About the National Science and Technology Council

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

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

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

enterprise. An important objective of the NSTC is the establishment of clear national goals for Federal science and

technology investments in areas ranging from information technologies and health research to improving

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

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

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

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

About the Office of Science and Technology Policy

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

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

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

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

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

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About this document

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

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

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

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

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

About the cover

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

NanoFoilTM containing thousands of alternating nanoscale layers of nickel and aluminum. With foils formed in this

manner, an electrical pulse applied to the foil will initiate a mixing reaction producing high temperatures. The

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

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

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

temperature.

Cover and book design

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

Copyright information

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

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

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

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

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

Printed in the United States of America. 2004.
National Nanotechnology Initiative

Strategic Plan

Developed by the

Nanoscale Science, Engineering, and Technology Subcommittee

Committee on Technology

National Science and Technology Council

December 2004
NSET Chair

Mihail Roco

NSET Executive Secretary

James Murday

National Nanotechnology Coordination Office Director

Clayton Teague

Office of Science and Technology Policy (OSTP)

Sharon Hays

National Science and Technology Council (NSTC)

Celia Merzbacher

Report prepared by

NATIONAL SCIENCE AND TECHNOLOGY COUNCIL

COMMITTEE ON TECHNOLOGY (CT)

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

CT Co-Chairs: Richard Russell, Associate Director, Office of Science and Technology Policy

Phillip Bond, Undersecretary of Commerce for Technology

Consumer Product Safety Commission (CPSC)

Mary Ann Danello

Treye Thomas

Department of Agriculture (USDA)

Hongda Chen

Department of Commerce (DOC)

John Sargent

Department of Defense (DOD)

William Berry

James Murday 

Gernot Pomrenke

David Stepp

Department of Energy (DOE)

Kristin Bennett

Altaf Carim

Patricia Dehmer

Aravinda Kini

John Miller

Brian Valentine

Department of Homeland Security (DHS)

Richard Lareau

Keith Ward

Department of Justice (DOJ)

Stanley Erickson

Department of State (DOS)

George Atkinson

Christopher Rothfuss

Department of Transportation (DOT)

Richard John

Annalynn Lacombe

Richard Livingston

Department of the Treasury (DOTreas)

James Carter

Environmental Protection Agency (EPA)

Barbara Karn

Stephen Lingle

Nora Savage

Phillip Sayre

Food and Drug Administration (FDA)

Norris Alderson

Stanley Brown 

Donald Marlowe

Intelligence Technology Innovation Center (ITIC)

Martin Carr

Susan Durham

International Trade Commission (ITC)

Elizabeth Nesbitt

National Aeronautics and Space Administration

(NASA)

Minoo Dastoor

Murray Hirschbein

National Institutes of Health (NIH)

Eleni Kousvelari

Jeffery Schloss

National Institute of Occupational Safety and

Health (NIOSH)

Andrew Maynard

Vladimir Murashov

National Institute of Standards and Technology

(NIST)

Alamgir Karim

Michael Postek

Robert Shull

National Science Foundation (NSF)

Maryanna Henkart 

Mihail Roco

James Rudd

Thomas Weber

Nuclear Regulatory Commission (NRC)

Michelle Evans

Office of Management and Budget (OMB)

Irene Brahmakulam

Patent and Trademark Office (PTO)

Charles Eloshway

Bruce Kisliuk

Department and Agency Representatives
December 7, 2004 

Dear Colleague:

Over the past two decades, the ability to measure and manipulate matter at the scale of atoms

and molecules has led to the discovery of novel materials and phenomena. These advances 

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

“nanotechnology.” Since its inception in Fiscal Year (FY) 2001, the National Nanotechnology 

Initiative (NNI) has sought to accelerate the responsible development and application of 

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

to improve the quality of life for all citizens. Funding under the NNI has more than doubled 

since FY 2001 to a request in FY 2005 of nearly one billion dollars Government-wide. R&D 

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

and lighter building materials, smaller yet faster computers, and more powerful ways to detect 

and treat disease.

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

Research and Development Act (Public Law 108-153), thereby enacting many ongoing

activities of the NNI. In addition to outlining a diverse R&D program, the Act also calls for

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

Federal nanotechnology R&D program. This report, prepared by the Nanoscale Science, 

Engineering, and Technology Subcommittee of the NSTC, updates the original NNI strategic 

plan for the next 5 to 10 years. 

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

program in nanotechnology, but also of advanced infrastructure and interdisciplinary 

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

technologies, including the potential implications for health and the environment, and the 

importance of dialogue with the public. Finally, the plan anticipates that Federal and private 

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

that will enable new or improved products and services, and it identifies strategies to facilitate 

the commercialization and public utilization of those innovations. 

In its first five years, the NNI, through the participating agencies, has advanced our knowledge 

of matter at the nanoscale and has made progress toward establishing the infrastructure needed 

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

described in this report over the next five years and beyond, the NNI will ensure that the

United States remains a world leader in nanotechnology R&D and will facilitate the transition

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

Sincerely,

John H. Marburger, III 

Director

TABLE OF CONTENTS

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

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

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

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

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

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

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

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

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

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

National Nanotechnology Initiative — Strategic Plan (December 2004) i

T he vision of the National Nanotechnology

Initiative (NNI) is a future in which the ability to

understand and control matter on the nanoscale

leads to a revolution in technology and industry.

Toward this vision, the NNI will expedite the discovery,

development, and deployment of nanotechnology in

order to achieve responsible and sustainable

economic benefits, to enhance the quality of life, and

to promote national security. The initiative is a multiagency, multidisciplinary program that supports

research and development (R&D); develops

infrastructure; and promotes education, knowledge

diffusion, and commercialization in nanotechnology.

Concurrent with development of new technology

options, the NNI is addressing nanotechnology’s

various societal dimensions.

With the goal of achieving the above vision, the

National Nanotechnology Initiative was launched in

Fiscal Year (FY) 2001. Since that time, the annual

Federal investment in nanotechnology R&D has more

than doubled to almost $1 billion, the number of

Federal agencies investing in nanotechnology R&D has

grown from 6 to 11, and the total number of

participating agencies has grown from 6 to 22.

Participating agencies are those for which

nanotechnology is relevant to the agency mission,

including both those with and without

nanotechnology R&D funding. Interagency

coordination is managed through the Nanoscale

Science, Engineering, and Technology (NSET)

Subcommittee of the National Science and Technology

Council (NSTC) Committee on Technology.

The strategy for the initiative that was laid out in 2001

has been, by all measures, a success. Nanotechnology

R&D has led to substantial increases in scientific

knowledge, publications, patents, and new jobs and

businesses in this area. Much of this success is directly

or indirectly based on the results of Federally funded

R&D, and the NNI has become the model for similar

programs around the world.

As the NNI has taken root and grown, the NSET

Subcommittee has recognized the need to assess the

initiative and to update its strategic plan by looking 

5 to 10 years ahead. This report represents the

culmination of a series of activities aimed at doing so.

Specifically, over the past three years, the NNI

sponsored 17 topical workshops focused on areas of

nanotechnology applications, societal implications,

and regional, state, and local initiatives. In September

2004, the overarching NNI Research Directions II

Workshop brought together experts from academia,

industry, and government to synthesize the output of

the topical workshops and to identify cross-cutting

themes and priority research opportunities. Taking

into consideration the results of the various

workshops, as well as the ongoing agency missions

and needs for which nanotechnology will offer

solutions, the NSET Subcommittee developed the NNI

strategic plan that is described in this report.

This plan describes the goals of the NNI as well as the

strategy by which those goals are to be achieved. The

goals are as follows:

■ Maintain a world-class research and development

program aimed at realizing the full potential of

nanotechnology

■ Facilitate transfer of new technologies into products

for economic growth, jobs, and other public benefit

■ Develop educational resources, a skilled workforce,

and the supporting infrastructure and tools to

advance nanotechnology

■ Support responsible development of

nanotechnology

Ongoing activities as well as specific new activities

aimed at achieving each goal are identified. As new

materials and devices are created and novel

applications developed, the NNI plans to target

investments toward opportunities identified by the

community via NNI-sponsored workshops, put greater

emphasis on technology transfer and liaison with

industry groups, and complete and operate user

facilities.

EXECUTIVE SUMMARY
ii National Nanotechnology Initiative — Strategic Plan (December 2004)

At the same time as useful applications are being

developed, the NNI recognizes the importance of, and

plans to address, societal dimensions of

nanotechnology. The areas of society that may be

affected by nanotechnology include economic,

education, workforce, ethical, and legal aspects. In

addition, the NNI supports research aimed at

understanding the benefits and risks to human health

and the environment, and methods for

nanotechnology risk assessment and management.

The plan also includes a description of the investment

strategy, including the major subject categories of

investment, or program component areas (PCAs).

Whereas the NNI goals embody the vision of the

initiative and provide structure for its strategy and

plans, the PCAs relate to areas of investment that are

critical to accomplishing those goals. These areas cut

across the interests and needs of the participating

agencies, and advancement may be expedited by

grouping together work in a particular PCA that is

taking place within multiple agencies. The program

component areas are as follows:

■ Fundamental nanoscale phenomena and processes

■ Nanomaterials 

■ Nanoscale devices and systems 

■ Instrumentation research, metrology, and standards

for nanotechnology

■ Nanomanufacturing 

■ Major research facilities and instrumentation

acquisition

■ Societal dimensions 

Each PCA may include research that ranges from basic

to applied, as well as development of applications

based on nanotechnology.

The original implementation plan for the NNI

identified nine “grand challenge” areas, corresponding

to a variety of application areas in which

nanotechnology is expected to have a significant

impact. The plan described herein is organized

somewhat differently, focusing on the overarching

goals and the investment areas (PCAs), which underlie

virtually all the former grand challenge areas. R&D

that focuses on practical applications, such as energy,

homeland security, healthcare, food and agriculture,

and the environment, may cut across multiple PCAs.

This plan also identifies agency participation in

program component areas and in a number of

application areas.

The NNI will provide a balanced and coordinated

investment in the program component areas and in a

broad spectrum of applications. This will ensure that

the United States remains a global leader in the

responsible development of nanotechnology and

secures the resulting benefits to the economy, to

national security, and to the quality of life of all

citizens.

Executive Summary

■■■
National Nanotechnology Initiative — Strategic Plan (December 2004) iii

Achieving the benefits promised by nanotechnology

will depend on advanced research in fields ranging

from chemistry and engineering to biology and

materials science; development and support of the

necessary infrastructure, including user facilities and

instrumentation; and education and training of a

skilled workforce and an informed public.

