Part 1 Nano

Basic Nanotechnology
Introduction
6/26/03
1
2003 by Glenn Fishbine
Contact Information
Glenn Fishbine
Phone:
Fax:
Email:
Website:
6/26/03
1-952-975-0856
1-775-908-1069
glennfish@aol.com
www.glennfishbine.com
2
Why We Are Here

Provide an overview of nanotechnology
Discuss nanotechnology.
Introduction
Current landscape
Government and university
State of basic research
Manufacturing processes
Commercial activity
The future
Answer your questions about nanotechnology

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Understanding Size
How big (small) are we talking about?
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Understanding Size
1 meter
source: CERN http://microcosm.web.cern.ch/microcosm
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5
Understanding Size
10 centimeters
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6
Understanding Size
1 centimeter
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7
Understanding Size
100 micrometers
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8
Understanding Size
10 micrometers
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Understanding Size
1 micrometer
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10
Understanding Size
100 nanometers
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Understanding Size
10 nanometers
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12
Understanding Size
1 nanometer
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Size Matters
Its not just how big
you are
Its what you can do
with it
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14
Understanding Effects
Physical processes do
not scale uniformly
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gravity
friction
combustion
electrostatic
van der Walls
brownian
quantum
15
Gravity
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Friction
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Combustion
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Electrostatic
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van der Waals
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brownian
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Quantum
"I don't like it, and I'm sorry I
ever had anything to do with
it. - Erwin Schrodinger
"I think that I can safely say
that nobody understands
quantum mechanics. Richard Feynman
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22
Centimeter: Gravity, friction, combustion
Millimeter:
Gravity, friction, combustion, electrostatic
Micrometer: Electrostatic, van der Walls, Brownian

Nanometer: Electrostatic, van der Walls, Brownian, Quantum
Angstrom:
Quantum mechanics
(1/10,000,000,000 meter)
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Origins of Nanotechnology
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Earliest References
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In the Beginning - 4,000 BCE
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Yielding
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Leucippus of Miletus
5th century BC
Greek - Democritus of Abdera
All matter is made up of undividable particles called atoms

There is a void, which is empty space between atoms
Atoms are completely solid
Atoms are homogeneous, with no internal structure
Atoms vary in
1) Size
2) Shape
3) Weight
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John Dalton - 1803

1) chemical elements are made of atoms
2) the atoms of an element are identical in their masses
3) atoms of different elements have different masses
4) atoms only combine in small, whole number ratios such as
1:1, 1:2, 2:3 and so on
5) atoms can be neither created nor destroyed
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Ernest Rutherford - 1908
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Niels Bohr - 1915
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Einstein Pauli Bose Heisenberg etc

Von Neumann - 1932
mathematical synthesis
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Gravity - Graviton - Always attracts, never

repels; curves space. Gravity is the only force to
which all particles are subjected - Indefinite
Strong Force - Gluon (8 kinds) - Binds quarks

into nucleons and nucleons into nuclei - Limited
to the atomic nucleus
Electromagnetism -Photon - Binds electrons to

the nucleus; allows all physical and chemical
processes - Indefinite
Weak Force - Weak bosons (3 kinds) - Causes

unstable particles and nuclei to decay - Limited
to the atomic nucleus
32
Max Knoll and Ernst Ruska -1931

electron microscopy
fly wing 1935
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bacteria 1937
iron 1937
33
Richard P. Feynman
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A Nanotechnology Can Exist

Theres Plenty of Room at the Bottom - December 29th 1959
Manipulating and controlling things on a small scale
Write the Encyclopedia Brittanica on the head of a pin
How do we write small?
Information on a small scale
Better electron microscopes
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The marvelous biological system

Miniaturizing the computer
Miniaturization by evaporation
Problems of lubrication
A hundred tiny hands
Rearranging the atoms
Atoms in a small world
35
K. Eric Drexler - 1981

Development of the ability to
design protein molecules will
open a path to the
fabrication of devices to
complex atomic
specifications
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Engines of Creation - 1985

PART ONE - THE FOUNDATIONS OF FORESIGHT
1 - Engines of Construction
2 - The Principles of Change
3 - Predicting and Projecting
PART TWO - PROFILES OF THE POSSIBLE

