Communication from the Commission - Towards a European strategy for nanotechnology
Date: 2004-05-12
Institutions: European Commission
Subjects: applied research, atom, fundamental particle, new technology, research and development, scientific research

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 12.5.2004 
COM(2004) 338 final 

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COMMUNICATION FROM THE COMMISSION 

Towards a European strategy for nanotechnology 

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TABLE OF CONTENTS 

Executive summary .................................................................................................................... 3 

1. 

Introduction .................................................................................................................. 4 

1.1.  What is nanotechnology? ............................................................................................. 4 

1.2.  Why is nanotechnology important? ............................................................................. 4 

1.3.  Which approach should be adopted to ensure that nanotechnology is safe? ............... 6 

2. 

2.1. 

2.2. 

3. 

3.1. 

3.2. 

3.3. 

3.4. 

3.5. 

4. 

5. 

Worldwide funding and activities in nanotechnology R&D........................................ 7 

Nanotechnology R&D in third countries ..................................................................... 7 

Nanotechnology R&D in Europe ................................................................................. 8 

The road to the infinitely small: Five dynamics to stimulate progress ........................ 9 

Research and Development: building the momentum ................................................. 9 

Infrastructure: European “Poles of Excellence” ........................................................ 12 

Investing in human resources..................................................................................... 14 

Industrial innovation, from knowledge to technology ............................................... 16 

Integrating the societal dimension ............................................................................. 19 

Public health, safety, environmental and consumer protection.................................. 21 

A further step: international cooperation ................................................................... 22 

Annex: An estimate of public funding in nanotechnology ...................................................... 24 

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EXECUTIVE SUMMARY 

Nanosciences  and  nanotechnologies  are  new  approaches 
research  and 
development (R&D) that aim to control the fundamental structure and behaviour of 
matter  at  the  level  of  atoms  and  molecules.  These  fields  open  up  the  possibility  of 
understanding new phenomena and producing new properties that can be utilised at 
the  micro-  and  macro-scale.  Applications of nanotechnology  are  emerging  and  will 
impact on the life of every citizen. 

to 

Over the last decade  the  European Union (EU) has established a strong knowledge 
base in nanosciences. Our ability to maintain this position is in doubt since the EU is 
investing  proportionately  less  than  its  main  competitors  and  lacks  world-class 
infrastructure (“poles of excellence”) that muster the necessary critical mass. This is 
despite the fact that investment in national EU programmes is growing in a rapid but 
independent way. 

European  excellence  in  nanosciences  must  finally  be  translated  into  commercially 
viable  products  and  processes.  Nanotechnology  is  emerging  as  one  of  the  most 
promising and rapidly expanding fields of R&D to provide new impetus towards the 
dynamic  knowledge-based  objectives  of  the  Lisbon  process.  It  is  crucial,  however, 
that a favourable environment for innovation is created, in particular, for small and 
medium sized enterprises (SMEs).  

Nanotechnology  must  be  developed  in  a  safe  and  responsible  manner.  Ethical 
principles  must  be  adhered  to  and  potential  health,  safety  or  environmental  risks 
scientifically  studied,  also  in  order  to  prepare  for  possible  regulation.  Societal 
impacts  need  to  be  examined  and  taken  into  account.  Dialogue  with  the  public  is 
essential  to  focus  attention  on  issues  of  real  concern  rather  than  “science  fiction” 
scenarios. 

This Communication proposes actions as part of an integrated approach to maintain 
and  strengthen  European  R&D  in  nanosciences  and  nanotechnologies.  It  considers 
the issues that are important to ensure the creation and exploitation of the knowledge 
generated  via  R&D  for  the  benefit  of  society.  In  this  context,  the  time  is  right  for 
launching a debate at an institutional-level in view of coherent action to: 

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increase  investment  and  coordination  of  R&D  to  reinforce  the  industrial 
exploitation  of  nanotechnologies  whilst  maintaining  scientific  excellence  and 
competition; 

develop  world-class  competitive  R&D  infrastructure  (“poles  of  excellence”) 
that take into account the needs of both industry and research organisations; 

promote  the  interdisciplinary  education  and  training  of  research  personnel 
together with a stronger entrepreneurial mindset; 

ensure favourable conditions for technology transfer and innovation to ensure 
that  European  R&D  excellence  is  translated  into  wealth-generating  products 
and processes; 

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integrate societal considerations into the R&D process at an early stage; 

address any potential  public health, safety, environmental and consumer risks 
upfront  by  generating  the  data  needed  for  risk  assessment,  integrating  risk 
assessment into every step of the life cycle of nanotechnology-based products, 
and adapting existing methodologies and, as necessary, developing novel ones; 

complement  the  above  actions  with  appropriate  cooperation  and  initiatives  at 
international level. 

The  actions  described  in  this  Communication  are  also  in  line  with  the  European 
Councils  of  Lisbon  2000,  declaring  the  commitment  to  develop  a  dynamic 
knowledge-based  economy  and  society,  of  Gothenburg  2001,  aiming  at  sustainable 
development, and of Barcelona 2002, targeting 3% of GDP funding for research1. It 
also  contributes  towards  the  development  of  the  European  Research  Area  (ERA)  2 
and profits from it. 

1. 

INTRODUCTION 

1.1.  What is nanotechnology? 

Originating  from  the  Greek  word  meaning  “dwarf”,  in  science  and  technology  the 
prefix “nano” signifies 10-9, i.e. one billionth (= 0.000000001). One nanometre (nm) 
is  one  billionth  of  a  metre,  tens  of  thousands  of  times  smaller  than  the  width  of  a 
human  hair.  The  term  “nanotechnology”  will  be  used  here  as  a  collective  term, 
encompassing the various branches of nanosciences and nanotechnologies. 

Conceptually, nanotechnology refers to science and technology at the nano-scale of 
atoms and molecules, and to the scientific principles and new properties that can be 
understood and mastered when operating in this domain. Such properties can then be 
observed  and  exploited  at  the  micro-  or  macro-scale,  for  example,  for  the 
development of materials and devices with novel functions and performance. 

1.2.  Why is nanotechnology important? 

Nanoscience  is  often  referred  to  as  “horizontal”,  “key”  or  “enabling”  since  it  can 
pervade virtually all technological sectors. It often brings together different areas of 
science  and  benefits  from  an  interdisciplinary  or  “converging”  approach  and  is 
expected to lead to innovations that can contribute towards addressing many of the 
problems facing today’s society: 

–  medical  applications  including  e.g.  miniaturised  diagnostics  that  could  be 
implanted  for  early  diagnosis  of  illness.  Nanotechnology-based  coatings  can 
improve  the  bioactivity  and  biocompatibility  of  implants.  Self-organising 
scaffolds  pave  the  way  for  new  generations  of  tissue  engineering  and  bio-
mimetic  materials,  with  the  long-term  potential  of  synthesising  organ 

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Presidency conclusions can be downloaded from http://ue.eu.int/en/Info/eurocouncil/index.htm  
“The European Research Area: Providing new momentum - Strengthening - Reorienting - Opening up 
new perspectives” COM(2002) 565 final. 

