Materials for Energy Efficiency / Energy Efficient Materials

Dr. J. Michael McQuade Senior Vice President, Science & Technology Corporation

February 1, 2012 Agenda

UTC Overview UTC Examples of the Impact of Materials Science Elevators Membranes Catalysts Materials Processing and Energy Additive Manufacturing Machine Modeling Materials Design/Manufacturing

2 United Technologies Business units Pratt & Whitney

aerospace systems power Sikorsky Carrier solutions UTC Power

Hamilton Sundstrand UTC Fire Otis & Security building systems

3 United Technologies - 2011 Revenues: $58.2 billion

Business unit revenues Pratt & Whitney Carrier 23% 21%

UTC Fire & Hamilton Security Sundstrand 12% 11%

Sikorsky ( 'LQYHVWPHQW«%LQ 13% Otis ($ Billions) 21% 4.0

3.0 Customer Funded Customer Funded Segment « 2.0 54% Commercial & Industrial Company Funded 46% Aerospace 1.0 Company Funded

0.0 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011

4 UTC Sustainability Roadmap

Operations Products Advocacy

UTC launches the UTC energy efficient products UTC is leading voice in advocacy 2015 Sustainability Goals and programs Otis launches the Gen2® elevator system establishes a LEED requirement U.S. Green Building Council (1993) for new construction UTC Power introduces 400 kW PureCell® system World Business Council for 6XVWDLQDEOH'HYHORSPHQW¶V(QHUJ\ Pratt & Whitney flight tests PurePowerTM Efficiency in Buildings project PW1000G engine with Geared Turbofan (2006-2009) technology

Energy Use 1997-2010 Water Use 1997-2010

5 Materials Science ± Enabling Technology

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ƒ Iron and bronze ƒ Aluminum and stainless steel ƒ Plastics and synthetic fibers ƒ Nanostructured materials

³0DWHULDOVhave enabled advancements in railroads, automobiles, aircraft, telecommunications, defense, and medicine, even if PDWHULDOVGLGQRWE\WKHPVHOYHVVHWWKHSDFHRILQQRYDWLRQ´

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Fundamental drivers for materials technology insertion at UTC Durability Weight Cost Temperature Embodied energy Operating energy Enhanced features

7 SOME EXAMPLES

8 Elevators ƒ Cost reduction ƒ Weight reduction ƒ Material systems for brakes and safeties ƒ Electrical efficiency ƒ Super hi-rise lifting systems

9 Elevator Systems Enabled By Materials Technology

Conventional rope systems require ƒ Large machine size due to rope torque ƒ Rope diameter drives turning radius drives sheave diameter ƒ Lubricant systems

Otis Gen2® Elevator System ƒ Flat polyurethane-coated steel belts ƒ 3 mm x 30 mm belt ƒ Eliminates lubricants 10

Elevator Systems Enabled By Materials Technology

Gen2 ® Elevator System ƒ Up to 70% reduced machine volume ƒ Reduced torque from smaller radius sheave (480 mm to 100 mm) ƒ 12mm dia rope vs. 1.6 mm dia. cord in flat belt ƒ Improved packaging; machine roomless

ƒ 75% machine weight reduction ƒ Power consumption reduced by 50%

11 Gen2 ® Elevator Material Challenges

Material interactions in CSB cords

Advanced magnetics for motor drives Silicon FET GaN Equiv.

Materials for power electronics

Gen2® regenerating drive system achieves 75% improved energy efficiency

Rail interactions and lifting

12 Elevator Topology Optimization

ƒ Material saving ƒ Reduced distinct parts ƒ Reduced operations

Optimal topology Baseline Design space Engineering (stress, deflection product and load/BCs interpretation (10 load cases) and frequency CAD drawing constraints)

13 Otis«Ultra High Rise Buildings Technology challenges... ƒ Elevator hoistway space 1100 ƒ Dispatching and elevator access 1000 ƒ Rope sway and elevation control 900 ƒ Ride comfort and energy consumption 800 ƒ Building evacuation and safety 700

600

500 Rise (m) 400

300

200

100

0 Al Burj Burj Shanghai Pentominium Russia Chicago Incheon China Dubai World Trade (Dubai UAE) (Dubai UAE) Center (Dubai UAE) Tower Spire Towers 117 Tower 4 (NYC) (Shanghai SH) (Moscow) (Chicago) (South Tower (Dubai UAE) 417 m Korea) (TJ China) Emerging ultra high rise buildings have needs beyond the capabilities of many of the components we produce today. 14 Where Does It End - The Space Elevator

ƒ A cable anchored to the Earth's equator, reaching into space. (Tsiolkovsky, 1895)

ƒ A counterweight at the end keeps the center of mass above the level of geostationary orbit.

