Nanoethics

Big Ethical Issues with Small Technology

Dónal P. O’Mathúna
Continuum

Continuum International Publishing Group

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© Dónal P. O’Mathúna, 2009

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For Catrina, Conor and Peter
It’s your future
Contents

Preface ix

Chapter 11: Nanotechnology: In Search of a

Definition 1
Chapter 12: Developing Nanotechnology: In the
Beginning . . . 14
Chapter 13: Ethics and Nanotechnology: What’s the
Story? 31
Chapter 14: Dealing with Risk: Preying on Fear 52
Chapter 15: Precaution: More Forwards Slowly 71
Chapter 16: Global Nanotech: Turning the World
Upside Down 87
Chapter 17: Nanomedicine: Honey, I Shrunk the
Doctor 102
Chapter 18: Enhancement: Becoming Better than
Healthy 128
Chapter 19: The Posthuman Future: Making Room
for Human Dignity 158
Chapter 10: Technology and the Future: Revisiting
Daedalus and Icarus 187
viii Contents

Glossary 196
Sources 202
Bibliography 204
Index 229
1 Nanotechnology: In Search of a Definition

Everything around us is composed of atoms. We eat them,

breathe them and shape them into tools to accomplish our tasks.
We are made from atoms. Each new technological age has been
characterized by the types of atoms we human beings could
manipulate. The next technological age will be characterized,
not by the types of atoms used, but by the scale at which they
will be manipulated. This is the essence of nanotechnology.
Richard Smalley shared the 1996 Nobel Prize in Chemistry for his
work in discovering one of the chemical structures at the centre
of the nanotechnology revolution. In 1999, he spoke before a
subcommittee hearing of the US Congress:

From stone, to copper, to bronze, iron, steel, and now silicon, the
major technological ages of humankind have been defined by what
these atoms can do in huge aggregates, trillions upon trillions of
atoms at a time, molded, shaped, and refined as macroscopic objects.
Even . . . the smallest feature is a mountain compared to the size of a
single atom. The resultant technology of our 20th century is fantastic,
but it pales when compared to what will be possible when we learn to
build things at the ultimate level of control, one atom at a time.
(Smalley, 1999, quoted in Mansoori, 2005, p. 1)

Definitions of nanotechnology and of nanoscience are not

universally agreed upon. The resulting lack of clarity is one factor
hindering discussion of nanoethics – the ethical issues with
nanotechnology (Schummer, 2007a). Some have argued that the
2 Nanoethics

‘nano’ label is applied to many conventional areas of research to

make projects more attractive to funding agencies. On the com-
mercial end, ‘nano’ has been added to names of products with
the most tentative links to nanotechnology. The Nano became
the world’s cheapest car when it went on sale in March 2009.
Manufactured by Ratan Tata’s company in India, its basic model
costs what other manufacturers charge to install a DVD player in
their cars (O’Connor, 2008). In the native language of Mr Tata’s
mother, the word ‘nano’ means ‘small’ (Chang, 2008).
The term ‘nano’ comes from the Greek word for dwarf, and
in science refers to a part that is one billionth of something
(Mansoori, 2005, p. 3). One nanometre (nm) is one billionth of a
metre, or 1 x 10⫺9 metre. Human hairs, with a diameter of about
80,000 nm, or red blood cells, about 7,000 nm in diameter, are
much larger than nanoscale objects (Royal Society, 2004, p. 4).
Bacteria are larger than nanoscale, falling into the microscale (one
millionth of a metre). Individual atoms are smaller, for example,
hydrogen atoms are about 0.1 nm wide. If a 1-nanometre particle
was magnified to the size of a football, the same magnification
would make a football the size of the Earth (ibid.).
Chemists have traditionally studied and made molecules
which are smaller than nanoscale, molecules like aspirin, peni-
cillin and many other pharmaceuticals. Biochemists study the
molecules in living organisms, molecules such as proteins and
DNA, life’s genetic molecule. Objects that fall into the nanoscale
include: strands of DNA (about 2 nm wide); proteins (5 to 50 nm);
viruses (about 75 to 100 nm); and a range of new nanomaterials
called quantum dots (10 to 100 nm), carbon nanotubes (1.4 nm
wide), buckyballs (0.7 nm in diameter) and various nanoparticles
such as dendrimers, silica beads, paramagnetic labels and so
on (ibid.). These will be discussed in the next chapter, as will the
development of methods and instruments to study them. Some
nanomaterials are already appearing in commercial products,
although their potential applications are only just beginning to
be realized.
Nanotechnology: In Search of a Definition 3

