nano review

7/23/2019 Nano Review

1/88

REPORT TO THE PRESIDENT

AND CONGRESS

ON THE FIFTH ASSESSMENT OF

THE NATIONAL NANOTECHNOLOGYINITIATIVE

Executive Office of the President

Presidents Council of Advisors on

Science and Technology

October 2014


2/88


3/88

REPORT TO THE PRESIDENT

AND CONGRESS

ON THE FIFTH ASSESSMENT OF

THE NATIONAL NANOTECHNOLOGYINITIATIVE

Executive Office of the President

Presidents Council of Advisors on

Science and Technology

October 2014


4/88

Aboutthe

Presidents

Council

of

Advisors

on

ScienceandTechnology

ThePresidentsCouncilofAdvisorsonScienceandTechnology(PCAST)isanadvisorygroupof

theNationsleadingscientistsandengineers,appointedbythePresidenttoaugmentthe

scienceandtechnologyadviceavailabletohimfrominsidetheWhiteHouseandfromcabinet

departmentsandotherFederalagencies.PCASTisconsultedabout,andoftenmakespolicy

recommendationsconcerning,thefullrangeofissueswhereunderstandingsfromthedomains

ofscience,technology,andinnovationbearpotentiallyonthepolicychoicesbeforethe

President.

FormoreinformationaboutPCAST,seewww.whitehouse.gov/ostp/pcast


5/88

i

ThePresidentsCouncilofAdvisorson

Scienceand

Technology

CoChairs

JohnP.Holdren

AssistanttothePresidentfor

ScienceandTechnology

Director,OfficeofScienceandTechnology

Policy

EricLander

President

BroadInstituteofHarvardandMIT

ViceChairs

WilliamPress

RaymerProfessorinComputerScienceand

IntegrativeBiology

UniversityofTexasatAustin

MaxineSavitz

VicePresident

NationalAcademyofEngineering

Members

RosinaBierbaum

Dean,SchoolofNaturalResourcesand

Environment

UniversityofMichigan

ChristineCassel

PresidentandCEO

NationalQualityForum

ChristopherChyba

Professor,AstrophysicalSciencesand

InternationalAffairs

Director,ProgramonScienceandGlobal

Security

PrincetonUniversity

S.JamesGates,Jr.

JohnS.TollProfessorofPhysics

Director,CenterforStringandParticle

Theory

UniversityofMaryland,CollegePark

MarkGorenberg

ManagingMember

ZettaVenturePartners

SusanL.Graham

PehongChenDistinguishedProfessor

EmeritainElectricalEngineeringand

ComputerScience

UniversityofCalifornia,Berkeley


6/88

ii

ShirleyAnnJackson

(throughSeptember2014)

President

RensselaerPolytechnicInstitute

MichaelMcQuade

SeniorVicePresidentforScienceand

Technology

UnitedTechnologiesCorporation

ChadMirkin

GeorgeB.RathmannProfessorofChemistry

Director,InternationalInstitutefor

Nanotechnology

NorthwesternUniversity

MarioMolina

DistinguishedProfessor,Chemistryand

Biochemistry

UniversityofCalifornia,SanDiego

Professor,CenterforAtmosphericSciences

attheScrippsInstitutionofOceanography

CraigMundie

SeniorAdvisortotheCEO

MicrosoftCorporation

EdPenhoet

Director,AltaPartners

ProfessorEmeritus,BiochemistryandPublic

Health

UniversityofCalifornia,Berkeley

BarbaraSchaal

MaryDellChiltonDistinguishedProfessorof

Biology

WashingtonUniversity,St.Louis

EricSchmidt

ExecutiveChairman

Google,Inc.

DanielSchrag

SturgisHooperProfessorofGeology

Professor,EnvironmentalScienceand

Engineering

Director,HarvardUniversityCenterfor

Environment

HarvardUniversity

Staff

MarjoryS.Blumenthal

ExecutiveDirector

KnatokieFord

AAASScience&TechnologyPolicyFellow

AshleyPredith

AssistantExecutiveDirector


7/88

iii

WorkingGroupMembersWorkingGroupmembersparticipatedinthepreparationofaninitialdraftofthisreport.Those

workinggroupmemberswhoarenotPCASTmembersarenotresponsiblefor,nornecessarily

endorse,thefinalversionofthisreportasmodifiedandapprovedbyPCAST.

CoChairs

J.MichaelMcQuade*

UnitedTechnologiesCorporation

MarkGorenberg*

ZettaVenturePartners

Members

PaulMcEuen

CornellUniversity

PaulAlivisatos

UniversityofCaliforniaBerkeley

&LawrenceBerkeleyNationalLaboratory

JuliaPhillips

SandiaNationalLaboratories

WilliamKohlbrenner

AbbvieBiotherapeutics

OmkaramNalamasu

AppliedMaterials

AndrNel

UniversityofCaliforniaLosAngeles

YetMingChiang

MassachusettsInstituteofTechnology

JosephDeSimone

UniversityofNorthCarolinaChapelHill

JohnKelly

IBM

JuliaLane

AmericanInstitutes

for

Research

JoshWolfe

LuxCapital

Staff

AshleyPredith

AssistantExecutiveDirector,PCAST

MarjoryS.Blumenthal

ExecutiveDirector,PCAST

*DenotesPCASTMember


8/88

iv

EXECUTIVE OFFICE OF THE PRESIDENTPRESIDENTS COUNCIL OF ADVISORS ON SCIENCE AND TECHNOLOGY

WASHINGTON, D.C. 20502

President Barack Obama

The White House

Washington, DC 20502

Dear Mr. President,

We are pleased to present to you theReport to the President and Congress on the Fifth Assess-

ment of the National Nanotechnology Initiative, a review by the President's Council of Advisors

on Science and Technology (PCAST). This report fulfills PCASTs responsibilities under the

21st Century Nanotechnology Research and Development Act (Public Law 108-153) and Execu-

tive Order 13349 to provide periodic updates to Congress.

The Federal Government has invested over $20 billion in nanotechnology research in the past 13years, leading to great success in creating the building blocks of nanoscience. In this review,

PCAST determined that the National Nanotechnology Initiative (NNI) has reached a turning

point. The vision of NNI is a future in which the ability to understand and control matter at the

nanoscale leads to a revolution in technology and industry that benefits society. To realize this

vision, PCAST recommends that the Federal Government transition its activities toward facilitat-

ing commercialization by directing the formulation of specific nanotechnology Grand Challeng-

es. The Grand Challenges frameworka partnership between the public and private sectors

can drive scientific advances to revolutionary commercialized products.

PCAST recommends a process to identify the Grand Challenges and several program-management changes to ensure their success. New Federal activities can catalyze academic en-

trepreneurs and industry to come together and the manufacturing sector to consider producing

these promising new technologies. The United States has made good progress in addressing en-

vironmental, health, and safety (EH&S) issues associated with nanotechnology, and the evalua-

tion found that work on EH&S must continue so that new technologies are adopted with the full

trust of the public.

Continued support of fundamental research in nanoscience is also critical. New technologies a

decade from now will be built on exploration and discovery today. With strong awareness of

how other countries are competing for the most talented scientists and engineers, PCAST rec-ommends ways to attract and keep these individuals in the United States and sustain this coun-

trys advanced nanotechnology research infrastructure.

The transition toward commercialization can have implications for drug delivery, energy tech-

nology, smart sensors, clean water, quantum computing, and more. The United States can con-

tinue to lead in research and development, and the time is now to ensure the Nation will lead in


9/88

v

the commercialization of nanotechnology, as well. PCAST thanks you for your interest in this

important domain of American leadership in science, technology, and innovation.

Best regards,

John P. Holdren

Co-chair, PCAST

Eric S. Lander

Co-chair, PCAST


10/88

iv

TableofContents

The Presidents Council of Advisors on Science and Technology ......................... i

Working Group Members ..................................................................................... iii

Table of Contents ................................................................................................. iv

Executive Summary ..............................................................................................1

Summary of Recommendations ............................................................................5

Grand Challenges for NNI 2.0 Recommendations .........................................5

Program Management Recommendations ....................................................5

Commercialization Recommendations ..........................................................6

Research Enterprise Recommendations .......................................................6

Environmental, Health, and Safety Recommendations ..................................7

Chapter 1. Introduction & Overview ......................................................................8

Introduction ....................................................................................................8

Federal Governments Role in Nanotechnology ............................................9

Organization of the National Nanotechnology Initiative ...............................11

Funding the National Nanotechnology Initiative ...........................................13

Overview of the Remainder of this Report ...................................................14

Chapter 2. NNI Goals and Progress ....................................................................18

International Collaboration and Competition ................................................22

Next Generation Nanotechnology Research ...............................................24

Chapter 3. Grand Challenges for NNI 2.0 ...........................................................26

Nanotechnology Signature Initiatives ...........................................................26

Characteristics of a Grand Challenge ..........................................................27

Identifying and Implementing Grand Challenges .........................................28

Illustrative Grand Challenges .......................................................................30

Chapter 4. Program Management .......................................................................34

Focusing on Grand Challenges ...................................................................34

Program Management .................................................................................35

Measurements .............................................................................................38

Chapter 5. Commercialization .............................................................................41

Introduction ..................................................................................................41

Commercializing Nanotechnology ...............................................................41

Constraints Limiting the Commercialization of Nanotechnology in theUnited States ........................................................................................45


11/88

v

Manufacturing Innovation Institutes Dedicated to Key NanoscienceAreas ....................................................................................................48

I-Corps Training for New Entrepreneurs ......................................................49

Robust Communication across the Nanotechnology Ecosystem .................50

Identify and Incentivize University, Local, State, and Regional Best

Practices that Encourage Technology Commercialization ....................51

Chapter 6. The NNI Research Enterprise ............................................................53

Introduction ..................................................................................................53

Investing in Creative, High-Risk Research Through Single Investigators .... 54

Exploratory Research Through Research Centers ......................................56

Transdisciplinary Research .............................................................56

Infrastructure ...................................................................................58

Chapter 7. Environmental, Health, and Safety Issues ........................................59

Introduction ..................................................................................................59

Review of 2012 PCAST Recommendations ................................................59

Current Status of Nanotechnology EHS ......................................................60

Appendix I. Measuring the Continuum of the Research/TranslationProcess and Subsequent Outcomes Using STAR METRICS .....................64

Appendix II. Manufacturing Nanomedicine ..........................................................66

Appendix III. Review Participants ........................................................................68

Endnotes .............................................................................................................70


12/88

1

ExecutiveSummary

TheNationalNanotechnologyInitiative(NNI)isacrosscuttingnationalvisionfor

nanotechnologydevelopmentintheUnitedStates. TheFederaleffortinnanotechnology

coordinatesU.S.investmentinresearchanddevelopment(R&D)innanoscalescience,

engineering,technology,andrelatedactivitiesacrosstheU.S.Government. InFY2014,even

thoughfiveagenciesgarnered93percentoftheFederalspendinginnanotechnologyR&D,27

agencyunitsfrom20toplevelFederalentitiesparticipatedinnanotechnologyactivities. The

21stCenturyNanotechnologyResearchandDevelopmentActof2003callsforaNational

NanotechnologyAdvisoryPaneltoreviewtheNNIperiodically[3]. Designatedin2004tobe

thatpanel,thePresidentsCouncilofAdvisorsonScienceandTechnology(PCAST)hasreviewed

the

NNI

five

times,

and

this

report

is

the

third

of

this

Administrations

PCAST.