What is Nanotechnology? 

Nanotechnology is the understanding and control

of matter at dimensions of roughly 1 to 100

nanometers, where unique phenomena enable

novel applications. A nanometer is one-billionth

of a meter; a sheet of paper is about 100,000

nanometers thick. Encompassing nanoscale

science, engineering, and technology,

nanotechnology involves imaging, measuring,

modeling, and manipulating matter at this length

scale.

At this level, the physical, chemical, and biological

properties of materials differ in fundamental and

valuable ways from the properties of individual

atoms and molecules or bulk matter.

Nanotechnology R&D is directed toward

understanding and creating improved materials,

devices, and systems that exploit these new

properties.

PREFACE

T he ability to image, measure, model, and

manipulate matter on the nanoscale is leading

to new technologies that will impact virtually

every sector of our economy and our daily lives.

Nanoscale science and technology has the potential,

for example, to increase the efficiency of lighting,

enhance the performance of electronic devices,

decrease waste and pollution during manufacturing,

detect and treat disease at the earliest stages, and

provide more cost-effective solar energy conversion.

At the same time, care must be taken to develop new

technologies for widespread use in a responsible

manner.

The National Nanotechnology Initiative was

established in Fiscal Year 2001 to coordinate the

research and development of nanoscale science,

engineering, and technology — or nanotechnology —

across the Federal Government. In the first year of the

NNI, six agencies were investing in nanotechnology

R&D and the total Federal investment was $464

million. For FY 2005, the estimated funding totals

nearly $1 billion for research across 11 agencies. The

organization and strategy laid out in FY 2001 has

effectively shaped and guided the initiative over its

first four years.

Since FY 2001, research under the NNI has continued

to expand understanding, knowledge, and the ability

to control matter at the nanoscale. In 2002, the

National Academies published a review of the NNI

entitled, Small Wonders, Endless Frontiers,which was

highly supportive of the NNI and its coordination by

the NSET Subcommittee. Today, commercialization of

the results of NNI research has begun. For example,

researchers have developed methods for nanoscale

imprinting, which can be used in the fabrication of

electronic circuits and fluidic and optical devices.

Progress also is being made in the ability to use

biological organisms to assemble inorganic materials

at the nanoscale. Such bottom-up methods of

processing may someday be cheaper and less wasteful

than current manufacturing methods. Other

advances are described in the reports listed in

Appendices B and C and on the NNI website at

www.nano.gov.

Following the NNI’s early success, virtually every other

country with an organized science and technology

program has increased investments in

nanotechnology R&D. A number of estimates indicate

that today the total outlay by governments worldwide

is several times that of the United States, leading to

greater opportunities for international collaboration.

Global investment in nanotechnology will promote

global benefits.

The NNI has led not only to investment by other

countries, but also by U.S. regional, state, and local
iv National Nanotechnology Initiative — Strategic Plan (December 2004)

authorities that are seeking to gain the economic

benefits of nanotechnology research and its

commercialization. As estimated at a recent NNI

workshop, the identified combined investment by

regional, state, and local entities is about 20% that of

the Federal Government. Contributions to these state

and local entities from additional sources such as

private foundations are substantial and are not

included in this estimate.

The private sector also is investing in nanotechnology

R&D at a level comparable to or greater than the

Federal R&D investment. Large companies in

industries ranging from aerospace and automotive to

chemicals and semiconductors are moving to

incorporate nanotechnology into their products and

processes. The venture capital community is making

significant investments in nanotechnology-based

start-ups, leading to a growing number of “pure play”

nanotechnology businesses, many of which are

developing entirely new products and approaches, for

example, in medical imaging and therapeutics.

The importance of a coordinated Federal program for

nanotechnology R&D was given even greater

recognition with the enactment of the 21st Century

Nanotechnology Research and Development Act

(Public Law 108-153, hereafter referred to as “the Act”).

The Act calls for the implementation by the President

of a National Nanotechnology Program. Many of the

activities of the program outlined in the Act were

already in progress as part of the NNI. Moreover, the

ongoing management of the initiative involves

considerable input from Federal agencies that are not

named specifically in the Act. For example, in addition

to the agencies authorized through the Act, the

responsibility of the Department of Defense to carry

out nanotechnology R&D coordinated with the NNI

was specifically addressed in the 2003 Defense

Authorization Act (Public Law 107-314, Section 246).

For continuity, and to capture this broader

participation, the coordinated Federal activities as a

whole will continue to be referred to as the National

Nanotechnology Initiative.

This report presents the strategic plan called for by the

Act. In developing this plan, the NSET Subcommittee

sought extensive advice and input from the academic,

industrial, and government research communities and

took into consideration the recommendations of the

2002 National Academies report. This plan represents

the consensus of the participating agencies as to the

goals and priorities of the NNI. The plan provides a

framework (1) within which each agency will carry out

its own mission-related nanotechnology programs,

and (2) for coordination of interagency activities. In

addition to specifying high-level goals, the plan

identifies current and planned activities aimed at

accomplishing those goals. The plan also identifies

major subject areas — the program component areas

called for by the Act — that group related projects,

and in which investments are needed to ensure the

success of the initiative. Finally, the plan details a

number of application areas that cut across the

program component areas and that align with the

competencies and missions of participating agencies.

The plan will facilitate achievement of the NNI vision

by offering guidance for agencies, program managers,

the research community, and industry in their

nanotechnology R&D investments and activities.

Preface
National Nanotechnology Initiative — Strategic Plan (December 2004) v

NNI Participating Departments and Agencies, 2004 and 2005

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

and development

Department of Agriculture (USDA)

Department of Defense (DOD)

Department of Energy (DOE)

Department of Homeland Security (DHS)

Department of Justice (DOJ)

Environmental Protection Agency (EPA)

National Aeronautics and Space Administration (NASA)

National Institute of Standards and Technology (NIST, Department of Commerce)

National Institute of Occupational Safety and Health (NIOSH, Department of 

Health and Human Services)

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

National Science Foundation (NSF)

Other participating agencies and departments

Bureau of Industry and Security (BIS, Department of Commerce)

Consumer Product Safety Commission (CPSC)

Department of State (DOS)

Department of Transportation (DOT)

Department of the Treasury (DOTreas)

Food and Drug Administration (FDA, Department of Health and Human Services)

International Trade Commission (ITC)

Intelligence Technology Innovation Center, representing the Intelligence Community (IC)

Nuclear Regulatory Commission (NRC)

Technology Administration (TA, Department of Commerce)

U.S. Patent and Trademark Office (USPTO, Department of Commerce)

Preface

■■■
vi National Nanotechnology Initiative — Strategic Plan (December 2004)
National Nanotechnology Initiative — Strategic Plan (December 2004) 1

T he vision of the National Nanotechnology

Initiative is a future in which the ability to

understand and control matter on the nanoscale

leads to a revolution in technology and industry.

Toward this vision, the NNI will expedite the discovery,

development, and deployment of nanotechnology in

order to achieve responsible and sustainable

economic benefit, to enhance the quality of life, and to

promote national security. In the process, the NNI will

support the missions of the participating agencies, will

ensure continuing leadership by the United States in

nanoscale science, engineering, and technology, and

will contribute to the nation’s economic

competitiveness.

VISION

T he four goals of the National Nanotechnology

Initiative are as follows:

■ Maintain a world-class research and development

program aimed at realizing the full potential of

nanotechnology

■ Facilitate transfer of new technologies into products

for economic growth, jobs, and other public benefit

■ Develop educational resources, a skilled workforce,

and the supporting infrastructure and tools to

advance nanotechnology

■ Support responsible development of

nanotechnology

The remainder of this section presents expanded

descriptions of each of the goals, including current

efforts and new strategies for continued progress and

success of the NNI. The included sidebars are

examples of progress towards these goals or

accomplishments to date.

GOAL 1: MAINTAIN A WORLD-CLASS

RESEARCH AND DEVELOPMENT PROGRAM

AIMED AT REALIZING THE FULL POTENTIAL OF

NANOTECHNOLOGY

Federal R&D programs advance the boundaries of

knowledge and develop technologies that address

government and national needs. To accomplish the

vision of the National Nanotechnology Initiative, a

coordinated Federal investment is required at the

frontiers and intersections of many disciplines,

including biology, chemistry, engineering, materials,

and physics. Activities aimed at making progress

toward this goal include support for basic or

knowledge-inspired research, application or useinspired research, and technology development.

Application areas of interest to both Government and

industry include energy, environment, health,

medicine, information technology, defense,

transportation, and agriculture and food systems. NNI

activities have produced significant progress in all of

these and other areas, and are progressing from

fundamental discovery to technological applications

and commercialization.

GOALS AND PLANS

■■■
2 National Nanotechnology Initiative — Strategic Plan (December 2004)

Current Activities 

The NNI funds a wide range of R&D within and across

scientific and engineering disciplines in order to

advance discovery and innovation in nanotechnology.

Universities and other research institutions perform

approximately two-thirds of the NNI R&D under grants,

cooperative agreements, and contracts from NNI

funding agencies. Roughly one quarter of NNI R&D is

performed at government-owned laboratories. The

remainder (about one-tenth) funds nanotechnology

R&D at small businesses and other private sector

entities.

R&D activities can be described as falling into the

following three categories:

■ Single investigators

Research directed by single investigators is a key

component of the NNI R&D portfolio, and is

considered critical to the continuing genesis and

development of innovative concepts that will lead

to breakthroughs in nanotechnology. Funding of

individual investigators allows the NNI to support a

broad range of ideas, as well as more “high risk”

proposals that, if successful, may lead to major

advances.

■ Multi-investigator/team efforts

Research at the intersection of traditional disciplines

is a requirement for rapid progress in both

understanding nanoscale phenomena and

developing nanotechnology applications.

Consequently, funding of multidisciplinary teams

that bring a range of expertise to bear on a

particular research topic or technology problem is a

hallmark of the NNI. Participating agencies employ

a variety of mechanisms for this type of investment;

for example, NSF currently dedicates at least 20% of

its NNI investment to programs such as the

Nanoscale Interdisciplinary Research Teams.

■ Centers

For many of the same reasons, the NNI has invested

substantial resources in establishing large

multidisciplinary research centers (typically costing

more than $2 million per year over 5 to 10 years).

NSF has established 17 such research and education

centers, DOD has established three research centers,

and NASA has established four. Compared to the

multi-investigator research teams, these centers

have a broader scope and bring together a larger

group of researchers with greater breadth of

expertise. Some centers have leveraged the NNI

investment to obtain additional laboratories,

instrumentation, and equipment, providing even

more extensive opportunities and support for

nanotechnology R&D.