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replacements. Novel systems for targeted drug delivery are under development 
and  recently  nanoparticles  could  be  channelled  into  tumour  cells  in  order  to 
treat them e.g. through heating 

information  technologies  including  data  storage  media  with  very  high 
recording  densities  (e.g.  1  Terabit/inch2)  and  new  flexible  plastic  display 
technologies.  In  the  long-term,  the  realisation  of  molecular  or  biomolecular 
nanoelectronics,  spintronics  and  quantum  computing  could  open  up  new 
avenues beyond current computer technology; 

energy production and storage can benefit from, for example, novel fuel cells 
or  lightweight  nanostructured  solids  that  have  the  potential  for  efficient 
hydrogen storage. Efficient low-cost photovoltaic solar cells (e.g. solar “paint”) 
are  also  under  development.  Energy 
savings  are  anticipated  via 
nanotechnological developments that lead to improved insulation, transport and 
efficient lighting; 

–  materials science developments using nanotechnology are far-reaching and are 
expected  to  impact  upon  virtually  all  sectors.  Nanoparticles  are  already  used 
for  reinforcing  materials  or  functionalising  cosmetics.  Surfaces  can  be 
modified  using  nanostructures  to  be,  for  example,  scratch-proof,  unwettable, 
clean  or  sterile.  Selective  grafting  of  organic  molecules  through  surface 
nanostructuring  is  expected  to  impact  upon  the  fabrication  of  biosensors  and 
molecular  electronics  devices.  The  performance  of  materials  under  extreme 
conditions can be significantly improved and advance e.g. the aeronautics and 
space industries; 

–  manufacturing  at  the  nanoscale  requires  a  new  interdisciplinary  approach  to 
both  research  and  fabrication  processes.  Conceptually,  there  are  two  main 
routes: the first starts from micro-systems and miniaturises them (“top-down”) 
and  the  second  mimics  nature  by  building  structures  starting  at  atomic  and 
molecular  level  (“bottom-up”).  The  former  can  be  associated  with  assembly, 
the  latter  to  synthesis.  The  bottom-up  approach  is  in  an  early  development 
phase  but  its  potential  impact  is  far  reaching  with  a  disruptive  potential  for 
current production routes; 

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instrumentation for the study of the properties of matter at the nano-scale is 
already  having  an  important  direct  and  indirect  impact  that  is  stimulating 
progress  across  a  wide  range  of  sectors.  The  invention  of  the  Scanning 
Tunnelling  Microscope  was  a  landmark  in  the  birth  of  nanotechnology. 
Instrumentation also plays an essential role for developing the “top down” and 
“bottom up” manufacturing processes; 

food,  water  and  environmental  research  can  advance  via  nanotechnology-
based  developments  including  tools  to  detect  and  neutralise  the  presence  of 
micro  organisms  or  pesticides.  The  origin  of  imported  foods  could  be  traced 
via  novel  miniaturised  nano-labelling.  The  development  of  nanotechnology-
based  remediation  methods  (e.g.  photo-catalytic  techniques)  can  repair  and 
clean–up environmental damage and pollution (e.g. oil in water or soil); 

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security  is  expected  to  be  enhanced  via  e.g.  novel  detection  systems  with  a 
high  specificity  that  provide  early  warning  against  biological  or  chemical 
agents, ultimately down to the level of single molecules. Improved protection 
of  property,  such  as  banknotes,  could  be  achieved  by  nano-tagging.  The 
development of new cryptographic techniques for data communication is also 
underway. 

Several  nanotechnology-based  products  have  been  marketed  including:  medical 
products (e.g. bandages, heart valves, etc); electronic components; scratch-free paint; 
sports  equipment;  wrinkle  and  stain  resistant  fabrics;  and  sun  creams.  Analysts 
estimate that the market for such products is currently around 2.5 billion € but could 
rise to hundreds of billions of € by 2010 and one trillion thereafter3. 

With  the  prospect  of  obtaining  greater  performance  with  fewer  raw  materials,  in 
particular via the realization of “bottom-up” manufacturing, nanotechnology has the 
potential  to  reduce  waste  across  the  whole  life-cycle  of  products.  Nanotechnology 
can contribute towards realising sustainable development4 and to the goals addressed 
in the “Agenda 21”5 and the Environmental Technology Action Plan6. 

1.3.  Which approach should be adopted to ensure that nanotechnology is safe? 

In accordance with the Treaty, applications of nanotechnology will need to comply 
with  the  requirements  for  a  high  level  of  public  health,  safety,  consumer7  and 
environmental  protection8.  It  is  important  for  this  rapidly  evolving  technology  to 
identify and resolve safety concerns (real or perceived) at the earliest possible stage. 
Successful  exploitation  of  nanotechnologies  needs  a  sound  scientific  basis  for  both 
consumer  and  commercial  confidence.  Moreover,  all  provisions  should  be  taken  to 
ensure health and safety at work. 

It is essential that the aspects of risk are addressed upfront as an integral part of the 
development of these technologies from conception and R&D through to commercial 
exploitation, in order to ensure the safe development, production, use and disposal of 
products  from  nanotechnology.  Nanotechnologies  present  new  challenges  also  for 
the assessment and the management of risks. It is therefore important that, in parallel 
with  technological  development,  appropriate  R&D  is  undertaken  to  provide 
quantitative  data  on 
toxicology  and  ecotoxicology  (including  human  and 
environmental  dose  response  and  exposure  data)  to  perform  risk  assessments  and, 
where necessary, to enable risk assessment procedures to be adjusted. Actions related 

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See,  for  example,  the  figures  presented  in  “New  Dimensions  for  Manufacturing:  A  UK  Strategy  for 
Nanotechnology” DTI(2002) page 24. 
“A Sustainable Europe for a Better World: A European Union Strategy for Sustainable Development” 
COM(2001) 264. See also the United Nations Millennium Declaration (http://www.un.org/millennium/) 
See http://www.un.org/esa/sustdev/documents/agenda21/index.htm 
See http://europa.eu.int/comm/research/environment/etap_en.html 
Treaty Articles 152 and 153 respectively require that a “high level of human health protection […] be 
ensured  in  the  definition  and  implementation  of  all  Community  policies  and  activities”  and  that 
“consumer  protection  requirements  […]  be  taken  into  account  in  defining  and  implementing  other 
Community policies and activities.” 
Treaty  Article  174  has,  among  others,  the  objectives  of  “preserving,  protecting  and  improving  the 
quality  of  the  environment”,  “prudent  and  rational  utilisation  of  natural  resources”  and  “promoting 
measures at international level to deal with regional or worldwide environmental problems.” 

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to public health, environment, safety and consumer protection are addressed later in 
this document. 

2. 

WORLDWIDE FUNDING AND ACTIVITIES IN NANOTECHNOLOGY R&D 

Taking  into  account  the  potential  of  nanotechnology,  many  countries  are  pursuing 
R&D  programmes  with  large  and  rapidly  increasing  levels  of  public  investment. 
Over the last decade there has been an explosion of interest with public investment 
rising  rapidly  from  around  400  million  €  in  1997  to  over  3  billion  €  today.  This 
section provides an overview of publicly funded initiatives in nanotechnology. 

While  the  contribution  of  private  R&D  funding  of  nanotechnology  cannot  be 
accurately established, it has been estimated to be close to 2 billion € i.e. implying a 
total global R&D investment in nanotechnology of around 5 billion €. In this context, 
it is important to highlight that, with 56% of overall R&D investment from private 
sources, the EU lags behind the USA and Japan with 66% and 73% respectively9. 

2.1. 

Nanotechnology R&D in third countries 

With the launch of the National Nanotechnology Initiative (NNI) in 2000, the USA 
embarked  on  an  ambitious  R&D  programme  in  nanotechnology  and  federal 
expenditure has increased from $220 million in 2000 to around $750 in 2003, with a 
budget request of $982 million for 2005. Additional support is provided via States’ 
funding of around $300 million. 

The long-term federal commitment of the USA has been recently assured by the “21st 
Century  Nanotechnology  Development  Act”,  running  from  2005-2008  in  which 
almost $3.7 billion is allocated to five agencies (NSF, DoE, NASA, NIST and EPA) 
and  will  more  than  double  their  current  level  of  funding  by  2008.  Note  that  this 
figure  does  not  include  defence-related  expenditure  (DoD)  and  other  areas  that 
currently account for around one-third of the federal budget for nanotechnology. 

Japan identified nanotechnology as one of its main research priorities in 2001. The 
funding  levels  announced  increased  sharply  from  $400  million  in  2001  to  around 
$800 million in 2003, overtaking the USA federal funding and is set to rise further by 
20%  in  2004.  South  Korea  has  embarked  upon  an  ambitious  ten-year  programme 
with around $2 billion of public funding while Taiwan has committed around $600 
million of public funding over six years. 

China  is  devoting  increasing  resources  to  nanotechnology  that  is  particularly 
significant  taking  into  account  their  purchasing  power.  Its  share  of  worldwide 
publications is increasing rapidly with a growth rate of 200% in the late 1990s and is 
catching up with the EU and the USA. The Russian Federation is well established in 
nanotechnology as well as several other Newly Independent States. 

Many other regions and countries are paying increasing attention to nanotechnology 
including  Australia,  Canada,  India,  Israel,  Latin  America,  Malaysia,  New  Zealand, 
The Philippines, Singapore, South Africa and Thailand. 

