VISITING COMMITTEE ON ADVANCED TECHNOLOGY

National Institute of Standards and Technology

2019 Annual Report 

VisitingCommitteeonAdvanced

Technology

of the

National InstituteofStandardsand

Technology

U.S. Department ofCommerce

April 2020
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►

Preface

TheVisitingCommittee on AdvancedTechnology (VCATor the Committee) of the NationalInstituteof 

Standardsand Technology (NISTor the Institute)wasestablished in its presentformbytheOmnibus 

TradeandCompetitivenessAct of1988andupdatedby the AmericaCOMPETESActin 2007andthe 

AmericanInnovationandCompetitivenessActof 2017.TheVCATis aFederalAdvisoryCommitteeAct 

(FACA) committee andits charterincludes reviewingandmakingrecommendationsregardinggeneral 

policy for NIST, its organization, budget, and programs within the framework of applicable national 

policies as set forth bythepresident and the Congress.This 2019annual report coversthe period from 

the beginning of March 2019through February 2020.

The Committee reviews the lnstitute's strategic direction, performance and policies, and provides the 

Secretary of Commerce, Congress, and other stakeholders with information on the value and relevance 

of NIST's programs to the U.S. science and technology base and to the economy. At the first meeting of 

each year, the Director of NISTproposes areas of focus to the Committee and agreement is reached on a 

program for the year. Over the past year, the Committee has been active in assessing NIST's 

contributions to and progress in the followingareas:

► NIST programs in emerging technologies and national priorities

o Quantum InformationScience

o Artificial Intelligence

o Advanced Communications

o Cybersecurity

o Advanced Manufacturing

The Evolving Role of NIST in the Digital Economy

► NIST effortsto strengthen Technology Transfer

o TheReturn on Investment Initiative

o The NIST-on-A-ChipProgram

► NIST StrategicPlanning

► NIST facility needs and ongoingrenovation projects in bothGaithersburg and Boulder

o Plans for the NISTCenter for Neutron Research

The Committee reviews a significant portion of NIST programs through direct discussion with NIST 

leaders,scientists,andengineers.Reactionsandobservationsof the Committeemembersarepresented 

candidly to the NIST senior management and other attendees at each meeting. This feedback 

encourages continuous improvement in key areas in the overall operation. The Committee also visits 

various NISTlaboratories andsatellitefacilitiesto discussresearch projectsdirectly withthe technical 

staff. These laboratory tours help the Committee to assess"the impact of NIST research, progress 

towards achieving research goals, the quality of the staff, institutional culture - especially related to 

safety and security-andthe efficacy of the facility infrastructure.
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Under the Committee charter, the Director of NIST appoints the VCAT members . Members are selected 

on a clear, standardized basis, in accordance with applicable Department of Commerce guidance.

Members are selected solely on the basis of established records of distinguished service; provide 

representationof a cross-section of traditional andemerging U.S.industries; and are eminent in fields 

such as business, research, new product development, engineering, labor, education, management 

consulting,environment, and international relations. No employee of the Federal Government canserve 

as a member of the Committ ee. Members are appointed for staggered three-year terms.

Two members werereappointed to asecond term: Mr. DavidVasko(RockwellAutomation) and Dr. Gail 

Folena-Wasserman (MedImmune) and one member served two complet e t erms: Dr. Rita Colwell 

(University of Maryland, VCATChair).

Thisreport highlights the Committee's observations,findingsand recommendations.Detailed meeting 

minutesand presentation materials are availableon the NIST web siteat www.nist.gov/ dier ctor/ vcat.
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VCAT Members during the Period Covered by this Report

Dr. Rita R. Colwell, Chair

Univer sity of Maryland at College Park

Term: January 6, 2014-January 5, 2020

Dr. Allen Adler

HRL Laboratories, LLC

Term: January 25, 2016 -January 24,2022

Mr. Jay Alexander 

Keysight Technologies

Term:May 22, 2018-May21,2021

Dr. Rodney Brooks 

Robust Al

Term:June 1, 2014 - May 31, 2020

Dr. Eric Kaler

University of Minnesota

Term: December 21, 2018- December 20, 20il

DrM. ehmood Khan 

PEPSICO

Term : November 13, 2018- November 12, 2021

Dr. Vinton G. Cerf 

Google

Term: December 21, 2018-December 20, 2021

Mr. George Fischer

Verizon Enterprise Solution s

Term : May 22, 2018 - May 21, 2021

Mr. Michael Garvey 

M-7 Technologies

Term : January 23, 2015 - January 22, 2021

Dr. Waguih Ishak 

Corning Incorporated

Term: January 25, 2016 - January 24, 2022

Dr. Dana (Keoki) Jackson 

Lockheed Martin

Term: May 22, 2018 - May 21, 2021

Ms. Katharine Ku

Stanford University, Emerita

Term: May 22, 2018- May21, 2021

Ms. Hemma Prafullchandra

Microsoft

Term: October 27, 2014-October 26,2020

Dr. Theodore Sizer

Nokia Bell Labs

Term: August 28, 2015 -August 27, 2021

Mr. David Vasko 

Rockwell Automation

Term: February 2, 2017- February 1, 2023

Or. Gail Folena-Wasserman 

Med Immune

Term: January 30, 2017 - January 29, 2023
VISITING COMMITTEE ON ADVANCED TECHNOLOGY

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Table of Con ten ts ·

Contents

Preface ii

Table ofContents i

1. VCAT Focusin 2019 1

2. NIST Programs in Emerging Technologies and Na tiona l·Pr iori ti es 1

2a. Alignment ofNIST's Programmatic Priorities withNational Need 1

2b. NIST and Quantum Science 2

2c. NIST and Artificial Intelligence 3

3. The Evolving Role of NIST in the Digital Economy 4

3a. The NIST Privacy Framework 5

3b. U.S. Government and EmergingTechnology Standar4,ization - Implicationsfor NIST's Roles 6

4. NIST Effortsto Strengthen Technology Transfer 7

4a. Return on Investment Initiative 8

4b. NIST-on -A-Chip Program 9

5. NIST Strategic Pla,nn in g 9

6. NIST Facilities and Infrastructure 12

7. NI Budge, t 15

, :, . l • '•
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1. VCAT Focusin 2019

In 2019, the VCAT focused their efforts on 5 main topics: the roleof NIST in emerging technologies 

(focusing in particular on quantum science and artificial intelligence); the evolving role of NIST in the 

digital economy;NIST's continuing efforts to updatefederaltechnology transfer policy;NIST's effortson 

strategic planning; and ongoingefforts to upgrade NIST's facilities-including anin-depth exploration of 

the NISTNeutronCenterfor Research. TheVCATreceiveddetailedprogrammatic briefingsin allthese 

areas and met withkeypolicy makers. This 2019 Annual report summarizes the VCAT's work, 

observations, and recommendationsrelated to thesetopics.

