Nanotechnolog

M.C. Roco 

Senior Advisor for Nanotechnology, NSF,

Subcommittee on Nanoscience, Engineering and Technolo

National Science and Technology Council (NSTC

Minneapolis, Oct

ober 3, 2005
M.C. Roco, 

U.S. National Science and Technology Council's Subco

on Nanoscale Science, Engineering and Technology (N

and Senior Advisor, National Science Foundation (N

AbstractNanoscale science and engineering allow us to reach beyond oand work directly at the building blocks of matter where the prdefined and can be changed. Material structures with fundamenew tools demonstrating nanoscale phenomena, new moleculatechniques yielding control of structures at the nanoscale, are lgeneral principles and methods of investigation for a variety oapplication. Key engineering drivers are novel methods for crenanosystems, nanomanufacturing, and the synergism with modinformation technology. Several generations of nanotechnologto evolve from relatively simple nanostructures for products sumetals, to active components such as nanoscale actuators and tnanosystems with new architectures, and molecular nanosyste

- Nanotechnology and Occupational Health, Minnesot

Nanotechnology 
TOPICS TO BE ADDRESS

 A. What is nanotechnology and why 

From new phenomena and structure

 B. Four generations of nanotechnolo

Nanomanufacturing; Outlook 2000

 C. NNI main objectives and example

Brief; International perspective; Ne

 D. Societal dimensions 

EHS, Education and ELSI
 Par

WHAT IS NANOT

(definition sinc

z Working at the atomic, molecular and supra

in the length scale of approximately 1 – in order to understand and create matersystems with fundamentally new properbecause of their small structure (see h

z NNI definition encourages new R&D that were 

- novel phenomena, properties and functions a

which are nonscalable outside of the nm d

- the ability to measure, manipulate matter at 

order to change those properties and functi

- integration along length scales, and fields of 

Credit: NIST
NNI -

Why nanotechnology 

z A. Reaching at the foundation of m

Historical event in understanding, control aof natural/living and manmade systems (nbetween discontinuous and continuous belevel organization of matter defines proper

z B. The long term societal implicatio

Improved knowledge, quality of life, and eCreate foundation for a technological and 

z C. Higher purpose goals than devel

- More basic and unifying science and ed-

Higher efficiency processes and novel p

- Molecular medicine -

Extend the limits of sustainable develop

- Increased coherence/integration of S&
Why moving into nanowo

A. Intellectual Drive

z Miniaturization is of interest 

- Less space, faster, less material, less energy

More important: z Novel properties/ phenomena/ process

-

New structures and functions; Engineering beyo

quantum effects in low-dimensional structures (quawells) electronic, optical, thermal, etc.; Access ne(mechanics, electronics, recognition, ...); High su

z Unity and generality 

-

At the building blocks of all natural/artificial thing

z Most efficient length scale for manufac

- Less energy than for subatomic or macroscopic

z Transcendent effects: at the confluence 

-

S&T; Living/non-living ; Interdisciplinarity; Relev
Scales: Expanding the limits of knowle

Scales: Expanding the limits of knowle

Nanoworld

- natural threshold

for behavior, performance, 

unity, bio-inert, manufacturability Ou

10-7 10

7

10-27 1

Smallest Known Size

1 to 100 nm

~ 1 m

Human 

scale

Ov
Things Natural Thin

DNA

~2-1/2 nm diameter

MicroElectroMechanical d

10 -100 μm wide

Red blood cells

Pollen grain

Fly ash

~ 10-20 μm

Atoms of silicon

spacing ~tenths of nm

Quantum corral of 48 iron atoms 

positioned one at a time wi

Corral diameter 14 

Human hair

~ 10-50 μm wide

Red blood cells

with white cell

~ 2-5 μm

Ant

~ 5 mm

The Scale of Things The Scale of Things -- Nanometers a

Nanometers a

Dust mite

200 μm

ATP synthase

~10 nm diameter Nanotube electrode

Na

The Microworld

0.1 nm1 nanometer (nm)0.01 μm

10 nm

0.1 μm100 nm

1 micrometer (μm)

0.01 mm10 μm

0.1 mm100 μm

1 millimeter (mm)

1 cm10 mm 10-2 m

10-3 m

10-4 m

10-5 m

10-6 m

10-7 m

10-8 m

10-9 m

10-10 m

Visible

The Nanoworld

1,000 nanometers = 

Infrared Ultraviolet Mic

rowave Soft x-ray

1,000,000 nanometers = 

Zone plate x-ray “lens”

Outermost ring spacing

~35 nm
B. Broad societal im

(Ex: worldwide estimations mad

 Knowledge base: better comprehension of na New technologies and products: ~ $1 tr

$1 tr

(With input from industry US, Japan, Europe 1997-2000, 

Materials beyond chemistry: $340B/y Electroni

Pharmaceuticals: $180 B/y ChemicaAerospace about $70B/y Tools ~ 

Est. in 2000 (NSF) : about $40B for catalysts, GMR, mEst. in 2002 (DB) : about $116B for materials, pharma

Would require worldwide ~ 2 million nanotec

Would require worldwide ~ 2 million nanotec

In U.S.: ~ 0.8 million (all with supporting job

In U.S.: ~ 0.8 million (all with supporting job

 Improved healthcare: extend life-span, its quali Sustainability: agriculture, food, water, energy, ma

lighting energy reduction ~ 10% or $100B/y
Worldwide market incorporating na

Estimation made in 2000 (NSF

1

10

100

1000

10000

2000 2005 2010 2015 

YE

A

R

MARKET INCORPORATING

NANOTECHNOLOGY ($B) 

Passive nanostructures

Active nanostructures

Systems of NS

Annual rate of increase about 25%

Rudimentary 
Semiconductors Extrapolated 

Semiconductors Extrapolated 

Semi Revenue Scenarios next 

-$100

$0

$100$200$300$400$500$600

1970

1972

1974

1976

1978

1980

1982

1984

1986

1988

1990

1992

1994

1996

1998

2000

World History ’70-’02

SIA forecast ’03-’06

VLSIR forecast ’03-’08

5% CAGR ’09- ’15

10% CAGR ’09- ’15

Source: Semiconductor Industr

y

Assn. 70-02; VLSI Res

Note: $300B nanotech revenues sooner than predicted 

Ex. nanotech revenues: IBM+all/GMR sys $25B 
Context Context – Nanotechnology in 

Nanotechnology in 

Past government investments 1997 Past government investments 1997-

0

500

10001500200025003000350040004500

19971998199920002001200220032004200520062

millions $ / year

W. Europe

Japan

USA

Others

Total

NNI Preparation

(vision / benchmark)

1st Strategic Plan

(passive nanostructures) (

Seed funding (1991 - )

Total government expenditure in FY 2004 – about $
Established corporations spen

> $3.8 billion globally on nanotechnolo

$0.

0

4

$0.

6

5

$1.

4

$1.

7

Nort

h A

meri

c

a Asia Euro

p

e R

Corporate Nanotechnology Spending ($ billion)

Source: Lux Research reference study “The Nanotech Report 20

published spending figures, national statistics, Lux Research 
Scientific Drivers

z Phenomena at nanoscale 

Ex. Confinement; Large surface; Quantum phenometemperature; Coulomb effect; Collective interactions

z The science of large number of obz Atomicand molecular-scale struc

and their manipulation enabled by 

z Concepts -

nanostructures, device

z Instrumentation for single moleculz Understanding the cell and moderz Assembling and connecting at the z Unifying science and technology i
Nanotools Nanotools

Scanning Tunneling Microscope

Quantum-StFe on Cu(11

Courtesy: IBM 
A

B

FeedbackControl ofZ-Piezo

A-B

A+B

X-Y-ZPiezoelectricScanner

Laser Photodetector

Tip Cantilever

Sample

Y

Z

X

NX 

Nanotools Nanotools

Atomic Force Microscope
“Nanotechnology Research Direction

Examples of nanostructures identified in 

(a) One nanometer structures

O O

O

N

+

O 

OO

N+

O O 

O 

Molecuswitche(HP, UC

Electron orbitals have been directly observed (L ~ 1nm). For understanding molecular assembling (ASU, 1999)
(b) 10 nanometer struct

Quantum dot -self-assembled Germanium pyramid (HP, 1999)

Proteins - defined threstructures (C
(c) 10-200 nanometer str

Small fillers

Nanocomposites

new low-cost, high-strength 

materials for automotive parts (RPI, 1999)

DNA-baseBuilding B(NWU, 199
(d) Three-dimensional assem

synergism Nano - BIO - IT - (University 

Selfassembled DNA synthetic strands and nanoparticles

3D architectufor a nanoscal
From synthesis to use of nano

Examples of new functions

Single Electron Molecular Transistor

F. Di Salvo and D. Ralph, Cornell University, 2002

3⁄4 The two molecules contain a central cobalt 

atom and differ in their length -- the shorter of about 2 nm one exhibits less resistance. At low temperature, the longer molecule functions as a single electron transistor, and the shorter molecule exhibits both transistor action and the Kondo effect.

