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2
Observations on the Current Procedures and Criteria for Determining
Progress Toward Achievement of National Nanotechnology Initiative Goals
The 26 federal agencies that participate in the National Nanotechnology Initiative (NNI) are listed
in Table 2.1; the top 15 in the list have NNI-related programs funded through the federal appropriations
process. The eight cross-cutting NNI program component areas (PCAs), which are defined in the 2003
authorizing legislation as major subject areas in which related projects and activities are grouped, are
listed in Table 2.2, and the relationships between the PCAs and missions, interests, and needs of the
participating NNI agencies are shown in Table 2.3.
In the 2011 NNI Strategic Plan, each agency articulated how nanotechnology had or will have an
effect on its achieving its mission and how this maps into the cross-agency PCAs. Examples are provided
here in excerpts from the statements made by the Department of Defense (DOD; Box 2.1), the National
Institutes of Health (NIH; Box 2.2), and the Department of Labor/Occupational Safety and Health
Administration (DOL/OSHA; Box 2.3). Those statements from three representative NNI participating
agencies provide a view of what they regard as success for the NNI. For example, DOD seeks “sensors
. . ., communications, and information processing systems needed for qualitative improvements in
persistent surveillance,” OSHA seeks to “educate employers on their responsibility to protect workers and
educate them on safe practices in handling nanomaterials,” and NIH seeks “new classes of
nanotherapeutics and diagnostic biomarkers, tests, and devices.” With respect to collaboration among
NNI participating agencies, the 2011 NNI Strategic Plan identified specific subjects for close, targeted
interaction, including nanotechnology signature areas, “to foster innovation and accelerate
nanotechnology development.” 1
The NNI reports progress toward the four NNI goals annually in the NNI supplement to the
president’s budget as required by the Nanotechnology Research and Development Act of 2003 (Public
Law 108-153). Issued by the Nanoscale Science, Engineering, and Technology Subcommittee of the
National Science and Technology Council’s Committee on Technology, the annual supplement includes
budget information by agency and by PCA for the prior year (actual spending), the current year
(estimated), and the coming year (planned). The NNI also reports the amount of funding that went to
nanotechnology-related Small Business Innovation Research (SBIR) awards and Small Business
Technology Transfer (STTR) awards to date. (The amount of SBIR and STTR funding that is invested in
nanotechnology is not planned, so only prior-year data are available.) The agencies provide examples of
specific activities as evidence of progress toward each of the four NNI goals, including coordinated
activities with “other agencies, disciplines, industrial sectors, and nations.” 2 The annual report released in
2011 (accompanying the president’s FY 2012 budget) included for the first time estimated spending in
2011 and planned spending in 2012 for each of three multiagency signature initiatives (Solar Energy
Collection and Conversion, Sustainable Nanomanufacturing, and Nanoelectronics for 2020 and Beyond).
1
National Science and Technology Council, National Nanotechnology Initiative Strategic Plan, February 2011,
available at http://www.nano.gov/sites/default/files/pub_resource/2011_strategic_plan.pdf. Accessed April 24, 2012.
2
The National Nanotechnology Initiative, Supplement to the President’s 2013 Budget. Available at
http://www.nano.gov/sites/default/files/pub_resource/nni_2013_budget_supplement.pdf. Accessed August 8, 2012.
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TABLE 2.1 Agencies Participating in the National Nanotechnology Initiative in 2012
Federal Agencies with Budgets Dedicated to Nanotechnology Research and Development
Agricultural Research Service (U.S. Department of Agriculture, USDA)
Consumer Product Safety Commission
Department of Defense
Department of Energy
Department of Homeland Security
Department of Transportation (DOT, including the Federal Highway Administration)
Environmental Protection Agency
Food and Drug Administration (Department of Health and Human Services [DHHS])
Forest Service (USDA)
National Aeronautics and Space Administration
National Institute for Occupational Safety and Health (Centers for Disease Control and Prevention, DHHS)
National Institute of Food and Agriculture (USDA)
National Institute of Standards and Technology (Department of Commerce [DOC])
National Institutes of Health (DHHS)
National Science Foundation
Other Participating Agencies
Bureau of Industry and Security (DOC)
Department of Education
Department of Justice
Department of Labor (including Occupational Safety and Health Administration)
Department of State
Department of the Treasury
Director of National Intelligence
Nuclear Regulatory Commission
U.S. Geological Survey (Department of the Interior)
U.S. International Trade Commission
U.S. Patent and Trademark Office (DOC)
SOURCE: National Science and Technology Council, National Nanotechnology Initiative Strategic Plan, February
2011, available at http://www.nano.gov/sites/default/files/pub_resource/2011_strategic_plan.pdf. Accessed April 24,
2012.