2. NIST Programs in Emerging Technologies and National Priorities

NIST is well positioned to play a key role in supporting the advancement of multiple emerging . 

technologies that have been identified as national priorities and will becritical to future national 

security and economic competitiveness for the U.S.• The VCAT reviewed NIST plans for programs 

addressingthe Administration'sR&Opriorities. Inaddition,theVCAThad the first-hand opportunity to 

reviewNIST'sresearch programs,facilities,partnerships,andindustryservices. Additionally,theVCAT 

was updatedon NIST's continuingeffortsto advance and support workin advanced manufacturing and 

cybersecurity. The work of the VCATon these issuesis summarized below.

2a. Alignment of NIST's Programmatic Priorities with National Need

Forthe past several yearsNISThasengagedin a comprehensive effortto charta coursefor ensuringthe 

continued relevance and successof the LaboratoryProgramsoverthe comingdecade.Thisprocess, 

which built onyearsof work developing short-term prioritized operational plansfor eachLaboratory and 

a year of engagement identifying NIST's values, sought to identify key areas for sustained effort and 

investment acrossthe NISTlabor atories. ThroughthisprocessNISTrecognized thatit would need to 

develop new capabilitiesoverthe nextdecade in order to best support the evolvingmeasurements and 

standards needs of the nation. In order to position NIST for the future, NIST leadership has identified 

andbeen prioritizing efforts in four focus areas. The four focus areasidentified by NIST are quantum 

science, artificial intelligence, engineering biology,andwork addressingthe continuingevolutionof the 

Internet of Things (loT). Each of these areashold promise to transform U.S. manufacturing, 

communications,healthcare, transportation,andbeyond. It is clearto the VCATthat bydeveloping new 

capabilities in these areas NIST will also be able to transform how it approaches its mission delivery, 

both byunleashing new measurement capabilities and by requiring NIST to develop methods for 

measurement dissemination to best serve the needs of new and evolving industry sectors.

Theareasthat NISThasidentified asstrategic focus areas are well alignedwith theR&Dpriorityareas of 

the Administration,whichOSTPrefersto asthe Industries of the Future(ArtificialIntelligence,Quantum 

Science, SG/Advanced Wireless Communications, Advanced Manufacturing, and the Bioeconomy). NIST 

is clearly well-engaged with theinteragency groups developing plansin each of these areas. and is 

workingto strengthen and build additional stakeholder connections and awareness aboutthe important 

role that NISTplaysin each area.
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However, Administration budget requests over the past 3 years have not matched this prioritization. 

The budget requests have not provided robust support and much needed increased funding that would 

enable NIST to strengthen its programs and maximize its impact in each of these areas. Despite this 

disadvantage, the VCAT is glad to see that NIST has made significant efforts to make progress in each of 

these areas with existing resources. As the funding situation appears to be constrained for the 

foreseeable future, it will be important for NIST to approach and deal with increasing demands for NIST 

expertise and involvement in a way that does not dilute or degrade the laboratory research capabilities 

upon which NIST is able to deliver the measurement tools and measurement standards that are an 

important component of technological innovation.

2b. NIST and Quantum Science

Giventhe significant focuson quantum science byCongress andthe Administration,andthe important 

role that NISTplays in this field, the VCATcontinued to receive updates on NISTefforts throughout 

2019.

A major development that took place just prior to the beginning of the VCAT's 2019 work was the 

passage of, and signature by the President, of the National Quantum Initiative (NQI) in December 2018. 

The NQI formally authorizes NIST's work on measurements and standards necessary to advance 

commercial development of quantum applications, calls upon NIST to expand collaborative ventures 

with other public and private sector entities (industry, universities, etc.), and to continue to utilize 

existing NIST programs to support the development of the quantum workforce. The NQI also gave NIST

other transaction authority (OTA), an important development which will provide NIST with greater

flexibilities in entering into cooperative agreements and contracts in furtherance of the NQI. The VCAT 

is glad to see that NIST now has at least limited OTA and would like to see that authority assigned to 

NIST more broadly. ·

As expected, the NQI calls upon NIST to establish a"consortium of stakeholders to identify the future 

measurement,standards,cybersecurity,andotherappropriateneedsforsupportingthedevelopmentof 

a robust quantuminformation science and technology industryin theUnited States." NISThadbegun

laying the foundations for this consortium in 2018, and in 2019 made significant progress towards the 

establishment of and creation of the Quantum Economic Development Consortium (QED-C) in 

furtherance of this act. NIST established a CRADA with SRI to create the QED-C, the first use of OTA by 

NIST, and has held a number of meetings with potential stakeholders to generate interest and define the 

operational structure of the consort ium . To date over 90 letters of intent have been received. The QEDC is playing an important role in helping U.S. industry identify priorities for research and standards 

relating to Quantum Information Science. The group Is also playing a critical role in helping organize US 

lead ership and participation in related consensus-standards activities . Importantly, the application of 

the OTA to establish and administer the Quantum Economic Development Consortium (QED-C) and 

Important progress made by the QED-C is a telling example of how expanding OTA to NIST broadly can 

potentially help NIST accelerate the important work that it is doing.

