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C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6
. sc iencedi rec t . com
ava i lab le a t wwwjournal homepage: www.elsevier .com/ locate /carbon
In situ oxygen-assisted field emission treatmentfor improving the uniformity of carbon nanotubepixel arrays and the underlying mechanism
Yu Zhang, M.X. Liao, S.Z. Deng *, Jun Chen, N.S. Xu
State Key Laboratory of Optoelectronic Materials and Technologies, Guangdong Province Key Laboratory of Display Material and Technology,
School of Physics and Engineering, Sun Yat-sen University, Guangzhou 510275, People’s Republic of China
A R T I C L E I N F O
Article history:
Received 15 October 2010
Accepted 4 April 2011
Available online 9 April 2011
0008-6223/$ - see front matter � 2011 Elsevidoi:10.1016/j.carbon.2011.04.006
* Corresponding author: Fax: +86 20 84037855E-mail address: [email protected]
A B S T R A C T
An oxygen-assisted field emission treatment is introduced for improving field emission
uniformity of carbon nanotube (CNT) pixel arrays. Oxygen gas is added during the field
emission process, and the uniformity of both emission area and brightness of a CNT pixel
array are dramatically improved by 83% and 90%, respectively, without reducing emission
stability. The underlying physical mechanism for the improvements is attributed to the fact
that the oxygen oxidizes the highly emitting CNTs, resulting in their burning out. As a
result, the emitting CNTs having a too high current are removed and more and more emit-
ting CNTs with weak current can be stimulated at a higher field, leading finally to a balance
of emission from each pixel in the array.
� 2011 Elsevier Ltd. All rights reserved.
1. Introduction
Carbon nanotube (CNT) has been considered as excellent cold
cathode material, due to its superior field emission character-
istics such as low turn-on and threshold fields and large sus-
tainable emitting current density [1,2]. Application of CNT
cold cathode in vacuum devices has been widely investigated.
For instance, Choi et al. demonstrated several prototypes of
CNT field emission display (FED) [3–5]. We reported first flat
panel light source earlier [6] and recently a high brightness
thin film transistor liquid crystal display using this kind of
backlight source [7]. Kim et al. also demonstrated the field
emitters with lateral gate and mesh structures for backlight
unit [8,9]. The CNT pixel lighting element was also shown to
have performance meeting the requirements of outdoor large
display panels [10–12]. More recently, many progresses have
been made on CNT field emission X-ray tubes [13–15].
However, the progress to flat panel application has been
hampered by lack of control of the field emission uniformity
of large area CNTs. Devices such as FED and flat panel
er Ltd. All rights reserved
.(S.Z. Deng).
backlight source cannot work without a CNT pixel array with
satisfying field emission uniformity. There are at least two ba-
sic requirements that should be met; i.e. to grow uniform CNT
pixel array and to have a post treatment to obtain field emis-
sion uniformity. However, there still remain some technical
problems to achieve the growth uniformity of CNT cathode
arrays large enough for flat panel application. Thus, various
post treatment techniques have been developed, such as di-
rect current [16] or alternating current [17] electrical treat-
ment, electrical discharge machining [18], laser irradiation
surface treatment [19,20], plasma treatment [21,22] and ion
irradiation [23]. Oxygen was used as the reaction gas in plas-
ma treatments. Oxygen ions in plasma can bombard the CNT
and are reported to improve the properties of CNT. The oxida-
tion of CNT in vacuum was also adapted to reduce the diam-
eter distribution of CNT [24]. However, oxygen plasma will
also cause damages to all the CNTs subjected to bombard-
ment, and may not be able to improve the uniformity. So
far, the above post treatments are still needed to improve to
achieve both large area uniformity and high efficiency.
.
3300 C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6
Kim et al. reported the oxygen trimming method [25] by intro-
ducing oxygen into field emission and obtained a uniform
and stable emission from printed CNT.
In this paper, we report a simple technique similar to the
oxygen trimming method: the in situ oxygen-assisted field
emission treatment, and to further understand the change
of CNT in the treatment and its underlying physical mecha-
nism the experiments are carried out. A very small amount
of oxygen gas is inlet into the vacuum gap while a CNT pixel
array undergoes field emission. The oxygen causes more oxi-
dation to the highly emitting CNTs, including the higher CNTs
and the byproduct of defected CNTs, which has more signifi-
cant Joule heating. This can result in the burning-out of these
CNTs. The oxygen forms C–O bonds with CNTs, but does not
change the work function and stability. The oxidation effect
changes the morphology of CNTs and decreases the field
enhancement factor. As a result, the emitting CNTs having
too high current are removed and more and more emitting
CNTs with weak current in each pixel can be stimulated at
higher field and a uniform emission from each pixel in the ar-
ray can be achieved. The effect of oxygen on the field emis-
sion of CNT is investigated and physical and chemical
processes are found to involve in the treatment.
