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Overview and Implications of Nanotechnology Overview and Implications of Nanotechnology Mike Roco

National Science Foundation, National Nanotechnology Initiative, International Risk Governance Council

• Five generations of nanotechnology products (2000-2030• International perspective• Contribution of National Nanotechnology Initiative

Nanotechnology in Food and Agriculture, Washington, D.C., June 18, 2008

F. Frankel - copyright



Benchmark with experts in over 20 countries

“Nanostructure Science and Technology”Book Springer, 1999

Nanotechnologyis the control and restructuring of matter atdimensions of roughly 1 (size small molecule)to 100 nanometers,

where new phenomena

enable new applications.

(measure- control- manipulate- integrate at the nanoscale)

MC Roco, 6/18/2008



Defining Nanoproducts and Nanomanufacturing

Assembling

PASSIVE - ACTIVE - SYSTEMS OF - MOLECULARNANOSTRUCTURES NANOSTR. NANOSYSTEMS NANOSYSTEMS

- Fragmentation- Patterning- Restructuring of bulk- Lithography, ..

- Directedselfassembling,- Templating,- New molecules

- Multiscaleselfassembling,- In situprocessing, ..

- Eng. moleculesas devices,- Quantum control,- Synthetic biology..

- Nanosystembiology- Emerging systems- Hierarchicalintegration..

- Systemengineering- Devicearchitecture- Integration, ..

- Interfaces, field &boundary control- Positioningassembly- Integration, ..

MC Roco, 06/18/2008N A N O P R O D U C T S



Five Generations of Products and Productive ProcesTimeline for beginning of industrial prototyping and

nanotechnology commercialization(2000-2020; 2020-)

11 stst :: Passive nanostructures (1st generation products)Ex: coatings, nanoparticles, nanostructured metals, polymers, ceramics

22 ndnd : Active nanostructures Ex: 3D transistors,amplifiers, targeted drugs, actuators, adaptive structures

33 rdrd : Systems of nanosystemsEx: guided assembling; 3D networking and newhierarchical architectures, robotics, evolutionary

44 thth : Molecular nanosystemsEx: molecular devices ‘by design’,atomic design, emerging functions

~ 2010

~ 2005

~ 20002000

N e w

R & D

c h a l l e n g e s

~ 20152015 --20202020

CMU

Reference: AIChE Journal, Vol. 50 (5), 2004

R&D Broad Use IT 1960 - 2000

BIO 1980 - 2010NANO 2000 - 2020

55thth: Converging technologiesEx: nano-bio-info from nanoscale,cognitive technologies; largecomplex systems from nanoscale



Perceived Higher Risks Areas (2000-2020; 2020-)as a function of the generation of products

11 stst :: Passive nanostructures Ex: Cosmetics (pre-market tests),Pharmaceuticals (incomplete tests for inflammatory effects,etc.), Food industry , Consumer products

22 ndnd : Active nanostructures Ex: Nano-biotechnology,Neuro-electronic interfaces, NEMS, Precision engineering, Hybrid nanomanufacturing

33 rdrd : Systems of nanosystems Ex: Nanorobotics, Regenerative medicine ,Brain-machine interface, Eng. agriculture

44thth

: Molecular nanosystems Ex: Neuromorphic eng., Complex systems, Human-machine interface

~ 2010

~ 2005

~ 20002000

H i g h e r r i s k

~ 20152015 --20202020

?

55thth: Converging technologiesEx: Hybrid nano-bio-info- medical-cognitive applic.

