Nanoparticle Technology Handbook

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NANOPARTICLE TECHNOLOGY HANDBOOK
THIRD EDITION
This page intentionally left blank
NANOPARTICLE
TECHNOLOGY
HANDBOOK
THIRD EDITION
Edited by

MAKIO NAITO
TOYOKAZU YOKOYAMA
KOUHEI HOSOKAWA
KIYOSHI NOGI
Elsevier
Radarweg 29, PO Box 211, 1000 AE Amsterdam, Netherlands
The Boulevard, Langford Lane, Kidlington, Oxford OX5 1GB, United Kingdom
50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States

Copyright © 2018 Elsevier B.V. All rights reserved.

No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical,
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This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as
may be noted herein).
Notices
Knowledge and best practice in this field are constantly changing. As new research and experience broaden our
understanding, changes in research methods, professional practices, or medical treatment may become necessary.
Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any
information, methods, compounds, or experiments described herein. In using such information or methods they should be
mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility.
To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any
injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or
operation of any methods, products, instructions, or ideas contained in the material herein.

Library of Congress Cataloging-in-Publication Data

A catalog record for this book is available from the Library of Congress
British Library Cataloguing-in-Publication Data
A catalogue record for this book is available from the British Library

ISBN: 978-0-444-64110-6

For information on all Elsevier publications visit our

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Publisher: Joe Hayton

Acquisition Editor: Kostas Marinakis
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Cover Designer: Christian Bilbow
Typeset by TNQ Books and Journals
 Contents

List of Contributors xvii 2.5. Pore Structure 91

Preface xxi 2.6. Nanoparticle Design for Drug Delivery System 100
Preface to the Second Edition xxiii 2.7. Nanotubes (Carbon Nanotube) 105
Preface to the First Edition xxv 3. Characteristics and Behavior of
Nanoparticles and Its Dispersion Systems
HIDEHIRO KAMIYA, KUNIAKI GOTOH, MANABU
FUNDAMENTALS SHIMADA, TETSUO UCHIKOSHI, YOSHIO OTANI,
MASAYOSHI FUJI, SHUJI MATSUSAKA, TATSUSHI
MATSUYAMA, JUNICHI TATAMI, KO HIGASHITANI,
1. Basic Properties and Measuring Methods KAZUE KURIHARA, NAOYUKI ISHIDA, MICHITAKA
of Nanoparticles SUZUKI, HIROYA ABE, YASUFUMI OTSUBO, AND
TOYOKAZU YOKOYAMA, HIROAKI MASUDA, MINORU MIYAHARA
MICHITAKA SUZUKI, KENSEI EHARA, KIYOSHI NOGI,
MASAYOSHI FUJI, TAKEHISA FUKUI, HISAO SUZUKI, 3.1. Introduction of Nanoparticle Dispersion and
JUNICHI TATAMI, KAZUYUKI HAYASHI, AND Aggregation Behavior 109
KENJI TODA 3.2. Single Nanoparticle Motion in Fluid 114
3.3. Brownian Diffusion 120
1.1. Size Effect and Properties of Nanoparticles 3 3.4. Adsorption Properties and Wettability of
1.2. Particle Size 9 Nanoparticle Surface 121
1.3. Particle Shape 10 3.5. Interactions Between Particles 123
1.4. Particle Density 13 3.6. Aggregation and Dispersion, Characterization,
1.5. Melting Point, Surface Tension, and and Control 149
Wettability 17 3.7. Rheology of Slurry 158
1.6. Specific Surface Area and Pore 19 3.8. Simulation of Colloidal Dispersion System 162
1.7. Composite Structure 22
1.8. Crystal Structure 27 4. Control of Nanostructure of Materials
1.9. Surface Characteristics 31 HIROYA ABE, YOSHINARI MIYAMOTO, MITSUO
1.10. Mechanical Property 34 UMETSU, TETSUO UCHIKOSHI, TATSUYA OKUBO,
1.11. Electrical Properties 37 MAKIO NAITO, YUJI HOTTA, TOMOKO KASUGA,
1.12. Magnetic Properties 40 AKIHIKO SUDA, HIDETOSHI MORI, REIJI MEZAKI,
1.13. Optical Property of Nanoparticle 44 TSUTOMU MORIMOTO, AKIRA AZUSHIMA,
KATSUYOSHI KONDOU, KEIZO UEMATSU, TAKAHIRO
2. Structural Control of Nanoparticles TAKADA, KIYOSHI NOGI, HIDETOSHI FUJII, JUN AKEDO,
YOSHINOBU FUKUMORI, TOSHIYUKI NOMURA, YOSHIAKI KINEMUCHI, YOSHIO SAKKA, YUKIO
TADAFUMI ADSCHIRI, SATOSHI OHARA, FUMIO SAITO, YAMAGUCHI, YOSHITAKE MASUDA, AND SHINJI
MAKIO NAITO, KIKUO OKUYAMA, MASAYOSHI INAGAKI
KAWAHARA, HISAO SUZUKI, TAKAFUMI SASAKI,
MASAYOSHI FUJI, SHINJI INAGAKI, HIROFUMI
4.1. Assembly of Nanoparticles and
TAKEUCHI, AND YOSHINORI ANDO Functionalization 169
4.2. Nanoparticles-Arranged Structures 170
2.1. Structure Construction and Function 4.3. Nanopore Structure 181
Adaptation of Nanoparticles 49 4.4. Nanocomposite Structure 193
2.2. Particle Size 55 4.5. Structure Control of Nanoparticle
2.3. Particle Shape 69 Collectives by Sintering and Bonding 212
2.4. Composite Structure 76 4.6. Self-Assembly 239

v
vi CONTENTS

5. Characterization Methods for 7.3. Safety of Nanoparticles 379

Nanostructure of Materials 7.4. Removal of Nanoparticles 388
SATOSHI OHARA, TADAFUMI ADSCHIRI,
TAKASHI IDA, MASATOMO YASHIMA, TAKESHI
MIKAYAMA, HIROYA ABE, YUICHI SETSUHARA,
APPLICATIONS
KIYOSHI NOGI, MINORU MIYAHARA, KENJI KANEKO,
AND AKIRA OHTOMO Category A - Medical, Cosmetic, Biological
5.1. Nanostructure and Function 1. Development of New Cosmetics Based on
(Characterization of Local Nanoparticles
Nanostructure) 255
HIROSHI FUKUI
5.2. Crystal Structure 256
5.3. Surface Structure 265 1. Use of Nanoparticles 399
5.4. Nanopore Characterization 282 2. Use as Compound Particles 401
5.5. Grain Boundaries and 3. Future Development 404
Interfaces 288 References 404
5.6. Evaluation Methods for Oxide
Heterostructures 297 2. Design of Nanoparticles for Oral Delivery
of Peptide Drugs
6. Evaluation Methods for Properties of HIDEKI ICHIKAWA
Nanostructured Body
TAKEHISA FUKUI, JUNICHI TATAMI, SHUJI SAKAGUCHI, 1. Particulate Design and Functions 407
FUMIHIRO WAKAI, TETSUYA SENDA, TAKASHI AKATSU, 2. Case Studies 409
TETSUYA BABA, YUJI NOGUCHI, MASARU MIYAYAMA, References 413
ATSUSHI YAMAMOTO, SUSUMU YONEZAWA,
TOMOICHIRO OKAMOTO, MOTOHIDE MATSUDA, 3. Development of Photocatalyst Inserted
MASANOBU AWANO, TSUTOMU KATAMOTO, KENJI
Into Surface of Porous Aluminosilicate
TODA, SOSHU KIRIHARA, AKIHIKO SUDA, AND
KIYOSHI NOGI TOSHIO KAKUI

6.1. Functionality of Nanostructures 1. Structure of TiO2eAluminosilicate Complex 415

and Their Characteristic 2. Photocatalysis of TiO2eAluminosilicate Complex 416
Evaluation 301 3. Photoenduarance of Paper With TiO2e
6.2. Mechanical Properties 306 Aluminosilicate Complex 417
6.3. Thermophysical Properties 318 References 418
6.4. Electric Properties 325
6.5. Electrochemical Properties 338 4. Nanoparticle Formation of DNA
6.6. Magnetic Properties 349 (Globule Transformation)
6.7. Optical Properties 352 SHINJI KATSURA
6.8. Catalytic Property 357
6.9. Properties of Gas Permeation 1. Tolerance of DNA Nanoparticles Against
and Separation Membranes 360 Mechanical Stress 419
2. Micromanipulation of DNA Nanoparticles 420
7. Environmental and Safety Issues With References 422
Nanoparticles
5. Addressing of Nanoparticles by Using
HISAO MAKINO, HITOSHI EMI, AKIMASA YAMAGUCHI,
EIJI IRITANI, NORIKAZU NAMIKI, TOSHIHIKO MYOJO,
DNA Molecules
AND KENJI YAMAMOTO SHINJI KATSURA

7.1. Introduction 365 1. Stretching of DNA Molecules 423

7.2. Nanoparticles and Environment 365 2. Addressing of Nanoparticles 424
References 426
 CONTENTS vii
6. Development of the 3. Functional Cosmetics Using PLGA
Thermoresponsive Magnetic Nanospheres 448
Nanoparticle and Its Deployment References 450
in the Biotechnology Field
10. PLGA Nanoparticle Design and
AKIHIKO KONDO
Preparation for DDS and Medical
1. Magnetic Nanoparticle Material 427 Device
2. What Is a Thermoresponsive HIROYUKI TSUJIMOTO AND YOSHIAKI
Polymer? 427 KAWASHIMA
3. Thermoresponsive Magnetic
Nanoparticles 428 1. Introduction 451
4. Application Examples of the 2. PLGA Nanoparticle DDSs 451
Thermoresponsive Magnetic Nanoparticles 3. Applied Technology With PLGA
to the Biotechnology Field 429 Nanoparticles as Base Carrier 452
5. Future Perspective 434 4. PLGA Nanoparticle System Platforms
References 434 and Implementation in Nanomedical
Systems 454
7. Pinpoint Drug and Gene Delivery 5. Conclusion 459
References 460
SHUN’ICHI KURODA

1. Bio-Nanocapsules 435 11. PLGA Nanosphere Technology for

2. Potential Applications of Bio-Nanocapsule 437 Novel Nanomedicine and Functional
3. Assignment 438 Cosmetics
4. Conclusion 438 YUSUKE TSUKADA, AIKO SASAI, HIROYUKI
References 438 TSUJIMOTO, HIROMITSU YAMAMOTO, AND YOSHIAKI
KAWASHIMA
8. A Cancer Treatment
Strategy That Combines the Use of 1. Introduction 461
2. Preparation Method and Application for
Inorganic/Biocomplex Nanoparticles
Practical Use of PLGA NS 461
With Conventional Radiation 3. Drug Delivery System Formulation and
Therapy Pharmacological Performance of PLGA NS 462
KENTA MORITA, YUYA NISHIMURA, 4. Application of PLGA NS for Cosmetics 464
TAKAHIRO SUZUKI, CHIAKI OGINO, 5. Conclusions 466
AND AKIHIKO KONDO
References 467
1. Introduction 439
2. Screening for Inorganic Nanoparticles
12. Delivery to the Brain
Applicable to Radiosensitizing 440 HIROMITSU YAMAMOTO
3. Cancer Therapy Using a Combination
1. Surface Modification to Improve the Nanoparticle
of Inorganic Nanoparticles and X-Ray
Distribution in the Brain 469
Irradiation 440
2. Effect of Administration Route on the Brain
4. Bio-Nanocapsule 441
Distribution 471
5. Conclusions 442
3. Perspective of Brain Targeting With
References 443
Nanoparticles 472
References 472
9. Development of Functional Skin Care
Cosmetics Using Biodegradable PLGA 13. Bioimaging With
Nanospheres Quantum Dots
HIROYUKI TSUJIMOTO AND KAORI HARA
KENJI YAMAMOTO