In addition to the work to establish the QEO-C NIST continues to a coordinated quantum research 

portfolio, drawing upon the expertise resident at NIST as well as through the three existing quantum 

focused joint institutes JILA, JQI, and QulCS. The NIST research program is organized along three main 

lines of effort: foundational QIS research emphasizing metrology applications, work aimed at the 

realization and dissemination of the Quantum SI, and quantum engineering - work aimed at engineering 

and improving the robustness of prototype quantum devices.
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NIST is clearly a leading force in this field andcontinues to produce a number of significant 

breakthroughs. NIST's focus on the metrological applications of quantum is in direct alignment withits 

mission, and as witnessed by efforts around the Quantum SIwill transform future measurement 

traceability. Furthermore, the metrological focus of NIST's quantum work willbenecessary for the 

development and benchmarking of the prototype quantum components and systems that will be 

necessary to realizeindustry focused and commercializedquantumapplications. Forthe U.S.to remain 

a leader in thisfield additional investment in quantum R&D is required. As stated previously the VCAT 

strongly recognizes that increased funding is necessary for NIST,and that the Presiden'ts budget 

requests do not provide sufficient support for NIST's important role. Furthermore, the VCAT is 

concerned that without additional new funds, it will bedifficult for NIST to balance the need to support 

the fledgling QED-Cat a level sufficient for it to have meaningful impact, while also ensuring that the 

NISTresearch programscontinue to receive robust support. If fundingstagnation continues,combined 

with increased pressure for NIST external engagement, the VCAT is concerned that there could be 

significantlong-term repercussions to NIST'sintramuralquantumresearch effortsandto NIST'sabilityto 

attract and retain the needed talent.

2c. NIST a nd Ar tifici a l Inte llige nce

InternationalinvestmentinAl isexploding,_andcompanies,governmentsand policymakersaroundthe 

globe are seeking answers that can provide greater confidence in Al technologies. The Al market is 

expected to have a $14 trillion cross-industry impact by 2035, according to one estimate. Significant 

questions around security, trust,impacts to the workforce, and a number of other significant issues 

make Al a major priority for the Nation and the Administration. Al and Machine learning (Al/Ml) work 

hasbeengoingon at NISTfor decades, and NISThasmade significant contributions to the field. For 

example, the mNIST dat abase, a dataset of handwritten digits, is among the most widely used 

standardized datasets in the U.S. and around the world for training and testing Al systems. NIST 

scientistsworke.dwiththeDefenseAdvancedResearchProjectsAgency(DARPA)to developanddeploy 

smartphone-based systems that enabled U.S. service personnel to seamlessly converse with native 

Pashto-speaking Afghans. This research has informed the development of ubiquitous voice-based 

recognition systems such as those we encounter when callinga creditcardcompany or evenin smart 

home assistantssuch asAlexa and Siri.NISThasa demonstrated track recordof theirmeasurement 

methods, tools, and standards providing a foundation of trust that helps enable the acceptance and 

adoption of new technologies. TheVCAT agreesthatit willbeimportant for NISTto expand its effortsin 

Al to develop new measurement capabilities, trainingsets, AND algorithm evaluation tools that willbe 

required to answerthe loomingquestionsnecessary to supportresponsible applicationandusesof Al 

systems.

The Executive Order on Maintaining American leadership in Artificial Intelligence signed by the 

Presidentin Februaryof 2019laysout a coordinatedgovernment approachto Al coveringresearch, 

regulation, workforce, international engagemen,t national security applications, and enhanced

utili zation. The VCATwas pleased to hear that NIST was closely engaged in the work, outreach, and 

deliberations that ledto the development of the Order. In addition to expected contributions in R&D 

the E.O. gave NIST the specific responsibility to develop a plan for the Federal engagement in the 

development of technical standards and related toolsin support of reliable,robust, and trustworthy 

systems that useAl technologies. Among other objectives, the plan isintended to "ensurethat technical 

standards minimize vulnerability to attacks frommalicious actors and reflect Federal priorities for 

innovation, public trust, and public confidence in systemsthat useAl technologies; and develop
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international standards to promote and protect those priorities." To fulfill this tasking NIST issued a 

request for information andheld aworkshop in May of 2019 to gather community input. NIST issued its 

plan on August 10, 2019. The plan provides a path to ensure the federal government supports Al 

standards that areflexible and inclusive-and suited for a world of rapidly changing technologies and 

applications."ThePlan recommends the federal government:

1. bolsterAlstandards-relatedknowledge,leadershipandcoordinationamongagencies 

thatdevelop or use AI;

2. promote focused research on the trustworthiness of Al systems;

3. support and expandpublic-private partnerships; and

4. engage withinternationalparties.

Due to the rapid pace of technology development and changing understandings of the utrustworthiness, 

accessibiltiy, and human-centered implications of Al,"the plan emphasizes the need for federal agencies 

to be flexiblein selectingAl standards for usein regulatory or procurement actions. It alsocalls for

prioritizingmultidisciplinaryresearch and expandingpublic-privatepartnerships to advance reliable, 

robust and trustworthy AI.The plan also highlights related tools that will beneeded to support Al, 

including benchmarks, evaluations and challenges that could drive creative problem solving. While 

realizingthatresourcesare limitedtheVCATrecognizesthe importance of increased engagement in 

standards development for Al to ensure thattheU.S.has a strongand consistent voice in the relevant 

standardsdevelopment organizations.

It is clearto the VCATthatNISTisheavilyengaged in usingAl acrossits research portfolioin a host of 

areasincludingbiometrics,advanced materials discovery, smartmanufacturing systems, andthe design 

and characterizationof engineered biological systems. Additional efforts to produce wellcharacterized 

datasets, and continued NIST effortsin microelectronicsand nanofabricationthat have application to 

the development of hardware required to run Al systems are important contributions to the national

effort around Al.

In addition to these effortsthe VCAT wasalsobriefed on NIST'snascentefforts aimed at definingand 

developing the key concepts of trustworthy Al, where NISTis beginning to work with thecommunityto 

develop ways to measure, define,and characterize the concepts of accuracy, reliability, privacy, 

robustness,and explainabilityof Al systems. TheVCATrecognizes the importance of theseissuesand 

believesthat it isvery important for NISTto focuson, and continue to strengthen, its technical expertise 

and capabilities that can inform-the development of solutions for these issues. TheVCATlooks forward 

to continued updates on these efforts. As with efforts in quantum, in the current limited funding 

environment it will beimportant for NIST to balance investment in NIST R&D on Al challenges with 

demands from external stakeholders for short-t erm deliverables, that while havingan important nearterm impac,tmay not ultimately advance the long-term interests of the U.S.