MC Roco, 6/18/2008



Examples of 3rd and 4th generation

Artificial organs using nanoscale control of growthSubcellullar intervention for treatment of cancer Bioassembly (ex. use of viruses) of engineerednanomaterials and systems

Evolutionary systems for biochemical processingSensor systems with reactive mechanismsNanoscale robotics on surfaces and 3-D domains

Simulation based experiments and design of engineerenanosystems from basic principlesNew molecules designed as devicesHierarchical selfassembling for micro or macro produ

MC Roco, 6/18/2008



Fifth generation of products: Diverging architectures (>20

Size o f s t ruc t u re

2060

NANO

MICRO

MAC

RO

Top d

ow

n

System

creatio

n

B o t t o m u p

0.1 m

1 c m

1 m m

0.1 m m

10 μ m

1 μ m

0.1 μ m

10 nm

1 nm

0.1 nm1940 1960 1980 2000 2020 2040

U t i l i z a t i o n o f N a n o sc a l e L a w sB i o l o gi c a l p r i n c i p l e s

I n f o rm a t i o n t e c h n o l og yK n o w l e d ge o f i n t e g r a t i o n

Reachingnano-world

. . Biomimetics

Guided assembling

Evolutio

nary

Robotics based

C

ognitive

technolo

gies

Human potential

New info carrier

Ma

nu. by na

nomachi

nes

Converging S&E Converging technologiesDiverging architectures

After 2020

MC Roco, 6/18/2008



November 2006November 2006 November 2006Workshop, Dec. 2001www.nsf.gov/nanoSpringer, 2003

Coevolution of Human Potentia

and Converging New Technologie

In: Annals of the New York,Academy of Sciences,Vol. 1013, 2004(M.C. Roco and C. Montemagno)

M.C. Roco, 6/23/2008

Fifth generation of nano products:four volumes on convergence2003, 2006 and 2007 Springer; 2004 NYAS

November 2006

http://www.nsf.gov/nano







Worldwide market incorporating nanotechnology. Estimation made in 2000 (NSF)

1

10

100

1000

10000

2000 2005 2010 2015 2020

YEAR

M A R K E T I N C O R P O R A T I N

N A N O T E C H N O L O G Y ( $ B )

Total $B

Deutche Bank

Lux Research

Mith. Res . Ins t.

Passive nanostructures

Active nanostructures

Systems of NS

Annual rate of increase about 25%

Rudimentary

US: 80% public – know little/nothing about NT About 50,000 workers in a NT area

NT in the main stream About 800,000 workers

MC Roco, 6/18/2008



Changes in the international context since 2000:

Expanding nanotechnology domains2000-2001: nano expanding in almost all disciplines (NNI begins)

2002-2003 : industry moves behind nano development2003-2004 : medical field sets up new goals All developed countries and many countries i

development invest in R&D (over 60 countrie2004-2005 : media, NGOs, public, international organizationsget involved

2006-2007 : new focus on common Earth resources -water, food, environment, energy, materials2007-2008 : Nano seen as a technological, economical and

strategic advantage for nations and large businessesMC. Roco, 6/18/2008

h l h ld



0

1000

2000

3000

4000

5000

6000

7000

1 9 9 7

1 9 9 8

1 9 9 9

2 0 0 0

2 0 0 1

2 0 0 2

2 0 0 3

2 0 0 4

2 0 0 5

2 0 0 6

2 0 0 7

2 0 0 8

2 0 0 9

2 0 1 0

2 0 1 1

2 0 1 2

m i l l i o n s $ / y e a r

W. EuropeJapan

USAOthersTotal

ContextContext – – Nanotechnology in the WorldNanotechnology in the WorldNational government investments 1997National government investments 1997--20072007 (estimation NSF)(estimation NSF)

NNI Preparation(vision / benchmark )

1st Strategic Plan(passive nanostructures)

2nd Strategic Plan(active ns. & systems)

Seed funding(1991 - )

Country /Region

Gov.NanotechR&D, 2006

($M)

SpecificNanotechR&D, 2006($/Capita)

USA 1350

~1150

Japan ~ 980 7 .6

~ 280~ 315

~ 110

EU-25

4 .5

2 .5

0.236 .5

ChinaKoreaTaiwan 4 .7

J. Nano article Research, 7 6 , 2005, MC. RocoIndustry R&D ($6B) has exceeded national government R&D ($4.6B) in 2006



Growing nanotechnology R&D

investment - $12.6 billion in 2006

M.C. Roco, 6/18/2008

National governments ~ $4.6 billionLocal governments and organizations ~ $1.8 bill

