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Carbon Materials
1.1 History
We provide here a brief review of the history of carbon fibers, which are the
macroscopic analog of carbon nanotubes. The early history of carbon fibers was
stimulated by needs for materials with special properties, both in the 19 111 cen+
tury and more recently after World War II. The first carbon fiber was prepared
by Thomas A. Edison to provide a filament for an early model of an electric
light bulb. Specially selected Japanese Kyoto bamboo filaments were used to
wind 11. spiral coil that was then pyrolyzed to prodllce a coiled carbon resistor,
which could be heated ohmically to provide a satisfactory filament for use in an
early model of an incandescent light bulb (1]. Following this initial pioneering
work by Edison, further research on carbon filaments proceeded more slowly,
since carbon filaments were soon replaced by a more sturdy tungsten filament in
the electric light bulb. Nevertheless research on carbon fibers and filaments pro-
ceeded steadily over a long time frame, through the work of Schiitzenberger and
Schiitzenberger (1890) [2], Pelabon [3], and others. Their efforts were mostly
directed toward the study of vapor grown carbon filaments, showing filament
growth from the thermal decomposition of hydrocarbons.
The second applications-driven stimulus to carbon fiber research came in
1
2 CHAPTER 1. CARBON MATERIALS
the 1950's from the needs of the space and aircraft. industry for strong, stiff
li!.h~·weight fibers that could be used for building li,9it.....eighl composite materi-
als with superior mechanical properties. This stimulation led to great advances
in the preparation of continuous carbon fibers based on polymer precursors,
including rayon, polyacrylonitrile (PAN) and later mesophase pitch. The late
1950's and 1960's was a period of intense activity at the Union Carbide Corpo-
ration, the Aer06pace Corporation and many other laboratories worldwide. This
stimulation also led to the growth of a carbon whisker (4), which has become a
benchmark for the discussion of the mechanical and elastic properties of carbon
fibers. The growth of carbon whiskers was also inspired by the successful growth
of single crystal whisker filaments at that time for many metals such as iron,
non-metals such as 5i, and oxides such as Al 2 0 3 , and by theoretical studies [5],
showing superior mechanical properties for whisker structures [6]. Pa.rallel efforts
to develop new bulk synthetic carbon materials with properties approaching sin-
gle crystal graphite led to the development of highly oriented pyrolytic graphite
(BOPG) in 1962 by Ubbelohde and co-workers [7,8], and HOPG has since been
used as one of the benchmarks for the characterization of carbon fibers.
While intense effort continued toward perfecting synthetic filamentary car-
bon materials, and great progress was indeed made in the early 60's, it was
soon realized that loog term effort would be needed to reduce fiber defects and
to enhance structUJ"e5 resistive to crack propagation. New research directions
were introduced because of the difficulty in improving the structure and rru-
cr06tructure of polymer-based carbon fibers for high strength and high modulus
applications, and in developing graphitizable carbons for ultra-high modulus
fibers. Because of the desire to synthesize more crystalline filamentous carbons
under more controlled conditions, synthesis of carbon fibers by a catalytic chem-
ical vapor dep06ition (CVD) process proceeded, laying the scientific basis for the
mechanism and thermodynamics for the vapor phase growth of carbon fibers in
the 1960's and early 1970's.[9} In parallel to these scientific studies, other research
studies focused on control of the process for the synthesis of vapor grown car-
bon fibers,[IOt[13] leading to current commerciaJization of vapor grown carbon
fibers in the 1990's for various applications. Concurrently, polymer-based car-
bon fiber research has continued worldwide, mostly in industry, with emphasis on
greater control of processing steps to achieve carbon fibers with ever-increasing
modulus and strength, fibers with special characteristics, while decreasing costs
d
1.1. HISTORY 3
Carbon-based materials, clusters, and molecules are unique in many ways. One
distinction relates to the many p08sible configurations of the electronic states of
a carbon atom, which is known as the hybridizalion of atomic orbitals. In this
section we introduce the hybridization in a carbon atom and consider the family
of carbon materiaJs.