The US National Nanotechnology Initiative (NNI), one of the

largest funders of nanotechnology research in the world, uses the
following definition:

Nanotechnology is the understanding and control of matter at

dimensions between approximately 1 and 100 nanometers, where
unique phenomena enable novel applications. Encompassing nano-
scale science, engineering, and technology, nanotechnology involves
imaging, measuring, modeling, and manipulating matter at this length
scale.
(NNI, 2008b, p. 3)

Not everyone uses the same range, with some definitions

including objects with dimensions of 1 to 1000 nm (Ozin et al.,
2009, p. 12).
Rather than the precise size of the particles, what is more signif-
icant is that particles in the nanoscale range have different prop-
erties and functions to those in smaller and larger ranges. Smaller
particles are dominated by quantum effects, whereas larger parti-
cles are dominated by their bulk properties. The nanoscale range
is that in which a unique combination of quantum and macroscale
effects converge to give nanoparticles their unique and interest-
ing properties. Another distinctive feature is how nanoparticles
interact with cells and living tissues. Small molecules enter cells
by passive diffusion depending on their solubility and concen-
tration. Cells grow on or around large structures. In between,
nanoparticles interact with similarly sized biomolecules such as
proteins to become coated nanoparticles (Lynch and Dawson,
2008). This provides protein-coated nanoparticles with access to
active transport systems into cells that open intriguing possibili-
ties for nanoparticles ‘permeating the impermeable’ (Ozin et al.,
2009, p. 571). While this may allow drugs to be directed to exactly
where they are needed, it also raises questions about toxicity if
nanoparticles go where they shouldn’t go.
Sometimes a distinction is made between nanotechnology and
nanoscience. For example, the UK Royal Society stated:
4 Nanoethics

Nanoscience is the study of phenomena and manipulation of materi-

als at atomic, molecular and macromolecular scales, where properties
differ significantly from those at a larger scale. Nanotechnologies are
the design, characterisation, production and application of structures,
devices and systems by controlling shape and size at nanometre
scale.
(Royal Society, 2004, p. 5)

Part of the complexity of nanotechnology derives from the

variety of tools and techniques used and the range of applications
involved. Because of this, some use the term ‘nanotechnologies’
(ibid.; ten Have, 2007), but we will use the term ‘nanotechnology’
as it is more widely recognized.

WHY NANOTECHNOLOGY?

Every material has macroscale or bulk properties we value, ones

we can see and experience like strength, weight, colour, conduc-
tivity, etc. Steel is strong, but has limitations. It makes cars and
aeroplanes stronger, but also heavier and less fuel-efficient. Fibre-
glass car bodies are beneficial at the fuel station, but detrimental
in a head-on collision. Electronic devices from phones to laptops
give great portability, but battery life must be balanced against
size and weight.
‘Materials science’ is a field of engineering and applied science
which studies the relationship between a material’s bulk proper-
ties and its underlying atomic and molecular structures. Materials
science has led to many developments in metallurgy, ceramics,
plastics and semiconductors, and is now playing a central role in
nanotechnology.
Nanotechnology could lead to new products with new proper-
ties: stronger and lighter materials, faster and smaller electronic
devices, cleaner and more efficient manufacturing processes,
drugs that go to precisely where they are needed and better
Nanotechnology: In Search of a Definition 5

diagnostic devices. One website examining nanotechnology’s

ethics put it this way:

The significance of this breakthrough, if it becomes a reality, can’t be

overstated: because everything is made up of atoms, and nanotech
plays with those basic building-blocks, it could in theory create or
improve anything.
(NanoEthics Group, 2003–2008)

Imagine a material stronger than steel, but as wearable as

cotton. Imagine a family car that goes thousands of miles without
refuelling or polluting the environment. Imagine a box in every
house, similar to a microwave, which could be programmed to
make whatever was needed. Fans of Star Trek may be reminded
of the ‘food slots’ or ‘replicators’ which allowed food to be
made by arranging atoms and molecules into precise patterns.
Similar devices called ‘matter compilers’ make almost everything
needed for the characters in The Diamond Age, one of the first
novels focused on a society radically changed by nanotechnology
(Stephenson, 1995). Such devices are also proposed in serious
non-fiction scientific treatises (Drexler, 1986/2006).
Space travel provided the incentive for many recent develop-
ments in materials science. One challenge was to build stronger,
but lighter space-craft; computers needed to store and process
more information, but be smaller in size and faster; space-suits
needed to be completely sealed, but more flexible and less
cumbersome.
Active imaginations are frequently found around nanotech-
nology. Claims from both eminent scientists and science fiction
authors that we are learning to build things atom-by-atom have
led to much speculation about our future with nanotechnol-
ogy. Will we be able to imagine the properties we want, figure
out the nanoscale structures they require, and build the items?
Immediately attractive would be drugs to cure all our illnesses,
ways to produce all the food and water everyone needs, reliable
methods to clean up the environment and economical means of
6 Nanoethics