2. Experimental
Typical CNT cathode sample is an array of 12 · 12 pixels, each
of which has a diameter of 200 lm. The arrays were grown on
silicon substrate using Ni–Cr catalyst by thermal chemical va-
por deposition (CVD). The growth was carried out at 700 �C for
10 min in a mixed gas of acetylene and hydrogen and argon
with a ratio of flow rate of 20:200:200(sccm).
The experimental set-up for the in situ field emission post
treatment is illustrated in Fig. 1. The CNT array was placed on
the cathode electrode. An indium tin oxide glass was used as
anode for collecting emission electron and for generating vis-
ible light on electron impact. They were separated by 250 lm-
thick ceramic spacers. The pressure of the vacuum chamber
could be adjusted by introducing oxygen gas through a pin
valve to vary from 1.0 · 10�5 to 1.0 · 10�2 Pa. To increase the
treatment efficiency, lower oxygen pressure is adopted to in-
let more oxygen molecular to participate in the treatment;
however, under the pressure lower than 1.0 · 10�2 Pa arc
Fig. 1 – Illustration of the post treatment set-up.
discharge easily appears and destroys the CNT array. Thus,
the best oxygen pressure in process should be 1.0 · 10�2 Pa.
Before the treatment, the vacuum chamber was pumped to
1.0 · 10�5 Pa, and the field emission current–voltage (IV) char-
acteristics were measured and the field emission image was
recorded by camera. Then, during the field emission, the oxy-
gen gas was constantly introduced to the vacuum chamber to
start the treatment. The chamber pressure was maintained at
1.0 · 10�2 Pa. During the treatment, the field emission image
dynamically changed, and was monitored. The treatment
process was regularly interrupted to check if the effect has
reached the desirable result. This was done by repumping
the vacuum chamber to 1.0 · 10�5 Pa. At this point, the I–V
characteristics and field emission image were recorded again.
The total emission current, oxygen pressure and process time
were key parameters for obtaining a best result. Especially,
excess process time would damage most of the CNTs and de-
crease the number of emission sites. Excess current and oxy-
gen pressure would easily cause arc discharge and destroy the
CNT array in large area. The uniformity of CNT array degrades
when the CNT array is over treated. Therefore, it is important
to inspect the dynamic change of uniformity and optimize the
parameters. Based on the above procedure, the treatment is
also suitable for improving the uniformity of screen printed
CNT array in glass substrate.
The resultant changes of CNTs after treatment were stud-
ied by scanning electron microscopy (SEM), transmission
electron microscopy (TEM), Raman spectroscopy and X-ray
photoelectron spectroscopy (XPS). The burning process of
the CNTs was also investigated by thermogravimetric (TG)
analysis.
3. Results and discussion
Fig. 2 compares the field emission images recorded before and
after treatment. The emission current was set at 1.5 mA for
recording all the three images. The image before the treat-
ment is obviously not uniform. Some pixels do not emit and
the brightness of the pixels is not uniform either. After 1 h
treatment, all the pixels emit while the brightness is still
not uniform. After 2 h treatment, the brightness of pixels
and the emission area of pixels become much more uniform.
In order to evaluate the uniformity of a CNT cathode array,
two main factors should be considered: the pixel emission
area and brightness. To evaluate the uniformity of emission
area of pixels, the emission area of each pixel is measured
from the field emission image, and their space distribution
is shown in the histogram of Fig. 2d–f. Then the uniformity
is calculated by using the following equation [26]:
U ¼ 1� r
N
� �100%
where r represents the standard deviation of the area of the
pixels, N represents the average area of the pixels. The U
parameter reveals the area distribution uniformity of all the
pixels. The larger the value of U, the better the emission area
uniformity is.
The brightness of pixels could be indirectly measured from
the emission image too. The brightness of each pixel is con-
verted into the gray level signal by image processing software
Fig. 2 – Field emission image of the 12 · 12 CNTs array, and the corresponding pixel emission area distribution histogram and
pixel brightness distribution histogram, (a, d and g) before treatment, (b, e, and h) after 1 h treatment, and (c, f, and i) after 2 h
treatment.
