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Keynote Papers

" Structured "Textured'I or "Engi neered'' Surfaces


Chris J. Evans' (2) and James 6. Bryan2(1)

'National Institute of Standards and Technology, Gaithersburg, USA


%ryan Associates, Pleasanton

Fine scale, periodic structures offer designers additional freedom to create novel functions or combinations
of functions. This emerging field of "structured" surfaces is poorly defined. This paper attempts to define
"structured" surfaces, and then to provide examples of such surfaces for a variety of applications.
Manufacturing and metrology are also discussed

Keywords: surface metrology, manufacturing, structured surfaces, micro-optics

with contributions from ( ClRP member) that "..the quality of the surface is often of the utmost
K. Blaedel (Lawrence Livermore National Laboratory, importance for the correct functioning of the part". This
USA) paper is not an attempt to add to, or survey, the copious
6. Blasi (Fraunhofer ISE, Germany) literature connecting measurements of surface finish of
V. Boerner (Fraunhofer ISE, Germany) conventionally machined surfaces with such functional
E. Brinksmeier' performance as adhesion, paintability, friction, lubrication
W. J. Bryan (3M Company, USA) and wear[4,5]. Nor will it discuss the relationship
H. Chase (Applied Image Group, USA) between finish and optical scatter. Rather it focuses on
L. De Chiffre surfaces that have been designed with specific textures
R. R. Donaldson' to give specific performance. As Appeldorn observes[6]:
K. Koerber (LZH Hannover, Germany) "By modifying the microstructure of surfaces. we can
E. G. Loewen' transform materials' physical, chemical and optic
D. A. Lucca' properties"
0. Riemer (LFM Bremen, Germany)
S. Scott (Reflexite Precision Technology Center, USA)
K. J. Stout (Huddersfield University, UK)
E. C. Teague (NIST, USA)
T. R. Thomas (Avalon Technology, UK)
H-K. Toenshoff
T. V.Vorburger (NIST, USA)
A. Walter (IWT Bremen, Germany)

1. Introduction
All surfaces have texture and structure, and all
manufactured surfaces are "engineered. What then is
the meaning of our title - or the purpose of this paper?

Recently large numbers of products have emerged


where the surface has been specifically designed to
provide a particular function. For example, the first
author of this paper uses the Precise Mousing Figure 1 Optical( top) and SEM pictures of new and used
SurfaceTM a product[l] with a specifically designed mouse pads
texture of peaks and valleys claimed[2] to have been
designed: "to make your mouse move and perform This paper will focus on 'structured" surfaces of discrete
better. This surface is engineered to provide the optimal parts on the size scale of common manufacturing, rather
coefficient of friction. It grips the trackball just enough to than expanding to cover all size scales, such as acoustic
give you unparalleled control, but not so much that it wall coverings. Our goal is to indicate the range of
slows the ball down". The surfaces of new and used applications, supported by micrographs of many of the
mouse pads are shown in Figure I. different surface types. We will indicate the range of
manufacturing methods and the scarcity of good
Design engineers have long known the relationship measurement techniques, particularly ones that can be
between surface texture and function; Schlesinger, for applied to process control. We also hope to indicate the
example, notes on the first page of "Surface Finish"[3] growing importance of this field. Structured surfaces that

Annals of the ClRP Vol. 48/2/1999 541


we find in everyday life, such as computer hard disks, diffraction grating behavior is basically determined by,
compact disks (CDs), embossed security holograms on and well described by, the ratio of groove spacing to
credit cards, and high reflectivity road signs represent a optical wavelength and by the groove geometry (eg
multi-billion dollar industry. One single US organization, blaze angle for typical 900 triangular grooves or groove
the 3M Company, estimates that revenues generated by depth for sinusoidal grooves). Such surface finish
their basic "micro-replication" technology will approach parameters as Rt and Rq, by contrast, provide little
$1 billion in the year 2000[7]. information in this case.

2. Definitions Another characteristic of "structured surfaces is that


A US high court judge once remarked of pornography they typically have high aspect ratios. Consider, for
that: "I cannot define it, but I know it when I see it". The example, the sheet retro-reflectors used to produce high
same remark can be applied to the topic of this paper. reflectivity road signs (Figure 4). Peak height is
approximately half the period (or the aspect ratio is 0.5).
Consider, by contrast, a good diamond turned surface
where the PV surface roughness (a)is dominated by the
cusp structure at the feed rate (0, ie
a =/'/8R
where R is the tool nose radius. In this case, the aspect
ratio is a/f, typically 0.002 or less. In general structured
surfaces have regular patterns such that a power
spectrum of the surface would be dominated by its
peakedness, sometimes comprising relatively few peaks.

Figure 2: =Javajacket"

Figure 3 Ceramic hip implant (see Section 3.12)

Figure 5 Periodic sub-wavelength surface structure of a


broad band anti-reflective coating (couttesy Fraunhofer
IS)

Such descriptions of a "structured surface as always


being periodic are not uniformly accepted. A consortium
of Fraunhofer Institutes[8] are developing three different
anti-reflection coatings which turn out to have remarkably
similar performance. One is a sol gel coating, based on
Figure 4 Optical micrograph (top) of reflective road sign conventional optical coating technology. The other two
and, bottom) electron micrograph of surface on rear of are based on the idea that a surface with a structure with
retro-reflectiveroad signs (note damage at each "peak") a characteristic period shorter than the illuminating
wavelength will behave as if it were an interface of slowly
A structured surface (eg Figures 1-4) may be considered changing refractive index[9]. The result is good
a "patterned" surface with some regular array of surface transmission through the interface. Figure 5 shows one
height features amenable to some sensible deterministic approach - a periodic structured surface while Figure 6
description. The function of such surfaces cannot be shows an alternative approach - described as a
related to traditional surface finish parameters; statistical "stochastic" structured surface. Note that another
descriptions add little information. For example, approach to generating anti-reflection coatings for use in

