1

Introduction
1. Introduction to Nanotechnology

Introduction
Bharat Bhushan

1.1 Nanotechnology
A biological system can be exceedingly small. Denition and Examples ....................... 1
Many of the cells are very tiny, but they are
1.2 Background and Research Expenditures . 4
very active; they manufacture various sub-
stances; they walk around; they wiggle; and 1.3 Lessons from Nature (Biomimetics)......... 6
they do all kinds of marvelous things all 1.4 Applications in Different Fields .............. 9
on a very small scale. Also, they store in-
formation. Consider the possibility that we 1.5 Various Issues ...................................... 10
too can make a thing very small which 1.6 Research Training ................................. 11
does what we want that we can man-
ufacture an object that maneuvers at that 1.7 Organization of the Handbook............... 11
level. References .................................................. 12
(From the talk Theres Plenty of Room at the
Bottom, delivered by Richard P. Feynman at the at the California Institute of Technology; Pasadena,
annual meeting of the American Physical Society December 29, 1959).

1.1 Nanotechnology Denition and Examples

Nanotechnology literally means any technology on clusters (molecular self-assembly) from simple reagents
a nanoscale that has applications in the real world. in solution, biological molecules (e.g., DNA) used as
Nanotechnology encompasses the production and ap- building blocks for production of three-dimensional
plication of physical, chemical, and biological systems nanostructures, and quantum dots (nanocrystals) of ar-
at scales ranging from individual atoms or molecules bitrary diameter (about 10105 atoms). The denition
to submicron dimensions, as well as the integration of of a nanoparticle is an aggregate of atoms bonded
the resulting nanostructures into larger systems. Nano- together with a radius between 1 and 100 nm. It typi-
technology is likely to have a profound impact on our cally consists of 10105 atoms. A variety of vacuum
economy and society in the early 21st century, compa- deposition and nonequilibrium-plasma chemistry tech-
rable to that of semiconductor technology, information niques are used to produce layered nanocomposites and
technology, or cellular and molecular biology. Science nanotubes. Atomically controlled structures are pro-
and technology research in nanotechnology promises duced using molecular-beam epitaxy and organometal-
breakthroughs in areas such as materials and man- lic vapor-phase epitaxy. Micro- and nanosystem com-
ufacturing, nanoelectronics, medicine and healthcare, ponents are fabricated using top-down lithographic and
energy, biotechnology, information technology, and na- nonlithographic fabrication techniques and range in size
tional security. It is widely felt that nanotechnology will from micro- to nanometers. Continued improvements
be the next Industrial Revolution. in lithography for use in the production of nanocom-
Nanometer-scale features are mainly built up from ponents have resulted in line widths as small as 10 nm
their elemental constituents. Examples include chem- in experimental prototypes. The nanotechnology eld,
ical synthesis, spontaneous self-assembly of molecular in addition to the fabrication of nanosystems, provides
 2 Introduction

impetus for the development of experimental and com- changes occur, until nally when the size drops be-
Introduction

putational tools. low 100 nm, dramatic changes in properties can occur.
The discovery of novel materials, processes, and If only one length of a three-dimensional nanostruc-
phenomena at the nanoscale and the development of ture is of nanodimension, the structure is referred to
new experimental and theoretical techniques for re- as a quantum well; if two sides are of nanometer
search provide fresh opportunities for the development length, the structure is referred to as a quantum wire.
of innovative nanosystems and nanostructured mater- A quantum dot has all three dimensions in the nano
ials. The properties of materials at the nanoscale can range. The term quantum is associated with these three
be very different from those at a larger scale. When types of nanostructures because the changes in prop-
the dimension of a material is reduced from a large erties arise from the quantum-mechanical nature of
size, the properties remain the same at rst, then small physics in the domain of the ultrasmall. Materials can

MEMS: Characteristic length less than 1 mm,

larger than 100 nm

NEMS: Less than 100 nm

Mirror
Human hair
Hinge
50 100 m
Landing
Yoke tip

DMD 12 m

500 nm

Quantum-dots transistor
300 nm Red blood cell
8 m

Molecular gear
10100 nm
A

SWNT
1 m
SWCNT chemical sensor
2 nm

C atom DNA
0.16 nm 2.5 nm
0.1 1 10 100 1000 10 000 100 000
Size (nm)
Fig. 1.1 Dimensions of MEMS/NEMS and BioNEMS in perspective. Examples shown are a single-walled carbon
nanotube (SWCNT) chemical sensor [1.1], molecular dynamic simulations of carbon-nanotube-based gears [1.2],
quantum-dot transistor obtained from [1.3], and digital microdevice (DMD) obtained from www.dlp.com. For com-
parison, dimensions and weights of various biological objects found in nature are also presented
 Introduction to Nanotechnology 1.1 Nanotechnology Denition and Examples 3