C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6 3301
and divided into 255 levels, while 0 means black and 255
means white. The brightness level distribution histograms
are shown in Fig. 2g–i. The uniformity parameter of pixel
brightness is calculated by using the equation above too.
The uniformity analysis results of the CNT array before
and after the treatment is given in Table 1. The uniformity
is dramatically improved after the in situ oxygen assisted
field emission treatment. Before the treatment, the number
of emitting pixels is 131, and the emission area and bright-
ness uniformity are as low as 19% and 53%, respectively.
The histogram in Fig. 2d shows that the emission area of
pixels is dramatically different from each other. The bright-
Table 1 – Comparison of uniformity of a typical CNT array befor
Sample process Emitting pixel number Emi
Before treatment 131After 1 h treatment 144After 2 h treatment 144
ness distribution histogram in Fig. 2g shows that the bright-
ness is distributed from 20 to 200 in a wide range. After 1 h
treatment, all pixels emitted, but the brightness uniformity
is still not high. After 2 h treatment, the emission area and
brightness uniformity reaches 83% and 90%, respectively, of
which the improvements are 4.3 times and 2 times compared
to those of untreated CNT array. The emission area distribu-
tion histogram in Fig. 2f shows that the emission area of pix-
els is close to each other. The brightness distribution
histogram in Fig. 2i shows that the brightness is in a narrow
range from 140 to 180. The brightness uniformity is obviously
improved.
e and after treatment.
ssion area uniformity (%) Brightness uniformity (%)
19 5325 7983 90
3302 C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6
Fig. 3a and b shows the field emission IV characteristics
and their corresponding Fowler–Nordheim (FN) plot before
and after treatment. The threshold field (the field correspond-
ing to a current density of 10 mA/cm2) is increased from 4.0 to
6.25 V/lm after 1 h treatment, and to 8.2 V/lm after 2 h treat-
ment. The reason may be that the taller CNTs are burnt out
during treatment. Therefore, stronger electric field is re-
quired. The slopes of FN plot are increased too and the phys-
ical reason will be discussed later. The current stability test
(Fig. 3c) showed that the field emission stability after treat-
ment was good. The current stayed at around 0.98–1.05 mA
lasting for 30 h, and the fluctuation of current was 6%. It
showed that the oxygen adhesion also did not influence in
the field emission stability.
In order to find out the underlying physical mechanism of
in situ oxygen-assisted field emission treatment on the CNTs,
we carried out various investigations.
The effects of the oxygen assisted field emission on the
morphology and the microstructure of the CNTs can be seen
from the SEM and TEM images shown in Fig. 4. The taller
CNTs were cut off during the process. Fig. 4a shows that be-
fore the treatment, some CNTs are taller than the others.
While after the treatment in Fig. 4b, the taller CNTs almost
disappeared, leaving the others having the similar height.
The average thickness of CNT layer in the pixel also decreased
during the treatment and the thickness of all CNT pixels be-
Fig. 3 – (a) IV curve and (b) FN plot of CNT array before and after t
the voltage was set at 2.4 kV, (d) simulation result of the tempe
came close to each other after the treatment. It is believed
that this is the most benefit result for improving the unifor-
mity of CNT arrays.
The shortening of CNT is attributed to the oxidation of
CNT tips in high temperature. The taller CNTs emit electrons
under electric field, and the tips of CNTs generate Joule heat
and undergo a self-heating [27]. When the oxidation temper-
ature is reached, the CNT quickly burns out in oxygen
atmosphere. We use Huang’s model [28] to estimate the
temperature of the tip. We consider that Joule heat generates
in the CNT and dissipate by heat conduction to the flat
substrate, also by radiation from the wall and tip of CNT. It
expresses as the following heat equation [28],
pr2k@2Tx
@x2dx� 2prdxrðT4
x � T40Þ þ I2RðTxÞL�1dx ¼ 0
where r is the radius of CNT, k is the heat conduction coeffi-
cient, Tx is the temperature along the CNT, T0 is the ambient
temperature, r is the Stefan–Boltzmann constant, I is the
emission current, L is the length of CNT. R(Tx) is the resistance
of CNT, which strongly depends on temperature described as
follows,
RðTÞ ¼ R0ð1� aTþ bT3=2Þ
where a and b are the coefficients of temperature which are
chosen to match with experimental data. The boundary con-
he treatment, (c) current stability in 30 h after the treatment,
rature of CNT tip in functions of emission current.
