N at ion a l N a no tech nol o g y
In i t i at i v e
S t r ate gic Pl a n

National Science and Technology Council
Committee on Technology

Subcommittee on Nanoscale Science,
Engineering, and Technology
Fe b r u a r y 2 011

About the National Science and Technology Council
The National Science and Technology Council (NSTC) is the principal means by which the Executive
Branch coordinates science and technology policy across the diverse entities that make up the Federal
research and development enterprise. A primary objective of the NSTC is establishing clear national goals
for Federal science and technology investments. The NSTC prepares research and development strategies that are coordinated across Federal agencies to form investment packages aimed at accomplishingmultiple national goals. The work of the NSTC is organized under committees that oversee subcommittees and working groups focused on different aspects of science and technology. More information isavailable at http://www.whitehouse.gov/administration/eop/ostp/nstc.

About the Office of Science and Technology Policy
The Office of Science and Technology Policy (OSTP) was established by the National Science andTechnology Policy, Organization, and Priorities Act of 1976. OSTP’s responsibilities include advising thePresident in policy formulation and budget development on questions in which science and technology
are important elements; articulating the President’s science and technology policy and programs; andfostering 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 Scienceand Technology and manages the NSTC. More information is available at http://www.ostp.gov.

About the Nanoscale Science, Engineering, and Technology Subcommittee
The Nanoscale Science, Engineering, and Technology (NSET) Subcommittee is the interagency body
responsible for coordinating, planning, implementing, and reviewing the National Nanotechnology
Initiative (NNI). It is a subcommittee of the Committee on Technology (CoT) of the National Scienceand Technology Council. The National Nanotechnology Coordination Office (NNCO) provides technicaland administrative support to the NSET Subcommittee and its working groups in the preparation ofmultiagency planning, budget, and assessment documents related to the NNI, including this strategy
document. More information is available at http://www.nano.gov.

About this Document
This document is the strategic plan for the NNI. It describes the NNI vision and goals and the strategies bywhich these goals are to be achieved. The plan includes a description of the NNI investment strategy andthe program component areas called for by the 21st Century Research and Development Act of 2003,
and also identifies specific objectives toward collectively achieving the NNI vision. This plan updates
and replaces the NNI Strategic Plan of December 2007. Graphics design by N.R. Fuller, Sayo-Art LLC.

Copyright Information
This document is a work of the United States Government and is in the public domain (see 17 U.S.C.
§105). Subject to the stipulations below, it may be distributed and copied with acknowledgement to
NNCO. Copyrights to graphics included in this document are reserved by the 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 NNCO if no provider
is identified.
Printed in the United States of America, 2011.

N at ion a l N a no tech nol o g y
In i t i at i v e
S t r ate gic Pl a n

National Science and Technology Council
Committee on Technology

Subcommittee on Nanoscale Science,
Engineering, and Technology
Fe b r u a r y 2 011

National Science and Technology Council
Committee on Technology (CoT)Subcommittee on Nanoscale Science, Engineering, and Technology (NSET)CoT Co-Chairs: Aneesh Chopra, Office of Science and Technology Policy
Vivek Kundra, Office of Management and Budget
Philip Weiser, National Economic Council
CoT Executive Secretary: Pedro Espina, Office of Science and Technology Policy
NSET Subcommittee Co-Chairs:
Travis M. Earles, Office of Science andTechnology Policy
Lewis Sloter, Department of Defense

National Nanotechnology Coordination OfficeDirector and Coordinator for Standards Development:
E. Clayton Teague

NSET Subcommittee Executive Secretary:
Geoffrey M. Holdridge, National Nanotechnology
Coordination Office

National Nanotechnology Coordination Office
Deputy Director and Coordinator for Environment,
Health, and Safety Research:
Sally Tinkle

Department and Agency Representatives to the NSET Subcommittee
Office of Science andTechnology Policy (OSTP)
Travis M. Earles
Office of Management
and Budget (OMB)
Irene B. Kariampuzha
Bureau of Industry
and Security (BIS/DOC)
Matt Borman
Consumer Product Safety
Commission (CPSC)
Mary Ann Danello
Treye A. Thomas
Department of Defense(DOD)
Akbar Khan
Gernot S. Pomrenke
Lewis Sloter
Eric SnowDavid M. Stepp
Department of Education(DOEd)
Krishan Mathur
Department of Energy(DOE)
Harriet Kung
Mihal E. GrossJohn C. Miller
Andrew R. Schwartz
Brian G. Valentine

Environmental
Protection Agency(EPA)
Jeff Morris
Nora F. Savage
Philip G. Sayre

Department ofHomeland Security(DHS)
Richard T. Lareau
Eric J. Houser
Department of Justice(DOJ)
Joseph Heaps

Food and Drug
Administration(FDA/DHHS)
Carlos Peña
Ritu Nalubola

Department of Labor(DOL)
Janet Carter
Department of State(DOS)
Ken Hodgkins
Chris Cannizzaro

Forest Service(FS/USDA)World L.-S. Nieh
Christopher D. Risbrudt
Theodore H. Wegner

Department ofTransportation(DOT)
Alasdair Cain
Jonathan R. Porter

National Aeronautics
and Space Administration(NASA)
Michael A. Meador
National Institute ofFood and Agriculture(NIFA/USDA)
Hongda Chen

Department of
the Treasury(DOTreas)
John F. Bobalek

National Institutefor Occupational
Safety and Health(NIOSH/CDC/DHHS)
Charles L. Geraci
Vladimir V. Murashov

Director of National
Intelligence(DNI)
Richard Ridgley

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National Instituteof Standards andTechnology(NIST/DOC)
Lloyd J. Whitman
National Institutes of
Health (NIH/DHHS)
Piotr Grodzinski
Lori Henderson
Jeffery A. Schloss
National Science
Foundation (NSF)
Mihail C. Roco
Zakya H. Kafafi
Parag R. Chitnis
T. James Rudd
Nuclear Regulatory
Commission (NRC)
Stuart Richards
U.S. Geological Survey(USGS)
Sarah Gerould
U.S. International Trade
Commission (USITC)
Elizabeth R. Nesbitt
U.S. Patent and Trademark
Office (USPTO/DOC)
Charles Eloshway
Bruce Kisliukexecutive office of the president
National Science and Technology Council
Washington, D.C. 20502

February 4, 2011
Dear Colleagues:
Nanotechnology is generating remarkable scientific and technological advances from the evolutionary to
the extraordinary. These advances are enabling a broad spectrum of applications in electronics, medicine,energy, manufacturing, advanced materials, and other fields.
Much of this advancement has been facilitated by the National Nanotechnology Initiative (NNI), which since2001 has coordinated goals, priorities, and strategies among Federal agencies and promoted groundbreaking
interdisciplinary research and infrastructure development critical to nanotechnology innovation. Consistent
with the NNI’s vision of a future in which nanotechnology benefits society through a revolution in technology
and industry, NNI member agencies have plotted a path forward in the 2011 National Nanotechnology
Initiative Strategic Plan. Under the auspices of the National Science and Technology Council (NSTC)
Subcommittee on Nanoscale Science, Engineering, and Technology (NSET), NNI member agencies will
use the plan to guide the coordination of their research, training programs, and resources.
The 2011 NNI strategic plan embodies ten years of U.S. leadership in nanotechnology research anddevelopment and illuminates pathways for future breakthroughs. It also benefits from and builds uponrecommendations from the President’s Council of Advisors on Science and Technology (PCAST)
and the National Academies, and incorporates a broad range of stakeholder input obtained through an
unprecedentedly open and engaging process. The collective goals and specific objectives articulated in theStrategic Plan will support world-class interdisciplinary nanotechnology research, sustain and expand criticalinfrastructure, train and inspire the next generation of scientists and engineers, and support responsible
development and transfer of nanotechnology into commercial applications to benefit the Nation’s economy
and the American people.
As the PCAST noted in its 2010 review, the NNI has had a “catalytic and substantial impact” on the growthof nanotechnology innovation in the United States. This plan will help ensure that American leadership in
nanotechnology innovation continues into the next decade and beyond.
Sincerely,

JOHN P. HOLDREN
Assistant to the President for Science & Technology
Director, Office of Science and Technology Policy

Table of Contents
Tables and Figures  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . vi
The NNI  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .

1

Introduction  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .  1
Vision and Goals  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .

4

Program Component Areas  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .  5
NNI Participating Agencies  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .

6

Relationship Between PCAs and Agency Interests  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .

7

Agency Interests in Nanotechnology R&D and the NNI  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .

8

Goals and Objectives  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 23
Goal 1: Advance a world-class nanotechnology research and development program .  .  .  . 23
Goal 2: Foster the transfer of new technologies into products for commercial andpublic benefit .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 24
Goal 3: Develop and sustain educational resources, a skilled workforce, and the
supporting infrastructure and tools to advance nanotechnology .  .   .   .   .   .   .   .   .   . 27
Goal 4: Support responsible development of nanotechnology.  .   .   .   .   .   .   .   .   .   .   .   .   . 29
Coordination & Assessment  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 33
Nanoscale Science, Engineering, and Technology Subcommittee  .  .  .  .  .  .  .  .  .  .  .  . 33
Executive Office of the President  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 37
Assessment  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 37
The Path Forward  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 39
Collaborative Agency Activities  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 39
Anticipated Activities  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 43
Developing Partnerships and Engaging Stakeholders  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 45
Planned Independent Assessments  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 45
Concluding Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Appendix A. External Assessment and Stakeholder Input  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 47
External Assessment Reports  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 47
Stakeholder Input, July–August, 2010  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .  47
Public Comment on Draft Strategic Plan, November 2010  .  .  .  .  .  .  .  .  .  .  .  .  .  .  . 49
Appendix B. Glossary   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 50

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Tables and Figures
Table 1. Program Component Areas  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 5Table 2. Relationships between the PCAs and the Missions, Interests, and Needs of NNI Agencies  .

7

Table 3. Agency Contributions by Thrust Area: Nanotechnology for Solar Energy Signature
Initiative  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 40
Table 4. Agency Contributions by Thrust Area: Sustainable Nanomanufacturing Signature
Initiative  .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 41
Table 5. Agency Contributions by Thrust Area: Nanoelectronics for 2020 Signature Initiative  .  .  . 42

Figure 1. NNI Participating Agencies by Year Joined  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .  .

6

Figure 2. Coordination and Assessment of the NNI   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   .   . 34

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The NNI
The National Nanotechnology Initiative (NNI) is the U.S. Federal Government’s interagency programfor coordinating research and development and enhancing communication and collaborative activities in nanoscale science, engineering, and technology. This chapter describes the NNI, including thevision and goals that frame the NNI, the categorization of Federal activities in nanotechnology, and theparticipating NNI agencies.

Introduction
Nanotechnology is the understanding and control of matter at dimensions between approximately 1
and 100 nanometers, where unique phenomena enable novel applications. Work within the intersecting disciplines at the core of nanotechnology innovation—including physical, life, and social sciencesand engineering—has revealed the potential of nanomaterials and nanoscale processes to collect andstore energy, reinforce materials, sense contaminants, enable life-saving drugs, and shrink and accelerate computational devices in both incremental and paradigm-shifting ways. Further, nanotechnology
has enabled development of entirely new materials and devices that can be exploited in each of theseand countless other applications.
The United States has set the pace for nanotechnology innovation world-wide with the National
Nanotechnology Initiative (NNI). Launched in 2001 with eight agencies, the NNI today consists of theindividual and cooperative nanotechnology-related activities of 25 Federal agencies with a range of
research and regulatory roles and responsibilities. Fifteen of the participating agencies have research anddevelopment (R&D) budgets that relate to nanotechnology, with the reported NNI budget representing
the collective sum of these investments. Funding support for nanotechnology R&D stems directly from
NNI member agencies, not the NNI. As an interagency effort, the NNI informs and influences the Federal
budget and planning processes through its member agencies and through the National Science andTechnology Council (NSTC).
Coordinated under the Nanoscale Science, Engineering, and Technology (NSET) Subcommittee of the
NSTC’s Committee on Technology (CoT), the NNI provides a framework for a comprehensive nanotechnology R&D program by establishing shared goals, priorities, and strategies complementing agencyspecific missions and activities and providing avenues for individual agencies to leverage the resourcesof all participating agencies. Further, the NNI provides a central interface with academia and industry
as well as regional/state organizations and international counterparts in the process of innovating
nanotechnology. To these ends, the National Nanotechnology Coordination Office (NNCO) provides
technical and administrative support to the NSET Subcommittee, serves as a central point of contact
for Federal nanotechnology R&D activities, and provides public outreach on behalf of the NNI. Working
groups established by the NSET Subcommittee provide an infrastructure to strengthen interagency
coordination and collaboration on critical nanotechnology issues.
The ten-year history of U.S. leadership in fundamental nanotechnology research and development under
the NNI has established a thriving nanotechnology R&D environment, laid the crucial groundwork for

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developing commercial applications and scaling up production, and created demand for many new
nanotechnology and manufacturing jobs in the near-term. The NNI has dramatically expanded scientific understanding of nanoscale phenomena and enabled the engineering of applications throughan extensive and unparalleled infrastructure of R&D centers, networks, and user facilities. The Federal
investments in nanotechnology research and development over the past decade have positioned theUnited States to address key national priorities, bring new expertise to bear on important scientific andsocial problems, strengthen the social contract between science and society, and inspire a growing
number of students to pursue careers in science, technology, engineering, and mathematics.
Commercialization resulting from NNI-supported research is mounting.
While the progress of nanotechnology innovations to date has been significant, numerous challenges
still exist, and the tremendous potential anticipated from nanoscale R&D is still far from full realization.
Exploitation of the full value of nanotechnology innovation depends on sustained fundamental R&D
and on focused commercialization efforts. Barriers need to be lowered and pathways streamlined totransfer emerging nanotechnologies into economically viable applications. Researchers, educators,
and technicians with new cross-cutting skills are required. Furthermore, at every step there must be acommitment to developing nanotechnology responsibly, with balanced and transparent considerationof the benefits and risks associated with particular nanomaterials in specific applications. For these reasons, broad-based coordination and integration of development efforts across government agencies,
academic disciplines, industries, and even countries remain critical to achieving the full economic andsocietal benefits proven in concept or still promised by nanotechnology.
The National Nanotechnology Initiative Strategic Plan is the framework that underpins the nanotechnology work of the NNI member agencies. It aims to ensure that advancements in and applicationsof nanotechnology R&D to agency missions and the broader national interest continue unabated in thisstill-young area of research and development. Its purpose is to facilitate achievement of the NNI visionby laying out guidance for agency leaders, program managers, and the research community regarding
planning and implementation of nanotechnology R&D investments and activities.
The NSET Subcommittee solicited multiple streams of input to inform the development of this revised
NNI Strategic Plan. Independent reviews of the NNI by the President’s Council of Advisors on Science andTechnology and the National Research Council of the National Academies—strongly supportive of the
NNI overall—have made specific recommendations for improving the NNI.1 Additional input has comefrom a Strategic Planning Stakeholders Workshop sponsored by the NSET Subcommittee during July
13–14, 2010, as well as from detailed responses to a Request for Information published via the Federal
Register and from online dialogue in the NNI Strategy Portal.2 The portal was also used in November
2010, to host a 30 day public comment period on the draft of this plan.
Thus informed by feedback and recommendations from a broad array of stakeholders, this strategic plan
represents the consensus of the participating agencies as to the high-level goals and priorities of the
NNI and specific objectives for at least the next three years. The strategic plan provides the framework
within which each agency will carry out its own mission-related nanotechnology programs and thatwill sustain coordination of interagency activities. It describes the four overarching goals of the NNI, the1 See Appendix A for details on external reviews and assessments of the NNI.
2 Details on the workshop, Federal Register notice, and NNI Strategy Portal are available in Appendix A.

