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Interim Report on the Second Triennial Review of the National Nanotechnology Initiative Committee on Triennial Review of the National Nanotechnology Initiative: Phase II National Materials and Manufacturing Board Division on Engineering and Physical Sciences

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by Contract CBET-1138917 between the National Academy of Sciences and the National Science Foundation. Any opinions or findings expressed in this publication are those of the authors and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number-13: 978-0-309-26551-5 International Standard Book Number-10: 0-309-26551-7 This report is available in limited quantities from: National Materials and Manufacturing Board 500 Fifth Street, NW Washington, DC 20001 nmmb@nas.edu http://www.nationalacademies.edu/nmmb Additional copies of this report are available from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334-3313; http://www.nap.edu. Copyright 2013 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON TRIENNIAL REVIEW OF THE NATIONAL NANOTECHNOLOGY INITIATIVE: PHASE II CAROL A. HANDWERKER, Purdue University, Co-Chair MICHAEL N. HELMUS, Consultant, Worcester, Massachusetts, Co-Chair ROBERT R. DOERING, Texas Instruments, Inc. LEE FLEMING, University of California, Berkeley PAUL A. FLEURY, Yale University LIESL FOLKS, Hitachi Global Storage Technologies ROBERT HULL, Rensselaer Polytechnic Institute JACQUELINE A. ISAACS, Northeastern University DONALD H. LEVY, University of Chicago CELIA MERZBACHER, Semiconductor Research Corporation OMKARAM NALAMASU, Applied Materials, Inc. WOLFGANG POROD, University of Notre Dame ALAN RAE, TPF Enterprises, LLC ELSA REICHMANIS, Georgia Institute of Technology JUDITH STEIN, General Electric Global Research Center CHARLES F. ZUKOSKI, University of Illinois at Urbana-Champaign Staff DENNIS CHAMOT, Acting Director, National Materials and Manufacturing Board ERIK B. SVEDBERG, Study Director HEATHER LOZOWSKI, Financial Associate RICKY D. WASHINGTON, Administrative Coordinator (until July 2012) v

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NATIONAL MATERIALS AND MANUFACTURING BOARD ROBERT H. LATIFF, R. Latiff Associates, Chair DENISE F. SWINK, Independent Consultant, Germantown, Maryland, Vice Chair PETER R. BRIDENBAUGH, NAE, 1 ALCOA (retired) VALERIE M. BROWNING, ValTech Solutions, LLC PAUL CITRON, NAE, Medtronic, Inc. (retired) GEORGE T. (RUSTY) GRAY II, Los Alamos National Laboratory CAROL A. HANDWERKER, Purdue University SUNDARESAN JAYARAMAN, Georgia Institute of Technology DAVID W. JOHNSON, JR., NAE, Stevens Institute of Technology MICHAEL F. MCGRATH, Analytic Services, Inc. NABIL NASR, Golisano Institute for Sustainability PAUL S. PEERCY, NAE, University of Wisconsin-Madison ROBERT C. PFAHL, JR., International Electronics Manufacturing Initiative VINCENT J. RUSSO, Aerospace Technologies Associates, LLC KENNETH H. SANDHAGE, Georgia Institute of Technology ROBERT E. SCHAFRIK, GE Aviation HAYDN WADLEY, University of Virginia STEVEN WAX, Independent Consultant, Reston, Virginia Staff DENNIS CHAMOT, Acting Director ERIK B. SVEDBERG, Senior Program Officer RICKY D. WASHINGTON, Administrative Coordinator (until July 2012) HEATHER LOZOWSKI, Financial Associate 1 National Academy of Engineering. vi