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Keynote Papers

reflection rather than transmission is known as "optical standardized meaning of "_..roughness,waviness and
black", often some kind of carbon coating. Johnson[lO] lay"[l3]. To do otherwise invites confusion.
created a poroys surface optical black by etching
electroless nickel plated surfaces. The resulting array of The definition proposed above for a structured surface
conical features had diameters of 0.5-5 pm, depending may suggests a surface that does not change its form as
on the phosphorus content of the plating, and aspect a function of position. The retroreflective road sign
ratios of the order of 3. These coatings showed high material is a good example. Such a definition. however,
efficiency at wavelengths from 0.25 - 5 pm, but poor would preclude Fresnel lenses or zone plates, where
abrasion resistance. groove form andlor pitch will vary as a function of
distance from the axis of rotation. Such surfaces,
however, have a deterministic pattern of high aspect
ratio features and obvious commonality with other
structured surfaces in terms of manufacture and
metrology. We suggest therefore, that structured
surfaces are not necessarily isotropic. although they
typically are periodic in at least one dimension and have
some symmetry.

In summary, it seems that good definitions have been


elusive. An attempt has been made here to reconcile the
different terminologies, but additional comments will be
welcomed.

Table 1: Functions of structured surfaces


Figure 6 "Stochastic" structured surface for an AR
coating [from [8], courtesy FraunhoferIWM) Function: Example:

"Engineered surfaces imply, at minimum, that the Optical Gratings


designer has attempted to relate the surface Fresnel lenses
characteristics to functional performance. Diffusers used, Diffractiveoptics
for example, in lighting applications have carefully Reflective road signs
chosen, but usually not structured, surfaces. Suh and Filters
Saka, it should be noted[ll], wrote a paper called Wavelength-specific
"Surface Engineering" in which they described the mirrors
friction-reducing properties of an "undulated surface
which was produced by electro-etching the surface to Mechanical Vacuum chucks
give regular 100 pm square by 50 pm deep pits. We contact Seal surfaces
would describe this as a "structured rather than an Diesel injectors
engineered surface (see below). Piston ringskylinder liners
Synchro rings
Stout(l21 has suggested a somewhat different Hard disk surfaces
classification, based on intent rather than any Velcro
characteristic of the surface. He suggests that: Grooved roadways
0 'Structured surfaces" are those where the surface Hydrodynamics Tire treads
structure is a design feature intended to give a Drag reductionfilm
specific functional performance (eg the retro- Deck shoes
reflective pyramids in a road sign); Golf balls
0 "Engineered surfaces" are produced in specific ways
that alter surface and sub-surface layers to give Metrology artifacts Distortiontest artifact
required performance (eg a shot peened surface). Roughness artifacts
Tactile test artifacts
Note that these classifications leave out cosmetic
aspects of surfaces - such as the undulations of a Friction and wear "Undulated surfaces[l 1)
leather-look vinyl automotive upholstery. Following the Abrasives, tools, files
discussions of CIRP's STC 'S" - Surfaces , we suggest
that the following terminology be adopted: Biological Cell culture systems
Capillary electrophoresis
'Structured surfaces" - surfaces with a deterministic Breast implants
pattern of usually high aspect ratio geometric features Bio-MEMS, fluidics
designed to give a specific function;
Adhesion Water seals[l4]
"Engineered surfaces" - surfaces where the Epoxy dental fillings
manufacturing process is optimized to generate variation Surface preparation for
in geometry andlor near surface material properties to paint
give a specific function.
Thermal Heat exchanger fins
Further we recommend that the word "texture" (and the
associated verbs) be restricted to its current,

543
3. Applications
As indicated above, structured surfaces already find Applications of structured surfaces in machining abound.
widespread use. Table 1 attempts to classify general Abrasive papers, for example, are commonly considered
areas of application, giving some examples which are as random arrays of grits bonded to an appropriate
expanded upon in subsequent sections of the paper. As backing. Note, however, the periodic arrays (Figure 8) of
will be apparent, structuredlengineered surfaces affect circular "dots" of electroplated random areas of diamond
many aspects of everyday life. The 'Java Jacket', for abrasives in some abrasive pads sold for high stock
example, (Figure 2) is an embossed paper wrapper removal in ceramics. Similarly, new abrasive films are
designed to provide both thermal insulation and being produced (Figure 9) based on pyramidal
improved "grippability"l5. The dimples on a golf ball microstructures with embedded abrasives; these films
deliver distance, by affecting air flow over the ball's are claimed to give high removal rates which are
surface, while the grooves on the golf club impart the maintained through the life of the film. The new film
spin that professional golfers exploit and amateurs envy. typically shows individual abrasives at the peak of each
Sharp grooves in the soles of deck shoes provide pyramid; with wear, more abrasives are revealed. From
traction by squeezing water away on wet surfaces. Preston's wear equation[l6], it is easy to see how the
increased numbers of abrasives compensate for
3.1 Tools decreased load per grit arising from increased contact
An early example of a structured surface is the workshop area. From the samples examined by the first author, it
file. Leonard0 da Vinci (Figure 7) apparently built a appears that the spatial scale of the pyramidal pattern is
simple machine designed to emboss the periodic increased with increasing grit size.
structure needed, although we do not know how
successful were his products. Today's home workshops
contain an array of tools derivative of this idea; files, of
course, with arrays of parallel cutting edges, aggressive
wood rasps with periodic arrays of pyramidal cutting
edges, and rotary files for power drills for enlarging holes
or shifting their centers.

Figure 7 Leonardo's file making machine (redrawn by A


Evans)

Figure 9 New and used Trizact mabrasives


Hashimoto and his colleagues have been developing a
single crystal diamond "Engineered tool". This comprises
a 2 mm square diamond laser machined to give an array
Figure 8 Optical and scanning electron micrographs of of 3 to 5 micrometer square "posts". In effect this
diamond abrasives in a periodic pattern of electroplated represents a high concentration, known, constant set of
'dots" active cutting grits[l7].