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European Commission “Key Figures 2003-2004” (2003). 

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2.2. 

Nanotechnology R&D in Europe 

Europe  recognised  the  potential  of  nanotechnology  at  an  early  stage  and  has 
developed a strong knowledge base in nanosciences with some of the brightest minds 
in the field. Several countries have dedicated research programmes that date from the 
mid  to  late  1990s.  Despite  the  fact  that  some  countries  do  not  have  specific 
nanotechnology 
is  often  embedded  within  other 
programmes (e.g. biotechnology, microtechnology, etc). 

initiatives,  relevant  R&D 

When comparing Europe, Japan and the USA, there are no established “winners” or 
“losers”  in  nanotechnology  but  some  trends  can  be  identified.  Europe’s  strength  in 
nanosciences  is  demonstrated  by  the  fact,  over  1997-1999,  the  EU  shared  32%  of 
worldwide  publications,  compared  to  24%  for  the  USA  and  12%  for  Japan10. 
However, this knowledge does not appear to be always capitalised upon by industry. 
Analysis of patents reveals that the EU has a worldwide share of 36%, compared to 
42% for the USA, demonstrating a weakness in transforming R&D into applications. 

Public  investment  levels  vary  considerably  across  the  Member  States  both  in 
absolute and relative terms (see the annex). One can estimate that the level of public 
funding for nanotechnology R&D in Europe has risen from around 200 million € in 
1997 to the present level of around 1 billion € with around two-thirds from national 
and regional programmes. 

In  terms  of  absolute  public  expenditure,  the  EU  is  investing  significant  financial 
resources  with  a  comparable  level  to  the  USA  and  Japan.  On  a  per  capita  basis, 
however,  the  average  level  of  public  investment  for  the  EU-25  is  2.4€  per  citizen 
(2.9€ for the EU-15), compared to 3.7€ for the USA and 6.2€ for Japan. Similarly, in 
terms of GDP, the EU-25 invests 0.01% compared to USA and Japan at 0.01% and 
0.02%, respectively. 

All  EU-25  countries,  except  Ireland,  currently  have  a  lower  per  capita  level  of 
investment  than  both  the  USA  and  Japan.  One  should  also  take  into  account  the 
planned increases in the USA and Japan, the former is set to rise to 5€ per citizen by 
2006 and the latter to 8€ in 2004. It seems likely therefore that the gap between the 
EU and its main competitors will widen further. 

One of the crucial differences between the EU and our main competitors is that the 
landscape  of  European  R&D 
in  nanotechnology  risks  becoming  relatively 
fragmented  with  a  disparate  range  of  rapidly  evolving  programmes  and  funding 
sources. The EC contribution under FP6 of €350 million in 2003 amounts to around 
one third of the overall European expenditure in nanotechnology.  

Our  main  competitors  are  characterised  by  coordinated  and/or  centralised  R&D 
programmes in nanotechnology. In the USA, for example, over two-thirds of funding 
is allocated as part of the National Nanotechnology Initiative within the auspices of 
the  federal  programme.  It  appears  unlikely  that  the  EU  can  remain  competitive  at 
world-level without better focussing and coordination at Community level. 

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The  Third  European  Report  on  Science  &  Technology  Indicators,  European  Commission  (2003) 
http://www.cordis.lu/indicators/third_report.htm 

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Nanotechnology  research  is  underway  in  the  Accession  Countries  and  they  are 
involved  in  projects  via  the  EU  Framework  Programmes  (FP)  for  Research  and 
Technological  Development.  Switzerland  has  a  long  tradition  of  nanotechnology 
R&D  and  has  one  of  the  highest  levels  of  patents  and  publications  per  capita. 
Nanotechnology  research  programmes  have  also  been  established  in  other  FP6 
Associated Countries such as Norway. 

Numerous  collaborative  research  projects  and  other  initiatives  have  already  been 
supported  via  the  EU  Framework  Programmes.  These  have  added  an  important 
European dimension by establishing transnational collaborations and have catalysed 
a  substantial  increase  in  national  and  private  funding.  While  the  fourth  (FP4)  and 
fifth  (FP5)  programmes  have  already  funded  a  good  number  of  nanotechnology 
projects11, only in the sixth (FP6)12 has nanotechnology been identified as one of the 
major priorities. 

3. 

THE ROAD TO THE INFINITELY SMALL: FIVE DYNAMICS TO STIMULATE PROGRESS 

In  today’s  global  market,  economic  growth  demands  innovation  which  is  in  turn 
dependent  upon  research.  World-class  R&D  is  an  essential  part  of  this  process  but 
there  are  other  factors  that  need  to  be  taken  into  account.  In  this  context,  five 
dynamics are identified: R&D, infrastructure; education and training; innovation; and 
the societal dimension. A set of synergetic actions at Community level is needed in 
all  of  these  interdependent  dynamics  so  to  exploit  the  potential  existing  in  the 
European Research Area. 

Such an integrated  approach to R&D in nanosciences  and nanotechnology was  one 
of  the  main  conclusions  from  the  “EuroNanoForum2003”  meeting13  that  was 
organised  by  DG  Research  (RTD),  in  December  2003  and  attended  by  over  1000 
participants  from  around  the  world.  Recent  Commission  initiatives  include  a 
workshop organised by DG Health and Consumer Protection (SANCO) that was held 
in  March  2004  on  the  potential  risks  associated  with  nanotechnologies14.  Other 
initiatives, e.g. on roadmaps and foresighting, are ongoing by DG RTD and the Joint 
Research Centre (JRC). 

3.1. 

Research and Development: building the momentum 

Taking into account the intellectual, scientific and technical challenges that are ahead 
in nanosciences and nanotechnologies, excellence in R&D is essential to ensure that 
Europe can remain competitive in the long-term. In this respect, the support of R&D 
through  public  funding  is  essential  together  with  the  availability  of  world-class 
researchers and competition between research teams at European level. 

At  the  same  time,  knowledge  generated  via  R&D  must  be  translated  through 
nanotechnologies  into  innovative  products  and  processes  that  can  improve  the 
competitiveness  of  European  industry.  In  this  context,  it  is  necessary  not  only  to 

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14 

To obtain further information refer to the project database http://www.cordis.lu/fp6/projects.htm 
See http://fp6.cordis.lu/fp6/home.cfm 
See http://www.euronanoforum2003.org/ for further information 
See http://europa.eu.int/comm/health/ph_risk/events_risk_en.htm for further information. 

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maintain excellence in R&D but also to strengthen investment in R&D of industrial 
the 
relevance,  while  reinforcing  Community 
coordination of national policies to ensure critical mass. 

level  R&D  and  strengthening 

3.1.1. 

Increasing investment in knowledge to improve Europe’s competitiveness 

To  create  wealth  and  new  employment  in  a  globalised  market  and  within  a 
knowledge-based  economy,  the  competitive  production  of  new  knowledge  is 
essential.  While  European  R&D  must  be  excellent,  it  should  also  be  timely  and 
carried out at a competitive overall cost, otherwise there is the risk of a delocalisation 
of industrial activities to areas where production of knowledge is more cost effective. 
If we are able to take the leadership in the production of knowledge, it is possible to 
reverse the current trend and attract knowledge-based industry to Europe. 

European  public  investment  in  nanotechnology  R&D  risks  becoming  significantly 
lower  than  our  main  competitors  over  the  next  five  years.  We  are  faced  with  the 
danger of losing the momentum unless there is substantial increase in European-level 
investment, by at least a factor 3 by 2010, taking into account the Lisbon objectives. 
Such investment should not be to the detriment of other R&D programmes but in line 
with the “3%” objective15 and focus upon the most challenging aspects, in particular, 
knowledge-based  industrial  innovation  (“nanomanufacturing”),  integration  at  the 
macro-micro-nano interface and interdisciplinary (“converging”) R&D. Appropriate 
synergy with the European Strategy on Life Sciences and Biotechnology16 may also 
be beneficial. 

Investment in R&D should be increased at both Community and Member State level 
in a complementary and synergetic way. Collaborative research projects at European 
level  are  essential  for  gathering  competence  and  critical  mass  to  further  advance 
excellence.  This  is  particularly  important  in  order  to  make  rapid  progress  in 
nanotechnology  via  interdisciplinary  R&D.  In  this  context,  one  must  focus  on  the 
synergy  of  research,  infrastructure  and  education  -  they  are  indissociable.  Such  a 
“system  approach”  will  boost  both  knowledge  production  while  also  attracting  to, 
and retaining in Europe, the best minds for nanotechnology R&D. 

