University of California at Santa Cruz
Jack Baskin School of Engineering
Electrical Engineering Department

EE211: Introduction to Nanotechnology

Winter 2012

Last updated: 03/15/12


The notes for the final lecture are posted in the syllabus section.


room: BE 156

times: Monday, 3/19; two groups

you need to attend the 3 hour session you are scheduled in,

either 12-3pm or 7:00-10:30pm (note the early evening start!)

read suggestions in project assignment, ask me if not clear


Monday 12-3pm (MUST send ppt (or pdf) files to me by 11am ; LATE PENALTY: 10% of project grade):

12:00 Josh Parks

12:20 Corinne Beier

12:40 Yee Rui Koh

1:00 Kavit Kumar

1:20 Peter Maxfield

1:40 Lars Dugaiczyk

2:00 Bruno de Fanti

2:20 Bouchti Amine

2:40 Jennifer Black

Monday 7-10:30pm (MUST send ppt (or pdf) files to me by 6pm ; LATE PENALTY: 10% of project grade ):

7:00 Sam Chisholm

7:20 Junce Zhang

7:40 Damla Ozcelik

8:00 Garrett Rogren

8:20 Miguel Caffarena

8:40 Kate Norris

9:00 David Fryauf

9:20 Dibya Phuyal

9:40 Amr Mohammed

10:00 Ryan Hummel

10:20 Nitish Padgaonkar




Holger Schmidt


245 Baskin Engineering Building


(831) 459-1482



TTh 2:00 to 3:45, Baskin Engineering 156

Office Hours:

M 10-11pm, W 1-2pm


None (We will use a reader lecture notes/slides and handouts. See also recommended texts below)

Grading Policy:

Presentation 50%, Midterm 40%, Homework 10% (tentative)

Tentative Schedule



Homework due



Introduction/ Overview

Supplement 1



Scaling laws, surface/volume effects

Supplement 2



Biology Basics

Supplement 3



Optical Imaging

Supplement 4-1, Supplement 4-2



Near-field optics

Supplement 5



Quantum mechanics I: Schrodinger equation, 1D potentials

Homework1, Homework1 solutions Supplement 6-1, Supplement 6-2, Supplement 6-3



Quantum mechanics II: 3D confinement, tunneling, atoms

Supplement 7



Fabrication I: Lithography techniques, microfabrication

Homework2, Homework2 solutions, Supplement 8-1,  Supplement 8-2,  Supplement 8-3



No class



Fabrication II: Deposition, soft lithography, self assembly

Supplement 9



MEMS: fabrication, issues, applications

Homework3, Homework3 solutions, Supplement 10



NEMS, Characterization I: Crystal structure, Crystallography, X-ray diffraction etc.

Supplement 11



Characterization II: Imaging, scanning probe microscopy

Supplement 12



NO LECTURE: POSTPONED TO 03/02!!! Characterization III: Optical methods



Applications I: Nano-optics

Homework4, Homework4 solutions, Supplement 13



Applications II: Nanomagnetics

Supplement 16






Guest Lecture: Dr. Bruce Terris, Hitachi Global Storage Technologies



Applications III: Electronics, CMOS, advanced fabrication, molecular electronics

Supplement 15



Applications IV: Nanobiology


12-3pm, 7:00 - 10:30pm Final project presentations


Course Objectives
Introduction to underlying principles of the emerging field of nanotechnology. Intended for multidisciplinary audience with a variety of backgrounds. Introduces scientific principles and laws relevant on the nanoscale. Discusses applications in engineering, physics, chemistry, and biology.

Course Prerequisites
For undergraduate students, EE145 is required.

Homework Assignments
Homeworks will be assigned and collected during class sessions. Solutions will be posted on this web site on the date of collection. Thus, late homework will not be accepted or graded. Homework is graded in terms of it being complete, well organized, readable and showing evidence of thoughtful attention to the problem itself. Sloppy submissions will not be considered for grading.

Grading Method

Reference Materials

Since no textbook seems to exist that covers all topics of this class in a satisfactory fashion, the lectures will be supplemented by additional reference material that will be posted in the syllabus section after each lecture.

In addition, the following is a list of resources that are related to nanotechnology and individual topics that were discussed in class. This is intended to provide you with a starting point if you're looking for more information in a certain area. Recommendations and suggestions for this list are encouraged.

1. Books

C. Poole and F. Owens, "Introduction to Nanotechnology", Wiley 2003. (Possibly the closest to a useful textbook. Good selection of topics and good presentation.)