ƒ Inertia ensures cable remains stretched

ƒ Above the geostationary level, climbers have upward centrifugal force.

ƒ The cable must be made of a material with a large tensile strength/density ratio > 100,000 kN/(kg/m).

ƒ Optimize EM energy harvesting versus

statics / potential differences.

15 Membranes and Catalysts

World Market (MM $US) Process 2002 2004 2006 2008

RO / NF 1716 1934 2222 2571

Ultrafiltration 1441 1653 1927 2265

Microfiltration 2091 2449 2928 3517

Liquid Separations 1786 2138 2605 3200

Gas Separations 453 547 679 846

Total 7487 8721 10361 12399

Source: Profile of the International Membrane Industry, Elsevier Ltd.,3rd Ed.

Global membrane separation technologies market to reach US $16 Billion by 2017 (Global Industry Analysts, Inc.)

16 Membranes Market Overview

Market growth between 2003 - 2008

Key drivers are energy efficiency and environmental footprint

rd Source: Profile of the International Membrane Industry, Elsevier Ltd.,3 Ed. 17 Membrane Technology Development Materials

Polymers Ceramics Metals

Flat sheets Pressure-driven Pleated papers Concentration-driven Tubular/hollow fiber Electrical potential

Structure Process

18 Membrane and Catalyst Applications at UTC

Buildings Industrial CO separation for power plants Air dehumidification 2 Waste-heat driven membrane distillation Batteries and fuel cells

39% 33%

28%

Aircraft Fuel tank inerting Fuel deoxygenation

19 Principles of FSU Operation Membrane-based deoxygenation prevents coke formation Deposition as a function of oxygen level Coke formation prevents heating jet (20 mL / min flow rates) fuel to high temperature 2.5 104

/kg 2 104 2

Pyrolysis g/cm

P 1.5 104

1 104

Autoxidation Acceptable

level micrograms Deposition, 5000 Coke deposition, Coke Deoxygenated

0 200 400 600 800 1000 0 0 10 20 30 40 50 60 70 80 T fuel (F) Dissolved O Concentration, ppm 2

O2 concentration gradient provides driving force Porous Support Membrane Membrane Porous support

Jet Fuel Fuel In Fuel Out < 6 ppm O2 70 ppm O2

O2 vacuum or O2 oxygen-free gas 20 Principles of FSU Operation Membrane-based deoxygenation prevents coke formation

O2 out Bottleneck: oxygen transport from bulk flow to membrane surface

Fuel in

O2 out

Fuel Leakage

0.025 ³6HDODQWOD\HU´ Membrane 0.020

Backing 2 0.015

gr / hr / in 0.010

Support 0.005

0.000 Conventional Modified Gen1 Gen2 Construction Construction 10X lower fuel leakage Oxygen Permeability 300.0 5X higher oxygen permeance 250.0 200.0 2X lower membrane mfg. cost 150.0 100.0 40% less membrane needed Oxygen Permeability (GPU) 50.0 0.0 Conventional Gen1 ModifiedGen2 Construction Construction 21 CO2 Separation Membrane ± Simulation Study

Membrane module Synthetic analogue/ polymer thin-film Porous substrate

Membrane properties mapping Simulated separation system (simplified)

22 CO2 Separation Membrane N , H O, O CO2 2 2 2 CO2 N2, H2O, O2

~ 0.2 Pm

Current: Desired:

ƒ Thin, dense polymer films with ƒ CO2 WUDQVSRUWIDFLOLWDWHGE\³FDUULHUV´ preferential CO2 affinity within a barrier film

ƒ Low selectivity for CO2 ƒ Fast and reversible interaction sites

23 PEM Fuel Cells Membrane Attributes and Challenges

Function ƒ Transport protons

ƒ Separate the reactants (H2, O2)

Available membranes Desired attributes ƒ PerFluoro Sulphonic ƒ High proton conductivity ƒ Hydrocarbon ƒ Low gas cross-over ƒ High chemical / mechanical durability

Challenges ƒ Sufficient proton conductivity at low RH ƒ Stability at high temperature operation ƒ Trade-offs in durability and performance ƒ Cost 24 PEM Fuel Cells