3.1.2.  Research at Community level 

Research carried out at Community level in a competitive and transparent manner is 
an  essential  means  to  stimulate  and  support  world-class  R&D  in  the  European 
Research Area (ERA). As well as pooling knowledge, it brings the best teams from 
different  disciplines  together  and  provides  an  interface  between  industries  and 
universities so as to ensure a dynamic input to the interdisciplinary R&D process that 
is beneficial for advancing nanotechnology. 

Under  the  EU  Framework  Programmes,  a  substantial  number  of  research  projects 
have already been supported in nanotechnology. While significant progress has been 
made  in  advancing  R&D  excellence,  only  the  FP6  is  recognising  the  key  role  of 
nanotechnology, concentrating R&D activities under one thematic priority area, thus 
allowing  the  Commission  to  tackle  the  problem  of  dispersion,  duplication  and 

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“More Research for Europe: Towards 3% of GDP” COM(2002) 499 final. 
Life Sciences and Biotechnology: A strategy for Europe” COM(2002) 27. 

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fragmentation.  Two  new  instruments  have  been  introduced,  namely  the  Integrated 
Projects (IP) and Networks of Excellence (NE). These are complemented by a range 
of other instruments and actions17 including dedicated IPs for SMEs. 

Since the launch of the first calls for proposals, more than 20 IPs and NEs for R&D 
in  nanosciences  and  nanotechnologies  have  been  selected  and  negotiated.  IPs 
assemble a critical mass of stakeholders and financing to pursue a specific objective. 
They integrate all aspects of the R&D process, both technical and non-technical and 
can ensure the transition from nanosciences to nanotechnologies by bringing together 
the research and industrial communities. 

European  Technology  Platforms  are  a  newly  introduced  concept  that  aims  to  bring 
together  all  interested  stakeholders  to  develop  a  long-term  shared  vision,  create 
roadmaps, secure long-term financing and realise a coherent approach to governance. 
This  concept  might  be  appropriate  in  response  to  the  need  for  more  synergy  and 
coordination between various stakeholders in a specific technological area. 

3.1.3.  Coordination of national policies 

National and regional  policies and programmes have an important  place in funding 
nanotechnology  R&D  in  Europe.  It  is  recognised,  however,  that  national  capacities 
are often proving inadequate for the creation of world-class poles of excellence. It is 
therefore  urgent  that  these  programmes  are  coordinated  in  a  way  that  effort  is 
consolidated and focussed so to ensure a critical mass and greater impact within the 
ERA on the three key synergetic axes: research, infrastructure and education. 

In order to stimulate the take-up of nanotechnology into applications and to increase 
and  capitalise  upon  the  interdisciplinary  nature  of  nanotechnology  R&D,  it  is 
important that national programmes of (often) different disciplines and emphasis are 
coordinated in a way that effort is focussed to ensure critical mass in applied R&D 
and  to  mix  different  scientific  competences.  This  should  help  to  ensure  the  rapid 
exploitation of knowledge into innovation in all European regions. 

Initiatives such as the Open Method of Co-ordination (OMC)18and ERA-NET19 can 
stimulate and support the coordination of programmes and joint activities conducted 
at  national  or  regional  level,  as  well  as  among  European  organisations.  Such 
initiatives  can  be  accompanied  by  appropriate  benchmarking  as  a  means  of 
measuring progress. 

3.1.4.  Roadmaps and foresighting 

Technology  roadmaps  provide  a  means  of  defining  and  assessing  progress  in 
nanotechnology and following its penetration into more mature phases of industrial 
development. The process of preparing roadmaps is useful in itself since it requires 
all  stakeholders  to  interact  and  think  about  possible  developments,  challenges, 
impact  and  future  needs.  However,  a  generic  roadmap  for  nanotechnology  is 
unrealistic since the field is too broad. Instead, roadmaps should be applied to market 

17 
18 
19 

See http://fp6.cordis.lu/fp6/home.cfm for information on the full range of instruments in the FP6 
As defined in the Presidency Conclusions of the 2000 Lisbon European Council http://ue.eu.int/ 
See http://www.cordis.lu/coordination/home.html 

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sectors  that  have  reached  sufficient  maturity.  Several  roadmaps  are  being  prepared 
for which the contribution of institutes such as the Institute for Prospective Studies 
(IPTS) of the JRC is valuable. 

To  underpin  the  development  of  roadmaps  as  a  strategic  policy  tool,  foresighting 
plays a valuable role in anticipating future developments and planning accordingly. 
This is especially important for the potentially disruptive nature of nanotechnology, 
where  examination  of  the  potential  social  impact  is  needed.  For  this  purpose,  a 
specific  methodology  is  needed  and  an  independent  EU  high-level  expert  group  is 
being  created:  “Foresight  the  new  technology  wave:  Converging  nano-,  bio-  and 
info-technologies and their social and competitive impact on Europe”. 

Actions: A European Research Area for nanotechnology 

1. To remain at the forefront of nanosciences and nanotechnologies, the EU should 
reinforce  its  commitment  to  R&D.  While  ensuring  synergy  with  programmes  at 
national level, the Commission calls upon the Member States to: 

(a) substantially increase public investment in nanosciences and nanotechnologies in 
a  coherent  and  coordinated  manner  by  a  factor  of  3  by  2010  bearing  in  mind  the 
Lisbon and “3%” objectives; 

(b) promote excellence in nanosciences through competition at European-level; 

(c)  boost  R&D  in  nanotechnologies  with  a  view  to  wealth-generating  applications 
with emphasis on the involvement of SMEs; 

(d) to  maintain  a  concentration  of R&D  activities in  the next  FP  in  order  to  secure 
critical  mass  and 
the  development  of  nanosciences, 
nanotechnologies, related engineering and safety aspects; 

synergy  between 

(e) ensure effective coordination of the national programmes; 

(f) reinforce roadmap and foresighting efforts at European level with the contribution 
of centres of excellence and institutes such as the IPTS. 

3.2. 

Infrastructure: European “Poles of Excellence” 

Infrastructure  refers  to  facilities  and  resources  that  provide  essential  services  to  the 
research community. They may be “single-sited” (in a single location), “distributed” 
(a  network  of  distributed  resources),  or  “virtual”  (the  service  being  provided 
electronically). State-of-the-art equipment and instrumentation is increasingly crucial 
for  the  development  of  nanotechnology,  also  to  demonstrate  whether  R&D  can  be 
translated into potentially wealth generating products and processes. 

To  accelerate  the  development  of  both  nanosciences  and  nanotechnologies, 
investment  in  a  wide  range  of  advanced  facilities,  instruments  and  equipment  are 
essential.  Due  to  its  interdisciplinary  and  complex  nature,  the  investment  for  such 
infrastructure must often be shared between organisations at local, regional, national 
and private level. It is useful to classify infrastructure into three different investment 
levels thus: 

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– 

– 

– 

up to a few tens of million € of investment, typically at local or regional level, 
for  example,  the Interdisciplinary  Research Centres in Nanotechnology in the 
UK and the Competence Centres for Nanotechnology set up in Germany; 

up  to  200  million  €  of  investment,  typically  at  national  level  for  which 
MINATEC  in  France,  IMEC  in  Belgium  and  MC2  in  Sweden,  are  good 
examples and have become centres of both European and global visibility; 

more  than  200  million  €  of  investment  for  which  dedicated  nanotechnology 
facilities of this scale do not exist yet within the EU but are under development 
in third countries20. 

Today’s  infrastructure  does  not  always  meet  the  requirements  of  industry.  This 
mismatch  can  be  managerial,  geographical,  in  terms  of  ease  of  access,  or  concern 
difficulties to agree upon terms for Intellectual Property Rights (IPR). Solutions such 
as “open laboratories” with easy access for industry are very rare but greatly needed. 
SMEs, in particular, are often undercapitalised and could benefit substantially from 
such access to accelerate the R&D process and reduce the “time to market”. 

