Nanotechnology: definitions and classification

M.V. Alfimov, Center of Photochemistry of the Russian Academy of Sciences, 7a Novatorov str., Moscow, 119421 E-mail: alfimov@photonics.ru
L.M. Gokhberg, State University – Higher School of Economics, 20 Myasnitskaya str., Moscow, 101000 E-mail: lgokhberg@hse.ru
K.S. Fursov, State University – Higher School of Economics, 20 Myasnitskaya str., Moscow, 101000 E-mail: kfursov@hse.ru
Journal "Russian Nanotechnologies" No. 7-8 2010.

IntroductionThe intensive development of nanotechnologies, their rapid penetration into production and consumption and the associated risks — social, ethical, environmental — determine the urgency of solving the problem of forming a system of economic and statistical measurements of the scale, structure and dynamics of this technological direction and its corresponding sphere of activity as soon as possible.

The lack of the necessary methodological base and practical tools for this leads to very vague and often contradictory ideas about the state of the nanotechnology sphere, its economic and social effects.

Having gained wide recognition as one of the most promising areas of scientific and technological development [1], nanotechnology has become an object of priority support in many countries of the world. According to available estimates, there is hardly another field of science that has received such significant public investment on a global scale in such a short period of time [2, 3]. Meanwhile, according to A. Hulman, "the question is to what extent the "nano-hype" is based on real economic indicators, and to what extent reflects only good wishes" [4], remains open: estimates of the market of goods and servants related to nanotechnology, depending on the definition of the latter used in them and the "degree of optimism" of their authors vary from $ 150 billion by 2010. [5] up to $3.1 trillion by 2015 [6]. Despite the somewhat hyped nature of most forecasts, many experts agree that nanotechnology can transform into "general-purpose technologies" [7, 8] following information and communication and biotechnology. At the same time, the formation of the conceptual apparatus, primarily definitions and classifications, here lags significantly behind the dynamics of the phenomenon under consideration. Given the scale of investments in this area and the inevitable tendency in such a situation to exaggerate scientific, technical and economic effects in some analytical studies and forecasts based on different terminology, such a state of affairs cannot but cause concern, since it can have a disorienting effect on making informed management decisions.

It should be emphasized that the development of definitions and classifications in the field of nanotechnology is a rather difficult task. First of all, this is due to the "universal" nature of nanotechnology — a poorly structured field characterized by high dynamism of development and a growing variety of practical applications. It is also impossible not to take into account the multidisciplinary nature of this sphere and its adaptability both to new scientific and technological achievements and to the needs of the economy and society.

The problem of the unity of concepts and standards in the field of nanotechnology has been repeatedly discussed in foreign and domestic literature, including on the pages of this journal [9]. This issue is of key importance for developing a unified approach to understanding the essence and features of the development of nanotechnology. The general conceptual framework will make it possible to more clearly define the boundaries of the area under study and assess the scientific, technological and socio-economic trends generated by it. In this article, based on the analysis of international experience and best practices in the organization of scientific research, standardization and statistical accounting, a basic definition of nanotechnology is proposed and a draft classification of nanotechnology directions is presented. At the same time, fundamental importance is attached to the harmonization of the conceptual apparatus with international approaches, which will contribute to strengthening the integration of Russian science into the world scientific and technological space.

Definition of nanotechnologyAs the literature review shows, nanotechnology is considered today both as a field of research and as a direction of technological development.

On the one hand, this reflects the current trends in the relationship between science and technology, and on the other hand, generates serious terminological confusion. Contradictions begin already in attempts to designate the field of research as a whole and to define the concept of "nanotechnology". Thus, some authors [10, 11] distinguish "nanoscience" (nanoscience), which deals with the knowledge of the properties of nanoscale objects and the analysis of their influence on the properties of materials, and "nanotechnology" (nanotechnology), which aims to develop these properties for the production of structures, devices and systems with characteristics specified at the molecular level. Sometimes such a division has a purely methodological basis when it comes to the analysis of scientific publications (and then they talk about "nanoscience" [12]) or patents (in this case, the concept of "nanotechnology" is used [1]). In practice, it turns out to be almost impossible to distinguish between nanoscience and nanotechnology [13, 14], therefore, in order to avoid confusion, some researchers [15] suggest limiting ourselves to only one term – "nanotechnology", combining both components in it. Taking this approach, it is important to propose an agreed definition of nanotechnology, which, in particular, is designed to outline the general boundaries of the field under consideration, excluding unnecessary from it.