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The NNI

major program component areas established in 2004 to broadly track the categories of investments
needed to ensure the success of the initiative, and the near-term objectives that will be the concrete
steps taken toward collectively achieving the NNI vision and goals. Finally, the plan describes collaborative interagency activities, including nanotechnology signature initiatives that are a new modelof specifically targeted and closely coordinated interagency, cross-sector collaboration designed toaccelerate innovation in areas of national priority. The first three nanotechnology signature initiatives
are focused on renewable energy, sustainable manufacturing, and next-generation electronics.
The 21st Century Nanotechnology Research and Development Act of 2003 calls for the NNI Strategic
Plan to be updated triennially; the plan presented here updates and replaces the December 2007 plan.

What is Nanotechnology? *Nanotechnology is the understanding and control of matter at dimensions between approximately 1 and
100 nanometers, where unique phenomena enable novel applications. Encompassing nanoscale science,engineering, and technology, nanotechnology involves imaging, measuring, modeling, and manipulating
matter at this length scale.
A nanometer is one-billionth of a meter. A sheet of paper is about 100,000 nanometers thick; a single gold
atom is about a third of a nanometer in diameter. Dimensions between approximately 1 and 100 nanometers are known as the nanoscale. Unusual physical, chemical, and biological properties can emerge
in materials at the nanoscale. These properties may differ in important ways from the properties of bulk
materials and single atoms or molecules.
*The scope of this definition, established by the NNI at its inception, is for identifying and coordinating Federal
nanotechnology research and development as well as facilitating communication.

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Vision and Goals
The vision of the NNI is a future in which the ability to understand and control matter at the nanoscaleleads to a revolution in technology and industry that benefits society. The NNI expedites the discovery,
development, and deployment of nanoscale science, engineering, and technology to serve the public
good, through a program of coordinated research and development aligned with the missions of theparticipating agencies. In order to realize the NNI vision, the participating agencies are working collectively toward the following four goals:

Goal 1: Advance a world-class nanotechnology research and development program.
The NNI ensures U.S. leadership in nanotechnology research and development by stimulating discovery
and innovation. This program expands the boundaries of knowledge and develops technologies througha comprehensive program of research and development. The NNI agencies invest at the frontiers andintersections of many disciplines, including biology, chemistry, engineering, materials science, andphysics. The interest in nanotechnology arises from its potential to significantly impact numerous
fields, including aerospace, agriculture, energy, the environment, healthcare, information technology,
homeland security, national defense, and transportation systems.

Goal 2: Foster the transfer of new technologies into products for commercial and public benefit.
Nanotechnology contributes to U.S. competitiveness and national security by improving existingproducts and processes and by creating new ones. The NNI implements strategies that maximize theeconomic benefits of its investments in nanotechnology, based on understanding the fundamental
science and responsibly translating this knowledge into practical applications.

Goal 3: Develop and sustain educational resources, a skilled workforce, and the supporting
infrastructure and tools to advance nanotechnology.
A skilled science and engineering workforce, leading-edge instrumentation, and state-of-the-art facilities are essential to advancing nanotechnology research and development. Educational programs andresources are required to produce the next generation of nanotechnologists—that is, the researchers,
inventors, engineers, and technicians who drive discovery, innovation, industry, and manufacturing.

Goal 4: Support responsible development of nanotechnology.
The NNI aims to maximize the benefits of nanotechnology and at the same time to develop an understanding of potential risks and to develop the means to manage them. Specifically, the NNI pursues aprogram of research, education, collaboration, and communication focused on environmental, health,safety, and broader societal dimensions of nanotechnology development. Responsible development
requires engagement with universities, industry, government agencies (local, state, and Federal), nongovernmental organizations, and other communities.

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The NNI

Program Component Areas
Program component areas (PCAs) are major subject areas under which are grouped related nanotechnology R&D projects and activities. They provide an organizational framework for categorizing theactivities of the NNI. Investment and progress in these areas is critical to achieving the NNI’s goals andto realizing its vision. The investment related to each PCA is reported in the annual NNI supplement to
the President’s Budget.3 The eight PCAs are described in Table 1. Agency projects and activities in one
or more PCAs are critical to progress toward realizing each goal.
No. PCA Title
Fundamental
1

Nanoscale
Phenomena andProcesses

Table 1. Program Component Areas
Description
Discovery and development of fundamental knowledge pertaining to new
phenomena in the physical, biological, and engineering sciences that occur at
the nanoscale. Elucidation of scientific and engineering principles related tonanoscale structures, processes, and mechanisms.

2

Nanomaterials

Research aimed at the discovery of novel nanoscale and nanostructured materials and at a comprehensive understanding of the properties of nanomaterials(ranging across length scales, and including interface interactions). R&D leading
to the ability to design and synthesize, in a controlled manner, nanostructured
materials with targeted properties.

3

Nanoscale Devices
and Systems

R&D that applies the principles of nanoscale science and engineering to create
novel, or to improve existing, devices and systems. Includes the incorporation ofnanoscale or nanostructured materials to achieve improved performance or new
functionality. To meet this definition, the enabling science and technology mustbe at the nanoscale, but the systems and devices themselves are not restricted tothat size.

4

Instrumentation
Research, Metrology,
and Standards for
Nanotechnology

R&D pertaining to the tools needed to advance nanotechnology research andcommercialization, including next-generation instrumentation for characterization, measurement, synthesis, and design of materials, structures, devices,and systems. Also includes R&D and other activities related to development ofstandards, including standards for nomenclature, materials characterization andtesting, and manufacture.

5

Nanomanufacturing R&D aimed at enabling scaled-up, reliable, and cost-effective manufacturingof nanoscale materials, structures, devices, and systems. Includes R&D andintegration of ultra-miniaturized top-down processes and increasingly complex
bottom-up or self‑assembly processes.

6

Major Research
Facilities andInstrumentation
Acquisition

Establishment of user facilities, acquisition of major instrumentation, and otheractivities that develop, support, or enhance the nation’s scientific infrastructure
for the conduct of nanoscale science, engineering, and technology R&D. Includes
ongoing operation of user facilities and networks.

7

Environment,
Health, and Safety

Research primarily directed at understanding the environmental, health,and safety impacts of nanotechnology development and corresponding risk
assessment, risk management, and methods for risk mitigation.

8

Education and
Education-related activities such as development of materials for schools,
Societal Dimensions undergraduate programs, technical training, and public communication,
including outreach and engagement. Research directed at identifying andquantifying the broad implications of nanotechnology for society, including
social, economic, workforce, educational, ethical, and legal implications.
3 All annual supplements are available at http://nano.gov.

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NNI Participating Agencies
Federal Agencies with Budgets Dedicated to Nanotechnology Research and Development
Consumer Product Safety Commission (CPSC)
Department of Defense (DOD)
Department of Energy (DOE)
Department of Homeland Security (DHS)
Department of Justice (DOJ)
Department of Transportation (DOT, including the Federal Highway Administration, FHWA)
Environmental Protection Agency (EPA)
Food and Drug Administration (FDA, Department of Health and Human Services)
Forest Service (FS, U.S. Department of Agriculture)
National Aeronautics and Space Administration (NASA)
National Institute for Occupational Safety and Health (NIOSH, Department of Health and Human Services)
National Institute of Food and Agriculture (NIFA, U.S. Department of Agriculture)4
National Institutes of Health (NIH, Department of Health and Human Services)
National Institute of Standards and Technology (NIST, Department of Commerce)
National Science Foundation (NSF)

Other Participating Agencies
Bureau of Industry and Security (BIS, Department of Commerce)
Department of Education (DOEd)
Department of Labor (DOL, including the Occupational Safety and Health Administration, OSHA)
Department of State (DOS)
Department of the Treasury (DOTreas)
Intelligence Community (IC)
Nuclear Regulatory Commission (NRC)
U.S. Geological Survey (USGS, Department of the Interior)
U.S. International Trade Commission (USITC)5
U.S. Patent and Trademark Office (USPTO, Department of Commerce)

Figure 1. NNI Participating Agencies by Year Joined
4 Formerly the Cooperative State Research, Education, and Extension Services (CSREES).
5 Observer status.

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Relationship Between PCAs and Agency Interests
The NNI program component areas (PCAs) cut across the interests and activities of the participating
agencies and represent areas where achieving the goals of the NNI can be expedited through interagency coordination. Table 2 shows, for each participating agency, which PCAs have the strongest
relationships to the agency’s mission, interests, and needs. The strength of the relationships shown
may correlate with the level of that agency’s investment. However, in some cases—especially for thoseagencies that do not have nanotechnology R&D budgets—there are nevertheless strong connections
between PCAs and agency missions.

Table 2. Relationships between the PCAs and the Missions, Interests,
and Needs of NNI Agencies
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Agency Interests in Nanotechnology R&D and the NNI
In August 2000, the Subcommittee on Nanoscale Science, Engineering, and Technology (NSET) wasconstituted as part of the NSTC CoT specifically to facilitate interagency collaboration on nanoscale R&D
and to provide a framework for setting Federal R&D budget priorities related to nanotechnology. The
NSET Subcommittee member agencies continue to fund nanoscale science and engineering researchbecause the work done so far supports the early assumptions about the value of this growing scientificendeavor. Moreover, the platform for communication, collaboration, and coordination provided by
the NNI through the NSET Subcommittee continues to foster the engagement of all member agencies,
including those with an interest, though no targeted funding, in nanotechnology. The agencies describe
below their individual interests in nanotechnology R&D and the value of the NNI, as they collectively
contribute by various means to the welfare of the nation and to their respective agency missions andresponsibilities.6
Bureau of Industry and Security, Department of Commerce
The interagency coordination provided by the NNI enables the Bureau of Industry and Security of the
Department of Commerce (BIS/DOC) to stay apprised of new nanotechnology advancements that may
present national security challenges and that may provide opportunities for companies in the national
defense industrial base. Further, the NNI creates mechanisms (i.e., through regular meetings of the NSET
Subcommittee) for BIS to share information about national security needs and challenges with other
Federal agencies. BIS may also exercise its statutory data collection authority, as needed in support of
the NNI vision. Together, these exchanges support the BIS mission to advance U.S. national security,
foreign policy, and economic objectives by ensuring an effective export control and treaty compliancesystem and promoting continued U.S. strategic technology leadership.
Consumer Product Safety Commission
The Consumer Product Safety Commission (CPSC) in cooperation with Federal partners analyzes the use
and safety of nanotechnology in consumer products. In order to meet identified data needs, the CPSC
staff has met with and collaborates with staff at a number of Federal agencies in areas of mutual interest where collaboration would be beneficial and support the respective missions of each agency. Moreconsumer products are using compounds or materials that have been produced using nanotechnologies
that directly manipulate matter at the atomic level and fabrication of materials that could not have been
produced in the past. Although these nanomaterials may have the same chemical composition as nonnanomaterials, at the nanoscale these nanomaterials may demonstrate different physical and chemical
properties and they may behave differently in the environment and the human body. CPSC developed
an internal nanotechnology team comprised of various technical experts (e.g., engineers, toxicologists,and economists) to advise the Commission on the safe use of nanotechnology in consumer products.
As part of the NNI, the CPSC nanotechnology team participates in the interagency collection and analysisof data and the development of reports that focus upon the potential environmental, health, and safetyissues associated with the use of nanotechnology.

6 The most updated links to nanotechnology activities at NNI participating agencies can be found at
http://nano.gov.

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Department of Defense
Department of Defense (DOD) leadership considers nanotechnology to have high and growing potential
to contribute to the warfighting capabilities of the nation. Because of the broad and interdisciplinary
nature of nanotechnology, DOD leadership views it as an enabling technology area that should receive
the highest level of department attention and coordination. The vision and capability construct ofDefense Research and Engineering includes nanotechnology as one of four exemplary foundational
technologies, along with advanced materials, advanced electronics, and manufacturing technology.
DOD Basic Research acknowledges that realizing the potential of nanotechnology is a key research
objective. In particular, nanotechnology is an enabling technology for new classes of sensors (such asnovel focal plane arrays and chemical/biological threat sensors), communications, and information
processing systems needed for qualitative improvements in persistent surveillance. The DOD also invests
in nanotechnology for advanced energetic materials, photocatalytic coatings, active microelectronic
devices, structural fibers, strength- and toughness-enhancing additives, advanced processing, and awide array of other promising applications. The DOD nanotechnology efforts are based on coordinatedplanning and federated execution among the military departments and agencies (e.g., the Defense
Advanced Research Projects Agency and the Defense Threat Reduction Agency). Although DOD
does not establish funding targets for nanotechnology specifically, its support for nanotechnologyrelated research and development has continued to increase through its competitive success in coreresearch planning, technology development solicitations, and Federal programs such as Small Business
Innovation Research (SBIR) and the Multidisciplinary University Research Initiative.
DOD was among the initial participating agencies in the NNI and the NSET Subcommittee. The department considers the initiative and its formal coordination fora to have been and to continue to be valuable as a means to facilitate technology planning, coordination, and communication among the Federal
agencies. The meetings and workshops hosted or facilitated by the NNI participants help to identify anddefine options and opportunities that materially contribute to DOD planning activities and program
formulation. The reviews and collegial meetings, working groups, and task forces established under
the auspices of the NSET Subcommittee are valuable means of formal and informal coordination at theFederal level and form a solid basis for exploring collaborative activities, addressing mutual or pervasive
issues, and identifying areas in which interagency assistance is needed or would be productive. The DOD
has continuously contributed to the NNI through participation in the above-noted activities and throughnumerous outreach and programmatic efforts in which nanotechnology has been a principal aspectof the program or planning. The transparency that is enabled by the NNI is viewed as symmetricallybeneficial to DOD, the other agencies, and the many private-sector stakeholders in the broad arena of
nanoscience, nanotechnology, and nanotechnology-enabled applications.
Department of Education
The Department of Education (DOEd) faces major challenges in a number of education-related areas,
including a need for more graduates and researchers in areas of science, technology, engineering, andmathematics (STEM) education. By providing working groups, regular NSET Subcommittee meetings,
and inter-agency communication channels, the NNI provides a mechanism for DOEd to better collaborate with other relevant agencies, such as the National Science Foundation (NSF), which makes

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substantial investments in nanotechnology-related education, and the Department of Labor (DOL),
which follows trends in workforce needs.
Department of Energy
Department of Energy (DOE) leadership views nanoscience and nanotechnology as having a vitally
important role to play in solving the energy and climate-change challenges faced by the nation. This
broad and diverse field of research and development will likely have dramatic impact on future technologies for solar energy collection and conversion, energy storage, alternative fuels, and energy efficiency, toname just a few. DOE has participated in the NNI since its inception and maintains a strong commitment
to the initiative, which has served as an effective and valuable way of spotlighting needs and targeting
resources in this critical emerging area of science and technology. The NNI continues to provide a focus
for overall investment in physical sciences, a crucial locus for interagency communication and collaboration, and an impetus for coordinated planning. The research and infrastructure successes spurred by the
NNI have made the United States a world leader in this area, with significant national benefit.
DOE funding spans all eight program component areas of the NNI, with the majority falling into three
categories: fundamental phenomena and processes (PCA 1), nanomaterials (PCA 2), and major researchfacilities and instrumentation acquisition (PCA 6). In the latter category, the DOE investment is significantly larger than that of any other agency, due primarily to the planning, construction, and operationof Nanoscale Science Research Centers (NSRCs) located at DOE laboratories. The NSRCs operate as user
facilities, with access based on submission of proposals that are reviewed by independent evaluation
boards, and at no cost for nonproprietary work. The NSRCs support synthesis, processing, fabrication,
and analysis at the nanoscale and are designed to be state-of-the-art user centers for interdisciplinarynanoscale research, serving as an integral part of DOE’s comprehensive nanoscience program thatencompasses new science, new tools, and new computing capabilities.
Department of Homeland Security
Department of Homeland Security (DHS) interests in nanoscience are primarily focused on the application of nanoscale materials and devices that provide enhancements in component technology performance for homeland security applications. The applications for the efforts described below are in threat
detection for enhanced security for aviation, mass transit, and first responders:•• Materials toolbox: These efforts are focused on the development of materials systems that allow
systematic control of chemical and structural features from molecular scales (functional groups)
through nano- and microscales. The ability to precisely tune material properties is critical for
successful development of improved active sensor surfaces and analyte collection substrates
as well as development of novel sensing structures and arrays.
•• Advanced preconcentrators: The DHS Science and Technology Directorate is currently investigating the development of high-performance preconcentrators for use in next-generation
detection systems. The focus of these efforts is the development of nano- and microscalematerials that enable radio-frequency and optical control of device temperature. To date,
several functional prototypes have been demonstrated. Commercialization of these devices iscurrently being pursued.