Table 1.1 Characteristic dimensions and weights in per- MEMS/NEMS (RF-MEMS/RF-NEMS). MEMS/

Introduction
spective NEMS for biological applications are referred to as
Characteristic dimensions in perspective
bioMEMS/bioNEMS.
To put the dimensions of MEMS/NEMS and
NEMS characteristic length < 100 nm
BioNEMS in perspective, see Fig. 1.1 and Table 1.1. In-
MEMS characteristic length < 1 mm and > 100 nm
dividual atoms are typically a fraction of a nanometer
SWCNT chemical sensor 2 nm
in diameter, DNA molecules are about 2.5 nm wide, bi-
Molecular gear 10 nm
ological cells are in the range of thousands of nm in
Quantum-dot transistor 300 nm
diameter, and human hair is about 75 m in diameter.
Digital micromirror 12 000 nm
The smallest length of BioNEMS shown in the gure is
Individual atoms Typically a fraction of a nm about 2 nm, NEMS ranges in size from 10 to 300 nm,
in diameter
and the size of MEMS is 12 000 nm. The mass of a mi-
DNA molecules 2.5 nm wide
cromachined silicon structure can be a low as 1 nN, and
Biological cells In the range of thousands
of nm in diameter NEMS can be built with mass as low as 1020 N with
Human hair 75 000 nm in diameter cross-sections of about 10 nm. In comparison, the mass
Weight in perspective
NEMS built with cross- As low as 1020 N a) Global MEMS market segment
sections of about 10 nm US $ (billions)
Micromachine silicon As low as 1 nN
Microbolometers
structure 8 RF MEMS
Eyelash 100 nN Bio- and microfluidics components
Water droplet 10 N 7 DLP (micromirrors)
MOEMS
6 Gyroscopes
Accelerometers
be nanostructured for new properties and novel perfor- 5
Pressure sensors
Inkjet head
mance. This eld is opening new avenues in science and
technology. 4
Micro- and nanosystems include micro/nanoelec-
tromechanical systems (MEMS/NEMS). MEMS refers 3
to microscopic devices that have a characteristic length
2
of less than 1 mm but more than 100 nm and that
combine electrical and mechanical components. NEMS 1
refers to nanoscopic devices that have a character-
istic length of less than 100 nm and that combine 0
2003 2004 2005 2006 2007
electrical and mechanical components. In mesoscale de- Year
vices, if the functional components are on the micro- b) Global nanotechnology market segment
or nanoscale, they may be referred to as MEMS or US $ (billions)
NEMS, respectively. These are referred to as intelligent
30
miniaturized systems, comprising sensing, processing, Nanodevices
and/or actuating functions and combining electrical and Nanotools
mechanical components. The acronym MEMS origi- 20
nated in the USA. The term commonly used in Europe
is microsystem technology (MST), and in Japan the
term micromachines is used. Another term generally 10 Nanomaterials
used is micro/nanodevices. The terms MEMS/NEMS
are also now used in a broad sense and include
electrical, mechanical, uidic, optical, and/or biolog- 0
ical function. MEMS/NEMS for optical applications 2002 2003 2004 2005 2006 2007 2008
Year
are referred to as micro/nanooptoelectromechanical
systems (MOEMS/NOEMS). MEMS/NEMS for elec- Fig. 1.2 Global MEMS and nanotechnology market seg-
tronic applications are referred to as radiofrequency ments (DLP digital light processing)
 4 Introduction

of a drop of water is about 10 N, and the mass of an may slow down and that of nonsilicon MEMS may
Introduction

