Introduction
The National Science Foundation and other agencies of the U.S. government have asked the World Technology Evaluation Center (WTEC) to perform an assessment of status and trends in nanoparticle and nanostructure technology and applications R&D around the world in comparison to that in the United States. The purpose of this study is to provide the scientific/engineering community with a critical view of the field and identify the most promising areas for future research and industrial development, to stimulate the development of an inter-disciplinary and international community of nanoparticles/ nanostructures researchers, and to identify opportunities for international collaboration in the field.
Sponsors of the study include the Engineering, Math and Physical Sciences, and Biological Sciences Directorates of the National Science Foundation, the Air Force Office of Scientific Research, the Office of Naval Research, the National Institute of Standards and Technology, the Department of Commerce (Asia/Pacific Technology Program), the National Institutes of Health, the National Aeronautics and Space Administration, and the Department of Energy of the U.S. government.
Background
Nanoparticle synthesis, processing and device manufacturing are part of an emerging field referred to as nanotechnologies. R&D in this field emphasizes scientific discoveries in generation of nanoparticles with controlled characteristics, research on their processing into microstructured bulk materials with engineered properties and technological functions, and introduction of new device concepts and manufacturing methods. New properties are due to size reduction to the point where critical length scales of physical phenomena become comparable to or larger than the size of the structure. Applications take advantage of high surface area and confinement effects, which lead to nanostructures with different properties than conventional materials, and creating opportunities for innovative principles of operation for devices and instruments. Synthesis and processing of nanoparticles/nanostructures will require new aerosol, colloid, thermal, plasma or combustion approaches, and device manufacturing is at the intersection of a broad spectrum of disciplines. R&D in this field is also stimulating understanding of the physics of new phenomena and processes at nanoscales (1-100 nm), furthering the development of new modeling and experimental tools, and generating new device principles and manufacturing methods.
The extraordinary potential this field offers in the form of bulk, composites or coating materials to opto-electronic engineering, magnetic recording, ceramics and special metals, micro-manufacturing (coming from small to large, as opposed to MEMS), and bioengineering is recognized by industry. Large-scale programs, institutes and research networks have been initiated recently on these topics in Japan, EC, China and other countries.
The importance of nanotechnology was underscored a few years ago with the announcement by MITI in Japan of two ten-year nanotechnology programs (Science, 25, p. 1303, 1991): the Atomic Technology Project for $185 million, and Quantum Functional Devices Project for $40 million. The Science and Technology Agency funds several research institutes on nanoparticles, nanostructures and related technologies. It is believed that Japanese companies and research institutions are focused more on the processing and manufacturing aspects, including advanced diagnostics instrumentation and applications in microelectronics. The nanostructured materials or nano-processed devices have broad applications from pharmaceutics, bioengineering, pigments and electronics to optic and magnetic devices and structures and coatings with special properties.
Scope
The following topics and issues were considered by the sponsors in determining the initial scope of the study:
Technologies to be Covered
The primary objectives will be to document foreign research and technological levels in the following areas:
- nanoparticles
- nanotubes
- nanolayers
- nanostructure synthesis
- processing
- related manufacturing technologies
A special focus will be on nanoparticle processing and manufacturing into new devices and applications. Biological applications will be explicitly addressed. Other issues to be covered include diagnostics techniques, scale-up, and miniaturization issues
Since nanostructured materials are generally metastable with respect to their larger-structured counterparts, the stability of particle assembly and other nanostructures under the effects of thermal, magnetic, optical and chemical factors and methods to stabilize them also will be surveyed.
Education, Infrastructure and Other Issues
The study will evaluate the university and industrial research, education and technological development, and their interactions. The WTEC panel will look to establish linkages between centers of excellence abroad and US organizations, and will develop an international information center on this topic in the United States. Other areas of focus will include the following:
- assessment of the role of directed R&D versus curiosity-driven research
- assessment of the economical potential of nanoparticle/nanostructures technologies in Japan and other countries, and their role on the international arena
- evaluation of the potential for industrial low-cost manufacturing
- identification of main differences between U.S. and foreign approaches
- identification the conditions which have facilitated the main scientific and technological breakthroughs
- the role of scientific and technological networking
- funding levels for both industry and government programs, when data are available
- evaluation of the research and education infrastructure, and of international collaboration.
Panelists
Based on the above objectives, the following panel of U.S. experts in the relevant fields has been recruited to carry out the study:
Current Outline of Study
The sponsors and the panelists listed above have now agreed on the following outline of the study:
Nano materials can be classified into the following categories:
- clusters with aspect ratios between 1 and infinity
- multilayers
- ultrafine grained overlayers
- nanophase materials
The overall focus of this study is on the building blocks, the assembly of these in controlled ways to make materials with new properties, and the assembly of these materials into useful "things" (devices, etc.). So this hierarchy of (a) atomically engineered building blocks (b) assembly, materials fabrication and (c) applications can become the basis for organizing this study. What is needed in this study is a "broad-brush, stand-back" view of the world of nanostructures and their applications, both now and in the future, with respect to both short-term and "blue-sky" applications.
