Springer Handbook of Nanotechnology SpringerHandbooksprovide aconcisecompilationofapproved key information on methods of research, general principles, and functional relationships in physi- calsciencesandengineering.The world’s leading experts in the fields of physics and engineer- ing will be assigned by one or several renowned editors to write thechapterscomprisingeachvol- ume. The content is selected by theseexpertsfromSpringersources (books, journals, online content) andothersystematicandapproved recentpublicationsofphysicaland technicalinformation. Thevolumesaredesignedtobe useful as readable desk reference bookstogiveafastandcomprehen- siveoverviewandeasyretrievalof essentialreliablekeyinformation, includingtables,graphs,andbibli- ographies.Referencestoextensive sourcesareprovided. Springer Handbook of Nanotechnology Bharat Bhushan (Ed.) 3rd revised and extended edition WithDVD-ROM,1577Figuresand127Tables 123 Editor ProfessorBharatBhushan NanoprobeLaboratory forBio-andNanotechnologyandBiomimetics(NLB2) OhioStateUniversity 201W.19thAvenue Columbus,OH43210-1142 USA ISBN:978-3-642-02524-2 e-ISBN:978-3-642-02525-9 DOI10.1007/978-3-642-02525-9 SpringerHeidelbergDordrechtLondonNewYork LibraryofCongressControlNumber:2010921002 (cid:2)c Springer-VerlagBerlinHeidelberg2010 Thisworkissubjecttocopyright.Allrightsarereserved,whetherthewhole orpartofthematerialisconcerned,specificallytherightsoftranslation, reprinting,reuseofillustrations,recitation,broadcasting,reproductionon microfilmorinanyotherway,andstorageindatabanks.Duplicationofthis publicationorpartsthereofispermittedonlyundertheprovisionsofthe GermanCopyrightLawofSeptember9,1965,initscurrentversion,and permissionforusemustalwaysbeobtainedfromSpringer.Violationsare liabletoprosecutionundertheGermanCopyrightLaw. 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Productionandtypesetting:le-texpublishingservicesGmbH,Leipzig SeniorManagerSpringerHandbook:Dr.W.Skolaut,Heidelberg Typographyandlayout:schreiberVIS,Seeheim Illustrations:HippmannGbR,Schwarzenbruck Coverdesign:eStudioCalamarS.L.,Spain/Germany Coverproduction:WMXDesignGmbH,Heidelberg Printingandbinding:StürtzGmbH,Würzburg Printedonacidfreepaper SpringerispartofSpringerScience+BusinessMedia(www.springer.com) 62/3180/YL 543210 V Foreword by Neal Lane In a January 2000 speech at the California Institute of can sense, control, and activate on Technology,formerPresidentW.J.Clintontalkedabout the micro/nanoscale and can func- theexcitingpromiseofnanotechnologyandtheimpor- tionindividuallyorinarraystogen- tance of expanding research in nanoscale science and erateeffectsonthemacroscale.Due engineeringand,morebroadly,inthephysicalsciences. to the enabling nature of these sys- Laterthatmonth,heannouncedinhisStateoftheUnion temsandthesignificantimpactthey AddressanambitiousUS$497millionfederal, multia- can have on both the commercial gency national nanotechnology initiative (NNI) in the and defense applications, industry fiscal year 2001 budget; and he made the NNI a top as well as the federal government Prof.NealLane scienceandtechnologyprioritywithinabudgetthatem- have taken special interest in seeing MalcolmGillisUniversity phasizedincreasedinvestmentinUSscientificresearch. growthnurturedinthisfield.Micro- Professor, DepartmentofPhysics WithstrongbipartisansupportinCongress,mostofthis andnanosystemsarethenextlogical andAstronomy, requestwasappropriated,andtheNNIwasborn.Often, stepinthesiliconrevolution. SeniorFellow, JamesA.BakerIIIInstitute federalbudgetinitiativesonlylastayearorso.Itismost The discovery of novel mater- forPublicPolicy encouragingthattheNNIhasremainedahighpriority ials, processes, and phenomena at RiceUniversity Houston,Texas oftheG.W.BushAdministrationandCongress,reflect- the nanoscale and the development ServedintheClintonAdmin- ingenormousprogressinthefieldandcontinuedstrong of new experimental and theoreti- istrationasAssistanttothe interestandsupportbyindustry. cal techniques for research provide PresidentforScienceandTech- nologyandDirectoroftheWhite Nanotechnology is the ability to manipulate indi- fresh