eyelash is about 100 nN. pick up during the next decade. It is expected to ex-
MEMS/NEMS and BioMEMS/BioNEMS are ex- pand in this decade, for nanomaterials and biomedical
pected to have a major impact on our lives, com- applications as well as nanoelectronics or molecu-
parable to that of semiconductor technology, infor- lar electronics. For example, miniaturized diagnostics
mation technology, or cellular and molecular biol- could be implanted for early diagnosis of illness. Tar-
ogy [1.4, 5]. MEMS/NEMS and BioMEMS/BioNEMS geted drug-delivery devices are under development.
are used in electromechanical, electronics, informa- Due to the enabling nature of these systems and be-
tion/communication, chemical, and biological applica- cause of the signicant impact they can have on both
tions. The MEMS industry in 2004 was worth about commercial and defense applications, industry as well
US$ 4.5 billion, with a projected annual growth rate of as federal governments have taken special interest in
17% (Fig. 1.2) [1.6]. The NEMS industry was worth seeing growth in this eld nurtured. MEMS/NEMS and
about US$ 10 billion in 2004, mostly in nanomateri- BioMEMS/BioNEMS are the next logical step in the
als (Fig. 1.2) [1.7]. Growth of Si-based MEMS/NEMS silicon revolution.

1.2 Background and Research Expenditures

On December 29, 1959 at the California Institute of a) Public expenditure in nanotechnology R&D
Technology, Nobel Laureate Richard P. Feynman gave R&D expenditure (US $ billions)
a talk at the Annual Meeting of the American Physi-
4
cal Society that has become one of the 20th centurys FP6
classic science lectures, entitled Theres Plenty of Room Europe (EU)
at the Bottom [1.8]. He presented a technological vi- 3
Japan
sion of extreme miniaturization in 1959, several years
2 NNI
before the word chip became part of the lexicon. He (USA) USA
talked about the problem of manipulating and con-
trolling things on a small scale. Extrapolating from 1
known physical laws, Feynman envisioned a technology Others
using the ultimate toolbox of nature, building nanoob- 0
jects atom by atom or molecule by molecule. Since the 1997 1998 1999 2000 2001 2002 2003
Year
1980s, many inventions and discoveries in the fabrica-
tion of nanoobjects have been testaments to his vision. b) Public and private expenditure in nanotechnology R&D
in 2004
In recognition of this reality, the National Science and
R&D expenditure (US $ billions)
Technology Council (NSTC) of the White House cre-
ated the Interagency Working Group on Nanoscience, 3
Private Private
Engineering, and Technology (IWGN) in 1998. In 1.3 1.7
a January 2000 speech at the same institute, President
W. J. Clinton talked about the exciting promise of nano- 2 Private
1.4
technology and the importance of expanding research in Member Public
nanoscale science and technology more broadly. Later states + States 1.9
that month, he announced in his State of the Union 1 associated 0.40
Address an ambitious US$ 497 million federal, multia- 1.4 Federal Public
0.99 0.9
gency National Nanotechnology Initiative (NNI) in the EC 0.48
scal year 2001 budget, and made the NNI a top science 0
Europe USA Japan Others
and technology priority [1.9, 10]. The objective of this
initiative was to form a broad-based coalition in which Fig. 1.3a,b Breakdown of expenditure in nanotechnology
academia, the private sector, and local, state, and fed- R&D (a) around the world (source: European Commis-
eral governments work together to push the envelop of sion, 2003), and (b) by public and private resources in 2004
nanoscience and nanoengineering to reap nanotechnol- (source: European Commission, 2005; gures for private
ogys potential social and economic benets. sources based upon data from Lux Research)
 Introduction to Nanotechnology 1.2 Background and Research Expenditures 5

Funding in the USA has continued to increase.

