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PLASMA AND ION BASED SURFACE ENGINEERING (PISE) TECHNIQUES FOR MATERIALS

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GENERAL DESCRIPTION OF THE ACTION

1. Objectives of the Action

1.1.Introduction: Industrial Relevance and R&D Problems:

A vast number of technical, physical and chemical processes take place at surfaces and the majority of material failures are surface-initiated by such surface processes as wear, friction or hostile environmental conditions. The functional component materials have to possess near-surface properties, which differ from those of the bulk. The generation of appropriate surface conditions, which is an essential task for the optimization of such processes, can often only (or most easily) be achieved by plasma- and ion-based surface engineering (PISE) techniques.

These offer unique opportunities to tailor the physical, chemical and metallurgical surface - and subsurface - properties in a precise fashion and at temperatures that are sufficiently low to avoid deformation or further shaping treatments. Another essential feature of the PISE techniques is their "non-equilibrium" character: new materials (including metastable alloys and compounds) with properties unattainable by other means have opened entirely new fields of R&D. Lastly - but certainly not least - PISE techniques involve "dry technologies", and hence are environmentally friendly.

However, the implementation of PISE techniques on an industrial scale poses problems such as: (i) the control and reproducibility of the surface properties; (ii) the easy treatment of large area surfaces (this important feature will of course depend on the base material and on the nature of the deposited film); (iii) deposition rate improvement while maintaining or improving the surface coating quality by optimizing the material and enhancing the process energy efficiency; (iv) process automation by in situ parameter control.

So far, clever empiricism has in most cases been the rule in this field (and has proved quite successful). But we have now reached the point where we need to incorporate upstream research for surface treatment techniques to progress on an industrial scale. This is exactly the approach taken within this Programme. The subjects involved in improving the industrial process are for example plasma physics and chemistry, plasma-surface interactions, modelling of reactions in the plasma or at the surface, physical effects related to reactor upscaling. All require intimate co-operation between industrial and academic research groups, even very close to the production line.

1.2.General and Specific Goals:

In order to obtain useful "tailored" surface properties on a given base material, several requirements have to be satisfied. Typically, for example, (i) the intrinsic (friction, wear, optical, electrical) properties of a surface layer deposited under given conditions have to be well-defined, spatially homogeneous, and reproducible from one layer to another; (ii) the adherence of the deposited layer to the bulk material should be as good as possible, and possible strain effects due to interface matching should be well-understood and controlled; (iii) layer areas and deposition speeds should be enhanced, and so on. In order to meet the requirements listed above, adequate understanding of the phenomena occurring during the layer formation process (and/or materials synthesis) itself is necessary. In order to obtain this information, two categories of physical parameters have to be monitored: those pertaining to the plasma or ion beam, and those pertaining to the physical and chemical properties of the material and the substrate as the deposition takes place. Hence the proposed Action's emphasis on in situ measurements, correlated to the layer material properties.

Consider the plasma processes for example. One of the main obstacles to their propagation at the industrial level is the complexity of the molecules in the plasma gas. Very little is understood or even measured and analysed regarding the basic mechanisms occurring during the transition from the gas phase excited by a plasma to the deposited solid phase (or the grafted phase in the case of a polymer). This has serious consequences on efforts to upscale laboratory reactors for industrial applications. Modelling is absolutely necessary in order to direct upscaling trials, and this requires detailed information on the evolution of the plasma and deposited layer characteristics using optical, electronic or ion-beam techniques. Any change in the nature of the gas, the base material or the reactor geometry will require a new study of the same kind. Hence the necessity of performing in situ studies of these features in various situations of interest, and the desirability of developing international collaborations between specialists in at least four or more of the following areas:

- materials science and engineering

-plasma and ion beam physics and engineering

-surface and interface physics and chemistry
-solid-state physics, polymer physics and chemistry, metallurgy

-process engineering

-medical technology.

We propose to develop such a well-structured collaborative multidisciplinary research effort, involving efficient collaboration of academic institutions with industrial research and processing laboratories, and combining the complementary expertise available in different EC and EFTA countries.

Our specific goals are listed below.

1.2.1.To exchange and especially to integrate existing knowledge on the basic and technical aspects of the relation between plasma (ion beam) deposition characteristics and the resulting physical and/or chemical properties of the synthesized materials and deposited surface layers on materials of interest for existing or near-future applications: metals, polymers and semiconductors, carbon and diamond, ceramics and glasses.

1.2.2.To develop methods for in situ monitoring of deposited surface layers (i.e. during deposition) and to relate the measured parameters to the properties of the layers.

1.2.3.To develop methods for in situ monitoring of the plasma (ion beam) characteristics (e.g. plasma parameters, optical emission of the various atomic and/or molecular species in the plasma, beam-substrate interaction etc.) in the plasma reactor or in the ion beam deposition machine - again during deposition - in order to relate the measured parameters to the deposition parameters discussed above and to the layer properties.