opportunities for the develop- HouseOfficeofScienceand vidualatomsandmoleculestoproducenanostructured mentofinnovativenanosystemsand TechnologyPolicy(1998–2001) and,priortothat,asDirectorof materials and submicron objects that have applica- nanostructured materials. There is theNationalScienceFoundation tions in the real world. Nanotechnology involves the an increasing need for a multidis- (1993–1998).WhileattheWhite House,hewasakeyfigurein production and application of physical, chemical and ciplinary,systems-orientedapproach thecreationoftheNNI. biological systems at scales ranging from individual tomanufacturingmicro/nanodevices atoms or molecules to about 100nm, as well as the which function reliably. This can only be achieved integration of the resulting nanostructures into larger through the cross-fertilization of ideas from different systems. Nanotechnology is likely to have a profound disciplinesand the systematicflow of information and impact on our economy and society in the early 21st peopleamongresearchgroups. century, perhaps comparable to that of information Nanotechnologyisabroad,highlyinterdisciplinary, technology or cellular and molecular biology. Science and still evolving field. Covering even the most im- and engineering research in nanotechnology promises portant aspects of nanotechnology in a single book breakthroughs in areas such as materials and manu- that reaches readers ranging from students to active facturing,electronics,medicineandhealthcare,energy researchers in academia and industry is an enormous and the environment, biotechnology,information tech- challenge. To prepare such a wide-ranging book on nologyandnationalsecurity.Clinicaltrialsarealready nanotechnology, Prof. Bhushan has harnessed his own underway for nanomaterials that offer the promise of knowledge and experience, gained in several indus- curesforcertaincancers.Itiswidelyfeltthatnanotech- triesanduniversities,andhasassembledinternationally nologywillbethenextindustrialrevolution. recognized authorities from four continents to write Nanometer-scalefeaturesarebuiltupfromtheirel- chapterscoveringawidearrayofnanotechnologytop- emental constituents.Micro-andnanosystemscompo- ics, including the latest advances. The authors come nents are fabricated using batch-processing techniques from both academia and industry. The topics include thatarecompatiblewithintegratedcircuitsandrangein majoradvancesinmanyfieldswherenanoscalescience size from micro- to nanometers. Micro- and nanosys- andengineeringisbeingpursuedandillustratehowthe tems include micro/nanoelectro-mechanical systems field of nanotechnology has continued to emerge and (MEMS/NEMS), micromechatronics, optoelectronics, blossom.Giventheacceleratingpaceofdiscoveryand microfluidics and systems integration. These systems applicationsinnanotechnology,itisachallengetocap- VI tureitallinonevolume.Asinearliereditions,professor thirdedition.Itisincreasinglyimportantthatscientists Bhushandoesanadmirablejob. and engineers, whatever their specialty, have a solid Professor Bharat Bhushan’s comprehensive book grounding in the fundamentals and potential applica- is intended to serve both as a textbook for university tions of nanotechnology. This third edition addresses coursesaswellasareferenceforresearchers.Thefirst thatneedbygivingparticularattentiontothewidening andsecondeditionsweretimelyadditionstothelitera- audienceofreaders.Italsoincludesadiscussionofthe ture on nanotechnologyand stimulated further interest social,ethicalandpoliticalissuesthattendtosurround inthisimportantnewfield,whileservingasinvaluable anyemergingtechnology. resourcestomembersoftheinternationalscientificand The editor and his team are to be warmly congrat- industrial community. The increasing demand for up- ulated for bringing together this exclusive, timely, and to-dateinformationonthisfastmovingfieldledtothis usefulnanotechnologyhandbook. VII Foreword by James R. Heath Nanotechnology has become an increasingly popular cuits constructed from relatively buzzwordoverthepastfiveyearsorso,atrendthathas simplecomponents–extendedsolids. been