Introduction
In January 2003, the US Senate introduced a bill to a) Worldwide publications
in nanotechnology
establish a National Nanotechnology Program. On De- (1997 1999) Europe
cember 3, 2003, President George W. Bush signed 34%
into law the 21st Century Nanotechnology Research
Others USA and
and Development Act. This legislation put into law 5% Canada
programs and activities supported by the National 28%
Nanotechnology Initiative. The bill gave nanotechnol- EU candidate
countries
ogy a permanent home in the federal government and and Russia Asia
authorized US$ 3.7 billion to be spent in the 4 year pe- 8% 25%
riod beginning in October 2005 for nanotechnology
initiatives at ve federal agencies. The funds would b) Worldwide patents
provide grants to researchers, coordinate research and in nanotechnology
development (R&D) across ve federal agencies [the Europe
National Science Foundation (NSF), the Department 39%
Others
of Energy (DOE), the National Aeronautics and Space 3%
Administration (NASA), the National Institute of Stan-
Asia
dards and Technology (NIST), and the Environmental 13%
Protection Agency (EPA)], establish interdisciplinary
research centers, and accelerate technology transfer USA and
Canada
into the private sector. In addition, the Departments of 45%
Defense (DOD), Homeland Security, Agriculture, and
Justice as well as the National Institutes of Health (NIH)
also fund large R&D activities. They currently account Fig. 1.5a,b Breakdown of (a) worldwide publications and
(b) worldwide patents (source: European Commission,
2003)
Public and private expenditure in nanotechnology R&D in 2004
R&D expenditure (US $ billions)
for more than one-third of the federal budget for nano-
4 Government/institutional technology.
Corporate/private The European Union (EU) made nanosciences and
2004 global total nanotechnologies a priority in the Sixth Framework
Corporate/private US $ 6.6 billion Program (FP6) in 2002 for the period 20032006.
3 Government/institutional US $ 3.7 billion There were also small dedicated funds in FP4 and
FP5 before. FP6 was tailored to help better structure
European research and to cope with the strategic ob-
jectives set out in Lisbon in 2000. Japan identied
2 nanotechnology as one of its main research priorities
in 2001. The funding levels increased sharply from
US$ 400 million in 2001 to around US$ 950 million in
2004. In 2003, South Korea embarked upon a 10 year
1 program with around US$ 2 billion of public funding,
and Taiwan has committed around US$ 600 million of
public funding over 6 years. Singapore and China are
also investing on a large scale. Russia is well funded as
0 well.
an

SA

an

ea

lia

ce

ly
in
an

Figure 1.3a shows the public expenditure break-

U

Ita
or

an
p

iw

tra

Ch
U
Ja

Fr
Ta

us
er

down of nanotechnology R&D around the world, with

th

A
G

u
So

about US$ 5 billion in 2004, coming approximately

Fig. 1.4 Breakdown of public and private expenditures in equally from the USA, Japan, and Europe. Next we
nanotechnology R&D in 2004 in various countries (af- compare public expenditure on a per-capita basis. The
ter [1.7]) average expenditures per capita for the USA, the EU-
 6 Introduction

Fig. 1.6 Breakdown of start-up companies around the

Introduction

Start-up companies
world (19972002) (source: CEA, Bureau dEtude Mar- in nanotechnology
keting)  (1997 2002)
USA
55%
25, and Japan are about US$ 3.7 billion, US$ 2.4 billion,
and US$ 6.2 billion, respectively [1.11]. Figure 1.3b Asia
4%
shows the breakdown of expenditure in 2004 by pub-
lic and private sources, with more than US$ 10 billion Rest of
spent in nanotechnology research. Two-thirds of this world
came from corporate and private funding. Private ex- 11% Europe
penditure in the USA and Japan was slightly larger 29%
than that from public sources, whereas in Europe it was
about one-third. Figure 1.4 shows the public and private
expenditure breakdown in 2004 in various countries.
Japan and USA had the largest expenditure, followed Switzerland France
by Germany, Taiwan, South Korea, the UK, Australia, 4% 4%
UK
China, France, and Italy. Figure 1.5 shows a break- 6%
down of worldwide publications and patents. USA and
Canada led, followed by Europe and Asia. Figure 1.6 Others
5% Germany
shows the breakdown in start-up companies around the 11%
world (19972002). Entrepreneurship in USA is clearly
evident, followed by Europe.