Inthecourseofouroverallassessment,wefirstreviewedtheresponsestothe

recommendationsinthePCAST2012NNIreview[4].Onecorerecommendationwasto

increasefundingtotheNanotechnologySignatureInitiatives(NSIs).Incontrast,wefindthat

overallfundingfortheNSIshasremainedflat,andwefurtherfindthatfundingforSolarEnergy

CollectionandConversion,Nanomanufacturing,andNanoelectronicsthefirstthreeNSIs,

whichwerecreatedin2011actuallydecreased;theproposedFY2015NSIbudgetisdown28

percentfromtheFY2011budget.The2013NationalResearchCouncilCommitteeonthe

TriennialReviewoftheNNIexaminedthepractices,agencycollaborations,andprogressofthe

2011NSIsanddeterminedthatonlyafewofthecharacteristicstheGovernmentAccountability

Office

(GAO)

has

published

as

best

practices

purpose,

scope,

and

methods;

problem

definition;andriskassessmentwereaddressedadequately;mostoftheinitiativesonly

partiallyaddressedotherkeycharacteristicssuchasresources,investments,integration,and

implementation[5,6]. ThedecreaseinbudgetfortheoriginalNSIsandtheNRCreviewimply

thatwhileNSIsmaybegoodvehiclesforidentifyingcommonareasinwhichparticipating

agenciesareinvesting,theyarenotservingasaneffectivevehicleforachievingthelongterm

visionoftheNNI. Other2012recommendationsincludedcreatingastandingNanotechnology

SteeringCommitteeofoutsideexpertsanddevelopingandtrackingthemetricsneededto

quantifytheFederalnanotechnologyportfolio. Littleactivityhasoccurredthatisresponsiveto

thesetwoimportantrecommendations.

The

Federal

Government

has

proposed

$1.537

billion

of

nanotechnology

funding

in

FY2015,

an

amountroughlycomparabletoFY2014funding.Wefindthatthesustainedleveloffundingto

datehasdeliveredsignificantscientificandtechnologicalprogressandthatcontinued

innovationcallsforahealthyresearchefforttocontinue. Butinternationalcompetitionfor

leadershipinnanotechnologyhasincreasedonmanyfronts,asevidencedbya2014GAO

reportstatingthatwhiletheUnitedStatesremainspreeminentinnanotechnologyresearch,it


13/88

2

hasfallenbehindothercountriesindevelopingthenecessaryinfrastructureandworkforce

requiredtomanufacturemanynanobasedproducts[7].

OurworkinthisPCAST2014reviewisbasedonthepremisethatthenanotechnologyfieldisat

acriticaltransitionpointandhasentereditssecondera,whichwecallNNI2.0. Thisnext

technologicalgenerationwillseetheevolutionfromnanoscalecomponentstointerdisciplinary

nanosystemsandthemovementfromafoundationalresearchbasedinitiativetoonethatalsoprovidesthenecessaryfocustoensurerapidcommercializationofnanotechnology[8].

ItisimportanttorecognizethatwhileFederalagenciesprioritizenanotechnologyasanareafor

investmentandactivity,theentireFederalactivityisnotasingle,centrallyfundedprogram

withseparate,lineitembudgetauthority. TheaddedvalueofthefirstphaseofNNIincreating

collaborationsamongvariousagenciesisnolongerenoughgiveninternationalcompetitionand

thematurationofthefield. Theprimaryconclusionofour2014PCASTreviewisthatthe

UnitedStateswillonlybeabletoclaimtherewardsthatcomefrominvestingin

nanotechnologyresearchandsustaininganoverarchingFederalinitiativeiftheFederal

interagencyprocess,theOfficeofScienceandTechnologyPolicy(OSTP),andtheagencies

themselvestransitiontheirnanotechnologyprogrammaticeffortsbeyondsupportingand

reportingonbasicandappliedresearchandtowardbuildingprogram,coordination,and

leadershipframeworksfortranslatingthetechnologiesintocommercialproducts.

Thisreportmakesanumberofrecommendationsinareasrelatedtoprogrammaticfocus,

programmanagement,commercialization,measurements,andattentiontoenvironmental,

health,andsafety(EHS)concerns.Detailsareprovidedinthesectionsthatfollow. Herewe

notethethreemostimportantrecommendationsthatwebelievearenecessarytobringabout

thefocusanddirectionneededforNNI2.0tobesuccessful.

1. WhilecertainelementsofthecurrentNanotechnologySignatureInitiativesframework

shouldbe

maintained,

the

primary

active

program

management

structure

should

be

drivenbytheFederalandOSTPcommitmenttotheconceptofnanotechnologyGrand

Challenges.

2. Wereiteratetheneedforanongoing,separatestandingcommitteeofcrosssector

nanotechnologyexpertsthatadvises,butdoesnotevaluate,thenanotechnology

activitiesoftheU.S.Government. Wealsoiteratetheneedforafunctionalinteragency

processviatheNationalScienceandTechnologyCouncil,theCommitteeonTechnology,

andtheNanoscaleScience,Engineering,andTechnology(NSET)Subcommitteethatis

abletomakecrossagencyfundingprioritieswhenneededtoaddressnanotechnology

GrandChallenges[9].

3. WereiteratetheneedtoassessFederalnanotechnologyresearchand

commercializationfundingthroughamoreformalsystemofmetrics.

ImplementingtheGrandChallengesframework,continuingtosupportvitaldiscoveryand

exploratoryresearch,andcontinuinganactive,collaborative,andcompetitiveinternational

engagementwillensurethatNNI2.0isasuccessfulandvibrantInitiative.


14/88

3

ThisreportdescribesindetailtherationaleandcharacteristicsofGrandChallenges,howthey

differfromSignatureInitiatives,andprovidesillustrativeexamplesthatcouldbesuitablefor

NNI2.0. BecausetheGrandChallengesprocessoutlinesspecifictechnicalgoalsandtheactive

managementneededtoaccomplishthem,thatprocess,whichhasbeenusedinanumberof

OSTPledscientificandtechnologyprograms,canprovidethenecessaryframeworkfor

commercializationopportunities

to

mature.

Illustrative

Grand

Challenges

for

nanotechnology

includenanoenableddesalinationofseawatertosolvetheemergingwatercrisis,reducing

globalgreenhouseemissionswithnanoenabledsolidstaterefrigeration,creatingaforefrontof

manufacturingthroughnano3Dprinting,anddevelopingananoscaletherapeuticforatleast

onemajorcancer.

Inadditiontothethreeprimaryrecommendationsnotedabove(GrandChallenges,anactive

advisorycommittee,anddevelopmentofprocessestomeasuretheeffectivenessofthe

Initiative),thisreviewmakesadditionalrecommendationsaimedatenhancingthetransitionto

NNI2.0. Wenotethatwhilethesemeasuresaremeanttosupporttheenhancementof

nanotechnologyinvestmentsthatfostercommercialtransitionofmaturingnanotechnologies,

thisfocus

on

commercialization

should

not

preclude

the

Federal

Government

from

investing

in

andcoordinatingdiscoveryandexploratoryresearch,whichisthebedrockonwhich

commercialtechnologybuilds. WerecommendthattheNationalScienceFoundation(NSF)

expandtheNSFInnovationCorpstoincludeaspecificfocusonentrepreneurshipinthe

nanotechnologyarea;thatwiththeguidanceandsupportofNSET,theFederalagenciesdefine

potentialInstitutesforManufacturingInnovationdedicatedtonanoscienceand

nanotechnologyaspartoftheNationalNetworkforManufacturingInnovationprogram;and

thatFederalagenciesextendorcreateprogramsthatsubstantiallysupportsingleinvestigators

forfiveyearstopursuecreative,highriskresearchinnanoscienceandnanotechnology.

WecommendNSETforitssuccessfulcoordinationofnanotechnologyR&Dactivitieswithinthe

FederalGovernment,

and

we

specifically

highlight

the

NSET

Nanotechnology

Environment

and

HealthImplications(NEHI)WorkingGroup. NEHIremainsanactiveandcollaborativecross

agencyforumthatreleasedonJune26,2014areviewofNNIEHSresearchactivities,

accomplishments,andcollaborationsentitled,ProgressReviewontheCoordinated

ImplementationoftheNNI2011EHSResearchStrategy. WerecommendthatNSETcontinue

onthispathandsupportfurtherthedevelopmentofamultidisciplinarynanotechnologyEHS

ecosystemthatwillexpeditesafetyassessment,decisionmaking,andcommercialization. A

fundamentalGovernmentroleinattendingtoEHSissueswillendureregardlessoftheshapeof

theInitiative.

TheNationalNanotechnologyInitiativehasbeenatrulysuccessfulventureforthepast13

years,and

the

nanotechnology

community

has

built

strong

foundations

for

the

future.

NNI

2.0

willrequireanactivelyledecosystemthatintegratestheeffortsofacademic,industrial,

Federal,andphilanthropicpartnersandmoretobringthevisionoftheNNIintocommercial

reality. Muchoftheanalysisandmanyoftherecommendationsinthisreportarenotnew.

Withtheenhancedfocusonthetransitiontocommercialization,theimplementationofthe

GrandChallengesframework,andmoreaggressiveleadership,webelievethe

recommendationscontainedhereinwillleadtoasuccessfulNNI2.0forthecomingdecade.We


15/88

4

believetheimplementationoftheserecommendationstobecriticaltothatsuccess. Ifanother

twoyearspasseswithoutthesekindsofchanges,webelievethevalueofacentrallyreported

NNIwillbesubstantiallydecreased.ThenextPCASTreviewwillmostcertainlyfocusonthe

successofthisimplementation.


16/88

5

SummaryofRecommendations

GrandChallengesforNNI2.0Recommendations

Recommendation1. EstablishingGrandChallengesisaneffectivemeansforfocusingand

amplifyingtheimpactofFederalnanotechnologyactivities. TheNanoscaleScience,

Engineering,andTechnologySubcommitteeandtheOfficeofScienceandTechnologyPolicy

shouldidentifyalistofcandidatenanotechnologyGrandChallengesthataddresssignificant

societalneeds. AtleastoneGrandChallengeshouldcontainprogramelementsaimedat

manufacturingchallengesspecifictothatfocusarea.