1. Nanocosmetics That Whiten Skin 1. Developments of Quantum Dots 473

and Eliminate Wrinkles 445 2. Development of Bioimaging 474
2. Evaluation of the Cutaneous Permeability of 3. Bioimaging and Quantum Dots 474
PLGA Nanospheres and Their Functional 4. Quantum Dots Label for the Antibody 476
Effect 446
viii CONTENTS

5. In Vivo Imaging of the Quantum DotseStained 19. Mechanical Synthesis of Composite

Cell: The Localization in Organs 476 Oxide and Its Application for SOFC
6. Observation of the Localization From Cathode
Outside of the Body 477
KOUHEI HOSOKAWA, TOYOKAZU YOKOYAMA,
Reference 477 AKIRA KONDO, AND MAKIO NAITO

14. Application of Quantum Dots for 1. Mechanical Processing for Material Synthesis
Biomedical Engineering and Particle Bonding 505
KENJI YAMAMOTO 2. Mechanical Synthesis of LaMnO3 Using
Nanosized Raw Materials 506
1. Application for Laboratory Test 479 3. The Mechanical Conditions of the
2. Diagnosis by Imaging Analysis 480 Attrition-Type Mill Required for the
Synthesis 506
15. Application of Polymeric Nanoparticles 4. One-Step Mechanical Processing to
and Polymeric Micelles for Treatment of Prepare LSM/ScSZ Composite Particles
Biofilm Infection Disease for the SOFC Cathode 507
HIROMITSU YAMAMOTO AND CHISATO TAKAHASHI 5. Evaluation of SOFC Performance 509
6. Conclusions 510
1. Introduction 481 References 510
2. Antibacterial Effect of PLGA Nanoparticle
Formulations 482 20. A Dye-Sensitized Solar Cell Utilizing
3. Antibacterial Effect of Polymeric Micelle Metal Nanoparticle
Formulations 484 MANABU IHARA
4. Conclusions 486
References 486 1. What Is a Dye-Sensitized Solar Cell? 511
2. Enhancement of the Absorption
Category B - Energy, Batteries, Coefficient of the Ruthenium Dye, With
Environmental the Silver Nanoparticle Produced via
Vacuum Evaporation on the Quartz
16. Development of High-Performance Substrate 512
Electrochemical Reactors 3. Enhancement of the Absorption Coefficient of
MASANOBU AWANO Silver NanoparticleeRuthenium Dye Within
Porous TiO2 514
1. Environmental Purification by References 515
Electrochemical Reactors 487
2. NOx Decomposition in the Exhaust Gas 21. Room Temperature Fabrication of
With Electrochemical Reactors 487 Electrode-Solid Electrolyte Composite for
3. Development of the Electrochemical Reactors
All-Solid-State Rechargeable Lithium
for Simultaneous Purification of NOx/PM 490
References 492
Batteries
YASUTOSHI IRIYAMA
17. Superior Thermal Insulation Film With
1. Introduction 517
Transparency Achieved by Hollow Silica 2. Aerosol Deposition 517
Nanoparticles 3. Densification of Electrode and Solid
MASAYOSHI FUJI AND CHIKA TAKAI Electrolyte Powders 518
4. Conclusions 522
1. Introduction of Thermal Insulation Techniques 493
References 523
2. How to Prepare Nanospaced Polymer Film 494
3. Thermal Insulation Performance on Field Test 495 22. Enhancement of the Performance of
References 497
Insulating Materials
18. Development of Fuel Cells MIKIMASA IWATA

TAKEHISA FUKUI 1. Withstand Voltage Characteristics 525

2. Tracking-Resistance and Erosion-Resistance
1. Development Task of Fuel Cells 500
Characteristics 527
2. Development of High-Performance Solid Oxide
3. Thermal Characteristics 527
Fuel Cells Using Nanoparticle Technology 500
References 528
References 503
 CONTENTS ix
23. Collection Technology 3. Smart Recycling of Composite Materials 549
for Nanoparticles in Flue Gas References 550
HISAO MAKINO AND NAOKI NODA
28. Improvement of Lithium-Ion Battery
1. Introduction 529 Performances by Controlling
2. Outline of Dust Collection Technologies 529 Nanocomposite Structure
3. Collection Characteristics of Electrostatic TAKAHIRO KOZAWA AND MAKIO NAITO
Precipitators 530
4. Collection Characteristics of Bag Filters 530 1. Composite Granule Structure Consisting of
Further Reading 531 Nanoparticles 551
2. Composite Granule With a Porous Structure 552
24. Powder Technology 3. High-Voltage Cathode Particle With a Gradient
and Nanotechnology Contributed Composition 553
for Clean Utilization of Coal 4. Nanocomposite Electrode Particles for
HISAO MAKINO AND NAOKI NODA
All-Solid-State Li Batteries 556
References 557
1. Powder Technology and Nanotechnology in
Pulverized Coal Combustion Power Plant 533 29. Dendrimers and Their Application to
2. Powder Technology and Nanotechnology of Organic Electronics Devices
High-Efficiency Coal Utilization System 534 NORIFUSA SATOH AND KIMIHISA YAMAMOTO
3. Investigation of CO2 Capture and
Storage Method 535 1. Synthesis and Structure of Dendrimer 559
4. Upgrading of Low-Rank Coal and Biomass 536 2. Metal-Assembling Property of Dendrimer 559
References 537 3. Application to Electronic Devices 561
References 562
25. Zeolite Membrane
MOTOHIDE MATSUDA
30. Ceramic Filter for Trapping Diesel
Particles
1. Characteristics 539 HARUHIDE SHIKANO
2. Synthesis 539
3. Separation Properties of Zeolite Membranes 541 1. Production of Particulate Matter 563
References 542 2. Trapping of Particulate Matter 563
3. Pressure Loss 565
26. Development of Nanoparticle 4. Features of Porous Silicon Carbide 565
Composite Technique for Low Pt-Loading 5. Functions and Characteristics of Diesel
PEFCs Particulate Filter 566
HIROKAZU MUNAKATA
6. Future of Filters for Trapping Diesel Particles 566
References 567
1. Particle Design for PEFC Catalysts 543
2. Preparation of Pt/CeWC Composite Particle 31. Development of Exhaust Catalyst
for PEFC Anode 543 AKIHIKO SUDA
3. Preparation of Pt/CeSnO2 Composite Particle
for PEFC Cathode 545 1. Supported Metal Catalyst 569
References 546 2. Oxygen-Storage Capacity of Catalyst 570
3. Improvement of OSC of Catalyst 570
27. Novel Recycling of FibereReinforced 4. Improvement of Thermal Resistance of Catalyst 571
Plastics by Using Nanoparticle Bonding References 572
MAKIO NAITO, HIROYA ABE, AKIRA KONDO, AND
NORIFUMI ISU
32. Electrical Conductive
CNT-Dispersed Si3N4 Ceramics
1. Introduction 547 JUNICHI TATAMI
2. The Development of Novel Recycling Process
for GFRP 547 References 577
x CONTENTS

33. Preparation of Solid Electrolyte Particles 3. Tunable Structural Color by Swelling

and Solid-Solid Interfaces for All-Solid- With Liquid 603
State Batteries 4. Tunable Structural Color by Applying
Mechanical Stress 604
MASAHIRO TATSUMISAGO AND AKITOSHI HAYASHI
5. Summary and Outlook 604
1. Introduction 579 References 605
2. Preparation of Lithium-Ion Conducting
Glass Particles via Mechanochemistry 579 38. Practical Issue of Nanosized
3. Formation of Favorable Solid-Solid Colorant Particles
Interfaces in Solid-State Batteries 581 KAZUYUKI HAYASHI
4. Conclusions 584
References 584 1. Introduction 607
2. Preparation of Nanosized Colorant
34. Development and Multi-Functionalization Particles and Improvement of
of High-Functional Separation Membranes Functional Properties 607
3. Conclusion 612
AKIMASA YAMAGUCHI
References 612
1. Gas Separation 585
2. Liquid Separation 587 39. Expression of Optical Function by
References 588 Nanostructure Using Femtosecond Laser
Processing
35. Development of a High-Performance KAZUYUKI HIRAO
Secondary Battery by Controlling the
Surface Structure 1. Space-Selective Valence State Manipulation of
Rare-Earth Ions Inside Glasses 613
SUSUMU YONEZAWA
2. Precipitation Control of Gold Nanoparticles
1. Anode of a NickeleHydrogen Battery 591 Inside Transparent Materials by a
2. Cathode of the NickeleHydrogen Battery 591 Femtosecond Laser 614
3. Cathode of Lithium-Ion Battery 593 3. Nanograting Fabrication 616
4. Anode of the Lithium-Ion Battery 594 References 617
References 594
40. Ceramic Fillers for High Frequency
Category C - Electronic and Magnetic Dielectric Composites
Materials, Memories, Light Emitting YUSUKE IMAI
Materials, Displays
1. Introduction 619
36. Development of Bright Phosphors Using 2. Particle-Filled Polymer Composites
Glasses Incorporating Semiconductor as Dielectric Materials 620
Nanoparticles 3. Design of Dielectric Constants of
Composites 621
MASANORI ANDO, CHUNLIANG LI, AND NORIO MURASE
4. Particle Size Effect on Dielectric Loss 622
1. Syntheses of Highly Photoluminescent 5. Control of Temperature-Dependent
Semiconductor Nanoparticles by an Aqueous Properties of the Composites 622
Solution Method 597 References 623
2. Preparation of Glass Phosphors Incorporating
Semiconductor Nanoparticles by a SoleGel 41. Material Design of Electronic Liquid
Method 598 Powder Used in Novel-Type Bistable
References 600 Reflective Display (QR-LPD)
NORIHIKO KAGA, HIROYUKI ANZAI, AND
37. Closely Packed Colloidal Crystal MASASHI OTSUKI
Assembled With Nanoparticles and Its
Application for Smart Materials With 1. Introduction 625
2. Overview of QR-LPD 625
Tunable Structural Color
3. About Electronic Liquid
HIROSHI FUDOUZI
Powder 626
1. Closely Packed Colloidal Crystal Films 601 4. Measurement of Electrostatic
2. Structural Color of Colloidal Crystal Properties 627
and Its Tuning Mechanism 601 5. Measurement of Adhesive Force 628
 CONTENTS xi
6. Material Design 628 3. Direct Formation of the Electronic Circuit
7. Conclusion 630 Pattern by Inkjet Printing 649
References 630 4. Application as the Joining Materials 650
References 650
42. Sensing Based on Localized Surface
Plasmon Resonance in Metallic 47. Development of Novel Ferroelectric
Nanoparticles Materials
KOTARO KAJIKAWA YUJI NOGUCHI AND MASARU MIYAYAMA

1. Localized Surface Plasmon 631 1. Crystal Structure of Bismuth LayereStructured

2. Two Sensing Methods Using Plasmon 632 Ferroelectrics 651
References 633 2. Crystal Growth and Experimental Procedure 652
3. Layered Structure, Dielectric, and
43. Development of Photonic Crystal Leakage Current Properties of BiTeBBTi
Resonators for Terahertz Wave Sensing by Crystals 652
Using Nanoparticle Stereolithography 4. Giant Polarization in BiTeBBTi
SOSHU KIRIHARA Crystals 653
References 654
References 636
48. Development of Magnetorheological
44. AC Overhead Transmission Line Fluid by Using Iron Nanoparticles and the
Audible-Noise Reduction Measures Using Application to Haptics Devices
Surface Improvement JUNICHI NOMA
KIYOTOMI MIYAJIMA
1. Introduction 655
1. Audible Noise of AC Overhead 2. Preparation of the Nanomagnetorheological
Transmission Lines 637 Fluid 656
2. Wetting Property of Power Lines 637 3. Particle Cluster Behaviors of
3. Preparation of Test Power Lines 638 Magnetorheological Fluids in Shear
4. Features of Titanium Oxide Thermal-Sprayed Flow Mode 657
Films 639 4. Applications of Nanomagnetorheological
5. Audible-Noise Measurement 639 Fluid 658
References 641 References 659

