**International Strategy for Nanotechnology Research and Development\***

M.C. Roco, Senior Advisor for Nanotechnology, National Science
Foundation, mroco@nsf.gov, http://www.nsf.gov/nano; Chair, U.S. National
Science and Technology Council\'s subcommittee on Nanoscale Science,
Engineering and Technology (NSET), http://nano.gov

August 28, 2001

*(\*) J. of Nanoparticle Research, Kluwer Academic Publ., Vol. 3, No.
5-6, pp. 353-360, 2001 (based on the presentation at the symposium
Global Nanotechnology Networking, International Union of Materials
Meeting, August 28, 2001)*

**Abstract**

The worldwide nanotechnology research and development (R&D) investment
reported by government organizations has increased by a factor of 3.5
between 1997 and 2001, and the highest rate of 90% is in 2001. At least
30 countries have initiated or are beginning national activities in this
field. Scientists have opened a broad net of discoveries that does not
leave any major research area untouched in physical, biological, and
engineering sciences. Industry has gained confidence that nanotechnology
will bring competitive advantages. The worldwide annual industrial
production is estimated to exceed \$1 trillion in 10 - 15 years from
now, which would require about 2 million nanotechnology workers. U.S.
has initiated a multidisciplinary strategy for development of science
and engineering fundaments through the National Nanotechnology
Initiative. Japan and Europe have broad programs, and their current
plans look ahead to four to five years. Other countries have encouraged
their own areas of strength, several of them focusing on fields of the
potential markets. Differences among countries are observed in the
research domain they are aiming for, the level of program integration
into various industrial sectors, and in the time scale of their R&D
targets. Nanotechnology is growing in an environment where international
interactions accelerate in science, education and industrial R&D. A
global strategy of mutual interest is envisioned by connecting
individual programs of contributing countries, professional communities,
and international organizations.

*Keywords: nanoscience, nanotechnology, R&D programs, research funding,
international collaboration*

**Introduction**

Nanoscale science and engineering advancements satisfy the human need
for exploration across science and technology boundaries. Nanotechnology
has the long term potential to bring revolutionary changes in society
and harmonize international efforts towards a higher purpose than just
advancing a single field of science and technology, or a single
geographical region. Unifying science based on building blocks at the
nanoscale will facilitate the technology converge. It has the potential
to enhance human performance, to bring sustainable development for
materials, water, energy and food, to protect against unknown bacteria
and viruses, and even to diminish the reasons of breaking peace.

As education, research and industrial production are becoming more
international, it is important to identify the global trends and explore
international opportunities. Several trends are noted in this paper, and
suggestions are made for an overall strategy of nanotechnology
development in the world.

**Research environment**

![](media/image1.wmf)The fields of nanoscience and nanotechnology are
broad and still exploratory, with connections to almost all disciplines
and areas of relevance. Their development is a condition for the
progress of other key technologies, including biotechnology and digital
revolution. The net of nanoscale R&D is not leaving any major research
area untouched. The benefits are evident not only in short term (through
mostly \'rudimentary\' nanoscale technologies) but particularly in
medium (5-15 years) and long term. Researchers and industry experts have
gained confidence that we are closing in on this missing length in
science and engineering: the question is no longer if nanotechnology
would ever be developed, but who will lead in various areas. It is
estimated that 2001 is somewhere at the beginning sector of the
classical \"S\" development curve of nanotechnology, and we need about
five years to get on the fast rising sector of that curve (Figure 1).
The increasing rate of scientific discoveries supports this statement.
Several characteristics of the current research environment are listed
below.

Figure 1. Nanotechnology R&D \"S\" development curve (schematic)

*Significant science, technological and societal changes are expected in
10-15 years because of nanotechnology*.