N t h l g h bli ti



0

2,000

4,000

6,000

8,000

10,000

12,000

14,000

16,000

1991 1996 2001 2006

Year

N

u m

b e r o

f p a p e r s USA

Japan

People R China

Germany

France

Nanotechnology research publicationsTop five countries in 2006: USA, China, Japan, Germany, Fr

using “Title-claims” search in SCI database for nanotechnology by keywords(using intelligent search engine, update J. Nanoparticle Research, 2004, 6 (4))

MC Roco, 6/18/2008

Highl it d t h l g l t d



Highly cited nanotechnology related paperspublished in Science, Nature and PNAS

using “Title-abstract” search in SCI database for nanotechnology by keywords(using intelligent search engine, update J. Nanoparticle Research, 2004, 6(4))

0.00%

10.00%

20.00%

30.00%

40.00%

50.00%

60.00%

70.00%

80.00%90.00%

100.00%

1 9 9 1

1 9 9 3

1 9 9 5

1 9 9 7

1 9 9 9

2 0 0 1

2 0 0 3

2 0 0 5

Year

P e r c e n

t a g e

USA

JapanPeople R China

Germany

France

MC Roco, 6/18/2008



USPTO Country Groups (Title-claims search, 1976-2006)

0

200

400

600

800

1000

1200

1400

1600

1 9 7 6

1 9 7 7

1 9 7 8

1 9 7 9

1 9 8 0

1 9 8 1

1 9 8 2

1 9 8 3

1 9 8 4

1 9 8 5

1 9 8 6

1 9 8 7

1 9 8 8

1 9 8 9

1 9 9 0

1 9 9 1

1 9 9 2

1 9 9 3

1 9 9 4

1 9 9 5

1 9 9 6

1 9 9 7

1 9 9 8

1 9 9 9

2 0 0 0

2 0 0 1

2 0 0 2

2 0 0 3

2 0 0 4

2 0 0 5

2 0 0 6

Year

N u m

b e r o

f p a t e n

t s

United States

Japan

European Group

Others

YearUnitedStates Japan

EuropeanGroup Others

1976 30 3 3 61977 53 2 3 31978 58 3 9 31979 26 2 7 31980 50 3 9 01981 61 1 10 31982 51 1 13 11983 73 1 15 41984 93 4 8 01985 97 2 16 11986 100 6 11 11987 132 12 11 0

1988 124 10 10 61989 162 21 28 41990 164 17 28 71991 204 14 28 91992 256 31 26 191993 244 36 20 181994 227 51 28 101995 302 57 33 36

1996 325 52 40 271997 393 62 73 251998 486 65 103 561999 548 75 96 852000 612 81 122 682001 818 84 147 1122002 926 102 168 1442003 1103 143 182 2072004 1300 172 203 2572005 1155 160 198 2452006 1488 212 214 298Total 11661 1485 1862 1658

NSE patents at USPTO by country group Assignee country group analysis by year, 1976-2006(“title-claims” search)

MC Roco, 6/18/2008

P t i i t i t h NNI (NSET)Par t icipant s in t he NNI (NSET)



Par t icipant s in t he NNI (NSET)Par t icipant s in t he NNI (NSET)

2001: SixAgencies

NSF

NASA

DOE

DOD

NIST

NIH

EPA

DOT

DOTr

DOJ

USDA

IC

DOS

DOCTA

DHS

NRC

FDA

CPSC

ITC

USPTO

NIOSH

DOCBIS

USDAFS

2005: Six NewAgencies

2002: SevenNew Agencies

2003-4: FourNew Agencies

• NSF prepared the Nanotechnology Research Directions in

1999 (First Strategic Plan 2001-2005) and proposed NNI• FY 2001 - 6 agencies; FY 2007 - 26 NNI agencies• 4 WG: NEHI (env.), NILI (industry), MANU, GIN (global)

2006: ThreeNew Agencies

DOEd

DOL

USGS

MC Roco, 6/18/2008



Changing national investment

FY 2009 NNI Budget Request - $1,527 millionsca ear

2000 $270M2001 $464M2002 $697M2003 $862M2004 $989M2005 $1,200M2006 $1,303M

2007 $1,425M2008 $1,491MR 2009 $1,527M

0

200

400

600

800

10001200

1400

1600

2000 2002 2004 2006 2008

NNI ($ million)

