Appendix
The Transfer of Technology from Research and Development to Manufacturing An important aspect of any manufacturing business is to move a product or process from the conceptual stage into Manufacturing (“technology transfer”). The goal is to have a “quality” product or process. Quality may be defined in many ways; for instance, “the ability to meet or exceed the customer’s (internal or external) expectations” (although this may have more to do with “value” than quality), “the ability to meet standards,” “high reliability,” or “low maintenance.” In Manufacturing, one major aspect of quality is “lack of variability;” i.e., reproducibility. Quality in production means having reproducible processing equipment and materials; comprehensive MPIs and travelers; operators trained to follow the instructions; and product testing that reveals variability in a short time frame after production. These factors are considered in a “quality audit” of the manufacturing process.[1] “Manufacturability” means (or should mean) the ability to make a quality product at a profit. In R&D, “quality” is more subjective but includes the ability of others to reproduce the work – this means reproducible experimental conditions, calibrated instruments and controls, and accurate recording of experimental results.
A.1 Stages of Technology Transfer The stages involved in taking a process from the laboratory into Manufacturing may be defined as:
Research and development (R&D)
Process development
Manufacturing development
Early manufacturing
Mature manufacturing
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546 Appendix These stages generally overlap one another.
A.2 Organization In many organizations, particularly large ones, responsibilities are broadly divided into R&D and Manufacturing, which are often separated physically as well as organizationally. These broad areas may be subdivided into groups with specific responsibilities, such as:
Management/supervision – in a group or over a group
R&D group
Analytical support group
Manufacturing development
Manufacturing
Quality control
Other specialties – sales, patent department, design, training, ES&H, outside consultants, etc.
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Management In addition to making the business decisions on the need for a process, upper and middle Management has the responsibility for determining the “manufacturing feasibility” of the process; establishing goals, milestones, and timetables; allocating the budget necessary to accomplish the goals; and organizing and facilitating communications between groups. The latter role is one of the most important in transferring technology from R&D to Manufacturing. All levels of management have the responsibility for implementing the actions needed to reach the goals.
The Research and Development (R&D) Group The R&D group has the responsibility to determine the “best” process (“enabling technology”) using materials, equipment, and processes that can be “scaled up” (“up-scaled”) to production levels and yields. The R&D group begins the process of process development by defining the important process parameters and establishing the process parameter “windows” (limits) that will result in the desired properties of the processed materials. The R&D group should strive to develop processes with the widest possible process windows (i.e. a “robust” process). Data about the processing and product is provided to Management for their determination of “manufacturing feasibility.” The R&D group initiates the writing of “specifications,”
The Transfer of Technology from Research and Development to Manufacturing 547 which are one of the formal means of communication between R&D and the Manufacturing organization. The R&D group is responsible for conducting a literature (including patent) search on the subject, if appropriate. As process development progresses, R&D supports the Manufacturing development organization.
Analytical Support Group The Analytical group provides support to other groups. In general, it is not their sole responsibility to interpret the data they generate. They work with the scientists and engineers to determine what the data mean. This may mean developing special controlled experiments to provide data and understanding of a problem or observation. The Analytical group, along with R&D and Quality Control (QC), is involved in failure analysis of a product that has been placed in service. This failure analysis can provide questions to be addressed by R&D or feedback from which processing can be improved.
Manufacturing Development Group Manufacturing Development is a part of Manufacturing that develops specific processing, monitoring, and control equipment and techniques; develops specifications with the assistance of R&D; and develops MPIs, travelers, and equipment logs for use in manufacturing. Manufacturing Development also automates the processing as much as is desirable. In addition, Manufacturing Development develops “quality” suppliers (along with QC) and supports Manufacturing. “Process Engineers” from Manufacturing Development should begin interacting with R&D early in the process development activity and convey the needs and concerns of Manufacturing to the persons in R&D and to Management. The activities in Manufacturing Development should be formally reviewed periodically with R&D and Management in “process review” meetings. These meetings can result in new questions for R&D to address.
Manufacturing Group In Manufacturing, “knob-twiddling” is minimized; automation, monitoring, and control are further developed; and efforts are made to increase yields and reduce unit costs. In “early manufacturing,” some degree of change is occurring. In “mature manufacturing,” changes are minimal.
