endorsement or recommendation of the National Institute of Standards and Technology.

iii

Final Participants List

Precision Fabrication

Research and Development Workshop

October 27-29, 1992

The Woodfin Suites Hotel

Rockviile, Md.

Ekkard Brinksmeier

University of Bremen

F.G. Femgungsverjahren

D-2800 Bremen 33,

GERMANY

Peter Brown

NIST

Metrology Bldg., Rm. A127

Gaiihersburg, MD 20899

USA

Chris Evans

NIST

Metrology Bldg., Rm. A107

Gaithersburg, MD 20899

USA

Dan Gearing

Defense Logistics Agency

Attn: DLA-PRM, Cameron Station

Alexandria, VA 22304-6100

USA

Charles Carter

Association for Manufacturing

Technology

7901 Westpark Dr. McLean, VA 22102

USA

Daniel Cundiff

OASD

8000 Defense Pentagon, Room 3B253

Washington, DC 20301-8000

USA

William Donnelly

U.S. Army

Bldg. 172, Attn: AMSMC-PBR

Picatinny Arsenal, NJ 07806-5000

USA

Russell Duttweiler

Lawrence Associates, Inc. 5100 Springfield Pike

Suite 509

Dayton, OH 45431

USA

Ted Hicks

U.S. Navy

Bldg. 75, Rm. 209, MC 205

Philadelphia, PA

USA

Richard Jackson

NIST

Metrology Bldg., Rm. B322

Gaithersburg, MD 20899

USA

Said Jahanmir

NIST

Materials Bldg., Rm. A329

Gaithersburg, MD 20899

USA

Bruce Kramer

National Science Foundation

1800 G Street, NW, ENG/DDM-Rm. 1128

Washington, DC 20550

USA

Lloyd Lehn

Office of the Secretary of Defense

OASD (P&L), PR/MM, Rm.3B253

Washington, DC 20301-8000

USA

v
John Meyer

NTST

Chemistry Bldg., Rm. B212

Gaithersburg, MD 20899

USA

Frederick Michel

Society of Manufacturing Engineers

8409 Felton Lane

Alexandria, VA 22308

USA

Robert Reynolds

NCMS

900 Victors Way, Room 310

Ann Arbor, MI 48108-1779

USA

Eugene Rivin

Wayne State University

5050 Anthony Wayne Dr.

Detroit, MI 48202

USA

John Simpson

NTST

Metrology Bldg., Rm. B322

Gaithersburg, MD 20899

USA

David Stieren

OASD

8000 Defense Pentagon, Rm. 3B253

Washington, DC 20301-8000

USA

Clayton Teague

NTST

Metrology Bldg., Rm. A117

Gaithersburg, MD 20899

USA

Sato Tomomasa

University of Tokyo

4-6-1, Komaba, Rm. 408, 45 Bldg.

Meguxo-ku, Tokyo, 305,

JAPAN

Alex Wakulenko

Benet Laboratories

Watervliet Arsenal, SMCAR-CCB-SM, 40

Watervliet, NY 12189-4050

USA

Robert Warrington

Louisiana Technical University

P.O. Box 10348

Ruston, LA 7T270

USA

William Zdeblick

Institute of Advanced

Manufacturing Sciences

1111 Edison Dr.

Cincinnati, OH 45216

USA
Table of Contents

Page

Preface iii

Workshop Participants List v

Introductory Remarks

John Meyer, National Institute of Standards and Technology

Gaithersburg, MD 1

North American R&D

Precision Manufacturing Practice and Research: A North American Perspective

William Zdeblick, Institute for Advanced Manufacturing Sciences

Cincinnati, OH .5

Western European R&D

Western European R&D Programs and Sources of Funding

Ekkard Brinksmeier, Bremen University

Bremen, Germany 25

Eastern European R&D

Precision Fabrication Technology in the Former Soviet Union and Other East

European Countries

Eugene Rivin, Wayne State University

Detroit, MI Ill

Asian R&D

Precision Fabrication of Japan in 1993

Tomomasa Sato, University of Tokyo

Tokyo, Japan 137

Worldwide Microfabrication R&D

Worldwide Microfabrication Research and Development

Robert Warrington, Louisiana Technological University

Ruston, LA 225

vii

Introductory Remarks

John Meyer

Manufacturing Engineering Laboratory

National Institute of Standards and Technology

Gaithersburg, MD 20899

Precision fabrication technologies are extremely important to many

manufacturing industries, from automobiles and consumer electronics to

machine tools and computer hardware. The development and use of these

technologies have a direct impact on the products being produced and,

ultimately, a manufacturer's ability to compete successfully in world markets.

Major advances in precision fabrication technologies are being pursued by

numerous organizations around the world. In a field once dominated by

American and European researchers, much of this R&D is now being

conducted in other geographic areas. Undoubtedly, these research efforts will

yield advanced technologies capable of producing parts with much higher

precision, better quality and lower costs.

In the midst of this high level of on-going international research, there is a need for a mechanism for examining such efforts on a worldwide basis in an

open forum, with an eye towards identifying collaborative research

opportunities among regions. Workshops serve as one such mechanism.

To this end, a workshop was jointly sponsored by the U.S. Department of

Defense (DoD) and the National Institute of Standards and Technology

(NIST). Both DoD and NIST are actively involved in the development and

implementation of advanced manufacturing technologies and each is interested in exploring international collaborative research projects in this

field.

The purpose of the workshop was to provide an international forum for

discussing major research and development programs in precision fabrication

technology. Specifically, the objectives of the workshop were to:

1. Identify major R&D programs and sources of advanced precision

fabrication technology in Europe, Asia, North America and other

parts of the world.

2. Determine the approximate level of resources being expended in

each R&D area.
3. Examine the goals and strategies of these R&D programs, as well as the underlying reasons and motivations for undertaking such

efforts.

4. Explore any unmet needs or high-impact research opportunities

that may exist in the area of precision fabrication technology.

5. Discuss the potential for international collaborative R&D projects

and any key issues associated therewith.

For the purposes of this workshop, the term "precision fabrication" was very

broadly defined and included the following topics: — Machining

-- Grinding

-- Other precision material removal processes — Stamping and forming

-- Micro- and Nano-fabrication technologies — Welding

-- Other precision joining processes

In each of these areas (with the exception of micro-fabrication), the primary

emphasis was on fabrication technology for metals as opposed to other

materials. However, within these areas, the primary focus was on

technologies that can be used to produce "precision" and "ultraprecision"

parts and assemblies.

Because of the focused and specific nature of the workshop's objectives, the

meeting was conducted on a "by-invitation-only" basis. The total number of

participants was limited to a maximum of 25 people. Each individual was

expected to be an active participant in the discussions. Thus, only

knowledgeable experts in the field were invited to participate in the meeting.

The workshop was truly international in flavor, with leading observers from

all regions of the world taking part in the meeting.

The meeting spanned a three-day period. The agenda was as follows:

Day 1: Morning: Registration and individual presentations and questions

Afternoon: Individual presentations and questions

Day 2: Morning: Group discussion of R&D framework and research programs

Afternoon: Group discussion of R&D needs and priorities

2
Day 3: Morning: Group discussion of collaboration opportunities

Afternoon: Adjourn

Approximately 25 people attended the workshop. A list of the attendees is

included in this proceedings.

As can be seen from the agenda, a considerable portion of the workshop was

devoted to group discussions of various issues concerning manufacturing

systems R&D. A separate report summarizing these discussions is planned

for preparation in 1993. More information about the report is available from

the editor of these proceedings.

%

Precision Manufacturing Practice and Research:

A North American Perspective

William J. Zdeblick, Ph.D.

Technology Director

Institute of Advanced Manufacturing Sciences

Cincinnati, Ohio

Prepared for

NIST Precision Fabrication R&D Workshop

October 27-29, 1992

Introduction

Precision: A Competitive Strategy

Machine Tool Industry: The Dynamics of Change

Machining Errors

Sources and Classification

Machine Tool Hardware

Environmental and Operational

Process and Process Engineering

Summary: Next Steps

Technology

Infrastructure

Acknowledgment

Bibliography

Appendix: Critical Machine Tool Technologies

5
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

Introduction

This paper summarizes key observations about the state of precision manufacturing practice and

research in North America. The background of the author is in metalworking and machining

and thus the majority of the discussion relates to these industries. However, many technologies

that have emerged from other "clean" manufacturing, particularly from the microelectronics,

microfabrication and pharmaceutical industries, have been adapted to precision machining.

Precision manufacturing focuses on improving part accuracy and process repeatability but the

practical discussion often focuses on manufacturing errors. The historical precision research

agenda has been structured by understanding the nature and types of manufacturing errors. Significant technology advances, as measured by the reduction of these focused upon error

types, have resulted. Discussed later in this paper is a classifying of error types into machine,

environment and process. A fourth group, measurement, is a whole science in itself and will not

be addressed in this paper (although many of the scientific concepts of metrology have been

applied in the reduction of manufacturing errors).

Driven by this taxonomy of manufacturing errors, individual research efforts tend to be narrow

in scope and focused only at the highest impact areas, namely, the largest error sources. Advancements in individual hardware components (bearings, controllers, spindles, structures,

etc.) are primarily driven by the individual machine hardware component builders. The rate of

improvement and implementation of these precision technologies in general manufacturing is fairly predictable (see below) and is not sufficient to regain world leadership. An assessment of

today's precision research agenda finds that gains are achieved in an evolutionary manner and

that "the low hanging fruit has already been picked".

Unfortunately, today's precision research agenda is fragmented — across the industrial, academic

and federal government spectrums. As a result it is difficult to achieve a significant,

revolutionary impact on precision manufacturing. The time has come to reassess the nation's

precision manufacturing research agenda if we are ever going to "reach for the high fruit." With

the error taxonomy understood, a more systematic, integrated view of precision research is needed which strives toward a greater synergistic benefit. A shift from component driven

research to an integrated systematic agenda that includes widespread technology deployment

strategies is needed.

Precision: A Competitive Strategy

A very important trend has been noted among machining system users - accuracy requirements

are dramatically increasing. The ability to consistently manufacture mechanical parts that are

"straighter, rounder and flatter" yields significant product marketing advantages with respect to performance, reliability and life. For example, Cross Company is currently developing a machining system for the production of automotive engine components that will hold at least one

dimension (a bore) to 67 microinches. Similarly, Texas Instruments anticipates that within 2

years, tolerance requirements for aerospace systems will be in the range of 50 microinches.

Such levels of accuracy were unheard of in all but ultra-precision work a few years ago.

6
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick. Ph.D.

To achieve such accuracy requirements consistently, both builders and users will have to alter many of the fundamental principles under which they have traditionally operated. This presents

a strategic opportunity — to develop the capability to reliably achieve very high levels of

precision in high-productivity manufacturing environments. There are a number of reasons why

this strategy is achievable:

• All industries are extremely concerned with product quality, and ultimately, high quality

levels rely on the ability of process equipment to hold tight tolerances. The demand for

increasingly precise manufacturing processes will grow.

• Increased machining system accuracy - in the range of 1 microinch ~ can only be

achieved technologically. Whereas higher productivity can often be realized by such

operational tactics as Just-In-Time or moving manufacturing off-shore, the battle for

higher-precision production capability will be won or lost on the basis of sound R&D

integrated into shop practice.

• ROI is not a strong decision factor, since there are few viable alternatives to achieving

higher precision other than investment in new equipment This is not true, by contrast, in

decisions involving investment in higher productivity (i.e., metal removal rates), since

alternatives typically exist, (e.g., invest in the development of a machine that runs twice

as fast as opposed to purchasing two standard machines).

• Much of the technological basis of high-precision machining has been developed with

U.S. government funding and is available for use by U.S. companies. In fact, the ultra- precision technology that exists within the National Laboratories is the most advanced of

its kind in the world.

• The achievement of very high precision capabilities in high-productivity operations will

result from a coordinated series of developments, some small and some large in scope.

This will require a concerted, continuing effort by many U.S. R&D organizations

coordinated by a single entity.

Machine Tool Industry: The Dynamics of Change

Precision manufacturing capability is dynamic and it is constandy changing over time. The

state-of-the-art of today leads to the State-of-the-Practice tomorrow. Knowing how this dynamic works is very important if programs that accelerate the rate of change of this process

are to be developed. The general classifications of machining is defined as follows:

Normal machining: That which is performed routinely in the widespread

production base.

Precision machining: That which is the state of the art in a high-quality

production environment or laboratory.

Ultra precision machining: Those processes/machines by which the highest possible

dimensional accuracy is, or has been, achieved at a given

point of time.

7
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

Historically, the time that lapses before techniques classified as "precision machining" move out

of the laboratory environment and into the production environment, so as to be reclassified as "normal machining", is approximately 40 to 50 years. Furthermore, the time that lapses before

"ultra precision machining" is reclassified as "precision" is another 15 to 25 years. In other

words, there is a predictability for industry's ability to transfer technology from research to the

production line. The transfer rate from "ultra" to "normal" is quite long indeed (55 to 75 years).

This historical time required for technology transfer can be projected onto the future, thereby

producing considerable discouragement about chances for America's successful manufacturing

or technological "comeback." On the other hand, by being fore-armed with such detailed

knowledge about the phenomenon and expanding that knowledge in a structured way, it is possible that U.S. manufacturers could devise ways to significantly shorten the historical 50-75

year cycle.

To effectively introduce a fundamental change into the domestic machine tool industry, its inherent operational characteristics need to be understood. Through observation and discussion

with a variety of users and machine builders, the following points tend to describe the industry's

character:

• The machine tool industry is slow in accepting and developing new technology. For

example, it was about 12 years from the first valid experiments on magnetic bearings

until these bearings were implemented in a production machine tool in Japan (in 1988).

• New concepts, even if first thought of in the United States, seem to be implemented first in other countries. The first implementation of a truly unmanned machine tool, the first ceramic spindle, and a spindle operating at 100,000 rpm with a set of antifriction

bearings occurred in Japan. The first known experimental spindle made of carbon-fiber

reinforced plastics and the first precision bearings for high-speed spindles came from

West Germany.

• Most of the advances made in recent years in the technology of the major building-block

elements have come from sustained, long-term improvement efforts, with small steps or advances taken progressively, rather than as the result of a major one-time R&D push to leapfrog into a new realm of technology.

• In recent years, there has been a major increase in the amount and quality of R&D work

that relates to machining systems in the United States as well as in other countries. The

number of universities doing work in this area has increased greatly, and the number of

R&D projects in manufacturing has increased As a result, many of the potentially

interesting projects that have been identified are already being investigated to some

degree in R&D organizations.

• Many U.S. machining system builders feel they have litde incentive to innovate. Several

novel machine tools that were developed by U.S. builders (e.g., high-speed spindle,

faster broaching machine) were not accepted by U.S. users and as a result, some of the

U.S. builders have become unwilling to invest in new technology.

I
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

Machining Errors

Sources and Classification

Several previous works have catalogued the sources of errors in machine tools. It is sufficient

for this discussion to list the major sources of error and group them according to their type.

They are:

Machine Environmental Process

Geometric:

Displacement

Straightness

Squareness

Parallelism

Axes of Rotation

Staff Training

Operator

Maintenance

Management

Tooling Support

Tool wear

Size/Shape Change

Force Increase

Heat Increase

BUE

Controller errors: Hardware Faults

Software Faults

Thermal Changes

External

Part Stability

Fixturing

Part Deflection

Dynamic Stability

Thermal Effects

Internal Sources

External Vibrations Surface Integrity & Finish

Residual Stresses

Material Damage

Mechanical Effects:

Wear

Loading Effects

Other

Air/Liquid

Part Handling

Dynamic/Static Stability

Chatter

Deflection

Several error categories (particularly the process errors and thermal errors) have remained more

elusive because they are so process and part specific. Up until recently they have been addressed

only by human operators, using their brains and senses, and have only recendy become

candidates for treatment by artificial means.

Machine Tool Hardware

Errors due to machine tool hardware have received the most attention over the years. Machine

tool builders themselves can, and have, taken the lead in the research and development initiatives

since they exert total control over the design and manufacture of their products. Traditionally,

two approaches to reduce hardware-based errors are used; namely, error reduction in design and

construction and error compensation through on-line measurement and control. Steady and

significant improvements have occurred in reducing the geometric-based and control-based

errors and well-defined research needs can be identified by continuing the evolution of current

research.

Builders have steadily improved the structural design and manufacturing method of machine

tools to improve precision. Improved spindles, bearings, leadscrcws, transducers, etc. have

9
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

systematically evolved to higher precision. The evolution of improved components is expected

to continue. However, the application of more global systematic design engineering practices is not common.

For example, the use of CAE analysis tools to improve the static and dynamic behavior of

machine tools is readily available for use in the industry today. A recent survey completed by

LAMS on "Improving Machine Tool Dynamic Stiffness" found that, by and large, sufficient

CAE technology is available in commercial software products to analyze machine tool

structures. However, implementation levels are low due to many non-technical (skill levels,

cost, time, lab equipment, ...) reasons. Thermal effects are different and particularly troublesome because it is difficult to separate them

from other error sources (such as deflections). The consideration of new approaches to address

these errors may be appropriate. There is no means for measuring them directly or detecting

their presence during actual machining processes. They must be inferred from measurements of

the thermal condition of the machine and its environment. The treatment of thermal effects is

still far from mature enough to suggest preferred techniques appropriate for routine usage.

The principal means of thermal error elimination is temperature control and heat isolation within

the structure. Significant progress has been made in the past twenty years on designs for

environments for precision machine tools as well as control of temperatures within the machines

themselves. The best example of this technology is the Large Optics Diamond Turning Machine

(LODTM) at Lawrence Livermore National Laboratory. The surrounding air temperature is maintained at 20°C±0.010° and the cooling water flowing through the machine is maintained at 20°C±0.001°. Machines with individual and integral controlled thermal environments were

suggested at least as early as 1970 and are now commercially available.

The traditional compensation approach for thermal errors involves a method of determining

correlation between temperature measurements at selected sites on and within machines and the

resultant thermal effects errors. Further, they incorporate the temperature sensors in a system

that inputs correction signals to a machine tool CNC which adjusts the machine drive systems.

Historically, correlations are derived from the analysis of large amounts of data from tests performed on an existing machine by means of curve-fitting. Recently, at the Institute of

Advanced Manufacturing Sciences, the use of Artificial Neural Network techniques are being

explored as a method of building more generic and less engineering intensive thermal error compensation models.

A summary of some of the critical research and technology requirements for machine tools is presented in the Appendix. The science and research identified is intended to continue to push

the technology envelope. However, to meet the challenge described above of widespread

precision manufacturing improvement requires an effective and systematic technology

deployment strategy, not necessarily a focused technology development agendaEnvironmental and Operational

The environmental and operational causes of machining and measurement errors are, for the

most part, well understood. Much specialized work has been done to develop the technologies

necessary to eliminate the effects of the environment that negatively impact precision

10
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

manufacturing and precision measurement. In fact, a number of manufacturers have developed

excellent techniques for controlling certain environmental factors in immediate proximity to precision equipment.

Examples of the degree to which methods currently exist for controlling the precision

manufacturing environment are not difficult to find. Methods exist for:

1. Controlling ambient air temperature to a remarkable degree (better than +0.01°C).

2. Controlling aerobically borne particulate contamination (as is done routinely in Class 10

and less frequently in a Class 1 clean room in the semiconductor industry).

3. Controlling vibration within precision equipment and the vibration that is transferred to precision equipment from external sources (technology for blocking most external

vibration greater than 5 Hz is available from vibration isolation suppliers).

The foregoing examples of the effective control of environmental impact on precision

manufacturing were found within industries whose survival depends upon resolving highly

specific problems in a focused way. The example of superb ambient air temperature

management cited above can be found in manufacturing systems using electronically controlled,

closed-loop feedback systems that connect the facilities' HVAC systems to precision

manufacturing equipment temperature sensors. A few semiconductor companies and equipment suppliers have demonstrated a remarkable

capability for controlling airborne contamination. Such firms have met the stringent cleanliness

demands of their industry by designing and implementing Class 1 clean room facilities. Many examples of the control of precision equipment vibration can be found in U.S. industry.

Designers have in fact developed highly sophisticated methods for controlling vibration within

precision equipment and within the facilities that house precision equipment. Vibration control

within precision equipment is currently focusing upon the use of advanced structural designs and

advanced materials. The know-how needed to perform the difficult technical tasks of

controlling the physical environment surrounding precision manufacturing (the facilities)

currently exists and is available, providing that potential users are willing to apply adequate

effort, thought, and money to proper implementation activities.

Much progress has also been made in the human resources arena of precision manufacturing

management. Certain exemplary programs have been implemented and made effective in the

task of developing personnel who can consistently perform state-of-the-art precision

manufacturing work. By designing targeted training and education programs, organizations such

as Lawrence Livermore National Laboratories have successfully trained employees in the

operation of highly precise manufacturing equipment.

It is most important to note that even though many enabling technologies connected to precision

manufacturing practices are highly specialized, each of those technologies contain principles and

methodologies that may be utilized to considerable benefit in less demanding industries. A

recent NCMS-sponsored assessment program has determined that state-of-the-art precision

manufacturing technologies are in place within a number of companies and institutions across

the U.S.; however, the documentation of those technologies is often not available, and has most

certainly not been collected in a convenient , centralized repository. A notable exception is

11
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick. Ph.D.

Lawrence Livermore National Laboratory where documentation is quite good and, for the most

pan, available to industry at large.

In addition to the fact that many precision manufacturing technologies are not documented, it is also true that the documentation that does exist is often in a condition that reduces its usefulness

to industry. Current literature generally lacks sufficient "how to" detail to allow an interested

technologist to proceed with a similar precision manufacturing implementation. Those

documents that do contain sufficient "how to" detail are frequently not readily accessible in a

usable, public domain form.

In summation:

1. Most of the environmental and human factors technologies needed to make U.S.

manufacturers nationally and internationally competitive in precision manufacturing do

exist.

2. Very few new technologies have to be developed in order to allow U.S. manufacturers to be competitive in the current global precision manufacturing marketplace.

3. The needed expertise exists in various government laboratories, universities, and

commercial enterprises.

4. Highly qualified people are available to help define and document the guidelines for

precision engineering.

Process and Process Engineering

The activity of engineering the specific method to manufacture a precision pan, including

tooling, fixturing, NC programming, etc., is process engineering. The specific pan material,

shape and requirements must all be factored into consideration in addition to the machine tool

and factory environment. The accumulation of all prior precision research and technology

occurs in the process engineering activity; this is where the rubber meets the road!

Typically, as incremental technology is introduced to improve precision (e.g., reduce errors),

process engineering absorbs the technology on an as-needed basis. For example, as touch probes were introduced by builders, the NC programmers learned to program on-line inspection actions

to dynamically calculate tool offsets. Today, the implementation phase of precision engineering

research is considered to be the training and upgrading of process engineering. The rate of

technology introduction and absorption is poor and typically incrementally focused upon

individual error types. As with the overall precision research agenda, "the low hanging fruit has

already been picked". Clearly, improvements in the rate of implementation can be made

through:

1) The collection of precision engineering best practices into a general guidebook and

companion training program,

2) The development of Precision Analysis Software Tools to assist in the application of the

best precision practices for specific situations, and

3) Use of CAD/CAM tools such as Computer Aided Process Planning (CAPP) systems to leverage the widespread implementation.

12
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

The opportunity to take a more systematic, integrated view of process engineering is available

and a new paradigm for precision engineering research can be explored. Rather than focus

independently on individual error types and attempt to eliminate or compensate each error, the use of Computer Aided Engineering (CAE) modeling and analysis techniques would allow the

overall machining system to be viewed in an integrated manner. Research programs which

specifically model and simulate (not just animate) the physical behavior of the process,

equipment and environment and understand the interaction between each error type offers a tremendous opportunity to leapfrog current precision machining practices.

One paradigm which may be researched could be the general concept of open-loop

compensation to reduce predictable and repeatable errors. Utilizing an improved CAE-based

integrated process error model that is synchronized to a specific part, machine and

environmental characteristics may drastically improve compensation strategies while

maintaining (or even improving) production rates. A simple example to visualize this concept is the deflection of thin walls in airframe structures. To maintain low tolerances, extremely slow

and conservative (low force) machining practices are typical. By having an improved process

model able to analyze forces, deflection and , vibration an adjusted machining strategy,

including a non-linear tool path allowing for pan deflection and springback, could be developed.

Sacrificing feed rates and thus productivity may not be necessary!

Another area of focus is in predicting and accounting for normal process changes, such as tool wear. Tool wear, like thermal effects, has been difficult to measure directly and has been

attempted to be inferred through indirect measurements. Unfortunately, many researchers have

overlooked the central problem; namely, the key objective is part size changes not necessarily

only tool size changes. Extensive research efforts over the last 30 years have been too narrowly

focused. Tool wear is now being practically measured and compensated for, in some cases online. Use is being made of tool setting stations with both touch and visual sensors. The common

practice of the human operator to detect a worn tool by sound is being imitated by means of

acoustic sensors. However, the use of an integrated CAE-based model to understand the spectrum of errors would

consider tool wear in an inter-related context with forces, deflection, vibration, thermal growth,

etc. Without such an improved process model to formulate a predicted "open-loop" tool wear

compensation strategy, the benefits of addressing tool wear errors alone are limited. Clearly, the

effort to develop an on-line, integrated, intelligent sensor-based strategy for error compensation

requires an integrated view.

Process errors have historically been the most elusive to systematically structure within a research framework since they are part and environment specific. Individual experience and

expertise is the normal approach for improved precision. However, developing a systematic

methodology to eliminate process errors has potentially the largest impact; namely, to implement

precision engineering research into widespread practice and shorten the historical dynamic of

machining precision evolution. Research in this area will not just focus on the physical science

and must explore creative and revolutionary strategies. Only with this approach will "picking

the high fruit" be achievable.

13
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

Summary: Next Steps

Technology

Machine tool design has evolved from basically mechanical mechanisms to highly sophisticated

systems involving many different technologies. The following list represents critical

technologies that affect the capability and competitiveness of machine tools in manufacturing.

• Metrology • Metallurgy • Physics of materials

• Dynamics of structures • Advanced precision bearings • Laser technology

• Electronic controls • Software • Sensors technology

• Advanced materials technology • Artificial intelligence

Each of these technologies is critical to competitiveness because each affects the performance

and capability of machine tools. They are universal in their application, although each one may

not be used in every machine type. The performance and characteristics of a particular machine

are determined by the:

• basic mechanical and physical design of the machine;

• materials used in its construction;

• selection and application of various bearings;

• controls that direct the motion and speed of movement as well as the repeatability of the

machine;

• software that commands the controls;

• sensors and measuring devices that inform the software in the controls about the

operation and positions of the various elements of the machine tool.

Developing these critical technologies requires significant multi-disciplinary research and

development programs. Even within these general research needs lies a large range of

prerequisite and application-specific research programs. For example:

• Precision improvement includes tool sensing to correct for deviation from programmed

tolerances; hardware/software monitoring, mapping and correction procedures; and

position and thermal sensing to compensate for structural errors.

• Sensing-research projects include the development of position transducers, so that sensors are accurate in increasingly higher-speed machining; sensor arrays to integrate

the measurement taken during the various steps of the machining process; and the

development of lower cost laser feedback systems.

• Computer software projects include expert systems and artificial intelligence; improved

machine controls; and the development of a real-time, object-oriented computer language

to develop numerically controlled machine software, as hardware development is constrained by the high cost of concurrent software development.

14
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

The complexity of these research undertakings is multiplied as advances in new materials and

microelectronics continue. The scope and expense of such research efforts preclude all but the

top few machine tool builders from undertaking the necessary effort. For the typical machine

tool builder, with annual sales of about $7 million, mounting even a small research and

development effort is prohibitive.

Infrastructure

The job at hand is the structure by which cooperative, shared research and development can be

organized. The demonstration of technology in a single, isolated case does not necessarily

generate widespread use. Funding a single builder to demonstrate new technology may not even

assure that the technology will be duplicated within the builders product line and customer base!.

The wealth of science available is, for all but the most extreme cases, sufficient and applicable.

The access to, justification for and deployment of this available science is the challenge facing

the industry. Coordination of the nation's precision research agenda is the mission.

Gearly, builders respond to the market requirements. Pushing technology onto the builders via

focused research programs has not resulted in the technology being pushed onto the end users! Only the increase of market demand for precision will result in precision technology being

pulled into use. To accomplish steady, sustained implementation of precision manufacturing

technology, the focus of any stimulation must be on the end user — through education,

information products, engineering assistance and economic justification assessments.

A historical model of this strategy is available in the cutting tool industry — the Machinability

Data Center (MDC). As new materials (primarily aerospace) were quickly being developed and

put into production, a flurry of isolated research efforts were initiated to develop new cutting

tools. Material science and coating technology was foreign to most machining end users and

keeping track of new developments was impractical. As a result, making the investment to change was done reluctantly, if at all. However, with the MDC serving as an independent

clearinghouse of information, a central training resource and provider of engineering between

tool vendors and end users, new technology was effectively introduced. As a result the niche

markets for aerospace tooling grew. The business incentives for individual firms to undertake

advanced cutting tool research was stimulated. The lessons learned from the MDC could be

applied to stimulate the use of precision manufacturing technologies.

A unified, coordinated approach to help USA companies regain a lead position in precision

manufacturing is needed. This unified approach will be complex in implementation, but it is simple in principle:

1. Make technology READY to be effectively and efficiently transferred.

2. Make human resources CAPABLE of receiving and implementing advanced

manufacturing technology through the development and implementation of effective

Manufacturing Education Programs.

3. FACILITATE the technology transfer by establishing predictable, reliable transfer

methodologies and organizations.

4. IDENTIFY technology voids through direct interaction with the end users.

15
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

5. COORDINATE multi-organization research initiatives to pull research objectives that

address these voids.

The nation requires a central Precision Manufacturing Access Point (P-MAP) to exchange and

interact with technology. The Institute of Advanced Manufacturing Sciences is moving toward

establishing itself as such a P-MAP.

Acknowledgment

The source of this paper's information is the author's 15 years of first-hand experience working

in the machining industry. The majority of that time was spent at Metcut Research Associates

and now at the Institute of Advanced Manufacturing Sciences which took over the Metcut

operations. In addition, information was obtained through direct dialogue with several

engineering directors at machine tool builders and from reviewing several recent NCMSsponsored studies addressing machine tool research needs. The author also wishes to thank Mr.

Nicholas Weil and Mr. Jack McCabe of NCMS for their input.

Bibliography

1. 66 Centuries of Measurement. 3rd Ed. . The Sheffield Measurement Division, Dayton,

Ohio, 1984.

2. Hayes, Donald J., et. al., Precision Manufacturing Guidelines: Human & Environmental

Factors — A State-of-the-Art Assessment. National Center for Manufacturing Sciences,

1990 (Contract number NCMS-66-MO-2).

3. Moore, Wayne, Foundations of Mechanical Accuracy. Moore Special Tool Co.,

Bridgeport, CT, 1970.

4. R. Hocken, Ed., Technology of Machine Tools. Vol. 5. Accuracy. Lawrence Livermore

National Laboratory, UCRL-52960-5, October, 1980.

5. Blaedel, K., Error Reduction. MTTF Report. UCRL 529605, October, 1980, pp. 61-73.

6. Donmez, M.A., A General Methodology for Machine Tool Accuracy Enhancement bv

Error Compensation. PRECISION ENGINEERING, Vol. 8, No. 4, October, 1986, pp

187-196.

7. Taniguchi, N., Current Status in and Future Trends of Ultra-precision Machining and

IJltrafme Materials Processing. Annals of the CIRP, Vol. 21, No. 2, 1983.

8. SRI International, High Productivity Machining Systems: State-of-the-Art Assessment.

National Center for Manufacturing Sciences, 1989 (Contract number NCMS-88-PE-4).

9. Council on Competitiveness, Competitive Profile of the Machine Tool Industry. 1991

(Background Paper for CoC's Gaining New Ground Report).

16
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

Appendix: Critical Machine Tool Technologies

CRITICAL TECHNOLOGY: Electronic Controls

DESCRIPTION: Electronic controls are used to command and control the morions and functions

of machine tools. These controls may be relatively sophisticated Computer-based Numerical

Controls (CNCs) which use numerical part programming information to command the machine,

or Programmable Logic Controls (PLCs) which utilize electronic components to effect the

sequential control logic previously provided by electromechanical relays.

WHY IS IT A CRITICAL TECHNOLOGY: In order to meet the demand for increased machine

versatility and to efficiently produce parts having complex shapes and/or close tolerances, which

are increasingly used in aerospace, defense and consumer products, it is necessary that the

machines producing these parts be electronically controlled Such controls eliminate the

variability and inefficiencies associated with human control of machines. The increased

emphasis on product quality also dictates use of electronic controls that allow the manufacture of

parts with close part-to-pan consistency.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: Although

the concept of numerical controls was created in the United States and further developed at MIT

in the early 1950s, the dominant supplier of such equipment today is Fanuc of Japan, which

accounts for over 70 percent of the world market. As a result of and the fact that the Japanese

government subsidizes considerable industrial research conducted in their country, the United

States will have a hard time regaining the lead it once enjoyed. Recently the Japanese have

exploited U.S. developed capability which allows user-friendly programming of complex parts

right at the machine.

TECHNOLOGICAL INTERDEPENDENCES - RELATED TECHNICAL ISSUES:

Electronic controls are technologically dependent upon advances made in the semiconductor and

computer industries. The emerging popularity of 32-bit Central Processing Units (CPUs) has

decreased their cost to both computer manufacturers and to suppliers of electronic controls for

production equipment This development has in turn allowed the design and development of

electronic controls having both increased functions and speed.

CRITICAL TECHNOLOGY: Sensor Technology

DESCRIPTION: Sensors are devices that provide an indication of force, displacement, power,

temperature, or other process variables. They typically provide inputs to the electronic controls

used to control a production process or piece of equipment.

WHY IS IT A CRITICAL TECHNOLOGY: The control over a manufacturing process is a

function of the degree to which process variables can be measured and of the relationship

between these process variables and the attributes of the finished part Because of this, sensor technology is critical to the efficient production of close tolerance parts. Of critical importance is not only the technology of the sensors themselves, but also the technology of signal processing

and communication related to the sensor output.

17
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick. Ph.D.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: The U.S.

machine tool industry is dependent upon others for much of the sensor technology it uses. Many

of these are foreign firms. No U.S. firm is large enough or profitable enough to undertake

research program of sufficient scope to compete with any of the foreign companies who of

sufficient well-established footholds in these areas. TECHNOLOGICAL INTERDEPENDENCES -- RELATED TECHNICAL ISSUES: In many

cases the critical element of a sensor is made of semiconductor material, thus there is a dependence of the sensor industry upon the semiconductor industry. This dependence extends to the devices used for sensed signal conditioning for signal conversions, and for sensed signal

mixing and decoding.

CRITICAL TECHNOLOGY: Software

DESCRIPTION: Software is the collection of programmed instructions used to define the

responding, controlling and communicating functions of computer-based engineering and

manufacturing equipment and systems.

WHY IS IT A CRITICAL TECHNOLOGY: Software defines the responding, controlling and

communicating functions of manufacturing equipment, it is critical in determining the capability

and efficiency of the equipment being controlled- (An even more critical first-step is having a

clear understanding of the process to be controlled.)

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: The United

States has been a recognized leader in software programming expertise. This exists primarily

because electronic computers were first developed in the United States, and the installed base of

computers, both main-frame and personal, is much larger here than in any other country. The

rest of the world is rapidly catching up with the United States, as evidenced by the increasing

number of Computer-Aided Design (CAD) systems available from overseas suppliers and by the

increasing number of user-friendly features being added to Computer-based Numerical Controls

(CNCs) produced abroad.

TECHNOLOGICAL INTERDEPENDENCES - RELATED TECHNICAL ISSUES: As noted

above, being able to efficiently program computer-based systems can only be done once the

process to be controlled is sufficiently understood- Thus, the development of "good" software

requires a background in manufacturing engineering, process engineering, and mathematics as well as a good background in computer programming. In effect, continuing state-of-the-art

expertise in software is dependent upon continually updated experience and/or education in all of

the aforementioned fields.

CRITICAL TECHNOLOGY: Artificial Intelligence

DESCRIPTION: Artificial intelligence as applied to manufacturing is that branch of science

devoted to computer control of a product or a process using algorithms, logic and/or cause-effect

relationships which might otherwise exist in the mind of a human operator or process designer.

18
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick. Ph.D.

WHY IS IT A CRITICAL TECHNOLOGY: Artificial intelligence has the potential to significantly improve the productivity of manufacturing operations by incorporating human

experience and/or human thought processes in the control regimen. As such it has the potential

to improve the competitiveness of those businesses which employ it. THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: The United

States has pioneered efforts to develop artificial-intelligence technology particularly as it relates

to manufacturing and/or the organization of data bases. It is anticipated, as a result of

international interest in the subject, that competitive advances in this field will come from

around the world and will not be limited to those made by U.S. investigators.

TECHNOLOGICAL INTERDEPENDENCES -- RELATED TECHNICAL ISSUES: The

utilization of artificial intelligence techniques, as is the case with the development of

manufacturing-related software, is dependent upon a knowledge of both the manufacturing

processes to be controlled and the science of artificial intelligence. A strong background in both

manufacturing and in computer science is required.

CRITICAL TECHNOLOGY: Laser Technology

DESCRIPTION: Laser technology is the use of narrowly-focused light beams for measurement,

and processes requiring the discrete application of heat.

WHY IS IT A CRITICAL TECHNOLOGY: Possessing a continually updated inventory of

state-of-the-art laser technology is critical to U.S. manufacturers because it can profitably be

applied to such varied manufacturing tasks as measurement, cutting, joining, marking, etching,

surface finishing, scribing, hole cutting, deburring, heat treating, chic breaking, etc. Indeed,

many aerospace and commercial parts could not be economically produced without the use of

laser technology.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: It is known

that the Japanese have for some years had a program to develop a manufacturing system utilizing a high-powered laser and a split-beam delivery system. This and other Japanese and an research

endeavors will challenge the leadership currently enjoyed by the United States in laser

technology.

TECHNOLOGICAL INTERDEPENDENCES - RELATED TECHNICAL ISSUES: Laser

technology is dependent upon precision turning and finishing technologies for mirrors, and on

optics and fiber-optics technologies for other aspects of the beam-delivery systems.

CRITICAL TECHNOLOGY: Phvsics of Materials

DESCRIPTION: The physics of materials relates to the measurable properties and characteristics

of materials. For manufacturing, these properties are primarily those that relate to how the

material cuts, bends, shears and welds.

WHY IS IT A CRITICAL TECHNOLOGY: In order to produce a manufactured part, it is necessary to design an efficient process to create that part. In order to design the process, it is

19
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

critical that one understands the physical characteristics of the material of the part, and especially

how the characteristics of the part and the selected tool(s) will interact.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: For a number of years the U.S. manufacturing engineers have maintained a wealth of data showing

what feeds and speeds should be selected for the efficient production of parts produced by metal

cutting techniques. These data were available for a variety of combinations of workpiece

materials and tool materials. With the advent of new tool materials (such as coated carbides,

ceramics and Cubic Boron Nitride (CBN) materials) the previously published data are no longer

sufficient Research and/or lab tests to establish appropriate feeds and speeds for workpieces

made of newer alloys and for tools made of new materials must be developed.

TECHNOLOGICAL INTERDEPENDENCES -- RELATED TECHNICAL ISSUES: The

magnitude of the project to develop new feed and speed information is a function of the rapidity

with which new alloys are developed by the primary metals and how fast too develop new

materials and/or coatings for tooling. It at the need for the development of information on the

physics of new materials (for both workpieces and tooling) will be forever ongoing as new

materials continue to be developed.

CRITICAL TECHNOLOGY: Advanced Materials Technology

DESCRIPTION: Advanced materials include those not considered primary metals or their

common alloys. They include metal matrix composites, graphite, fiber glass, ceramics and other

man-made materials.

WHY IS IT A CRITICAL TECHNOLOGY: Many industries require the use of special materials

capable of withstanding the rigors of unusual environments. These industries include the

aerospace and supersonic transport industries, nuclear industry, undersea exploration industry,

petrochemical industry, etc. These industries require parts manufactured from materials capable

of withstanding severe temperature, pressure, nuclear bombardment, corrosive, and similar

environments. In order to retain our lead in the industries requiring these types of parts, it is necessary that we retain our lead in advanced materials technology.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY:

While the United States currently leads in advanced materials technology, this lead could be

eroded by ignoring the research being pursued by firms in other countries including Japan, West

Germany, France, Great Britain and Israel. The United States needs to be aware of and know

the properties of these advanced materials in order to design and offer machines capable of

producing parts made of such materials. The industry also needs to be aware and take advantage

of the characteristics of these advanced materials when selecting the materials to be used in all newly designed machine tools. TECHNOLOGICAL INTERDEPENDENCES -- RELATED TECHNICAL ISSUES:

The U.S. machine tool industry depends upon other industries for the development of these

advanced materials and must work closely with them in order to minimize the time delay

between the availability of advanced materials and the availability of manufacturing equipment

capable of processing and/or utilizing those materials.

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Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick. Ph.D.

CRITICAL TECHNOLOGY: Advanced Precision Bearings

DESCRIPTION: Advanced precision bearings are used in machinery and technical products

where there is a high demand for accuracy and reliability. Applications in jet engines, navigation

devices and precision machine tools are typical.

WHY IS IT A CRITICAL TECHNOLOGY: Modern machine tools require bearings of high

geometric accuracy and low mechanical wear over time. Jet engines also require advanced

precision bearings because of the necessary tolerance for high temperatures.

Precision bearing races are especially ground, checked and aired together. Many state-of-the-art

bearings come with ceramic balls for longer life and increased accuracy. Ceramic bearing

technology is relatively new and only a few countries — Japan, West Germany and the United

States — have that capability. Japan has a considerable lead over the United States. THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: The main

threat is that these bearings are available from Japan at competitive prices. The has been

relatively low an U.S. suppliers have not been eager to adopt this technology.

