World Technology Evaluation Center (WTEC) WTEC Workshop Report on R&D Status and Trends in Nanoparticles, Nanostructured Materials, and Nanodevices in the United States Proceedings of the May 8-9, 1997 Workshop Richard W. Siegel, WTEC Panel Chair Evelyn Hu, Panel Co-Chair M.C. Roco, NSF Coordinator JANUARY 1998 International Technology Research Institute R.D. Shelton, Director Geoffrey M. Holdridge, WTEC Director and Series Editor 4501 North Charles Street Baltimore, Maryland 21210-2699 WTEC PANEL ON NANOPARTICLES, NANOSTRUCTURED MATERIALS, AND NANODEVICES Sponsored by the National Science Foundation, the Air Force Office of Scientific Research, the Office of Naval Research, the Department of Commerce (including NIST and Technology Administration, Main Commerce), the Department of Energy, the National Institutes of Health, and the National Aeronautics and Space Administration of the United States Government. Richard W. Siegel (Panel Chair) Herb Goronkin John Mendel Materials Science and Engineering Dept. Motorola EL 508 Eastman Kodak Rensselaer Polytechnic Institute 2100 East Elliott Road 1669 Lake Avenue 110 Eighth Street Tempe, AZ 85284 Rochester, N.Y. 14652-3701 Troy, New York 12180-3590 Lynn Jelinski David T. Shaw Evelyn Hu (Panel Co-Chair) Center for Advanced Technology Electrical & Computer Eng. Dept. Center for Quantized Electronic Structures in Biotechnology 330b Bonner Hall, North Campus University of California 130 Biotechnology Bldg. SUNY Buffalo Santa Barbara, CA 93106 Cornell University Buffalo, NY 14260 Ithaca, NY 14853-2703 Donald M. Cox Exxon Research & Engineering Carl Koch Clinton Township, Rt. 22E Materials Science & Engineering Dept. Annandale, NJ 08801 North Carolina State University 233 Riddick, Box 7907 Raleigh, NC 27695-7907 INTERNATIONAL TECHNOLOGY RESEARCH INSTITUTE WTEC PROGRAM The World Technology Evaluation Center (WTEC) at Loyola College (previously known as the Japanese Technology Evaluation Center, JTEC) provides assessments of foreign research and development in selected technologies under a cooperative agreement with the National Science Foundation (NSF). Loyola’s International Technology Research Institute (ITRI), R.D. Shelton, Director, is the umbrella organization for WTEC. Paul Herer, Senior Advisor for Planning and Technology Evaluation at NSF’s Engineering Directorate, is NSF Program Director for WTEC. Several other U.S. government agencies provide support for the program through NSF. WTEC’s mission is to inform U.S. policymakers, strategic planners, and managers of the state of selected technologies in foreign countries in comparison to the United States. WTEC assessments cover basic research, advanced development, and applications. Panels of typically six technical experts conduct WTEC assessments. Panelists are leading authorities in their field, technically active, and knowledgeable about U.S. and foreign research programs. As part of the assessment process, panels visit and carry out extensive discussions with foreign scientists and engineers in their labs. The ITRI staff at Loyola College help select topics, recruit expert panelists, arrange study visits to foreign laboratories, organize workshop presentations, and finally, edit and disseminate the final reports. Dr. R.D. Shelton Mr. Geoff Holdridge Dr. George Gamota ITRI Director WTEC Director TTEC Director Loyola College Loyola College 17 Solomon Pierce Road Baltimore, MD 21210 Baltimore, MD 21210 Lexington, MA 02173 WTEC Study on N N M ANOPARTICLES, ANOSTRUCTURED ATERIALS, N AND ANODEVICES PART 1: PROCEEDINGS OF THE MAY 8-9, 1997 U.S. REVIEW WORKSHOP JANUARY 1998 ISBN 1-883712-48-3 This document was sponsored by the National Science Foundation (NSF) and other agencies of the U.S. government under NSF Cooperative Agreement ENG-9416970 and Office of Naval Research (ONR) Grant N00014-97-1-0531, awarded to the International Technology Research Institute at Loyola College in Maryland. The Government has certain rights in this material. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the United States Government, the authors’ parent institutions, or Loyola College. A BSTRACT This volume is a collection of papers and viewgraphs presented at a workshop reviewing U.S. research and development activities in nanoparticles, nanostructured materials, and nanodevices. The workshop was held in Arlington, Virginia, on May 8 and 9, 1997. This workshop was the first stage in a worldwide assessment of R&D status and trends in nanotechnology being conducted for the U.S. government by a WTEC expert panel. This panel’s final report, covering the United States, Japan, Western Europe, and Russia, will be published later in 1998. The May 1997 workshop was intended to provide a broad perspective on U.S. R&D activities in the wide variety of fields related to nanoparticle synthesis and assembly; bulk materials behavior; dispersions and coatings; high- surface-area materials; functional nanostructures (devices); and relevant biological, carbon, and theory issues. Representatives of most of the U.S. government agencies conducting or supporting such research began the workshop by reviewing their research interests. The remainder of the workshop was devoted to paper presentations by leading U.S. researchers reviewing U.S. activities. Paper authors were asked to provide a broad description of all related U.S. work in their respective fields (i.e., not necessarily just the activities in their own laboratories). Authors were chosen to be representative of cutting edge U.S. research in each of the topic areas. The list was not exhaustive; some important research was not included. Following the workshop each of the WTEC panelists drafted a summary of each topic area in an effort to fill in any gaps in coverage of the full spectrum of related U.S. activities. Subsequent to the workshop, WTEC offered each of the paper authors and other presenters an opportunity to revise or extend their contributions for the purposes