The data on budget and expenditures reported in the annual NNI supplement to the president’s
budget and in reports to Congress provide a picture of how resources are being allocated by agency to
each of the PCAs. However, progress toward achieving the four NNI goals is reported in largely
anecdotal form. Several agencies provide examples of successful projects, some provide numerical data,
and some present short summaries without many details. Interagency activities are reported in the same
manner. That approach is consistent with how the NNI agencies manage their overall portfolios, how they
gather information to report to the president, and what is included in the NNI supplement to the
president’s budget.
There is no common method or system across the NNI participating agencies for measuring and
tracking progress toward achieving the four NNI goals (see Box 1.1). Broad generalizations about
progress are made, but there are few details except for specific examples of successful projects,
discoveries, and products related to the agencies’ statements, which are mapped onto the four goals. At
the agency level, individual projects are monitored and evaluated with respect to their agreed-on
deliverables by using processes and metrics developed by the sponsoring agencies. But such evaluations
typically are program-specific, and the deliverables and outcomes are generally reported in forms that
cannot be easily aggregated and analyzed. Consider, for example, Goal 1—to advance world-class
nanotechnology research and development. The generation of world-class scientific publications, the
body of published work associated with an activity, could be considered an indicator of success; metrics
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TABLE 2.2 National Nanotechnology Initiative Program Component Areas
Program Component Area Description
Fundamental Nanoscale Discovery and development of fundamental knowledge pertaining to new
Phenomena and Processes phenomena in the physical, biologic, and engineering sciences that occur on the
nanoscale. Elucidation of scientific and engineering principles related to
nanoscale structures, processes, and mechanisms.
Nanomaterials Research aimed at the discovery of novel nanoscale and nanostructured materials
and at a comprehensive understanding of the properties of nanomaterials
(ranging across length scales and including interface interactions). Research and
development (R&D) leading to the ability to design and synthesize, in a
controlled manner, nanostructured materials with targeted properties.
Nanoscale Devices and R&D that applies the principles of nanoscale science and engineering to create
Systems novel devices and systems or to improve existing devices and systems. Includes
the incorporation of nanoscale or nanostructured materials to achieve improved
performance or new functionality. The enabling science and technology must be
at the nanoscale, but the systems and devices themselves need not be.
Instrumentation Research, R&D pertaining to the tools needed to advance nanotechnology research and
Metrology, and Standards commercialization, including next-generation instrumentation for
for Nanotechnology characterization, measurement, synthesis, and design of materials, structures,
devices, and systems. Also includes R&D and other activities related to
development of standards, including standards for nomenclature, materials
characterization and testing, and manufacture.
Nanomanufacturing R&D aimed at enabling scaled-up, reliable, and cost-effective manufacturing of
nanoscale materials, structures, devices, and systems. Includes R&D and
integration of ultraminiaturized top-down processes and increasingly complex
bottom-up or self-assembly processes.
Major Research Facilities Establishment of user facilities, acquisition of major instrumentation, and other
and Instrumentation activities that develop, support, or enhance the nation’s scientific infrastructure
Acquisition for the conduct of nanoscale science, engineering, and technology R&D.
Includes continuing operation of user facilities and networks.
Environment, Health, and Research directed primarily at understanding the environmental, health, and
Safety safety effects of nanotechnology development and corresponding risk
assessment, risk management, and methods for risk mitigation.
Education and Societal Education-related activities, such as development of materials for schools,
Dimensions undergraduate programs, technical training, and public communication, including
outreach and engagement. Research directed at identifying and quantifying the
broad implications of nanotechnology for society, including social, economic,
workforce, educational, ethical, and legal implications.
SOURCE: National Science and Technology Council, National Nanotechnology Initiative Strategic Plan, February
2011, available at http://www.nano.gov/sites/default/files/pub_resource/2011_strategic_plan.pdf. Accessed April 24,
2012.
would include number of publications, topics, quality of journals, number of citations, and so on.
However, there is no comprehensive compilation of publications for NNI-funded R&D for any agency,
much less for the whole NNI. The challenge of developing metrics that align with all the NNI goals is the
focus of Chapters 3 and 4 of this interim report.