Multi-investigator research teams and centers foster

the development of scientists who have an

understanding and appreciation of many

converging disciplines. Such individuals are needed

to fully exploit the opportunities and benefits

offered by novel phenomena and processes at the

nanoscale. In part due to investments in the teams

and centers described above, both senior NNIfunded researchers and more junior scientists are

developing an interdisciplinary culture that was

uncommon in the R&D community of a decade or

two ago.

The NNI also stimulates interaction among

stakeholders in the nanotechnology research

community through various means, including setting

of joint research directions, collaborative activities,

multi-agency program funding, and grantees

workshops. The NNI encourages R&D in partnership

with industry and with the international research

community.

Goals and Plans
National Nanotechnology Initiative — Strategic Plan (December 2004) 3

Goals and Plans

Medical Researchers Target New Cancer Treatments

Despite great progress in the fight against cancer, one American dies from the disease every minute, and

one out of every two men and one out of every three women in their lifetime will be told they have

cancer. Nanotechnology could provide new treatments for many cancers with minimal side effects. One

promising approach is the targeted destruction of malignant cells using localized heating. This procedure

could be relatively simple to perform, minimally invasive, and useful in vital regions where surgical removal

is out of the question. Previous approaches for using localized heating (including focused ultrasound

energy, microwaves, and laser light) do not adequately discriminate between tumors and surrounding

healthy tissue. Nanostructures that can seek out cancerous cells and then act as localized heat sources

may prove to be key to practical thermal cancer therapies.

Researchers at Rice University, with funding from NSF and DOD, have carried out experiments in which

they treat mice, in which cancer had been induced, with nanoparticle-enabled thermal therapy. Gold

nanoshells of about 150 nanometers in diameter were injected into the bloodstream of these mice. This

size nanoshell penetrates tumors but not healthy tissue. The nanoshells are also specifically designed to

absorb infrared light that passes harmlessly through body tissue. The nanoshells heat up when they

absorb the infrared light, thereby killing the nearby cancer cells.

Ninety days after mice with cancer were treated with this photothermal therapy, they appeared healthy

and tumor-free, whereas untreated mice had to be euthanized after an average of 12 days due to

extensive tumor growth. These researchers are now planning laboratory trials with larger mammals as

the next step toward future clinical trials.

Courtesy Jennifer West, Rice Univ., National Cancer Institute, and NNCO staff
4 National Nanotechnology Initiative — Strategic Plan (December 2004)

Plans 

Because nanotechnology is still at an early phase of

realization, the Research Directions II workshop

participants emphasized the need for continued

financial support, programmatic development, and

technical focus of the NNI. Targeted investments and

shared commitments among stakeholders are

essential to accelerate social and economic benefits

based on advancement and commercialization of

nanotechnology.

The NNI plans to continue and build on current

activities by adopting the following strategies:

■ Sustain funding for exploratory research leading to

the discovery and development of novel ideas.

Such research includes the investigation of

fundamental nanoscale phenomena, properties,

processes, structures, and architectures, as well as

development of experimental and simulation tools

with high spatial and temporal resolution.

■ Continue to invest in research in the enabling

disciplines and in synergistic research at the

intersection of the many disciplines encompassed

by nanotechnology, through all three of the funding

approaches described above (single-investigator,

multi-investigator/team efforts, and centers). Utilize

the existing center and network approach to

encourage interdisciplinary projects and to incubate

new concepts for industrial production and

education.

■ Within budget constraints, continue to make

funding for nanotechnology R&D a priority and seek

to reduce rejection rates for proposals in

nanotechnology so that they are comparable to

programs in other R&D areas.

■ Focus on specific areas of opportunity in which the

NNI encourages R&D and capacity building, based in

part on scientific community input from NNI

workshops. Examples of such areas include:

- Integration of physical and biological sciences

- New instrumentation and tools for advancing 

nanotechnologies

- Development of unifying tools for modeling,

simulation, and visualization

- Science of self-assembly

- New approaches to the fabrication and operation 

of active nanostructures

- Collective effects in assemblies and systems of 

nanostructures

- Nanoscale manufacturing approaches including 

R&D on scale-up, reproducibility, process control,

and integration into useful devices and systems

■ Establish focused R&D objectives within each of the

program component areas of the initiative.

Develop interagency collaborative projects and

partnerships with industry in order to meet these

objectives.

■ Initiate programs to foster creation of scientific and

engineering platforms for precompetitive

applications of nanotechnology. Examples of such

platforms include nanotubes for integration in

electromechanical and electronic devices;

dendrimers for chemical, pharmaceutical and

construction applications; and modular components

for nanomanufacturing.

■ Promote awareness of, and engagement in,

international R&D activities by U.S.-based

researchers. Strategies towards this end include

extension of international student and postdoctoral

exchange programs, support for international

benchmarking activities, sponsorship of U.S.

participation in international nanotechnology

conferences, and attention to visa issues that are

affecting participation in international exchanges.

Goals and Plans
National Nanotechnology Initiative — Strategic Plan (December 2004) 5

Goals and Plans

GOAL 2: FACILITATE TRANSFER OF NEW

TECHNOLOGIES INTO PRODUCTS FOR

ECONOMIC GROWTH, JOBS, AND OTHER

PUBLIC BENEFIT 

In order to achieve the full benefit of the results of

NNI-funded R&D, it is important to transition ideas into

products. Technology transfer can occur via various

pathways, including hiring of recent graduates and

licensing of intellectual property resulting from

Federally funded research. A primary aspect of all

technology transfer is interaction among those who

are performing R&D and those who manufacture and

sell goods and services. The NNI plans to further its

use of multiple avenues, including policy approaches,

to facilitate successful nanotechnology

commercialization.

Current Activities

The NNI is using a range of approaches to support the

transfer of nanotechnology discoveries from the

laboratory to commercial use and public benefit.

These approaches include the following:

Courtesy Reactive NanoTechnologies

NNI Facilitates Technology Transfer and Commercialization

Forming strong and thermally conductive bonds between different materials and components is a tricky

process, but one of great commercial importance. For example, electronics manufacturers need to attach

aluminum or copper cooling fins to high-performance microprocessor chips to conduct heat away from the

chips and keep them from overheating. To enable the best heat removal and thereby the best chip

performance, manufacturers would like to attach the cooling fins with conductive metallic solders.

However, standard soldering processes heat up the entire chip and fin assembly and the associated high

temperatures can damage the chip. Consequently, most cooling fins are attached to chip packages with

adhesives or greases, but these materials do not conduct heat as well as metallic solders. Their limited

ability to transmit heat to the cooling fins constrains the performance of the newest high-speed, highdensity chips.

Now nanotechnology researchers have developed nanostructured foils that heat only the immediate

surfaces of the components to be bonded, thereby avoiding thermal damage. The foils consist of

thousands of alternating 10- to 20-nanometer thick layers of nickel and aluminum. The foils won’t selfignite, but when activated by an electrical pulse or laser, the nickel and aluminum react to form an alloy.

This releases considerable heat in a carefully confined region. The inventors have subsequently formed a

company, Reactive NanoTechnologies, which is commercializing the bonding foils. A broad array of

customers, from computer chip and circuit board makers to aerospace manufacturers, are enthusiastic

about this new bonding method.

The Reactive NanoTechnologies story shows how

entrepreneurs can transfer technology

developed through Federally funded research to

the private sector. The underlying research was

carried out at Lawrence Livermore National

Laboratory and Johns Hopkins University, with

support from several agencies participating in

the NNI. Reactive NanoTechnologies was formed

in 2001 to commercialize the resulting NanoFoilTM

technology. To help bring its products to market,

the company has secured venture capital funds,

Phase I and II SBIR awards from the National

Science Foundation and the Army Research

Laboratory, and a NIST Advanced Technology

Program award.
6 National Nanotechnology Initiative — Strategic Plan (December 2004)

■ Establish NSET industry liaison groups with various

commercial sectors to promote exchange of

information on NNI research programs and industry

needs that relate to nanotechnology. Such activities

are underway with the semiconductor/electronics

and the chemical industries and are in development

with the pharmaceutical and automotive industries.

■ Support meetings at which researchers from

academia, government, and industry exchange

information on results and possible applications.

■ Foster interaction among industry, academic, and

government researchers through the establishment

or support of user facilities that are available to

researchers from all sectors. Examples include the

existing NSF-funded National Nanofabrication

Infrastructure Network (NNIN) and a suite of 

DOE-funded Nanoscale Science Research Centers

(NSRCs), each with a specific focus, to be collocated

at DOE laboratories across the country.

■ Require that all NSF-funded Nanoscale Science and

Engineering Centers (NSECs) include industry

partners. Such associations allow industry to

communicate its needs at an early stage and

enhance the likelihood that new ideas will

ultimately be developed and commercialized.

■ Utilize the agency-run Small Business Innovation

Research (SBIR) and Small Business Technology

Transfer (STTR) programs to support early-stage

nanotechnology-based solutions.

■ Participate in standards development activities,

including the American National Standards Institute

(ANSI) Nanotechnology Standards Panel (NSP)

established in September 2004. The present

Director of the National Nanotechnology

Coordination Office (NNCO) is the Government 

co-chair of the NSP. Areas of interest for

standardization in nanotechnology include, for

example, nomenclature and terminology, materials,

metrology, and testing procedures.

Plans

To facilitate the transfer of NNI-developed

nanotechnology for economic and public benefit, the

NNI plans to continue and, where appropriate, expand

the activities and approaches described above.

Further strategies in support of this goal include the

following:

Industrial Outreach

■ Encourage use of NNI-supported user facilities by

businesses that do not otherwise have access to the

advanced instrumentation and expertise resident

therein. Emphasize that businesses may protect

proprietary information that is created through use

of such facilities if they reimburse the associated

costs.

■ Expand NSET’s industry liaison activities to sectors

beyond those already engaged. Such activities

establish channels for exchange of information and

can lead to other partnerships between Federal

agencies and industry representatives.

■ Continue to fund multidisciplinary research teams

that include industry and university researchers

through programs such as NSF’s Grant

Opportunities for Academic Liaison with Industry

(GOALI), Nanoscale Science and Engineering Centers

(NSECs), Partnerships for Innovation (PFI), and

Industry/University Cooperative Research Centers

(I/UCRC); NASA’s University Research, Engineering

and Technology Institutes (URETI); and the DOD

University Affiliated Research Centers (UARCs).

■ Encourage exchange of researchers between

universities and industry to allow university

personnel to spend time in industry labs and vice

versa.