of producing this proceedings report. Only minimal editing work has been done on the papers, some of which still consist largely of viewgraphs presented at the workshop. International Technology Research Institute (ITRI) World Technology Evaluation Center (WTEC) R. D. Shelton, Principal Investigator, ITRI Director George Gamota, TTEC Director Geoffrey M. Holdridge, WTEC Director Bobby A. Williams, WTEC Deputy Director Aminah Batta, Editorial Assistant Catrina M. Foley, Administrative Assistant Christopher McClintick, Research Associate Roan E. Horning, Professional Assistant Michael Stone, Student Assistant Jason Ruggieri, Student Assistant Patricia M.H. Johnson, Editor Cecil Uyehara, Senior Advisor for Japan Operations Hiroshi Morishita, WTEC Japan Representative Copyrights reserved by individual authors except as noted herein. Reproduced by permission. This work relates to NSF Cooperative Agreement ENG-9416970 and ONR Grant N00014-97-1-0531. The U.S. Government retains a nonexclusive and nontransferable license to exercise all exclusive rights provided by copyright. The ISBN number for this report is 1- 883712-48-3. This report is distributed by the National Technical Information Service (NTIS) of the U.S. Department of Commerce as NTIS report # PB98-117914. A list of available JTEC/WTEC reports and information on ordering them from NTIS is included on the inside back cover of this report. i F OREWORD The National Science Foundation (NSF) has been involved in funding technology assessments comparing the United States and foreign countries since 1983. A sizable proportion of this activity has been in the Japanese Technology Evaluation Center (JTEC) and World Technology Evaluation Center (WTEC) programs. NSF has supported more than 40 JTEC and WTEC studies over a wide range of technical topics. Both programs are now subsumed under the single name, WTEC, although the JTEC name has remained until recently on reports that cover only Japan. As U.S. scientific and technological leadership is challenged in areas of previous dominance such as aeronautics, space, and nuclear power, many governmental and private organizations seek to set policies that will help maintain U.S. strengths. To do this effectively requires an understanding of the relative position of the United States and other countries. The purpose of the WTEC program is to assess research and development efforts in other countries in specific areas of technology, to compare these efforts and their results to U.S. research in the same areas, and to identify opportunities for international collaboration in precompetitive research. Many U.S. organizations support substantial data gathering and analysis efforts directed at nations such as Japan. But often the results of these studies are not widely available. At the same time, government and privately sponsored studies that are in the public domain tend to be “input” studies; that is, they provide enumeration of inputs to the research and development process, such as monetary expenditures, personnel data, and facilities, but do not provide an assessment of the quality or quantity of the outputs obtained. Studies of the outputs of the research and development process are more difficult to perform because they require a subjective analysis performed by individuals who are experts in the relevant technical fields. The NSF staff includes professionals with expertise in a wide range of disciplines. These individuals provide the technical expertise needed to assemble panels of experts who can perform competent, unbiased, technical reviews of research and development activities. Specific technologies, such as telecommunications, biotechnology, or microelectromechanical systems, are selected for study by government agencies that have an interest in obtaining the results of an assessment and are able to contribute to its funding. A typical assessment is sponsored by two to four agencies. In the first few years, most of the studies focused on Japan, reflecting concern over Japan’s growing economic prowess. Beginning in 1990, we began to broaden the geographic focus of the studies. As interest in the European Community (now the European Union) grew, we added Europe as an area of study. With the breakup of the former Soviet Union, we began organizing visits to previously restricted research sites opening up there. These WTEC studies have focused on identifying opportunities for cooperation with researchers and institutes in Russia, the Ukraine, and Belarus, rather than on assessing them from a competitive viewpoint. In the past several years, we also have begun to substantially expand our efforts to disseminate information. Attendance at WTEC workshops (in which panels present preliminary findings) has increased, especially industry participation. Representatives of U.S. industry now routinely number 50% or more of the total attendance, with a broad cross-section of government and academic representatives making up the remainder. Publications by WTEC panel members based on our studies have increased, as have the number of presentations by panelists at professional society meetings. The WTEC program will continue to evolve in response to changing conditions in the years to come. We are now implementing initiatives aimed at the following objectives: • Disseminating the results of WTEC studies via the Internet. Eighteen of the most recent WTEC final reports are now available on the World Wide Web (http://itri.loyola.edu) or via anonymous FTP (ftp.wtec.loyola.edu/pub/). Viewgraphs from several recent workshops are also on the Web server. ii Foreword • Expanding opportunities for the larger science and technology community to help define and organize studies • Increasing industry sponsorship of WTEC studies The latter two objectives are now being served under the WTEC Community-Initiated State-of-the-Art Reviews (CISAR) initiative. CISAR provides an opportunity for the U.S. R&D community to suggest