3⁄4 The electrical characteristis of the transistor 

can be varied systematically by making chemical changes to the molecule. 
Example of Nanoscale Devi

Product under Development for 

z Gold nanoshells (10 nm shell 

thickness) formed by depositing metal on silica spheres

z Size is critical

– For reaching t

umor

– For absorbing IR energy (dT=37

°C)

– For optimal transmission through tissue

z In-vivo study in mice showed 

promising results

z In-vitro study in human breast 

carcinoma cells also promising

z Technology developed at Rice Univ. 

with funding from NSF; start-up company formed to commercialize

L

R Hirsch, R

J Sta

ffo

r

d, JA Ban

kston, SR Sershen, B Rivera, RE Pric

JD Hazle, NJ H

alas, JL Wes

t - Rice Univ. PNAS 23 11/11/200
(C) Selective Membrane

J. Hupp, S.-B. Nguyen and R. Snurr, Northweste

3⁄4 Membranes that allow the passage of 

some substances while blocking others. A network of these supramolecules can act as a molecular filter and catalyst

3⁄4 The thin-film material with nanometersized cavities can be manipulated to 

allow the passage of certain molecules but not others depending on size, shape and other properties 

3⁄4 Chemically transforming molecules 

can be placed within these cavities 
Nanoengineering

Issuesz Three dimensional material/device/system spatiaz Directed assembling/patterning/templating 

for heterogeneous nanosystems

z Hybrid and bio nanosystems for medicine and mz Energy conversion and transferz Multiphenomena, multiprocesses, multiscale desz Large scale atomistic modeling and simulationz Integration of nanoscale into larger scales: 

use of intermediary standard components

z Thermal and chemical stabilityz Operational and environmental safetyz Reliability and reproductivity at the nanoscale

Several NNI centers are focused on nanoengineeri

Ex: Cornell, NWU, Sandia, ORNL 
Example: Hypersonic plasma 20 

deposition for hard coatings and on surfaces(S. Girshick, University of M
Example:

Synthesis and control of nan(examples NSE in 2004, www.nseresearch.o

 Self-assembly processing of nanoscale 

bio-materials and devices for micromachines components (UCSB)

 Chemistry to synthesize components of 

nano machines to work on surfaces and be 

activated by external electromagnetic fields (UCB)

 Light driven molecular motors (U. Nevada) Combinatorial engineering of nanomachin

with application to membranes and filters (U. Penn.)

 Nanoengineering surfaces for 

probing viral adhesion (UC Davis)
Angstrom Medica’s 

nanostructured calcium phosphate 

for bone-based orthopedic im

100 nm

NanOssTM Calcium Ph

Ca10(PO4 

)

6(OH)2 and 

Composition and moEnhanced bioactivity 

Bone bonding in 2 wosteointegration in 4 because the nanostmatch that found in 

Angstrom Medica received SBIR in 2003 (NSF-0232733) an

The product received "marketing clearance“ fro
Example: NanoBio-Bar-Code 

Chad Mirkin (NU and spin-off Nanosp

1. One m

sensititechno

2. Evalua

biomardiagnofollowidiseasAlzheim

3. Single-

expres

4. In adva

testing
Example: Dip Pen 

Nanolithography (DP
Challenge 2015: To simulate en

Challenge 2015: To simulate en

problems from basic principles at 

problems from basic principles at 

Using nanotechnology to buildthe highest speed processors

Using fast reconfigufor nanos

“applicat

(for 100x 

Capability 2004 (Cray X1):50+ TFLOPS (fastest computer in the world)

~ 2010 (Cray Cascade):DARPA –

NSF –

DOE acad. support

1,000+ TFLOPS

~ 2015 (Cray target):10-100,000 TFLOPS
Challenge 2015: Specify the sta

and of nervous system from the 

Measure and simulate, 3 dimensional, high

The Cell –

basic nanosystem of life

The brain –

complex s

nanoscale 
Challenge 2015: To Elimina

Challenge 2015: To Elimin

and Death Due to Can

and Death Due to Can

“A Vision Not a Dream!” by using nanotechnology, A 

Where We Want To Be Where We Ar

Detection and Diagnosis

MTuM

Detection and Diagnosis

Cancer results from accumulation of multiple geneti

Nanotechnology will allow earlier detection and 

Year 0 Year X Year Y Y

Prevention Prevention
Revolutionary technolog

products and services

 Growing area

3⁄4 Materials, including bulk, coating, d3⁄4 Chemicals, including catalysts3⁄4 Pharmaceuticals3⁄4 Electronics

 Emerging areas in 2004-2005

3⁄4 Nanomedicine3⁄4 Energy conversion and storage3⁄4 Agriculture and food systems3⁄4 Molecular architectures3⁄4 Realistic multiphenomena/multisca3⁄4 Environmental implications
Nanotechnology holds major im

in nanoelectronics

• Nanotechnology offers the toolsto understand / transform the silicon technolog• A platform for new developmentsMolecular electronics, Quantum computing, Fdevices, DNA computing, Surface computing, Neural, Flextronics, Displays, Nanostructured • Integration with biosystemsVersatile and small sensors; Physical and meNeural prosthesis; Integration of info-biosyste• The quest for smallness and speed will be eneeds for new architectures, three-dimensiothe nanoscale, functionality and integration driven developments such as those in biome
Nanotechnology holds major im

energy conversion and st

-

issues -

Energy conversion

-

Fuel cells; Photovoltaics, space harvesting sy

-

Photo or electro-catalytic reduction of CO2 to 

Storage 

-

H2 storage; Reversible hydrogen chemisorpti

-

Batteries and supercapacitors 

Enabling other technologies

-

Separation nanotechnologies both for fission f

and for mining uranium from sea water

-

Superconductors, or quantum conductors

-

Photodiodes for lighting

-

Materials that will enable deep drilling, geothe
Nanotechnology holds m

implications in the enviro

z Nanoscale manufacturing will in the long term prov

sustainable development. By increasing production same useful outcomes, one needs less material, leand less was

te. Also, new methods to generate en

z “Exact manufacturing”

-

the proportion of was

te red

z Provides means to address current health and env

well as unexpected consequences. Understand ge

z Novel technologies based on molecular processes 

remove existing pollutants that cannot be separateexpensive to be separated otherwise. 

z By using nanoscale sensors one can monitor the s

more detail and over larger areas.

The risk of not doing R&D in nanotechnology 
Integrating science and te

from the nanosca

z Broad and timely opportunity

3⁄4Understanding unity in nature beyond 

renaissance, and technology integration from the nanoscale

3⁄4Powerful transforming tools (NBIC: 

nano-bio-info-cogno) developing at the confluence of disciplines 

3⁄4Improvement of individual and group 

human performance becomes possible 

Onlalso 

3⁄4Need for anticipation (‘learning before 

doing’) and deliberate choices

z NBIC -

agents of accelerated, 

synergistic change
Nanotechnology is still 

red in

green in transmitted lightreflected light
Part B 

Four Generations of Nanotechnolo

3⁄4 Four generations of nanomanufacturi3⁄4 Areas of industrial relevance 3⁄4 NNI support for nanomanufacturing3⁄4 Planning for the future

Minneapolis, October 3, 2005

(McMillan, 2004)
Defining Nanomanufacturing (1) 

Manufacturing: Transforming raw materials int

desired properties and performance –

generally in la

Aims at building material structures, compon

machines, and systems with nanoscale featand three dimensions. It includes 

- bottom-up directed assembling of na

blocks (from the atomic, molecular, supramo

-

top-down high-resolution processing 

engineering, fragmentation methods, positio

-

engineering of molecules and supram

(molecules as devices “by design”, nanosca

-

hierarchical integration with larger sc

Atoms, nanostructures matemolecules (intermediate) mach
Manufacturing at Nano

-

typical bottom-up process

z Nucleation and growth 

-

Aerosol and colloidal dispersions; depositio

z Selfassembling 

-

Natural process in living systems and biomi

-

Chemistry/chemical manufacturing 

-

Guided by electric, magnetic, optical fields, 

z Templating 

-

Al and carbon nanotubes; Substrate patter

z Engineered molecules and molecula

-

Designed molec

ules as devices: Wires, swi

-

New molecular architectures by design: sev

z Bio methods 

-

Selectivity, selfassembling, synthetic biolog
Manufacturing at Nano

-

other typical processes 

z Lithography: -

Optical, ultraviolet, electron-beam (1-10 nm

-

Scanning probe microscope based (1-10 n

z Nano-machiningz Nano-manipulation -

Atoms and molec

ules (ex: IBM), nanopartic

-

1D, 2D and 3D structures; assembling of na

z Fragmentation: mechanical milling, spaz Sintering of nano precursorsz Thermal treatment of metals, ceramz Mixing of nanocomposites and their z Nanoscale roboticsz Evolutionary approaches, ..
Defining Nanomanufact

Assembling

PASSIVE -

ACTIVE - SYST

EMS OF 

NANOSTR. NANOSTR. NANOSYSTEM

- Fragmentation- Patterning 

- Restructuring of bulk

- Lithography, ..