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The NNI•• Advanced sensing platforms: Work on the development of multimodal carbon nanotube sensing
platforms continues with industry partners. The emphasis of these efforts is on developmentof manufacturing techniques for low-cost sensor platforms.
Department of Justice/National Institute of Justice
The National Institute of Justice (NIJ) investment in nanotechnology furthers the Department of Justice’s(DOJ) mission through the sponsorship of research that provides objective, independent, evidencebased knowledge and tools to meet the challenges of crime and justice, particularly at the state andlocal levels. New projects are awarded on a competitive basis, and therefore, total investment may
change each fiscal year. However, NIJ continues to view nanotechnology as an integral component of
its research and development portfolio as applicable to criminal justice needs.
Department of Labor/ Occupational Safety and Health Administration
The Department of Labor (DOL) Occupational Safety and Health Administration (OSHA) plays an integralrole in nanotechnology by protecting the nation’s workforce. Through the NNI interagency efforts, OSHA
accomplishes its mission by collaborating and sharing information with other Federal agencies. As partof this effort, OSHA’s goal is to educate employers on their responsibility to protect workers and educate them on safe practices in handling nanomaterials. OSHA is developing guidance and educational
materials promoting worker safety and health that will be shared with the public and through the NNI.
In addition, OSHA is interested in ensuring responsible and sustainable nanotechnology by promoting and developing manufacturing processes that take safety and health into consideration from thedesign of manufacturing systems throughout the entire lifecycle of the material in use, wherever there
is potential for worker exposure. To achieve this objective, OSHA is participating in the nanomanufacturing signature initiative and collaborating with Environmental Protection Agency (EPA) and the
National Institute for Occupational Safety and Health (NIOSH) to promote sustainable development in
the manufacturing process. This involves development of nanomanufacturing processes that take into
account exposure control measures to eliminate or reduce worker exposure from the outset.
Department of StateThe Department of State (DOS) actively participates in the NNI in order to identify and promote multilateral and bilateral scientific activities that support U.S. foreign policy objectives, protect national security
interests, advance economic interests, and foster environmental protection. International scientific collaboration enhances existing U.S. research, development, and innovation programs. Nanotechnology’s
enormous potential to address global challenges relating to water, health, and energy renders it an
ideal subject for collaboration on pre-competitive and non-competitive research. DOS assists NNI
member agencies to establish partnerships with counterpart institutions abroad by holding regular
joint committee meetings with representatives from over forty countries. These meetings are governedby binding science and technology agreements that facilitate exchange of scientific results, provide
for protection and allocation of intellectual property rights and benefit sharing, facilitate access forresearchers, address taxation issues, and respond to the complex set of issues associated with economic
development, domestic security, and regional stability. More broadly, through chairmanship of the NSET
Subcommittee’s Global Issues in Nanotechnology (GIN) Working Group, DOS coordinates U.S. Federal

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Government interactions with foreign governments and multilateral institutions to foster mutually
beneficial cooperation on nanoscale science and technology, to develop an international marketplace
for nanotechnology products and ideas, and to establish a framework for the safe, secure, and responsible use of nanotechnology. DOS also leads efforts in the Working Party on Nanotechnology (WPN)of the Organisation for Economic Co-operation and Development (OECD), the Strategic Approach toInternational Chemicals Management (SAICM), and other international organizations to communicate
these precepts globally to key policymakers and stakeholders.
Department of Transportation
The Department of Transportation’s (DOT) Federal Highway Administration (FHWA) sees great promisein the application of nanotechnology to help solve long-term highway and transportation researchneeds in support of DOT’s strategic goals: Safety, Livable Communities, State of Good Repair, Economic
Competitiveness, and Environmental Sustainability. By strategically investing in focused research areas
and leveraging investments in nanoscale technology by other NNI partners and Federal agencies,
industry, and academia, FHWA aims to accelerate the capability to provide safer, more efficient, longerlasting highway transportation systems. Based on the findings of a March 2009 workshop of experts fromacademia, DOT, and other Federal agencies, FHWA’s Exploratory Advanced Research Program is investingin nanoscale research to address key highway research issues in infrastructure, safety, operations, andthe environment. Nanotechnology promises breakthroughs in multiple areas, offering a potential forsynergy and benefits across many traditional highway research focus areas.
The development of innovative materials and coatings can deliver significant improvements in durability, performance, and resiliency of highway and transportation infrastructure components. Nanoscaleengineering of traditional transportation infrastructure materials (e.g., steel, concrete, asphalt, and othercementitious materials, as well as recycled forms of these materials) offers great promise. Developments
in nanoscale sensors and devices may provide cost-effective opportunities to embed and employ
structural health monitoring systems to continuously monitor corrosion, material degradation, andperformance of structures and pavements under service loads and conditions. In addition, thesedevelopments might provide multifunctional properties to traditional infrastructure materials, suchas the ability to generate or transmit energy. Nanoscale sensors and devices may also enable a costeffective infrastructure that communicates with vehicle-based systems to assist drivers with tasks suchas maintaining lane position, avoiding collisions at intersections, and modifying or coordinating travel
behavior to mitigate congestion or adverse environmental impacts. Other environmental applications
include sensors to monitor mobile source pollutants and air, water, and soil quality.
FHWA’s long-term strategy is to continue targeted investment in select areas while building an appreciation for highway research needs with NNI partners and the broader nanoscale research community
in order to augment longstanding partnerships and make significant progress toward improving thenation’s highway and transportation systems.
Department of Treasury
The Department of the Treasury (DOTreas) works through the NSET Subcommittee to help the NNI
achieve its vision congruent with the DOTreas: to serve the American people and strengthen national
security by managing the U.S. Federal Government’s finances effectively, to promote economic growth

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The NNI

and stability, and to ensure the safety, soundness, and security of U.S. and international financial systems.
DOTreas monitors those aspects of developing nanotechnology that could most effectively assist theexecution of its role as the steward of the U.S. economic and financial systems, and as an influential
participant in the global economy. DOTreas seeks to assess and utilize nanotechnology in the dischargeof its responsibilities, including advising the President on economic and financial issues, encouraging
sustainable economic growth, and fostering improved governance in financial institutions. It seeks toharness those aspects of nanotechnology R&D that will allow it to better operate and maintain systems
that are critical to the nation’s financial infrastructure, such as the production of coin and currency.
Interactions with the NSET Subcommittee help DOTreas as it endeavors to capture developments innanoscale science and engineering that are changing the parameters of its domestic and international
operations, particularly those impacting its critical national security-related activities in implementing
economic sanctions against foreign threats to the United States, identifying and targeting the financial
support networks of national security threats, improving the safeguards of U.S. financial systems, andcreating new economic and job opportunities to promote economic growth and stability at home andabroad.
Environmental Protection Agency
The Environmental Protection Agency (EPA) has a dual interest in nanotechnology for the protection ofhuman health and the environment. First, EPA is interested in understanding the potential implicationsof engineered nanomaterials, including understanding how nanomaterials can be designed and used inways that minimize any adverse public health or environmental impacts. Second, the EPA is interested
in the potential of nanotechnology to improve the environment, including its use for environmental
sensing, remediating pollutants, and for replacing more-toxic substances. Both interests have foundations in the theme of achieving sustainability in use of nanotechnology.
Potentially, nanotechnology offers transformational capabilities for a vast array of products and processes, including those that enhance environmental quality and sustainability. To help nanotechnology
create maximum societal benefits and to minimize its potential environmental impacts, EPA works with
its Federal partners within the NSET Subcommittee to ensure that research gaps are covered, criticalissues are addressed, and information is communicated to all interested stakeholders.
Food and Drug Administration
Nanomaterials often have chemical, physical, or biological properties that are different from those of
conventional materials. Such differences may include altered magnetic, electrical, or optical properties,
structural integrity, and chemical or biological activity. Because of researchers’ ability to engineer suchproperties, nanomaterials have great potential for use in a vast array of products, including products
regulated by the Food and Drug Administration (FDA). Also, because of some of their special properties,
nanomaterials may pose different or additional issues for toxicologic, safety, and effectiveness assessments. As such, there is a growing need for scientific information and tools to help better predict or
detect the potential impact of nanomaterials on human and animal health.
FDA nanotechnology investments are focused on enabling the agency to characterize nanotechnologybased products, develop models for safety and effectiveness assessment, and study the behavior of
nanomaterials in biological systems and their effects on human health. These investments support

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FDA’s mission to protect and promote public health and help ensure the responsible development of
nanotechnology.
FDA also continues to foster and develop collaborative relationships with other Federal agencies
through participation in the NNI and the NSET Subcommittee, as well as with sister regulatory agencies, international organizations, healthcare professionals, industry, consumers, and other stakeholders.
These collaborations allow information to be exchanged efficiently and serve to identify research needs
related to the use of nanomaterials in FDA-regulated products. Although FDA activities are relevant toall four NNI goals, FDA efforts are primarily focused on Goal 4, to facilitate responsible developmentof nanotechnology, in three FDA priority areas: (1) building laboratory and product testing capacity,(2) establishing scientific staff development and training, and (3) engaging in collaborative and interdisciplinary research to address product characterization and safety.
Forest Service, U.S. Department of Agriculture
Nanotechnology has enormous promise to bring about fundamental changes in and significant
benefit from our nation’s use of renewable resources. For example, cellulose nanofibers and cellulose
nanocrystals derived from trees: (1) are renewable; (2) are produced in trees via photosynthesis fromsolar energy, atmospheric carbon dioxide, and water; (3) store carbon; and (4) depending upon how
long cellulose-based products remain in service, are carbon negative or carbon neutral. These cellulosic
nanomaterials have strength properties greater than Kevlar®, have piezoelectric properties equivalent
to quartz, and can be manipulated to produce photonic structures. The USDA Forest Service’s (FS/USDA)
Forest Products Laboratory, in collaborations with Purdue University and others, has been conducting
research on characterization, predictive modeling, surface modification, and sensor applications ofcellulose nanocrystals. Current global research directions in cellulose nanomaterials indicate that thismaterial could be used for a variety of new and improved product applications such as lighter andstronger paper and paperboard products; lighter and stronger building materials; wood productswith improved durability; barrier coatings; body armor; automobile and airplane composite panels;
electronics; biomedical applications; and replacement of petrochemicals in plastics and composites.
The U.S. forest products industry, the major supplier and a user of cellulose nanomaterials, through theAmerican Forest & Paper Association Agenda 2020 Technology Alliance, has initiated a Cooperative
Board for Advancing Nanotechnology (CBAN).
Through participation in the NNI and representation on the NSET Subcommittee, USDA Forest Service
R&D has begun partnering with other Federal entities (e.g., NIST, NSF, DOE, DOD), industry, and academia
to develop the pre-competitive science and technology critical to the economic and sustainable production and use of new high-value, nanotechnology-enabled forest-based products. Participation in the
NNI and the NSET Subcommittee has helped create a favorable environment for increased Forest Service
investment in nanotechnology R&D. Forest Service nanotechnology research has contributed broadly
to the NNI program component areas, with primary emphasis on fundamental nanoscale phenomena
and processes (PCA 1); nanomaterials (PCA 2); nanoscale devices and systems (PCA 3); instrumentation
research, metrology, and standards (PCA4); and nanomanufacturing (PCA5); with possible future investment in environment, health, and safety (PCA 7).

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The NNI

Intelligence Community/Director of National Intelligence
There are several agencies within the intelligence community (IC) that conduct nanotechnology researchand development. The National Reconnaissance Office (NRO) has an R&D program that focuses onnanoelectronics, nanomaterials, and energy generation and storage using nanotechnologies.
In nanoelectronics, both analog and digital, the emphasis is on ultralow power for terrestrial data centersand radiation-hardened ultralow power for satellites. Carbon-based nanoelectronics are compatible
with today’s microelectronics and the foundries that produce them. A major focus going forward will
be on ultradense, ultralow-power nonvolatile memory for saving power in data centers and satellites,
replacement for today’s silicon logic, and advanced linear analog nanoelectronics for next-generation
communications and radar systems. These nanoelectronics will transform today’s systems into advanced
capabilities that will solve tomorrow’s IC challenges.
Nanomaterials, both carbon-based sheets and threads, will be used to develop advanced ultralight,
ultrastrong composites for satellites, unmanned aircraft, and advanced body armor. Carbon-based
threads will be used to develop novel ultralightweight cables and wires for satellites, aircraft, and data
centers that reduce weight by as much as 80% and deliver more data signals and power than conventional copper wires and cables.
Nanotechnologies are being applied to solar cells to achieve 35% near-term efficiency and develop 40%
to 47% efficiencies in the mid-term for use in space. With the application of 10 to 1000 times normal
sunlight (concentration), 52% to 61% efficiency can be achieved for terrestrial use, as defined by current
research. Carbon-based nanomaterials are also being developed for advanced lithium ion batteries
with 3–5 times more power, more rapid rechargeability, and much lighter weight than current lithium
ion batteries.
Nanotechnology provides the IC with transformative and game-changing capabilities not achievablewith conventional electronics, materials, or power technologies, and with greatly reduced size, weight,
and power. The NSET Subcommittee provides an open forum where agencies can describe their nanotechnology portfolios to other agencies, making them aware of progress achieved. It also affords theopportunity to collaborate to further accelerate nanotechnology R&D, prototyping, nanomanufacturing,in situ and post-product metrology, and final transition to acquisition programs.
National Aeronautics and Space Administration
The three prime drivers for the National Aeronautics and Space Administration’s (NASA) aerospaceresearch and development activities are to (1) reduce vehicle weight, (2) enhance performance, and(3) improve safety, durability, and reliability. Nanotechnology is a tool to address each of these drivers. Nanotechnology research at NASA is focused in four areas: engineered materials and structures;
energy generation, storage, and distribution; electronics, sensors, and devices; and propulsion. This
research is conducted through a combination of in-house activities at NASA research and flight centers,competitively funded research with universities and industry, and collaborations with other agencies,
universities, and industry. Through the University Research Centers Program, NASA has also fundednanotechnology research at minority-serving institutions, including the Center for Advanced Nanoscale

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Materials at the University of Puerto Rico and the High Performance Polymers and Composites Centerat Clark Atlanta University.
NASA has participated in the NNI since its inception and is committed to partnering with other member
agencies to identify key technical challenges in nanotechnology R&D, focus resources to address thesechallenges, and accelerate the development of nanotechnology breakthroughs and their translation
into commercial products.
National Institute of Food and Agriculture, U.S. Department of Agriculture
The National Institute of Food and Agriculture (NIFA) of the U.S. Department of Agriculture (USDA),
established by the 2008 Farm Bill, serves the nation’s needs by supporting exemplary research, education, and extension to address challenges. NIFA’s mission is to lead food and agricultural sciences to help
create a better future for the nation and the world. NIFA’s current priority areas are (1) global food security
and hunger, (2) climate change, (3) sustainable bioenergy, (4) nutrition and childhood obesity, and (5)food safety. Nanoscale science, engineering, and technology have demonstrated their relevance andgreat potential to enable revolutionary improvements in agriculture and food systems, including plant
production and products; animal health, production, and products; food safety and quality; nutrition,
health, and wellness; renewable bioenergy and biobased products; natural resources and the environment; agriculture systems and technology; and agricultural economics and rural communities.
NIFA’s predecessor agency was among the early participating agencies in the NSET Subcommittee7,
joining in 2002, and that agency (later, NIFA) has actively participated in and contributed to NNI activities ever since. The NNI provides a solid platform on which NIFA can effectively explore opportunties
in nanoscience and nanotechnology to address critical societal challenges facing agriculture and foodsystems through coordination, collaboration, and leveraging resources with other Federal agencies.
Scientific discoveries and technological breakthroughs inspire agricultural and food scientists to seeknovel solutions. The extensive infrastructure networks developed by the NNI enhance the productivity
and expand the capability of agricultural and food science research and development in academia andindustry. NIFA actively contributes to and benefits significantly from its participation in the NNI activities to identify research gaps and opportunities through workshops and discussions, to support public
engagement and communication, to facilitate public-private partnerships in close collaboration withindustry, and to participate in and promote international information exchanges and cooperation. NIFA
also supports multiagency joint research efforts of common interest and importance as appropriate toits mission, goals, and objectives. The agency’s nanotechnology programs have broadly contributed to
the NNI, with primary emphasis on fundamental nanoscale phenomena and processes (PCA 1); nanomaterials (PCA 2); nanoscale devices and systems (PCA 3); environment, health, and safety (PCA 7); andeducation and societal dimensions (PCA 8). NIFA’s SBIR program also supports innovative nanotechnology R&D throughout its broad topic areas.
National Institutes of Health
The National Institutes of Health (NIH), a part of the U.S. Department of Health and Human Services(DHHS), is the primary Federal agency for conducting and supporting medical research. The NIH mission
7. NIFA participated in the NNI as the USDA’s Cooperative State Research, Education, and Extension Service (CSREES)
until it was reorganized and renamed in 2009.