4 - Engines of Abundance
5 - Thinking Machines
6 - The World Beyond Earth
7 - Engines of Healing
8 - Long Life in an Open World
9 - A Door to the Future
10 - The Limits to Growth
PART THREE - DANGERS AND HOPES

11
12
13
14
15
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Engines of Destruction
Strategies and Survival
Finding the Facts
The Network of Knowledge
Worlds Enough, and Time
37
Fullerenes 1985
Robert F. Curl Jr.
(1996)
Richard E. Smalley
Sir Harold W. Kroto
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IBM - 1985
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Nanotechnology
Has a long history
Has a solid theoretical basis
Has been looked at seriously for nearly
30 years
So, what is it?
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Nanotechnology could be...
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Nano (metrology)
nanoscale science (effects)
nanoscale technology (fabrication)
molecular nanotechnology (chemistry)
41
So who cares?
The worldwide annual industrial production in
the nanotech sectors is estimated to exceed
$1 trillion in 10 - 15 years from now, which
would require about 2 million nanotechnology
workers. - M.C. Roco Chair, WH/NSTC/Nanoscale Science,
Engineering and Technology Subcommittee (NSEC), and Senior
Advisor, NSF
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What does this mean? - 1994
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When for what? - 1994

Birge Brenner Drexler Hall Smalley
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Molecular Assembler:
2005
2025
2015
2010
2000
Nanocomputer:
2040
2040
2017
2010
2100
Cell Repair:
2030
2035
2018
2050
2010
Commercial product:
2002
2000
2015
2005
2000
Nanotech laws:
1998
2036
2015
1995
2000
44
So where are we now?

Overview of who's doing what
government
universities
commercial enterprises
Segmentation of activities into technology, product,
market/application
Scale of investment, implications
Patent landscape and implications
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Break
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Where Are We Today?
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So where are we now?

Overview of who's doing what
government
universities
commercial enterprises
Segmentation of activities into technology, product,
market/application
Scale of investment, implications
Patent landscape and implications
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48
Government
Suppose you were an idiot.
And suppose you were a member of Congress.
But I repeat myself.
- Mark Twain
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49
Government
Federal
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State
50
Federal Government
National Nanotechnology Initiative
$600 million 2002
$700 million 2003
Department of Agriculture
Department of Treasury
(USDA)
Department of Energy (DOE)
(DOTreas)
National Aeronautics and Space Administration (NASA)
Department of Commerce (DOC)
Department of Justice (DOJ)
Department of State
National Institutes of Health (NIH)
(DOS)
National Institute of Standards and Technology (NIST)
Intelligence Community (IC)
Environmental Protection Agency (EPA)
Nuclear Regulatory Commission (NRC)
Department of Defense (DOD)
Department of Transportation (DOT)
Food and Drug Administration (FDA)
National Science Foundation (NSF)
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NNI Definition of Nanotechnology

Research and technology development at the atomic, molecular or macromolecular
levels, in the length scale of approximately 1 - 100 nanometer range,
to provide a fundamental understanding of phenomena and materials at the nanoscale
and to create and use structures, devices and systems that have novel properties and
functions because of their small and/or intermediate size.
Nanotechnology research and development includes manipulation under control of the
nanoscale structures and their integration into larger material components, systems
and architectures.
Within these larger scale assemblies, the control and construction of their structures
and components remains at the nanometer scale.
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NNI Intentions
First Generation: passive nanostructures in coatings, nanoparticles, bulk materials
(nanostructured metals, polymers, ceramics): ~ 2001
Second Generation: active nanostructures such as transistors, amplifiers, actuators,
adaptive structures: ~ 2005
Third Generation: 3D nanosystems with heterogeneous nanocomponents and various
assembling techniques ~ 2010
Fourth Generation: molecular nanosystems with heterogeneous molecules, based on
biomimetics and new design ~ 2020 (?)
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53
NNI Activities
Fundamental Research -Provides sustained support to individual investigators and
small groups doing fundamental, innovative research
Grand Challenges for research on major, long-term objectives
Centers and Networks of Excellence for interdisciplinary research, networking,
industry partnerships
Research Infrastructure metrology, instrumentation, modeling/simulation, user
facilities
Societal Implications and Workforce Education and Training for a new
generation of skilled workers; the impact of nanotechnology on society (legal,
ethical, social, economic)
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NNI Industry Support
Fund partnerships with industrial partner - all agencies