45. Development of Photonic Crystals 49. High Performance Wiring Based on

Based on Nanoparticle Assembly Nanowelding Technology for Printed
HIDEKI T. MIYAZAKI Electronics
JINTING JIU, MINORU UESHIMA AND KATSUAKI
1. Nanoparticle Assembly Technique 643 SUGANUMA
2. Fabrication of Photonic Crystals by
Nanoparticle Assembly Technique 644 1. Introduction 661
References 646 2. The Development of Nanowelding Technology 661
3. The Application of Nanowelding Technology 663
46. Microelectronics Packaging by Metal References 666
Nanoparticle Pastes
MASAMI NAKAMOTO 50. Development of New Phosphors
KENJI TODA
1. Conductive Paste Technique and Metal
Nanoparticle Paste 647 1. History of Development of Nanophosphor 667
2. Low-Temperature Firing and Fine Electronic 2. Properties of Rare-Earth Nanophosphor 667
Circuit Pattern Formation by Screen 3. Development Trend of New Nanophosphor 668
Printing 647 References 669
xii CONTENTS

51. Development of Optical Memory Using 55. Dispersion of Fine Silica Particles Using
Semiconductor Nanoparticles Alkoxysilane and Industrialization
YUKIO YAMAGUCHI HIDEKI GODA

1. Fluorescence Characteristics of Semiconductor 1. SoleGel Hybrid 695

Nanoparticles 671 2. Molecular Design 695
2. Optical Memory Effect of Semiconductor 3. Unmeltable Plastics: Epoxy Resin Hybrid 696
Nanoparticle Thin Films 671 4. Tough Resin: Hybrid of the Phenol Resin
3. Methods of Preparing and Evaluating CdSe System 698
Thin Films 672 5. Soft Silica Hybrid: Hybrid of the Urethane
4. Dependency of Intensity of Fluorescence on the System 698
Excitation Light Intensity 673 6. Cheap Engineering Plastics in Place for Imide:
5. Future Topics 673 Hybrid of the Amideimide System 698
References 674 7. Imide Useful for Electroless Plating: Hybrid of
the Imide System 699
Category D - Synthesis, Dispersion, References 700
Processing
56. Barium Titanate Nanoparticles
52. Nanoparticle Synthesis, Dispersion, and Synthesized Under Sub- and Supercritical
Functionalization for Industrial Application Water Conditions
MUHAMMAD M. MUNIR, TAKASHI OGI, AND KIKUO YUKIYA HAKUTA
OKUYAMA
1. Experiment for Producing Tetragonal BaTiO3
1. Introduction 675 Nanoparticles by Supercritical Hydrothermal
2. Current Status of Nanoparticle Synthesis Synthesis 701
Technologies 675 2. Selective Production of Tetragonal BaTiO3 702
3. New Strategies on the Development of References 704
Nanoparticle Materials 676
4. Conclusion 681 57. Surface Modification of Nanoparticles
References 681 by Silane Alkoxides and Their Application
in Silicone-Based Polymer Nanocomposites
53. Supercritical Hydrothermal Synthesis
MOTOYUKI IIJIMA
of Nanoparticles
AKIRA YOKO, TSUTOMU AIDA, NOBUAKI AOKI, 1. Surface Modification of Functional
DAISUKE HOJO, MASANORI KOSHIMIZU, SATOSHI Nanoparticles Using Silane Alkoxides 705
OHARA, GIMYEONG SEONG, SEIICHI TAKAMI, 2. Silicone-Based Polymer Nanocomposites
TAKANARI TOGASHI, TAKAAKI TOMAI, TAKAO
Using SiO2 Nanoparticles 707
TSUKADA, AND TADAFUMI ADSCHIRI
3. Conclusions 709
1. Introduction 683 References 709
2. Synthesis and Control 684
3. Applications and Evaluation 685 58. Formation of Thick Electronic Ceramic
4. Mechanism and Measurements 687 Films With Bonding Technique of
References 689 Crystalline Fine Particles and Their
Applications
54. Nozzle-Free Inkjet Technology MITSUTERU INOUE
TAKEHISA FUKUI
1. Aerosol Deposition Method 711
1. Principle of Nozzle-Free Inkjet Technology 2. Formation of Thick Electronic Ceramic Films
and Outline of Developed System 691 With Aerosol Deposition Method 712
2. Formation of Slurry Using Nozzle-Free Inkjet 3. Applications of Aerosol Deposition Ceramic
Technology 693 Films 713
References 694 Reference 714
 CONTENTS xiii
59. Development of New Materials by the 63. Fabrication Technique of Organic
Mild Dispersion of Nanoparticles in Slurries Nanocrystals and Their Optical Properties
by Bead Milling and Materialization
TOSHIHIRO ISHII HITOSHI KASAI, HACHIRO NAKANISHI, AND
HIDETOSHI OIKAWA
1. Introduction 715
2. Bead Mill 715 1. The Organic Compounds Used for
3. Overdispersion and Mild Nanocrystallization 739
Dispersion 717 2. Fabrication Techniques of Organic Nanocrystals 739
4. Bead Milling for the Mass Production of 3. Size-Dependence of Optical Properties for
Nanoparticles 719 Organic Nanocrystals 742
5. Conclusions 719 4. Orientation Control of Dispersed Organic
References 719 Nanocrystals by External Field 743
References 743
60. Three-Dimensional Structural Analysis
of Nanocomposite Materials Containing 64. Instantaneous Nanofoaming Method for
Nanoparticulates Fabrication of Closed-Porosity Silica Particle
HIROSHI JINNAI KEN-ICHI KURUMADA

1. Introduction 721 References 749

2. TEMT on Nanocomposite Containing
Particular Fillers 722 65. Creation of Boron Nitride Nanotubes
3. Recent Development in TEMT 722 and Possibility for a Series of Advanced
References 725 Nanocomposite Materials
HIROAKI KUWAHARA
61. Dispersion Control of Al2O3
Nanoparticles in Ethanol 1. Introduction 751
TOSHIO KAKUI 2. Synthesis Methods of Boron Nitride Nanotubes 752
3. Reinforcement of Resins by the Addition
1. Effect of Molecular Weight of of Boron Nitride Nanotubes 753
PEI on Nanoparticle Suspension 4. Use of Boron Nitride Nanotubes Fillers as an
Viscosity 727 Insulating Heat Conductor 756
2. Relationship Between Molecular 5. Characterization of Boron Nitride
Size of PEI and Suspension NanotubesePolymer Interfacial Interactions 757
Viscosity 728 6. Conclusion 758
3. Surface Interaction Between Al2O3 References 758
Nanoparticles Using Nanocolloidal
Probe AFM 728 66. Fabrication of Functional Ceramic
4. Action Mechanism of Polymer Dispersant on Devices Produced by Three-Dimensional
Al2O3 Nanoparticle Suspension 729 Molding Using Microstereolithography
References 730 SHOJI MARUO

62. LiquideCrystalline Inorganic References 763

Nano- and Fine Particles
KIYOSHI KANIE AND ATSUSHI MURAMATSU 67. Morphology Control of Particles and
Their Patterning
1. Organic Liquid Crystals and Lyotropic Liquide YOSHITAKE MASUDA
Crystalline Inorganic Fine Particles 731
2. Development of OrganiceInorganic Hybrid 1. Morphology Control of ZnO Particles and
Liquid Crystals 732 Their Patterning 765
3. Summary and Prospect 736 2. Patterning of Pt Nanoparticles and In2O3 769
References 737 References 774
xiv CONTENTS

68. Development of Ceramic-Bonded 72. Self-Assembly of Oxide Nanosheets:

Carbon Precise Structural Control and Its
YOSHINARI MIYAMOTO, MASAHARU NAKAMURA, Applications
TETSURO TOJO, AND WEIWU CHEN MINORU OSADA AND TAKAYOSHI SASAKI

1. Fabrication of Ceramic-Bonded Carbons 777 1. Introduction 797

2. Microstructure and Properties of Ceramic-Bonded 2. Synthesis of Functional Nanosheets 797
Carbons 778 3. Layer-by-Layer Assembly of Oxide
3. Joining of Ceramic-Bonded Carbons With Nanosheets 798
Ceramics 779 4. Applications to Nanoelectronics 798
4. Potential Applications 780 References 798
References 780
73. Fabrication of Ceramics With Highly
69. Nano/Microcomposite Particles: Controlled Microstructures by Advanced
Preparation Processes and Applications Powder Processing
XING WEI, ATSUSHI YOKOI, AND HIROYUKI MUTO YOSHIO SAKKA

1. Introduction 781 1. Introduction 801

2. Mechanism of Electrostatic Adsorption Method 2. Fabrication of Fine-Grained Ceramics by
and Nano/Microcomposite Particles 781 Colloidal Processing 801
3. Applications on Nano/Microcomposite Materials 783 3. Highly Conductive Carbon-Nanotube-Dispersed
4. Conclusions 785 Ceramics by Heterocoagulation 802
Acknowledgments 785 4. Control of Crystal Orientation by Colloidal
References 785 Processing in Strong Magnetic Field 804
5. Nacre-Like Ceramics 805
70. Generation of Metal Nanoparticles 6. Laminated Composites 806
Using Reactive Plasma Arc Evaporation References 807
NORIYUKI NAKAJIMA
74. Surface Modification of Inorganic
1. Summary of the Reactive Plasma Arc Evaporation Nanoparticles by Organic Functional
Method 787
Groups
2. Nanoparticles by the Reactive Plasma Arc
SEIICHI TAKAMI
Evaporation Method 788
3. The Nanoparticles-Generation Rate, 1. Surface-Modified Noble Metal Nanoparticles 809
Characteristic, and Shape 788 2. Organic Modification of Metal Oxide
4. Application of the Nanoparticle 789 Nanoparticles 810
References 790 3. Hybridization of Inorganic Nanoparticles With
Biomolecules 811
71. Synthesis of Nanoparticles by Radio References 812
Frequency Induction Thermal Plasma
KEITARO NAKAMURA 75. Evaluation and Applications of
Dispersing Carbon Nanotube in the
1. Advantages of the Method of Synthesis of
Nanoparticles by Radio Frequency Induction
Polymers
Thermal Plasma 791 HIROFUMI TAKASE
2. Experimental Configuration and Equipment
1. Carbon Nanotube 813
for the Synthesis of Nanoparticles 791
2. Fracture Model of Agglomerates of Carbon
3. Generation of Nanoparticles by Radio
Nanotube 813
Frequency Induction Thermal Plasma 792
3. Dispersion of CNT by an Extruder 813
4. Conclusions 796
4. Dispersion of Composites and Its Evaluation 813
References 796
 CONTENTS xv
5. Relationship Between the Agglomerate Fraction 3. Dispersion and Composing of Nanoparticles by
Ar and Composite Properties 814 Dry Mechanical Method 825
6. Percolation 816 4. Dispersion of Nanoparticles by Wet Method and
7. Development of CNT Composite Resin Its Application to Advanced Firefighter Uniform 826
Materials 816 References 828
References 817
78. Preparation of Metal Nanoparticles
76. Development of PolymereClay and Their Application for Materials
Nanocomposites by Dispersion of Particles TETSU YONEZAWA
Into Polymer Materials
ARIMITSU USUKI 1. Introduction 829
2. Nanoparticle Preparation by Chemical Reduction 829
1. Nylon 6eClay Hybrid 819 3. Sputtering Processes to Obtain Metal
2. Synthesis and Properties of PolypropyleneeClay Nanoparticles 831
Hybrid 820 4. Applications of Metal Nanoparticles 833
3. Synthesis and Properties of Ethylenee 5. Application of Copper Nanoparticles and Fine
PropyleneeDieneeMethylene (Linkage)eClay Particles for Low-Temperature Sintering 834
Hybrid 820 6. In Situ Heating Experiments 834
4. Morphology Control by Polymers With Clay 821 7. Conclusions 837
References 821 References 837