Quality Control The QC organization helps develop characterization techniques and statistical process control (SPC) methodologies, and develops data for yield and reliability prediction.[1,2] The QC organization works with Manufacturing Development to develop reliable and “qualified”
548 Appendix suppliers of materials and components from outside sources, and “acceptance tests” for incoming material. The QC organization is often responsible for failure analysis of product returned from service.
Other Specialties Other persons and groups may have an input into the transfer process and the timescale associated with the transfer. For example, the ES&H organization may have the final say as to what chemicals can be used in the workplace. The use of outside consultants depends on the amount of non-involved, in-house expertise available. If such in-house expertise is not available, outside consultants can be used profitably to evaluate the initial concept, the approach to process development, aid in process review, advise on major purchases, and participate in problem solving. Figure A.1 shows an example of the generalized involvement of each group in the flow from concept through manufacturing.[3] Note the overlapping of involvements.a
A.3 Research and Development (R&D) and Manufacturing “Environments” The “environments” of R&D and Manufacturing are quite different. In the R&D environment, the personnel are well trained, “creativity” is encouraged, and “knob-twiddlers” are common. Personnel are motivated to write and present papers, to keep current on the pertinent literature, and to interact with their peers outside of the company. “Success” is judged rather subjectively by Management. Management is often closely involved in the work, leading to an interactive management style. In the Manufacturing environment, personnel are expected to follow directions so that reproducible processing is attained. This tends to stifle “creativity” and often leads to authoritarian management/supervision styles. Automation tends to dissociate the operator from the product; again, this stifles “creativity.” “Success” in manufacturing is judged by product “out the door” and this can lead to friction between groups and “shifts” when “nonproductive” activities such as cleaning, maintenance, and calibration are put off by one group so another has to do the “non-productive” work. Often, seniority rather than knowledge or ability gives Manufacturing personnel the “best” jobs. Manufacturing is often a very stressful environment as personnel strive to meet “production quotas.”
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A product had been developed in an R&D organization without consulting Manufacturing, using rather elaborate cleaning processes and special cleaning agents. When the process was to be transferred to production, R&D were told that soap and water, and not a lot of that, could be used for cleaning. This meant that the process specifications had to be redefined and extensively rewritten. A lot of time was wasted!
Applied R and D
(Analytical)
Management (Upper, Middle)
Manufacturing development
Manufacturing (Early and Mature)
Quality Control (QC)
Concept Library
Patent review Sales Design team
R and D Concept review
ES and H Process development
Problem Manuf. feasibility
Consultant review
F Manufacturing l development o w feasibility review
Early manufacturing
Mature manufacturing
Problem
Consultant review
Problem
Formal training
On-floor training Problem
Service
Figure A.1: The Transfer of Technology from Research and Development (R&D) to Manufacturing: Relative Involvement of the Groups. The Width of the Bar Shows the Degree of Involvement as a Function of Time
The Transfer of Technology from Research and Development to Manufacturing 549
Design, Sales Patents, ES and H Training, Consultants
550 Appendix These differing “environments” lead to differing “cultures” in the two groups. In the extreme, the Manufacturing people view the R&D people as elitist and the R&D people view the Manufacturing people as drones. Recognition of the differences in the environments, bases for performance evaluation, and “cultures” is essential to establishing good communication and a harmonious working relationship between the groups. In order to facilitate communication, the responsibilities of each group and each group’s importance to the company need to be defined and understood by the other.
A.4 Communication In order to effectively transfer a technology from the laboratory to Manufacturing, it is necessary to establish both formal and informal communication from the R&D scientist and engineer to the production engineer to the hourly paid production operator. This communication is often made difficult by the environment that is created in each group by the differing cultures, languages, educational backgrounds, responsibilities, goals, bases for performance evaluation, peer interactions on the job and outside of work, and personalities of the persons involved. Formal communication methods include written MPIs. Meetings provide another formal means of communication. To be successful, the meetings must be organized so as to have a defined purpose(s). Having a “facilitator” to control and lead the discussion can enhance the meeting’s effectiveness. Generally, the facilitator should be “neutral” and not someone of authority who will stifle discussion and interaction. Persons conducting meetings and persons involved in meetings should understand the mechanics and dynamics of a successful meeting.[4] Informal communication between disparate groups of people can be encouraged by having them work together for a common goal, such as writing a specification or performing a definitive experiment that is evaluated by someone having the potential to impact their performance evaluation.