1.2.4.To design model plasma reactors and/or ion beam machines incorporating the information gained in these in situ measurements, and integrating - as far as possible - the monitoring techniques thus developed in order to perform real-time control of surface layer parameters. Speed and efficiency of the PISE processes also poses essential problems related to reactor size upscaling, that can only be faced by combining academic and industrial research efforts.

1.2.5.Several aspects of this programme require complex simulations and modelling in the fields of basic physics and chemistry as well as of materials science and engineering. The existence of a COST programme on Modelling should enhance the quality and collaborative nature of the proposed PISE programme.

2.International State of Knowledge

A number of plasma- and ion-based surface technologies have of course been implemented for over 20 years and have reached commercial maturity in many engineering areas. But there has been an impressive breakthrough in the last few years regarding the areas listed in paragraph 1.2. This has led to significant, very recent progress in the obtainment, control and compatibility of a large number of surface properties. Simultaneously, the flexibility of the PISE techniques has led to their diversified application in the surface modification of materials to which they had not been applied before, thereby leading to unforeseen properties.

The most significant activities in both basic research and applications have been developed in the United States and Japan, who are the leading countries in thin film technologies. Their leading role in the microelectronics industry has obviously been crucial in this respect. Massive and co-ordinated R&D programmes have been instrumental in exploiting the more recent technologies and identifying areas for innovation in these countries.

In Europe, the application of thin film technology had not previously received the same degree of attention outside of the microelectronics and sensorics areas. In very recent years, however, growing interest has been shown by a number of large steel, automobile or glass manufacturing firms for example in PISE techniques. These "users" have encouraged coating specialists and coating equipment manufacturers (some rather large firms, but also a host of SMEs) to develop adequate new coating products (large scale reactors for example). The manufacture of new coatings; the reproducibility and large surface coverage problems; the process control requirements, have all induced a significant number of bilateral or multilateral collaborations between industrial and academic laboratories, some leading to proposals within the Brite-Euram programme.

It is noteworthy that the expertise of the various EC and EFTA national communities in many areas of PISE are quite complementary regarding both basic research and technology. There are already a number of bilateral co-operations between academic and industrial groups from the various countries involved; there are also several sectorial periodic Conferences, but there is at present no adequate structure in Europe with any responsibility for the promotion of the most recent key technologies in the PISE field. There is an urgent need to provide a Europe-wide forum for co-operation

between the scientists and engineers concerned in order to enhance both knowledge and industrial exploitation of recent materials surface modification techniques.

A large-scale, coherent European collaboration is definitely desired by many researchers and industrial laboratories in the field, as evidenced by the success of the recent "EJC-PISE" (European Joint Committee - Plasma and Ion Beam Surface Engineering) initiative, which resulted in a Memorandum submitted to DG XII in September 1990, accompanied by statements of interests from major automobile manufacturers, energy producers, and of course coating specialists.

3.Description of R&D Work

3.1.Scope

In situ monitoring techniques are prerequisites to process-control, and industrial use requires up-scaling of the laboratory-scale deposition process: only integrated R&D programmes can anticipate these necessary developments. We therefore (i) emphasize the implementation and development of in situ monitoring techniques in coating R&D; (ii) strengthen the numerous existing ties (and create new ones) between academic and industrial laboratories working on different base materials, for which the most appropriate coating techniques will differ.

3.2.General Working Plan

The fields of activity and the thrust of the proposed COST Action are summarized in the following paragraphs. Each one corresponds to a potential Work Package (WP) involving, at present, from some 10 to 30 groups from industry and/or academic research.

3.2.1.Surface Treatment of Polymers: This area typifies several features of the proposed approach. These materials are being increasingly solicited for applications in which the surface properties required (wettability, adherence, hardness, chemical neutrality) differ significantly from those expected from the bulk (mechanical strength, weight, ease of moulding or injection, diffusion barriers, optical transparency). The development of new, highly cross-linked and wettable polymers, has been made possible by recent PISE techniques. Surface treatments are thus essential, and they must be compatible with the thermal instability of polymers. The "low temperature" nature of PISE techniques is a major asset, as are the possibilities of automatizing the deposition process and the reduced pollution inherent to these techniques. The emphasis will be on the identification of the main kinetic processes involved in the plasma source and in the plasma-surface interaction, for both plasma deposition and plasma modification of polymers. This WP includes groups from 10 countries, and 13 industrial participants. It may possibly be carried out around a limited number of specially equipped reactors by international collaborative research teams. The industrial consequences are such that several firms are participating in preliminary designs of such equipment. This is also true in the cases described below.