It has been estimated that about \$1 trillion products will be affected
by nanotechnology in 10-15 years from now (Roco and Bainbridge, eds.,
2001, page 3-4). This estimation was obtained using information from
industry. If one consider a relatively large production per worker
(\$0.5 million/year), a forecast of 2 million workers is obtained. It is
expected that nanotechnology know-how and products will enter our daily
lives in a progressive manner in this time interval. This is a
relatively short term if we compare to information technology, where
there is a shortage of qualified professionals even if the field has
more than four decades of progressive development. Disruptive
technologies, shortage of human resources, changes in economical
structures, and other \'non-scalable\' events are expected because of
the qualitatively new technological environment. Initially less
sophisticated nanoscale processes and structures such as nanolayers,
nanoparticle assemblies, one-dimensional nanoscale processes, will enter
the market place, and will continuously be replaced by the next level of
complexity. The destination of the typical measuring tools at the
nanoscale may be used to approximate the most affected sectors of the
economy. Digital-Veeco Instruments has introduced the first commercial
Scanning Probe Microscopes about 10 years ago, and sold about 3000
Scanning Probe Microscopes. That is more than half of the global market
in that decade (Heaton, 2001). In that interval, the market of the
Digital-Veeco Instruments has been in the following areas: materials
30-35%; semiconductors 18-25% (35% in one year 2000); data storage 15-20
%; life sciences 9-14%; polymers 8-12 %; electrochemistry 3-5 %; and
optics 2-4%.

*Global awareness of the potential of new technology has created a
climate of scientific and technological competition and visions of
\"general good\", and has began to move human and financial resources
into industry and business.*

Concerns of \"not losing the train this time\" are heard as well as in
large corporations and in several countries. The \'lost train\' makes
reference to earlier opportunities in the areas such as genome program,
biotechnology or information technology. Increasing attention on
nanotechnology has brought in action highly qualified researchers and
educators, and more recently industry and even public investment groups.
It is noted that science fiction stories have taken off in popular press
almost immediately after the first years of discoveries in scanning
probes for detecting nanostructures on surfaces. Now, the excitement of
actual scientific discoveries is pervasive and obviously has taken the
central stage in media. The National Nanotechnology Initiative announced
by the U.S. President highlighted the increased recognition of the
field.

*The R&D efforts are distributed worldwide.*

However, the current efforts are dominated by U.S., Japan and EC, where
government investments are comparable. The market of Digital-Veeco
Instruments may be used again as an indication. Regional market sizes
are: 40-45% in U.S., 25-30% in Japan, 15-20% in Europe, Asia Pacific
region (without Japan) - 5-10%, others about 5%.

*Converging science and technology fields.*

Nanotechnology, biotechnology, information technology, biomedical and
cognitive sciences, and system approach develop in close
interdependence. The synergism among the converging fields will play a
determinant role in the birth and growth of new technologies. The
convergence is sought beginning from the molecular scale.

*The globalization accelerates.*

R&D globalization will be the environment in which nanotechnology will
develop. Opportunities for collaboration towards an international
nanotechnology effort, particularly in the precompetitive areas, will
amplify once those national programs are in place. Also, one may note
that large companies rely heavily on R&D results from external company
sources (about 80% in 2001), of which a large proportion is from another
country (Europe 35%, Japan 33%, U.S. 12%, according to E. Roberts,
2001). An increased number of companies act globally with significant
flow of ideas, capital, and people.

*Technology development risks are addressed in the societal context*.

Responsible organizations are addressing with increased attention the
ethical and legal aspects of nanotechnology development and potential
implications. Monitoring the societal implications and informing the
public is one of the tasks in attention by the U.S. National Science and
Technology Council subcommittee on Nanoscale Science, Engineering and
Technology (NSET).

