This case was written by Srikant Sreedhar and is based on fieldwork performed by Barry Bozeman and Juan Rogers. The research was sponsored by the Department of Energy, Office of Basic Energy Sciences, Contract ER45562. The views presented here are the case author’s and do not necessarily represent those of the Department of Energy, the University of California, or Georgia Institute of Technology.

The Center for Applied Materials' (CAM) Surface Science and Catalysis program aims to pursue basic research in major areas of surface science and catalysis that have potential impacts on existing and emerging technologies. The research has focused on the synthesis and atomic level surface characterization (structure, composition, energy states) and the relationships between performance (chemical or mechanical) and molecular level properties. When the research began in 1971, the team utilized a new set of experimental methods for investigating various surface level phenomena. The boundaries of the research are difficult to define, as the study is concerned with basic research of surface sciences. The only specificity involved here is the focus of surface sciences on catalysts and the catalysis process.

The project primarily dealt with the study of chemical reactions that takes place along the surfaces and interfaces of various chemicals. The CAM Surface Sciences and Catalysts group worked to understand the structure, molecular bonding, and reactivity at solid surfaces. The resulting knowledge is then utilized to explain macroscopic surface phenomena, heterogeneous catalysis, adhesion, and lubrication on the molecular level. To clarify some terminology, when a gas or vapor is brought into contact with a solid, part of it is taken up by the solid. The molecules that disappear from the gas either enter the inside of the solid, or remain on the outside attached to the surface. The former phenomenon is termed absorption (or dissolution) and the latter adsorption. This phenomenon of adsorption plays a crucial role in improving the efficiency of catalysis. Catalysts are chemicals used in small quantities for accelerating or decelerating chemical reactions but in the process do not react with the reaction components. For a catalyst to be effective, it should have a large surface area, bind the reactants quickly, stabilize the activated complex, and release the products of the reaction. Adsorption studies of catalytic surfaces provide insights into the binding of reactants and thus are helpful in increasing the efficiency of a catalyst.

Over the years, the research evolved into four focus areas. Of these, three are process focused and the remaining deals with the instrumentation required for the research. The three process focus areas are:

Surface Structure and Bonding Project aims to determine the atomic surface structure and chemical bonding of metals, adsorbed organic monolayers, molecular films, and oxides. The main techniques used are surface crystallography by low-energy electron diffraction (LEED), and scanning tunneling microscopy.

Heterogeneous Catalysis Project focuses on model catalysts (single crystals, thin films or clusters), their synthesis, characterization, design, and applications for carrying out important energy conversion reactions. The aim is to understand the molecular ingredients of catalysis.

Coatings and Surface Compounds project focuses on the plasma assisted deposition and characterization of diamond films and on the growth and properties of epitaxial layers of oxides on metals and buried oxide-metal interfaces.

The Surface Instrumentation Project develops new experimental techniques for the atomic and molecular scale characterization of surfaces. These include the scanning tunneling and atomic force microscopes (STM, AFM), non-linear optical techniques of sum frequency and second harmonic generation (SFG, SHG), and surface crystallography by LEED.

As with some other BES projects, the CAM program centers heavily on one individual, Gabor Somorjai. Somorjai received his Ph.D. degree in Chemistry from the University of California at Berkeley in 1960. After working in a research position at IBM in Yorktown Heights, New York, he returned to the University of California at Berkeley as an Assistant Professor in Chemistry.

Somorjai seemed to possess the right temperament to proceed with a large research project. As per Somorjai’s own description: "To succeed, firstly you need to have a vision and secondly have the right set of tools and methods to work towards the vision." Somorjai’s vision was to discover various surface level phenomena that occur due to chemical reactions. He chose to study these phenomena using the process of catalysis. Between 1965 and 1970 important tools for surface research such as Low Energy Electron Diffraction (LEED) and Molecular Beam Scattering (MBS) methods were developed. These had significant impact on Somorjai's work in that these tools provided new avenues for examining the chemical reactions occurring on surfaces.

The initial funding for Somorjai’s work came wholly from DOE. The funding began in the year 1970 and in the first two years, Somorjai conducted several experiments to study the surface reactions of catalysts using the above methods. Work on adsorption of hydrocarbons on metal surfaces commenced in 1972 by using the techniques of Auger Electron Spectroscopy (AES). The Molecular Beam apparatus was modified to perform detailed investigations of gas-surface reactions. Surface structure analysis of vanadium and platinum, which are used as catalysts in several important industrial processes, was carried out using LEED. These studies helped in showing the different kinds of reactions occurring at the surfaces of catalysts. Somorjai emphasized that although the amount of DOE support was small in the initial stages, it was nevertheless consistent. Somorjai pointed out that this steadiness in funding was helpful in maintaining the focus of the project.

Studies using LEED were also carried out on alloys (Alloys are formed by the combinations of two or more metals). The purpose of investigating alloys was to develop an alloy catalyst with properties identical to that of platinum. Platinum is a very expensive metal and finding suitable alloys that duplicate catalytic properties of platinum would bring out some cost savings.

Between 1974 and 1980, research was also carried out in the area of Solar Cells due to the oil crisis at that time. Though feasible, photovoltaic conversion of light into electricity using solar cells was quite uneconomical. Studies thus concentrated on developing a polycrystalline solar cell with suitable electrical properties that would make conversion economical. The study involved various methods for depositing thin layers of solar cell material using catalysis. Further electron Spectroscopy and LEED were used to investigate the surface and grain boundary structure of thin films and their effect on electrical properties.

