VISITING COMMITTEE ON ADVANCED TECHNOLOGY

National Institute of Standards and Technology

2016 Annual Report

Visiting Committee on Advanced 

Technology

of the

National Institute of Standards and 

Technology

U.S. Department of Commerce

July 2017
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Preface

The Visiting Committee on Advanced Technology (VCAT or the Committee) of the National Institute of 

Standards and Technology (NIST or the Institute) was established in its present form by the Omnibus Trade 

and Competitiveness Act of 1988 and updated by the America COMPETES Act in 2007 and the American 

Innovation and Competitiveness Act of 2017. The VCAT is a Federal Advisory Committee Act (FACA) committee 

and its charter includes reviewing and making recommendations regarding general policy for NIST, its 

organization, budget, and programs within the framework of applicable national policies as set forth by the 

president and the Congress. This 2016 annual report covers the period from the beginning of March 2016

through February 2017. 

The Committee reviews the Institute’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 NIST proposes 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 

following areas: 

➢ NIST Safety Systems and Culture

➢ Critical Facets of the NIST Core

o Achieving Balance in NIST Laboratory Programs

o Open Research and Development

o Facility Needs

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

scientists, and engineers. Reactions and observations of the Committee members are presented 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 NIST laboratories and 

satellite facilities to discuss research projects directly with the 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, and the efficacy of the facility infrastructure. 

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 representation of a crosssection of traditional and emerging 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 can serve as a member of the Committee. Members are 

appointed for staggered three-year terms.

Two new members were appointed during the period covered by this report: Dr. Gail Folena-Wasserman 

(MedImmune) and Mr. David Vasko (Rockwell Automation).

This report highlights the Committee’s observations, findings and recommendations. Detailed meeting minutes 

and presentation materials are available on the NIST web site at www.nist.gov/director/vcat. This report was 

report was prepared during a time of significant uncertainty with the transition to a new administration, and 

the uncertainty of the budget situation at the time with the FY2017 budget still unsettled at the time of the 

report, and the President’s FY 2018 request having not yet been released. As a result, section 4B was amended 

accordingly. 
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VCAT Members during the Period Covered by this Report

Dr. Rita R. Colwell, Chair

University of Maryland at College Park 

Term: January 6, 2014 – January 5, 2020

Mr. William M. Holt, Vice Chair

Intel Corporation

Term : May 13, 2012 – May 12, 2018

Dr. Allen Adler

The Boeing Company

Term : January 25, 2016 – January 24, 2019

Ms. Hemma Prafullchandra

HyTrust, Inc.

Term: October 27, 2014 - October 26, 2017

Dr. Rodney Brooks

Rethink Robotics

Term: June 1, 2014 – May 31, 2017

Dr. Theodore Sizer

Nokia Bell Labs

Term: August 28, 2015 – August 27, 2018

Mr. Michael Garvey

M-7 Technologies

Term: January 23, 2015 – January 22, 2018

Mr. David Vasko

Rockwell Automation

Term : February 2, 2017 – February 1, 2020

Dr. Waguih Ishak

Corning Incorporated

Term : January 25, 2016 – January 24, 2019

Dr. Gail Folena-Wasserman

MedImmune

Term : January 30, 2017 – January 29, 2020

Dr. Karen Kerr

GE Ventures, General Electric

Term: June 1, 2011 - May 31, 2017

Dr. David Wilson

Morgan State University

Term: March 23, 2015 – March 22, 2018

Dr. Roberto Padovani

Qualcomm Technologies, Inc.

Term: May 1, 2011 - April 30, 2017
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Table of Contents

Preface ...................................................................................................................................................... ii

Table of Contents..................................................................................................................................iii

1. VCAT Focus in 2016 ......................................................................................................................... 1

2. Safety..................................................................................................................................................... 1

3. Maintaining a Healthy NIST Core.......................................................................................2

3a. Achieving Balance in NIST Laboratory Programs.......................................................................................... 2

3b. Open Research Environment..................................................................................................................4

3c. Facilities Needs....................................................................................................................................................5

4. NIST Budget and Planning............................................................................................................. 7

4a. NIST Budget (Dollars in Millions).............................................................................................................................. 7

4b. FY 2017 Appropriations and FY 2018 Request................................................................................................... 7
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1. VCAT Focus in 2016

In 2016, the VCAT was charged with reviewing NIST’s current definition of “core” and advise on 

how to ensure the correct balance, strength, and relevance in the areas of measurement science, 

standards development, and technology transfer in the coming years to include NIST’s support of 

the NSCI initiative. In addition, the VCAT was briefed on the accomplishments of NIST over the past 

4-8 years, what NIST is currently working on, and what still needs to be done; the various states of 

disrepair in NIST’s facilities both at Gaithersburg and Boulder; and the continued need for an open 

research environment. With the transition of administration, it is also the time to review the 

attributes of an Undersecretary of Standards and Technology and the NIST Director. This 2016

Annual report summarizes the VCAT’s work, observations and recommendations in these areas.