■ Promote greater utilization of the agency-run SBIR

and STTR programs to facilitate commercialization

of nanotechnology by the following means:

- Encourage agencies participating in the NNI to

have components of their SBIR and STTR programs

focused on nanotechnology topics, and in

particular on nanomanufacturing. Such efforts are

consistent with Executive Order 13329, in which

the President gives high priority to manufacturingrelated R&D within the SBIR and STTR programs.

- Facilitate use of NNI-supported user facilities by

small businesses that seek and receive SBIR and

STTR grants and contracts.

Goals and Plans
National Nanotechnology Initiative — Strategic Plan (December 2004) 7

Manufacturing Research

■ Establish one or more centers focused on

nanomanufacturing research, as called for in the Act.

Where appropriate, do so via collaborative efforts

among existing Federal agencies, programs, and

offices with interests in manufacturing, e.g., DOD

(including the ManTech program), NSF, and NIST.

■ Support R&D focused on pre-competitive

nanomanufacturing issues, including scale-up,

reproducibility, and control of manufacturing

processes.

■ Coordinate with the NSTC Manufacturing

Interagency Working Group (IWG), which has

identified nanomanufacturing as a focus area for

Federal manufacturing R&D activities.

Additional Activities

■ Engage with regional, state, and local

nanotechnology initiatives to facilitate economic

development and exchange of information, through

mechanisms such as workshops and electronic

means.

■ Consider new mechanisms to encourage

technology transfer via licensing of intellectual

property generated by NNI-funded research. Such

mechanisms include forming of consortia among

universities and other research institutions for

purposes of pooling intellectual property and/or

creating simplified or uniform technology transfer

procedures.

■ Support the U.S. Patent and Trademark Office’s

efforts to provide adequate protection to inventors

and to encourage new technology development

and commercialization of nanotechnology,

including efforts to establish a nanotechnology

classification hierarchy identifying patents directed

to nanotechnology inventions.

■ Provide and coordinate input to the Departments of

Commerce, State, Defense, and Homeland Security

with respect to the relationship between

nanotechnology and policies on export/import

restrictions, militarily critical technologies, and visa

controls.

■ Engage in international collaborations, workshops,

conferences, and other activities in order to leverage

the advances made worldwide for mutual economic

and public benefit.

GOAL 3: DEVELOP EDUCATIONAL RESOURCES,

A SKILLED WORKFORCE, AND THE

SUPPORTING INFRASTRUCTURE AND TOOLS

TO ADVANCE NANOTECHNOLOGY

A well-educated citizenry, a skilled workforce, and a

supporting infrastructure of instrumentation,

equipment, and facilities are essential foundations of

the initiative. Nanoscale science, engineering, and

technology education can help to (1) produce the next

generation of researchers and innovators, (2) provide

the workforce of the future with the math and science

education and technological skills they will need to

succeed, and (3) educate a citizenry capable of making

well-informed decisions in an increasingly technologydriven society. The NNI utilizes a variety of

approaches to address this need for nanotechnologyrelated education at all levels and for all ages.

Equally important to the goal of supporting public

education and the human resource infrastructure is

that of supporting the necessary physical

infrastructure. The Federal Government maintains a

host of user facilities outside the NNI that nevertheless

support nanoscale R&D. Examples include the high

intensity X-ray and neutron facilities run by DOE, NSF,

and NIST. A role of the NNI is to develop additional

infrastructure specifically addressing the needs of the

nanotechnology research community. The cost of

such facilities is out of reach for many businesses and

academic institutions, but Federal funding can make

these state-of-the-art research capabilities accessible

to researchers based on merit review.

Current Activities

Education

Since FY 2001, the NNI has built a substantial

education program focused on nanoscience and

nanotechnology for K-12, university, and vocational

students, and for the public. In addition, the NNI is

establishing a geographically distributed physical

infrastructure that provides access to state-of-the-art

facilities and expertise for researchers from academia,

Goals and Plans
8 National Nanotechnology Initiative — Strategic Plan (December 2004)

industry, and government. Ongoing efforts in both

the education and infrastructure areas include the

following:

■ Provide hands-on training of undergraduates,

graduate students, and postdoctoral researchers at

universities, Federal laboratories, and other research

institutions through the broad research program

described under Goal 1.

■ Via participating agencies, award funding directly to

students for fellowships and traineeships that give

recipients flexibility in choosing areas of research,

especially those that cross multiple disciplines.

■ Support development of educational programs

aimed at training technicians to meet the growing

demand from industry as nanotechnology

applications move into more products and services.

Such programs are implemented at community

colleges and other institutions that emphasize

development of job-related skills and knowledge.

■ Bring nanoscience concepts into education for

students at all ages. Existing programs include:

- NSF’s Research Experience for Teachers and

Research Experience for Undergraduates, reaching

thousands of students and educators annually

- NSF’s Nanoscale Science and Engineering

Education, including Nanotechnology

Undergraduate Education grants supporting

course development

- Educational activities occurring through DOE

laboratories, such as the “Nano*High” effort at the

Lawrence Berkeley National Laboratory in

California — a series of free Saturday morning

lectures for high school students of all interests

and teachers of all subjects

■ Support development of science center and

museum exhibits, video productions, and other

approaches to learning outside of formal

educational institutions.

Infrastructure

■ Establish and maintain geographically distributed

user facilities to provide all researchers access to

advanced instrumentation for fabrication,

characterization, modeling, and simulation of

nanoscale and nanostructured materials, devices,

and systems. At present, the NNI supports the

following such facilities:

- Five Nanoscale Science Research Centers (NSRCs)

that are under development and will be collocated

with existing major facilities at DOE laboratories

across the country. Upon completion, the NSRCs

will be operated as user facilities that are available

to all researchers on a merit-reviewed basis.

- The National Nanotechnology Infrastructure

Network (NNIN) comprising facilities at 13 partner

universities aimed at providing fabrication and

characterization facilities, instrumentation, and

expertise.

- The Network for Computational Nanotechnology

(NCN) consisting of seven universities that

together support computational research, as well

as education and modeling and simulation tools

that can be accessed via the web.

■ Support additional infrastructure within the Federal

laboratory enterprise dedicated to nanotechnology

R&D, including the nanoscience facility at the Naval

Research Laboratory and portions of the Advanced

Measurement Laboratory at NIST.

Plans

Education 

The NNI will continue ongoing activities that foster

multidisciplinary education, teacher training, and

development of curricula and instructional materials.

The NNI also will explore additional mechanisms to

facilitate training in advanced nanotechnology R&D

and to support nanotechnology industry needs.

Components of this effort include the following:

■ Taking advantage of existing programs and

exploring new partnerships to bring more students

and teachers into research laboratories. Bringing

together nanotechnology researchers with

education researchers and teachers will provide

mutual benefits by strengthening educational

programs and providing fresh research perspectives.

■ The nation’s first Center for Learning and Teaching in

Nanoscale Science and Engineering (NCLT) will be

created with a recent five-year, $15 million grant

from NSF. The center will develop scientisteducators at the middle-school, high-school, and

Goals and Plans
National Nanotechnology Initiative — Strategic Plan (December 2004) 9

undergraduate levels who can introduce

nanoscience and nanoengineering concepts into

schools and undergraduate classrooms. It will also

serve as a national clearinghouse for curricular

materials, instructional methods, and activities in

nanotechnology education.

■ Promoting partnerships between industry,

education and training providers, and the Federally

funded workforce system to ensure that

nanotechnology firms have access to the highly

skilled workers they need, and that workers have

access to training programs that prepare them for

careers in industry. The President's Jobs for the 21st

Century initiative will ensure that local industry

collaborates with local community colleges to meet

these needs.

Goals and Plans

NNI Develops Research Centers and Infrastructure

The NNI already has developed a substantial network of research centers, user facilities, and related

infrastructure throughout the United States. Since the NNI’s inception in 2001, NSF, DOD, and NASA have

established 24 research centers. Five DOE user facilities are under construction, with interim operational

capability online already at some of these facilities. NSF has established a 13-university network of user

facilities, the National Nanotechnology Infrastructure Network (NNIN), as well as the 7-university

Nanotechnology Computational Network (NCN). In 2004, the total number of users of both the NCN and

NNIN facilities and expertise exceeded 6300. The NNI centers, user facilities, and infrastructure support all

of the NNI goals outlined in this strategic plan.
10 National Nanotechnology Initiative — Strategic Plan (December 2004)

Infrastructure

Construction of some of the major user facilities

mentioned above is ongoing and will continue

through at least 2008. Operations of these facilities for

the benefit of the nanotechnology community and

continued development of infrastructure capabilities

are key components of NNI plans.

■ Develop specific programs to ensure ongoing

support for existing infrastructure and centers. This

effort will involve funding for (a) recapitalization of

existing facilities and equipment, (b) scientific and

technical staff expertise for their support, and 

(c) other operational costs.

■ Maximize awareness and utilization of infrastructure

resources. The NNI will initiate the compilation of

data on U.S. Government-supported user facilities

and instrumentation and make that information

readily accessible to the nanotechnology research

community at the NNI website, www.nano.gov. This

data will be valuable in setting detailed strategies

for further investment.

■ Create an infrastructure that facilitates use of

instrumentation and equipment from distant

locations. The first steps of true tele-operation are

already taking place as the most advanced

instrumentation for imaging, characterization, and

fabrication at the nanoscale increasingly requires

that operators be remote from the equipment itself

in order to minimize interference to the instruments

due to presence of human operators, e.g., from

thermal coupling, acoustic and/or vibration

transmission, and bacterial or dust contamination.

■ Leverage Federal support of large R&D facilities and

projects by partnering with industry, states, private

foundations, and international entities.

■ Establish a facility specifically aimed at providing

support for the use of nanotechnology for

prevention, diagnosis, and treatment of cancer. This

activity is getting underway through the NIH

National Cancer Institute’s formation of the

Nanotechnology Characterization Laboratory (NCL).

The NCL will help cancer researchers from academia,

industry, and government accelerate regulatory

review of nanomaterials or devices and translate

Goals and Plans

these devices from research labs into the clinical

realm.

GOAL 4: SUPPORT RESPONSIBLE

DEVELOPMENT OF NANOTECHNOLOGY 

Responsible development of nanotechnology means

that the Federal Government not only supports the

efforts described in NNI Goals 1 through 3 above, but

at the same time addresses the various societal

dimensions of the new technologies. Societal

dimensions include a diverse range of subjects, such as

access to benefits arising from nanotechnology, effects

on the labor pool, changes in the way medicine is

practiced, the impact of manufacturing locally at the

point of need, concerns regarding possible health or

environmental effects, and privacy concerns arising

from distributed nanotechnology-based sensors.