fueled by a global set of publicly funded nano- The biotech revolution is really de- technology initiatives. Even as researchers have been pendent upon the ability to reverse strugglingtodemonstratesomeofthemostfundamental engineer three-dimensional analog and simple aspects of this field, the term nanotechnol- systemsconstructedfromquitecom- ogy has entered into the public consciousness through plex components – proteins. Given articles in the popular press and popular fiction. As thatthebasicsciencebehindbiotech a consequence, the expectations of the public are high is substantially younger than the Prof.JamesR.Heath fornanotechnology,evenwhiletheactualpublicdefini- science that has supported IT, it tionofnanotechnologyremainsabitfuzzy. is perhaps not surprising that the DepartmentofChemistry CaliforniaInstituteofTechnology Whyshouldn’tthoseexpectationsbehigh?Thelate biotech revolution has not really Pasadena,California 1990s witnessed a major information technology (IT) been a proper revolution yet, and it WorkedinthegroupofNobel revolution and a minor biotechnology revolution. The likely needs at least another decade LaureateRichardE.Smalleyat IT revolution impacted virtually every aspect of life orsotocomeintofruition. RiceUniversity(1984–88)and co-inventedFullerenemol- in the western world. I am sitting on an airplane at Where does nanotechnology fit eculeswhichledtoarevolution 30000 feet at the moment, working on my laptop, as into this picture? In many ways, inChemistryincludingthe realizationof nanotubes. are about half of the other passengers on this plane. nanotechnology depends upon the TheworkonFullerenemol- Theplaneitselfisriddledwithcomputationalandcom- ability to engineer two- and three- eculeswascitedforthe1996 NobelPrizeinChemistry.Later munications equipment. As soon as we land, many of dimensionalsystemsconstructedfrom hejoinedtheUniversityof us will pull out cell phones, others will check e-mail complexcomponentssuchasmacro- CaliforniaatLosAngeles(1994– 2002),andco-foundedand via wireless modem, some will do both. This picture molecules,biomolecules,nanostruc- servedasaScientificDirector wouldbethesameifIwaslandinginLosAngeles,Bei- tured solids, etc. Furthermore, in ofTheCaliforniaNanosystems Institute. jing, or Capetown. I will probablynever actually print terms of patents, publications, and this text, but will instead submit it electronically. All other metrics that can be used to gauge the birth and of this was unthinkable a dozen years ago. It is there- evolutionofafield,nanotechlagssome15–20yearsbe- forenowonderthatthepublicexpectsmarvelousthings hindbiotech.Thus,nowisthetimethatthefundamental to happen quickly. However, the science that laid the science behind nanotechnology is being explored and groundwork for the IT revolution dates back 60years developed. Nevertheless, progress with that science is or more, with its origins in fundamental solid-state moving forward at a dramatic pace. If the scientific physics. community can keep up this pace and if the public By contrast, the biotech revolution was relatively sector will continue to support this science, then it is minor and, at least to date, not particularly effective. possible, and even perhaps likely, that in 20years we Themajordiseasesthatplaguedmankindaquartercen- maybespeakingofthenanotechrevolution. turyagoarestillhere.Insomethird-worldcountries,the ThefirsteditionofSpringerHandbookofNanotech- average lifespan of individuals has actually decreased nology was timely to assemble chapters in the broad from where it was a full century ago. While the costs fieldofnanotechnology.Giventhefactthatthesecond ofelectronicstechnologieshaveplummeted,healthcare editionwasinpressoneyearafterthepublicationofthe costshavecontinuedtorise.Thebiotechrevolutionmay firsteditioninApril2004,itisclearthatthehandbook haveaprofoundimpact,butthetaskathandissubstan- has shown to be a valuable reference for experienced tially more difficult than what was required for the IT researchers as well as for a novice in the field. The revolution.Ineffect,theITrevolutionwasbasedonthe