Membrane critical to fuel cell life and performance Chemical stability Mechanical strength

Micro porous layer Improved performance resulting in Anode Cathode Macro Macro porous higher power densities Bipolar Plate Membrane Catalyst Voltage (V) 1

layer 0.9

H+ 0.8 AIR H2 AIR H2 0.7 2010

0.6

2004-2009 0.5

<2004 0.4

0.3 0 500 1000 1500 2000 Current Density (mA/cm2)

25 UTC Power ± Fuel Cell Bus Durability

(mVdc) 700 2008 Fleet Leader 2011 Fleet Leader (in service) Fleet statistics 17 bus fleet 2007 Fleet Leader 2011 second bus (in service) 600 750,000 miles 70,000 hours End of life 2006 Fleet Leader 18,500 start-stops 500

400 0 2000 4000 6000 8000 10000 12000 Load Hours

Best in class PEM fuel cell durability enabled by improved systems understanding and advanced cell materials

26 Membrane Durability: Critical Fuel Cell Enabler Membrane failure limits stack life (e.g. 10,000 vs 40,000 hours)

H - 2 Measure in PEMFC effluent (FER) F

H2 O 2 Radical Attack of polymer Anode H2O2 formation formation weak sites OH‡

Material Localized stress Crossover properties promotes cracks, failure Cathode H2O2 degrade fissures occurs

H2 O O2

ƒ Chemical degradation ƒ Mechanical degradation 27 Flow Batteries

Flow Battery System Ion exchange Power out Electrolyte membrane flow Renewable Energy

Smoothing & time-shifting Cell stack (power) Electrode Electrode

Reactant tanks Commercial Buildings (energy) Bill reduction & UPS Remote & Off Grid Minimize fuel usage

Transmission & Distribution Infrastructure deferral 28 Flow Battery Performance

250

e n

a 80 mA/cm2 r

b 200 m ) e V 1000 mA/cm2 m m

( o Lower membrane resistance enables t

e 150

c e n u a d t higher power density operation s s i s s 100 o e l

r e g a t l

o 50

If crossover limitations addressed, V

thin membranes are advantageous. 0 0 50 100 150 200 250 Membrane T hickness (um) 29 The Skyrocketing Price of Rare Earths Cost increase begs a response

Key Magnet Rare Earth Elements 3,000 300

2,500 250

2,000 200

1,500 150

Dy $/Kg 1,000 100 $/KgNd

500 50

- - 09 10 11 09 10 11 09 10 11 09 10 11 12 ------Jul Jul Jul Jan Jan Jan Jan Oct Oct Oct Apr Apr Apr

Dy $/kg PrNd $/kg

30 Demand for Rare Earths Magnets are largest share of RE market and share expected to increase

UTC RE areas of Concern Magnets (Otis, Carrier, HS, Clipper) Coatings (PW) Alloys (PW, SIK) Primary focus Data from: http://www.lynascorp.com/content/upload/files/ Presentations/Investor_Presentation_May_2011.pdf Area 31 Materials Processing and Energy MANUFACTURING PROCESS ADVANCES

32 Innovation Process

Innovation planning and execution

Stage 0 Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

Opportunity Opportunity Concept Critical Risk Feasibility Technology Identification Analysis Synthesis Reduction Demo Readiness

Product development planning and execution

Phase 0 Phase 1 Phase 2 Phase 3 Phase 4

Opportunity Concept Design & Validation In-Service Analysis Development Development

33 Superalloy Fan-Type growth modeling

Problem... Undesired micro-structural defects limit alloy durability Desired Undesired Grain

GBs Acceptable

50 µm 10 µm

GB = grain boundary = triple point

ɣ¶)DQ-Type (FT) growth in Ni-based superalloys reduces low cycle fatigue (LCF) life

34 Superalloy Fan-Type growth modeling

Model predictions quantitatively agree with experiment

GB serration amplitude FT size 16 Theory 14 Experiment [1] 12 [2] 10 8 6 FT size [um] size FT 4 2 0 0 1 2 3 4 5 Cooling rate [C/s]

[1] D.Furrer, Ph.D. Thesis

[2] Mitchell R.J. On the formation of serrated grain boundaries and fan type structures in an advanced polycrystalline nickel- base superalloy // journal of materials processing technology 209 (2009) 1011±1017 35 Advanced Manufacturing ATOM« Additive Topology Optimized Manufacturing Integrating Topology Optimization (TO) with Additive Manufacturing (AM): ƒ Enables unlimited complexity (flexibility) in design ƒ 50% Reduction in time to market ƒ 35% Reduction in production cost ƒ > 50% Reduction in energy ƒ > 70% Reduction in raw materials consumption ƒ Provides an alternative to castings or forming