Carbon is the sixth element of the periodic table and is listed at tbe top
1.2. TIYBRfDIZATION IN A CARBON ATOM 5
of column IV. Each carbon atom has six electrons which occupy Is 2 , 2s 2 , and
2p 2 atomic orbitals.· The Is 2 orbital contains two strongly bound electrons,
and they are called core electrons. Four electrons occupy the 2s 2 2 p 2 orbitals,
and these more weakly bound electrons are called valence electrons. In the
crystalline phase the valence eledrons give rise to 2s, 2p%l\ 2py, and 2pz orbitals
which are important in Corming covalent bonds in carbon materials. Since the
energy difference between the upper 2p energy levels and the lower 2.~ level in
carhon is small compared with the binding energy of the chemical bonds,' the
electronic wave functions for these four electrons call readily mix with each other J
'The ground slale of a fn:e c.....bon atom i, 3p (S = 1, L = 1) using the general notation for ..
two-c1oclron multiplet.
lin the free carbon alom, the excited ,tate, 2..2 p 3 which i, denoted by 5S i, 4.18 cV above the
ground slatc.
tBeca.usc of the eleclron-hole duality, n = 4 Il1ld:; .....e identical 1.0 n = 2 Il1ld I, re8pectively.
i It should be mentioned that the ~organic chemistry~ for 5i j, becoming an active field today.
6 CHAPTER J. CARHON MATERIALS
wavefunction whose direction of positive amplitude is the direction (C~, C" C~).
The 2p wavcfunctions of Eq. (1.3) correspond to (C",Cy,C,) = (1,0,0) and
(C", C y , Cz ) = (~1, 0, 0), respectively.
A simple carbon-based material showing sp hybridization is acetylene, HC:=CH,
where:= is used by chemists to denote a triple bond between two carbon atoms.
The acetylene molecule HC:=CH is a linear molecule with each atom having its
equilibrium position along a single axis and with each carbon atom exhibiting
sp hybridization. The hybridized Isp,,) orbital of one of the carbon atoms ill
HC::=CH forms a covalent bond with the IsP&) orbital of the other carbon atom,
called a u bond. The 2py and 2p, wavefunctions of each carbon atom are per-
pendicular to the u bond, and the 2py and 2p~ wavefullctions form relatively
weak bonds called 11" bonds with those of the other carbon atom. 'Thus, one <T
bond and two 11" bonds yields the triple bond of nC:=CII.
Tn 5p2 hybridization, the 25 orbital and two 2p orbitals, for example 2p:e and 2pp,
arc hybridized. An example of sp2 hybridization is polyacetylene, (HC=CH-)"
as is shown in Fig.IA, where carbon atoms form a zigzag chain with an angle
of 120 0 • All u bonds shown in the figure are in a (xy) plane, and, in addition,
a 11" orbital for each carbon atom exists perpendicular to the plane. Since
the directions of the three u bonds of the central carbon atom in Fig.1.4 are
(0, -1, 0), (..J3/2, 1/2, 0), and (-.,;3/2, 1/2,0), the corresponding sp'" hybridized
8 CHAPTER 1. CARBON MATERIALS
orbitals lsvl) (i = a,b,c) are made from 28, 2pz;. and 2P. orbitals as follows:
c?+ci+ci
CIC2-~JI-CrJI-ci = 0 (1.5)
C. ell
" .... 14M 8 tV
U~
'1
.
i .10
i ,
f• " • 0
Fig. 1.5: X-ray photoelectron
l• speetra (XPS) for the carboD
is-derived satellite structures for
I
j .10
Cso films [25J. The sharp fca.-
ture 1 is the fundamen1.al XPS
line, while the downshifted fea-
"
.
• '
tures 2-10 refer to C60 excita-
tions (see text). The XPS data
are shown 00 two energy s:alcs to
emphasize features near Ep (up-
per spectrum) and features far-
.0 45 30 15 o ther away in energy (lower spec-
AeIIIllYti ~ Energy I'V)
'>Urn) [251.
vacuum level, and this energy difference is especially sensitive to the transfer
of electric charge beLweeo carbon atoms. Specifically, the" core level shifts in
energy relati\'c to the vacuum level by an amount depending on the interaction
with nearest-neighbor atoms, and this effect is known as the chemical shift. of
XPS.
Furthermore, XPS refers to the photoelectron spectroscopy (PES) process
when the excitation photon is in the x·ra.y range and the electron excitation is
from a core level. XPS spectra. have been obtained for the unoccupied orbitals
for a variety of fullcrenes. For example, Fig. 1.5 shows the XPS spectrum for
C 60 [25]. In this spectrum, we can see well-defined peaks which show an in-
tense, narrow main line (peak #1 in Fig. 1.5) identified with the emission of a
photo--excited electrOn from the carbon Is state, which has a binding energy of
285.0 eV and a very srnalliinewidth of 0.65 eV at balf-maximum intensity [25).