Recommendation2. TheNanoscaleScience,Engineering,andTechnologySubcommitteeand

theOffice

of

Science

and

Technology

Policy

should

create

and

execute

aprocess

to

engage

research,development,andindustrialstakeholdersintheidentificationandselectionofGrand

Challengesonanongoingbasis.

Recommendation3. Federalagencies,withsupportfromtheOfficeofScienceandTechnology

Policy,shouldofferimplementationtoolslikeinnovationprizesandpublicprivatepartnerships

toencourageresearcherstoreachcriticalmilestonesonthepathtocompletingGrand

Challenges.

ProgramManagementRecommendations

Recommendation4.

The

Nanoscale

Science,

Engineering,

and

Technology

Subcommittee

shouldcontinuetobecochairedbytheAssistantDirector,NanotechnologyintheOfficeof

ScienceandTechnologyPolicyandarepresentativeofoneoftheparticipatingagenciesona

rotatingbasis.TheAssistantDirectorshouldensurethataleaderforeachactiveGrand

Challengealsoparticipatesinaleadershiproleinthesubcommittee. TheNanoscaleScience,

Engineering,andTechnologySubcommitteeshoulduseGrandChallengesastheprimaryvehicle

foractivelymanagingtheFederalnanotechnologyactivitiestowarddirectedoutcomes.

Recommendation5. PCASTshouldcontinuetocarryouttheCongressionallyrequiredperiodic

reviewoftheNNI. CongressshouldalignthisreviewandthetriennialNationalResearch

Councilreviewstothesameconcurrentthreeyeartimeintervaltoreducetheburdenonthe

Initiative.The

Office

of

Science

and

Technology

Policy,

with

the

support

of

the

National

NanotechnologyCoordinatingOffice,shouldcreateandadministeraseparatestanding

committeeofcrosssectornanotechnologyexpertsthatprovidesguidance,butdoesnot

evaluate,theNNI.

Recommendation6. TheNanoscaleScience,Engineering,andTechnologySubcommittee,with

theDepartmentofCommerce,shouldexecuteaprocesstoestablishacommonsetof


17/88

6

evaluationmetricstoquantifyandreporttheimpactonworkforce,productivity,andscientific

knowledgeinnanotechnologyforallnewresearchandcommercializationprogramsbeginning

inFY2016.

CommercializationRecommendations

Recommendation7. TheNanoscaleScience,Engineering,andTechnologySubcommittee

shouldworkwiththeFederalagenciestodefinepotentialManufacturingInnovationInstitutes

dedicatedtonanoscienceandnanotechnologyaspartoftheNationalNetworkfor

ManufacturingInnovationprogram.

Recommendation8. TheNationalScienceFoundation(NSF),inconsultationwiththe

NanoscaleScience,Engineering,andTechnologySubcommittee(NSET),shouldexpandtheNSF

InnovationCorpstoincludeaspecificfocusonentrepreneurshipinthenanotechnologyarea,

andNSET,theNationalInstitutesofHealth,andtheDepartmentofEnergyshouldleveragethis

programconcepttomakeitavailabletoabroadrangeofscientistsworkinginnanoscienceand

technology.

Recommendation9. TheNationalNanotechnologyCoordinatingOfficeandtheDepartmentof

Commerceshouldestablishanannualnanofocusedeconomicdevelopmentforumdesignedto

bringtogetheracademicresearchers,theventurecapitalcommunity,biotechnology,andother

industryinaformatthatenhancesthepossibilitytocreatebusinesspartnerships.

ResearchEnterpriseRecommendations

Recommendation10. Recognizinggrowinginternationalfundingcompetitionthatisattracting

USbasedtalenttogoabroad,NNIagenciesshouldsubstantiallysupportthebestsingle

investigators

to

pursue

creative,

high

risk

research.

In

particular,

the

National

Science

Foundation,DepartmentofEnergy,DepartmentofDefense,andNationalInstitutesofHealth

shouldcoordinatetoensurethatatleastfivenewNationalSecurityScienceandEngineering

FacultyFellowship(NSSEFF)styleseniorinvestigatorgrantsinnanoscienceandnanotechnology

arefundedperyear.

Recommendation11. TheNationalScienceFoundation,NationalInstitutesofHealth,

DepartmentofEnergy,DepartmentofDefense,andtheNationalInstituteofStandardsand

Technologyshouldstronglysupportnanoscaleresearchcentersandinfrastructurenetworksto

ensuretheeffectivetrainingofanewgenerationoftransdisciplinaryscientistsandengineers,

inparticularbystronglysupportingtheNextGenerationNationalNanotechnology

Infrastructure

Network.


18/88

7

Environmental,Health,andSafetyRecommendations

Recommendation12. TheNanoscaleScience,Engineering,andTechnologySubcommittee

shouldcontinuetosupportthedevelopmentofamultidisciplinarynanotechnology

environmental,health,andsafetyecosystemthatpromotesnonanimalbased(alternative)test

strategiesfor

safety

assessment

and

multi

stakeholder

participation

in

regulatory

decision

makingandsafeimplementationtofacilitatemarketaccessofnanomaterialsand

nanotechnologyenabledproducts.


19/88

8

Chapter1.Introduction&Overview

Introduction

ThisreportconveysthefifthreviewoftheNationalNanotechnologyInitiativebythePresidents

CouncilofAdvisorsonScienceandTechnology(PCAST). Toexecutethereview,weformedan

11personworkinggroupofoutsideadvisorswhoinformedtheevaluation.

PCASTstronglysupportsfundamentalresearchinnanoscienceandacrossthephysicalandnat

uralsciences. WefoundthatFederalinvestmentinnanotechnologyhasbuiltastrongscientific

foundationforcreating,studying,andunderstandingnewclassesofnanoscalebuildingblocks.

Weexpectfundamentalnanoscienceresearchtocontinueuncoveringnewinsightsthatbridge

understandingbetweentheatomicscaleandthemacroscopicscale. ButtheFederalGovern

mentsintense

interest

in

nanoscale

research

and

development

is

not

driven

by

increasing

fun

damentalknowledgeinnanoscalescienceforitsownsakeagoaldeeplyappreciatedbythis

CouncilbutinsteadaimstocreatenewtechnologiesthatimprovethelivesofAmericansand

peopleeverywhere. Theresplentyofroomatthebottom,saidphysicistRichardFeynman

abouttechnologyopportunitiesatthenanoscale. Andthissecondgoaldrivestheevaluationin

thisreport.

Thenanotechnologycommunityhasbeengrowingsincethe1980s. Stategovernmentsnow

supportuniversitynanotechnologyuserfacilities,televisionprogramsandmoviesenvision

whatafuturewithnanotechnologycouldlooklike,collegestudentsselectmajorsinnanotech

nologyratherthanchemistryormaterialsengineering,andindustryconsidersthetradeoffsin

manufacturingnanotechnology

and

what

producing

nanomaterials

means

for

workers

health.

Andsince2001andthe21stCenturyNanotechnologyResearchandDevelopmentAct,theFed

eralGovernmentbegantogiveagreatershareofitsresearchanddevelopmentdollarstonan

otechnologyresearchanddevelopmentandagreatershareofFederalefforttocoordinate

thoseinvestments.

Thenanotechnologycommunityisataturningpoint. Theresearcheffortsofthelastdecade

havedeliveredimpressiveunderstandingofthefundamentalsciencerelevantatthescaleof

individualnanoparticlesandnanotubes. Effortsarenowdeliveringequallyimportantresultsas

thesecomponentsareassembledintonano andmetascalesystemsproductconcepts. In

parallel,thenanotechnologycommunitysengagementwithitsstakeholdersandthepublichas

alsomatured.

The

community

needs

to

consider

what

it

wants

to

accomplish

since

the

re

sourcesfromuniversities,institutes,industrialfacilities,Federaldollars,philanthropicfounda

tions,andpublicinterestarenotinfiniteandcomeatanopportunitycost.

Inlightoftheprogressmadeandcognizantofbudgetpressuresandpotentiallycompetingpri

oritiesforFederalinvestment,theNNIneedstohaveaclear,executablevisionforhowtomax

imizethereturnonthesubstantialinvestmentsthathavebeenmade. Continuingtoobtain


20/88

9

newknowledge,developingnewcommercialdevices,andimprovingprocessesorsystemsthat

enhancecommercialtransitionsarecriticalstepstoachievethatgoal.

Thepromiseofnanotechnologyisgreat. Itcanpotentiallytransformmedicine,security,trans

portation,agriculture,andmore,butforbetterorforworse,thefuturewillalsobeshapedby

competingtechnologiesandapproaches. Duringthistransition,thenanotechnologycommuni

tyneedsleaderswhowillarticulateavisionforthecommunitysfutureandwhowilldevelopstrategicplansforwhatthecommunitywantstoaccomplish.

Wereviewinthisreporttheactionsandinvestmentsofonesegmentofthiscommunity:the

FederalGovernment.

FederalGovernmentsRoleinNanotechnology

TheNNIvisionisafutureinwhichtheabilitytounderstand

andcontrolmatteratthe

nanoscale leadstoarevolutionintechnologyandindustrythatbenefitssociety.[10]The

Governmentsrolesofarinunlockingthepotentialofthistechnologyhasbeentoensurethat

theactivities

within

the

U.S.

Government

are

well

coordinated.

Since

the

NNI

was

launched

in

2001,theFederalGovernmenthasbroughttogetheranincreasingnumberofnanotechnology

activitiesacrossitsagencies. FromFY2005toFY2014alone,628agencytoagency

collaborationsresulted,growingfrom35suchcollaborationsinFY2005to159collaborationsby

FY2013(Figure1). Alongwithcoordinatingindividualactivities,in2010theGovernments

interagencyprocessbegantospotlightNanotechnologySignatureInitiatives(NSIs),whichare

rotatingareasofnationalinterestthatinvolveinvestmentandcoordinationofatleastthree

Federalagencies. ThecollaborationsaroundsomeoftheseNSIshaveblossomed.

Figure1.FederalinteragencycollaborationsinNNIincreasedoverfourfoldineightyears.