building sturdy housing. Then we could work on cheap comput-

ers for everyone, unlimited travel or artificial organs to replace
the originals when they fail. Maybe after that will come space
travel for the masses, enhancements to improve people’s bodies
and minds and eventually a cure for ageing and death. If all this is
possible, the ethical questions will remain, even as they do in the
world of The Diamond Age.

Now nanotechnology had made nearly anything possible, and so the

cultural role in deciding what should be done with it had become far
more important than imaging what could be done with it.
(Stephenson, 1995, p. 37)

CHARACTERISTICS OF NANOTECHNOLOGY

Nanotechnology is characterized by the many different fields of

study it brings together. Until recently, the natural sciences had
been divided up into physics, chemistry, biology, engineering,
materials science and information technology, among others.
Each focused on different aspects of the natural world, and each
tended to function independently and to conduct research in
separate university departments. Nanotechnology has developed
around questions and issues where these fields overlap. It is one of
what are being called Converging Technologies. These are often
referred to by the acronym NBIC: nano-bio-info-cogno, or nanote-
chnology, biotechnology and genetic engineering, information
technology and computing, and cognitive science. A report com-
missioned by the US National Science Foundation concluded that
coordinated developments in all these fields ‘could achieve an
age of innovation and prosperity that would be a turning point in
the evolution of human society’ (Roco and Bainbridge, 2003, p. x).
Such is the scale of expectation.
Nanotechnology means working with substances at close to
the atomic scale. The atoms that make up a material are key to
Nanotechnology: In Search of a Definition 7

its properties. Whether something contains atoms of carbon or

atoms of iron makes all the difference. Chemistry studies how
atoms combine to form molecules and the bulk properties of
those products. Developments in nanotechnology have much
to do with how atoms and molecules arrange themselves into
structures just above the atomic scale.
For example, diamond is made from carbon atoms. The atoms
arrange themselves into a dense structure that gives diamond
its very hard and translucent properties. Carbon atoms can also
arrange themselves into thin sheets with very different properties.
This form of carbon, graphite, is dark and brittle, a useful lubricant
that also conducts electricity. In 1985, a completely different
form of carbon was discovered called buckyballs. Understanding
the structure and properties of buckyballs, and related objects
called carbon nanotubes and graphene, is a significant area of
research within nanotechnology. We will return to look at these
in more detail, but already they are leading to new products and
applications.

NANOPRODUCTS

Rarely does the development of a new technology attract the

level of interest that nanotechnology has garnered. Some of the
interest stems from fascination with humanity’s ability to manipu-
late matter at such a small scale. But much more of the interest
stems from very practical developments and expectations.
Nanoparticles are interesting and useful, partly because they
have fundamentally different properties compared to larger par-
ticles of the same substance. For example, large particles of
aluminium are so nonreactive that they are used to make bever-
age cans we drink from safely. Yet nanoparticles of aluminium
are extremely reactive – explosively so. Scientists are interested
in them as an alternative fuel since they produce none of the
pollutants of fossil fuels (Kleiner, 2005).
8 Nanoethics

Nanotechnology has already led to a host of new products

with improved, important and intriguing properties. Some are of
more questionable benefit. Nanogum is a chewing gum reported
to contain nanoparticles of platinum (katalist, 2008). Regular
chewing of this gum is alleged to prevent ageing, a claim which
is extremely doubtful (Olshansky et al., 2002a). Forbes magazine
reported that nanotechnology had allowed confectioners to over-
come one of their oldest problems: how to produce chocolate-
flavoured chewing gum (Wolfe, 2006). The magazine claimed
that nanotechnology overcame the incompatibility of chocolate’s
cocoa butter with the chewing gum base. The manufacturer later
denied that nanotechnology was used in this particular product,
but did note that it was using nanotechnology in a number of
other confectionery products under development (ElAmin, 2006).
In April 2008, the US-based Project on Emerging Nano-
technologies (PEN) estimated that three or four new nanotech-
nology products were appearing on the market every week.
Over the previous two years, the total number of products had
increased from 212 to 609. Between 2007 and 2008, the number of
products available doubled, and this rate of increase is expected
to continue (Erickson, B. E., 2008). At the beginning of 2009 the
total had increased to over 800 consumer products. The one
which did most to bring nanotechnology to public attention was
Apple’s iPod Nano. Its small size and large storage capacity are
made possible by the production and precise positioning of elec-
tronic components in the nanoscale range.
The amazing developments in electronics are governed by
Moore’s Law. This isn’t really a law, but a trend first observed
in 1965 by Gordon Moore, co-founder of Intel. It predicts that
the number of transistors that can be placed on an integrated
circuit will increased exponentially, doubling every 18 months or
so (Roco and Bainbridge, 2003). It has accurately tracked many
measures of computing power, and helps drive the search for
smaller electronic components. Nanotechnology is expected to
push electronics and personal digital devices to their next level
Nanotechnology: In Search of a Definition 9