- Directed selfassembling,- Templating, - New molecules 

- Multiscale selfassembling- In situ processing, .. 

- S

y

ste

m

engineering - D

e

vic

e

architecture - Integration, ..

- Interfaces, field & boundary control - Positioning assembl

y

- Integration, ..
Reaching nano-world and syste

Siz

e of structure

20

NANO MICRO MACRO

Top down

System 

creation

B

o

tto

m u

p

0.1 m

1 cm

1 mm

0.1 mm

10 

μ

m

1 

μ

m

0.1 

μ

m

10 nm

1 nm

0.1 nm

1940 1960 1980 20

0

0 20

2

0 2040

Utilization of 

Nanoscale Laws

Biological principles

Information technology

Knowledge of integration

Reaching 

nano-world 

. . Robotics

Biomimetics, 

Guided assembling,

Evolutionary . .

Converging S&E Diverging archit
Timeline for beginning of industrial pr

nanotechnology commercialization: Fo

1st: Passive nanostructures (1st g

Ex: coatings, nanoparticles, nanostructured metals, 

2nd: Active nanostructures Ex: 

amplifiers, targeted drugs, actuators, a

3rd: Systems of nanosys

Ex: guided assembling; 3D nhierarchical architectures, ro

4th: Molecula

Ex: moleculaatomic design

~ 2010

~ 2005 

~ 2000

~ 2015

-

2020

CMU

AIChE J

R

&

D Broad Use

IT 1960 - 2000BIO 1980 - 2010NANO 2000 - 2020
Nanoelectronics:

Example of Enablers for Successive Produ

z First generation: Scaling down “masked-lithography of t

cost-per-function trend is threatened); Nanoscale comp. (ex

z Second generation: 

-

Manufacturing technique to lower the cost of: capital equip

and “atomic-level” process control will be required. Possiblself-assembly” leading to CMOS scaled to its ultimate li-

New devices/circuits that extend the industry’s historical ra

energy-delay product and standby power. CMOS is already regime where the tradeoff between performance and power significant compromise. Possible in the medium term -

“p

“charge-based”) with carbon-nanotube, single-electron 

z Third generation: Charge-based devices tend to remain lim

interconnect charge-transport issues (e.g., parasitic capacitaequilibrium thermodynamic constraints that afflict CMOS. Po

devices based on state variables other than electric chanuclear-spin or photonic states).

z Fourth generation: Molecular and supramolecular comp

Reference: 2002 edition of the International Technology Roadmap fo
• In the 70s, 80s and 90s 

Geometrical scaling was the major drive

• In the 2003 - 2012 period (industry target) 

Use of novel physical phenomena to ext

by equivalent scaling are the major drivers. 

“Strained Silicon” -

Separating the Silicon Atoms 

for Faster Electron Flow 

In addition, to explore beyond CMOS:- New carriers instead of electron charge- Integrate CMOS with other nanodevices- New system architectures- Integration with applications

1.2 nm gate oxide is ~5 Silicon atom layers thick

Challenge 2015: Transistor beyon

Challenge 2015: Transistor beyon

CMOS under 10 nm CMOS under 10 nm
Human

Examples of levels for intervention of nanobiot

in human life extension: 4 generations of 

Organ

Cell

•(1st) Joint replacement

•Non-invasive and invasive 

diagnostics for rapid patient monitoring

•Cognitive-assist devices

•Targeted cancer therapies

•(2nd)Sensors for in 

vivo monitoring

•Localized drug 

delivery

•Neural stimulation•Cardiac therapies•Artificial organs

• (3rd) Imp

cell-mainteract

• Scaffold

tissue e

• (4th) Gen

therapie

• Cell age• Stem cel

therapi
First generation of products: passive nanost

- IN PRODUCTION -

3⁄4 Goal: Reaching systematic control in pass

domains, typically for tailoring macroscale functions 

3⁄4 Ex. applications: coatings, nanoparticles

nanolayers, sintering, filters, surface nanomaterials - nanostructured metals, polymePrimary areas of relevance are:

• Materials • Chemicals, including catalysts• Pharmaceuticals• Electronics

3⁄4 R&D focus: on new properties of materia

Ex.: grain boundary simulation, nanom
Nanomaterials By De

www.ChemicalVision2020.o

The ability to employ scientific principles in deliberately creating structures with nano-scale features (e.g., size, architecture)that deliver unique functionality and utility for target applications
Directed selfassembling

Ex: Robotic deposition of nanoparticle/po

Goal: Design nanostructured inks with controlled rheolcreate materials with 3-D features on multiple length sc

nanostructured 

inks

directwrite assembl

y

of 3-D structures withbuil

ds rates ca 1 mm/s

D nozzle: 1μm -1mmLewis et al. (2003)

100 μm 200 n

m
Healthcare

Aircraft Engines

Nanotechnology Platform

NanoTubes and NanoRods

NanoParticles

NanoCeramics

NanoStructured Metal Systems

Hybrid Materials

Nanotechnology at General E
DuPont: DuPont: Process Engineering & Man

for synthesis (CVD, Aerosol, Crystallization, precisurface treatment, coating, encapsulation, dispersio

Particle Design

CNT’s

Nanoparticles

Nanostructure

Nanolayer

Coating &

Encapsulation

Characterization

Applications 

- PSD, morphology, surface- Defects- End-use performance

- Sa- U- Pr

Modeling&Simulation

Films, Electronics, DisplaysEP, Coatings, Personal care, Sensors, N&H

- F- F-M

Molecular, Meso, Macro, CFD, - B

Nanotechnology platform
Example of today Example of today’s technology: technology:

Applications of various nanostruc

Applications of various nanostruc

Sample of companies involved: GM, Ford, To

BMW, all tire companies: there is no mthat has not yet been affected by nanot

Ex: “Nano in Cars” consortium in Germany - 

10 suppliers, and 26 R&D university a

ABS sensor

Paint

pigments

Emission

probe

Catalytic

converter Nano

in rub

Nanoparticle reinforced polymers, metals, filters

Windows with UV/visible light absorber layer

Ana
Technological targets of Nano

(Source: German car manufacture

Example of system approach, with about 2

Low-lubrication

c

ylinders,

PEM cell

Eas

y-to-cleans

urfaces,

bod

ywork design

Effect-switch

p

aints,

textile conditioning

Sensors, vis

environment, in

Glare-free

w

all-round g

Catal

nanoporo

Corrosion

protection,

EMC

Leight-weight

construction,

H2 storage

Safet

y

Comfort

Sustainability Low-lubrication

c

ylinders,

PEM cell

Eas

y-to-cleans

urfaces,

bod

ywork design

Effect-switch

p

aints,

textile conditioning

Sensors, vis

environment, in

Glare-free

w

all-round g

Catal

nanoporo

Corrosion

protection,

EMC

Leight-weight

construction,

H2 storage

Safet

y

Comfort

Sustainability

2004: 5 car manufacturers, 11 suppliers, 12 universities

http://www.fz-juelich.de/wing/datapool/page/19/Leitinnovation_Na
Second generation of products: active nanos

- IN DESIGN -

3⁄4 Goal: active nanostructures for mechanical, ele

photonic, biological and other effects; typically for microscale devices and system

3⁄4 Ex. applications: Targeted drugs, actuators, tra

molecular machines, light-driven molecular monanoscale fluidics, various devices. Emerging a

