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The Scanning Tunneling Microscope

Author(s): Gerd Binnig and Heinrich Rohrer


Source: Scientific American , Vol. 253, No. 2 (August 1985), pp. 50-58
Published by: Scientific American, a division of Nature America, Inc.
Stable URL: https://www.jstor.org/stable/10.2307/24967765

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The Scanning Tunneling Microscope
A new kind ofmicroscope reveals the structures of surfaces
atom by atom. The instrument's versatility may extend to
investigators in the fields ofphysics, chemistry and biology

by Gerd Binnig and Heinrich Rohrer

T
" he surface was invented by observe insects. In the late 17th cen­ atomic orbitals in thin crystalline films
the devil," said the illustri­ tury Antony van Leeuwenhoek devel­ have been observed.
ous physicist Wolfgang Pauli. oped the optical microscope, which

S
Pauli's frustration was based on the revealed the existence of single cells, ince the electron microscope has
simple fact that the surface of a solid pathogenic agents and bacteria. Al­ such a high resolving power, why
serves as the boundary between it and though optical microscopy has de­ was it necessary to develop a new kind
the outer world. Whereas an atom veloped into a sophisticated, versatile of microscope? Although electron mi­
within a solid is surrounded by other technique, a physical limit hampers it: croscopy has proved to be extremely
atoms, an atom at a surface can inter­ the optical microscope cannot resolve successful in observing the bulk fea­
act only with other atoms on the sur­ atomic structures. The reason is that tures of crystalline materials, it can­
face, with atoms beyond the surface or the average wavelength of visible light not resolve surface structures except
with those immediately under it. The is about 2,000 times greater than the under very special circumstances. A
properties of the surface of a solid diameter of a typical atom, which is high-speed electron penetrates deep
therefore differ radically from those of about three angstrom units. (One ang­ into matter and so reveals little of the
the interior. For instance, to minimize strom unit is one ten-billionth of a me­ surface structure. A slow-moving elec­
energy, surface atoms often arrange ter.) In other words, trying to probe tron is easily deflected by the charges
themselves differently from the other atomic structures with visible light is and the electric and magnetic fields of
atoms in a solid. The resulting com­ like trying to find hairline cracks on a the sample. In the 1950's Edwin W.
plexities of surface structures have tennis court by bouncing tennis balls M tiller made some progress when he
long thwarted efforts to derive pre­ off its surface. invented the field-ion microscope, an
cise experimental and theoretical de­ The first successful exploration of instrument that is highly sensitive to
scriptions of them. atomic structures grew out of a basic surfaces. Unfortunately its range of
At the IBM Zurich Research Labo­ discovery of quantum mechanics. It is applicability is narrow: a sample must
ratory we have developed a device that that light and other kinds of energy sit on a fine needle tip that is only a few
makes it possible to characterize in a exhibit characteristics of both particles angstroms wide and the sample must
quantitative way such surface com­ and waves. In 1927 Clinton). Davis­ be stable against the high electric
plexities: the scanning tunneling mi­ son and Lester H. Germer of the Bell fields characteristic of the technique.
croscope. Our microscope enables one Telephone Laboratories confirmed the The principle of operation of the
to "see" surfaces atom by atom. It can wave nature of the electron. They also scanning tunneling microscope makes
even resolve features that are only found that a high-energy electron has a it possible to avoid these difficulties.
about a hundredth the size of an atom. shorter wavelength than a low-energy The main difference between the scan­
Such a tool has important implica­ electron. An electron of sufficient ener­ ning tunneling microscope and all oth­
tions, for example, in the microelec­ gy exhibits a wavelength comparable er microscopes is that it uses no free
tronic industry. As the silicon chip, to the diameter of an atom. This fact particles; consequently there is no need
which is the key element in computer led to the invention of the electron mi­ for lenses and special light or electron
architecture, decreases in size its sur­ croscope. With electron microscopy sources. Instead the bound electrons
face area increases sharply in relation projections of atomic rows and even already existing in the sample under
to its volume. Therefore the surface
becomes increasingly important in the
chip's operation and in its interactions
with other logic elements. The scan­
ning tunneling microscope will proba­ SCANNING TUNNELING MICROSCOPE has two stages, suspended from springs, that