Provide the NNI results to industry create data base
Provide user facilities: NSF, DOE, NASA
Assistance for instrumentation, standards, tools for manufacturing: NIST
Direct technology transfer and funding industrial projects SBIR/STTR all
agencies , DARPA/DOD, DOE, NASA, NIST, NIH
Partnerships with industrial groups
Information data base of nanotechnology companies, and commercial
success stories
Outreach: series of workshops, involve new industries, networking
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NNI SBIR
Small Business Innovation Research
SBIR (Small Business Innovation Research) is a federal government program
administered by 10 federal agencies for the purpose of helping to provide earlystage Research and Development funding to small technology companies (or
individual entrepreneurs who form a company).
Phase I is the startup phase. Awards of up to $100,000 for approximately 6 months support
exploration of the technical merit or feasibility of an idea or technology.
Phase II awards of up to $750,000, for as many as 2 years, expand Phase I results. During this
time, the R&D work is performed and the developer evaluates commercialization potential. Only
Phase I award winners are considered for Phase II.
Phase III is the period during which Phase II innovation moves from the laboratory into the
marketplace. No SBIR funds support this phase. The small business must find funding in the
private sector or other non-SBIR federal agency funding.
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NNI STTR
Small Business Technology Transfer
Central to the program is expansion of the public/private sector partnership to include
the joint venture opportunities for small business and the nation's premier nonprofit
research institutions. STTR's most important role is to foster the innovation
necessary to meet the nation's scientific and technological challenges in the 21st
century.
Phase I is the startup phase. Awards of up to $100,000 for approximately one year fund the exploration
of the scientific, technical, and commercial feasibility of an idea or technology.
Phase II awards of up to $500,000, for as long as two years, expand Phase I results. During this period,
the R&D work is performed and the developer begins to consider commercial potential. Only Phase I
award winners are considered for Phase II.
Phase III is the period during which Phase II innovation moves from the laboratory into the
marketplace. No STTR funds support this phase. The small business must find funding in the private
sector or other non-STTR federal agency funding.
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NNI - Where the Money Goes

Biosystems at the Nanoscale ~ 14%
biostructures, mimicry, bio-chips
Nanostructure by Design, Novel Phenomena 45%

physical, biological, electronic, optical, magnetic
Device and System Architecture 20%

interconnect, system integration, pathways
Environmental Processes 6 %
filtering, absorption, low energy, low waste
Multiscale and Multiphenomena Modeling 9 %

Manufacturing at the nanoscale 6%
Education and Social Implications (distributed)
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Other Federal $
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59
Regional Nano-Organizations
Nanotechnology Alliance in Southern California
Nanotechnology Franklin Institute, Pennsylvania
Texas Nanotechnology Initiative
Virginia Nanotechnology Initiative
Denver Nano Hub
Silicon Valley, San Diego and Michigan Nano Hubs
Massachusetts Nanotech Initiative (MNI)
Connecticut Nanotechnology Initiative (CNI)
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60
States
CA California NanoSystem Instititute $100M/ 4yrs
NY Center of Excellence in Nanoelectronics; Albany Center $50M, $212M/ 5yrs
PA Nanotechnology Center $37M
IL Nanoscience Center $34M
IN Nanotechnology Center $5M
TX Nanotechnology Center $0.5M over 2 yrs
SC NanoCenter $1M
NM Consortium University of NM and National labs
NJ Support at NJIT and future nanophotonics consortium
FL Center at the University of South Florida
GA Center at Georgia Tech
OK Nano-Net (~$3M/yr for 5 years)
Pending: Ohio (support Center), Tennessee ($24M), Louisiana
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61
Universities
If you have both feet planted on level
ground,
then the university has failed you.
- Robert Goheen
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62
Universities
Beckman Institute for Advanced Science and
Technology
California University
Caltech
City University of New York
Clarkson University
Cornell
Cranfield University
Delft University of Technology
Duke Univresity
Ecole Polytechnique Federale de Lausanne
Georgia Institute of Technology
Harvard
Hungarian Academy of Sciences Research
Kyushu University
La Clemson University
Ludwig-Mazimillians Universitat Munchen
Michigan State University
Moscow State University
New York University
Northwestern University
Paul Scherrer Institute
Pennsylvania State University
Princeton
Purdue University
6/26/03
Renssellaer Polytechnic Institute