Fig. 4 – The SEM and TEM images of the CNTs (a and c)
before and (b and d) after the treatment, respectively. The
TEM scale bars are 20 nm and 50 nm.
C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6 3303
dition is related to the tip of CNT and the substrate. The heat
loss by radiation from the tip apex of CNT is determined by
@TA
@x¼ �rk�1ðT4
A � T40Þ
where TA is the temperature of tip apex of CNT. The flat sub-
strate is assumed to be a heat sink, and the temperature at
the bottom of CNT is fixed at TB = T0. Solve the heat equation
with two boundary condition expressions, the tip tempera-
ture TA can be determined by the emission current. Here we
choose a typical CNT of r = 20 nm and L = 20 lm to carry on
the calculation. The parameters of CNT are the same with
Ref. [27] and they are k = 100 W/mK, r = 1, q = 3.26 · 10�5
Xsm, a = 8.5 · 10�4 K�1, b = 9.8 · 10�6 K�1, T0 = 300 K. The re-
sult in Fig. 3d showed that the tip temperature raise quickly
with the increase of emission current.
According to our previous report [28], the CNTs do not run
to vacuum breakdown under 1700 K, thus the effect of accel-
eration of CNT shortening needs the oxidation in lower tem-
perature. TG analysis in Fig. 5a shows that the weights of CNT
begins to loss and quickly decrease at around 770 K. There-
fore, in the treatment, the tip of CNT emitting a current larger
than 4.4 lA would reach and exceed the oxidation tempera-
ture of 770 K, and burn out quickly in the oxygen atmosphere.
The addition of oxygen increases the efficiency of the
treatment.
The oxygen seriously affects the surface of the long
CNTs. From the TEM pictures of Fig. 4c and d, the CNTs
have smooth surface before the treatment, while the sur-
face of the CNTs become rough with some piece of frag-
ment on the surface after the treatment. It is believed
that the oxygen reacts with the outer wall of the CNTs in
high temperature during the process, and turns the outer
surface of CNTs into amorphous carbon. The longer CNT
with more layers is damaged strongly in the treatment, be-
cause it is over the average height and catches more oxida-
tion. In addition, some kind of by-product, such as defect
and transpolyacetylene [29], also burn out during the treat-
ment. Raman scattering spectrum analysis in Fig. 5b shows
that the D peak is near 1350 cm�1, and the G peak is near
1590 cm�1. The intensity ratio of D peak to G peak ID/
IG = 0.792 before the treatment, while ID/IG = 0.798 after the
treatment. There is only little change of the ratio which
means the crystallinity of CNT does not change. However,
in the spectrum of near 1150 cm�1 in the left side of D
peak, a small peak appeared before the treatment, and dis-
appeared after the treatment (pointed by arrow in Fig. 5b).
According to the other authors [29–31], it is attributed to
the appearance of transpolyacetylene, which is the out-
growth of CNT during CVD growth. It can be easily decom-
posed in air in 870 K. During the treatment, heat and
oxygen can burn out transpolyacetylene and defective
CNT. The disappearance of by-product is beneficial to the
field emission stability of the CNT arrays due to the
improvement of unique CNT properties.
As for the other CNTs which were not damaged in the
treatment, the effect of oxygen exposure on them was also
analysed by XPS. The XPS spectra of C1s region between 278
and 298 eV before and after treatment are shown in Fig. 5c.
Both of the binding energy of C1s peak before and after treat-
ment is 285 eV. The notable change of the spectra after treat-
ment is the increasing intensity of the peak in the binding
energy range of 286–290 eV. The peak analysis result (Fig. 5d)
shows that there are two peaks at 286.3 and 288.9 eV corre-
sponding to the increasing peak region. According to the ref-
erence of XPS studies [32–35], the peaks in the range of 286–
290 eV are related to the following carbon-based chemical
bonds, C–O (286.4 eV), C–Cl (287.0 eV), C–F (287.8 eV), C@O
(287.8 eV), –COOR (288.9 eV). Among them, C–Cl and C–F never
exist in CNTs. Therefore, we can assign the peak at 286.3 eV to
C–O, at 288.9 eV to –COOH. The C@O at 287.8 eV is too weak to
be identified. It means that oxygen forms the chemical bond
with CNTs.