 Nanomedicine Energy conversion and storage Agriculture and food systems Realistic multiphenomena/multiscale simul Environmental applications

3⁄4 R&D focus: novel devices/machines & device 
TSC 12/03

Motivation for hybridizing other device
Example:

Construction of a Viral Nanomotor Driven by a Synthetic RNA

P. Guo, Molecular Virology, Purdue University, 2004
Third generation of products

3D systems of nanosystems (~ 2

- IN RESEARCH -

z Goal: engineer and manufacture 3D nanos

heterogeneous components, systems typically for nanoscale assemblies and 

z Ex. applications: multiscale selfassembli

structures and devices at the nanoscale warchitectures, chemical manufacturing, robwith long scale order, biomedical. Emergin

3⁄4 Nanosystem biology for medicine3⁄4 Nanosystem architectures3⁄4 Realistic multiphenomena/multiscale simu3⁄4 Environmental bio implications3⁄4 Converging new technologies from the nan

z R&D focus: Design and interaction of sup

systems and heterogeneous nanostrusystem architecture of nanosystems, m
Example: Neuro-vascular Central Nervou

Stimulating System: Using Nanotechno

R.R. Llinás, NYU School of Medicin

I. Hunter, MIT, Bioengineering

NanostructureConducting bibiodegradable Several goals- neuro-to-ne- simultaneou

for describi

J. Nanoparticle Research, 2005, Issue 2

- treatment P
Fourth generation of products: molecular nan

- IN RESEARCH -

z Goal: heterogeneous molecular nanosyste

typically for nanoscale systems and hy

z Ex. applications: molecules as devices, mo

condition cells as nanobiosystems, muselfassembled systems with molecular nanoscale-based regenerative medicinorgans, high added value ‘smart’ or/and components in larger systems

z R&D focus: atomic/molecular design, collec

chemical-mechanical interaction of molnanoengineering, nano-bio-info-cognitivneuromorphic engineering
Designing molecules for hierarchi

Designing molecules for hierarchi

EX: SAMUEL I. STUPP, EX: SAMUEL I. STUPP, Northwester

ester

Application: biomaterials for human repair, reacti
Miniature Micro/Nano-Robots-II: “

(Seth Goldstein, CMU)
Manufacturing at Nanos

-

several challenges -

z Efficiently create structures in the 0.1z Combine top-down and bottom-up apz Integration along scales with larger sz Large scale production and economic

different concepts and principles?

z Interaction non-living and living strucz Replication (ex: lithography, thermod

Self-replication (ex: bio, DNA-based)

z Revolutionary processes envisioned 

Extend existing manufacturing capab
Nanomanufacturing: Several k

z Evolutionary vs. revolutionary technologz Specific nanotechnology processes and 

Expand on existing infrastructure? 

z Need for specific instrumentation, metroz Integrating length scales in 3-D, time sca

functionality (mechanical, electromabiological, chemical) of manufacturifrom nanoscale to micro- and macro

z Scaling up / high rate production requirez Environmental/Health/Safety requiremen

and research needs 

z Intellectual property issues: time scale, 
NNI and Nanomanufac

2000 - 2005

z Nanomanufacturing - initial goal of NNI 

(included in the nanotechnology definit

z Aiming at a progressive approach: 

exploratory research, design, prototypi

z A new NNI Grand Challenge since FY 20

Lead agencies: NSF (basics -

$22M; 

Nanomanufacturing and theme in soNIST (applied)

z About 1/3 NNI budget has relevance to 

nanomanufacturing (crossing the 5 m

to continue for all four generations of n

z Workshops (ex. Report on interagency mez Working group focused on nanomanufaz Outcomes: R&D, Facilities, SBIR, Partners
Center of Scalable and Integrated Nan

UCLA, UC Berkeley, Stanford U., UCSD, U

UB

Nano Fluidic Circuits

Ultra Compact light source & integrated photonics

Goals-

3D nano-manufacturing with 1-20 nm resolution

(Plasmonic Imaging Lithography, 

Ultra Mold Imprinting)

- Massive and parallel 

integration of heterogeneous nano-LEGOs into devices 

- Nano-manufacturing 

cluster tool
Nanoscale Chemical-Electrical-M

Manufacturing Systems, UIUC, N

Goals

-

control of composition at nanoscale

-

placement of nanostructures in 3D

-

knowledge of the state of matter at nano

Research Thrusts

Micro-Nano Fluidic Network ToolbitProcess Sensing and ControlManufacturing Systems

Macro 

N
Highlights of the FY 2006 Budg

-

Nanomanufacturing 

z Establishment of a network for nanoma

on 4 NSF centers lead by the Center on Nanomanufacturing, a DOD MURI and thNanomanufacturing and Nanometrology 

z New projects funded by the Nanomanuf

at NSF, DOD MANTECH program, NIST characterization tools for manufacturing

z Increased SBIR activities in nano (~$80 z NSET Working Group to promote innova

with industry

z Collaboration with the NSTC Working G

Manufacturing R&D
Part C

National Nanotechnology Initiative: The 

3⁄4 Motivation and timeline3⁄4 Outcomes in the first four years of NN3⁄4 New frontiers in 2005 and long-term p

Minneapolis, October 3, 2005 
Reaching nano-world and syste

Siz

e of structure

20

NANO MICRO MACRO

Top down biology, mechanics, top-down tools .

System 

creation

B

o

tt

o

m u

p

phys, chem, simulations..

0.1 m

1 cm

1 mm

0.1 mm

10 

μ

m

1 

μ

m

0.1 

μ

m

10 nm

1 nm

0.1 nm

1940 1960 1980 20

0

0 20

2

0 2040

Utilization of 

Nanoscale Laws

Biological principles

Information technology

Knowledge of integration

Reaching 

nano-world

. . Robotics

Biomimetics, 

Guided assembling,

Evolutionary . .

Converging S&E Diverging archit
R&D towards the Next Industria

R&D towards the Next Industria

1999 metrics, 2004 check the progress, 2015 to sat

Systematic control matter on the nanosc

to a revolution in technology and in

-

Changing the foundation of under

control, manufacturing and medfrom the macro and micro domananoscale, where all fundamentproperties and functions can bestablished and changed 

-

General purpose technology that 

almost all sectors of the societyIt will disrupt -

structural change

industrial organizations and bus(ex: 50% of new products in advindustrial areas will use NS&E b
The long-term vision dri

Time and impact scales of N

Long term

societal

goals

10-20 year

vision

Five year

strategic 

planning

Ann

NN

budg

Knowledge base Knowledge base

Economy Economy 

Quality of life 

Responsible NT

World context 

1999 Research Directions I 1999 Research Directions I

2004 Research Directions II 2004 Research Directions II

10 top

ical reports in 03-04

Evaluation PCAST, NRC

Annual bu

Annual bu

FY 2001, .

EOP evalu

OMB, GP
Interdisciplinary “horizontal” knowledg

“vertical” transition from basic concepts to 

Fundamental research at the nanosca

Knowledge creation: same principles, phenomena, too

Basic discoveries and new areas of relevance

MATERIALS

ENVIRONMENT

ELECT R O N I C S

MANUFACTURING

CBRESECURITY

HEALTHCARE

MICROCRAFT

ENERGY

Revolutionary Technologies and 
Fiscal year 2000 2001 2002 200

(all in million $) Actual Enact/Actual Enact/Actual Enact

____________________________________________________________________________________________________________________________National Science Foundation 97 150 /150 199 /204 221 

Department of Defense 70 110 /125 180 /224 243 

Department of Energy 58 93 /88 91.1 /89 13

Health and Human Services 32 39 /39.6 40.8 /59 6

NASA 5 20 /22 35 /35 3

NIST 8 10 /33.4 37.6 /77 6

EPA - /5.8 5 /6 5 

Homeland Security (TSA) - 2 /2 2 

Department of Agriculture - /1.5 1.5 /0 1 

Department of Justice - /1.4 1.4 /1 

Congressionally-directed to DOD 25 40 TOTAL 270 422 /490 600 /737 770 Average annual rate: 38% +82% +50% 

- Industry, state and local organizations: about 2 times NNI b- 2004 NNI budget: 65% to academia; 25% - R&D labs; 10% - 

First NNI strategic plan (

R&D funding by Ag
Grey: supervising organizations; Red

Blue: organizations evaluating NN

Contributing 

Independent Agencies (12)

CRCD, EPA, FDA,

NASA, NIH,

NIOSH, NRC,

NSF, ITIC, UTO

Contributing 

Independent Agencies (12)

