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Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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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

NATIONAL RESEARCH COUNCIL
                        OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.

www.nap.edu

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
×

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 Research Council and the National Science Foundation. Any opinions, findings, conclusions, or recommendations 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: 978-0-309-26922-3
International Standard Book Number-10: 0-309-26922-9

This report is available in limited quantities from:

National Materials and Manufacturing Board
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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

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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THE NATIONAL ACADEMIES

Advisers to the Nation on Science, Engineering, and Medicine

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. C. D. Mote, Jr., 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. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council.

 

www.national-academies.org

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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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, NMMB

ERIK B. SVEDBERG, Study Director

ANN F. LARROW, Program Associate (as of August 2012)

HEATHER LOZOWSKI, Financial Associate

RICKY D. WASHINGTON, Administrative Coordinator (until July 2012)

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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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), Boca Raton, Florida

VALERIE M. BROWNING, ValTech Solutions, LLC

PAUL CITRON, NAE, Medtronic, Inc. (retired), Minnetonka, Minnesota

GEORGE T. (RUSTY) GRAY III, 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

ANN F. LARROW, Program Associate (as of August 2012)

HEATHER LOZOWSKI, Financial Associate

RICKY D. WASHINGTON, Administrative Coordinator (until July 2012)

 

1 NAE, National Academy of Engineering.

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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Preface

The National Research Council was asked by the National Nanotechnology Coordination Office (NNCO) to review the National Nanotechnology Initiative (NNI) pursuant to the 21st Century Nanotechnology Research and Development Act, Section 5 of Public Law 108-153.1 A cross-disciplinary, complex system with a diverse stakeholder base, the NNI coordinates nanotechnology-related R&D of 26 federal agencies. Owing to the complex and extensive nature of its review, the committee prepared an interim report on one of the three tasks within the statement of task (Appendix A)2—specifically, Task 2, assessment of progress and metrics. The main text of the interim report, which substantially informed this final report, is reprinted in Appendix E.

As the United States faces grave financial challenges, the ability of a program like the NNI to become economically effective in facilitating the creation of technology, products, and jobs in almost all sectors of the economy is a bright beacon. As co-chairs we are honored to work on evaluating a program that has such potential to benefit science and society.

We thank the committee members for their exceptional efforts in preparing this report. In executing its charge, the committee met five times from January 11 to

 

1 The first review by the National Research Council was published as A Matter of Size: Triennial Review of the National Nanotechnology Initiative, The National Academies Press, Washington, D.C., 2006.

2 National Research Council, Interim Report for the Triennial Review of the National Nanotechnology Initiative, Phase II, The National Academies Press, Washington, D.C., 2012 (reprinted in Appendix E).

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Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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September 13, 2012. The committee also heard from a broad spectrum of speakers from government, industry, consultant organizations, nonprofit trade organizations, and academe. In particular, the committee thanks the following for their contributions to this study and for their participation in the committee’s meetings: Robert Celotta, Hongda Chen, Hilary Flynn, Lynn E. Foster, Chuck Geraci, Piotr Grodzinski, Barbara Herr Harthorn, Bruce Kisliuk, Harriet Kung, Julia Lane, Robert Langer, Matthew Laudon, Minh Le, Alex Liddle, Carlos Peña, Tom Picraux, Robert Pohanka, Mihail C. Roco, Jonathan M. Samet, Maxine Savitz, Brent Segal, Neal D. Shinn, Phillip Singerman, Lewis E. Sloter II, Jerry Thursby, Sally Tinkle, Michael S. Tomczyk, and Bob Welch. We also thank the following National Cancer Institute staff for their participation in a conference call: Dorothy Farrell, George Hinkal, Nora Miralieva, and Stephanie Morris.

We and the committee also thank the interim director of the National Materials and Manufacturing Board, Dennis Chamot, and the study director, Erik Svedberg, for their help and guidance in performing this triennial review. And we express special appreciation to staff members Laura Toth, Linda Williams, Ricky D. Washington, and Ann Larrow for assistance with meeting arrangements and all the daily tasks.

 

Carol A. Handwerker, Co-Chair
Michael N. Helmus, Co-Chair
Committee on Triennial Review of the National Nanotechnology Initiative: Phase II

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
×

Acknowledgment of Reviewers

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 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 thank the following for their review of the report:

 

Harold G. Craighead, NAE,1 Cornell University,

Mildred Dresselhaus, NAS2/NAE, Massachusetts Institute of Technology,

Michael Ettenberg, NAE, DOLCE Technologies,

Abbas Firoozabadi, NAE, Yale University,

Robert E. Fontana, Jr., NAE, IBM,

Kinam Kim, NAE, Samsung Advanced Institute of Technology,

Subhash Mahajan, NAE, University of California, Davis,

Edward Przybylowicz, NAE, Eastman Kodak Company (retired), and

Axel Scherer, California Institute of Technology.

 

1 NAE, National Academy of Engineering.

2 NAS, National Academy of Sciences.

Suggested Citation:"Front Matter." National Research Council. 2013. Triennial Review of the National Nanotechnology Initiative. Washington, DC: The National Academies Press. doi: 10.17226/18271.
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Although the reviewers 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 the report was overseen by Carl Lineberger, NAS, University of Colorado, Boulder, and Major General Richard Paul, U.S. Air Force, retired. Appointed by the National Research Council, they were 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 the report rests entirely with the authoring committee and the institution.

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The National Nanotechnology Initiative (NNI) is a multiagency, multidisciplinary federal initiative comprising a collection of research programs and other activities funded by the participating agencies and linked by the vision of "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." As first stated in the 2004 NNI strategic plan, the participating agencies intend to make progress in realizing that vision by working toward four goals. Planning, coordination, and management of the NNI are carried out by the interagency Nanoscale Science, Engineering, and Technology (NSET) Subcommittee of the National Science and Technology Council (NSTC) Committee on Technology (CoT) with support from the National Nanotechnology Coordination Office (NNCO).

Triennial Review of the National Nanotechnology Initiative is the latest National Research Council review of the NNI, an assessment called for by the 21st Century Nanotechnology Research and Development Act of 2003. The overall objective of the review is to make recommendations to the NSET Subcommittee and the NNCO that will improve the NNI's value for basic and applied research and for development of applications in nanotechnology that will provide economic, societal, and national security benefits to the United States. In its assessment, the committee found it important to understand in some detail—and to describe in its report—the NNI's structure and organization; how the NNI fits within the larger federal research enterprise, as well as how it can and should be organized for management purposes; and the initiative's various stakeholders and their roles with respect to research. Because technology transfer, one of the four NNI goals, is dependent on management and coordination, the committee chose to address the topic of technology transfer last, following its discussion of definitions of success and metrics for assessing progress toward achieving the four goals and management and coordination. Addressing its tasks in this order would, the committee hoped, better reflect the logic of its approach to review of the NNI. Triennial Review of the National Nanotechnology Initiative also provides concluding remarks in the last chapter.

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