TECHNOLOGICAL INTERDEPENDENCES - RELATED TECHNICAL ISSUES:

Advanced precision bearing technology and especially ceramic bearing technology is dependent on the development of quality ceramic materials resistant to heat-induced cracking, and the

availability of equipment to machine them. Here again, Japan has a the United States resulting

from their previous work on ceramic rotors for automotive turbochargers and heat research and

experimental work on developing components for the so-called "adiabatic engine."

CRITICAL TECHNOLOGY: Metrology

DESCRIPTION: Metrology is the science of measurement and comparison of these

measurements to an established system of references. Metrology is used extensively in

manufacturing industries and especially in the machine tool and related industries.

WHY IS IT A CRITICAL TECHNOLOGY: Present day technical products require accuracy

unheard of a few years ago. The established "rule of thumb" requires that measuring instruments

be at least ten times more accurate tolerance on the measured value. This necessitates the use of

such technologies as optics, fiber-optics, laser beams, microelectronics, computers, etc. Without

well-founded metrology principles and the associated precision instruments, the United States

would be incapable of manufacturing the precision parts required for contemporary products.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: U.S.

research and innovation in this area has been lagging behind that of Japan, West Germany and

Switzerland. While in the past, Germany was at about the level of the United States, it continued

with its thrust toward better, more complex measuring instruments. Japan has made great strides over the last 10-20 years, and is today neck and neck with West Germany. While the United

States still maintains equality in the theoretical field, regaining superiority in the commercial

metrology industry will take substantial investment in manpower and capital.

21
Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

TECHNOLOGICAL INTERDEPENDENCES -- RELATED TECHNICAL ISSUES: Future

advances in metrology may be fueled by new developments in fiber-optics, optoelectronics

speed microcomputers. There is renewed interest sparked by the drive for product quality

throughout the manufacturing sector, including the machine tool industry.

CRITICAL TECHNOLOGY: Dynamics of Structures

DESCRIPTION: The dynamics of structures is a scientific discipline based on the fundamentals

of the strength and elasticity of materials. This science focuses on the minute elements of a

structure, analyzing its behavior when subjected to a given set of external forces.

WHY IS IT A CRITICAL TECHNOLOGY: Mechanical structures deform when subjected to external forces, such as those incurred by a machine tool. It is advantageous if the resulting

deformation can be calculated and if steps can be taken to either minimize it or to use it as an

advantage. Although the fundamentals of the dynamic behavior of structures have been known

for some time, modern day computers have made possible comparisons between different

structures subjected to a given set of forces. By using a technique known as "finite element

analysis," one can predict the static and dynamic behavior of such structures and undertake

countermeasures by either redesigning the structure or by rearranging the applied forces. This

technology makes it possible to design superior structures, be they machine tools, aircraft,

automobiles, bridges or any other complex product.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: The United

States acquired prominence in this field at the time of the first mass introduction of powerful

commercial computers. Lately, however, several industrialized nations have caught up with the

United States. Japan, West Germany, Great Britain, Italy and even smaller countries like

Belgium and the Netherlands are becoming world players in this discipline.

TECHNOLOGICAL INTERDEPENDENCES -- RELATED TECHNICAL ISSUES:

Computer technology plays a major role in this field. Proficiency in the use of computers and

availability of the related software are of the utmost importance.

CRITICAL TECHNOLOGY: Metallurgy

DESCRIPTION: Metallurgy is the science of production and use of metals. It includes several

disciplines, such as the extraction of metals from the ore, purification of the extracted metals,

and their alloying, heat treatment and testing.

WHY IS IT A CRITICAL TECHNOLOGY: Modem high-technology metals are exposed to a

variety of environments, such as high temperature in aerospace engines. Another key application

for specialty metals is in hostile environments, such as highly corrosive environments,

chemically aggressive environments, mechanically abrasive environments and the like. The rotor blades of the gas turbine portion of a jet engine are heavily stressed by centrifugal force and are subjected to thermal stress as well as to mechanical abrasion from ingested debris. In some

applications, the requirement is based on the light weight of the metallic components and this is where light alloys come into play. In machine tools, the emphasis is on structural integrity,

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Precision Manufacturing Practice and Research: A North American Perspective

William J. Zdeblick, Ph.D.

resistance to wear of moving parts and suppression of vibration induced by the cutting or on

inertia forces due to the cycling of the machine.

THREATS TO U.S. RETAINING/GAINING PROMINENCE IN TECHNOLOGY: This is one

of the areas where the United States once had overwhelming international superiority, some of

which still exists. Much of this technology was first developed by the automotive industry and

later by the aerospace industry, including NASA. Over the last several years, foreign auto

manufacturers have at least caught up with the United States. The European "Airbus" consortium

has made great strides in civilian aircraft technologies, including metallurgy. In addition, Japan

is planning to develop a fighter plane based on the U.S. F-16. It is almost certain that they will

learn some of the existing U.S. technologies. One of the factors working against future U.S.

superiority in metallurgy is the fact that in the United States emphasis has shifted from metals to other man-made materials such as plastics, carbon fiber and different high-tech composites.

TECHNOLOGICAL INTERDEPENDENCES - RELATED TECHNICAL ISSUES: There is a high degree of competition between metallic materials and the newly developed high strength

composites. In the automotive industry, plastics are replacing metal parts. All this directly

affects the amount of funds budgeted for metallurgical research, chipping away at the historic

U.S. preeminence in this field.

23

Precision Fabrication

Research and Development

Workshop October 27 - 29, 1992

Rockville, Md, USA

Western European R & D-Programs

and Sources of Funding

Prof. Dr.-Ing. E. Brinksmeier

University of Bremen, Germany

25
Table of contents

Introduction

2. Necessity for research and development

3. Sources of National Funding in Germany

3.1. Funding of basic research by the German Research

Foundation (Deutsche Forschungsgemeinschaf t DFG)

3.1.1 General information

3.1.2 Tasks and funding

3.1.3 Forms of support

3.2. Funding of fundamental research by the

Volkswagen Foundation ( VW-S t if tung)

3.2.1 History

3.2.2 Concept of support

3.2.3 Procedure of application

3.2.4 Priority programs with relevance to

precision fabrication

3.3. Funding of applied research by the Minister of

Research and Technology (BMFT)

3.4. Funding of applied research by the German Federation

of Industrial Cooperative Research Associations AIF

( Arbeit sgemeinscha ft industrieller

Forschungsvereinigungen

)

3.4.1 History of the AIF

3.4.2 Structure

3.4.3 Funding procedure

3.4.4 Financing and budget

4. Sources of funding in Western Europe

4.1. European Science Foundation ESF

26
4.2 . Funding of research and technical development { RTD

by the European Community (EC)

4.2.1 General information

4.2.2 Technical areas of Brite-EuRam II

4.2.3 Implementation of Brite-EuRam II programs

4.2.4 3udget of Brite-EuRam II

4.3. Funding of R & D within the EUREKA program JESSI

4.3.1 Situation of the European microelectronic

industry

4.3.2 JESSI

4.3.2.1 History

4.3.2.2 Goals

4.3.3 Structure

4.3.3.1 Subprogram technology

4.3.3.2 Subprogram equipment and materials

4.3.3.3 Subprogram Application

4.3.3.4 Subprogram 3asic and Long-term Research

4.3.4 3udget

4.3.5 Conclusions

4.3.6 Aims for the future

5. Examples for the needs in precision

fabrication technology

5.1. Research in the area of machine rools

5.1.1 Data base of the survey

5.1.2 Research activities outside the EC

5.1.3 Research activities indise the EC

5.2. Requirements on machine tools designed

to machine hard materials

5.2.1 Preface

5.2.2 Aim of the study

5.2.3 Course of action

5.2.4 Production methods

5.2.5 Requirements for a lathe designed for

hard turning

5.2.6 Prospects of hard turning in European Industry

6. References

27
1 . Introduction

To give a survey on precision fabrication oriented R & D in

Western Europe is an almost unsolvable task for several reasons.

First, the field of subjects and problems on which the scientific

community and industry are working cannot be overseen from the

knowledge point of view. There is no person who is able to be an expert in all spezialized items of this domain. To speak about

research means to speak about the borderline of knowledge and

shallow knowledge is obviously not enough.

Secondly, the number of researchers in universities and external

research institutions is such that it is impossible to know them

all or only the laboratories in which they are working. It is

also impossible to read all their papers. Even the number of

papers with original character (authors normally do not annouce

the originality of their paper) would be too high.

A further problem is that temporal changes are a feature of any

research activity. A survey has to be limited to a view over a certain time span. Any new R 5 D program or new topic which

becomes interesting for the research on precision fabrication

will change the situation and make the survey lose actuality.

And finally, there is the language barrier - which of course - is

a general problem of Europe. There are valuable R&D activities

published in languages which are not accessible to the person in

charge of the. survey.

That means that this survey will be incomplete. It cannot cover

all items on precision fabrication R&D. Therefore the domain of

this review has to be limited. This limitation will be in a way

that primarily the R&D efforts taking place in Germany will be

described. However, some important resources for funding in

Western Europe will be discussed too. As we almost don't have any

specific funding for precision fabrication, the sources for

funding of production engineering research in general will be

described. Of course, scientists or groups of researchers can

apply for financial support within the more general programs if

they have a good idea and good motivations for precision

fabrication research.

Therefore, the content of this paper will be as follows:

- Necessity for research and development

- Sources of National funding in Germany

28
- Sources of funding in Western Europe

- Examples for the needs in precision fabrication

technology

2 . Necessity for research and development

Research and development are the oasis for technological progress

and industrial competitiveness. Therefore, R & D is a permanent

task for research institutes in universities and industry,

because the life-time jf a product or a certain type of

production is limited (Fig. 1).
The reasons for the substitution of products may be

- a competitor with less costs,

- more and more competitors

- own development of a new product

However, the innovation process has to be enhanced because the

life-time of products is decreasing more and more. This is

underlined by an example for the life-time of machine tools:

The life-time is additionally accelerated by the microelectronic

components. The cycle- time of XC-controls f.i. is only

approximately 3 years. Thus, it can be concluded that standing

still means stepping backwards.

Fig. 2, which results from an analysis in the machine tool

industry, shows the sources for innovation. The machine tool

industry belongs to the small and medium sized companies in

Germany with an average number of 200 employees. ___ V

life-time 1930:

life-time today:

25 years

5 years

sources of technological knowledge

own development

customer's stimulation

research institutes

literature / seminars / consultants

competitors' stimulation

acquisition of licence

Br 0033

Fig. 2: Sources of innovation

30
Such companies are of major importance for the national economy

because they produce 70 % of the national income. Although there

is considerable engagement into research and development within

these companies, three difficulties have to be mentioned which

result from three factors:

The critical time factor

There is always been technological progress, but it was never

combmded with such -teep gradients as in the last years. An

example can be concluded from the laser technology. The first

CO2 -laser was available in 1971 and within only 10 years a new

technology was established. Today, solid state lasers with

glass fibres can be used in the production area.

The actual application of lasers in the production area is,

however, rather small until today. The main reason is that

innovation speed is too high for small and medium sized

companies. This leads to a critical time factor.

The complexity factor

Today, it is necessary to think on systems. The computer is

penetrating into almost all fields of industy and has to be

used as a system's tool. This will lead to the introduction of

CIM-components in many areas which means a critical complexity

factor for small companies

The critical depth factor

A changing is noticeable within the distribution of labour

which results in a decreasing manufacturing depth.

Speciallized suppliers are needed and involved. A change in

the companie's production philosophy may lead to a critical

depth factor.

For these reasons, small and medium sized German companies have

learned to use the R & D-potential of research institutes and

universities

Fig. 3 shows how R & D is financed in Germany. More than 50 % are

covered by industry.

31
Most of the research work is carried out in industry and at

universities (Fig. 4) . In production engineering, approximately

1000 scientific researchers are working at institutes and

univiersities . The cotal number of employees in production

engineering is about 2.500.

32
2000

1805

1 693

Source: BMFT Br 0036

Fig. 5 Funding of R & D at universities

Fig. 5 shows a breakdown of the total funding of all German

universities. It has to be recognized that in the field of production engineering the share of industrial funding is between 20

and 30 % of the total budget. The sources of funding in Fig. 4 will by explained in the following chapter.

3. Sources of National Funding in Germany

To have funds necessarv but bv no means a sufficient

condition for good research. However, especially

euipped fields like precision fabrication research, 1 funding is a pre-requis ite

in highly

he necessarv

Laboratories in German universities receive their basic funding

from the state because the universities are maintained by the 16

states of the Federal Republic. The basic funds for an average

German laboratory of production engineering make between 10 % to

25 % of the whole expenditure including investment, maintenance

of buildings, energy comsumption and administration. In addition,

75 % to 90 % have to be raised by projects.

Fig. 6 shows the sources where

university can apply for support:

german institution of an

33
c

g

f

r

!

scientific community

national industry

industrial branch

specific

cpmpany

\ Ministry \

regional

founding (statej^^nterprize"

basic research applied research product rel. res.

degree of application

Br 0037

Fig Research in science and technlogy (Germany)

The figure shows a wide variety

research, as there are basic and

specific product or production of a At the same time a look on different

jt different ways to support

applied research and on a company focussed development,

sources for funds gives an idea how projects are defined and how priorities are

benefits form the output cf R & D.

ad who

3.1 Funding of basic research the German sear;

Foundation (Deutsche Forscnunqsqemeir.schaft DrG'

3.1.1. General information

For basic research the German Research Foundation DFG is

competent. This institution is comparable to the National Science

Foundation XSF in USA . Basic research in this sense does not only

mean e. g. physics, mathematics or chemistry. It also stands for an applied discipline, like mechanical engineering and precision

fabrication in this case. The DFG performs the task of funding basic research as an autonomous body within the German scientific community, electing

the academic members to its own organs /I/.

The scientists and scholars choose their own subjects for

research, and through electing their own peer reviewers

contribute their influence to decisions on resource allocation in

universities and research institutes. The DFG's major sponsors,

the Federal Government and the Federal States, grant those

engaged in research the liberty of action they require.

34
State and industry ^re currently investing some DM 57 billion in

research and development. The share allocated to the Deutsche

Forschungsgemeinschaf t , just over DM 1 billion (Fig. 7), is

relatively modest in comparison. Nevertheless, as the largest

external sponsor of university research, the DFG plays a major

role in basic research.

The Deutsche Formungsgemeinschaf t was founded in 1920 as the

"Notgemeinschaf t der Deutschen Wissenschaf t

" . In 1949 is was

re-established under the same title, but after merging with the

"Forschungsrat " , it was called the Deutsche Forschungsgemeinschaf t . In legal terms, the DFG is a registered society

with its seat in Bonn.

35
3.1.2. Tasks and funding

The tasks of the Deutsche Forschungsgemeinschaf t are:

- To promote research by furnishing financial support for

research projects in all fields of science and the arts. The

DFG places special emphasis on fostering the acitivites of

young scientists.

- To counsel parliaments and public authorities on scientific

matters

.

- To harmonize basic research effort in co-ordination with the

direkt support given by the State.

- To foster academic relations with countries abroad.

For the accomplishment of these tasks, the Deutsche Forschungsgemeinschaf t is funded on a 50:50 basis by the Federal Government

and the Federal States. For the Collaborative Research Centers,

the ratio of funding is 75:25 by the Federal Government ?.nd the

Federal States respectively. The ZFG niso receives an annual

grant from the Donors' Association for the Promotion of Sciences

and Humanities in Germany ( Stif terverband fur die Deutsche

Wissenschaf t ) , and the Federal Government and the governments of

the Federal States may in mutual agreement place additional funds

at the DFG's disposal for special purposes and projects.

In 1991 71,4 % of the funds within the Individual Grants and

Priority Programs was approved for personnel, and 28,6 % to

expenditure on equipment, material, printing costs and travel.

Changes in percentage distribution have been negligible in recent

years 72/

.

36
3.1.2. rorms of support

The 2FG offers various forms of funding. They are outlined in

Fig. 3.

Individual Granta Program (Normaiverfahren)

Th» pmruiai of ronarui projects requested on the HUativ* ot the Individual researchers. These pn^ectt are tranced tor a perod ot one to two years.

Priority Programs fSchwerpunktverfahren)

The •nanrang and ooordhattan ot the work ot several researchers at different places on a

certain tee- as a rule- tor a period of up to live years. Research Units (Forschergruppen)

Smal groups ot sdsrtMs who are worktop; on one subtoot (new research protects) at the am* place. As a ruts promoted tor period ot stx yean. Central Research Facilities (Zentrala Elnrlchtungen)

Car** tostttattona of raaaa»ai open to al scientists. Sponearshlp by third parties • , fei prtoctpto , desired. Collaborative Research Centers (Sonderforschungsbereiche)

These, are brp-term , but not ktieftote . research hsttuttons ot untverstoes where scientists of various

dactpinee cooperate In the frarnework of a research program affecting inter-retating Metis. Graduate Collages (Gradulertenkollegs)

ratkjbora at \KtmnUm tor the punman of young suenUsts working tor their Pti D wihto the frame

of an tterdtoctoti-Bry ortormetl study program Promotion of Young Scientists In Special Programs (Nachwuchsforderung)

MMonaJ posataHea tor ouaffied young acienasts have been created w*h the Hebenberg Program . the RWMbdDWl Program. the Gerhard Hess Program, and toe newty estabisned Professorial Qualflcatton

Fatoawhtofc The Gowned Wtoetoi Letraz Program a meant tor further promotion ot excellent sderttsts.

Fig. 8: Forms of DFG support

The major programs will be explained in the following:

Individual grants program

The individual grants program, which accounts for approximat ley

45 % of all funds disbursed, forms the core of the DFG's research

promotion. Under this program any fully qualified research

scientist may apply for financial assistance for his proposed

project. He or she need not belong to a member instituion of the

DFG. The initiative rests with the individual and, as a matter of

principle, the DFG exerts no influence on the content of the

project. However, applicants must be prepared to publish their

results, to make them available for public consumption and to

subject their project to the critical scrutiny of their peers in

their capacity as elected reviewers.

37
The report which must !:e submitted after one or two years serves

as v he oasis for deciding whether the project is to be extended

or not. It also offers the elected reviewers a means of monitoring progress and 'hecking whether "he funds are being used

economically and efficiently.

Fig. 9 summarizes the application and funding procedure of the

German Research Foundation.

imormction

personnel

f> money

publications, seminars

research reports

researcher

group 1 researcher

group 2

application

1991

I

4

funds

review

external reviewers

c

3

E

E

oU

c

CDu

Br 0040

Fig. Application and funding procedure by DFG

Within the individual grants program various modes of support are

available, e. g. research grants, travel printing grants.

Young scientists and scholars are given special support in the

form of training fellowships, research fellowships or fellowships

to obtain a professorial qualification. The DFG regards the

individual grants program as the cornerstone for ill research

promotion, nnd the indispensable pre-requis it e for developing

priorities.

38
Priority programs

Under the priority program, researchers working in different

institutes and laboratories co-operate within the framework of a given subject for a limited period of time. Approval for the

initiation of a priority program is given by the Senate on the

basis of proposals submitted by scientists. Priority programs may

be instituted if the co-ordinated assistance for the area in

question promises to produce results of interest to science. Each

participant in a priority program must contribute to the given

framework, within which he _s then free to choose his own project, research plan and methods. Assessment is performed viva

voce by a group of -iected reviewers and special reviewers,

usually headed by the chairman of a reviewers' committee.

In 1992 a total of 113 priority programs with 1.510 projects and

a total budget of 136,1 Mill. DM were granted. Within the

engineering sciences 19 priority programs were existing in 1991

with a total budget of 34 Mill. DM.

For the subject of precision fabrication the programs listed in

Fig. 10 are of major significance.

Knowledge-based diagnostic systems for flexible assembly (2.9 Mio. DM)

Crystal growth and nucleation-mechanisms and kinetics (0.5 Mio. DM)

Ceramics of high performance (3.4 Mio. DM)

Ion and plasma assisted surface technology (4.6 Mio. DM)

Sensor systems (1.2 Mio. DM)

Flexible metal forming (2.5 Mio. DM)

Residual stresses and deformation caused by the effect of heat (2.5 Mio. DM)

Working-surface friction in the inelastic deformation of metals (0.6 Mio. DM)

Beam-material interaction when working with laser beams (2.9 Mio. DM)

Microstructure and mechanical properties of metallic high-temperature materials

(new program)

Innovative quality assurance in production (new program)

Source: DFQ Br 0041

V )

Fig. 10: Priority programs of DFG with relevance to

precision fabrication

39
It should be mentioned that a big priority program on fine-machining started in 1985 and was disclosed 2 years ago.

Grinding and metal cutting processes as well as the subject of

ultraprecision machining were investigated within this program.

Research units

A research unit is formed by a number of scientists collaborating

over an extended period of time, and usually in one location.

These engage in joint research into some special subject whose

thematic, temporal and financial scope demands more assistance

than is possible from the individual support provided .aider the

individual grants program. The assistance afforded to research

units is designed to promote close, medium -term cooperation

normally for a period of six years - by ensuring the availability

of the necessary staff and facilities. Research units often help

to introduce new fields of activity which are still inadequately

represented in Germany.

An example for a research unit on precision fabrication is the

collaboration of four leading scientists at the university of

Aachen. The aim of the group is to effectively apply diamond

turning techniques for the fabrication of non-symmetric laser

optics. Fig. II shows the individual project parts.

•> Profrcxnn 3:

Source: IPT. Aachen

(PTM». Wtck) IPT

13 U

Tnt at nan nwmwe wttat

uotq iwmnnvf and syrwwac hotoonvn

(Prat Pllti IPT

> PrejaapjrM:

Br 0042 J

Fig. 11: Targets of the research unit

"Non-Symmetric Laser Optics"

40
The requirements on the new resonator and focussing optics come

from the institute of laser technology. The fabrication of the

optics is done by the scientists from the process technology and

the machine tool department. Finally the optics are quality

controlled by the department of metrology.

An example of a diamond turned laser optic is shown in Fig. 12.

Source: IPT, Aachen Br 0043

Fig. 12: Diamond turned integrating laser optic

The special surface pattern was generated in the turning process

by using a fast tool servo system, which was developed in one

project part.

Central research facilities

Scientific and technical "service facilities" for research are

eligible for support by the DFG in the form of "Central research

facilities". Centralization of valuable personnel and hardware

resources in one place ensures optimum exploitation of scientific

and technical experience and rational operation of equipments or technical devices, which tend to be both large and expensive.

41
Collaborative research centers

Collaborative research centers are research units in universities

in which groups of scientists join together, usually for periods

of twelve to fifteen years, to co-operate within an interdisciplinary research program. In the question of assistance from the

DFG, universities are both applicants and recipients (Fig. 13)

.

4

university

application

' "V

-1

comment

by the competent

state ministry

review through

th DFG

DFG Senate Committee

V

decision by the DFG

Grants Committee C

recommendatiom

through the Science Council

Source: DFG Br 0044

Fig. 13: Procedure for the application of a collaborative research center

The universities, which both submit the proposals and administrate the DFG-funds in this program, supply the staff and basic

equipment required. Collaborative research centers enable

demanding, expensive and long-term research projects to be

accomplished through concentration and co-ordination of resources

available to a . univers ity

.

75 % of the funds employed for collaborative research centers are

supplied to the Deutsche Forschungsgemeinschaf t by the Federal

Government (Federal Ministry of Education and Science) , and 25 %

by the Federal States.

42
Decisions relating to assistance for individual collaborative

research centers are taken by a special grants committee. This

committee consists of 22 academic members as well as representatives from the Federal Government and each of the states. The

science council comments on initial applications for support

prior to final approval.

Fig. 14 shows a list of collaborative research centers in

engineering sciences with relevance to precision fabrication

Properties of plastic materials (Aachen, 2.0 Mill DM)

Very large scale integration, VLSI (Kaiserslautern/Saarbrucken, 3.8 Mill DM)

Methods for saving energy and material (Aachen, 2.7 Mill DM)

Rexible handling devices in mechanical engineering (Aachen, 2.7 Mill DM)

Integrated mechanoelectrical systems (Darmstadt, 2.2 Mill DM)

Tools and tool systems (Hannover, 3.0 Mill DM)

Metal- and ceramic matrix composites (Dortmund, 3.6 Mill DM)

Process integrated quality control (Hannover/Braunschweig, 2.1 Mill DM)

Workpieces made of fibre-reinforced plastics (Aachen, 2.7 Mill DM)

^source: DFG BrOQ45y

Fig. 14: Collaborative Research Centers with

relevance to precision fabrication

Graduate colleges

Graduate colleges, since 1990 eligible for support by the DFG, are provided by the universities to assist graduates studying for

doctor's degrees by enabling them to participate in research.

They supplement the traditional system of individual tutoring by

university teaching staff, providing the opportunity to conduct

research in groups dedicated to specific terms of reference. A

long-term aim is also to reduce the time spent at university. The

Federal Government and the Federal States have decided to promote

the graduate colleges for five vears in the first instance. This

43
period will be necessary to check the effectiveness of the

program

.

Special programs

Since 1977, a series of special programs has created additional

possibilities, especially for supporting qualified young

scientists. These programs will be supplemented in the next ten

years by additional funds. Special emphasis will be laid on the

promotion of young female scientists in all programs to increase

the number of women professors in science.

3.2. Funding of fundamental research bv the

Volkswagen Foundation (VV-Stif tunq)

The purpose of the Volkswagen Foundation is to support science

and technology in research and teaching. The founders are the

Federal Republic of Germany and the state of Xiedersachsen. The

capital of the foundation is approximately 3 Billion DM /3/.

3.2.1. Historv

After world war II the eights of possession on the Volkswagen

GmbH (Limited) were uncertain. Therefore in 1961 the Volkswagen

GmbH was changed into a joint-stock-company (Volkswagen AG)

.

The breakdown of stock shares was:

- 60 % "Volksaktien" (private stock)

- 20 % Federal Republic of Germany

- 20 % State of Xiedersachsen

The capital of the foundation results from dividends and

realizations of the latter 40 %.

In 1988 the 20 °d of the Federal Republic of Germany were

denationalized and the proceeds were added to the funds of the

foundation

.

Funds from 1962 to 1991: 960.5 million DM

Fund in 1991: 66.2 million DM

from this: 6.6 million DM for natural science

30.2 million DM for engineering science

44
3.2.2 Concept of support

The Volkswagen Foundation supports thematic and problem-oriented

basic research. For this task priority programs are defined. The

proposal comes from and is evaluated by the scientific community

and the general board of the foundation. Hence this procedure is

very similar to the establishing of priority programs of the DFG.

Presently two of such programs are of interest for the engineering sciences and also for precision fabrication:

- Overlapping projects from differant fields of natural science

and engineering science and

- Microcharacterizat ion of materials and structural elements

A different type of granting is the support of infrastructure in

research and teaching and also in scientific communication by

- symposia und summer schools

- research in foreign countries

- new professorships

3.2.3. Procedure of application

Proposals for projects within the present priority programs can

be sent to the secretary at any time, external consultants which

are members of the scientific community are named by the

secretary individually corresponding to the needs of the project.

The experts' opinions are confidential. The final decision on the

project is made by the truestees who meet several times a year

for this purpose. For big projects a decision can take up to

6 month.

In 1991 54 % of all the proposals were accepted.

3.2.4. Priority programs with relevance to

precision fabrication

Microcharacterizat ion of materials and structural elements

The scope of this program are the development of methods of

microcharacterization and its use in materials research (material

science, physics, mineralogy) and to establish cooperation with

the purpose of using different kinds of instrumentation (trans45
mission electron microscope, scanning electron microscope,

tunneling microscope, ...)

Subjects of the program are

- Evaluation of faults in crystalline material and multiphase

material

- Evaluation of early states of segregation

- Evaluation of dynamic processes in atomic scale (reaction

kinetecs in mixtures)

- Further development of imaging methods with high lateral

resolution

- Computer simulation and image processing

- Development of preparation techniques

Titles of individual projects with relevance to precision

fabrication are

- Real-t ime-scanning- tunneling-microscope and temperature

dependence of clean and adsorbated surfaces

- Fluctuations in the near-order ?.nd localization of slipping in

concentrated copper alloys

- Analysis of adhesive substrate-polymer-connection in

microscopic dimensions

- Real imaging microscopy and spectroscopy of surfaces with

slow electrons

Overlapping projects from differant fields of natural science and

engineering science

The purpose of this program is to tackle new kinds of problems

and to find creative solutions by an interdisciplinary

collaboration in the engineering and natural sciences.

Examples for projects (1991) are:

- Development of an application-orientated measuring system for

three-dimensional analysis of complex mechanical structures

- The dispersion of the velocity of crystallization caused by

differant crystal perfections

46
3.3. Funding of applied research bv the Minister of Research

and Technology (5MFT)

The German Minister of Research and Technology supports applied

research. He defines program corridors in which industrial

companies together with a research group from an university may

apply for funding of a collaborative project. Normally the output

has to be published in general lines. The specific findings which

are interesting for the industrial companies more than for the

scientific community need not to be published.

Generally, a 50 % funding of the total expenditures of a project

is usual.

As universities normally need a 100 °o funding of their

expenditures in project part, the funding of the collaborating

companies will be lower than 50 %. In addition, there is also a funding procedure where individual companies or research

laboratories can get support.

Fig. 15 shows the system and the procedure to apply for BMFT

funding.

cooperative project

0=

company

A company

B company

C

researcn

group A /\ ft ft TM<>_.

75%-IOOV. fund ing

&

BHf]

ref 1

'advisory group i

promotion program x =E> information

money

Br 0046

Fig. 15: Collaborative research projects of BMFT

47
The reviewing procedure for projects is similar to the procedure

of other R&D supporting institutions. Usually a funding of a project is only possible within a defined promotion program.

Currently there are more than 30 of such programs /4/. The most

important of them with relevance to precision fabrication and the

funding within the programs are listed up in Fig. 16.

1990

Microsystems Technology inc. Microelectronics and Mikropenpheric

number of projects

59

funding I industrial volume

(Mk) DM)

64.7

companies

(Mio DM)

28.1

universities

(Mio DM)

18.6

other R&D

laborator. (Mio. DM)

18.0

Production Engineering 60 107.0 77.1 14.5 15.4

Advanced Materials 262 125.7 74.4 24.8 26.5

Physical and Chemical Technologies 244 153.3 62.4 50.9 40.0

Quality Assurance (New Program in 1992)

Source: BMFT Br 0047

V >

Fig. 16: BMFT promotion programs with relevance

to precision fabrication

The largest programs in Fig. 16 are ready to support the

development of advanced materials and R&D work on physical and

chemical technologies.

48
A large new program which has just been established is the

Quality Assurance program. It has started in 1992. The financial

support of the BMFT for this program is given in three different

ways :

1. Funding of collaborative research projects (applied research)

2. Funding of co-operating research groups from several

universities (basic research)

3. Funding of a priority program of the German Research

Foundation DFG (basic research)

The Quality Assurance program is not supposed to support

technical measures on the manufacturing process level. Much more

has it been established to promote the introduction of quality

assurance systems in more general lines with the development of

advanced strategies.

In order to give an idea on the type of projects and their

budgets within the promotion programs listed in Fig. 16, examples

of such projects with relevance Zo precision fabrication are listed up below in the following /4/.

49
Examples for collaborati-Q projects within the 3MFT promotion

program Microsystems Technology incl. Microelectronics and

Microper lpher ic are:

- Integrated optics on glass basis for sensors, sensor systems

and signal processing

(5 partners, 19.4 Mio. DM total funding)

- Chemical sensor systems

(4 partners. 15 Mio DM total funding)

- Micromechanical sensors

(5 partners, 3 Mio DM total funding)

- Micromechanical actuators

(4 partners, 6.8 Mio DM total funding)

- Thin film-gas sensors

(2 partners, 2 Mio DM total funding)

- Integrated optics on silicon

(4 partners, 3.5 Mio DM total funding)

- Application of micro sensors

(6 partners, 10.6 Mio DM total funding)

- New sensors and actuators for laser beam machining

(6 individual industrial projects, 3 Mio DM total funding)

50
Examples for vollaborat ive projects within the BMFT promotion

program Production Engineering

- Quality assurance in flexible manufacturing systems with CMMs

(12 partners, 10.5 Mio DM total funding)

- High precision metal cutting

(28 partners, 10 Mio DM total funding)

Precision metal forming

(20 partners, 13.5 Mio DM total funding)

Sheet metal forming

(22 partners, 11 Mio DM total funding)

Grinding of advanced ceramics

(13 partners, 7.2 Mio DM total funding)

51
Examples for collaborative projects within the 3MFT promotion

program Advanced Materials

- Wear and material removal mechanisms when cutting with

superhard non-metallic tool materials

(3 partners, 2.6 Mio DM total funding)

- Development of fibre- and part ic le-re- inf orced light metal

composites

(4 partners, 3.7 Mio DM total funding)

- Development of f ibre-re- inf orced composites of high strength

(4 partners, 10.2 Mio DM total funding)

- Joining Technologies for high strength Al-Li-alloys

(5 partners, 1.4 Mio DM total funding)

- Development of short fibre and whisker re-inforced ceramic

compos it es

(7 partners, 13.6 Mio DM total funding)

- Joining at high workpiece temperatures

(4 partners, 2.9 Mio DM total funding)

- Molecular re-inforcing of polymers

(1 company, 2.3 Mio DM total funding)

- Ceramic fibres

(1 company, 2.6 Mio DM of total funding)

High temperature resistant materials

(44 partners, 12.8 Mio DM total funding)

Ion implantation for tribological applications

(5 partners, 2 Mio DM total funding)

52
Optimized manufacturing for coating processes

(6 partners, 2.2 Mio DM total funding)

Fibre re-inforced glass

(3 partners, 2.8 Mio DM total funding)

Physical vapour deposition at low temperatures

(6 partners, 3 Mio DM total funding)

Development of advanced cermet alloys

(3 partners, 1.5 Mio DM total funding)

Coating of fibres with ceramic material

(2 partners, 1.5 Mio DM total funding)

Advanced ceramics (individual projects)

(15 companies and universities, priority program of DFG

(15 Mio DM) , 40 Mio DM total funding)

Advanced polymers (individual projects)

(18 companies and universities, 13 Mio DM total funding)

53
Examples for collaborative projects within the BMFT promotion

program Physical and Chemical Technologies

- PVD technologies at low temperature and new layer systems

(incl. diamond films) / (12 partners, 13.3 Mio DM)

- Implentation technologies for tribological applications

(6 partners, 4.2 Mio DM)

- Diamond coating of components with complex shape

(4 partners, 4.8 Mio DM)

- X-ray microscope (2 partners, 1.8 Mio DM)

- New thin film technologies by molecular engineering

(6 partners, 11.8 Mio DM)

- Surface modification of plastics by ion implantation

(2 partners, 1.8 Mio DM)

- Structuring of surfaces by Laser CVD

(3 partners, 3.7 Mio DM)

- Cutting with high performance lasers

(10 partners, 8.3 Mio DM)

- 3D-machining with high performance lasers

(9 partners, 10.9 Mio DM)

- Surface treatment with CO2 lasers

(19 partners, 10.6 Mio DM)

- Welding with solid state lasers (5 partners, 2.1 Mio DM)

- High power excimer lasers (phase I and II)

(11 partners, 27.0 Mio DM)

- Laser workstation for surface treatment

(3 partners, 5.5 Mio DM)

- Joining with CO2 lasers (17 partners, 7.1 Mio DM)

- Micro machining with excimer lasers

(11 partners, 9.1 Mio DM)

- Material removal with solid state lasers

(7 partners, 4.4 Mio DM)

- Superconducting materials (individual projects)

(56 companies and universities, 80 Mio DM)

54
It may be also of interest how the mentioned programs compare to

other programs being funded by the 3MFT. A breakdown of

expenditures for the sectors with the highest amounts of funding

is shown in Fig. 17.

1500

MB DM

o2 1000

oc

o

CL

2

CO 500 -

1388

Source: BMFT

space research and space

technology

energy R&0

expenditure includes funding of projects

and governmental research centers

incl. production engrneehng and micro- systems technology

incL physical and chemical technologies

457

central research

facilities

information technology * advanced

materials ** environmental research

Br 0048J

Fig. 17: BMFT expenditures on sectors of funding

It has to be considered that the given numbers do not only stand

for the funding of individual projects but do also include the

granting of governmental research centers within the listed

sectors. Nevertheless it can be seen that the mentioned promotion

programs have a relatively high priority within the frame of BMFT

funding. Further sectors of support like the funding of R & D in sea technologies, bio-technologies, human health, social scienes,

civil construction and aerospace technologies and others have

lower budgets and are not mentioned in the figure.

55
3.4. Funding of applied research bv the German Federation

of Industrial Cooperative Research Associations AIF

( Arbeit sqememscha ft indus trie lie r Forschunqsvereiniqunqen

)

3.4.1. History of the AIF /5/

At the beginning of the 1950' ies German jovernment and industry

recognized the neccessitv of an effective structural improvement

for small and medium sized enterprises !SMEs) in the field of

Research and Development (R&D) . Due to the well known problems of

SMEs to carry out or to finanze R&D on their own, a special

instrument was needed to improve the technological standard of

SMEs in an efficient way. Taking up the idea of precompetitive

"Industrial Cooperative Research" in the year 1954 the so called

"Industrielle Gemeinschaf tsf orschung" was created.

"Industrial Cooperative Research" is not dedicated to a few or single enterprises but to all enterprises related to one or more

branches or technical fields. The aim is to improve the technological standard and competitiveness of whole branches with

projects being of common interest for all enterprises. Due to the

big number of SMEs (nearly 95 % of all European companies are

SMEs) the promotion of "Industrial Cooperative Research" is an important element of the governmental R&D policy in Germany and

it should play a substantial role in the R&D policy of the

European Communities, too.

Nevertheless, "Industrial Cooperative Research" is only one kind

of R & D in Germany. Since its creation in 1954 the AIF, the

"German Federation of Industrial Cooperative Research Associations" is acting as an agency between the partners in this

special field of R&D. Figure 18 shows the AIF between other parts

of the R&D organization in Germany.

56
rof* Budget R&D:

66 SIBIon DM

43 SOL DM

Source: AIF

C ompmci

German

Research Sodetv (DFQ

Protect Rented

Pubic Sectors i

i

j 23 MB. DM

j

Ftnondno

Federation of

Industrial G>-openttve desejrcn Aswoaoora (AIF)

Foundations

Sdanrjfle Associations

National Research

!

! Centos

Max-flandv

Institutes

FraunholerInstitutes and Private | Institutes

i

Branch

Specific

Institutes

Unfa Bstlcs

Pertaining Bf 0059

Fig. 13: The AIF in the field of R & D organizations

in Germany

3.4.2. Structure

In a lot of branches and technological fields, German SMEs have

linked together in industrial research associations. They are

working as a frame for their companies, allowing them to act

together in the field of industrial cooperative research.

Starting with 17 industrial research associations in 1954, today

102 research associations are united under the umbrella of the

AIF - the independent German Federation of Industrial Cooperative

Research Associations. These research associations have more than

50.000 companies as their members and more than 90 % of these

members are SMEs. All these companies are members on a voluntary

basis

.

Some of the 102 research associations are supporting R&D work

also in the area of precision fabrication. Examples are:

- Association of motive power technique ( Antr iebstechnik)

- Mechanical engineering association (Maschinenbau

)

- Machine tool builders' association ( Werkzeugmaschinenf abriken)

- Heat treatment and materials' technology

(Warmebehandlung und Werkstof f -Technik)

- Tool- and workpiece materials (Werkzeuge und Werkstoffe)

- Ultraprecision technology (Ultraprazisionstechnik)

57
Task of the Research Associations is to find out the research

needs of their industry and to create cooperative research

projects in order to improve the competitiveness of all their

members. This process is industry driven, that means the ideas

and proposals for research projects are coming "Bottom up" from

the industry. Some research associations have own institutes,

others are working together with external establishments like

universities or contract research organizations. Cooperative

research in Germany is based on the industrial research

associations and not on the institutes, anyhow the institutes are

acting as performers, dnd relations between research associations

and institutes might be very strong in some cases. Fig. 19 shows

levels of "Industrial Cooperative Research" in Germany. It is

the process of generating and conducting cooperative

projects which makes

organizat ions

.

the difference to the pure contract

research

research

Source: AIF

-102 Industrial Research Associations

< (Members of the A IF)

/

1

V ! I ! V i i tmaifand Medium-sized Enterprises

[(M'Smbefsof the Research Associations)

Br 0060

Fig. 19 Levels of industrial cooperative research

It is also essential to this system of R & D that SMEs which are

usually competitors are working together in research projects

before they enter into competition. Due to this, cooperative

research projects must have a precompet it ive character. That

means it least, not every technical problem can be solved by this

58
kind of R i D . But "here are a lot of technological and

scientific problems which can :nly be solved by cooperative

research because it is too expensive for individual companies to

work on them alone.

3.4.3. Funding procedure

Fig. 20 shows the funding procedure of the AIF.

research

group

review

group I

review,

group II review,

group III

working

group 1

I 1 (jTM^ comp. A|

working

group 2

I comp. B

I I

ind. research association

of an ind. branch

4h information

<KTM personnel

Source: IFW m0ne

y Br0061

Fig. 20 R&D support by AIF

Different tasks of the Research Associations are:

- discussing ideas, problems and needs coming "Bottom up"

from the industry

- evaluating proposals for research projects

- selection of qualified research facilities

- planning and formulation of research projects

- deciding about the financing of the projects

59
- providing financing mechanisms

- monitoring and controlling of the research work

- evaluating the research results

- transfering and disseminating the research results

- training and advicing for the utilization of the research

results

For all these tasks expert groups and committees are acting in

each research association constituted by experts from industry,

science, authorities and other involved organizations.

