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     About the National Science and Technology Council  The National Science and Technology Council (NSTC) was established by Executive Order on November 23, 1993. The

    Cabinet-level council is the principal means by which the President coordinates science,space, and technology

    policies across the Federal Government. NSTC coordinates the diverse parts of the Federal research and development

    enterprise. An important objective of the NSTC is the establishment of clear national goals for Federal science andtechnology investments in areas ranging from information technologies and health research to improving

    transportation systems and strengthening fundamental research. The Council prepares research and development

    strategies that are coordinated across Federal agencies to form a comprehensive investment package aimed at

    accomplishing multiple national goals. Please call the NSTC Executive Secretariat at 202-456-6101 to obtain

    additional information regarding the NSTC, or see http://www.ostp.gov/NSTC/html/NSTC_Home.html.

     About the Office of Science and Technology Policy  The Office of Science and Technology Policy (OSTP) was established by the National Science and Technology Policy,

    Organization, and Priorities Act of 1976. OSTP's responsibilities include advising the President in policy formulation

    and budget development on all questions in which Science and Technology (S&T) are important elements;

    articulating the President’s S&T policies and programs; and fostering strong partnerships among Federal, state and

    local governments, and the scientific communities in industry and academia. The Director of OSTP also serves as

    Assistant to the President for Science and Technology and manages the NSTC for the President. Please call

    202-456-7116 to obtain additional information regarding OSTP, or visit the OSTP web site at:http://www.ostp.gov/.

     About this document  This document is a strategic plan for the National Nanotechnology Initiative (NNI) describing the vision, goals, and

    strategies by which those goals are to be achieved. It represents the culmination of a series of activities designed to

    elicit community input from academia,industry,and government aimed at identifying cross-cutting themes and

    priority research opportunities for the NNI over the next five to ten years. The plan includes a description of the NNI

    investment strategy and the major categories of investment,or program component areas.

     About the cover Front cover: Photograph by Maximilian Franz courtesy of Reactive NanoTechnologies (RNT). Shown is an RNT

    NanoFoil TM containing thousands of alternating nanoscale layers of nickel and aluminum. With foils formed in thismanner,an electrical pulse applied to the foil will initiate a mixing reaction producing high temperatures. The

    photograph shows the reaction propagating across the foil at 5 meters per second. This nano-foil is being used as a

    unique, localized heat source that enables bonding of components made from a wide variety of materials while

    heating only the interface between the components. The majority of each component remains at or near room

    temperature.

    Cover and book designCover design by Nicolle Rager of Sayo-Art. Book design by Kathy Tresnak of Koncept, Inc.

    Copyright information This document is a work of the U.S. Government and is in the public domain. Subject to stipulations below,it may be

    distributed and copied,with acknowledgement to the National Nanotechnology Coordination Office (NNCO).

    Copyrights to graphics included in this document are reserved by original copyright holders or their assignees, and

    are used here under the Government’s license and by permission. Requests to use any images must be made to the

    provider identified in the image credits,or to the NNCO if no provider is identified.

    Printed in the United States of America. 2004.

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    National Nanotechnology Initiative

    Strategic Plan

    Developed by theNanoscale Science,Engineering, and Technology Subcommittee

    Committee on Technology

    National Science and Technology Council

    December 2004

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    NSET ChairMihail Roco

    NSET Executive SecretaryJames Murday

    National Nanotechnology Coordination Office DirectorClayton Teague

    Office of Science and Technology Policy (OSTP)Sharon Hays

    National Science and Technology Council (NSTC)Celia Merzbacher

    Report prepared by

    NATIONAL SCIENCE AND TECHNOLOGY COUNCIL

    COMMITTEE ON TECHNOLOGY (CT)

    SUBCOMMITTEE ON NANOSCALE SCIENCE,ENGINEERING, AND TECHNOLOGY (NSET)

    CT Co-Chairs: Richard Russell, Associate Director,Office of Science and Technology PolicyPhillip Bond, Undersecretary of Commerce for Technology

    Consumer Product Safety Commission (CPSC)Mary Ann Danello

     Treye Thomas

    Department of Agriculture (USDA)Hongda Chen

    Department of Commerce (DOC)John Sargent

    Department of Defense (DOD)William BerryJames MurdayGernot PomrenkeDavid Stepp

    Department of Energy (DOE)Kristin BennettAltaf Carim

    Patricia DehmerAravinda KiniJohn MillerBrian Valentine

    Department of Homeland Security (DHS)Richard LareauKeith Ward

    Department of Justice (DOJ)Stanley Erickson

    Department of State (DOS)George Atkinson

    Christopher RothfussDepartment of Transportation (DOT)

    Richard JohnAnnalynn LacombeRichard Livingston

    Department of the Treasury (DOTreas)James Carter

    Environmental Protection Agency (EPA)Barbara KarnStephen LingleNora SavagePhillip Sayre

    Food and Drug Administration (FDA)Norris AldersonStanley BrownDonald Marlowe

    Intelligence Technology Innovation Center (ITIC)Martin CarrSusan Durham

    International Trade Commission (ITC)Elizabeth Nesbitt

    National Aeronautics and Space Administration(NASA)

    Minoo DastoorMurray Hirschbein

    National Institutes of Health (NIH)Eleni Kousvelari

    Jeffery Schloss

    National Institute of Occupational Safety andHealth (NIOSH)

    Andrew MaynardVladimir Murashov

    National Institute of Standards and Technology(NIST)

    Alamgir KarimMichael Postek Robert Shull

    National Science Foundation (NSF)Maryanna Henkart

    Mihail RocoJames Rudd Thomas Weber

    Nuclear Regulatory Commission (NRC)Michelle Evans

    Office of Management and Budget (OMB)Irene Brahmakulam

    Patent and Trademark Office (PTO)Charles EloshwayBruce Kisliuk 

    Department and Agency Representatives

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    December 7, 2004

    Dear Colleague:

    Over the past two decades, the ability to measure and manipulate matter at the scale of atomsand molecules has led to the discovery of novel materials and phenomena. These advances

    underlie the multidisciplinary areas of research and development (R&D) known today as

    “nanotechnology.” Since its inception in Fiscal Year (FY) 2001, the National NanotechnologyInitiative (NNI) has sought to accelerate the responsible development and application of

    nanotechnology in order to create jobs and economic growth, to enhance national security, and

    to improve the quality of life for all citizens. Funding under the NNI has more than doubledsince FY 2001 to a request in FY 2005 of nearly one billion dollars Government-wide. R&D

    supported by the NNI could lead to cleaner and less wasteful methods of manufacture, stronger

    and lighter building materials, smaller yet faster computers, and more powerful ways to detectand treat disease.

    On December 3, 2003, the President signed into law the 21st Century Nanotechnology

    Research and Development Act (Public Law 108-153), thereby enacting many ongoingactivities of the NNI. In addition to outlining a diverse R&D program, the Act also calls for 

    the National Science and Technology Council (NSTC) to prepare a strategic plan for the

    Federal nanotechnology R&D program. This report, prepared by the Nanoscale Science,Engineering, and Technology Subcommittee of the NSTC, updates the original NNI strategic

     plan for the next 5 to 10 years.

    The plan specifies goals that embody the importance not only of sustaining a world-class R&D

     program in nanotechnology, but also of advanced infrastructure and interdisciplinary

    education. The plan also addresses the societal dimensions related to the development of new

    technologies, including the potential implications for health and the environment, and theimportance of dialogue with the public. Finally, the plan anticipates that Federal and private

    sector investment in R&D, education, and infrastructure will continue to lead to innovations

    that will enable new or improved products and services, and it identifies strategies to facilitatethe commercialization and public utilization of those innovations.

    In its first five years, the NNI, through the participating agencies, has advanced our knowledgeof matter at the nanoscale and has made progress toward establishing the infrastructure needed

    to allow further scientific and technological breakthroughs. By implementing the plan

    described in this report over the next five years and beyond, the NNI will ensure that theUnited States remains a world leader in nanotechnology R&D and will facilitate the transition

    of results to strengthen the U.S. economy and to address national needs.

    Sincerely,

    John H. Marburger, IIIDirector 

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     T A B L E O F C O N T E N T S

    Executive Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i

    Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

    Vision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

    Goals and Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

    Program Component Areas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

    Cross-Cutting Areas of Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

    Management Structure and Responsibilities . . . . . . . . . . . . . . . . . . . . . . 23

    Appendix A: Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

    Appendix B: Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29

    Appendix C: List of NNI-Sponsored Workshops . . . . . . . . . . . . . . . . . . . 30

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    iNational Nanotechnology Initiative — Strategic Plan (December 2004)

     The vision of the National NanotechnologyInitiative (NNI) is a future in which the ability tounderstand and control matter on the nanoscale

    leads to a revolution in technology and industry.