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is to seek fundamental knowledge about the nature and behavior of living systems and the application ofthat knowledge to enhance health, lengthen life, and reduce the burdens of illness and disability. Toward
this end, NIH leadership realizes that advances in nanoscience and nanotechnology have the potential
to make valuable contributions to biology and medicine, which in turn could contribute to a new era inhealthcare. The Federal agencies’ R&D investments, for example, have resulted in advanced materials,
tools, and nanotechnology-enabled instrumentation that can be used to study and understand biological processes in health and disease. The NIH-supported R&D efforts, in particular, are bringing about
new paradigms in the detection, diagnosis, and treatment of common and rare diseases, resulting in
new classes of nanotherapeutics and diagnostic biomarkers, tests, and devices.
The NIH became a participant in the NNI in 2001. The NNI serves as a framework within which the NIH
can work collaboratively with other agencies to address some of the most perplexing challenges in thedevelopment and application of nanotechnologies for biomedical applications. Through this interagency
planning, coordination, and communication, scientists are addressing key challenges by:•• Understanding the manner in which nanoscale building blocks and processes integrate andassemble into larger systems and how these processes can be precisely controlled to achieve
predictable outcomes.
•• Learning how to design nanomaterials that can seamlessly and functionally integrate withtissues of the body to perform biological functions.
•• Developing “top-down” and “bottom-up” engineering approaches to control properties thatallow the identification, characterization, and quantification of biological molecules, chemicals,
and structures for early-stage changes or progression in a disease state.
•• Engineering complex, theranostic-based nanoparticles and nanodevices to target therapies
and diagnose the progress of treatments.
•• Adopting new materials, nanotechnology-enabled tools, and analytical instruments fromdiverse fields of research.
The NIH continues to support the NNI by stimulating R&D in nanoscience and nanotechnology throughboth intramural and extramural funding activities in all eight program component areas, with major
financial investments in fundamental nanoscale phenomena and processes (PCA 1), nanomaterials(PCA 2), and nanoscale devices and systems (PCA 3). For more information on specific topics funded by
the NIH, please visit the NIH Research Portfolio Online Reporting Tool at http://report.nih.gov. The NIH
plays a substantative role in developing scientific understanding of how to design nanomaterials forsafe use in manufacturing and in medical treatments. The National Cancer Institute (NCI), for example,
established the Nanotechnology Characterization Laboratory, which has developed a comprehensive
assay portfolio for the assessment of the safety of nanoparticles in in vivo applications, and the National
Institute of Environmental Health Sciences (NIEHS) and the National Toxicology Program have focusedon assessing properties relevant to the chronic exposure of workers to nanomaterials. The NIH institutes
also support large centers grants, program grants, and small businesses whose technologies or products
are licensed or currently undergoing Phase I–III clinical trials.

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National Institute for Occupational Safety and Health
The National Institute for Occupational Safety and Health (NIOSH) is responsible for conducting researchand providing guidance to protect the health and safety of people at work. Workers are generally the firstpeople in society to be exposed to the hazards of an emerging technology, and nanotechnology is no
exception. The workplaces where nanomaterials are developed, investigated, manufactured, used, anddisposed of are quite varied and span all economic sectors. To protect the health and safety of workers
in all these workplaces, NIOSH has mounted a concerted R&D and public outreach effort that includes
hazard identification, exposure assessment, risk characterization, and risk management.
NIOSH toxicology studies have provided better understanding of the ways in which some types ofnanoparticles may enter the body and interact with the body’s organ systems; however, the breadth anddepth of such research efforts have been limited to a few nanoparticle types. More types of engineered
nanoparticles need to be assessed for characteristics and properties relevant for predicting potential
health risks. The toxicology studies will serve as a starting point to identify the priority materials forfurther risk assessment, exposure evaluations, and risk management practices.
NIOSH field investigators have assessed exposure to engineered nanoparticles in a limited numberof workplaces, but few data exist on the full extent and magnitude of workers’ exposures to broad
categories of nanoparticles in workplaces that manufacture or use nanomaterials, nanostructures, andnanodevices. This effort will allow NIOSH field investigators to expand the scope of assessment and thenumber and type of facilities that can be assessed.
NIOSH guidance is a first step toward controlling nanoparticles in the workplace; however, more researchis needed on the efficacy and specificity of engineering and work-practice control measures. Significantly
more field research is needed to develop guidance, based on evaluating possible short- and long-term
health risks in nanotechnology workers, and to develop guidance for medical surveillance and prospective epidemiologic studies.
NIOSH will continue to work with the NNI and a broad range of national and international partners todevelop research-based information and guidance to protect workers involved with nanomaterials. The
results being produced by NIOSH will continue to serve as the foundation for meeting the critical NNI
research needs related to human exposure assessment, exposure mitigation, risk assessment techniques,risk management practices, and human medical surveillance and epidemiology. NIOSH has developed
formal collaborations with the National Toxicology Program (NIEHS), CPSC, OSHA, and DOD. It has also
developed productive informal interactions with additional agencies, including EPA, NIST, DOE, and FDA.
National Institute of Standards and Technology
Advancing nanoscale measurement science, standards, and nanotechnology is an important component of the National Institute of Standards and Technology (NIST) mission to promote U.S. innovationand industrial competitiveness. From leading cutting-edge research to coordinating the developmentof standards that promote trade and enable regulation of nanotechnology-based products, NIST’snanotechnology program directly impacts priorities important to the nation’s economy and well-being.
The NNI-related research conducted in NIST’s laboratories and user facilities develops measurements,
standards, and data crucial to a wide range of industries and Federal agencies, from the development of
new spectroscopic methods needed to increase efficiency in advanced photovoltaics, to the develop-

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The NNI

ment of the reference materials and data necessary to accurately quantify and measure the presence andimpact of nanomaterials in the environment. NIST further supports the U.S. nanotechnology enterprisefrom discovery to production through the Center for Nanoscale Science and Technology (CNST) user
facility, created under the NNI as the only national nanotechnology center with a focus on commerce.
The CNST provides industry, academia, NIST, and other Federal agencies with access to world-classnanoscale measurement and fabrication methods and technology. NIST also accelerates U.S. innovation in nanotechnology by funding high-risk, high-reward research through the Technology Innovation
Program (TIP), including targeted investments in nanomanufacturing research.
The NNI has enabled NIST to prioritize and coordinate nanotechnology research in numerous areas,
most notably in nanoelectronics, nanomanufacturing, energy, and environmental, health, and safety
aspects of nanomaterials (nanoEHS). NIST is working closely with other NNI agencies in planning andimplementing the nanotechnology signature initiatives related to nanomanufacturing and energy.
Through activities of the NSET Subcommittee’s Nanotechnology Environmental and Health Implications(NEHI) Working Group, NIST has received input from a broad range of stakeholders on the criticalmeasurement science and measurement tools—protocols, standards, instruments, models, and validated data—required for risk assessment and management of engineered nanoscale materials andnanotechnology-based products. This input has been essential to the development of NIST’s nanoEHS
program, including planning goals and milestones.
NIST staff members participate widely in nanotechnology-related standards development and international cooperation activities in order to promote transfer of NIST research, technology, and measurement services, and to advance NNI objectives within the Department of Commerce mission. The
development of nanotechnology standards and guidelines is conducted through international fora
such as the International Organization for Standardization’s Technical Committee 229, the International
Electrotechnical Commission’s Technical Committee 113, ASTM International’s Committee E56, or the
OECD’s Working Party on Manufactured Nanomaterials, supported by NIST staff in important leadershiproles and coordinated with other agencies through the Global Issues in Nanotechnology (GIN) Working
Group.
National Science Foundation
The National Science Foundation (NSF) supports fundamental nanoscale science and engineering inand across all disciplines. It also advances nanotechnology innovation through a variety of translational
research programs and by partnering with industry, states, and other agencies.
The NSF nanotechnology investment in 2010 supported over 4,500 active projects, over 30 research
centers, and several infrastructure networks for device development, computation, and education. It
impacted over 10,000 students and teachers. Approximately 150 small businesses have been funded toperform research and product development in nanotechnology through the Small Business Innovation
Research (SBIR) and Small Business Technology Transfer (STTR) programs. NSF’s nanotechnology researchis supported primarily through grants to individuals, teams, and centers at U.S. academic institutions.
The efforts in team and center projects have been particularly fruitful because nanoscale research andeducation are inherently interdisciplinary pursuits, often combining elements of materials science,engineering, chemistry, physics, and biology.

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Fundamental changes envisioned through nanotechnology require a long-term R&D vision. NSF
sponsored the first initiative dedicated to nanoparticles in 1991, the 1997–1999 program Partnershipin Nanotechnology, and produced the 1999 interagency report Nanotechnology Research Directions:
Vision for Nanotechnology in the Next Decade, adopted as an official NSTC document in 2000. NSF
continues to push the frontiers of science and technology innovations through continual interaction
with the nanotechnology community, new programs, and ongoing evaluation of current investments.
The NSF-led study Nanotechnology Research Directions for Societal Needs in 2020 was released in 2010
(see: http://wtec.org/nano2/). With input from academic, industry, and government experts from over
35 countries, the report addresses the progress and impact of nanotechnology since 2000 as well as thevision and research directions for nanotechnology in the next ten years.
NSF supports the three NNI nanotechnology signature initiatives through core programs and new
solicitations. NSF requested additional funds in 2011 for nanomanufacturing to support new concepts
for high-rate synthesis and processing of nanostructures, nanostructured catalysts, nanobiotechnology
methods, and methods to fabricate devices, assemble them into systems, and then further assemble
them into larger-scale structures of relevance to industry. Environmental, health, and safety implicationsof nanotechnology, including development of predictive toxicity of nanomaterials, will be investigatedin three dedicated multidisciplinary centers and in over 60 other smaller groups.
NSF has a focus on addressing education and societal dimensions of nanotechnology. Education-related
activities include development of materials for schools, curricula for nanoscience and engineering,new teaching tools, undergraduate programs, technical training, and public outreach programs. The
Nanoscale Informal Science Education Network (NISEnet) is a national network for nanotechnology education public outreach supported by the NSF. Research directed at identifying and quantifying the broad
implications of nanotechnology for society, including social, economic, workforce, educational, ethical,
and legal implications, is investigated in small groups and in the Nanotechnology in Society Network.
Nuclear Regulatory Commission
The mission of the U.S. Nuclear Regulatory Commission (NRC) is to license and regulate the nation’s civilian use of byproduct, source, and special nuclear materials in order to protect public health and safety,
promote the common defense and security, and protect the environment. NRC’s scope of responsibility
includes regulation of commercial nuclear power plants; research, test, and training reactors; nuclear
fuel cycle facilities; medical, academic, and industrial uses of radioactive materials; and transport, storage, and disposal of radioactive materials and waste. In addition, NRC licenses the import and export ofradioactive materials and works to enhance nuclear safety and security throughout the world.
As a regulatory agency, NRC does not typically sponsor fundamental research or product development.
Rather NRC is focused in part on confirmatory research to verify the safe application of new technologies
in the civilian nuclear industry. Currently the agency’s focus with respect to nanotechnology is to monitor
developments that might be applied within the nuclear industry to help NRC carry out its oversight role.
U.S. Geological Survey, Department of the Interior
At the U.S. Geological Survey (USGS), nanotechnology research involves the effects of nanoparticles
at various levels of biological organization, from the molecular to the ecosystem level (details at

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http://microbiology.usgs.gov/nanotechnology.html). Much of USGS nanotechnology research focuseson assessing the occurrence, fate, and effects of naturally-occurring and engineered chemical contaminants in aquatic environments, or research on methods of detection of metal nanomaterials. Several
programs provide information on nanoparticles or other contaminants, including the Contaminant
Biology Program (http://biology.usgs.gov/contaminant/), the Toxic Substances Hydrology Program(http://toxics.usgs.gov/), the National Research Program (http://water.usgs.gov/nrp/), and the Water
Resources Research Institutes (http://water.usgs.gov/wrri/index.html). The NNI, through regular NSET
Subcommittee meetings and activities within the NSET working groups, provides mechanisms for USGS
to share information on nanotechnology research and to collaborate with other agencies.
The U.S. International Trade Commission
The U.S. International Trade Commission (USITC) is an observing member of the NSET Subcommittee.
The USITC representative attends meetings to keep the Commission abreast of current trends and issues
related to nanotechnology that may have the potential to impact international trade.
U.S. Patent and Trademark Office
The strength and vitality of the U.S. economy depends directly on effective mechanisms that protect
new ideas and investments in innovation and creativity. The U.S. Patent and Trademark Office (USPTO)
is at the cutting edge of the nation’s technological progress and achievement as the Federal agency
responsible for granting patents, registering trademarks, and providing intellectual property policy
advice and guidance to the Executive Branch. Through its participation in the NNI, and working withother agencies through the NSET Subcommittee, the USPTO has made several improvements to its
processes to keep pace with the rapid advances being made in this area. Notably, the USPTO adopted the
NNI definition of nanotechnology in its development of the first detailed, patent-related nanotechnology
classification hierarchy of any major intellectual property office in the world. The USPTO has also used
the networking and information-sharing opportunities presented by participation in the NNI to establish nanotechnology-related training opportunities for patent examiners. The USPTO has significantly
contributed to the NNI by providing advice on patent and other intellectual property-related matters,
as well as contributing a variety of nanotechnology-related patent data, which have been used as abenchmark to analyze nanotechnology development and to perform trend analysis of nanotechnology
patenting activity in the United States and globally.