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Keynote Papers

"interference" or "holographic" gratings, where


photoresist is exposed with an interference pattern. More
recently, robust phase transmission grids have been
produced in glass substrates by excimer laser
ablation(231. The grating shown in Figure 11 shows a
good match with the predicted performance. For the first
diffraction order (+1, -l), the measured diffraction
efficiency is 39%; theory indicates 40.5% efficiency

3.3 Fresnel lenses


Another early optical application of structured surfaces
Figure 10 Structuredsurfaces on cutting tool inserl was the Fresnel lens - originated for use in lighthouses,
(courtesy LFM Bremen) but beloved of designers of lightweight consumer optics
in the last 20 years or so. The principle of the Fresnel
lens is simple. The power of a focusing lens is dominated
by the radius of the surfaces; a high power, large
aperture lens, therefore, must be thick in the center and,
hence, heavy. A Fresnel lens collapses the curvature
into a series of facets, reducing the weight and cost of
the optical element - sometimes at the price of some
loss of efficiency.

A broad range of applications has been developed -


Figure 7 1 Excimer laser structured phase transmission from solar collectors to self-adhesive wide-angle rear-
grating [courtesy LZH Hannover) view lenses for automotive applications. Perhaps the
best known, however, is the low cost, lightweight,
Another machining application of structured surfaces is overhead projector with an A4-sized plastic lens
cutting inserts[l8]. Here structures (Figure 10) decrease immediately below the viewgraph to be projected.
the contact length and reduce rake face friction,
changing the chip compression factor and normal forces
and hence increasing tool life. This geometry was
developed for machining difficult-to- machine materials
such as titanium alloys and low sulphur steels.

3.2 Diffraction gratings


Another early structured surface was the diffraction
grating:
"Grimaldi performed what could be the first experiment
with diffraction gratings by making fine and regular
scratches on a metal surface. In his book printed in
1665 he compared the diffraction spectra with those
obtained with a prism"[l9] Figure 72 5 meter Fresnel (Courtesy Reflexite Precision
In the early 19th century, ruled gratings were used in Technology Center)
both transmission and reflection[20]. Fraunhofer appears
to have observed that all his gratings had different
diffraction efficiency and correctly deduced that this
behavior was due to variation in groove shape from the
various diamond splinters used as tools. Thus he
discovered the characteristics of a blazed grating; the
name was not used or the benefits realized until much
later. Indeed, the developments of Fraunhofer and others
remained a curiosity - an application in search of a
problem - until Angstrom and others launched
spectroscopy. Figure 13 Automotive Fresnel lens(courtesy LFM
Bremen)
Diffraction grating production[21,22] however, presages
many of the developments in structured surface
production. Early lines (structures) were cut into metal or
glass and the original machined artifact used. Later
developmenfs include the transition from cutting to
burnishing, from brittle materials to ductile substrates,
from the use of originals to the use of replicas - allowing
one master to produce many usable parts(221.

There has also been a transition from mechanical


interactions of tools with work materials for making
Figure 14 Microlens array (courtesy Rochester Photonics
gratings to optical methods. The first approach was
Corporation)

545
The advantage in weight reduction is particularly striking such as beam shaping[30]; there are, however,
in an application recently described by Scott[24] (Figure applications such as some eyepieces which operate over
12). Five meter aperture collimating lenses for large the entire visible spectrum. Low efficiency DOEs may
format projection displays were replicated in acrylic from also be designed for beam diagnostics[31].
diamond machined aluminum molds. The resulting optic
is 9 mm thick, weighing 126 kg; a refractive acrylic lens 3.6 Sub-wavelength optical structures
to give the same performance would be 1.6 m thick and As indicated above, sub-wavelength structures generate
weigh over 13,000 kg. a refractive index distribution that effectively acts as an
anti-reflective surface. Continuous relief or micro-relief
Another application is in automotive lights - both internal surfaces can be used, although the latter leads to a loss
and external (Figure 13). The key to cost effective of efficiency[32]. Early workers attempted to replicate
fabrication of such parts is typically the single point moth eye structures (periodic arrays of spherical
diamond machining of complex mold surfaces[25]. segments, such as Figure 5);other structures have since
been evaluated.
3.4 Prism arrays
Traditionally, retroreflective materials, as used on traffic
signs on every road, used glass bead technology. Arrays
of microprisms (Figure 4) molded into thin polymer films
produce signs with higher reflectivity for highway
applications.

3.5 Diffractive optics and micro-optics/26]


Fresnel optics are based on the laws of geometric optics.
while diffractive optics focus light based into orders
described by the diffraction equation[27]. Advances in Figure 7 6 Anti-reflective structured surfaces (courtesy
fabrication technology (discussed below) and better Fraunhofer ISE)
physical understanding are resulting in worldwide
commercialization of these technologies in applications
as diverse as laser pointers that project fixed images
(arrows, for example), optical interconnects, alignment
control systems for some large disk drives for desk top
computers[28], and night vision systems. Refractive
micro-optics with dimensions from a mm down to a few
micrometers can now be made[29]; lenslets (eg Figure
14) can be produced either through surface relief or
through variation in refractive index (gradient index or
GRIN lenses); the latter approach does not produce a
"structured surface".

Larger scale lens arrays can also be produced. Figure


15 shows a high temperature acrylic integrator lens array
Figure 17 Microstructured polished tungsten emitter
used inside an LCD projector.
(courtesy Fraunhofer ISE)

Blasi et a133 have used holographic techniques to


produce 200 nm period gratings (eg Figure 16) as well
as moths' eye structures (using two exposures with the
part rotated 90 degrees) and even hexagonal geometries
(rotating 60 degrees) with a rhombic shape of the
elementary ce11[34]. They have also combined these sub-
wavelength structures with longer wavelength (several
micrometer) antiglare coatings. Such coatings can also
be optimized for specific wavelength ranges, i.e. the
visual spectrum.

