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Basic Nanotechnology

Introduction

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2003 by Glenn Fishbine


Contact Information
Glenn Fishbine

Phone: 1-952-975-0856
Fax: 1-775-908-1069
Email: glennfish@aol.com
Website: www.glennfishbine.com

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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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Understanding Size

10 centimeters

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

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Understanding Size

1 centimeter

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

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Understanding Size

100 micrometers

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

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Understanding Size

10 micrometers

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

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Understanding Size

1 micrometer

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

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Understanding Size

100 nanometers

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

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Understanding Size

10 nanometers

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

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Understanding Size

1 nanometer

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

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Size Matters

Its not just how big


you are

Its what you can do


with it

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Understanding Effects

Physical processes do
not scale uniformly
gravity
friction
combustion
electrostatic
van der Walls
brownian
quantum

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Understanding Effects

Gravity
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Understanding Effects

Friction

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Understanding Effects

Combustion

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Understanding Effects

Electrostatic

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Understanding Effects

van der Waals

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Understanding Effects

brownian

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Understanding Effects

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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Understanding Effects
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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Basic Nanotechnology

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

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

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Max Knoll and Ernst Ruska -1931
electron microscopy

fly wing 1935 bacteria 1937 iron 1937

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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
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

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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 - Engines of Destruction
12 - Strategies and Survival
13 - Finding the Facts
14 - The Network of Knowledge
15 - Worlds Enough, and Time

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Fullerenes 1985 (1996)

Robert F. Curl Jr. 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...

Nano (metrology)
nanoscale science (effects)
nanoscale technology (fabrication)
molecular nanotechnology (chemistry)

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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

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

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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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Break

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Basic Nanotechnology

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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Government
Suppose you were an idiot.
And suppose you were a member of Congress.
But I repeat myself.
- Mark Twain

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Government
Federal State

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Federal Government
National Nanotechnology Initiative
$600 million 2002
$700 million 2003
Department of Agriculture (USDA) Department of Energy (DOE)

Department of Treasury (DOTreas) National Aeronautics and Space Administration (NASA)

Department of Commerce (DOC) Department of Justice (DOJ)

Department of State (DOS) 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)

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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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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 early-
stage 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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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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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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Universities
If you have both feet planted on level
ground,

then the university has failed you.

- Robert Goheen

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Universities
Beckman Institute for Advanced Science and Renssellaer Polytechnic Institute
Technology Rice University
California University Stanford
Caltech Stony Brook
City University of New York The University of Birmingham
Clarkson University The University of Queensland
Cornell UC Santa Barbara
Cranfield University University of Arizona
Delft University of Technology University of Birmingham
Duke Univresity University of California -Davis
Ecole Polytechnique Federale de Lausanne University of Florida
Georgia Institute of Technology University of Glasgow
Harvard University of Minnesota
Hungarian Academy of Sciences Research University of Nebraska
Kyushu University University of North Carolina
La Clemson University University of Southern California
Ludwig-Mazimillians Universitat Munchen University of Sussex
Michigan State University University of Texas
Moscow State University University of Ulm
New York University University of Washington
Northwestern University University of Wien
Paul Scherrer Institute University of Wisconsin, Madison
Pennsylvania State University Widener University
Princeton Yale University
Purdue University

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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 non-
exclusive.

Preference in licensing has to be given to small business.


Uniform guidelines for granting licenses are provided.

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Commercial
In theory, there is no difference between
theory and practice;

In practice, there is.

- Chuck Reid

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Commercial

Prominent Nano Companies Emerging Companies


Dupont Co. Nasdaq: DPMI
Altair Nanotechnologies Nasdaq: ALTI
Hewlett Packard NYSE: HPQ
Applied Nanotech, Inc.
IBM NYSE: IBM Degussa
Henkel
ExxonMobil NYSE: XOM
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

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Activities Segmentation
The first rule to tinkering is to save all the
parts. - Paul Erlich

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Activities Segmentation
Thomas Register
Classification # of companies

Nano Inspection Systems 1


Nano Motion Systems 1
Actuators: Linear, Micro & Nano-Positioning 11
Connectors: Nano Miniature 18
Positioners: Nano 5
Powder: Nano 1
Stages: Micro- & Nano-Positioning 8

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Activities Segmentation
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

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Activities Segmentation
Me

Biological
Chemical
Nanomaterials and composites
Aerospace
Military

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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

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Scale of Investment
Estimated government sponsored R&D in $ millions/year
Fiscal Year 1997 2000 2001 2002 2003
_________________________________________________________________________

W. Europe 126 200 270 400


Japan 120 245 465 650
USA 116 270 465 604 710
Others 70 110 380 520
_________________________________________________________________________

TOTAL 432 825 1,492 2,174


100% 190% 350% 503%
Others: Australia, Canada, China, E. Europe, FSU, Israel, Korea, Singapore, Taiwan

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Scale of Investment
Estimated private sector investment in nanotechnology

Fiscal Year 1997 2000 2001 2002 2003


_________________________________________________________________________

TOTAL 10? 25? 50? 150? ?

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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

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Patent Landscape

Copyright 2003 Thomson Derwent


All rights reserved

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Patent Landscape
Search Term No. of Patents USPTO
____________________________________________________

Nanotechnology 99
Nanostructured 434
Nanofabrication 72
Nanodevice 10
Nanoprobe 14
Nanomechanical 23
Nanotube 164
Carbon nanotube 129
Molecular switch 56
Nanocluster 44
Nanomagnetic 2 source: The MITRE Corporation 2002

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Europe
Austria
Netherlands
Belgium
Norway
Bulgaria
Poland
Cyprus
Portugal
Czech Republic
Romania
Denmark
Slovak Rep.
Estonia
Slovenia
Finland
Spain
France
Sweden
Germany
Switzerland
Greece
United Kingdom
Hungary
Belarus
Iceland
Bosnia & Herzegovina
Ireland
Croatia
Italy
Georgia
Latvia
Moldova
Liechtenstein
Russia
Lithuania
Turkey
Luxembourg
Ukraine
Malta
Yugoslavia

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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

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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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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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EC nano-networks
18 17

16
14
14 13

12
Networks

10

8 7
6
6

4 3 3 3 3 3
2 2 2
2 1 1 1 1 1 1 1 1

0
AT BE CH CZ DE DK EC ES FR GR IT LT LU NL PL PT RO SE SI SK UK

Countries

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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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EC nano-companies
120 companies estimated to reside in Europe

Primarily semiconductor (many contained on previous list)

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Asia ~ $1 Billion in 2002?
Japan $650 Million
Korea $160 Million
Taiwan $100 Million
China $100 Million
Singapore >$50 Million
India ~ $20 Million
Australia ~ $40 Million

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Asia - Activities
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

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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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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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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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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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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

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Taiwan

Nanotechnology Initiative starts 2003

Nanotechnology Research Center

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End Of Part 1

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