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TABLE 2.3 Relationships Between Program Component Areas and Missions, Interests,
and Needs of Agencies Participating in the National Nanotechnology Initiative
Instrumentation Research,
Phenomena and Processes
Metrology, and Standards
Environment, Health, and
Major Research Facilities
Fundamental Nanoscale
Nanoscale Devices and
Education and Societal
and Instrumentation
Nanomanufacturing
Nanomaterials
Dimensions
Acquisition
Systems
Safety
BIS (DOC)
CPSC
DOD
DOE
DOEd
DHS
DOJ/NIJ
DOL
DOS
DOT
DOTreas
EPA
FDA (DHHS)
FS (USDA)
IC/DNI
NASA
NIFA (USDA)
NIH (DHHS)
NIOSH (DHHS)
NIST (DOC)
NSF
U.S. NRC
ARS (USDA)
USGS (DOI)
USITC
USPTO (DOC)
NOTE: A check mark denotes a primary relationship and a bullet a secondary relationship.
SOURCE: National Science and Technology Council, National Nanotechnology Initiative
Strategic Plan, February 2011, available at http://www.nano.gov/sites/default/files/
pub_resource/2011_strategic_plan.pdf. Accessed 4/24/2012.
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BOX 2.1
Department of Defense Statement
The following is excerpted from DOD’s statement in the 2011 NNI Strategic Plan.
Department of Defense (DOD) leadership considers nanotechnology to have high and growing potential to
contribute to the warfighting capabilities of the nation. Because of the broad and interdisciplinary nature of
nanotechnology, DOD leadership views it as an enabling technology area that should receive the highest level of
department attention and coordination. The vision and capability construct of Defense Research and Engineering
includes nanotechnology as one of four exemplary foundational technologies, along with advanced materials,
advanced electronics, and manufacturing technology. DOD Basic Research acknowledges that realizing the
potential of nanotechnology is a key research objective. In particular, nanotechnology is an enabling technology for
new classes of sensors (such as novel focal plane arrays and chemical/biological threat sensors), communications,
and information processing systems needed for qualitative improvements in persistent surveillance. The DOD also
invests in nanotechnology for advanced energetic materials, photocatalytic coatings, active microelectronic devices,
structural fibers, strength- and toughness-enhancing additives, advanced processing, and a wide array of other
promising applications.
SOURCE: National Science and Technology Council, National Nanotechnology Initiative Strategic Plan, February
2011, available at http://www.nano.gov/sites/default/files/pub_resource/2011_strategic_plan.pdf. Accessed 04/24/2012.
BOX 2.2
National Institutes of Health Statement
The following is excerpted from NIH’s statement in the 2011 NNI Strategic Plan.
The NIH mission is to seek fundamental knowledge about the nature and behavior of living systems and the
application of that knowledge to enhance health, lengthen life, and reduce the burdens of illness and disability.
Toward this end, NIH leadership realizes that advances in nanoscience and nanotechnology have the potential to
make valuable contributions to biology and medicine, which in turn could contribute to a new era in healthcare.
The Federal agencies’ R&D investments, for example, have resulted in advanced materials, tools, and
nanotechnology-enabled instrumentation that can be used to study and understand biological processes in health
and disease. The NIH-supported R&D efforts, in particular, are bringing about new paradigms in the detection,
diagnosis, and treatment of common and rare diseases, resulting in new classes of nanotherapeutics and diagnostic
biomarkers, tests, and devices.
SOURCE: National Science and Technology Council, National Nanotechnology Initiative Strategic Plan, February
2011, available at http://www.nano.gov/sites/default/files/pub_resource/2011_strategic_plan.pdf. Accessed 04/24/2012.
BOX 2.3
Department of Labor Statement
The following is excerpted from DOL’s statement in the 2011 NNI Strategic Plan.
The Department of Labor (DOL) Occupational Safety and Health Administration (OSHA) plays an integral role in
nanotechnology by protecting the nation’s workforce. Through the NNI interagency efforts, OSHA accomplishes
its mission by collaborating and sharing information with other Federal agencies. As part of this effort, OSHA’s
goal is to educate employers on their responsibility to protect workers and educate them on safe practices in
handling nanomaterials. OSHA is developing guidance and educational materials promoting worker safety and
health that will be shared with the public and through the NNI.
SOURCE: National Science and Technology Council, National Nanotechnology Initiative Strategic Plan, February
2011, available at http://www.nano.gov/sites/default/files/pub_resource/2011_strategic_plan.pdf. Accessed 04/24/2012.
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