CRCD, EPA, FDA,

NASA, NIH,

NIOSH, NRC,

NSF, ITIC, UTO

Contributing

Departments (10)

DOC / NIST, DOC / USPT

DOD, DOE, DOJ,

DOS, DOT, 

DOTreas, DHS, USDA

Contributing 

Departments (10)

DOC / NIST, DOC / USPTO

DOD, DOE, DOJ,

DOS, DOT, 

DOTreas, DHS, USDA

NSET: coordinates NNI

(MOU for funding NNCO)

OSTP OSTP OMB OMB

CONG CONGRESS RESS Executive Office of the Presiden

NSTC NSTC

Committee 

on Technology

Committee 

on Technology

RAN RAN

NEHI WG NEHI WG

Industry Liaison WG Industry Liaison WG

Nanomanufacturing WG Nanomanufacturing WG

Supplement Report TF Supplement Report TF

Research Directions and

Strategic Planning TF

Research Directions and

Strategic Planning TF

Com

on S

Comm

on Sc

Organization chart of the NNI

Public Interaction WG Public Interaction WG

Organization chart of the NNI
2. Agenciesprepare & sub

prepare & sub

proposed bud

proposed bud

6. Appropriatio

propriatio

hearings with hearings with agencies & EOP agencies & EOP on individual p on individual pr

10. NNI Budget NNI Budget = sum of agen of agencies decisions on sions on funding funding of nanotechnolo nanotechnology-related p related programs

7. Congress 7. Congress marks u marks up & passes agency passes agency appropriations bills appropriations bills

8. President esident signs or signs orVetoes appropriations b Vetoes appropriations bills

9. Agencies Agencies make dec make decisions on sions on

allocation of nanotechnolog allocation of nanotechnology resources resources consistent consistent with enact with enacted appropriations opriations acts an acts and NNI St d NNI Strategic Plan gic Plan

1. OSTP & OMB 1. OSTP & OMB issue guidance sue guidance memorandum memorandum on R&D priorities on R&D priorities

Simplified Portrayal of NNI Budget D

NNI 

Strategic Strategic

Planning Planning 

Impacts Impacts
Accomplishments (

• Developed foundational knowledge for control of m

over 2500 active projects in > 500 universities, pinstitutions and gov. labs in all 50 states

•

“Created an interdisciplinary nanotechnology co

• R&D / Innovation Results: With ~25% of global gov. 

accounts for ~ 50% of highly cited papers, ~ 60

and ~70% of startups3 in nanotechnology wor

Small Times reported ~ 1645 US nanotech comIn 2004, roughly half of companies were small band NNI SBIR/STTR investment was ~$70 millio

• Infrastructure:

over 35 new large nanotechnology research cenand user facilities; about 6,300 users in 2 acad

(

1) NSF Committee of Visitors, 2004; (2) Journal of Nanoparticle Research, 2004; (3) NanoB
Accomplishments (2

• Partnerships: with industry (Consultative Boards for 

Nanotechnology -

CBAN), regional alliances (2

international (over 25 countries), numerous pro

• Societal implications and applications

-

from the beginning, about 10% of 2004 NNI; adand health, safety, and other societal and educaNSET SC leadership thru NEHI WG

• Nanotechnology education and outreach

-

impacting over 10,000 graduate students and teexpanded to undergraduate and high schools, acreate national networks for formal and informa

• Leadership:

The U.S. NNI has catalyzed global activities in nserved as a model for other programs.
Exponential growth; About half of th

papers in key journals originate 

(“nano*” keyword search, after NNI Supplement Bud

0.01.02.03.04.05.06.0

1991

1992

1993

1994

1995

1996

1997

Y

% "nano*" articlesRest of World

United States

0

5000

1000015000200002500030000

1989

1990

1991

1992

1993

1994

1995

number of articlesRest of World

United States

ISI Web of Science Database with 5400 professional journals- U.S. about 30% for all 

journal articles in 2004

- U.S. about 50% in highimpact articles 

(UCLA NanoBank) 

Ex: recent survey on 

Nature, Science, and Physics Review Letters
US has about 61% of world NT Patents (U

using “Title-claims”and “Full-text” search for nanotechn

(using intelligent search engine, after J. Nanoparticle Research

Using “Title-claims” search: 

nanotechnology claims

0

200400600800

10001200140016001800

1990

1992

1994

1996

1998

2000

2002

Ye

a

r

Number of Patents

Othe

r

s

W.

Eur

o

p

e

Ja

p

a

n

US

A
NSE content map analys

grant 

– patent topic associ

NSE Grant Content Map (2001-2002) NSE Patent Co

*

Region color indicates the relative growth rate (

(source: NSF sponsored research; J. Nanoparticle Research,
Number of citations of Nanoscale 

Engineering patents

(analysis NSF sponsored research and USPT

S

o

urce DF

S

S MS

F

P

Group 8 210748 2634

4 192.43 0.0

0

0

Error

2.00E+

0

5 31210767 137

T

otal

2.00E+

0

5 31421515

Group N

Mea

n

StDev

L

o

w

er Upper

NSF

3

0

7 10.0

4 23.6

8.731 11.3

4

9

IBM 275

6

4.8

6 15.7

4.42

3 5.2

9

7

Top1

0 665

0

5.6

3 22.3

8 5.34

9

5.911

UC 89

4

5.4

7 29.5

9 4.70

3

6.237

US 78227 2.5

4 12.2

9 2.45

8

2.622

EntireSet 108378 2.01 10.9

4 1.94

0

2.080

Japan 14837 0.8

7.89

0.61

2 0.9

8

8

Eur

opean 956

0

0.5 4.99 0.26

5

0.735

Others 638

5

0.6

8

6.64

0.39

3 0.9

6

7

Pooled StDev = 11.70

95% CIs ba

s

ed on pooled St

D

e

v 0 1 234 

NSF Principal Investigator’s patents had significantly hig

measure than most other comparison groups. It showfundamental research for nanotechnology developme

(from J. Nanoparticle Research, 2005, Issue 3)
40 Universities with more than $10 millio

awards in FY 2001-2004

$0

$20,000,000$40,000,000$60,000,000$80,000,000

$100,000,000$120,000,000$140,000,000

Cornell

Northwestern

MIT

U of Wisconsin

Stanford

Penn State

U of ILL Urbana

Harvard 

UCLA

U ofPenn.

Columbia

Rice

UC Berkeley

RPI

UT Austin

Brown

U of Minn. Twin Cities

U of Mass. Amherst

Cal Tech

U ofMaryland

Purdue

Princeton

Georgia Tech

UC Santa Barbara

U ofMichigan

NC State

U ofVirginia

Obligations for ActiveAwards
States (US) Awarded $10 Million or M

NEW Research Grants in FY 20

$0

$50,000,000

$100,000,000$150,000,000$200,000,000$250,000,000$300,000,000$350,000,000

CA NY MA IL PA TX WI OH NC NJ IN FL MI AL VA LA AZ GA TN CO MD MN NM NE WA KY SC MT D

States

4-Year Total Amount
yAK - $3.88

y$6.41y$3.58

yHI - $0.17

y$3.51

y$2.98

y$9.93y$7.40

y$2.44

y$3.33

y$3.50

y$4.61

y

y$3.63

y$5.39

y$2.91

y$2.42

y$6.93

y$5.82

y$4.29

y$9.03

y$4.86

y$7.18

y$2.83

y$1

y$4.74

y$3.13

y$4.11

y$8.72

y$7.29

y$3.48

y$4.27

y$4.09

y$3.89

y$4.37

y$3.82

y$3.19

y$7.27

y$5.34 y$1.07

y$4.70

y$2.37

Per Capita NEW Amt.

<= 2.91 2.91 - 3.583.58 - 4.27 4.27 - 5.345.34 - 8.72 8.72 - 26.04

Per Capita NEW NNI Award Amount 

NSF, FY 2001- 2004
2000

20022003200420052001

2005-2007

Infrastructure 2001-2005: 40 R&D Centers, Networks 

Nanobiotechnology, Cornell (STC)

National Nanotechnology Infrastructure Network (13)

Oklahoma Nano Net, OK

Network for Computational Nanotechnology, Purdue (7)

Nanoscale Systems in Information Technologies, CornellNanoscience in Biological and Env. Eng., RiceIntegrated Nanopatterning and Detection, NUElectronic Transport in Molecular Nanostructures, ColumbiaNanoscale Systems and their Device Applications, HarvardDirected Assembly of Nanostructures, RPI

InstitNanoNano

MoCeCeCeCe

InstitInstitStrucBio-IfunctInstit

Integrated Nanomechanical Systems, UCBHigh Rate Nanomanufacturing, NE U.-BostonAffordable Nanoeng. of Polymer Biomedical Devices, Ohio St.Nano/Bio Interface, U. PA.Probing the Nanoscale, StanfordTemplated Synthesis and Assembly at the Nanoscale, UW-Ma

Integrated and Scalable Nanomanufacturing, UCLANanoscale Chem., Electr., and Mech. Manu. Systems, UIUCExtreme Ultraviolet Science and Technology, Colorado St.