     Toward this vision, the NNI will expedite the discovery,development, and deployment of nanotechnology inorder to achieve responsible and sustainableeconomic benefits,to enhance the quality of life, andto promote national security. The initiative is a multi-agency, multidisciplinary program that supportsresearch and development (R&D);develops

    infrastructure; and promotes education,knowledgediffusion, and commercialization in nanotechnology.Concurrent with development of new technologyoptions, the NNI is addressing nanotechnology’svarious societal dimensions.

    With the goal of achieving the above vision, theNational Nanotechnology Initiative was launched inFiscal Year (FY) 2001. Since that time, the annualFederal investment in nanotechnology R&D has morethan doubled to almost $1 billion, the number of Federal agencies investing in nanotechnology R&D hasgrown from 6 to 11,and the total number of 

    participating agencies has grown from 6 to 22.Participating agencies are those for whichnanotechnology is relevant to the agency mission,including both those with and withoutnanotechnology R&D funding. Interagencycoordination is managed through the NanoscaleScience, Engineering, and Technology (NSET)Subcommittee of the National Science and TechnologyCouncil (NSTC) Committee on Technology.

     The strategy for the initiative that was laid out in 2001has been, by all measures,a success. Nanotechnology

    R&D has led to substantial increases in scientificknowledge,publications, patents, and new jobs andbusinesses in this area. Much of this success is directlyor indirectly based on the results of Federally fundedR&D, and the NNI has become the model for similarprograms around the world.

    As the NNI has taken root and grown,the NSETSubcommittee has recognized the need to assess theinitiative and to update its strategic plan by looking5 to 10 years ahead. This report represents theculmination of a series of activities aimed at doing so.Specifically, over the past three years,the NNIsponsored 17 topical workshops focused on areas of nanotechnology applications, societal implications,and regional, state, and local initiatives. In September2004, the overarching NNI Research Directions IIWorkshop brought together experts from academia,industry, and government to synthesize the output of 

    the topical workshops and to identify cross-cuttingthemes and priority research opportunities. Takinginto consideration the results of the variousworkshops, as well as the ongoing agency missionsand needs for which nanotechnology will offersolutions, the NSET Subcommittee developed the NNIstrategic plan that is described in this report.

     This plan describes the goals of the NNI as well as thestrategy by which those goals are to be achieved. Thegoals are as follows:

    ■ Maintain a world-class research and development

    program aimed at realizing the full potential of nanotechnology

    ■ Facilitate transfer of new technologies into productsfor economic growth, jobs, and other public benefit

    ■ Develop educational resources,a skilled workforce,and the supporting infrastructure and tools toadvance nanotechnology

    ■ Support responsible development of nanotechnology

    Ongoing activities as well as specific new activitiesaimed at achieving each goal are identified. As new

    materials and devices are created and novelapplications developed, the NNI plans to targetinvestments toward opportunities identified by thecommunity via NNI-sponsored workshops, put greateremphasis on technology transfer and liaison withindustry groups, and complete and operate userfacilities.

    E X E C U T I V E S U M M A R Y

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    ii National Nanotechnology Initiative — Strategic Plan (December 2004)

    At the same time as useful applications are beingdeveloped,the NNI recognizes the importance of, andplans to address, societal dimensions of nanotechnology. The areas of society that may beaffected by nanotechnology include economic,

    education,workforce, ethical, and legal aspects. Inaddition, the NNI supports research aimed atunderstanding the benefits and risks to human healthand the environment, and methods fornanotechnology risk assessment and management.

     The plan also includes a description of the investmentstrategy, including the major subject categories of investment, or program component areas (PCAs).Whereas the NNI goals embody the vision of theinitiative and provide structure for its strategy andplans, the PCAs relate to areas of investment that arecritical to accomplishing those goals. These areas cutacross the interests and needs of the participatingagencies, and advancement may be expedited bygrouping together work in a particular PCA that istaking place within multiple agencies. The programcomponent areas are as follows:

    ■ Fundamental nanoscale phenomena and processes■ Nanomaterials■ Nanoscale devices and systems■ Instrumentation research, metrology, and standards

    for nanotechnology■ Nanomanufacturing

    ■ Major research facilities and instrumentationacquisition

    ■ Societal dimensions

    Each PCA may include research that ranges from basicto applied,as well as development of applications

    based on nanotechnology.

     The original implementation plan for the NNIidentified nine “grand challenge”areas, correspondingto a variety of application areas in whichnanotechnology is expected to have a significantimpact. The plan described herein is organizedsomewhat differently, focusing on the overarchinggoals and the investment areas (PCAs), which underlievirtually all the former grand challenge areas. R&Dthat focuses on practical applications, such as energy,homeland security, healthcare, food and agriculture,

    and the environment,may cut across multiple PCAs. This plan also identifies agency participation inprogram component areas and in a number of application areas.

     The NNI will provide a balanced and coordinatedinvestment in the program component areas and in abroad spectrum of applications. This will ensure thatthe United States remains a global leader in theresponsible development of nanotechnology andsecures the resulting benefits to the economy, tonational security,and to the quality of life of all

    citizens.

    Executive Summary

    ■ ■ ■

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    iiiNational Nanotechnology Initiative — Strategic Plan (December 2004)

    Achieving the benefits promised by nanotechnologywill depend on advanced research in fields rangingfrom chemistry and engineering to biology andmaterials science; development and support of thenecessary infrastructure, including user facilities andinstrumentation; and education and training of askilled workforce and an informed public.

    What is Nanotechnology?

    Nanotechnology is the understanding and controlof matter at dimensions of roughly 1 to 100nanometers, where unique phenomena enablenovel applications. A nanometer is one-billionthof a meter; a sheet of paper is about 100,000nanometers thick. Encompassing nanoscalescience, engineering,and technology,nanotechnology involves imaging,measuring,

    modeling,and manipulating matter at this lengthscale.

    At this level, the physical, chemical, and biologicalproperties of materials differ in fundamental andvaluable ways from the properties of individualatoms and molecules or bulk matter.Nanotechnology R&D is directed towardunderstanding and creating improved materials,devices, and systems that exploit these newproperties.

    P R E F A C E

     The ability to image,measure,model,andmanipulate matter on the nanoscale is leadingto new technologies that will impact virtually

    every sector of our economy and our daily lives.Nanoscale science and technology has the potential,for example,to increase the efficiency of lighting,enhance the performance of electronic devices,decrease waste and pollution during manufacturing,detect and treat disease at the earliest stages, andprovide more cost-effective solar energy conversion.At the same time,care must be taken to develop newtechnologies for widespread use in a responsible

    manner.

     The National Nanotechnology Initiative wasestablished in Fiscal Year 2001 to coordinate theresearch and development of nanoscale science,engineering,and technology — or nanotechnology —across the Federal Government. In the first year of theNNI, six agencies were investing in nanotechnologyR&D and the total Federal investment was $464million. For FY 2005,the estimated funding totalsnearly $1 billion for research across 11 agencies. Theorganization and strategy laid out in FY 2001 haseffectively shaped and guided the initiative over itsfirst four years.

    Since FY 2001,research under the NNI has continuedto expand understanding, knowledge,and the abilityto control matter at the nanoscale. In 2002,theNational Academies published a review of the NNIentitled, Small Wonders, Endless Frontiers,which washighly supportive of the NNI and its coordination bythe NSET Subcommittee. Today, commercialization of the results of NNI research has begun. For example,researchers have developed methods for nanoscaleimprinting, which can be used in the fabrication of electronic circuits and fluidic and optical devices.

    Progress also is being made in the ability to usebiological organisms to assemble inorganic materialsat the nanoscale. Such bottom-up methods of processing may someday be cheaper and less wastefulthan current manufacturing methods. Otheradvances are described in the reports listed inAppendices B and C and on the NNI website atwww.nano.gov.

    Following the NNI’s early success, virtually every othercountry with an organized science and technologyprogram has increased investments innanotechnology R&D. A number of estimates indicatethat today the total outlay by governments worldwideis several times that of the United States, leading togreater opportunities for international collaboration.Global investment in nanotechnology will promoteglobal benefits.

     The NNI has led not only to investment by othercountries,but also by U.S. regional,state, and local

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    iv National Nanotechnology Initiative — Strategic Plan (December 2004)

    authorities that are seeking to gain the economicbenefits of nanotechnology research and itscommercialization. As estimated at a recent NNIworkshop,the identified combined investment byregional, state, and local entities is about 20% that of 

    the Federal Government. Contributions to these stateand local entities from additional sources such asprivate foundations are substantial and are notincluded in this estimate.