2. Safety 

Safety has been a focus and priority of the VCAT for several years and the VCAT has been pleased 

that NIST has developed a safety culture focused on shared responsibility and continuous 

improvement. NIST has made substantial progress in developing a positive safety culture, and the 

VCAT continues to receive regular updates on the trends in safety incidents, programs on safety 

training for leaders and staff, and overall progress on the safety culture. 

As a result of the 2014 NIST safety climate survey, NIST is taking a closer look at employee rights 

and responsibilities, unsafe conditions and practices, incident reporting and lessons learned, 

training, observations, and performance appraisals. Through this survey, NIST continues to 

improve in the following areas:

➢ What is reported – eliminate unwieldy reporting of minor incidents, while continuing to pay 

due attention to any lessons that can be learned from them.

➢ Improve on incident investigations – training, tools used, procedures, and support.

➢ Sharing lessons learned – grow IRIS email alert subscriptions, increase communication 

vehicles, incident trends, and keep communication positive.

The VCAT was pleased to see the progress that NIST has made in the implementation of its 

workplace inspection program. With the relative plateau in NIST’s Occupational Safety and Health 

Administration recordable incidents, which have stayed the same as in FY15, having clearly defined 

roles and responsibilities and a larger cadre of staff trained in spotting issues should help NIST 

further drive down incidents. The VCAT was also pleased to hear of the progress that NIST 

continues to make with its radiation safety program. NIST has indeed come a long way since the 

plutonium contamination event in June 2008, which is evident from the results of the September 

2016 unannounced inspection by the Nuclear Regulatory Commission (NRC), where NIST was 

praised for its proactive identification and correction of issues and the transparent nature in which 

the NIST staff kept NRC informed.
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RECOMMENDATIONS:

1. Continue to report to the VCAT on safety metrics and safety initiatives. 

3. Maintaining a Healthy NIST Core

In the recent past, NIST has demonstrated its extraordinary competence and capability in becoming 

a center of action and responsibility in national priorities including advanced manufacturing, 

advanced communications, cybersecurity, forensic science, and disaster resilience. NIST has also 

garnered new extramural programs, including Manufacturing USA (formerly the National Network 

for Manufacturing Innovation), and has improved the execution of the Hollings Manufacturing 

Extension Partnership. NIST’s success in these areas is a testament to the culture of exceptionalism 

that NIST has demonstrated since its founding in 1901.

Despite these achievements, there remains much to be done. A number of laboratory initiatives 

have been left unfunded or funded at levels far below the commensurate need. At the same time, 

new technical challenges continue to emerge that would benefit from NIST’s approach and 

expertise. With an eye toward keeping NIST in a strong position, the VCAT has spent the past year 

examining areas where we see NIST facing the biggest risk. The VCAT is concerned that without 

growth in budget the scope of NIST’s responsibilities threatens to outrun NIST’s abilities to build 

the foundational research and development core that support these engagements. We have toured 

laboratories where advanced science is conducted, and the facilities are woefully inadequate and 

suffer from years of deferred maintenance and upgrades due to budget constraints. NIST’s need for 

sophisticated laboratory facilities is urgent and increasing, just as NIST’s abilities are being called 

upon to further explore the necessary research for addressing the extended responsibilities with 

which it is being tasked. 

As a leading research organization, NIST must be able to collaborate with the best in the world, 

compete for extraordinary personnel, and operate at the speed of innovation in order to effectively 

deliver on its mission. NIST’s extramural programs must have significant room for growth to reach 

maximum impact. 

3a. Achieving Balance in NIST Laboratory Programs

In the past, the VCAT has expressed concern that NIST was a “victim of our own success” and being 

stretched too thin, emphasizing the need for balance between the core mission and externallydriven activities. To gain more insight on this topic, the VCAT heard from a both external 

stakeholders and internal program managers and then discussed the challenges with a panel of 

NIST Laboratory Directors.