Sub-wavelength structures can also be used as


polariters. beam splitters, or waveplates[35]. Lalanne et
a1[36] use sub-wavelength structures to obtain high
diffraction efficiency at large deflection angles in DOEs.
Figure 15 High temperature acrylic lens array (courtesy Arrays of square 'nano-pillars' of varying projected area
Reflexite Precision Technology Center) are etched into dielectric materials. Andres et al have
used such an approach to generate binary blazed
Diffractive optics can be thought to have emerged from gratings[37].
holography[30]. Diffractive optical elements (DOEs) may
have multi-level micro-reliefs (binary optics) or
continuous relief. Such surface relief may be added to a 3.7 Near wavelength and resonant structures
refractive element, producing a "hybrid" optic. Note that Microstructures in reflective surfaces can produce
diffractive optics are wavelength dependent and, hence, resonances for electromagnetic radiation in spectral
are commonly used for single wavelength (ie laser) regions with wavelengths comparable to the period of the
applications or for non-conventional imaging applications

546
Keynote Papers

surface structure[38]. If the surface of a thermal heat In diamond turning operations, vacuum chucks are
radiator is structured, these resonances increase the generally machined in situ. In the oily, chip ridden
emissivity at certain wavelengths. The resonant environment of such a machine, the functional
wavelengths can be adapted to a desired behaviour by requirements are to ensure that fluids trapped between
variation of the structure parameters. Figure 17 shows a the lands and the part are quickly squeezed out..
microstructured tungsten surface with a resonance Experience at Lawrence Livermore National Laboratory
wavelength at 2 pm. led to the practice[42] that the small land dimension
should never exceed 75 pm. Experience at NlST
A metallic thin film perforated periodically with uniform confirms that, when this approach is taken, vacuum
holes acts as a bandpass filter for electromagnetic chucks repeat to 0.1 pm or better. This approach to

-
radiation[39]. Such resonant filters, well known for vacuum chucks can be easily implemented by machining
microwave applications, can now be produced for a series of concentric V-grooves (with appropriate
applications in the near infra-red. Figure 18 shows a gold connections to a vacuum plenum) and then machining
on glass filter with a 1.1 pm period giving a peak appropriate flats on the "tops" of the Vees. For thin
transmittance of 0.6 and far IR reflectance of 0.9. Most parts, the sag between lands can be estimated[43].
recent filters[40] have transmissions as high as 0.78.
W

Vacuum chuck design

The Livermore 75 pm maximum land width rule was


inspired by the grooves found' in synchronizing rings of
manual shift automotive transmissions. The rings have
75 pm land widths when new; when they wear to widths
greater than 150 pm, they are longer able to squeeze out
the oil film between the ring and the conical mating shaft
in the time that a typical driver is willing to dedicate to
shifting gears.

Analytical support for the observed behavior is


obtained[44] from a squeeze film analysis (for example
Fullefl451). For plane parallel rectangular film areas of
very high aspect ratio approaching each other under a
constant load F,the time t to squeeze the gap down from
some relatively large initial value to the current value h is
given by:
pLw3
tz-
2Fh2
where p is dynamic viscosity of the fluid in the gap, w is
the short dimension (ie land width), L is the long
dimension of the film area. The approximation arises
Figure 18 Resonant filter (courtesy Fraunhofer IS) from not subtracting a second identical term with h
replaced by the initial gap, hg at to; (for ho = 10h, the
3.8 Self-cleaning surfaces error is less than 1%). Eq. 1 predicts that h = 0 will not
Anti-reflective structured surfaces developed at the be reached in finite time, but the plane parallel
Fraunhofer ISE have demonstrated a hydrophobic effect. assumption eventually breaks down and physical forces
This is analogous to the "Lotus effect" observed in balance F from imperfect geometry or dirt particles.
nature, leading to development of "self-cleaning" Clearly, however, behavior is dominated by the cubic
surfaces based on high frequency surface structures. dependence on w; doubling the land width increases t by
Work at the University of Bonn[41] has already resulted a factor of 8$.
in a commercialized paint; other applications are being
explored (by CREAVIS and Fraunhofer ISE) such as In the case of the synchronizer rings, once the lands
solar cells which are cleaned when it rains, self-cleaning have worn, the only choice is to replace the ring; the
road signs, shower curtains etc. vacuum chuck, however, can easily be remachined. first
with a Vee-shaped tool to obtain sharp grooves, and
3.9 Vacuum chucks then with a round nosed tool at slow feeds to regenerate
Vacuum chucks are used in precision machining the flat tops. Experience, analysis and ease of
operations, such as diamond turning, some production all suggest that narrow land vacuum chucks
measurements and in a number of steps in the are preferred. Nevertheless, we frequently observe less
fabrication of integrated circuits. Lessons learned in one effective vacuum chuck designs being supplied with and
field have not necessarily transitioned into others, yet all used on diamond turning machines.
vacuum chucks are "structured surfaces"; a series of
lands, spaced according to the desires of the process
engineer, are made to match the nominal shape of the
part, and separated by plenums sized to give rapid
* Intuitively, a smaller wand faster approach should also
help flush dirt particles out of the contact andlor embed
evacuation of the spaces between the lands supporting or crush any that remain.
the part.

547
In the semiconductor industry a different approach to increased surface area for improved bonding of the
vacuum chuck design has been observed. Some polymeric bellows to the silicon carbide, but also
designers focus oniminimizing "percent area contact", increases the shear strength of the bond.
with targets of the order of 2% or less. Chucks designed
to this rule have been seen with individual land much Another application of structured surfaces is improving
larger than the LLNL design rule. lnterferometric tests of adhesion of paints to steel panels[47] through a number
the performance of- such chucks holding silicon wafers of processes unfortunately referred to as "texturing" -
show surface distortions that map the locations of the including electron beam texturing (EBT).
supports in the so-called "pin-chucks". Note, however, electrodischarge texturing (EDT) and electrochrome
that the driving issue for VLSl may not be the texturing (ECT) using chrome balls on the roll. Both EBT
reproducibility of the chuck, but minimizing the transfer of and ECT produce deterministic patterns of dimples on
impurities between process steps. the sheet metal surface.