35 collaborations

FY2005-FY2006

159 collaborations

FY2013-FY2014

NIOSH

EPA

NSF

NIST

DOD

NIH

NIHNSF

EPA

FDA

NIST

NIOSH


21/88

10

After13years,thesuccessofthefirstphaseofactivitiesandthematurationoftheresearch

fieldhasplacedthefieldofnanotechnologyatacriticaltransitionpoint. Successstoriesfrom

justthepasttwoyearsareevidentinBoxes1and2. Wecallthenextphaseofnanotechnology

developmentNNI2.0. InreviewingtheFederalactivitiesinnanotechnology,wesoughtto

identifyhowbesttoinvestFederalfundsandtocoordinateandleadFederalactivitiesinthe

nextdecade.

Strong

management

of

program

activities

in

commercialization,

in

the

research

enterprise,andinenvironmental,health,andsafetyissuesremainasthecoreconcepts.

WhetherourvisionforNNI2.0isadoptedoranincrementalevolutionoftodaysNNIis

selected,thechoicetohaveaninitiativeimpliescontinuingtochoosetomakenanotechnology

adistinctfieldofFederalGovernmentfocus.

Box1.NanotechnologySuccessStory#1

Light andHeatShieldingNanoCoatingforSmartGlassDevelopedatthe

LawrenceBerkeleyNationalLab

ResearchersattheLawrenceBerkeleyNationalLaboratory(LBNL)havedevelopedan

electrochromiccompositenanomaterialthatcanbeappliedtoglasstoalter

electronicallythetransmissionoflightandheatthroughtheglasssurface[1].

Electrochromicmaterialschangecolorreversiblywhenachargeisapplied.

Electrochromicmaterialcoatedglassiscurrentlymarketedassmartglassandcan

transitionbetweentransparentandopaquestateswhenaswitchisflipped.Smart

glasscanimprovetemperaturecontrolorlightingsystems,provideprivacy,oractas

aprojectionscreen.LBNLresearchersembeddedindiumtinoxidenanocrystalsinan

electrochromicglasstodevelopananocrystalinglasscomposite.Propertiesofthe

nanocrystalskeepcertaininfraredwavelengthsfrompassingthroughthecoating,

andtheglassmaterialscreensvisiblelight.Usingthetwomaterialsinacomposite

allowslight

and

heat

transmission

to

be

controlled

separately,

and

it

makes

the

glass

fivetimesmoreelectrochemicallyactivesothatresearcherscouldusethinnerand

moretransparentcoatsofthematerial.Thesystemrequiresverylittleenergya

squaremeterwindowcoatedinthecompositematerialcouldbepoweredbya9

voltbatteryforayearmakingitmuchlessexpensivethancurrentsystems.Itisalso

entirelysolutionbasedandcouldbedevelopedintoasprayform.Researchershave

launchedastartupandareworkingtoscaleproductionanddeveloppartnerships

withtheglassandbuildingtechnologiesindustries.


22/88

11

ThisintroductionoutlinesthecurrentorganizationofFederalactivitiesundertheNational

NanotechnologyInitiativeanddescribesthestateofinternationalcompetition. Insubsequent

chapters,weevaluateandmakerecommendationsonareasofprogrammanagement;

commercialization;research;

and

environmental,

health,

and

safety

(EHS)

issues

to

realize

the

potentialofthisimportantfield.

OrganizationoftheNationalNanotechnologyInitiative

NumerousFederalagenciesinvestinnanoscienceandnanotechnology.ThePresident

coordinatesnationalscience,technology,andspacepolicythroughtheNationalScienceand

TechnologyCouncil(NSTC)[11]. NSTCsCommitteeonTechnologyhasestablishedits

NanoscaleScience,Engineering,andTechnology(NSET)SubcommitteetocoordinateFederal

activitieswiththeNationalNanotechnologyInitiativevision.Inadditiontoitsformal

relationship

to

the

Committee

on

Technology,

NSET

also

maintains

a

less

formal

relationship

to

NSTCsCommitteeonScience.

NSETmembershipconsistsofrepresentativesfromthemorethan20Federalagenciesthat

haveinterestsinnanotechnology,includingmorethan11thatarefundingorhavefunded

nanotechnologyeffortsoverthehistoryoftheinitiative,aswellasrepresentativesfromthe

OfficeofScienceandTechnologyPolicy(OSTP)andtheOfficeofManagementandBudget

(OMB)[12].

Box2.NanotechnologySuccessStory#2

NanotubeInfusedClothingMayProtectAgainstChemicalWeapons

AresearchteamattheNationalInstituteofStandardsandTechnology(NIST)has

completedaproofofconceptdemonstrationofcarbonnanotubesthatdegradea

classof

chemical

nerve

agents

and

could

be

incorporated

into

fabrics

to

create

protectiveclothing[2]. Thisclassofnerveagentsincludessarin,whichwasusedina

1995bioterrorismattackintheTokyosubwayandmorerecentlyintheconflictin

Syria. Whenabsorbedintothebody,thesechemicalsdisruptprocessesrangingfrom

musclecontractiontohighlevelcognitionandleadtolongtermphysiologicaland

psychologicaldamageandevenasphyxiationathighexposures. IntheNIST

experiments,singlewallcarbonnanotubeswerebondedtoacatalyst. Propertiesof

thenanotubesimprovetherateofcatalysisto63timestheuntreatedrateand

maintaincatalyticabilityforseveralweeks. Thenanotubesareflexibleand

lightweightwithhightensilestrength,makingitlikelythatafabriccontainingthis

materialwould

be

highly

wearable

in

addition

to

self

decontaminating.

This

technologyhasthepotentialtoprotectbothciviliansandwarfightersfromchemical

weaponsandtoimprovethesafetyofcleanupoperations. Researchersareworking

toincreasethespeedofthereactionandtodeterminethebestmethodfor

incorporatingthematerialinthefabricwhilemaximizingitscatalyticability.


23/88

12

NSETcurrentlycharterstwoWorkingGroupstoaidinitscoordinatingefforts[13].Theseare:

TheNanotechnologyEnvironmental&HealthImplicationsWorkingGroup(NEHI)to

provideaforumforfocusedinteragencycollaborationsonEHSandleadershipin

establishingthenationalnanotechnologyEHSresearchagenda,inadditionto

communicatingEHSinformationamongstFederalagenciesandtothepublic.NEHI

participantsincludethoseagenciesthatareinvolvedinpolicy,education,andscienceaspectsofpublic,workplace,andenvironmentalsafety.

TheNanomanufacturing,IndustryLiaison&InnovationWorkingGroup(NILI)to

promotecollaborationandpartnershipsacrossthebroadestpossibleFederal,State,and

privatesectorstobuildU.S.leadershipintheproductsandservicesthatareandwillbe

enabledbynanotechnology.

InadditiontoitsWorkingGroups,NSEThasappointedfourCoordinatorsfromacrossits

memberstostrengtheninteragencycoordinationontopicsdeemedcriticaltothesuccessof

nanotechnologydevelopment. CurrentCoordinatorsincludetheCoordinatorforStandards

Development;the

Coordinator

for

Environmental,

Health,

and

Safety

Research;

the

Coordinator

forGlobalIssues;andtheCoordinatorforEducation,Engagement,andSocietalDimensions.

CentralsupporttoNSETaswellastothebroaderFederalinvestmentinnanotechnologyis

providedbytheNationalNanotechnologyCoordinationOffice(NNCO). NNCOwasauthorized

in2003[3]. Itassistsinpublicoutreach,servesasapointofinformationexchange,and

promotesaccesstofoundationalnanotechnologyscienceanditsemergingapplications.The

OfficecoordinatesmuchofthepublicfaceoftheInitiative,includingstagingmeetingsand

workshopsoftheNSETanditsworkinggroups. NNCOcoordinatespreparationandpublication

ofNNIinteragencyplanning,budget,andassessmentdocuments,andmaintainstheNNI

website,http://www.nano.gov. NNCOisfundedbyNSETSubcommitteeagencycontributions

[14].

Figure2shows

the

organization

chart

for

the

various

participants

in

the

NNI.


24/88

13

Figure2. IntheFederalstructurecommittedtothevisionofNNI,theSubcommitteeon

NanoscaleScience,

Engineering,

and

Technology

coordinates

many

interagency

activities

[15].

FundingtheNationalNanotechnologyInitiative

Federalactivitiesinnanotechnologyrangefrominvestmentsinfoundationalresearchtoefforts

aimedatenablingcommercialapplicationsofnanotechnologyenabledproductsandsolutions.

Primaryfundingstreamssupportindividualandteambasedresearch,avarietyof

multidisciplinarycenters,andsignificantuserfacilitiesaspartoftheinfrastructurenecessaryto

supporttheseresearchefforts. Activitiesrelatingtoenvironmental,health,andsafety

concerns,aswellasthedevelopmentofpolicyframeworkstounderstand,educate,andguide

the

ethical,

social,

and

legal

implications

of

emerging

nanotechnology,

are

also

funded

by

Federalagencies.

Federalbudgetsfornanotechnologyaredevelopedbyindividualparticipatingagenciesand,as

such,fitwithintheoverallprioritizationandapprovalprocessofthoseorganizations,subjectto

reviewandapprovalbytheOfficeofManagementandBudget. TheNNCOaggregates

individualagencybudgetrequestsfornanotechnologyandCongressionalappropriationsintoa


25/88

14

comprehensiveannualreporttoprovidevisibilitytotheoverallnationalinvestmentin

nanotechnology.ThemostrecentreportistheFY2015NNIBudgetSupplement[16].

Spendingbyagencyhasbeenreasonablystableoverthelastfouryears,withthenotable

exceptionofa60%dropinDepartmentofDefense(DOD)spendingbetween2012and2013,as

sequestrationandbudgetreconciliationdecisionsweremade.Historicalnanotechnology

fundingbyagencyisdetailedinTable1,andtheFY2015requestforfundingbyProgramComponentAreasisinTable2[17]. AsshowninTable1,fundingpeakedfornanotechnologyin

2010atapproximately$1.9billion,droppedslightlytoapproximately$1.85billioninboth

FY2011and2012,thendroppednearly17%tothe2013level. AmericanRecoveryand

ReinvestmentActfundinginjectedover$500millioninadditionalfundsintotheNNI,primarily

attheDepartmentofEnergy(DOE),theNationalInstitutesofHealth(NIH),NationalInstituteof

StandardsandTechnology(NIST),andtheNationalScienceFoundation(NSF). Nanotechnology

fundinglevelsfor2014are$1.537billion;essentiallyflatto2013s

$1.550billiononanoninflationadjustedbasis. Ashasbeentypicalofrecentyears,five

agenciesaccountforover93%ofnanotechnologyinvestmentsintheFY2015budgetproposal:

NIH(28.7%),

NSF

(26.8%),

DOE

(22.3%),

DOD

(9.4%),

and

NIST

(5.4%).