77. Development of Dispersion and 79. Nanotechnology Challenge in

Composing Processes of Nanoparticles and Mechanochemistry
Their Application to Advanced Firefighter QIWU ZHANG, JUNYA KANO, AND FUMIO SAITO
Uniform
1. Introduction 839
TOYOKAZU YOKOYAMA, SHUJI SASABE, AND
2. Materials Processing 839
KENJI TAKEBAYASHI
3. Conclusion 843
1. Introduction 823 References 843
2. Preparation of Nanocomposite Particles by
Gas-Phase Reaction Method 823 Index 845
This page intentionally left blank
 List of Contributors
Hiroya Abe Joining and Welding Research Institute, Osaka
University
Tadafumi Adschiri Institute of Multidisciplinary Research
for Advanced Materials, Tohoku University, Sendai, Japan
Tsutomu Aida Tohoku University, Sendai, Japan
Takashi Akatsu Materials and Structures Laboratory, Tokyo
Institute of Technology
Jun Akedo National Institute of Advanced Industrial
Science and Technology (AIST)
Masanori Ando National Institute of Advanced Industrial
Science and Technology (AIST)
Yoshinori Ando Department of Materials Science and
Engineering, Meijo University
Hiroyuki Anzai Central Research, Bridgestone Corporation
Nobuaki Aoki Tohoku University, Sendai, Japan
Masanobu Awano National Institute of Advanced
Industrial Science and Technology (AIST)
Akira Azushima Graduate School of Engineering,
Yokohama National University
Tetsuya Baba National Institute of Advanced Industrial
Science and Technology (AIST)
Weiwu Chen Joining and Welding Research Institute, Osaka
University
Kensei Ehara National Institute of Advanced Industrial
Science and Technology (AIST)
Hitoshi Emi Association of Powder Process Industry and
Engineering (APPIE)
Hiroshi Fudouzi Optronic Materials Center, National
Institute for Materials Science
Masayoshi Fuji Ceramics Research Laboratory, Nagoya
Institute of Technology
Hidetoshi Fujii Joining and Welding Research Institute,
Osaka University
Hiroshi Fukui Frontier Science Business Division, Shiseido
Co., Ltd.
Takehisa Fukui Hosokawa Powder Technology Research
Institute
Yoshinobu Fukumori Faculty of Pharmaceutical Sciences,
Kobe Gakuin University
Hideki Goda R&D Department, Photo-electronic Materials
Division, Arakawa Chemical Industries, Ltd.
Kuniaki Gotoh The Graduate School of Natural Science and
Technology, Okayama University
Yukiya Hakuta National Institute of Advanced Industrial
Science and Technology (AIST)
Kaori Hara Hosokawa Powder Technology Research
Institute
Akitoshi Hayashi Osaka Prefecture University, Osaka, Japan
Kazuyuki Hayashi R&D Division, Toda Kogyo Corporation
Ko Higashitani Department of Chemical Engineering,
Kyoto University
Kazuyuki Hirao Department of Material Chemistry, Kyoto
Univerisity
Daisuke Hojo Tohoku University, Sendai, Japan
Kouhei Hosokawa Hosokawa Micron Corporation,
Osaka, Japan
Masuo Hosokawa Hosokawa Micron Corporation
Yuji Hotta National Institute of Advanced Industrial Science
and Technology (AIST), Nagoya, Japan
Hideki Ichikawa Faculty of Pharmaceutical Sciences Kobe
Gakuin University
Takashi Ida Ceramics Research Laboratory, Nagoya Institute
of Technology
Manabu Ihara Research Center for Carbon Recycling
Energy, Tokyo Institute of Technology
Motoyuki Iijima Yokohama National University, Yokohama,
Japan
Yusuke Imai National Institute of Advanced Industrial
Science and Technology, Nagoya, Japan
Shinji Inagaki Toyota Central R&D Labs., Inc.
Mitsuteru Inoue Toyohashi University of Technology
Eiji Iritani Department of Chemical Engineering, Nagoya
University
Yasutoshi Iriyama Nagoya University, Nagoya, Japan
Naoyuki Ishida National Institute of Advanced Industrial
Science and Technology (AIST)
Toshihiro Ishii Ashizawa Finetech Ltd., Narashino-shi,
Japan
Norifumi Isu LIXIL Corporation
Mikimasa Iwata Central Research Institute of Electric Power
Industry
Hiroshi Jinnai Institute for Materials Chemistry and
Engineering (IMCE), Kyushu University
Jinting Jiu Senju Metal Industry Co., Ltd., Tokyo, Japan;
Osaka University, Osaka, Japan
xviii LIST OF CONTRIBUTORS
Norihiko Kaga Central Research, Bridgestone Corporation
Kotaro Kajikawa Tokyo Institute of Technology
Toshio Kakui Chemicals Division, Lion Corporation
Hidehiro Kamiya Institute of Symbiotic Science and
Technology, Tokyo University of Agriculture & Technology
Kenji Kaneko Department of Material Science and
Engineering, Kyushu University
Kiyoshi Kanie Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University
Junya Kano Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University
Hitoshi Kasai Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University
Tomoko Kasuga Electrotechnology Applications R&D
Center, Chubu Electric Power Co., Inc.
Tsutomu Katamoto Creative R&D Center, Toda Kogyo
Corporation
Shinji Katsura Faculty of Engineering, Gunma University
Masayoshi Kawahara Hosokawa Powder Technology
Research Institute
Yoshiaki Kawashima Department of Pharmaceutical
Engineering School of Pharmacy, Aichi Gakuin University,
Nagoya, Japan; Gifu Pharmaceutical University,
Gifu, Japan
Yoshiaki Kinemuchi National Institute of Advanced
Industrial Science and Technology (AIST)
Soshu Kirihara Joining and Welding Research Institute,
Osaka University
Masanori Koshimizu Tohoku University, Sendai, Japan
Akihiko Kondo Kobe University, Kobe, Japan; Department
of Chemical Science and Engineering, Kobe University
Akira Kondo Joining and Welding Research Institute, Osaka
University, Osaka, Japan
Katsuyoshi Kondou Joining and Welding Research Institute,
Osaka University
Takahiro Kozawa Osaka University, Osaka, Japan
Kazue Kurihara Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University
Shun’ichi Kuroda The Institute of Scientific and Industrial
Research, Osaka University
Ken-ichi Kurumada Graduate School of Environment &
Information Sciences, Yokohama National University
Hiroaki Kuwahara Corporate Strategy Division, Teijin Ltd.
Chunliang Li National Institute of Advanced Industrial
Science and Technology (AIST)
Hisao Makino Energy Engineering Research Laboratory,
Central Research Institute of Electric Power Industry,
Yokosuka-shi, Japan
Shoji Maruo Yokoyama National University, Yokohama,
Japan
Hiroaki Masuda Department of Chemical Engineering,
Kyoto University
Yoshitake Masuda National Institute of Advanced
Industrial Science and Technology (AIST), Nagoya, Japan
Motohide Matsuda Graduate School of Environmental
Science, Okayama University
Shuji Matsusaka Department of Chemical Engineering,
Kyoto University
Tatsushi Matsuyama Faculty of Engineering,
Soka University
Reiji Mezaki Nanomateria Center, Institute of Innovation,
The University of Tokyo
Takeshi Mikayama Kohno Patent Office
Minoru Miyahara Department of Chemical Engineering,
Kyoto University
Kiyotomi Miyajima Central Research Institute of Electric
Power Industry
Yoshinari Miyamoto Joining and Welding Research
Institute, Osaka University
Masaru Miyayama Research Center for Advanced Science
and Technology, The University of Tokyo
Hideki T. Miyazaki National Institute for Materials Science
Hidetoshi Mori School of Engineering, Aichi University of
Technology
Tsutomu Morimoto Japan Chemical Innovation Institute
Kenta Morita Kobe University, Kobe, Japan
Hirokazu Munakata Tokyo Metropolitan University
Hiroyuki Muto Toyohashi University of Technology,
Toyohashi, Japan
Muhammad M. Munir Department of Chemical
Engineering, Hiroshima University
Atsushi Muramatsu Institute of Multidisciplinary Research
for Advanced Materials, Tohoku University
Norio Murase National Institute of Advanced Industrial
Science and Technology (AIST)
Toshihiko Myojo Institute of Industrial Ecological Sciences,
University of Occupational and Environmental Health
Makio Naito Joining and Welding Research Institute, Osaka
University, Osaka, Japan
Noriyuki Nakajima Institute of Nanotechnology,
Kurimoto, Ltd.
Masami Nakamoto Osaka Municipal Technical Research
Institute
Masaharu Nakamura Toyo Tanso Co., Ltd.
Keitaro Nakamura Nisshin Seifun Group Inc.
Hachiro Nakanishi Institute of Multidisciplinary Research
for Advanced Materials, Tohoku University
Norikazu Namiki Kyoritsu Gokin Co., Ltd.
Yuya Nishimura Kobe University, Kobe, Japan
Naoki Noda Central Research Institute of Electric Power
Industry, Yokosuka-shi, Japan
Kiyoshi Nogi Joining and Welding Research Institute, Osaka
University
 LIST OF CONTRIBUTORS
Yuji Noguchi The University of Tokyo
Junichi Noma Sumiyoshi Factory, Kurimoto Ltd.,
Osaka, Japan
Toshiyuki Nomura Department of Chemical Engineering,
Osaka Prefecture University
Takashi Ogi Department of Chemical Engineering,
Hiroshima University
Chiaki Ogino Kobe University, Kobe, Japan
Satoshi Ohara Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University; Osaka University,
Osaka, Japan
Akira Ohtomo Institute for Materials Research, Tohoku
University
Hidetoshi Oikawa Institute of Multidisciplinary Research
for Advanced Materials, Tohoku University
Tomoichiro Okamoto Nagaoka University of Technology
Tatsuya Okubo The University of Tokyo
Kikuo Okuyama Graduate School of Engineering,
Hiroshima University
Minoru Osada National Institute for Materials Science
Yoshio Otani Graduate School of Natural Science and
Techonology, Kanazawa University
Yasufumi Otsubo Graduate School of Engineering, Chiba
University
Masashi Otsuki Central Research, Bridgestone Corporation
Fumio Saito Institute of Multidisciplinary Research for
Advanced Materials (IMRAM), Tohoku University
Shuji Sakaguchi National Institute of Advanced Industrial
Science and Technology (AIST)
Yoshio Sakka Nano Ceramics Center, National Institute for
Materials Science, Tsukuba, Japan
Shuji Sasabe Powder Technology Research Institute,
Hosokawa Micron Corporation
Aiko Sasai Hosokawa Micron Corporation, Osaka, Japan
Takayoshi Sasaki International Center for Materials
Nanoarchitectonics, National Institute for Materials
Science
Takafumi Sasaki Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University
Norifusa Satoh Department of Chemistry,
Keio University
Tetsuya Senda National Maritime Research Institute
Gimyeong Seong Tohoku University, Sendai, Japan
Yuichi Setsuhara Joining and Welding Research Institute,
Osaka University
Haruhide Shikano Ibiden Co., Ltd.
Manabu Shimada Graduate School of Engineering,
Hiroshima University
Akihiko Suda Toyota Central R&D Labs., Inc.
Katsuaki Suganuma Senju Metal Industry Co., Ltd., Tokyo,
Japan; Osaka University, Osaka, Japan
xix
Hisao Suzuki Graduate School of Science and Technology,
Shizuoka University
Michitaka Suzuki Department of Mechanical and System
Engineering, University of Hyogo
Takahiro Suzuki Kobe University, Kobe, Japan
Takahiro Takada Murata Manufacturing Co., Ltd.
Chisato Takahashi Aichi Gakuin University, Nagoya, Japan
Chika Takai Ceramics Research Laboratory, Nagoya
Institute of Technology
Seiichi Takami Nagoya University, Nagoya, Japan
Hirofumi Takase R&D Division, Takiron Co., Ltd.
Kenji Takebayashi Powder Technology Research Institute,
Hosokawa Micron Corporation
Hirofumi Takeuchi Laboratory of Phamaceutical
Engineering, Gifu Pharmaceutical University
Junichi Tatami Graduate School of Environment &
Information Sciences, Yokohama National University
Masahiro Tatsumisago Osaka Prefecture University,
Osaka, Japan
Kenji Toda Graduate School of Science and Technology,
Niigata University
Takanari Togashi Yamagata University, Yamagata, Japan
Tetsuro Tojo Toyo Tanso Co., Ltd.
Takaaki Tomai Tohoku University, Sendai, Japan
Hiroyuki Tsujimoto Hosokawa Micron Corporation; Aichi
Gakuin University, Nagoya, Japan
Takao Tsukada Tohoku University, Sendai, Japan
Yusuke Tsukada Hosokawa Micron Corporation,
Osaka, Japan
Tetsuo Uchikoshi Nano Ceramics Center, National Institute
for Materials Science
Keizo Uematsu Nagaoka University of Technology
Minoru Ueshima Senju Metal Industry Co., Ltd.,
Tokyo, Japan
Mitsuo Umetsu Graduate School of Engineering,
Tohoku University
Arimitsu Usuki Toyota Central R&D Labs., Inc.
Fumihiro Wakai Materials & Structures Laboratory, Tokyo
Institute of Technology
Xing Wei Chang’an University, ShaanXi, China
Akimasa Yamaguchi Energy Engineering Research
Laboratory, Central Research Institute of Electric
Power Industry
Yukio Yamaguchi Department of Chemical System
Engineering, The University of Tokyo
Hiromitsu Yamamoto University School of Pharmacy, Aichi
Gakuin University, Nagoya, Japan
Kenji Yamamoto International Clinical Research Center,
International Medical Center of Japan
Kimihisa Yamamoto Department of Chemistry,
Keio University
xx LIST OF CONTRIBUTORS