     The private sector also is investing in nanotechnologyR&D at a level comparable to or greater than theFederal R&D investment. Large companies inindustries ranging from aerospace and automotive tochemicals and semiconductors are moving toincorporate nanotechnology into their products andprocesses. The venture capital community is makingsignificant investments in nanotechnology-basedstart-ups, leading to a growing number of “pure play”nanotechnology businesses,many of which aredeveloping entirely new products and approaches, forexample, in medical imaging and therapeutics.

     The importance of a coordinated Federal program fornanotechnology R&D was given even greaterrecognition with the enactment of the 21st CenturyNanotechnology Research and Development Act(Public Law 108-153, hereafter referred to as “the Act”). The Act calls for the implementation by the Presidentof a National Nanotechnology Program. Many of the

    activities of the program outlined in the Act werealready in progress as part of the NNI. Moreover, theongoing management of the initiative involvesconsiderable input from Federal agencies that are notnamed specifically in the Act. For example, in additionto the agencies authorized through the Act, the

    responsibility of the Department of Defense to carryout nanotechnology R&D coordinated with the NNIwas specifically addressed in the 2003 DefenseAuthorization Act (Public Law 107-314,Section 246).For continuity, and to capture this broader

    participation, the coordinated Federal activities as awhole will continue to be referred to as the NationalNanotechnology Initiative.

     This report presents the strategic plan called for by theAct. In developing this plan,the NSET Subcommitteesought extensive advice and input from the academic,industrial, and government research communities andtook into consideration the recommendations of the2002 National Academies report. This plan representsthe consensus of the participating agencies as to thegoals and priorities of the NNI. The plan provides aframework (1) within which each agency will carry outits own mission-related nanotechnology programs,and (2) for coordination of interagency activities. Inaddition to specifying high-level goals,the planidentifies current and planned activities aimed ataccomplishing those goals. The plan also identifiesmajor subject areas — the program component areascalled for by the Act — that group related projects,and in which investments are needed to ensure thesuccess of the initiative. Finally, the plan details anumber of application areas that cut across theprogram component areas and that align with the

    competencies and missions of participating agencies. The plan will facilitate achievement of the NNI visionby offering guidance for agencies,program managers,the research community,and industry in theirnanotechnology R&D investments and activities.

    Preface

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    vNational Nanotechnology Initiative — Strategic Plan (December 2004)

    NNI Participating Departments and Agencies, 2004 and 2005

    Federal agencies and departments with R&D budgets dedicated to nanotechnology researchand development

    Department of Agriculture (USDA)Department of Defense (DOD)Department of Energy (DOE)Department of Homeland Security (DHS)Department of Justice (DOJ)Environmental Protection Agency (EPA)National Aeronautics and Space Administration (NASA)National Institute of Standards and Technology (NIST, Department of Commerce)National Institute of Occupational Safety and Health (NIOSH,Department of

    Health and Human Services)National Institutes of Health (NIH,Department of Health and Human Services)

    National Science Foundation (NSF)

    Other participating agencies and departments

    Bureau of Industry and Security (BIS, Department of Commerce)Consumer Product Safety Commission (CPSC)Department of State (DOS)Department of Transportation (DOT)Department of the Treasury (DOTreas)Food and Drug Administration (FDA,Department of Health and Human Services)International Trade Commission (ITC)Intelligence Technology Innovation Center,representing the Intelligence Community (IC)Nuclear Regulatory Commission (NRC) Technology Administration (TA, Department of Commerce)U.S. Patent and Trademark Office (USPTO, Department of Commerce)

    Preface

    ■ ■ ■

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    vi National Nanotechnology Initiative — Strategic Plan (December 2004)

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    1National Nanotechnology Initiative — Strategic Plan (December 2004)

     The vision of the National NanotechnologyInitiative is a future in which the ability tounderstand and control matter on the nanoscale

    leads to a revolution in technology and industry.

     Toward this vision, the NNI will expedite the discovery,development, and deployment of nanotechnology inorder to achieve responsible and sustainable

    economic benefit,to enhance the quality of life, and topromote national security. In the process, the NNI willsupport the missions of the participating agencies, willensure continuing leadership by the United States innanoscale science, engineering, and technology, andwill contribute to the nation’s economiccompetitiveness.

    V I S I O N

     The four goals of the National NanotechnologyInitiative are as follows:

    ■ Maintain a world-class research and development

    program aimed at realizing the full potential of nanotechnology

    ■ Facilitate transfer of new technologies into productsfor economic growth, jobs, and other public benefit

    ■ Develop educational resources, a skilled workforce,and the supporting infrastructure and tools toadvance nanotechnology

    ■ Support responsible development of nanotechnology

     The remainder of this section presents expandeddescriptions of each of the goals, including current

    efforts and new strategies for continued progress andsuccess of the NNI. The included sidebars areexamples of progress towards these goals oraccomplishments to date.

    GOAL 1: MAINTAIN A WORLD-CLASSRESEARCH AND DEVELOPMENT PROGRAMAIMED AT REALIZING THE FULL POTENTIAL OFNANOTECHNOLOGY

    Federal R&D programs advance the boundaries of knowledge and develop technologies that addressgovernment and national needs. To accomplish thevision of the National Nanotechnology Initiative, acoordinated Federal investment is required at thefrontiers and intersections of many disciplines,including biology, chemistry,engineering, materials,and physics. Activities aimed at making progresstoward this goal include support for basic orknowledge-inspired research, application or use-inspired research,and technology development.

    Application areas of interest to both Government andindustry include energy, environment,health,medicine, information technology,defense,transportation, and agriculture and food systems. NNIactivities have produced significant progress in all of these and other areas,and are progressing fromfundamental discovery to technological applicationsand commercialization.

    G O A L S A N D P L A N S

    ■ ■ ■

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    2 National Nanotechnology Initiative — Strategic Plan (December 2004)

    Current Activities

     The NNI funds a wide range of R&D within and acrossscientific and engineering disciplines in order toadvance discovery and innovation in nanotechnology.Universities and other research institutions perform

    approximately two-thirds of the NNI R&D under grants,cooperative agreements, and contracts from NNIfunding agencies. Roughly one quarter of NNI R&D isperformed at government-owned laboratories. Theremainder (about one-tenth) funds nanotechnologyR&D at small businesses and other private sectorentities.

    R&D activities can be described as falling into thefollowing three categories:

    ■ Single investigators

    Research directed by single investigators is a keycomponent of the NNI R&D portfolio, and isconsidered critical to the continuing genesis anddevelopment of innovative concepts that will leadto breakthroughs in nanotechnology. Funding of individual investigators allows the NNI to support abroad range of ideas, as well as more “high risk”proposals that, if successful, may lead to majoradvances.

    ■ Multi-investigator/team efforts

    Research at the intersection of traditional disciplines

    is a requirement for rapid progress in bothunderstanding nanoscale phenomena anddeveloping nanotechnology applications.Consequently,funding of multidisciplinary teamsthat bring a range of expertise to bear on aparticular research topic or technology problem is ahallmark of the NNI. Participating agencies employa variety of mechanisms for this type of investment;for example,NSF currently dedicates at least 20% of 

    its NNI investment to programs such as theNanoscale Interdisciplinary Research Teams.

    ■ Centers

    For many of the same reasons, the NNI has invested

    substantial resources in establishing largemultidisciplinary research centers (typically costingmore than $2 million per year over 5 to 10 years).NSF has established 17 such research and educationcenters, DOD has established three research centers,and NASA has established four. Compared to themulti-investigator research teams, these centershave a broader scope and bring together a largergroup of researchers with greater breadth of expertise. Some centers have leveraged the NNIinvestment to obtain additional laboratories,instrumentation, and equipment, providing even

    more extensive opportunities and support fornanotechnology R&D.

    Multi-investigator research teams and centers fosterthe development of scientists who have anunderstanding and appreciation of manyconverging disciplines. Such individuals are neededto fully exploit the opportunities and benefitsoffered by novel phenomena and processes at thenanoscale. In part due to investments in the teamsand centers described above, both senior NNI-funded researchers and more junior scientists are

    developing an interdisciplinary culture that wasuncommon in the R&D community of a decade ortwo ago.

     The NNI also stimulates interaction amongstakeholders in the nanotechnology researchcommunity through various means, including settingof joint research directions, collaborative activities,multi-agency program funding, and granteesworkshops. The NNI encourages R&D in partnershipwith industry and with the international researchcommunity.

    Goals and Plans

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    3National Nanotechnology Initiative — Strategic Plan (December 2004)

    Goals and Plans

    Medical Researchers Target New Cancer Treatments

    Despite great progress in the fight against cancer, one American dies from the disease every minute,andone out of every two men and one out of every three women in their lifetime will be told they have

    cancer. Nanotechnology could provide new treatments for many cancers with minimal side effects. Onepromising approach is the targeted destruction of malignant cells using localized heating. This procedurecould be relatively simple to perform, minimally invasive,and useful in vital regions where surgical removalis out of the question. Previous approaches for using localized heating (including focused ultrasoundenergy, microwaves,and laser light) do not adequately discriminate between tumors and surroundinghealthy tissue. Nanostructures that can seek out cancerous cells and then act as localized heat sourcesmay prove to be key to practical thermal cancer therapies.