Operation

Nanotechnology Center for Learning and Teaching, NU (10)

Fund

MRSECs on nanostructures

Nanotec

N

New in 2005 (N

NISE (museum
NSF NNIN Scope and 

(13 nodes, lead Cornell Un

www.nnin.orgAbout 3,300 users in 2004
Center For Functional 

Nanomaterials at BNL

Center For Nanophase Materials Sciences at ORNL M

DOE Nanoscale Science Resear

Summer ‘03 Summer ‘03

Spring ‘05 Spring ‘05

Spring ‘04 Spring ‘04 

Center for Nanoscale Materials at Argonne Center for Integr
SBIR/STTR funding FY 20

(estimation)

 200

1 200

2 

Total Funding Total Pr

oje

cts Total Funding Total Proje

cts T

D

O

D 20.

9 104 32.

2 157 

D

OE 4.5 34 1.0 2 

N

A

S

A 5.5 31 12.

8 48 

H

HS (

NIH) 6.4 32 8.1 19 

N

SF 9.4 51 8.1 62 

D

O

T 0.3 2 0 0 

E

P

A 0.3 4 0.3 4 

U

S

D

A 0.1 1 0.5 4 

D

OC 0.1 1 0.5 4 

T

otals 47.5 26

0 63.

5 300 

Funding - in million $About 7% of the NNI R&D budget in FY About 3.5% of funding for all SBIR/STT
Defining the vision for the second stra

Defining the vision for the second stra

National Nanotechnology 

National Nanotechnology 

2004

Reports Reports

2004: 

10-year

vision/plan Agriculture

and Food 

GovernmentPlan (annual) Survey

manufacturing

Dec. 2004: Update 10 year vision, and deve
Second NNI strategic plan (

Goals / Activities

Four main goals (including areas of new focus 

• Maintain a world-class research and developmen

aimed at realizing the full potential of nanotechn(Support R&D for active nanostructures and nan

• Facilitate transfer of the new technologies into pr

commercial and public benefit (Increase funinnovation and multidisciplinary R&D platforms)

• Develop educational resources, a skilled workfor

supporting infrastructure and tools needed to adv

(Access to research facilities and educational opnanoscale science and engineering for half of thgraduate students by 2010)

• Support responsible development of nanotechno

environmental and health implications R&D, and inte

(Address sustainability and life cycle of products
After 3 years of NNI: 

New R&D potential targets 

2004 

Transistor beyond/integrated CMOS under 

Nanoscale visualization and simulation of 3

= Micro domains with nano space and time resolutions

New catalysts for chemical manufacturing

No suffering and death from cancer when tr

Control of nanoparticles in air, soils and wa
After 3 years of NNI: 

New R&D potential targets 

2004 

Advanced materials and manu.: 1⁄2 from m

Pharmaceuticals synthesis and delivery: 1⁄2 bConverging technologies from the nanoscal

Life-cycle biocompatible/sustainable develop

Including: artificial organs, manufacturing multidisciplinary platfor

Education: nanoscale instead of microscale-
NNI agencies and collabo

-

Illustrations for FY 2

z Nanomanufacturing (main partners NSF, DOD and NIST)

NSF’s Center for Hierarchical Nanomanufacturing will become fully ocomplementary DOD MURI, and the NIST N

3F. NSET will also coord

with the NSTC Interagency Working Group on Manufacturing Resear

z Environmental, Health, and Safety (EHS) Research

EPA, NSF, NIOSH, and USDA plan an expanded joint extramural reToxicology Program’s initiative; NIOSH’s “recommended pracnanomaterials; NEHI monthly meetings

z Industry Liaison in Support of Technology Transfer and C

The NSET Subcommittee will expand its activities to rea

NSF’s “Silicon Nanoelectronics and Beyond” activity DOD will place moving research innovations into applications in support of the DOworking group on industry liaison will help to coordinate this interagen

z Standards Development

Partner: American National Standards Institute’s Nanotechnology Sta

z Infrastructure Development

Among R&D centers (NSECs, NNIN and NCN, centers and network wModeling and simulation and nanoelectronics (DO

D, NASA and NSF
Industry surveys (1)

Companies working in nanotechnology 

(Survey by Small Times in 2004, based on contacts and direct verification; partial NN

o In March 2004: 775 nanotech comp

(475 products in 215 companies; 23,000 new jobs in sm

o In March 2005: 1455 nanotech com

42%

13%

10%

5%7% 23% 682 - M

a

n

ufact

u

208 - E

q

uip

m

e

n

172 - Fin

a

n

cial 

87 - G

overn

m

e

110 - I

n

d

u

stry or

386 - Profe

ssio

n
Industry surveys (2

17%

10%

32%

24%

17%

AlreaN

ano

Withi

Withi

Withi

M

ore 

- 19 of the 30 Dow Jones companies have launc-

All Fortune 500 companies in emerging mater

pharmaceuticals

-

Timeline for commercialization (http://na

Survey by National Center for Manufacturin600 manufacturing companies: 83% expect pr

(study 
NNI-Industry Consultative Boards for Advan

Key for development of nanotechnology, Rec

NNI-Electronic Industry (SRC lead), 1

Collaborative activities in key R&D areas 5 working groups, Periodical joint actions NSF-SRC agreement fo

r joint funding; oth

NNI-Chemical Industry (CCR lead) 

Joint road map for nanomaterials R&D2 working groups, including on EHSUse of NNI R&D results, and identify R

 NNI –

Organizations and business (I

Joint activities in R&D technology man2 working groups (nanotech in industrExchange information, use NNI results

NNI-Biotechnology (BIO lead), 10/200

Collaborative activities in key R&D areas 2 working groups, R&D collaboration and 

CCR
NNI-Industry Consultative Boards for Advan

Key for development of nanotechnology, Rec

In development

NNI -

Pharmaceuticals (Phrma lead)

Joint road map for nanomaterials R&D 2 working groups, including on EHSUse of NNI R&D results, and identify R

 NNI – Forestry and paper products 

Workshop / roadmap for R&D 2 working groups (nanotech in industExchange information, use NNI results

NNI -

Automotive Industry, 3/2005-

Other contacts: industry sectors such 

plastics, food products, energy-
Sampling of Current Regional, St

Initiatives in Nanotechno

California 

NanoSy

stem 

Institute (CNSI)

Northern CA 

Nano Initiativ

e

Atomw

orks

Girv

an Institute

Ente

Flo

Nanoscience 

Center

NanoScience 

Institute of the West; 

CA, OR, WA

Oklahoma Nanotechnology

Initiative

Nano

Ce

Consortium: 

UNM & Nat. Labs

Col

orado NanoTe

chnology

Initiative (CNTI)

Center for 

Acceleratin

g

Applications at 

the Nanoscale

Arizona Bi

o

desig

n

Institute (AzBio)

Michigan 

Small Tec

h

Association

Texas 

Nanotechnology

Initiative
support

- Nanotechnology R&D- Infrastructure: Physical, Human resources, Legal, Organizations - Regulatory measures and standards

support- Nanotechnology R&D- Infrastructure: Physical, Human resources, Legal, Organizations - Regulatory measures and standards

through

Converging Technolo

through

Applications Converging Technolo

Growth 

Policies, governance:

Congress, WH, others

Nanotechnology

New understanding,

discoveries, 

and innovations 

Nanotechnology

New understanding,

discoveries, 

and innovations 

impl- Qkno- E- C

impli- Quknow- Ec- Cu

changes

New Products

Human Health and Cog

Societal System

changes

New Products

Human Health and Cog

Societal System

(Open system)

Nanotechnology in Society

J. Nanoparticle Resear
NNI challenge

- Coherent long-term (5-10 year) programs: new prio

budget constrains; support interdisciplinary researcflexible infrastructure, and broad societal implication