1.2. HYBRiDIZATION IN A CARBON ATOM 11
The sp" hybridization discussed in the previous sect.ion is essential for determin-
ing the dimensionality of not. only carbon·based molecules, but also carbon-based
solids. Carbon is the onl)' element in the periodic table that. has isomers from
o dimensions (00) to 3 dimensions (3D), as is shown in Table 1.1. Here we
introduce possible structures of carbon materials in t.he solid phase, which are
closely related to the sp" hybridization.
In sp" hybridization, (n + 1) (T bonds per carbon atom are formed, these (T
bonds making a skeleton for the local structure of the n·dimensional structure.
In sp hybridization, two (T bonds make only a one-dimensional chain structure,
which is known as a 'carbyne'. A three·dimensiona! solid is formed by gather+
iog these carbyne chains. In st? hybridization, four (T bonds defining a regular
tetrahedron arc sufficient to form a three-dimensional structure known as the
diamond structure. It is interestinp; that Sp2 hybridization which forms a pla-
nar structure in two-dimensional graphite also forms a planar local structure in
1.2. llYBRJDIZATION IN A CARBON ATOM 13
are used), transformation to the diamond structure takes place. Once the pres-
sure is released, diamond remains essentially stable under ambient conditions
although, in principle, it will very sLowly transform back to the thermodynam-
ically stable form of solid carbon, which is graphite. When exposed to various
perturbations, such as irradiation and heat, diamond will quickly transform back
to the equilibrium graphite phase.
Hereaner we introduce the 'one-dimensional' isomers, carbynes and carbon
fibers, which are related to nanotubes, as the subject of the following chapters.
1.£.6 CaThynes
Linear chains of carbon wbich have 8p bonding have been the subject of research
fot many years [29}.
A polymeric form of carbon consisting of chains [... -C=.C-·· ·In for n > 10
has been reported in rapidly quenched carbons and is referred to as "carbynes."
This carbon structure is stable at high temperature and pressure as indicated
in the phase diagram of Fig. 1.6 as shock-quenched phases. Carbynes are silver-
white in color and are found in meteoritic carbon deposits, where the carbynes
are mixed with graphite particles. Synthetic carbynes have also been prepared
by sublimation of pyrolytic graphite [30,31). It has been reported that carbynes
are formed during very rapid solidification of liquid carbon, near the surface of
tbe solidified droplets formed upon solidification (32]. Some lUearchers [31-35]
have reported evidence that. these linearly bonded carbon phases are stable at.
temperat.ures in the range 2700 < T < 4500 K.
Carbynes were first identified in samples found in the lUes crater in Bavaria
(36) and were later synthesized by the dehydro,;enation of acet.ylene [31,37]'
The carbynes have been characterized by x-ray diffraction, scanning electron
microscopy (TEM), ion micro-mass analysis, and spectroscopic measurements
which show some characteristic features that identify carbynes in general and
specific carbyne polymorphs in particular. The crystal structure of carbynes
has been studied by x-ray diffraction through identification of the Bragg peaks
with those of synthetic carbynes produced (rom the sublimation of pyrolytic
graphite [33,37]. In fact, two polymorphs of carbynes (labeled () and /3) have
been identified, both being hexagonal and with lattice constants llo = 8.94 A,
Co = 15.36 A; O(J = 8.24 A, CfJ= 7.68 A [31]. Application of pressure converts the
1.2. lIYBRIDlZATION IN A CARBON ATOM 15
a b
Outer,
thidlened
.-h
~.
'bo,
morphologies (not shown), are exploited for their extremely high bulk modulus
and high thermal conductivity, while the commercial PAN (polyacrylonitrile)
fibers with circumferent.ial text.ure are widely used for t.heir high strengt.h [9].
The high modulus of t.he mesophase pitch fibers is related to the high degree
of c-axis orientation of adjacent graphene layers, while the high strength of the
PAN fibers is related to defects in the structure, which inhibit. the slippage of
adjacent planes relative to each other. Typical diameters for these individual
commercial carbon fibers are ...... 10 /Jm, and since the fibers are produced in a
continuous process, t.hey can be considered t.o be infinit.e in length. These fibers
are woven into bundles called tows and are then wound up as a continuous yarn
on a spool. The remarkable high strength and modulus of carbon fibers are
responsible for most. of t.he commercial interest in t.hese fibers [9,44].