3.2.1.  New “poles of excellence” for Europe 

World-class  infrastructure  for  nanosciences  and  nanotechnologies  of  European 
dimension  and  interest  (“poles  of  excellence”)  is  urgently  needed.  Apart  from 
providing  access  to  cutting-edge  equipment  that  may  not  be  locally  available,  such 
infrastructure could encompass all aspects of interdisciplinary R&D, education, and 
prototyping.  It  could  also  encompass  public-private  partnerships  and  serve  as  an 
incubator for new start-ups and spin-offs. 

To  achieve  the  necessary  critical  mass,  we  need  to  concentrate  our  resources  in  a 
limited  number  of  infrastructures  within  Europe.  Sectors  that  can  benefit  from 
mutual  synergy  include  nanoelectronics,  nanobiotechnology  and  nanomaterials. 
However, the need to minimise fragmentation and duplication must be offset against 
the importance of ensuring competition and thus R&D excellence. 

An  appropriate  balance  is  needed  between  infrastructure  at  European,  national  and 
regional  level.  In  the  long-term,  the  development  of  multiple  and/or  distributed 
centres  may  be  an  important  means  of  maintaining  an  appropriate  level  of 
competition.  The  European  Technology  Platforms  together  with  bodies  such  as  the 
European Strategy Forum on Research Infrastructure (ESFRI) can provide valuable 
input to ensure an optimal approach. 

3.2.2.  The “Initiative for Growth” 

In the Communication “A European initiative for growth, investing in networks and 
knowledge  to  foster  growth  and  employment”21,  a  wide-ranging  initiative  has  been 
drawn  up  in  collaboration  with  the  European  Investment  Bank  (EIB).  To  initiate 

20 

21 

One example is the “California Nanosystems Institute” that is being developed with an investment of 
around $300 million from federal, state and private funds (see http://www.cnsi.ucla.edu/mainpage.html) 
“A  European  initiative  for  growth:  Investing  in  networks  and  knowledge  for  growth  and  jobs” 
COM(2003) 690. 

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action,  a  “Quick  start  programme”  has  been  proposed  for  which  funding  is 
anticipated  from  a  combination  of  mainly  bank  loans  (via  the  EIB  initiative 
“Innovation 2010”) and private (industrial) sources. 

Infrastructure for nanoelectronics is identified as one of the areas for investment in 
the  first  wave  of  proposed  “Quick  start”  projects.  One  of  the  other  areas  is  next 
generation lasers (e.g. free-electron lasers), which have the potential, for example, to 
take “snapshot” pictures of the atomic structure of single molecules. Such facilities 
are invaluable for the development of nanosciences and nanotechnology and synergy 
should be sought with other actions at European and national level. 

Actions: Infrastructure 

2.  World-class  infrastructure  (“poles  of  excellence”)  of  European  dimension  and 
interest is crucial to ensure that the EU increases its competitiveness in nanosciences 
and nanotechnology R&D. The Commission calls upon the Member States to: 

(a) develop a coherent system of R&D infrastructure, taking into account the needs 
of stakeholders, in particular, developing synergy with education; 

(b)  take  measures  in  order  to  maximise  the  added  value  of  existing  infrastructure 
taking into account the needs of industry, in particular, SMEs. 

The Commission highlights the need to: 

(c)  examine  and  map  existing  infrastructure  to  identify  the  most  urgent  needs  to 
accelerate progress in nanotechnology, in particular, for interdisciplinary R&D; 

(d)  build,  if  needed,  new  dedicated  nanotechnology  European-level  infrastructure 
that gathers sufficient critical mass and takes also into account the needs of industry; 

(e) explore the possibility of financial synergy with the European Investment Bank, 
European Investment Fund and Structural Funds. 

3.3. 

Investing in human resources 

To  realise  the  potential  of  nanotechnology,  the  EU  needs  a  population  of 
interdisciplinary researchers and engineers who can generate knowledge and ensure 
that this is, in turn, transferred to industry. To properly assess and manage the human 
health risks of nanotechnology the EU also needs properly trained toxicologists and 
risk  assessors.  Nanotechnology,  as  a  new  and  dynamic  field,  presents  a  golden 
opportunity  to  attract  a  greater  number  of  young  scientists  and  other  skilled 
personnel to careers in research. 

According to a recent report22 there are 5.68 active researchers for every 1,000 active 
persons  in  Europe,  compared  to  8.08  in  the  USA  and  9.14  in  Japan.  Taking  into 
account  the  level  of  human  resources  associated  with  reaching  the  3%  Lisbon 
objective  by  2010,  it  can  be  estimated  that  about  1.2  million  additional  European 

22 

European Commission “Key Figures 2003-2004” (2003), p. 44. The figure for EU refers to 2001, USA 
to 1997 and Japan to 2002. 

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research personnel (including 700,000 researchers) would be needed23. It is essential 
that measures are put into place to attract and retain researchers in Europe, including 
the under exploited potential of women. 

3.3.1.  Attracting youth to “nano” 

An essential ingredient of the approach presented here is to encourage the younger 
generation  to  engage  in  discussions  about  science  from  an  early  age.  Anecdotal 
evidence shows that the likelihood to pursue science careers depends largely on the 
ability  of  school  teachers,  parents  and  the  media  to,  as  put  by  the  Nobel  laureate 
Richard  Feynman,  communicate  the  pleasure  of  “finding  things  out”.  Simple 
concepts of nanotechnology can be introduced by hands-on science experiments and 
demonstrations. 

Nanotechnology is well suited to pre-college level education since it is often taught 
at an integrated level and not according to discipline. It is crucial, however, that the 
younger  generation  not  only  gains  an  appreciation  of  research  but  also  what 
researchers “do”. This should help students to make informed choices by presenting 
research as an exciting and responsible future career option with many opportunities. 
Initiatives such as the “European Year of the Researcher” are valuable24. 

3.3.2.  Overcoming disciplinary boundaries 

Universities  play  a  central  role  in  the  development  of  the  Europe  of  knowledge25. 
Nanotechnology  places  great  emphasis  on  an  interdisciplinary  approach.  One  can 
envisage undergraduate courses in which students continue to receive basic training 
in a range of disciplines regardless of the specific degree course that is being taken. 
This  should  ensure  that  future  generations  of  nanotechnologists  are  “open-minded 
specialists”  able  to  interact  with  their  counterparts  in  other  disciplines.  Practical 
“training through research” could become an essential element in nanotechnology. 

New  forms  of  training,  moving  beyond  the  traditional  disciplinary  boundaries, 
should  be  envisaged  for  nanotechnology,  aimed  at  providing  world-class  targeted 
interdisciplinary  teaching  at  university  and  postgraduate  level.  New  approaches, 
providing  means  to  lever  public  and  private  funding,  along  with  other  forms  of 
academia-industry collaboration, should also be envisaged (e.g. academic “start ups” 
and  “venture  capital  universities”).  This  could  be  in  the  context  of  European-level 
“poles of excellence” (see Action 2) to give students an ideal opportunity for gaining 
“hands-on” experience of cutting-edge research. 

3.3.3.  Researchers and engineers with entrepreneurial mindsets 

Careers in research have recently received attention at European level and a number 
of weaknesses highlighted including: recruitment methods; working conditions; and 
the differences in career opportunities for men and women26. In particular, obstacles 
to  the  mobility  of  researchers  and  engineers  between  the  research  and  industry 

23 
24 
25 
26 

“Investing in research: An action plan for Europe” COM(2003) 226. 
“Researchers in the European Research Area: One profession, multiple careers” COM(2003) 436. 
“The role of universities in the Europe of knowledge” COM(2003) 58. 
“Researchers in the European Research Area: One profession, multiple careers” COM(2003) 436. 

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sectors (i.e. career evaluation via publications or patents) are cause for concern and 
may be detrimental for technology transfer and innovation in nanotechnology.  

When  aiming  at  a  dynamic  knowledge-based  society,  the  view  that  education  ends 
when employment begins is counter productive and addressed by the Action Plan for 
Skills  and  Mobility27.  Nanotechnology  is  a  dynamic  field  that  requires  continuous 
training  to  follow  the  latest  developments.  As  nanotechnology  moves  closer  to  the 
market, the need for training to assist in start-up / spin-off creation, the management 
of  IPR  portfolios,  safety  and  working  conditions  (including  health  and  safety  at 
work)  and  other  complementary  skills  are  important  to  ensure  that  innovators  are 
better placed to secure funding and take forward their initiatives. 