G. Timp, "Nanotechnolgy", Springer 1998. 3rd ed., (covers many relevant areas by review chapters from researchers in the field)

M. Wilson et al., "Nanotechnology: basic science and emerging technologies", Chapman&Hall/CRC 2002. (very general discussion of many topics, more biology aspects than Timp)

E. Drexler et al. "Unbounding the Future: The Nanotechnology Revolution", Quill 1993. (mostly speculation on nanotechnology-based future)

E. Drexler, "Nanosystems: Molecular Machinery, Manufacturing, and Computation", Wiley 1992. (similar to previous one)

E. Drexler, "Engines of creation", Anchor 1987. (see two previous ones)

Scientific American (Editor), "Understanding nanotechnology", Warner books 2002. (Reprints ten articles published in Scientific America during 2000 and 2001 that explore the possibilities offered by the next generation of miniaturized technologies. The contributors discuss obstacles to fully functioning nanomachines, applications for drug delivery and genetic testing, and the creation of nanometer-scale electronic components from organic molecules.)

M. Ratner, "Nanotechnology: A Gentle Introduction to the Next Big Idea", Prentice Hall 2002. (Covers most topics as we do in class, less in-depth)

R. Freitas, "Nanomedicine, Vol. I: Basic Capabilities", Landes Bioscience 1999. (Contains lots of fundamental nanoscience principles, but with a slant towards biology and medicine.)

R. Freitas and R. Merkle, "Kinematic self-replicating machines", Landes Bioscience 2004.


Nanotechnology Policy:
L.E. Foster, :Nanotechnology: Science, innovation, and opportunity", Prentice Hall 2005.


There are plenty of texts on thermodynamics and statistical mechanics. Here are some classics:

F. Reif, "Fundamentals of statistical and thermal physics", McGraw Hill, 1965.

H.B. Callen, "Thermodynamics and an introduction to thermostatistics", 2nd ed., Wiley, 1985.

C. Kittel and H. Kroemer, "Thermal Physics", 2nd ed., Freeman and Co., 1980.


Optical Imaging

Sections on optical imaging can be found in every Physics textbook. More specialized texts include:

E. Hecht, "Optics", Addison Wesley, 2001.

M. Born and E. Wolf, "Principles of Optics", Cambridge University Press, 1999.

D.B. Murphy, "Fundamentals of light microscopy and electronic imaging", Wiley-Liss, 2001.  


Quantum Mechanics
There is obviously a plethora of textbooks on quantum mechanics out there. The following ones are just a (subjective) subsection of books that for the most part are s;ghtly different from the usual run-of-the-mill QM text.

H. Kroemer, "Quantum Mechanics: For Engineering, Materials Science and Applied Physics", Pearson 1994. (This one is unique in that it really focuses on the topics that are relevant for people dealing with semiconductor quantum structures while still presenting the 'classic' topics of QM.)

H. Haken, HC Wolf, "The Physics of Atoms and Quanta: Introduction to Experiments and Theory ", Springer 2000. (The book is mainly on atomic physics. However, the introductory parts on quantum mechanics written by Haken are some of the best introductory treatments on quantum mechanics.)

H. Haken, HC Wolf, "Molecular Physics and Elements of Quantum Chemistry: Introduction to Experiments and Theory", Springer 1995. (Similar to the one above. However, the discussion is more focused on molecules if that's more to your liking. The treatment of QM basics is very similar to the previous book.)

A. Messiah, "Quantum Mechanics: Two Volumes Bound As One", Dover 2000. (One of the classics. Rather old. Very thorough and demanding.)

D. Ferry: "Quantum Mechanics: An Introduction for Device Physicists and Electrical Engineers", Institute of Physics Publications, 2001. (Good introductory text on the advanced undergraduate level.)

M. Ratner, "Introduction to Quantum Mechanics in Chemistry", Prentice Hall 2000. (As advertised, this one has a slant towards chemistry, i.e. many-body problems. Contains solutions to problems and computer exercises.)

A. Davydov, "Biology and quantum mechanics", Oxford 1982. (Written for readers who lack either a strong physics or biology background. Much more advanced than it claims to be.)

S. Brandt, "Quantum Mechanics on the Personal Computer" Springer 1995. (Combines introductory quantum mechanics with numerical simulations on the computer to solve problems. A very useful skill to have.)


Crystal structure and solid state materials
S.O. Kasap, Principles of Electronic Materials and Devices, Mc Graw Hill, 2005, 3rd Edition. (textbook for EE145; very good)

L. Solymar, D. Walsh, Electrical Properties of Materials, Oxford Unversity Press, 1998, 6th Edition.

J. D. Livingston,  Electronic Properties of Engineering Materials, Wiley, 1999

N.W. Ashcroft/ N.D. Mermin: Solid State Physics, Int.Thomson Publishing; 1st ed (1976) (Classic physics text on solid state; more advanced)

C. Kittel, "Introduction to Solid-state Physics" Wiley; 7 edition (July 26, 1995). (Classic physics text on solid state; more advanced)


M. Madou, "Fundamentals of Microfabrication: The Science of Miniaturization," Second Edition, CRC Press 2002. (both bottom-up and top-down methods)

J.F. Nye, "Physical Properties of Crystals", Oxford Science Publications (crystal growth)

W. Runyan, K. Bean, "Semiconductor Integrated Circuit Processing Technology", Addison-Wesley 1994 (standard top-down silicon fabrication)

R. Williams, "Modern GaAs Processing Methods", Artech House 1990, (top-down processing pertaining to III-V materials)


MEMS/NEMS, Scaling
M. Madou, "Fundamentals of Microfabrication: The Science of Miniaturization," Second Edition, CRC Press 2002. (includes one full chapter on scaling)

S. Senturia, "Microsystems Design", Kluwer 2001. (MEMS, but with emphasis on the entire system)

M. Gad-El-HAk, "The MEMS Handbook", CRC Press 2001. (Compilation of contributions of various authors on all aspects of MEMS)

S. Lyshevski, "Nano- and Micro-Electromechanical Systems: Fundamentals of Nano- and Microengineering", CRC Press 2000. (Textbook-style. High level of math.)

