The long view of nanotechnology development: the National Nanotechnology Initiative at 10 years

A global scientific and societal endeavor was set in motion by the nanotechnology vision formulated in 1999 that inspired the National Nanotechnology Initiative (NNI) and other national and international R&D programs. Establishing foundational knowledge at the nanoscale has been the main focus of the nanotechnology research community in the first decade. As of 2009, this new knowledge underpinned about a quarter of a trillion dollars worldwide market, of which about $91 billion was in US products that incorporate nanoscale components. Nanotechnology is already evolving toward becoming a general-purpose technology by 2020, encompassing four generations of products with increasing structural and dynamic complexity: (1) passive nanostructures, (2) active nanostructures, (3) nanosystems, and (4) molecular nanosystems. By 2020, the increasing integration of nanoscale science and engineering knowledge and of nanosystems promises mass applications of nanotechnology in industry, medicine, and computing, and in better comprehension and conservation of nature. Nanotechnology’s rapid development worldwide is a testimony to the transformative power of identifying a concept or trend and laying out a vision at the synergistic confluence of diverse scientific research areas. This chapter provides a brief perspective on the development of the NNI since 2000 in the international context, the main outcomes of the R&D programs after 10 years, the governance aspects specific to this emerging field, lessons learned, and most importantly, how the nanotechnology community should prepare for the future.     

Nanotechnology and society

Past experience has shown that the successful introduction of a new technology requires careful attention to the interactions between the technology and society. These interactions are bi-directional: on the one hand, technology changes and challenges social patterns and, on the other hand, the governance structures and values of the society affect progress in developing the technology. Nanotechnology is likely to be particularly affected by these kinds of interactions because of its great promise and the unusually early public attention it has received. Moreover, it represents a new kind of experiment in packaging a rather wide range of fundamental research activities under a single “mission-like” umbrella. Although this gives it more impetus as a field, it sets a higher bar for showing successful applications early on and because it links disparate fields, regulatory regimes reasonable for one kind of nanotechnology development may be inappropriately extended to others. There are a number of lessons to be gleaned from experience with the introduction of other technologies, which offer guidance with respect to what pitfalls to avoid and what issues to be sensitive to as we move forward with the development of nanotechnology applications. The problems encountered by nuclear power point out the dangers of over-promising and the role the need for the technology plays in ameliorating fears of risk. The public reaction to biomedical engineering and biotechnology highlights, in addition, the cultural factors that come into play when technologies raise questions about what is “natural” and what is “foreign” and what conceptions are involved in defining “personhood”. In all cases, it has been clear that a main task for those introducing new technology is building public trust–in the safety of the technologies and the integrity of those introducing it. The advocates of nanotechnology have already shown that they are generally aware of the need to consider the public’s reaction, and they have taken the first steps to act on that awareness. We have to build on those beginnings, not limiting our considerations simply to issues of safety. If we do so well, we have the opportunity to develop a new paradigm for technology introduction, which will serve society well in the future.     

Nanotechnology and the public: Effectively communicating nanoscale science and engineering concepts

Researchers are faced with challenges when addressing the public on concepts and applications associated with nanotechnology. The goal of our work was to understand the public’s knowledge of nanotechnology in order to identify appropriate starting points for dialog. Survey results showed that people lack true understanding of concepts associated with atoms and the size of the nanoscale regime. Such gaps in understanding lead to a disappointing lack of communication between researchers and the public concerning fundamental concepts in nanoscale science and engineering. Strategies are offered on how scientists should present their research when engaging the public on nanotechnology topics. Since the time of writing, O.M. Castellini has relocated to the Department of Science and Technology, Museum of Science and Industry, 57th Street and Lake Shore Drive, Chicago, IL 60637, USA.     