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Goals and Objectives
The NNI vision is supported by the four NNI goals. All four are equally critical to the success of the NNI and
are interdependent. This interconnection is specifically recognized, as appropriate, in the following sections that describe shared NNI objectives, organized by NNI goal. Recurring themes that are particularly
relevant for the realization of these objectives include the need for documentary standards; educationand training; consideration of ethical, legal, and societal implications; public engagement; and environmental, health, and safety research. Based on extensive external and stakeholder input, the NNI agencies
have assembled the objectives that follow. To the extent possible, these are specific and measurable,with targeted time frames of three to five years unless otherwise indicated. Although not all member
agencies are responsible for fulfilling all objectives, the NSET Subcommittee has identified objectives
that are supported by the relevant agencies and are both realistic and extending. The Subcommittee has
attempted to recognize available resources and functional limits while also being far-sighted in terms ofaccelerating innovation and progress toward achieving the NNI goals. NNI agencies also independently
continue to contribute to the achievement of all four goals through a number of their own activities,
which are reported on an annual basis in the NNI supplement to the President’s Budget.8
The actions and associated resources required to implement the goals of this plan will need to be prioritized in the context of other U.S. Government priorities. This document is not intended as an inherent
justification to seek increased budgetary authority. The goals and objectives may be achieved throughreprioritization and reallocation of existing resources. It is expected that departments and agencies willconsider this document in their internal prioritization and planning processes.

Goal 1: Advance a world-class nanotechnology research and development
program.
The NNI continues to expand the boundaries of knowledge and develop technologies through comprehensive and focused R&D within the participating agencies. The overarching objective of Goal 1 isto advance nanoscience and nanotechnology through the implementation of the objectives described
below. Progress in R&D will depend upon the availability of a skilled workforce, infrastructure, and tools(Goal 3) and will lay the foundation for responsible incorporation of nanotechnology into commercial
products (Goals 2 and 4).

Goal 1 Objectives
1.1 Continue to support R&D at the frontiers and intersections of scientific disciplines in the formof intramural and extramural programs targeting single investigators, multi-investigator andmultidisciplinary research teams, and centers for focused research.
The broad NNI R&D portfolio invests at the frontiers and intersections of many disciplines, including biology,
chemistry, ecology, engineering, geology, materials science, medicine, physics, and social sciences. Activities
targeted toward this goal include support for fundamental research, use-inspired research, applications
8 Available at http://nano.gov.

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research, and technology development. The research efforts of the NNI agencies continue to be executed
through a balanced mix of funding ranging from single-investigator grants to research centers and user
facilities, each of which plays a unique and vital role in the discovery and innovation process.
1.2 Develop at least five broad interdisciplinary nanotechnology initiatives that are each supported by three or more NNI member agencies and support significant national priorities.
No single agency within the Federal Government has the mission or breadth of expertise to fully exploit
the opportunities presented by nanotechnology, or to execute all the requisite research. Thus, in certain
key areas, it is essential to coordinate particular NNI R&D programs across multiple agencies. NNI member
agencies will identify topical areas that can most benefit from close and targeted interagency interaction,or nanotechnology signature initiatives. These will be implemented through the broad range of funding
mechanisms identified in Objective 1.1 and will be coordinated to foster innovation and accelerate nanotechnology development.
1.3 Identify and support goal-oriented nanoscale science and technology research aimed
at national priorities informed by active engagement with academia, industry, and otherstakeholders.
Successful commercialization of nanotechnology (Goal 2) will depend on the scientific quality of research;better understanding of the potential environmental, health, and safety implications of nanotechnology;
and cognizance of its relevance and competitiveness in the marketplace. The NNI member agencies will continue to work with academia and across industry sectors to gather input and feedback on Federal research.
This continuous engagement will facilitate the effective transition of nanotechnology from discovery to themarketplace. Such engagement could be fostered via means such as matching funds, partnerships, consortia,
and planning exercises.
1.4 Develop quantitative measures to assess the performance of the U.S. nanotechnology R&D
program relative to that of other major economies, in coordination with broader efforts todevelop metrics for innovation.
Nanotechnology is a worldwide field with significant R&D efforts underway in many countries. In order tomaintain U.S. leadership, it is critical to develop clearly defined metrics to measure the U.S. R&D program
against those of other major economies. Efforts to measure innovation are already underway in other areas,9and the NNI will leverage that existing work.

Goal 2: Foster the transfer of new technologies into products forcommercial and public benefit.
Significant advances have been made in the fundamental understanding of nanotechnology over the
past ten years. While nanotechnology has found its way into commercial products, e.g., in the areasof cosmetics, electronics, and healthcare, a continued emphasis on commercialization is essential to
fully realizing the benefits of nanotechnology R&D to the nation. The purpose of Goal 2 is to establish
9 See, for example, the interagency STAR METRICS Project, an effort to track science investments and innovation(http://scienceofsciencepolicy.net/), and international projects such as the OECD Innovation Strategy, available at
http://www.oecd.org.

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processes to facilitate the responsible (Goal 4) transfer of nanotechnology research (Goal 1) into practical applications and capture its benefits to national security, economic development, and job creation(Goal 3). Successful completion of the objectives of Goal 2 requires close coordination with progress
toward the other three NNI goals.
Several factors are necessary to achieve the successful commercialization of any new technology.
Scalable, repeatable, cost-effective manufacturing methods are required to move the technology fromthe laboratory into commercial products. Both public and private sector investments are needed to help
technologies reach maturity. Maximizing the benefits of nanotechnology developments to the U.S.
economy also requires efforts to remove barriers to global commercialization and an understanding of
the potential markets for a given product.
The NNI fosters technology transfer by facilitating agency engagement with key industry sectors tounderstand their technology needs, by providing industry and the public with access to the results offederally funded nanotechnology research, and by helping to support the creation of a business environment conducive to responsible development of nanotechnology. Partners in this undertaking include
international, regional, state, and local organizations that promote nanotechnology development, as
well as professional societies, trade associations, and other nongovernmental organizations.

Goal 2 Objectives
2.1 Develop robust, scalable nanomanufacturing methods necessary to facilitate commercialization by doubling the share of the NNI investment in nanomanufacturing research over the next
five years.
Nanomanufacturing R&D involves a fundamental understanding of the manufacturing process, including
the development and application of measurement and characterization techniques, reference materials,
and standards. The 2010 review of the NNI by the President’s Council of Advisors on Science and Technology(PCAST)10 recommended a greater emphasis on commercialization by doubling the investment of the Federal
Government in nanomanufacturing. In addition, the PCAST report recommended the initiation of interagency
partnerships, i.e., signature initiatives, within the next 3 years. Along these lines, a nanotechnology signature
initiative in sustainable nanomanufacturing is planned for initiation in FY 2011.
2.2 Increase focus on nanotechnology-based commercialization and related support for publicprivate partnerships, by:
2.2.1. Launching at least five public-private partnerships over the next five years.
2.2.2. Leveraging the NNI nanotechnology signature initiatives (see Goal 1 objectives) to remove
barriers to commercialization of nanotechnology innovations, particularly in areas of highnational need.
2.2.3. Working with U.S. industry across sectors to develop technology “roadmaps” or longterm R&D plans, as appropriate, in support of new public-private partnerships and signature
initiatives.
10 See Appendix A.

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Many nanotechnology products are moving into commercialization phases, and some NNI member agencies
are increasingly collaborating with diverse industry sectors as products are brought to market. The NNI fosters
responsible technology transfer through the NSET Subcommittee and its member agencies engaging with
key industry sectors and collecting and exchanging information and ideas regarding each sector’s technology needs. It also provides a bridge between companies and federally funded nanotechnology research,strengthening Goal 1 outcomes. This collaborative work could be a market driver, potentially enhancing the
U.S. economy and job creation. Such cooperative efforts will be strengthened by supporting public-private
partnerships and by an ongoing effort to work with industry as the technology matures. This effort can also
help mission-oriented agencies’ efforts to expand their applied research and commercialization programs. In
the future, the NSET Subcommittee will explore the feasibility of additional mechanisms such as innovation
clusters, matching funds, and other collaborative efforts to facilitate the commercialization of emerging
technologies.
2.3 Establish and/or sustain national user facilities, cooperative research centers, and regional
initiatives with the goal of accelerating the transfer of nanoscale science from discovery to commercial products, by:
2.3.1. Providing economical access by academia and industry, on both precompetitive and proprietary bases, to state-of-the-art tools and processes, expertise, and training that are critical to
the transition from discovery to advanced prototype, with options for remote use when feasible.
2.3.2. Supporting the establishment over the next five years of at least three self-sustaining
cooperative research centers and/or state and regional economic development initiatives fornanotechnology.
Over the past decade, NNI member agencies have made considerable investments in the developmentof unique national facilities to support nanotechnology R&D. These investments maintain the existing
infrastructures as well as capabilities needed to support both basic research in nanotechnology and commercialization efforts. Further efforts to promote nanotechnology commercialization can be supported
through continuing the development of government-university-industry consortia and economic development initiatives at the state or regional level. The NNI will continue to coordinate with regional, state, andlocal nanotechnology initiatives through activities such as NNI workshops11, webinars, and other events thatprovide a forum for communication and collaboration in this community.
2.4 Assist the nanotechnology-based business community, including small- and medium-sizedenterprises, in understanding the Federal Government’s R&D funding and regulatory environment, by:
2.4.1. Developing and disseminating informational materials documenting funding opportunities (e.g., in the SBIR and STTR programs), state-of-the-art nanotechnology user facilities thatare available to industry, and other resources available from the Federal Government.

11 See http://nano.gov for more information on NNI workshops with regional, state, and local nanotechnology
initiatives.

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2.4.2. Providing informational materials, including points of contact, to explain issues such asenvironmental, health, and safety regulations and export controls pertinent to nanotechnologyrelated products and businesses.
NSET member agencies recognize the need to make the business community aware of Federal Government
resources that are available for helping foster nanotechnology-based commercialization and economic
development efforts, and of the Federal regulations that may apply to these efforts. Small and medium-sizedbusinesses in particular may not have dedicated staff with specialized expertise related to Federal resources
and regulations.
2.5 Increase international engagement to facilitate the responsible and sustainable commercialization, technology transfer, innovation, and trade related to nanotechnology-enabled products
and processes, by:
2.5.1. Increasing the participation of NNI member agencies, when appropriate, in fora addressing
global legal, intellectual property, and regulatory issues related to nanotechnology-enabled
product development.
2.5.2. Enhancing interagency communication and collaboration towards assuring safe nanotechnology-enabled products for domestic and international consumers, through activities
such as developing documentary standards.
The successful commercialization of nanotechnology products in domestic and global markets is dependent
on adequately addressing issues such as intellectual property (IP), return on investment, and environmental,
health, and safety regulations and concerns. NNI member agencies’ continued involvement in activities
related to these issues is needed not only to ensure a safe environment but also to maintain a level playing
field for all involved. For example, ongoing interagency support of development of U.S. and international
documentary standards will facilitate such innovation and product development. Successful commercialization also involves the purposeful integration of the aims of each of the other goals in areas such as safeguarding research and IP investment (Goal 1), maintaining a highly skilled workforce (Goal 3), and ensuring
responsible and sustainable development, including environmental benefits (Goal 4).

Goal 3: Develop and sustain educational resources, a skilled workforce,and the supporting infrastructure and tools to advance nanotechnology.
Fundamental to the continued successful development of nanotechnology is the development of theinfrastructure necessary to support this effort. A substantial investment, strengthened by and dependent
on interagency cooperation and collaboration through the NNI, is needed to develop the talent andresources necessary to achieve the other NNI goals of advancing a world-class R&D program (Goal 1),
fostering the transfer of new technologies into products for commercial and public benefit (Goal 2), andsupporting responsible development of nanotechnology (Goal 4).
Nanotechnology is emerging amid a transformative phase in education in the United States when there
is a widely recognized need to improve science, technology, engineering, and mathematics (STEM) education. The creation in the United States of a world-leading science and technology workforce, including
careers in biomedical science, can be accelerated by nurturing students’ interest in STEM topics. Not

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only do core science concepts underpin nanoscale science and engineering, but the discovery of
emergent properties and behaviors at the nanoscale can create a “wow” factor to inspire students tolearn about nanotechnology and STEM more broadly. Innovations in nanotechnology can be exploitedas vehicles for learning and teaching STEM subjects that students have traditionally found to be too
theoretical or too challenging.
The NNI continues to foster educational programs that develop scientists, engineers, technicians,
production workers, and laboratory personnel (including academic students and trainees) throughmultidisciplinary academic programs, industrial partnerships and federally funded R&D systems.
Extensive infrastructure capabilities, which include the centers and user facilities supporting researchon nanomanufacturing, nanoscale characterization, synthesis, simulation, and modeling that have beendeveloped through the NNI over the past ten years, will continue to be advanced. For the NNI to meetthe goals outlined in this plan, it will be essential in the coming years to connect and coordinate thevast amount of information pertaining to nanotechnology.

Goal 3 Objectives
3.1 Initiate, develop, support, and sustain programs for educating, training, and maintaining askilled nanotechnology workforce.
The demand for technicians and research scientists to work in nanotechnology-related industries is anticipated to increase with the maturation of a number of nanotechnology-enabled products and processes.
With the support of NNI centers, colleges and universities have been offering undergraduate minors andmajors, teacher training, and postgraduate programs in nanoscale science and engineering. In order toprepare high school graduates for careers in nanotechnology-related industries, the NNI member agencies
will work collaboratively to support the development of K–12 STEM (and related, including biomedical) curriculum standards and articulation plans that incorporate problem-based and integrative teaching, whereappropriate. International standards and best practices (e.g., for safe handling of nanomaterials in thelaboratory, as described in Goal 4) will help to inform these developments. Information on nanotechnology
and nanoscience-based career opportunities and workforce needs will strengthen the pursuit of this objective. Online resources should be utilized to help disseminate information about nanotechnology careers andformal education programs in nanotechnology.
3.2 Initiate outreach and informal education programs and publish related information to fostera student population, workforce, and public that are well informed about the opportunities innanotechnology-related industries and the potential impacts of environmental, health, andsafety (EHS) and ethical, legal, and societal implications (ELSI) of nanotechnology.
The information technology (IT) revolution reached the public through its integration into virtually all
aspects of our lives. Whereas “IT” has become a commonplace term associated with specific applications,the technology behind nanotechnology-enabled products may result in tremendous enhancements or
entirely new product properties that might not be explicitly referred to as “nano.” Multiple communication

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tools (e.g., print media, online webcasts and podcasts, museum exhibits, and special events) will be used toachieve this objective.
3.3 Provide, facilitate the sharing of, and sustain the physical R&D infrastructure for nanoscale
fabrication, synthesis, characterization, modeling, design, computation, and hands-on training
for use by industry, academia, nonprofit organizations, and state and Federal agencies, by:
3.3.1. Determining the current capacity and inventory of tools, facilities and supporting infrastructure, and staffing and services that are available, and determining the capacity requirements up to the year 2020.
3.3.2. Developing, operating, maintaining, and sustaining highly advanced tools, infrastructure,and user facilities (including investment, staffing, and upgrades).
Robust nanotechnology R&D and technical advancement will require the support of a state-of-the-art physical infrastructure that is widely accessible. The specialized capability, equipment, and structures needed fornanoscience R&D are prohibitively expensive for small enterprises and educational institutions. Sustained
and predictable access to a broad range of state-of-the-art instrumentation and facilities for synthesis,
processing, fabrication, characterization, modeling, and analysis of nanomaterials and nanosystems,
including bio-nanosystems, is needed to achieve this objective. In most cases, no single researcher or evensingle institution can justify funding the acquisition of and support for all necessary tools, and therefore user
facilities that provide access to researchers from multiple sectors, including academia and industry, serve a
critical role. Such facilities have the ability to co-locate a broad suite of necessary nanotechnology tools, tomaintain these tools at the leading edge, and to provide staff with expertise to ensure the most productive
use of the tools. In addition, they provide an outstanding setting for hands-on training of nanotechnology
researchers.
The extensive infrastructure established by the NNI over the past ten years will be upgraded and sustained
based on evaluations of the need and capacity requirements. International best practices will be incorporated into the current infrastructure, as appropriate. Extensive publicity and dissemination of information
will help to reach the nanotechnology sector, especially small and medium enterprises, to ensure that thisinfrastructure is accessible to all and well utilized.