RECOMMENDATIONS;

TheVCATsupports NISrsfocusonquantumscience andtrustworthinessof Al andcommendsthework 

that NIST hasdone in these areas. It was highlighted that Al is a tool, and not the goal in itself, and 

therefore,NISTshouldconsiderfocusingonspecificapplicationofAl,whereperhaps,thecharacteristics 

of trustworthy Alaremoregeneralizable.Furthe rm ore,VCATagreesthattrustworthinessof Alneedsto
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beevaluated against asetof criteria,andthereforeencouragesNISTto developthemeasurementsand 

approaches needed for vetting brittleness, bias, and other characteristicsof theAl algorithm.s

3. The Evolving Role of NIST in the Digital Economy

Rapid advances and new deployments of digital technologies are creating both significant new 

opportunities for economicgrowthandleadership, aswellascreating significant new challenges (e.g., 

disruptive changes to the workforce , newsecurity vulnerabilitiesbroughtabout byloTdevices,the need 

for major infrastructureupgrades to accommodate autonomous vehicles, etc.) that must be addressed. 

As has already been mentioned these changes have spurred NIST leadership to examine what new 

research capabilities are needed, to develop new frameworks of metrology, to reevaluate how NIST 

deliversmeasurement assurance,and how we engagein the developmentof standards. Perhaps when 

it comes to the rapidlyevolvingdigitaltechnologylandscape,NIST'srolein standards development has 

receivedcomparably moreattention whencompared to otherelements of NISTmission . Not onlyhas 

standards development been seenasan important tool inaddressingsome of the challenges brought 

about by these technologies, it has also come to be seen as another area of competition that will be 

criticalfor establishinggloballeadership in thistechnology space. AssuchNISThasseena significant 

increase in interestregardingthe roleof NISTin standards from MembersandCommittees in Congress 

thatdonotconductoversightofNIST(e.g.,HouseEnergyandCommerce,HouseArmedServices,Senate 

HomelandSecurity andGovernment Affairs, etc.) andin ExecutiveOfficeof the President(EOP)offices 

that NIST has not traditionally engaged with (e.g., National Economic Council and the Council of 

Economic Advisors- partsof theDomesticPolicyCommittee, etc.). Over the courseof 2019the VCAT 

explored an example of the proactive approach NIST is taking to address these new challenges as 

exemplified by the development of the NIST Privacy Framework, as well as the new pressures being 

placed on NIST's standards development activities by national and economic security concerns and 

technology leadershipconsiderations.

3a. The NIST Pr ivacy Framework

Manyemergingtechnologies, digitalandsmart technologies, combine high-speed connectivity, with 

largeamountsofdataand computecapabilities clearlyenhanceconvenience,efficiencyandeconomic 

growth. At the same time, these technologies pose unique challenges to individual priva cy. With 

increasinglydiversevisionsinsideand outsidethe U.S.abouthowto addresstheseprivacychallenges 

NISTset out to develop a framework that willprovidea range of tools to bridge the gapsbetween

privacy professionals and senior executives so that organizaitons can respond effectively to these 

challenges without stifling innovation. After a year of extensive public conversations, NIST posted a draft 

of the NIST Privacy Framework for formal public comment. The NIST Privacy Framework provides 

guidance for organizations that need to develop strategies to minimize privacy risks while still 

accomplishing their mission.sIt also provide a way for organizations to have productive dialogues 

about privacy risks arising from their products or services. Because of the unique link between privacy 

and security NIST aligned the structure and conceptual design of the Privacy Framework with the widely 

disseminated NISTCybersecurity Framework.
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The Privacy Framework centers on three parts:

• TheCore offersa setof privacyprotection activitiesand enablesa dialogue within an 

organization about the outcomes it desires.

• Profileshelpdetermine whichof the activitiesin the Coreanorganization shouldpursueto 

reach its goalsmost effectively.

• ImplementationTiershelpoptimizetheresourcesdedicatedto managingprivacyrisk.One 

company might havemore risks,for example, and might need to have a chief privacy officer, 

while another mightnot.

Importantly, as with theCybersecurity Framework, the NIST Privacy Framework is not a law or 

regulation, but rather a voluntary tool that can help organizations manage privacy riskarisingfrom their 

products and services,as wellaswellasaddress the privacy requirements in different jurisdictions.It 

helps organizations identify the privacy outcomes they want to achieve and thenprioritize the actions 

needed to do so. The VCAT commends NIST for its proactive work to develop this tool andlooks 

forward to its formalrelease.1

RECOMMENDATIONS:

As NISTcontinuesto refineand revisethe privacyframewor k,itshould ensurethat futureversions 

address theissue of the costincurred byorganizationsin protecting privacy. It islikely that larger 

organizations will havetheresourcesto putin placebest practices, butsmaller organizationsmaynot 

have the resourcesto take allthe steps necessary. Standardsmight bedeveloped to lowerthe cost of 

compliance. ·

TheVCATrecognizesthatNISThaslimitedcapacityto developallthe datasetsneeded forcybersecurity 

and privacyframeworks,therefore,NISTshoulddevelopaframeworkonhowtobuilddatasetsforthese 

frameworksto ensurerobust and reliable processes.

3 b. U.S. Gove rn me nt and Emerging Technology Standardizatio n - Im plic a tio ns for 

NIST's Roles

Asdiscussed, thereisahighlevel of interestin standardsdevelopment for emergingtechnologies from 

executive and legislative branchesof the U.S.government thatisbeingdriven through a combination of 

nationalsecurityandeconomicsecurity concernsand changinginternational landscape. TheVCAThad 

the opportunity to explore NIST's role in standards, the changing landscape, and heard from industry 

representativeson whattheysawasthe opport unities, challenges andconsequently, keyelements that 

NISTmustpreservein its approachto standards engagement and development in order for the U.S.to 

continue to be a leader in technology development and standardization.

An effective standardsystem is one that looks for speed, agility,and solutions that arefit-for- purpose. 

This is evident in the U.S. approach which is a decentralized system, one whichincludes private sector

1NotethatVersion1.0 of the Framework wasreleased fnJanuaryof 2020afterthemeetingcydecoveredby this 

report.
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and government participation. This enables responsiveness in the system to meet stakeholder needs 

and has directly contributed to U.S. leadership in technology and innovation.

NIST's roleisdefinedby statuteandpolicyin two keyareas. The technical aspects are at the heart of 

theNISTmeasurementsandtechnologymission. Thestandardsdevelopmentprocesses arealogical 

extension by which knowledge transfer from NISTlaboratories happens intotheworldat large. It is a 

cost-effective means to get info and expertise from the NIST labs to the world outside. Another 

advantageis the abilityto understand firsthand the emergingmarketneedsand trendswhen NISTis at 

the sametable withprivate-sector colleagues and gainsa betterunderstandingof what arethe issues 

and solutions. NISTis oftencalleduponto beatechnicaladvisor by federalagencycolleagues who are 

alsolookingat manyof these same issues.