Note that, despite the existence of various definitions of nanotechnology, there is no single agreed option, and one that would form the basis for the construction of appropriate classifications, does not yet exist.

At the international level, out of the variety of approaches found in scientific publications, analytical reviews and policy documents from different countries, five definitions are distinguished that enjoy the greatest influence (Table 1).

Table 1. General definitions of nanotechnology Author organization

All these definitions were identified by the Working Group on Nanotechnology (RGN) of the Organization for Economic Cooperation and Development (OECD) as a basis for creating a unified methodological framework necessary for the organization of an internationally harmonized system for collecting and analyzing statistical information on the field of nanotechnology [16]. It should be noted that the definitions proposed by various international or national organizations are of a working nature, reflecting the specifics of those specific programs and projects for which they are formulated, and differ depending on the scope of their application, the tasks to be solved and the level of authority of these organizations. For example, the definition of nanotechnologies in the VII Framework Program of the EU emphasizes their scientific and technological component; the approaches adopted by the European and Japanese Patent offices are aimed at working in the field of intellectual property protection, and the wording from the US National Nanotechnology Initiative covers natural, technical sciences and technologies. Nevertheless, it should not be forgotten that the composition of the above set of definitions is dictated, first of all, by their political operationality (orientation to political decision-making) and belonging to countries (regions) with the maximum amounts of state funding for the scientific and technological sphere (EU, USA, Japan). The list is supplemented by the so—called "framework" definition of ISO, which forms the basis of the RGN documents, and the definition of the European Patent Office (EPO), which is still the only source of internationally comparable information on nanotechnology.

These definitions share a number of common features, concerning which several additional comments should be made.

Firstly, each of the above definitions draws attention to the scale of the phenomenon under consideration. As a rule, a range from 1 to 100 nm is indicated, within which unique molecular processes can be recorded.

Secondly, the fundamental possibility of controlling processes occurring, as a rule, within the boundaries of the designated range is emphasized. This makes it possible to distinguish nanotechnologies from natural phenomena of this kind ("random" nanotechnologies), as well as to provide the possibility of giving the created materials and devices unique characteristics and functionality, the achievement of which was impossible within the framework of the previous technological wave. In turn, this means that in the medium and long term, nanotechnology can not only contribute to the development of existing markets, but also contribute to the emergence of new markets (products or services), ways of organizing production, types of economic and social relations.

Thirdly, a characteristic feature of definitions is their economic and statistical operationality. Nanotechnology is presented as a quantifiable phenomenon – these are techniques, tools, materials, devices, systems. This makes them an important element of value chains, but the issues of assessing the contribution of nanotechnology to the cost of the final product and the limits of diversification of existing production sectors in their application require additional consideration.

At the same time, some differences in these definitions are noteworthy. First of all, they concern the degree of convergence and the intended purpose of nanotechnology. Thus, the European version notes both the integration of various technologies within the boundaries of the nanoscale, and their convergence with other technologies; separate areas of their application are highlighted. The Japanese version emphasizes the innovative nature of nanotechnology. In addition, the European and Japanese definitions clearly reflect the widespread belief [3] that the use of similar "building elements" (for example, atoms and molecules) and analysis tools (microscopes, high-power computers, etc.) in various scientific disciplines can lead in the future to the synthesis of information, bio- and nanotechnology.

It is also interesting that among the above definitions there are not only general (basic), but also so-called "list", including those adopted in the VII Framework Program of the EU. They are usually formed by listing scientific and technological areas (directions) that relate to the relevant field. As the case of biotechnologies shows, the use of general and list definitions contributes to the effective solution of various tasks in the field of statistics, analysis, scientific, technical and innovation policy. Thus, the basic definitions are well suited for scientific discussions, reaching consensus on general issues, and making policy framework decisions. List definitions make it possible to establish communication with technological and production areas where new technologies may be of applied importance (for example, for market research and companies), as well as to ensure the creation of a more rigorous system of selection and examination of projects. Ultimately, this makes it possible to increase the accuracy and reliability of the information received.

In official Russian practice, until recently, there were two different basic definitions of nanotechnology, which are presented, respectively, in the "Concept of development in the Russian Federation of work in the field of nanotechnology for the period up to 2010" and "Program for the development of nanoindustry in the Russian Federation up to 2015" (Table 2).

Table 2. Russian definitions of nanotechnology Document

The first of these two versions focuses on the study and creation of objects of a certain (nanoscale) scale, the second offers to consider the processes of creation and use of nanotechnology. In both cases, there are no indications of the features associated with the uniqueness of the phenomena and occurring within the nanoscale. In addition, the definition presented in the Nanoindustry Development Program does not carry new information about the phenomenon being characterized and is formulated based on properties and features of the same order. This makes it as abstract as possible and deprives it of any level of operationality.