thirdeditionhasonePartaddedandanexpandedscope advanced engineering of two-dimensional digital cir- shouldhaveawiderappeal. IX Preface to the 3rd Edition On December 29, 1959 at the California Institute of across five federal agencies (National Science Foun- Technology,Nobel LaureateRichard P. Feynman gave dation (NSF), Department of Energy (DOE), NASA, attalkattheAnnualmeetingoftheAmericanPhysical NationalInstituteofStandardsandTechnology(NIST), Society that has become one of the 20th century clas- and Environmental Protection Agency (EPA)), estab- sic science lectures, titled There’s Plenty of Room at lish interdisciplinary research centers, and accelerate theBottom.Hepresentedatechnologicalvisionofex- technologytransferintotheprivatesector.Inaddition, trememiniaturizationin1959,severalyearsbeforethe Department of Defense (DOD), Homeland Security, wordchipbecamepartofthelexicon.Hetalkedabout Agriculture and Justice as well as the National Insti- theproblemofmanipulatingand controllingthingson tutes of Health (NIH) also fund large R&D activities. asmallscale.Extrapolatingfromknownphysicallaws, They currently account for more than one-third of the Feynman envisioned a technology using the ultimate federalbudgetfornanotechnology. toolbox of nature, building nanoobjects atom by atom EuropeanUnion(EU)madenanosciencesandnan- or molecule by molecule. Since the 1980s, many in- otechnologies a priority in Sixth Framework Program ventions and discoveries in fabrication of nanoobjects (FP6) in 2002 for a period of 2003–2006. They had have been testament to his vision. In recognition of dedicatedsmallfundsinFP4andFP5before.FP6was this reality, National Science and Technology Council tailoredto help betterstructureEuropean research and (NSTC) of the White House created the Interagency to cope with the strategic objectives set out in Lis- WorkingGrouponNanoscience,EngineeringandTech- bonin2000.Japanidentifiednanotechnologyasoneof nology (IWGN) in 1998. In a January 2000 speech at its main research priorities in 2001. The funding lev- thesameinstitute,formerPresidentW.J.Clintontalked els increases sharply from US$400million in 2001 to about the exciting promise of nanotechnology and the around US$950million in 2004. In 2003, South Ko- importanceofexpandingresearchinnanoscalescience rea embarked upon a ten-year program with around and technology, more broadly. Later that month, he US$2billion of public funding, and Taiwan has com- announced in his State of the Union Address an am- mitted around US$600million of public funding over bitious US$497million federal, multi-agency national six years. Singapore and China are also investing on nanotechnologyinitiative(NNI)inthefiscalyear2001 alargescale.Russiaiswellfundedaswell. budget, and made the NNI a top science and technol- Nanotechnology literally means any technology ogypriority.Theobjectiveofthisinitiativewastoform done on a nanoscale that has applications in the abroad-basedcoalitioninwhichtheacademe,thepri- real world. Nanotechnology encompasses production vate sector, and local, state, and federal governments and application of physical, chemical and biological work together to push the envelop of nanoscience and systems at scales, ranging from individual atoms or nanoengineeringtoreapnanotechnology’spotentialso- molecules to submicron dimensions, as well as the cialandeconomicbenefits. integration of the resulting nanostructures into larger The funding in the US has continued to increase. systems. Nanotechnology is likely to have a pro- In January 2003, the US senate introduced a bill to found impact on our economy and society in the establishaNationalNanotechnologyProgram.OnDe- early 21st century, comparable to that of semiconduc- cember 3, 2003, President George W. Bush signed tortechnology,informationtechnology,orcellularand into law the 21st Century Nanotechnology Research molecular biology. Science and technology research and Development Act. The legislation put into law in nanotechnology promises breakthroughs in areas programs and activities supported by the National such as materials and