The stakeholders provided several examples of how NIST, though its unique role and its technical 

capabilities, contributes to an innovative ecosystem. One example provided was the new metrology 

techniques, standard reference materials, and data standards created through activities like the 

Materials Genome Initiative allow a wider community to exchange information. Another example 

was the neutral, independent position NIST maintained in creating a collaboration environment 
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assists in managing natural tensions and conflicts. NIST provides guidance to industrial partners on 

navigating the international standards process, and adds credibility to standards. Finally, the VCAT 

heard how NIST’s products and services are valuable to a broad suite of customers who, for 

example, want a calibration certification traceable to NIST or a reference standard for monoclonal 

antibodies to improve drug formation stability.

The VCAT also heard how several programs with strong convening aspects impacted NIST’s core 

research and development capabilities and mission delivery. 

• Smart Grid Program In 2007, NIST coordinated the development of a framework that 

included standards to achieve interoperability of smart grid devices and systems. In 2008, 

when stimulus funds were allocated smart grid deployments through the Department of 

Energy, there were concerns that the standards currently in place were insufficient. NIST 

was therefore tasked to coordinate the development of relevant standards, an activity that 

required NIST to put much of its electrical metrology work on hold. The Smart Grid 

Interoperability Panel, which NIST initiated to solicit input and cooperation from private 

and public sector stakeholders in developing the smart grid standards framework, has 

successfully been transitioned to a nonprofit private-public partnership organization. 

• Cybersecurity Framework As directed by Executive Order 13636, NIST worked with 

stakeholders to develop a voluntary framework to reduce cybersecurity risks to critical 

infrastructure. This process, which included workshops throughout the country and other 

forms of stakeholder engagement, strengthened NIST’s long-standing collaborative 

relationships with industry and helped it establish new relationships, partnerships, and 

collaborations with new sectors and organizations. However, these efforts required NIST to

divert staffing and other resources from other important work and continues to require 

NIST to dedicate resources to the increasing interest in how to implement and deploy the 

framework. 

• Advanced Communications NIST’s recently expanded efforts to develop measurement 

solutions for advanced communications technologies have included the formation of the 5G 

Wave Model Chanel Alliance. Less than a year after its founding, the 5G Alliance has tripled 

in participation and has plans for workshops co-located with relevant stakeholder industry 

meetings. The growth of NIST’s support role in this area include a burden on NIST technical 

staff and the costs of a contract to support the working group and online data repository.

The VCAT also discussed the challenges of balancing investment in the R&D programs while 

meeting external demands and mandates with a panel of NIST Laboratory Directors. In a number of 

areas, convening activities provide an opportunity for high-profile contribution, effective 

mechanisms to disseminate research results and standards products, and unique opportunities to 

gather stakeholder input. At the same time, they can draw valuable resources from NIST’s 

intramural research programs, threatening the long-term health of NIST’s capabilities. 
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OBSERVATIONS:

Since 2012, NIST has seen a growth in its Laboratory budget. The increase has supported new 

capacity for scientific research to support national priorities, primarily advanced manufacturing, 

cybersecurity, advanced communications, and disaster resilience. NIST has addressed these 

priorities through a combination of intramural research and externally-focused programs. 

However, these increases have not met the need in these areas. In addition, other national priorities 

have also been only partially funded or left unfunded. Without adequate resources and research 

facilities, the Nation will lose a critical element of its innovation ecosystem. 

Over the past year, the VCAT has reviewed examples of extraordinary unfunded Legislative or 

Executive branch demands placed on NIST in Smart Grid standards, the Cybersecurity Framework, 

the Presidential Commission on Cybersecurity, and responsibilities for Public Safety 

Communications. NIST has superbly executed on these demands, demonstrating the function of its 

outstanding underlying technical capability – but unless carefully managed, unfunded mandates 

can drain that well of expertise.

3b. Open Research Environment

The VCAT was briefed on the importance of an open research environment at NIST. The most 

important program for NIST is its world-leading scientific research program. Since 1974, NIST has 

not seen substantial growth in federal staff but, has grown nearly tenfold in guest scientists. The 

growth in guest scientists enables NIST to maintain its world-leading scientific research program by 

bringing in the best-minds from around the world to conduct the necessary fundamental and 

technical research to carry out its mission. Enacting extensive bans on foreign guest researchers 

would affect NIST’s ability to continue to be a world-class scientific research laboratory.

OBSERVATIONS:

NIST is a critical partner with the private sector to develop the infrastructure necessary for 

innovation. This engagement is a key piece of the ecosystem that supports the competitiveness of 

the U.S. economy. To transfer the technology, methods, and standards developed at NIST and 

through these partnerships to the American private sector inescapably involves participation of 

scientists and engineers who are the best in the world, and who are sometimes foreign nationals. 