Goal 4: Support responsible development of nanotechnology.
Responsible development of nanotechnology is central to advancing a world-class R&D program(Goal 1), educating the workforce and engaging the public (Goal 3), and all aspects of nanomanufacturing and product commercialization (Goal 2). To help integrate responsible development across the
spectrum of nanotechnology, the NNI has developed, with input from stakeholders, a nanotechnologyrelated environmental, health, and safety (EHS) research strategy with a broad, multi-agency perspec-

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a ntive.12 Research in support of Goal 4 provides information and data for research institutions, regulatory
agencies, the public, and industry, helping to assure that nanotechnology-enabled products minimize
adverse impacts and maximize benefits to humans and the environment.
The Goal 4 objectives facilitate and track progress in responsible development and are divided into four
different yet integral sections: public health and environmental protection; domestic and international
engagement; ethical, legal, and societal implications of nanotechnology; and solutions for critical publichealth and environmental challenges.

Goal 4 Objectives
4.1 Incorporate safety evaluation of nanomaterials13 into the product life cycle, foster responsible
development, and where appropriate, sustainability across the nanotechnology innovation
pipeline, by:
4.1.1. Developing and applying:
4.1.1.1. Measurement and screening tools (defined as protocols, standards, models, data,and instruments) to assess the physico-chemical properties of nanomaterials and their
biological effects in the environment and on human health and to quantify exposure acrossthe nanotechnology product life cycle.
4.1.1.2. Models, including risk assessment models, to assess safety of nanomaterials throughout the life cycle of the material or product.
4.1.1.3. Health surveillance models as appropriate for the nanotechnology workforce(including laboratory personnel such as students, technicians, and trainees), consumers,
susceptible populations, and the environment.
4.1.2. Creating mechanisms for appropriate and timely information sharing and dissemination
among stakeholders including academia, industry, legal entities, Federal agencies, regulatorycommunities, governments (e.g., state, local, and tribal), the general public, and other relevant
stakeholders.
4.1.3. Establishing guidance, standards, or other methods to formulate nanotechnology-related
regulatory approaches for domestic and global researchers, manufacturers, distributors, andusers of nanotechnology-enabled products to ensure the protection of public health and theenvironment.
In support of this objective, the NNI Environmental, Health, and Safety Research Strategy14 (“NNI EHS
Research Strategy”) provides a research framework, including exposure and hazard identification across
12 See the NNI Environmental, Health, and Safety Research Strategy, available in early 2011 at http://nano.gov. This
strategy, informed by a series of four EHS-themed stakeholder workshops in 2009–2010, consists of comprehensiveplanning and research coordination, as well as a review of research needs and accomplishments.
13 Consistent with other NNI EHS documents, the term nanomaterials here refers to engineered nanoscale materials,
i.e., those materials that have been purposely synthesized or manufactured to have at least one external dimensionof approximately 1–100 nanometers—at the nanoscale—and that exhibit unique properties determined by this size.
Nanotechnology-enabled products encompass intermediate products that exist during manufacture as well as final
products.
14 Available in early 2011 at http://nano.gov.

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G oa l s a n d O b j e c t i v e s

the nanomaterial and product life cycle, by identifying core research needs in the areas of human exposure,the environment, human health, and measurement tools. The NNI EHS Research Strategy is complemented
by risk assessment and risk management approaches along with research needs in predictive modeling. It
serves as guidance to Federal agencies as they develop their agency-specific nanotechnology EHS strategies
and implementation plans.
4.2 Develop tools and procedures for domestic and international outreach and engagement toassist stakeholders in developing best practices for communicating and managing risk, by:
4.2.1. Identifying information gaps and prioritizing research essential for risk communication andrisk management, which can address potential occupational and product hazards for start-up
and larger companies working with nanomaterials and nanoscale processes, to:4.2.1.1. Assure adequacy of workforce training and risk communication strategies throughactive outreach and engagement.
4.2.1.2. Increase available information for better decision making in assessing and managing
risks from nanomaterials.
4.2.2. Obtaining stakeholder perspectives by developing and using a variety of methods, such as
surveys, workshops, public meetings, and advisory panels; disseminating information throughpublicly accessible summaries of findings; and developing mechanisms for integration of EHS
priorities and assessment methods into national and international regulatory policies.
4.2.3. Communicating available information about assessing and managing potential risks fromnanomaterials and about nanotechnology-related regulatory approaches to both domestic
and global manufacturers.
4.2.4. Increasing U.S. participation internationally in bilateral and multilateral fora and organizations that address stakeholders’ concerns surrounding the development of nanotechnology byproviding information, guidance, training, and capacity-building resources for governments.
The NNI EHS Research Strategy provides details on how the NNI can better develop and disseminate knowledge with a range of stakeholders, and describes NNI efforts to engage internationally in the area of EHS
research. Federal agencies actively engage with other countries on a bilateral and multilateral basis to help
further this objective.
4.3 Identify and manage the ethical, legal, and societal implications (ELSI) of research leading tonanotechnology-enabled products and processes, by:
4.3.1. Increasing the capacity of Federal agencies to identify and address ELSI issues specificto nanotechnology by fostering the development of a community of expertise on ELSI issues
related to nanotechnology and by providing a current resource list of experts that is accessible
to a broad range of users.
4.3.2. Building collaborations among the relevant communities (e.g., consumers, engineers,
ethicists, manufacturers, nongovernmental organizations, regulators, and scientists—including social and behavioral scientists) to enable prompt consideration of the potential risks andbenefits of research breakthroughs and to provide perspectives on new research directions.

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a n

4.3.3. Developing information resources for ethical and legal issues related to intellectual property (IP) and ethical implications of nanotechnology-based patents and trade secrets.
ELSI issues are interwoven with all of the NNI goals and are integrated into each of the research needs
described in the NNI EHS Research Strategy to help Federal agencies consider stakeholder concerns whenidentifying research areas and establishing decision analysis methodologies. The resources embodied bythese objectives will help agencies to develop more robust nanotechnology-related ELSI research portfolios
attuned to their missions.
4.4 Employ nanotechnology and sustainable best practices to protect and improve human healthand the environment, by:
4.4.1. Supporting research to incorporate environmentally benign methods into manufacturing
processes.
4.4.2. Developing technologies to assess the status of human health and ecosystems.
4.4.3. Fostering the use of nanomaterials as safer substitutes for commonly used compounds
that have known adverse effects on human health and the environment.
4.4.4. Creating and implementing methods, nanomaterials, and nanotechnology-enabled
devices to reduce human and environmental exposures to harmful compounds and remediate
environmental contamination.
Nanotechnology can play a role in solving societal challenges such as access to safe food and water, secureliving and work environments, clean and renewable energy, and diagnosis and treatment of diseases ormedical disorders. Research directed at applications is complementary to EHS research; the support of bothis needed to realize the NNI goal of responsible nanotechnology development.

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32 ★

Coordination and Assessment
The NNI is coordinated, planned, implemented, and reviewed by the Nanoscale Science, Engineering,and Technology (NSET) Subcommittee of the Committee on Technology (CoT) of the National Scienceand Technology Council (NSTC). Other components of NNI coordination include thematic NSET working
groups (described below), the National Nanotechnology Coordination Office (NNCO), and the Executive
Office of the President (EOP). Periodic assessment of the NNI by external advisory bodies provides
additional input and guidance to the NNI. Figure 2 shows the relationships between NNI coordination
and assessment bodies. The roles of these entities are further described below.

Nanoscale Science, Engineering, and Technology Subcommittee
The Nanoscale Science, Engineering, and Technology (NSET) Subcommittee was established in 2000
under the NSTC’s Committee on Technology (CoT) to coordinate interagency nanotechnology R&D
activities. The National Nanotechnology Coordination Office (NNCO) was subsequently established as
the point of contact on Federal nanotechnology R&D activities and to provide technical and administrative assistance to the NSET Subcommittee. The 21st Century Nanotechnology Research and Development
Act in December 2003 (hereafter referred to as “the Act”) formalized many of the coordination structuresthat the NSTC had organized, and established additional mechanisms to ensure that the Federal
Government developed sound, informed nanotechnology R&D strategies and policies. This legislation
also created the National Nanotechnology Advisory Panel (NNAP), called for a triennial review of the
NNI by the National Research Council of the National Academies (NRC/NA), and established functions
for the NNCO.
The NSET Subcommittee leads the interagency coordination of the Federal Government’s nanotechnology R&D enterprise by cooperatively coordinating the research, development, communication,and funding functions of the NNI. The NSET Subcommittee develops the NNI Strategic Plan, prepares
the annual NNI supplement to the President’s Budget, and sponsors workshops or other interagency
activities that inform the Federal Government’s nanotechnology-related decision-making processes.15
The high level framework provided by the NNI Strategic Plan establishes goals, objectives, and priorities.
It guides and informs the participating agencies in developing their nanotechnology R&D implementation plans. The subcommittee promotes balanced investment across all of the agencies to address
the critical elements needed to support the development and utilization of nanotechnology. Further,
the subcommittee interacts with pertinent academic, industry, state, and local government groups,
and with international organizations. Each agency participating in the NNI is represented on the NSET
Subcommittee; a list of those agencies is given at the front of this report. A co-chair from the Office of
Science and Technology Policy (OSTP) and a co-chair from an NNI agency lead the NSET Subcommittee,
which meets at least six times each year.

15 Access to information on all NNI-sponsored workshops and complete versions of all reports and related NNI
documents are available at http://nano.gov.

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a n

EOP
OSTP OMB
NNAP*

NSTC
CoT

NATIONAL
ACADEMIES

NNCO

CoS

NSET

GIN

NEHI

NILI

NPEC

Type of Organization
EOP

NSTC

NNI Assessing

NNI Coordinating

Type of Relationship
Formal Reporting
Informal Reporting
Administrative/contractual

Figure 2. Coordination and Assessment of the NNI*Executive order 13349 designates the President’s Council of Advisors on
Science and Technology (PCAST) as the National Nanotechnology Advisory Panel (NNAP).

Working Groups of the NSET Subcommittee
The NSET Subcommittee has chartered four working groups16 to provide a structure to improve theeffectiveness and productivity of the subcommittee and its member agencies in areas that will benefit
from focused interagency attention and activity. These groups are Global Issues in Nanotechnology(GIN); Nanotechnology Environmental and Health Implications (NEHI); Nanomanufacturing, Industry
Liaison, and Innovation (NILI); and Nanotechnology Public Engagement and Communications (NPEC).
The NSET Subcommittee periodically reviews the need for existing or new working groups in terms offocus, intended participation, and scope, as reflected in the groups’ charters.
Global Issues in Nanotechnology (GIN) Working Group
Global issues are interwoven among each of the NNI’s four goals. Member agencies routinely engage
with their international partners on a wide breadth of topics, from joint research programs to standards
development to worker safety. The NSET Subcommittee’s GIN Working Group strives to coordinate and
16 The latest information on each of the NSET working groups is at http://nano.gov.

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Co o r d i nat i o n a n d Ass e ss m e n t

focus these activities in a manner consistent with the NNI vision and U.S. policy. GIN supports each of
the four NNI goals by strengthening international R&D collaboration, capacity building, and engagement on regulatory and trade issues, all of which are essential to the development of a vibrant and safe
global marketplace for nanomaterials and nanotechnology-enabled products. The working groupalso serves as the coordinating body for Federal Government activities in the OECD’s Working Party on
Nanotechnology (WPN), a leading intergovernmental forum that advises upon emerging policy issuesof science, technology, and innovation related to the responsible development of nanotechnology.
Nanotechnology Environmental and Health Implications (NEHI) Working Group
Nanotechnology has the potential to significantly transform society in many key areas including newmaterials, processes, and products. In order to fully realize the promise of nanotechnology, Federal
agencies support research to understand the environmental, health, and safety (EHS) implications of
nanotechnology and provide guidance on the safety of nanomaterials across the product life cycle. The
NSET Subcommittee’s NEHI Working Group provides a forum for focused interagency collaborations
on EHS and leadership in establishing the national nanotechnology EHS research agenda, in addition
to communicating EHS information between NNI agencies and to the public. The combined efforts of
the nanotechnology R&D community, public health advocacy groups, and the public are required to
fully address EHS research priorities and strengthen the scientific foundation of risk assessment and risk
management of nanotechnology. NEHI provides the nexus, as appropriate, for interactions between
agencies and these diverse communities. The sum of these interactions and activities enhances the valueof NNI efforts and provides a collaborative approach to examining public health and environmental
concerns about nanomaterials. NEHI member agencies include those with direct responsibilities for
public, workplace, and environmental safety, and agencies involved in science, education, and policy.
Nanomanufacturing, Industry Liaison, and Innovation (NILI) Working GroupA sustained commitment to nanotechnology-based innovation, made possible by dialogue and partnerships among all the players in the innovation ecosystem, is key to realizing the NNI vision. The NSET
Subcommittee’s NILI Working Group coordinates many activities in this area. NILI promotes and facilitatesexchange of information among Federal agencies, academia, industry, and state, regional, and localorganizations to build U.S. leadership in nanotechnology-based products and manufacturing processes
through activities such as developing a database of nanotechnology-related technology transfer andnanomanufacturing programs across agencies; periodically organizing workshops that bring together
regional, state, and local stakeholders; and supporting the NNI nanotechnology signature initiative on
sustainable nanomanufacturing. In particular, NILI seeks to help the NNI agencies organize coherent
support structures and effective technology transfer practices, making good use of the expertise ofindustry-initiated liaison groups. These liaison groups are a conduit for partnerships between the NNI
and industry sectors and generally represent particular industries (e.g., electronics, chemicals, and forest
products). A significant component of supporting the innovation process is fostering development ofstandard nanotechnology reference materials, terminology, and measurement and characterization
methods. As with the other NSET Subcommittee working groups, communication and engagement
activities are a significant focus of NILI.

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a nNanotechnology Public Engagement and Communications (NPEC) Working Group
Although public engagement and communication activities are critical to each NSET Working Group
achieving its primary goals in support of the NNI vision, there remains a need for focused efforts tounderstand and promote best practices in public engagement and communication activities related tonanotechnology. The NSET Subcommittee’s NPEC working group provides this focus. NPEC promotesand coordinates the efforts of NNI member agencies to educate and involve the public, policymakers,
and stakeholder groups in discussions about nanotechnology, its applications and implications, the workof the NNI, and related topics of special interest. NPEC also assists in the development of research-based
guidance for outreach and engagement among governmental and nongovernmental organizations,the public, and other stakeholders regarding the responsible development of nanotechnology.

National Nanotechnology Coordination Office (NNCO)
The National Nanotechnology Coordination Office (NNCO) serves as a pivotal locus for NNI activity, by
providing technical and administrative support for the NSET Subcommittee; serving as a central point ofcontact for Federal nanotechnology R&D activities, including the NSET working groups; and performing
public outreach and engagement on behalf of the NNI.
NNCO organizes meetings of the NSET Subcommittee and its working groups, providing staff members
to serve as central points of contact and to record and maintain minutes of the meetings. NNCO alsoorganizes NNI-sponsored workshops and prepares and publishes reports of those workshops. It coordinates the preparation and publication of NNI interagency planning, budget, and assessment documents,
such as the annual NNI Supplement to the President’s Budget. NNCO serves as a Congressional liaison bycoordinating the development of information on the NNI and its activities for Congress when requested.
NNCO produces and distributes information for the general public, including brochures, workshop
reports, nanotechnology-related news, educational resources, funding opportunities, and other information, all of which are made available on the NNI website, http://nano.gov. This website, which is designed,
organized, and maintained by the NNCO, also provides information about recent developments in
nanotechnology and NNI activities. The NNCO communications effort is strengthened by relationships
between NNCO staff and key press contacts and public information officers at NSET member agencies.
NNCO staff members prepare and deliver presentations and lectures on NNI activities at professionalsociety meetings and at a wide variety of public venues. NNCO will continue to organize diverse public
input and outreach activities; future examples may include interactive web dialogues, citizen panels,
workshops, and other educational events.
Contributions from the NSET Subcommittee member agencies fund the NNCO. The White House
Co-Chair of the NSTC Committee on Technology appoints the NNCO Director from a Federal agency,
in consultation with the co-chairs of the NSET Subcommittee. The NNCO Director currently serves as
the Coordinator for Standards Development. The NNCO Deputy Director is also detailed from a Federal
agency and has been named as the Coordinator for Environmental, Health, and Safety Research.