The emergence and policy implications of converging new technologies integrated from the nanoscale

Science based on the unified concepts on matter at the nanoscale provides a new foundation for knowledge creation, innovation, and technology integration. Convergent new technologies refers to the synergistic combination of nanotechnology, biotechnology, information technology and cognitive sciences (NBIC), each of which is currently progressing at a rapid rate, experiencing qualitative advancements, and interacting with the more established fields such as mathematics and environmental technologies (Roco & Bainbridge, 2002). It is expected that converging technologies will bring about tremendous improvements in transforming tools, new products and services, enable human personal abilities and social achievements, and reshape societal relationships.After a brief overview of the general implications of converging new technologies, this paper focuses on its effects on R&D policies and business models as part of changing societal relationships. These R&D policies will have implications on investments in research and industry, with the main goal of taking advantage of the transformative development of NBIC. Introduction of converging technologies must be done with respect of immediate concerns (privacy, toxicity of new materials, etc.) and longer-term concerns including human integrity, dignity and welfare. The efficient introduction and development of converging new technologies will require new organizations and business models, as well as solutions for preparing the economy, such as multifunctional research facilities, integrative technology platforms, and global risk governance.(*) This is an extension of the presentation made at the Converging Technologies Conference, February 26, 2004, New York.This revised version was published online in August 2005 with a corrected issue number.     

The role of high-resolution imaging in the evaluation of nanosystems for bioactive encapsulation and targeted nanotherapy

Nanotechnology has already started to significantly impact many industries and scientific fields including biotechnology, pharmaceutics, food technology and semiconductors. Nanotechnology-based tools and devices, including high-resolution imaging techniques, enable characterization and manipulation of materials at the nanolevel and further elucidate nanoscale phenomena and equip us with the ability to fabricate novel materials and structures. One of the most promising impacts of nanotechnology is in the area of nanotherapy. Employing nanosystems such as dendrimers, nanoliposomes, niosomes, nanotubes, emulsions and quantum dots, nanotherapy leads toward the concept of personalized medicine and the potential for early diagnoses coupled with efficient targeted therapy. The development of smart targeted nanocarriers that can deliver bioactives at a controlled rate directly to the designated cells and tissues will provide better efficacy and reduced side effects. Nanocarriers improve the solubility of bioactives and allow for the delivery of not only small-molecule drugs but also the delivery of nucleic acids and proteins. This review will focus on nanoscale bioactive delivery and targeting mechanisms and the role of high-resolution imaging techniques in the evaluation and development of nanocarriers.     

Towards a nanorisk appraisal framework

The article discusses, in the context of nanotechnology, whether current concepts of chemical risk assessment can be used to assess nanorisk. Nanorisk can be defined from the narrow (eco)toxicological perspective to the broader sense to include societal/cultural impacts or even to the fundamental philosophical level, i.e. questioning societies need for the technology. We outline here the limitations of chemical risk assessment and other recent proposed risk governance paradigms in relation to nanotechnology and nanomaterials, including its inability to include societal risks (ownership, privacy, security, nanodivide,¹ convergence of nano-, bio-, etc.) and metaphysical risk (including the lay persons perspective on the risks of nanotechnology). Finally, we outline the fundamental principles and criteria that an alternative comprehensive framework should be based on.     

The emergence and policy implications of converging new technologies integrated from the nanoscale

Science based on the unified concepts on matter at the nanoscale provides a new foundation for knowledge creation, innovation, and technology integration. Convergent new technologies refers to the synergistic combination of nanotechnology, biotechnology, information technology and cognitive sciences (NBIC), each of which is currently progressing at a rapid rate, experiencing qualitative advancements, and interacting with the more established fields such as mathematics and environmental technologies (Roco & Bainbridge, 2002). It is expected that converging technologies will bring about tremendous improvements in transforming tools, new products and services, enable human personal abilities and social achievements, and reshape societal relationships.After a brief overview of the general implications of converging new technologies, this paper focuses on its effects on R&D policies and business models as part of changing societal relationships. These R&D policies will have implications on investments in research and industry, with the main goal of taking advantage of the transformative development of NBIC. Introduction of converging technologies must be done with respect of immediate concerns (privacy, toxicity of new materials, etc.) and longer-term concerns including human integrity, dignity and welfare. The efficient introduction and development of converging new technologies will require new organizations and business models, as well as solutions for preparing the economy, such as multifunctional research facilities, integrative technology platforms, and global risk governance.     