NIST is in an ideal position to see global trends and changes due to innovations emerging in digital 

technologyspaces.ThismakesNISTa uniqueresourceto agenciessuch asthe.Officeof the U.S.Trade 

Representative,State Department and other agencies, who have responsibilities relating to trade 

negotiations. Recently there have been significant changes in the standards development landscape 

with increased participation from countries that have not traditionally led standards development 

activitieslikeChina,Korea,and MiddleEast countries. Chinahasbeenparticularly focusedon increasing 

both their participation in, and leadership of, standards development efforts particularly in emerging 

technology fields to the concern of manyin the U.S.Government. Concerns about government directed 

participation, skewed incentives for participation, technology transfer policies, and competition and 

monopoly policies & practices practiced by China are driving suggestions and approaches that in the 

longterm could jeopardize the effectiveness of U.S. engagement in international standards 

development in key technology areas. Of prime example is the inclusion of standards development 

related provisions in export control rules adding Huawei and other entities to the Commerce 

Department Entity List, which imposes significant restrictions and export controls on the outflow of 

goods or technology outside of the United States to the entities. This has led to significant confusion 

amongbothU.S.industryparticipantsand U.S.basedstandardsdevelopingorganizationsabout whether 

Huawei needs to cease participation in standards developing organizations (SDO's), or whether U.S. 

participants canengage in standards development efforts where Huaweiexpertsare present. The lack 

of clarityhasled to some industry counsels to err on the side of cautionand prevent their experts from 

participating in standards development activities where Huawei is present, creating a dangerous 

vacuum.Clarification on thisisneeded and the VCATstrongly urges the Department to work withNIST 

to issuethe appropriate clarificationsto avoidanyunnecessary confusion. TheVCATclearlyheardfrom 

theindustrypanelmembersrepresenting the U.S.Chamber of Commerce, the InformationTechnology 

Industry Council, and the Alliance for Telecommunications Industry Solutions (ATIS) that the desired 

resultisfor U.S.,European,and Chinese companies to be in the sameroomina voluntaryindustry-led 

environment and lettingthemarket and best ideas prevail. It is essential that the U.S. must not be 

outpaced by otherregions when it comesto information andcommunicationstechnology development 

and standardization.

Additionally, the VCATwas pleased to hear that there was strong positive support for NIST' s work 

focused on foundations, platforms, and frameworks, all of which are viewed positively by industry as 

theyhelp promoteinnovation by providinga sense of stability necessaryfor the operability of emerging 

technologies.
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RECOMMENDATIONS;

NIST should toke steps to ploy on even moreforward leaning role to help better organize and represent

U.S.positionsinstandardsdiscussions.NISTshouldcontinueraisingawarenessabouttheimportanceof 

technology standardizationamong key policyleadersanddecision-makers,but at the sametimealso 

sensitize them to what works and what doesn't work.

Industrial /OTbrings greatbenefitsand couldhavesignificantsodetal impact.NISTshould work to 

ensurethatitsprogramsore providing the interoperabilityandconnection across a broadset of /OT 

devices and sensor to enablethe maximal utility of /OTtechnologies.

4. NIST Efforts to Strengthen Technology Transfer

Enhancing and improving the processes and pblicies thatgovern technology transfer bothfor thefederal 

system andfor NISTspecifically remainsa top NISTpriority. In2019theVCATwas activelyengagedin 

the launch and implementationof NIST's Return on Investment Initiative. TheVCATwas alsobriefedon 

a new pilot project beinglaunched at NIST to enhance the transfer and commercialization of highly 

advanced quantum-based NISTmeasurement technologies - the NIST-on-A-ChipProgram.

To provide further advice on bothof theseissues the VCATsubcommitteeon technology transfer 

reviewed andprovidedrecommendationson NIST's technologytransfer-relatedprograms.The 

subcommittee is chaired by Ms.Katharine Ku and addresses the followingcharge:

1. Review NIST'scurrenttechnology transferpoliciesand practices,and providetheirindividual 

technical assessments on the principles that shoulddrive these policies and practices for 

effectively engaging the business community and communicating with stakeholders;

2. Assess NIST's performance in the development and dissemination of work products and 

knowledge andrecommend improvements. Specific areasthat thevisitingtechnicalexperts 

shouldaddress includethe development and useof intellectualproperty and collaborative 

research.

4a. Return on Investment Initia tiv e

TheVCATwasbriefedon NIST's technology transfereffortsfocusedon its intramuralresearchprograms. 

Highlighted were the efforts of the NIST Technology Transfer Policy Committee to inform the 

Technology Partnerships Office's efforts to strengthen technology transfer at NIST. In the area of 

technology transfer the VCATSubcommittee on Technology Transfer createda report ontheReturn on 

Investment(ROI)Initiative for UnleashingAmerican Innovation,whichcanbe foundinAppendix A. The 

report was adopted unanimously by the VCAT. A major focus has been on streamlining the CRADA 

process. A new system called Service Now has been deployed for people to request and process 

agreements. TheVCATwasalsobriefedon NISTeffortson technologymaturation. Theobjective is to 

develop a comprehensive pathway to support the development of NISTproductsand services toward 

commercialization and adoption by private companies for economic growth.

TheVCATwas providedwithanupdateon the statusof NIST's efforts to advance the policyproposals 

outlined in the Return on Investment Green Paper. The paper addressed review withvarious
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interagencyworkinggroupsandwaspublished asNISTSpecialPublication 1234inApril2019. There 

werefifteen key findings. The goalof the GreenPaperis to raiseissuesfor further discussion and 

thought andstrictlyadheres to the CAPGoalstructure.

The findings of the Green paper are in support of the five Lab-to-Market CAP Goal strategies:

1. Identify regulatory impediments and administrativeimprovements in federal tech transfer 

policies andpractices.

2. Increase engagement withprivate-sectortechnology development expertsandinvestors.

3. Build a moreentrepreneurialR&D workforce.

4. Support innovative toolsandservices for technology transfer.

5. Improve understanding of global science and technology trends and benchmarks.

Several of the findings willrequire legislative change to implement. NIST hasworked with the interagency 

community to develop a series of legislative amendments. This "legislative package" is currently under 

reviewat the Department and should be submitted to Congressby the end of year.