Actions: Investing in human resources 

3. The Commission calls upon Member States to contribute to: 

(a)  identifying  the  educational  needs  of  nanotechnology  and  provide  examples  of 
best practice and/or results from pilot studies; 

(b)  encouraging  the  definition  and  implementation  of  new  courses  and  curricula, 
teacher training and educational material for promoting interdisciplinary approaches 
to nanotechnology both at school and graduate level; 

(c)  integrate  complementary  skills  into  post-graduate  and  life-long  training,  e.g. 
entrepreneurship, health and safety issues at work, patenting, “spin-off” mechanisms, 
communication, etc. 

The Commission sees the opportunity to: 

(d)  explore  the  feasibility  for  joint  Marie  Curie28  call  for  proposals  in  the  area  of 
nanosciences and nanotechnology; 

(e)  create  a  “European  award  in  nanotechnology”  that  would  contribute  towards 
encouraging the interdisciplinary and entrepreneurial spirit of researchers. 

3.4. 

Industrial innovation, from knowledge to technology 

In today’s globalised market, long-term economic success is increasingly dependent 
on the generation, management and exploitation of knowledge. Investment in R&D 
is needed to produce knowledge and industrial innovation, in turn, needs knowledge 
to  produce  wealth.  In  this  way,  the  loop  is  closed  and  fresh  private  capital  can  be 
injected into R&D. 

How  can  European  industry  capitalise  upon  our  strength  in  nanoscience  to  realise 
wealth generating products and services? The ability to unlock the potential  of this 
knowledge via nanotechnologies is crucial for giving new impetus to industries that 

27 

28 

“Making a European area of lifelong learning a reality” COM(2001) 678 and Commission's Action Plan 
for skills and mobility COM(2002) 72. 
See http://europa.eu.int/mariecurie-actions 

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are  no  longer  competitive  due  to  strong  international  competition,  as  well  as 
cultivating new European knowledge-based industries. 

An integrated approach to innovation policy is needed29 and will be developed in the 
forthcoming Innovation Action Plan30. Aside from common factors31 that are crucial 
for  all  R&D  including;  functioning  and  competitive  markets,  a  fiscal  policy  that 
supports innovation, financial instruments32, skilled human resources, public-private 
partnerships  and  infrastructure;  nanotechnology  has  to  pay  attention  to  three 
additional factors; patenting of fundamental knowledge, regulation and metrology. 

3.4.1.  Opportunity and challenges for existing industry 

Nanotechnology offers great opportunities for companies to realise both incremental 
and substantial innovations. At the same time it leaves many companies vulnerable to 
the  risk  that  they  do  not  recognise  its  potential  early  enough  and  lose  their 
competitiveness.  The  absence  of  a  strong  culture  in  Europe  that  supports  and 
encourages  entrepreneurial  risk-taking  in  fields  such  as  nanotechnology  may  be  a 
deciding factor along with unfavourable framework conditions for innovation. 

European  industries  operate  in  a  highly  competitive  environment.  Due  to  various 
reasons,  they  might  be  under-capitalised  and  can  devote  only  limited  resources  to 
carry out R&D and innovation. Recent data show overall private R&D investment of 
1.09% GNP for the EU compared to 1.85% for the USA and 2.2% for Japan33. While 
no such figures for nanotechnology are available, one can assume that the proportion 
of industrial investment in Europe is proportionately lower than the USA or Japan. 

3.4.2.  Business creation and risk capital in nanotechnology 

Most  areas  of  nanotechnology  are  at  an  early  stage  of  their  development  and 
successful researchers are frequently turning into entrepreneurs by launching start-up 
companies. Out of the hundreds of such companies founded in recent years, one-half 
are located in the USA compared with one-quarter in the EU34. Taking into account 
that SMEs account for around two-thirds of employment in Europe, it is evident that 
more effort is needed to encourage the creation of new and innovative enterprises35. 

Banks  and  venture  capitalists  are  very  selective  when  offering  risk  capital,  in 
particular,  for  areas  that  are  perceived  by  them  to  have  a  high  technical  risk, 
uncertain  time-to-market,  or  could  have  negative  ethical,  health  or  environmental 
consequences. Patents are normally needed to prove ownership of the knowledge and 
new  entrepreneurs  need  not  only  to  be  at  the  forefront  of  nanotechnology  but  to 
combine this with management and business strategy acumen. 

29 

30 
31 
32 
33 
34 
35 

“Innovation  policy:  updating  the  Union's  approach  in  the  context  of  the  Lisbon  strategy” 
COM(2003) 112. 
See http://europa.eu.int/comm/enterprise/innovation/index.htm 
See e.g. “Investing in research: An action plan for Europe” COM(2003) 226. 
See e.g. “Access to finance of small and medium-sized enterprises” COM(2003) 713. 
European Commission “Key Figures 2003-2004” (2003). 
“Little science, big bucks” Nature Biotechnology, Volume 21, Number 10, October 2003, p. 1127. 
“Action Plan: The European Agenda for Entrepreneurship” COM(2004) 70. 

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New entrepreneurs often complain that they are offered credit (instead of risk capital) 
and that they receive no support in management - this increases their exposure and 
perception  of  risk.  Despite  technological  success,  start-ups  may  fail  due  to  lack  of 
financial  breakeven  –  the  so-called  “death  valley”.  This  problem  can  be  acute  for 
nanotechnology,  where  the  R&D  process  necessitates  a  long-term  commitment.  In 
this  context,  the  European  Investment  Bank  (EIB)  can  play  an  important  role  in 
providing loans and strengthening the capital base for nanotechnology enterprises. 

3.4.3.  Patenting 

Ownership of knowledge through IPR is essential for the competitiveness of industry 
both in terms of attracting initial investment and for ensuring future revenue. Patents 
in  nanotechnology  have  been  growing  steadily  since  the  early  1980’s.  The 
management  of  IPR  can  be  challenging  in  a  field  such  as  nanotechnology  where 
interdisciplinarity  brings  together  researchers  and  industrialists  with  different 
cultures and attitudes. 

Due  to  its  strong  emphasis  on  knowledge,  nanotechnology  is  raising  fundamental 
questions  as  to  what  should,  and  should  not,  be  patentable  (e.g.  on  the  level  of 
individual  molecules).  The  agreement  upon  concepts  and  definitions  on  European, 
and  ideally  international  level,  will  play  an  essential  role  in  maintaining  the 
confidence  of  investors  and  avoiding  distortions  that  may  arise  through  different 
local treatment, or interpretation of IPR. 

3.4.4.  Regulation 

Appropriate and timely regulation in the area of public health, consumer protection 
and the environment, is essential, also to ensure confidence from consumers, workers 
and  investors.  Maximum  use  should  be  made  of  existing  regulation.  However,  the 
particular  nature  of  nanotechnologies  requires  their  re-examination  and  possible 
revision.  A  proactive  approach  should  be  taken.  Advancing  knowledge  in 
nanosciences  through  R&D  at  both  European  and  national  level  should  form  the 
basis for further action in this direction. 

Aside  from  ensuring  consistency  and  avoiding  market  distortions,  harmonised 
regulation plays a key role in minimising risk and ensuring health and environmental 
protection. Existing regulation relies frequently upon parameters that may turn out to 
be inappropriate for certain applications of nanotechnology, e.g. loose nanoparticles. 
For  example,  thresholds  are  often  defined  in  terms  of  production  volumes  or  mass, 
below  which  a  substance  may  be  exempt  from  regulation.  The  relevance  of  such 
thresholds should be revisited and, when appropriate, changed. 

3.4.5.  Metrology and standards 

To  ensure  that  the  EU  can  realise  the  commercial  potential  of  nanotechnology, 
industry and society will require reliable and quantitative means of characterisation 
as  well  as  measurement  techniques  that  will  underpin  the  competitiveness  and 
reliability  of  future  products  and  services.  Metrology  and  standards  need  to  be 
developed  to  facilitate  rapid  development  of  the  technology  as  well  as  providing 
users with the necessary confidence in their process and product performance. 