    Researchers at Rice University, with funding from NSF and DOD,have carried out experiments in whichthey treat mice,in which cancer had been induced,with nanoparticle-enabled thermal therapy. Goldnanoshells of about 150 nanometers in diameter were injected into the bloodstream of these mice. Thissize nanoshell penetrates tumors but not healthy tissue. The nanoshells are also specifically designed toabsorb infrared light that passes harmlessly through body tissue. The nanoshells heat up when they

    absorb the infrared light,thereby killing the nearby cancer cells.Ninety days after mice with cancer were treated with this photothermal therapy, they appeared healthyand tumor-free,whereas untreated mice had to be euthanized after an average of 12 days due toextensive tumor growth. These researchers are now planning laboratory trials with larger mammals asthe next step toward future clinical trials.

    Courtesy Jennifer West,Rice Univ., National Cancer Institute,and NNCO staff 

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    5National Nanotechnology Initiative — Strategic Plan (December 2004)

    Goals and Plans

    GOAL 2: FACILITATE TRANSFER OF NEWTECHNOLOGIES INTO PRODUCTS FORECONOMIC GROWTH, JOBS, AND OTHERPUBLIC BENEFIT

    In order to achieve the full benefit of the results of 

    NNI-funded R&D,it is important to transition ideas intoproducts. Technology transfer can occur via variouspathways, including hiring of recent graduates andlicensing of intellectual property resulting fromFederally funded research. A primary aspect of alltechnology transfer is interaction among those who

    are performing R&D and those who manufacture andsell goods and services. The NNI plans to further itsuse of multiple avenues, including policy approaches,to facilitate successful nanotechnologycommercialization.

    Current Activities

     The NNI is using a range of approaches to support thetransfer of nanotechnology discoveries from thelaboratory to commercial use and public benefit. These approaches include the following:

    Courtesy Reactive NanoTechnologies

    NNI Facilitates Technology Transfer and Commercialization

    Forming strong and thermally conductive bonds between different materials and components is a trickyprocess,but one of great commercial importance. For example,electronics manufacturers need to attach

    aluminum or copper cooling fins to high-performance microprocessor chips to conduct heat away from thechips and keep them from overheating. To enable the best heat removal and thereby the best chipperformance, manufacturers would like to attach the cooling fins with conductive metallic solders.However, standard soldering processes heat up the entire chip and fin assembly and the associated hightemperatures can damage the chip. Consequently, most cooling fins are attached to chip packages withadhesives or greases, but these materials do not conduct heat as well as metallic solders. Their limitedability to transmit heat to the cooling fins constrains the performance of the newest high-speed,high-density chips.

    Now nanotechnology researchers have developed nanostructured foils that heat only the immediatesurfaces of the components to be bonded, thereby avoiding thermal damage. The foils consist of thousands of alternating 10- to 20-nanometer thick layers of nickel and aluminum. The foils won’t self-ignite, but when activated by an electrical pulse or laser,the nickel and aluminum react to form an alloy.

     This releases considerable heat in a carefully confined region. The inventors have subsequently formed acompany, Reactive NanoTechnologies, which is commercializing the bonding foils. A broad array of customers, from computer chip and circuit board makers to aerospace manufacturers, are enthusiasticabout this new bonding method.

     The Reactive NanoTechnologies story shows howentrepreneurs can transfer technologydeveloped through Federally funded research tothe private sector. The underlying research wascarried out at Lawrence Livermore NationalLaboratory and Johns Hopkins University,withsupport from several agencies participating inthe NNI. Reactive NanoTechnologies was formed

    in 2001 to commercialize the resulting NanoFoil™

    technology. To help bring its products to market,the company has secured venture capital funds,Phase I and II SBIR awards from the NationalScience Foundation and the Army ResearchLaboratory,and a NIST Advanced TechnologyProgram award.

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    6 National Nanotechnology Initiative — Strategic Plan (December 2004)

    ■ Establish NSET industry liaison groups with variouscommercial sectors to promote exchange of information on NNI research programs and industryneeds that relate to nanotechnology. Such activitiesare underway with the semiconductor/electronics

    and the chemical industries and are in developmentwith the pharmaceutical and automotive industries.

    ■ Support meetings at which researchers fromacademia, government, and industry exchangeinformation on results and possible applications.

    ■ Foster interaction among industry, academic, andgovernment researchers through the establishmentor support of user facilities that are available toresearchers from all sectors. Examples include theexisting NSF-funded National NanofabricationInfrastructure Network (NNIN) and a suite of

    DOE-funded Nanoscale Science Research Centers(NSRCs), each with a specific focus,to be collocatedat DOE laboratories across the country.

    ■ Require that all NSF-funded Nanoscale Science andEngineering Centers (NSECs) include industrypartners. Such associations allow industry tocommunicate its needs at an early stage andenhance the likelihood that new ideas willultimately be developed and commercialized.

    ■ Utilize the agency-run Small Business InnovationResearch (SBIR) and Small Business Technology

     Transfer (STTR) programs to support early-stagenanotechnology-based solutions.

    ■ Participate in standards development activities,including the American National Standards Institute(ANSI) Nanotechnology Standards Panel (NSP)established in September 2004. The presentDirector of the National NanotechnologyCoordination Office (NNCO) is the Governmentco-chair of the NSP. Areas of interest forstandardization in nanotechnology include,forexample, nomenclature and terminology, materials,

    metrology, and testing procedures.

    Plans

     To facilitate the transfer of NNI-developednanotechnology for economic and public benefit,theNNI plans to continue and, where appropriate, expandthe activities and approaches described above.

    Further strategies in support of this goal include thefollowing:

    Industrial Outreach

    ■ Encourage use of NNI-supported user facilities by

    businesses that do not otherwise have access to theadvanced instrumentation and expertise residenttherein. Emphasize that businesses may protectproprietary information that is created through useof such facilities if they reimburse the associatedcosts.

    ■ Expand NSET’s industry liaison activities to sectorsbeyond those already engaged. Such activitiesestablish channels for exchange of information andcan lead to other partnerships between Federalagencies and industry representatives.

    ■ Continue to fund multidisciplinary research teamsthat include industry and university researchersthrough programs such as NSF’s GrantOpportunities for Academic Liaison with Industry(GOALI), Nanoscale Science and Engineering Centers(NSECs), Partnerships for Innovation (PFI), andIndustry/University Cooperative Research Centers(I/UCRC); NASA’s University Research, Engineeringand Technology Institutes (URETI); and the DODUniversity Affiliated Research Centers (UARCs).

    ■ Encourage exchange of researchers betweenuniversities and industry to allow universitypersonnel to spend time in industry labs and viceversa.

    ■ Promote greater utilization of the agency-run SBIRand STTR programs to facilitate commercializationof nanotechnology by the following means:

    - Encourage agencies participating in the NNI tohave components of their SBIR and STTR programsfocused on nanotechnology topics, and inparticular on nanomanufacturing. Such efforts areconsistent with Executive Order 13329, in which

    the President gives high priority to manufacturing-related R&D within the SBIR and STTR programs.

    - Facilitate use of NNI-supported user facilities bysmall businesses that seek and receive SBIR andSTTR grants and contracts.

    Goals and Plans

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    Manufacturing Research

    ■ Establish one or more centers focused onnanomanufacturing research, as called for in the Act.Where appropriate,do so via collaborative effortsamong existing Federal agencies, programs,and

    offices with interests in manufacturing, e.g.,DOD(including the ManTech program), NSF, and NIST.

    ■ Support R&D focused on pre-competitivenanomanufacturing issues, including scale-up,reproducibility,and control of manufacturingprocesses.

    ■ Coordinate with the NSTC ManufacturingInteragency Working Group (IWG),which hasidentified nanomanufacturing as a focus area forFederal manufacturing R&D activities.

     Additional Activities■ Engage with regional, state, and local

    nanotechnology initiatives to facilitate economicdevelopment and exchange of information,throughmechanisms such as workshops and electronicmeans.

    ■ Consider new mechanisms to encouragetechnology transfer via licensing of intellectualproperty generated by NNI-funded research. Suchmechanisms include forming of consortia amonguniversities and other research institutions for

    purposes of pooling intellectual property and/orcreating simplified or uniform technology transferprocedures.

    ■ Support the U.S. Patent and Trademark Office’sefforts to provide adequate protection to inventorsand to encourage new technology developmentand commercialization of nanotechnology,including efforts to establish a nanotechnologyclassification hierarchy identifying patents directedto nanotechnology inventions.