If the research associations want to receive public money for

cooperative research projects they have to apply for it at the

AIF. Eight expert groups of the AIF, constituted by nearly 140

independent experts from industry and science will evaluate the

applications of the associations. If these expert groups decide

to support an application at least an authorizing committee has

to evaluate it again and to recommend it for public funding.

3.4.4. Financing and budget

The possibility to participate in the public support depends on a fundamental precondition which is one of the basic principles of

the "Industrial Cooperative Research" system. Those associations

which want to receive public support for their research projects

have to prove that they nave invested at least the same amount

out of own funds for cooperative research. In general the AIF

evaluates this industrial contributions annually. The

availability of public funding for single research association

will be fixed every year depending on the governmental budget for

cooperative research dnd on the own contributions of industry

spent for this purpose. In general it should be stated that the

amount of industrial contributions to cooperative research gives

the maximum amount of public fundings for the same purpose.

It is important to this system that the distinction between

public funds on one side and funds from industry on the other

side is not related to the single research project. That means

that cooperative research projects are totally financed either by

money from industry or by public money. The research association

must decide whether a project is suitable for the more time

consuming procedure of public support or whether it should be

implemented directly by industries own funds and forces. Fig. 21

shows the relation between public fundings and industrial means

for specific branches.

60
NimMror UaammJ Un. ou

7

3 0

Mining. 5 OSu

Mjnruotor •6 70

Cqi BO UCPOfl j 1 i J Chemany /Oil— 0 11.2

Potyntcrcs 3 6.7

Irwv Norwron 14 171

Consffucoon

3 0.4u

StettMccnifiiat

11 22.0 £j*OWt (nno. . „

woodwPiDCf.

5

7.6

'3.0

BtCODCBQVnpUt 10

7_2

7 6.7

Tore*. Octrano

I 26-7

Otncn 3

3.5 5.7

Toul Nimor or Rtsurai Auoaauora

«9 °-Wie Funainoj (19901

inaustrui Meini 1 1 9881

Fig. 21: Public funding for industrial branches

Industries main contributions for cooperative research are the

following:

- cash contributions to the work of research associations

mainly used for research projects

- specific contributions directly to research institutes on an individual cooperative research project basis

- "in kind" contributions on an individual project basis

- administrative costs covered by industries

More than two third of industries contributions for cooperative

research is cash contribution and nearly 20 °o is "in kind"

contribution for specific research projects.

The average costs for a cooperative research project funded by

the AIF is around 400.000,-- DM. Having in mind the public budget

of 200 million marks for cooperative research and the number of

50.000 companies which are members of the research associations

and which have direct benefit from this budget, at least the

funding for each company is around 4.000,-- DM. \

T o other

procedure gives the opportunity to contribute more successfully

and efficient to the technological progress of small and medium

sized enterprises by using so less money.

Due to the precompetit ive character of cooperative research it is

not easy to demonstrate the benefit of this kind of R & D. It is

the task of the single companies to transfer the research results

into a success on the market. But the willingness of industry to

increase the industrial budget for "Industrial Cooperative

Research" is the best evidence for the efficiency of this kind of
4 . Sources of funding in Western Europe

4.1. European Science Foundation ESF

For basic research, scientists can aplly fcr funding from the

European Science Foundation ESF. The E3F is an association of its

56 member research :ounciis and academies in 20 countries. The

ESF brings European scientists together to work on Topics of

common concern, to co-ordinate the :se cf expensive facilities,

and to discover and define new endeavours that will benefit from

a cooperative approach /?/.

The scientific work sponsored by ESF includes basic research in

the natural sciences, the Medical and biosciences, the humanities

and the social sciences.

The ESF links scholarship and research supported by its members

and adds value by cooperation across national frontiers. Through

its function as a co-ordir.ator , and also by holding workshops and

conferences and by enabling researchers to visit and study in

laboratories throughout Europe, the ESF works for the advancement

of European science.

However until now, ESF has no programs for funding projects in

engineering research.

4.2. Fundin:: of research and t-'-nnic?.! .". :-vp mpmen t '"TPbv "he European Community 'EC;

4.2.1 '"iener.il information

In EC research programs the results are explicitly requested to

be precompet it ive . The results are desired to lead directly to

products which help the European industry to improve their

compet itiveness

.

Since 1983, the European Community (EC) has coordinated its

research and technical development ! RTD ) activities through

multiannual framework programs. These framework programs .-.re implemented through specific RTD programs dealing with selected

areas of research - such as the environment or health. So far

there have been two framework programs.

On 23 April 1990, the Council adopted the third framework program.

This has a duration of 5 years, a budget of 5.7 billion ECU and

contains 15 specific RTD programs in the following areas /3/:

62
- information technologies

- communications technologies

- development of telematics systems in areas of general interest

- industrial and materials technologies { Brite-EuRam II)

- measurement and testing

- environment

- marine science and technology

- biotechnology

- agricultural and agro- industrial research

- biomedical and health research

- life sciences and technologies for developing countries

- non-nuclear energies

- nuclear fission safety

- controlled thermonuclear fusion

- human capital and mobility

For engineering sciences the RTD program Industrial and Materials

Technologies Brite-EuRarn II is of prior relevance. This program

will be carried out through shared-cost research projects. This

means that the EC participation in the cost of the research is in

principle 50 % of the total project costs. Funding can only be

applied for collaborative projects with co-operating companies

and universities from differant member states.

The program's main objectives are:

- to increase the competitiveness of European producer and

user industries

- to strengthen European economic and social cohesion

- to promote the scientific, technologcial , and economic

integrations of European industry

A number of strategic aims complement the general objectives of

the program:

- to increase the application of advanced technologies by

small and medium sized enterprises (SMEs)

(An SME is a company which has less than 500 employees, has a net annual turnover of less than 38 million ECU and is not more

than one third owned by a parent company or any other organization larger than a SME, although larger shareholdings held by

investors such as banks or venture capital firms are permitted)

63
- to increase the involvement of manufacturing SMEs in European

RTD through developing links with other enterprises and promote

a better management of their resources

to reinforce and diversify the training of research workers and

engineers for modern Europan industry

to give full consideration zc the social, human and

environmental impact 'of advanced technologies

- to ensure an appropriate dissemination and exploitation of

results, especially for development of standards and user

specif icat ions

.

The EC has defined some general criteria which a research project

must fulfill. These criteria are listed in Eig. 22.

Conformity with the scope and objectives of the program

Scientific and technical excellence and novelty

Precompetitive character

Scientific, technical and economic benefits

European dimension

Transnational collaboration

Ability to provide for a high quality project management

Technical competence of the partnership

Environmental aspects

Source: EC Br 0050

_y

Fig. 22: General criteria for EC projects

64
Fig. 23 shows the decision procedure ror EC projects.

Submitted

proposals

Assesment by

invited reviewers

Assesment of

recommended

projects by a

steering committee

Final decision by

the EC commision

Br0051

Fig. 23: Decision procedure

4.2.2. Technical areas of Brite-EuRam II

The scope of the technical areas reflects the mult isector ial

approach of the program and emphasizes the need to bring

together, in RTD, partners drawn from suppliers, producers and

end-users as well as from basic research intitutes and industrial

enterprises (including SMEs) /8/.

For engineering sciences and precision fabrication R&D two

areas are of major interest:

Area 1: Materials/Raw Materials

Area 2: Design and Manufacturing

65
The objectives of the area Materials/Raw Materials are to improve

the performance of both advanced and traditional materials at a cost which permits competitive industrial exploitation over a broad range of applications. This extends to improving the

technologies to ensure the supply of raw material resources and

for recycling, so promoting an integrated approach to the whole

life-cycle of materials. It also includes the cost-effective use

of new materials in a broad range of products and applications

and their diffusion to new application fields. Sub-areas are shown in Fig. 2i.

Raw Materials: covering existing processes and new techniques relating to exploration

technology, mining technology and mineral processing;

Recycling: covering technologies involved in the recycling and recovery of industrial waste including non ferrous metals and reuse of advanced materials;

Structural Materials: including metals, ceramics, polymers, their corresponding alloys,

composites and hybrid combinations, and advanced glasses;

Functional Materials for Magnetic, Superconducting, Optical, Electrical and Blomaterial Application: focusing on synthesis, processing, design and manufacturing within the

constraints of optimized performance;

Mass Commodity Materials: covering in particular packaging materials and new construction industry materials.

Source: EC Br 0052

V '

Fig. 24: Brite-EuRam II

Sub-areas within Materials/Raw Materials

The objectives of the area Design and Manufacturing are to

improve the capability of industry to design and manufacture

products which take account of functionality, cost-effectiveness,

quality, reliability and maintainability, and environmental and

social acceptability.

Sub-areas are shown in Fig. 25.

66
Design of Products and Processes: tools and techniques for innovative design, design

methodologies for complex high-technology components, maintainability and reliability;

Manufacturing: tools, techniques and systems for high quality manufacturing,

manufacturing techniques for industrial use of advanced materials and integrated

approaches to chemical and process engineering;

Engineering and Management Strategies for the whole product life cycle: design

integrating strategies, engineering, human factors in engineering, quality and

manufacturing management.

Source: EC Br 0053

V J)

Fig. 25: Brite-EuRam II

Sub-areas within Design and Manufacturing

For the interesting area of Design and Manufacturing a more

detailed break down of the technical content is given in the

following

Innovative design tools and techniques

Objectives

To develop design tools such as decision support systems to

promote more efficient design methods, more economic

manufacture, assembly .-md dismantling, and reliable and

ergonomic products.

Design Methodologies for complex components

Objectives

To develop approaches for the incorporation of multifunctional

components in product design. To advance the capability of high

precision and micro-engineering systems together with design

for micro-miniaturisation.

Maintainability and reliability

Objectives

To develop the support tools, including sensor systems, for

improved product performance, reliability and maintainbility

To advance the capability and applicability of mathematical

modelling to support design, including the integration of

modelling techniques with defect and failure mode analysis

needed for reliability and predictive maintenance.

67
Tools, techniques and systems for High Quality Manufacturing

Objectives

To develop skill supporting technologies to make human skills

and judgement more effective in the manufacturing process. To

develop innovative tools and techniques for high quality and

cost effective manufacturing systems to give better process

control, higher precision and faster operation and the

integrations of new processing technologies with established

manufacturing processes.

Manufacturing techniques for industrial use of advanced materials

Objectives

To develop cost-effective and efficient manufacturing

techniques for advanced materials to help realise their full

potential

Integrated approach to chemical and process engineering

Objectives

To tailor manufacturing technology to the requirements of

chemical engineering and to integrate design with process

control. To advance the understanding needed to design and

control chemical processes with increasing complexity to

include avoidance and prevention of pollution.

Design integrating strategies

Objectives

To develop new and more holistic approaches to support the

integrations of engineering tasks for the whole product life

cycle, such as simultaneous engineering concepts which bring

together design, engineering and manufacturing.

Engineering

Objectives

To bring an integrated approach making full use of new

materials, new design and manufacturing technologies and

process and product control to traditional manufacturing

industries, with particular attention to new requirements for

environmental control and improved working conditions.

Human factors in engineering and manufacturing management

Objectives

To accelerate the take up of new technology by developing new

management techniques which allow identification and

reconciliation of potential areas of conflict between new

technologies and human resources. To improve methods for the

68
evaluation of the performance :f products and processes and

their linkage to the overall business.

4.2.3. Implementation of Brite-EuRam II programs

The Brite-EuRam II program is implemented in the following three

ways :

1. Shared-cost research

2. Concerted Actions

3. Accompanying Measures

The main actions of the program are carried out through Sharedcost Contracts between the EC and pan-European consortia, made up

of partners from industry, research institutes, universities or similar higher education establishments. This type of implementation will cover 96 ?0 of the total budget. Fig. 26 shows the

three types of Shard-cost research.

Industrial Research involving industrial enterprises form different member States

collaborating in precompetitive research. The research must have the potential for a

significant medium-term industrial and economic impact (2-3 years after the end of the

project).

Focused Fundamental Research for applied research which is up-stream of industrial research but is nevertheless of industrial relevance. The research requires the

endorsement of industrial enterprises from different member States.

Cooperative Research (CRAFT) to enable groups of enterprises without research

facilities - especially SMEs - to contract with outside research institutes, universities or enterprises to carry out research and development on their behalf (Comparable to the AIF

in Germany).

Source: EC Br 0054

V ' Fig. 26: Types of Shared-cost Research in Brite-EuRam II

A summary with the major data of these three types of research

can be taken from the Fig. 27 to 29.

69
INDUSTRIAL RESEARCH PROJECTS

(77 % ot total budget tor research!

• Conformity with research tasks

• Precompetitive and collaborative

• Subsequent exploitation expected

Size 10 man-years minimum

Duration 2 - 4 years

Total eost 1 - 5 MECU

Funding EC funding: normally not to exceed 50%

Industrial funding: minimum of EC funding Partners at least 2 mdeoendent industrial enterprises from different Member States Calls lixed closing dates:

3 April 1992

26 February 1993 (provisional)

Source: EC Br 0055

V J

Fig. 27: Industrial Research projects

FOCUSED FUNDAMENTAL RESEARCH PROJECTS

( 10 % ot total budget tor researcm

• Basic research upstream ot Industrial Researcn

• Conformity with researcn tasks

• Precompetitive and collaborative

• Industrial endorsement

Size 10 man-years minimum

Duration 2 - 4 years

Total cost 0.5-1.0 MECU

EC Funding up to 50% of full costs up to 100% of additional (marginal) costs Partners at least 2 organisations from different Member States Endorsers at least 2 mdeoendent industrial enterprises from different Member States Calls fixed closing dates: see aoove

Source: EC Br 0056

Focused Fundamental Research projects

70
COOPERATIVE RESEARCH (CRAFT)

(9% ot total budget tor research)

• Conformity with technical areas

• Research defined by industry (bottom-up approach)

• Precompetitive and cooperative

• Research performed by third parties for a group of proposers

• Exploitation oriented

• 2 step application procedure

Cost 0.4-1 MECU

Duration 1-2 years EC Funding up to 50 % of lull costs Partners Step 1 : at least two SMEs from different Member States Step 2 : at least tour SMEs from at least two Member States

Calls - open Call (approximately 2 evaluations/year)

Source: EC Br 0057

Fig. 29 Cooperative Research (CRAFT)

A speciality and new experiment is the introduction of the CRAFT

program. The objective is to transfer the good experiences with

the AIF in Germany to an European level.

The scheme will provide financial support to a group of

industrial companies, r.iainly SMEs, facing a common industrial or technological research need. CRAFT will enable these SMEs to come

together and assign outside organisations (research centers,

universities, or other companies) to carry out RTD under contract

on their behalf.

4.2.4 Budget of Brite-EuRam II

The program has a total budget of 663.3 M ECU for the period of

1991 - 1994. Fig. 30 shows the breakdown of budget by technical

areas and by funding the different types of research.

71
Breakdown of the budget by technical area:

Area 1 : Raw Materials and Recycling 80 MECU

Materials 228.8 MECU

Area 2: Design and Manufacturing 301.5 MECU

Area 3: Aeronautics Research 53 MECU

The total indicative funding devoted to research is:

Industrial Research 483.8 MECU

Focused Fundamental Research 62.8 MECU

Cooperative Research 56.5 MECU

Concerted Actions 6.3 MECU

Feasibility Awards 6.3 MECU

Specific Training 1 2.6 MECU

Source: EC

European Currency:

1 ECU = 2.- DM = 1.3 US $

12 %

35 %

45 %

8 %

77%

10 %

9 %

1 %

1 %

2%

Br 0058

Fig. 30: Breakdown of budget of Brite-EuRam II

Most of the funding is devoted to industrial research in the area

of design and manufacturing.

4.3 Funding of R the EUREKA program JESSI

EUREKA stands for a frame for an increased technological co- operation on innovative research in Europe. EURKEA is neither a promotion program nor is it definded by the governments of

European countries. Much more comes the initiative for projects

from the European industries and research centers. They have to

establish the entire research group with its members and they

will determine the way of co-operation. There is also no central

EUREKA budget. That means, that all participants have to provide

for a financing by using their own resources for R&D support in

their home country. So EUREKA is a bottom up approach for an European cooperation. One of the big and successful programs is

the Joint European Submicron Semiconductor Industry program

JESSI. This will be explained in the following chapter.

72
4.3.1 Situation of the European microelectronic industr

The recent development of the technology-driven industries in the

European community shows, that microelectronics is the key to

competitiveness in the areas of data processing and communication

systems, electrical engineering, precision mechanics and optics,

automotive, and machinery industry. The diffusion of microelectronics in these fields is a result of its dynamic development in terms of cost, and size reduction and increasing level of

comlexity and it affects strongly the performance and costs of

the products and systems in which it is used (Fig. 21) /9/.

Within the next decade the electronic industry will become one of

the largest manufacturing industries in Europe.

1

Q1980

1990

^2000

V

Source: OECD

Fig. 31 Comparison of manufacturing industries

Although the European integrated circuit industry by itself is

very small. In size, compared to the Japanese companies NEC

,

Toshiba or Hitachi, the European system houses are comperat ively

small (Fig. 32) .

73
Fujitsu

Texas

Mitsubishi

Matsushita

Philips]

National

Sanyo

Samsung

Sharp

mm

Sony

AMD

Oki

Rohm

Source: Dataquest, 1992

12 3 4 5

Sales of Leading IC Producers in bn $ (1991)

Fig. 32: Sales of leading IC producing companies

In Japan, microelectronics has been recognized since the late

'70s as a key industry for virtually all sectors of the economy

and c or the country's international competitiveness. Through its

long-term, carefully coordinated assignment of research and

development resources (particularly by the often-quoted MITT, the

Ministry for International Trade and industry) , Japan has been

able to capture a dominant market position in many sectors.

Compared with the other highly industrialized regions of Japan

and North America, Western Europe still represents a "developing

country" in the semiconductor business. The per capita consumption of semiconductor products in North America is double, in

Japan six-fold that of Western Europe. In addition, Western

Europe is the only region in the triad producing fewer semiconductors per head than it consumes (Fig. 33). At $ 230 compared to

$ 17.6, Japan's per capita production volume is 13 times greater

than Europe's! This indicates that Europe has large potentials

for growth. And the political transformation of Eastern Europe

promises additional market potential over the long term /10V

.

74
IC production IC application

Row

4%

Europe

9%

RoW

11%

± Japan

19%

Japan

47%

U.S.A. 40% u.s.a.

Source: Dataquest, Elsevier, SIS (1991)

Fig

.

Comparision of IC production and application

4.3.2 JESSI

4.3.2.1 History

The extremely high R&D effort required for VLSI circuits faces

a compatible small turn over in ICs in European companies. To

compensate for this disadvantage first d strong eooperat ion

between the IC companies and secondly a financial support for the

high R & D expenditures are needed.

This problem has been recognized by the politicians already years

ago. Consequently they launched in 1984 the well-known "Mega

Project" /ll/.

However in the "Mega Project" there was not enough attention paid

for the built up of a strong equipment infrastructure that time.

Because of the lack of key components in manufacturing the ICs

the strong efforts of the Mega Project did not have the desired

success for the microelectronics industry. To relief this

unsatisfying situation a much stronger cooperation between IC and

equipment companies was needed.

In the beginning of '88 a planning group was established to

elaborate the technical base for the JESSI Program (Fig. 34)

.

According to the important areas within the JESSI Program the

"Planning Team" was divided in four "Section Teams":

75
- Technology

- Equipment + Materials

- Application

- Basic and Long Term Research

The entire Planning Group was coordinated by the Core Team which

entailed under the leadership of the Fraunhofer Gesellschaft an appropriate mix of mainly industrial people from the different

sections. The Section Team 2 responsible for the planning in

Equipment and Material was structured in a way that beside the

core of the Equipment and Materials companies, the influence of

the IC manufacturers as well as of the basic and long term

research was ensured (.luring the entire planning phase. The

results of this planning (description of selected product areas,

rough time schedule, manpower alocation etc.) are put down in the

so called "Green Books" /ll/.

Jan 1988

Feb 1989

Jun 1989

Jul 1989

Nov 1989

Apr 1990

May 1990

Jun 1991

Jan 1992

Start of JESSI Planning Group

Reaiease of JESSI Green Book (results of planning phase)

JESSI declared EUREKA project EU 127

JESSI organisation starts business

First JESSI labels assigned

Agreement on industrial Property Rights

First projects started

JESSI's main phase (1992 - 1996) approved by EUREKA

JESSI's main phase started

Fig. 34: JESSI historv

In June 89 JESSI was declared to EUREKA Project \*o. EU 127 by the

Commission of the European Communities. Thus in July 89 the JESSI

organization started to work in the JESSI office in Munich.

76
In all the JESSI 3oard, the highest authority in the JESSI

Organization, investigated over 200 individual projects proposals

from more than 150 different organisations, and more than 70

entries were allowed to proceed.

In the early phase of the program (April 1990) an important

agreement has been achieved on industrial property rights

enabling the full exploration of the JESSI results to the mutual

benefits of all participants.

Thus far, major individual projects have included the memory

project, optical lithography, frame project for designing chips

using Computer Aided Design 'CAD), Specific CAD Tools, and a research program to pave the way for future chips with structures

of around 0.25 micron.

JESSI has concluded the start-up phase of its European micro^

electronics program end of 1991.

Based on the experiences gained during the start-up phase with so many good project proposals, a consolidation of the program has

been achieved with respect to the progress reached in projects to

date, a thorough evaluation of the situation and orientation

towards the main phase 710/

.

4.3.2.2 Goals

The main goal of JESSI (Joint European Submicron Silicon) is to

secure the availability of world-competitive microelectronics for

the European Industry. It is an EUREKA research and development

program for the technology of -system integration based on silicon

(Fig. 35). The program has four main issues /9/:

Technology

* Development of the basics and proving of a flexible competitive

manufacturing technology for advanced system applications, to

be available by the mid-90s.

The most advanced technical goal, within the framework of the

JESSI Program, is a CMOS-process with minimal structures in the

0.3 urn range. This fine structure range is achieved through

intermediate steps at 0.7 ym and 0.5 urn. Each intermediate

development involves the overcoming of technical barriers through

innovative process steps. Reduction of manufacturing costs will

be one of the most important targets. Memories (DRAM/ VRAM/ SRAM/

EPROM) are to be used as the technology drivers.

77
Application

:

Building up of flexible competitive system-design procedures

and tools which are applicable throughout Europe, for the

development of highly complex integrated circuits and their

integrations into systems, as well as their verification in

advanced joint pilot projects in major areas of application.

The European industry has a world-wide leading position in

solution-oriented system know-how in a broad range of application

fields. The direct knownow transfer into microelectronic systems

realized on silicon is of increasing importance in comparison

with the use of standardized integrated circuits. The

competitiveness - today and in the future - in standard circuits

(e.g. memories) will be determined largely by the smallest

structure size, the highest intergration density and production

technique. The competitive strength for the development of

application-oriented system solutions within this time frame,

however, is to the largest extent determined by the availability

of flexible process capabilities and design tools.

Within the framework of JESSI, application-oriented systemdevelopment tools will be tested in pilot projects (Europrojects), for example, in information processing, industrial

electronics, automobile electronics and in the consumer sphere.

Equipment and Materials:

* Development of manufacturing equipment and- materials for

microelectronics in selected areas of the European supply

industry.

World competitiveness for the European semiconductor industry

requires immediate access to the most advanced manufacturing

equipment. This can only be achieved by the support of a strong

European supply in the areas of manufacturing equipment and

semiconductor materials. The earliest availability of equipment

and materials according to the technological developments in the

semiconductor industry must be secured.

78
Technology

driver

0. 5 urn

Oeslgn 0.5 u.m ^> Redesign 0.5 urn)

Teslstructures 0.3 u,m Design 0.3 Basic process ^Process \^

.3 u.m^>

integration 0.5 urn ^x- Process / qualification 0.5 >im

Redesign 0.3 um ^

Pre-devclopment 0.3 u.m ^> Basic process 0.3 nm ^>gf*^"

Specilication Prototypes

Process quail*

flcatlon 0.3 urn

Verification in pilot lines 0.3 u,m

Specilication Evaluation Verification

Design methodology, modelling & simulation, advanced processing steps

Fig Milestones of the JESSI Program

Close co-operation between European IC manufacturers and the

European equipment /Mater ial suppliers is essential, as the case

of Japan shows. Effective forms of co-operation will be developed

within the framework of the JESSI Program.

Basic and longterm research:

" Complementary applied research for the long-term future

In order to secure Europe's future economic interests and to

capitalize on its current strengths in microelectronics, JESSI 's starting point must be a wellorganized interaction between

industry and research institutes. Mediumterm goals of the "basic

and longterm research" are to support the industrial development

of ICs and their application, with feature sizes down to 0.3 urn, and to work out alternative solutions.

The contribution to JESSI may vary by country, depending on industrial and academic infrastructure and on national political

and financial strategies. A balance has to be found in Europe

between a uniform approach for JESSI for all countries and

parties, and a participation according to national and sectorial

interests

79
4.3.3. Structure

The JESSI Program with more than 140 international participants

needs an efficient organization. Because of that there -ire 1

subprogram management boards '3MB). They represent the major

participating industries, ^ake care for industrial monitoring and

coordination of subprogram progress, coherence, consistency and

adaption. The management boards nominate their representatives

for the JESSI board (JB) /9/ !Fig. 35).

Industry

JESS - Board

JESSI -Office Board Support (Si Group

Technology •Equipment/Material

•Application • Basic Research

1-U0

ca. 20 Ragships

ca. 140 Participants

Government

JESSi-Committee

Government Action Team y

mmmmmmmm^^ Ministry of Science and

Technology IBMFT)

German coordination

office JESSI

souce: JESSI

Fig. 36; JESSI Organization

The JB consists of three IC manufacturers (Philips, Siemens, ST)

three Application companies (Bosch, Alcatel, Olivetti), one

Equipment + Materials company ( Electrotech ) and one Basic and

Long Term Research Institution (STW/Dimes). In addition to these

voting members the chairman of the various SMB's are invited to

take part in the meeting as non-voting members. The chairman

which is full time in charge of the JESSI organization has no vote in the gremium.

80
The J3 is responsible for:

- General strategy

- funding negotiations

- final decisions on proposals

- criteria for project selection

- initiation of progress assessment

- rules for project management etc.

There are at least two meetings a year. The JB has the final

decision on the proposals for granting the "JESSI Label".

However, the rejection of a project proposal accepted already by

the SMB needs 2/3 of votes of the J3 /ll/.

The board support group supports rhe JESSI board in the tasks

mentioned above. The duties of the JESSI office located in Munich

are the organization of meetings, public relations and clerical

work /12/.

On the government's side the JESSI Committee works closely

together with the J3 . They evaluated the proposals and decide on their acceptance. The government action team supports the

committee in decision making. Every participating country has a coordination office for their national work /13/.

Based on experiences in the start-up phase, target sectors

(clusters) and flagship projects were selected for the main phase

of JESSI as significant innovations for implementing the program

(Fig. 37) . The goal is to achieve a strengthened and improved focus on central themes of the program /10/.

Technology

JESSI

Equipment/

Materials

Cluster Competitive Manufacturing

Cluster Packaging

Cluster Logic TechnologyCluster Chemicals

Cluster Gases

Cluster IVPS

Jl

T

Application

Cluster Lithography

Cluster Broadband CommumcaL

Cluster

Silicon

Cluster Automotive

Safety

Electronics

Cluster Testing

Cluster

Digital Audio Broadcast

Cluster Water

Handling

Cluster High Definition Television (HDTVI

r Basic Research

_| Single

Projects

Cluster Mobile Radio

Single

Projects

1£, JESSI Structure and Flagship Projects

81
Clusters consist of linked projects which -hare same goals and

common technology.

Flagships are greater projects of high importance, aiming at

commerical products and emphasizing vertical cooperation.

Linked projects are necessary to reach the flagship goals /10/.

4.3.3.1 Subprogram .Technology

Mastering memory technologies and the

technologies are the necessary (but net

for h.he competitive manufacturing of

strategic value of

particular - for the

grow 79/. JESSI is

closer cooperation

circuit technology,

categories of logic

logic circuits in

european end users is

essential to increase

of IC -,ianuf acturers

The figures 38 and 39

orresponding .manufacturing

sufficient) ingredients

logic circuits. The

general - of ASICs in

high and expected to

the necessity towards a especially in logic

describe the different

ICs and their share in the market 714/

Low volume

Source: JESSI

i ethnology

CSlC's

Full custom

cell based ICs

(one customer) A

Programmable

Gate array ROM

Microcontroller

B

(one application) D

Audio/Video

Telephone

EDP/Communication

Power ICs

Automotive

ASP'S

C

Standard logic

Programmable-logic

Standard linear Microprocessor

Memory

Commodities

Customized:

Made to oraer

Catalog:

Made to stock

<2

Application specific General purpose High volume

Fig

,

Different types of logic ICs

82
There are three major activities in the technology subprogram/ 9 /

1) Development of submicron (down zo 0.3 urn memory generations

(DRAM /VRAM , SRAM, EPROM) including the work needed to provide

the necessary processing environment.

Low volume

Source: JESSI

Technology Board (1991)

CSlC's 2%

ASP'S 12%

A B

Application

specific

Microcomputers

Microprocessors

and

Periphals 28%

Gate arrays 6%

Standard

logic 6%

Memories 46%

Customized:

Made to order

Catalog:

Made to stock

General

purpose

<2

High volume

Fig. 39 Market shares of logic ICs

2) Development of logic technologies starting from todays 1 um technology-base to utilization of submicron technologies that

will be provided by the memory projects. This development

includes ciruits derived as directly as possible from memory

processes (e.g. microprocessors, gate-arrays) and more

advanced ciruits that contain process-modules not directly

related to a corresponding memory generation (e.g. 3ICMOS or Logic with E

2 PROMs )

3) Development of manfacturing engineering methods "hat assure

timely and cost-efficient production of present and sub-micron

circuits on 150 mm and 200 mm wafers.

83
4.3.3.2 Subprogram Equipment and Materials

The following sectors have been assigned highest priority in the

equipment and materials subprogram (Fig. 40) /10, 15/:

£63

E 164 E96 E7«

Fig. 40: Distribution of labeled projects in

the E+M subprogram

- Lithography in the deep-UV range:

This basic process for all IC production involves the development

of a suitable wafer stepper, optics (lens) and photoresist for

each generation of chips (0.5 microns structural width for

16-Mbit chips, 0.35 microns for 64-Mbit memory chips). Vertical

cooperation, i.e. between production equipment and material

development and users (i.e. IC manufacturers) is especially

important at this stage. Significant advances have already been

made in accuracy of positioning and wafer throughput, placing us ahead of worldwide - particularly the Japanese - competition.

84
- Integrated vacuum processing system and automated wafer

handling

Under extremely pure cieanroom conditions, the integration of

various components, standardization of interfaces and development

of cluster tools is becoming increasingly important.

- Chemicals and gases:

Ultra-pure chemicals, : leaning fluids and gases largely determine

the defect density and ultimately the yield of the entire VLSI

production process. Supplying local wafer fabrication 'with these

products opens up additional perspectives and options.

- Silicon wafers :

The basic material ".mst be continually adapted to the

requirements of each chip generation with respect to planarity,

contamination and other .ritical factors. The aim is to improve

processes and equipment for growing wafer crystals with a diameter of 200 mm and greater.

In the last two points, Europe enjoys a position that is fully

competitive on the world market.

4.3.3.3 Subprogram Application

Following the concentration with regard to funding restrictions

and having the aspect of vertical integration in mind the

following four market sectors are covered by the Application

Subprogram when entering the main phase of JESSI:

- Electronics for Automotive Industry

- Consumer Electronics

- Telecom

which are represented by one or two flagship clusters and the

sector of:

- Graphics Information Systems

represented by the single project "Digital Controls for High

Resolution Display" (Fig. il) /16/.

85
Fig. 41: JESSI's application areas

After the restructuring for the main phase of JESSI the

Application subprogram encompasses five flagship clusters

covering different market sectors .;nd five single projects not

included in flagship clusters.

Cluster: Automotive Safety Electronics

Flagship Project: Ultra Large Scale Integrations of r. Control

Unit for Safety Critical Systems

Linked CAD Project: Synthesis, Optimization and Analysis

Systems such as ABS, ASR, airbag and electronic fuel injection

already heavily rely on electronic control. An increasing number

of functions and speical conditions with respect to safety (e.g.

fault tolerance), environment conditions (e.g. air pollution),

high voltage and electromagnetic compatibility create specific

requirements for the operation of microelectronic circuits.

Therefore electronics are the critical technology of tomorrow's

automotive industry.

Cluster: Digital Audio Broadcasting (DAB)

Flagship Project: Implentation of Prototype Building Blocks for a DAB Standard

Linked CAD Project: Development of an EMC Workbench for

Microelectronic Application

The European market for consumer electronics is the largest in

the world with the highest growth potential. Worldwide the

86
consumer electronics market is dominated by Japan but there is

still a good ranking of some large European companies. To hold

this position strong efforts have to be made mainly by

implementing new European transmission standards (receivers,

recorders, etc.) in advanced CMOS processes.

Cluster: HDTV

Flagship Project: Europroject HDTV

Europroject: Signal Processing for AD/HD VCR

Linked CAD Project: Pest feneration and Design for Testability

Support

High definition television is to be considered as the most

important new market segment in consumer electronics for the late

90ies. All over the world strong efforts are made to develop

chipsets with sufficient processing capabilities, enhanced

bandwidth and digital control. Europe has chosen a clear approach

towards tomorrow by taking into account the situation today.

Improved transmission standards (MAC), worldwide agreed new

screen format (16:9) rind finally HD-MAC is the clear European

roadmap towards a new type of vision in the home.

Cluster: Mobile Radio

Flagship Project: Advanced VLSI Components for the GSM Pan

European Digital Cellular Radio System

Europroject: Mobile Automatic Cellular Radio

Linked CAD Project: Analog Expert Design System

Within the telecommunication markets o£ the future digital radio

telephony is one of the biggest market segments. With the release

of the GSM description end of 1990 by the European Postal

Organizations and the industry the. Pan European Cellular Digital

Radio System is going to become reality. The requirements of the

IC development efforts are challenging as portable sets need to

be maximally integrated in order ro reduce volume, weight, power

consumpition and cost.

Cluster: Broadband Communication

Flagship Projects: Advanced VLSI Components for B-ISDN ATM

Networks, Advanced VLSI Chipset for ISDN Videophones

The integration of all services, which are currently provided on

a multitude of networks, on a single ATM (Asynchronous Transfer

Mode) broadband communication network will boost both application

and equipment provided in the 90ies. In addition high speed data

transfer will offer new services like videotelephony , two way TV,

HDTV, video library provided via cable to the commerical and

private customer.

87
Integrated JESSI CAD System

The main activities on CAD tools within JESSI are assembled in

the different CAD projects linked to the corresponding flagship

projects. 3ut this link does not .nean that the respective CAD

project only follows the demands of that flagship. The goal of

all JESSI CAD projects is rather to offer tools which meet the

requirements of all applications in the respective desgin field

and to make leading edge tools avialable to the benefit of all

European microelectronic designers.

To offer all • hese "AD ~ :ois in a common but open environment

they will be integrated into the JESSI Common Framework to be

developed in the JESS I -COMMON- FRAME project. (Fig. 42). With that

integrated system the user jets the powerful JESSI CAD tools

under a common design infrastructure which is open to include any

other tools needed by the designer for special purposes 716/

.

User Interface (Desktop, Brbwer)

I

f

"St

;o). I

re:

O:

XL.

c

of o o

|2

Domain 1 Basic*

CMC

CM* cm" O o

|2

Gamma 2 Basics

O

.o

c

Domain k

Basics

Datahandling (OWS)

Common Basic Services (\TC, "Error Handling, Heip,..)

System Environment

Source: Radelaar

Fig. 42: Architecture of the JESSI -COMMON -FRAME

88
4.3.2.4 Subprogram Basic and Long-term Research

The Basic and Long-term Research (BLR) subprogram goals could be

defined as /9/:

1) Support the European micro-electronics industry with research

results to ensure that

- The IC manufacturers can reach their goais of 0.3 urn structure width, "00 mm2 chip area and IC 7 - 10 8 transistor

complexity in the pilot production in 1996 and beyond.

- a growing field of materials and equipment suppliers will

reach a strong competitive posiiton.

2) Broadening of the basis of the microelectronics industry by

developing alternatives to improve on and enhance established

technologies and "o overcome unforeseen future technical and

economic bottle-necks.

3) Assure long-term continuity for the microelectronics industry

by developing new methods and technologies to be exploited

economically after 1996.

The BLR-projects are all closely connected with other TESSIprojects. "The 3LR-projects are partitioned and defined such in

order to optimize internal coherance within JESSI.

4.3.4. Budget

The whole JESSI project will comprise almost 22.000 man years of

scientific and technical work from 1989 until 1996. This will

involve a financial outlay of about 3.3 M ECU. About 50 °o of

these funds will be supplied by industry and the institutions

involved, 40 % by national governments and 10 % by the European

Community /13/.

The budget for 1992 has been approved in the common JESSI BoardJESSI Commitee meeting in October 1991. It comprises total

project costs of 430 million ECU for 1992. Distribution on individual countries and the European Commission for 1992 and in

the start-up phase, is shown in Fig. 43 /ll/.

89
JESSI budget 1992

430 MECU

national governments and CEC

total 215 MECU for 1992

Source: JIL Issue No. 10/92

Fig. 43: Financing of the JESSI project

Fig. 44 shows the distribution of the number of projects and the

total man years in 1992 to the participating countries.

Source: JIL Issue No. 10/92

Fig. 44 : Distribution of projects and man years in 1992

90
4.3.5. Conclusions

The JESSI project has started in the middle of 1990. At that time

the project was still at its infancy with a lot of great ideas

and proposals but few established working relations and concrete

results

A lot has changed, moved and improved in the meantime /13/:

First, the program has been clearly recognized and established

inside the .ompanies and institutes as the European effort

towards the highly competitive markets in our business.

Second, the "outside world" And the public authorities are now

fully understanding and supporting the program.

Therefore, the major milestone was the approval of the program

for the main phase at the Eureka ministerial conference last

year. The judgement was based on a thorough evaluation of the

program, specifically taking into account the utmost necessity of

our program for the whole European information technology

industry and the application of advanced microelectronics.

Third, based on these considerations, for the first time in such

type of a Eureka project a common understanding between all

participants and partners of the program - industry, institutes

and public authorities - could be achieved. Esentially the newly

adopted structure is a concrete result of these fir reaching

negotiations

Fourth, and last but not least considerable resulta could already

be achieved in the start-up phase.

4.3.6. Aims for the future

Microelectronics have a high significance for the human race and

the technical progress. Because the innovation speed the price

for microelectronics decrease up to 100 times per decade. On the

other aand *:he costs for developing and producing microelectronics increase. Fig. 45 shows the cost structure for a high

volume fab line. One can see that there is almost a 8 times

higher price for a fab by comparing the years 1970 and 1990- . It

is difficult for the most political economies to finance such

fabs with a maximum lifetime of 4 years. These countries without

modern microelectronics will become development countries from

the technical point of view in a very short time. Because of that

I propose to make worldwide cooperations and exchange of

knowledge. The actual trends are of great promise: Siemens, IBM

and Toshiba signed the contract (13.07.92) of common developing

the 2 56 Mbit DRAM.
400

300

A

£ 200

oO

100

/

/

Facility Costs

9Equipment Costs

MTotal Costs

1970 1976 1980 1983 1987 1990

Source: Dataquest

Fig. 45: Costs of a fabrication line

5 . Examples for the needs in precision fabrication

technology

In this chapter, an example shall be given for "he needs in

precision fabrication of parts produced by metal cutting, "or

this task, the design of machine tools and the application of an advanced machining technology are key issues. Therefore the

European activities of research in the area of machine tools are

introduced. This chapter is taken. from a report by Tonshoff, Band

and Glockner /19/ (IFW, University of Hannover) which was written

for an EC-commission. It is based on a survey by questionnaire.

This chapter is followed by s survey on machine tools designed to

machine hard materials by metal cutting. This survey was done for

a machine tool builder and was composed also by IFW, Hannover

/20/.

5.1. Research in the area of machine tools

5.1.1 Data base of the survey

The data used for this survey were collected in two steps: For a first overview data were collected from national surveys which

were made by several CIRP members. In a second step, this was

completed by means of a questionnaire.

92
The CIRP national surveys were avialable for 3elgium, the

Netherlands, France and Japan. Their information contents mostly

comprized the main research topics and the numbers of researchers

employed in the individual institutes. Co, national profiles,

e.g. the french and british focus on machine systems, could

already be derived.

The answers gave representative images of the national research

and development activities for all addressed countries except for

France where only two out of fifteen questionnaires returned.

There, an estimation had to be made on the basis of other

sources, especially the national CIRP survey. For Ireland,

Luxemburg, Portugal and Spain the data base was insufficient to

derive any figures about research and development activities.

The domain of machine tool research is divided in 3 categories

(Fig. 46)

- machine tool systems

- machine tool oriented processes and

- machine tool components

r— \

, machine tool

systems

machine

tool

' processes

, machine tool

components

layout

planning

fTnachlne tool concepts

, handling and

l asaembttng

cutting and abrasive! processes \ metal

forming new

processes

mechanical

components

[ drives and

energy conversion

Information processing

source : IFW Br 0063

Fig. 46: Fields of machine tool R&D

93
R&D activities in the category machine tool systems -omprize

methods to define "he production "ask and the related demands

from given manufacturing 'lata such as single workpieces,

workpiece families and general boundary conditions. It comprizes

the identification of the production problem a machine tool or a production system has to fulfill, and of the requirements towards

forms and magnitudes to be manufactured, towards quality,

productivity and the adaptation of machine tool systems to the

workers and the environment.