of miniaturization. Researchers in Scotland announced that their

techniques could increase the storage capacity of an iPod from
about 3.3 to 500,000 gigabytes per square inch (Anonymous,
2008). These developments are made possible by breakthrough
technology that allows chemical groups to be placed precisely
0.32 nm apart in a nanodevice.
Shortly after the release of the first iPod Nanos, Apple was hit
with a class action suit alleging that the products were highly
prone to scratching, making their screens illegible (UPI, 2005).
Nanotechnology promises to provide better scratch-resistant
coatings, with numerous other coatings already using various
nanoparticles. Glass impregnated with nanoparticles is marketed
for ‘self-cleaning’ windows. The nanoparticles become energized
by ultraviolet rays which break down any organic dirt. The
nanoparticles are also water repellent, so that when rain hits the
window it spreads across the glass, washing off evenly rather than
pooling in droplets and streaking. Elsewhere, silver nanoparticles
have been put into bandages and healthcare clothing because
of their antimicrobial properties. Nanoparticle coatings have also
been put on clothes to make them stain resistant. Researchers
have announced a way to use the motion and friction generated
by walking to produce small amounts of electricity in people’s
clothes (Qin et al., 2008). The researchers wove nanoengineered
fibres called nanowires around textile fabrics to produce fabric
that converts wasted mechanical energy into electricity. With
further improvements, they predict that sufficient energy will be
produced to enable everyone from hikers to soldiers to power
personal electronic devices.
As portable electronic devices become more prevalent, their
usefulness can be limited by the weight and longevity of the
battery. Nanotechnology is being used to improve the perform-
ance of all sizes of rechargeable batteries. One of the first applica-
tions of carbon nanotubes has been to improve the longevity of
car lead batteries. Conventional lithium rechargeable batteries
wear out when put through multiple charging and recharging
10 Nanoethics

cycles. Nanoparticles are being used to make batteries that can

be recharged many more times (Anonymous, 2006). Car bodies
are being reinforced with stronger, lighter nanocomposite mat-
erials. Some sunscreens now contain nanoparticles of titanium
dioxide to give clear products rather than ones that are white
when spread on the skin.
The applications of nanotechnology appear endless. Some of
these will be described throughout the book, especially medical
applications. Little wonder that nanotechnology has generated
great excitement, leading to significant investment by govern-
ments, universities and private firms. The US government became
the early leader when President Clinton unveiled the National
Nanotechnology Initiative (NNI) in 2000 with a $270 million
investment (Lane and Kalil, 2005). President Bush continued
this investment in 2003 with the 21st Century Nanotechnology
Research and Development Act (Allen, 2005). The 2009 budget
for nanotechnology reached $1.5 billion, bringing the cumula-
tive investment since the NNI began to almost $10 billion (NNI,
2008b). This represents the largest federally funded, interagency
scientific research initiative since the space programme of the
1960s. Many other governments are following suit. In 2004, the
total public and private expenditure on nanotechnology was
about $3 billion in the US, $3 billion in the EU, $2.3 billion in Japan
and $1.9 billion in the rest of the world (Bhushan, 2006).
Nanotechnology has become a focal point of competition
between nations and continents. The European Commission
(EC) views nanotechnology as providing ‘important potential for
boosting quality of life and industrial competitiveness in Europe’
(European Commission, 2007a, p. 2). Between 2002 and 2006, the
EC funding for nanotechnology totalled €1.4 billion, which was
one third of the European public funding for nanotechnology;
this is expected to almost triple between 2007 and 2013 (ibid.).
This makes Europe the largest public investor in nanotechnology,
although it lags behind the US and Japan in private investment
(ibid.).
Nanotechnology: In Search of a Definition 11

International forecasts suggest the global market for

nanotechnology-based products will grow to about $1 trillion in
2015 (National Science Foundation, 2001). This figure is debated,
ranging from estimates of $3 trillion to smaller figures quoted by
those who claim the larger figure includes products for which
nanotechnology makes only peripheral contributions (Nanowerk,
2007). Regardless, while nanotechnology deals with the very
small, the stakes are very large.