3.2.2.Plasma - Deposited or - Etched Electronic Grade Thin Films: Materials such as amorphous and microcrystalline silicon; Si-Ge or Si-C; insulators such as SiNx, SiOy, SiNxOy are deposited at temperatures below 300?C. In situ studies in this area aim to improve the (optical and electronic) performances of the material and of the plasma process (deposition rate, absence of defects, control and reproducibility). There will be strong emphasis on the development of reactors and processes allowing large area (ca. 1 m) coating at high deposition rates for large-area LEDs.

This field, because of its obvious importance to microelectronics, has developed very sophisticated techniques for, e.g. engraving. One of our objectives is to encourage some of the best groups working in this area to use their techniques and expertise in order to characterize, design and control new coatings or etchings on materials outside the microelectronics field. The WP includes participants from 5 countries and 5 industrial companies at present.

3.2.3.Modification of Metals, Ceramics, and Glasses Surface Properties by Plasma or Ion Beam Treatment: This is clearly an area in which PISE techniques are comparatively widespread at the industrial level, e.g. for the improvement of surface properties of materials, for metal deposition, cementation (borides, nitrides, carbides, or oxides), or carbon (amorphous, diamond-like or diamond) deposition.

Recent progress has been made in this area by introducing plasma diagnostics and ion beam characterization in order to study the processes leading to the production of active species and for process monitoring. Various techniques are also used to monitor the surface characteristics after deposition. The specific purpose of the proposed COST Action in this area is to study and understand the relation between the plasma or ion beam parameters (active species, gas phase reactions) and the growth mechanism of the layer materials in the various deposition methods. This is essential in order to master the coating's growth as well as its anchoring to the substrate, and absolutely requires in situ diagnostics. Modelling of active species

kinetics and transport will also provide information on parameters involved in plasma-surface reactions. Three subgroups are involved in this WP with a total of 10 countries and 26 industrial companies participating, working respectively on thin coatings (on all types of substrates), on thick coatings (emphasis is on high-speed deposition and adhesion), and on very hard (diamond and diamond-like) coatings.

3.2.4.We also propose a collaboration between plasma-spray specialists and low-pressure plasma experts specifically in order to develop in situ studies of the particulate characteristics and of the particulate-surface interaction in both types of plasmas. This WP should provide key information for industrial applications in both fields. It involves 7 countries and 6 industrial companies.

3.2.5.The specific cases described above clearly have basic points in common as regards the in situ analysis of the plasma and of the plasma - or ion - surface interaction. An essential point of this COST Action is therefore to encourage collaboration and cross-fertilization between groups which, although working on different base materials, have developed complementary techniques or methodologies. This will be achieved by creating a Work Package on "New reactors or ion sources, Modelling, and new diagnostics techniques". The latter will be at the crossroads of four other, more materials-oriented, Work Packages, and will involve a significant number of their participants, notably those working on reactor and ion beam technology, innovative diagnostics techniques or modelling. There are 7 participating countries and it involves 16 industrial companies.

These Work Packages have been discussed by their prospective participants in special meetings or through more informal contacts. At this stage, there is a consensus on the proposals presented here. Of course, these are preliminary but, as they stand, they are indicative of the interest in the action and of its state of organization. The following Table summarizes the most significant figures of these Work Packages and provides an idea of their relative weight.

4.1.On-going Programmes

Heretofore, the most ambitious national Programmes related to the field were German: the organization of a PISE Committee in Germany during the early 80's certainly played a role in this regard. The BMFT Thin Film Technology Programme is mainly concerned with process development for thin film production, while the main purpose of the BMFT Materials Research Programme is to develop advanced materials (such as PM materials, composites, ceramics, high temperature and special materials, new polymers) and tribology studies. The synthesis of materials and the development of new coating materials are included in this programme. The type of programmes proposed here could probably be accommodated in one or both of these frameworks.

A French programme (MRT) involving support of both coating material synthesis and process development was set up two years ago with the active co-operation of the French PISE Committee. Considerable work in all the fields described under paragraph 3.2 is being performed in Great Britain, Italy, the Netherlands, Switzerland, and Sweden; important developments are taking place in specific areas (notably related to coating of metals) in Denmark, Finland, Ireland, and Portugal. In practically all of these countries there are rather close ties between many of the best academic laboratories and industry.

This COST proposal is also "upstream" to several existing proposals in BRITE-EURAM (involving groups participating in the present COST action) or to potential proposals in EUREKA (see paragraph 4.3).