bly contribute to the understanding of nestle within a cylindrical stainless-steel frame. The innermost stage contains the micro­
scope mechanism. To achieve high-resolution images of surface structures the microscope
other physical, chemical and biologi­
must be shielded from even such small vibrations as those caused by footsteps and sound.
cal phenomena as well.
The copper plates (attached to the bottom of the stainless-steel frame) and the magnets
Scanning tunneling microscopy is
(attached to the bottom of the inner and outer stages) damp vibrations. Any disturbance
the product of considerable evolution. causes the copper plates to move up and down in the field generated by the magnets. The
Microscopy appears to have begun in movement induces eddy currents in the plates. The interaction of the eddy currents with
the 15th century when simple magni­ the magnetic field retards the motion of the plates and hence the motion of the stages. For
fying glasses were made with which to work required in a vacuum a steel cover is placed over the outer frame of the microscope.

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© 1985 SCIENTIFIC AMERICAN, INC

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investigation serve as the exclusive
source of radiation.
. To understand this principle imag­
ine that the electrons bound to the sur­
face of the sample are analogous to the
water of a lake locked in by the shore.
Just as some of the lake water seeps
into the surrounding land to form
groundwater, so some of the electrons
on the sample's surface leak out and
form an electron cloud around the
sample. According to classical physics,
no electron cloud exists because reflec­
tion at the sharp boundaries of sur­
faces confines the particles. In quan­
tum mechanics, however, each elec­
tron behaves like a wave: its position is
"smeared out." This accounts for the
existence of electrons beyond the sur­
face of matter. The probability of find­
ing an electron beyond the surface of a
conductor falls rapidly, in fact expo­
nentially, with distance from the sur­
face. Since the electrons appear to be
digging tunnels beyond the surface
boundary, the effect is traditionally
known as tunneling.
The first experimental verification
of tunneling was made about a quarter
of a century ago by Ivar Giaever of the
General Electric Company. A thin,
rigid insulating layer was used to sepa­
rate two metal plates called electrodes.
The gap between the electrodes was
PIEZOELECTRIC SL AB small enough to allow the electron

c=�����__ 1-= ___


clouds associated with the electrodes
to overlap slightly. A potential differ­
ence between the electrodes, induced
by applying voltage to them, causes
electrons to flow from one electrode
to the other through the overlapping
clouds. The flow is analogous to the
flow of groundwater between two ad­
jacent lakes when one lake is higher
than the other.

W e built our scanning tunneling


microscope by making a few ba­
sic changes in the standard tunnel­
ing configuration. First we replaced
one of the electrodes with the sample
we wanted to investigate. Then we
replaced the other electrode with a
sharp, needlelike probe. Finally we re­
placed the rigid insulating layer with a
nonrigid insulator such as liquid, gas
or vacuum so that we could scan the
needle tip along the contours of the
"'" sample's surface.
VOLTAGE SOURCE FOR _
To scan the surface we push the tip
PIEZOELECTRIC S TICKS
toward the sample until the electron
clouds of each gently touch. The appli­
cation of a voltage between the tip and
the sample causes electrons to flow
through a narrow channel in the elec­
MICROSCOPE DEVICE contains a sample and a scanning needle. Piezoelectric materi­
als, which expand or contract when voltage is applied to them, enable the device to resolve tron clouds. This flow is called the tun­
features that are only about a hundredth the size of an atom. A piezoelectric drive positions neling current. Since the density of an
the sample on a horizontal metal plate. A piezoelectric tripod then sweeps the scanning electron cloud falls exponentially with
needle over the surface of the sample, simultaneously achieving high stability and precision. distance, the tunneling current is ex-

52

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I I
tremely sensItIve to the distance be­
tween the tip and the surface. A change
I I I
in the distance by an amount equal to
the diameter of a single atom causes
IF
-,
the tunneling 'current to change by a
factor of as much as 1,000. ELECTRONICS
We exploit the sensitivity of the tun­
neling current to produce exquisitely
"L � ()
precise measurements of the vertical "'1
positions of the atoms on the sample's .d-
surface. As the tip is swept across the
surface a feedback mechanism senses
- COMPUTER SCREEN

the tunneling current and maintains


the tip at a constant height above the
surface atoms. In this way the tip fol­
lows the contours of the surface. The
motion of the tip is read and processed
SCANNING NEEDLE TIP
by a computer and displayed on a
screen or a plotter. By sweeping the tip
through a pattern of parallel lines a
three-dimensional image of the sur­
face is obtained. A distance of 10 cen­
timeters on the image represents a dis­
tance of 10 angstroms on the surface:
a magnification of 100 million.