In order to overcome the problems noted above and develop a definition of nanotechnology that would reflect their specific nature and could be used in the field of statistical observation, as well as scientific, technological and innovation policy, we have attempted to synthesize effective elements of various existing approaches. The result of the corresponding methodological efforts was a new version of the basic definition of nanotechnology, which was discussed in a number of representative audiences, including specialized expert meetings and focus groups, a working group of the Scientific Coordinating Council of the Federal Target Program "Research and Development in priority areas of development of the scientific and technological complex of Russia for 2007-2012" in the direction of "Industry of nanosystems and materials", the editorial board of the journal "Russian Nanotechnologies", the first and second International Forums on nanotechnology, etc. The final version of the proposed definition looks like this…

Nanotechnology is proposed to be understood as a set of techniques and methods used in the study, design and manufacture of nanostructures, devices and systems, including targeted control and modification of the shape, size, interaction and integration of their constituent nanoscale elements (about 1-100 nm), the presence of which leads to an improvement or to the appearance of additional operational and/or consumer characteristics and properties of the products obtained.

This definition takes into account the complex scientific and technological nature of the phenomenon under consideration, indicates the specific dimension and controllability of the main processes, emphasizes their determining influence on the properties of the products being created and the attitude to market novelty. It can be used for the purposes of scientific and technical expertise, formulation of selection criteria and evaluation of individual projects related to nanotechnology, organization of statistical observation in this area.

The proposed definition was considered by the Board of the State Corporation "Rosnanotech" in September 2009 and accepted as a working one.

As already noted above, the interdisciplinary nature of nanotechnology makes it expedient to supplement their basic definition with a list that would cover scientific and technological areas united by the general concept of "nanotechnology". In the course of the work, seven such major areas were identified, which make up the list definition and form the basis of the draft classification of nanotechnology directions.

Classification of nanotechnology directionsAs in the case of definitions, classifications of nanotechnology directions are currently in the process of formation.

First of all, this is due to the lack of international terminology standards in the field of nanotechnology. Most of the materials of the ISO Working Group on Standardization of Nanoscale Objects and Processes are preliminary in nature, and Russian standards, according to the draft Program of Standardization in the nanoindustry proposed by GC "Rosnanotech", should be developed in the period from 2010 to 2014, depending on the direction.

To date, drafts of three main standards have been published: terminology and definitions of nanoobjects in terms of nanoparticles, nanofibers and nanoplates (ISO/TS 27687:2008), principles of safety and health protection when using nanotechnology in professional activities (ISO/TR 12885:2008), definitions of carbon nanoobjects (ISO/TS 80004-3:2010). The work on the draft methodology for classification and categorization of nanomaterials (ISO/TR 11360:2010) is almost completed.

As noted above, the formation of classification groupings is preceded by the development of a common (basic) definition of nanotechnology. Then it is necessary to identify the key areas of analysis that should be described using a limited set of basic definitions, and structure them with the allocation of independent subgroups describing the selected area. Such approaches to the grouping of nanotechnology directions are already presented in the normative documents of international organizations, as well as in the materials of national scientific and technical policy bodies and statistical services (Table 3).

Table 3. Examples of groupings of the main directions of nanotechnologyStatistics Canada

ISO's work on the formation of terminology and standards in the field of nanotechnology focuses on defining basic concepts, establishing criteria for distinguishing technological and industrial nanoprocesses, identifying approaches and requirements for measurement, building a classification of nanomaterials, devices and other "nanotechnological" applications. (See the materials of K. Willis' speech at the section "Foresight, roadmaps and indicators in fields of nanotechnology and nanoindustry" of the First International Forum on Nanotechnology (2008) An overview of the materials of the section is presented in [17], the ISO work plan in [18].)

The statistical services of Canada and Australia are solving the tasks of collecting data on the state of science and technology in their countries, including the development of a system of indicators to cover relevant emerging fields of knowledge. Finally, patent services use classification groupings to register new and label already registered objects of intellectual property related to nanotechnology. Each of these tasks requires special efforts to codify and classify often very different processes and objects associated with the nanotechnology wave.