The 4 criteria

- Working Space and Generable Forms

- Quality of Workpiece

- Productivity

- Adaptation to Workers and Environment

are equal and have all without exception to be taken into

consideration. This is not a new idea. These basic criteria were

formulated more than 50 years ago by otto Kienzle. And it has to

be said that human and environmental aspects were already then

stated as a mandatory criterium for designing or Investing in

machine tools far before politicians and the society thought

about it. It is of course an other question now and to what

extent these demands were followed by the industrial practice.

Machine tool oriented processing is an important field of

research and development. And processes of course are of

governing effect on the lay- out, the operation and the

performance of a machine tool. Therefore, research in this field

has to be mentioned, when speaking about machine tools.

A look to scientific journals on production engineering over the

last decades shows that in the past works on processes were by

far dominant. There were little publications on systems. With the

beginning of the 70ies activities about flexible manufacturing

systems, about machining cells, workpiece and tool handling and

lay out planning of systems came up step by step. In processes

today, conventional cutting and abrasive methods are less worked

on whereas new processes like laser beam machining, electrodischarge sinking and wirecutting and cutting of hard metals is

dealt with increasingly, although from the point of view in the

industrial turnover - in machine tool building and in production

by machine tools - the convent ional processes are by far

dominant, are still bread and butter for a majority of companies.

94
Finally, we name R&D activities on machine tool components that

include uiechanical components like the mechanical structure of a machine, guide '..ays, ^pindle systems, "he drives and -nergy

conversion systems -id the Important field of information

processing in the machine and in its neighbourhood.

5.1.2 Research activities outside the EC

Before examining the structure of the EC research activities in

detail, we will !irst look it other members of the triade.

Excluding the states of the former Soviet Union, for which there

is :io reliable lata .1 vial able, there remain two countries

performing major research effort on machine tools: the USA and

Japan. As Fig. 47 shows, the EC :an be regarded as the very

center of machine tool research in the world with more

researchers than the two other domains together.

European Community

4rV— ["^5^32%

source : IFW Br0064

Fig. 47: Global research activities on machine tools

95
Inside the Western Europ

outside the EC performm

Switzerland and Sweden,

three topics (machine tool

with slight focus on researchers work on proc

Germany, Switzerland is

foundation of the national

role

.

e, there are especially two countries

g major research on machine tools:

In Sweden, 62 researchers work in all

systems, components and processes)

components. In Switzerland about 40

esses and the other topics. Beside

the only country where funding by a machine tool industry plays a major

5.1.3 Research activities inside the EC

After having stressed the dominant role of the EC in world wide

machine tool research, the Internal structure will be examined in

terms of funding and research topics.

Funding

In most countries, the .ational governments are the most

important source of funding (Fig. 43). Only in the United Kingdom

their contr ibut ion is overweighed by industrial funding. On the

other hand, EC funding was not specified by any british research

institution. Averaged over all EC countries, EC funding reaches a level of 9 % of overall funding, which means 73 researchers on machine tools (in academic and other research institutions) in

total. Also here, there are extreme differences between the

nations. The total absence of EC funding in the addressed

institutions in the United Kingdom contrasts to the extremely

high percentage in Belgium.

96
Fig. 48: Funding of European R & D on machine tools

In Germany, for basic research, the German Research Foundation

(DFG) is competent. This institution is comparable to the XSF in

USA. The German Research Foundation contributes approximately

15 % to 20 % to the budget of an average institute for machine

tools .

In EC research programs the results are explicitly requested to

be precompet itive . The results are desired to lead directly to

products which help the European industry to improve their

competitiveness. Foundations closely related to the national

industry, e.g. the AIF, close the gap between these programs on one hand and direct industrial R & D on the other hand.

97
Topics

The evaluation of the questionnaires and several national CIRP

surveys revealed a strong heterogenity of the topics tackled with

in the different countries (Fig. 49).

Fig . -*9 : European research activities on machine tools

Especially, there are two countries with major research effort

concentrating strongly on one research field. In the United

Kingdom, the focus of research lies on processes with 85 % of all

research effort performed there. Research topics mostly named

here tackle with the grinding process. ~n contrast, french

research institutions mainly work on the machine tool svstem as 98
whole. Topics like FMS software, DNC, automation and CAD-CAM

demonstrate the french focus of achieving higher productivity by

means of making automation more flexible.

As Fig. 47 shows, these national differences are quite

complementary. 3ummed up, they lead to a distribution comparable

to that of the main competitor Japan.

A further differentiation of the research topics led to the

result shown in Fig. 30. There, any topic is divided into three

subtopics

Systems

Layout Planning 40 %

SimuUson ol Manufacturing Systems

Toot Management

Machine tool concepts 21 %

Flexible Press Systems

Process Integraeon Handling and assembly 39 %

Remote Assembly Cells Design ol Robots and Grippe rs

Cutting and Abrasive Processes 45

High Speed Cutting and Grinding Laser Material Processing Metal Forming 19 Sheet Metal Forrrung Process Simulation New Processes 36 Macninrg ol New Materials Stereokthograpfiy

source : IFW

., . ,

Components

Mechanical Components 30 %

Sensors and Damping

Beamgs and Stideways Drives and Energy Conversion 17 %

Feed Orrves Motion Conuoi

Information Processing S3 %

Integrated CAO/CAM Solutions Monnonng and intelligent Diagnostics

Br 0067

Fiq. 50: Research topics on machine tools

A detailed description of individual projects in these areas can

be taken from the cited report 719/

99
5.1.4 Conclusions

Research and development in Western Europe is widespread over

many academic and other public research institutions. The number

of researchers exceeds '-.hose of the USA and Japan considerably.

This variety stimulates creativity and innovation and is an excellent source for young scientific engineers. On the other

hand this situation .night split the power too. To minimize

disadvantages cind to intensify the great advantages of Europe's

research structure in the field of machine tools, a specific

program in this field :ould help to strengthen the

competitiveness of this key technology in manufacturing.

5.2. Requirements on machine r ools designed to

machine hard materials

5.2.1 Preface

Due to the development of polycrystalline Cubic Boron Xitride

tools (CBN) and improvements in the processing of ceramic tool

materials (AI2 Ch /TiC) , turning instead of grinding of hardened

steels has become possible. This new technology has the potential

to replace grinding processes and thereby achieve significant

reductions Ln production time -,nd cost. In order to judge the

capabilities of these machining processes it is necessary to

consider some technological as well as economical aspects of hard

turning and drilling.

Machining of hardened rotational components by conventional

grinding is substituted more and more by hard turning. Improved

cutting tool materials were the most important reasons for this

development. Especially the group of reinforced oxide ceramics

and cubic boron nitride are suitable for machining of ferrous

alloys in their hardened state. CBN tools are preferred for

interrupted cutting because of their superior fracture toughness.

The main applications for hard turning obviously are finishing

processes with high quality requirements concerning form and size

accuracy of the workpiece, surface finish and surface integrity.

These attributes are defined not only by the machinging

paramaters like feed rate or cutting speed but also by the tool

material, the cutting edge geometry, the composition and

admission of coolants, the workpiece material and the static and

dynamic properties of the machine tool (Fig. 51)

.

100
r

Productivity Dimensional accuracy Surface integrity

Br 0068;

Fig. 51: Influence of input parameters on workpiece

quality in hard turning

Usually, higher forces are applied in the grinding wheel contact

area on a single-point tool.. To avoid dimensional inaccuracy,

grinding requires very rigid machine tools. Yet, the dynamic

characteristics of the grinding process are different from those

of rutting. Expecially vibrations can be suppressed by squeezefilm damping in the ;omparatively large contact ^rea. 3o, in

general, hard turning requires a dynamically more rigid machine

tool than grinding in order to perform the same operation.

5.2.2 Aim of the study

The new technology of hard turning significantly reduces

production time, tooling cost and capital investment. However,

only a very limited number of applications have been introduced

in * industry up to today. The rate avialability of lathes

specially designed for hard machining is regarded as one reason.

Existing lathes are not adapted to the demands arising from hard

turning. Stiffness, accuracy of the control and gauge systems of

conventional machines are usually not within the range which may

be necessary for precise hard turning operations. Aim of the

study therefore was to define the demands on a lathe for hard

turning

101
5.2.3 Course of action

To judge "he situation on the European user market, the IFW

selected and interviewed companies involved with the machining of

hardened steels and alloys. The selected branches and the number

of companies were as follows:

- automobile industry (5)

- bearing system producers '45

- aerospace/aircraft industry (2)

- gear engineering industry (4)

- others (5)

It turned out that the majority of the enterprises that took part

in the study •nre medium sized, which is typical for German and

European metal-working companies. The medium sized enterprises

represent the biggest proportion of the market volume for hard

machining machine tools and should certainly be addressed with

the same intensity as the big enterprises in sale activities.

Form "he interviews onducted with leading employees from

production departments, information uas extracted to characterize

the possible demand for hard turning. This was done by examining

the scope of components presently produced. A result was that

only a fraction of tiiese parts is already produced by hard

turning, many are still finished by grinding. Yet, according to

the statements of the company representatives, these are the

parts that they consider interesting for hard turning in future.

It is important to mention here that the results of the study

have to be treated confidental and are thus disclosed. Therefore

in the following, only some remarks on the production methods of

the involved companies can be given.

102
5.2.4 Production methods

Grinding, mostly with conventional corundum wheels still by far

dominates hard turning (Fig. 52).

Finishing technologies currently used

source : IFW Br 0069

Fig. 52: Methods presently used for finishing

of hard steel components

At present, hard turning accounts for no more than 5 p.c. of

large scale production. CBN grinding with 10 p.c. has twice the

number of applications as hard turning. The technologies of hard

turning, grinding with CBN and possibly also with the recently

emerging improved grades of sintered alumina are activley

competing for overlapping sectors of the finishing market.

Due to the limited experience of most useres with hard turning,

considerable dispartiy exits concerning suitable tool materials.

The -existing uncertainty about the right choise of tools is

reflected by a number of publications on machining investigations. Their authors do not present a simple solution.

Contradictory in part, differant qualities of CBN as well as alumina-based ceramics are presented as the optimum for the

turning of hardened steels. The investigation :onducted by the

103
IFW reveald equally divergent opinions with industrial users who

have attempted hard turning. \ large group uses -eramics tools

only, partly for historical reasons and in part in order tc avoid

high cost when damaging a tool. (Fig. 53).

Tool materials in hard turning

(percent of applications)

Br 0070 J

Fig. 53: Tool materials in use for hard turning

Some are convinced of the performance of CBN grades with reduced

thermal conductivity, especially in finishing operations with

small depths of cut. Others, concerned with surface integrity,

propose ordinary CBN. Carbide tools find a very limited use with

materials like annealed steel of no more 40-50 HRC . Adequate

tooling for the various machining operations will have to be

studied in depth to present a convincing overall concept for hard

turning

.

10 4
5.2.5 Requirements for a lathe designed for hard tunrir.q

The design of a lathe must take into consideration the

prerequisites imposed by the users who are interested in hard

turning. While a considerable degree of uncertainty exits because

of lacking technological experience, minimum conditions can be

defined as a function of workpieces. Furthermore, users were

asked to define requirements from their point of view. Questions

were very detailed and aimed \t machinable workplace sizes,

speeds, resolutions in programming, accuracy, stiffness of the

various axes/spindles, ind additional details like automation.

Generally, users were not able or willing to give a clear picture

of the necessary capabilities of a lathe for hard turning. It was

a general opinion that developing a suitable design belonged to

the duties of machine tool manufacturer. The detailed results of

the study in this area are also disclosed.

5.2.6 Prospects of hard turning in European industry

In today's production, precision finishing of hardened steel

components is an upcoming task. The demand arises from the

permanent endeavour to increase the specific power of e.g. drive

components. Rising stress demands hardened workpiece materials

which must be produced at competitive :ost. Because jf its

flexibility, finishing hardened ferrous workpieces by turning

offers great savings in time and cost over conventional grinding.

At present, the industrial practice of hard machining is still in

its experimental or at most in an introductory stage with most

European companies. It has not been for long that turning of

hardened ferrous workpieces has been feasible at all. The new

process of hard turning now has to compete with wellknown and

trusted abrasive processes of long standing. These are able to

satisfy high quality requirements at a high level of

productivity. Hard turning has yet to gain acceptance as being

equivalent or even superior for the special applications of a company. Regarding their experiences with and attitudes towards

hard turning, the 20 companies interviewed divide into three

groups of differant strength (Fig. 54).

105
"Are you planning to increase

the use of hard turning?"

Source: iFW

not convinced i

Ite^hnicai reasons i—

[

Probably Yes, positively

Br 0071

Fig. 54 Attitude of companies towards hard turning

Half of the companies are currently busy testing specific

applications and putting them into practice. 3ome of them ise

conventional machine "ools in .lose cooperation with the

manufacturers, a few are about to buy an ultra-precision lathe.

Research activities with EC support are conducted by some

companies. Neither of these companies need to be convinced of the

benefits of hard turning. Instead, most of them will seriously

consider buying an adapted type of lathe from a renowned

manufacturer

.

At different levels of information and progress, another third of

the firms are basically interested in hard turning for some of

their parts. These companies haven't yet been able to define a viable machining operation. They are strongly interested in

competent support from outside.

The small rest of the enterprises do not think hard turning can

be beneficial for them. In one case (bearing industry) the "white

layer" problem is considered to rule out hard turning altogether

although test are presently conducted at similar companies to

check the real significance of this issue. The remaining

companies seem to have lack information about hard turning.

Companies like these are an untapped market potential as they can

possibly be won over by hard facts showing cost and time savings

dt a constant level of quality.

106
With any change in production methods such as from grinding to

hard earning, doubts have to be dispelled with the responsible

production manager. An ctdditicnal machine earn the money for

itself and also for the present equipment. Substitution is

easiest when depreciation of the existing machine tools allows a replacement anyway. In any case customers have to be convinced

that investing in a lathe rather than a grinder will pay off in

terms of quality and productivity.

All the topics involved, "Technological issues like tool life,

surface finish and surface integrity as well as economic reasons

still wait for thorough .nvest igation . The availability of a suitable lathe with high precision capabilities and superior

static and dynamic stiffness is prerequisite to progress in hard

turning

107
The Deutsche Forschungsgemeinschaf

t

Organizations and Functions

DFG Report, 3onn 1990

Statistics 1991

DFG Report, Bonn 1992

Volkswagen- St if tung

Annual Report 1991

BMFT- F orderungskatalog

BMFT Report, 3onn, 1992

The German System of Industrial

Cooperative Research

AIF Internal Report 1992, unpublished

AIF-Handbuch, !<oln 1991

European Science Foundation

Annual Report, Strasbourg, 1990

Industrial and Materials Technologies

Information Package Brite-EuRam II,

Edition 1991

JESSI Program

An Initiative of European Institutions and

Companies

Results of the Planning Phase Itzehoe 1989

JESSI for the Main Phase-European Microelectronics on its way

Presentation of the JESSI program

Hannover 16.03.1992, pp. 9-33

108
/II/ Betz, K . Das Mikroelektronikprogramm fur Europa

"JESSI" (Gerate)

Halbleiter f ertigung - Neue Trends bei Produktionsstrukturen und Fert igungsgeraten

Munchen 07 . , 03 . 11 . 1989 , pp. 221-241

/12/ Knapp, K.H. Das JESSI-Programm

Ein Wechsel auf die europaische Zukunft

Siemens-Zeitschrift (1991)3, pp. 34-38

/13/ Griinewald, >!. JESSI- Europa sucht Anschlu3 in der

Mikroelektronik

Spektrum der Wissenschaft ( 1992 ) 1 , pp . 16-2

3

/14/ Dumas, G. The JESSI Subprogram Technology

Presentation of the JESSI program

Hannover 16.03.1992, pp. 51 - 77

/15/ Doche, C. The JESSI Subprogram Equipment & Materials

Presentation of the JESSI program

Hannover 16.03.1992, pp. 77 - 89

'16/ Sauer, A. The JESSI Subprogram Application

Presentation of the JESSI program

Hannover 16.03.1992, pp. 33 - 51

/17/ - Funding News

JESSI-Inf orjnation-Letter , Issue No. 10

January 1992

/18/ Grunewald, M. Presentation of the JESSI program

Hannover 16.03.1992, pp. 5-9

/19/ Tonshoff, H.K. Research on Machine Tools in Academic

S. Brand and Research Insitutions

M. Glockner Report, IFW Hannover, 1992

/20/ Tonshoff, H.K. Investigations into the possibilites

H.G. Wobker and limits of a lathe specially designed

P. Roth to machine hard materials

Report, IFW Hannover, 1992

109

Precision Fabrication Technology in the Former Soviet Union

and Other East European Countries

Eugene I. Rivin,

Department of Mechanical Engineering

Wayne State University, Detroit, MI 48202

Introduction

Surveying precision fabrication in the former Soviet Union is an especially

difficult task because it is "former" and because it was largely a classified area. The industries responsible for precision fabrication (military industries and

affiliated industrial establishments) do not exist anymore, at least in the form

they did two years ago, and new development has practically stopped. However,

the survey, even going back more than one or two years, may be of the

significant value, since the infrastructure still exists and, more importantly, the

people who were developing precision fabrication technology are still there (or

languishing in the West) and are available and eager to transfer the technology.

Two basic premises, formulated earlier in [1] are:

• The inferior products of Soviet industry should not be

equated (or confused) with its superior achievements in research

and development. The R&D effort was represented by hundreds of

research institutes, all very large by Western standards, all employing many talented and well-educated researchers, and

many equipped with state-of-the-art facilities.

• The outrageous Soviet system of intra-industrial

cooperation resulted in shortages of practically everything, and

forced R&D practitioners to come up with simple solutions not

requiring complicated supplies and/or imported components; in

other words, necessity was the mother of invention.

To these premises, one more can be added: precision fabrication,

especially in the last five to ten years, received the special attention (and, thus,

resources) of the military due to the strategic importance of precision optical

components, computer memory systems, etc. This relates both to manufacturing

research institutions in the military-related industrial ministries (at least, twelve

huge institutions), and to the civilian research institutions and laboratories of the

institutions of higher education which were involved in precision fabrication

activities. This presentation is based on information on both activities, with the

latter better documented for obvious reasons. The infrastructure associated with

development and implementation of precision fabrication technology is not

addressed since it has been dramatically changing during the last couple of

years. Only basic areas of and development in precision fabrication are being

discusse. Information on the old infrastructure (which was essentially stable until

recently) can be found in [1]. Modern precision engineering has deep roots in the Soviet fabrication

industry. It was understood from the beginning that machine tools are precision

111
fabrication machines and that many issues related to machine tools, machining

processes, tooling, and measuring instrumentation must place emphasis on

accuracy, and on the design and production factors influencing accuracy. Recent

developments in the precision fabrication area in the former Soviet Union cannot

be well understood without some excursion into this historical background.

The leading institutions for promoting these efforts were the Experimental

Research Institute for Machine Tools (ENIMS) and the Moscow Machine Tool

Institute (Stankin, an educational institution), both organized in the early 30's.

ENIMS from the very beginning embraced an approach to machine tool accuracy

originated by G. Schlesinger, and made the development of standards of machine

tool accuracy and means and techniques for its measurement one of its leading

activities (V. Dikushin, N. Atcherkan). This activity still continues, and there is now available a most comprehensive set of state standards embracing all basic

types of machine tools. The important feature of many of these standards is classification of machine tools by accuracy levels, from general-purpose levels to "enhanced accuracy," "precision," and "ultra precision" levels. In many cases, the

accuracy parameters of the higher levels of precision were specified before the

machines were built, and then efforts were made under pressure from the

military industry customers, to build these machines.

This effort toward continuous development of high precision machine

tools and tooling was supported by extensive work at Stankin on the

development of a theory of "dimensional chains" which allows us to formulate

and assign tolerances on constitutive parts, based on the required output

accuracy of the machine or its unit (B. Balakshin). This theory was developed

during the 1930's and 40's, and immediately became part of the curriculum for

all students in manufacturing technology, machine tool design, measurement,

and instrumentation, both at Stankin and at numerous similar institutions

around the country.

Recently, this activity has served as the basis for developing a general

analytical technique for the assessment of machine tool accuracy at the design

stage, and for automatic error correction in CNC machine tools (D. Reshetov

and V. Portman [2]). It should be noted that one of the leading Japanese

researchers in the area of machine tools and manufacturing, Prof I. Inasaki,

considers [2] as "one of the most interesting and informative books relating to

machine tool technologies" [17].

All over the country, students in machine tools and manufacturing

engineering take intensive two-semester courses on metrology, tolerances, and

mechanical measurements, supplemented by a one-semester hands-on laboratory course on metrology and the operation of basic precision measuring instruments.

Note that the total length of the machine tool/manufacturing engineering

curriculum in the former Soviet Union is five years (with 40-43 weeks a year and

30-40 contact hours a week); see [3].

Some indication of the mode of operation of ENIMS is the fact that in 1982

its library held more than 125,000 volumes directly or tangentially related to the

machine tool industry. I would guess that this exceeds the total number of

112
volumes on these topics in all U.S. machine tool companies combined by at least

100 times. The library in Stankin is significantly larger.

Another very important factor which should be considered in assessment

of the state of the art of the Soviet fabrication technology, is an excellent

information service. World-wide developments are continuously monitored and

provided to researchers and designers via comprehensive abstract journals which

are published in all important areas of science and engineering. Abstract journal

on "Manufacturing Engineering and Technology' contains substantive abstracts

on 2,000 - 2,500 publications and patents in each monthly issue. It surveys

literature from many languages (English, Russian, Japanese, Polish, French,

German,...) on metal cutting, machine tools, assembly, special processes, forming

and forging, casting (see Appendix 1). This information, besides alerting

researchers and designers to the latest developments, allows to clearly visualize

principal directions of development in various areas of manufacturing

engineering.

It was understood at a very early stage that accuracy of machine tools

does not depend just on geometrical errors in the machining and assembly of

their constitutive parts, but is also heavily influenced (especially for precision

machines) by deformations of the structural parts and their joints under both

cutting and weight forces, and by thermal deformations in the machine tool

structure.

Research on contact deformations in joints was pioneered by V.

Sokolovsky in the 1930's and 40's. The issue was studied in a very comprehensive

way by D. Reshetov and Z. Levina, and now their book [4] is a desk tool for

designers of precision machine tools and other precision mechanical devices. A

similar comprehensive study was performed on structural deformations of

machine tool parts (D. Reshetov, V. Kaminskaya, Z. Levina [5], [6]). Their

developed and validated close-form techniques are still useful, notwithstanding

available finite element analysis packages.

Research work on the stiffness-related issues was accompanied by widescale measurements of stiffness characteristics of machine tools, both generalpurpose and precision. As early as in the 1950's, these efforts led to development

of industry standards on machine tool stiffness, mostly for factory acceptance

checks, supplementing standards on geometrical accuracy. Now there are dozens of standards on machine tool stiffness which might be of use to the

Western machine tool makers. Starting in the late 60's and early 70's standards

for vibration levels of machine tools at idle running conditions were also

developed. These are widely used for acceptance checks.

The importance of thermal deformations in machine tools was recognized

at the very early stages of development of precision fabrication techniques.

Pioneering work by D. Reshetov and Y. Sokolov in the early 50's ([6], [71) led to a good understanding of thermal processes, and allowed design predictions and

modifications. Now, ENIMS has developed a software package for analyzing

thermal deformations of machine tools.

It can be noted that a multi-authored monograph [6] with heavy

emphasis on precision machine tools sold 43,000 copies. This monograph

113
essentially summarized the ENIMS results. Besides other topics, it has large

chapters on spindle bearings, guideways, vibration control, mechanisms for

small precision displacements, and thermal deformations.

Precision Fabrication in the Former USSR (Machine Tool Industry)

The major difficulty in building machine tools in the former Soviet Union,

and especially precision machines, was a lack of specialized components such as bearings, guideways, ball screws, drives, controls, etc. This led to many

frustrations and failures, but also to many breakthroughs: necessity really was

the mother of invention.

With the developing need for high speed/high power/high precision

machine tools, special attention was given to machine tool spindles. At the first

stage (in the 1950's and 60's) original designs of self-aligning multi-pad

hydrodynamic bearings for precision grinding and turning machines were

designed and widely implemented [6].

These bearings allow machining of round parts with out-of-roundness

within 0.2-0.3 |im. They were incorporated into more than 40,000 machine tools,

especially cylindrical grinders, but also boring mills and precision lathes. A

heavy-duty lathe was developed which machined fifty-ton parts 1,000 mm in

diameter with a roundness of 0.2 jim. Precision boring mills equipped with the

self-aligning hydrodynamic spindle bearings machined holes with the overall

tolerances within 1.5 |im [9]. Hydrostatic guideways for a rotary table were implemented on a heavy

vertical cylindrical grinder (Kolomna Plant). Out-of-roundness for 1,500 mm

diameter parts was within 2 |im. Use of hydrostatic guideways and bearings on a horizontal cylindrical grinder (Kharkov Plant) improved surface finish (Ra =

0.125 \im).

The Vilnius Branch of ENIMS (now in Lithuania) specialized in the

development of smaller high-precision grinders and gear-cutting machines. In

about 1965, this affiliate developed and started production of a cylindrical

grinder for diameters of 100-150 mm with out-of-roundness within 0.1-0.15 \im.

A large effort was started in the 60's and is still continuing on the

development of precision spindles on ball and roller bearings (A. Figatner, [6])

and on the development of domestic production of spindle bearings with high

degrees of precision. Several facilities for manufacturing ultra-precision ball and

roller bearings were established at the large ball bearing plants in the 1970's and

80's. This work was characterized by thorough, comprehensive testing and

analysis of the best bearings from all major manufacturers worldwide, combined

with analytical and experimental studies of the influences of various bearing

parameters on spindle performance.

Extensive work on stiffness, thermal deformations, and bearings has

recently resulted in a comprehensive software package for analysis of spindles at the design stage.

Extremely high priority was given in the 1960's and 70's to the

development of various types of precision gyroscopes. Several research

institute/manufacturing plant amalgamations were equipped with state-of-the114
art precision machining facilities, and special departments were created at the

leading ball bearing plants and research institutes for fabricating ultra-precision

miniature bearings.

As early as the late 50's or early 60's S. Sheinberg at ENIMS developed and

validated a comprehensive theory of gas lubrication which was immediately

employed in designs of high-speed grinding spindles for miniature precision

bearings, and for jig-grinders for grinding holes in housings for precision

gyroscopes and other instruments [24]. Detailed analytical study of numerous

undesirable dynamic phenomena by Sheinberg made ENIMS a leader in the

implementation of 60-100,000 rpm grinding spindles in the Soviet ball bearing

industry, mostly for military application precision bearings. These spindles,

which until recently were produced by the Moscow Plant for High-Speed

Precision Electric Drives, comprise three models: 0.8 kW, 15-40,000 rpm; 0.25 kW,

40-100,000 rpm; and 0.08 kW, 120-250,000 rpm [9]. Later a similar spindle (0.25

kW, 20-72,000 rpm) was developed for precision CNC drilling machines for

printed circuit boards (manufactured by the same plant), and a heavy duty

spindle (7.5-25 kW, 24-48,000 rpm) was also developed and implemented.

Aerostatic bearings were used for circular guideways and a tool carriage

guideways of a lathe for machining large precision mirrors.

Other critical units in precision machine tools are motion supporting

(bearings, guideways) and motion transforming (lead screws, rack-and-pinion

mechanisms, etc.) devices. Some outstanding studies on the behavior of these

components have been performed and published (e.g., in [6]). These results are extremely helpful to designers but, unfortunately, are not widely known in the

U.S. Obtaining high-precision components was extremely difficult in the Soviet

Union, since they were produced by different branches of industry, i.e., by

different ministries. This situation provoked the generation of ideas and concepts

for the design of motion-supporting and motion-transmitting components which

could be produced in-house. As a result, the Soviet machine tool industry

(especially its R&D component) was for many years a leader in the development

of hydrodynamic, hydrostatic and aerostatic bearings, lead screws, etc. An extensive effort related to hydrodynamic and then hydrostatic

lubrication of bearings and guideways was launched in ENIMS in the late 1950's

and early 1960's (G. Levit).

ENIMS developed, together with the machine tool building plants,

hydrostatic systems for spindle bearings, rotating tables, lead screws, worm-rack

transmissions, etc., mostly for large machine tools. A simple and effective

technology was developed for producing high precision hydrostatic linear

transmissions (screws, worm-racks) without a need for high precision machining,

by using epoxy resin for "printing" counterpart surfaces. Some commercially

produced machines in the 1970's included a vertical boring mill with a radial

runout of 5um at 4,000 mm machining diameter, and a lOum face runout at the

same diameter. This machine was manufactured by the Kolomna Heavy Machine

Tool Plant for boring submarine propellers. A vertical grinding mill for grinding

ball bearing races had a radial runout of 2 um at 2,000 mm diameter, and 5 urn at 2,500 mm. Practically all machines of these types are now built with hydrostatic

115
guideways. The Kolomna Plant, the largest plant in the former Soviet Union

producing heavy machine tools, uses hydrostatic worm transmissions widely.

Other heavy machine tools plants, e.g., in Minsk (gantry milling machines),

Kramatorsk (large lathes), and Ulyanovsk (gantry milling machines), also use

hydrostatic systems extensively, especially for lead screws. A special technology

for "printing" long nuts and precision joining of segments of long components of

lead screw mechanisms was developed and implemented. Some of the leading

participants in this project are now residents of the U.S.

Successful attempts were made at using grease instead of oil in the

hydrostatic units of heavy machine tools. In my opinion, in the 1960's and 70's,

the Soviet machine tool industry was the world leader in the application of

hydrostatic lubrication in heavy precision machine tools.

Hydrostatic spindle bearing technology developed in ENIMS was also

utilized in many smaller machines manufactured by its experimental plant, as well as by its Vilnius branch and by the specialized precision machine tool plant

Kommunaras in Lithuania. These machines include diamond boring machines

using standard boring spindle units with hydrostatic bearings (a line of five

models with out-of-roundness within 0.3 u.m). Single spindle NC milling

machines and a special three-spindle milling machine with spindles in

hydrostatic bearings produce surfaces with Ra = 0.16 um.

The critical strategic importance of precision machine tools was well

understood in the early 60's. It was clear that building of quiet submarines, of

advanced jet and rocket engines, of precision navigation equipment for ballistic

missiles, of radar equipment, etc., was not possible without precision fabrication

equipment. As a result, a major decision had been made at the highest

governmental level to construct large precision manufacturing facilities at about

15 leading machine tool building plants. These units included buildings of 3-

10,000 sq. m (30-110,000 sq. ft) floor area with temperature maintained within

± 0.5° C, with smaller areas in some facilities in which the temperature was

maintained within ±0.1° C; state of the art measuring laboratories equipped with

the best imported and domestic instrumentation; dozens of large vibration

isolated foundations for precision manufacturing machinery and for assembly

stations, etc. These units were given the highest funding priority and were

constructed within 5-6 years.

An especially advanced "thermo-constant" building was constructed in

ENIMS in 1967. Its ground floor had 2,880 sq. m. (32,000 sq. ft) maintained at ±0.5°C, and it was used for the assembly of precision machine tools produced by

the Stankokonstruktsia Plant, an experimental facility at ENIMS which also

commercially produced machine tools. The 900 sq. m. (10,000 sq. ft.) basement

was maintained at ±0.1°C; it also contained several cabins in which the

temperature was maintained at ±0.05°C and humidity at 50 ± 5% [9]. This facility

was used by ENIMS, sometimes in cooperation with metrology institutes of the

State Standards Committee, for the development and calibration of photoelectric

and laser comparators, dividing machines, and reference scales. It was also used

for other programs. For example, the Astronomy Institute of the USSR Academy

of Sciences used the cabins to conduct experiments which allowed the

116
determination of the gravity constant to within the five-derimal-point accuracy;

geophysicists used it for tests related to continental drift. Precision components

for three-crystal spectrometers and precision magnetometers for an isochronous

cyclotron were also built here.

This facility was intended for the development of ultra-high accuracy

measuring systems for the machine tool industry. Even before the precision

temperature-controlled building was constructed, a highly accurate dividing

machine for linear scales was developed. It used an automatic photoelectric

microscope and a correction system. The machine had a line accuracy of 0.3 um

and an accumulated pitch error not exceeding 1 um per 1,000 mm. Calibration of

a scale could be performed within 0.2 urn. After the temperature-controlled

facilities were constructed, a precision laser interferometer accurate up to 0.02 um

was designed and built. It is interesting to note that during the Soviet era only

three precision linear scales were imported (from the SIP Company in

Switzerland). Numerous regional and state metrology centers are equipped with

high-accuracy reference scales of domestic origin. Thousands of precision linear

scales were used in jig-borers and other precision production machines and

measuring instruments [9].

A part of the program on construction of precision manufacturing

facilities was to develop guidelines on vibration isolation of precision fabrication

equipment. Special advanced vibration isolating foundations and their critical

components were developed and widely used in the precision manufacturing

facilities. In 1962-64, there were also developed advanced vibration isolating

mounts, along with guidelines for their application for various groups of

machine tools, especially precision tools, and for other production equipment

[6], [8]. The high technical effectiveness and ease of use of these mounts led to

their rapid acceptance in industry. During the 1970's and 80's 700,000 units per

year were produced. Some 150-170,000 units of machinery were installed per

year. The most eager users of this installation technique were military industrial

plants, which claimed a noticeable improvement in machining accuracy. Later,

original self-levelling pneumatic mounts have been developed for ultra-high

precision machinery installation.

During the development of the vibration isolating mounts for precision

machine tools, it was clear that the Western approach, in which a supplier selects

different mount sizes for different mounting points and provides technical

consulting services, was absolutely out of the question. This realization, together

with thorough research into the principles of vibration isolation, led to the

development of a self-adaptive passive vibration isolator which did not require

determining the loads on each point, and which combined optimal stiffness and

damping characteristics. As a result, one size of isolator can be used for a variety

of types and sizes of precision and general-purpose machine tools, with

performance which is clearly superior to the leading Western models [8].

Simultaneously with the construction of precision fabrication facilities at the machine tool plants, precision fabrication facilities were also erected at the

leading military-related manufacturing plants producing critical units for

advanced military equipment. I participated in consulting on and designing of

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vibration isolation systems for the Kirov Mechanical Plant in Leningrad in 1962.

Several ultra-precision gear hobbing and gear finishing machines for producing

submarine gear reducers were purchased in Germany. I remember the delivery

of a Schiess gear hobbing machine capable of producing 5 m diameter gears with

a pitch accuracy within one arc second.

Large quantities of state-of-the-art imported equipment and parts were

purchased, mostly through third countries, and frequently through fourth

countries, to avoid export restrictions. Some American vibration isolators for my

research, which was sponsored at a high level of government, were purchased

via France and then Austria. However, very heavy emphasis was given to the

development of domestic equipment.

For many years, a very significant effort was underway in ENIMS to

develop high-precision and high-productivity machine tools for cylindrical and

bevel (especially spiral bevel and hypoid) gears. High precision gears are needed

in the automotive industry, and especially in the aircraft and missile industries.

The Gear Manufacturing Department of ENIMS employed numbers of highly

educated and talented researchers and designers who developed novel kinematic

solutions for many gear-manufacturing machine tools. Especially worth

mentioning are universal gear grinder mod. 5872 for grinding spiral bevel gears

up to 800 mm in diameter using a generating method, and mod. MA5A87B for

high precision grinding of spiral bevel gears up to 125 mm diameter from a solid

blank. High-precision automated gear hobbing machines, mods. 5408A and

5310A, were developed and implemented in commercial production by the

Vilnius (Lithuania) branch of ENIMS. This branch also developed a cost-effective

technology for manufacturing ultra-high precision curvic couplings using

vibratory processes [10], [11].

As early as the 1960's, ENIMS developed and started commercial

production of the so-called "master machine" for hobbing ultra-high accuracy

worm gears for workpiece drives of high precision gear hobbing machines (mod.

543, pitch accuracy 1.6 arc sec; axial runout of the hob spindle 3 u.m; axial and

radial runout of indexing worm 2 urn; maximum diameter 1,080 mm). The

machine was very simple in design, to improve accuracy; it was at the technical

level of the best contemporary Western machines of this type.

This technology was continuously upgraded. Later, a similar "master

machine" was designed and fabricated for indexing worm gears with both cyclic

and accumulated pitch errors within 1 arc. sec. Similar technology was used to

produce "master machines" for globoidal indexing worm gears used in diamond

boring machines. These high-accuracy indexing worm gears allowed building

diamond boring machines with positioning accuracies for the axes of the

machined holes within 0.6-1 .0 urn. "Master Gear Grinder" mod. MA5878C was

designed and built in the 1970's for high precision grinding of spiral bevel and

hypoid gears with diameters up to 1,000 mm. These machines were

complemented by a precision measuring machine, Model 5726, for worm and

hypoid indexing gears with a maximum diameter of 1,100 mm.

A complete line of general purpose precision balancing machines for

rotating parts of various weights (from 10 g to 100 t) has been developed in

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ENIMS in the 1960's - 70's. It was supplemented by many special balancing

systems, such as one for balancing assembled IC engines. Two examples are commercially produced machines for balancing of rotors up to 1 kg with

balancing accuracy 0.3 urn, and for automatic balancing of electric motors with

balancing accuracy 1.0 um.

The ENIMS branch in Erevan (Armenia) developed a novel concept for

balancing high-speed gyroscopes at their working speed using exploding wires

as generators of the balancing masses. The results satisfied specifications for

precision gyroscopes. Working speed balancing was required, since the thinwalled shells of the gyroscope rotors changed their deformations depending on

rotational speed. Two leaders of the balancing group emigrated to the U.S. in

1975.

In mid-80's the Soviet Union produced over 40% of the total world output

of EDM and ECM equipment [9]. ENIMS has developed numerous pioneering

concepts which resulted in dramatic advances of both productivity and accuracy

of the so-called "energy ray" machining techniques. High precision/high

productivity grinding was facilitated by development of electrochemical

/abrasive (especially, diamond) grinding technology. Whirl copying and

combination EDM/ECM technologies allowed to produce high accuracy molds

and dies with high productivity. Ultrasonic and laser technologies were

developed for precision dimensional processing of hard and brittle materials,

such as glasses, ceramics, gem-quality stones, and semiconductor materials, such

as silicon.

A very strong group of researchers in the area of precision fabrication was

organized in Stankin [1]. It concentrated mostly on development and application

of high performance hydrostatic and aerostatic lubrication systems, especially

(but not only) for small and medium size machines of the highest precision. This

group was headed by M. Shimahovich (now living in the U.S.), who calls the area

in which he was working, and which is much broader than just machine tools,

"contactless mechanics."

The first high precision lathe (16" maximum turning diameter) with a hydrostatic spindle was designed in 1962 for the Krasny Proletary plant in

Moscow. Its fabrication was delayed since the plant was overwhelmed by the

mass production of general purpose lathes of the same size, at a rate of 1,000 per

month. Later, the plant was forced to increase this to 20,000 per year.

As a part of this program, the plant was pressured to make a highaccuracy modification of these lathes. However, in the true spirit of the machine

tool industry world-wide, they preferred to avoid the untested but promising

concept of hydrostatic bearings for the spindle, and spent time making all the

critical parts of the production lathe (bearings, spindles, etc.) to higher accuracy,

frequently at immense expense. The result was one lathe producing parts with

out-of-roundness below 3 um.

Two lathes with hydrostatic spindle bearings were finally fabricated in

1967. The machines were thoroughly tested at the plant, with outstanding results.

A brass sleeve with 100/50 mm diameters was machined with deviations from

roundness and flatness as well as runout within 0.2 um, and surface finish Ra =

0.16 um. The lathes have also shown excellent results in diamond turning;

diamond burnishing of hardened alloyed steel parts (RC 62) developed a surface

finish R7 = 0.08-0.16 um, and roundness, flatness, and relative runout of the

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It is interesting to note that this high accuracy coexisted with absolute

dynamic stability. No chatter developed at any regimes, including regimes

critical for this type of machine tool, such as 12 mm depth of cut and 0.01

mm/rev feed at 70 m/min cutting speed. Depth of cut was limited only by the

strength of the cutting edge or the power of the motor. The high dynamic quality

of the lathes allowed cutting thin, uniform steel bands from solid blanks. A chip

0.02 mm thick and 15 mm wide was nearly perfect. Another interesting note is that one of these machines did not live up to expectations when it was installed

at the cutting tools lab of the Togliatti Automobile Plant (producing Lada cars).

The lathe was used for testing cutting tools for production lines. However, these

results were misleading, since all the tools performed three to four times better

on this lathe than on any other machine tool in the plant. Notwithstanding this

exceptionally good performance, the lathe was not put in production. There were

several reasons for this. The lathe was not offered to a customer, but had to be

approved by the State Commission appointed by the Ministry. One influential

member of this commission was a lathe operator who was also a member of the

Supreme Soviet. He asked, "Who needs a lathe with such accuracy?" Another

reason was that the Krasny Proletary Plant management was afraid that if they

promoted this machine, they would be forced by the State planners to produce

huge quantities of them and to sell them at the same price as their regular, less

complicated machines.

In 1967, the Department of Boring Machines of ENIMS, together with

Stankin, made several diamond boring heads with hydrostatically supported

spindles and special driving misalignment-compensating couplings which

machined 40mm diameter holes in brass with roundness within 0.04 (im. One of

these heads was used at a military electronics R&D center for diamond milling of

the faces of large (about 180 mm diameter) polygons made of monocrystallic

NaCl for ultrasonic signal delay lines for application in long range radars and

color TV systems. These boring heads not only provided a high degree of surface

finish, but also greatly reduced damage to the surface layer of the crystal. As a

result, energy losses of reflected ultrasonic waves were reduced by an order of

magnitude, thus allowing extending the delay time and enhancing the accuracy

and range of radar systems, and the picture quality of color TV systems. The

percentage of rejects was reduced from 80 percent to 40 percent, the latter

number being due to defects in the crystals which were present before diamond

milling.