Another example of a "vacuum chuck" as a structured Epoxy coatings for replacement of worn enamel in front
surface is the rapidly-renewable lap[46]. Here the lap teeth is a relatively new advancement in dentistry. The
substrate may either have a random texture obtained layer of epoxy adheres to the tooth if the tooth is properly
through use of foamed ceramics or have a periodic, roughened by a special burr and then etched to remove
"structured" surface obtained by machining the the surface damage (Figure 20)
substrates. The lap film is caused to conform or partially
conform to the structure. The same principle - controlling
contact area and providing space for excess fluid etc - is
observed on the bar of most English pubs. The multi-mm
scale structured rubber mat (Figure 19) also protects the
bar!

Figure 19 Bar mat

Figure 21 New (top) and used (lower) soles from deck


shoes. Sharp groove edges wipe away water films and
improve grip.

3.11 Friction and wear controVreduction


As indicated earlier, careful control of surface structure
can be used to control friction - over a broad range of
applications. New deck shoes have sharp edged
grooves which help wipe away water films and improve
the sailor's grip. Ski shops now offer controlled grinding
of the surface of cross-country skis -- with the spatial
scale of the texture being varied according to the
prevailing snow. Apparently[48] a fine structure (and the
proper wax) is optimal for fine grained, cold snow, while
the best gliding on wet snow demands coarser
structures. It is not just for leisure that we need to create
surfaces that allow liquid transport. According to
Maraui[49]:
"... the German standards ZH1/571 -DIN 51130
Figure 20 Scanning electron micrographs of tooth ....subdivide work environments with slippery surfaces
surfaces before (top) and aiter being "textured"to into five groups according to the incidence of the risk of
improve adhesion of an epoxy layer slipping...in the workplace it is necessary to have a
space to collect liquids. ...The risk of slipping is not only
3.10 Adhesion ... in industrial settings ... but changing rooms, baths
Bonding of adhesive layers can occur by chemical or and showers of sports and work structures"
mechanical interactions. Tonshoff and Kappel[l4]
described laser roughening of silicon carbide water seal The first computer disk drives, introduced in 1957, had
surfaces. The resulting, surprisingly periodic, surface has aerostatic air bearings with a flying height of 20 pm.

548
Keynote Papers

Lightly loaded, aerodynamic heads using "contact-start-


stop" and operating at 0.5pm were introduced in 1973,
necessitating the ihtroduction of disk surface structuring
to eliminate the "wringing" of the head to the disk
surface, or expressed in the terminology of that industry,
to control 'stiction". Since then, a number of different
approaches have been taken to control "stiction" while
allowing ever higher memory densities and lower flying
heights[50]. Many modern disk drives have a "parking"
area with laser machined "bumps" (eg Figure 22).

Figure 23 Scanning electron micrograph of drag


reduction film

Another application of structured surfaces in fluid flow is


the well known herringbone bearing[53,54]. High volume
production of such bearing surfaces can be achieved in
a number of ways, including electro-chemical
machining[55].

3.13 Metrology artifacts


Conventionally machined and replicated tactile
specimens have long been used as transfer artifacts for
surface finish. The advances in diamond turning in the
late 1970s allowed the introduction of diamond turned,
structured surface artifacts. Sine wave artifacts were
produced by the second author at Lawrence Livermore
National Laboratory, calibrated at the National Bureau of
Standards (now NIST) and sold as "Standard Reference
Materials"[56]. Subsequent sets have been produced by
commercial diamond turning suppliers and these single
period surfaces are now well established. Some users,
however, have requested more "typical" surfaces.
Recently, a 4mm segment of a ground surface was
traced with a profilometer, and the resulting profile
reproduced 4 times by diamond turning to give a 16 mm
-m
' 0 10.0 20.0 30.0 40.0
artifact where any 4 mm section has highly reproducible
P roughness parameters[57]. A similar approach is being
used to produce artifacts to test the vision systems being
figure 22 Atomic Force Microscope image of the laser introduced in ballistics and crime laboratories. Rifling
produced "bumps" on a magnetic disk surface (a) marks from used bullets have been traced and then
surface plot, and (b) cross-section (courtesy D. A. Lucca, programmed into a diamond turning machine to produce
Oklahoma State University) "standard bullets"[58].

Klocke et a1[51] show significantly increased load Another artifact has been diamond turned to test optical
capacity resulting from laser texturing of sliding ceramic performance, in this case distortion as a function of focus
seal surfaces. The friction and wear characteristic of in microscopes used for quality control in the integrated
lapped silicon carbide, widely used for axial face seals, circuit industry[59]. Here a series of concentric steps
can be improved by smoothing the surface using excimer were produced with heights and widths varying from 0.1
laser radiation[l4]. In an experimental system, wear has to 1 pm and 1 to 10 pm respectively. The entire artifact is
been reduced by 25% and the initial coefficient of friction less than 200 pm diameter and less than 10 pm high.
decreased by 40%. Image analysis of the edges of steps adjacent to that at
best focus show the departure from circularity of those
3.12 Fluid flow steps, and hence the distortion in the optical system.
It is well known that the detailed nature of surfaces in
fluid flow affect the boundary layer and hence Diamond turning is also being used to produce
turbulence, drag etc. One commonplace example is the cylindricity artifacts. Cylinders with 1 micrometer
dimpled surface of golf balls. amplitude sine waves with periods of 0.25-8 mm have
been produced at NIST. Addition of a fast tool servo to a
Adhesive backed films have been developed and machine at Aachen allows production of artifacts with
manufactured to reduce skin friction on aircraft[52]. They both axial and azimuthal modulations; these artifacts are
consist of 80 to 300 pm high grooves (Figure 23), not single frequency[60].
parallel to the air flow, which move the point at which
transition from laminar to turbulent flow takes place. Periodic structures are also being used as transfer
Although not designed for use in water, such films were standards in the "nanotechnology" region[bl]. Optical
used successfully to reduce friction on the hull of the techniques are typically applied to produce grids,
America's Cup yacht sailed by Dennis Connors in Perth, gratings and doubly-sinusoidal structures[62].
Australia in 1987.