1.3 Lessons from Nature (Biomimetics)

The word nanotechnology is a relatively new word, The agella of bacteria rotate at over 10 000 rpm
but it is not an entirely new eld. Nature has gone [1.14]. This is an example of a biological molecular
through evolution over the 3.8 billion years since life machine. The agella motor is driven by the proton
is estimated to have appeared on Earth. Nature has ow caused by the electrochemical potential differ-
many materials, objects, and processes which function ences across the membrane. The diameter of the bearing
from the macroscale to nanoscale [1.9]. Understanding is about 2030 nm, with an estimated clearance of
the functions provided by these objects and processes 1 nm.
can guide us to imitate and produce nanomaterials, Several billions years ago, molecules began orga-
nanodevices, and processes. Biologically inspired de- nizing into complex structures that could support life.
sign, adaptation or derivation from nature is referred Photosynthesis harnesses solar energy to support plant
to as biomimetics, a term coined by the polymath Otto life. Molecular ensembles present in plant leaves, which
Schmitt in 1957. Biomimetics is derived from the Greek include light-harvesting molecules such as chlorophyll,
word biomimesis. Other terms used include bionics, arranged within the cells (on the nanometer to microm-
biomimicry, and biognosis. The term biomimetics is rel- eter scales), capture light energy and convert it into the
atively new; however, our ancestors looked to nature chemical energy that drives the biochemical machin-
for inspiration and the development of various mater- ery of plant cells. Live organs use chemical energy in
ials and devices many centuries ago [1.12, 13]. There the body. This technology is being exploited for solar
are a large number of objects, including bacteria, plants, energy applications.
land and aquatic animals, seashells, and spider web, Some natural surfaces, including the leaves of
with properties of commercial interest. Figure 1.7 pro- water-repellent plants such as lotus, are known to
vides an overview of various objects from nature and be superhydrophobic and self-cleaning due to hier-
their selected functions. Figure 1.8 shows a montage of archical roughness (microbumps superimposed with
some examples from nature, which serve as the inspira- nanostructure) and the presence of a wax coat-
tion for various technological developments. ing [1.1519]. Roughness-induced superhydrophobic
 Introduction to Nanotechnology 1.3 Lessons from Nature (Biomimetics) 7

Introduction
Overview of various objects from nature and their selected functions

Bacteria Plants Insects, spiders, Aquatic Birds

lizards, frogs animals
Biological Chemical Aerodynamic
motor energy Superhydro- Low hydrody- lift
conversion phobicity namic drag
Light
Superhydro- Reversible Energy coloration
phobicity, self- adhesion in dry production
cleaning, drag and wet en- Camouflage
reduction vironment
Insulation
Hydrophilicity

Adhesion

Motion

Seashells, Spider web Moth-eye Fur and skin Biological

bones, teeth effect and of polar bear systems
Biological structural
High self-assembly coloration Thermal Self-healing
mechanical insulation
strength Antireflective Sensory aid
surfaces devices

Structural
coloration

Fig. 1.7 Overview of various objects from nature and their selected function (after [1.13])

and self-cleaning surfaces are of interest in various the characteristics of gecko feet would enable the de-
applications, including self-cleaning windows, wind- velopment of a superadhesive polymer tape capable
shields, exterior paints for buildings and navigation of clean, dry adhesion which is reversible [1.2527].
ships, utensils, roof tiles, textiles, and applications (It should be noted that common manmade adhesives
requiring a reduction of drag in uid ow, e.g., in mi- such as tape or glue involve the use of wet adhesives
cro/nanouidics. Superhydrophobic surfaces can also that permanently attach two surfaces.) The reusable
be used for energy conversion and conservation [1.20]. gecko-inspired adhesives have the potential for use in
Nonwetting surfaces also reduce stiction at contacting everyday objects such as tapes, fasteners, and toys, and
interfaces in machinery [1.21, 22]. in high technology such as microelectronic and space
The leg attachment pads of several creatures, includ- applications. Replication of the dynamic climbing and
ing many insects (e.g., beetles and ies), spiders, and peeling ability of geckoes could nd use in the treads of
lizards (e.g., geckoes), are capable of attaching to a va- wall-climbing robots. Incidentally, Velcro was invented
riety of surfaces and are used for locomotion [1.23]. based on the action of the hooked seeds of the burdock
Biological evolution over a long period of time has led plant [1.28].
to the optimization of their leg attachment systems. The Many aquatic animals can move in water at high
attachment pads have the ability to cling to different speeds with low energy input. Drag is a major hindrance
smooth and rough surfaces and detach at will [1.24,25]. to movement. Most shark species move through water
This dynamic attachment ability is referred to as re- with high efciency and maintain buoyancy. Through
versible adhesion or smart adhesion. Replication of its ingenious design, their skin turns out to be an essen-
 8 Introduction
Introduction

a) b) c)

2 m

100 m

e)

20 m

d) g)

0.5 mm
BR

h) 500 m
f)