A strong interest in ultra-precision machining by the nine ministries

comprising the Soviet military-industrial complex became noticeable in the late

1960's and early 1970's. Initially, it was directed toward memory discs; later, it was predominantly laser optics-related. In the early 1970's there were no

commercially available precision lathes for magnetic memory discs, and Soviet

computers designed with hard disc memory units were manufactured without

hard disc memory, but with space for its future insertion. Meanwhile, the

computers used tape memory units.

In the late 1960's the Stankin group designed and in 1972 Krasny Proletary

started production of a diamond-turning lathe with a horizontal spindle. The

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first machine had hydrostatic spindle bearings and guideways, and machined

hard magnetic memeory discs with a surface finish Rz - 50 nm. The machine was

completely redesigned in 1979, becoming a vertical lathe with aerostatic spindle

bearings, contactless pneumo-hydraulic guideways and feed drives, and inertial

spindle drive. The spindle is accelerated by the driving motor during the

workpiece changing process, but during machining the motor is disconnected

and does not transmit any vibrations to the spindle. The driving unit for the

cutting tool is designed as a piston separated from the cylinder by a hydrostatic

sliding bearing. The lathe was designed for machining memory discs as well as

flat and spherical components of laser optics; microasperities on the machined

surface are characterized by Rz = 10 nm, and macrogeometry (waviness) is within

20 nm for machining magnetic memory discs. Production lathes are available in

five models (see Table 1 [12]). A modification of this lathe for turning flat and

spherical components up to 500 mm diameter for laser optical systems produced

surface finishes of Rz = 4-5 nm. More than eighty machines were manufactured.

This lathe was exhibited last September at IMTS-92 in Chicago, and attracted

some interest because of its exceptional performance and low price ($60,000).

Interest would be much greater if the machine had a more decent appearance.

When this machine was exhibited in 1975 at the All-Union Industrial Fair, there

was an error in the accompanying specifications list; this stated that the spindle

was supported in electrostatic bearings. The machine excited a lot of interest from

foreign visitors, especially the Japanese. M. Shimanovich remembers the

Japanese group, fifteen strong, completely surrounding the lathe, looking for

"electrostatic bearings." The error was corrected. A similar Japanese lathe (with

hydrostatic bearings) was shown in Moscow in 1980.

Some modifications of this lathe were produced, e.g., for machining the

internal optical surfaces of an X-ray laser. Designs were developed for larger,

ultra-precision lathes for machining optical components. These include

machines for huge (several meters in diameter) mirrors, not only flat and

spherical, but also cylindrical with an elliptical cross section. Krasny Proletary

designed an ultra-precision lathe with contactless mechanisms, such as lead screws. However, only the prototypes were fabricated; production could not

begin due to the non-availability of suitable NC controllers.

In 1968, Kolomna Plant also started designing an ultra-precision turning

machine for mirrors several meters in diameter.

An obvious question arises: Why were the machine tool plants

undertaking such expensive projects, knowing that they could not even start production? The answer is very simple: These were special assignments

formulated in decrees by the highest military-industrial /party authorities, who

committed all necessary resources for these projects, which were needed for the

huge Soviet "Star Wars" program.

One of the most important centers for developing military-related optics

was the Lebedev Institute of Physics of the USSR Academy of Sciences. The head

of this activity was one of the inventors of the laser, Nobel Prize laureate

Academician A. Prokhorov. He had unlimited power, but he did not believe in

machine-tool technology, and was firmly against diamond-turning lathes. In the

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Institute, he collected the best skilled precision instrument makers, and they

manually polished metal optic components for lasers. However, comparison of

the machined (turned) and manually polished optical components has shown

that the former have 1.5 decimal orders of magnitude better endurance under

intense laser radiation. As a result, Prokhorov visited Krasny Proletary and

personally ordered the machines.

During the 1970's and 80's, Krasny Proletary Plant manufactured about

1,000 high accuracy general-purpose lathes with spindles in hydrostatic bearings

and with digital display. The customers were nine military-industrial ministries,

where the lathes were used for machining hard-to-machine and /or nongrindable materials, at both rough and finish regimes. The spindle journal

diameter is 100 mm, and cutting forces up to 7,000 N for the radial component

and up to 18,000 N for the axial component are allowable.

In the early 1980's, there was a decision at the highest level to start

domestic production of consumer video cassette recorders, using the facilities of

the military radioelectronics industry. However, there was an acute shortage of

high precision machine tools for producting the mechanical parts of VCRs,

especially heads. The proposed solution was to retrofit the popular Swiss turning

machines produced by the Schaublin Company by changing the existing spindle

bearings for hydrostatic and gasostatic bearings. Unfortunately, the only plant

with a large inventory of Schaublins was located in the town of Pripyat, just next

to Chernobyl, and after the Chernobyl catastrophe the modernization program

was scrapped.

In 1988-1989 Krasny Proletary Plant and Ryazan Machine Tool Plant

manufactured high-speed, high-accuracy CNC lathes with hydrostaticallysupported spindles. The Krasny Proletary lathe has maximum machining

diameter of 400 mm, a spindle journal diameter of 110 mm, and a maximum

spindle speed of 4,000 rpm. The Ryazan lathe has a maximum diameter of 600

mm, a spindle journal diameter of 160 mm, and a maximum spindle speed of

3,800 rpm. Both machine tools keep the roundness of machined hardened steel

parts (RC62) within less than 1 |im [13]. The energy losses at high rpm in these

machines are claimed to be no higher than for similar machines whose spindles

are supported on antifriction bearings, due to the specifics of the hydrostatic

bearing designs.

In 1988, Ryazan Plant manufactured a special high-precision lathe

incorporating contactless mechanics for cutting thin precision teflon strips with a wide cutter from a solid teflon bar 600 mm diameter and 300 mm long. The strip,

for use in miniature capacitors, is 300 mm wide and 5 ± 0.1 |im thick. Other

approaches were tried, but failed to produce a tape within these parameters.

The Stankin group under M. Shimanovich was also involved in the

development of high-accuracy grinding machines. In 1969, an effort began in

the Moscow Transfer Lines Plant (MTLP) to design grinders with hydrostatics in

both the spindle bearings and guideways. Production of centerless grinders with

wide grinding wheels (600 mm in diameter, 500 mm wide) and with both

grinding and supporting wheels in hydrostatic bearings started in 1970. The use

of hydrostatic bearings led to dramatic increases in allowable regimes and power

122
utilization, in wheels life, and in reduction of rejects. Hundreds of piston pins

and bearing races were ground per hour with out-of-roundness within 0.1 fim

and taper within 0.5 urn. Only one grinder, instead of two or three, was required

for the finishing stations in the transfer lines. The machines showed an

amazingly low sensitivity to the environment. About one hundred such grinders

have been manufactured. One modification, which resulted in a noticeable

improvement in maintenance procedures, had a spindle for the wide grinding

wheel made as a sleeve rotating on hydrostatic bearings around a stationary axle.

Special cylindrical and internal grinders with hydrostatic spindle bearings

and guideways were developed for bearing races. These grinders combined high

accuracy with high cutting speed (125 m/s for OD grinding, 80 m/s for ID

grinding) and high power (drive motors up to 100 kW). About three hundred

such grinders were manufactured and installed at a new ball bearing plant (GPZ16) in Kazakhstan, where they were operated by hard-core convicts who

frequently sabotaged the machines. However, the grinders proved to be

extremely reliable and maintained high accuracy and productivity.

Grinding machines with hydrostatic spindle bearings were also used at the completely automated production line for #209 ball bearings at the leading

Soviet ball bearing factory, GPZ-1 in Moscow. The internal grinder for grinding

the outer race has a high-speed /high-power motor-spindle (30 kW, 30,000 rpm)

with hydrostatic bearings. Tests have shown that bearings whose races were

machined by the grinders with hydrostatic spindles have dramatically longer

useful lives. These grinders were designed by the Moscow Design Bureau for

Transfer Lines and Special Machines, and built by MTLP. The Stankin group (M.

Shimanovich) developed the spindle bearing designs.

In addition to the 30 kW, 30,000 rpm motor spindle, there were

developed other high speed motor-spindles with gydrostatic bearings with the

maximum sliding speed 70m/s (dn = 1.4 x 106

). The prototype units had been

built also for 15 kW/60,000rpm; 3 kW/90,000rpm; and 1.5 kW/120,000rpm.

Special design features (especially thrust bearing design) assured relatively low

losses, 15-20% of total power at the nominal speed (with the exception of the

1.5/120 spindle which had 0.5 kW losses). These units were intended for internal

grinding, but instead have been successfully tested for high speed /high

power/high accuracy milling on turning machines. Enhancement of accuracy

was due to reduction of cutting forces (in comparison with turning) up to three

decimal orders of magnitude and, consequently, reduction of deformations. This

concept was also successfully tested for precision contour turning (on the

example of an automotive piston). Tool movements for generation of the profile are much easier to accomplish since the workpiece is rotating with a much lower

rpm than for turning (150 rpm vs 1,500 rpm for the piston machining). Another

test was performed for finish machining of the tapered holes in hardened

spindles at the Krasny Proletary plant; both productivity and accuracy were

significantly better than for grinding when the spindle was supported in the

hydrostatic work rest. In the 1970's the Kama Truck Plant started full production of heavy trucks,

especially for the army. The plant uses numerous American-made machines. A

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problem developed with machining cylinder liners for the diesel engines which

were produced on the American production line. Ground external and face

surfaces of the liners were out of specifications most of the time. The Stankin

group, together with MTLP, developed a high-precision grinder for OD and face

grinding of the liners. The liner being machined was supported by gasostatic

bearings and driven by an original drive which did not create undesirable loads

on the liner. The grinding spindle and table were supported by hydrostatic

bearings /guideways. These bearings and the workpiece drive resulted in the

accuracy of the OD being an order of magnitude better than ID. Initially, these

machines were installed at the Kama plant, where they completely eliminated

rejects and also dramatically increased productivity to 1,400 liners a day, since

the power used for the grinding process could be increased from 4 to 26 kW.

Seventy such machines were manufactured for Soviet diesel engine plants,

including all tank plants. One such grinder is now being evaluated at a Litton

Corporation plant.

About 2,000 cylindrical and internal grinders with hydrostatic bearings

designed by M. Shimanovich were manufactured. They were mainly utilized for

machining the components of internal combustion engines and antifriction

bearings. A large number of big surface grinders of such makes as Matrix and

Waldrich Coburg were retrofitted by incorporating hydrostatic bearings for the

wheel spindle, while the widely-used Churchill universal grinders were

retrofitted by incorporating hydrostatic bearings in the workpiece spindle. Both

the accuracy and productivity of these machines were significantly improved.

The Stankin group consulted Moscow Grinding Machines Plant (MGMP)

in developing vertical hydrostatic guideways for the rams of gear-grinding

machines. More than 2,000 such machines have been produced. Out of this

number, about 1,000 gear grinders used modified guideways: a flat + V

combination with so-called "mutually-reciprocal choking," which were

developed in the early 1980's. Such guideways were exhibited as a novelty by

one American company at IMTS-92.

MGMP also made five heavy gear grinders with hydrostatics for gears up

to 1.2 m diameter, specifically for helicopter transmissions.

Non-contact hydrostatic fixtures (bearings) were developed for

supporting shafts and workpieces with interrupted surfaces during precision

machining. Examples include hydrostatic steady-rests for grinding the principal

surfaces of spindles for mass-produced lathes at Krasny Proletary plant, and

combined hydrostatic/gasostatic supports for tailstock sleeves with a key slot.

The latter is used for grinding the Morse taper hole in the sleeve.

Typical results were observed after hydrodynamic spindle bearings were

replaced by hydrostatic bearings in a grinder for diamond rollers for trueing the

worm-shaped abrasive wheels of Reishauer-like gear grinders. After retrofitting,

the accuracy of the rollers and the productivity of the trueing process have

improved. The life of the corundum wheels used for grinding and periods

between dressings have increased. Also increased are such parameters as the life of the rollers, the trueing rate of the worm wheels, the accuracy of the ground

124
gears, and the life of the worm wheels. All these improvements were very

significant, in many cases by two or three times.

The Stankin group developed some other advanced concepts of

contactless mechanics which were tested in prototypes in application to machine

tools. These concepts include boring spindles with automatic tool retraction

from the machined surface during the back stroke, both with rotating and nonrotating spindle; lathes and grinders with oscillating spindles, e.g. for chip

breaking; machine tools with asially movable spindle to provide for the feed

motion (thus eliminating feed drives and guideways). Use of hydrostatic spindle

bearings as guideways for microdisplacements allows to compensate geometric

errors as well as thermal and force-induced deformations; they demonstrated

resolution of about 10 nm.

Other Efforts Related to Precision Fabrication

Not only the machine tool community was involved in developing Soviet

precision fabricating technology.

As reported in [14], the East German concern of Carl Zeiss of Jena,

together with unspecified Russian collaborators, developed in the mid-1970's,

years ahead of U.S. companies, an advanced electron beam lithographic system,

ZRM12, which could print circuit linewidths as narrow as 0.5|im. Within the next

few years, steady progress in this equipment was monitored. Models ZBA-10

and ZBA-20 were able to print lines as fine as 0.1 Jim and edgewidths on the

order of 0.05 Jim while handling up to eight 3-inch wafers per hour. Thus

equipment capable of fabricating the most advanced microcircuits at the time,

such as 256k RAM, was domestically produced, and used a Soviet-built

processor to provide the high data rate necessary for the required throughput.

This very sophisticated equipment was shipped to a number of Comecon

countries, including the Soviet Union, and some units were sold to Japan, one of

the world leaders in this technology. There is no reason to believe that the

technology did not progress further. Many other breakthroughs in precision

fabrication in the micro-electronics area have been described in the open journal

Soviet Microelectronics, and it can only be guessed what else was available in the

numerous classified institutes. Another Nobel Prize laureate for lasers, N. Basov,

is reported in [14] as leading the Soviet effort in developing very high density

optical processors and data storage systems, which obviously require extremely

high precision.

A large research center, "Vibrotekhnika," in Kaunas (now Lithuania),

headed by K. Ragulskis, concentrated on developing precision mechanical

systems and their units [15]. A large area of activity is precision vibromotors

based in novel conceptual approaches. Vibro-motors with positioning accuracy

within 1.0 nm (and prototypes with positioning accuracy within fractions of one

angstrom), and with positioning speeds from 1 ^im/min to 200 mm/s, were

claimed to have been developed. Some other specific developments: a wave

transformer for continuous or discrete reversible rotation with cOmax = 8 rad/s,

Tnom = 0.015 Nm, positioning accuracy 1.0 arc. sec, dimensions 40 x 35 mm,

weight 0.1 kg; a vibratory screw mechanism with minimal axial step 2 nm, force

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80 N, dimensions 150 x 120 x 85 mm; a precision vertical vibrodrive with a range

of 0.5 mm, minimal step 10 nm, maximum transported mass 5 kg, dimensions 60

x 52 x 24 mm; a linear vibromotor with minimal step 20 nm, force 20N, max

velocity 40 mm/s; a thin-film deformable surface (60 mm diameter) employing

local displacement at 60 points by electrostatic forces, with a range of

deformation of ±3 |im, positioning accuracy 10 nm, and response time 1.0 |is; a precision linear measuring device of a novel ultrasonic type, with a measurement

limit of 250 mm and 10 nm resolution, intra-step nonlinearity 0.2 percent, and

measurement rate 100 mm/s; and a two-coordinate inclinometer with a resolution of 0.01 arc sec. Although funding was provided by the military, one gets the impression

that the Center (affiliated with Kaunas Polytechnic Institute) was not very eager

to move beyond developing working prototypes.

Both reversible and unidirectional precision piezoelectric vibromotors

were also developed by the cooperative establishment "Kvant," in Kiev, Ukraine.

Diamond tools, with both discrete cutting edges and abrasive

cutting tools, are critically important for precision fabrication. This was clearly

understood at the very early stages of industrial development in the former

Soviet Union. Concerted efforts were launched to develop domestic sources for

industrial-grade diamonds. These efforts resulted in the discovery of very rich resources of natural diamonds, and in the development of a large industry for

the production of synthetic diamonds and other superhard materials. Several

research institutes are dedicated to R&D in new superhard materials, and their

applications to tooling. These include the Institute of Superhard Materials in

Kiev, the Institute of Technical Physics in Minsk, and the Institutes for Diamond

Tooling and for Abrasives and Grinding in Moscow. Very advanced results in

diamond grinding and the design of diamond grinding wheels are described, for

example, in [21].

A significant effort was made to develop advanced technologies for

fabrication of optical parts, since even before the advent of lasers and "Star

Wars" the optical industry represented a large and important component of the

military infrastructure. Besides the high precision diamond cutting machine tools

described above, original and very effective technologies were developed for

fine grinding and polishing of optical parts. One of these technologies is magneto-abrasive machining [21], which allows removal of 0.02-0.5 mm from a metal part in 10-120 sec, while achieving a surface finish of Ra = 10-80 nm and the

required geometric shape. This technology was further advanced in the Institute

of Heat and Mass Transfer in Minsk by the application of a magnetorheological

fluid, recently developed there, with improved characteristics for programmed

(CNC) machining of optical (including aspherical lenses) or other critical parts to nanometer tolerances and angstrom surface finish (Table 2, [22]). This technology

is being developed in the U.S. under license by Byelocorp Scientific Inc. (New

York). Other technologies, such as anodo-mechanical grinding, etc., are described in [23].

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Another technology (developed in a mitary industry-related

institute) is briefly described in [26] for machining optical surfaces on silicon and

silicon carbide by polishing to surface finish within 5 nm.

There was also developed a technology for making precision

optical parabolic mirrors which doesnot require precision machinery and thus is the ultimate in cutting the ^ed tape. This technology [27], patented in the former

Soviet Union, is using rotating reservoires with fluid whose surface become

parabolic due to interaction of forces of gravity and centrifugal forces. Special

arrangements provide insensitivity to vibrations and variations of rotational

speed and it is claimed that liquid mirrors have accuracy at least on par with the

best glass mirrors.

Significant efforts were applied to developing near-net-shape

manufacturing techniques, especially precision casting and forming technologies.

While precision casting processes were developed mostly in military industry

manufacturing technology institutes, precision forming techniques for gears,

complex shape shafts, balls, etc., were successfully developed in VNIIMETMASH

(Moscow). Precision forming of splines on shafts was performed in ENIMS. A

promising "squeeze casting" technology was originally developed in the Soviet

Union and was under development for both military and civilian industry

applications.

A concentrated effort was also extended towards development of

automated assembly technologies, especially for small precision mechanical

devices. As early as 1950's - 1960's, transfer eines for machining and assembly of

various size watches (including wrist watches) were developed and successfully

implemented (NUChasProm, Moscow). This work resulted in solving many

generic problems related to automated production of precision mechanical

systems. One has to remember, that watch-producing plants (as well as photographic equipment plants) were, essentially, military plants which were

kept "warm" by assigning to them manufacturing of consumer products in times

where demand for the military products was not very high.

Metrology and Precision Measuring Instruments

A very significant activity was undertaken in metrology and precision

measuring instruments for manufacturing. The common image of the Soviet

manufacturing industry as backward in measuring technology is definitely not

correct. To begin with, the most common dial indicators used in the Soviet plants

(the cheapest, mass-produced, and very affordable) have 0.01 mm divisions,

compared to 0.025 mm (0.001 in) in the U.S. Thus, all measurements involving

dial indicators are noticeably more accurate. The Soviet dial indicators use a combination link-gear mechanism whose theory was developed in the Soviet

Union, instead of gear mechanisms in the U.S.-made indicators. Dial indicators

with such mechanisms are much cheaper to produce; they have special

compensation components built in, which provide for easy adjustments at the

assembly stage.

127
Gage blocks of all grades of accuracy are domestically produced. There is a very well established infrastructure of regional metrology centers which is a part of the State Committee of Standards and Quality. All measuring instruments

must be periodically certified at these centers. Technical guidance for the regional

centers is provided by several Research Institutes on metrology, the largest

located in St. Petersburg and Moscow.

Very popular in the Soviet metal fabricating industries are high precision

mechanical measuring instruments such as microcators and opticators with 0.02 - 1.0 fim divisions. Ya. Tseitlin, former head of the linear measurement laboratory

in the St. Petersburg Mendeleev Institute of Metrology (VNIIMS) and now a U.S.

resident, estimates that inventory of these instruments is about one million. In

the last few years, annual production was about 10,000. The microcator uses a twisted metal strip as a sensitive element; it is a reasonably rugged device. The

addition of a simple transducer makes it an electronic transducer with a resolution of 0.03 um which can be used in automatic systems (Ya. Tseitlin).

Production of such instruments never began, despite very successful prototype

testing. Microcators and opticators are not manufactured in the U.S.; the only

other manufacturer in the world is Johansson in Sweden. In U.S. shops,

measuring instruments with resolutions less than 0.00005 in (1.25 urn) are a

rarity.

One explanation for the wider use of precision mechanical measuring

instruments in the former Soviet Union is the generally poorer quality of the

available precision production equipment. Accordingly, tight tolerances are produced manually by extremely skilled toolmakers, with an ensuing need for

precision measurements.

High-accuracy measuring instruments are manufactured in large

quantities at such huge and well equipped plants as Kalibr (Moscow), Izmeron

(St. Petersburg), the Chelyabinsk Plant for Tools and Measuring Instruments, etc. However, the incorporation of electronics and digital systems has progressed

very slowly, due to a need for cooperation with other ministries.

Advanced sensors and measuring systems for active control of machining

processes, for tool condition monitoring, are developed in several "open" places,

not mentioning classified institutes. One of the leaders is Kiev Polytechnic

Institute (V. Ostafiev) where some advanced optical (and fiber-optic) systems

with resolution of fractions of one fim were developed (e.g., [16]).

Due to lack of commercially produced sensors, many novel and effective

sensor concepts have been developed and, usually, disclosed in open

publications and certificates of invention. One example is a torsional sensor

described in [18] and later perfected at Ford Research laboratories to measure

torsional velocity variations less than 0.01% [19].

With the advent of "nanotechnology", role of ultra-precision

measurements became even more important. Since only imported precision

electronic and opto-electronic instruments were available, the emphasis was on

manually operated precision optical metrology instruments, such as interferometers, which are available with the highest degrees of precision,

together with highly skilled technicians.

128
Other East European Countries

Except for the former East Germany, there was not a substantial

activity in other East European countries related to ultra-precision fabrication,

although Chechoslovakia was producing machine tools of high accuracy. This can be explained by absence of the pressure from the "Military-Industrial

Complex" in these countries. East Germany was an exception since its traditional

optical and measuring instrument industries were closely cooperating with the

Soviet computer electronics and militarized optical industries. On the other

hand, Poland was cooperating with heavy military equipment industries (tanks,

artillery) and Czechoslovakia-with heavy and light (machine guns, assault

weapons) military equipment industries. A high-precision turning laboratory

was only recently established in Hungary [201.

Poland, Czechoslovakia, and Bulgaria were producing small

quantities of precision mechanical measuring instruments. Poland also has

established a synthetic diamond industry producing about 1 mln carats a year

[25].

Conclusions

1. The former Soviet Union had numerous developments in the area of

precision fabrication technology which, mostly, had only a limited

implementation, first of all in the defense industry. A wider implementation was

hampered by the bureaucratic system of industry management.

2. These developments even now may be of a significant interest for the

U.S. industry. Besides the examples of such developments which were

accomplished in the open institutes and industrial plants, there are definitely

much more developments which were accomplished in numerous formerly

classified institutes, design bureaus, and plants of the military industries.

3. Many leading engineerings and researchers who played key roles in the

precision fabrication area are now residing in the U.S. or in Israel and their

expertise is frequently under-utilized.

4. Facilities, infrastructure, and expertise, related to precision fabrication

technology in the former Soviet Union might be utilized to the benefit of the U.S.

machine tool and other companies if a proper cooperation were organized.

5. The continuing publication "Abstract Journal on Manufacturing

Engineering and Technology" contains immence world-wide information on

latest developments in Manufacturing Engineering, including precision

fabrication issues, which is far more comprehensive than any other available data

bases.

Acknowledgment

This paper would not be possible without cooperation of many former

Soviet engineers now residing in the U.S. Especially helpful was Dr. M.

Shimanovich who prepared a memoir reflecting his work in the area of

"contactless mechanics" resulted in 5,000+ precision machines with hydrostatic

and gasostatic bearings and guideways successfully working all over the former

129
Soviet Union. Other people whose input has been used are Mr. A. Tabenkin, Dr.

Ya. Tseitlin, Dr. I. Churin, and Dr. W. Begell.

References

1. Rivin, E.I., "Soviet R&D: The Benefits for U.S. Industry,"

Mechanical Engineering, April 1983, Vol. 105, No. 4, pp. 62-71.

2. Reshetov, D.N., Portman, V., "Accuracy of Machine Tools,"

ASME Press, 1988.

3. Rivin, E.I., "Engineering Education—European Style," The

Journal of Applied Manufacturing Systems, Spring 1990, pp. 15-19.

4. Levina, Z. M., Reshetov, D.N., "Contact Stiffness of

Machines," Moscow, Mashinostroenie Publish House, 1972 [in Russian].

5. Reshetov, D.N., Kaminshaya, V.V., Levina, Z.M., "Beds and

Frame Parts of Machine Tools," Moscow, Mashgiz Publishing House, 1960

[in Russian].

6. Reshetov, D.N., ed., "Components and Mechanisms of

Machine Tools," vol. 1-664 pp, vol. 2-520 pp, Moscow, Mashinostroenie,

1972 [in Russian].

7. Sokolov, Yu. N., "Temperature-Induced Deformations of

Machine Tools," in Automatizatsiya privoda i upravleniua mashin,

Moscow, Nauka Publishing House, 1967 [in Russian].

8. Rivin, E.I., "Principles and Criteria of Vibration Isolation of

Production Machinery," Transactions ASME, J. of Mechanical Design,

1979, Vol. 101, No. 4, pp. 682-692.

9. "ENIMS is 50 Years Old," Moscow, 1983, 156 pp.

10. Rivin, E.I., "Trends in Tooling for CNC Machine Tools: ToolSpindle Interfaces," Manufacturing Review, 1991, Vol. 4, No. 4, pp. 264-

274.

11. Galinskas, A.V., Mikuckas, Yu.-R, "Experimental Study of

Vibratory Method and Means for Obtaining High Accuracy of Gear

Elements of Dividing Devices," Vibrotekhnika, 1988, 60(3), pp. 83-89 (in

Russian).

12. "Krasny Proletary," The Catalogue of Production, 44 pp,

1990.

13. Shimanovich, M. "Hydrostatic Spindle Unit of a Large HighPrecision CNC Lathe," Stanki i instrument, 1990, No. 1, pp. 16-19 [in

Russian].

14. Wohl, R., "Soviet Research and Development", Defense

Science & Electronics, September 1983, pp. 11-19.

15. Vibrotechnika-20, Kaunas, 1988, 40 pp.

16. Ostafiev, V.A., et al, "Monitoring of Limiting Conditions of

Cutting Tools with Opto-Electronic Analysis", in Proceedings of "Stanki-

'91", Kiev, 1991, p. 50-51.

17. Inasaki, I., Private communication.

18. Rivin, E.I., "Measuring of Torsional Vibrations with

Asynchronous Tachogenerators," in Antivibratsionnye Elementy Dlya

130
Technologitcheskogo Oborudovaniya [Anti-Vibration Elements for

Machinery], Proceedings of the VNIINMASH, Vol. XYIII, Moscow, 1974,

pp. 144-152.

19. Milenkovic, V., Shmuter, S., "Axle in Process Diagnostic

Tester: Development of Angular Sensors", Ford Motor Co., 1987.

20. Szabo, O., "Ultra-Precision Lathe", Gepgyartastechnologia,

1991, vol.31, No. 10, pp417-418.

21a. Yascheritsin, P. I., et al, "Diamond-Abrasive Processing and

Strengthening of Parts in Magnetic Field", Nauka i tekhnika, Minsk, 1988,

272 pp [in Russian]

21b Skvorchevskii, N.Ya., et al, "Effectiveness of MagnetoAbrasive Machining7', Navuka i tekhnika, Minsk, 1991, 215 pp [in Russian]

22. "Electro- and Magnetorheological Technologies", A.V.Lykov

Institute of Heat and Mass Transfer, Minsk, 1992, 42 pp [in Russian]

23. Tsesnek, L.S., et al, "Metallic Mirrors", Mashinostroenie,

Moscow, 1983, 231 pp [in Russian]

24. Sheinberg, S.A., ed., "Sliding Bearings with Gaseous

Lubrication", Mashinostroenie, Moscow, 1979, 290 pp [in Russian]

25. Bakon, A., Bakon, M., "Poland - the Foreseeble Future",

Industrial Diamond Review, 1991, vol.51, No.547, pp.299-300

26. "Russian Specialists at the Congress on Surface Processing",

Air et cosmos, 1991, vol.29, No.1357, pp.32-33 [in French]

27. Vasiliev, V.P., "Second Birth of Hydrooptic", Khimiya i zhizn, 1980, No.7, pp. 34-36

131
Table 1. Technical Specifications of Ultra-High Accuracy Lathes

Manufactured by Krasny Proletary Plant [12]

Parameter Model

MK- MK- MK- MK- MK6501 6502 6504 6516 6562

Max machined diameter, mm 500 500 130;

optional

45; 90;

200

500 90-380

Max thirknpss of workniece 50 120 45 150

mm

Max lpn*?th of worknieop mm 270-670

Spindle speed, rpm 300- 300- 600- 300- 300-

2,805 2,805 6,000 2,800 2,500

Working feed, mm/min 20 200

Fast feed rate of transverse 2 support, in/min

Installed power of main 4.8

motor, kW

Dimensions, mm

Length 2,120 2,120 850 2,500 2,730

Width 1,470 1,170 850 1,860 1,520

Height 1,950 1,950 1,310 2,440 1,360

Weight, t 4.68 7.75 1.5 7.9 4.5

Table 2. Performance Results of Magnetorheological

Polishing Unit [22]

Material Initial Final Productr

Surface Surface

Finish Finish

Ra, um |i.m/min

Zink Selenide 2-10' 2 12.8-10"4 0.08-0.1

Gallium Arsenide 65-10-2 10-10"4 0.34

Sapphire 1.5-10"2 25-10"4 0.02

Quartz 30-10"2 40- 10"4 0.15

Carbosital 25-10"2 150-10"4 0.15

Si3N4 Ceramics 25-10' 2 35-10"4 0.1

TF-10 Glass 9-10" 2 12-10"4 0.5

132
Appendix 1 CONTENTS OF ' REFERATIVNYI ZHURNAL' (ABSTRACT JOURNAL) ON

MANUFACTURING ENGINEERING AND TECHNOLOGY

Topic No. of abstr.per mth

General issues of machine tool industry 30

Metal cutting

Metal processing by cutting tools 92

Metal processing by abrasive tools 35

Metal-cutting machine tools

General topics related to machine tools 1

Design and research issues for machine tools 18

Control of machine tools 40

Multipurpose machine tools and machining centers 35

Flexible manufacturing systems and cells 55

Transfer lines 7

Multispindle heads and special machine tools 1

Turning machines 56

Drilling and boring machines 25

Broaching, shaping, and planing machines 3

Milling machines 25

Sawing and filing machines 17

Gear cutting machines 10

Grinding machines 60

EDM and ECM machines 50

Combination and miscellaneous machine tools 5

Components and units of machine tools 36

Auxiliary equipment and fixtures for machine tools 52

Metal-cutting tooling 105

General issues of machine-building technology 17

General topics of manufacturing

Metal-cutting technology 50

Production process planning

Design of production processes and fixtures 35

Special and universal fixtures 5 Machining quality 12

Effectiveness of production processes 8

Mechanization and automation of production processes

General issues 5

Application of FMS 13

Mechanization and automation of part machining 5

Mechanization and automation of auxiliary operations 40

Devices for recycling of lubricants and lubricoolants 5

133
Fabrication of non-metallic parts

General topics 5

Fabrication of plastic pans 6

Fabrication of parts from hard-to-machine materials 10

Fabrication of parts from miscellaneous materials 5

Technology and equipment for energy-ray processing

General issues 3

Laser, plasma, EB machining 12

EDM 25

ECM 8

Physico-chemical machining 3

Ultrasonic machining 2

Technology and equipment for thermal and strenthening processing

General issues 23

Heat treatment 28

Thermomechanical processing 5

Chemico-thermal treatment 37

Other thermal-strengthening techniques 25

Surface stengthening by plastic deformation (burnishing and shot blasting) 20

Powder metallurgy 35

Miscellaneous production processes (balancing, abrasive jet cutting, etc) 20

Production technology for machine components and units

Components for vehicles, tractors, construction machinery 10

Components for metal processing equipment 3

Components for heavy and energy-generating equipment 5

Components for instruments, electronic, and electrotechnical devices 5

General purpose mechanical components 18

Production technology for fixtures, tools, etc. 27

Miscellaneous components 9

Technology and equipment for assembly

General issues 5

Mechanical joining 9

Welding 50

Soldering 8

Adhesive joining 5

Process planing for assembly 1

1

Assembly systems for machines, instruments, and their units 23

Assembly automation 20

Hand-held machines 33

Technology and equipment for surface treatment and coating

General issues 10

Surface cleaning 27

Surface preparation 21

Metallic coatings 22

Painting and other non-metallic coating processes 24

134
Temporary surface protection and part conservation 2

Patterning, engraving, etc. 9

Combination and miscellaneous coatings 7

Installation, maintenance, and repair of machine building equipment 20

General issues of metal forming production 55

Complex (combined) forming processes 10

Forging 10

Die stamping (forging)

Theory and research of die stamping processes 18

Technology of die stamping 43

Equipment for die stamping 25

Tooling and fixtures for die stamping 10

Rolling of threads, splines, and gear teeth 1

Sheet metal stamping

Theory and research 15

Technology of sheet metal stamping 22

Equipment for sheet metal stamping 17

Automation 25

Tooling and fixtures 34

Pulse forming techniques 7

Rotary forming 9

Bending and righting of sheets and profiles; spring coiling

Bending of sheets and profiles 62

Righting of sheets and profiles 9

Spring coiling 9

Cutting of blanks 14

Extrusion

Theory and research 5

Extrusion technology 12

Equipment 4

Heating 7

Comprehensive automation of metal-forming production 10

General issues of casting production 33

Theory of casting processes

Crystallization of metals and alloys 6

Solidification and cooling of castings 12

135
Casting alloys

Cast iron 18

Steels 1

1

Non-ferrous alloys 6

Special alloys 2

Castings

Casting design 5

Quality of castings and their cleaning 20

Melting and pouring of metal

Theory and research 5

Melting of cast iron 44

Melting of steel 40

Melting of non-ferrous alloys 8

Pouring and handling of metal 12

Quality control instruments 1

Molding materials

Basic materials 7

Molding and core blends 5

Regeneration of molding materials 3

Molding paints 2

Casting into sand molds

Gating systems 3

Patterns 3

Mold and core making 8

Molding and core making machinery 8

Mold filling 3

Casting cleaning 1 Special processes 6

Special casting processes

Lost wax process 6

Injection casting 37

Low pressure casting 5

Permanent mold casting 20

Centrifugal casting 1 Continuous casting 64

Miscellaneous processes 17

Automation of casting processes 12

Note: Numbers of abstracts are given for 11-1990 issue; they vary significantly between issues.

136
Precision Fabrication R&D Workshop

29-Oct-92

Pffi

o sen: ion Fabdeattio

of impun am 199

Tomomasa SATO

RCAST,University of Tokyo

( Research Center for Advanced Science and Technologu)

This documant is a collection of the reports by

each author shown in corresponding article.

13 7
Precision Fabrication of Japan in 1993

5 Projects

Advanced Material-Processing and Machining Technology

Micro Machine Technology

SAKAKI Quantum Wave Fro^~

Quantum Functional Devices Project

Ultimate Manipulation of Atoms and Molecules

26 Indivisuai Research Activities

<National Laboratory and Universities>

Mechanical Engineering Lab., AIST, MITI(3)

Sophia University(l)

Tohoku University(l)

University of Tokyo

Faculty of Engineering(3)

IIS(2)

RCAST(3)

<Companies>

Central Research Lab. Mitsubishi Electric Co.(l)

Fuji Electric Co. R&D Ltd.(l)

Kawasaki Heavy Industries(l)

Matsushita Research Institute Tokyo, Inc.(l)

Mechanical Engineering Research La.,Hitachi(2)

MEITECCo. R&D(1)

Olympus Opt, Co.LTD.(2)

Toshiba Co.(3)

Manufacturing Engineering Reserch Center

Energy and Mechanical Engineering Labs. R&D Center

Yokogawa Electric Co.(l)

138
5 Projects

Advanced Material-Processing and Machining Technolog

Micro Machine Technology

SAKAKI Quantum Wave rVo^

Quantum Functional Devices Project

Ultimate Manipulation of Atoms and Molecules

139
Advanced MaterialProcessing and Machining

Technology (aist miti)

FY1986-1993 $125 Million/ 8 Years

Establishment of Excimer Laser, Ion Beam

Technology and Ultra-Precision Machining

Technologies, which realize precise and

highly-functionated parts, necessary for a

variety of advanced industries.

140
Project Naae : Advanced Material-Processing and Machining Technology

Large-Scale R&D Prograan

Adr ess : (Planning) Agency of Industrial Science and Technology(AIST)

MITI

1-3-1 Kasunigasek i . Chiyoda-ku, Tokyo, 100

Tel. +3-3501-9222. Fax. +3-3501-9229

(Execution) Advanced Material-Processing and Machining

Technology Research Assoc iat ion(AMMTRA)

Suiitono Seiiei Shin-Osaka Building South Wing 10F.

5-5-15 N ishi-Nakaj iia, Yodogawa-ku, Osaka. 532

Tel. +06-390-7021. Fax. +06-390-7061

Period & Budget : Period ; FY 1986 - 1993

Budget ; 15 billion Yen / 8 Years

Organization

P lann ing

A 1ST

NE DO*

AMMTRA National Laboratories

I

I

•

Ib»>..................... ....... ........ ...............................

Execut ion * Net Energy and Industrial Technology Developient Organization

Research Overview : Estab 1 ishient of Exciier Laser and Ion Beai Technologies and UltraPrecision Machining Technologies, which realize precise and highlyfunctionated parts, necessary for a variety of advanced industries.

Main R&D Subjects : A) R & D on Machine and Instrument Technologies

1) Exciser Laser

2) Ion Beai

3) Ultra-Precision Machining, including Grinding and Superfinish

B) Advanced Processing & Machining Technologies

C) Supporting Technologies, including ultra-precision measur entent D) Total Systen Technology

141
Background : It can be said that 20th Century is the era of Quantum Sciense and

Technology; the typical development might be seen in Electronics. Many

industrial revolutions have been brought about. But, in order to achieve

the real utilization of such scientific and technological knowledge, it is inevitable to get new fundamental processing means or tools to meet

with needs of 21st Century. To realize such technologies, the programm

has been started in 1986, undertaken by AIST, HITI.

Research Issues in Details : Rather detailed research issues are shown below:

A) Advanced Machine and Equipment Technologies!

1) Excimer Laser Equipment —High power, high r eputat i on , h i gh quality

and short wavelength excimer laser equ.

2) Ion Beam Equipment focuced, clustered, and wide-range energy

Ion beam and large-current, high energy

ion -beam eqs.

3) Ultra-Precision Machine —Cutting, Grinding and Polishing Machines

for Complex 3D Parts, with high-accuracy

and high-efficiency

B) Advanced Material Processing and Machining Technologies:

1) Super-preoise Form Generation —Machlnnig Cnditions etc.

2) Thin-film Coating Excimer Laser/Ion Beam Processing Cond. etc.

3) Modification of Material Properties —Excited Beam Process etc.

C) Supporting Technologies:

1) Ultra-precision Measurnent —Mechanical, Electrical, Optical,

Chemical Properties etc. of Products

and Materials

2) Evaluation Technologies Evaluation of deyeploped Machines and

Processing Technologies

(Mainly executed by National Research

Laborator ies)

D) Total System Technology:

1) Investigations International & Domestic Move towards

AMMT R&D

2) Corroborative Evidence -Design of Proving Tests in the Program

3) System Concept Offer of Total System Concept for the

practical Advanced Material-Processing

and Machining Technologies

The R&D schema is shown in Fig. 1, and Potential Applications for

next generation in Fig. 2.

International Cooporation : 1) Annually-held International Symposium by AMMUTRA

(Overseas Technology Exchange Programm)

2) General Accademic Presentai t ions

3) Information Exchange between each sector

142

APPLICATIONS FOR THE 21st CENTURY

<Ultra-precislon Machining and

Measurement *Appllcatlons> J Pressure transducer :4 --<>« X-rav optics 7 High performance NC macnine rool Micro acruarors Dlamona roois

Ultra precise press moias

Ultra-precision mree aimensionai measuring aevices

Micro sensors

Thin film analyzers Micro analyzers

pace plane

<Aerospace Applications>

Electrical generators to use in space

Rocket turpmes

Multi-function graaea chemical

composition materials

Radiation-resistant materials for space plane

Solar energy ariven sysrems

Mag-iev train

<Medical and New-Materials

Creating Applications:*"^/

Artificial pones, aenral roots, organs Blc-microsccoes 'Z^gJ^

Medical robots ~'c$5%Pf Blo-adapted polymers

Bio-ceramics . Ceramics engines

Artificial gems

New materials with improved surface

layers m
Research Schedu 1 e( Arrow Diagram)

R&D Diagram

Research Resuls In FY 1991-1992

1) " Internedlate Report of Advanced Material-Processing and Machining

Technology R&D Prograaa". 1991-3, AMMTRA, (in Japanese)

2) "Proceeding of the 3rd Slnposlua on the Advanced Material-Processing

and Machining Technology Research Project". 1991-12. AMMTRA

3) "Reports of '92 AMMTRA Overseas Technology Exchange", 1992-6

145
Micro Machine Technology

(AIST MITI)

FY1991-2000 $210 MiUion/ 10 Years

The target of the project is establishment of

micro machine technology for micro machine

systems which can move in confined spaces,

such as inside a pipe in power plant or inside

a living organism for autonomous carrying

out inspection and repair or treatment.