MC Roco, 01/10/200

EHS 2006: $38M (primary); $68M total2007: $48M (primary); $86M total 2008: $57M (primary); $102 total e2009: $76M (primary - planned)

NNI / R&D ~ 1/4 of the world R&D NNI / EHS ~ 1/2 of the world EHS R&D



Building balanced and flexible R&D infrastruc

Ex: US - NNI Infrastructure since 2000

MC Roco, 6/18/2008



NNI Networks and User Facilities

MC Roco, 6/18/2008

• NSF: eight networks with national goals and service

• NIH: four for medical research, cancer and metrology

• DOE: one network with five large facilities

• NASA: network of four centers on convergence

• DOD: three centers on nanoscience

• NIST: instrumentation and manufacturing user faciliti

• NIOSH: particle characterization center

Nine Nanoscale Science and Engineering



Nationwide Impact

Nine Nanoscale Science and Engineeringnetworks with national outreach

Nanotechnology Center Learning and Teaching (2004-)1 million students/ 5yr Center for Nanotechnology lnformal Science Education (2005-)100 sites/ 5yr

Network for Nanotechnology in Society (2005-)Involve academia, public, industry

National Nanomanufacturing Network (2006-)4 NSETs , DOD centers, and NISTEnvironmental Implications of Nanotechnology (2008-)with EPA

Network for Computational Nanotechnology (2002-)> 50,000 users/ 2007National Nanotechnology Infrastructure Network (2003-)4,500 users/ 2007

NSEC Network (2001-)17 research & education centersMRSEC Network (2001-)6 new research & education centers since 2000 MC Roco,

6/18/2008

TOOLS

TOPICAL

GENERAL RESEARCH AND EDUCATION



NNI-Industry Consultative Boards for Advancing Nanote

Key for development of nanotechnology, Reciprocal gainsNNI-Electronic Industry (SRC lead), 10/2003 -

Collaborative activities in key R&D areas5 working groups, Periodical joint actions and reportsNSF-SRC agreement for joint funding; other joint funding

NNI-Chemical Industry (CCR lead)Joint road map for nanomaterials R&D; Report in 2004

2 working groups, including on EHSUse of NNI R&D results, and identify R&D opportunities

NNI – Organizations and business (IRI lead)Joint activities in R&D technology management2 working groups (nanotech in industry, EHS)Exchange information, use NNI results, support new topics

NNI – Forestry and paper products (AF&PA lead,

4/2007), 10/2004- Workshop / roadmap for R&DExchange information

CCR

M.C. Roco, 6/18/2008



Nanotechnology holds major implications

in agriculture and food systems• NT offers the tools to understand and transform biosystems

Strong impact on sub-cellular dynamics; Regenerationmechanisms; Genome description; Food characterization

• Solutions to agriculture and food industryDiagnostics and treatment; Synthesis of chemical for agriculture;

More effective chemicals and biodegradable; Food preparationand conservation; Sensors and control

• A new platform for new developmentsNanoscale-based chemical treatment; Bio-engineering and bio-processing, bio-nanomechanical systems, biochips, filtration,fluidics, green manufacturing (waste treatment, biocompatibilityand biocomplexity aspect); New nanoscale materials and processes;

Automation using nanoelectronics and nanosensors• Promise of sustainable development in long term

MC Roco, 6/18/2008

R h Di i R l d Genetics



Research Directions Reports related toagriculture and food systems

Nanotechnology Research Directions Springer (former Kluwer), 1999

Nanoscale Science and Engineering for Agriculture and Food Systems . Report from the National PlanningWorkshop, Washington, DC, Nov. 18-19, 2002.www.nseafs.cornell.edu/web.roadmap.pdf Forestry and paper productsRoad Map and Workshops

NNI contributes through the general S&E foundation and

via specific programs at USDA, DOE, NSF, others.NNI-Forestry Industry CBAN (informal work, to be signed)MC Roco, 6/18/2008



MC Roco, 6/18/2008



NNI Accomplishments (1)

• Developed foundational knowledgefor control of matter at the nanoscale:over 4,000 active projects in > 500 universities, private sector institutions and gov. labs in all 50 states

• “Created an interdisciplinary nanotechnology community”1

• R&D / Innovation Results: With ~25% of global government investmen,the U.S. accounts worldwide for

~ 50% of highly cited papers,~ 60% of USPTO patents2, and~70% of startups3 in nanotech.Over 2,500 companies with nanotechnology products in 2007 (U.S.)