- Horizontal versus vertical S&T development: incre

innovation in the 2nd NNI Strategic Plan 

-

More responsible and effective 

in including public, industry and states perspectives

- Collaboration and synergism among agencies; Inc

participation and proper reporting

- Need for bold system-oriented programs, particula

agencies, focused on topics such as: the new catalyconditioning the cell

- International collaboration and competition 
3⁄4 Environmental, Health and Safety is

3⁄4 Education3⁄4 Ethical, Legal and other Social Issue

Part D

Societal Dimensions Societal Dimensions

McMillan, 2004

Minneapolis, October 3, 2005 
Topics

z Short and long term issues in 

implications: governance app

z NNI activities in EHS, educati
support

- Nanotechnology R&D- Infrastructure: Physical, Human resources, Legal, Organizations - Regulatory measures and standards

support- Nanotechnology R&D- Infrastructure: Physical, Human resources, Legal, Organizations - Regulatory measures and standards

through

Converging Technolo

through

Applications Converging Technolo

Growth 

Policies, governance:

Congress, WH, others

Nanotechnology

New understanding,

discoveries, 

and innovations 

Nanotechnology

New understanding,

discoveries, 

and innovations 

impl- Qkno- E- C

impli- Quknow- Ec- Cu

changes

New Products

Human Health and Cog

Societal System

changes

New Products

Human Health and Cog

Societal System

(Open system)

Nanotechnology in Society

J. Nanoparticle Resear
Specific framework for risk 

go

of nanotechnology 

Focus on risk analysis for the higher-risk, high 

applications:

-

Open and complex system

-

fundamental (high risk) 

-

developments are not known (role organ

-

accelerated (upstream measures needed

- cross S,E&T (complex interactions)

-

With broad implications (general platform)

-

affects most areas of economic activity, 

the “food chain” of the nanotech produfor comprehensive evaluation of societa

-

global technological implications, cross

(connect models for governance at the n

and the international levels, E-W, N-S)
June 2005

International Risk Governance CObjective

• Develop a framework for the governan

nanotechnology risks in the general cotechnologies.

Focus on the second generation of NT (

as well as longer term issues (related to molecular systems).

Select higher risk applications with globa

(international interactions).

Address global aspects that cannot be a

country.

Address longer term and broad societal 

nanotechnology that are not well covere

• Apply basic principles of the IRGC risk 

framework*.

• Agree a common framework of govern

recommandations based on consensus

* Cur
June 2005

Outcomes of the preparatory Workshop 

Uncertain

Unknown

Complex

R&D underway

Regulatory measures considered 

Nanosystems

Active nanostructures

Passive nanostructures

Nanotechnology application areas
Timeline for beginning of nanotechnology c

Perceived higher risks area

1st: Passive nanostructures Ex: Cosmetics (pr

Pharmaceuticals (incomplete tests for inflammatory industry (no regulations in many situations), Consum

2nd: Active nanostructures Ex: Nan

Neuro-electronic interfaces, Nanoelectsystems, Precision eng., Hybrid nanom

3rd: Systems of nanosyst

technologies, Nanorobotics, medicine, Brain-machine inte

4th: Molecula

Ex: Neuromosystems, Hum

~ 2010

~ 2005

~ 2000

~ 2015-

2020 AIChE J
Societal Implications: Follow-up 

of the September 2000 report

• Make support for social, ethical, and 

economic research studies a priority

:

(a) New theme in the NSF program solicitations; (b) Centers with societal implications programs; (c) Initiative on the impact of technology, NBIC, HSD

• NNCO

–

communicate with the public 

and address Environmental, Health and and Safety issues, and unexpected conseq

• NSET’s Nanostructures Environmental and 

working group has been established in 8/20

• Workshop with EC (2001); Links to Europe, 

International Dialogue (26 countries, NSF-s
NSET

NEHI WG MEMBERSH

• Consumer Product Safety Commission• Department of Agriculture• Department of Commerce/National Institute of Sta• Department of Defense• Department of Energy• Department of Labor/Occupational Safety and Hea• Environmental Protection Agency • Food and Drug Administration• National Institute of Environmental Health Science• National Institute for Occupational Safety and Hea• National Nanotechnology Coordination Office• National Science Foundation• Office of Management and Budget• Office of Science and Technology Policy
NEHI ACTIVITIES/IMPA

(see www.nano.gov for links to age

•

Identify regulatory agency jurisdiction 

•

Toxic Substances Control Act jurisdict

•

Chemical Abstract Service/American C

approach to nano-particles

• Terminology and nomenclature•

Regulatory agency position on research 

•

Regulatory agency position statement o

nano-products

•

Question & answers for fielding questi

interests

•

Inter-agency coordination
NNI Publications in 2005 i

Societal Implications II (Se
Key issues in long te

•

Respect human right to: access to know

welfare; human integrity, dignity, health 

•

Balanced and equitable R&D nanotechn

•

Environment protection and improvemen

Sustainable development, life-cycle of peffects (weather), eliminate pollution at t

• Economic, legal, ethical, moral, regulato

international (developed-developing couInteracting with the public and organizat

•

Adaptive/corrective approach for a comp

Immediate and continuing issue

-

EHS in research laboratories and indu

-

Harmonizing nomenclatures, norms an

-

Primary data and methodology for ris
NNI activities

for Environmental, Health and other Soci

A. Align R&D investment with societal B. Evaluate and implement regulatory C. Coordinated measures for EHS and D. Periodical meeting for grantees,

setting research targets, and interaction with industry and the p

E. International collaboration (Interna

for Responsible R&D of Nanotech

(Details in Environmental Science and Technology, ACS, March 
A. NNI coordination for R&D i

FY 2001-2005: About 10% budget for EHS/ELSI

• NSF research grants on environmental and so

All basic R&D areas, transport of nanoparticles; P

• NIH research on effects of nanoscale materia• EPA research grants on environmental implic

manufactured nanomaterials

• National Toxicology Program (NIEHS, NCTR, 

Project to study toxicity of nanotubes, quantum do

• NIST development of standards and measure

particles

• FDA and USPTO training and specialized act• USDA and DOE support fate and transport st• DOD supports exposure studies• Solicitations (SI): NSF (ENV, SI), EPA-NSF-N
NSF environmental centers and inter

groups with research and education at 

Center (details on 

www.nsf.gov/home/crssprgm/nano/nni01_03_env.htm)

Fundamental Studies of Nanoparticles Formation in Air Pollution

WorcestInstitute 

Center for Advanced Materials for Water Purification

UniversiUrbana 

Center for Environmentally Responsible Solvents and Processes

Universiat Chape

Nanoscience in Biological and Environmental Engineering (estimated 50% in environment)

Rice Uni

Environmental Molecular Science Institute Univ. of NIRT: Investigating Nano-carbon Particles in the Atmosphere: Formation and Transformation

Universi

Center for Advanced Computational Environment SUNY BNIRT: Nanoscale Processes in the Environment -Atmospheric Nanoparticles Harvard NIRT: Nanoscale Sensing Device for Measuring the Supply of Iron to Phytoplankton in Marine Systems

Universi
NNI projects supporting toxicity rese

Project Agen

National Toxicology Program($0.5M in FY 2004 to $5M in FY 2008)

NIH/NIENIOSH

Particle characterization for health and safety($1.7M in FY 2004 rto $2.3M in FY 2005)

NIOSH

Nanotechnology Characterization Laboratory($5M/yr, part of $144M/yr NCI for FYs 2004-2008)

National 

Multidisciplinary University Research on Nanoparticle Toxicity

Departmsupporte

Molecular function at the Nano-Bio Interface(component on nanostructures and cell behavior)

NSF/NSEU. Penns

Nanomanufacturing Center for Enabling Tools(component on safe manufacturing)

NSF/NSENorthea

Size Dependent Neural Translocation of Nanoparticles

NSF/SGRocheste

Reverse Engineering Cellular Pathways from Human Cells Exposed to Nanomaterials

NSF/SG
National Toxicology Program o

B

S

Policy Oversight

Environmental

Toxicology

Program

Exter

Executive Committee

ATSDR

NCI/NIH

CPSC NIEHS/NI

H

EPA

OD/NIH

F

D

A

NIOSH/CDC

NCEH/CDC OSHA

NTP Director

Dr. K. Olden, Dir NIEHS
Nanotechnology Characterization 

(NCI) Concept of Operat

For comparison and characterization of nano

Sources of cancer detection, diagnostics, and therapeut

Nanomaterials

NIST

Phy

sical 

Characteri

z

ation

In Vivo

In Vitro

NCL

Cancer Centers 

of Nanotech 

E

xcell

ence 

(CCNEs) 