National nanotechnology partnership to protect workers

Nanotechnology is predicted to improve many aspects of human life. By 2015, it is estimated to represent $3.1 trillion in manufactured goods. Data is emerging that exposure to nanomaterials may pose a health risk to workers. If the economic promise of nanotechnology is to be achieved, ways need to be found to protect nanotechnology workers now. The Occupational Safety and Health Act of 1970 (OSHAct) gave the responsibility to protect workers to the Occupational Safety and Health Administration (OSHA) and the National Institute for Occupational Safety and Health (NIOSH) through research, standards adoption, and standards enforcement. Since 1980, adopting new occupational health standards has grown more complex. The increased complexity has greatly slowed efforts to adopt protective standards for toxic agents that are well-known to pose significant risks. The likelihood of rapidly adopting standards to protect workers from nanomaterials, whose risks are just emerging, seems even more unlikely. Use of the OSHAct’s general duty clause to protect workers also seems uncertain at this time. In the interim, a national partnership led by NIOSH involving nanotech manufacturers and downstream users, workers, academic researchers, safety, and health practitioners is proposed. A National Nanotechnology Partnership would generate knowledge about the nature and the extent of worker risk, utilize that knowledge to develop risk control strategies to protect nanotechnology workers now, and provide an evidence base for NIOSH recommendations to OSHA for a nanotechnology program standard at a future date.     

Trends in worldwide nanotechnology patent applications: 1991 to 2008

Nanotechnology patent applications published during 1991–2008 have been examined using the “title–abstract” keyword search on esp@cenet “worldwide” database. The longitudinal evolution of the number of patent applications, their topics, and their respective patent families have been evaluated for 15 national patent offices covering 98% of the total global activity. The patent offices of the United States (USA), People’s Republic of China (PRC), Japan, and South Korea have published the largest number of nanotechnology patent applications, and experienced significant but different growth rates after 2000. In most repositories, the largest numbers of nanotechnology patent applications originated from their own countries/regions, indicating a significant “home advantage.” The top applicant institutions are from different sectors in different countries (e.g., from industry in the US and Canada patent offices, and from academe or government agencies at the PRC office). As compared to 2000, the year before the establishment of the US National Nanotechnology Initiative (NNI), numerous new invention topics appeared in 2008, in all 15 patent repositories. This is more pronounced in the USA and PRC. Patent families have increased among the 15 patent offices, particularly after 2005. Overlapping patent applications increased from none in 1991 to about 4% in 2000 and to about 27% in 2008. The largest share of equivalent nanotechnology patent applications (1,258) between two repositories was identified between the US and Japan patent offices.     

Commentary: Roles,opportunities, and challenges—science museums engaging the public in emerging science and technology

Even a cursory reading of the public engagement in science (PES) literature over the past decade reveals that public engagement is becoming part of the “orthodoxy of 21st century science policy” (Stilgoe, Nanodialogues: experiments in public engagement with science, 2007, p 16), Moving forward, there appears to be strong consensus that (1) public engagement is an essential component for shaping sound science policies, research agendas, and governance structures; (2) more opportunities for accessible and successful PES need to be developed and implemented to have meaningful impact; and (3) a broader and more diverse range of publics need to be reached through PES activities. This article explores the role that U.S. science museums and centers could play in creating and delivering PES programming focusing on current science and technology developments and issues, with particular attention to nanoscience and nanotechnology. Also addressed will be some of the factors that support increased PES involvement by museums, some of the challenges museums need to overcome to sustain ongoing PES, and several recommendations to achieve broader PES impact through science museum participation.     

Moving forward responsibly: Oversight for the nanotechnology-biology interface

Challenges and opportunities for appropriate oversight of nanotechnology applied to or derived from biological systems (nano-bio interface) were discussed in a public workshop and dialog hosted by the Center for Science, Technology, and Public Policy of the University of Minnesota on September 15, 2005. This paper discusses the themes that emerged from the workshop, including the importance of analyzing potential gaps in current regulatory systems; deciding upon the general approach taken toward regulation; employing non-regulatory mechanisms for governance; making risk and other studies transparent and available to the public; bolstering mechanisms for public participation in risk analysis; creating more opportunities for meaningful discussion of the social and ethical dimensions of the nano-bio interface; increasing funds for implications and problem-solving research in this area; and having independent and reliable sources for communication. The workshop was successful in identifying ways of moving forward responsibly so that ultimately nanotechnology and its products can succeed in developers’, researchers’, regulators’, and the public’s eyes.     

Synthesis of ZnS hollow nanoneedles via the nanoscale Kirkendall effect

The facile synthesis of one-dimensional II–VI semiconductor hollow nanostructures with sharp tips is of particular interest for their applications in novel nanodevices. In this study, by employing ZnO nanoneedles with lower symmetry structures as self-sacrificed templates, ZnS hollow nanoneedles with homogeneous thickness have been synthesized by a low temperature hydrothermal route through in situ chemical conversion manner and the nanoscale Kirkendall effect. The hollow needlelike structures obtained in the present study can be used as starting materials to create fantastic nanoarchitectures and may have important applications in optoelectronic nanodevices.     