    ■ Provide and coordinate input to the Departments of 

    Commerce, State, Defense,and Homeland Securitywith respect to the relationship betweennanotechnology and policies on export/importrestrictions, militarily critical technologies, and visacontrols.

    ■ Engage in international collaborations,workshops,conferences,and other activities in order to leveragethe advances made worldwide for mutual economicand public benefit.

    GOAL 3: DEVELOP EDUCATIONAL RESOURCES,A SKILLED WORKFORCE, AND THESUPPORTING INFRASTRUCTURE AND TOOLSTO ADVANCE NANOTECHNOLOGY

    A well-educated citizenry, a skilled workforce,and asupporting infrastructure of instrumentation,equipment, and facilities are essential foundations of the initiative. Nanoscale science,engineering, andtechnology education can help to (1) produce the nextgeneration of researchers and innovators, (2) providethe workforce of the future with the math and scienceeducation and technological skills they will need tosucceed,and (3) educate a citizenry capable of makingwell-informed decisions in an increasingly technology-driven society. The NNI utilizes a variety of approaches to address this need for nanotechnology-related education at all levels and for all ages.

    Equally important to the goal of supporting publiceducation and the human resource infrastructure isthat of supporting the necessary physicalinfrastructure. The Federal Government maintains ahost of user facilities outside the NNI that nevertheless

    support nanoscale R&D. Examples include the highintensity X-ray and neutron facilities run by DOE, NSF,and NIST. A role of the NNI is to develop additionalinfrastructure specifically addressing the needs of thenanotechnology research community. The cost of such facilities is out of reach for many businesses andacademic institutions, but Federal funding can makethese state-of-the-art research capabilities accessibleto researchers based on merit review.

    Current Activities

    Education

    Since FY 2001,the NNI has built a substantialeducation program focused on nanoscience andnanotechnology for K-12, university,and vocationalstudents,and for the public. In addition,the NNI isestablishing a geographically distributed physicalinfrastructure that provides access to state-of-the-artfacilities and expertise for researchers from academia,

    Goals and Plans

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    8 National Nanotechnology Initiative — Strategic Plan (December 2004)

    industry,and government. Ongoing efforts in boththe education and infrastructure areas include thefollowing:

    ■ Provide hands-on training of undergraduates,graduate students,and postdoctoral researchers at

    universities, Federal laboratories, and other researchinstitutions through the broad research programdescribed under Goal 1.

    ■ Via participating agencies, award funding directly tostudents for fellowships and traineeships that giverecipients flexibility in choosing areas of research,especially those that cross multiple disciplines.

    ■ Support development of educational programsaimed at training technicians to meet the growingdemand from industry as nanotechnologyapplications move into more products and services.Such programs are implemented at communitycolleges and other institutions that emphasizedevelopment of job-related skills and knowledge.

    ■ Bring nanoscience concepts into education forstudents at all ages. Existing programs include:

    - NSF’s Research Experience for Teachers andResearch Experience for Undergraduates,reachingthousands of students and educators annually

    - NSF’s Nanoscale Science and EngineeringEducation, including Nanotechnology

    Undergraduate Education grants supportingcourse development

    - Educational activities occurring through DOElaboratories,such as the “Nano*High”effort at theLawrence Berkeley National Laboratory inCalifornia — a series of free Saturday morninglectures for high school students of all interestsand teachers of all subjects

    ■ Support development of science center andmuseum exhibits,video productions,and otherapproaches to learning outside of formal

    educational institutions.

    Infrastructure

    ■ Establish and maintain geographically distributeduser facilities to provide all researchers access toadvanced instrumentation for fabrication,characterization,modeling,and simulation of nanoscale and nanostructured materials, devices,

    and systems. At present,the NNI supports thefollowing such facilities:

    - Five Nanoscale Science Research Centers (NSRCs)that are under development and will be collocatedwith existing major facilities at DOE laboratories

    across the country. Upon completion,the NSRCswill be operated as user facilities that are availableto all researchers on a merit-reviewed basis.

    - The National Nanotechnology InfrastructureNetwork (NNIN) comprising facilities at 13 partneruniversities aimed at providing fabrication andcharacterization facilities, instrumentation,andexpertise.

    - The Network for Computational Nanotechnology(NCN) consisting of seven universities thattogether support computational research, as wellas education and modeling and simulation toolsthat can be accessed via the web.

    ■ Support additional infrastructure within the Federallaboratory enterprise dedicated to nanotechnologyR&D, including the nanoscience facility at the NavalResearch Laboratory and portions of the AdvancedMeasurement Laboratory at NIST.

    Plans

    Education

     The NNI will continue ongoing activities that fostermultidisciplinary education, teacher training,anddevelopment of curricula and instructional materials. The NNI also will explore additional mechanisms tofacilitate training in advanced nanotechnology R&Dand to support nanotechnology industry needs.Components of this effort include the following:

    ■  Taking advantage of existing programs andexploring new partnerships to bring more studentsand teachers into research laboratories. Bringingtogether nanotechnology researchers with

    education researchers and teachers will providemutual benefits by strengthening educationalprograms and providing fresh research perspectives.

    ■  The nation’s first Center for Learning and Teaching inNanoscale Science and Engineering (NCLT) will becreated with a recent five-year, $15 million grantfrom NSF. The center will develop scientist-educators at the middle-school,high-school,and

    Goals and Plans

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    undergraduate levels who can introducenanoscience and nanoengineering concepts intoschools and undergraduate classrooms. It will alsoserve as a national clearinghouse for curricularmaterials, instructional methods, and activities innanotechnology education.

    ■ Promoting partnerships between industry,education and training providers, and the Federally

    funded workforce system to ensure thatnanotechnology firms have access to the highlyskilled workers they need,and that workers haveaccess to training programs that prepare them forcareers in industry. The President's Jobs for the 21stCentury initiative will ensure that local industrycollaborates with local community colleges to meetthese needs.

    Goals and Plans

    NNI Develops Research Centers and Infrastructure

     The NNI already has developed a substantial network of research centers, user facilities, and relatedinfrastructure throughout the United States. Since the NNI’s inception in 2001,NSF, DOD, and NASA haveestablished 24 research centers. Five DOE user facilities are under construction, with interim operationalcapability online already at some of these facilities. NSF has established a 13-university network of userfacilities, the National Nanotechnology Infrastructure Network (NNIN), as well as the 7-universityNanotechnology Computational Network (NCN). In 2004, the total number of users of both the NCN andNNIN facilities and expertise exceeded 6300. The NNI centers, user facilities,and infrastructure support allof the NNI goals outlined in this strategic plan.

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    Infrastructure

    Construction of some of the major user facilitiesmentioned above is ongoing and will continuethrough at least 2008. Operations of these facilities forthe benefit of the nanotechnology community and

    continued development of infrastructure capabilitiesare key components of NNI plans.

    ■ Develop specific programs to ensure ongoingsupport for existing infrastructure and centers. Thiseffort will involve funding for (a) recapitalization of existing facilities and equipment, (b) scientific andtechnical staff expertise for their support, and(c) other operational costs.

    ■ Maximize awareness and utilization of infrastructureresources. The NNI will initiate the compilation of 

    data on U.S. Government-supported user facilitiesand instrumentation and make that informationreadily accessible to the nanotechnology researchcommunity at the NNI website, www.nano.gov. Thisdata will be valuable in setting detailed strategiesfor further investment.

    ■ Create an infrastructure that facilitates use of instrumentation and equipment from distantlocations. The first steps of true tele-operation arealready taking place as the most advancedinstrumentation for imaging,characterization, and

    fabrication at the nanoscale increasingly requiresthat operators be remote from the equipment itself in order to minimize interference to the instrumentsdue to presence of human operators, e.g., fromthermal coupling, acoustic and/or vibrationtransmission, and bacterial or dust contamination.

    ■ Leverage Federal support of large R&D facilities andprojects by partnering with industry, states, privatefoundations,and international entities.

    ■ Establish a facility specifically aimed at providingsupport for the use of nanotechnology for

    prevention, diagnosis,and treatment of cancer. Thisactivity is getting underway through the NIHNational Cancer Institute’s formation of theNanotechnology Characterization Laboratory (NCL). The NCL will help cancer researchers from academia,industry, and government accelerate regulatoryreview of nanomaterials or devices and translate

    Goals and Plans

    these devices from research labs into the clinicalrealm.