**International Timeline**

*Before the wave*

Reaching directly at the building blocks of matter - atoms, molecules
and their primary organized structures - is a historical event for
science and technology. Living systems and man-made products work at the
nanoscale, but limited fundamental knowledge and insufficient
investigative tools kept us away from understanding the basic material
structures, phenomena and mechanisms. Richard Feynman challenge the
scientific community to explore the \"space at the bottom\" since 1959;
however, nanoscale R&D activities have been initiated in several
countries only few years after Gerd Binnig and Heinrich Rohrer have
invented the scanning tunneling microscope for seeing and touching
nanostructures on surfaces in 1981. The research activities in the late
1980s were fragmented between disciplines and areas of relevance.
Measurement of clusters of atoms/molecules on surfaces was one of the
first areas of research focus. Chemistry selfassembling received an
increased attention in the 1980s, by pioneering contributions such as
those of Jean Marie Lehn. Then, bucky balls (R.F. Curl, Jr., H.W. Kroto
and R.E. Smalley in 1985) and nanotubes (S. Iijima in 1991) come into
attention as models for what would come. Because of their relatively
simple geometry, easier measurement of size effects and potential path
to applications, nanoparticle research has begun sooner than for other
more complex nanostructures. The first U.S. program focused on nanoscale
science and engineering was on new concepts for high rate Synthesis and
Processing of Nanoparticles since 1991 (NSF, 1991). A similar experience
was in Japan (see for example Uyeda, 1991) and Europe (see Fissan,
1997). In earlier 1990s, nanoscience was still perceived as a field of
interest to a small number of researchers looking to small things mostly
associated with a field of relevance such as microelectronics or
precision engineering. The current dominant R&D component is
experimental investigation of nanoscale structures or components, and
less on predictive and deductive approaches, and on system architecture.

The attention of various organizations on the growing potential of
nanoscience has been risen by studies of the situation in a specific
field or country, for example in Germany (Bachmann, 1996), in EC (E.C.,
1997), and UN (UNIDO, 1997). The recognition of nanoscience and
nanotechnology as a key trend in science of technology of the 21st
century advanced much closer in 1997-1998. General media was still
dominated by the science fiction perception of nanotechnology, and the
potential of nanoscience was not fully accepted in the scientific,
technical and business communities.

*National Nanotechnology Initiative (NNI)*

In the United States, NNI has unified the vision of nanotechnology and
brought its broad acceptance. The vision has gained recognition
following several studies starting with the second part of 1996: a U.S.
survey and an international survey with a group of experts travelling
around the world (WTEC, 1997a, 997b, and 1997c), nanotechnology research
directions (Roco, Williams and Alivisatos, 1999), and a worldwide
comparative report (Siegel, Hu and Roco, 1999). A transforming strategy
for nanotechnology R&D has forged the U.S. National Nanotechnology
Initiative (NSTC, 2000), and better understanding of the close
connection between technology and society has been formulated (Roco and
Bainbridge, 2001). The U.S. President Clinton announced the first
coherent national nanotechnology program with participation from key
federal agencies, private sector and academe in January 2000. This
program has stimulated activities in other countries. In 2001, virtually
all developed countries have initiated or have national programs in
advanced planning. Several countries have adopted coordinating offices
at the national level similar to the National Science and Technology
Council in U.S.

Perception of nanotechnology has changed since 1998, as it suggested in
Figure 2. While nanotechnology was seen as too far from industrial
practice (more as a \"science fiction\") before 1998, the perception
changed significantly after the unifying and transforming vision of the
field published in 1999 that moved nanotechnology towards a possibility
for long-term (\"expect it in 15-30 years\"). The implementation of NNI
starting in October 2000 and following expansion of the R&D research
worldwide has caused a second shift in perception: nanoscale has the
potential to become the most efficient manufacturing length scale,
industry and business groups become convinced that nanotechnology will
produce a paradigm shift in economy.

![](media/image2.wmf) Figure 2. Perception of nanoscience (NS) and
nanotechnology (NT)

> between 1998 and 2001: a rapid evolution

*Global investment*

More than 30 countries have activities and plans at the national level
in nanotechnology area in 2001. The government investments in nanoscale
S&T more than tripled between 1997 (\$432 million) to 2001 (\$1,577
million). The increase in 2001 exceeds the increases in the previous
three years (see Table 1 and Figure 3). The data presented in Table 1
are based on information collected from other government programs (U.S.
Senate Briefing on May 24, 2001; M. Roco) and updated with revised data
for 2001 according to presentations at the Global Nanotechnology
Networking meeting organized by the International Union of Materials,
August 30, 2001.