Comparing nanoparticle risk perceptions to other known EHS risks

Over the last decade social scientific researchers have examined how the public perceives risks associated with nanotechnology. The body of literature that has emerged has been methodologically diverse. The findings have confirmed that some publics perceive nanotechnology as riskier than others, experts feel nanotechnology is less risky than the public does, and despite risks the public is optimistic about nanotechnology development. However, the extant literature on nanotechnology and risk suffers from sometimes widely divergent findings and has failed to provide a detailed picture of how the public actually feels about nanotechnology risks when compared to other risks. This study addresses the deficiencies in the literature by providing a comparative approach to gauging nanotechnology risks. The findings show that the public does not fear nanotechnology compared to other risks. Out of 24 risks presented to the participants, nanotechnology ranked 19th in terms of overall risk and 20th in terms of “high risk.”     

Shape-influenced magnetic properties of CoO nanoparticles

Despite uncertainty about the potential human health and environmental risks of nanotechnology, major stakeholders such as regulatory agencies and the nanotechnology industry are already negotiating the emerging regulatory framework for nanotechnology. Because of a relative lack of nano-specific regulations, the future of nanotechnology development will depend greatly on the views held by the nanotechnology industry. This study fills the research gap in understanding how the nanotechnology industry perceives the risks of nanotechnology. This is the first interview-based study of the nanotechnology industry in the United States. Semi-structured, open-ended phone interviews were conducted with 17 individuals involved in the commercialization of nanotechnology in the United States. Results indicate that while the industry acknowledges uncertainty about the potential risks of nanotechnology and takes significant precaution in ensuring the safety of their products, they do not see nanotechnology as novel or risky. They do not believe that uncertainty over risk ought to delay the further development of nanotechnology. The industry sees itself as the primary agent in ensuring consumer safety and believes that consumers are adequately protected. They are also largely benefit-centric and view product labeling as inefficacious.     

Broader Societal Issues of Nanotechnology

Nanoscale science and engineering are providing unprecedented understanding and control over the basic building blocks of matter, leading to increased coherence in knowledge, technology, and education. The main reason for developing nanotechnology is to advance broad societal goals such as improved comprehension of nature, increased productivity, better healthcare, and extending the limits of sustainable development and of human potential. This paper outlines societal implication activities in nanotechnology R&D programs. The US National Nanotechnology Initiative annual investment in research with educational and societal implications is estimated at about $30 million (of which National Science Foundation (NSF) awards about $23 million including contributions to student fellowships), and in nanoscale research with relevance to environment at about $50 million (of which NSF awards about $30 million and EPA about $6 million). An appeal is made to researchers and funding organizations worldwide to take timely and responsible advantage of the new technology for economic and sustainable development, to initiate societal implications studies from the beginning of the nanotechnology programs, and to communicate effectively the goals and potential risks with research users and the public.     

Awareness on adverse effects of nanotechnology increases negative perception among public: survey study from Singapore

As has been demonstrated by recent societal controversies associated with the introduction of novel technologies, societal acceptance of a technology and its applications is shaped by consumers’ perceived risks and benefits. The research reported here investigates public perceptions of nanotechnology in Singapore, where technological innovation is an established part of the economy, and it might be expected that consumer perceptions of risk are low, and those of benefit are high. The contribution of socio-demographic variables, knowledge level and exposure to risk information in shaping risk perception about nanotechnology applications within different application sectors were analysed. About ~80 % of respondents have some understanding of nanotechnology, 60 % report having heard some negative information, and 39 % perceive nanotechnology as beneficial, while 27.5 % perceive it as risky. Nanotechnology application in food was reported to cause the most concern in the consumers included in the sample. Two-step cluster analysis of the data enabled grouping of respondents into those who expressed ‘less concern’ or ‘more concern’ based on their average scores for concern levels expressed with applications of nanotechnology in different sectors. Profiling of these clusters revealed that, apart from various socio-demographic factors, exposure to risk-related information, rather than awareness in nanotechnology itself, resulted in respondents expressing greater concern about nanotechnology applications. The results provide evidence upon which regulatory agencies and industries can base policies regarding informed risk–benefit communication and management associated with the introduction of commercial applications of nanotechnology.     