Ineffortsto assessthe BoulderInnovationEcosystem and NIST's roletherein,the chargefromtheNIST 

Director is twofold; first isto engage- recommend purposeful and regular mutually beneficial 

engagementsneededto strengthenNIST'sinnovationandentrepreneurialecosystem;and the secondis 

to act - recommend actions NIST should take for the benefit of American society through ecosystem 

engagement.

It is important to leverage strengths and best practices by partnerships, entrepreneurship, Lab-toMarket, andlearning and support. Entrepreneurship is at the heart of innovation. Half of the people 

working at NIST are associates, postdocs, and graduate students, which are the seedcorn of the 

innovation activities.

An assessment was made of how NIST fits into the regional innovation ecosystem that will fulfill NIST's 

equities and needs. Ascope of the assessment was made to better understand the perspectives of NIST 

staff and managers as well as NIST stakeholders about the existing state and future opportunities and is 

stillin progress.

RECOMMENDATIONS:

TheVCATappreciatestheworkNISThasdoneto dateto facilitatetechnologytrans/er. TheVCATsees 

additional opportunitiesforNISTtotakestepsto ensure thatitswork haseven stronger affinitywith 

industry. TheVCATrecommends that NIST looks for opportunities to testits work in the field, thus 

naturally creating connections necessary forthetechnology"transfer.This could occurthrough increased 

interactionwiththe MEPprogram,orthrough ofthenewly proposedTechnologyUaison positionthat 

couldalsobe taskedwith facilitating andmaintaininginteractionsbetweenNISTresearchteamsand 

potential technologyadopters.
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4b. NIST-on-A-Chip Program

The Technology Transfer Subcommittee provided the VCAT with anupdate on their objectives on 

policiesandpracticesin providingindividualtechnicalassessmentsfor effectivelyengagingthe business 

community and communicating with stakeholders, as well as assess NiST's performance and 

recommend improvements in the development and use of intellectual property and collaborative 

research.

InAugustthe TechnologyTransferSubcommittee heldaconference callto discussvariousaspectsofthe 

technology transfer. Primarily, the calllooked at the NIST-on-A-Chip program and discussed IP 

strategieswithinthe NISTorganizations . The members wereasked to shareinformation on how their 

organizationhasapproached variousitems such asfindinglicenseesandpartnersfor furthercommercial 

development andportfoliomanagement. The advantages and benefitsof a non-exclusive licensewas 

discussed, which provides better access and provides incentives.

Finding partners for commercial development is challenging. NIST must market and make itselfknown 

to companies that they want technologies to be transferred from the labto industry. Most companies 

do not have the bandwidth to lookat each Individual lab. Marketing is key in thisendeavor.

Portfolio management is a challenge. The IPstrategy has to go withtheresearch productsandlook 3 to 

7 years ahead, monitoring,and predict trends and needs in the form of problems, which is not easy.

Though NIST technology is generally in the physical sciences, the physical science companies are very

disparate.

TheSubcommitteemet on October30th to discussthe NISTTechnologyMaturationFund- bestpractices 

for how to identify partners, how to market the inventions, how to find industry, and if there areany 

plansfor doingpotential sitevisits.

RECOMMENDATIONS;

TheVCAT supports the efforts of the NIST-on-A-Chip program and encourages NJSTto continue efforts to 

develop these technologies beyond the pilot stage of the program.

5. NISf Strategic Planning

TheVCATreceivedongoingupdateson NIST'sstrategicplanningeffortsoverthecourseof FY2019.For 

the past year NIST has been engaged in a community wide strategic planning process designed to 

position NIST to help the nation adopt to a rapidly evolving technology landscape. As NIST works to 

build programs in, and adapt to, emerging science and technology areas like artificial intelligence and 

quantum science, as well as continuing to pursue research that will open new frontiers NIST has 

identified that it must takesteps to ensure that it can stillremain the world class institution that it is and 

can recruit andretain the best staff,deliver services in the most efficient andeffective manner possible, 

improve our facilities, and build a culture that brings out the best in all our staff. To do this the NIST 

Strategic plan identifies four strategic goals:

1. PositionNISTto AdvanceU.S.Scienceand Innovation- NISTwillmakesurethatit hasthe 

workforce , organizationalstructures,and partnerships to supportthe development and
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adoption of emergingtechnologies criticalto innovation andthe economic competitivenessof 

the UnitedStates.

2. MaximizeNIST'sStakeholderImpactthroughHigh-ValueSeNiceDelivery - NIST willoptimize 

service delivery, streamline processes, and strengthen stakeholder engagement to transform 

technology transfer.

3. Create the Infrastructurefor a 21st Century Research Institution - NIST will make sure that it 

has both the physical and ITinfrastructureto carry out its programs.

4. Builda OneNISTCulture-Ensure that our workforce of federal staff andNISTassociates are 

united around NIST'smission andarevalued for the expertise they bring.

Toformulate the StrategicPlan NISTestablishedfourGoalteamsmadeup of stafffrom across the NIST 

organization . The strategic plangoalteamsworkedrefinethe objectives andstrategiesthat NISTmust 

undertaketoachievethe fourplangoals,conductingoutreachto stakeholders,aswellashostinga 

numberofinternalfocusgroupsandopenhousemeetingsto engageandgetinputfromthebroader 

NIST community. Bas d on input from the NLB and the NIST community we have identified the 

following strategies from across the 4 goals asprioritie sfor immediateimplementation. These8 actions 

willbe the startingpoint for implementation of the plan with progress being evaluated at 6 month 

intervals,at whichtimeprogresswillbereviewedandadditionalstrategiesoutlinedin theplanwillbe 

highlighted for action, ensuringthatNISTis systemati callyimplementingthe proposedstrategies and 

makingconsiset nt and steady progress towards its ultimate aim of ensuring that NIST continues to be an 

essentialand valuedcomponent of America's innovation ecosystem.

NISTis committing to takeconcerted actionand to track progress and implementationon 8 strategies in 

2020. Thesestrategies addresscriticalstrategic issuesfacingNISTin the areas of workforce , facilities, 

andoperations. Theselected strategiesrepresent the highestpriority strategies developed by eachof 

the four goalteamsthat y requireimmediate and focused attention to ensure the future sustainability 

andviability of NIST.TheVCATis fully supportiveof NIST's strategic planningeffort sandlooks forward 

to updateson progressthroughout the comingyear. TheVCATis particularly interestedin seeingNIST 

take stepsto improve its branding andstrategic communication.s

Strategies Selected for Immediate Action

Workforce:

• Improve collaboration and agility across NIST programs

o Restructuring scientist's performance plans to provide flexibility for collaborative work.

o Establishing a new ADLP funding mechanismto foster crossOUcollaboration.