These efforts enhance the competitiveness of American industry. 

Put succinctly, in order for NIST to execute its mission successfully, it must have access to the best 

minds in the world. While many highly talented scientists and engineers are US citizens, it is 

necessary to recognize that the pool of talent in other countries may exceed our own. It is in the 

interest of NIST – and, indeed, the Nation – for NIST to maintain an open research environment that 

balances information, intellectual property, and physical security with collaboration and scientific 

collegiality.
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3c. Facilities Needs 

Facility deficiencies are the number one risk at NIST. Given that a majority of the buildings in 

Gaithersburg were built in the 1960’s and in Boulder, the 1950’s, both campuses are in serious need 

of repair. The conditions of the facilities not only affect the research but, also the people conducting 

the research. Every 3 years, a Facility Condition Assessment is preformed, creating a metric called 

the Facilities Condition Index (FCI). Based on the studies, both campuses are in poor condition, 

falling below the fair rating of 85. Gaithersburg received a FCI rating of 84 and Boulder received a 

rating of 82. To list a few of the facilities deficiencies and the effects: 

➢ Lack of temperature stability affects optics;

➢ Humidity fluctuations affects sensitive measurements;

➢ Vibration problems affects sensitive spatial measurements;

➢ Equipment from the 1950’s means that replacement parts/components are difficult to 

obtain.

The current funding to support the improvements to the facilities is just under $50 million, which 

falls far short of the Federal Facilities Council recommendations of 3-4% of current replacement 

value, which would be $80-107 million. This has created a backlog of $346.2 million, the largest 

category is for mechanical-electrical system repair and replacement, totaling $209.8 million. 

Maintaining mechanical, humidity, and electrical stability in the laboratories is necessary to 

conduct the kind of research NIST requires. To summarize, based on a 2006 report the impacts of 

the conditions of NIST’s facilities have led to a productivity loss of about 20%. 

OBSERVATIONS:

NIST’s research in measurement science pushes the boundaries of the possible, exceeding the 

capabilities of what can be done anywhere in the world. However, many of the research teams are 

housed in increasingly outdated, unreliable, deteriorating, and potentially unsafe facilities that 

directly limit measurement capabilities. In recent years, the capital budget has been squeezed in the 

budget process, damaging NIST’s capabilities for updating and renovating its facilities built in the 

1950s and 1960s to match 21st century research needs. 

The VCAT is aware that significant investments are badly needed in renovating deteriorating 

facilities on NIST’s campuses, notably Building 245 in Gaithersburg and Building 1 in Boulder. 

These investments will enhance safety and security of NIST’s facilities and strengthen the research 

they house. The VCAT has observed the slow pace of these renovations and also learned that these 

investments address only part of a larger problem of significantly underfunded maintenance and 

renovation funds. As NIST’s footprint, scope of responsibilities, and complexity and sensitivity of 

research has grown, its budget for repairs and maintenance has been flat or decreasing. NIST 

currently has a maintenance backlog of $346M, with an annual appropriation for maintenance and 

repair averaging less than $50M, insufficient to address the need. 
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RECOMMENDATIONS:

1. NIST’s facilities maintenance budget must be increased to a level commensurate with the 

need – that is, to a base of about $107M per year. NIST’s facilities maintenance budgets have 

dropped significantly over the past several years creating a backlog of deferred 

maintenance. At current funding levels NIST will lose the capabilities to support the kind of 

boundary-pushing, high-precision science required of it.

2. To accommodate increased demand for measurement science solutions in existing and 

emerging technology areas the NIST research budget should grow by approximately 10% 

per year to achieve a base of approximately $1B. The VCAT applauds NIST’s increased 

performance and responsibilities for advanced manufacturing and cybersecurity over the 

past few years but there are still many unmet demands that increased funding would 

address. Furthermore, the VCAT encourages NIST to continue to pursue stronger programs 

in advanced communications, bioscience, and resilient infrastructure and communities. 

3. The VCAT recommends increased funding for Manufacturing USA, the Hollings 

Manufacturing Extension Partnership (MEP) program, and the Baldrige Performance 

Excellence program to fund additional industry-driven manufacturing institutes, enable the 

MEP program to serve more small and medium manufacturers, and support the Baldrige 

program’s efforts to promote the adoption of cybersecurity best practices respectively. The 

VCAT recognizes the unique position NIST’s extramural programs play in the Nation’s 

innovation ecosystem, especially in advanced manufacturing, and encourages continued 

expansion in those programs. Further, we are encouraged by the active participation NIST’s 

scientists have had in the Manufacturing USA program and the renewed focus of MEP on 

technology transfer, and the potential expansion of Baldrige into Cybersecurity. We 

recommend that NIST continue to strengthen these interactions.