Responsible development of nanotechnology also

means that the Federal Government establishes

channels of communication, providing information to

and seeking input from the public regarding the

Federal nanotechnology program. Such

communication allows the public and the Government

to make well-informed decisions and builds trust

among all stakeholders. Perceptions and acceptance

of new technology are critical in the realization of

economic and other societal benefits. Responsible

development of nanotechnology further involves

working with the international scientific community

on areas of nanotechnology research and its societal

dimensions that are of mutual interest.

For purposes of this plan, responsible development of

nanotechnology has been divided into two categories:

(1) environment, health, and safety implications, and

(2) ethical, legal, and all other societal issues.

Recognizing that technological innovations can bring

both benefits and risks to society, the NNI has made

research on and deliberation of these two areas a

priority.

Current Activities

Environment, Health, and Safety Implications

The NNI supports a broad spectrum of research to

evaluate the environmental, health, and safety impacts

of nanotechnology. The level of NNI support for this

research has increased with the discovery of new

nanostructures and nanomaterials and the
National Nanotechnology Initiative — Strategic Plan (December 2004) 11

development of new nanotechnology products. The

NNI is continuing to:

■ Study potential health risks of nanomaterials.

Focused efforts are being pursued by six Federal

agencies: the National Institute of Environmental

Health Sciences (NIEHS, part of NIH, under the

auspices of the National Toxicology Program),

NIOSH, EPA, DOD, DOE, and NSF. In addition, NIST is

supporting this work through the development of

relevant standards.

■ Facilitate communication among the member

agencies; identify and prioritize research needed to

support regulatory decision-making; and promote

better communication among the Federal

Government, industry, and researchers at

universities and other institutions. These activities

are coordinated by an NSET subgroup, the

Goals and Plans

NNI Addresses Potential Human Health and Environmental Impacts

A number of Federal agencies, including DOE, DOD, EPA, NIH, NIOSH, and NSF, support research related to

environmental and health aspects of nanomaterials. In particular, a broad program is underway within the

National Toxicology Program (NTP), an interagency program within HHS. The NTP is addressing potential

human health hazards associated with the manufacture and use of nanoscale materials. This research aims

to place the toxicity of nanomaterials in perspective relative to other better known and better understood

materials.

The program is starting with in vivo rodent toxicology studies using the most commercially important

nanoscale materials as model systems. Initial studies were designed with an eye to extending the findings

to guide the development of new manufactured nanomaterials. They include evaluation of:

■ Size-dependent and surface coating-dependent disposition of semiconductor quantum dots when

applied to the skin, ingested, or instilled into the respiratory tract

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

effects of inhalation exposure

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

fullerenes

■ Dermal penetration and phototoxicology of nanoscale metal oxide particles, such as titanium dioxide

used in sunscreens

Nanotechnology Environmental and Health

Implications Working Group (NEHI WG), with

membership from agencies that support

nanotechnology research as well as those with

responsibilities for regulating nanotechnologybased products.

■ Engage in international dialogue on environmental,

health, and other societal issues. This effort was

initiated at an international workshop sponsored by

NSF in 2004, which resulted in a joint declaration by

participants from 25 countries and the European

Union supporting responsible development of

nanotechnology.

■ Conduct research on the fate and transport of

manufactured nanomaterials in the environment

and development of techniques to evaluate the full

life cycle of nanomaterials.
12 National Nanotechnology Initiative — Strategic Plan (December 2004)

Ethical, Legal, and Other Societal Issues

Current NNI-supported research aimed at assessing

the societal implications of nanotechnology includes

the following activities:

■ Support efforts to create a variety of opportunities

for a broadly inclusive interdisciplinary dialogue on

nanotechnology.

■ Assess and analyze public understanding of, and

attitudes toward, nanotechnology. A component of

this is research on effective means to raise

awareness of nanotechnology and obtain input

from the general public.

■ Analyze nanotechnology impacts on economic

growth, standard of living, and competitiveness.

■ Incorporate research on societal implications at

some university-based nanotechnology centers.

Such activities ensure that development takes place

with an awareness of the societal impact of new

technology.

Plans 

Environment, Health, and Safety Implications

■ As necessary, expand support for research into

environmental and health implications of

nanotechnology. NNI-funded research will 

(1) increase fundamental understanding of

nanoscale material interactions at the molecular and

cellular level through in vitro and in vivo experiments

and models; (2) increase fundamental

understanding of nanoscale materials interactions

with the environment; (3) increase understanding of

the fate, transport, and transformation of nanoscale

materials in the environment and their life cycles;

and (4) identify and characterize potential exposure,

determine possible human health impact, and

develop appropriate methods of controlling

exposure when working with nanoscale materials.

■ Assist in establishing and communicating effective

procedures for working safely with nanomaterials.

In collaboration with the NEHI working group,

Goals and Plans

NNI-Funded “NanoWorld”

Displayed at Epcot

Because 120 million people visit U.S. science

museums and centers each year, the NNI supports

exhibits as an effective means of public outreach.

The largest nanotechnology exhibit to date,“It’s a

NanoWorld,” drew nearly 800,000 visitors at

Innoventions at Epcot Center in Lake Buena Vista,

Florida during 2004.

Aimed at an elementary school audience, the 

3,000 square-foot exhibit was funded by the

National Science Foundation’s Informal Science

Education program and developed by Main Street

Science, the education program at Cornell

University’s Nanobiotechnology Center; the Ithaca,

N.Y. Sciencenter; and Painted Universe of Lansing,

N.Y. Now on view at the HealthSpace in Cleveland,

Ohio, the exhibit also is scheduled for stops in Michigan,Texas, and South Carolina. The successful

collaborators have received additional NSF support for development of a new exhibition that will be called

“Too Small To See.” The exhibition will be targeted to ages 8 to 13 and adults and will travel to large and

small locales nationwide. For more on “It’s a NanoWorld,” see http://www.itsananoworld.org/.

Courtesy Cornell University
National Nanotechnology Initiative — Strategic Plan (December 2004) 13

NIOSH will be issuing guidelines in 2005 for

developing safe working practices when producing

and handling nanoscale materials. NIOSH and other

NNI departments and agencies will distribute these

guidelines to the research, business, emergency

response, and related communities and will post

them publicly on the NNI and NIOSH websites.

■ Coordinate with the Health and the Environment

Subcommittee of the NSTC Committee on Science

and other appropriate interagency subcommittees

and working groups.

Ethical, Legal, and Other Societal Issues

■ Foster and encourage forums for dialogue with the

public and other stakeholders. Such forums include

museums and other science centers, various

programs organized by NNI-funded research

centers, the USDA extension program, and other

agency outreach mechanisms.

■ Create and distribute new informational materials

about nanoscience and nanotechnology to better

communicate with the broad public. Periodic

measurements of public perceptions of

nanotechnology will provide important feedback to

the NNCO and agencies, as well as to the scientific

community and policy makers.

■ Support research on societal dimensions of

nanotechnology development. Key research areas

include economic, ethical, legal, and cultural

implications, as well as implications for science and

education, quality of life, and national security.

Some examples of research to be funded include

identification and assessment of:

- Education and workforce development needs

- Additional means of effective public engagement

on technology issues

- Barriers to adoption of nanotechnology in

commerce, healthcare, or environmental

protection 

- Ethical issues in the selection of research priorities

and applications

■ As called for by the Act, establish a center for

nanotechnology research related to societal

implications. The call for proposals for a Center for

Nanotechnology in Society was issued in August

2004 by NSF. It specifies that the chosen center is to

formulate a long-term vision for addressing societal,

ethical, environmental, and education concerns;

involve partners or affiliates to collaborate on topics

related to responsible development of

nanotechnology; include plans to involve a wide

range of stakeholders; and develop a clearinghouse

for information on communicating about

nanoscience and nanotechnology and engaging the

public in meaningful dialogue.

Goals and Plans

■■■
14 National Nanotechnology Initiative — Strategic Plan (December 2004)
National Nanotechnology Initiative — Strategic Plan (December 2004) 15

P

rogram Component Areas (PCAs) are defined by

the Act as major subject areas under which

related NNI projects and activities are grouped.

Whereas the NNI goals embody the vision of the

initiative and provide structure for its strategy and

plans, the PCAs relate to areas of investment that are

critical to accomplishing those goals. These areas cut

across the interests and needs of the participating

agencies and indicate where advancement may be

expedited through coordination of work by multiple

agencies. The PCAs are intended to provide a means

by which the NSET Subcommittee, as the interagency

coordinating body; the Office of Science and

Technology Policy (OSTP) and the Office of

Management and Budget (OMB); Congress; and others

may be informed of and direct the relative investment

in these key areas. The PCAs also provide a structure

by which the agencies funding R&D can better direct

and coordinate their activities. Agency plans for each

PCA will be included in the annual NNI supplement to

the President’s budget. The seven PCAs are defined as

follows:

■ Fundamental nanoscale phenomena and

processes

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 to nanoscale

structures, processes, and mechanisms.

■ Nanomaterials 

Research aimed at 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.

■ 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 of nanoscale or nanostructured

materials to achieve improved performance or new

functionality. To meet this definition, the enabling

science and technology must be at the nanoscale,

but the systems and devices themselves are not

restricted to that size.

■ Instrumentation research, metrology, and

standards for nanotechnology

R&D pertaining to the tools needed to advance

nanotechnology research and commercialization,

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 of standards, including standards for

nomenclature, materials, characterization and

testing, and manufacture.

■ Nanomanufacturing

R&D aimed at enabling scaled-up, reliable, costeffective manufacturing of nanoscale materials,

structures, devices, and systems. Includes R&D and

integration of ultra-miniaturized top-down

processes and increasingly complex bottom-up or

self-assembly processes.

■ Major research facilities and instrumentation

acquisition

Establishment of user facilities, acquisition of major

instrumentation, and other activities that develop,

support, or enhance the Nation's scientific

infrastructure for the conduct of nanoscale science,

engineering, and technology research and

development. Includes ongoing operation of user

facilities and networks.