This oxygen bonding may result in the change of the work
function of the CNTs. We introduced the Seppen–Katamuki
(SK) chart analysis [36–38] to reveal the relative changes of
the work function / and voltage-local field enhancement fac-
tor b. The SK chart is a two dimensional diagram, of which ab-
scissa and ordinate are the intercept and the slope of FN plot,
respectively. The details are discussed by other authors earlier
[36–38]. According to the FN theory, the FN plot shows the
relation of
logðI=V2Þ ¼ aþ b � 1=V;
and the intercept a and slope b are
a ¼ logð1:4� 10�6ab2=/Þ þ 4:26=/1=2
b ¼ �2:82� 107/3=2=b
Fig. 5 – (a) TG and DSC plots of the CNTs heated in oxygen atmosphere. (b) Raman spectra of CNT before and after the
treatment. (c) C1s peak scan XPS spectra of the CNTs before and after treatment. (d) peak analysis of C1s peak region which
can divided into three peaks, they are C1s, C–O and –COOR.
Fig. 6 – Change of field emission character before and after
the treatment in the SK chart.
3304 C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6
a represents the effective emitting area which is related with
the b and / by the relation of a ¼ a0 expð�9:74� 107cb/1=2Þ,where a0 is the emitting area, c is the effect constant of emit-
ter shape, which are introduced from Gomer’s semi-empirical
assumptions [39]. In this calculation, a0 is 4.52 · 10�3 cm2 and
c is 7.9 · 10�13 according to the experimental data fitting and
other reports [38,40]. So, the two variables / and b decide
the intercept and slope. If we substitute the equation of b
and a into the equation of a, we can obtain the equi-work
function line and equi-field enhancement factor line by using
numerical calculation. The work function of CNT before treat-
ment was assumed to be 5 eV according to the other reports
[38,40]. As shown in Fig. 61, the solid and broken lines repre-
sent the equi-work function line and equi-field enhancement
factor line, respectively.
The slope and intercept of FN plots of CNT array before and
after the treatment are derived from the FN plot in Fig. 3b, and
marked in the SK chart in Fig. 6. The three green, red and blue
points represent the sample states before, after 1 h and after
2 h treatment. The positions are distributed along the same
equi-work function line in 5 eV from upper left to lower right.
That means, according to the interpretation above, that the
work function is not changed, while the field enhancement
1 For interpretation of color in Fig. 6, the reader is referred to the w
factor decreases dramatically after the treatment. Field
enhancement factor is related with the aspect ratio and the
apex radius of CNTs. As described above, during the
treatment, the taller CNTs are cutting off to improve the
eb version of this article.
C A R B O N 4 9 ( 2 0 1 1 ) 3 2 9 9 – 3 3 0 6 3305
uniformity, so the aspect ratio of CNTs decreases. It is the rea-
son that the field enhancement factor reduced and the
threshold field increased. As for the invariable work function
of CNTs, it is suggested that the oxygen adhesion CNTs have
the similar work function as untreated CNTs. The C–O bonds
on the surface of CNTs have no significant influence on the
work function of CNTs.
4. Conclusions
We have developed an oxygen-assisted field emission post
treatment to improve the field emission uniformity of CNT ar-
rays. In this treatment, oxygen is introduced into the field
emission to accelerate the burning out the protrusive CNTs.
The oxygen causes more oxidation to the highly emitting
CNTs, resulting in their removing and more and more emit-
ting CNTs with weak current can be stimulated at higher field.
Thus, a final balance can be achieved of emission from each
pixel in the array. After the treatment, the emission area
and brightness uniformity of CNT array were improved to
83% and 90%, which can meet the basic requirements of flat
panel display and backlight source. Although Raman and
XPS analysis shows that the action of oxygen slightly changes
the crystallinity of CNTs and can react with the surface of
CNT to form chemical bonds, these do not affect field emis-
sion current stability. SK chart analysis also reveals that the
work function of CNT remains the same while its field
enhancement factor decreases. In conclusion, the in situ oxy-
gen-assisted field emission post treatment is an important
method for the preparation of high quality CNT cathode ar-
rays for vacuum electron devices.
Acknowledgements
The authors gratefully acknowledge the financial support of
the project from the National Natural Science Foundation of
China (Grant Nos. U0634002, 50725206), National Basic Re-
search Program of China (Grant Nos. 2010CB327703,
2007CB935501), the Science and Technology Department of
Guangdong Province, the Economic and Information Industry
Commission of Guangdong Province, and the Science & Tech-
nology and Information Department of Guangzhou City.
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