    GOAL 4: SUPPORT RESPONSIBLEDEVELOPMENT OF NANOTECHNOLOGY

    Responsible development of nanotechnology meansthat the Federal Government not only supports theefforts described in NNI Goals 1 through 3 above, butat the same time addresses the various societaldimensions of the new technologies. Societaldimensions include a diverse range of subjects, such asaccess to benefits arising from nanotechnology,effectson the labor pool,changes in the way medicine ispracticed, the impact of manufacturing locally at thepoint of need,concerns regarding possible health orenvironmental effects, and privacy concerns arisingfrom distributed nanotechnology-based sensors.Responsible development of nanotechnology alsomeans that the Federal Government establisheschannels of communication,providing information toand seeking input from the public regarding theFederal nanotechnology program. Suchcommunication allows the public and the Governmentto make well-informed decisions and builds trustamong all stakeholders. Perceptions and acceptanceof new technology are critical in the realization of economic and other societal benefits. Responsibledevelopment of nanotechnology further involves

    working with the international scientific communityon areas of nanotechnology research and its societaldimensions that are of mutual interest.

    For purposes of this plan, responsible development of nanotechnology has been divided into two categories:(1) environment, health,and safety implications, and(2) ethical, legal,and all other societal issues.Recognizing that technological innovations can bringboth benefits and risks to society, the NNI has maderesearch on and deliberation of these two areas apriority.

    Current Activities

    Environment, Health, and Safety Implications

     The NNI supports a broad spectrum of research toevaluate the environmental, health, and safety impactsof nanotechnology. The level of NNI support for thisresearch has increased with the discovery of newnanostructures and nanomaterials and the

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    development of new nanotechnology products. TheNNI is continuing to:

    ■ Study potential health risks of nanomaterials.Focused efforts are being pursued by six Federalagencies: the National Institute of Environmental

    Health Sciences (NIEHS, part of NIH, under theauspices of the National Toxicology Program),NIOSH,EPA, DOD, DOE, and NSF. In addition,NIST issupporting this work through the development of relevant standards.

    ■ Facilitate communication among the memberagencies; identify and prioritize research needed tosupport regulatory decision-making; and promotebetter communication among the FederalGovernment, industry,and researchers atuniversities and other institutions. These activities

    are coordinated by an NSET subgroup, the

    Goals and Plans

    NNI Addresses Potential Human Health and Environmental Impacts

    A number of Federal agencies, including DOE,DOD, EPA, NIH,NIOSH,and NSF, support research related toenvironmental and health aspects of nanomaterials. In particular,a broad program is underway within theNational Toxicology Program (NTP), an interagency program within HHS. The NTP is addressing potentialhuman health hazards associated with the manufacture and use of nanoscale materials. This research aimsto place the toxicity of nanomaterials in perspective relative to other better known and better understoodmaterials.

     The program is starting with in vivo rodent toxicology studies using the most commercially importantnanoscale materials as model systems. Initial studies were designed with an eye to extending the findingsto guide the development of new manufactured nanomaterials. They include evaluation of:

    ■ Size-dependent and surface coating-dependent disposition of semiconductor quantum dots whenapplied to the skin, ingested, or instilled into the respiratory tract

    ■  Toxic effects of carbon nanotubes or fullerenes instilled into the respiratory tract compared to theeffects of inhalation exposure

    ■ Role of particle core and surface composition in the immunotoxicity of quantum dots, nanotubes, andfullerenes

    ■ Dermal penetration and phototoxicology of nanoscale metal oxide particles,such as titanium dioxideused in sunscreens

    Nanotechnology Environmental and HealthImplications Working Group (NEHI WG),withmembership from agencies that supportnanotechnology research as well as those withresponsibilities for regulating nanotechnology-

    based products.■ Engage in international dialogue on environmental,

    health,and other societal issues. This effort wasinitiated at an international workshop sponsored byNSF in 2004,which resulted in a joint declaration byparticipants from 25 countries and the EuropeanUnion supporting responsible development of nanotechnology.

    ■ Conduct research on the fate and transport of manufactured nanomaterials in the environmentand development of techniques to evaluate the full

    life cycle of nanomaterials.

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    12 National Nanotechnology Initiative — Strategic Plan (December 2004)

    Ethical, Legal, and Other Societal Issues

    Current NNI-supported research aimed at assessingthe societal implications of nanotechnology includesthe following activities:

    ■ Support efforts to create a variety of opportunitiesfor a broadly inclusive interdisciplinary dialogue onnanotechnology.

    ■ Assess and analyze public understanding of, andattitudes toward, nanotechnology. A component of this is research on effective means to raiseawareness of nanotechnology and obtain inputfrom the general public.

    ■ Analyze nanotechnology impacts on economic

    growth, standard of living, and competitiveness.

    ■ Incorporate research on societal implications atsome university-based nanotechnology centers.Such activities ensure that development takes placewith an awareness of the societal impact of newtechnology.

    Plans

    Environment, Health, and Safety Implications

    ■ As necessary,expand support for research intoenvironmental and health implications of nanotechnology. NNI-funded research will(1) increase fundamental understanding of nanoscale material interactions at the molecular andcellular level through in vitro and in vivo experimentsand models; (2) increase fundamentalunderstanding of nanoscale materials interactionswith the environment; (3) increase understanding of the fate, transport, and transformation of nanoscalematerials in the environment and their life cycles;and (4) identify and characterize potential exposure,

    determine possible human health impact,anddevelop appropriate methods of controllingexposure when working with nanoscale materials.

    ■ Assist in establishing and communicating effectiveprocedures for working safely with nanomaterials.In collaboration with the NEHI working group,

    Goals and Plans

    NNI-Funded “NanoWorld”Displayed at Epcot

    Because 120 million people visit U.S. science

    museums and centers each year, the NNI supportsexhibits as an effective means of public outreach. The largest nanotechnology exhibit to date,“It’s aNanoWorld,” drew nearly 800,000 visitors atInnoventions at Epcot Center in Lake Buena Vista,Florida during 2004.

    Aimed at an elementary school audience,the3,000 square-foot exhibit was funded by theNational Science Foundation’s Informal ScienceEducation program and developed by Main StreetScience, the education program at CornellUniversity’s Nanobiotechnology Center;the Ithaca,

    N.Y. Sciencenter;and Painted Universe of Lansing,N.Y. Now on view at the HealthSpace in Cleveland,Ohio, the exhibit also is scheduled for stops in Michigan,Texas,and South Carolina. The successfulcollaborators have received additional NSF support for development of a new exhibition that will be called“Too Small To See.” The exhibition will be targeted to ages 8 to 13 and adults and will travel to large andsmall locales nationwide. For more on “It’s a NanoWorld,”see http://www.itsananoworld.org/.

    Courtesy Cornell University 

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    13National Nanotechnology Initiative — Strategic Plan (December 2004)

    NIOSH will be issuing guidelines in 2005 fordeveloping safe working practices when producingand handling nanoscale materials. NIOSH and otherNNI departments and agencies will distribute theseguidelines to the research, business, emergency

    response, and related communities and will postthem publicly on the NNI and NIOSH websites.

    ■ Coordinate with the Health and the EnvironmentSubcommittee of the NSTC Committee on Scienceand other appropriate interagency subcommitteesand working groups.

    Ethical, Legal, and Other Societal Issues

    ■ Foster and encourage forums for dialogue with thepublic and other stakeholders. Such forums includemuseums and other science centers,variousprograms organized by NNI-funded researchcenters, the USDA extension program, and otheragency outreach mechanisms.

    ■ Create and distribute new informational materialsabout nanoscience and nanotechnology to bettercommunicate with the broad public. Periodicmeasurements of public perceptions of nanotechnology will provide important feedback tothe NNCO and agencies, as well as to the scientificcommunity and policy makers.

    ■ Support research on societal dimensions of nanotechnology development. Key research areas

    include economic, ethical, legal,and culturalimplications, as well as implications for science andeducation, quality of life, and national security.Some examples of research to be funded includeidentification and assessment of:

    - Education and workforce development needs

    - Additional means of effective public engagementon technology issues

    - Barriers to adoption of nanotechnology incommerce,healthcare,or environmentalprotection

    - Ethical issues in the selection of research prioritiesand applications

    ■ As called for by the Act, establish a center fornanotechnology research related to societal

    implications. The call for proposals for a Center forNanotechnology in Society was issued in August2004 by NSF. It specifies that the chosen center is toformulate a long-term vision for addressing societal,ethical, environmental,and education concerns;involve partners or affiliates to collaborate on topicsrelated to responsible development of nanotechnology; include plans to involve a widerange of stakeholders;and develop a clearinghousefor information on communicating aboutnanoscience and nanotechnology and engaging thepublic in meaningful dialogue.

    Goals and Plans

    ■ ■ ■

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    15National Nanotechnology Initiative — Strategic Plan (December 2004)

    Program Component Areas (PCAs) are defined bythe Act as major subject areas under whichrelated NNI projects and activities are grouped.