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Innovative  developments  in  measurement  techniques  are  needed  to  cope  with  the 
demands of nanotechnology. This is a challenging area of activity. At the nano-scale, 
it becomes difficult to disentangle the perturbing effects of measuring instruments on 
the  measurement  itself.  In  certain  areas  metrology  tools  are  simply  not  available  at 
present.  Considerable  pre-normative  research  and  development  are  required,  taking 
into account the needs of industry in terms of rapid measurement, and control. The 
European  Committee  for  Standardisation  (CEN)36  has  recently  launched  a  working 
group dedicated to nanotechnology. 

Actions: Industrial innovation, from knowledge to technology 

4.  Emphasising  the  benefit  of  a  coordinated  approach  to  stimulate  innovation  and 
entrepreneurship for nanotechnology in Europe, the Commission: 

(a)  calls  upon  the  Member  States  to  adopt  conditions  that  promote  investment  in 
R&D by industry and new innovative enterprises according to the Lisbon objectives; 

(b)  highlights  the  need  to  deepen  investigation  into  the  perspectives  and  conditions 
for the successful industrial exploitation of nanotechnologies; 

(c)  encourages  the  European  Investment  Bank  and  European  Investment  Fund  to 
contribute  to  strengthening  the  capital  base  for  innovation  in  nanotechnology  and 
calls  upon  the  Member  States  to  explore  the  use  of  Structural  Funds  for  R&D 
initiatives at regional level; 

(d) views a strong, harmonised and affordable IPR framework as essential to promote 
technology transfer and innovation; 

(e) calls upon the Member States to forge closer cooperation amongst patent offices 
towards a more efficient global patenting system37; 

(f) invites the Member States to review existing regulation to take into account any 
specificities of nanotechnology and adopt a common European approach; 

(g)  invites  the  Member  States  to  boost  and  coordinate  activities  in  metrology, 
standards and norms in order to strengthen the competitiveness of European industry. 

3.5. 

Integrating the societal dimension 

Some  people  criticise  the  scientific  community  for  being  too  far  removed  from  the 
mechanisms of democracy with a lack of public understanding, public perception of 
risks  versus  benefits,  and  public  participation  and  possibility  of  control.  While  the 
potential applications of nanotechnology can improve our quality of life, there may 
be some risk associated with it, as with any new technology - this should be openly 
acknowledged  and  investigated.  At  the  same  time  the  public’s  perception  of 
nanotechnology and its risks should be properly assessed and addressed. 

36 
37 

See http://www.cenorm.be/ for further information (CEN Resolution BT C005/2004). 
See  the  final  communiqué  of  the  meeting  of  the  OECD  Committee  for  Scientific  and  Technological 
Policy at Ministerial Level, 29-30 January 2004 (see http://www.oecd.org/) 

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It is in the common interest to adopt a proactive stance and fully integrate societal-
considerations  into  the  R&D  process,  exploring  its  benefits,  risks  and  deeper 
implications for society. As already identified38, this needs to be carried out as early 
as  possible  and  not  simply  expecting  acceptance  post-facto.  In  this  respect,  the 
complex and invisible nature of nanotechnology presents a challenge for science and 
risk communicators. 

3.5.1.  The responsible development of nanotechnology 

Ethical  principles  must  be  respected  and,  where  appropriate,  enforced  through 
regulation.  These  principles  are  embodied  in  the  European  Charter  of  Fundamental 
Rights39 and other European and other international documents40. The opinion of the 
European Group of Ethics (EGE)41, who are examining the ethical aspects of medical 
applications related to nanotechnologies, should also be taken into account. 

Some  of  the  basic  ethical  values  include:  the  principle  of  respect  for  dignity;  the 
principle  of  individual  autonomy;  the  principle  of  justice  and  of  beneficence;  the 
principle of freedom of research; and the principle of proportionality. The relevance 
of  such  principles  towards  human  and  non-human  applications  of  nanotechnology 
should  be  understood.  In  addition,  certain  applications,  e.g.  miniaturised  sensors, 
may have specific implications for the protection of privacy and personal data. 

An  open,  traceable  and  verifiable  development  of  nanotechnology,  according  to 
democratic  principles,  is  indispensable.  Despite  some  calls  for  a  moratorium  on 
nanotechnology research, the Commission is convinced that this would  be severely 
counter-productive. Apart from denying society the possible benefits, it may lead to 
the  constitution  of  “technological  paradises”,  i.e.  where  research  is  carried  out  in 
zones without regulatory frameworks and is open to possible misuse. Our consequent 
inability to follow developments and intervene under such circumstances could lead 
to even worse consequences. The Precautionary Principle42, as used up to now, could 
be applied in the event that realistic and serious risks are identified. 

3.5.2. 

Information, communication and dialogue: Understanding the invisible 

“What  is  nanotechnology?”  An  opinion  poll  of  over  16,000  individuals  in  200143 
indicated that nanotechnology is poorly understood. Since it is complex and concerns 
a scale that is invisible, nanotechnology may be a difficult concept for the public to 
grasp.  Headlines  about  e.g.  self-replicating  nano-robots,  that  are  well  beyond  our 
present  capability  but  are  often  presented  as  an  immediate  risk,  demonstrate  that 
there  is  an  urgent  need  to  provide  information  about  present-day  nanotechnology 

38 

39 
40 
41 
42 
43 

See,  e.g.,  “Nanotechnology:  Revolutionary  opportunities  &  societal  implications”,  3rd  Joint  EC-NSF 
Workshop  on  Nanotechnology,  Lecce,  Italy  (2002),  and  “The  social  and  economic  challenges  of 
nanotechnology”, ESRC, UK (2003). 
See http://www.europarl.eu.int/charter/default_en.htm 
See http://europa.eu.int/comm/research/science-society/ethics/legislation_en.html 
See http://europa.eu.int/comm/european_group_ethics/index_en.htm 
“Communication from the Commission on the Precautionary Principle” COM(2000) 1. 
European Commission “Europeans, Science and Technology” Eurobarometer 55.2, December 2001 

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research and its possible applications. For example, the “nanoTruck”44 is an excellent 
example of ways in which the public awareness of nanotechnology can be raised. 

Without a serious communication effort,  nanotechnology innovations could face an 
unjust  negative  public  reception.  An  effective  two-way  dialogue  is  indispensable, 
whereby  the  general  publics’  views  are  taken  into  account  and  may  be  seen  to 
influence  decisions  concerning  R&D  policy45.  The  public  trust  and  acceptance  of 
nanotechnology will be crucial for its long-term development and allow us to profit 
from  its  potential  benefits.  It  is  evident  that  the  scientific  community  will  have  to 
improve its communication skills. 

Actions: Integrating the societal dimension 

5.  Highlighting  the  need  to  devote  due  attention  to  the  societal  aspects  of 
nanotechnology, the Commission: 

(a)  calls  upon  Member  States  to  pursue  an  open  and  proactive  approach  to 
governance in nanotechnology R&D to ensure public awareness and confidence; 

(b)  encourages  a  dialogue  with  EU  citizens/consumers  to  promote  informed 
judgement  on  nanotechnology  R&D  based  on  impartial  information  and  the 
exchange of ideas; 

(c)  reaffirms  its  commitment  to  ethical  principles  in  order  to  ensure  that  R&D  in 
nanotechnology is carried out in a responsible and transparent manner. 

4. 

PUBLIC HEALTH, SAFETY, ENVIRONMENTAL AND CONSUMER PROTECTION 

Scientific  investigation  and  assessment  of  possible  health  or  environmental  risks 
associated  with  nanotechnology  need  to  accompany  the  R&D  and  technological 
progress.  Some  dedicated  studies  are  underway  to  assess  the  potential  risks,  which 
are also examined within FP6 IPs and NEs projects in the field of nanotechnology. In 
particular, nanoparticles might behave in unexpected ways due to their small size46. 
They may present special challenges, for example, in terms of production, disposal, 
handling, storage and transport. R&D is needed to determine the relevant parameters 
and  prepare  for  regulation,  where  necessary,  taking  into  account  the  full  chain  of 
actors,  from  researchers,  workers  to  consumers.  This  R&D  also  needs  to  take  into 
account the impacts of nanotechnologies throughout the whole of their life-cycle, for 
example,  by  using  Life-Cycle  Assessment  Tools.  Since  such  issues  are  of  global 
concern, it would be advantageous to systematically pool knowledge at international-
level. 