Regardless of the goals of organizations working in the field of standardization, classification and statistics, the object of their attention is the areas of application or use of nanotechnology, among which a number of common positions can be distinguished. Thus, ISO provides for seven directions at the top level, whereas in the classifications of the statistical services of Canada and Australia, there are nine and fourteen, respectively. The options proposed by EPO and the Japan Nanotechnology Research Center (NRNC) – and the latter became the basis for the selection of patent classes related to nanotechnology in the International Patent Classification — include six directions. In Russia, the key document covering the collective grouping of thematic areas of activity in the field of nanotechnology is the Federal Target Program "Development of Nanoindustry infrastructure in the Russian Federation for 2008-2010". It provides nine positions, five of which can be combined into the category of nanomaterials, presented in one form or another in each of the examples under consideration. The seeming exception is the ISO variant, however, upon a more detailed acquaintance with the working documents of the organization, it turns out that nanomaterials are allocated in them as an independent subsection, which is end-to-end for the entire classification. Nanoelectronics, nanophotonics (in some cases it is associated with nanooptics), nanobiotechnology and nanomedicine are also among the areas that are mandatory for all the approaches under consideration. Technological processes and tools focused on the creation, measurement, standardization and production in the field of nanotechnology are considered separately. In some cases, nanotechnologies of cultivation and self-assembly of nanomaterials and nanostructures, methods of diagnostics and manipulation of nanoobjects, ensuring the safety of health and the environment are presented as independent groups.

In order to build a draft of the Russian classification of nanotechnology directions (CNN), we attempted to generalize these approaches and form a system open to further expansion and detailing. The purpose of such classification is, first of all, to solve problems in the field of accounting, analysis and standardization of scientific, scientific-technical, innovative and industrial activities in the field of nanotechnology. The classification can also be used for the selection and examination of projects, evaluation of activities in the field of intellectual property rights protection, statistical research, unification of scientific, technical or other information in this area. All this should provide a structured description of nanotechnology as a scientific, technological and economic sphere, contribute to the development of priorities, the formation and implementation of a policy based on facts.

As a result of the work, seven main areas of nanotechnology were identified: nanomaterials, nanoelectronics, nanophotonics, nanobiotechnology, nanomedicine, nanoengineering (nanodiagnostics), technologies and special equipment for the creation and production of nanomaterials and nanodevices. Appropriate definitions were formulated for each of the identified areas and primary content was proposed (as a rule, from three to five groups of technologies). To clarify the names of classification positions and definitions, materials from administrative sources, databases of scientific publications and patents, etc. were widely used. The combination of materials made it possible to obtain a variety of information about possible approaches to identifying areas of application of nanotechnology and to propose a draft classification of them. In addition, a group of more than fifty experts from various fields of science and industry was formed to assess the completeness and adequacy of the developed list of directions, clarify their names, definitions and sequence, and verify the correctness of formulations. Additional discussions were also held with participants of the working group of the Scientific Coordination Council of the Federal Target Program "Research and Development in priority areas of development of the scientific and Technological complex of Russia for 2007-2012" in the direction of "Industry of nanosystems and Materials", leading specialists of the Russian Academy of Sciences, the Russian Foundation for Basic Research, Lomonosov Moscow State University, the Russian Scientific Center "Kurchatov Institute", members of the editorial board of the journal "Russian Nanotechnologies", etc. The classification project was formed in close cooperation with Rosstat and the Department of Scientific and Technical Expertise of Rosnanotech Group of Companies. In the course of the work and following its results, discussions were held in the Ministry of Education and Science of Russia.

Table 4. General structure of classification of nanotechnology directions (CNN)KNN code

The direction classification project has a two-level hierarchical structure using a sequential coding method (Table 4).
The alphanumeric code used in this case has the following formula:
T + XX + XX,
where: T is the index of the Latin alphabet, indicating that the code belongs to the KNN classification; X is a symbol denoting the digits of the digital part of the code.

At the first level of the classification division (T.XX), the main scientific and technological directions are presented, at the second (T.XX.XX) - groups of technologies.

For reference purposes, additional groupings are also provided in the KNN. They are presented at lower levels to clarify the composition of technology groups and link them to products (services) produced on their basis. Their numbering is a continuous list.

The following is a general description of the composition of the main directions of nanotechnology.

Vol.01. Nanomaterials (including nanostructures) is a research area related to the study and development of bulk materials of films and fibers whose macroscopic properties are determined by the chemical composition, structure, size and/or mutual arrangement of nanoscale structures.

Bulk nanostructured materials can be ordered within the direction by type (nanoparticles, nanofilms, nanocoating, granular nanoscale materials, etc.) and by composition (metallic, semiconductor, organic, carbon, ceramic, etc.). This also includes nanostructures and materials allocated on a general functional basis, for example, detector and sensor nanomaterials.