A new research in the production of synthetic fuels by photon assisted catalyzed reactions was started in the year 1975. The study aimed at investigating the possible use of sunlight for reactions that are energy intensive and produce hydrocarbons as by products (CO₂+ H₂O ® hydrocarbons). These artificially produced hydrocarbons can be the source for synthetic fuels. In 1976, studies for converting coal into gaseous and liquid fuels began. This involved extensive studies of molecular sub-units that make up coal. Several new chemical structures were synthesized to investigate their chemical and physical properties.

By 1977 three distinct areas of research namely, solid state surface reaction studies, photon assisted surface reactions, and conversion of coal to clean liquid and gaseous fuels were being pursed by Somorjai and his associates. The focus in these areas was maintained until the year 1981. In this period substantial work was done in the area of coal liquefaction along with help from several other investigators. Equipment for coal liquefaction was assembled and using CO and H_2,hydrocarbons were synthesized. However from the year 1981 to 1984, work on synthetic fuels stopped which started again in 1984 and continued until 1987.

The research in the following years continued in the three distinct areas along with utilization of the new experimental techniques developed by Somorjai's research group. Currently, new areas among others include, development of polymer technologies and nano-material deposition using electron beam lithography.

BES provided almost all the support for this research program beginning in 1971. Therefore, this section will report on outputs corresponding to that period. The data for the tables that follow were compiled from a set of LBL annual reports that extends to 1990. The available materials do not cover the period of 1991-96.

Year	Papers	Technical Reports	Talks
1971	8	14	NA
1972	12	5	NA
1973	6	11	NA
1974	10	14	NA
1975	14	23	19
1976	25	13	35
1977	47	13	21
1978	19	12	1
1979	35	28	68
1980	28	32	76
1981	28	26	29
1982	26	22	28
1983	29	44	76
1984	41	42	64
1985	38	37	55
1986	37	63	37
1987	29	25	59
1988	68	41	NA
1989	56	42	63
1990	35	16	61

A majority of the papers listed above was published in refereed journals and most involved Somorjai as one of the authors. Apart from these referred journals, several hundreds of articles have been published in other reputed journals. However, the listing above refers to the publications from the entire CAM surface sciences research group.

Apart from the vast number of publications and talks, Somorjai is a recipient of several top awards (including the Von Hippel award that is the highest honor in the area of material sciences), three honorary doctorate degrees, and a member of leading academic societies.

Over 80 students have obtained their Ph.D.'s under Somorjai and the DOE funding has helped many of these. Similarly, the DOE funding and the CAM project have helped a sizable number of postdoctoral researchers in the process. Around 25 graduate students and 57 postdoctoral researchers are in academic positions in reputed universities and research laboratories. Similarly about 45 graduate students and 25 postdoctoral researchers are associated with the industry in various research labs.

Somorjai’s group encountered failures on a couple of research projects. During the interview, Somorjai attributed unanticipated problems and premature research as the essential reasons for these failures. However as he mentioned, "the ability to live with failures is the key for successful research", and the motto seemed to have served him well.

The exact figures of BES funding for the CAM project are not available. Though the research was conducted in the area of surface sciences of catalysis, the research had impacts in diverse areas such as pollution prevention, biomedical devices, computer memory devices (disk drives, silicon chips), petroleum production and polymer sciences. The impact map for the project consists of a consistent support by BES that led to several important findings in the area of surface sciences. A good number of doctoral students and post-doctoral researchers have been supported. Major impacts in terms of several honorary degrees, national awards and memberships have resulted.

Several themes can be inferred from this case. Firstly, we have the theme of a visionary individual who pursued research with a clear yet narrow focus that brought about valuable contributions in the field of surface sciences. Secondly, as the principle investigator himself admits, DOE funding has been crucial for the success of the research work. Though the initial funding was small, it was steady and this steadiness of support was much appreciated by the investigator. Thirdly, we have theme of a PI and his research team working in a fruitful collaboration with a national lab producing a number of competent researchers who are actively pursuing research in both academia and industry. Finally, we also have the theme of a PI successfully adapting his research in line with DOE's focus.

We can also see the transition of the PI, Somorjai, from a prominently active role in research to a role including mentoring and management of research. The same can be observed on examining the publication patterns over the years. Over the first ten years, Somorjai was the primary author of most of the publications of the CAM research group. After this period, Somorjai was primarily a co-author in several publications but at the same time across several diverse areas. The primary outputs of DOE-funded research were publications several of which had impacts in the industry and training to graduate students and postdoctoral researchers. Many publications have appeared in reputed journals and the evidence seems to suggest that these are major contributions in the area of surface sciences. The same is also shown by the recognition provided in form of various awards and membership of academic societies.

Interaction between PI and BES seems to be minimal. Somorjai was happy that project managers fairly understood the trajectory and impacts of his research. Currently around 80% of the project funding are still provided by DOE and the rest is through the industry. It is important to understand here the role of collaborative research with the Lawrence Berkeley National laboratory. Not only did the lab provide certain critical equipment needed for the research but also provided researchers with whom Somorjai and his students had productive interactions. A good number of his students are engaged in related research in both academia and the industry. Somorjai has maintained this network to collaborate with his research work along with fellow researchers at the Lawrence Berkeley National Labs.