■ Societal Dimensions

Various research and other activities that address

the broad implications of nanotechnology to

society, including benefits and risks, such as:

- Research directed at environmental, health, and

safety impacts of nanotechnology development

and risk assessment of such impacts

PROGRAM COMPONENT AREAS
16 National Nanotechnology Initiative — Strategic Plan (December 2004)

Program Component Areas

- Education-related activities, such as development

of materials for schools, undergraduate programs,

technical training, and public outreach

- Research directed at identifying and quantifying

the broad implications of nanotechnology for

society, including social, economic, workforce,

educational, ethical, and legal implications

Individual PCAs may encompass basic research

through application-oriented efforts, including

experimental, theoretical, modeling, and simulation

approaches. There is a gradation within the PCAs in

the scale or level of organization, ranging from

fundamental nanostructure phenomena, through

nanomaterials, devices, and systems, to tools and

instrumentation, and finally to manufacturing. The

last two PCAs listed above are different in nature, in

that they provide for state-of-the-art research facilities

and for addressing societal implications.

The PCAs as outlined in this plan represent the

principal areas that are the focus of the NNI today.

These areas are broad and are expected to continue to

adequately describe the activities within the NNI for

the next several years.

The NNI is first and foremost an R&D program, and

therefore, not surprisingly, all of the PCAs support the

first NNI goal listed in the previous chapter, that is, the

maintenance of a world-class nanotechnology R&D

program. In fact, all of the PCAs are related to some

extent to each of the overarching NNI goals. The

matrix in Table 1 qualitatively indicates the

magnitudes of these relationships. Note that the

activities in one or more PCAs are critical to making

progress towards each goal.
National Nanotechnology Initiative — Strategic Plan (December 2004) 17

Program Component Areas

Program Component Areas:

Fundamental Nanoscale Phenomena and Processes 

Nanomaterials

Nanoscale Devices and Systems

Instrumentation Research, Metrology, and Standards for

Nanotechnology

Nanomanufacturing

Major Research Facilities and Instrumentation Acquisition

Societal Dimensions

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

In addition to their relationship to the NNI goals, the

PCAs are strongly correlated with the missions of the

agencies and departments participating in the NNI.

Table 2 shows for each participating agency (as of 

FY 2005) which PCAs have the strongest relationships

to the agency’s mission, interests, and needs. For

agencies with budgets for nanotechnology R&D

(shaded in Table 2), the strength of the relationship

shown in Table 2 correlates with the level of

investment. For those agencies that do not have

nanotechnology R&D budgets (unshaded in Table 2),

there are nevertheless connections with agency

missions, as reflected in the table. For example, the

FDA is particularly interested in the development of

nanotechnology devices for medical use, as well as

any health implications of materials that may be

incorporated into products for which the agency has

regulatory authority, such as cosmetics or food

additives.

critical to goal

primary relevance

secondary relevance

Goal 1: Maintain a world-classresearch and developmentprogram aimed at realizing the fullpotential of nanotechnologyGoal 2: Facilitate transfer of newtechnologies into products foreconomic growth, jobs, and otherpublic benefitGoal 3: Develop educationalresources, a skilled workforce, andthe supporting infrastructure andtools to advance nanotechnologyGoal 4: Support responsibledevelopment of nanotechnology
18 National Nanotechnology Initiative — Strategic Plan (December 2004)

Program Component Areas

CPSC 3 3 ●● ●

DHS ● ●● 3

DOC (BIS) 3 ●●● 3

DOC (NIST) 333 ● ● 3 3

DOC (TA) 3333 ● 3 ●

DOC (USPTO) ● ●●●

DOD 3 ● ● 3 ● 3 3

DOE ● ● 333 ● 3

DOJ ●

DOS ●

DOT ● 3 ● ●

DOTreas ● ●

EPA 3 ● ● 3 ● ●

HHS (FDA) 3 ● ●

HHS (NIH) ● 3 ● 33 3

HHS (NIOSH) 3 3 ●

IC 3 ● ● 3 3

ITC ●● ● ●

NASA 3 ● ● 3 3

NRC ●

NSF ● ● 3 3 ● ●●

USDA 3 ● ● 3 ●

Fundamental Nanoscale Phenomena and Processes NanomaterialsNanoscale Devices and Systems InstrumentationResearch, Metrology,and Standards forNanotechnology Nanomanufacturing Major ResearchFacilities and Instrumentation AcquisitionSocietal Dimensions

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

● - Primary 3 - Secondary 

Shading indicates agencies with budgets for nanotechnology R&D in FY 2005.
National Nanotechnology Initiative — Strategic Plan (December 2004) 19

T he original implementation plan for the NNI

identified nine “grand challenge” areas,

corresponding to a variety of application areas

in which nanotechnology was expected to have a

significant impact. Some of the grand challenge areas

were very broad (e.g., Nanomaterials by Design),

whereas others were more specific (e.g., ChemicalBiological-Radiological-Explosive Detection and

Protection). The plan described herein is organized

somewhat differently, focusing on the overarching

goals and the investment areas. These PCAs underlie

virtually all the former grand challenge areas.

Although the plan no longer refers explicitly to grand

challenge areas, it recognizes the strong interest and

support among the participating agencies for

developing nanotechnology applications that address

agency missions and needs. For example,

nanomaterials research may target the creation of

composites for lightweight structures that meet the

requirements of certain aerospace applications.

Research on fundamental nanoscale processes may

address catalysis for energy conversion. Nanoscale

sensor devices may enable in vivo detection of markers

for a specific disease or detection of chemical or

biological threats.

Mission-oriented agencies in the NNI, in particular, seek

nanotechnology applications that will address their

individual requirements. The following list, although

not comprehensive, includes areas of application that

relate to agency missions, national needs, and major

industry sectors in which nanotechnology can have an

impact. One or two agencies have a particularly

strong connection to each specific application area

and are therefore indicated by bold type as primary

participants for that area. The relationships between

agencies and application areas are summarized in

Table 3, which follows the text descriptions.

Aerospace

High strength, low weight, multifunctional materials to

improve performance and reduce operational costs for

aircraft and spacecraft. Faster, yet more compact,

electronics that enable fully automated, self-guided

unmanned air vehicles for reconnaissance and

surveillance.

Agency Participation and Partnerships

DHS Aviation security, UAV platforms, situational

awareness

DOD Surveillance, uninhabited combat platforms,

augmented human performance

DOE Efficient fuel usage, batteries and fuel cells,

materials research

DOT Aviation safety

IC Novel robotic systems

NASA Intelligent spacecraft, smart materials/devices,

autonomous healthcare systems

NIH Telemedicine diagnostics/surgery; in-body

systems for diagnosis/therapeutics

NIST Materials research, standards

NSF New principles and architectures for devices

and systems; generic science base

Agriculture and Food

Secure production, processing, and shipment of food

products. Improved agricultural efficiency. Reduced

agricultural waste through conversion of agricultural

materials into valuable products.

Agency Participation and Partnerships

DHS Sensors for chemical and biological threats to

food and agriculture

DOD Ration/water reliability; food preservation

DOJ Microbial forensics for protection of food and

agriculture

DOS International food security

EPA Run-off from crops and livestock 

FDA Safe food (human and animal); public health

protection

NSF Basic research on plant growth and food

processing

USDA Improved agricultural production and value

without environmental detriment

4. CROSS-CUT TING AREAS OF APPLICATION
20 National Nanotechnology Initiative — Strategic Plan (December 2004)

Cross-Cutting Areas of Application

National Defense and Homeland Security

Systems with the speed and capacity to enable

command, control, communications, surveillance,

reconnaissance, and information dominance.

Automation and robotics with sufficient decisionmaking capabilities to minimize the exposure of

warfighters and first responders to harm. Platforms

and weapons with performance that is unquestionably

superior to adversarial capability, yet which are

affordable and easily maintained. Cost-effective aids

for timely training of new recruits and other personnel,

especially at remote sites.

Agency Participation and Partnerships

DHS Chemical, biological, radiation, and explosives 

detectors; first responder protection

DOD Materials for weapons and platforms;

technology for information dominance

DOE System integration; lab-on-a-chip; radiological

and explosives detection

DOJ Detection of and protection against chemical 

and biological agents; DNA analysis

DOS Diplomatic security; biometrics

DOT Explosives detection; advanced transportation

security systems

EPA Hazardous material reduction and remediation

IC Chemical, biological, radiological, and

explosives detection

NASA System integration; miniaturization; robotic

systems

NIH Detection/treatment for chemical, biological,

and radiological substances

NIOSH Hazardous material detection

NIST Chemical microsensors, single molecule

measurement

NSF Broad-based science investment to prevent

surprise; sensors and devices

USDA Secure agricultural production and food

resources

Energy 

Significant improvements made through tailored

nanomaterials, for example, in solar energy conversion,

transmission, and storage; thermoelectric converters;

and high performance batteries and fuel cells. Control

of corrosion, friction, and wear for reduced

maintenance and energy consumption. Catalysts for

energy-efficient manufacturing.

Agency Participation and Partnerships

DHS Reduction in weight and costs of detection 

systems

DOD Energetic materials for propulsion/explosives;

compact, lightweight power sources

DOE All aspects of energy research, including 

catalysis, fuel cells, hydrogen 

DOS Sustainable energy for development; energy 

security

EPA Energy from waste and alternative fuels 

IC Nano-enabled advanced power systems

NASA Energy conversion and storage for space 

systems

NIST Materials research and characterization;

standards 

NSF Generic science base, including catalysis and 

energy conversion

USDA Biomass conversion for energy, chemicals,

polymers, and industrial products

Environmental Improvement

Improved understanding of molecular processes that

take place in the environment. Reduced pollution

through the development of new “green” technologies

that minimize manufacturing and transportation

waste products. Better environmental remediation

through more efficient removal of contaminants,

especially ultrafine particles, from air and water

supplies, and by continuous measurement and

mitigation of pollution in large geographical areas.

Agency Participation and Partnerships

DHS Immediate chemical, biological, and

radiological decontamination

DOE Remediation; waste containment; extraction

of radionucleotides 

DOS Global pollution prevention and mitigation

EPA Detection, remediation and prevention of

environmental pollution

FDA Bio-environmental processes

NIOSH Detection, monitoring, and control of

environmental pollution
National Nanotechnology Initiative — Strategic Plan (December 2004) 21

Cross-Cutting Areas of Application

NIST Standards; sensor development

NSF Nanoscale processes in nature; green

manufacturing; nanomaterials dispersion

USDA Green agriculture and food processes

Information Technologies

Silicon-based semiconductor electronics today already

have nanoscale (i.e., less than 100 nm) features.

Continued increases in performance based on

breakthroughs and implementation of even smaller

scale technologies. Future devices, perhaps based on

novel magnetic, spin, molecular, or quantum

information approaches. Nanotechnology-based

systems to improve computer speed, provide nonvolatile random access memory, expand mass storage,

reduce power consumption per unit operation,

increase bandwidth for data transmission, and enable

flexible, flat displays that are many times brighter than

the displays of today.