H6
Project Name : Large-Scale Project "Micro Machine Technology R&D"

A d r e s s : (Planning) Agency of Industrial Science and Technoi ogy (A 1 ST) , M1TI

Xasumigaseki 1-3-1, Chiyoda-ku, Tokyo 100, JAPAN

Tel. +3-35 01-92 2 2. Fax. +3-3501-9229

(Execution) Micromachine Center

Sanko Bldg. 3F. Mita 3-12-16, Minato-ku. Tokyo 103, JAPAN

Tel. +3-5443-29 71. Fax. +3-5 4 43-2

9

7

5

Period and Budget : Period

Budget

10 years

First phase: Fyl991-1995

Second phase: Fy 19 9 6-200 0 25 billion yen/10 years

F y 1 9 9 1 : 3 0 million yen

Fyl 9 9 2 8 0 0 mi 1 lion yen

Organizat ion :

P 1 anni ng

Agency of Industrial Science and Technology, MITI

New Energy and Industrial Technology Development Organization

Execution

Micromachine Center National Labolatories

Research Overview : The aim of the project is to establish micro machine technology for

realizing micro machine systems which can move in confined spaces, such as inside a pipe in power plant or inside a living organism, for automonous

carrying out inspection and repair or treatment.

Research Main Subjects : A] R&D on Advanced Maintenance System for Power Plant

1) Micro-Capsule R&D

2) Mother Ship R&D

3) Inspection Module R&D

4) Repair Module R&D

5) Research into Complete System

3] R&D on Intraluminal Diagnostic and Therapeutic System

DSensor device R&D

2) 1 aser devi ce R&D

147
application

to industry

(Advanced Maintenance

System tor Power Plant)

/ ^ application to medical treatment

(Intraluminal Diagnostic & Therapeutic System)

control,

human interface

large scale \ integration J }' system

Fig.l Micro machine technology and its applications

148
f 2mm

power plant

Fig. 2 Image of micro machine system (Advanced maintenance system for power

plant). This system consists of the following micro-machines.

(l)Micro-Capsule, (2)Mother Ship, (3) Inspect ion Module. U)Repair Module

igillbUddcr

ultnsonic otserv»uon|(ib«ncopic obscraBon ^^tj'CV.

ulcn thin treatment device U

uJcrt thin active ? bending scope I

Fig. 3

application to pancreatic & biliary ducts ) remote controlled diagnostics & therapy

Image of ^icro machine system (Intraluminal diagnostic h. therapeutic

system). This system consists of the following micro-machines.

(l)Flexible active catheter. ( 2) Mu 1 1

i -f unc t i ona 1 diagnostic device.

(3 ) Mu 1 t i-f unct ional treatment device

149
Background : Micro machine systems ccmposec of a number of smail-sized functional

elements are expected to produce far-reaching changes in various fields of

technology. As micro machine technology is still in its infancy, the

establishment of the technology will involve heavy funding, high risk ana a long period of time. In view of these circumstance, the Ministry of

International Trade and IndustryOl ITI ) emoarked on "Micro Machine Technology

R&D" as one of the Large-scale Projects in Fy 1991.

Research Issues in details : This project envisions an advanced maintenance system for power plant

(Fig. 2) and an intraluminal diagnostic and therapeutic system systemCFig. 3).

and developes verious kinds of functional modules(shown in Table 1) that

compose these systems. The R&D in the first phase of the project(Fy 1991- 1995

)

is aimed at establishing the basic technologies shown in Table 2. The R&D plan

during the second phase( Fy 1 996-2000 ) has not been determined in detail yet.

but will focus on the advancement and systematization of the micro macnine

technology through R&D of devices, modules and systems.

Table 1 Functional modules and its components

Module Main Components

Micro-Capsule Dynamo, Steering mechanism. Flaw detection device.

Position detecting device. Signal oscillation device

Mother Ship driving mechanism. Optical device. Clamping mechanism.

Battery, Group control. Behavior control

Inspection Module Inching worm driving mechanism. Visual sensing device.

Spectrum annalying device. Functional connection. Light

energy supply device, Coordination control

Repair Module Tube type manipulator. Optical driving mechanism. High

power source. Photo-cell & boosting device. Environment

sensing device

Others Tactile sensor. Multi-sensor device. Laser irradiation

device

150
Table 2 3asic technologies on micro macnine

Basic Technologies

Functional

Micro-Elements

( DActuators. Motion transfer Mechanisms. Sensors

(2)Micro-Machinmg & Fabrication. Bonding

i Energy Supply

i

(1) External Energy Supply

(2) Internal Energy Supply

System Control Information Processing, Communication. Cooperative Control,

i Evaluation Measurement and Evaluation for Micro Elements and Devices

International Cooperation : DSRI internationaKU. S. ), IS Robotics Inc. (U.S. ) and Melbourne Institute of

Technology(Australia) have been participating in the pro]ect since Fy 1 99 2. 2)Micromachine Center Executing the project has some cooperation plans which

are the support of international conferences, exchange of reseachers between

Japan and abroad, and others related to micro machine technology R&D.

Research ScheduleC Arrow Diagram) : Schedule of Large-Scale Project "Micro Machine Technology R&D" is shown

in Fig. 4.

First Phase Second Phase

1991 1992 ; 1393 i 1394 i 1995 1996-2000

Advanced Maintenance I 1 System for power plant

(Micro-capsule. Mother

ship. Inspection module. Survey R&D on ( R&D on Repair module k System) on Basic Technologies Devices.

Techno logy & Micro-Devices Modules.

Intraluminal Diagnostic k Systems ) k Therapeutic System

(Sensor Devices, Laser

Device k System)

I

1

'

Fig. 4 Schedule of Micro Machine Technology R&D

151
Research rssuits in Fy 1991-1992 : DDetailed survey on the present state of aicro machine technology

2) Concept design of power plant maintenance system and medical system

3) Feasibili ty study on the system concepts

4) Reseacn or, basic technologies (functional elements, fabrication methods, and

others

)

References : "Survey on Micro Machine Technology" ( in Japanese). Micromachine Center. 1992-3

Project Name : Large-Scale Project "Micro Machine Technology R&D"

152
SAKAKI Quantum Wave?***

(ERATO JRDC)

FY1988-1993 $l7M/4years

The project is studying quantum wave

effects in advanced quantum

microstructures of 50-200 A such as

quantum wires and boxes, highly

heterogeneous layered structure

containing organic materials, metals

and/or insulators as well as conventional

semiconductors.

153
Background

The evolution of the theory of quantum mechanics has -made

possiDle a deep understanding of the -characteristics and behavior of electrons, atoms, molecules and crystal structures. Included in quan- tum mechanics is wave-particle dualism; this phenomenon does not

limit 'applications hut, rather, fosters wide-ranging possibilities

Though electrons in a semiconductor are many times analyzed using

quantum mechanics, their behavior in devices with dimensions greater

than 1000 angstroms (A) can be thought of as particles with three- dimensional freedom, since the wavelengths involved are relatively small. Most existing semiconductor devices have sizes greater than

1000A (= 0.1 \im). The transistor can, thus, be described in terms of current control, just as water flow in a pipe.

By using nano-fabricalion techniques, however, ihcre is the possibility to make semiconductor structures with atomic-scale features. Elec- trons confined at this level lose their particle nature and behave like waves in the confinement direction: quantized with restricted energy

levels, depending on their wavelengths, just as sound in an organ pipe

is restricted by the pipe length.

Hiroyuki Sakaki has been a pioneer from the early 70's in pursuing

low-dimensional solid-state devices that are based on the wave nature

of electrons. The types of targets that he set more than ten years ago have become common targets for many materials scientists. Research Strategy

The Sakaki quantum wave project is studying quantum wave

effects in advanced quantum microstructures of 50 -' 200A, which have

hitherto been difficult to produce. These include such novel structures - as quantum wires and boxes, highly heterogeneous layered structures containing organic materials, metals and/or insulators as well as conventional semiconductors.

Applications are being sought which transcend the usual views of electronics and devices: a novel electronic filter in which electrons of particular wavelength are strongly reflected by periodic arrays of quantum wire and/or boxes. Electrons confined in a quantum wire

structure should exhibit an extremely limited change in the propagation direction through scattering and obtain high mobilities. By using

quantum-box arrays as a semiconductor laser material, with completely

quantized electronic levels, this system should behave as an "artificial atom" with a large lasing efficiency. Such devices may open an entire new field in which the quantum wave nature of electrons could be fully controlled and exploited.

154
Research Progress

Theoretical works have been made to predict, control, and explain

novel transport and optical properties of electrons in quantum structures: they include a novel scheme to suppress phonon scattering in semicon

ductors, a noise analysis of quantum interferometers, a light modulate;

and a light source using quantum wires.

To allow the full exploitation of quantum effects, novel methods

have been explored to fabricate quantum wire structures with feature

sizes of about 100A. i

1|im

One method is an etch-and-overgrowth approach to form the wire on 1 the edge surface of quantum wells. Here, all processings are carried out

in an ultrahigh vacuum (UHV) environment to maintain a clean

sample surface. A special multi-chamber system has thus been designed

in which molecular beam epitaxy (MBE) is carried out in one chamber

and electron beam induced etching in another. After growing an: AlGaAs/GaAs layered structure, it is selectively chlorine-gas etched tof"

|A

form V-grooves. This pattern is drawn by electron beam irradiation by molecular beam epitaxy on a reverse which enhances or suppresses the local rate of etching. The AlGaAs micromesa lor the formation of edge

layer is then regrown over the "V" edge. An etching-regrowth quantum wires, heterointerface has been proven for the first time to be sufficiently ( a ) clean to make quantum wires.

Another method takes advantage of the selective epitaxial growth of

GaAs on a pre-patterned substrate, leading to the facet formation.

Quantum wires can be fabricated on the surface of such facets. uj

Yet another method uses the gentle etching of partially-maskedl

multiple GaAs/InGaP wells, the subsequent overgrowth of GaAs and.

InGaP on the revealed edges of wells-by- chloride atomic layer- epitaxy. : The . resultant T-shaped wire structure (a crossing of two, wells) is

( b ) expected to confine both electrons and holes at the crossing point, since

the cross region is energetically more favorable.

Fabricated quantum, wire structures are now being characterized,

especially by magnetotransport and optical spectroscopy using far infrared light, which has started to reveal novel properties of confined

electron systems.

Novel quantum structure containing organic conjugated 7t-electron materials, such as alkyl-oligothiophenes and oligoacenes, are expected p

to show interesting properties, owing to their quantum box-like nature. .' .'^jffi&ffi Well-ordered thin films of these materials have been prepared in a '?-^re*fin UHV chamber. Their optical and transport properties are being studied, including a relatively high hole mobility in a field effect transistor

/r-r-"n\ r i.u- i_ T-shaped quantum wire structures formed (FED ot sexitniopnene F systems. . 7 , i ^ ^ oy atomic layer epitaxy on (a) cleaved and

(b) V-groove etched edges of GaAs/InGaP

superlattice.

155
Quantum Functional

Devices Project (aist,miti)

FY1991-2000 $40 Million/ 10 years

The purpose of the project is to establish

basic technology for developing electronic

devices by controlling quantum effects

with ultra-high speed and multi-functions

essential to industry in the next generation.

156
Pro jeer Name : Jisedai Program 'Quantum Functional Devices Project

Address : (Planning)

Agency of Industrial Science and Technology (AIST)

Ministry of International Trade and Industry (MITI)

Kasumigaseki 1-3-1, chiyoda-ku, Tokyo 100, Japan

Tel. +31-3-3 501-7869 , Tax. +61-3-3501-7924

( Execution

Research & Development Association for Future Electron Devices (FED)

Fukide Building No. 2 4-1-21

Toranomon Minatoku, Tokyo 103, Japan

Tel. +81-3-3434-3893, Fax. +61-3-3434-7320

Period and Budget : Period 10 years First Phase ; Fy 1991-1994

Second Phase; Fy 1995-1997

Third Phase ; Fy 1998-2000

Budget 5 billion yen/10 years

Organization:

r Planning

Agency of Industrial Science and Technology, MITI

"~1

New Energy and Industrial Technology Development Organization

r

i

i R&D Association for Future Electron Devices National Laboratory

~1

Pesearcn Overview : The purpose of this project is to establish basic technology for developing

electronic devices by controlling quantum effects with ultra-high speed and

multi-functions essential to industry in the next generation.

Research Main Subjects : A) R&D on basic technologies for establishing quantum functions and R&D on basic technologies for fabricating and evaluating quantum

microstructures

B) R&D on device application technologies for quantum functions, R&D on technologies for fabricating element devices based on quantum functions

and R&D on technologies for fabricating integrated systems.

1 ) Tunneling control functional device R&D

2) Quantized-Band-coupiing multi-functional device R&D

3) Resonant electron-transfer functional device R&D

4) Quantized energy level memory device R&D

5 ) Coupled quantum dots device R&D

6) Quantum-wave structure functional- device R&D

157
Approx. 100A Approx. 100A

(A) Quantum wire (B) Quantum box

• When electrons are confined in a quantum wire or quantum box whose sectional dimension (about 100.A) is similar to the electron wavelength, the quantum effects

become conspicuous.

Fig. 1 Basic conceptual diageam of a three-dimensional quantum microstructure and

Reducing sizes of devices in DRAM

158
Quantized electron energy in zero-dimensional

(quantum-dot) structure — Increased information capacity

(Applicable to storage devices)

Electrons

ooooo

-e

77

-e-e- oo v/r . Era

En - Eo Encorr/L2

If "L" is large, then ail electrons are

at the same energy level, but if "L" is small enough, then the electrons separate into

different energy levels as illustrated above.

Predominance of the wave motion of electrons,

Increased coherence -* Multiple functions, ultra-high speed,

lower power consumption

(Applicable to switching devices)

Amplitude 1

Amplitude 1

When the phases are matched

Amplitude 2

When the phases are shitted 180 degrees

Amplitude 1

Amplitude 1

Amplitude 0

Electrons have two different characteristics; particle and wave motion. The characteristics of the wave motion appear

in the ultrafine structure of a device.

Fig. 2 Quantum effects utilized for quantum functional devices

159
Background : Stepping into the mesoscopic realm in fabrication size the operational

limit of conventional devices based on classical solid state electronics is

going to be encountered due to the appearance of quantum phenomena.

Quantum functional devices wnich enaole us to overcome this limit and to

utilize positively quantum effects appearing in ultrafine structures (less

than O.lum) are urgently required to pursue.

In addition, the Quantum Functional Devices Project owes its possible

success to the two former Jisedai projects entitled " Superlattice Devices" and

"Three Dimensional Integrated Circuits" utilizing their fruitful results.

The Quantum Functional Devices Project started in the 1991 fiscal.

Research Issues in details : New Energy and Industrial Technology Development Organization (NEDO) has

entrusted the promotion of this project with FED. FED has subcontracted with

the six private companies (NEC, Motorola Inc., Matsushita Electric Industrial

Co., Ltd., Fujitsu Ltd., Sony Corp., and Hitachi, Ltd. ) as research members.

They proposed their own sub themes individually as shown in Table 1.

Table 1. Sub-theme devices and their features

Device Features

Tunnel ing-control

functional device

• three-terminal tunnel device named surface tunnel

transistor ( STT

)

• interband tunnel current between a 2 dimensional

electron gas ( 2DEG ) and a p" -region is controlled

by a gate voltage

Quantized- band-coupling

multi-functional device

• quantum multi- function transistor ( QMT

)

• channels coupled by resonant tunneling effects

occurring between their quantum wells

• the conductivity of the resonant quantum well is

modulated

Resonant electrontransfer functional

device

• device unit consists of a silicon quantum wire and

a silicon dot

• they are coupled each other through tunneling

barrier

Quantized energy

level memory device

• quantized electron energy levels in quantum boxes

are utilized for memory states

• quantum boxes are formed at a intersection of two

orthogonal interconnections

• ultra-high density of a ~ 10 Gbit/cm2 is realized

Coupled quantum dots

device

• quantum dots arranged in a array are utilized for

coupled quantum dots system ( CQDS

)

• patterns of electron distribution in the CQDS

• strength of coupling between dots depends on the

distances between them

Quantum-wave structure

functional device

• quantum wire waveguides are formed in parallel on

a substrate

• phase modulation of quantum wave in quantum wire

is utilized

160
International Ccooeraricn : 1) Motorola Inc. j USA ) has been participating in the project since F-/1991 as

a sub-contracted member.

2) FED surveys foreign activities of quantum functional devices research.

In 1992, Prof. P.M.Petroff (University of California, Santa Barbara) and

Prof. Dr. K. v. Klitzing (Max-Plancx Institute) will report from USA and

Europe respectively.

Researcn Schedule : Schedule of Jisedai program "Quantum Functional Devices Project" is shown

in Fig. 3.

1991 1992 1993 1994 1 9 9 5 | 1996 19 97 1998 1999 2000

Phase I Phase II Phase III Fabrication and evaluation of quantui structures

Basic technology for control ing quantui functionity

Basic technology for

device fabrication

Production of unit

device functions

Evaluation of

prototype device

e 1 e i e n t s Production of

functional

blocks

Evaluation of

advanced device

e 1 e e n t s Production of

i ntegrated

systems

Fig. 3. Schedule of Jisedai program "Quantum Functional Devices Project"

161
Research results in FY 1991-1992 : 1 ) 2 dimensional analysis in Surface Tunnel Transistor

2) Surface Tunnel Transistor: Gate -Controlled lateral Internal Interoand

Tunneling Device

3) Quantum Functional Device (with Si material)

4) A New 3/ V -Gbit-SRAM Cell Using A Double-Emitter Resonant-Tunneling Hot

Electron Transistor Structure

5) 2-electron energy level in a square quantum dot with limited barrier

6) Direct Measurement of Surface Recomoination Life-times GaAs Quantum wires

by Time Resolved

7) Electromagnetic field profile of excitonic polariton in quantum wire

waveguide

Project Name : Jisedai Program "Quantum Functional Devices Project"

162
Ultimate Manipulation of

Atoms and Molecules

(AIST MITI)

FY1992-2001 $21 Million/ 10 years

The purpose of this project is to develop

techniques for probing and manipulating

atoms and molecules on solid surface or

in three-dimensional space with extreme

precision, and their support

techniques,as common fundamental

technology for such fields as new

materials, electronics and

biotechnology.

163
Atom - molecule Space Plan

- Project : Ultimate Manipulation of Atoms and iMolecules -

K. Tanaka

Electrotechnical Laboratory

1-1-4 Umezono, Tsukuba-shi, Ibaraki 305, Japan

The Ministry of International Trade and industry has decided to seek

budgetary support for a new National R&D Project entitled "Ultimate

Manipulation of Atoms and Molecules" with the aim of contributing to the

international community through R&D in the field of basic science and technology.

The new project is to be carried out at a new AIST institute named

"Interdisciplinary Research Institute for Industrial Science (IRIS)" which

will be established on the 1st of January , 1993, in Tsukuba, Japan.

Introduction

On account of recent development in probing and control technology

with regard to microscopic objects, larger flexibility has come to be available in developing relevant technologies in such areas as new materials, biotechnology and electronics. New materials bring about new technology and

vice versa. A sort of resonance effect arising in this way has led to such recent developments, and as a result, the technologies in those areas are changing

from submicron level to angstrom level in controllable dimensions.

In view of the trend of technological revolution, there is a strong desire

for the observation and control technology of microscopic region to be further developed. But there is a serious limitation to the development in a extrapolation of existing technologies.

Therefore, with the objective of realizing a breakthrough over the limitation that is needed to ensure further advance of technological revolution, the

project has been worked out that aims to develop, as a generic technology in

various fields, new technologies and their support technologies that can

allow single atom or molecule either on solid surface or in 3D space to be

observed and manipulated with extreme precision.

It has been also decided, in order to attract the best scientists, that the

project should run in a new AIST institute with a peer-review granting

mechanism and competition by research quality. The new AIST institute is tentatively named as "Interdisciplinary Research Institute for Industrial

Science (IRIS)" which will be founded on the 1st of January, 1993, in

Tsukuba. An outline of this project is described below (see a cartoon in the

figure), although details will be finalized towards the end of 1992.

164
Description of R&D

(l)Technology for observing atomic and molecular structures of materials.

*Static atomic- and molecular- scale structure probing technology

To develop fundamental tools for probing and identifying (species and

electronic states of) atoms and molecules either on solid surfaces, in vacuum

or in solutions. The new technology aims to be applicable to a broad spectrum of materials and structures, while the existing technology is mainly applicable to electrically conductive materials.

*Dynamic atomic- and molecular- scale structure probing technology

To develop fundamental tools for high-speed, time-resolved in-situ observation of surface processes at atomic and molecular levels during growth,

reaction and etching of the surface.

*DNA structure probing technology

To develop techniques that permit direct observation of DNAs at atomic

levels, as a useful tool to unveil the puzzle involved in arrays of particular

bases.

(2)Technology for controlling and forming structures at atomic and molecular levels.

^Technology for manipulating atoms and molecules on solid surfaces

To develop techniques that permit atomic layer's at prescribed regions on solid surfaces to pile up or to be peeled off, and particular atoms to be re- moved, transported or embedded on the surface.

technology for manipulating atoms and molecules in 3D space

To develop techniques that permit single ion, atom and molecule to be

supplied in a controllable manner, held quiescent, moved, and set into collision and reaction in 3D space, and that furthermore allow softlanding of

those atoms and molecules onto the surface of particular materials.

(3)Basic support technology

*Theoretical support

To develop simulation techniques for theoretically predicting possible

surface processes through theoretical studies to elucidate the phenomena of

surface and interface reactions and of atomic and molecular reactions, that are of fundamental importance for probing and controlling atoms and molecules.

165
*Ultra-high vacuum technology

To develop fundamental techniques for achieving a ultra-high vacuum

diat is essentially necessary for probing and manipulating atoms and molecules on solid surfaces or in 3D space, as well as to develop precision ultrahigh vacuum gauges.

*Femto-second high-power laser technology

To develop a tunable femto-second high-power laser for probing, manipulation and chemical modification of molecules.

Scale- of R&D

Funding is expected to amount up to around 25 billion Ye., for 10 years

starting 1992, depending on further considerations.

Organization for R&D

To be conducted at a newly planned research institute in Tsukuba, Japan,

tentatively named "Interdisciplinary Research Institute for Industrial Science

(IRIS)", while encouraging researchers from national research institutes, private sectors, and universities to participate in collaborative work involved in

the project at the institute. ERIS is to be established on the 1st of January,

1993, as a new institute attached to the Agency of Industrial Science and

Technology (AIST), MITT.

The 1992 plan of R&D

To conduct feasibility study on basic technologies for probing surface

structures at atomic and molecular levels, technologies for controlling and

forming structures, and support technologies.

166
167
26 Indivisual Research Activities

<National Laboratory and Universities>

Mechanical Engineering Lab., AIST, MITI(3)

Sophia University(l)

Tohoku University(l)

University of Tokyo

Faculty of Engineering^)

IIS(2)

RCAST(3)

<Companies>

Central Research Lab. Mitsubishi Electric Co.(l)

Fuji Electric Co. R&D Ltd.(l)

Kawasaki Heavy Industries(l)

Matsushita Research Institute Tokyo, Inc.(l)

Mechanical Engineering Research La.,Hitachi(2)

MEITEC Co. R&D(1)

Olympus Opt, Co.LTD.(2)

Toshiba Co. (3)

Manufacturing Engineering Reserch Center

Energy and Mechanical Engineering Labs. R&D Center

Yokogawa Electric Co.(l)

168
Sci enti st : K.Okano/ i .V/ai da & T.Sutoh

Af f i 1 i ati on : Machining Engineering Dw., Mechanical Engineering Labolatory,

AIST, MITI Adr ess : 1-2/ Mamiki/ Tsukuba City/ ibara«i-ken/ 305 JAPAN

Tel. 0298-58-7072

Research Over vj ew : Micro-grinding by which 3-di m ensi o na I micro-parts such as micro

tur bi ne-r ot er & helical gear can be machined has been investigating. The

micro-grinding is to be comoinea with e i ect r o-cnem i ca I process to improve its

micro machining abiiity.

Research Topi cs :

1) Characteristics of micro grinding

a) Smallest part to be machined

b) Machining Accuracy

2) R&D of forming technique of micro grinding tool

a) Forming of grinding wheel for micro form grinding

b) Application of electro-chemical dressing to micro grinding wheel

3) R&D of Electro-Chemical Mi cr o-Gr i na i ng( E.M.G.

)

a) Characteristics of E.M.G.

b) Effect of combination of Grinaing ana El ectro-cnemi cai machining

Research results in fiscal year cf 1992 :

1 )Ch ar act er i st i cs of micro grinding

Smallest dimensions of micro part obtainable in grinding was experimentally

investigated. A rib with minimum QUm thickness and maximum 200 U m hight can

be machined on cemented carbide. In cylindrical grinding/ minimum diameter of 40 U m with maximum aspect ratio of 50 can be obtained.

The relation Detween wear of grinding wheel and work material properties

such as hardness/ fracture toughness/ tensile strength was examined. The

wheel wear is influenced considerably by hardness of the material.

References:

169
"Mi cr o-gr i ndi ng

•^.Okanc, i .V/aida & T.Sutoh

Mechanical Engineering Laboratory, AIST, M1TI

Gr i ndi ng;

Merit O good machining accuracy and good surface roughness

Demerit • Deformation or rupture of micro-parts by grinding force

Grinding force reduction

by assistance of electrochemical process and/or

eiectro-chemicai dressing

Worn grit After gr.nding

BCDul

I

^Metir bond"; '"//////f surface)

I I

Protruded orit (Sharp

, °X ed ^oS/j^fM^ surface)

Electro-conductive ^ cool ant

Power supply

Electro-chemical grinding

Electro-chemical dressing

of grinding Wheel

New micro-grinding

3-dimensi ona I micro-parts

Wheel for form grinding

Tar get;

Development of high-precision machining for

3-dimensi ona I micro-parts

170
Primal Scientist : Ryutaro MAEDA

Affiliation : Mechanical Engineering Laboratory /AIST/MITI

Address: 1-2 Namiki Tsukuba Japan 305

Number of staffs ?

Research Overview

Interface activation method, pressure joining under ultra high vacuum condition is studied,

by which the joining can be done at low temperature and low deformation of the joint. The

method was mainly applied to the joining ceramics to metals and is going to be applied to Silicon to metal joining for micromachine fabrication. The author aims to accomplish the

joining for the sample of practical size and the effect of surface conditions such as

composition or surface morphology is investigated. Electro-chemical polishing, CVD

process, Sputtering deposition are also studied for surface preparation.

Research Topics

1 )Ceramics to metals joining by interface activation method

The joining is performed by the method in Ultra high vacuum condition for AI203 , Zr02,

and Si3N4 to aluminum alloy

2) Silicon to metal joining by surface activation method for micromachine fabrication

The joining Si to metals is investigated with special emphasis is laid on pressure loading.

The pressure load is applied by electrostatic or electromagnetic force in order to attain

uniform pressure distribution in the wafer.

3) Surface preparation for joining

Electrochemical polishing, EEM like polishing are studied to obtain flat and defect free

surface, and sputtering and chemical vapor deposition process are investigated for

surface modification technique for joining.

Research results in fiscal year of 1993

1) Joining strength was strongly affected by surface preparation. Clean, flat and defect

free surface is suitable for the joining.

2) Utilization of sputter etching and deposition and relative rotational sliding between

joining surfaces realized edge to edge joining of AI2O3, ZrC*2 and Si3N4 to aluminum

alloy.

3) Single crystal film of Si was proved to be formed on Silicon or metal by surface

activation method.

References

(1 ) R. MAEDA, H. YAMAMOTO : " Application of friction in vacuum to solid state bonding.", Journal of Japanese Society of Tribologist, vol. 34, 1989, No. 12, p860.

(2) R. MAEDA, H. YAMAMOTO :"Low temperature bonding using friction in a vacuum"

MRS Intl. Mtg. on Adv. Mats. vol8,p286,1989 Matenal Research Society

(3) H.Takagi et al.:"High resolution electron microscopy of Al/Si and AI/Si3N4 interfaces

prepared by room temperature bonding method", J. Jap. Inst., Metals, vol. 55,

No,8(1991)p907

171
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172
Primai Scientist: Shizuka NAKANO

A fflliarinn : Machinery Department, Advanced Technology Division

Mechanical Engineering laboratory, AIST, MITI

Address: Namiki 1-2, Tsukuba, Ibaraki, Japan 305

Tel. +81-298-58-7163, Fax. +81-298-58-7007

Numher nh staff- 2

Research Overview

"Functional Fabrication" is a new concept of fabrication technique for micro

machine elements. Owing to the thin thickness of modified layer and the capability

of making small spot of modified area, the high energy ion implantation method

becomes one of the effective material modification technique . for micro-machine

elements. In addition, the combination of the modified materials brings about a new

functional effect as a whole.

Research TnpirsConcept: (1) It is better that the function of micro elements is made from material

control (design) than form control (design). Because, the material fabrication is more easily than precise forming.

(2) The high energy ion implantation technique is better process to control a material of micro elements. The region it controlled is 0.1 |J.m order and the and

implanted ion are freely selectable.

(3) For examples, the elastic property of ion implanted materials are decreased over

the 20%. The fracture toughness of silicone are increased by ion implantation. The

electric reactance are decreased by gold ion implantation.

Research results in

t .fiscal vear nf l)Evaluation technique for elastic properties: We have developed the micro three

point bending tester. The distance between supporting edges is 400 u.m. This system can load from 0.098 to 490mN and measure displacement of loading edge with

lOnm resolution. Young's modulus of ion implanted stainless wire was measured to be lower than that un-implanted one.

Reference:

1: S. NAKANO, K.YAMANAKA, H.OGISO, T.KODA, "Functional Fabrication

for Micro-Machine Elements Using High Energy Ion Implantation Technique"

Proc. of 3rd Int. sympo. of Micro Machine and Human science (Oct- 1992) Nagoya

2: S. NAKANO, K.YAMANAKA, H.OGAWA, T.KODA, "Three point bending

test for Micro Machine Components", Proc. of 70th Conf. Vol.B (Sep- 1992)

Nagano (in japaniese)

173
"Functional Fubrication"

for micro machine elements using MeV ion implantation

Shizuka NAKANO (Mechanical Engineering Laboratory, AIST, MITI)

£ 200

Forming

_i 130 1-

Simple Form Few pans ASSlSt

s> 100 k- 2

3

! 1

! o

Active Control

Functional Fabrication

SI 10 N IMPUNTED |

Figl Functional Fabrication control the

material of elements activlly using high

energy ion implantation.

* 06 »0 i ,t 2 : OE-2 ) OB -2 « OE-2 5 . OE • 2 L OA D ( N

]

Fig. 2 Young s modulus of stainless

wire. Si 2.5x1017 /cm2 implanted wires were lower than that of un-implanted.

1 S ize different implantationi

Elastic Flexible Joints

Tuning : Elastic Actuator or Sensor

Fig3 Exaples; Changing elastic properties:

1) Elastic Flexible Joints decrease the number of elements and assemble process.

2) Tuning the sensor or actuator corrects it's forming error and decrease the

forming pattern.

Teeih: Hardness. Touehness

Modification Creation Ion A

Electrode /

Bi-metal type actuator Fig4 Functional Fabrication has 2 Roles: iMaterial modification and creation.

174
Primal Scientist : Katsufusa SIIONO

AfTiliation : Sophia University. Faculty of Science and Technology

Address : Kioichco-7. Chiyoda-ku. Tokyo, Japan 102

Tel.03-323S-3412. Fax. 03-3238-4 15G

Number of staffs : 2( 1 1 students)

Research Overview : Main target of our research is CMOS integrated circuits. Our tools are Bitmap CAD, EB direct lithography, and other process equipments. By the

use of delineation technology and materials, microfabrication of polysilicon

sliders and rotors is possible. Observations of micro step motion and combination with CMOS control circuits and solar cell power supply are our way

of research on micro-machining on an Si wafer.

Research Topics :

1) Micro Turn fable: By the use of self-align process technology, a rotor with

a shaft and a cap was fabricated as an assembled form. The diameter was

100/xm. The rotation speed can be controlled by the frequency of AC supply.

2) Micro Slider: The polysilicon plate ( lOOjim x 50^m) with bushing (h =

3/im) moves along the polysilicon belts. The step motion mechanisms are analyzed and the movement was controlled by the frequency and voltage of

AC supply.

Research results in fiscal year of 1993 : A new step motion of polysilicon sliders and rotors was found. They will be

used in electronic consumer products and computer periphery.

References:

1) Terunobu Akiyama and Kafsufusa Shono: An Electrostatic Polysilicon Actuator for Micro-motors, Proceeding of Japan-Korea Joint Seminar, Taegu,

Korea, ppl64-173 (August 1992).

2) Cong-Kha Pliam and Katsufusa Shono: CMOS Cell Compiler for a Bit- Mapping CAD System. 1EICE Trans., ET4 (1991) pp2603-2611.

3) Katsulusa Shono and Ryo-ll Kang: Operation Cell Blocks for Combination

CMOS Digital Analog LSI. IEEE Tokyo Chapter Denshi Tokyo, 30 (1991)

pp!6-20.

175
Micro slider and rotor fabricated on an Si wafer

Katsufusa Shono (Sophia University)

Fig.l Microphotograph of a polysilicon Fig .2 SEM photograph of a polysilicou rotor,

slider on rails.

DC voltage

u: 0 - - 2. Bv

attaching to substrate

( a ) ( b )

Fig. 3 Motion ol a microslicler. (a) Cross-sectional view. (b)Top view.

176
?r imal Scientist : Masayoshi Esashi

Affiliation : Department of Mechatronics and Precision

Engineer ing

Tohoku University

Address : Aza Aoba , Aramaki, Aoba-ku, Sendai, Japan 980

Tel. +22-222-1800 ext. 4207, Fax. +22-215-4845

Number of Staffs : 3(17 students)

Research Overview : Sophisticated micro actuators and micro sensors by micromachining: Micro actuators, micro sensors, and integrated sensor and

actuator systems fabricated by micromachining have been studied.

Examples of research projects are as follows: development of

electrostatic micro actuators, integrated sensors, micro flow

control systems and micro resonant sensors. Micropackag ing techniques for micro sensors and three-dimensional micro fabrication

techniques are also studied.

Research Topics : 1) Electrostatic micro actuators: A micro actuator consists of

many distributed driving units is studied to realize large force

and large displacement. Development of a linear micro actuator

which has many stepping electrodes is another topic of this

pro j ect

2) Accelerometers : Various types of accelerometers are designed

and fabricated to achieve high sensitivity and stability. The

packaging problems are also studied.

3) Micro flow control systems: Integration of micro flow control

devices and micro sensors enables very small flow control systems. Precise gas flow control systems and integrated chemical

analysis systems are the topics of this project.

4) Micro resonant sensors: In order to realize high sensitivity

and good stability, resonant type vacuum sensors and infrared

sensors are studied.

5) Three-dimensional micro fabrication techniques: Selective

patterning and deposition by means of excimer laser beam are

studied. YAG laser assisted etching techniques are also developed

to realizing sophisticated silicon micro structures.

Research results in f seal year of 1993 : 1) Electrostatic actuator: Fundamental studies of distributed

electrostatic actuator were done. The motion of the actuator was

analyzed by finite element model and investigated by the macro

model

2) Integrated accelerometer : An integrated silicon capacitive

accelerometer with novel balancing was developed. It has glasssilcon-glass structure realizing a micropackag ing . The CMOS

capacitance to frequency convertor is integrated and the phaselocked-loop circuit is used for the force balancing system.

3) Micro flow control device: High output pressure micropump was

studied and a novel check valve was developed.

4) Packaged resonant sensor: A packaged resonant sensor with high

Q-factor was fabricated. The torsional type mono-crystalline

silicon resonator was fabricated in glass-s ilicon-galss structure .

177
5) High-speed directional dry etching: Low temperature reactive

ion etching using SFg was studied to realize three-dimensional

silicon structure. A maximum etch rate of 2.35 um/min with small

undercut ratio of 0.03 was acnieved at -120 C.

References ; 1) S.Kawamura, K.Minami, M. Esashi , "Fundamental Research of Distributed Electrostatic Micro Actuator", Tech. Dig. of 11th Sensor

Symposium, pp27-30, (1992).

2) Y.Matsumoto, M . Esashi ," Integrated Capacitive Accelerometer

with Novel Electrostatic Force Balancing", Tech. Dig. of 11th

Sensor Symposium, pp47-50 (1992).

3) S.Shoji, B.van der Schoot, N.F.de Rooij, M. Esashi, "A study of

high pressure micropump", Sensors and Actuators, A32, pp335-339,

( 1992)

.

4) K.Yoshimi, K.Minami, Y . Wakabayashi , M. Esashi , "Packaging of

Resonant Sensors", Tech. Dig. of Ilth Sensor Symposium, pp35-38

( 1992) . 5) M.Takinami, K.Minami, M . Esashi , "High-speed Directional Lowtemperature Dry Etching for Bulk Silicon Micromachining" , Tech.

Dig. of 11th Sensor Symposium, ppl5-18 (1992).

178
"Sophisticated micro sensors and micro actuators

by micromachining"

Masayoshi Esash i ( Tohoku University

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179
Primal Scientist: Yotaro HATAMURA. Masayuki .'.'AKAO Affiliation: The University of Tokyo, Faculty of Engineering

Engineering synthesis

Address: 7-3-1 Hongo, 3unkyo-ku, Tokyo, 113 Japan

TEL +3-3812-2111 ex. 6361 FAX +3-3813-0835

Number of staffs: 4 employees. 13 students, and 5 researchers

(For this project: 2 employees. 5 students, and 1 researcner)

Research Overview:

Nano Manufacturing World is being developed.

Some physicists are trying to go up nanometers scale from angstrom

scale by handling atoms through Scanning Tunneling Microscope (STM). We

machanical engineers are newly challenging to come down there from macro

scale. It supports the human to work in nanometer world as' if they were

there by using dyanmic. real-time, and 3-d i men s i ona 1 observation/handling

instruments. Combination of the two directions makes the human step into

an unknown and fruitful world, namely Nano Manufacturing World (Figure 1).

Research Topics:

We have been engaged in developing Nano Manufacturing World for 6 years. Through the development we realized that it needs the following 4 e 1 emen t s

.

1) Micro Tools: We are trying various actions with Micro Tools

(Figure 2). Blowing off, scraping off. and attracting are useful in nanometer world besides nipping and digging which are widely tried.

2) Nano Manipulator: We have already realized a real-time.

3 -d i mens ional . and ultra-precise nano manipulator in Nano Robot II (Figure

3). It can be operated within 5 nm preciseness through transmission

mechanism that is newly designed.

3) Reality Transmission System: We have already realized this system

in Nano Robot II. In order to support the operator, stereoview. small

sound, and micro force that happen in nanometer world through Scanning

Electron Microscope (SEM) are transmitted to the operator.

4) Softwear for Dominant Factors Conversion: We realized through

Nano Robot II operation that dominant factors in nanometer world are totally different from those in human-size world. In order to prevent a fatal damage caused by mis-operation and to realize easy operation, a hidden support that automatically converts the dominant factors is indispensable.

Reseach Results in 1992:

The new results in this year are as follows:

1) Micro Tools: Tools for nipping, blowing off and attracting have

been developed. Those for dipping and scraping off cannot be realized

because their rigidities are too small against the operating force.

2) Nano Manipulator: A new rotation mechanism for the various tools

has been developed by using ultra-sonic motor.

3) Reality Transmission System: An ultra-micro force sensor is being

developed through semiconductor manufacturing process. Even 1 nano Newton

180
can be detected with semiconductor strain gauges on parallel thin plates

of O.T micron thickness.

Reference:

1) Y. Hatamura and H. Morishita: Direct Coupling System Between Nanometer

World and Human World. Proc. of MEMS 1990. IEEE. pp203-208 (1990)

2) Y. Hatamura: Micro Manipulation and Reality Transmission. Journal of

JSME. 5-1992. pp25-29 (1992). in Japanese

3) Y. Hatamura. M. Nakao et al: A Measurement of Sliding Resistance Forces

for Various Heads and Disks by High-Rigid Force Sensor. IEEE Trans, of

Magn. . Vol. 24. No. 6. pp 26 38-2 6 4 0 ( 1 98 8 ) 4) Y. Hatamura: A Ring Shape 6-Axis Force Sensor and Its Appr i ca t i on s. Int. Conf. on Advanced Mechat r on i c s. pp647-652. (1989)

5) Y. Hatamura. M. Mitsuishi et al: A Fundamental Structure 'for Intelligent Manufacturing. Proc. of 5th Annual Conf. ASPE. ppl88-191

(1991)

181
To attract To nip To dig a hole To blow off To scrape off

(micro lime ) ( micro gripper ) ( micro pick ) ( micro blower ) ( micro scraper

)

Fig.ZVarious Tools Neeaed in Micro Manipulation

Figure :> System Diagram of Nanoroboc System II

182
''Micromachine Design & Rapid Manufacturing 11

Naomasa NAKAJJMA (Mechanical Engineering

for Production. The University of Tokyo)

Pump with five micro-actuators driven by vaporization

of fluid, heated by light source through optical fiber

Light Driven Micro-Pump

High Resolution Photoforming

183
Primal Scientists:

Affiliation: Department 1 of Mechano-Informatics

The University of Tokyo

7-3-1, Hongo, Bunkyo-ku, Tokyo 113, Japan

phone (country code 8 1)-3-3812-21 1 1 x6318

fax (country code 8 1 )-3-38 1 8-0835

Hirofumi Miura, Isao Shimoyama

Address:

Number of Staffs: 2 (23 students)

Research Overview:

We are interested in an approach to micromachines, which makes the most of our background of robotics Our final goal is to build microrobots whose

behavior and structures are similar to real insects.