Atsushi Yamamoto National Institute of Advanced
Industrial Science and Technology (AIST)
Masatomo Yashima Department of Materials Science and
Engineering, Tokyo Institute of Technology
Akira Yoko Tohoku University, Sendai, Japan
Atsushi Yokoi Toyohashi University of Technology,
Toyohashi, Japan
Toyokazu Yokoyama Hosokawa Micron Corporation,
Osaka, Japan
Susumu Yonezawa Faculty of Engineering,
University of Fukui
Tetsu Yonezawa Hokkaido University, Sapporo, Japan
Qiwu Zhang Institute of Multidisciplinary Research for
Advanced Materials, Tohoku University
 Preface
A “powder,” which is an assemblage of small solid
particles, exhibits very unique behavior. For example,
depending on the circumstances, a powder can behave
like a gas, a liquid, or a solid. Furthermore, because of the
larger specific surface area relative to a bulk material,
powders can have very unique properties. This is espe-
cially true for “nanoparticles.” The unique behavior and
properties of particle and powder give them a wide range
of industrial applications that makes them ubiquitous
in our daily lives and makes them promising materials
for creating scientific and technical innovations in the
future.
Although powders have long been important mate-
rials in our daily lives, the academic study of particle and
powder technology has a relatively short history. The
Society of Powder Technology, Japan (SPTJ) was estab-
lished in 1956 with the mission to foster interactions
between society members to enable and facilitate ad-
vances in powder technology as well as in the powder
and powder technology industries. I am serving as the
12th President (2015e18) of the society. SPTJ celebrated
its 60th anniversary in 2016. Now, in collaboration with
academia and industry, we are taking the first steps for
the next 60 years.
Mr. Masuo Hosokawa, the chief editor of the first
edition of this Handbook, was a pioneer in this industry.
When he was the President of Hosokawa Micron Corp.,
he founded Hosokawa Powder Technology Foundation
in 1991 to contribute to advancement of powder tech-
nology on a worldwide scale and published the first
issue of “KONA Powder and Particle Journal” on pow-
der technology in 1983. Since then, KONA has been
published annually and distributed worldwide.
Mr. Hosokawa proposed the concept of “nanoparticle
technology” long before past US President Bill Clinton’s
National Nanotechnology Initiative in 2000. One of the
activities of the Foundation was to publish the Nano-
particle Technology Handbook in Japanese in 2006,
xxi
which was translated into English and published as the
first edition of this Handbook in 2007. Nanoparticle
technology advanced considerably after 2007, prompting
Mr. Hosokawa to start preparing an updated second
edition of the Handbook. He unfortunately passed away
on March 31, 2010, before the second edition was pub-
lished in 2012.
Because nanoparticle technology has rapidly
advanced since 2012, it has been applied more broadly
and in new areas. Mr. Yoshio Hosokawa, the second
President of Hosokawa Powder Technology Foundation
and President of Hosokawa Micron Corporation,
decided to publish a third edition of the Handbook. In
this third edition, the applications section of the Hand-
book has been updated to include the most recent
advances in nanoparticle technology. Nineteen chapters
have been added. The 79 chapters in the applications
section are organized into 4 categories: Category A:
medical, cosmetics, and biologicals; Category B: energy,
batteries, and environmental; Category C: electronic and
magnetic materials, memory, light-emitting materials,
and displays; and Category D: synthesis, dispersion, and
processing. I hope the updated applications section will
give readers state-of-the-art information and knowledge
to develop their own innovative technology and new
products, further enhancing our understanding of the
fundamentals of nanoparticle technology.
Finally, I am grateful to the Hosokawa Powder Tech-
nology Foundation for its support and to all editors and
authors for their great contributions to the third edition.
I especially express my appreciation to the first chief
editor, Mr. Masuo Hosokawa, for his outstanding
contributions to the development and advancement of
nanoparticle technology.
Dr. Makio Naito
Professor, Osaka University
President, The Society of Powder Technology, Japan
This page intentionally left blank
 Preface to the Second Edition
The Nanoparticle Technology Handbook was the first
handbook to be published in the field of nanoparticle
technology around 5 years ago. Since then, nanoparticle
technology has further advanced and been applied in
many new applications. In response to the demand, it
was decided to publish a second edition of the Hand-
book. The editors are very pleased to see the advance-
ment of this technology and to be engaged in the
publication of the second edition.
However, we regret to inform our readers of the sad
news that the chief editor of the Handbook’s first edition,
Mr. Masuo Hosokawa, passed away on March 31, 2010
after a short stay in the hospital, at the age of 85. In fact, he
initiated the idea of publishing a handbook for nano-
particle technology. He had been greatly interested in
particles and fine powders for many years and had
developed various advanced machines such as a unique
fine grinding mill and an air classifier in the 1950s, which
led to many awards for him, including two decorations
from the Japanese government.
His enthusiasm and desire to seek extremely small
particles and their innovative properties resulted in the
invention of the concepts of MechanoFusion and Mech-
anoChemical Bonding technologies, which are in prin-
ciple based on the mechanical activation of fine particles
for particle bonding and surface modification to create
new functional materials. Since the 1980s, he also intro-
duced some useful technologies to generate nano-
particles by the bottom-up method and proposed
nanoparticle technology long before the former President
Bill Clinton’s National Nanotechnology Initiative in 2000.
Starting with the evaporation method to make metal
nanoparticles and then moving to use chemical vapor
deposition methods to create composite nanoparticles, he
succeeded in bringing new systems for nanoparticle
generation to the commercial market. In addition, in 1991
he founded the Hosokawa Powder Technology Founda-
tion and in 1983 published the first issue of the English
technical journal, “KONA Powder and Particle Journal.”
xxiii
In the meantime, publication of the first edition of the
Handbook, Nanoparticle Technology had advanced and
been employed in various applications. In the second
edition, 16 new articles have been added in the applica-
tion section for subjects related to polymer/filler com-
posites; electronic devices such as displays, sensors, and
memories; batteries/fuel cells; cosmetics; drug delivery
system and biomaterials for medical devices; color ma-
terials; environmental protections; etc. During this period
of time, there were some epoch-making incidents in the
commercialization of some technologies. Fuel cells have
been introduced for power generation and heat supply in
residential and commercial uses, and lithium ion batte-
ries have begun to be adopted by electric and hybrid
vehicles for transportation use. Additionally, the nuclear
power plant accident caused by the big earthquake and
tsunami in the Tohoku area of Japan in March 2011 had an
enormous impact on power supply and environmental
protection issues related to the lifestyle and way of
thinking of the country’s population. From these view-
points, nanoparticles have great potential to contribute to
the establishment of a sustainable living environment for
human beings by making use of their high functionality
and excellent performance.
The editors are grateful to the Hosokawa Powder
Technology Foundation for its support and to all the
contributors for their cooperation and wish that the sec-
ond edition of the Handbook would be helpful to readers
in understanding the basics of nanoparticles and to pro-
vide hints to their application.
Dr. Kiyoshi Nogi
Emeritus Professor, Osaka University
Dr. Makio Naito
Professor, Osaka University
Dr. Toyokazu Yokoyama
Fellow, Hosokawa Micron Corporation
This page intentionally left blank
 Preface to the First Edition
During the last few years, the term “Nanotechnology”
is increasingly employed to describe the process tech-
nologies and analytical techniques for material in the
ultrafine range of the order of a millionth of a millimeter.
Because they are sure to take an important part in
shaping the 21st century, great attention is being paid to
these technologies, with many countries actively
involved in R&D. As the link between these new tech-
nologies and the established particle and powder tech-
nology, “Nanoparticle technology” includes the concepts
and know-how to create, process, and apply the ultrafine
particles in the nanometer range and is one of the key
technologies for new material developments.
The technologies that are used to treat powders
arrived with mankind, and countless inventions and
improvements have been made during history. These
particles and powders have very different properties
from the bulk materials from which they are derived.
There are applications to be seen in all industrial areas.
The history of the academic study of particle and
powder technology is not so old. The first related society,
Chubu Association of Powder Technology, was founded
in Japan in 1956. It later became the Society of Powder
Technology, Japan, and celebrated its 50th anniversary in
2006. Correspondingly, the Hosokawa Micromeritics
Laboratory was established in 1956 and published its
50th anniversary issue of the annual technical journal
Funsai (The Micromeritics) also in 2006.
Throughout this period a key issue has been to reduce
the size of particles, to maximize their functional prop-
erties, and thus to find new applications and create new
products with superior performance. Great interest has
been shown in submicron and even finer particles.
Research and development has advanced at a rapid rate
due to the cooperation of academia and industry in many
areas, starting with particle creation and particle size
analysis, expanding to encompass particle design, and
processing in the micron- and nanometer-size ranges.
Japan has been at the forefront in the conception and
development of these technologies.
xxv
Due to this interest, the second World Congress in
Particle Technology (WCPT) was held in Kyoto in 1990.
Eight years later at the third WCPT in Brighton, the
author highlighted the importance of these ultrafine
particles to an audience of about 700 researchers and
engineers during the opening speech. Hosokawa Micron
Corp., which celebrated its 90th anniversary in 2006, has
been engaged in R&D on particle creation by the build-up
(bottom-up) method in both gaseous and liquid phases for
more than 20 years. The result of this research, as com-
bined with that on conventional grinding (top-down)
processes, has led to the establishment of a mass pro-
duction system for nanoparticles and to the foundation
of a business based on application of these nanoparticles
to functional materials.
Founded 15 years ago, the Hosokawa Powder Tech-
nology Foundation holds an annual symposium on
powder technology for the exchange of information on
particle engineering and powder technology. Since 2001,
the main topics of the symposium have, in response to
the requirements of industry, been related to nano-
particles and nanostructure control. The number of grant
proposals received by our Foundation for research into
nanoparticles continues to increase, and currently 40% of
some 120 proposals relate to nanoparticles.
As a result of this trend, we published 3 years ago, the
book Nanoparticle Technology to promote nanoparticle-
related engineering by documenting the technologies
constituting in this field. That book was very well
received, and to continue contributing to the common
welfare through the promotion of powder technology,
we decided to systematically update Nanoparticle Tech-
nology, adding further developments and many exam-
ples of applications. The results of that effort were
published in the form of a handbook, first in Japanese in
the memorable year 2006, and with the present volume,
in English this year. Although R&D in nanoparticle
technology advances rapidly, and the contents of the
future editions are sure to change, we hope the present
collation of state-of-the-art knowledge and information
xxvi PREFACE TO THE FIRST EDITION