SP

5 m

Fig. 1.8ah Montage of some examples from nature: (a) lotus effect [1.30], (b) glands of carnivorous plant that secrete
adhesive to trap insects [1.17], (c) water strider walking on water [1.31], (d) gecko foot exhibits reversible adhesion [1.32]
(BR branch, SP spatula), (e) scale structure of shark reduces drag [1.33], (f) wings of a bird in landing approach,
(g) spider web made of silk material [1.12], (h) moths eyes are antireective [1.34]

tial aid to this behavior by reducing friction drag and organisms to their bodies. In addition, mucus on the
autocleaning ectoparasites from their surface [1.29]. skin of aquatic animals, including sharks, acts as an
The very small individual tooth-like scales of shark osmotic barrier against the salinity of seawater and pro-
skin, called dermal denticles, are ribbed with longi- tects the creature from parasites and infections. It also
tudinal grooves, which result in water moving very acts as a drag-reducing agent. Articial derivatives of
efciently over their surface. The scales also minimize sh mucus (polymer additives) are used to propel crude
the collection of barnacles and algae. Speedo created oil in the Alaska pipeline. The compliant skin of dol-
the whole-body swimsuit called Fastskin, modeled on phins allows them to swim at high speed. By interacting
shark skin, for elite swimming. Boat, ship, and air- with the water owing over the bodys surface it stabi-
craft manufacturers are trying to mimic shark skin to lizes the ow and delays the transition to turbulence.
reduce friction drag and minimize the attachment of Dolphins possess an optimum shape for drag reduc-
 Introduction to Nanotechnology 1.4 Applications in Different Fields 9

tion of submerged bodies. Submarines use the shape reduce reection. This antireective design led to the

Introduction
of dolphins. The streamlined form of boxsh (Ostra- discovery of antireective surfaces [1.35].
cion meleagris) has inspired Mercedes Benzs bionic A remarkable property of biological tissues is their
concept car with low aerodynamic drag. The beak of ability for self-healing. In biological systems, chemical
the kingsher was used to model the nose cone of the signals released at the site of a fracture initiate a sys-
Japanese Shinkansen bullet train. Power is generated temic response that transports repair agents to the site of
by the scalloped edges of a humpback whale, and this an injury and promotes healing. Various articial self-
design is exploited for wind turbine blades. healing materials are being developed [1.36]. Human
Bird feathers make the body water repellant, and skin is sensitive to impact, leading to purple-colored
movable aps create wing and tail for aerodynamic marks in areas that are hit. This idea has led to the de-
lift during ying [1.29]. Birds and butteries create velopment of coatings indicating impact damage [1.12].
brilliant hues by refracting light through millions of re- Another interesting and promising idea involves the ap-
peated structures that bend light to make certain colors. plication of an array of sensors to develop an articial
Seashells are natural nanocomposites with a laminated nose or an articial tongue.
structure and exhibit superior mechanical properties. Other lessons from nature include the wings of y-
Spider web consists of silk ber which is very strong. ing insects, abalone shell with high-impact ceramic
The materials and structures used in these objects have properties, strong spider silk, ultrasonic detection by
led to the development of various materials and bers bats, infrared detection by beetles, and silent ying of
with high mechanical strength. Moth eyes have a mul- owls because of frayed feathers on the edges of their
tifaceted surface on the nanoscale and are structured to wings.

1.4 Applications in Different Fields

Science and technology continue to move forward in other consumer products. MEMS devices are also be-
making the fabrication of micro/nanodevices and sys- ing pursued for use in magnetic storage systems [1.49],
tems possible for a variety of industrial, consumer, where they are being developed for supercompact and
and biomedical applications [1.37, 38]. A variety of ultrahigh-recording-density magnetic disk drives.
MEMS devices have been produced, and some are in NEMS are produced by nanomachining in a typical
commercial use [1.3948]. A variety of sensors are topdown approach and bottomup approach, largely
used in industrial, consumer, defense, and biomedical relying on nanochemistry [1.5056]. Examples of
applications. Various micro/nanostructures and micro/ NEMS include microcantilevers with integrated sharp
nanocomponents are used in microinstruments and nanotips for scanning tunneling microscopy (STM)
other industrial applications such as micromirror ar- and atomic force microscopy (AFM), quantum cor-
rays. The largest killer MEMS applications include rals formed using STM by placing atoms one by
accelerometers (some 90 million units installed in ve- one, AFM cantilever arrays for data storage, AFM
hicles in 2004), silicon-based piezoresistive pressure tips for nanolithography, dip-pen lithography for print-
sensors for manifold absolute pressure sensing for en- ing molecules, nanowires, carbon nanotubes, quantum
gines and for disposable blood pressure sensors (about wires (QWRs), quantum boxes (QBs), quantum-dot
30 million and 25 million units, respectively), capacitive transistors, nanotube-based sensors, biological (DNA)
pressure sensors for tire pressure measurements (about motors, molecular gears formed by attaching benzene
37 million units in 2005), thermal inkjet printheads molecules to the outer walls of carbon nanotubes,
(about 500 million units in 2004), micromirror arrays devices incorporating nm-thick lms [e.g., in giant
for digital projection displays (about US$ 700 million magnetoresistive (GMR) read/write magnetic heads and
revenue in 2004), and optical cross-connections in magnetic media] for magnetic rigid disk drives and
telecommunications. Other applications of MEMS de- magnetic tape drives, nanopatterned magnetic rigid
vices include chemical/biosensors and gas sensors, disks, and nanoparticles (e.g., nanoparticles in magnetic
microresonators, infrared detectors and focal-plane ar- tape substrates and magnetic particles in magnetic tape
rays for Earth observation, space science, and missile coatings).
defense applications, picosatellites for space applica- Nanoelectronics can be used to build computer
tions, fuel cells, and many hydraulic, pneumatic, and memory using individual molecules or nanotubes to
 10 Introduction