OverviewoftheRemainderofthisReport

EvaluatingthestructureoftheFederalinvestmentsinnanotechnology,theprogressonthefour

goalsoftheNNI,thestateofinternationalcollaborationandcompetition,andengagingin

numerousconversationswithmembersofthenanotechnologycommunitybroughtupmany

ideasforPCASTtoconsiderabouttheFederalGovernmentsactivitiesinnanotechnology. The

primaryconclusionofourreviewisthattheUnitedStateswillbeabletoclaimtherewardsthat

comefrominvestinginnanotechnologyresearchandanoverarchingFederalinitiativeonlyif

theFederalinteragencyprocess,theOfficeofScienceandTechnologyPolicy,andtheagencies

themselvestransition

their

nanotechnology

programmatic

efforts

beyond

primarily

just

supportingandcoordinatingbasicandappliedresearchtowardbuildingframeworksfor

translatingthetechnologiesintocommercialproducts. ToensurethatNNI2.0isasuccessful

andvibrantinitiative,werecommendthecoordinateduseoftheGrandChallengeframework

asanoverarchingprogrammanagementstructure,ashasbeeneffectivelypracticedinother

partsoftheU.S.Governmentresearchanddevelopmentsystem. GrandChallengesaremeant

toalignstakeholdersacrossthenanotechnologycommunitytowarddeliveringtransformative

technologies.ThisGrandChallengeframeworkintheU.S.Governmentmustbesupportedby

thedevelopmentofanadvisorycommitteetotheNSETandthedevelopmentofmetricsto

monitortheprogressofFederalnanotechnologyinvestment. Webelievethatbyfocusingon

GrandChallenges,

continuing

to

support

vital

discovery

and

exploratory

research,

and

continuinganactivecollaborativeandcompetitiveinternationalengagement,NNI2.0will

deliveronthepromisesnowemergingfromthehighlysuccessfulfirstphaseoftheNational

NanotechnologyInitiative.WenotespecificallythatthefocusoncommercializationinNNI2.0

shouldnotprecludeitfrominvestinginandcoordinatingdiscoveryandexploratoryresearch,

whichisthebedrockonwhichcommercialtechnologybuilds.


26/88

15

The2014NNIreviewreportisorganizedintochaptersaroundcategoriesofrecommendations.

Thechaptersfollowingthisintroductionareorganizedasfollows:

1. NNIGoalsandProgressthestatusofthescience

2. GrandChallengesforNNI2.0themechanismbehindNNI2.0

3. ProgramManagement

the

organizational

structure

of

the

Federal

component

of

NNI

2.0

4. CommercializationthepathtocommercializationneededunderNNI2.0

5. ResearchEnterprisethediscoveryandexplorationbreakthroughsneededunderNNI

2.0

6. Environmental,Health,andSafetyIssuesthedevelopmentofanEHSstrategyunder

NNI2.0

Wealsoincludeanappendixandofferanexampleofhowtomeasurethecontinuumofthe

research/translation

process

and

subsequent

outcomes.

Eachofthechaptersrelatebacktothecorepremiseofthisreport,thataGrandChallenge

frameworkwillprovidethenecessarymechanismtomotivatestrongercrossagencypartnering

andthebuildingofanecosystembringingtogethergovernment,industry,andacademia.Inthe

end,ifthelinesbetweennanotechnologyandothertechnologiesareblurredinthedriveto

fulfilltheseGrandChallengesandnanotechnologybecomespartofthegreaterresearchand

translationportfolio,NNI2.0shouldbeviewedasagreatsuccess.


27/88

16

Table1. NNIinvestmentsfromFY2001toFY2015(request). DataprovidedbyNNCO.


28/88

17

Table2. FY2015requestforfundingbyProgramComponentAreafromtheNationalNanotechnology

InitiativeSupplementtothePresidents2015Budget.


29/88

18

Chapter2.NNIGoalsandProgress

Fromtheoutset,theNNIwasenvisionedwithbroadandfarreachingambitions,withthe

ultimateoutcomeofsocietalbenefits[10].Fourgoalsweredefined:

(1)Toadvanceworldclassnanotechnologyresearchanddevelopment;

(2)Tofosterthetransferofnewtechnologiesintoproductsforcommercialandpublic

benefit;

(3) Todevelopandsustaineducationalresources,askilled

workforce,andthesupporting

infrastructureandtoolstoadvancenanotechnology;and

(4) Tosupport

the

responsible

development

of

nanotechnology.

OvertwelveyearshavepassedsincetheseNNIambitionswereestablished,anditisfairto

assesshowwelltheUnitedStateshasprogressedtowardstheseaims. Whileperfectmetricsto

reportprogresstowardsthesegoalsdonotexist,thisreviewreiteratestheneedtodevelop

measurementsthatcanbeappliedtospecificFederalprogramelementswhiledrawingon

availablemeasurementstojudgeoverallNNIprogress[18]. Abriefassessmentisperformed

herewiththegoalofcalibratingthemagnitudeofachievement.

WithrespecttoGoal1(toadvanceworldclassnanotechnologyresearchanddevelopment),

Figure3reportsonnanotechnologyresearchanddevelopmentthroughthenumberofpapers

andpatentspublishedbyauthorsintheUnitedStatesandotherleadingnanotechnology

regions[19].

The

dramatic

increase

in

published

papers

demonstrates

the

United

States

commitmenttonanoscienceresearchoverthelifeoftheNNI. Whiletherateofpatents

publishedinthreeormorecountrieshasdecreasedoverthepastdecade,thecumulative

growthofnanosciencepatentsfollowsanScurvetechnologydevelopmentmodelsuggesting

thatthefieldofnanotechnologyproductdevelopmentisgrowingtoward,buthasnotyet

reached,maturity[20]. Together,thesedatademonstratetheclearcreationofnanoscience

knowledgeandtheUnitedStatespositionasagloballeaderinthefield.


30/88

19

Figure3.NNIGoal1.NumberofpublishedpapersandpatentsfortheUnitedStatesandother

internationalleaders. Themetricofpatentspublishedinthreeormorecountriesisamore

representativeindicatorofsignificancecomparedwithpatentspublishedinjustoneortwo

countries[19][21].


31/88

20

WithrespecttoGoal2(tofosterthetransferofnewtechnologiesintoproductsfor

commercialandpublicbenefit),Figure4reportsonthecommercializationof

nanotechnologiesusingthemeasured(20032009)andpredicted(20102015)nanoenabled

productsrevenue intheUnited

Statesandotherglobalregions[22].Althoughsomemarket

revenuehasbeendemonstrated,thesedatasuggestthatthefullmarketpotentialof

nanosciencehas

yet

to

be

achieved.

The

magnitude

of

the

revenue

predicted

up

to

$20billionintheUnitedStatesin2015isconsiderable,demonstrating that nanotechnology

has the potential to contribute significantly toour economy. Again,theUnitedStatesisa

leaderinthefield,withEuropeandtheAsiaPacificregionasclosecompetitors.

Figure4.NNIGoal2.NanoenabledproductsintheUnitedStatesandotherregionsareincreas

ingtheirmarketrevenue,withsignificantlyincreasinggrowthratespredictedforthecoming

years.Data

from

Lux

Research.

WithrespecttoGoal3(todevelopandsustaineducationalresources,askilledworkforce,and

thesupportinginfrastructureandtoolstoadvancenanotechnology),Figure5reportsonthe

developmentofthenanotechnologyworkforceand

infrastructure. Thenumberofexisting

Federallyfundednanosciencecenters,typicallylargescaleendeavorswherefacultyand

studentsfrommanydepartmentsandevendifferentinstitutionsshareideasandcollaborate,

canbeusedtoindicateeducationalandworkforcedevelopmentactivities.Thenumberof

centersincreasesovertheyearsandstartstoplateauin2010.Thereporteddatatakeinto

accountboththecreationofnewcenters,aswellasthesunsettingofcentersforwhich

fundinghas

expired[23].

The

number

of

users

at

Federally

funded

nanoscience

research

facilities,whichoftenhouseadvanced equipment for nanoscale researchfor example,

transmission and scanning electron

microscopes,variousspectroscopicinstruments,and

electronandionbeamsforlithographycanbeusedtoindicatethecreationofinfrastructure

andtools,aswellaseducation,training,andworkforcedevelopment.TheDepartmentof

EnergyNanoscaleScienceResearchCenters(DOENSRCs)haveincreasinglyprovided

United StatesEurope

Asian Pacific

rest of world

Nano-enabled

prod

ucts

revenue

($BU

S

)

projected

2004 2006 2008 2010 2012 2014Year

20

15

10

5

0


32/88

21

equipment, training,andaccess tousers.DOEreportsuptoroughly400userspercenterin

2012,anaverageofoneuserperdayforagivencenter.

Figure5. NNIGoal3.InfrastructureandworkforcetraininghasdevelopedintheUnitedStates

over12years,withthegrowthofFederallyfundednanosciencecentersanduserfacilities.Data

gatheredfromNNIandFederalagencywebsites.

Figure6attemptstoassessGoal4regardingtheresponsibledevelopmentofnanotechnology.

FederalinvestmentsinnanoscienceresearchrelatedtoEnvironmental,Health,andSafety(EHS)

andEducational,Ethical,Legal,andSocietalIssues(EdELSI)areplottedinbothabsolutedollars

andasapercentoftotalNNIfunding. TheseFederalinvestmentscertainlydemonstrate

support.

The

responsible

development

of

nanotechnology

has

not

been

fully

achieved

consider,forexample,thelackofclearregulationsandthemanyunknownsregardingEHS

effectsemergingatthenanoscale. Whilesomeprogresshasbeenmadetowardsthefive

researchcategoriesidentifiedin2008asNNIEHSprioritystrategies,thesheerrangeof

chemicalcompositions,sizes,andshapesencompassedinthecategorynanomaterials

ensuresaconsiderabletaskinaccuratelycharacterizingeachmaterialandultimately

developingeffectiveEHSpolicies[24]. Muchworkremainstobedoneinthisarea.


33/88

22

Figure6.

NNI

Goal

4.

U.S.

EHS

and

EdELSI

investments

in

dollars

(left

ordinate

and

traces)

and

as

apercentageoftotalNNIfunding(rightordinateandbars).FY2009andFY2010datainclude

ARRAfunding;FY2013andFY2014datareportestimatedandrequestedamounts,respectively.

Datagatheredfromhttp://nanodashboard.nano.gov.

ThedatapresentedhereprovideoneviewofNNIaccomplishments,andtheydemonstratethat

clearprogresshasbeenmade. Butmuchworkremainsinordertoaccomplishthegoalsofthe

NNI,whichwasconceivedasalongtermendeavor[25]. Thedevelopmentofmetricsthat

morefullycaptureNNIachievements,coupledwiththecollectionofdataforthesemetrics,will

provideanincreasinglyaccurateassessmentoftheNNI.