H ow is it possible to move the nee­


dle over a sample while maintain­
ing a gap between the tip and the sur­
face that is less than 10 angstroms and
achieve a stability and precision that is ELECTRON TUNNELING is the phenomenon that underlies the operation of the micro­
better than .1 angstrom? First, the mi­ scope. An electron cloud occupies the space between the surface of the sample and the nee­
croscope must be shielded from vibra­ dle tip (bottom). The cloud is a consequence of the indeterminacy of the electron's location
tions such as those caused by sound in (a result of its wavelike properties); because the electron is "smeared out," there is a proba­
bility that it can lie beyond the surface boundary of a conductor. The density of the electron
the air and by people walking around
cloud decreases exponentially with distance. A voltage-induced flow of electrons through
in a building. Second, the drives of the
the cloud is therefore extremely sensitive to the distance between the surface and the tip.
needle must be highly precise. Finally,
As the tip is swept across the surface a feedback mechanism senses the flow (called the tun­
the tip must be as sharp as the limits of neling current) and holds constant the height of the tip above the surface atoms (top). In
rigidity and stability allow. this manner the tip follows the contours of the surface. The motion of the tip is read and
Two stages, or sections, suspended processed by a computer and displayed on a screen or a plotter. Sweeping the tip through a
from springs, nestle within the stain­ pattern of parallel lines yields a high-resolution, three-dimensional image of the surface.
less-steel cylindrical frame of the mi­
croscope and protect the tunneling gap
from vibration. Both stages, triangular the motion of the plate and thereby body expands back to its original size.
in cross section, are made of glass rods. protects the microscope from even the The drive has just moved one step. The
The second stage slips into the first smallest vibrations. step width can be varied between 100
stage, from which it is suspended by Once the gross vibrations have been and 1,000 angstroms. Since the drive
three springs. The first stage in turn is stopped the sample can be positioned. can rotate about each of its feet, it
suspended from the outer frame, also This is done with a specially devel­ can walk along the plate in any de­
by three springs. The second stage car­ oped drive that carries the sample sired direction.
ries the heart of the microscope: it con­ across a horizontal metal plate on the When the drive has carried the sam­
tains both the sample and the scan­ second stage. The body of the drive ple to the wanted tunneling position,
ning needle. consists of a slab of piezoelectric mate­ we begin scanning the surface of the
When the entire microscope sits in a rial that expands or contracts when sample. We use a rigid tripod made of
vacuum, air resistance is minimal and voltage is applied. The drive has three three piezoelectric sticks to move the
the first and second stages could, if metallic feet, arranged in triangular tip of the scanning needle. When we
they were disturbed, bounce up and fashion, that are coated with a thin lay­ apply a voltage to expand or contract
down almost indefinitely. To stop this er of insulating material. They can be one of the sticks, the other two bend
motion we rely on the phenomenon of clamped to the metal plate by estab­ slightly. Consequently the tip moves in
eddy-current damping. We let copper lishing a voltage between them and the a straight line over distances as great as
plates attached to the bottom of the metal plate. 10,000 angstroms. Furthermore, this
first and second stages slide between We move the drive in the follow­ motion is quite sensitive to the magni­
magnets attached to the outer frame. ing manner. Suppose, for instance, we tude of the applied voltage: a voltage
As each plate slides up and down, clamp only one foot and apply a volt­ on the order of . 1 volt results in a mo­
the magnetic field causes the conduct­ age to the piezoelectric body so that tion of 1.0 angstrom. The precision of
ing electrons of the copper to move it contracts. The other two feet will the tripod's drive is so good that at
around, inducing a so-called eddy cur­ move slightly. We then clamp those present only vibration limits the verti­
rent. The reaction between the eddy two feet, release the third foot and re­ cal resolution of the sample's surface.
current and the magnetic field retards move the applied voltage so that the This resolution at present is in the