Agency Participation and Partnerships

DHS Embedded radio frequency tags for tracking;

communications for detectors

DOD Devices for communication, command,

control, surveillance, and reconnaissance

DOE Nanoelectromechanical systems (NEMS);

laboratory-on-a-chip; reduced power

consumption devices

IC Molecular electronics; advanced

communication systems

NASA Highly effective, miniaturized, low power

devices for spacecraft

NIST Standards for measurement; manufacturing

quality control

NSF Novel phenomena, processes, devices, and

architectures; generic science base

Medicine and Health

Novel sensor arrays enabling inexpensive, rapid

diagnosis in a doctor’s office or at home for a range of

conditions. New composite structures for superior

bone and tooth implants. Targeted, highly effective

treatment of diseases such as cancer and heart disease

with reduced side effects.

Agency Participation and Partnerships

DOD Casualty care; monitoring warfighter

physiology; performance enhancement

DOE Radiation effects; sensors; hard/soft matter

interfaces

DOS Global health issues; epidemics and emerging

infectious diseases 

FDA Quality control; regulation of human and

animal drugs, medical devices, biologics, food,

cosmetics, and radiation-emitting electronic

products

NASA Remote and autonomous medical care in

space environments 

NIH Therapeutics; diagnostics; regenerative

medicine

NIOSH Associations between nanomaterials and

biological activity; occupational health

NIST Standards; nanobioengineering; drug delivery

systems

NSF Nanobioscience; nanobioengineering

USDA Animal production; food safety; food for

enhancing health

Transportation and Civil Infrastructure 

Automated systems that dramatically reduce accidents

and lower costs of transporting goods. More efficient

vehicles through the use of higher performance

materials. Vehicles, bridges, and roadways that are far

less expensive to build and maintain through use of

composite material structures.

Agency Participation and Partnerships

DHS Transportation security; critical infrastructure

protection

DOD Effective, fuel-efficient military platforms;

infrastructure for rapid transportation

DOE Fuel efficiency; hydrogen economy

DOT Safe, affordable, efficient, and long-lived

transportation infrastructure; vehicle safety

sensors

EPA Reduced pollution and improved efficiency of

transportation vehicles

NSF Basic research in civil infrastructure and

transportation
22 National Nanotechnology Initiative — Strategic Plan (December 2004)

Cross-Cutting Areas of Application

■■■

DHSDOC (NIST)DODDOEDOJDOSDOTEPAHHS (FDA)HHS (NIH)HHS (NIOSH)ICNASANSFUSDA

Table 3. NNI Agency Participation in Cross-Cutting Applications

● - Primary participant 3 - Secondary participant

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

Aerospace

Agriculture & Food

National Defense 

& Homeland Security

Energy

Environmental Improvement

Information Technologies

Medicine & Health

Transportation & Civil 

Infrastructure

3333 3 3 3 ● 3

3 3 33 33 3 ●

● 3 ● 33 33 3 33 3 33 3

333 ● 3 3 3 33 3

33 3 3 ● 3 3 ● 3

3 3 ● 3 33 ●

333 3 3 ● 3 33 3

3 33 ● 3 3
National Nanotechnology Initiative — Strategic Plan (December 2004) 23

I

nteragency management of the NNI occurs within

the framework of the National Science and

Technology Council (NSTC). The NSTC is a Cabinetlevel body and is the principal means by which the

President coordinates the diverse parts of the Federal

science and technology R&D enterprise. Figure 1 is an

organizational chart showing the various entities that

play a role in the NNI and their relationships to each

other. It includes not only the NSTC and its relevant

subgroups, but also other government and nongovernmental bodies that are engaged in the

initiative. The roles of the various entities and their

key relationships are described below.

NSET SUBCOMMITTEE

Under the NSTC Committee on Technology (CT), the

Nanoscale Science, Engineering, and Technology

(NSET) Subcommittee is the body that coordinates,

plans, and implements the NNI. Whereas certain

programs under the NNI are expected to fall within the

mission of a single agency, others cross agency

missions and benefit from active and sometimes

broad interagency coordination. Recognizing that the

NNI is focused on advances in both science and

technology, the NSET Subcommittee formally reports

to the CT but will also keep the NSTC Committee on

Science informed of its activities.

As the active interagency coordinating body, the NSET

Subcommittee establishes the goals and priorities for

the NNI and develops plans, including appropriate

interagency activities, aimed at achieving those goals.

The Subcommittee promotes a balanced investment

across all of the agencies, so as to address all of the

critical elements that will support the development

and utilization of nanotechnology. The Subcommittee

exchanges information with academic, industry, and

state and local government groups that are

conducting research on and using nanotechnology.

WORKING GROUPS UNDER THE NSET

SUBCOMMITTEE

A number of working groups exist under the NSET

Subcommittee and are also shown in Figure 1. The

subgroups are focused on areas that the

Subcommittee recognizes will benefit from focused

interagency attention and activity: environmental and

health implications of nanotechnology, liaison

activities with industrial and professional groups, and

nanomanufacturing.

Nanotechnology Environmental and Health

Implications Working Group (NEHI WG) 

This subgroup brings together representatives from

agencies that support nanotechnology R&D and those

with regulatory responsibilities to exchange

information and identify research needed to support

regulatory decision-making processes. The NEHI WG

promotes communication regarding environmental

and health implications among Federal agencies,

researchers, and small and large companies.

Industry Liaison Working Group 

This subgroup seeks to interact with representatives of

industry sectors to establish channels by which the

government agencies can provide information on their

R&D activities and by which industry representatives

(e.g., from trade associations and professional

societies) can provide input regarding how the Federal

investment in nanotechnology might best support

pre-competitive R&D that addresses industry needs.

Nanomanufacturing Working Group 

Recognizing that the establishment of a

nanomanufacturing base in the United States will

depend on coordinated activities among multiple

agencies, the Subcommittee established the

Nanomanufacturing Working Group. NSF, NIST, and

DOD are particularly active in the area of

nanomanufacturing.

5. MANAGEMENT STRUCTURE AND RESPONSIBILITIES
24 National Nanotechnology Initiative — Strategic Plan (December 2004)

Management Structure and Responsibilities

■ NSF has established three Nanoscale Science and

Engineering Centers (NSECs) with a

nanomanufacturing focus, and expects to establish

another in FY 2005. Each multidisciplinary NSEC

brings together researchers with a range of

expertise from several institutes and departments,

as well as industry partners. The centers not only

emphasize nanomanufacturing research, but also

address societal aspects of the new technologies

and related educational needs.

■ NIST’s mission includes support for and

development of advanced standards and

measurement technologies. Such technologies are

vital to the continued strength of U.S. technologybased industries. The competencies and state-ofthe-art facilities brought to bear by NIST are

especially valuable during the nascent stage of

development of nanomanufacturing methods,

systems, and processes.

■ DOD’s Manufacturing Technology (ManTech)

Program supports the development of

manufacturing capability and capacity, which is

important to the Department’s mission. As

nanotechnology solutions for DOD requirements

are developed, the ManTech Program is a likely

mechanism through which the United States will

address the manufacturing issues. In addition,

under its Multidisciplinary University Research

Initiative (MURI) program, the DOD plans to

establish a center focused on nanomanufacturing

issues relevant to transitioning nanotechnologybased products to military use.

These informal subgroups will be maintained for as

long as they continue to benefit the NNI and facilitate

interagency coordination activities. Additional

subgroups may be formed, as appropriate.

NATIONAL NANOTECHNOLOGY

COORDINATION OFFICE (NNCO)

To support the interagency coordination activities of

the NSET, including its subgroups, the National

Nanotechnology Coordination Office (NNCO) was

established in 2001 by a memorandum of

understanding among the eight agencies

participating in the NNI at that time. The NNCO is

funded by NSET Subcommittee agency contributions.

The NNCO provides technical and administrative

support to the NSET Subcommittee. In addition, it is

chartered to serve as the point of contact on Federal

nanotechnology activities, conduct public outreach,

and promote transfer of the results of Federal

nanotechnology R&D for commercial use and public

benefit. The NNCO Director is detailed from a Federal

agency to NSTC and is appointed by the White House

Co-Chair of the NSTC Committee on Technology, in

consultation with the Chair of the NSET

Subcommittee. The NNCO Director reports to the

White House Co-Chair of the CT. The NNCO Director is

charged in the Act to arrange, on behalf of the NSET

Subcommittee agencies, with the National Research

Council of the National Academies to conduct a

triennial review of the NNI and transmit the results of

these evaluations to Congress.

EXECUTIVE OFFICE OF THE PRESIDENT 

Participation in the NNI by relevant offices within the

Executive Office of the President (EOP) helps ensure

coordination and implementation of governmentwide priorities. Since the inception of the NNI, the

Office of Science and Technology Policy and the Office

of Management and Budget have been active

participants in the NSET Subcommittee.

OSTP is responsible for advising the EOP on matters

relating to science and technology and, in general,

supports coordination of interagency science and

technology activities. OSTP administers the NSTC and

is an active member of the NSET Subcommittee,

providing EOP-level input on and support for various

NNI activities.

OMB is responsible for coordinating with the agency

budget offices to establish the nanotechnology R&D

budget for planning and tracking purposes. Each year,

as the President’s Budget is prepared, OMB collects

budget information regarding the total Federal

investment in nanotechnology R&D. OMB will begin

to collect information about agency investments

within each PCA for FY 2006.
National Nanotechnology Initiative — Strategic Plan (December 2004) 25

Management Structure and Responsibilities

NON-GOVERNMENTAL BODIES

In addition to the NSTC, its subgroups, and other

entities within the Executive branch of the Federal

Government, two non-governmental but statutorily

mandated entities are shown in Figure 1. They are the

National Nanotechnology Advisory Panel (NNAP) and

the National Research Council of the National

Academies.

The NNAP is a Presidential advisory body created by

the Act. In July 2004, the President’s Council of

Advisors on Science and Technology (PCAST) was

designated by Executive Order as the NNAP. The Act

calls for the NNAP to periodically assess the Federal

nanotechnology R&D program and to report the

results at least once every two years.

In addition to the biennial review by the NNAP, the

National Research Council is to review the NNI on a

triennial basis. The National Research Council is part

of the National Academies and is a private, nonprofit

institution that provides science, technology and

health policy advice under a Congressional charter.