Rice University
Stanford
Stony Brook
The University of Birmingham
The University of Queensland
UC Santa Barbara
University of Arizona
University of Birmingham
University of California -Davis
University of Florida
University of Glasgow
University of Minnesota
University of Nebraska
University of North Carolina
University of Southern California
University of Sussex
University of Texas
University of Ulm
University of Washington
University of Wien
University of Wisconsin, Madison
Widener University
Yale University
63
Universities 2/3 of NNIs $

Bayh-Dole
A uniform federal patent policy.

Universities are encouraged to collaborate with business to promote the
utilization of inventions arising from federal funding.
Universities can elect to retain title to inventions developed under governmental
funding.
Universities are required to file patents on inventions they choose to own.
The government retains a non-exclusive license to practice the invention
throughout the world.
The government retains march-in rights
This is the right of the government to require, under certain conditions, that an exclusive license be revoked. In such cases, a variety of
provisions are possible, but the idea is, under certain conditions, the government can force an exclusive license to become nonexclusive.
6/26/03
Preference in licensing has to be given to small business.

Uniform guidelines for granting licenses are provided.
64
Commercial
In theory, there is no difference between
theory and practice;
In practice, there is.
- Chuck Reid
6/26/03
65
Commercial
Prominent Nano Companies
Dupont Co.
Hewlett Packard
IBM
ExxonMobil
6/26/03
Nasdaq: DPMI
NYSE: HPQ
NYSE: IBM
NYSE: XOM
Emerging Companies
Altair Nanotechnologies Nasdaq: ALTI

Applied Nanotech, Inc.
Degussa
Henkel
Nanogen
Nasdaq: NGEN
Nanometrics
Nasdaq: NANO
Nanophase Technologies Nasdaq: NANX
NanoPierce Technologies OTC:
NPCT
Obducat
NGM:
OBDU B
OBDU KVB
SI Diamond Technology, Inc. OTC BB: SIDT
Veeco
66
Activities Segmentation
The first rule to tinkering is to save all the
parts. - Paul Erlich
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67
Thomas Register
Classification
# of companies
Nano Inspection Systems

Nano Motion Systems
Actuators: Linear, Micro & Nano-Positioning
Connectors: Nano Miniature
Positioners: Nano
Powder: Nano
Stages: Micro- & Nano-Positioning
6/26/03
1
1
11
18
5
1
8
68
NNI
Theory, Modeling, and Simulation
Experimental Methods and Probes
Synthesis, Assembly, and Processing of Nanostructures
Dispersions, Coatings, and Other Large Surface Area Structures
Nanodevices, Nanoelectronics, and Nanosensors
Consolidated Nanostructures
Biological, Medical, and Health
Energy and Chemicals
Nanoscale Processes and the Environment
6/26/03
69
Me
6/26/03
Biological
Chemical
Nanomaterials and composites
Aerospace
Military
70
Scale of Investment
There are two times in a man's life when
he should not speculate:
when he can't afford it,
and when he can.
- Mark Twain
6/26/03
71
Scale of Investment
Estimated government sponsored R&D in $ millions/year
Fiscal Year
1997 2000 2001 2002
2003
_________________________________________________________________________
W. Europe
Japan
USA
Others
126
120
116
70
200
245
270
110
270
465
465
380
400
650
604
520
710
_________________________________________________________________________
TOTAL
432 825 1,492 2,174

100% 190% 350% 503%
Others: Australia, Canada, China, E. Europe, FSU, Israel, Korea, Singapore, Taiwan
6/26/03
72
Scale of Investment
Estimated private sector investment in nanotechnology
Fiscal Year
1997 2000 2001 2002
2003
_________________________________________________________________________
TOTAL
6/26/03
10?
25?
50?
150?
73
Patent Landscape
I have, as you say, been interested in patents
and patentees.
If your books tell how to exterminate inventors
send me nine editions.
Send them by express.
- Mark Twain
6/26/03
74
Patent Landscape
Copyright 2003 Thomson Derwent