In Asia, there are growing programs in Japan, as well as in China, South
Korea, Taiwan and Singapore. In Europe, besides the EU countries,
Switzerland has a strong program. Russia and Ukraine maintain research
activities, especially on advanced materials synthesis and processing.
Emerging programs have been announced in Eastern Europe. In North
America, Canadian National Research Council has created the National
Institute of Nanotechnology in Calgary, Alberta with \$80 million
funding for five years. In Mexico there are about 20 research groups
which are working independently. International activities and agreements
have increased in importance. Examples are the agreements are between
NSF and EU, APEC, Russia and China, the states of New York (US) and
Quebec (Canada).

> Table 1. Estimated government nanotechnology R&D expenditures (in \$
> millions/year)
>
> Explanatory notes: \"W. Europe\" includes countries in EU and
> Switzerland; the rate of exchange \$1 = 1.1 Euro; Japan rate of
> exchange \$1 = 120 yen; \"Others\" include Australia, Canada, China,
> FSU, Korea, Singapore, Taiwan and other countries with nanotechnology
> R&D; Financial year begins in USA on October 1 of the previous year
> (denoted by \"a\" in the table), and in most other countries on March
> 1 or April 1 of the respective year (denoted by \"b\")
>
> (\*) Estimations use the nanotechnology definition as in NNI (see
> Roco, Williams and Alivisatos, 1999), and include the publicly
> reported government spending. Note that Japan has supplemented its
> initial \$410 million nanotechnology investment in 2001 with about
> \$140 million (added in this table to yield \$550 milion) for
> nanomaterials including metals and polymers; it is not clear if all
> components of the additional \$140 million program would satisfy the
> NNI definition.

+------------+--------+--------+--------+--------+---------+---------+
| **Area**   | **     | **     | **     | **     | *       | *       |
|            | 1997** | 1998** | 1999** | 2000** | *2001** | *2002** |
|            |        |        |        |        |         |         |
|            | **a    | **a    | **a    | **a    | **a b** | **a**   |
|            | b**    | b**    | b**    | b**    |         |         |
|            |        |        |        |        |         | **Req   |
|            |        |        |        |        |         | uests** |
+------------+--------+--------+--------+--------+---------+---------+
| W. Europe  | 126    | 151    | 179    | 200    | 225     |         |
+------------+--------+--------+--------+--------+---------+---------+
| Japan      | 120    | 135    | 157    | 245    | 410 +   |         |
|            |        |        |        |        | 140\*   |         |
+------------+--------+--------+--------+--------+---------+---------+
| USA        | 116    | 190    | 255    | 270    | 422     | 519     |
+------------+--------+--------+--------+--------+---------+---------+
| Others\*   | 70     | 83     | 96     | 110    | 380     |         |
+------------+--------+--------+--------+--------+---------+---------+
| **Total**  | *      | *      | *      | *      | **      |         |
|            | *432** | *559** | *687** | *825** | 1,577** |         |
| **(% of    |        |        |        |        |         |         |
| 1997)**    | **     | **     | **     | **     | *       |         |
|            | 100%** | 129%** | 159%** | 191%** | *365%** |         |
+------------+--------+--------+--------+--------+---------+---------+

![](media/image3.wmf)

Figure 3. Worldwide government funding for nanotechnology R&D (August
2001)

Nanotechnology has been defined in Table 1 according to NNI, that is:
Research and technology development at the atomic, molecular or
macromolecular levels, in the length scale of approximately 1 - 100
nanometer range, to provide a fundamental understanding of phenomena and
materials at the nanoscale and to create and use structures, devices and
systems that have novel properties and functions because of their small
and/or intermediate size. The novel and differentiating properties and
functions are developed at a critical length scale of matter typically
under 100 nm. Nanotechnology research and development includes control
and material manipulation at the nanoscale, and integration of nanoscale
structures into larger material components, systems and architectures.
Within these larger scale assemblies, the control and construction of
their structures and components remains at the nanometer scale.