• Strengthen NIST'sability to attract, retain,andretrain a diverseand Inclusive talent base

o Appoint a NISTDiversity coordinator to lead efforts to improve the diversity of NISrs 

workforce

• Provide support for a strongand accountable leadership corps
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o Strengthen NIST's leadership core by developing and implementing a NIST leadership 

competencies model and increase support for development and growth of existing 

leaders at NIST.

Infrastructure

• Implement a multifaceted facility renovation and upgrade strategy

o Develop a prioritizedimplementationplan of the NISTCampus Master Plan

o Optimize ongoingrepair activities through the utilization of a predictive facilities 

maintenance toolto guide futureSCMMR investments

Operations and Procedures

• MakeIt easierto work withNIST

o Increase the successful transfer of NIST-developedtechnologies by applying best 

practices to streamline and enhance customer and stakeholder engagements.

• Strategically communicate NIST's keymessages

o ImprovestakeholderawarenessofNISTbyclarifyingandsharpeningNIST'sstrategic 

communicationsand initiating an effort to rebrand NIST.

The VCATwas also briefed on NIST efforts to examine and address issues facing the institution around 

equity and career advancement, which are directly aligned with NIST efforts under Goal 4 to create a 

more inclusive and welcoming workplace. The VCAT was given an outline of NIST' s plans to build a 

culture of diversity and inclusivity at all levels of the institution. The VCAT received an update from NIST

on their launch of an external assessment of equity disparity in the NISTSTEMcareer track, as well as 

what NIST other steps NIST is takingto build a more inclusive and equitable workplace environment . 

The VCAT commends NIST on the steps t hat it is takingandlooks forward to hearingupdates as NIST's 

efforts progress.

RECOMMENDATIQNS;

NISTleadership (meaning the Director and Associate Directors)must personally takeownership and 

responsibilityforaddressingissuesrelated to inequity,inc/usivity, anddivers,ity muchasit didin 

responding to institutional shortcomingswithsafety culture.

VCATrecommendsthatNISTaggressively pursue effortsto developa common, clear, consisten,tand 

recognized brand, and take the necessary steps to ensure that all parts of the organization and 

disciplinedand consistentinits utilization and deployment.

6. NIST Facilities and Infra str ucture

TheVCAThasbeen trackingthe statusof NISTfacilities and infrastructure for the pastseveral years,and 

is wellaware of the significant challenges facingNISTwithadeferred maintenance backlogof well over

$700M, and the challenges of agingcampuses where the majority of the laboratories facilities werebuilt 

in theearly1960s. To stay at the cutt ing-edge of metrology and to meet the needs of stakeholders with 

higher need for precision and accuracy NIST requires facilities that can maintain ideal environmental 

conditions, accommodate 21st century requirementsaround ITand data, and meettoday'sexpectations
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for safety and performance. Such facilities would eliminate lost productivity and increase efficiency and 

effectiveness,providing researchers the opportunity to maximize their efforts on mission-related 

activities. Other major conditions that must be addressed are the needs to inaease the capacity of NIST 

facilities, to improve access for people with disabilities, and to safeguard the utility infrastructure of 

existing buildings. TheVCATwas pleased to see the progress beingmade on the reno_vation of building

245. This facility willbringmuchneededupgrades to NIST's Radiation Physics program and willallow 

NISTto continueto servethe needsto multipleindustrysectorsfrom defense to healthcare. TheVCAT 

strongly supports NIST's effortsto obtaina consistent annual level of maintenance fundingat a levelof

$120to $150millionayear which wouldallow the agency to make steady progress on addressing its 

maintenance backlogand makeslowbut steadyprogresson neededmodernization andrenovation 

efforts.

In addition to maintaining and operatingtraditional laboratory facilities NISTalsoruns and operates a 

major National User Facility,the NIST Center for Neutron Research, which comeswithitsownunique 

challenges and demands, not the least of which is that the facility is built around a research reactor 

fueledby HighlyEnriched Uranium. TheNCNRis a highlyproductive research facilitysupportingover 

2700usersthispastyearrepresenting51 companies,37 FederalAgenciesand NationalLabs,and 185 

Universities. Furthermore,the NCNRis one of the mosthighly scientificallyimpactfulNeutronFacilities 

in the world,withItspublications cited 95%more than the world average. With the reactor relicensed 

through 2029NISTmustbegin now to makeplans for future upgrades and maintenance, includingplans 

to replace the existingreactor, in order to ensure that NIST willbeable to provide access to such a 

powerfulresearch facility longinto the future.

In June of 2019 the VCAT examined in depth the current status of the global neutron research 

community,the statusand needsof the NCNR,and hearddirectlyfrommembersof the NCNRuser 

community.

Dr. Julia Philips of the American Physical Society briefed the VCAT on their report Neutrons for the 

Nation,whichdescribes the importance of neutron sources in various areasfor the foreseeable future; 

illustrates the importance of neutron sources produced today and how they might be produced in the 

future;examineshow canthe U.S.be a globalplayerin neutronscience;and finallyoutlines policyissues 

that need to be considered in designing and building future neutron sources. A major finding of the 

reportis that the neutron R&Din this country is vulnerable. In the U.S., there are sixhigh-performance 

research reactors, NISTbeingthe newestand it isSOyearsold.Thereare 48 scatteringbeamlines in the 

UnitedStates,153 in Europe, and99 in Asia.Several facilitieshave been shutdown in the U.S.,while the 

rest of the world is continuing to build. TheU.S. has lost important capability in neutron R&Din the last 

two decades and is no longer the world leader. TheAPSreport also statesthat neutron R&Ocurrently 

requires the complimentary capabilities of spallation sources, research reactors andhigh-performance 

instrumentation.

TheAPSstudymakesa seriesofrecommendationsto strengthenNeutronresearchcapabilitiesin the 

U.S.:

• Continue to support a diversity of neutron R&Dcapabilities;

• Findabalance in retainingand enhancingthe capabilities and reducingor eliminating the useof 

highly enriched uranium (HEU);

• Sharply increase investment in neutron instrumentationdevelopment and deployment;
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• Reaffirm its commitment to the development anddeployment of high-density,low enriched 

uranium (LEU) fuels for existing HPRRs; and

• Initiate aneffort to competitively design and build anew generation of LEUfueled HPRRs.