All rights reserved
6/26/03
75
Patent Landscape
Search Term
No. of Patents
USPTO
____________________________________________________
Nanotechnology
Nanostructured
Nanofabrication
Nanodevice
Nanoprobe
Nanomechanical
Nanotube
Carbon nanotube
Molecular switch
Nanocluster
Nanomagnetic
6/26/03
99
434
72
10
14
23
164
129
56
44
2
source: The MITRE Corporation 2002
76
Europe
Austria
Belgium
Bulgaria
Cyprus
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Iceland
Ireland
Italy
Latvia
Liechtenstein
Lithuania
Luxembourg
Malta
6/26/03
Netherlands
Norway
Poland
Portugal
Romania
Slovak Rep.
Slovenia
Spain
Sweden
Switzerland
United Kingdom
Belarus
Bosnia & Herzegovina
Croatia
Georgia
Moldova
Russia
Turkey
Ukraine
Yugoslavia
77
Europe
The EU does not have a standard definition of
Nanotechnology
700 over 2002-2006 for processes manipulating
atoms & molecules
If nano inside accounted, 850 million/year
Source: European Nanobusiness Association
6/26/03
78
Europe - Nanotech Areas

Nanotechnology for structural applications
Nanotechnology for information processing, storage and
transmission
Nano-biotechnology
Nanotechnology for chemical applications
Nanotechnology for sensor applications
Long term research with generic applications
Instruments and equipment, supporting sciences and
technologies
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79
EC influence
The European Commission is committed to supporting the
development of a real European research and innovation
area (ERA). This ambitious project places a strong emphasis
on the establishment of a coherent and optimised use of
European research resources. Research networking,
which facilitates the development of synergistic interactions,
in particular between EU and Member State activities, will
play a prominent role therein.
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80
EC nano-networks
18
17
16
14
14
13
Networks
12
10
8
7
6
6
4
2
1
3
2
0
AT BE CH CZ DE DK EC ES FR GR IT
LT LU NL PL PT RO SE SI SK UK
Countries
6/26/03
81
EC nano-centers
The Swiss 'National Centre for Nano Scale Science' at Universitt Basel
Nanoscience at Cambridge University
London Centre for Nanotechnology
Center for Competence in Nano-Scale Analysis in Hamburg
Nanolink at University of Twente
Center of Competence in Nano-Scale Analysis in Hamburg
Center for NanoScience based at Ludwig-Maximillians-Universitt, Mnchen
Competence Center for NanoBioTechnology, Saarland, Germany
The German Ministry of Education and Research supports six national Competence
Centres
Nano-World, The Computer-Supported Cooperative Learning Environment on
Nanophysics, a Swiss Virtual Campus
Center for NanoMaterials at Technische Universiteit Eindhoven, Holland
Center for Ultrastructure Research, Austria
Nano-Science Center at Kbenhavns Universitet
MIC National Micro- and Nanotechnology Research Center at DTU
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82
EC nano-companies
120 companies estimated to reside in Europe
Primarily semiconductor (many contained on previous list)
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83
Asia ~ $1 Billion in 2002?

Japan
Korea
Taiwan
China
Singapore
India
Australia
6/26/03
$650 Million
$160 Million
$100 Million
$100 Million
>$50 Million
~ $20 Million
~ $40 Million
84
Asia - Activities
6/26/03
Ministry of Science and Technology, China