LENS 400 EBM / SLM powder bed processes mm 400mm

Laser 200 head Wire or mm powder feeder Forming 12020 cold spray Material nozzle kg deposition Feeding angle Design envelope Optimized topology Substrate Casting - Laser melting AM ‡Powder feed form of deposition ‡High production rates ‡ figure is from the Wikimedia Commons, a ‡Material utilization varies AFM-SKPFM«Surface Kelvin Probe Mode Atomic Force Microscopy 36 freely licensed media file repository.) ‡Can be used in hybrid processes ‡Powder bed form of deposition ‡Can be used for producing ‡Very good surface finish & precision functionally graded materials ‡Small parts only & Low production rate ‡Requires modification for 3 ‡Requires extensive development for multiple powder feeders applications material instantaneous deposition ICME Approach to ATOM Additive manufacturing with topology optimization for hierarchical structures Achieve revolutionary freedom in part design for multifunctional properties Additive Specific Performance Manufacturing Powder Processing Requirement of Feature Microstructure Variation

Barrier coating on Al Spray dried clad powder Durable Hybrid Processes surfaces

NDE

Deep Laser Milling Functionally rolling peening ATOM graded structure

X-ray scattering/diffraction

Property Prediction

1400

1200

Baseline 1000

800

600 Experimental data, <110> Topology 400 Models' results, <110> Engineering stress (MPa) Experimental data, <001> 200 Models' results, <001>

Optimization 0 Optimal 0.000 0.005 0.010 0.015 0.020 0.025 Engineering strain topology Cold spray simulation Composition and Microstructure effect Process Modeling Microstructure Evolution on micro-plasticity Prediction 37

Physics-based Models Optimizing machining processes

Tool breakage

Traditional process development« surface quality

Feed Force Experience-based process parameters Too slow Machining time machining Force variation under constant feed

Production Turnbacks ƒ Long process development time ƒ High development cost ƒ High process variations Quality issues ƒ Long cycle-time and increased cost

Model-based approach« Previous variable force

Tool Work Force Contact Feed Machining time Savings V Constant force under variable feed

ƒ Reduced time and cost Fc Ft Ff ƒ Less process variation

38

Cycle-time and Cost Reduction

Integrated Bladed Rotor P&W machining«

process development« Technology enabler for small IBRs

Multi-axis milling model ~ 30% time saving at suppliers Super abrasive machining model

HS 787 impeller machining« P&WC blade and vane«

OptimizedFee d and Feed Dressing and Dressing Rate

25 30 Optimized Dress 20 25 Un-optimized Dress 20 15 15 10 Optimized Feed 10

Feed Rate (IPM) Rate Feed Un-optimized Feed 5 Feed Rate 5 (uin/rev) In-feed Dress Dressing In-Feed 0 0 -1 -0 .5 0 0.5 1 1. 5 2 2.5 3 Coating X Position (in) cracks ~ 40% time saving Blade grinding optimization ~ 40% time savings

39 Integrated Computational Materials Engineering Materials genome initiative

40 Optimization from ICME Perspective Integration is key Computation working together at many levels (multi-scale) Experimentation still required Effective use of data

Traditional Design Space Evaluation Major Concept Expert Change Full experience Full Several Scale and opinion Design Iterations Design Space ** * and * Testing Excellent Knowledge ICME Approach to Design Space Evaluation Low fidelity Mid-high fidelity modeling finds modeling to analyze usable solution Full small design space Full space. Design Scale * Design Space and Testing 41 Invention and Innovation

³,QYHQWLRQDQGLQQRYDWLRQDUHFRPSOHPHQWV,QWKH short run, this complementarity is not perfect; it is indeed possible to have one without the other. But in the long run, technologically creative societies must be both inventive and innovative. Without invention, innovation will eventually slow down and grind to a halt, and the stationary state will obtain. Without innovation, inventors will lack focus and have OLWWOHHFRQRPLFLQFHQWLYHWRSXUVXHQHZLGHDV´ ³7KH/HYHURI5LFKHV7HFKQRORJLFDO&UHDWLYLW\DQG (FRQRPLF3URJUHVV´-RKQMokyr, Oxford, 1990.

42