Research Topics:

1) Insect Based Microrobot with an External Skeleton and Elastic Joints121131

2) Analysis of insect motion111 Research results in fiscal year of 1992:

1) A flying microrobot is nearly finished.

References:

1] Isao Shimoyama, Hirofumi Miura, Chiaki Kimura. Manabu Kikuta, "Analyzing the Dynamics ofAnts and Application to Microrobots, " ASME Symposium on Micromechanical

Sensors Actuators and Systems, DSC-Vol.32, pp.279 - 285, 1991.

2] Kenji Suzuki Isao Shimoyama, Hirofumi Miura, Yuichi Ezura, "Creation of an Insect-based

Microrobot with an External Skeleton and Elastic Joints, " Proceedings of IEEE Workshop

on Micro Electro Mechanical Systems, pp.1 90- 195, 1992.

3] Isao Shimoyama, Hirofumi Miura, Kenji Suzuki, Yuichi Ezura, "3D Structure of an

Insect-based Microrobot with an External Skeleton, " IEEE Robotics & Automation, pp. 693-

698, 1992.

184
3D Structure of an Insect-based Microrobot

with an External Skeleton

Hirofumi Miura & Isao Shimoyama

Department of Mechano- Informatics

The University of Tokyo

Fig.2- Microcube.

Fig3. Microsizcd model of wings.

Fig.4-- Large scale artificial ant consisting of the leg joint mechanism,

185
MICROACTUATORS FOR THE CILIARY MOTION SYSTEM

Manabu Ataka. Hiroyuki Fujita (IIS. The Univesity of Tokyo,)

The photograph shows a microactuator array for the ciliary motion system[l]. The

system mimics the motion of cilia in living organisms. Many cilia vibrate in synchronization to convey objects or fluids. A cilium has two-degree-of-freedom (rotation and bending). Since the micromachined actuator has only simple motion, two actuator element are combined to achieve

the two-degree-of-freedom motion. We have fabricated a thermally driven contilever micro

actuator[2].

The SEM photograph of cantilever actuators is shown. The basic driving principle is similar to that reported by Riethmiiller. et al.[3]. The differences are the material (polyimides)

and the simple fabrication process. Two layers of poiyimides with different thermal expansion

coefficients sandwitches a metal heater. Aluminum was used as a sacrificial material. Since the polyimide used in the upper layer has the larger thermal expansion coefficient than the lower

layer the residual tensile stress in that layer curls the cantilever up. (Note that the tensile stress builds up when the polyimide is cured at elevated temperature and cooled down.) When the current flows in the heater and the temperature rises the cantilever bends down. The dimensions

of the cantilever are: 500 \Lm in length, 100 |im in width, 6 u.m in thickness. The displacement was 66 u,m in the horizontal direction and 123 u.m in the vertical direction with 30 mW in the

heater. The frequency response without any particular cooling wasmeasured using sinusoidal wave. The cut-off frequency (-3dB) is 10 Hz. We fabricated microactuators in an array. We

operated the actuators in coordination to carry an object on the array, although all the control

signals were supplied from outside. The object is a silicon chip of 1x1x0.5 mm3

. The chip was

conveyed for the distance of 0.5 mm while 30 cycles of the coordinated motion were repeated.

REFERENCES

[1] N. Takeshima. H Fujita. 'Design and Control of Systems with Microactuator Array*, Proc. IEEE Workshop in Advanced Motion Control. Yokohama. Japan. March 1990. pp.2 19-232.

[2] N. Takeshima. H Fujita. Polyimide Bimorph Actuators for a Ciliary Motion System'

ASME Winter Annual Meeting, Atlanta. Georgia, Dec 1-6(1991) DSC-Vol.32 pp.203-209.

[3] W. Riethmuller. W. Benecke. Thermally Excited Silicon Microactuators', IEEE Trans on

Electron Devices. ED-35. pp.758-763 (1988).

186
Array of Thermo Bimorph Actuators lor Ciliary Motion System.

Each actuator is composed of two layers of poiyimicics with different thermal

expansion coefficients and a micro metallic healer sandwiched between them.

(Fujita Lab.. IIS. The University of Tokyo)

187
Primal Scientist : Takahisa MASUZAWA

Affiliation : I.I.S. (Institute of Industrial Science)

University of Tokyo

Address : 7-22-1 Roppongi , Minato-ku, Tokyo 106, Japan

Tel .+81-3-3402-6231 . Fax. +81-3-3478-0216

Number of staffs : 2 (3 students)

Research Overview : The activity in this laboratory is concentrated on the

development of technologies relating the production of micro

parts. Manufacturing methods for basic components such as microholes, microspindles , micronozzles are the main targets

of the research works.

Research Topics : 1) Micromachining: Machining of microspindles or raicropins

as the application of WEDG (wire electrodischarge grinding),

machining of mocroholes by EDM, punching and drilling,

machining of microgrooves by milling and machining of micro

nozzles by combination of WEDG, ECM and electroplating, etc.

2) Measuring technology for micro parts: Measurement of

inner dimensions of microholes by a newly developed method

' vlbroscanning '

.

3) Micro assembly: On-machine assembly system for microparts

by using WEDG, EDM and ulstrasonic assembly.

Research results in fiscal year of 1992 : 1) Inner dimension of a 0 2OO#m, 700#m deep hole was

successfully measured by vibroscanning method.

2) Machining and assembly of a micropart for Liquid Metal

Ion-beam emitter was achieved.

References : 1) C.-L. Kuo, T.Masuzawa. M.Fujino, "High-Precision

Mlcronozzle Fabrication", Proc. of IEEE MEMS '92 (Feb-1992)

2) T.Masuzawa, C.-L. Kuo. M.Fujino, "Drilling of Deep

Microholes by EDM using Additional Capacity", Bull., JSPE,

24, 4 (Dec-1990)

3) T.Masuzawa, M.Yamamoto, M.Fujino, "A Micropunching System

using WIre-EDG" , Proc. of ISEM-9 (Apr-1989)

4) T.Masuzawa. M.Fujino, K.Kobayashi. T.Suzuki. "Wire

Electro-Discharge grinding for Micro-Machining". Annals of

the CIRP. 34. 1 (Aug-1985)

5) T.Masuzawa. I.Tsuchiya. "Low-Energy High-Current Ion

Source for Ion-Milling Equipment", Annals of the CIRP, 33, 1 (Aug-1984)

IBS
Microfabrication Technologies

Takahisa MASUZAWA (U.S., University of Tokyo)

(compared with a sewing

needle head).

Fig.l, Wire electrodischarge grinding method for producing

micropins, microspindles and microtools,

-/

fig.2, A micro injection needle produced by a combined

process with IDG, ECM (electrochemical

machining) and electroplating.

189
Primal Scientist: Affiliation :

Address : Number of staffs :

Isao KARUBE

RCAST(Research Center for Advanced Science and Technology)

University of Tokyo

4-6-1, Komaba, Meguro-ku, Tokyo, Japan 153

Tel. +3-3481-4470, Fax. +3-3481-4581

7 (32 students, 13 research fellows, 3 postdoctoral fellows)

Research Overview: Miniaturization of biosensing system using micromachining techniques is now

under investigating. Enzymatic flow injection system is mainly studied.

Electrochemical detector, photochemical detector, and enzyme reactor have been

fabricated, and also integrated each other. Further research will focus on micropump,

which makes it possible to fabricate handy-type flow injection system for clinical,

industrial process and environmental monitoring.

Research Topics and Research results in fiscal year of 1991 : 1) Glucose sensing system with electrochemical detector:

Silicone capillary of 0.1mm width and 1m long was fabricated, and glucose

oxidase was covalently immobilized on inner surface of the capillary. And thin film

gold electrodes were integrated to detect hydrogen peroxide which is product of

enzyme reaction.

2) Glucose sensing system with photochemical detector:

Glucose oxidase immobilized glass beads were packed into the chamber of

device which has the other chamber to mix product of enzyme reaction and reagents

to get chimiluminescence detected by photodiode connected on the device

References : 1) Y.Murakami, et al. "Flow type biosensing system using micromachining

techniques", proc. of annual meeting of Japan Chem. Soc. I pp.370, (Oct.-1992)

2) T.Takeuchi, et al. "Enzyme FIA system using micromachining techniques",

Kagaku, Vol.47, No.6, pp.434 (Jun.-1992)

3) M.Suda, et al. "Micromachined Biosensors", proc. of Biosensors, pp.400 (May1992)

190
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Primal Scientist : Tomomasa SATO

Affiliation : RCAST(Research Center for Advanced Science and Technology)

University of Tokyo

Adress : 4-6-1, Komaba. Meguro-ku, Tokyo, Japan 153

Tel.+3-3481-4479, Fax.+3-3481-4584

Number of staffs : 2 ( 7 students)

Research Overview: Intelligent robot to handle very small objects has been investigating. The following

are the examples of tasks: assembly of micro machines, repair ofVLSI's, micro surgery,

physical measurement of very small biological organs such as years and cells, physical

handling of genes. We ha ve been conducting the research systematically from

mechanism and control to intelligence for task execution and friendly human robot

interaction.

Research Topics : 1) Micro and nano object handling robot:. A manipulator mechanism and its control,

vision and force sensor fusion, model based realtime task oriented intelligence are studied to realize an autonomous hand-eye system consists of optical microscopy or SEM (scanning electron microscopy) and micro handling manipulator with sensitive

force sensor.

2) Micro and nano tereoperation: The research topics includes such robot support

function for human operator as damage prevention, perception enhancemant, knowledge

augmentation, shared skillful task execution and learning of the task.

3) Multirobot for human support. An automatic behavior understanding of a)robot

action, b)human operator and c)surrounding robot behavior is the base of the coperation between multirotbots as well as human operator and robots.

Reseasrch results in fyscal year of 1993 : 1) Micro object handling robot A "vision/motion/operation co-focused manipulator

system" suitable for micro handling task was realized. In this system a work space

locates inside the manipulator because the handling object is far smaller than the

manipulator, while a work space exisits around the manipulator and the task is performed by extending its manipulator in conventional industrial robot.

References: l]T.SATO,"Tcleopcraton Technology in MITI Advanced Robot Technology Project". IEEE Int. Conf. on Robotics and Automation (May- 1992)

2]Sakane N Sato^ " Automatic Planning of Light Source and Camera Placement for an Active

Photometric Stereo System" N IEEE Robotics and Automation (May-1991)

3]S.Sakane, T.SATO, M.KAKIKURA."Sctup Planning of Active Sensing for Auto- nomous Robots", J. of Robotics and Mcchatronics, Vol.3,No.3,ppl96-200(1991)

4JS.HIRAI, T.SATO, T.MATSUI," Intelligent and Cooperative Control of Telerobot Tasks", IEEE

Control Systems, Vol.12, No.l,pp51-56 (Feb-1992)

5]Sato N Hiari N Matusi : A Telerobot System MEISTER: An Integration of Task

Knowledge Base and Cooperative Maneuvaring System" 11th Int. Conf. on

Structural Mechanics in Reactor Technology (,Aug-1991)

192
Intelligent Robot to Handle Very Small Object"

Tomomasa SATO (RCAST, University of Tokyo)

Fig.l Image of intelligent robot system to handle very small object

The system consists of the following tree components;

1) micro object handling manipulator system,

2) intelligent teleoperation system,

3) multirobot system to support human operator.

Fig.2 Realized micro object handling manipulator system

The main feature of this manipulator system is that

the work space is located inside the manipulator while

the work space is spread around the manipulator in case

of conventional industrial robot. This new configulation

makes the robot suitable for very small object handling.
Primal Scientist : Tadatomo SUGA

Affiliation : RCAST(Research Center for Advanced Science and Technology)

The University of Tokyo

Address : 4-6-1, Komaba. Mesuro-ku, Tokvo, Japan 153

Tel./Fax. 03-3481-4488

Number of staffs : 3 (TO students)

Research Overviews: We are developing noble techniques for assembling micro-components such as

sensors, actuators, processors and structural components in micron-scale, and for

constructing integrated micro-robot systems. The basic technologies for the

micro-assembly include the development of the micro-machining process for silicon,

direct bonding of silicon and piezo-electric ceramics, micro-bonding of LSI circuits,

and micro-manipulation of the in scanning electron microscope, as well as fundamental

understanding of the mechanism of adhesion and bonding.

Reasearch Topics :

1) Development of the surface activated bonding (SAB) method for room temperature

joining; a) development of the SAB process, b) investigation and optimization of the

process parameters in the SAB method.

2)Characterization of the microstructure of SAB joined interfaces by high resolusion

electron microscopy.

3) Development of a bonding apparatus for manipulation and assembly of

micro-components in UHV; a)development of the micro-manipulation and precise

allignment system.

4)Development of a micro-force sensor and it application to the atomic force

microscopy! AFM).

5) Analysis of adhesion and bonding process by means of the molecular-dynamic

simulation and Finite element method.

Research results in fiscal year of 1992 : 1) We have succeeded in microbonding of LSI and microelectronic components such as LSI flip chip by SAB method at room temperature.

2) We have developed the new SAB process using the radical beam source or the fast

atom beam source in UHV(<10"*Pa).

3) The force sensor using piezoelectric cantilever for the noncontact AFM has been

developed.

References : ljYutaka TAKAHASHl, Eiichi HOSOMI and Tadatomo SUGA, "Low-Resistivity Contact of

YBa2Cu307-x/AI Joint Bonded at Room Temperature", Jpn J. Appl. Physics, 30,12A(1991) L2028-

3]Hideki TAKAGI, Yutaka TAKAHASHl. Tadatomo SUGA and Yoshio BANDO. "High Resolution

Electron Microscopy of Al/Si and Al/Si3N4 Interfaces Prepared by Room Temperature Bonding

Method( Japanese)", J. Japan Inst. Metals. 55(1991) 907-908

4]Yutaka TAKAHASHl, Hideki TAKAGI, Tadatomo SUGA, Bonis GIBBESCH, Gerhard ELSSNER

and Yoshio BANDO, "Enviromental EFFects on Structural. Mechanical and Electrical Properties of Al/AI

Interfaces Joined at Room Temperature(Japanese)", J. Japan Inst. Metals. 55(1991) 1002-1010

194
"Micro-assembly and Interconnection"

Tadatomo SUGA (RCAST. The University of Tokyo;

1 1UHV1 1

Fig.l Schematic illustration of micro-assembly system in UHV. The system

possesses the following functions; (1) surface activated bonding at room

temperature, (2) manipulation and assembly of micro-components in SEM, (3)

characterization of the surface topography by atomic force microscope.

Fig.2 Apparatus for the surface activated bonding LSI flip chip bonded by

(SAB)method. The apparatus consists of UHV SAB method at room

bonding chamber, transfer chamber and two temperature,

preparation chambers with the radical beam

source or the fast atom beam source.

195
Primary Scientist : Hideharu TANAKA

Affiliation : Advanced Mechanical System Dept.

Central Research Laboratory,Mitsubishi Electric Corp.

Address : l-l,Tsukaguchi-Honmachi. 8-chome.Amagasaki.Hyogo,661

Japan Tel. +6-497-7165, Fax. +6-497-7291

Number of staffs : 15

Research Overview: R&D of 3D micro magnetic structures and its appliances has been conducting.

Targets of R&D are establishment of 3D material processing , rising power

density(output power /volume),size reduction to microscopic, and application to micro-magnetic devices.

Research Topics :

1) Energy product(coercivity residual flux density) upgrading of thin-film

permanent magnet : Main technical subjects are formation of uniform composition

,homogenization of crystal structure, anisotropic crystal orientation along the

direction of magnetic flux . 2) Wire-wound microscopic structure: A structure consists of thin-film core stack

and 3D coil. Material processing is investigated to realize a stereoscopic and

complicated structure such like this.

3)Micro'-electric power generating device : This consists of turbine , speed-up gears

and AC electric generator to converse water flow energy to electric power

energy. This R&D was planned to participate in National Large-Scale Project

"

Micromachine Technology".

Research Results in fiscal year of 1992

1) Fundamental approach to establish the uniform formations of composition and

film thickness was experimentally carried out in the study of thin-film permanent

magnet.

2) Several approaches to the material processing for 3D wiring were examined.

3) To extract technical subjects on rising power density , a electric generator of 7

mm in diameter and 9.5 mm in length ,and also speed-up planetary gears of 4.6

mm in diameter and 3 mm in length were manufactured on a trial basis. Output

power of approximately 2 W was obtained at the rotor speed of 0.15 million rpm.

196
Fig. 1 Electric Generator Driven by Air Turbine

The structure is as following;

1)Stacked cores(silicon steel) of a stator were processed

by focused Ion Beam.

2)Winding (30 p. m wire in diameter) was performed

by hand work using a microscope.

3)Rotor was made of rare-earth plastic permanent magnet.

197
Primal Scientist : Shinobu SAGISAWA

Af f i 1 iat ion: Fuji Electric Corporate Research and Development. Ltd.

Aflress : 2-2-1, Nagasaka, Yokosuka city, Kanagawa, Japan 240-01

Tel. +468-57-6734, Fax. +468-56-2751

Number of staffs : 10

Research Overview:

Silicon baseo sensors such as tactile sensor, pressure sensor and acceleration sensor have been investigating.

Tactile image recognition system using the data from 3 axis tactile sensor array have been also investigating. ''3" axis means a pressure and 2 shear forces

Micro actuators based on the principle of magnetic and electrostatic force

have been investigating.

Research Topics:

DTactile sensor and image recognition system: 3 types of tactile sensors, which are 3 axis-3mm, 3 axis- 1mm ana 1 axis-2mm, had been developed. Low-cost

and size-extensible sensor array for commercial needs has been developping.

Tactile image recognition system, which can recongnize the force pattern,

moment, force centroid, sliding and hardness of grasped object, had been investigating.

2)Micro Actuator: Sizing down the magnetic actuator and enlarging the force

and displacement of electrostatic actuator have been promoting.

Research results in fiscal year of 1991:

DTactile sensor and image recognition system: Size-extensible tactile sensor array was realized. The array has 16(4x4) sensing elements and a scanner IC. The arrays can be connected each other easily by soldering the pads and thus can meet various size demands. Tactile image recognition system, which has above

menti-oned faculties, was realized.

2)Micro Actuator: A 4 mm dia. stepping motor ( actuator ) , which has good speedcotrolabi 1 i ty, was develoed. A 2 mm dia. actuator have been fabricated. A proto

type mm-sized electrostatic actuator for the proof of new principle has been

tested.

Refereces:

US.Sgisawa et al., "Three Direction Sensing Tactile Sensor" Proc. IEEE, Intern. Workshop on Intelligent Robot and Systems, pp. 47-51 (Nov. 1988).

2]S.Sgisawa et al., "Accurate Tactile Sensor Array for Robot Fingertip" Proc. Intern. Symposium on Industrial Robots, pp. 243-248 (Oct. 1990).

3]M.0oka et al. : "Tactile Expert System Using a Parallel Finger Hand with ThreeAxis Tacti le Sensors" Trans. JSME, Vol.C-57, No.544, pp. 3855-3862, (Dec. 1991)

( Japanese )

.

4]K.Ueyanagi et al., "Extensible Tactile Sensor Array and its Application" Proc. Symposium on Robotics and Mechatoronics '92, Vol. A, pp. 781-784, (June 1992) (Japanese).

5]H.Nakazawa et al., "Parmanent Magnet Type Stepping Motor which have Magnetic

Cercuits Adapted Small Diameter" Proc. Symposium on Robotics and Mechatoronics

'92, Vol. A, pp. 1003-1004, (June 1992) (Japanese).

198
Tactile Sensor Array and Micro Actuator

1 '

Shinobu SAGISAWA (Fuji Electric C.R.&D. Ltd.)

rable 1 Specifications of 3 Types of Tactile Sensors

3 D3M 3 D I M 1 D 2 M

1 Ktani 0/ force Detection Pleiorejutlve Effect Pleiorejutlve Effect Pleiorejutlve Effect

Selectable Components

of force 3 CosponentJ 3 CosponeMs 1 Coopanenl 'niu Oe tec table rorce per tlnenl

ri : 1 9 N U : ± 6 N

Ti : 2 ON

r« : ±0.7N

f> ; 10.7N n : 2 N

fi : ION

SeniUMlr

Ti : 8iV/W

rr: 8«v/x

Ti : 2.7iY/rl

rt : 107.V/N

rr : I07 < r/n

rt ; iooir/N

Ti : 8iV7N

Slit of an Element 3 ii Squire 1 u Lent- of lea* 1 u Square -j«r of Elaenli 3 x 15 14. 8. 7 vri^Btii 01 tlaenll 'atrlt Hitrl«. Curved Surface HuMr of Electric virci 9 7 7

Tactile Senior. Unit

AtplHler

llul Upleaer

Fig. 1 Construction of 3D3M Sensor

Fig. 2 Construction of 3D1M Sensor

Silicon Plat

floboL Fl ngcr

Fig. 3 Construction of 1D2M Sensor

Be a ri d t Pjr2ane0tMar.net

Shall

Pole Pitct

Amslure Coi 1

Fig. 4 Construction of Magnetic Micro Actuator

199
Primal Scientist : Yoshiraitsu KUROSAKI

Affiliation : KAWASAKI HEAVY INDUSTRIES. LTD. (KHI)

System Technology Development Center

Address : l-l.Kawasaki-cho.Akashi.673 Japan

Tel. +8H Japan) -78-921-1643. Fax. +81-78-921-1610

Number of staffs : 8

Research Overview: A ultra-precision servo control system has being investigated. The

following are the examples of tasks:a nanometer alignment system the

future linear collider. fine motion stage for precision machining and laser

mirror alignment. We have constructed a test facility to study the

position control system with multiple degrees of freedom .

Research Topics : DUltra-precision alignment for the future linear collider : It is commonly recognized that a nanometer alignment system for will be

required for the final focusing magnets of the future e+e- collider. A

alignment contorl system for a massive load is to cancel the effect of

thermal deformation due to the local temperature difference .ground

motion and the vibration due to the cooling water pulsation . 2) fine motion mechanism and motion stage using parallel spring: We study

(a)position control method and (b)control system configuration for the

six-degrees of freedom fine motion mechanism. We are also building a new

fine motion stage using parallel spring for precision machining.

3) Nanotechology in metrology: The iodine-stabilized IleNe laser is currently the best practical realization of the unit of length. We study

anew measurement of the transverse displacement using a laser beam and a pair of position sensors. We will be to study length scales that have a large dynamic range up to a meter, but will allow tenth nanometer

measurements with high bandwidth.

Research results in fiscal year of 1993:

DPosition control table for FFTB final lenses: A position control table

supports three final lenses of a final focus test beam line (FFTB). The

table position is controlled with the accuracy of 50 nm (rms) in vertical

and horizontal directions in order to keep the beam position stable as 60 nm (rms) for the iron table and three magnets that are twenty-five tons in

weight.

References:

DN.Ishihara et al., "A Position Feedback Control System for the Test

Facility of JLC'in Proceedings of the International Conference on Accelerator and Large Experiment Physics Control Systems. KEK.

Nov.11-15. 1991

2) T.Kubota et al.,"A Test Facility for the Position Control System of JLC'in

Proceedings of the 2nd International Workshop on Accelerator Alignment.

DESY. JUL. 10-13. 1990

3) K.Miyashita et al.. "Transverse Displacement Measurement using Sprit

Laser Beam"in proceedings of XVTH International Conference on High

Energy Accelerators. Hamburg, JUN. 20-24. 1992

200
Ultra-Precision Servo Control System " Yoshiraitsu KURO S AKI ( Kawas aKi Heavy industries. Ltd.)

rr la ' Finai t-ocus Test Beam faciiuv

in SLAC : S;am'ora Liner Accelerator Center

first beam test Aoni 1993

*)0 nm sdoi '. YAG Laser

Electron Beam

Laser Beam Protector

Coarse Mover

Electrical Terminal Box

FIg.l Illustration of the position control table and the final lenses

The system consists of the following components:

Uthe table is supported by four movable legs consisting of screw jacks as coarse movers and piezoelectric actuators as fine movers . 2)control system consists of actuators .laser interferometer and

high-speed controller using VME modules.

Flg.2 Position control table loaded with dummy weights

Main parameters of the control tables

Table Load capacity

Size

Empty weight

Natural frequency

Mover Dynamic range

Time response

Tolerance

8 t 1000(W)

16 t 90 Hz

10 mm

>10 nra/s

50 nm(Y-axis)

500 nmtX-axis)

4530(L) 450(H) mm

201
Primal Scientist : Tsutomu YANO

Affiliation : Opto-electro Mechanics Research Laboratory

Matsushita Research Institute Tokyo, Inc. Address : 3-10-1 Higashimita. Tama-ku, Kawasaki 214, Japan

Number of staffs : 8

Research Overview : We have been developing the micro electro-discliarge machines for the micro

machining. The capability of machining a micro hole and a micro shaft as small as 5fun in diameter have been achieved. We are now studying the technologies of the

micro EDM for the production of the micro mechanical parts which will be

required in the fields of the micro electro mechanical systems.

Research Topics :

1) Three dimensional micro machining

Three dimensional micro machining as well as a simple micro boring has

been achieved by minimizing the discharging energy to 10'

7 J level and by realizing

a precise mechanism providing submicron accuracy.

)2'

2) Silicon EDM

Boring a micro through-hole and forming a three dimensional micro

structure in a silicon wafer which is very difficult by the silicon process has been

done by the micro EDM technologies.

3 '

3) Micro air-turbine

A prototype micro air turbine, which can be inserted into a catheter of

2.2mm in external diameter, has been built by micro EDM and rotated at the speed

of approx.l000rpm. 3>

Research results in 1992 : 1) Mold for the micro-gear

Technologies to reduce the wear of electrode for forming a high precision

complex shape has been developing, and a micro mold for the injection plastic

micro-gear which has 9 involute curved teeth in 0.3mm pitch circle diameter has

been machined. 4)

References :

1) T.Sato, T.Mizutani, K.Kawata ; "Electro-Discharge Machine for Micro hole Boring", National

Technical Report, Vol.81 No.5 p 105-1 13,Oct. 1985

2) T.Masaki. K.Kawata, T.Mizutani, K.Yonemoti, A.Shibuya, TMasuzawa ; "Micro Electro- Discharge Machining", Proceedings of International Symposium for Electro-Machining, p26-29. 1989

3) T.Masaki, K.Kawata, TMasuzawa ; "Micro Electro-Discharge machining and its applications", Proceeding IEEE Micro Electro Mechanical Systems, Napa Valley, CA, Feb. 1990,

p21-26

4) K.Nakamura, K.Amemiya, K.Sato, T.Masaki, RToyoda ; "The research for the micro-sinking

with micro EDM", Proceeding Precision Engineering Oct. 1992. p679-680 (in Japanese)

202
Micro EDMed Examples

Photo 1. Pyramid on 2mm dia. ball 9

Pyramid dimension : P

150um base square. H50jam

Photo 2. Vertical beam in Silicon

Beam dimension : W15|im L50|im H50(im

Silicon : P-type,<l.l,l>

10~100Qcm

^^^^^^^^^^

Photo 3. Micro Air tubine/rotor

Rotor outer diameter:0.95mm

Shaft diameter : 0.3mm

Photo 4. Micro-gear mold

0.3mm p.c.d.

Stainless steel 304

0.1mm thickness

203
Primal Scientist: Akiomi KOHNO

Affiliation: Mechanical Engineering Research Lab., Hitachi, Ltd.

Address: 502 Kandatsu, Tsuchiura, Ibaraki 300, Japan

Phone: +81.298.32.4111, Fax: +81.32.8251

Research Overview:

Micro-joining has emerged as a major element of the micro-assembly and

micro-mechanics technologies receiving significant interest today.

Attention has been paid to low temperature bonding by means of Argon atom

bombardment, because the process is expected to apply to heat sensitive

materials and delicate micro-devices and mechanics.The method is based on the

fact that when two clean surfaces are brought into contact, strong adhesive

bond forces can develop at the interface between the solids. This project aims to

develope techniques to overcome the process assembly problems including a general reduction in process tolerances, surface contamination and distortion of

components due to heating and pressure during bonding.

Research Topics:

1) Surface activation technology

The standard joining (mainly solid phase bonding or soldering) require clean

surfaces to be able to achieve high integrity adhesion. With micro-components

decreasing in size, contamination problems are more critical. Sputter-cleaned

technique by Argon atom bombardment has been developed as the surface

activation method for low temperature joining.

2) Surface analytical technique for defining surface condition and to quantify its effect on bondability.

The UHV bonding apparatus has been developed, in which surfaces of

specimens to be bonded can be analyzed in-situ by AES and SIMS.

3) Flip chip bonding process with fluxless

Argon beam cleaning and heating is shown to be well suited for refiowing

solder pads for subsequent joining of circuit chips to substrates. The process can

eliminate the need for chemical flux in obtaining high quality solder joints.

4) Silicon bonding

Interest is now being directed towards silicon to silicon, metals and glass

bonding for which processes have not yet been demonstrated. A number of

techniques offer potential for this materials, and trials will be carried out using

electrostatic bonding, diffusion bonding, eutectic bonding and adhesives.

Work will be directed towards developing low temperature bonding

procedures.

204
Reference:

1) M.HORINO,A.KOHNO,"Lowtemperature bonding with an interlayer of In-Sn

alloy", Preprints of the national meeting of Japan Institute of Metals,

p. 265 (1987)

2) M.HORINO,A.KOHNO,K.TAGUCHI, "Effect of bonding circumstances in low

temperature bonding ", Preprints of the national meeting of Japan Institute of

Metals, p399 (1991)

"

3) M.HORINO,A.KOH NO, K.SAHARA," Activation process for surface of solder

bumps on LSI chip" Preprints of the national meeting of Japan Welding

Society, p396 (1991)

205
Primal Scientist: Kazuo SATO

Affiliation : Mechanical Engineering Research Laboratory, Hitachi, Ltd.

Address : 502 Kandatsu, Tsuchiura, IbaraKi 300, Japan

Phone: +81 .293.32.41 1 1 Fax: +81 .32.8251

Research overview : Silicon micromachining technology and its applications are investigated.

Activities on anisotropic chemical etching technology is outstanding.

Orientation dependence of the etch rate has been first measured to the

complete orientations[1]. Based on this results, etch profile simulation system

has been developed[1]. Novel micromechanical devices has been developed

using bulk micromachining technologies including anisotropic[2][3] and

isotropic[4] etching processes. Recently, a new type of electrostatic actuator

to be applied to gas valve system has been invented[5].

Research topics : 1) Anisotropic etching simulation system[1]:

This system is developed to predict etch profiles of single crystal silicon

using an etchant of KOH water solution. The system contains a data base of

the etch rate related to the crystallographic orientations. Arbitrary masked

area, initial wafer shape, and etching temperature can be considered in the

analysis.

2) Silicon capacitive acceleration sensor[2]:

A complicated 3-D structure of the sensor gage has been fabricated by

applying multiple steps of anisotropic etching processes, instead of

conventional process carried out by a single step. Developed gage structure

has minimized cross-sensitivity of the sensor.

3) One-to-one biological cell fusion apparatus[3]:

Micromechanical silicon devices has been successfully applied to biological

cell operations. The apparatus has 1584 fusion chambers maae on a silicon

wafer. A cell pair from different species becomes a hybrid in the chamber.

4) Silicon lens for Scanning Acoustic Microscope[4]:

Single crystal silicon lens has been newly developed to be used in a

frequency range of GHz. Controlled isotropic etching system has enabled to

fabricate a smail concave surface whose radius is less than 50 microns.

5) Electrostatic actuator[5]

Novel electrostatic actuator having a moving film element which is elastically bent in an S-shape has been proposed. The actuator is designed to

be applied to rarefied gas valve system. Contrary to the conventional micro

valve actuator, it allows a large conductance of rarefied gas flow.

References: [1 ] Koide, A. et al.: Proc. of MEMS*91 , 1 991 , 21 6-220. [2] Koide,

A. et al.: Tech. Digest of the 1 1 th Sensor Symposium, 1 992, 23-26. [3] Sato, K.

et aLSensors and Actuators, A21-A23, 1990, 948-953. [4] Hashimoto, H. et

al.:Tech. Digest of Transducers'91 , 1 991 , 853-856. [5] Sato, K. and Shikida,

M.: Proc of MEMS'92, 1992, 1-5.

206
Silicon micromechanical devices developed by Hitachi, ltd.

1mm -\ 1mm

Fig.1 Silicon acceleration sensor chip. Fig.2 Microchamber array on a silicon

wafer applied to biological cell fusion operation.

u > X IS ffi K fS. <H pft

Upper

electrode Conductive film —1 \ / . ,

Lower electrode Insulation layers

(a) Voltage applied between upper

electrode and conductive film

"""" v25l *

- 2 0 u. m ,

(b) Voltage applied between lower

electrode and conductive fiim

Fig.3 Silicon lens for scanning acoustic

microscopy. Lens body (top) and

an enlarged view of the tip(bottom),

Fig.4 Principle of the S-shaped

electrostatic film actuator.

207
Primal:Teruvuki MATSUI

Affiliatlon-.MEITEC Corp.R&D

Atlress:2-20-l Kohsei-dori, Nishi-ku, Nagoya 451

Number of staffs :4(Hiroshi SHIONO, Hitomi YAMADA, Tomoyasu TAGUSAGAWA, HLroshi

FUKUSHMA)

Research Overviews

Developments of high accurate x-ray mask to be necessary to fabricate the submicron

patern on either planar or non-planar surfaces, such as the cylindrical and irregular

structure have been performed. X-ray mask consists of 3-um thick Si menbrane as an

x-ray transmitting material and submicron patterned metakkic film on SI menbrane as an x-ray absorbing material. For the high accurate x-ray mask, it has been aimed to form an x-ray absorbing metallic film with the stress free by controlling the film

composites and their formation conditions. The micropattern formation technology on

non-planar surface has been developed by using plasma polymerization technique which

can photochemically react in dry-developable process under UV irradiation. At present,

the application of this technology to microacruator formation is under investigation.

Researce Topics

(1)Hlgh accurate x-ray mask

It Is aimed to form the mettalic film with the stress free on 3-um thick Si membrane

by investigating the metallic material, formation process and their formation

conditions.

(2)Fabrication technology on non-planar surface

Fabrication technology of precise micropattern on cylindrical or irregular structure have been investigated by the development of the plasma polymerized film technique

which can photochemically react under UV irradiation. (3)Fabrication of flexible microactuator

Developments of flexibly movable microactuator to be applicable to handle the micromechanical parts and that of assemblized technology to drive the microactuater

with the resolution of micro-order are under investigation.

Research results in fiscal year of 1993

(1 fabrication of flexible microactuator

Cantilever type flexible microactuator based on the sandwltched structure of

polyimide/metallic film heater/polyimide was fabricated by thin film process. As the driving mechanism, the bending motion induced by the difference of thermal expansion

coefficients between polylmides during charging process of the metallic film with

electricity was used. It was observed that the each cantilever could be driven by

applying 1 V with the frequency range from 1 to 10 Hz.

References

(1)H.Fukushima, et.al., "X-ray absorbing and mechanical properties of Au-C film for x-ray lithography", SPIE(7-8 March 1990)

(2) H.Yamada,et.al., patent application, No.200894

(3)T.Tagusagawa, et.al., "Fabrication of the flexible cantilever type microgripper by

thin film process ",'94 MEMS abstract(in preparation)

208
Fig- 1 Submicron pattern of x-ray absorbing metallic film
Fig. 2 Speed-Up Planetary Gears

The specification is as following;

1) Diameter of sun gear : 0.96 mm

2) Diameter of planetary gear :1.62 mm

3) Gear ratio : 31

4) Maximum output speed : 0.25 million rpm

5) Processing of gears : Electrical discharge machining

210
Primal Scientist: Tomoki FUNAKUBO

Affiliation: Production Engineering Dept. of OLYMPUS OPTICAL CO.,LTD.

Address: 2951 Jshikawa-cho,Hachioji-shi,Tokyo,Japan 192

Tel.0426-42-2111 Fax.0426-42-2109

Number of staffs: 7

Research Overview: Study of Ultrasonic Motors and Piezoelectric Actuators.

We have been studying ultrasonic motors and actuators which are driven by

piezoelectric effect. Based upon our study,we have been developing X-Y Stages to which the above motors and actuators were applied.

Research Topics : (1)Two-dimensional drive ultrasonic motor

(2)Linear drive ultrasonic motor

(3)Rotary drive ultrasonic motor

(4)Multilayered piezoelectric actuator

(5)X-Y Stage using two-dimensional drive ultrasonic motor1 )

(6)X-Y Stage using multilayered piezoelectric actuator2 )

Research Result i n fiscal year of 1992: High-resolution X-Y Stage using two-dimensional drive ultrasonic motor : We have developed an ultrasonic motor which is capable of driving a slider two

dimensionally. And we have made a X-Y Stage which is directly driven by the

ultrasonic motor. The dimensions of the X-Y Stage is 40 x 40 x 53 (mm). The

stroke of X-Y Stage is 8x8 (mm). The following results of X-Y Stage

characteristics were known: Resolution of displacement is 5 (nm); Response time

1 (msec); Maximum speed is 50 (mm/sec).

References:

1)T.Funakubo,T.Tsubata,T.Fujimura,"High-resolution X-Y Stage using twodimensional drive ultrasonic motor" the 1992 Spring Meeting of the Japan Societs

for Precision Engineering (1992) 341

2)H.Adachi,T.Funakubo, "Detecting Instrument for detailed surface form" , ELECTRONIC CERAMICS 22 No.10 (1991) 41

211
"High-resolution X-Y Stage

using two-dimensionai drive ultrasonic motor"

Tomoki FUNAKUBO(OLYMPUS OPTICAL CO.,LTD.)

Fig.l Principle of drive and Outline of X-Y Stage

A slider is driven to any direction on X-Y plane by rotating

ultasonic elliptic vibration plane of ultrasonic motor. The stage

connected to the slider can be driven to any direction on X-Y

plane.

O 1 9 Q 5 9 a 1 2 0 5

q Displacement of X-direction( p m)

Fig. 2 Traces of displacement when X-Y Stage is driven

two-dimensionally.

212
Primal Scientist: Akitoshi Toda

Affiliation: R&D dept. OLYMPUS Opt.Co.LTD.

Address: 2-3 Kubovamacho Hachioji Tokyo, Japan 192

Tel:+426-9 1-7 111, Fax:+426-9 1 -5709

Number of staffs: 6

Research Overview:

Microfabrication technology applicable for Scanning Probe

Microscopy (SPM) have been investigated. Microfabricated silicon nitride

cantilevers have been studied as a main theme in early days of our study.

Combining with a study of sensors and actuators, we aim at new types of

SPMs and device which are able to use easily in several different

environments. We take "practical use " in seriously so that our

microfabricated cantilevers have already been applied in our SPM

equipments, which have been developed by another group in our

laboratry.

Research Topics:

1 fabrication of the cantilevers with sharp tips:

Sharp tip is essensial in SPM to reveal the sample surface in atomic size

resoltion. Tip sharpening methods which make batch fabrication possible,

have been studied.

2) Study of interaction between the tip and sample surface:

Surface modification tip is designed for the study. Understanding and

Controlling the tip surface is one of our interests.

3) Sensors and actuators:

Sensor and/or actuator included device may change the style of the

SPM drastically and widely open up novel applications.

Research results in fvscal year of 1992:

1) Sharpened pyramidal tip; tip radius 15nm, tip vertex angle 50 degree,

are successfully obtained by applying Low Temperature Oxidation

process in furnace into Micro casting method

2) Specially inclined tips are fabricated. The inclined tips obtain the ideal

position towards the sample surface to normal, in usual tilted holding

of cantilever tip in SPM equipment

Reference:

1] A. TODA et.al: The Extended Abstructs (The 52th Autumn Meeting

1991); The Japan Society of Applied Physics

2] K.MATSUYAMA et.al: The Extended Abstructs (The 53th Autumn

Meeting 1992); The Japan Society of Applied Physics

213
"Microfabricated cantilever with sharpened tip for SPM"

Akitoshi Toda (R&D dept.. OLYMPUS)

Cantilever deflection sensor

Sample Cantdever

Piezo electnc Tube Scanner

for XYZ Scanning

Computer

Fig.l Schematic diagram of SPM

15KU 08.5KX 1 . 18U 0819

Fig. 2 Sharpened pyramidal tip Fi

on the end of the cantilever

Cantilever is made by Micro

casting method.

Sharpened part of the cantilever

tip is presented on from the top

about lam down.

tip radius ^ 20 nm

vertex angle

^ 50 degree

g.3 Deformed pyramidal etch

pit as a micro cast of silicon

Etch pit on the silicon wafer is deformed by Low Temperature

Oxidation in furnace. Silicon

nitride is deposited on it. Sharpened silicon nitride tip is obtained after whole etching of

silicon and oxide layer.
Primal Scientist : Kohei HORI

Affiliation ; Energy and Mechanical Research Labs,

R&D Center, Toshiba Corporation

Address : 4-1, Ukishima-cno , Kawasaki-ku, Kawasaki-shi

,

210, Japan

Tel .+44-288-8087, Fax. +44-288-8214

Number of Staffs :

2

Research Overview : A micro planetary reduction gearing has been developed for micromechanisms. In spite of a simple configuration with only six

gears, the gearing has a higher gear ratio than 40:1. These

microgears were machined by a wire electric discharge machining

(WEDM) which is able to cut hardened steel with a high aspect

ratio, and they were assembled. The gearing was driven by a DC

motor and functioned to drive certain load successfully. We plan

to make a smaller one. Research Topics : 1) Gearing: A 4.25mm in diameter gearing with Mechanical Paradox

was developed .( see Fig.l)

2) Gear design: The gearing has external and internal involute

profile shifted spur gear of 0.08 module. Each gear has a fine

tooth profile which was designed correctly to avoid all kinds

of interference for each meshing.