**Strategy in the world**

Several trends of the strategy for nanotechnology R&D investments have
been identified:

***-** Diverse R&D focus as a function of country*.

From the current broad opportunities of R&D starts-up, countries are
developing areas responding to their own expertise and needs. They look
for niches in the international nanotechnology R&D mosaic and in this
way complement each other efforts. Overall, one may note a
\"selfassembled\" distribution. The focus varies from a general science
based strategy (for example U.S. and France) to industry relevance
driven strategy (for example EC, Korea and Taiwan), from broad spectrum
of areas (as in U.S., Japan and Germany) to specific strengths. The main
difference among countries is the time scale and research area domains
that are targeted.

**-** *Training people is a key component for long-term success.*

A main challenge is to educate and train a new generation of skilled
workers with multidisciplinary perspectives necessary for rapid progress
in nanotechnology. The concepts at the nanoscale (atomic, molecular and
supramolecular levels) should penetrate the education system in the next
decade in a similar manner how microscopic approach made inroads in the
last forty-fifty years. Assuming the current level of instrument
purchasing in the world markets (Heaton, 2001), and that trained people
needs will be proportional to those market sizes, then the number of
nanotechnology trained people needed in 2010-2015 would be: 0.8-0.9
million in the U.S., 0.5-0.6 million in Japan, 0.3-0.4 million in
Europe, 0.1-0.2 million in Asia Pacific region without Japan, and about
0.1 million in other regions.

*- There are common scientific and technical challenges addressing broad
humanity goals.*

Illustrations of scientific and technical challenges of broad interest
are: research focus on a single molecule and operation of single cells
(such as those undertaken by the National Institutes of Health in the
U.S., and various groups in Germany and Japan), on human performance
(not yet clearly addressed), sustainable development and processes in
the environment (such as chemical decontamination of soils, water
desalinization, solar energy conversion and increase efficiency of
lightning). There are attempts to structure the large information
explosion on characterization and processing at the nanoscale (Yamaguchi
and Komiyama, 2001). Internationally shared R&D projects are expected to
expand in the next years.

\- *A focus on manufacturing at the nanoscale.*

There is a need of developing new concepts for new processes, materials
and systems, which are suitable to high rate production and scalability
(see for example nanoparticle manufacturing aspects, Roco 1997), as well
as for internationally certified metrology and standardized tools. A
main challenge is not only creating the manufacturing capabilities, but
also establishing the market (users) in short and long-term.

*- Partnerships: encouraging interdisciplinarity and integrative
activities.*

Nanotechnology is overlapping with other research fields, not replacing
them. Partnerships between universities, industry, and business are
growing within and across national boundaries faster than the R&D
activity itself. Industry and business are generally interested in
\"vertical\" transforming of fundamental discoveries into products,
while academic activities are generally directed to \"horizontal\" basic
discoveries of relevance to multiple disciplines and areas of
application.

\- *International collaboration accelerates.*

This is a manifestation of the expansion of partnerships. International
partnerships are particularly suitable for academic research, common R&D
objectives, and cost leveraging of expensive facilities and experiments.
Virtually all industrialized countries have in development
nanotechnology R&D plans at the national level in the recent years, and
there are good opportunities for win-win agreements in the
precompetitive research areas. Besides bilateral agreements,
international organizations are increasing their visibility. Examples
are APEC, EC, NAFTA (PASI), global networks provided by professional
societies such as ACS, IEEE, ASME, APS and International Union of
Materials. An illustration of international interconnection is the
increasing proportion of projects with researchers from abroad, of about
10-15 % in 2001, of all projects at two U.S. user networks (for
experiments - National Nanofabrication User Network, 1994-continuing;
for modeling and simulation - Distributed Center for Advanced
Electronics Simulation, 1998-continuing).