53

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range of approximately a few hun­ each atomic element has an electronic layer is much rougher than any bulk
dredths of an angstrom. structure uniquely its own. layer. Although the surface pattern is
The lateral resolution of the surface The ability of the microscope to re­ now known and a vast amount of in­
is limited by the sharpness of the tip. In solve both topography and electronic formation about it has been gained
this instance nature has been kind to structure will make it useful to investi­ from other experiments, the reason
the vacuum tunneler. It is relatively gators in physics, chemistry and biolo­ this and not a different structure forms
easy to make a sharp tip that yields a gy. We first pursued the simplest case: is not yet understood.
lateral resolution of about six to 12 the topographic structures of single Another crystal whose surface struc­
angstroms: one simply grinds the end crystals characterized by a homoge­ ture is now better understood is the
of a needle, which is usually made of neous surface structure. Crystals con­ gold crystal. We found that when we
tungsten. sist of identical atomic layers built cut the crystal in a direction parallel to
To achieve a lateral resolution of one on top of another. While results its atomic layers, the resulting face is
two angstroms, however, the needle from scattering experiments indicate smooth. A cut in a direction diagonal
must have a single atom sitting secure­ that the top layer is different from and to the atomic layers results in a rough­
ly on top of its tip. Such an atom more complex than the others, the pre­ er face. Just as one learns from study­
usually comes from the sample itself. cise structure of this layer was hard ing the earth's crust how it was formed
It is dislodged by high electric fields to determine. millions of years ago, so we have
that are caused by applying a voltage The best-known surface structure is learned from studying these surfaces
difference of from two to 10 volts be­ the diamond-shaped unit cell of sili­ how they took shape. Current theories
tween the sample and the tip. Since con. Since each of the four edges of the reveal that the diagonally cut surface
Iuck plays a large role in the final stage, cell measures seven atomic spacings, assumes its jagged nature because such
we are trying to sharpen the tip by the cell is referred to as the 7-by-7. a configuration has a lower energy and
bombarding it with a high-energy Each 7-by-7 contains 12 bumps that is consequently stabler than a smooth
beam of ions. This causes the atoms on have not been visualized before. Each configuration.
the surface to sputter away in a highly bump apparently corresponds to a sin­ A more exotic branch of physics, the
controlled manner. gle atom. The arrangement of the sur­ study of superconductivity, has also
face atoms is, although aesthetically benefited from the application of scan­

I n addition to delineating the atom­


ic topography of a surface, the
pleasing, quite complex. This is in con­
trast to the relatively simple structure
ning tunneling microscopy. A super­
conducting material is characterized
scanning tunneling microscope reveals of any bulk layer found in silicon. Its by its complete lack of electrical resis­
atomic composition. The tunneling unit cell, 49 times smaller in area than tance. The use of superconductors to
current depends both on the tunnel the 7-by-7, contains only two atoms. make cables that are free from power
distance and the electronic structure Another great difference between the losses could save enormous amounts
of the surface and on the fact that two kinds of layers is that the surface of energy. The colliding-beam acceler-

SURFACE OF SILICON as disclosed by the scanning tunneling bumps that are arranged in two groups of six. The bumps, which
microscope consists of a pattern of diamond-shaped unit cells. Each have never before been resolved, apparently correspond to the sur­
cell measures 27 angstrom units (one angstrom unit is one ten-bil­ faces of individual atoms. They stand as much as 1.3 angstroms
lionth of a meter) on a side. The cell is called the 7-by-7 because above the rest of the surface. The image was formed by applying a
each side measures seven atomic units. Each 7-by-7 contains 12 voltage so that electrons flowed from the needle tip to the surface.