store bits of information, molecular switches, molecu- called DNA arrays, they can identify thousands of genes
Introduction

lar or nanotube transistors, nanotube at-panel displays, simultaneously [1.60]. They include a microarray of sil-
nanotube integrated circuits, fast logic gates, switches, icon nanowires, roughly a few nm in size, to selectively
nanoscopic lasers, and nanotubes as electrodes in fuel bind and detect even a single biological molecule, such
cells. as DNA or protein, by using nanoelectronics to detect
BioMEMS/BioNEMS are increasingly used in com- the slight electrical charge caused by such binding, or
mercial and defense applications [1.5763]. They are a microarray of carbon nanotubes to electrically detect
used for chemical and biochemical analyses (biosen- glucose.
sors) in medical diagnostics (e.g., DNA, RNA, proteins, After the tragedy of September 11, 2001, concern
cells, blood pressure and assays, and toxin iden- about biological and chemical warfare has led to the
tication) [1.63, 64], tissue engineering [1.65], and development of handheld units with bio- and chemical
implantable pharmaceutical drug delivery [1.66, 67]. sensors for detection of biological germs, chemical or
Biosensors, also referred to as biochips, deal with nerve agents, and mustard agents, and chemical precur-
liquids and gases. There are two types of biosen- sors to protect subways, airports, water supplies, and the
sors. A large variety of biosensors are based on population at large [1.68].
micro/nanouidics. Micro/nanouidic devices offer the BioMEMS/BioNEMS are also being developed for
ability to work with smaller reagent volumes and shorter minimal invasive surgery, including endoscopic surgery,
reaction times, and perform analyses multiple times laser angioplasty, and microscopic surgery. Other ap-
at once. The second type of biosensors includes mi- plications include implantable drug-delivery devices
cro/nanoarrays which perform one type of analysis (micro/nanoparticles with drug molecules encapsulated
thousands of times. Micro/nanoarrays are a tool used in functionalized shells for site-specic targeting ap-
in biotechnology research to analyze DNA or pro- plications) and a silicon capsule with a nanoporous
teins to diagnose diseases or discover new drugs. Also membrane lled with drugs for long-term delivery.

1.5 Various Issues

There is an increasing need for a multidisciplinary, fatigue that can also lead to the breaking and fracturing
system-oriented approach to the manufacture of mi- of the device. In principle, this failure mode is relatively
cro/nanodevices which function reliably. This can only easy to observe and simple to predict. However, the
be achieved through the cross-fertilization of ideas from materials properties of thin lms are often not known,
different disciplines and the systematic ow of infor- making fatigue predictions error prone.
mation and people among research groups. Common Many MEMS/NEMS devices operate near their
potential failure mechanisms for MEMS/NEMS requir- thermal dissipation limit. They may encounter hot spots
ing relative motion that need to be addressed in order that may cause failures, particularly in weak structures
to increase their reliability are: adhesion, friction, wear, such as diaphragms or cantilevers. Thermal stressing
fracture, fatigue, and contamination [1.21, 22, 69, 70]. and relaxation caused by thermal variations can cre-
Surface micro/nanomachined structures often include ate material delamination and fatigue in cantilevers.
smooth and chemically active surfaces. Due to the large When exposed to large temperature changes, as ex-
surface area to volume ratio in MEMS/NEMS, they are perienced in the space environment, bimetallic beams
particularly prone to stiction (high static friction) as part will also experience warping due to mismatched co-
of normal operation. Fracture occurs when the load on efcients of thermal expansion. Packaging has been
a microdevice is greater than the strength of the mater- a big problem. The contamination that probably hap-
ial. Fracture is a serious reliability concern, particularly pens in packaging and during storage also can strongly
for brittle materials used in the construction of these inuence the reliability of MEMS/NEMS. For example,
components, since it can immediately or would even- a dust particle that lands on one of the electrodes of
tually lead to catastrophic failures. Additionally, debris a comb drive can cause catastrophic failure. There are
can be formed from the fracturing of microstructures, no MEMS/NEMS fabrications standards, which make
leading to other failure processes. For less brittle mater- it difcult to transfer fabrication steps in MEMS/NEMS
ials, repeated loading over a long period of time causes between foundries.
 Introduction to Nanotechnology 1.7 Organization of the Handbook 11