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Co o r d i nat i o n a n d Ass e ss m e n t

Executive Office of the President
Representatives from the Executive Office of the President (EOP) participate in NNI activities to ensurethat implementation of the NNI is coordinated and consistent with government-wide priorities. The
primary points of interaction are the Office of Science and Technology Policy (OSTP) and the Office ofManagement and Budget (OMB).
OSTP is responsible for advising the EOP on matters relating to science and technology and supports
coordination of interagency science and technology activities. OSTP administers the NSTC, and the
OSTP representative to the NSET Subcommittee is a co‑chair of the subcommittee. This arrangement
provides EOP‑level input on and support for various NNI activities.
OMB is responsible for coordinating with the NNI member agency budget offices to establish the nanotechnology R&D budget for planning and tracking purposes. Each year, OMB collects budget information
regarding the total Federal investment in nanotechnology R&D, as well as information about agency
investments within each program component area.

Assessment
The Act calls for periodic assessment of the NNI through annual interagency reporting and review byexternal advisory bodies. The annual interagency analysis of progress called for in the Act is provided in
the NNI supplement to the President’s Budget, which also serves as the NNI annual report called for in
the Act. Specifically, progress towards achieving NNI goals and priorities is analyzed in terms of (1) investments categorized by PCA, including cross-cutting interagency activities coordinated through the NSET
Subcommittee, and (2) activities relating to the four NNI goals, including individual agency activities aswell as activities coordinated with other agencies and institutions, including international interactions.
Review by outside advisory groups is vital to keeping NNI efforts focused and balanced, and the Act
established two mechanisms for such review. First, the Act calls for the President to establish a National
Nanotechnology Advisory Panel (NNAP) to advise the President and the NSTC on matters relating to the
NNI. The Act specifically calls for the NNAP to assess the Federal nanotechnology R&D program at least
once every two years. Executive Order 13349 (2004) designates the President’s Council of Advisors on
Science and Technology (PCAST) as the NNAP. The members of PCAST are senior representatives fromindustry and academic research institutions who have extensive experience in managing large scienceand technology organizations. Second, the Act calls for the NNCO Director to make arrangements for
the National Research Council of the National Academies (NRC/NA) to review the NNI every third year.
NRC/NA panels for the NNI reviews are typically comprised of a broad cross-section of technical experts
with knowledge specifically related to nanotechnology. The NRC/NA provides independent science,technology, and health policy advice to the Federal Government. It is the principal operating agency of
the National Academies in providing services to the Federal Government, the public, and the scientificand engineering communities.
The first assessment by PCAST in its role as the NNAP was released in May 2005, and the first NRC/NA
review under the Act was completed in November 2006. Subsequent reviews from PCAST were completed in April 2008 and March 2010. The NRC/NA delivered its second triennial report assessing the

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a n

Federal strategy for nanotechnology-related environmental, health, and safety research in December
2009. The perspectives of these two bodies, and their assessments, are complementary, and the NNI
has benefited from their diverse inputs into the planning and evaluation process. The resulting recommendations have led to specific actions and focused attention in areas that were highlighted byboth groups, including research on environmental, health, and safety aspects of nanotechnology andexpanded efforts to improve education and workforce preparation as well as program management.

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The Path Forward
The full realization of the promise of nanotechnology as envisioned by the NNI and its participating
agencies will continue to rely on the hallmark activities of the NNI, namely, to nurture coordination, collaboration, and communication among participating Federal agencies. In this area, means for improved
interagency communication across all levels of management will be explored. Participating agencies willbe identifying opportunities for enhanced engagement with many stakeholders in the nanotechnology community—including regional, state, and local initiatives in nanotechnology and representatives
from industrial sectors, nongovernmental organizations, and standards organizations at the national
and international levels—as well as seeking mechanisms for targeted multilateral coordination on
specific technical subjects. Moving into the next decade, meaningful engagement with stakeholders
and ongoing external assessments will strengthen the efforts of the NNI as the participating agencies
move toward realizing the four NNI goals.

Collaborative Agency Activities
As a multi-agency body, the NSET Subcommittee coordinates and collaborates on a variety of activities, such as nanotechnology signature initiatives that target multi-agency resources toward mutuallyagreed-on scientific and technological goals; development of joint research solicitations; and a wide
variety of interagency meetings, workshops, and forums. In addition, member agencies work individually or in multi-agency collaborations in support of various R&D initiatives and dedicated facilities. The
participation of member agencies in these activities varies with the relevance of any specific activity to
the respective agencies’ missions and goals.

Nanotechnology Signature Initiatives
To accelerate nanotechnology development in support of the President’s priorities and innovation strategy, OSTP and the NNI member agencies have identified areas ripe for significant advances through close
and targeted program-level interagency collaboration. This collaboration now includes nanotechnology
signature initiatives that are intended to enable the rapid advancement of science and technology inthe service of national economic, security, and environmental goals by focusing resources on criticalchallenges and R&D gaps. These activities also leverage skills, resources, and capabilities among various
agencies in a concerted effort to maximize scientific and technological progress. The nanotechnology
signature initiatives are being developed in the context of all four NNI goals. They are intended to genuinely affect the agency budget process, as encouraged by Administration guidance, and to dramatically
improve ground-level functional coordination between agencies. The interagency groups supporting
each initiative will identify thrust areas within each of the proposed initiative topics and identify specificagency programs that are involved. Finally, each nanotechnology signature initiative interagency groupwill select key research targets associated with near-and long-term expected outcomes, to help evaluate progress on an ongoing basis. The NSET Subcommittee anticipates participation and input from

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a n

industry and other stakeholders on current and future nanotechnology signature initiatives. The first
three nanotechnology signature initiatives17 are described below.
Nanotechnology for Solar Energy Collection and Conversion
The President’s agenda calls for the development of carbon-neutral alternative energy sources to mitigate global climate change, reduce dependence on foreign oil, improve the economy, and improve theenvironment. Long-term carbon reduction targets can and likely will be met by a portfolio of technologies, of which solar energy has the potential to play a prominent role. Solar energy is readily available,
free from geopolitical tension, and not a threat to the environment through pollution or to the climate
through greenhouse gas emission. The development of a solar energy infrastructure will not only
support U.S. energy independence but also represents an unparalleled economic opportunity if theUnited States can maintain scientific and industrial leadership in this field. Today, the levelized cost ofenergy generated by solar technology is not yet economically competitive with conventional fossil fueltechnologies without subsidies. Therefore, new innovations and fundamental breakthroughs can help
accelerate the development of economical solar energy technologies that surpass the limits of existing technologies. Nanotechnology can help overcome current performance barriers and substantially
improve the collection and conversion of solar energy. A number of nanoscale physical phenomena
have been identified that can improve the collection and conversion of solar energy. Nanoparticles andnanostructures have been shown to enhance the absorption of light, increase the conversion of lightto electricity, and provide better thermal storage and transport. However, current demonstrations ofthese technologies fall short of potential performance because of poor control over feature size andplacement, unpredictable micro/nanostructure, poor interface formation, and in many cases, short
lifetimes of laboratory devices. The goal of this initiative is to exploit the benefits of nanotechnology byenhancing understanding of energy conversion and storage phenomena at the nanoscale, improving
nanoscale characterization of electronic properties, and helping enable economical nanomanufacturing.

Table 3. Agency Contributions by Thrust Area: Nanotechnology for
Solar Energy Signature Initiative
DOE

NIST

NSF

NIFA/
USDA

NASA

IC/
DNI

Improved photovoltaic solar
electricity generation

•

•

•

•

•

•

Improved solar thermal energy
generation and conversion

•

•

•

•

Improved solar-to-fuel conversions

•

•

•

Thrust Area•

Sustainable Nanomanufacturing: Creating the Industries of the Future
The promise of establishing a significant number of new, high-value industries based on the past decadeof investment in the NNI will be realized only if suitable manufacturing technologies can be developed
to economically and reliably produce nanotechnology-based products on a commercial scale. The
17 See http://nano.gov for the latest information on NNI nanotechnology signature initiatives.

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T h e Pat h F o rwa r dsemiconductor industry has achieved this, but the production methods are not scalable or economical
for the diversity of new materials and products at the volumes and length scales required: radically new
approaches are needed. Moreover, for such products to be ubiquitous in the nation’s future economy,
they and their associated manufacturing processes must be sustainable by design. To create the foundation for achieving this vision, the goal of this initiative is to accelerate the development of industrial-scale
methods for manufacturing functional nanoscale systems. The initiative targets production-worthy scaling of three classes of sustainable materials (high-performance structural carbon-based nanomaterials,
optical metamaterials, and cellulosic nanomaterials) that have the potential to affect multiple industry
sectors with significant economic impact. The formation of consortia with industry, government, andacademic representation is a key aspect of the specific material thrusts.
An essential prerequisite for the development of cost-effective nanomanufacturing is the availabilityof high-throughput, inline metrology to enable closed-loop process control and quality assurance. The
initiative is therefore focused directly on the development of inexpensive, rapid, and accurate measurement techniques. The U.S. has expertise in roll-to-roll manufacturing, which can be adapted to thetypes of high-volume fabrication processes envisioned. The formation of a consortium devoted to thedevelopment of metrology methods to enable roll-to-roll application to nanomanufacturing is expected
to play an essential role here. The systems to be manufactured based on these methods will include
disruptive technologies for lightweight, high-strength, sustainable materials, solar energy harvesting,waste-heat management and recovery, and energy storage. Success of the initiative will result in theimmediate extension of the methods developed to more complex components and systems as future
nanodevices mature and will help secure and strengthen the U.S. manufacturing base.

Table 4. Agency Contributions by Thrust Area:
Sustainable Nanomanufacturing Signature Initiative
Thrust Area

NIST

NSF

EPA

NIH

Design of scalable
and sustainable
nanomaterials,
components, devices,and processes

•

•

•

•

Nanomanufacturing
measurement
technologies

•

•

FS/
IC
DOE OSHA NIOSH USDA/DNI NASA

•

•

•

•

•

•

•

•

•

•

Nanoelectronics for 2020 and Beyond
The semiconductor industry is a major driver of the modern U.S. economy and has accounted for a large
portion of the productivity gains that have characterized the global economy since the 1990s. Recent
advances in this area have been fueled by what is known as Moore’s Law scaling, which has successfully predicted the exponential increase in the performance of computing devices for the last 40 years.
This gain has been achieved due to ever-increasing miniaturization of semiconductor processing and

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a nmemory devices (smaller and faster switches and transistors). Continuing to shrink the dimensions ofelectronic devices is important in order to further increase processor speed, reduce device switchingenergy, increase system functionality, and reduce manufacturing cost per bit. However, as the dimensions of critical elements of devices approach atomic size, quantum tunneling and other quantum
effects degrade and ultimately prohibit the operations of conventional devices. Researchers are therefore pursuing more radical approaches to overcome these fundamental physics limitations. Candidate
approaches include different types of logic using cellular automata or quantum entanglement andsuperposition; 3D spatial architectures; and information-carrying variables other than electron charge,such as photon polarization, electron spin, and position and states of atoms and molecules. Approaches
based on nanoscale science, engineering, and technology are most promising for realizing these radical
changes and are expected to change the very nature of electronics and the essence of how electronic
devices are manufactured. Rapidly reinforcing domestic R&D successes in these arenas could establish
a U.S. domestic manufacturing base that will dominate 21st-century electronics commerce. The goalof this initiative is to accelerate the discovery and use of novel nanoscale fabrication processes andinnovative concepts to produce revolutionary materials, devices, systems, and architectures to advancethe field of nanoelectronics.

Table 5. Agency Contributions by Thrust Area:
Nanoelectronics for 2020 Signature Initiative
NASA

IC/
DNI

Thrust Area

NSF

DOD

NIST

DOE

Exploring new or alternative state variables forcomputing

•

•

•

•

•

Merging nanophotonics with nanoelectronics

•

•

•

•

•

Exploring carbon-based nanoelectronics

•

•

•

Exploiting nanoscale processes and phenomena
for quantum information science

•

•

•

National Nanoelectronics Research andManufacturing Infrastructure

•

•

•

•

•
•

Joint Research Calls
NSET member agencies develop joint research solicitations in areas of mutual interest to help address
research gaps and leverage resources to achieve better research outcomes. The management of funding opportunity announcements (i.e., requests for application and/or proposals) is typically done bya lead agency, with participating agencies contributing research descriptions and names of technicalpeer reviewers. Following an external peer review, the individual agencies select and support separate
research grants that are deemed meritorious and relevant to their respective missions and goals.
Collaboration early in the process results in well-crafted solicitations that address critical scientific gaps

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T h e Pat h F o rwa r din the identified area. Agencies are also able to leverage resources used to develop, publish, and manage
research solicitations, thereby freeing resources for other needs. In some critical areas of mutual interest(e.g., nanotechnology-related environmental, health, and safety research), NSET member agencies haveissued joint, bilateral research calls with research agencies of foreign governments. Future collaborative research solicitations will seek to build on these bilateral research calls and to engage a breadth ofpartners, including industrial and nongovernmental organizations and government research agencies
in multiple nations.

Joint Research Facilities
NSET member agencies also develop joint research facilities that can combine strengths and expertiseof participating agencies to enable faster and/or greater progress in nanotechnology research anddevelopment. One notable example to date is the Nanotechnology Characterization Laboratory, acollaboration of NCI, NIST, and FDA launched in 2005 to accelerate the transition of basic nanoscaleparticles and devices into clinical use by providing critical infrastructure and characterization services
to nanomaterial developers. The development and support of collaborative research facilities going
forward will be modeled upon such successful collaborations to enable broader participation frommultiple agencies and industrial sectors.

Interagency Meetings, Workshops, and Fora
The NNI membership finds value in events that help bring together representatives from multiple agencies, as well as researchers supported by various agencies, to share knowledge and accelerate progress.
NSET Subcommittee representatives help to disseminate information about topical meetings hosted
by individual agencies, e.g., annual agency nanotechnology grantee meetings. Where multiple agencies participate in research solicitations, these grantee meetings feature information on the research
progress from many agencies. An example is the EPA, NSF, NIEHS, NIOSH, and DOE Interagency Nano
Grantees Workshop, held November 9–10, 2009, in Las Vegas, NV.18 Moreover, agencies represented
on the NSET Subcommittee may lead or co-sponsor studies to evaluate the current trends, opportunities, and gaps in nanoscale science and engineering R&D to aid policies and decisions about the NNI
agencies’ research investments.19 Symposia and technical sessions organized by representatives frommember agencies at various professional and technical conferences are also broadcast to the entire
NSET community for participation. A number of NNI member agencies also participate in international
member organizations, workshops, and fora, where they help to represent the United States and foster
interactions with international partners.

Anticipated Activities
New activities planned for the immediate future include implementation of additional nanotechnology
signature initiatives, leveraging collaborative interagency opportunities, working with the broad nano18 For information on inter- and single-agency nanotechnology-related meetings and workshops see
http://nano.gov.
19 One example of such a study is Nanotechnology Long-term Impacts and Research Directions: 2000–2020, led by NSF
and co-sponsored by other NNI participating agencies (see details at http://wtec.org/nano2/).