will be of assistance to the researchers, engineers, and Masuo Hosokawa

others interested in this vitally important field.
In closing, I express my sincere sense of gratitude
to the authors, the editing committee, and the pub-
lishing staff for their great efforts in spite of their busy
schedules.
President, Hosokawa Micron Corporation
Chairman, Hosokawa Powder Technology
Research Institute
President, Hosokawa Powder Technology Foundation
FUNDAMENTALS
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is put in no ironic spirit. Shaw is the one thinker of eminence who
has consistently advanced in the same direction as that of the true
Nietzsche—namely, productive criticism of the Western morale—
while following out as poet the last implications of Ibsen and devoting
the balance of the artistic creativeness that is in him to practical
discussions.
Save in so far as the belated Romanticist in him has determined
the style, sound and attitude of his philosophy, Nietzsche is in every
respect a disciple of the materialistic decades. That which drew him
with such passion to Schopenhauer was (not that he himself or
anyone else was conscious of it) that element of Schopenhauer’s
doctrine by which he destroyed the great metaphysic and (without
meaning to do so) parodied his master Kant; that is to say, the
modification of all deep ideas of the Baroque age into tangible and
mechanistic notions. Kant speaks in inadequate words, which hide a
mighty and scarcely apprehensible intuition, an intuition of the world
as appearance or phenomenon. In Schopenhauer this becomes the
world as brain-phenomenon (Gehirnphänomen). The change-over
from tragic philosophy to philosophical plebeianism is complete. It
will be enough to cite one passage. In “The World as Will and Idea”
Schopenhauer says: “The will, as thing-in-itself, constitutes the inner,
true and indestructible essence of the man; in itself, however, it is
without consciousness. For the consciousness is conditioned by the
intellect and this is a mere accident of our being, since it is a function
of the brain, and that again (with its dependent nerves and spinal
cord) is a mere fruit, a product, nay, even a parasite of the rest of the
organism, inasmuch as it does not intervene directly in the latter’s
activities but only serves a purpose of self-preservation by regulating
its relations with the outer world.” Here we have exactly the
fundamental position of the flattest materialism. It was not for nothing
that Schopenhauer, like Rousseau before him, studied the English
sensualists. From them he learned to misread Kant in the spirit of
megalopolitan utilitarian modernity. The intellect as instrument of the
will-to-life,[459] as weapon in the struggle for existence, the ideas
brought to grotesque expression by Shaw in “Man and Superman”—
it was because this was his view of the world that Schopenhauer
became the fashionable philosopher when Darwin’s main work was
published in 1859. In contrast to Schelling, Hegel and Fichte, he was
a philosopher, and the only philosopher, whose metaphysical
propositions could be absorbed with ease by intellectual mediocrity.
The clarity of which he was so proud threatened at every moment to
reveal itself as triviality. While retaining enough of formula to produce
an atmosphere of profundity and exclusiveness, he presented the
civilized view of the world complete and assimilable. His system is
anticipated Darwinism, and the speech of Kant and the concepts of
the Indians are simply clothing. In his book “Ueber den Willen in der
Natur” (1835) we find already the struggle for self-preservation in
Nature, the human intellect as master-weapon in that struggle and
sexual love as unconscious selection according to biological interest.
[460]

It is the view that Darwin (via Malthus) brought to bear with

irresistible success in the field of zoology. The economic origin of
Darwinism is shown by the fact that the system deduced from the
similarities between men and the higher animals ceases to fit even at
the level of the plant-world and becomes positively absurd as soon
as it is seriously attempted to apply it with its will-tendency (natural
selection, mimicry) to primitive organic forms.[461] Proof, to the
Darwinian, means to the ordering and pictorial presentation of a
selection of facts so that they conform to his historico-dynamic basic
feeling of “Evolution.” Darwinism—that is to say, that totality of very
varied and discrepant ideas, in which the common factor is merely
the application of the causality principle to living things, which
therefore is a method and not a result—was known in all details to
the 18th Century. Rousseau was championing the ape-man theory
as early as 1754. What Darwin originated is only the “Manchester
School” system, and it is this latent political element in it that
accounts for its popularity.
The spiritual unity of the century is manifest enough here. From
Schopenhauer to Shaw, everyone has been, without being aware of
it, bringing the same principle into form. Everyone (including even
those who, like Hebbel, knew nothing of Darwin) is a derivative of the
evolution-idea—and of the shallow civilized and not the deep
Goethian form of it at that—whether he issues it with a biological or
an economic imprint. There is evolution, too, in the evolution-idea
itself, which is Faustian through and through, which displays (in
sharpest contrast to Aristotle’s timeless entelechy-idea) all our
passionate urgency towards infinite future, our will and sense of aim
which is so immanent in, so specific to, the Faustian spirit as to be
the a priori form rather than the discovered principle of our Nature-
picture. And in the evolution of evolution we find the same change
taking place as elsewhere, the turn of the Culture to the Civilization.
In Goethe evolution is upright, in Darwin it is flat; in Goethe organic,
in Darwin mechanical; in Goethe an experience and emblem, in
Darwin a matter of cognition and law. To Goethe evolution meant
inward fulfilment, to Darwin it meant “Progress.” Darwin’s struggle for
existence, which he read into Nature and not out of it, is only the
plebeian form of that primary feeling which in Shakespeare’s
tragedies moves the great realities against one another; but what
Shakespeare inwardly saw, felt and actualized in his figures as
destiny, Darwinism comprehends as causal connexion and
formulates as a superficial system of utilities. And it is this system
and not this primary feeling that is the basis of the utterances of
“Zarathustra,” the tragedy of “Ghosts,” the problems of the “Ring of
the Nibelungs.” Only, it was with terror that Schopenhauer, the first of
his line, perceived what his own knowledge meant—that is the root
of his pessimism, and the “Tristan” music of his adherent Wagner is
its highest expression—whereas the late men, and foremost among
them Nietzsche, face it with enthusiasm, though it is true, the
enthusiasm is sometimes rather forced.
Nietzsche’s breach with Wagner—that last product of the German
spirit over which greatness broods—marks his silent change of
school-allegiance, his unconscious step from Schopenhauer to
Darwin, from the metaphysical to the physiological formulation of the
same world-feeling, from the denial to the affirmation of the aspect
that in fact is common to both, the one seeing as will-to-life what the
other regards as struggle for existence. In his “Schopenhauer als
Erzieher” he still means by evolution an inner ripening, but the
Superman is the product of evolution as machinery. And
“Zarathustra” is ethically the outcome of an unconscious protest
against “Parsifal”—which artistically entirely governs it—of the rivalry
of one evangelist for another.
 But Nietzsche was also a Socialist without knowing it. Not his
catchwords, but his instincts, were Socialistic, practical, directed to
that welfare of mankind that Goethe and Kant never spent a thought
upon. Materialism, Socialism and Darwinism are only artificially and
on the surface separable. It was this that made it possible for Shaw
in the third act of “Man and Superman” (one of the most important
and significant of the works that issued from the transition) to obtain,
by giving just a small and indeed perfectly logical turn to the
tendencies of “master-morale” and the production of the Superman,
the specific maxims of his own Socialism. Here Shaw was only
expressing with remorseless clarity and full consciousness of the
commonplace, what the uncompleted portion of the Zarathustra
would have said with Wagnerian theatricality and woolly
romanticism. All that we are concerned to discover in Nietzsche’s
reasoning is its practical bases and consequences, which proceed of
necessity from the structure of modern public life. He moves
amongst vague ideas like “new values,” “Superman,” “Sinn der
Erde,” and declines or fears to shape them more precisely. Shaw
does it. Nietzsche observes that the Darwinian idea of the Superman
evokes the notion of breeding, and stops there, leaves it at a
sounding phrase. Shaw pursues the question—for there is no object
in talking about it if nothing is going to be done about it—asks how it
is to be achieved, and from that comes to demand the transformation
of mankind into a stud-farm. But this is merely the conclusion implicit
in the Zarathustra, which Nietzsche was not bold enough, or was too
fastidious, to draw. If we do talk of systematic breeding—a
completely materialistic and utilitarian notion—we must be prepared
to answer the questions, who shall breed what, where and how? But
Nietzsche, too romantic to face the very prosaic social
consequences and to expose poetic ideas to the test of facts, omits
to say that his whole doctrine, as a derivative of Darwinism,
presupposes Socialism and, moreover, socialistic compulsion as the
means; that any systematic breeding of a class of higher men
requires as condition precedent a strictly socialistic ordering of
society; and that this “Dionysiac” idea, as it involves a common
action and is not simply the private affair of detached thinkers, is
democratic, turn it how you may. It is the climax of the ethical force of
“Thou shalt”; to impose upon the world the form of his will, Faustian
man sacrifices even himself.
The breeding of the Superman follows from the notion of
“selection.” Nietzsche was an unconscious pupil of Darwin from the
time that he wrote aphorisms, but Darwin himself had remoulded the
evolution-ideas of the 18th Century according to the Malthusian
tendencies of political economy, which he projected on the higher
animal-world. Malthus had studied the cotton industry in Lancashire,
and already in 1857 we have the whole system, only applied to men
instead of to beasts, in Buckle’s History of English Civilization.
In other words, the “master-morale” of this last of the Romantics is
derived—strangely perhaps but very significantly—from that source
of all intellectual modernity, the atmosphere of the English factory.
The Machiavellism that commended itself to Nietzsche as a
Renaissance phenomenon is something closely (one would have
supposed, obviously) akin to Darwin’s notion of “mimicry.” It is in fact
that of which Marx (that other famous disciple of Malthus) treats in
his Das Kapital, the bible of political (not ethical) Socialism.[462] That
is the genealogy of “Herrenmoral.” The Will-to-Power, transferred to
the realistic, political and economic domain, finds its expression in
Shaw’s “Major Barbara.” No doubt Nietzsche, as a personality,
stands at the culmination of this series of ethical philosophers, but
here Shaw the party politician reaches up to his level as a thinker.
The will-to-power is to-day represented by the two poles of public life
—the worker-class and the big money-and-brain men—far more
effectually than it ever was by a Borgia. The millionaire Undershaft of
Shaw’s best comedy is a Superman, though Nietzsche the
Romanticist would not have recognized his ideal in such a figure.
Nietzsche is for ever speaking of transvaluations of all values, of a
philosophy of the “Future” (which, incidentally, is merely the Western,
and not the Chinese or the African future), but when the mists of his
thought do come in from the Dionysiac distance and condense into
any tangible form, the will-to-power appears to him in the guise of
dagger-and-poison and never in that of strike and “deal.” And yet he
says that the idea first came to him when he saw the Prussian
regiments marching to battle in 1870.
 The drama, in this epoch, is no longer poetry in the old sense of
the Culture days, but a form of agitation, debate and demonstration.
The stage has become a moralizing institution. Nietzsche himself
often thought of putting his ideas in the dramatic form. Wagner’s
Nibelung poetry, more especially the first draft of it (1850), expresses
his social-revolutionary ideas, and even when, after a circuitous
course under influences artistic and non-artistic, he has completed
the “Ring,” his Siegfried is still a symbol of the Fourth Estate, his
Brünhilde still the “free woman.” The sexual selection of which the
“Origin of Species” enunciated the theory in 1859, was finding its
musical expression at the very same time in the third act of
“Siegfried” and in “Tristan.” It is no accident that Wagner, Hebbel and
Ibsen, all practically simultaneously, set to work to dramatize the
Nibelung material. Hebbel, making the acquaintance in Paris of
Engels’s writings, expresses (in a letter of April 2, 1844) his surprise
at finding that his own conceptions of the social principle of his age,
which he was then intending to exemplify in a drama Zu irgend einer
Zeit, coincided precisely with those of the future “Communist
Manifesto.” And, upon first making the acquaintance of
Schopenhauer (letter of March 19, 1857), he is equally surprised by
the affinity that he finds between the Welt als Wille und Vorstellung
and tendencies upon which he had based his Holofernes and his
Herodes und Mariamne. Hebbel’s diaries, of which the most
important portion belongs to the years 1835-1845, were (though he
did not know it) one of the deepest philosophical efforts of the
century. It would be no surprise to find whole sentences of it in
Nietzsche, who never knew him and did not always come up to his
level.
The actual and effective philosophy of the 19th Century, then, has
as its one genuine theme the Will-to-Power. It considers this Will-to-
Power in civilized-intellectual, ethical, or social forms and presents it
as will-to-life, as life-force, as practical-dynamical principle, as idea,
and as dramatic figure. (The period that is closed by Shaw
corresponds to the period 350-250 in the Classical.) The rest of the
19th-Century philosophy is, to use Schopenhauer’s phrase,
“professors’ philosophy by philosophy-professors.” The real
landmarks are these:
 1819. Schopenhauer, Die Welt als Wille und Vorstellung. The will
to life is for the first time put as the only reality (original force,
Urkraft); but, older idealist influences still being potent, it is put
there to be negatived (zur Verneinung empfohlen).
1836. Schopenhauer, Ueber den Willen in der Natur. Anticipation
of Darwinism, but in metaphysical disguise.
1840. Proud’hon, Qu’est-ce que la Propriété, basis of
Anarchism. Comte, Cours de philosophic positive; the formula
“order and progress.”
1841. Hebbel, “Judith,” first dramatic conception of the “New
Woman” and the “Superman.” Feuerbach, Das Wesen des
Christenthums.
1844. Engels, Umriss einer Kritik des Nationalökonomie,
foundation of the materialistic conception of history. Hebbel, Maria
Magdalena, the first social drama.
1847. Marx, Misère de la Philosophie (synthesis of Hegel and
Malthus). These are the epochal years in which economics begins
to dominate social ethic and biology.
1848. Wagner’s “Death of Siegfried”; Siegfried as social-ethical
revolutionary, the Fafnir hoard as symbol of Capitalism.
1850. Wagner’s Kunst und Klima; the sexual problem.
1850-1858. Wagner’s, Hebbel’s and Ibsen’s Nibelung poetry.
1859 (year of symbolic coincidences). Darwin, “Origin of
Species” (application of economics to biology). Wagner’s “Tristan.”
Marx, Zur Kritik der politischen Ökonomie.
1863. J. S. Mill, “Utilitarianism.”
1865. Dühring, Wert des Lebens—a work which is rarely heard
of, but which exercised the greatest influence upon the succeeding
generation.
1867. Ibsen, “Brand.” Marx, Das Kapital.
1878. Wagner “Parsifal.” First dissolution of materialism into
mysticism.
1879. Ibsen “Nora.”
1881. Nietzsche, Morgenröthe; transition from Schopenhauer to
Darwin, morale as biological phenomenon.
1883. Nietzsche, Also sprach Zarathustra; the Will-to-Power, but
in Romantic disguise.
 1886. Ibsen, “Rosmersholm.” Nietzsche, Jenseits von Gut und
Böse.
1887-8. Strindberg, “Fadren” and “Fröken Julie.”
From 1890 the conclusion of the epoch approaches. The
religious works of Strindberg and the symbolical of Ibsen.
1896. Ibsen, “John Gabriel Borkman.” Nietzsche, Uebermensch.
1898. Strindberg, “Till Damascus.”
From 1900 the last phenomena.
1903. Weininger, Geschlecht und Charakter; the only serious
attempt to revive Kant within this epoch, by referring him to
Wagner and Ibsen.
1903. Shaw, “Man and Superman”; final synthesis of Darwin and
Nietzsche.
1905. Shaw, “Major Barbara”; the type of the Superman referred
back to its economic origins.
With this, the ethical period exhausts itself as the metaphysical had
done. Ethical Socialism, prepared by Fichte, Hegel, and Humboldt,
was at its zenith of passionate greatness about the middle of the
19th Century, and at the end thereof it had reached the stage of
repetitions. The 20th Century, while keeping the word Socialism, has
replaced an ethical philosophy that only Epigoni suppose to be
capable of further development, by a praxis of economic everyday
questions. The ethical disposition of the West will remain “socialistic”
but its theory has ceased to be a problem. And there remains the
possibility of a third and last stage of Western philosophy, that of a
physiognomic scepticism. The secret of the world appears
successively as a knowledge problem, a valuation problem and a
form problem. Kant saw Ethics as an object of knowledge, the 19th
Century saw it as an object of valuation. The Sceptic would deal with
both simply as the historical expression of a Culture.
 CHAPTER XI
FAUSTIAN AND APOLLINIAN
NATURE-KNOWLEDGE
 CHAPTER XI