549
3.14 Biomedical applications Etching
Biomedical implants, based on a number of different Thermal reflow
materials, generally have one common requirement, that
there is good adhesion, and compatibility, between the Material deposition
implant and the surrounding tissue. Experiments are Plating
underway at the University Clinic at Aachen to evaluate Evaporation
the performance of laser structured ceramic surfaces for
replacement hip and knee joints. Regular grids of blind Replication
holes (of unit aspect ratio) have been UV laser drilled Hot embossing
with diameters from 10 to 300 micrometers[63]. Injection molding
Casting
Other experiments have shown that bony-ingrowth and
long term behavior of the surfaces of hip endoprostheses Material modification
can be improved by structuring the surface using blind Laser texturing[l4]
holes. Such holes have been drilled with a frequency Solidificationof liquids (eg polymer curing)
doubled YAG laser at LZH Hannover; here approximately
15 holes per mm2have been drilled in TiA16V4. An equally convenient classification of fabrication
process is into:
0 those used for direct fabrication of the part of
interest or of a mold; and
0 those used to replicate.

It .should also be noted that techniques used to


manufacture structured surfaces are not specific to the
application. These methods have generally been
discussed elsewhere and hence will not be discussed in
detail here. For example, many techniques - for example
lithography, LlGA -- are also used in the manufacture of
micro-electro-mechanical systems (MEMS); the only
Polymeric surfaces used in blood-contact applications difference is the application. Hence what follows is
have the potential to cause thromboembolic selected comments on key features of some of the
complications. One approach to minimizing such manufacturing methods indicated above.
problems is by texturing the surface of the polymer to
promote stable interfaces. Fujisawa et a1[64] produced 4.1 Cutting
Delrin and silicone rubber molds which were then Machining processes are central to the production of a
excimer laser drilled with an array of holes. This mold large proportion of structured surfaces, either through
was then replicated with polyurethane to produce a direct production of the part itself or through making a
surface with 250 pm long, 25 pm base diameter fibrils on mold. From the review of applications in Section 3, it
a 100 pm pitch. The authors concluded that the should be clear that the choice of a machining process
structured surfaces produced more rapid healing in depends on the scale and specifications of the structure
animal tests than non-structuredsurfaces. and the component. Fine scale structures and optical
components are commonly produced either directly by
Since the first smooth silicone breast implants were single point diamond machining or replicated from a
introduced in 1962 more than 1 million women have diamond machined master.
opted for breast augmentation surgery. The smooth
implants, however, have been associated with The most obvious application of diamond turning to the
development of scar tissue and a number of associated production of structured surfaces is the production of
problems. Implants with structured surfaces show rotationally symmetric optical surfaces. Stepped test
significantly reduced problems[65]. structures a small fraction of a mm across, Fresnels a
few mm[67,68] diameter , and molds for 5 meter
In the use of scanned probe microscopes to investigate displays[24] have been produced in this manner. The
living cells, response of the cell to the probing forces is, groove profile can be obtained either by plunge cutting
apparently, a significant problem. Otte et al[66] are with a form (usually flat) tool or profiling with a very small
developing "nano-nets" . made by electron-beam radius too1[68]. Profiling allows the designer more
lithography and reactive ion etching. freedom, but can increase cutting time significantly.
Consider the 5 meter mold referred to above; it has
4. Manufacturing methods approximately 10.000 facets approximately 0.25 mm
Although there has been rapid recent growth in the use across. Assuming a 5 micrometer nose radius tool, for a
of structured surfaces, the idea is nothing new. As noted nominal finish of 25 nm Rt the required feed rate is 1
above, ruled diffraction gratings, molded glass Fresnel micrometer per revolution; with a spindle speed of 100
lenses for lighthouses, and Leonard0 da Vinci's file- rpm. the time to make one pass across the part would be
making machine are some early examples. over 800 hours. The part was produced by plunging the
diamond!
Structured surfaces can be, and are, produced in four
ways, and in combinations thereof: As should be apparent from some of the examples in
Section 3 above, diamond turning is not limited to
Moving/removing material: rotationally symmetric components. Mounting a profiled
Machining diamond tool on an appropriate ultra-precision spindle
Knurling, burnishing allows multi-axis milling operations(691 analogous to

550
Keynote Papers

ruling, but with the added options of superimposing the other applications ranging from cylinder patterning for
structure on curved surfaces and adding grooves in automotive applications to machining of biological
multiple directions. Molds for retro-reflecting micro- tissue[80] have been suggested.
prisms, for example, can be produced by 3 intersecting
groove directions. It should also be noted that a new Another approach to direct patterning of metals by laser
generation of ultra-precision multi-axis machine tools is machining is laser induced chemical etching[81]. A
emerging with application both to complex structured focussed beam can be used directly, for example for
surfaces and to micro-systems (see for example Weck micro-optics fabrication[82], or a mask projected (through
and Fischer[70]). reduction optics if required) onto the work.

Capabilities and limitations of diamond turning have For small series or prototype development, refractive
been discussed elsewhere(711; in this context, however, micro- optics can be machined with excimer laser
it should be noted that a major limitation is tool wear. radiation (for example at a wavelength of 193 nm )
Small included angle tools are particularly susceptible to followed by a thermal smoothing postprocess. Figure 25
catastrophic chipping from inclusions in the material, shows a cylindrical lens array, machined in LaFN21
while chemical interactions constrain the available range glass with an aspherical topography.
of work materials[72]. Suzuki et al report successful
production of micro-Fresnels in tungsten carbide using a
fine diamond resin bond wheel; finish achieved was of
the same order as in diamond turning of metallic mold
materials[73].

For applications not requiring optical, or near optical


quality surfaces, more conventional machines and tools
can be used[74], sometimes as a complement to other
techniques(751.
Figure 24: Surface roughness afier structuring with
4.2 Burnishing excimer laser radiation for different ablation strategies
A significant number of structured surfaces are produced (courtesy LZH)
by plastic deformation. Perhaps the most common is the
ubiquitous knurled adjustment knob on many machines
and instruments. At the other end of the cost spectrum,
masters for large spectrographic gratings are produced
by burnishing rather than cutting grooves in soft metal
coatings on appropriate substrates[20.22].