manufacturing, nanoelectronics, Nanotechnology Initiative. The bill gave nanotechnol- medicine and healthcare, energy, biotechnology, infor- ogy a permanent home in the federal government mation technology and national security. It is widely and authorized US$3.7billion to be spent in the four felt that nanotechnology will be the next industrial year period beginning in October 2005, for nanotech- revolution. nology initiatives at five federal agencies. The funds Thereisanincreasingneedforamultidisciplinary, would provide grants to researchers, coordinate R&D system-oriented approach to design and manufactur- X ingofmicro/nanodeviceswhichfunctionreliably.This national research labs, and industry, and from all over can only be achieved through the cross-fertilization theworld. of ideas from different disciplines and the system- This handbook is intended for three types of read- atic flow of information and people among research ers:graduatestudentsofnanotechnology,researchersin groups. Reliability is a critical technology for many academia and industry who are active or intend to be- micro- and nanosystems and nanostructured materials. come active in this field, and practicing engineers and A broad based handbook was needed, and the first scientists who have encountered a problem and hope edition of Springer Handbook of Nanotechnology was to solve it as expeditiously as possible. The handbook published in April 2004. It presented an overview of shouldserveasanexcellenttextforoneortwosemester nanomaterial synthesis, micro/nanofabrication, micro- graduate courses in nanotechnology in mechanical en- andnanocomponentsandsystems,scanningprobemi- gineering,materialsscience,appliedphysics,orapplied croscopy, reliability issues (including nanotribology chemistry. and nanomechanics) for nanotechnology, and indus- We embarked on the development of third edition trialapplications.Whenthehandbookwentforsalein in June 2007, and we worked very hard to get all the Europe, it was sold out in ten days. Reviews on the chapters to the publisher in a record time of about 12 handbookwereveryflattering. months.Iwishtosincerelythanktheauthorsforoffer- Given the explosive growth in nanoscience and ingtowritecomprehensivechaptersonatightschedule. nanotechnology, the publisher and the editor decided This is generally an added responsibility in the hec- to develop a second edition after merely six months ticworkschedulesofresearcherstoday.Idependedon of publication of the first edition. The second edition a large number of reviewers who provided critical re- (2007)cameoutinDecember2006.Thepublisherand views.IwouldliketothankDr.PhillipJ.Bond,Chiefof the editor again decided to develop a third edition af- StaffandUnderSecretaryforTechnology,USDepart- tersixmonthofpublicationofthesecondedition.This ment of Commerce, Washington, D.C. for suggestions editionofthehandbookintegratestheknowledgefrom forchaptersaswellasauthorsinthehandbook.Lastbut nanostructures, fabrication, materials science, devices, not the least, I would liketo thank my secretary Cate- andreliabilitypointofview.Itcoversvariousindustrial rina Runyon-Spears for various administrative duties applications.Italsoaddressessocial,ethical,andpolit- andhertirelesseffortsarehighlyappreciated. icalissues.Giventhesignificantinterestinbiomedical Ihopethatthishandbookwillstimulatefurtherin- applications, and biomimetics a number of additional terestinthisimportantnewfield,andthereadersofthis chapters in this arena have been added. The third edi- handbookwillfindituseful. tionconsistsof53chapters(new10,revised28,andas is15).Thechaptershavebeenwrittenby139interna- February2010 BharatBhushan tionallyrecognizedexpertsinthefield,fromacademia, Editor XI Preface to the 2nd Edition On 29 December 1959 at the California Institute of agencies(NationalScienceFoundation(NSF),Depart- Technology,Nobel LaureateRichard P. Feynman gave ment of Energy (DOE), NASA, National Institute of attalkattheAnnualmeetingoftheAmericanPhysical Standardsand Technology(NIST),and Environmental Society that has become one of the 20th century clas- Protection