NANOETHICS

Pursuit of the latest innovative technology is always encouraged

with excitement. But innovation includes the perils of unknown
risks. As with previous eras of human discovery, the excitement
of going where humans have never gone before is taking prec-
edence. But should it? The ethical questions surrounding nano-
technology are several and are only starting to be addressed.
Nanoethics is a new field, looking at issues of right and wrong
in the development and application of nanotechnology (Lin and
Allhoff, 2007).
Nanotechnology is widely acknowledged as raising ethical,
legal, social and environmental issues. While much funding is
available for scientific research and development, little has been
available to examine the health and environmental risks or the
ethical concerns. A survey of several journal databases found that,
while the number of citations for scientific articles on nanotech-
nology grew almost exponentially between 1985 and 2001, cita-
tions on its social and ethical implications stayed flat and close to
zero (Mnyusiwalla et al., 2003). All sides of nanotechnology need
to be examined. If not, many of the potential benefits may be
lost because of suspicion or fear of what nanotechnology might
involve.
Part of the reason why the ethics of nanotechnology have not
been scrutinized is that nanotechnology has not captured public
12 Nanoethics

attention. Ironically, while governments are striving to make their

countries and institutions world leaders in nanotechnology, their
citizens, who ultimately fund much of the research through taxes
and will be expected to purchase the products, are often unaware
of the technologies. Several studies have found that the public
is largely unaware of nanotechnology (Currall, 2009). Even with
about $50 billion in consumer products on the market, 49 percent
of Americans polled in 2008 stated they had never heard of nano-
technology (Hart, 2008). The proportion who had ‘heard a lot’
about nanotechnology was 7 percent in 2008, 6 percent in 2007
and 10 percent in 2006 (Hart, 2007). Those who know little about
nanotechnology tend to view it relatively positively (Scheufele et
al., 2007). However, once nanotechnology was explained, con-
sumers tended to become more concerned about its risks than its
benefits (Hart, 2008). Some have suggested that the lack of public
awareness is good news as it avoids public concern about the new
products (Anonymous, 2009). However, fears based on inaccurate
information could also damage beneficial developments.

NANOFICTION

This general lack of awareness could be overcome by the use of

literature, and particularly the genre of science fiction. Already,
nanotechnology has appeared in Star Trek, with its on-going
conflict with the nanotechnology-enabled Borg, and in other
TV series like X-Files, Battlestar Galactica and Star Gate. It has
been used in films like I, Robot (2004), DOA: Dead or Alive (2006)
and Terminator 3: Rise of the Machines (2003). Probably the best-
known work of fiction on the subject has not yet made it to the
big screen: Michael Crichton’s Prey (2002) raises the prospect
of nanotechnology run amuck, leading to death and mayhem.
The novel has become a metaphor for the potential dangers of
nanotechnology, and has led to criticism of how nanotechnology
is portrayed in science fiction.
Nanotechnology: In Search of a Definition 13

Science fiction often enters discussions of nanotechnology,

especially when people fear the vision has run away from reality.
If we put new drugs in people, and then little nanodevices, where
will it stop? Where should it stop? Does the vision for cheap
portable electronic devices have anything to do with transport-
ing people around the solar system? Nanotechnology has been
plagued with hype regarding its potential benefits and agents of
doom suggesting its potential risks (Berube, 2006). Yet science
fiction has sometimes described scientific devices that have later
been developed, or predicted catastrophes that have materialized
(Brake and Hook, 2008). But the flow has not been one way. We
will see that nanotechnologists sometimes use fictional accounts
to explain their vision – and why they should be funded to try to
get there. Some of the devices and scenarios found in science
fiction have influenced nanotechnologists and even the design of
actual nanotechnology (Berne, 2006).
Given that science fiction engages with nanotechnology, we
will explore its potential to encourage careful reflection about
nanotechnology and nanoethics in particular. Within the broad
field of ethics, narrative and literature are well respected (Booth,
1989; Charon, 2006; Kearney, 2002). Throughout the book, there-
fore, literature and film will be included in how we examine
various ethical issues (Shapshay, 2009a). The specific benefits
and limitations of using fiction this way will be considered in a
later chapter. Before doing so, we will look at the history of nano-
technology and some of the important subdivisions within the
field. Foremost among these are two very different visions for
nanotechnology and its potential impact. These two visions must
be kept in mind as they raise very different ethical issues.