and carry out studies that might not otherwise be funded solely at the initiative of the government. For example, WTEC has formed partnerships with university/industry teams, with partial funding from industry, to carry out three CISAR studies, covering the Korean semiconductor industry, electronics final assembly technologies in Pacific Rim countries, and civil infrastructure technologies in Pacific Rim countries, respectively. Several other topics are under consideration. Further information on the CISAR initiative is available on the WTEC Web server (http://itri.loyola.edu/cisar.htm) or by contacting the WTEC office. In the end, all government-funded programs must answer the question, How has this investment benefited the nation? A few of the benefits of the WTEC program follow: • JTEC studies have contributed significantly to U.S. benchmarking of the growing prowess of Japan’s technological enterprise. Some have estimated that JTEC has been responsible for over half the major Japanese technology benchmarking studies conducted in the United States in the past decade. JTEC and WTEC reports have also been widely cited in various competitiveness studies. • These studies have provided important input to policymakers in federal mission agencies. JTEC and WTEC panel chairs have given special briefings to senior officials of the Department of Energy and Commerce, to the National Aeronautics and Space Administration (NASA) administrator, and to the President’s science advisor. Two recent studies on electronic packaging and related electronics manufacturing issues have had a particularly significant impact in this regard. The 1995 JTEC report on electronic manufacturing and packaging in Japan was cited by the Defense Secretary and the Commerce Secretary in a joint announcement of a $30-40 million government initiative to improve U.S. competitiveness in electronic packaging. The President’s Office of Science and Technology Policy and two senior officials at the Department of Commerce have received briefings on a follow-on WTEC study covering electronic manufacturing in other Pacific Rim countries. • Studies have been of keen interest to U.S. industry, providing managers with a sense of the competitive environment internationally. The director for external technology at a major U.S. high-technology firm recently told us that that he always looks for a relevant WTEC report first when beginning to investigate a technology for his company, because these reports provide a comprehensive understanding that includes R&D, process technology, and some information on commercial developments. The list of corporate users of the WTEC Web server includes virtually all of the nation’s high-technology sector. Not the least important is the educational benefit of the studies. Since 1983 over 200 scientists and engineers have participated as panelists in the studies. As a result of their experiences, many have changed their viewpoints on the significance and originality of foreign research. Some have also developed lasting relationships and ongoing exchanges of information with their foreign hosts as a result of their participation in these studies. As we seek to refine the WTEC program in the coming years, improving the methodology and enhancing the impact, program organizers and participants will continue to operate from the same basic premise that has been behind the program from its inception: the United States can benefit from a better understanding of cutting-edge research that is being conducted outside its borders. Improved awareness of international developments can significantly enhance the scope and effectiveness of international collaboration and thus benefit all of the United States’ international partners in collaborative research and development efforts. Paul J. Herer National Science Foundation Arlington, VA iii T C ABLE OF ONTENTS Foreword..........................................................................................................................................................i Contents..........................................................................................................................................................iii List of Figures.................................................................................................................................................v List of Tables................................................................................................................................................viii 1. Introduction (M.C. Roco, NSF)......................................................................................................1 2. Overview of the WTEC Study (R.W. Siegel, WTEC Panel Chair, RPI).......................................5 3. Review of U.S. Government Activities and Interests Summary of Participating U.S. Government Agencies Activities (M.C. Roco)................................9 National Science Foundation NSF Overview (M.C. Roco)....................................................................................................11 NSF Nanoparticle Synthesis and Processing (M.C. Roco)......................................................12 NSF/ENG Interest in Nanotechnology (M.C. Roco)................................................................13 NSF National Nanofabrication Users Network (R.P. Khosla).................................................14 Nanotechnology in NSF/ENG/ECS (D.L. Crawford)..............................................................17 Nanostructured Materials Research in NSF/MPS/DMR (B.A. MacDonald)...........................17 Chemistry Division (NSF/MPS/CHE) Investment in Nanoscience (J. Osteryoung)................22 Physics Division (NSF/MPS/PHY) Activities in Nanotechnology (D. Caldwell)....................23 NSF NANO-95 for Instrumentation (L.J. Inglehart)................................................................23 NSF/BIO Directorate Support of Nanotechnology (K. Koehler).............................................25 Nanotechnology in Bioengineering (NSF/ENG/BES) (G. Vermont).......................................27 Biomedical Engineering & Research to Aid Persons with Disabilities (BERAPD) (G. Devey)...30 NSF Computer and Information Science and Engineering (M.J. Foster).................................30 ONR Materials Div. Funding of R&D on Nanostructured Materials (L. Kabacoff).......................31 DOE Micro and Nano Engineering Research (R. Goulard) ...........................................................33 ARO Activities in Nanotechnology (M.A. Stroscio).......................................................................35 AFOSR Research in Nanoscience (M. Chipley).............................................................................41 DOC Role in Nanotechnology Research (A.D. Mitchell) ..............................................................42 NIST Activities in Nanotechnology (R.D. Shull)............................................................................43 NASA Nanotechnology Activities (D.L Jan)..................................................................................59 NASA/Ames Work on Nanotechnology (M. Meyyappan)..............................................................61 NIH Nanotechnology Activities (R. DuBois, D. Jaron)..................................................................66 DARPA ULTRA Electronics Program (G. Pomrenke) ..................................................................67 BMDO Nanotechnology Activities (G. Hammer)...........................................................................71 Connection to other Fields and Education Issues (G. Poehlein, NSF)............................................72 4. Synthesis and Assembly Overview (E. Hu, WTEC Panel Co-Chair, UCSB).........................................................................73 Soft Lithography (G.M. Whitesides, Harvard)................................................................................76 Nanostructured Ceramics Through Self-Assembly (I. Aksay, Princeton).......................................79 Synthesis of Nanoparticles & Their Agglomerates: Aerosol Reactors (S.K. Friedlander, UCLA).....83 Semiconductor Nanocrystals (L. Brus, Columbia)..........................................................................89 Storage of Hydrogen in Powders with Nanosized Crystalline Domains (R.B. Schwarz, LANL)........93 Nanostructure Processing of Advanced Catalytic Materials (J.Y. Ying, MIT)...............................96 iv Contents 5. Bulk Behavior Overview (C. Koch, WTEC panel, NC State)..............................................................................101 Nanostructured Bulk Materials: Synthesis, Processing, Properties, and Performance (B. Kear, Rutgers, and G. Skandan, Nanopowder Enterprises).............................................102 Cost-Affordable Nanostructured Materials (F.H. Froes, IMAP, Univ. Idaho)..............................105 Nanostructured Magnetic Materials (G.C. Hadjipanayis, Univ. Delaware)..................................107 Nanocrystalline Soft Magnetic Alloys for Application in Electrical and Electronic Devices (V.R. Ramanan, ABB)............................................................................113 6. Dispersions and Coatings Overview (J. Mendel, WTEC Panel, Kodak)................................................................................117 Dispersions and Coatings (P. Wiltzius, Lucent)...........................................................................119 Nanoparticle Dispersions (R. Brotzman, Nanophase Technologies)............................................122 Nanostructured Coatings (M. Gell, Univ. Connecticut)................................................................124 7. High Surface Area Materials Overview (D. Cox, WTEC Panel, Exxon)....................................................................................131 Synthesis, Fundamental Properties and Applications of Nanocrystals, Sheets, and Fullerenes Based on Layered Transition Metal Chalcogenides (R.R. Chianelli, Univ. Texas)........133 High Surface Area Materials (G.D. Stucky, UCSB).....................................................................140 8. Devices Overview (H. Goronkin, WTEC Panel, Motorola).......................................................................145 Organic Nanostructure Devices (S. Forrest, Princeton)................................................................147 Functional Nanostructures (R.S. Williams, HP)...........................................................................150 Si-based Nanodevices (K. Ismail, IBM, Univ. Cairo)..................................................................153 Functional Molecular Structures and Devices (M. Reed, Yale)....................................................154 Whither Nanotechnology? (R.C. Merkle, Xerox).........................................................................156 9. Biological, Carbon and Theory Issues Overview (L. Jelinski, WTEC Panel, Cornell)..............................................................................161 Carbon-Based Nanostructures (M.S. Dresselhaus, MIT)..............................................................169 Synthesis, Properties, and Applications of Graphite Nanofibers (R.T.K. Baker, Northeastern)...172 DNA Nanotechnology (N.C. Seeman, NYU)...............................................................................177 Molecular and Electronic Nanostructures (S. Sligar, Beckman Institute).....................................181 Simulations and Modeling for the Nanoscale (U. Landman, GA Tech.)......................................194 Nanoscale Theory and Simulation (W.A. Goddard, Caltech).......................................................197 Glossary......................................................................................................................................................209