T. Hsu, "MEMS& Microsystems: Design and Manufacture", McGraw Hill 2002.

J. Gardner et al., "Microsensors, MEMS and Smart Devices", Wiley 2001.


Characterization and Imaging
S. Senturia, "Microsystems Design", Kluwer 2001. (MEMS, but with emphasis on the entire system)

M. Gad-El-HAk, "The MEMS Handbook", CRC Press 2001. (Compilation of contributions of various authors on all aspects of MEMS)

D. Courjon, "Near Field Microscopy and Near Field Optics", Imperial College Press 2003.

S. Flegler, "Scanning and Transmission Electron Microscopy: An Introduction", Oxford 1997.

F. Bourely, "Hidden Beauty: Microworlds Revealed", Abrams 2002. (For the artist in you: Stunning images taken with a scanning electron microscope.)

D. Sarid, "Scanning Force Microscopy: With Applications to Electric, Magnetic and Atomic Forces (Oxford Series in Optical and Imaging Sciences, No 5)", Oxford 1994.

R. Wiesendanger, "Scanning Probe Microscopy and Spectroscopy : Methods and Applications", Cambridge University Press 1995. (focuses on STM, written by expert in the field)

M. Paesler, "Near-Field Optics: Theory, Instrumentation, and Applications", Wiley 1996. (Extensive description of the field, getting somewhat outdated.)


L. Novotony and B. Hecht, "Principled of Nano-optics", Cambridge 2006.

N. DiNardo, "Nanoscale Characterization of surfaces and interfaces", VCH 1994. (focuses on scanning probe techniques)

L. Pavesi and E. Buzaneva, "Frontiers of nano-optoelectronic systems", Kluwer 2000. (NATO workshop proceedings. Similar to first one, but more diverse in topics.)

M. Nieto-Vesperinas and N. Garcia: "Optics at the nanometer scale",  Kluver 1996. (NATO workshop proceedings on near-field optics and imaging)

P.N. Prasad, "Nanophotonics", Wiley, 2004 (Overview of different fields in nanophotonics)


R. Waser, "Nanoelectronics and information technology", Wiley-VCH , 2003.

M. Reed and T. Lee, "Molecular nanoelectronics", Amer Scientific, 2003

K. Goser, "Nanoelectronics and nanosystems: From transistors to molecular and quantum devices", Springer, 2004.

D.J.C. Herr, "Nanoelectronics", Noyes, 2004.


2. Review Articles

R. Feynman, "There's plenty of room at the bottom", Eng. and Sci, 23, 22 (1960) (often cited as the birth of nanotechnology, see supplement 1)

Woll AR, Rugheimer P, Lagally MG. "Self-organized quantum dots", International Journal of High Speed Electronics, vol.12, no.1, March 2002, pp.45-78 (deals mostly with a specidfic type of quantum dots created by strained layer growth)

Grundmann M. The present status of quantum dot lasers. Physica E, vol.5, no.3, Dec. 1999, pp.167-84

C.R.K. Marrian and D.M. Tennant, "Nanofabrication", J. Vac. Sci. Technol. A, vol. 21, no. 5, p. S207, (2003). (recent review on both top-down and bottom-up fabrication techniques)

S. Solin, Magnetic-field nanosensors, Scientific American, July 2004, p.70.


3. Web sites (NSF funded resource for nanoscience/technology)||| (Set of 7 videos of Richard Feynman lecturing) (Virtual journal of Nanoscience and Technology, collection of published scientific articles related to nanoscience) (Nano Letters; leading high-impact nanoscience journal) (The government's vision) (Feynman's 1959 lecture)




Academic Dishonesty and Cheating:

Any confirmed academic dishonesty including but not limited to copying homeworks or cheating on exams, will result in a no-pass or failing grade. You are encouraged to read the campus policies regarding academic integrity. Examples of cheating include (but are not limited to):

  • Sharing or copying results or other information during an examination.
  • Working on an exam before or after the official time allowed.
  • Use of information from the internet without proper referencing and consultation with the instructor.
  • Submitting homework that is not your own work.
  • Reading another student's homework solution before it is due.
  • Allowing someone else to read your homework solution before the assignment is due.
  • Use homework solutions from previous years.

Copyright: Holger Schmidt 2010