4.3 Laser machining


Ultra-short UV (typically 157, 193 or 248 nm) excimer
laser pulses can cause ablation of material in the focal
plane or spot with little or no heat affected zone in
materials as diverse as polymers, glass, ceramics and
metals[76]. By using imaging technologies like mask
projection, the laser beam and therefore the ablation Figure 25 Asphencat lens array in glass by ArF excimer
geometry can be shaped to a desired form. Overlaps of laser radiation (193 nm) (courtesy LZH)
single laser pulses in combination with a flexible mask
are used to generate a three-dimensional surface 4.4 Electron beam writing
structure. Surface roughness can be controlled by the Direct e-beam writing of microstructures in an electron-
ablation strategy (Figure 24). Glass micro-optics and sensitive film is an obvious alternative to laser writing.
periodic structures in ceramics have been produced. Basic techniques are highly developed for IC mask
Additionally, the family of UV lasers for material production. For structured surfaces (eg binary optics),
processing is completed by the frequency converted the main advantage over laser methods is that the
solid state laser, which emits at around 355 nm (30)and minimum attainable spot size is significantly smaller.
266 nm (40).Pulse durations in the ns range are
available and guarantee a reduction of thermal damage 4.5 Lithographic methods
to the work surface. Materials with a low absorption As indicated above, a wide variety of lithographic
coefficient or in applications, where any energy transfer methods are applied to the fabrication of structured
into the base material has to be avoided can be handled surfaces. Binary optics, for example, are produced by a
by using lasers with ultra short pulses. Usually, the series of steps in which photresist is exposed in an
pulses of such systems are in the femto second range. appropriate pattern and then etched. Some number, N,
With these short laser pulses, new beam-material- of etch steps produces 2N optical levels (Figure 26).
interactions have been observed. The temporary high
pulse power of several giga-Watts leads, for most LlGA uses high intensity collimated synchrotron radiation
materials, to an immediate vaporization. Material to pattern thick (several hundred micrometer) polymer
processing of metals and semiconductors is possible resist films. After development, these films may be
without any redeposition or thermal damage caused by electroplated to form a molding tool. The resulting
molten materia1[77,78,79]. Such laser systems are features may have aspect ratios as large as 100, smooth
available at 780 nm (o), 390 nm (20) and 260 nm (30). walls, and features as small as a micrometer or so. The
The main applications of these technologies are likely to molds may be used in the full range of molding
be found in micro-systems of various kinds, although processes (see Section 4.8 below)[83].

55 1
Lithography at longer wavelengths tends to produce can either enhance sputter rates or cause selective
lower aspect ratio features in the resist. Use of UV deposition.
radiation and chemically amplified resists can give sub-
micrometer features with aspect ratios up to about 4[84]. 4.8 Replication
For many structured surfaces, the key step to economic
production is replication by embossing, molding or
Mask - -- - __ - --- Pattern casting[gl]. Precision machined masters may be used

rrzl photoresist
Etch
directly; more commonly, however, masters are
electroformed to produce working molds - sometimes
also referred to as shims or stampers. Hot roller
I I embossing is used to reproduce nominally planar surface
relief microstructures in polymer films such as
polyvinylchloride and polycarbonate. Production costs
are low, but diificulties are encountered with deep
microstructures. Hot stamper (or reciprocating)
Etch embossing is used for deeper microstructures[92].
level Injection molding can be used to reproduce
binary optic microstructures in metals and ceramics, as well as in
plastics[75]. Thermal cycling may limit mold life and mold
filling can be an issue. Other approaches that are being
Figure 26 Binary optics fabrication used include heat-cured epoxy and UV-cured
photopolymers.
Continuous profiles can be produced by half-tone
techniques, where dithering and projection lithography 5. Metrology
are used in combination with thick photoresists with gray- In Section 2 of this paper it was indicated that a
level capabilities[85]. Gimkiewicz et al[86] demonstrated structured surface was one that is poorly described by
a different approach to the lithographic production of conventional surface roughness parameters and poorly
micro-prism arrays using variable exposure of specially measured using conventional measurement methods. In
prepared glasses. High energy beam sensitive (HEBS) this section we will further discuss the measurement
glass contains silver ions and a photoinhibitor. The silver options and issues specific to structured surfaces. We
ions reduce on exposure to a 10 kV beam, increasing the note that ClRP has a long tradition of contributions in
optical density of the glass as a function of the exposure. surface metrology. Pioneering colleagues such as
Nicolau, Pesante. Weingraber, Reason, Van Hasselt, De
Refractive lenslet arrays can also be produced by a Vries, Whitehouse, Peters, Vanherck and DeBruin have
photothermal method[d-/] in which a latent image is first helped define the science of surface measurement; here
recorded in a photosensitive glass. Exposure to UV we can only hope to contrast the requirements of surface
radiation modifies the material in such a way that, when measurement for structured surfaces with the long
it is heated to the softening point, it expands. The tradition of more conventional surface metrology
volume increase exerts pressure on the soft, unexposed
glass, squeezing it out of the surface: surface tension In principle, the options available for measurement of a
forces the surface into a spherical shape. structured surface are no different from those facing any
surface metrologist[93]. The surfaces to be measured,
All lithographic processes are followed by some form of however, tend to be somewhat different: slopes and
etching, such as reactive ion etching, RF sputtering, ion aspect ratios are high - compared with the average
milling etc. Each has specific advantages - and is surface of engineering interest. Parameters of functional
described in an extensive literature already and so will importance (average included angle in a micro-prism
not be discussed here. array, draft angle in a mold) are not provided by
commercial instruments, but can be extracted from a
4.6 Thermal reflow matrix of surface heights as a function of position,
Lens arrays can be produced in a single stage by provided such a matrix reliably represents the surface.
melting a polymer (eg photoresist) and relying on surface
tension and plastic flow to generate spherical 'caps"[88]. 5.1 Scanning electron microscopy
Thermal reflow has also been used to smooth out ridges As will have been clear from the earlier sections of this
and steps from multi-step lithographic fabrication paper, the scanning electron microscopelmicrograph
processes. (SEM) is the inspection 'work-horse" of the industry
preparing structured surfaces. With appropriate sample
An interesting variant of this approach was described by preparation, the SEM gives excellent depth of focus and
Okamoto et a1[89]. Normally the contraction of UV resolution - a very attractive combination for surfaces
curable photopolymers is considered a problem when with high aspect ratios. Conventional secondary electron
trying to produce 3D features lithographically. These imaging in a conventional SEM is, however, a long way
authors, however, take advantage of the contraction to from metrology. Extrapolation from the ubiquitous
produce lenslet arrays. "micron" marker on an SEM image to actual dimension
on the part is a risky proposition(941.
4.7 Focussed ion beam machining
Another approach to machining fine structures in molds Over the past decade or so, substantial effort has been
is focussed ion beam machining, typically using gallium devoted to providing traceable linewidth and critical
ions[90]. Excellent fine detail can be obtained, but dimension metrology for the IC industry using SEMs[95].
removal rates are very low, of the order of pm3/s. Rigorous models of electron beam-sample interactions in
Introduction of secondary gas species into the system the scanning transmission mode, the development of