Obviously, studies of the determination and sup- is carried out to study the effects of surface rough-

Introduction
pression of active failure mechanisms affecting this new ness and scratches on stresses in nanostructures. When
and promising technology are critical to high reliabil- nanostructures are smaller than a fundamental physical
ity of MEMS/NEMS and are determining factors for length scale, conventional theory may no longer apply,
successful practical application. and new phenomena emerge. Molecular mechanics is
Adhesion between a biological molecular layer and used to simulate the behavior of a nanoobject.
the substrate, referred to as bioadhesion, and reduction The societal, ethical, political, and health/safety im-
of friction and wear of biological layers, biocompat- plications of nanotechnology are also attracting major
ibility, and biofouling for BioMEMS/BioNEMS are attention [1.11]. One of the prime reasons is to avoid
important. some of the public skepticism that surrounded the de-
Mechanical properties are known to exhibit a de- bate over biotechnology advances such as genetically
pendence on specimen size. Mechanical property eval- modied foods, while at the same time dispelling some
uation of nanoscale structures is carried out to help of the misconceptions the public may already have
design reliable systems since good mechanical prop- about nanotechnology. Health/safety issues need to be
erties are of critical importance in such applications. addressed as well. For example, one key question is
Some of the properties of interest are: Youngs mod- what happens to nanoparticles (such as buckyballs or
ulus of elasticity, hardness, bending strength, fracture nanotubes) in the environment and whether they are
toughness, and fatigue life. Finite-element modeling toxic in the human body, if digested.

1.6 Research Training

With the decreasing number of people in Western coun- needed to transfer scientic knowledge into products.
tries going into science and engineering and the rapid Scientists and engineers in cooperation with relevant ex-
progress being made in nanoscience and nanotechnol- perts should address the societal, ethical, political, and
ogy, the problem of ensuring a trained workforce is health/safety implications of their work for society at
expected to become acute. Education and training are large.
essential to produce a new generation of scientists, engi- To increase the pool of students interested in sci-
neers, and skilled workers with the exible and interdis- ence and technology, science needs to be projected to
ciplinary R&D approach necessary for rapid progress be exciting at the high-school level. Interdisciplinary
in the nanosciences and nanotechnology [1.71]. The curricula relevant for nanoscience and nanotechnology
question is being asked: is the traditional separation need to be developed. This requires the revamping of
of academic disciplines into physics, chemistry, biol- education, the development of new courses and course
ogy, and various engineering disciplines meaningful at material including textbooks [1.47, 56, 70, 7274] and
the nanolevel? Generic skills and entrepreneurship are instruction manuals, and the training of new instructors.

1.7 Organization of the Handbook

This Handbook integrates knowledge from the fab- to understand the interface reliability in industrial ap-
rication, mechanics, materials science, and reliability plications. The fth part provides an overview of
points of view. Organization of the Handbook is molecularly thick lms for lubrication. The sixth part
straightforward. The Handbook is divided into nine focuses on the emerging eld of biomimetics, in
parts. The rst part of the book includes an introduc- which one mimics nature to develop products and
tion to nanostructures, micro/nanofabrication, methods, processes of interest. The seventh part focuses on in-
and materials. The second part introduces various dustrial applications, and the eighth part focuses on
MEMS/NEMS and BioMEMS/BioNEMS devices. The micro/nanodevice reliability. The nal part focuses
third part introduces scanning probe microscopy. The on technological convergence from the nanoscale as
fourth part provides an overview of bio/nanotribology well as social, ethical, and political implications of
and bio/nanomechanics, which will prepare the reader nanotechnology.
 12 Introduction

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14
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