54

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ator at Fermilab uses superconduct­
ing magnets to achieve high magnetic
fields while saving energy. There is a 20
catch, however. Superconductivity is
only known to occur in some conduc­
tors that have been chilled below a
critical temperature, typically a few
degrees above absolute zero (-273 de­
grees Celsius). 5
2-
A group of Stanford University in­ CfJ
vestigators led by Calvin F. Quate has t:
z
10
developed a scanning tunneling micro­ :::>
scope that operates effectively at low ::2:
0
temperatures. The workers first used a:
I-
their microscope to map the electron­ CfJ
<.9
ic structure of the surfaces of several z
«
conductors at room temperature. Then
they chilled the conductors below the
critical temperature of each and re­
corded the changes in electronic struc­
ture. The group can now document the
growth of regions of superconductivi­ o �----��--�--
ty on surfaces. o 10 20
The scanning tunneling microscope ANGSTROM UNITS [110J
has also led to new understanding
of certain chemical interactions. Our
group has now observed on an atomic
scale the adsorption of oxygen by nick­ Z [001J
el [see illustration at right]. Our finding
confirms the results from earlier scat­
t
tering experiments: The spacing of the
oxygen atoms bound to the nickel sur­
face varies according to direction. In •
particular, oxygen atoms that lie in one
specific direction, designated [001], are •
[1fOJ
separated by one lattice spacing, or the �
�"""'-�
- Y[010]
distance between two adjacent nickel
atoms in that direction. Oxygen atoms
that lie in another direction, designat­
ed [110], are separated by two or five
x
[100] t
[001]
lattice spacings but never by one, three
or four. We suspect that some kind of
screening effect between the electric
charges of the nickel and oxygen at­
oms is responsible for the anomaly,
but more investigation is needed to de­
termine the actual details of the physi­
cal interaction. •
All the applications we have so far

£l. discussed have hinged on the abil­
ity of the microscope to detect struc­
tures whose dimensions are measured
in mere fractions of an angstrom. Such
high resolution is not always neces­
sary. Even where the resolution of the
scanning tunneling microscope is no
better than some tens of angstroms, we
expect on the basis of previous results
that it will yield novel information and OXYGEN ADSORBED ON NICKEL (top) is observed on an atomic scale. The oxygen
stimulate significant progress. In par­ atoms (color) are 3.5 angstroms apart in one direction, designated [001], and 5.0 ang­
ticular the possibility of operating the stroms apart in the other, [fiO]. The face-centered cubic model of the nickel crystal (bot­
tom) suggests the reason. The geometry of the model dictates that if the lattice spacing be­
[001] direction is 3.5
scanning tunneling microscope in air
tween two adjacent nickel atoms in the angstroms, the spacing in the
at ordinary pressure will in many ap­
[110] direction must be 2.5 angstroms. The electronic repulsion between two oxygen at­
plications more than compensate for oms is too great, however, to allow them to rest stably at lattice points separated by a mere
any loss in resolution. 2.5 angstroms. Therefore oxygen atoms lying along the [110] direction must be separated
One such application is found in the by at least two lattice spacings, which corresponds to the observed S.O-angstrom distance.
study of friction. In order to minimize Separations of five lattice spacings are sometimes seen, but never separations of three or
friction energy losses, investigators are four. Additional investigation may yet disclose the underlying reasons for the anomaly.