4. To most effectively meet stakeholder demand, NIST should be able to maintain maximum 

control over the allocation of budgetary resources. NIST’s Scientific and Technical Research 

and Services budget line should be under NIST leadership’s discretion to ensure a strong, 

stable, and flexible funding base is available to NIST’s laboratory programs. This will ensure 

maintenance of the intramural expertise, long-term research perspective, and 

programmatic agility so critical to NIST’s mission delivery. With the ever-increasing pace of 

innovation, NIST must be able to look forward to establish intramural capabilities before 

the demand arises. 

5. New technological priorities, convening requirements, and programmatic mandates must 

be adequately supported with additional funds in their first year. Furthermore, NIST must 

plan for the full lifetime needs of these programs. NIST is a long-standing institute and while 

new and important demands always take priority, previous demands cannot simply be 

abandoned. Many demands of NIST’s expertise have a long life; while the funding 

requirements may taper off, they do not become zero.

6. NIST must retain an atmosphere of openness and collaboration conducive to maintaining its 

ability to work with the best scientists in the world. The VCAT is mindful of the risks 
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associated with this, but believes that they can be adequately mitigated by robust internal 

processes and controls proactively managed by NIST Leadership.

7. NIST, working with Congress and the Administration, should be allowed to adopt 

authorities and best practices across the Government that would enable NIST to have the 

necessary speed and workforce quality. These include Other Transaction Authority and 

premium pay authorities. 

4. NIST Budget and Planning

4a. NIST Budget (Dollars in Millions)

+/(-) Over

FY 2016 FY 2017 FY 2018 FY 2017

Enacted Enacted Request Enacted

STRS $690.0 $690.0 $600.0 ($90.0)

Laboratory Programs 605.2 604.7 544.3 (60.4)

Corporate Services 17.3 17.3 11.3 (6.0)

Stds Coord & Special Pgms 67.5 68.0 44.4 (23.6)

ITS $155.0 $153.0 $21.0 ($132.0)

Hollings Mfg Ext Partnership 130.0 128.0 6.0 (122.0)

Manufacturing USA 25.0 25.0 15.0 (10.0)

CRF $119.0 $109.0 $104.0 ($5.0)

 Construc & Major Renovations 60.0 60.0 60.0 0.0

Saf, Cap, Maint & Maj Repairs 59.0 49.0 44.0 (5.0)

Total, NIST Discretionary 964.0 952.0 725.0 (227.0)

4b. FY 2017 Appropriations and FY 2018 Request

At the time the VCAT drafted the recommendations in this report the President’s FY 2017 Request 

had not yet been voted on by Congress, and the FY 2018 Request had not yet been released. The 

VCAT has discussed these budget levels. The VCAT is disappointed that the FY 2018 President’s 

Budget Request decreases total NIST funding by nearly 24% from FY 2017 enacted levels. The 

Committee offers the following observations:

- NIST Leadership should be applauded for the logical and thorough effort they made 

to accommodate the cuts required by the President’s FY 2018 Budget Request. NIST, 

led by Acting Director Rochford and supported by the strong team of senior leaders 

at the Associate Director and Lab Director levels, was able to identify areas of lower 

priority while preserving NIST’s core capabilities.
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- The Committee is concerned about the decreasing support for the NIST 

infrastructure and facilities. As previously noted, recommended support for facility 

maintenance is more than double that in the FY 2018 Budget Request. Without 

adequate support, NIST facilities will fall further into disrepair, undermining the 

science and engineering work of the NIST staff and causing increased safety risks. 

The Committee also notes that it is likely that repair funds will be increasingly 

pulled from programmatic resources, compounding the already steep cuts outlined 

in the FY 2018 request.

- In our experience, uncertainty and the threat of decreasing resources is likely to 

cause high-performing staff to look for other opportunities. Because of this, the 

Committee is concerned that NIST’s outstanding research staff, which is so critical to 

its success and mission delivery, may be tempted to seek other opportunities. In 

addition, since NIST’s exceptional scientists are a significant recruiting tool, losing 

those top researchers because of budget uncertainty would likely have significant 

long-term effects.