• Infrastructure:70 new large nanotechnology research centers, networks iand user facilities in 2007; about 30,000 users/yr in 2 academic-based networks

(1) NSF Committee of Visitors, 2004; ( 2) Journal of Nanoparticle Research, 2004; ( 3) NanoBusiness Alliance, 2004MC Roco, 6/18/2008



NNI Accomplishments (2)

• Partnerships:with industry (Consultative Boards for AdvancingNanotechnology - CBAN), regional alliances (22),international (over 25 countries), numerous professional societies

• Societal implications and applications-from the beginning, about 10% of 2004 NNI; addresses environmentaland health, safety, and other societal and educational concerns;

NSET SC leadership thru NEHI WG• Nanotechnology education and outreach-impacting over 10,000 graduate students and teachers in 2007;expanded to undergraduate and high schools, and outreach;create national networks for formal and informal education

• Leadership:The U.S. NNI has catalyzed global activities in nanotechnology and

served as a model for other programs.MC Roco, 6/18/2008

International Surveys On Public Perceptio



Public Knowledge Base on Nanotechnologies inInternational Surveys

84

71

4860

5462

69

81

48

16

29

4540 43

3830

19

52

0102030405060708090

U S A

2 0 0 4

U K 2

0 0 4

G e r m a n

y 2 0 0

4

U S A 2 0

0 5 A

U S A 2 0

0 5 B

C a n a d a

2 0 0 5

U S A 2 0

0 6

U S A 2 0

0 7

G e r m a n

y 2 0 0

7

D a

t a i n

P e r c e n

t a g e

heard little or nothing heard some or a lot

Consumers knowapplications mainlyfrom ScienceShows on TV andadvertising

(IRGC, A. Grobe et al.2008)

International Surveys On Public PerceptioPublic Knowledge

USA 2004 Cobb & Macoubrie; UK 2004 Royal Society; Germany 2004 komm.passion; USA 2005 A Einsiedel;USA 2005 B Macoubrie; Canada 2005 Einsiedel; USA 2006 Hart; USA 2007 Kahan et al.; Germany 2007 BfR

MC Roco, 6/23/2008

NANOTECHNOLOGY GOVERNANCE OVERVIE



Core Governance Process:Long-term view, transforming,inclusive, horizontal/vertical, prioritin education, addressing societaldimensions, NT risk governance

Main Actors:R&D Organizations

(Academe, industry, gov.)

Implementation Network(Regulators, business,NGOs, media, public)

Social Climate(Perceived authority of science, civil involvement)

National Political Conte

International Interaction

2000-2020

Reference: “NNI: Past, Present Future”, Handbook of Nanoscience, Eng. and Techn., MC Roco., Taylor and Francis, 2007

IRGC workshop “risk governance oft h l g li ti i f d d ti ”



nanotechnology applications in food and cosmetics”Comparison of different nanotechnology risk

framework documents

Linkov et al. 2008J. Nanopart. Res.

Five possibilities



Five possibilitiesfor global nanotechnology governanc

1. Establish models for the global self-regulating ecosystem to enhance discovery, education, innovation, informaticommercialization and broad societal goals

2. Create and leverage S&T nanotech platforms for new

products in areas of highest societal interest3. Develop NT for common resources and EHS requirements

4. Supportglobal communication and international partnerships , facilitated by international organizations

5. Commitment tolong-term, priority driven, global view

using scenarios and anticipatory measuresReference: “Global Governance of Converging Technologies”, M Roco, J. Nanoparticle Research, 2008, 10

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