Nanoparticles-chemistry, new synthetic approaches, gas phase clustering and novel applications

In this paper, an overview of the synthesis, chemistry and applications of nanosystems carried out in our laboratory is presented. The discussion is divided into four sections, namely (a) chemistry of nanoparticles, (b) development of new synthetic approaches, (c) gas phase clusters and (d) device structures and applications. In ‘chemistry of nanoparticles’ we describe a novel reaction between nanoparticles of Ag and Au with halocarbons. The reactions lead to the formation of various carbonaceous materials and metal halides. In ‘development of new synthetic approaches’ our one-pot methodologies for the synthesis of core-shell nanosystems of Au, Ag and Cu protected with TiO₂ and ZrO₂ as well as various polymers are discussed. Some results on the interaction of nanoparticles with biomolecules are also detailed in this section. The third section covers the formation of gas phase aggregates/clusters of thiol-protected sub-nanoparticles. Laser desorption of H₂MoO₄, H2WO₄, MoS₂, and WS₂ giving novel clusters is discussed. The fourth section deals with the development of simple devices and technologies using nanomaterials described above.     

Nanomedicine, nanotechnology in medicine

Nanomedicine is a relatively new field of science and technology. It looks sometimes ill defined and interpretations of that term may vary, especially between Europe and the United States.By interacting with biological molecules, therefore at nanoscale, nanotechnology opens up a vast field of research and application. Interactions between artificial molecular assemblies or nanodevices and biomolecules can be understood both in the extracellular medium and inside the human cells. Operating at nanoscale allows to exploit physical properties different from those observed at microscale such as the volume/surface ratio.The investigated diagnostic applications can be considered for in vitro as well as for in vivo diagnosis. In vitro, the synthesised particles and manipulation or detection devices allow for the recognition, capture, and concentration of biomolecules. In vivo, the synthetic molecular assemblies are mainly designed as a contrast agent for imaging.A second area exhibiting a strong development is “nanodrugs” where nanoparticles are designed for targeted drug delivery. The use of such carriers improves the drug biodistribution, targeting active molecules to diseased tissues while protecting healthy tissue.A third area of application is regenerative medicine where nanotechnology allows developing biocompatible materials which support growth of cells used in cell therapy.The application of nanotechnology to medicine raises new issues because of new uses they allow, for instance: Is the power of these new diagnostics manageable by the medical profession? What means treating a patient without any clinical signs? Nanomedicine can contribute to the development of a personalised medicine both for diagnosis and therapy.There exists in many countries existing regulatory frameworks addressing the basic rules of safety and effectiveness of nanotechnology based medicine, whether molecular assemblies or medical devices. However, there is a need to clarify or to modify these regulations which mobilise many experts.France is a country where the medical development of nanotechnology is significant, like Germany, the United Kingdom or Spain, as regards the European Union. There is an active scientific community and industrial partners of all sizes, even if the technology transfer to industry is not as effective as in North America.     

Sustainable nanotechnology decision support system: bridging risk management,sustainable innovation and risk governance

The significant uncertainties associated with the (eco)toxicological risks of engineered nanomaterials pose challenges to the development of nano-enabled products toward greatest possible societal benefit. This paper argues for the use of risk governance approaches to manage nanotechnology risks and sustainability, and considers the links between these concepts. Further, seven risk assessment and management criteria relevant to risk governance are defined: (a) life cycle thinking, (b) triple bottom line, (c) inclusion of stakeholders, (d) risk management, (e) benefit–risk assessment, (f) consideration of uncertainty, and (g) adaptive response. These criteria are used to compare five well-developed nanotechnology frameworks: International Risk Governance Council framework, Comprehensive Environmental Assessment, Streaming Life Cycle Risk Assessment, Certifiable Nanospecific Risk Management and Monitoring System and LICARA NanoSCAN. A Sustainable Nanotechnology Decision Support System (SUNDS) is proposed to better address current nanotechnology risk assessment and management needs, and makes. Stakeholder needs were solicited for further SUNDS enhancement through a stakeholder workshop that included representatives from regulatory, industry and insurance sectors. Workshop participants expressed the need for the wider adoption of sustainability assessment methods and tools for designing greener nanomaterials.