InternationalCollaborationandCompetition

TheFederalGovernmentsnanotechnologyresearch,commercialization,regulation,and

ultimatelysocietalbenefitunfoldinaglobalcontext. A2014evaluationofnanotechnology

publicationsfor20112013showsthatChinaandtheEuropeanUnionhaveledtheUnited

Statesinnumbersofnanotechnologypublications,withChinapublishingthemostpapersin

nanotechnologyforthefirsttimein2013(Figure7). Increasesinspendingoverseashavemade

nanotechnologycommercializationandparticularlynanotechnologymanufacturinganational

priorityinmanycountries. Over60countrieshaveinvestedinnanotechnologyatthenational

level[19].

As

of

2012,

the

top

four

individual

countries

with

national

nanotechnology

investmentsweretheUnitedStates(Federalandstates$2.1billion),Japan($1.3billion),Russia

($974million),andGermany($617million). Creatingandmaintainingaseparate,coordinated

nanotechnologyeffortatanationalscale,asintheUnitedStatesandGermany,isanapproach

somecountries,suchasJapanandRussia,havemovedawayfromasinitiativesexpireand

nanotechnologyapplicationsbecomeintegraltomultiplefacetsofbroaderscienceand

technologyfunding. In2011,Japancutnanotechnologyasafocusareaandintegrateditwith


34/88

23

thelargerfundingplanwhilecontinuingtoincreasefederalnanotechnologysupportfrom$918

millionin2010to$1.3billionin2012.

Figure7. From2011to2013,theUnitedStates,EuropeanUnion,andChinaproducedthe

largestnumbersofnanotechnologypaperspublishedeachyear,withChinaleading[26][27].

AnotherimportantdirectionofNNI2.0leadershipwillbetohelpdeterminewheretheUnited

Statesbest

competes

with

other

countries

and

where

it

should

collaborate.

The

NNI

Strategic

PlanreleasedbytheOfficeofScienceandTechnologyPolicy(OSTP)inFebruary2014remarks

thattheUnitedStatesshouldbeactivelyengagedininternationalactivitiesintegraltothe

developmentandresponsiblecommercializationofnanotechnologyenabledproductsand

processes.[28] Thisincludes(i)participatingandleadingthedevelopmentofinternational

nanotechnologystandards;(ii)engaginginbilateralandmultilateralcollaborationsand

cooperativeactivitiestofurthernanotechnologyrelatedcommercialization,innovation,and

trade;and(iii)supportingforumsinwhichU.S.andinternationalstakeholderscanexchange

technicalinformationanddiscussmarketneeds,intellectualpropertyrights,andotherissues

relevanttoenablingcommercialization.

Thecall

for

collaboration

supports

the

development

of

revolutionary

new

technology

that

has

farreachingimplicationsforinnovation,economicdevelopment,andtheadvanceof

sustainablescientificenterprises. Accordingly,OSTPhasbilateralscienceagreementswith

Russia,China,India,Brazil,Japan,andSouthKorea. TheUnitesStatesinternational

participationinnanotechnologyactivitiesbenefitsallsidesinknowledgeexchange,increased

trade,andeconomicgrowth,anditalsocatalyzesU.S.leadershipinagrowingglobal

nanotechnologyenterprisethatisexpectedtoattainaglobalvalueof$4.4trillionby2018[22].

0

5,000

10,000

15,000

20,000

25,000

30,000

35,000

40,000

2011 2012 2013

Tota

lPublication

Count

Outputofnanotechnologypapers

20112013

USA

EU28

China

Germany

Japan

SouthKorea


35/88

24

TheDOENanoscaleScienceandEngineeringCenters,forexample,acceptproposalstoconduct

fundamentalresearchintheCentersregardlessoftheproposalscountryoforigin. Thewinning

proposalsarethosewiththehighestscientificmerit,bringingthehighestqualityresearchto

theUnitedStates.

TheUnitedStatesalsobenefitsfrominternationalcollaborationbyattractingthebrightestand

besteducatedgraduatesfromoutsidethecountrytoworkinU.S.universitiesandindustry. IntheUnitedStates,theyinfusetheiradvancedknowledge,skills,andfreshideasintotheU.S

nanotechnologyenterprise. BecauseofthebreadthanddepthoftheU.S.researchenterprise

andtranslationofintellectualpropertyintonewcommercialopportunities,international

collaborationhascontributedtoexpansionoftheglobalnanotechnologyenterpriseandtrade

opportunitiesthathasbenefitedtheU.S.economy.

Whilethedevelopmentofelectronics,energygeneration,batteries,supramolecularchemistry,

synthesisthroughselfassembly,biotechnology,andnanomedicinearetransparentworldwide

academicandindustrialenterprises,theadventofmolecularnanofabricationcoulddrastically

changethebalanceofleadershipinnanotechnology. Itwillrequireextraordinarilycomplicated

andrevolutionaryadvancesinknowledge,buttheabilitytoproducenanoinspiredmolecular

manufacturingcouldspawnatechnicalrevolution. Aswithalldualusetechnologies,the

impactofmalicioususemustbeconsidered.

HowshouldtheUnitedStatesdealwiththesecontrastingscenariosinevaluatingits

internationalcollaborationsandagreements? Stayingcompetitiveandactivelyengagedinthe

internationalnanotechnologyenterprisewouldappeartobethebestoption,notonlyfroma

globaleconomyperspective,butalsohavingaccesstotheevergrowingnanoscienceand

nanotechnologyknowledgebaseandtoolbox. ThiswillallowtheUnitedStatestodevelopits

owncompetitivenanomanufacturingenterpriseandaccompanyingawarenessofthe

developmentofasymmetricalcapabilitiesthatmayrequirefurtherscrutiny.

NextGenerationNanotechnologyResearch

BalancingthefocusonGrandChallengesandwiththeawarenessofcollaborativeand

competitiveinternationalengagement,NNI2.0willneedtocontinuetoinvestinand

coordinatediscoveryandexploratoryresearchinnanotechnology. Researchanddevelopment

innanotechnologyduringthissecondphaseofinvestmentwillseektobringreproducible

atomicscalecontroltonanoscalebuildingblocks,buildactivenanostructuresinsteadofpassive

ones,andintegratenanoscaleelementsintocomplexassemblieswithemergentand,

ultimately,predictableproperties. Nanotechnologieswiththesepropertiescouldtransform

energy,advanced

materials,

electronics,

medicine,

and

more.

The

technical

challenges

in

achievingcontrol,function,andintegrationofnanoscalebuildingblocks,however,willlikelybe

moredifficultthanthecreationofthenanoscaleunitsthemselves.Drawingananalogyto

electronics,thediscoveryofthetransistorwasonlythefirststepinalongjourneytolaptops,

smartphones,andtheinternet.Thedevelopmentofastableworkforceandinfrastructureisa

responsibilitythatNNI2.0shouldprioritizetobefulfilledbytheagenciesandtheprivate


36/88

25

sector. ManyofcompetitorstotheUnitedStateshaveestablishedlongtermstrategicgoals

thatrangeupto2025.


37/88

26

Chapter3.GrandChallengesforNNI2.0

Additionalleadership

and

management

tools

are

needed

to

bring

about

the

transition

to

NNI

2.0advocatedbyPCAST.WerecommendthattheconstructofGrandChallengesbe

instantiatedacrosstheNNIecosystemandinthemanagementofFederalactivitiestofocusNNI

participantsonsignificantproblemsofmajornationalinterestthat,bycommercializingthe

associatedscienceandtechnology,willbenefitsociety.OrganizingactivitiesaroundGrand

Challengescanbeamajorcommunityrallyingpointandprovideadditionaltoolstomanageand

measuretheeffectivenessofNNI2.0.

ThischapterprovidesthedetailsbehindthisproposedGrandChallengesbasedmodel.To

groundthediscussion,wefirstlookatonecurrentprogrammaticelementofNSETsactivities,

theNanotechnologySignatureInitiatives(NSIs).Wereviewprogressandeffectivenessofthe

implementationof

NSIs

and

then

describe

in

detail

the

rationale

for

and

characteristics

of

GrandChallenges,howtheydifferfromtheNSIs,andillustrativeexamplesthatcouldbe

applicableforNNI2.0GrandChallenges.Specificrecommendationsarethenmadeto

instantiatetheGrandChallengesconstruct,withparticularfocuspaidtohowtoengagetheNNI

communityinidentifyingandselectingGrandChallenges.

NanotechnologySignatureInitiatives

Beginningwithits2010strategicplanningprocess,theNSETcreatedfocalareasforcross

agencycollaborationandcoordination,culminatinginthecreationoffiveNanotechnologySig

natureInitiatives[29]. TheNSIsdefinethesharedvisionofOSTPandparticipatingFederal

agenciesfor

advancing

nanoscale

science

and

technology

from

research

to

commercialization

throughenhancedinteragencycoordinationandfocusedinvestment. NSIsareselectedas

broadareasthatexhibitparticularpromiseandsignificantopportunityandthatinvolvethreeor

moreFederalagencies. Fivetopicshavebeenchosenasdetailedinthe2014NNIStrategicPlan

[28]. Eachisdescribedinawhitepaperthatincludesfourelements:nationalneed,thrustare

asorgoals,expectedoutcomes,andagencyrolesandcontributions[30]. ThefivecurrentNSIs

are:

NanotechnologyforSolarEnergyCollectionandConversion:ContributingtoEnergy

SolutionsfortheFuture,

SustainableNanomanufacturing:

Creating

the

Industries

of

the

Future,

Nanoelectronicsfor2020andBeyond,

NanotechnologyKnowledgeInfrastructure:EnablingNationalLeadershipinSustainable

Design,and

NanotechnologyforSensorsandSensorsforNanotechnology:ImprovingandProtecting

Health,Safety,andtheEnvironment.


38/88

27

WithinitsmandatetoreviewtheNNItriennially,theNationalResearchCouncilCommitteein

2013assessedtheframework,planning,andmanagementoftheNSIs. TheCommittee

specificallyexaminedthepractices,agencycollaborations,andprogressofthe2011NSIsand

analyzedallfiveNSIwhitepapersfortheinclusionofsixcharacteristicsofaneffectivestrategy

identifiedby

the

Government

Accountability

Organization

(GAO).

Table

3shows

the

historical,

currentandrequestedfundingfortheNSIs. TheydeterminedthatonlythefirsttwoGAO

characteristicspurpose,scope,andmethods;andproblemdefinitionandriskassessment

areaddressedadequatelybythewhitepapers[31].

Table3.TotalfundingforNanotechnologySignatureInitiatives20112015(dollars,roundedtothe

nearestmillion)[16][28].