FAUSTIAN AND APOLLINIAN NATURE-

KNOWLEDGE
 I
Helmholtz observed, in a lecture of 1869 that has become famous,
that “the final aim of Natural Science is to discover the motions
underlying all alteration, and the motive forces thereof; that is, to
resolve itself into Mechanics.” What this resolution into mechanics
means is the reference of all qualitative impressions to fixed
quantitative base-values, that is, to the extended and to change of
place therein. It means, further—if we bear in mind the opposition of
becoming and become, form and law, image and notion—the
referring of the seen Nature-picture to the imagined picture of a
single numerically and structurally measurable Order. The specific
tendency of all Western mechanics is towards an intellectual
conquest by measurement, and it is therefore obliged to look for the
essence of the phenomenon in a system of constant elements that
are susceptible of full and inclusive appreciation by measurement, of
which Helmholtz distinguishes motion (using the word in its everyday
sense) as the most important.
To the physicist this definition appears unambiguous and
exhaustive, but to the sceptic who has followed out the history of this
scientific conviction, it is very far from being either. To the physicist,
present-day mechanics is a logical system of clear, uniquely-
significant concepts and of simple, necessary relations; while to the
other it is a picture distinctive of the structure of the West-European
spirit, though he admits that the picture is consistent in the highest
degree and most impressively convincing. It is self-evident that no
practical results and discoveries can prove anything as to the “truth”
of the theory, the picture.[463] For most people, indeed, “mechanics”
appears as the self-evident synthesis of Nature-impressions. But it
merely appears to be so. For what is motion? Is not the postulate
that everything qualitative is reducible to the motion of unalterably-
alike mass-points, essentially Faustian and not common to
humanity? Archimedes, for example, did not feel himself obliged to
transpose the mechanics that he saw into a mental picture of
motions. Is motion generally a purely mechanical quantity? Is it a
word for a visual experience or is it a notion derived from that
experience? Is it the number that is found by measurement of
experimentally-produced facts, or the picture that is subjected to that
number, that is signified by it? And if one day physics should really
succeed in reaching its supposed aim, in devising a system of law-
governed “motions” and of efficient forces behind them into which
everything whatsoever appreciable by the senses could be fitted—
would it thereby have achieved “knowledge” of that which occurs, or
even made one step towards this achievement? Yet is the form-
language of mechanics one whit the less dogmatic on that account?
Is it not, on the contrary, a vessel of the myth like the root-words, not
proceeding from experience but shaping it and, in this case, shaping
it with all possible rigour? What is force? What is a cause? What is a
process? Nay, even on the basis of its own definitions, has physics a
specific problem at all? Has it an object that counts as such for all
the centuries? Has it even one unimpeachable imagination-unit, with
reference to which it may express its results?
The answer may be anticipated. Modern physics, as a science, is
an immense system of indices in the form of names and numbers
whereby we are enabled to work with Nature as with a machine.[464]
As such, it may have an exactly-definable end. But as a piece of
history, all made up of destinies and incidents in the lives of the men
who have worked in it and in the course of research itself, physics is,
in point of object, methods and results alike an expression and
actualization of a Culture, an organic and evolving element in the
essence of that Culture, and every one of its results is a symbol.
That which physics—which exists only in the waking-consciousness
of the Culture-man—thinks it finds in its methods and in its results
was already there, underlying and implicit in, the choice and manner
of its search. Its discoveries, in virtue of their imagined content (as
distinguished from their printable formulæ), have been of a purely
mythic nature, even in minds so prudent as those of J. B. Mayer,
Faraday and Hertz. In every Nature-law, physically exact as it may
be, we are called upon to distinguish between the nameless number
and the naming of it, between the plain fixation of limits[465] and their
theoretical interpretation. The formulæ represent general logical
values, pure numbers—that is to say, objective space—and
boundary-elements. But formulæ are dumb. The expression s = ½gt²
means nothing at all unless one is able mentally to connect the
letters with particular words and their symbolism. But the moment we
clothe the dead signs in such words, give them flesh, body and life,
and, in sum, a perceptible significance in the world, we have
overstepped the limits of a mere order. θεωρία means image, vision,
and it is this that makes a Nature-law out of a figure-and-letter
formula. Everything exact is in itself meaningless, and every physical
observation is so constituted that it proves the basis of a certain
number of imaged presuppositions; and the effect of its successful
issue is to make these presuppositions more convincing than ever.
Apart from these, the result consists merely of empty figures. But in
fact we do not and cannot get apart from them. Even if an
investigator puts on one side every hypothesis that he knows as
such, as soon as he sets his thought to work on the supposedly clear
task, he is not controlling but being controlled by the unconscious
form of it, for in living activity he is always a man of his Culture, of his
age, of his school and of his tradition. Faith and “knowledge” are only
two species of inner certitude, but of the two faith is the older and it
dominates all the conditions of knowing, be they never so exact. And
thus it is theories and not pure numbers that are the support of all
natural science. The unconscious longing for that genuine science
which (be it repeated) is peculiar to the spirit of Culture-man sets
itself to apprehend, to penetrate, and to comprise within its grasp the
world-image of Nature. Mere industrious measuring for measuring’s
sake is not and never has been more than a delight for little minds.
Numbers may only be the key of the secret, no more. No significant
man would ever have spent himself on them for their own sake.
Kant, it is true, says in a well-known passage: “I maintain that in
each and every discipline of natural philosophy it is only possible to
find as much of true science as is to be found of mathematics
therein.” What Kant has in mind here is pure delimitation in the field
of the become, so far as law and formula, number and system can
(at any particular stage) be seen in that field. But a law without
words, a law, consisting merely of a series of figures read off an
instrument, cannot even as an intellectual operation be completely
effective in this pure state. Every savant’s experiment, be it what it
may, is at the same time an instance of the kind of symbolism that
rules in the savant’s ideation. All Laws formulated in words are
Orders that have been activated and vitalized, filled with the very
essence of the one—and only the one—Culture. As to the
“necessity” which is a postulate in all exact research, here too we
have to consider two kinds of necessity, viz., a necessity within the
spiritual and living (for it is Destiny that the history of every individual
research-act takes its course when, where and how it does) and a
necessity within the known (for which the current Western name is
Causality). If the pure numbers of a physical formula represent a
causal necessity, the existence, the birth and the life-duration of a
theory are a Destiny.
Every fact, even the simplest, contains ab initio a theory. A fact is
a uniquely-occurring impression upon a waking being, and
everything depends on whether that being, the being for whom it
occurs or did occur, is or was Classical or Western, Gothic or
Baroque. Compare the effect produced by a flash of lightning on a
sparrow and on an alert physical investigator, and think how much
more is contained in the observer’s “fact” than in the sparrow’s. The
modern physicist is too ready to forget that even words like quantity,
position, process, change of state and body represent specifically
Western images. These words excite and these images mirror a
feeling of significances, too subtle for verbal description,
incommunicable to Classical or to Magian or to other mankind as like
subtleties of their thought and feeling are incommunicable to us. And
the character of scientific facts as such—that is, the mode of their
becoming known—is completely governed by this feeling; and if so,
then also a fortiori such intricate intellectual notions as work, tension,
quantity of energy, quantity of heat, probability,[466] every one of
which contains a veritable scientific myth of its own. We think of such
conceptual images as ensuing from quite unprejudiced research
and, subject to certain conditions, definitively valid. But a first-rate
scientist of the time of Archimedes would have declared himself,
after a thorough study of our modern theoretical physics, quite
unable to comprehend how anyone could assert such arbitrary,
grotesque and involved notions to be Science, still less how they
could be claimed as necessary consequences from actual facts.
“The scientifically-justified conclusions,” he would have said, “are
really so-and-so”; and thereupon he would have evolved, on the
basis of the same elements made “facts” by his eyes and his mind,
theories that our physicists would listen to with amazed ridicule.
For what, after all, are the basic notions that have been evolved
with inward certainty of logic in the field of our physics? Polarized
light-rays, errant ions, flying and colliding gas-particles, magnetic
fields, electric currents and waves—are they not one and all
Faustian visions, closely akin to Romanesque ornamentation, the
upthrust of Gothic architecture, the Viking’s voyaging into unknown
seas, the longings of Columbus and Copernicus? Did not this world
of forms and pictures grow up in perfect tune with the contemporary
arts of perspective oil-painting and instrumental music? Are they not,
in short, our passionate directedness, our passion of the third
dimension, coming to symbolic expression in the imagined Nature-
picture as in the soul-image?