The VCAT also heard from users of the NCNR, who expressed uniformly positive opinions about the 

NCNR and the importance of such a facility to their research efforts.

NISTIs beginningto takestepsto planfor the potential upgrade of the NCNR,lookingat a number of 

options including maintaining the facility in its current configuration,conductinga major upgrade to the 

reactor to enhance its flux,and complete replacement of the existing reactor with anewmodel. Akey 

next step willbeafuture study on thisissue by the NationalAcademies. NISTis currently working with 

other agencies including DOEon the development of the planned study.

RECOMMENDATIONS;

NIST'saginginfrastructureisarecurring issuethatisathreatto thenational economyand security.In 

light that adequate funding to fully modernize NIST facilities will notbe provided in the foreseeable 

future, theVCAT recommends thatin addition to the steps NISTis pursing to obtain stable levels of 

maintenanceandrenovation funding thatNISTalsostudyalternativeoptionssuchastheabilityto lease

· additionalspace,or potential partnershipsthat could helpNISTaddressitsfacilityneeds.

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7. NIST Budget (FY 2020 Enacted and FY2021 Request)

FY 2020 Enacted Budget

FY 2020 EnactedNIST Budget (Dollars in Millions)

Programs (STRS)

USA

Renovation

TheVCATwasbriefedon the FY2020budgetandappropriationscycle. TheVCATwaspleasedto see a 

positive resolution of the FY2020budget, withNISTreceiving anoverall $43.5millionincrease over 

FY2019enacted levels. TheFY2020enactedbillprovidesa$29.5 millionincrease for NISTresearch 

programs. Of this increase $27.3 million (92%) willgodirectly towards NIST work in key emerging 

technology areas that willaddress the industries of the future, namely quantum information science 

($10.0 million), artificial intelligence (Al) ($8.0 million), SG/advanced communications($2.5 million), 

advancedmanufacturing($4.3million),andbiotechnology($2.5 million).TheVCATis gladto seeNIST 

focusing efforts on these priority areas in alignment withtheirplanning. These increases willallow NIST 

to makesignificantnew progress in each of theseareas. ·

TheVCATwas gladto see thattheFY2020enacted bill supports bothMEPand Manufacturing USA, 

providing a totalof$162millionfor NISTIndustrialTechnologyServicePrograms a$7millionincrease 

over FY2019 levels that willenhance NIST'sability to support American manufacturer s.

The FY 2020 enacted bill andreport language allows NIST to continue its lead role in the coordination of 

Manufacturing USA, providing a total of $16million for the program, a $1 million increase over FY 2019 

enacted levels. Within thisamount $10 million will support continued operation of the National Institute

FY2018

Enacted

FY2019

Enacted

FY2020

Pres. 

Request

FY2020

Enacted Delta

Laboratory $724.5 $724.5 $611.7 $754.0 $29.5

Hollings Mfg Ext

Partnership $140.0

(MEP)

$140.0 $0.0 $146.0 $6.0

Manufacturing $15.0 $15.0 $15.2 $16.0 $1.0

Construction & $319.0 $106.0 $59.9 $118.0 $12.0

Total $1,198.5 $985.5 $686.8 $1,034.0 $48.S
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for Innovation in Manufacturing Biopharmaceuticals (NIIMBL), $5 million will support the Advanced 

Manufacturing National Program Office and their work to coordinate across the existing network of 

manufacturinginnovation institutes. The additional $1 million will support a competitive grant program 

that will provide funding to support the development of technology roadmaps as authorized by the 

National DefenseAuthorization Act of 2020.

The Hollings MEP willbe funded at $146 million, a $6 million increase over FV 2019 levels. The additional

$6 million will bedistributed across the existing network of 51 centers.

Finally, the FV 2020 enacted billprovides $118million to fund maintenance, repair,andimprovements 

at NISTfacilities inGaithersburg, Maryland;BoulderandFortCollins,Colorado;andKauai,Hawaii,and 

major renovation of specific facilities in Gaithersburg and Boulder. Funding will advance ongoing 

construction on Boulder Building 1 and will help address NIST's significant deferred maintenance 

backlog. TheVCATconcurswithNIST'splansto establishastablelevelof construction andmaintenance 

funding on the order of $120 to $150 million ayear and hopes to see Congress continue to work with 

NIST to support its infrastructure needs. Without consistent and levels of support that allow NIST to 

keep up withmaintenance needsand addressits backlogin areasonable fashion,NISTfacilitieswill fall 

further intodisrepair, undermining the science and engineering work of the NIST staff andcausing 

increased safetyrisks.The Committee also notes that it is likely thatrepair andmaintenance funds are 

needed but also funds for renovation to bring in the latest technologies and methods. Without 

additional funds,NISTwillhave to make the choice between programmatic outputsor facilityupgrades.

FY 2021Requested Budget

At the time of the February meeting the VCAT had the chance to review the President's requested 

budgetfor NIST. Onceagain,the Administrationhasproposed significantreductions to the NISTbudget. 

The FV 2021NISTbudgetrequest is $737.5 million,a reduction of $296.5 million or 28.6percent and479 

positions from the FV2020enacted level. Significant reductions in FV2021include:$136.7 million and 

81 positions in the Industrial Technology Services (ITS) appropriation (including the proposed 

elimination of the Hollings Manufacturing Extension Partnership Program (MEP),$102 millionand398 

positionsin theScientificandTechnicalResearchandServices(STRS)appropriation,and$57.8millionin 

the Construction of Research Facilities (CRF) appropriation.

Thisbudget if enacted wouldhave significant negativeimpactsfor NIST's abilityto meetits missionand 

advance U.S. innovation in areas criticalto the future economic and nationalsecurity of the nation.

While the VCATapplaudsNISTleadership for prioritizingits coremission and focusingworkoncritical 

emergingtechnologies, theVCATdoesnot supporttheproposedreductionsto the NISTbudget. NISTis 

currently playingimportant roles in advanced manufacturing,quantum science, advanced 

communications,cybersecurity,artificial intelligence and many more areas. With increased 

international competition and growing challenges to U.S. leadership, the VCAT is unanimous in its 

opinion that reducingthe NISTbudget isnot aneffective approach to achieve the Administration's goal 

of U.S. leadership in the "industriesof the future".