    Whereas the NNI goals embody the vision of theinitiative and provide structure for its strategy andplans, the PCAs relate to areas of investment that arecritical to accomplishing those goals. These areas cutacross the interests and needs of the participatingagencies and indicate where advancement may beexpedited through coordination of work by multipleagencies. The PCAs are intended to provide a meansby which the NSET Subcommittee, as the interagency

    coordinating body; the Office of Science and Technology Policy (OSTP) and the Office of Management and Budget (OMB); Congress;and othersmay be informed of and direct the relative investmentin these key areas. The PCAs also provide a structureby which the agencies funding R&D can better directand coordinate their activities. Agency plans for eachPCA will be included in the annual NNI supplement tothe President’s budget. The seven PCAs are defined asfollows:

    ■ Fundamental nanoscale phenomena and

    processesDiscovery and development of fundamentalknowledge pertaining to new phenomena in thephysical, biological, and engineering sciences thatoccur at the nanoscale. Elucidation of scientific andengineering principles related to nanoscalestructures,processes,and mechanisms.

    ■ NanomaterialsResearch aimed at discovery of novel nanoscale andnanostructured materials and at a comprehensiveunderstanding of the properties of nanomaterials(ranging across length scales,and includinginterface interactions). R&D leading to the ability todesign and synthesize, in a controlled manner,nanostructured materials with targeted properties.

    ■ Nanoscale devices and systemsR&D that applies the principles of nanoscale scienceand engineering to create novel,or to improve

    existing, devices and systems. Includes theincorporation of nanoscale or nanostructuredmaterials to achieve improved performance or newfunctionality. To meet this definition,the enablingscience and technology must be at the nanoscale,but the systems and devices themselves are notrestricted to that size.

    ■ Instrumentation research, metrology, andstandards for nanotechnologyR&D pertaining to the tools needed to advancenanotechnology research and commercialization,including next-generation instrumentation forcharacterization, measurement, synthesis,anddesign of materials,structures,devices, and systems.Also includes R&D and other activities related todevelopment of standards, including standards fornomenclature, materials,characterization andtesting, and manufacture.

    ■ NanomanufacturingR&D aimed at enabling scaled-up, reliable,cost-effective manufacturing of nanoscale materials,structures, devices, and systems. Includes R&D andintegration of ultra-miniaturized top-down

    processes and increasingly complex bottom-up orself-assembly processes.

    ■ Major research facilities and instrumentationacquisitionEstablishment of user facilities, acquisition of majorinstrumentation, and other activities that develop,support, or enhance the Nation's scientificinfrastructure for the conduct of nanoscale science,engineering, and technology research anddevelopment. Includes ongoing operation of userfacilities and networks.

    ■ Societal DimensionsVarious research and other activities that addressthe broad implications of nanotechnology tosociety, including benefits and risks, such as:

    - Research directed at environmental, health, andsafety impacts of nanotechnology developmentand risk assessment of such impacts

    P R O G R A M C O M P O N E N T A R E A S

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    16 National Nanotechnology Initiative — Strategic Plan (December 2004)

    Program Component Areas

    - Education-related activities, such as developmentof materials for schools,undergraduate programs,technical training,and public outreach

    - Research directed at identifying and quantifyingthe broad implications of nanotechnology for

    society, including social,economic,workforce,educational,ethical, and legal implications

    Individual PCAs may encompass basic researchthrough application-oriented efforts, includingexperimental, theoretical,modeling,and simulationapproaches. There is a gradation within the PCAs inthe scale or level of organization, ranging fromfundamental nanostructure phenomena, throughnanomaterials, devices, and systems, to tools andinstrumentation,and finally to manufacturing. Thelast two PCAs listed above are different in nature, in

    that they provide for state-of-the-art research facilitiesand for addressing societal implications.

     The PCAs as outlined in this plan represent theprincipal areas that are the focus of the NNI today. These areas are broad and are expected to continue toadequately describe the activities within the NNI forthe next several years.

     The NNI is first and foremost an R&D program, andtherefore,not surprisingly, all of the PCAs support thefirst NNI goal listed in the previous chapter, that is, themaintenance of a world-class nanotechnology R&Dprogram. In fact,all of the PCAs are related to someextent to each of the overarching NNI goals. Thematrix in Table 1 qualitatively indicates themagnitudes of these relationships. Note that theactivities in one or more PCAs are critical to makingprogress towards each goal.

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    17National Nanotechnology Initiative — Strategic Plan (December 2004)

    Program Component Areas

    Program Component Areas:

    Fundamental Nanoscale Phenomena and Processes

    Nanomaterials

    Nanoscale Devices and Systems

    Instrumentation Research, Metrology,and Standards forNanotechnology

    Nanomanufacturing

    Major Research Facilities and Instrumentation Acquisition

    Societal Dimensions

    Table 1. Relationship of the Program Component Areas to the Overarching NNI Goals

    In addition to their relationship to the NNI goals, thePCAs are strongly correlated with the missions of theagencies and departments participating in the NNI.

     Table 2 shows for each participating agency (as ofFY 2005) which PCAs have the strongest relationshipsto the agency’s mission, interests, and needs. Foragencies with budgets for nanotechnology R&D(shaded in Table 2), the strength of the relationshipshown in Table 2 correlates with the level of investment. For those agencies that do not have

    nanotechnology R&D budgets (unshaded in Table 2),there are nevertheless connections with agencymissions,as reflected in the table. For example, the

    FDA is particularly interested in the development of nanotechnology devices for medical use, as well asany health implications of materials that may beincorporated into products for which the agency hasregulatory authority,such as cosmetics or foodadditives.

    critical to goal

    primary relevance

    secondary relevance

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        i   m   e    d   a   t   r   e   a    l    i   z    i   n   g

       t    h   e    f   u    l    l

       p   o   t   e   n   t    i   a    l   o    f   n   a   n   o   t   e   c    h   n   o    l   o   g

       y

        G   o   a    l    2   :    F   a   c    i    l    i   t   a   t   e   t   r   a   n   s    f   e   r   o    f

       n   e   w

       t   e   c    h   n   o    l   o   g    i   e   s    i   n   t   o   p   r   o    d   u   c   t   s

        f   o   r

       e   c   o   n   o   m    i   c   g   r   o   w   t    h ,    j   o    b   s ,   a   n    d

       o   t    h   e   r

       p   u    b    l    i   c    b   e   n   e    f    i   t

        G   o   a    l    3   :    D   e   v   e    l   o   p   e    d   u   c   a   t    i   o   n   a    l

       r   e   s   o   u   r   c   e   s ,   a   s    k    i    l    l   e    d   w   o   r    k    f   o   r   c

       e ,   a   n    d

       t    h   e   s   u   p   p   o   r   t    i   n   g    i   n    f   r   a   s   t   r   u   c   t   u   r   e   a   n    d

       t   o   o    l   s   t   o   a    d   v   a   n   c   e   n   a   n   o   t   e   c    h   n

       o    l   o   g   y

        G   o   a    l    4   :    S   u   p   p   o   r   t   r   e   s   p   o   n   s    i    b    l   e

        d   e   v   e    l   o   p   m   e   n   t   o    f   n   a   n   o   t   e   c    h   n

       o    l   o   g   y

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    18 National Nanotechnology Initiative — Strategic Plan (December 2004)

    Program Component Areas

    CPSC   3 3   ● ● ●

    DHS   ● ● ●   3

    DOC (BIS)   3   ● ● ●   3

    DOC (NIST)   3 3 3   ● ●   3 3

    DOC (TA)   3 3 3 3   ●   3   ●

    DOC (USPTO)   ● ● ● ●

    DOD   3   ● ●   3   ●   3 3

    DOE   ● ●   3 3 3   ●   3

    DOJ   ●

    DOS   ●

    DOT   ●   3   ● ●

    DOTreas   ● ●

    EPA   3   ● ●   3   ● ●

    HHS (FDA)   3   ● ●

    HHS (NIH)   ●   3   ●   3 3 3

    HHS (NIOSH)   3 3   ●

    IC   3   ● ●   3 3

    ITC   ● ● ● ●

    NASA   3   ● ●   3 3

    NRC   ●

    NSF   ● ●   3 3   ● ● ●

    USDA   3   ● ●   3   ●

        F   u   n    d   a   m   e   n   t   a    l

        N   a   n   o   s   c   a    l   e    P    h   e   n   o   m   e   n   a

       a   n    d    P   r   o   c   e   s   s   e   s

        N   a   n   o   m   a   t   e   r    i   a    l   s

        N   a   n   o   s   c   a    l   e    D   e   v    i   c   e   s

       a   n    d    S   y   s   t   e   m   s

        I   n   s   t   r   u   m   e   n   t   a   t    i   o   n

        R   e   s   e   a   r   c    h ,    M   e   t   r   o    l   o   g   y ,

       a   n    d    S   t   a   n    d   a   r    d   s    f   o   r

        N   a   n   o   t   e   c    h   n   o    l   o   g   y

        N   a   n   o   m   a   n   u    f   a   c   t   u   r    i   n   g

        M   a    j   o   r    R   e   s   e   a   r   c    h

        F   a   c    i    l    i   t    i   e   s

       a   n    d    I   n   s   t   r   u   m   e   n   t   a   t    i   o   n

        A   c   q   u    i   s    i   t    i   o   n

        S   o   c    i   e   t   a    l    D    i   m   e   n   s    i   o   n   s

    Table 2. Relationship between PCAs and NNI Agency Missions,Interests,and Needs

    ● - Primary 3 - Secondary

    Shading indicates agencies with budgets for nanotechnology R&D in FY 2005.