44 
45 
46 

See http://www.nanotruck.net for further information. 
“Science and Society - Action plan”, COM(2001) 714. 
See  e.g.  the  EC-funded  projects:  Nanopathology  “The  role  of  nano-particles  in  biomaterial-induced 
pathologies”  (QLK4-CT-2001-00147);  Nanoderm  “Quality  of  skin  as  a  barrier  to  ultra-fine  particles” 
(QLK4-CT-2002-02678);  Nanosafe  “Risk  assessment  in  production  and  use  of  nano-particles  with 
development of preventive measures and practice codes” (G1MA-CT-2002-00020). 

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More  generally,  public  health,  environmental  and  consumer  protection  require  that 
those  involved  in  the  development  of  nanotechnologies—including  researchers, 
developers, producers, and distributors—address any potential risk upfront, as early 
as  possible,  on  the  basis  of  reliable  scientific  data  and  analysis,  using  appropriate 
methodologies.  This  presents  a  challenge  since  predicting  the  properties  of 
nanotechnology-based products is difficult because it requires that classical physics 
and  quantum  mechanical  effects  are  both  taken  into  account.  In  many  ways, 
engineering  a  substance  with  nanotechnology  can  be  likened  to  creating  a  new 
chemical.  As  a  result,  addressing  the  potential  risks  of  nanotechnologies  to  public 
health, the environment and consumers will require evaluating the possible re-use of 
existing  data  and  generating  new,  nanotechnology-specific  data  on  toxicology  and 
ecotoxicology  (including  dose  response  and  exposure  data).  This  also  calls  for 
examining  and,  if  required,  adjusting  risk  assessment  methods.  In  practice, 
addressing the potential risks associated with nanotechnologies necessitates that risk 
assessment  be  integrated  into  every  step  of  the  life  cycle  of  nanotechnology-based 
products. 

Actions: Public health, safety, environmental and consumer protection 

6.  In  support  of  a  high  level  of  public  health,  safety,  environmental  and  consumer 
protection, the Commission highlights the need: 

(a) to identify and address safety concerns (real or perceived) at the earliest possible 
stage; 

(b)  to  reinforce  support  for  the  integration  of  health,  environmental,  risk  and  other 
related aspects into R&D activities together with specific studies; 

(c) to support the generation of data on toxicology and ecotoxicology (including dose 
response data) and evaluate potential human and environmental exposure. 

The Commission calls upon the Member States to promote: 

(d) the  adjustment, if necessary, of  risk  assessment  procedures to take into account 
the particular issues associated with nanotechnology applications; 

(e)  the  integration  of  assessment  of  risk  to  human  health,  the  environment, 
consumers  and  workers  at  all  stages  of  the  life  cycle  of  the  technology  (including 
conception, R&D, manufacturing, distribution, use, and disposal). 

5. 

A FURTHER STEP: INTERNATIONAL COOPERATION 

International cooperation is a key asset to advance R&D and the FP6, for example, is 
open  to  the  world  since  it  allows  research  teams  from  virtually  all  countries  to 
participate  in  projects.  This  is  particularly  important  for  nanotechnology,  where 
much  basic  knowledge  is  needed  and  many  scientific  and  technical  challenges 
remain  -  a  global  critical  mass  may  be  needed.  International  co-operation  can 
accelerate  R&D  by  overcoming  knowledge  gaps  more  rapidly  and,  for  example, 
helps to pave the way for new metrology solutions and norms. 

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Several  countries  have  concluded  scientific  and  technical  co-operation  agreements 
with  the  EU  incorporating  nanotechnology.  In  particular,  one  implementing 
arrangement  exists  between  the  European  Commission  (EC)  and  the  National 
Science  Foundation  (NSF,  USA),  the  other  with  the  Ministry  of  Science  and 
Technology (MOST, China). Such implementing arrangements form a framework for 
reinforced  cooperation  and  allow  joint  initiatives  to  be  launched.  Since  1999  EC-
NSF co-ordinated calls have been launched and some 20 projects launched. 

Building  upon  the  experience  of  the  FP6,  reinforced  international  cooperation  in 
nanosciences  and  nanotechnologies  is  needed  both  with  countries  that  are  more 
economically advanced (to share knowledge  and profit from critical mass) and less 
economically  advanced  (to  secure  their  access  to  knowledge  and  avoid  any 
“knowledge apartheid”). In particular, there is an urgent need to share knowledge in 
the health, safety and environmental aspects of nanotechnology for the benefit of all 
citizens. 

Common  shared  principles  for  R&D  in  nanotechnology  could  be  embodied  in  a 
voluntary framework (e.g. a “code of good conduct”) to bring the EU together with 
countries who are active in nanotechnology research and share our commitment to its 
responsible development. Preliminary exchanges of views with representatives from 
e.g.  USA,  Japan,  Switzerland  and  Russia  are  very  encouraging  in  this  respect  and 
could pave the way for further initiatives. 

Actions: International Cooperation 

7. The Commission will, in compliance with its international obligations and notably 
those relating to the World Trade Organisation, promote: 

(a)  international  debate  or  consensus  on  issues  that  are  of  global  concern,  such  as, 
public  health,  safety,  the  environment,  consumer  protection,  risk  assessment, 
regulatory approaches, metrology, nomenclature and norms; 

(b) access to basic knowledge in less industrialised countries so to contribute towards 
the prevention of any “knowledge apartheid”; 

(c)  monitoring  and  sharing  of  information  related  to  the  scientific,  technological, 
economic, and social development of nanotechnologies; 

(d) the definition of an international “code of good conduct” so as to secure global 
agreement on base principles for the responsible development of nanotechnology. 

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ANNEX: AN ESTIMATE OF PUBLIC FUNDING IN NANOTECHNOLOGY 

(Note that the data presented in the following have been derived from several sources47) 

Fig. 1: Overall levels of public expenditure in nanotechnology in 2003 for: Europe (including 
CH, IL and NO as FP6 Associated countries), Japan, USA and others (1€ = 1$). 

EC
350

Member and 
Associated States
800

810

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1200

1000

800

600

400

200

0

USA Federal
770

511

USA States
300

Europe

Japan

USA

Others

Fig. 2: Level of funding for EU-15 along with some Acceding (CZ, LV, LT, SI) and the main 
Associated countries (CH, IL and NO) and EC in absolute € terms in 2003. 

350

250

180

130

)
€

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300
280
260
240
220
200
180
160
140
120
100
80
60
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EC

Germany 

United Kingdom 
France 

Italy

The Netherlands 
Associated Countries

Ireland

Sweden

Belgium 

Finland 

Spain

Greece

Portugal

Austria 

Denmark 
Acceding Countries

47 

Asia (APNF, ATIP, nABACUS); Europe (Bundesministerium für Bildung und Forschung (Germany), 
Enterprise  Ireland,  General  Secretariat  for  Research  (Greece),  Inspection  générale  de  l’administration 
de  l’éducation  nationale  et  de  la  recherche  (France),  Nanoforum,  National  Contact  Points,  CORDIS 
Nanotechnology Database, various sources); USA (NSF); Others (various sources). 

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Fig.  3:  Level  of  funding  for  major  third  countries  (excluding  USA  and  Japan)  with 
nanotechnology programmes in absolute $ terms in 2003. The potentially large differences in 
purchasing power should be taken into consideration when reading these figures. 

)
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0

50

30

9

8

5

5

4

South Korea

Taiwan

China

Australia

Canada

Singapore

New Zealand

Malaysia

Thailand

India

Fig.  4:  Comparative  funding  levels  between  EU-15,  EU-25  some  Acceding  countries  (CZ, 
LV, LT, SI), main FP6 Associated countries (CH, IL and NO), USA and Japan on a per-capita 
basis in 2003 (1€ = 1$). 

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2,9 2,9

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6.2 5.6

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0.05 0.040.04

Japan

Ireland

USA

Germany 
France 
The Netherlands 
Switzerland
EU-15
Israel
Associated Countries

EU-25

Finland 
United Kingdom 
Sweden

Norway

Belgium 

Denmark 
Austria 
Italy
Acceding Countries

Greece

Portugal

Spain

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