II

It follows then that all “knowing” of Nature, even the exactest, is

based on a religious faith. The pure mechanics that the physicist has
set before himself as the end-form to which it is his task (and the
purpose of all this imagination-machinery) to reduce Nature,
presupposes a dogma—namely, the religious world-picture of the
Gothic centuries. For it is from this world-picture that the physics
peculiar to the Western intellect is derived. There is no science that
is without unconscious presuppositions of this kind, over which the
researcher has no control and which can be traced back to the
earliest days of the awakening Culture. There is no Natural science
without a precedent Religion. In this point there is no distinction
between the Catholic and the Materialistic views of the world—both
say the same thing in different words. Even atheistic science has
religion; modern mechanics exactly reproduces the
contemplativeness of Faith.
When the Ionic reaches its height in Thales or the Baroque in
Bacon, and man has come to the urban stage of his career, his self-
assurance begins to look upon critical science, in contrast to the
more primitive religion of the countryside, as the superior attitude
towards things, and, holding as he thinks the only key to real
knowledge, to explain religion itself empirically and psychologically—
in other words, to “conquer” it with the rest. Now, the history of the
higher Cultures shows that “science” is a transitory spectacle,[467]
belonging only to the autumn and winter of their life-course, and that
in the cases of the Classical, the Indian, the Chinese and the
Arabian thought alike a few centuries suffice for the complete
exhaustion of its possibilities. Classical science faded out between
the battle of Cannæ and that of Actium and made way for the world-
outlook of the “second religiousness.”[468] And from this it is possible
to foresee a date at which our Western scientific thought shall have
reached the limit of its evolution.
There is no justification for assigning to this intellectual form-world
the primacy over others. Every critical science, like every myth and
every religious belief, rests upon an inner certitude. Various as the
creatures of this certitude may be, both in structure and in sound,
they are not different in basic principle. Any reproach, therefore,
levelled by Natural science at Religion is a boomerang. We are
presumptuous and no less in supposing that we can ever set up
“The Truth” in the place of “anthropomorphic” conceptions, for no
other conceptions but these exist at all. Every idea that is possible at
all is a mirror of the being of its author. The statement that “man
created God in his own image,” valid for every historical religion, is
not less valid for every physical theory, however firm its reputed
basis of fact. Classical scientists conceived of light as consisting in
corporeal particles proceeding from the source of light to the eye of
the beholder. For the Arabian thought, even at the stage of the
Jewish-Persian academies of Edessa, Resaïna and Pombaditha
(and for Porphyry too), the colours and forms of things were
evidenced without the intervention of a medium, being brought in a
magic and “spiritual” way to the seeing-power which was conceived
as substantial and resident in the eyeball. This was the doctrine[469]
taught by Ibn-al-Haitan, by Avicenna and by the “Brothers of
Sincerity.”[470] And the idea of light as a force, an impetus, was
current even from about 1300 amongst the Paris Occamists who
centred on Albert of Saxony, Buridan and Oresme the discoverer of
co-ordinate geometry. Each Culture has made its own set of images
of processes, which are true only for itself and only alive while it is
itself alive and actualizing its possibilities. When a Culture is at its
end and the creative element—the imaginative power, the symbolism
—is extinct, there are left “empty” formulæ, skeletons of dead
systems, which men of another Culture read literally, feel to be
without meaning or value and either mechanically store up or else
despise and forget. Numbers, formulæ, laws mean nothing and are
nothing. They must have a body, and only a living mankind—
projecting its livingness into them and through them, expressing itself
by them, inwardly making them its own—can endow them with that.
And thus there is no absolute science of physics, but only individual
sciences that come, flourish and go within the individual Cultures.
The “Nature” of Classical man found its highest artistic emblem in
the nude statue, and out of it logically there grew up a static of
bodies, a physics of the near. The Arabian Culture owned the
arabesque and the cavern-vaulting of the mosque, and out of this
world-feeling there issued Alchemy with its ideas of mysterious
efficient substantialities like the “philosophical mercury,” which is
neither a material nor a property but some thing that underlies the
coloured existence of metals and can transmute one metal into
another.[471] And the outcome of Faustian man’s Nature idea was a
dynamic of unlimited span, a physics of the distant. To the Classical
therefore belong the conceptions of matter and form, to the Arabian
(quite Spinozistically) the idea of substances with visible or secret
attributes,[472] and to the Faustian the idea of force and mass.
Apollinian theory is a quiet meditation, Magian a silent knowledge of
Alchemy the means of Grace (even here the religious source of
mechanics is to be discerned), and the Faustian is from the very
outset a working hypothesis.[473] The Greek asked, what is the
essence of visible being? We ask, what possibility is there of
mastering the invisible motive-forces of becoming? For them,
contented absorption in the visible; for us, masterful questioning of
Nature and methodical experiment.
As with the formulation of problems and the methods of dealing
with them, so also with the basic concepts. They are symbols in
each case of the one and only the one Culture. The Classical root-
words ἄπειρον, ἀρχή, μορφή, ὕλη, are not translatable into our
speech. To render ἀρχή by “prime-stuff” is to eliminate its Apollinian
connotation, to make the hollow shell of the word sound an alien
note. That which Classical man saw before him as “motion” in space,
he understood as ἀλλοίωσις, change of position of bodies; we, from
the way in which we experience motion, have deduced the concept
of a process, a “going forward,” thereby expressing and emphasizing
that element of directional energy which our thought necessarily
predicates in the courses of Nature. The Classical critic of Nature
took the visible juxtaposition of states as the original diversity, and
specified the famous four elements of Empedocles—namely, earth
as the rigid-corporeal, water as the non-rigid-corporeal and air as the
incorporeal, together with fire, which is so much the strongest of all
optical impressions that the Classical spirit could have no doubt of its
bodiliness. The Arabian “elements,” on the contrary, are ideal and
implicit in the secret constitutions and constellations which define the
phenomenon of things for the eye. If we try to get a little nearer to
this feeling, we shall find that the opposition of rigid and fluid means
something quite different for the Syrian from what it means for the
Aristotelian Greek, the latter seeing in it different degrees of
bodiliness and the former different magic attributes. With the former
therefore arises the image of the chemical element as a sort of
magic substance that a secret causality makes to appear out of
things (and to vanish into them again) and which is subject even to
the influence of the stars. In Alchemy there is deep scientific doubt
as to the plastic actuality of things—of the “somata” of Greek
mathematicians, physicists and poets—and it dissolves and destroys
the soma in the hope of finding its essence. It is an iconoclastic
movement just as truly as those of Islam and the Byzantine Bogomils
were so. It reveals a deep disbelief in the tangible figure of
phenomenal Nature, the figure of her that to the Greek was
sacrosanct. The conflict concerning the person of Christ which
manifested itself in all the early Councils and led to the Nestorian
and Monophysite secessions is an alchemistic problem.[474] It would
never have occurred to a Classical physicist to investigate things
while at the same time denying or annihilating their perceivable form.
And for that very reason there was no Classical chemistry, any more
than there was any theorizing on the substance as against the
manifestations of Apollo.
The rise of a chemical method of the Arabian style betokens a new
world-consciousness. The discovery of it, which at one blow made
an end of Apollinian natural science, of mechanical statics, is linked
with the enigmatic name of Hermes Trismegistus,[475] who is
supposed to have lived in Alexandria at the same time as Plotinus
and Diophantus. Similarly it was just at the time of the definite
emancipation of the Western mathematic by Newton and Leibniz that
the Western chemistry[476] was freed from Arabic form by Stahl
(1660-1734) and his Phlogiston theory. Chemistry and mathematic
alike became pure analysis. Already Paracelsus (1493-1541) had
transformed the Magian effort to make gold into a pharmaceutical
science—a transformation in which one cannot but surmise an
altered world-feeling. Then Robert Boyle (1626-1691) devised the
analytical method and with it the Western conception of the Element.
But the ensuing changes must not be misinterpreted. That which is
called the founding of modern chemistry and has Stahl and Lavoisier
at its turning-points is anything but a building-up of “chemical” ideas,
in so far as chemistry implies the alchemistic outlook on Nature. It is
in fact the end of genuine chemistry, its dissolution into the
comprehensive system of pure dynamic, its assimilation into the
mechanical outlook which the Baroque age had established through
Galileo and Newton. The elements of Empedocles designate states
of bodiliness (bezeichnen ein körperliches Sichverhalten) but the
elements of Lavoisier, whose combustion-theory followed promptly
upon the isolation of oxygen in 1771, designate energy-systems
accessible to human will, “rigid” and “fluid” becoming mere terms to
describe tension-relations between molecules. By our analysis and
synthesis, Nature is not merely asked or persuaded but forced. The
modern chemistry is a chapter of the modern physics of Deed.
What we call Statics, Chemistry and Dynamics—words that as
used in modern science are merely traditional distinctions without
deeper meaning—are really the respective physical systems of the
Apollinian, Magian and Faustian souls, each of which grew up in its
own Culture and was limited as to validity to the same.
Corresponding to these sciences, each to each, we have the
mathematics of Euclidean geometry, Algebra and Higher Analysis,
and the arts of statue, arabesque and fugue. We may differentiate
these three kinds of physics (bearing in mind of course that other
Cultures may and in fact do give rise to other kinds) by their
standpoints towards the problem of motion, and call them
mechanical orderings of states, secret forces and processes
respectively.

III

Now, the tendency of human thought (which is always causally

disposed) to reduce the image of Nature to the simplest possible
quantitative form-units that can be got by causal reasoning,
measuring and counting—in a word, by mechanical differentiation—
leads necessarily in Classical, Western and every other possible
physics, to an atomic theory. Of Indian and Chinese science we
know hardly more than the fact they once existed, and the Arabian is
so complicated that even now it seems to defy presentation. But we
do know our own and the Apollinian sciences well enough to
observe, here too, a deeply symbolical opposition.
The Classical atoms are miniature forms, the Western minimal
quanta, and quanta, too, of energy. On the one hand perceptibility,
sensuous nearness, and on the other, abstractness are the basic
conditions of the idea. The atomistic notions of modern physics—
which include not only the Daltonian or “chemical” atom but also the
electrons[477] and the quanta of thermodynamics—make more and
more demands upon that truly Faustian power of inner vision which
many branches of higher mathematics (such as the Non-Euclidean
geometries and the Theory of Groups) postulate, and which is not at
the disposal of laymen. A quantum of action is an extension-element
conceived without regard to sensible quality of any kind, which
eludes all relation with sight and touch, for which the expression
“shape” has no meaning whatever—something therefore which
would be utterly inconceivable to a Classical researcher. Such,
already, were Leibniz’s “Monads”[478] and such, superlatively, are the
constituents of Rutherford’s picture of the atom as positively-charged