Agency (EPA)), establish interdisciplinary sic science lectures, titled “There’s Plenty of Room at researchcenters,andacceleratetechnologytransferinto theBottom.”Hepresentedatechnologicalvisionofex- the private sector. In addition, Department of Defense trememiniaturizationin1959,severalyearsbeforethe (DOD),HomelandSecurity,AgricultureandJusticeas word“chip”becamepartofthelexicon.Hetalkedabout well as the National Institutes of Health (NIH) would theproblemofmanipulatingand controllingthingson alsofundlargeR&Dactivities.Theycurrentlyaccount asmallscale.Extrapolatingfromknownphysicallaws, formorethanone-thirdofthefederalbudgetfornano- Feynman envisioned a technology using the ultimate technology. toolbox of nature, building nanoobjects atom by atom The European Union made nanosciences and nan- ormoleculebymolecule.Sincethe1980s,manyinven- otechnologies a priority in the Sixth Framework Pro- tions and discoveries in the fabrication of nanoobjects gram(FP6)in2002fortheperiodof2003-2006.They have been a testament to his vision. In recognition of haddedicatedsmallfundsinFP4andFP5before.FP6 thisreality,theNationalScienceandTechnologyCoun- wastailoredtohelpbetterstructureEuropeanresearch cil(NSTC)oftheWhiteHousecreatedtheInteragency andtocopewiththestrategicobjectivessetoutinLis- WorkingGrouponNanoscience,EngineeringandTech- bonin2000.Japanidentifiednanotechnologyasoneof nology (IWGN) in 1998. In a January 2000 speech at itsmainresearchprioritiesin2001.Thefundinglevels thesameinstitute,formerPresidentW.J.Clintontalked increasedsharplyfrom$400millionin2001toaround about the exciting promise of “nanotechnology” and $950millionin2004.In2003,SouthKoreaembarked theimportanceofexpandingresearchinnanoscalesci- uponaten-yearprogramwitharound$2billionofpub- ence and, more broadly, technology. Later that month, lic funding, and Taiwan has committed around $600 he announced in his State of the Union Address an millionofpublicfundingoversixyears.Singaporeand ambitious $497 million federal, multiagency national Chinaarealsoinvestingonalargescale.Russiaiswell nanotechnologyinitiative(NNI)inthefiscalyear2001 fundedaswell. budget, and made the NNI a top science and technol- Nanotechnology literally means any technology ogypriority.Theobjectiveofthisinitiativewastoform done on a nanoscale that has applications in the abroad-basedcoalitioninwhichtheacademe,thepri- real world. Nanotechnology encompasses production vate sector, and local, state, and federal governments and application of physical, chemical and biological worktogethertopushtheenvelopeofnanoscienceand systems at scales, ranging from individual atoms or nanoengineeringtoreapnanotechnology’spotentialso- molecules to submicron dimensions, as well as the cialandeconomicbenefits. integration of the resulting nanostructures into larger The funding in the U.S. has continued to increase. systems. Nanotechnology is likely to have a pro- In January 2003, the U. S. senate introduced a bill to found impact on our economy and society in the establish a National Nanotechnology Program. On 3 early 21st century, comparable to that of semiconduc- December2003,PresidentGeorgeW.Bushsignedinto tortechnology,informationtechnology,orcellularand lawthe21stCenturyNanotechnologyResearchandDe- molecular biology. Science and technology research velopment Act. The legislation put into law programs in nanotechnology promises breakthroughs in areas and activities supported by the National Nanotechnol- such as materials and manufacturing, nanoelectronics, ogy Initiative. The bill gave nanotechnology a perma- medicine and healthcare, energy, biotechnology, infor- nent home in the federal government and authorized mation technology and national security. It is widely $3.7 billion to be spent in the four year period begin- felt that nanotechnology will be the next industrial ninginOctober2005,fornanotechnologyinitiativesat revolution. five federal agencies. The funds would provide grants Thereisanincreasingneedforamultidisciplinary, to researchers, coordinate R&D across five federal system-oriented approach to design and manufactur-