4.2.Recent initiatives

All of these countries (except Sweden momentarily) are represented in the European Joint Committee-PISE, and there are many bilateral (and several multilateral) contacts between specialists from all these countries. Moreover, the EJC-PISE and PISE-France initiated a First European Workshop on Plasma and Ion Surface Engineering (Toulouse, France) in June 1991 on "Diagnostics of plasma (ion) surface interactions correlated to surface (coating) properties". A Second PISE Workshop, on "Process monitoring and control for materials", was organized by the UK-PISE Committee in Oxford, United Kingdom, (February 1992). A Third PISE Workshop, organized by PISE-Germany, is to be held in March 1993 on "Environmental issues of PISE". Our aim is to create a series of efficient, rather informal meetings on specific subjects related to this COST Action.

In order to prepare the present proposal, an International Meeting brought together about 70 participants from 13 EC and EFTA countries. About 25% of the participants came from industry, nearly 20% from research institutes, and the remainder from universities. Since then, two full Work Package meetings have taken place and two others are scheduled before the end of 1992. The total number of prospective industrial partners has increased to ca. 65.

4.3.The COST Concerted Action

4.3.1.The "concerted action" concept as developed in the COST programme involving subgroups on specific subjects, each with its own technical co-ordinator, is in our view of crucial importance to efficient management of a truly interdisciplinary project. In our case, it should enhance the cross-fertilization between experts from industry and research institutions, since two of the main aims of the Action are to (i) facilitate a coherent approach of areas which are necessarily treated as separate entities in various chapters of the present BRITE-EURAM or ESPRIT programmes, (ii) satisfy the need for specific "upstream" R&D work, with emphasis on the very new possibilities opened up by the PISE techniques in many areas of industrial interest and (iii) take advantage of the complementarity among the participating countries as regards the competence of their specialists in the various fields of interest to the Programme. The proposed Work Packages (see above) demonstrate how we view this in practice.

Clearly, a number of the collaborative efforts first developed under the COST heading will lead to the initiation of technology-driven proposals to BRITE-EURAM. The context of the COST programme should, in such cases, improve their quality and scope; simultaneously, the COST framework will help to ensure that in such instances the non-proprietary R&D information of general interest will remain available to all. The organization of a "European culture" in the field is both timely and generally recognized as necessary in a field presently dominated by Japanese and US firms.

4.3.2.An essential feature of the Programme is to structure international collaborations (including both basic and industrial research specialists) efficiently on a European scale. This will be obtained by a series of definitely selective actions. If and when the COST programme is renewed, some actions will be replaced by others so that, after a few rounds, a large fraction of the most active PISE specialists will have been involved. In this perspective, the COST programme will provide stimulation to the more active groups in the PISE field, and hence help establish a "scale of excellence" of the European laboratories in this field of R&D. The best and most efficient groups should thus provide good candidates for the Human Capital and Mobility Programme.

4.3.3.The new EUREKA umbrella programme on surface treatments (EU 800: "EUROSURF"), which is in a preparatory stage and will - as all EUREKA projects - be product-oriented, can only benefit from the proposed PISE programme. According to the EUROSURF initiator, the two programmes are entirely complementary, and future projects in the area should easily move from one programme to the other.

4.3.4.The "Work Package" structure of the COST Programme will be complemented by the PISE Meetings and by student and post-doctoral exchange programmes described above. It is clear that the COST framework is ideal in order to prepare and co-ordinate such actions.

5.Duration and cost estimate

The proposed duration of the Programme is three years. The present estimate of the total effort over a three-year period is about 350 man-years and the total cost for the period will no doubt reach about ECU 25 million. Some streamlining - and hence some reduction of the number of participants - will likely take place in the next months once the Work Packages define their selective actions.

Current status
The official start was in October 1993 and proposals were evaluated in September 1994. Almost 120 laboratories from 20 COST countries are involved in the proposals. Since the negotiations between partners started in 1992, 90% of the proposals received by the evaluators have been for well-prepared and well-structured projects from groups of 3-10 laboratories. Some "individual" proposals were either incorporated into existing schemes or advised to form a new project. On request of the Management Committee some modifications were made and at present the Action exhibits co-ordination and research activities within four work packages :
Work Package 1
Modification of surface properties by plasma or ion beam treatments and coatings on metals, ceramics and glasses. (Co-ordinator : Dr M Remy,
Nancy (F)).
A total of 52 laboratories are participating in 10 projects divided into two subgroups :
Improvement in surface treatments and thin films deposition processes ;
Ultra-hard coatings, films with extreme properties.

Work Package 2
Plasma treatments of polymers and plasma deposition from organic monomers. (Co-ordinator : Professor R d'Agostino, Bari (I))
More than 30 participating laboratories already interacting in framework of 5 projects.
Work Package 3
New plasma reactors and ion sources, modelling and new diagnostics techniques. (Co-ordinator : Professor H Oechsner, Keiserslautern (D))
Work Package 4
Particles in plasma. (Co-ordinator : Professor A Bouchoule, Orleans (F))
In 1996 thirteen short-term scientific missions have been successfully performed.

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