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    19National Nanotechnology Initiative — Strategic Plan (December 2004)

     The original implementation plan for the NNIidentified nine “grand challenge” areas,corresponding to a variety of application areas

    in which nanotechnology was expected to have asignificant impact. Some of the grand challenge areaswere very broad (e.g., Nanomaterials by Design),whereas others were more specific (e.g.,Chemical-Biological-Radiological-Explosive Detection andProtection). The plan described herein is organizedsomewhat differently, focusing on the overarchinggoals and the investment areas. These PCAs underlievirtually all the former grand challenge areas.

    Although the plan no longer refers explicitly to grandchallenge areas, it recognizes the strong interest andsupport among the participating agencies fordeveloping nanotechnology applications that addressagency missions and needs. For example,nanomaterials research may target the creation of composites for lightweight structures that meet therequirements of certain aerospace applications.Research on fundamental nanoscale processes mayaddress catalysis for energy conversion. Nanoscalesensor devices may enable in vivo detection of markersfor a specific disease or detection of chemical or

    biological threats.

    Mission-oriented agencies in the NNI, in particular, seek nanotechnology applications that will address theirindividual requirements. The following list,althoughnot comprehensive,includes areas of application thatrelate to agency missions, national needs,and majorindustry sectors in which nanotechnology can have animpact. One or two agencies have a particularlystrong connection to each specific application areaand are therefore indicated by bold type as primaryparticipants for that area. The relationships between

    agencies and application areas are summarized in Table 3,which follows the text descriptions.

    Aerospace

    High strength, low weight, multifunctional materials toimprove performance and reduce operational costs foraircraft and spacecraft. Faster, yet more compact,

    electronics that enable fully automated,self-guidedunmanned air vehicles for reconnaissance andsurveillance.

     Agency Participation and Partnerships

    DHS Aviation security, UAV platforms,situationalawareness

    DOD Surveillance, uninhabited combat platforms,augmented human performance

    DOE Efficient fuel usage,batteries and fuel cells,materials research

    DOT Aviation safety

    IC Novel robotic systemsNASA Intelligent spacecraft, smart materials/devices,autonomous healthcare systems

    NIH Telemedicine diagnostics/surgery; in-bodysystems for diagnosis/therapeutics

    NIST Materials research, standardsNSF New principles and architectures for devices

    and systems;generic science base

    Agriculture and Food

    Secure production, processing, and shipment of foodproducts. Improved agricultural efficiency. Reducedagricultural waste through conversion of agriculturalmaterials into valuable products.

     Agency Participation and Partnerships

    DHS Sensors for chemical and biological threats tofood and agriculture

    DOD Ration/water reliability; food preservationDOJ Microbial forensics for protection of food and

    agricultureDOS International food securityEPA Run-off from crops and livestock

    FDA Safe food (human and animal); public healthprotectionNSF Basic research on plant growth and food

    processingUSDA Improved agricultural production and value

    without environmental detriment

    4 . C R O S S - C U T T I N G A R E A S O F A P P L I C A T I O N

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    20 National Nanotechnology Initiative — Strategic Plan (December 2004)

    Cross-Cutting Areas of Application

    National Defense and Homeland Security

    Systems with the speed and capacity to enablecommand,control, communications,surveillance,reconnaissance, and information dominance.Automation and robotics with sufficient decision-

    making capabilities to minimize the exposure of warfighters and first responders to harm. Platformsand weapons with performance that is unquestionablysuperior to adversarial capability, yet which areaffordable and easily maintained. Cost-effective aidsfor timely training of new recruits and other personnel,especially at remote sites.

     Agency Participation and Partnerships

    DHS Chemical, biological, radiation,and explosivesdetectors; first responder protection

    DOD Materials for weapons and platforms;technology for information dominance

    DOE System integration; lab-on-a-chip; radiologicaland explosives detection

    DOJ Detection of and protection against chemicaland biological agents; DNA analysis

    DOS Diplomatic security; biometricsDOT Explosives detection; advanced transportation

    security systemsEPA Hazardous material reduction and remediationIC Chemical, biological, radiological, and

    explosives detection

    NASA System integration; miniaturization; roboticsystems

    NIH Detection/treatment for chemical, biological,and radiological substances

    NIOSH Hazardous material detectionNIST Chemical microsensors, single molecule

    measurementNSF Broad-based science investment to prevent

    surprise; sensors and devicesUSDA Secure agricultural production and food

    resources

    Energy

    Significant improvements made through tailorednanomaterials, for example, in solar energy conversion,transmission,and storage; thermoelectric converters;and high performance batteries and fuel cells. Control

    of corrosion, friction, and wear for reducedmaintenance and energy consumption. Catalysts forenergy-efficient manufacturing.

     Agency Participation and Partnerships

    DHS Reduction in weight and costs of detectionsystemsDOD Energetic materials for propulsion/explosives;

    compact, lightweight power sourcesDOE All aspects of energy research, including

    catalysis, fuel cells,hydrogenDOS Sustainable energy for development; energy

    securityEPA Energy from waste and alternative fuelsIC Nano-enabled advanced power systemsNASA Energy conversion and storage for space

    systems

    NIST Materials research and characterization;standards

    NSF Generic science base,including catalysis andenergy conversion

    USDA Biomass conversion for energy, chemicals,polymers, and industrial products

    Environmental Improvement

    Improved understanding of molecular processes thattake place in the environment. Reduced pollutionthrough the development of new “green”technologies

    that minimize manufacturing and transportationwaste products. Better environmental remediationthrough more efficient removal of contaminants,especially ultrafine particles, from air and watersupplies, and by continuous measurement andmitigation of pollution in large geographical areas.

     Agency Participation and Partnerships

    DHS Immediate chemical, biological, andradiological decontamination

    DOE Remediation; waste containment; extractionof radionucleotides

    DOS Global pollution prevention and mitigationEPA Detection, remediation and prevention of 

    environmental pollutionFDA Bio-environmental processesNIOSH Detection,monitoring,and control of 

    environmental pollution

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    21National Nanotechnology Initiative — Strategic Plan (December 2004)

    Cross-Cutting Areas of Application

    NIST Standards; sensor developmentNSF Nanoscale processes in nature; green

    manufacturing; nanomaterials dispersionUSDA Green agriculture and food processes

    Information TechnologiesSilicon-based semiconductor electronics today alreadyhave nanoscale (i.e., less than 100 nm) features.Continued increases in performance based onbreakthroughs and implementation of even smallerscale technologies. Future devices, perhaps based onnovel magnetic, spin,molecular, or quantuminformation approaches. Nanotechnology-basedsystems to improve computer speed,provide non-volatile random access memory, expand mass storage,reduce power consumption per unit operation,increase bandwidth for data transmission, and enableflexible, flat displays that are many times brighter thanthe displays of today.

     Agency Participation and Partnerships

    DHS Embedded radio frequency tags for tracking;communications for detectors

    DOD Devices for communication, command,control, surveillance, and reconnaissance

    DOE Nanoelectromechanical systems (NEMS);laboratory-on-a-chip; reduced powerconsumption devices

    IC Molecular electronics; advancedcommunication systems

    NASA Highly effective, miniaturized, low powerdevices for spacecraft

    NIST Standards for measurement; manufacturingquality control

    NSF Novel phenomena, processes,devices, andarchitectures; generic science base

    Medicine and Health

    Novel sensor arrays enabling inexpensive, rapid

    diagnosis in a doctor’s office or at home for a range of conditions. New composite structures for superiorbone and tooth implants. Targeted,highly effectivetreatment of diseases such as cancer and heart diseasewith reduced side effects.

     Agency Participation and Partnerships

    DOD Casualty care; monitoring warfighterphysiology; performance enhancement

    DOE Radiation effects; sensors; hard/soft matterinterfaces

    DOS Global health issues; epidemics and emerginginfectious diseases

    FDA Quality control; regulation of human andanimal drugs, medical devices, biologics, food,cosmetics, and radiation-emitting electronicproducts

    NASA Remote a