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Preface The National Nanotechnology Initiative (NNI) is a multiagency U.S. government research and development (R&D) initiative established in FY 2001 to accelerate R&D in the emerging complex and multidisciplinary field of nanotechnology. As stated in the National Nanotechnology Initiative Strategic Plan of November 2011, 2 “the vision of the NNI is a future in which the ability to understand and control matter at the nanoscale leads to a revolution in technology and industry that benefits society.” The Committee on Triennial Review of the National Nanotechnology Initiative: Phase II has tackled with dedication and enthusiasm the charge given by the director of the National Nanotechnology Coordination Office to the National Research Council to conduct the second triennial review of the NNI. The review was funded by the agencies that participate in the NNI. This interim report benefited from invited speakers from government, academe, and industry who provided information that was invaluable to the committee in completing its initial work, reported on in this interim report, in approaching the second of its three tasks: Assess the suitability of current procedures and criteria for determining progress toward NNI goals, suggest definitions of success and associated metrics, and provide advice on those organizations (government or non-government) that could perform evaluations of progress. This task will be addressed in full in the final report, as will the committee’s two additional objectives: Examine the role of the NNI in maximizing opportunities to transfer selected technologies to the private sector, provide an assessment of how well the NNI is carrying out this role, and suggest new mechanisms to foster transfer of technologies and improvements to NNI operations in this area where warranted; and Review NNI’s management and coordination of nanotechnology research across both civilian and military federal agencies. This interim report does not include any conclusions or recommendations, but it does constitute the basis of the committee’s final report. As co-chairs, we are honored to work on evaluating a program that has the potential to benefit science and society. We express special appreciation to Laura Toth, Linda Williams, and Ricky D. Washington for assistance with meeting arrangements and communications with the committee. Carol A. Handwerker, Co-Chair Michael N. Helmus, Co-Chair Committee on Triennial Review of the National Nanotechnology Initiative: Phase II 2 National Nanotechnology Initiative Strategic Plan, National Science and Technology Council Committee on Technology Subcommittee on Nanoscale Science, Engineering, and Technology, November 2011. vii

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Acknowledgments This report has been reviewed in draft form by persons chosen for their diverse perspectives and technical expertise in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of the independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards of objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We thank the following for their review of the report: Wade Adams, Rice University, William F. Brinkman, U.S. Department of Energy, Ed Chandross, Materials Chemistry, LLC, Cherry Murray, Harvard University, Richard W. Siegel, Rensselaer Polytechnic Institute, Thomas N. Theis, IBM Thomas J. Watson Research Center, and George Thompson, Intel Corporation. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the views expressed, nor did they see the final draft of the report before its release. The review of the report was overseen by Olga B. Koper, Battelle Memorial Institute. Appointed by the National Research Council, she was responsible for making certain that an independent examination of the report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. The committee also thanks the guest speakers at its meetings, who added to the members’ understanding of nanotechnology and the issues surrounding it: Robert Celotta, National Institute of Standards and Technology, Hilary Flynn, LUX Research, Inc., Lynn E. Foster, BPT Pharmaceuticals, Chuck Geraci, National Institute for Occupational Safety and Health, Piotr Grodzinski, National Institutes of Health, Bruce Kisliuk, U.S. Patent and Trademark Office, Harriet Kung, Office of Science, U.S. Department of Energy, Julia Lane, National Science Foundation, Mihail C. Roco, National Science Foundation, Brent Segal (teleconference), Lockheed Martin, Phillip Singerman, National Institute of Standards and Technology, Lewis E. Sloter II, Office of the Assistant Secretary of Defense for Research and Engineering, Jerry Thursby, Georgia Institute of Technology, and Sally Tinkle, National Nanotechnology Coordination Office. viii

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Contents SUMMARY 1 1 BACKGROUND 3 2 OBSERVATIONS ON THE CURRENT PROCEDURES AND CRITERIA 6 FOR DETERMINING PROGRESS TOWARD ACHIEVEMENT OF NNI GOALS 3 THE ROLE OF METRICS 11 Metrics for Assessing the National Nanotechnology Initiative—Some Considerations, 11 A Possible Framework for Assessing Success, 14 4 DEFINITIONS OF SUCCESS AND METRICS 16 National Nanotechnology Initiative Goal 1: To Advance World-Class Nanotechnology Research and Development, 16 National Nanotechnology Initiative Goal 2: To Foster the Transfer of New Technologies into Products for Commercial and Public Benefit, 17 National Nanotechnology Initiative Goal 3: To Develop and Sustain Educational Resources, a Skilled Workforce, and the Supporting Infrastructure and Tools to Advance Nanotechnology, 19 National Nanotechnology Initiative Goal 4: To Support the Responsible Development of Nanotechnology, 21 The Path Forward to Improved Metrics, 23 APPENDIXES A Statement of Task 27 B Acronyms and Abbreviations 29 C Committee Biographies 31 ix

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