Academia

NNI

Small Busin

ess 

NCI, NIH, NSF

DoD, DoE

Unconventional 

Innovative 

Program (UIP)

Candidate 

Nanoparticles
NNI projects supporting social implicat

Project Age

Nanotechnology and its Publics NSF, 

Pennsylv

Public Information, and Deliberation in Nanoscience and 

N

anotechnology Policy 

(SGER)

InterageNorth C

Social and Ethical Research and Education in Agrifood Nanotechnology (NIRT)

NSF,Michiga

From Laboratory to Society: Develop

ing an 

Informed Approach to NSE (NIRT)

NSF,U. of Sou

Social and ethical dimensions of nanotechnology NSF,

U. Of Vi

Ethics and belief inside the development of nanotechnology (CAREER)

NSF,U. Of Vi

All centers, NNI

N and N

C

N have a societal 

implications components 

NSF, DOAll nano 
NNI projects supporting social implicat

Project Age

Citizen Learning, Deliberation, and Reasoning in Internet-Mediated Technology Policy Forums

NSF, North CUnivers

Public Information, and Deliberation in Nanoscience and 

N

anotechnology Policy 

(SGER)

InteragNorth CUnivers

An Integrated Approach to Teaching Nanotechnology and Society (NUE)

Univers

Nanotechnology: Content and Context (NU

E

) Rice Un

Undergraduate Exploration of Nanoscience, Applications and Societal Implications (NU

E

)

NSF,Michiga

Assessing the Imp

lications of Emerging 

Technologies (IGERT)

NSF,MIT

Nanoparticle Science and Engineering(IGERT)

NSF, Univers
Four NSF centers with nationa

fully or partially dedicated to societ

• Center for Nanotechnology in Society 

(ASU, UCSB, other small groups, 

• Nanotechnology Center Learning and 

(Northwestern University, 2004 -)

• Center for Nanotechnology Informal S

(Boston Museum of Science, 2005 

• Center for Hierarchical Nanomanufac

(U. Mass, 2005 -)
www

or lin
B. EHS research and regulatory topics fo

So

u

r

c

e

/

In

v

entory

1. By-products

2. Engineered

3. Natural

So

u

r

c

e

/

In

v

entory

1. By-products

2. Engineered

3. Natural

Release

Emission

Release

Emission

Environment: Fate, transport 

and transformation

Environment: Fate, transport 

and transformation

Biokine

Bioaccumu

Biokinet

Bioaccumul

Risk

Characterization

& Communication

Risk

Characterization

& Communication

Risk

Mitigation

Risk

Mitigation

airwater

soil

sediment

plants animals

Toxicology Toxicology

Dose

Response

Modif

J. Nanopa

NIH, NSF, EPA

NIEHS, 

NCTR, 

NTP

EPA, NSF, USDA, DOE

All Agencies 

All Agencies

Working Place Working Place

EPA, NSF

G

overnance:

Congress, WH

G

overnance:

Congress, WH
C. Current NNI coordinated mea

z Develop statement on “Best practices” for researc

industry units (NIOSH, NSF, DOE, NASA, DOD), and 

z Map of EHS responsibilities and contacts in each Nz Establish response approach to an unexpected evez Identify protective equipment suitable for nanopart

nanostructured materials (OSHA, NIOSH, other age

z Support development of instrumentation and metroz Develop a unified, explicit nomenclature (agenciesz Develop standards for nanotechnology (NIST, ANSz Collaborative activities with industry (SRC, CCR, Pz Identify research and educational needs (Fundame

NSET Group: “Nanomaterials Environmental and HOSTP Group: “Risk Assessment of Nanotechnolog
z NSF, 9/2000: “Societal Implications of Nanoscience 

z NSF, 6/2002: “Nanoparticles and the environment”

(grantees meeting, book)

z EPA, 11/2003: “Nanotechnology and the environment 

and implications” (grantees meeting, br

z ACS, 3/2003: “Symposium on nanotechnology implic

environment”, New Orleans

z NNI, 5/2003: “Vision for environmental implications a

(interagency, report)

z NSET/NNCO, 8/2003: Review of Federal Regulations z NNI, 9/2003: Interagency : grantees meeting (reportz Wilson Center, 10/2003: EPA and FDA regulatory funz NSET, 12/03 “Societal Implications of Nanoscience an

D. NNI workshops on nano-env

research

examples
E. International Dialogue on R

Nanotechnology R&D

Im

Recommended

measures

International 

Dialogue 

26 countries

Jo

Current Norms

Survey

Investments

FirsSecoThir

June 2004, Virginia

http://www.nsf.gov/home/crssprgm/nano/
International Dialogue on Re

Nanotechnology R&D

Activities after the June 2004 International Dia

on Responsible Nanotechnology (Virginia, U.

z October 2004/October 2005 -

Occupational S

z November 2004 –

OECD group on nanotech

z December 2004 – Meridian study for develop

begins (next meeting in March 2005)

z December 2004 -

International collaboration 

nomenclature and standards has been in

z February 2005 –

N-S Dialogue on Nanotech

z May 2005 –

Nano-world, MRS (Materi

z July 2005 –

2nd International Dialogue 

z May 2005-

-

International Risk Governa

initiate study on nanotechn
NNI Activit

Education and 

z Integrated Research and Educatio

Lab a Place of Learning (about 10,00

z Curriculum development

New courses, 10 IGERT, Nanotech Un

z Education and outreach programs

from K-12 to G; includes NSEE; scien

z International education opportunit

young researchers to Japan and Europattend courses abroad; PASI - Latin Ambi-lateral workshops and exchanges 
Objectives for nanotechnolo

g

-

Fundamental understanding from the nanoscale: 

moving the foundation of learning from “microscale” to “nanoscale”

-

Sharing similar concepts in various disciplines 

and relevance areas: 

unifying concepts earlier in education

- “Reversing the pyramid of learning”: learn

unifying concepts of matter/ biology/ information and then averaging techniques specific to each 

- Combine “depth” with “breadth”

- Broader accessibility and motivation to - Engineering has an increased role becau

interdisciplinary, integrative, system approach ancharacteristics. Nanotechnology deals with syst
Introducing earlier nanotechnolo

(NSF: Nanoscale Science and Engineer

NT Graduate education (curriculum developm

NT Undergraduate Education

NT High school education

NT Elementary 

2003

(NSF/NSEE)

2002

(NSF/NSE)

2000 

2004 -2005 

(NSF/NSEE)
Nanotechnology university 

- examples of activities 

– Nanotechnology curriculum development – Integration of research and education 

(ex: IGERT, CRCD, REU, RET)

– Local and long-distance outreach educati–

Technological education

–

Education and training in centers and net

–

Modules for individual training

–

Public education (non-technical audience

–

Courses and tutorials offered by professio

– International dimension
Examples : IGERT pro

Focus on interdisciplinary fellowships, research aEach IGERT (Integrative Graduate Education, Reprovide support for > 12 interdisciplinary gradua

z NEAT (Nanophases in the Environment

and Technology)University of California -Davis (A. Novrots

z Nanostructural Materials and Devices

City University of New York (D.L. Akins)

z Nanobiotechnology

University of Washington (A. Vogel)

z Nanoparticle Science and Engineering

University of Minnesota (U. Kortshagen)

z 11 sites in FY 2002 (4 since 2001, and 4 
K-12 NANOTECHNO

Education Modul

Illustrationsz University of Wisconsin -

Art Ellis: Nanoworld for kids

z Rice University – James Tour: NanoKidsz Cornell University: for nano-biotechnologyz Northwestern University, Chicago: manualsz Harvard University: manuals, museumz UNC Nanomanipulatorz Purdue NanoHub z Molecularium, RPIz NSF plans to have 10 K-12 education mo
State K-12 Curriculum Standard

15,000 Local School Districts

50 Million Students

56 State Level

Entities

State Standards

and Assessments

NNI Leverage Points

(Proposed)

Current NNI I

mpact

(Enlarged F

or Eas

e of View)

Locally Taught

Curriculum
Transforming and Resp

development of nanotec

Reaching at the building blocks of matter fo

and living systems, with the NBIC platform transforming tools more powerful and uniconsequences more important than for ot

Besides the immediate and continuing socie

issues, a long-term concern is a possible human development, because perturbatio

foundation of life and of the new transform

There is a need for an anticipatory and corre

- planning, to be both transforming a- in addressing societal implications 

R&D program or project from the be

- risk governance of converging new 

the national and international levels