The National Research Council is the principal

operating agency of the National Academies in

providing services to the government, the public, and

the scientific and engineering communities. Topics to

be included in each review are enumerated in the Act;

the first review is to include two additional one-time

assessments. Those one-time reviews are of “the

technical feasibility of molecular self-assembly for the

manufacture of materials and devices at the molecular

scale” and “the need for standards, guidelines, or

strategies for ensuring the responsible development of

nanotechnology.” The first review is due by June 3,

2005.

The NSET Subcommittee and the participating

agencies will use the findings and recommendations

of the NNAP and the National Research Council to

progressively strengthen the NNI going forward.
26 National Nanotechnology Initiative — Strategic Plan (December 2004)

Management Structure and Responsibilities

Figure 1. Chart Showing Organizations with a Role in the NNI and Their Relationships

■■■
National Nanotechnology Initiative — Strategic Plan (December 2004) 27

APPENDIX A. GLOSSARY

Act Public Law 108-153, the 21st Century Nanotechnology Research and Development Act

Agencies Departments, agencies and commissions within the Executive Branch of U.S. Federal Government

ANSI American National Standards Institute

BIS Bureau of Industry and Security (Department of Commerce)

CPSC Consumer Product Safety Commission

CS Committee on Science of the NSTC

CT Committee on Technology of the NSTC

DHS Department of Homeland Security

DOC Department of Commerce

DOD Department of Defense

DOE Department of Energy

DOJ Department of Justice

DOS Department of State

DOT Department of Transportation

DOTreas Department of the Treasury

EOP Executive Office of the President

EPA Environmental Protection Agency

FDA Food and Drug Administration

GOALI Grant Opportunities for Academic Liaison with Industry (NSF program)

HHS Department of Health and Human Services

ITIC Intelligence Technology Innovation Center

ITC International Trade Commission

IC Intelligence Community

I/UCRC Industry/University Cooperative Research Centers (NSF program)

IWG Interagency working group

ManTech Manufacturing Technology (DOD program)

MOU Memorandum of understanding

MURI Multidisciplinary University Research Initiative (DOD program)

NASA National Aeronautics and Space Administration

NCL Nanotechnology Characterization Laboratory (National Cancer Institute)

NCLT Center for Learning and Teaching in Nanoscale Science and Engineering (NSF Center)

NEHI Nanotechnology Environmental and Health Implications (Working Group of the NSET Subcommittee)

NEMS Nanoelectromechanical systems

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

NIOSH National Institute for Occupational Safety and Health (Centers for Disease Control and

Prevention/Department of Health and Human Services)

NIRT Nanoscale Interdisciplinary Research Team (NSF program)

NIST National Institute of Standards and Technology (Department of Commerce)

NNAP National Nanotechnology Advisory Panel

NNCO National Nanotechnology Coordination Office

NNI National Nanotechnology Initiative

NNIN National Nanotechnology Infrastructure Network (NSF program)

NPAC Nanotechnology Program Advisory Committee

APPENDICES
28 National Nanotechnology Initiative — Strategic Plan (December 2004)

NRC Nuclear Regulatory Commission

NRL Naval Research Laboratory

NSEC Nanoscale Science and Engineering Centers (NSF program)

NSET Nanoscale Science, Engineering, and Technology (Subcommittee of the NSTC)

NSF National Science Foundation

NSRC Nanoscale Science Research Centers (DOE program)

NSP Nanotechnology Standards Panel (ANSI)

NSTC National Science and Technology Council

NTP National Toxicology Program (HHS program)

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

OSTP Office of Science and Technology Policy (Executive Office of the President) 

PCA Program Component Area

PCAST President's Council of Advisors on Science and Technology

PFI Partnerships for Innovation (NSF program)

USPTO U.S. Patent and Trademark Office (Department of Commerce)

SBIR Small Business Innovation Research (multi-agency program)

SC Subcommittee

STTR Small Business Technology Transfer (multi-agency program)

TA Technology Administration (Department of Commerce)

UARC University Affiliated Research Center (DOD program)

UAV Unmanned aerial vehicle

URETI University Research, Engineering and Technology Institutes (NASA program)

USDA U.S. Department of Agriculture

WG Working Group

Apendix A: Glossary
National Nanotechnology Initiative — Strategic Plan (December 2004) 29

APPENDIX B. BIBLIOGRAPHY

National Science and Technology Council Publications

The following reports published by the NSET Subcommittee, after formal clearance by the National Science and

Technology Council, serve as supporting documentation for the National Nanotechnology Initiative.

■ Nanotechnology: Shaping the World Atom by Atom. 1999. Brochure explaining nanotechnology and its

potential for the general public. http://www.wtec.org/loyola/nano/IWGN.Public.Brochure/

■ Nanostructure Science and Technology. 1999. Worldwide study on status and trends.

http://www.wtec.org/loyola/nano/

■ Nanotechnology Research Directions: IWGN Workshop Report. 1999. Report of the first NNI Research Directions

workshop. http://www.wtec.org/loyola/nano/IWGN.Research.Directions/

■ National Nanotechnology Initiative: The Initiative and its Implementation Plan. 2000. First detailed

implementation plan for the NNI. http://nano.gov/html/res/nni2.pdf

■ National Nanotechnology Initiative; Research and Development Supporting the Next Industrial Revolution. 2003.

Supplement to President’s FY 2004 Budget. http://nano.gov/html/res/fy04-pdf/fy04-main.html

Related Agency Publications

■ Nanoscience and Nanotechnology: Shaping Biomedical Research. 2000. Symposium Report by Bioengineering

Consortium, National Institutes of Health. http://www.becon.nih.gov/nanotechsympreport.pdf

■ Societal Implications of Nanoscience and Nanotechnology. 2001. NSF report on the September 2000 workshop

of the same name, also published by Kluwer Academic Publishing, 2001.

http://www.wtec.org/loyola/nano/societalimpact/nanosi.pdf

■ Nanoscale Science and Engineering for Agriculture and Food Systems. 2002. Report Submitted to the Cooperative

State Research, Education, and Extension Service, U.S. Department of Agriculture.

http://www.nseafs.cornell.edu/web.roadmap.pdf

■ Going Small for Big Advances: Using Nanotechnology to Advance Cancer Diagnosis, Prevention, and Treatment.

2004. National Cancer Institute, National Institutes of Health. http://otir.nci.nih.gov/brochure.pdf

■ Nanotechnology in Heart, Lung, Blood, and Sleep Medicine, Executive Summary. 2003. National Heart, Lung, and

Blood Institute, National Institutes of Health, NHLBI Working Group.

http://www.nhlbi.nih.gov/meetings/nano_sum.htm

Previous Outside Reviews of the NNI

■ Small Wonders, Endless Frontiers: Review of the National Nanotechnology Initiative. 2002. National Research

Council. http://nano.gov/html/res/smallwonder.html
30 National Nanotechnology Initiative — Strategic Plan (December 2004)

APPENDIX C. LIST OF NNI-SPONSORED WORKSHOPS

The following is a list of workshops organized or supported by the agencies participating in the National

Nanotechnology Initiative between 2001 and 2004 with the objective of gathering input for NNI strategic

planning.

Workshops: Completed Reports

■ Nanotechnology: Opportunities and Challenges.Regional Workshop of the National Nanotechnology Initiative

hosted by the University of California at Los Angeles, September 2001. Los Angeles, CA.

http://wtec.org/nanoreports/FinalUCLAnanoRpt0302.pdf

■ NSF-EC Workshop on Nanomanufacturing and Processing. Summary Report from the National Science

Foundation workshop, January 2002. San Juan, Puerto Rico.

http://www.nsf.gov/mps/divisions/dmr/research/nsfec_workshop_report.pdf

■ From the Laboratory to New Commercial Frontiers. A Regional Workshop of the National Nanotechnology

Initiative hosted by Rice University, May 2002, Houston,TX. http://wtec.org/nanoreports/ACF64.pdf

■ Nanotechnology Innovation for Chemical, Biological, Radiological, and Explosive (CBRE): Detection and Protection.

Final report of the NNI Grand Challenge Workshop, May 2002. Monterey, CA. Murday, J., J. Baker, R. Colton,

H.S. Gibson, M. Grünze, S. Lee, K. Klabunde, C. Martin,T.Thundat, B.Tatarchuk, and K.Ward.

http://www.wtec.org/nanoreports/cbre/

■ Chemical Industry R&D Roadmap for Nanomaterials By Design: From Fundamentals to Function. Final report of the

Vision 2020/NNI Grand Challenge Workshop, Baltimore, MD, September / October 2002. Chemical Industry

Vision 2020 Partnership. http://www.chemicalvision2020.org/nanomaterialsroadmap.html

■ Nanoscience Research for Energy Needs, Report of the National Nanotechnology Initiative Grand Challenge

Workshop, March 2004. Alexandria, VA. Hwang, R., and E.Williams, eds.

http://www.sc.doe.gov/bes/reports/files/NREN_rpt.pdf

Workshops: Final Reports in Preparation

■ Buildings for Advanced Technology Workshop, National Institute of Standards and Technology, Gaithersburg,

Maryland, January 14-16, 2003. Overview available at 

http://www.nanobuildings.com/bat/overview/default.htm.

■ NNI Grand Challenge Workshop: Nanoscale Processes for Environmental Improvement, Arlington, VA, May 8-10,

2003.

■ NNI Grand Challenge Workshop on Nanomaterials, National Science Foundation, June 11-13, 2003.

■ National Nanotechnology Coordinating Office Interagency Research Meeting/Workshop — Nanotechnology and

the Environment: Applications and Implications,Arlington, VA, September 15-16, 2003. Summary available at

http://es.epa.gov/ncer/publications/nano/index.html.

■ NNI Workshop on Regional, State, and Local Initiatives in Nanotechnology, Washington, DC, September

30–October 1, 2003.

■ NNI Workshop on Nanobiotechnology, Arlington, VA, October 9-11, 2003.

■ NNI Workshop on Societal Implications of Nanoscience and Nanotechnology, National Science Foundation,

Arlington, VA, December 3-5, 2003.
■ NNI Grand Challenge Workshop on Instrumentation and Metrology for Nanotechnology, National Institute of

Standards and Technology, Gaithersburg, MD, January 27-29, 2004.

■ NNI Grand Challenge Workshop on Nano-Electronics, -Photonics, and -Magnetics,Arlington, VA, February 11-13,

2004.

■ NNI Workshop on Nanotechnology for Space Exploration,Palo Alto, CA, August 24-26, 2004.

■ National Nanotechnology Initiative Research Directions II Workshop,Washington, DC, September 8-10, 2004.

National Nanotechnology Initiative — Strategic Plan (December 2004) 31

Appendix C. List of NNI-Sponsored Workshops

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