552
Keynote Papers

fixed beamlscanning sample mode instruments, and commercially available instruments are relatively low.
advances in stereographic imaging have all improved Also, for high slope surfaces, the effective point of
capabilities in feature metrology based on the SEM. The interaction between the probe and the surface will
average manufacturing engineer, however, can be badly change as the measurement is being made, convolving
fooled by the average SEM and the average SEM the tip geometry with the surface. Special probes have
operator. been developed for measuring vertical walls in IC
applications, and these might be applied for some
5.2 Stylus profilometry structured surfaces.
The stylus profiler has been used for 2D surface
metrology since 1927, and is sometimes considered a 5.5 Measurement of structured surfaces
reference method against which to compare other A simple comparison between the surfaces described in
techniques[96]. The advantages and limitations of the Section 3 and the measurement methods indicated
technique have been widely discussed[93,97]. For above reveals a clear need for new measurement
measurement of structured surfaces, however, there are methods. One approach to visualizing the relationship
three main issues[l04]: between the capabilities of instruments and the surface
The need for 3 0 in many applications, making data features of interest is the map of horizontal versus
acquisition time relatively long; vertical range/resolution introduced by Church[99] in a
Stylus tip radius, which will distort sharp peaks and discussion of light scattering techniques. Stedman
valleys and preclude measurement of high applied the same idea to a discussion of instruments for
frequency structures, such as sub-wavelength the measurement of X-ray optics[l00] and later explicitly
coatings (Section 3.6); and derived the plotting of limits on such plots based on
Stylus included angle, which limits slopes (aspect modeling surfaces based on sinusoidal perturb-
ratios) which can be measured ations[lOl]. These plots can be extended to cover a
broad range of measurement applications[lO2] (Figure
5.3 Optical methods 27). Clearly, both the capabilities of the instrument and
Three basic optical methods can be considered: the characteristics of the surface can be plotted and
autofocus instruments, phase shifting interferometers, compared.
and scanning white-light interferometers. In every case,
the surface slope that can be measured is limited by the Teague et al[l03] produced maps plotting slope versus
numerical aperture of the objective, typically no higher relative wavelength (related to an optical wavelength of
than 0.9. This leads to a slope limit of approximately 320. 600 nm). Initially they developed their maps to show the
regions of applicability of various scattering theories,
For the autofocus methods, the lateral resolution is then extending them to show the characteristics of
limited by the focal spot size, of the order of 1 pm at surfaces and the regions of applicability of various
best. Like the stylus methods, data acquisition is serial, instruments. They later added non-optical instruments to
hence the time taken to obtain a 30 map can be their plots[l04].
relatively long.
Vertical ; <A :
ranadresolution a3a..
For the phase shifting micro-interferometers (pPSI),
lateral resolution is usually limited by the detector used,
and the lateral range by the objective. Slopes are limited
by the Nyquist condition that there must be at least 2
pixels per fringe (usually slightly more). In high slope 1m m I_

conditions, aberrations induced by the optical system


should also be considered.

Scanning white light interferometers have the same


lateral limits as the pPSI. Vertical range is limited by the
travel provided in the instrument, and slopes by the Horizontal
numerical aperture of the objective. These instruments i
.- . .-- -/ range/resotution
typically have higher noise than a pPSl. 1nm 1pm 1mm lm
Figure 27 A Global Stedman diagram (courtesy T. R.
Clearly, none of the optical techniques have the lateral Thomas)
resolution needed for sub-wavelength optical structures.
The high slopes of many structured surfaces also pose Neither of these representations makes it easy to see if a
problems for optical methods. particular instrument can make appropriate
measurements of a particular structured surface. Since
5.4 Scanning probe microscopes structured surfaces typically have high slope, and most
The various scanned probe microscopies (scanning conventional surface measurement instruments have
tunneling (STM). atomic force (AFM), scanning near-field limited slope capability, the slope versus relative
optical (SNOM) etc) provide vertical and lateral wavelength plots have advantages. Absolute values of
resolutions of atomic dimensions. These methods, and amplitude and wavelength are, however, not plotted. In
current industrial applications, were reviewed in detail by what Stedman calls amplitude-wavelength space slope
Vorburger et a1[98] and will not be discussed further limitations typically appear as sloped lines giving upper
here. limits to vertical range; the slope limit, however, normally
applies throughout the instruments operating range.
As will have been noted from Section 3, the AFM is a Teague[lO5] has combined the two representations
useful tool for imaging some high spatial frequency (Figure 28), plotting spatial frequency versus amplitude,
structured surfaces. Note that scanning ranges for most also plotting lines of constant slope. This representation

553
emphasizes the high slope capability of the SEM, for nor that the product is necessarily the best for the
example, and the low slope capability of optical profilers. purpose.
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