Nanomaterials with a narrow functional purpose are not included in this direction. Thus, nanomaterials obtained using biotechnologies belong to the direction of nanobiotechnology, and semiconductor nanoheterostructures (quantum dots) belong to the direction of nanoelectronics.

Vol.02. Nanoelectronics is the field of electronics related to the development of architectures and technologies for the production of functional electronics devices with topological dimensions not exceeding 100 nm (including integrated circuits), and devices based on such devices, as well as with the study of the physical foundations of the functioning of these devices and devices.

This direction covers the physical principles and objects of nanoelectronics, basic elements of computing systems, objects for quantum computing and telecommunications, as well as devices for superdense recording of information, nanoelectronic sources and detectors. It does not include nanoparticles and nanostructured materials of general or multipurpose use. In particular, metallic nanostructured materials belong to the direction of nanomaterials.

Vol.03. Nanophotonics is a field of photonics associated with the development of architectures and technologies for the production of nanostructured devices for generating, amplifying, modulating, transmitting and detecting electromagnetic radiation and devices based on such devices, as well as with the study of physical phenomena that determine the functioning of nanostructured devices and occur during the interaction of photons with nanoscale objects.

This direction includes the physical foundations of radiation generation and absorption in various ranges, semiconductor sources and electromagnetic radiation detectors, nanostructured optical fibers and devices based on them, LEDs, solid-state and organic lasers, photonics elements and short-wave nonlinear optics.

Vol.04. Nanobiotechnology – the purposeful use of biological macromolecules and organelles for the construction of nanomaterials and nanodevices.

Nanobiotechnology covers the study of the effects of nanostructures and materials on biological processes and objects in order to control and manage their biological or biochemical properties, as well as the creation of new objects and devices with the specified biological or biochemical properties with their help.

Nanobiotechnology is a narrow synthetic field combining bioelectromechanical machines, nanobiomaterials and nanomaterials obtained using biotechnologies. This direction also includes such areas as nanobioelectronics and nanobiophotonics.

T.05. Nanomedicine is the practical application of nanotechnology for medical purposes, including research and development in the field of diagnostics, control, targeted drug delivery, as well as actions to restore and reconstruct biological systems of the human body using nanostructures and nanodevices.

This area includes medical diagnostic methods (including methods of introscopic studies/imaging and molecular biological research methods using nanomaterials and nanostructures), therapeutic and surgical nanotechnology (methods of cellular and gene therapy using nanomaterials, the use of lasers in micro- and nanosurgery, medical nanorobots, etc.), tissue engineering and regenerative medicine, nanotechnology in pharmacology, pharmacy and toxicology.

Vol.06. Methods and tools for research and certification of nanomaterials and nanodevices – devices and devices designed for manipulating nanoscale objects, measuring, controlling properties and standardization of manufactured and used nanomaterials and nanodevices.

This area, sometimes referred to as "nanoengineering", covers the infrastructure for the field of nanotechnology in terms of analytical, measuring and other equipment; methods of diagnostics, research and certification of properties of nanostructures and nanomaterials, including control and testing of their biocompatibility and safety. A separate group within this direction is formed by computer modeling and prediction of the properties of nanomaterials.

Vol.07. Technologies and special equipment for experimental and industrial production of nanomaterials and nanodevices is a field of technology related to the development of technologies and special equipment for the production of nanomaterials and nanodevices.

This direction includes methods of production of nanostructures and materials (including methods of application and formation of nanostructures and nanomaterials) and instrumentation for the nanoindustry. This does not include equipment that is part of the research infrastructure, as well as manufactured nanomaterials and nanostructures that are one of the products of production.

Vol.09. Other areas cover scientific and technological areas and processes related to nanotechnology and are not included in other groupings. Among them are general safety issues of nanomaterials and nanodevices (while the methods of monitoring and testing the safety of nanomaterials are attributed to the direction of T.06), nanoelectromechanical systems, tribology and wear resistance of nanostructured materials, etc.

In conclusion, it should be emphasized that the proposed general definition of nanotechnology and the draft classification of nanotechnology directions are designed to answer key challenges by defining the boundaries and internal structure of this poorly structured interdisciplinary field with high development dynamics and unobvious socio-economic consequences. The definition focuses on the distinctive features of nanotechnology as a research, technological and industrial sphere. The classification describing the seven main directions of nanotechnology is based on the experience of leading international organizations in the field of standardization and statistics and can serve as a tool for describing the field of nanotechnology, the formation of state information resources and obtaining reliable statistical information on the state and development of scientific research and development in the field of nanotechnology.  

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