3) Microgear machning: Using fine wire electrode of 0.025mm in

diameter, all the external and internal gears were machined by

the WEDM. The smallest gear has a tooth tip circle diameter of

1mm. ( see Fig . 2

)

4) Microgear inspection and assembly:

Research results in fiscal year of 1992 : DMicro machining: The miniaturization of the gearing depends on

that of the six gears. We have been trying to make smaller one

and have achieved a involute gear of 0.04 module which has a half size of the former one. (see Fig. 3)

Reference : 11K.H0RI, A.SATO, "Development of micro planetary reduction gear"

Proc. of '90 Autumn Meeting, JSPE , pp . 67 ( Oct- 1 9 90 )

( in Japanese)

21K.H0RI, A.SATO, "Micro planetary reduction gear", Proc. of 2nd

Int'l Symposium on Micro Machine Science, pp.53 (1991)

3 IK. HORI, "Development of micro planetary reduction gearing (Wire

Electric Discharge Machining of Micro Gears)" , Proc. of "92

Symposium on Robotics and Mechanical-electronics system, JSME

(1992) (in Japanese)

215
"Micro Planetary Reduction Gearing" (1)

Kohei HORI (R&D Center, Toshiba Corporation)

Fig.l Micro Planetary Reduction Gearing

(without gear case)

The gearing has a high gear ratio of 44.2:1. This

is suitable to connect to a motor and load because

both the input and output are coaxial.

Fig. 2 Detail of Micro Planetary Gearing

These micro external and internal gears of 0.08

module were machined by WE DM . This is also suitable

for miniaturization because of a simple configuration without a carrier and bearing to support

planet gears

.

216
Micro Planetary Reduction Gearing" (2)

Kohei HORI ( R&D Center, Toshiba Corporation)

Fig. 3 Result of trial gear cutting by WEDM

We plan to make smaller gearing, and tried to cut a gear of 0.04 module, 0.5mm in diameter and 1mm long.

217
Primai Scientist: Manabu Okamura

Affiliation: Small Motor Developement Center

Manufacturing Engineering Research Center

Toshiba Corporation

Adress: 4-21 Yoshihara-cho,Nishi-ku,Nagoya 451,Japan

Tel.+81-52-532-6389, Fax. +81-52-524-0920

Number of staffs :

Research Overview:

Electromagnetic small motors used in various fields have been

developing.

Research Topics:

1) Research of Motor speed control system

2) Manufacturing of Miniaturized motor

Research results in fiscal year of 1992:

1) ElectromagneticaUy actuated ultra small DC motor

Axial gap type motor 0.8mm in external diameter

References:

1] H.Izawa, et al.," Slow Speed Brushless DC Motor Control System With

Linear Voltage Drive" , SPC-92-35, presented in the IEEJ,

Okayama, Japan

2] T.Itoh, M.Okamura,'4 Development Of Ultra Small DC Motor" , 3rd International Symposium on Micromachine and Human Science,

pp.27-33, 1992

218
" Ultra Small DC Motor'

-Electromagnetic motorManabu Okamura ( SMC, Toshiba Corporation )

Rotor(rare earth magnet)

f~ FPC

7 r

Fig. 1 Cylindrical motor( 3mm x 5mm )

<t> 0. 8

Fig.2 Axial gap motor ( 0.8mm x 1.2mm )

219
Primal Sclent 1st : Kolchi SUZUMORI

Affiliation : Energy and Mechanical Research Labs,

R&D Center, Toshiba Corporation

Address : 4-1, Ukishima-cho , Kawasaki-ku, Kawasaki-shi

,

210, Japan

Tel .+44-288-8087, Fax. +44-288-8214

Number of Staffs : 2 Research Overview : A new type of pneumatic actuator, named Flexible Microactuator or

FMA, for miniature robots [ 1 ] has been developed. FMA has so simple structure that it is easily miniaturized. FMAs have been

applied to several miniature robot mechanisms such as fingers,

arms, and legs. The robots consisting of FMAs are suitable for

inspection tasks in a narrow space and gentle handling of fragile

work

.

Research Topics : DMiniature robot arm(21: A 4mm-diameter arm with a mini-gripper

was developed. It has seven degrees of freedom including the

gripper.(see Fig. 2)

2) Robot hand[2]: Multi-fingered robot hand with simple mechanism

was developed. It can handle fragile and complicate shaped

works with ease.

3) Miniature walking robot [ 3 ] : The actuator, FMA, can easily

achieve leg motions. A prototype shown in Fig. 3 is 15mm long

and weighs 1 gram.

4) Pipeline inspection robot [ 4 ] : The actuator is also applied to

inspection robots in a small pipeline. A prototype was made of

serially connected two FMAs and its snake-like movements drive

the robot in 1mm internal diameter pipelines.

Research results in fiscal year of 1992 : 1) Pipeline inspection robot [ 4 ]

.

Reference : 1 ] K. SUZUMORI , et al .

, "Flexible Microactuator for Miniature

Robots", IEEE Workshop on Micro Elector Mechanical Systems,

pp. 204-209 (Jan. -1991)

2 ) K. SUZUMORI , et al . , "Applying a Flexible Microactuator to Robotic Mechanisms", IEEE Control Systems, Vol.12, No . 1 , pp. 21-27

(Feb. -1991)

3 ] K. SUZUMORI , et al .

, "Miniature Walking Robot Using Flexible

Microactuators" , 2nd Int. Symp. on Micro Machine and Human Sciences, pp. 29-36 (Oct . -1991

)

4 ] K. SUZUMORI , et al . , "Applying Flexible Microactuators to Pipeline Inspection Robots", IMACS/SICE Int. Symp. on Robotics,

Mechanics, and Manufacturing Systems, pp. 631-636 (Sep. -1992)

220
"Flexible Microactuator (FMA) " (1)

Koichi SUZUMORI (R&D Center, Toshiba Corporation)

Rubber

Chamber2 Chamber3 Fiber

Fig.l Structure of Flexible Microactuator (FMA)

The actuator is made of f iber- reinforced rubber and

is driven pneumatically or hydraulically . Independent pressure control in each chamber causes FMA to

move smoothly and easily in all directions.

Fig. 2 Miniature robot arm, 4mm in diameter

By connecting the actuators serially, we get an arm

with many degrees of freedom and snake-like movements. This prototype consisits of two FMAs and a

mini-gripper . It can accomplish delicate tasks.

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"Flexible Microactuator ( FMA ) "

(2)

Koichi SUZUMORI (R&D Center, Toshiba Corporation)

Fig. 3 Miniature walking robot

It is 15mm long and weighs only one gram. Each leg

is just 2mm in diameter.

It can walk omni -direct ional lv

.

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3. Research Overview

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5. References

1) T.Ueda.F.kohsaka.D. Yamazaki.T. lino: Quartz Crystal Micromechanica Devices.

Transducers' 8 5 [ 7 il nVl 1' V < ] 2) K.Ikeda. II. Kuwayama. T.Kobayashi. T.Wtanabe. T.Nishikawa. T.Yoshida:

Three Dimensional Microraachining of Silicon Resonant Strain Gage,

7th Sensor Sympos i um. 1 9 8 8 . [ 3 #; 7C jjQ X ] 3) K.Ikeda. H. Kuwayama. T.Kobayasni. T.Wtanabe. T.Nishikawa. T.Yoshida.

K. Harada : Silicon Pressure Sensor Integrates Resonant Strain Gauge on

D i aphragm. Sensor and Ac t ua tor s . A 2

1 -A 2 3 . 1 9 90 [ 3 #: 7C fld X ] 4 ) S.Miyazaki.T.Kawai.M.Araragi : "A Piezo-Electric Pump Driven by a Flexurai

Progressive Wave". CH 2957-9/91. 1991 IEEE [ ft5 fig W £f]

5 ) K. ishi i. N . Tawaragi, I . Inamura. Y . Suzuki. M. Araragi. "High-Temperature

Pressure Sensor Using ZMR-S0I S t rue t ure" . Techn i ca 1 Digest of'The 11th

Sensor Symposium. pp. 131-134. 1992.

223

Worldwide Microfabrication Research and Development

Robert O. Warrington

Director

Institute for Micromanufacturing

Louisiana Tech University

Ruston, Louisiana 71272

(318) 257-2357

FAX -2562

e-mail row@engr.latech.edu

INTRODUCTION

Often defined as an "emerging" technology, the microelectromechanical systems (MEMS)

technologies have their roots in research activities back to the early 60s, as the first micro

pressure sensors were fabricated using the anisotropic etching method [1]. Since then, the

fabrication techniques developed in microelectronics have begun to directly impact the progress

in micromechanics. During these years, pioneer research work in electrostatically-driven microstructures has been performed [2] which a decade later found its further development in surface

micTomachining for sensor formation [5],

During the 1970s, numerous industrial companies were involved in the efforts to commercialize

the existing microfabrication technologies for a new generation of products featuring light weight,

small volume and high efficiency. Among those pioneers, Texas Instruments succeeded in

marketing micro printing elements in computer accessories and terminal products [3]. At the end

of the 70s. the controlled anisotropic undercut etching technique was further developed which

resulted in microcantilever beams and similar micromechanical structures.

The continuing exploitation of VLSI processing methods in the 1980s has opened considerable

opportunities for the further invention of unique silicon-based micromechanical devices as well

as the creation of new markets [4]. In response to the growing need for application specific

integrated circuit chips (ASICs), custom design and fabrication facilities have been implemented.

The concept of the "IC Foundry" quickly found its expression as the "Silicon Micromechanics

Foundry" in the development and production of micromechanical structures [6]. Also during this

time, based on a combination of deep-etch lithography and subsequent high-precision replication, a new micromachining technique, known as the "LIGA" process, was introduced in Germany for

producing three dimensional microstructures [7]. Innovative improvement and modification to this

process have subsequently been made by researchers at the University of Wisconsin [17]. Besides

conventional electromagnetic actuators, various types of electrostatic motors and actuators

featuring simple structure, micro size and high force/volume ratio were developed worldwide [8]

- [11]. Also, different materials were investigated for possible applications in the micro robot domain, such as the shape memory alloy (SMA) [12].

Parallel to the endeavors of pushing ahead the micromanufacturing technique down to the order

225
of submicron and nanometer scales, there have been numerous activities reported which focus on applying different micromachining technologies to fabricate end products which are mainly

mini with microcomponents, such as the microcompact heat exchangers produced with diamond

bit cutting [13]. To meet the increasing need for metrology and products inspection in the

submicron and nano scale, atomic-force microscopes are under further development [14]. Also,

micro EDM, molding, plating and many other new techniques are emerging to augment the

microsensor and actuator fabrication [16]. It is evident that micromanufacturing technologies will

lead to commercialization of revolutionary devices which will dramatically change our lives in

the 21st century.

The rest of this paper will describe recent worldwide activities in MEMS, including the Louisiana initiatives in MEMS through the newly formed Institute for Micromanufacturing at Louisiana Tech University and their collaboration with the Center for Advanced Microstructures

and Devices (CAMD) at Louisiana State University.

MEMS ACTIVITIES IN THE UNITED STATES

The Institute for Micromanufacturing (IfM) and the Center for Advanced Microstructures

and Devices (CAMD)

The Center for Advanced Microstructures and Devices (CAMD) at Louisiana State University

was established in 1987 by a grant from the Department of Energy. The facility currently consists

of an electron storage ring with a linac injector, two beam-lines which are under construction,

and ancillary equipment. The Institute for Micromanufacturing (IfM) at Louisiana Tech

University was established in 1991 by grants from the Department of Energy. This institute

consists of a research building for multiple process micromachining, cleanrooms, process

equipment, and state-of-the-art metrology and testing equipment. Additional equipment and line

item funding for personnel, operating and supplies, for both facilities has been provided by the

state of Louisiana. CAMD synchrotron is very close to being operational with the first beamlines

due to be installed shortly. The institute building is currently under architectural design and

construction should start by late 1992 or early 1993. Staffing for both facilities is underway. A

more complete description of CAMD and IfM are given below.

The Institute for Micromanufacturing is composed of three components. The focal point for

the Institute for Micromanufacturing will be the component for research and development located on the Louisiana Tech University campus in Ruston. A second component will be associated with

the Center for Advanced Microstructures and Devices (CAMD) at Louisiana State University in Baton Rouge. This component will perform research associated with the X-ray lithography

micromachining capability at CAMD. The third and final component of the Institute is Technology Transfer. This component will be located in Shreveport/Bossier in order to take

advantage of the unique opportunities and resources offered in this region. There will be a strong

interaction among the three components of the proposed Institute and each of the components

will interact, to varying degrees, with universities, industries and research centers within the state and region.

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A major strength of the institute will be the complete integration of multiple process

microtechnologies which will span the spectrum from nano to macro. Macro, mini, micro and

nano are all a pan of MEMS or micromanufacturing. An important component of the institute

will be the development of minidevices with microcomponents requiring nanomeasurements with

connections to the macroworld. These minidevices could very well become the economic drivers

of the technology well into the next century.

The research and development component will consist of a new 43,000 sq. ft. building which

will accommodate institute faculty, graduate students, visiting scientists and engineers. Almost

20,000 sq. ft. of laboratory space will include space for metrology and testing (2,700 sq. ft.), lithography (initially over 3,000 sq. ft. of class 1000/100 cleanroom space will be available,

expandable to 5,500 sq. ft.), and alternative micromachining technologies such as energy beams

and EDM. The entire floor of the laboratory area will be isolated from the structure and, in

addition, many areas within the laboratory space will be isolated from the main floor pad. The

laboratory bay will be kept at 68 ± 1 °F and 45 ± 5% relative humidity. Four areas of concentration will be developed within the facility at Louisiana Tech University. They are:

* The design and fabrication of microdevices. such as micro-motors, actuators, sensors, pumps, valves, and connectors.

* The design and fabrication of microstructures, such as micro-heat exchangers, filters,

distillation columns and supports for micro-devices and systems.

* Research related directly to the manufacturing processes, including fabrication, metrology

assembly and testing of the microproducts mentioned above.

* Microsystem research involving the integration of these microdevices/structures and

interfacing of these systems with the macroworld.

Several technologies will be developed and used for the fabrication of these micro devices and

structures. First, the existing capabilities in diamond bit machining at Louisiana Tech University

will be enhanced. Micro electrical discharge machining capabilities are being acquired along with

micro drilling and power beam micromachining (excimer laser and focused ion beam) will be

developed. Second, conventional photo lithography and chemical etch will be developed and used

for the fabrication of low aspect ratio devices and structures. Third, as X-ray lithography

technology becomes available at CAMD, Louisiana Tech and LSU researchers will utilize a dedicated beam line to fabricate high aspect ratio devices and structures. Finally, research and

development will be performed on small machines techniques that can build and assemble these

microproducts.

The x-ray lithography component for high aspect ratio structures and devices consists of a dedicated beam line (off of the electron storage ring at CAMD and associated equipment

specifically for the fabrication of high aspect ratio structures and devices. Researchers from

Louisiana Tech and Louisiana State University will work at CAMD on research directly related

to the fabrication of microdevices and structures using selective etch techniques and the X-ray

depth lithography available at CAMD. Direct communication with the component of the Institute

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in Ruston. will facilitate the design and fabrication of the structures and devices at the CAMD

facility. This type of machining is currently available at only KfK in Karlsrhue, Germany and

the University of Wisconsin.

Of course, one of the key components of the institute will be the synchrotron light source. This

electron storage ring has been optimized for soft X-ray lithography [15]. The CAMD storage

ring has an energy of 1.2 GeV with 400 Ma circulating current. The ring can operate at 1.4 GeV

with a decrease in circulating current to 200 Ma. The mean radius of the ring is 8.78 m with a circumference of 55.2 m. The ring has been designed with four straight sections, one of which

is used for the 200 MeV low energy injection for the linac. The other three sections will be used

for insertion devices such as undulators and wigglers.

The beamline for the micromachining application is currently being designed. Preliminary

specifications for the line are that the line must transmit photons of 2 - 8.5 KeV and the high

energy transmission must be less than 15% at 10 KeV. The photons must be incident vertically over a field of view of 50 mm horizontally with a uniformity of ± 3% and with a beam spot of

less than 3 mm height. The beamline must be capable of exposing 100 micron thick 50 mm x 25 mm PMMA resists to a minimum of 4 kj/cc and a maximum of 20 kj/cc in less than 120

seconds with the CAMD storage ring being operated at nominal conditions. The beamline will

have a calorimeter and beam position sensor which has a resolution of better than .05 mm for

the vertical direction. The beryllium window must be of variable thickness and the transverse

window size must be 10 mm x 50 mm. The beamline must be compatible for operation with a superconducting wiggler insertion device.

In addition to micromachining the following uses are anticipated for the facility:

X-ray lithography for sub - .05 micron featured integrated circuits (the ring was

optimized for this application).

* Electronic structure, surface science, etc.

* Geometrical structure, crystallography, etc.

* Imaging, microscopy, tomography, etc.

* Medical technology.

* Education of engineers, scientists and technicians.

Technology transfer is intended to help existing manufacturers obtain and use new and

existing technologies to modernize their manufacturing processes and improve their productivity.

Existence of such a facility should be helpful in attracting new industry as well. Staff members

would conduct training at the facility or off-site, as needed, as well as using computer and video

linkages to efficiently serve industry. In addition, they would seek to develop markets for

existing products, look for new products to be developed.

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Two facilities will be available for this activity. Space and limited conferencing facilities

will be available at the research and development building on the Louisiana Tech University

campus. A larger facility is being planned for Shreveport, Louisiana. This proposed facility of

30,000 sq. ft will be used for conferencing, technology transfer and for close interaction with

the Louisiana State University-Shreveport Biomedical Research Center.

The Institute for Micromanufacturing is currently involved in the integration of different

technologies with direct applications. Several examples of this will be detailed. These applications

include micro heat exchangers and heat and mass transport at the micro level, smart bearings with

self-diagnostic capabilities, advanced ultra-precision air bearings, surface-driven electrostatic

micro positioners and shape memory alloy propulsion for micro robots. The following examples

are presented to show the breadth of MEMS and its relation to precision engineering.

Micro Heat Exchangers

There are applications of micromanufacturing where the final device is in the "mini"

region but has elements in the micro domain. Such a device is a micro heat exchanger. A micro

heat exchanger is hereby defined as a device with a heat transfer surface density (heat transfer

surface area divided by active heat transfer volume) above 5000. Typical compact heat

exchangers have a surface density of only 1000 to 3000. With such a high surface density, micro

heat exchangers have a very high volumetric heat transfer coefficient.

The micro heat exchangers currently under development are based on high conductivity

copper and precision diamond machining. For the plate-type cross flow heat exchanger, thin foils

of oxygen free (SAE alloy CA122) or electronic grade (SAE alloy CA110) are used to form the

plates. These foils are typically 125 micrometers thick. In the surface of these foils, micro flow

channels are machined with specially contoured diamond tools. This machining is performed on

an air bearing spindle to reduce vibration and improve channel surface finish. The size of the

channels can be variable but are typically 85 micrometers deep and 100 micrometers wide at the

bottom [4]. A machined foil is shown in Figure 1 and a single folw channel is shown in Figure

2. After machining, the foils are stacked such that each layer has its channels running

perpendicular to the adjacent layers, thus forming the cross flow device. The stack is then

vacuum diffusion bonded and the faces are diamond machined flat. The device is then ready for

use.

The current design is very conservative so that the fabrication and operating variables may

be more easily identified. Current testing is with a device composed of a total of 80 layers. Thus

each fluid side has 1440 flow passages and the total active volume is 1.64 square centimeters.

The surface density for this particular device is 6876 square meters/cubic meter. Filtered water

at 20° C and 70° C were used as the working fluids. The mass flow rate was typically 0.02 to 0.04 kilograms/second. These operating parameters gave a 2 to 5 atmosphere pressure drop

through the core and a volumetric heat transfer coefficient of 45 megawatts/cubic meter-K

(log-mean temperature difference). A design model predicts that a device with a volumetric

coefficient over 300 mega-watts/cubic meter-K is easily attainable [5].

Smart Bearings with Self-diagnostic Capabilities

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Bearings are the fundamental mechanical components widely used in manufacturing and

other industrial branches. Though small in volume, they are highly complex in construction,

featuring different parts like rolling-elements, raceways and cages. Depending on the type of

applications, bearings are mostly sealed up after machine assembly and often used under extreme

conditions such as in cryogenic regions or high temperature, corrosive media or ultra high speeds.

In case of overloading or overheating, bearing failure will occur and manufacturing precision will

suffer greatly or a critical component may fail endangering human life.

An effective way of preventing such critical situations and thus helping to maintain the

manufacturing precision and improve the machine operation security is the on-line, real time

supervision of bearing operating environment [6]. The environment mainly consists of the bearing

load and operating temperature. This can be achieved by equipping the bearings with

self-checking and error reporting functions through integration of sensors and microelectronics

into the bearing environment. This concept is shown in Figure 3.

The sensors embedded in the "smart bearings" generate real time electronic signals which

correspond to the force and temperature variations in the bearing components. The operating

signals will be continuously monitored by microelectronic circuitry located in the bearing

housing. The operating signals will be compared with pre-determined "threshold" values which

represent a critical loading or temperature condition. Should a critical condition exist, a signal

indicating potential damage will be sent from an embedded high frequency data transmitter to the machine control system which then can make corresponding adjustments. In using only an overload signal, the control system is not burdened with a continual stream of data. However, to generate critical "signatures", the real-time data can be monitored and stored for subsequent

evaluation which will also be beneficial to improving the existing machine control algorithm. A

novel feature of the smart bearing is that for data transmission, no direct cable connection will

be needed. This wireless method is especially suitable for applications where the accessibility of

the measurand is not easily available. Similarly, the power supply for the embedded transducer

will be provided through non-contact voltage induction.

In contrast to traditional methods of manufacturing precision controls which focus on

post-error adjustment and compensation, instrumented smart bearings will allow on-line error source location and pre-failure adjustment. This method can be very well applied to the high-tech

areas like aerospace and the military or automotive industry, where high precision, reliability and

accuracy of manufacturing and operation are required.

Herring Bone Air Bearings for Ultra-Precision Spindles

Air bearings of all types (including linear guides, x-y tables, and spindles) have been

widely employed in the ultra-precision engineering field to ensure the extremely high precision

requirements of machinery such as in diamond-tool machining. The design optimization of the

journal air bearing for precision and high performance applications is currently in progress.

Among various self-acting air bearings, the herring bone type shown in Figure 4 has been

considered as one of the best bearings for high speed spindles due to its high efficiency and high

stability. For the best possible bearing design, the relationship between the design specifications

and the bearing characteristics, such as load capacity and stability, must be known. However,

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the design information available in the literature only give a limited number of design

specification sets. This information is, in most cases, insufficient for design optimization.

Therefore, the design of herring bone bearings, especially when high speed and stability are required, still depends mainly on testing and the experience of the designer. Because of this, the

design of herring bone air bearings is still very challenging.

The Reynolds equation, which governs the performance of the air bearing, has been

numerically solved by specially developed finite element method programs. Once the solution,

that is the pressure distribution over the bearing surface, is obtained, the bearing performance

may be simulated in the computer.

The groove pump-in angle (3 affects the bearing load capacity W, as well as the stability

indirectly through the bearing attitude angle 0, (which is a divergent angle between the

eccentricity and the direction of load), as shown in Figure 5. The eccentricity ratio in the figure

is defined as a ratio of eccentricity to average bearing clearance (e = e/ho), while A is a nondimensional parameter used to express the rotational speed and n is the number of grooves.

Through such figures, the influence of the design specifications on the performance of the herring

bone bearing over the most common ranges have been discussed. Consequently, the design

optimization of the bearing has been made possible [7].

Surface-driven Micro Electrostatic Positioner

In the past several years, there has become a growing need for micro-sized motors and

actuators for applications in micromanufacturing and other microelectromechanical systems

domain (MEMS). Among other topics, the design and fabrication of micro electrostatic motors

have found widespread interests. Compared to conventional electromagnetic motors commonly

used in the large-scale motion world, electrostatic equivalents promise numerous advantages like

simple structure, small size, high force-to-volume ratio and fine motion/step control.

Among different types of electrostatic motors (side-driven, surface-driven and cylindrical

harmonic or wobble), the surface-driven version effectively utilizes the whole stator/slider

overlapping area so that its force density is the highest. The basic motion principle is that a sequence controlled multiphase excitation voltage pattern (positive, negative and ground) is applied on the electrodes which are either evenly or unevenly pitched on the stator board. This

voltage pattern will induce electrical charges in the slider film which is laid on the top of the

stator surface. The interaction between the induced electrical charges in the slider film and the

applied charges on the stator electrodes results in three types of forces: an upward levitational

force which reduces the contact friction between the slider and the stator, a repulsive force

between electrical charges of the same polarity and an attractive force between opposite charges.

The combined effects of these forces is that each time the voltage pattern is applied, the slider

will move a certain length (step), which corresponds to the electrode pitch width, in a certain

direction and at a certain speed, depending on the configuration of the excitation voltage pattern.

The slider motion will continue when the voltage pattern cycle applied on the electrodes is shifted and repeated. To enable easy modifications and flexible changes of the excitation voltage

pattern for any desired slider motion behavior, the electronic circuits are software controlled by

a computer. The excitation voltage generation pan of the circuits was built with power bipolar

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and MOSFET transistors. For control unit protection and isolation, opto-couplers were used. In Figure 6. the principle of an electrostatic motor is schematically shown.

The arrangement of the stator electrodes (linear or radial) determines, whether the slider

will perform a linear or a rotary motion. The resolution of the motion steps is mainly dependent on the dimensions and manufacturing precision of the electrodes. By appropriate connection of

the slider to further mechanism, it can be well expected that high precision positioners, micro

conveyors, micro feeders or micro drive systems can be realized which will find wide

applications in conventional and micro manufacturing, medical, biochemical, aerospace or other

relevant fields.

Biomechanical Micro Swimming Robots Using Smart Materials

The objective of this research is to design and fabricate microrobots with a simple method

of propulsion using smart materials instead of electric motors. Such devices can be fabricated at a very small scale and will have a high strength to weight ratio for special applications.

In this study, two types of micro robots will be designed and fabricated with smart

materials based on biomechanical similarity principles. The first type, as shown in Figure 7a, is a jellyfish-like robot with an umbrella made of shape memory alloy (SMA) which has the

capability of remembering and reproducing its original shape when exposed to a change in

temperature. The second type, as shown in Figure 7b, is a tadpole-like device with muscles made

of either SMA or piezoelectric materials, which can change dimensions upon electrical

stimulation.

The muscles within the umbrella of the jellyfish will be activated by heat generated from

an electric current flowing in the SMA, while cooling will come from the liquid through which

the robot is swimming. As the umbrella is heated, it will contract and will result in forward

movement of the device. As the umbrella cools, it will return to its original position. With

proper design, this impulse will provide a forward propulsion. The muscles on the sides of the

tadpole will differentially expand and contract causing the tail to move in a sidewise direction.

This reversing process will cause the tail to provide a forward propulsion similar to a fish. The

main advantage of this robot is that it is easy to fabricate at small dimensions due to its simplicity of design, it should have high reliability due to the simple movement, and it has high

efficiency because no mechanical mechanisms are used.

Designs using SMA materials, and the control systems required for the robots, are often

complex and difficult to perform because of the lack of appropriate models. In addition, the

hysteresis of the material causes added complexity to the design and fabrication and the

hysteresis is not properly understood. A dynamic model of the SMA material has been developed

to aid the design and control of the robots. The shape memory effect is the result of a crystalline

transformation between two phases of the material and so the model is based upon that

phenomenon. From this, the physical properties and behavior of the SMA may be computed for a specific configuration and set of parameters. The SMA is divided into the martensitic and

austenitic phases, and the behavior of each is computed for variations in the stress and

temperature fields.

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To confirm the applicability of the model, a comparison between the model and

experimentation was made. In the experiment, TiNi50 wire of 0.1mm diameter and 20mm length

was loaded with a 360g mass, and then heated. The heating power was supplied as a square pulse

and the wire was allowed to cool by natural convection and radiation into the room at 18 °C.

Using heat transfer theory for the heating and cooling process, the simulation was developed for

the two phase material. Excellent agreement was found between the simulation and experimental

results.

Focused ion beam micromachining

Energy beam micromachining represents a true bridge between lithographic micromachining

technologies and the more traditional precision engineering technologies. Shown in Figure [8]

is an example of ion beam micromachining. The needle structure is made of tungsten and is 13

microns long and has .7 micron wide vertical members. This technique could be used to micromachine resist to use as a mold for the "back end" of the LIGA process.

Other MEMS Research in the United States

The description of the research activities in MEMS at other locations in the United States

will be much briefer and, because of space and time limitations, not all activities will be

mentioned below. It has been estimated that the US research expenditures for MEMS is 10-15

million S/yr.

The Berkeley Sensor and Actuator Center (BSAC) at the University of California,

Berkeley, is undoubtedly one of the world leaders in MEMS research. They developed the

concept of the sacrificial layer and have made many pioneering developments in surface

micromachining of silicon. Significant advances in bulk micromachining have been made by the

Center for Integrated Sensors and Circuits at the University of Michigan, Ann Arbor. Other

focus areas for MEMS in the United States include the University of Wisconsin (LIGA), MIT

(robotics. motors,etc), the National Nanofabrication Facility, MCNC, the Center for Engineering

Design (also bridges MEMS and precision engineering), and other university research groups.

Several national laboratories have ongoing programs such as Lawrence Livermoore, JPL, and Los

Alamos. Industrial players include Lucas Nova Sensors, IC Sensors, Analog Devices, GM

Research, Texas Instruments, Delco Electronics, Honeywell and others.

MEMS Activities in Germany

Germany is certainly a leader in Microsystems Technology (MST)- both in research and

in educational programs. The talk will outline the level of effort of several of the research

groups and will outline the extensive technology transfer efforts and educational programs.

Estimates of research expenditures for MST in Germany range from 70 to 100 million $/yr.

MEMS Activities in The Netherlands, Switzerland and Russia

The Netherlands has identified MEMS as a key technology for their future. The focal

point for their research is Delft University. Estimates of research expenditures in MEMS run as

233
high as 100 million $/yr. Switzerland has several areas of research in MEMS and includes their

watch maker skills in this technology. Research expenditures range from 5 to 10 million $/yr.

Russian research expenditures in this area would be impossible to estimate at this time.

A United States-Russia forum on manufacturing, factories of the future, and productivity

enhancement was held in St. Petersburg, Russia from 18 to 21 May, 1992. The first author

presented a paper on micromanufacturing [18] and interacted with researchers interested in

MEMS. In addition to this interaction, several universities and companies were visited in the St. Petersburg area. A follow-on trip to Moscow resulted in a visit and presentation to the recently

formed Russian Academy of Sciences (includes engineering and everything else). Several general

observations from this visit listed are: 1) the status of MEMS in the United States is not well

known in Russia (the reverse is also true); 2) the status of MEMS research in Russia does not

seem to be well known by researchers in Russia, particularly what is being done in defense

related industries - this is just now becoming available and it appears that everything is opening

up; 3) the Russian researchers are eager to collaborate and have initiated some collaborations,

particularly with Europe; 4) until the economy stabilizes, their resources (for travel, operating,

etc.) appear to be very limited; 5) their higher educational system and structure is currently

undergoing major review and it appears that the revisions which will be implemented will

incorporate both the US and European (particularly German) systems; and 6) the Russian

Academy of Sciences is extremely sensitive and worried about the movement of scientists and

bright students from Russia to other pans of the world.

There appears to be considerable activities in MEMS throughout Russia, however, several

scientists felt that this was a small field of activity. MEMS interest appeared to be mostly

focused on sensors, optics, acoustics, and materials. None of the researchers that were contacted

knew of research in micro gears, motors, or systems, however most were interested in extending

their work into these areas. Several robotics researchers attended the workshop and indicated that

they were interested in microrobots, although none knew of any current research activities in this area. Listed below are a few current MEMS activities from one large microelectronics firm and

one university research center.

* Avangard (microelectronics company outside of St. Petersburg)

Ion sensor (ion-sensitive field effect transistor), chip size 5 x 1 mm.

Multiple gas sensor on chip (up to three) with local calorimetric control and heater

temperature control.

Acoustoelectronic devices with reflector arrays. Approximately 35,000 sq. ft. of class 1000 (?) cleanroom space.

* Scientific-Educational Center of Microtechnology and Testing (St. Petersburg Electrical Engineering Institute)

Bio crystals of phospholipid analogues for sensors and molecular electronics

micro actuators. Starting to investigate micromechanical device fabrication.

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These facilities were in relatively good shape. Processing equipment used 2-3 inch wafer

technology and most of the equipment was of Russian origin. The laboratories were well

maintained, however, the cleanrooms were not of high quality. It appears that the many Russian

microelectronic industries are not competitive for VLSI but could be very competitive in MEMS.

MEMS activities in Japan and Taiwan

Japan is clearly the leader in research expenditures in MEMS. Estimates run as high as 200 million $/yr. The Minsitry for International Trade and Industry has taken a lead role in the

development of MEMS technology and have designated micromachines, particularly microrobots,

as their focus. The level of effort in Taiwan appears to be very small, however they have a tremendous amount of capital, good microfabication capabilities, and some interest in developing

a program.

Summary

The key to future technological applications will be the ability to rapidly and effectively

integrate, as necessary, the macro-, mini-, micro-, and nano-world. Basic science is driving the

scale down to, and beyond, the nano-domain. These investigations are necessary to understand

material properties and behavior at the fundamental level. These studies are also necessary to understand the fundamental interactions between materials and outside influences such as

electrical and magnetic fields, gravity, light, and electromechanical driving forces. Although the

science learned at this level will greatly aid in the design and control of micro and nano devices,

these devices must still adapt to the macro world.

The Institute for Micromanufacturing is dedicated to the integration of these various

domains. Total integration will not be possible at the process level because of the large difference

in the dimensional orders of magnitude within the domain. Therefore it is necessary to design

and fabricate assist-devices so that either humans or their kinematic extensions can grasp,

manipulate, position, adjust, and assemble nano-components or attach/integrate nano-components

into a macro- or mini-device. In addition, it will be necessary to develop the speed, sensitivity,

reliability, and inspection aspects of micromanufacturing so that these curiosities may move from

the laboratory to a production environment.

235
References

[1] O.N. Tufte, P.W. Chapman and D. Long, "Silicon Diffused-Element Piezoresistive

Diaphragms", J. Appl. Physics, vol. 33, pp. 3322-3329, 1962.

[2] H.C. Nathanson, W.E. Newell, R.A. Wickstrom and J.R. Davis, "The Resonant-Gate

Transistor", IEEE Trans. ED, vol. 14, 117-133, 1967.

[3] Texas Instruments Thermal Character Print Head, EPN3620, Bulletin DL-S7712505, 1977.

[4] H. Guckel and D.W. Bums, "A Technology for Integrated Transducers", Transducers '85.

IEEE Int'l Conf. on Solid-State Sensors and Actuators, 90-92, Philadelphia, PA, 1985.

[5] R.T. Howe and R.S. Muller, "Resonant-Microbridge Vapor Sensor", IEEE Trans. Electron

Devices, vol. 33, pp. 499-506, 1986.

[6] K. Petersen, "The Silicon Micromechanics Foundry", IEEE, 87TH0204-8, 1987.

[7] W. Ehrfeld, P. Bley, F. Gotz, P. Hagman, A. Maner, J. Mohr, H.O. Moser, D.

Munchmeyer, W. Schelb, D. Schmidt and E.W. Becker, "Fabrication of Microsrructures

Using the LIGA Precess", IEEE, 87TH0204-8, 1987.

[8] S.D. Senturia, "Microfabricated Structures for the Measurement of Mechanical Properties

and Adhesion of Thin Films", in Proc. 4th Int. Conf. Solid-State and Sensors and

Actuators (Transducers '87), pp. 11-16, Tokyo, 1987.

[9] W.S. Trimmer and K.J. Gabriel, "Design Consideration for a Practical Electrostatic

Micromotor", Sensors and Actuators, vol. 11, pp. 189-206, 1987.

[10] H. Fujita and A. Omodaka, "The Fabrication of an Electrostatic Linear Actuator by

Silicon Micromachining", IEEE Trans. Electron Devices, vol. 35, pp. 731- 734, 1968

[11] S.C. Jacobsen, R.H. Price, J.E. Wood, T.H. Rytting and M. Rafaelof, "The Wobble Motor:

An Electrostatic Planetry-Armature Microacruator", in Proc. IEEE Micro Electro

Mechanical Systems, Salt Lake City, Utah, 1989.

[12] K. Kuribayashi, "Milimeter Size Joint Actuator Using Shape Memory Alloy", 1989 IEEE

Micro Electro Mechanical Systems Workshop, pp. 139-144, Salt Lake City, Utah, 1989.

[13] C.R. Friedrich and R.O. Warrington, "Machining of Metal Foils for Use in Microcompact

Heat Exchangers", in Proc. Micro System Technologies 90, pp. 509-514, Berlin, Germany,

1990.

[14] L.C. Kong, B.G. Orr and K.D. Wise, "A Micromachined Silicon Scan Tip for an Atomic

Force Microscope", Digest IEEE Solid-State Sensor Workshop, Hilton Head, S.C. pp. 28-

31, 1990.

236
[15] R.L. Stockbauer. et al, "Center for Advanced Microstructures and Devices at Louisiana

State University", Physica Scripta, vol. 41, pp. 788-792, 1990.

[16] J. Simon, G. Engelmann, O. Ehrmann and H. Reichl, "Plating of Microstrutures for

Sensors", in Proc. Micro System Technologies 91, pp. 315-321, Berlin, Germany, 1991.

[17] H. Guckel, K. Skrobis, T. Christenson, J. Klein, S. Han, B. Choi and E. Lovell,

"Fabrication of Assembled Micromechanical Components via Deep X-Ray Lithography",

in Proc. IEEE Micro Electro Mechanical Systems, pp. 74-79, Nara, Japan, 1991.

[18] R.O. Warrington, C.R. Friedrich, R.X. Gao and G. Lin, "Micromanufacturing, An

Emerging Technology", presented at the 1992 US-Russia Forum on Manufacturing,

Factories of the Future and Productivity Enhancement, St. Petersburg, Russia, 1992.

[19] E.W. Becker, H. Betz, W. Ehrfeld, W. Glashauser, A. Heuberger, H.J. Michael, D.

Munchmeyer, S. Pongratz and R.v. Siemens, "Production of Separation Nozzle Systems

for Uranium Enrichment by a Combination of X-Ray Lithography and Galvano-plastics,

Naturwissenschaften, 69, 520-523, 1982.

[20] C.R. Friedrich and S.W. Kang, "Performance of High Flux Heat Exchangers Fabricated

by Diamond Machining", submitted to Precision Engineering, 1992.

[21] R.X. Gao, M. Bhandiwad and R.O. Warrington, "Smart Grinding Balls and Smart

Bearings for On-line Process Supervision", to be presented at 7th ASPE Annual Meeting

in Orlando, Fl, October 1992.

[22] G. Lin and T. Satomi, "Characteristics and Optimization of the Spiral Grooved Thrust Air

Bearings", Trans. JSME, Ser. C, No. 541, vol. 57, pp. 2971-2977, (in Japanese), 1991.

Useful References

1. "Integrated Circuit Fabrication Technology," David J. Elliott, McGraw-Hill, Second

Edition, 1989

2. "Semiconductor Lithography - Principles, Practices and Materials," Wayne M. Moreau,

Plenum, 1987

3. "VLSI Technology," S. M. Sze, McGraw-Hill, 1983

4. "The Physics of Microfabrication," Brodie and Muray, Plenum, 1987

5. "ESD Program Management," Danglemayer, Van Nostrand Reinhold, 1990

6. "Cleanroom Practices," Kozicki, Hoenig and Robinson, Van Nostrand Reinhold, 1991

7. "Handbook on Synchrotron Radiation," Koch, Volumes la, lb and 2, Elsevier, 1983

8. "Electronic Materials," Wames, Van Nostrand Reinhold, 1990

9. "Proligh/2 User's Manual," Finle Technologies, 1992

10. "Excimer Laser Lithography," Jain, SPIE Press, 1990

11. "Introduction to Microelectronic Fabrication," Volume 5, Richard C. Jaeger, AddisonWesley

237
Useful Journals/Proceedings

1. Journal of Microelectromechanical Systems, IEEE/ASME

2. Sensors and Actuators, Elsevier Sequoia

3. Journal of Micromechanics and Microengineering, Institute of Physics

4. Nanotechnology, Institute of Physics

5. Precision Engineering, Butterworth-Heinemann

6. Transducers — Biannual Conference Proceedings

7. MEMS — Annual Conference Proceedings

8. Symposium on Microlithography — Annual Conference Proceedings

9. Solid State Sensors and Actuators — Biannual Conference Proceedings

10. Micro Systems Technologies — Annual Conference Proceedings
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Figure 2. Micrograph of single flow channel (rms roughness 39 nm)

Figure 3. Sensor located in smart bearing

239
Figure 4. Configuration of a herring bone air bearing

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240
Shaft

shape memory umbrella power leads

piezoelectric muscles

swimming tail

SMA Jellyfish

SMA Tadpole

7a. Jelly-fish like robot 7b. Tadpole-like robot

Figure 7. Shape memory alloy robots

241
242

llr U.S. GOVERNMENT PRINTING OFFICE: 1993 —3 41 -932 / 83025


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