Based on this approach, the following organizational chart was drawn for the study:

The draft report outline based on this structure calls for a separate chapter for each of the applications boxes at the bottom of this structure, each to be written by one panelist. These would be preceded by a broad "synthesis & manufacturing" chapter to be written by Evelyn Hu and David Shaw (representing the top box in the above diagram). The report outline would thus be as follows:
- executive summary (Richard Siegel)
- introduction & methodology, benchmark (Richard Siegel)
- nanoparticles/nanolayers -- synthesis/manuf. of nanostructures (Evelyn Hu, David Shaw)
- dispersions & coatings (John Mendel)
- high-surface-area materials (Don Cox)
- functional nanostructures and nano-devices (Herb Goronkin)
- consolidated materials & parts (Carl Koch)
- appendices: bios, site reports, glossary, etc.
Prof. Jelinski will work with all of the above authors to assure that biological issues, approaches, and applications are adequately covered throughout the report.
Sites Visited by Panelists
France
Germany
- Institut für Festkorper und Werkstofforschung
- Institut für Physikalische Chemie und Electochemie
- Technical University of Darmstadt
- Max Planck Institut, Mülheim
- University of Saarlandes
- Institute of New Materials
Japan
- Tohoku University
- Toyo University
- Hitachi Central R&D Laboratory
- University of Tokyo
- Institue of Molecular Science
- National Research Institute for Metals
- Vacuum Metallurgical, Inc.
- Toshiba Research Center
- Tokyo Institute of Technology
- Nagoya University
- Angstrom Technology Partnership
- MITI Electrotechnical Laboratory
- NEC Fundamental Research Lab.
- National Institute for Advaced Interdisciplinary Research (NAIR)
- Osaka National Research Institute
- Osaka University
- Kyoto University
- Industrial Research Institue of Nagoya
- RIKEN
Taiwan
- National Taiwan University
- National Chiao-Tung University
- National Tsing-Hua University
- National Chung-Chen University
- Industrial Technology Research Inst.
Belgium
Netherlands
- Technical University of Delft
- Philips Research Laboratories
Switzerland
- IBM Research Laboratory
- Institut de Physique Experimentale (IPE), Lausanne
- Paul Sherrer Institute
- ETH Technical Institute, Zürich
United Kingdom
- University of Cambridge
- Oxford University
- Hitachi
- Toshiba
Workshop and Round Table Meeting Participants
German Roundtable (Stuttgart)
Participating Institutions:
- Max-Planck Institut für Festkorperforschung
- Dr. P. Redlich, MPI für Metallforschung
- MPI für Metallforschung
- University of Ulm
- University of Karlsruhe, Institut für Physikatische Chemie und Elektrochemie
- SGL Carbon Group, SGL Technik GmbH
- Center for Solar Energy and Hydrogen Research
- Daimler Benz AG, Forschung und Technik
Russian Workshop (St. Petersburg)
Participating Institutions:
- St.Petersburg State University
- Institute of New Chemical Problems (Russian Academy of Sciences), Moscow
- Ioffe Physico-Technical Institute (Russian Academy of Sciences), St. Petersburg
- Institute of Machine Science Problems (Russian Academy of Sciences), St. Petersburg
- Institute of Metal Physics, (Russian Academy of Sciences), Ekaterinburg
- "Delta" Research Institute, Moscow
- Moscow State Engineering Physics Institute
- Russian Peoples Friendship University, Moscow
- Institute of Physics of Advanced Materials, Ufa
- Institute of Metal Physics, (Russian Academy of Sciences), Moscow
Sweden Roundtable (KTH, Stockholm)
Participating Institutions
- The Royal Institute of Technology
- Lund University
- Chalmers University of Technology
- Göteborg University
- Uppsala University
- Ericsson Microwave Systems
- IBM
- NUTEC
- National Sciences Research Council
- Swedish Foundation for Strategic Research National Defense Research Establishment (FOA)
U.S. Workshop Paper Presenters
- I. Aksay, Princeton
- R.T.K. Baker, Northeastern
- R. Brotzman, Nanophase Technologies
- L. Brus, Columbia
- R.R. Chianelli, University of Texas, El Paso
- M.S. Dresselhaus, MIT
- S. Forrest, Princeton
- S.K. Friedlander, UCLA
- F. Froes, IMAP, University of Idaho
- M. Gell, University of Connecticut
- W. Goddard, Caltech
- G.C. Hadjipanayis, University of Delaware
- K. Ismail, IBM, University of Cairo
- B. Kear, Rutgers
- U. Landman, Georgia Tech.
- R.C. Merkle, Xerox
- V.R. Ramanan, ABB
- M. Reed, Yale
- N.C. Seeman, NYU
- R.B. Schwarz, LANL
- S. Sligar, U. Ill. Urbana
- G.D. Stucky, UCSB
- G.M. Whitesides, Harvard
- R.S. Williams, HP
- P. Wiltzius, Lucent
- J. Ying, MIT
12 February 1998; WTEC Hyper-Librarian