Preliminary Comments, Review of the National Nanotechnology Initiative

Committee for the Review of the National Nanotechnology Initiative

Division on Engineering and Physical Sciences

National Research Council

National Academy Press
Washington, D.C.



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Preliminary Comments, Review of the National Nanotechnology Initiative Preliminary Comments, Review of the National Nanotechnology Initiative Committee for the Review of the National Nanotechnology Initiative Division on Engineering and Physical Sciences National Research Council National Academy Press Washington, D.C.

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Preliminary Comments, Review of the National Nanotechnology Initiative 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 material is based on work supported by the National Science Foundation under Grant No. CTS-0096624. Any opinions, findings, and conclusions or recommendations expressed in it are those of the authors and do not necessarily reflect the views of the National Science Foundation. Additional copies of this report are available from: National Research Council, HA 476 2101 Constitution Avenue, N.W. Washington, DC 20418 Internet, <http://www.nap.edu> Copyright 2001 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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Preliminary Comments, Review of the National Nanotechnology Initiative THE NATIONAL ACADEMIES National Academy of Sciences National Academy of Engineering Institute of Medicine National Research Council 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. Bruce M.Alberts 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. Wm.A.Wulf 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. Kenneth I.Shine 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. Bruce M.Alberts and Dr. Wm.A.Wulf are chairman and vice chairman, respectively, of the National Research Council.

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Preliminary Comments, Review of the National Nanotechnology Initiative COMMITTEE FOR THE REVIEW OF THE NATIONAL NANOTECHNOLOGY INITIATIVE SAMUEL STUPP, Northwestern University, Chair MOUNGI BAWENDI, Massachusetts Institute of Technology DAVID BEEBE, University of Wisconsin, Madison ROBERTO CAR, Princeton University SHIRLEY CHIANG, University of California, Davis DENIS GRAY, North Carolina State University MICHAEL HELLER, University of California, San Diego KARL HESS, Beckman Institute, University of Illinois GERALD IAFRATE, North Carolina State University LYNN JELINSKI, Sunshine Consultants TIMOTHY S.JENKS, NanoGram Corporation PHILIP KUEKES, Hewlett-Packard CHERRY MURRAY, Lucent Technologies LYDIA SOHN, Princeton University T.S.SUDARSHAN, Materials Modification, Inc. TOM THEIS, IBM Committee Staff Michael Davey, Study Director Rebecca Short, Administrative Assistant Dorothy Zolandz, Responsible Staff Officer

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Preliminary Comments, Review of the National Nanotechnology Initiative Preface This study had its origins in informal discussions between Clinton administration staff of the White House National Economic Council and the leadership of the National Research Council (NRC). The study did not begin until more than a year after those discussions, since the multiple agencies involved in the National Nanotechnology Initiative (NNI) had to agree on the statement of task for the review and on a mechanism for sharing the expense. Once the study was formally initiated, in June 2001, the NRC assembled a committee to address the task, and the committee met for the first time on August 30 and 31, 2001. The committee was charged with responding to the following questions: Does the NNI research portfolio address the relevant skills and knowledge to assure that the United States will fully benefit from the new technology? Is the balance of the research portfolio appropriate? Are the available U.S. resources (human, infrastructure, and funding) being applied appropriately within the portfolio? Are the correct seed investments being made now to provide needed infrastructure for future years (2002–2005 and beyond)? Are partnerships (government-industry-university, international) being used appropriately to leverage the public investment in this area? Is the portfolio of programs being coordinated in such a way as to maximize the effectiveness of the investment? Is the whole greater than the sum of the parts? Does the NNI give sufficient consideration to the societal impact of developments in nanotechnology? Are the processes for evaluating the effectiveness of the NNI (determination of metrics, milestones, and so on) appropriate and meaningful? How should the program be evaluated in light of the long-term (10–20 year) nature of many of its research goals? What are important areas of future investment in specific areas of nanotechnology? NNI leaders have, since their first discussions with NRC leadership, emphasized their commitment to external program review and their desire for quick feedback on the program. Therefore, in addition to the final study report, the NRC consented to provide a brief preliminary report 4 months into the study. This document is presented in fulfillment of that obligation. As the committee has met only once to date, this document is brief. It contains a summary description of the NNI and outlines briefly topics that the committee feels will be critical to the ultimate success of the NNI. The committee bases its broad conclusions on briefings received at the meeting and on numerous background documents prepared on and under the auspices of the NNI. The meeting agenda and a bibliography can be found in Appendixes A and B, respectively. The committee also bases its statements on its members’ expertise and experience in performing and managing nanoscale research, commercializing that research, and examining societal issues related to it.

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Preliminary Comments, Review of the National Nanotechnology Initiative This document is not intended to comprehensively answer the six questions in the committee’s charge. The charge will be fully addressed in the final study report, scheduled for release in May 2002. The committee members share a firm belief in the importance of nanoscience and nanotechnology as the next revolutionary steps in science and technology. They are all enthusiastic about aiding this endeavor through the committee’s efforts to review the NNI. We hope that this brief document is of use to NNI managers and to those in the legislative and executive branch with oversight responsibilities for the NNI participating agencies. The committee looks forward to delivering a comprehensive report at the end of the study period. Samuel I. Stupp, Chair Committee for the Review of the National Nanotechnology Initiative

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Preliminary Comments, Review of the National Nanotechnology Initiative Acknowledgment of Reviewers This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this 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 for 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 wish to thank the following individuals for their review of this report: Michael Crow, Columbia University, Yury Gogotsi, Drexel University, Evelyn Hu, University of California at Santa Barbara, Mark Ratner, Northwestern University, and Fraser Stoddart, University of California at Los Angeles. Although the individuals listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Alan Fowler, IBM Thomas J.Watson Research Center (emeritus). Appointed by the National Research Council, he was responsible for making certain that an independent examination of this 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.

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Preliminary Comments, Review of the National Nanotechnology Initiative Contents 1   Description of the National Nanotechnology Initiative   1 2   Critical Areas for a Successful National Nanotechology Initiative   4     Program Management,   4     Balance of Research Portfolio,   4     Non-NNI Nanoscale Research and Partnerships,   5     Important Areas for Investment,   6     Societal Implications,   7     Appendixes         A Meeting Agenda,   11     B Bibliography,   13

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