**Examples of centers and networks primarily supported by government
sources**

While single and smaller group investigators do most of the nanoscale
R&D, the larger research centers play an essential role in the
development of major topics and establishing of partnerships. Centers
provide long term coherence, interdisciplinarity, and a meeting place of
people with multiple expertise and tools covering the various needs of
nanotechnology development. A large proportion of the major
nanotechnology centers around the world has been established in the last
year. Several illustrations of key research centers are listed below:

\- In the U.S.

National Nanofabrication User Network (NNUN):

5 universities, with the lead at the Cornell University

Distributed Center for Advanced Electronics Simulation (DesCArtES):

4 universities with the lead at the University of Illinois - Urbana

Materials Research Science and Technology Centers: distributed through
U.S.

Engineering Research Centers, components on nanotechnology

Nanobiotechnology Science and Technology Center (Cornell University)

Nanoscale Science and Engineering Centers (6 centers established in
2001)

California NanoSystems Institute (established in 2001)

NASA Nanoscience Centers (3 university based centers established in
2001)

DOE Nanoscience Laboratories (3 national laboratory centers to be

established in 2002)

\- Japan

Nanotechnology Research Center, RIKEN (Center established in 2001)

Institute of Nanomaterials, Tohoku University, Sendai

Nanomaterials Laboratory, National Institute of Materials Science,
Tsukuba

(established in 2001)

Silicon Nanotechnology Center, Tsukuba (established in 2001)

\- EC

European Consortium on Nanomaterials

> Network on Nanoelectronics \"Phantoms\", lead by the Inter-university
>
> Microelectronics Center (IMEC), Liuven, Belgium

\- Germany

Network of competency in nanotechnology, 6 centers territorially
distributed

Institute of Nanotechnology, Karlsruhe

\- France

Institute for Micro and Nanotechnologies (MINATECH), Grenoble, France

(established in 2001)

\- Sweden

The Nanometer Structure Consortium, Lund

\- Switzerland

Nanotechnology Network, coordinated from University of Basel,
Switzerland

\- Canada

National Institute of nanotechnology (established in 2001)

\- Brazil

National Synchrotron Light Laboratory

\- China

National Nanotechnology Research Center, Beijing (established in 2001)

\- Taiwan

Industrial Technology Research Institute (established in 2001)

\- Korea

Nanodevice R&D network

\- Russia

Institute of Applied Physics, St. Petersburg

\- Australia

CSIRO Nanotechnology Group (established in 2001)

\- Romania

Nanotechnology Center, National Institute of Microsystems

Nanostructured Materials Center, National Institute of Physics

\- Israel

> Group of four academic centers at the Tel Aviv University, Technion
> University, Hebrew University, and Ben Gurion University (established
> in 2001)

***Closing remarks***

Nanotechnology is seen with increased confidence as a key S&T trend in
the next decades besides the digital revolution and modern biology. At
this moment it is more exploratory than the other two and a condition
for maintaining their current progress rates in the future. Nano, bio
and information technology areas are expected to grow in strong
synergism with cognitive sciences. There is a convergence of sciences in
the \"nanoworld\".

Nanoscale science and engineering R&D is mostly in a precompetitive
phase. International collaboration in fundamental research, long-term
technical challenges, metrology, education and studies on societal
implications will play an important role in the affirmation and growth
of the field. The vision setting and collaborative model of National
Nanotechnology Initiative has received international acceptance. Most
industrialized countries are establishing or are planning to establish
their national programs. Enhancing communication, networking for
exchanges of peoples and ideas, and developing of R&D partnerships are
sought for added value in research and leveraging.

Priority science and technology goals may be envisioned for
international collaboration in nanoscale research and education: better
comprehension of nature, increasing productivity, sustainable
development, and addressing humanity and civilization issues.

**Acknowledgements**

The contribution of the NSTC/NSET members in the development of a vision
for nanotechnology research and development in the future is
acknowledged. Opinions expressed here are those of the author and do not
necessarily reflect the position of National Science and Technology
Council or of the National Science Foundation.

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