A.5 Styles of Thinking In order to have effective communication between individuals, it is necessary to understand how individuals think and to recognize that persons who do not think with the same style often have difficulty communicating with each other. The styles of thinking may be divided as follows:[5]
Synthesist – sees likeness in apparent un-likes; seeks conflict; interested in change.
Idealist – welcomes broad range of views; seeks ideal solutions.
Pragmatist – whatever works; seeks shortest route to payoff.
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Analyst – seeks “one best way;” interested in scientific solutions; often judgmental.
Realist – relies on “facts” and expert opinions; interested in concrete results.
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Personal styles of thinking may be strongly one type or another or they may be combinations of types. The type(s) of thinking style(s) can be determined by testing. If a strong synthesist and a strong analyst are asked to communicate, there can be problems since they “don’t think alike.” Management needs to recognize these differences and organize the communication methods to overcome these differences. Individuals should be cognizant of their thinking style and recognize that others may have different styles of thinking. One of the advantages of having people with different styles of thinking is that it tends to avoid “group think.” An advantage of bringing in an “outsider” such as a consultant or someone new to the discussion is that that person may ask questions that help to avoid “group think.”
A.6 Training A major factor in quality manufacturing is the production technician and operator. An important aspect of manufacturing is “formal training” in classes and “on-floor training” of the Manufacturing personnel. On-floor training by peers should be carefully monitored to prevent “bad habits” from developing and being passed on. Training methods can be categorized into “behaviorist” and “humanist” approaches. The behaviorist approach stresses specific knowledge and is amenable to testing on specifics. This type of training is particularly applicable to training operators for repetitious jobs. The humanist approach stresses the reasons and “whys” of things. This knowledge is more difficult to test but can lead to more creativity from the individual. The type of training that is effective will vary for each individual.[6] In training personnel, it should be realized that different people have different learning modes. On one extreme there is the person who primarily learns by seeing (“visual learner”) and on the other there is the person who learns primarily by hearing (“auditory learner”). This means that training must be flexible and should contain both visual and auditory material in order to reach the largest number of people effectively. Also, learning, for many people, can be facilitated by “chunking” the information into small units that can be assimilated easily and by relating the information to something that they already know. Learning should be reinforced by “doing” in a controlled environment under proper supervision to prevent “bad habits” from being developed. Persons in Manufacturing may be creative but have their creativity stifled by the need to have reproducible processing. The lack of involvement in the process, particularly when the process is highly automated, can affect their morale and sense of accomplishment.
552 Appendix Effort should be made to keep the operator involved in the processing and the results of the processing. For example, the publication of daily product throughput and yield data helps to keep the operators informed. If the process is automated to such an extent that inattention is a problem, efforts should be made to force involvement. For example, the travelers should be designed to force operator involvement (e.g. read a meter) even though the information obtained may be redundant. Creativity can be promoted by having mechanisms that allow ideas to be recognized and evaluated without uncontrolled deviation from the MPIs. Such things as “suggestions boxes” and “quality circles” may be used to express ideas, which can then be evaluated before being incorporated into the specifications and MPIs. Individuals, groups, and “shifts” should be made accountable for the product that they produce and a spirit of friendly competition should be encouraged. In evaluating personnel for being trained as operators for PVD equipment, some of the things that should be evaluated are written and verbal comprehension, written and verbal communication, and manual dexterity. These can be appraised using the appropriate tests.
References [1] J.M. Juran, F.M. Gryna Jr., (Eds.), Juran’s Quality Control Handbook, 4th ed., McGraw-Hill, 1988. [2] H.M. Wadsworth, Handbook of Statistical Methods for Engineers and Scientists, McGraw-Hill, 1990. [3] D.M. Mattox, The transfer of technology from R&D to production, in: Proceedings of the 35th Annual Technical Conference, Society of Vacuum Coaters, 1992, p. 14. [4] M. Doyle, D. Straus, How to Make Meetings Work, Jove Publications, 1982. [5] A.F. Harrison, R.M. Bramson, The Art of Thinking, Berkeley Books, 1982. [6] J.W. Newstrom, M.L. Lengnick-Hall, One size does not fit all, Train. Dev. 45 (6) (1991) 43.