55

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interested in learning more about the water can even be used as· the insulat­ with those obtained by means of im­
structure and causes of surface rough­ ing layer between the sample and the age-processed electron micrographs.
ness of industrial materials. Recent probing needle. (Water is a relatively Apart from imaging, the probe tip
studies suggest that the scanning tun­ poor conductor unless it contains ions will also be useful for testing electron­
neling microscope is ideally suited to such as those formed when sodium ic circuits. As components continue to
the required work. chloride dissolves in it.) Exploiting shrink, the probes that test them must
Our microscope has also demon­ the sensitivity of the scanning tunnel­ also be continuously miniaturized.
strated its usefulness in biology, even ing microscope, we have, with the help The tip then serves as both a local volt­
though at present it can achieve lateral of E. Courtens of the IBM Zurich Re­ age probe and a current source.
resolutions of only 10 angstroms. In search Laboratory and H. Gross and In all the foregoing applications it is
this case the relatively poor resolving J. Sogo of the Swiss Federal Institute vital that the imaging process not de­
power of the microscope is more than of Technology, scanned the surface stroy or even alter the object. But the
compensated for by its ability to pro­ of the nucleic acid DNA. We observed scanning tunneling microscope also
vide a direct and nondestructive meth­ a series of zigzags corresponding to offers promise as a tool for spurring
od of viewing biological samples. its helical structure. specific chemical processes. One of the
Other microscopes in some sense In a collaborative effort with Arturo unique features of the microscope is
partially destroy the samples on which Bar6, Nicolas Garcia and Rodolfo its highly focused low-energy electron
they have been focused. In standard Miranda of the Autonomous Univer­ beam, or tunnel current. The ener­
electron microscopy, for instance, sity of Madrid and Jose L. Carascosa gies of the beam lie within the range
samples must be coated with a thin of IBM Spain, we found that the head of those of most chemical processes.
layer of metal and, because they must of the virus known as phi 29 meas­ Therefore by tuning the beam to spe­
be studied in a vacuum, they dry out. ures 400 X 300 X 200 angstroms. The cific energies workers can cause par­
Since water molecules are an impor­ structure of the connection between ticular reactions to occur. This mode
tant part of biological substances, this the head and the tail of the virus, called of operation and the other capabili­
might change the samples in an unde­ the collar, which appears to play a sig­ ties of the instrument appear to open
sirable-and uncontrollable-way. In nificant role in the process of infection, an entire new gamut of investigative
the scanning tunneling microscope has been unraveled; the results agree possibilities.

COLLAR OF VIRUS PHI 29 connects the head of the virus to its aided in unraveling the structure of the collar, an understanding
tail. Raw, unprocessed electron micrographs such as this one have of which is critical in controlling the spread of some viral infections.

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SCIENCE/SCOPE

A new technigue may expand the use of lasers in commercial and military applications. The approach,
called optical phase conjugation, is considered a major advance in optics because it offers a solution to
distortion problems that have limited the use of lasers. When a laser beam passes through a turbulent
-atmosphere or a severely strained optical component, the beam is distorted and the information it
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through the distorting medium so the beam emerges free of distortion. The method eliminates the need
for complex electro-optical and mechanical components to correct the distortions.

A future generation of infrared" eyes" for space sur veillance systems will be far more capable as the
result of technology advances at Hughes. These systems will be able to see distant targets in space, in
the air, or on the ground-and relay data instantly to ground stations. Advances are being made in focal
plane design, signal processing architecture, and in the design of a unique sensor with very steady
telescoping optics. By building modularity and programmability into the new technologies, researchers
are making it possible for systems to use tailored combinations from a single family of hardware and
software. For its advances, Hughes received an Award for Technical Achievement from the Strategic
Technology Office of the Defense Advanced Research Projects Agency. This effort was sponsored by
DARPA and monitored by the US. Air Force Space Technology Center.

A laser that won't cause blindness or other eye injuries will be used in a rangefinder now under
development by Hughes for the US. Army. The lightweight device, designated the AN/PVS-6 Mini
Eyesafe Laser Infrared Observation Set (MELIOS), resembles a binocular case. Its neodymium y ttrium
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Large ceramic circuit boards will be built into the Amraam missile to help keep the missile reliable,
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circuits with copper. The boards are manufactured by a thick film process in which layers of copper
and glass dielectric are alternately applied to provide a multilayer circuit board. Hughes designed and
developed the advanced medium-range air-to-air missile for the US. Air Force and Nav y. The
manufacturing facility is located in Tucson, Arizona.

Excellence in communications systems engineering has placed Hughes in a leading position in many of
the major US. Air Force, Army, Nav y, and Marine Corps communications programs, including PLRS,
PJH, MILSTAR, and JTIDS. Our Communications Systems Division is committed to meeting the
strategic and tactical communications requirements of the 19 90s and beyond. We have a continuing
need for qualified engineers in all communications systems disciplines at all levels. If your career goals
include design of advanced antijam communications systems or HF through millimeter-wave radios,
please send your resume to Hughes Ground Systems Group, Professional Employment, P. 0. Box 4275,
Dept. S2, Fullerton, CA 92634. Equal opportunity employer. US. citizenship required.

For more information write to: P.O. Box 45068, Dept. 71-10, Los Angeles, CA 90045-0068

HUGHES
AIRCRAF T COMrANY

© 1985 SCIENTIFIC AMERICAN, INC

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