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a ntechnology community to develop a robust hub for nanotechnology information dissemination, andan effort by the NNI leadership to strengthen support for the NNI throughout the Federal Governmentby engagement at all levels of agency management.
Building on lessons learned through the planning and implementation of the first three nanotechnology
signature initiatives, future initiatives will be developed to address additional critical research needs
and focus areas. The NNI will use nanotechnology signature initiatives as one means of addressing andmeeting new challenges to our nation, society, and the environment using nanotechnology. The continued development of joint research solicitations is another way that the NNI will be able to incorporate
emerging issues into its activities. These collaborative activities enable NSET member agencies to assess
and meet new challenges at the outset.
Taking advantage of interagency collaboration mechanisms, many future activities will help mature thefield of nanotechnology. For example, SBIR and STTR programs will benefit from joint agency funding
opportunity announcements targeted in areas ripe for the maturation of nanotechnology-enabledconcepts. Multi-agency collaboration in support of research facilities will also help advance nanoscalescience and engineering. The NNI member agencies will continue to develop the applied science andexpertise relevant to regulation needed to support responsible development of nanotechnologyenabled products. These efforts will be supported by the communication and collaboration engenderedby the coordinated NNI framework of the NSET Subcommittee and its interagency working groups.
The NNI additionally recognizes the need for an internet-based, “one-stop shop” access point for nanotechnology information. Through this hub, various stakeholders and members of the nanotechnology
community should be able to access a wide variety of information portals addressing nanoscale scienceand engineering education opportunities, nanotechnology-related careers, nanotechnology-based
products, scientific data such as characterization and toxicity measurements, manufacturing instrumentation and resources, regulatory information, and other important elements of the nanotechnology
enterprise. While some of this information is already found at http://nano.gov, the participating NNI
agencies appreciate the need for a comprehensive hub and are committed to meeting this challenge.
Initially, this will be done through individual efforts on the part of the agencies as their specific missions
and mandates dictate. Achieving this long-term goal will require the assistance of stakeholders fromindustry, academia, nongovernmental organizations, and state and local governments, among others.
International organizations and governments will also have a role to play in the establishment of arobust nanotechnology hub.
The NNI member agencies, with help from the NNCO, plan to strengthen support for the NNI throughout
all levels of the Federal Government through a number of actions, including:•• Performing an ongoing mapping exercise to evaluate how this strategic plan relates to member
agencies’ strategic plans and to the priorities of the Administration.
•• Holding meetings between the NNI leadership (i.e., NSET Subcommittee co-chairs, NNCO
Director and Deputy Director, and/or working group co-chairs) and top-level managementof each NNI member agency, to facilitate and strengthen agency support for the NNI, todiscuss how the NNI activities can integrate better with R&D programs of each agency, and to

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T h e Pat h F o rwa r d

become better informed about the goals and activities of each member agency with respect
to nanotechnology.
Finally, NNI member agencies will continue to identify formal and informal mechanisms to overcome
obstacles to interagency collaboration, which can arise due to differing agency needs, missions, cultures,and processes. Within these limitations, efforts will be encouraged to nurture relationships by drawing
upon knowledge and expertise across agencies and by detailing agency staff to NNCO. These activities help to strengthen connections between agencies and support the NNI vision. Agencies are also
individually encouraged to explore new forms of partnerships and collaborations.

Developing Partnerships and Engaging Stakeholders
As described in the Goals and Objectives section of this strategic plan, engagement with an array of
stakeholders is considered to be critical to the future success of the NNI. The NNI will pursue effective
methods to create and foster public private partnerships. Future plans for stakeholder engagement will
involve the use of new media tools and interactive platforms such as the NNI Strategy Portal.20 NNCO
will play a more significant facilitating and coordinating role in interagency and agency-driven public
engagement. A number of agencies already incorporate public engagement in their steering andadvisory groups. Policy tools such as prizes and challenges sponsored by one or more Federal agencies
can help spur nanotechnology innovation by engaging entrepreneurs, investors, universities, foundations, and nonprofit organizations. Furthermore, NNI member agencies will continue to participate ininternational standards organizations and multilateral fora to address policy-relevant nanotechnology
issues and to promote international cooperation in aspects of nanotechnology that might affect humanhealth and environmental safety.

Planned Independent Assessments
The NNI is regularly assessed by external advisory bodies, as shown in Figure 2. Recent reviews by
PCAST and the NRC/NA have served to inform the strategic planning of the NNI as evidenced in thisdocument and the NNI Environmental, Health, and Safety Research Strategy. The next NNAP review of the
NNI is scheduled for 2012 under the current terms of the Act; the next NRC/NA assessment is scheduled
for 2011.

Concluding Remarks
As indicated by the objectives outlined under each of the four NNI goals, the NSET Subcommittee developed this strategic plan as a means of moving toward achieving the NNI vision. By making concerted andcoordinated efforts towards these goals through the stated objectives, the NNI agencies can together
realize a vibrant nanotechnology R&D program. Continual internal assessment of progress is planned,in addition to the in-depth review and analysis of the NNI that the NSET Subcommittee conducts every
three years during the revision of the strategic plan. The ultimate aim of this plan is to enable the NNI
20 http://strategy.nano.gov is an online community that was originally established as a portal to solicit public input
into this NNI Strategic Plan.

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a n

to move the country towards a strong, healthy, and prosperous future, capitalizing on the potential of
nanotechnology as a stepping stone to attain this promise.
Over the next 10 years, we will continue to see new nanotechnology-enabled products, systems, andprocedures with significant improvements in performance and functionality. Ongoing support for
fundamental nanotechnology R&D and an awareness of responsible development will lead to new
discoveries. The NNI represents not only a continued and dedicated investment of U.S. research funding
for nanotechnology, but a thoughtful and encompassing set of processes for planning, coordinating,and evaluating such national investments. Moreover, the NNI’s strong and sustained efforts to support
education, public outreach, societal concerns, and stakeholder involvement will ensure that nanotechnology’s potential is maximized and risks appropriately mitigated so that all Americans share the rewardsof its benefit. Aside from the need for sustained support from NNI member agencies, the success of
the NNI depends upon the insight and expertise of the broad stakeholder community (including, forexample, academic researchers, industry representatives, and public citizens) as we continue to support
research toward 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.

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Appendix A. External Assessment
and Stakeholder Input
As referenced throughout this plan, a number of external independent sources provided the NNI withadvice and recommendations during the creation of this document. In contrast to the many public
NNI-sponsored workshops held in 2008–2010 on a variety of nanotechnology themes, the resources
below targeted the development of this document. Finally, the results from a 30-day public comment
period on the draft NNI Strategic Plan, November 1–30, 2010, are available for public inspection at the
NNI Strategy Portal (http://strategy.nano.gov) and informed the final version of the NNI Strategic Plan.

External Assessment Reports
Report to the President and Congress on the Third Assessment of the National Nanotechnology Initiative isavailable at http://www.whitehouse.gov/sites/default/files/microsites/ostp/pcast-nni-report.pdf.
The President’s Council of Advisors on Science and Technology performed the third assessmentof the NNI, releasing its report on March 12, 2010. The report is largely supportive of the NNI
and contains a number of specific recommendations that have been incorporated into thisplan, where possible.
Review of the Federal Strategy for Nanotechnology-Related Environmental, Health, and Safety Research isavailable at http://www.nap.edu.
While the 2009 National Research Council’s review document is mostly relevant to the NNI EHS
Research Strategy, it did inform the drafting of some of the objectives in this strategic plan.

Stakeholder Input, July–August, 2010
To strengthen the development of this strategic plan, the NNI used a three-pronged approach to reachout to the nanotechnology stakeholder community for specific input. These activities occurred in Julyand August of 2010. The nanotechnology stakeholder community included those already familiar withthe field of nanotechnology and the NNI, as well as those new to nanoscale science, engineering, andtechnology. Input was sought from a broad range of stakeholders, including members of the public;
industry representatives; researchers in academic institutions; members of Federal, state, and local
governments and regional initiatives; and representatives of nongovernmental organizations. The input
from stakeholders in all three of these activities was invaluable in the development of the NNI Strategic
Plan. Recommendations from the community have been carefully considered in creating the objectives
found in this document. This plan does not make reference to specific R&D priorities beyond high-levelareas such as those described in the nanotechnology signature initiatives section. Furthermore, each of
the NNI member agencies separately determines its budget for nanotechnology R&D in support of its
individual agency mission and needs. The NNI is an interagency budget crosscut in which agencies work
closely with each other to create an integrated program through communication, collaboration, and

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Nat i o na l Na n o t e c h n o l o g y In i t i at i v e S t r at e g i c P l a ncoordination. The NSET Subcommittee will continue to use the stakeholder input regarding additional
topics, such as R&D priorities and policy suggestions, to inform future decision making, as appropriate.
The three stakeholder input activities were as follows:•• Request for Information
A Request for Information (RFI) published in the Federal Register (Vol. 75, No. 128, Tuesday, July 6,
2010, pp. 38850–38853) referred to the NNI goals as a starting point for questions covering themesof Goals and Objectives; Research Priorities; Investment; Coordination and Partnerships; Evaluation;
and Policy. Submissions were accepted from July 6–August 15, 2010. OSTP received responses fromindividuals, industry representatives, academics, state initiatives, and scientific societies.
•• NNI Strategy Portal: http://strategy.nano.gov
All stakeholders were invited to participate in the online public comment event hosted at the NNIStrategy Portal from July 13–August 15, 2010. Once registered, community members were encouraged to post original responses and to comment on postings by other members. In the online event,participants were invited to post responses in four timed stages in which the questions closely
paralleled those posted in the RFI. At the closing of the online event on August 15, the NNI Strategy
Portal community had almost 150 members. Although the period to respond to questions closed
on August 15, 2010, the NNI Strategy Portal community continues to increase in membership, and
it is seen as a potential mechanism for continuing to solicit public input in the future.
•• NNI’s Strategic Planning Stakeholder Workshop
From July 13–14, 2010, the NSET Subcommittee held a public workshop in Arlington, VA, to solicit
input from the broad stakeholder community regarding the development of the NNI strategicplan. The workshop included plenary lectures where subject matter experts shared their insights
and discussed the status of nanotechnology research and application areas. The hard work of theworkshop occurred during the breakout sessions, where participants were asked to help the NSET
Subcommittee formulate specific objectives under each of the four NNI goals.
Some of the priorities, issues, and advice that the NNI received from stakeholders include the following:•• R&D Priorities
Respondents identified a number of nanotechnology research priorities and concepts for futureinteragency nanotechnology signature initiatives, including quantum behavior, functional nanomaterials, photon-based computing, metamaterials, the nano-bio interface, tools for imaging
and fabrication, process engineering, non-equilibrium systems, nanotechnology for low-costsustainable energy, information needs, security, anticipatory governance, and nanotechnology
pertaining to personal and public health (e.g., in vitro testing models, predictive toxicology, andhigh-throughput screening methods). The stakeholders were largely supportive of continuing
and accelerating the NNI’s efforts in nanomanufacturing, including the need for more research
to increase the knowledge of fundamental processes and nanoscale phenomena.

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App e n d i x A . E x t e r na l Ass e ss m e n t a n d S ta k e h o ld e r Inp u t•• Education and Workforce Development
Stakeholders emphasized the value of nanotechnology education as well as the critical needfor a nanotechnology-trained workforce­—including a recommendation to provide continuing
education for patent examiners on the latest nanotechnologies.
•• Technology Transfer
Stakeholders provided examples of successful models for the transfer of technologies via stateled initiatives, gap funding, and other technology transfer mechanisms. The need to foster
collaboration between industry, the Federal Government, and researchers at universities wasarticulated by many stakeholders, as was the need for the Federal Government’s sustained support for the development of voluntary consensus-based international documentary standards.
•• Improved Interagency Collaboration
Strategies recommended by stakeholders to improve NNI interagency activities included grandchallenge-themed pilot programs for interagency grant review boards involving program
managers from various agencies, and grand challenge-themed strategy teams with sharedpersonnel from multiple agencies.
For further details, readers are directed to the online strategy portal (http://strategy.nano.gov) and thereport from the NNI Strategic Planning Stakeholder Workshop (available at http://nano.gov).

Public Comment on Draft Strategic Plan, November 2010
A draft of the NNI Strategic Plan was released for a thirty day public comment period on November 1,
2010. This was announced in the Federal Register (Vol. 75, No. 210, Monday, November 1, 2010, pp. 67149–
67150 and at the online strategy portal (http://strategy.nano.gov). Responses and recommendations
were received from the broad stakeholder community, including state public health, environmental,
and regulatory agencies; entrepreneurs and industry representatives; academic researchers; scientificand occupational associations; and private citizens. All responses were made publicly available at theportal and were considered by the NSET Subcommittee in the final preparation of this document.

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Appendix B. Glossary
the Act

The 21st Century Nanotechnology Research and Development Act of 2003

CDC

Centers for Disease Control and Prevention (DHHS)

CNST

Center for Nanoscale Science and Technology (NIST)

CoS

Committee on Science (NSTC)

CoT

Committee on Technology (NSTC)

CPSC

Consumer Product Safety Commission

DHS

Department of Homeland Security

DHHS

Department of Health and Human Services

DNI

Director of National Intelligence

DOC

Department of Commerce

DOD

Department of Defense

DOE

Department of Energy

DOEd

Department of Education

DOI

Department of the Interior

DOJ

Department of Justice

DOL

Department of LaborDOS

Department of State

DOT

Department of Transportation

DOTreasDepartment of the Treasury

EHS

environment(al), health, and safety

ELSI

ethical, legal, and societal implications (of nanotechnology)

EOP

Executive Office of the President

EPA

Environmental Protection Agency

FDA

Food and Drug Administration (DHHS)

FHWA

Federal Highway Administration (DOT)FS

Forest Service (USDA)

GIN

Global Issues in Nanotechnology Working Group (NSET)ICIntelligence CommunityIP

intellectual property

nanoEHSnanotechnology-related environment(al), health, and safety

NA

National Academies

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App e n d i x B . G l o ss a ry

NASA

National Aeronautics and Space Administration

NCI

National Cancer Institute (DHHS/NIH)

NEHI

Nanotechnology Environmental and Health Implications Working Group (NSET)NIEHS

National Institute of Environmental Health Sciences (DHHS/NIH)

NIFA

National Institute of Food and Agriculture (USDA)

NIH

National Institutes of Health (DHHS)

NILI

Nanomanufacturing, Industry Liaison, and Innovation Working Group (NSET)NIOSH

National Institute for Occupational Safety and Health (DHHS/CDC)NIST

National Institute of Standards and Technology (DOC)

NNAP

National Nanotechnology Advisory Panel (PCAST)NNCO

National Nanotechnology Coordination Office

NNI

National Nanotechnology Initiative

NPEC

Nanotechnology Public Engagement and Communications Working Group (NSET)NRC

National Research Council of the National Academies

NSET

Nanoscale Science, Engineering, and Technology Subcommittee of the NSTC Committee
on Technology

NSF

National Science Foundation

NSRC

Nanoscale Science Research Centers (DOE program)

NSTC

National Science and Technology Council

OECD

Organisation for Economic Co-operation and Development

OMB

Office of Management and Budget (Executive Office of the President)

OSHA

Occupational Safety and Health Administration (DOL)

OSTP

Office of Science and Technology Policy (EOPH)

PCA

Program Component Area

PCAST

President’s Council of Advisors on Science and Technology

R&D

research and development

RFI

Request for Information

SBIR

Small Business Innovation Research program

STTR

Small Business Technology Transfer research program

USPTO

U.S. Patent and Trademark Office (DOC)

USDA

U.S. Department of Agriculture

USGS

U.S. Geological Survey (DOI)

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National Science and Technology Council
Committee on Technology

Subcommittee on Nanoscale Science, Engineering, and Technology
http://www.nano.gov