2011

ACTUAL

2012

ACTUAL

2013

ACTUAL

2014

EST.

2015

PROPOSED

Nanomanufacturing

61

56

35

38

36

SolarEnergy 88 88 74 67 69

Nanoelectronics 97 92 87 77 72

NanoKnowledge

Infrastructure 2 8 32 26

Sensors 55 77 84 88

TheCommitteeobservedthattheNSIsareobviousvehiclesforcollaborationwiththeprivate

sectorand

highlighted

the

industry

led

Nanoelectronics

Research

Initiative

as

amodel

partnership. TheyalsorecommendedthateachNSIteamimplementformalinteragencyplans

andexpandthewhitepaperstoincludeastrategicplanincorporatingtheelementsdescribed

bytheCommittee.Further,theCommitteeputforwardthesuccessoftheNSIsasameasureof

successfortheNNIandsuggestedthattheNSIswouldbenefitfromroadmappingactivities,

effortstotieotherNNIactivitytoNSIgoals,andimprovedcommunicationwithresearchers

whoseprojectscontributetotheNSIs.

CharacteristicsofaGrandChallenge

WhileanNSIisshapedbythecoordinationofthreeormoreFederalagenciesaroundatopic,a

GrandChallenge

is

alarge,

outward

facing

effort

with

aspecific,

measurable

goal.

A

Grand

Challengehasawelldefinedtechnicalgoalwithastorytellingcasethatinspiresdifferent

sectorstoinvestinachievingthegoal. MostGrandChallengesaddressanissueofsignificant

societalimpact. AnexampleisthegoaloftheDOESunShotInitiative: reducethetotalcosts

ofphotovoltaicsolarenergysystemsbyabout75%sothattheyarecostcompetitiveatlarge

scalewithotherformsofenergywithoutsubsidiesbeforetheendofthedecade.[32] A

nanotechnologyGrandChallengeshouldbeaudaciousbutachievableandstimulatethe


39/88

28

networkofactivitiesthatwilldrivescientificideastocommercialnanotechnologyandcatalyze

newdiscoveryfortechnologiesofthefuture.

GrandChallengesexhibitotherimportantcharacteristics:

Theyhaveameasurableendpoint. Itisclearwhentheyhavebeenreached. Assuch,

theyalso

have

afinite,

albeit

relatively

long

(probably

adecade),

lifetime.

Theyrequireadvancesinfundamentalscientificknowledge,tools,andinfrastructurefor

successfulcompletion. Inshort,whenaGrandChallengeisbegun,alltheresources

neededtocompleteitarenotknown. Assuch,itisnecessarytorecognizeand

articulatetherisksoftheundertakingandtomitigatethoseriskstothemaximum

extentpossible.

TheremustbeclearmilestonesenroutetothefinalGrandChallengegoalthatareboth

measurableandvaluableintheirownright. Itisonlythroughmonitoringthese

deliverablesthatitispossibletotellwhetherornottheeffortisontracktoachieveits

ultimate

objective.

Theyareintegrating. Theirsolutionsrequirebringingtogethermultipledisciplinesin

manycases,disciplinesthatdonottypicallyinteract. Inaddition,GrandChallengesspan

fromfundamentalsciencetoengineeringdemonstrationand,uponcompletion,to

commercialization.

Theyaretoobigtobeundertakenbyasingle,orevenafew,institutions. Infact,one

wayofmitigatingtheriskinherentintakingonaneffortofthismagnitudemaybeto

pursuemorethanasingleapproachtotheproblem,thusinvolvingevenmore

institutionsthanwouldbeengagedinasingleapproach.

IdentifyingandImplementingGrandChallenges

NSET,the

NSTC

Committee

on

Technology,

and

OSTP

have

key

roles

in

creating

and

implementingtheprocesstoidentifyGrandChallenges. Thisprocessneedstoprovidecontext

fortheconversationsanddeliberationsthatleaduptoGrandChallengeselection. SinceGrand

Challengeswillhavedifferentlifetimes,dependingontheirscaleandcomplexity,aswellasthe

resourcesavailabletoeach,GrandChallengeselectionandreviewwillbeaprocessthatoccurs

periodically,probablyannually.

Recommendation1. EstablishingGrandChallengesisaneffectivemeansfor

focusingandamplifyingtheimpactofFederalnanotechnologyactivities. NSETand

OSTPshouldidentifyalistofcandidatenanotechnologyGrandChallengesthat

addresssignificantsocietalneeds. AtleastoneGrandChallengeshouldcontain

programelementsaimedatmanufacturingchallengesspecifictothatfocusarea.


40/88

29

EssentialelementstoidentifyandimplementGrandChallengesinclude:

Theinvestmentofthepublicandindustrial,academic,nationallaboratory,investor,

financial,andcommunicationsectors.

AstrongleaderwhoisamemberofNSETandwhocansetavisionforaChallengeand

convenestakeholderstowarditsdevelopment.

IdentificationofcriticalchallengesinthemissionspaceofagenciesparticipatinginNNI

thathaveasolutionrequiringsignificantadvancesinnanoscienceandtechnology.

Understanding

of

the

global

landscape

in

the

problem

area.

What

countries

are

working

inthearea? Howfaralongarethey? Whataretheprospectsoftheirsolvingthe

problemfirst? Iftheyareahead,isitlikelythatwecouldpartnerwiththem,shouldthat

bedesirable?Iftheyareahead,isitofcriticalnationalimportancethatwecatchupwith

and/orsurpassthem?

EngagebroadswathsofstakeholdersinthedialogueleadinguptoGrandChallenge

selection. Thisincludesresearchers,researchmanagers/leaders,andagency

representatives.

Afterallowingforsignificantcommunityengagement,afairlysmallsetofsubjectmatter

expertsandsenioradvisorsshouldselecttheGrandChallenges.

WestronglysupporttheparticipationoftheagenciesindevelopingGrandChallenges,including

aregular,structuredprocessforcreatingandsupportingnewGrandChallengesonanannual

basisandreviewingtheprogressonexistingChallenges. Onecomponentshouldbe

brainstormingworkshopswhereindustryrepresentatives,topjuniorandseniornanoscientists

andnanotechnologists,venturecapitalfirms,andFederalagenciesgettogetherwithother

relevantgroupsto(a)defineaGrandChallenge,(b)identifytheroadblockstoprogress,and(c)

proposewaystoaddressthesechallenges.

TheFederalGovernmenthasseveralpossiblestrategiesthatcouldhelpthenanotechnology

communityreachtheChallenges. TheNanotechnologyFacultyFellowsprogramdiscussedin

Chapter6on

Research

Enterprise

could

provide

anatural

leadership

base

for

the

conduct

of

suchmeetingsandevaluationoftheideasdeveloped. Federalagenciescanofferinnovation

prizesthatrewardthefirstpersonorgroupthatachievesonemilestoneofaGrandChallenge,

andtheycanoffermatchingfundstocompetitiveapplicationsforpublicprivatepartnerships.

Recommendation2. NSETandOSTPshouldcreateandexecuteaprocesstoengage

research,development,andindustrialstakeholdersintheidentificationandselection

ofGrandChallengesonanongoingbasis.


41/88

30

IllustrativeGrandChallenges

ThankstothefoundationlaidbytheNNI,theUnitedStatesisinapositiontomovetoanew

levelofintegrationinnanoscalescienceandtechnologyinwhichsocietalchallengesrequiring

nanoscalescienceandtechnologysolutionscanbeaddressedbybringingtobearadisciplined,

coordinatedeffortspanningfromfundamentalscientificdiscoverytoengineering

demonstrationandcommercialization. Whilethespecificchallengestobeaddressedinthe

nextgenerationofNNIshouldbearticulatedbyaprocesstobedevelopedandimplementedby

agencies,NSET,andOSTP,afewexamplesofpossibleGrandChallengesmayhelptoillustrate

thepointsofthischapter. TheexampleGrandChallengesinBoxes36 areonlyillustrative:

actualGrand

Challenges

will

need

to

be

much

more

clearly

articulated

and

focused,

will

need

tobedeterminedonlyafterextensivecommunityengagement,andwillneedhavetheirscope

andresourcescarefullyaligned.

Recommendation3. Federalagencies,withsupportfromOSTP,shouldofferimple

mentationtoolslikeinnovationprizesandpublicprivatepartnershipstoencourage

researcherstoreachcriticalmilestonesonthepathtocompletingGrandChallenges.

Box3.IllustrativeNanotechnologyGrandChallenge#1

NanoenabledDesalinationofSeawatertoSolvetheEmergingWaterCrisis.

TheOrganisationforEconomicCooperationandDevelopmentandtheUnited

Nationshavereportedthat350millionpeoplein25differentcountriesarecurrently

sufferingfromwatershortage,andthiswillgrowto4billionpeople(twothirdsof

theworld

population)

in

52

countries

by

2025.

The

lack

of

clean

water

exacerbates

healthandenergychallenges,makingtheneedtoproducecleanwateroneofthe

mostpressingchallengesofthe21stcentury.Inmostoftheworld,desalinationof

seawateristheonlypossiblesolution,buttheprocessofdesalinationremainstoo

energyintensivetobepractical.

Differentapproacheshavebeenfollowedintryingtousenanotechnologyfor

desalination,includingtheincorporationofnanoparticlesintoexistingconventional

thinfilmcompositereverseosmosis(RO)membranes. Analternativeapproachisto

usenanotechnologytocreatenovelnanostructuressuchasgrapheneandcarbon

nanotubes,whichcouldbeusedasareplacementROmembranewithahighly

organizedultrathin

structure.

These

new

membranes

offer

very

high

selectivity

in

separatingoutthesaltastheporemorphologycanbepreciselycontrolledand

energyusecanbeminimized.

Thegrandchallengeisthereductioninthespecificenergyconsumptionofseawater

desalinationtobelow1.5kWh/m3.


42/88

31


ReducingGreenhouseEmissionswithNanoenabledSolidStateRefrigeration.

Primarypower

generation

to

produce

the

energy

required

to

run

heating,

ventilating,

andairconditioning(HVAC)systemsinthecommercialandresidentialbuilt

environmentisresponsibleforasignificantportionofU.S.greenhousegasemissions.

Solidstaterefrigerationholdsthepromiseofcurtailinggreenhousegases,reducing

systemlevelnoise,andoptimizingunitsize,weight,andpowerbymoreefficiently

coolingcommercialsystems.Thermoelectrics,thermoelastics,electrocalorics,

thermionic,andmagnetocaloricsarethesolidstatematerialsthatunderliethese

systems. Theengineeringchallengeistoimprovethematerialsperformanceby

reducingtheenergylostwhenenergyisconvertedforcoolinginthematerial(caloric

cooling)andbydecreasingenergylostattheinterfacesbetweenthematerialandits

deviceand

between

asingle

device

and

the

whole

system

(parasitic

loss).