China Nanotech Business Network (to be launched in Nov. 2002)
Hong Kong Innovation Technology Commission (ITC)
Nanotechnology Researchers Network Center of Japan (MEXT)
Council for Science and Technology Policy, Japan
Japan Nanotech Business Network (METI)
Korea Institute of Science and Technology Information (KISTI)
(MOST)
Korea Nanotechnology Research Association
Singapore Economic Development Board (EDB)
National Uni. Of Singapore (NUS) Nano Science and Technology
Initiative
Industrial Technology Research Institute, Taiwan
National Science Council, Taiwan
APEC Center for Technology Foresight, Thailand
85
Australia
Nanotechnology Nanotechnology Programs Programs Center for Quantum
Computer Technology Center for Quantum Computer Technology
Australia Research Council Special Research Center
Australian Institute of Bio Australian Institute of Bio
Nanotechnology Nanotechnology Initiative Initiative
ARC Center of Excellence Program ( ARC Center of Excellence Program
Undergraduate and Graduate Programs at UNSW
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86
Japan
Nanoelectronics Industry Initiative started 2001
Atsuka Project (70 -- 100nm technology)
MIRAI Project (50 -- 70nm technology)
HALCA Project (LSI production)
strong bio-nano emphasis
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87
China
$300m allocated for allocated for Nanotechnology over 5 years
National Nanotechnology Center (starting soon)
Major Nanotechnology Centers
(Beijing, Shang Hai, TianJin, Qing Dao, Xiamen)
SME Innovation Investment Fund
Hong Kong Nanotechnology Initiative (HKITC)
HKUST Nanotechnology Nanotechnology Center
Local government support plus manufacturing industry investment
Over 700 companies registered and active, over 170 R & D organizations
17 companies are listed on the stock market in China and Hong Kong
Over 50 companies (mainly manufacturing) listed on stock exchange Invested in
nanotechnology
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88
Korea
10 Year Nanotechnology Plan
Ministry of Science and Technology (MOST)
Tera -- Level Nanodevices Program
MOST Focuses on Convergence of Nanotech and Bio
Korean Science & Engineering Foundation (KOSEF)
Nano Bioelectronics & Systems Research Center
Ministry of Health and Welfare Ministry of Health and Welfare
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89
Singapore
Agency for Science, Technology and Research (A* STAR)
National Nanotechnology Initiative Established end of 2001
Economic Development Board (EDB) Economic Development Board (EDB)
Nanotechnology Investment Initiative
National University of Singapore Nanoscience and Nanotechnology Initiative
Established Jan. 2002
6/26/03
90
Taiwan
Nanotechnology Initiative starts 2003
Nanotechnology Research Center
6/26/03
91
End Of Part 1
6/26/03
92

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Basic Nanotechnology

Why We Are Here

Answer your questions about nanotechnology

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

source: CERN http://microcosm.web.cern.ch/microcosm

van der Waals

Gravity, friction, combustion, electrostatic

Micrometer: Electrostatic, van der Walls, Brownian

In the Beginning - 4,000 BCE

All matter is made up of undividable particles called atoms

John Dalton - 1803

Ernest Rutherford - 1908

Niels Bohr - 1915

Einstein Pauli Bose Heisenberg etc

Gravity - Graviton - Always attracts, never

Strong Force - Gluon (8 kinds) - Binds quarks

Electromagnetism -Photon - Binds electrons to

Weak Force - Weak bosons (3 kinds) - Causes

Max Knoll and Ernst Ruska -1931

fly wing 1935

A Nanotechnology Can Exist

The marvelous biological system

K. Eric Drexler - 1981

Engines of Creation - 1985

PART TWO - PROFILES OF THE POSSIBLE

PART THREE - DANGERS AND HOPES

Robert F. Curl Jr.

Sir Harold W. Kroto

Nanotechnology could be...

What does this mean? - 1994

When for what? - 1994

So where are we now?

So where are we now?

Department of Energy (DOE)

National Aeronautics and Space Administration (NASA)

Department of Commerce (DOC)

Department of Justice (DOJ)

National Institutes of Health (NIH)

National Institute of Standards and Technology (NIST)

Intelligence Community (IC)

Environmental Protection Agency (EPA)

Nuclear Regulatory Commission (NRC)

Department of Defense (DOD)

Department of Transportation (DOT)

Food and Drug Administration (FDA)

National Science Foundation (NSF)

NNI Definition of Nanotechnology

NNI Industry Support

Fund partnerships with industrial partner - all agencies

NNI - Where the Money Goes

Nanostructure by Design, Novel Phenomena 45%

Device and System Architecture 20%

Multiscale and Multiphenomena Modeling 9 %

Renssellaer Polytechnic Institute

Universities 2/3 of NNIs $

A uniform federal patent policy.