Those

lossesaredefinedinaCoefficientofPerformance(COP).Tailoringmaterialsatthe

nanoscalecouldbethebasisofsignificantlysuperiorstructuresthathavehigher

caloricconversionandreducedparasiticlosses.

TheGrandChallengeistodevelopsolidstatecoolingsystemswithCOP>5(25%

higherthancurrentHVACtechnologies)andpowerdensity>20kW/m3(twotimes

greaterthancurrentHVACtechnology). Thiswillleadtocommercialsystemsthat

havethepotentialtoreducegreenhousegasemissionsfromclimatecontrolin

buildingsbyasmuchasa20%,resultinginanannualreductionofnearly200million

metrictonsofcarbonequivalentemissions,equivalenttoremovingapproximately

40million

passenger

cars

from

U.S.

highways.


43/88

32


CreatingaNewForefrontofManufacturingthroughNano3DPrinting. Three

dimensional(3D)

printing

is

at

the

forefront

of

the

manufacturing

revolution

and

has

thepotentialtotransformU.S.manufacturingandprototypingcapabilitiesinfieldsas

diverseaspersonalizedmedicalcareandvehicledesign. Theresolution,throughput,

andmaterialsflexibilityof3Dprinting,however,islimitedatpresent. Overthenext

10years,thescientificcommunityshoulddevelop3Dprintingtechnologywiththe

materialsflexibilityofchemicalsynthesisandtheresolutionandthroughputofhigh

costsemiconductornanofabricationtoolsinordertocreateondemandgoodswith

uniqueanddesirablefunctions.

Fabricationtechnologiessuchasinjectionmoldinghavetheabilitytomass

manufacturegoodswithresolutionintherangeofhundredsofmicronsdownto

hundredsof

nanometers;

this

technique

is

often

cost

prohibitive,

however,

for

rapid

prototypingandindividualizedgoods. 3Dprintinghasshowngreatpotentialin

overcomingtheselimitations,andwithinthenextdecade,3Dprintingcould

manufacturelargescaleprototypeswithprecisecontroloverchemicalcomposition,

withresolutionmatchingthatofmodernfabricationtechniques,andataspeedand

costthatwouldfacilitatewidespreadadoptionandhouseholduse. Withthese

designaspectsperfected,3Dprintingwillbeabletosurpasstraditionalfabrication

techniquesinthefidelityofmanufacturingtodesignandspeedupthe

manufacturingprocess. Potentialbenchmarkstowardthisgoalmaybethe

productionofpersonalizedmedicaldevices(e.g.,heartstents,replacementjoints)at

competitivepricestocurrenttechniques.


44/88

33


DevelopmentofaNanoscaleTherapeuticforatLeastOneMajorCancerTypeby

2030. Inspiteofimpressiveadvancesinourunderstandingoffundamentalcancer

biologyand

the

development

of

anew

generation

of

targeted

cancer

therapies,

the

achievementoflongtermsurvivalofmostcommoncancersremains

elusive. Multiplefactorslimittheeffectivenessofcancertreatmentstrategies,

including:latediseasedetection,complexandheterogeneoustumorphysiologythat

necessitatescombinationregimens,metastasis,naturaltissuebarriersandsolid

tumorstructuresthatimpededrugpenetration,andtoxicitiesthatresultfrom

exposureofhealthytissuestothesetherapies. Nanotechnologyhasthepotentialto

significantlyimproveuponcurrentcancertherapiesthroughtheuseofsmart

nanoparticlesthatspecificallyaddressthesehurdles.

ThefocusofthisGrandChallengeisonthedevelopmentofnovel,multifunctional

nanocarriers

capable

of

efficiently

transporting

diagnostic

probes

and

therapeutic

payloadsacrosstissuebarrierstospecifictumortypes. Thisnextgenerationofcarri

erswillrequireflexiblepayloadcapabilitiesandhighlyeffective,tumorspecifictar

getingstrategies. Thesuccessfuldevelopmentofsuchatechnologyplatformwould

enablesignificantimprovementsinearlycancerdetectionthroughtumorselective

deliveryofdiagnosticprobesandimagingagents. Thevehiclewouldalsobeusedto

deliveroptimizeddrugcombinationsdirectlytothetumor,therebyenhancingthera

peuticefficacyandminimizingexposureofhealthytissues.

A10yearhorizonisanticipatedforthiswork. Akeyearlymilestoneistheselection

ofcancertypeonwhichtofocus. Pendingthedevelopmentofrobusttumortarget

ingstrategies,

nano

based

sensors

that

significantly

increase

biomarker

detection

sensitivityandnanoscaletumorimagingwillimproveearlydiagnosiswithin5

years. Thiswillenablethedevelopmentofmultifunctional,engineerednanocarriers

todeliverdrugcombinations(drugs,nucleicacids,etc)directlytothetumor. The

goalistodeploya10foldmoresensitiveearlydetectiontechnologyforamajorcan

certypewithin5yearsandclinicallyvalidateanextgenerationnanotechnologymed

icinedeliverysystemthatachievessignificantimprovementinlongtermsurvivalin

thenext10years.


45/88

34

Chapter4.ProgramManagement

FocusingonGrandChallenges

ThedecentralizednatureoftheFederalGovernmentsactivitiesintheNational

NanotechnologyInitiativehasmotivatedPCASTandotherstoexpressconcerninseveral

reviews,particularlyrelatedtosettingprioritiesandcoordinatingaroundmajorthemesand

opportunities.Theenhancedfocusoncommercializationweargueforinthisreportreinforces

thoseconcerns.EachFederalagencyinvestinginnanotechnologydeterminesitsownbudget,

whichiseitherallocatedspecificallyfornanotechnologyorblendedwithinitslargerscienceand

technologyportfolio. ThesteeringandcoordinatingbodiesoftheoverarchingFederalprocess

the

Nanoscale

Science,

Engineering,

and

Technology

Subcommittee

(NSET)

and

the

National

NanotechnologyCoordinationOffice(NNCO),respectivelyarenotempoweredtomake

decisionsaboutresourceallocationsacrossorwithinagencies,andtheCommitteeon

Technology(COT)intheNationalScienceandTechnologyCouncildoesnotplayaleadership

rolesettingcommoninteragencygoalsandensuringtheyaremet(Figure2). NSETconvenes

agencyrepresentatives,butitdoesnotmanageagencyactivitiesinanintegratedwaynor

createaunifiedplanwithinwhichaspecificagencycanmanageitsactivities. Thisloose

couplingmayhavesufficedwhentheemphasiswasonbroadeninganddeepening

nanotechnologyresearch,butwithoutamorecoordinatedapproachtocommercialtransition,

thepromiseofnanotechnologyislikelytobeleftunrealized. Thenanotechnologyinvestment

bytheUnitedStatescomesatahighopportunitycostwhenresearchoccursbutnopathis

availablefor

commercialization.

ItiswithinthislandscapethatPCAST,asdescribedinthepreviouschapter,recommendsthe

deploymentofGrandChallenges.Inadditiontotheenergyitwillcreateinthebroad

nanotechnologycommunity,webelievetheGrandChallengeframeworkholdssubstantial

potentialtoenablemoreexplicitand,webelieve,moreeffectiveleadershipandmanagement

ofNNI2.0. Thespecific,commongoalofaparticularGrandChallengerequiresamoreactive

management. Bypubliclylayingoutdetailedtechnicalandprogrammaticgoalsandcreatinga

processinwhichstakeholdersdebateandinvestinthem,definingaGrandChallengecreatesa

mechanismforanagency,ormultipleagenciesworkinginacoordinated,fundedfashion,toset

priorities.ItalsohelpstoensurethattheFederalinvestmentinnanotechnologyassociatedwith

theGrand

Challenge

goal

becomes

amajor

element

of

alarger

public

and

private

investment

andamoreproductivenanotechnologyecosystemthatcansupporttheefficient

commercializationofnanobasedproducts. NNI2.0leadershipthuswillnotonlyensurethe

introductionofnovelnanobasedmaterials,medicines,andtechnologiesbutwillenhanceU.S.

competitivenessinakeytechnologyareaandleadtoinfrastructure,capability,andworkforce

improvements,criticalareasofnationalinterest.


46/88

35

ProgramManagement

Thissectionofthereportlooksatthestateofthetools,methods,andresponsibilities

employed

to

manage

the

NNI.

Recommendations

are

made

to

provide

the

more

active

leadershipwebelieveisnecessarytosuccessfullytransitiontoNNI2.0.These

recommendationsarebothenabledbytheGrandChallengesprocessandcriticaltoitssuccess.

Thisthemeofmoreactiveleadershipisnotnew,andwebeginbyprovidinginTable4an

assessmentoftheresponsestorecommendationsregardingmanagementandleadershipthat

weremadeinthe2012versionofthisreport.

Table4.Responseto2012PCASTrecommendationsonprogrammanagement.

2012NNIReviewrecommendation Activitiesinresponse

TheNNCOinpartnershipwiththeOfficeofScience

andTechnologyPolicy(OSTP)shouldworkwiththe

agenciesto

develop

agency

implementation

plans

forachievingthegoalsandobjectivesoutlinedin

the2011NNIstrategicplan.

The2014NNIStrategicPlanupdatesandre

placesthe2011Planandcontinuestheinte

grated,interagency

approach

that

informs

the

nanotechnologyspecificstrategicplansofthe

agencies.ThereisnoevidencethattheNNCO

andOSTPworkeddirectlywithNNIagenciesto

developformal,agencyspecificstrategicplans

toachievetheNNIobjectives,reflectingapref

erencetodefertoagenciesforsuchactivity.

Participatingagenciesshouldensurethatsenior

agencyofficialscapableofinfluencingfundingdeci

sionsareparticipatingfullyandpersonallyinstra

tegicplanningactivitiesoftheNSET.Officialsatthis

level,in

contrast

with

representatives

active

at

the

programorofficelevel,couldmoreeffectivelydrive

agencyplanningandbudgetallocationstomeet

NNIstrategicdirections.

TherevisedNSETcharterstipulatesthateach

agencywillappointoneprincipalrepresenta

tivewiththeauthoritytorepresenttheagency.

TheNSETmembershiplistsintheNNIBudget

Supplements,however,

show

minimal

change

inNSETrepresentationafterthe2012PCAST

recommendation,andtheinvolvementofsen

ioragencyofficialsonthemembershiplistin

NSETactivitiescannotbedetermined.There

visedcharteralsodescribesaSeniorSteering

Group(SSG)thatwillmeetasneededandat

thediscretionoftheNSETcochairs."Thereis

nopubliclyavailabl

nano review

Documents