Research and Development FY 2003
NATIONAL NANOTECHNOLOGY INVESTMENT IN THE FY 2003 BUDGET REQUEST TO THE PRESIDENT *
M.C. Roco, NSF Chair, National Science and Technology Council's subcommittee on Nanoscale Science, Engineering and Technology (NSET)
(*) Presented on February 13, 2002 at the AAAS/ASME Briefing, Washington, D.C.
The emerging fields of nanoscale science, engineering, and technology – the ability to work at the molecular level, atom by atom, to create large structures with fundamentally new properties and functions – are leading to unprecedented understanding and control over the basic building blocks and properties of all natural and man-made things. The FY 2003 funding request for nanoscale science, engineering and technology (noted in brief – nanotechnology) research and development (R&D) in ten federal departments and independent agencies is summarized in Table 1. This investment is known as the National Nanotechnology Initiative (NNI) (http://nano.gov). It emphasizes long-term, fundamental research aimed at discovering novel phenomena, processes, and tools; addressing NNI Grand Challenges; supporting new interdisciplinary centers and networks of excellence including shared user facilities; supporting research infrastructure; and addressing research and educational activities on the societal implications of advances in nanoscience and nanotechnology. Funding is provided on competitive basis with other programs and within NNI.
The FY 2003 President's budget request of about $710 million ($679 million reported on February 4, 2002, plus $31 million in associated programs at NASA and USDA) for federal investment in nanoscale science, engineering and technology, a 17% increase over FY 2002, is shown in Table 1. The FY 2002 nanoscale R&D budget appropriated by Congress is approximately $604 million ($579 million reported on February 4, 2001, plus $25 million in associated programs at NASA and USDA). Three new R&D areas of focused are planned in all federal departments and agencies: manufacturing processes at the nanoscale, use of nanotechnology for chemical-biological-radioactive-explosive detection and protection, and development of instrumentation and metrology at the nanoscale
Table 1. FY 2001 (Appropriated and Actual), 2002 (Appropriated) and 2003 (Congressional Request) of NNI (all budgets in $million). Note: the 'total' includes funding reported on 2/4/02 plus funding in associated nanotechnology programs.
|Department of Defense||110||123||180||201|
|Department of Energy||93||87.95||91.1||139.3|
|Department of Justice||1.4||1.4||1.4|
|Department of Transportation (FAA)||0||2||2|
|Environmental Protection Agency||5||5||5|
|National Aeronautics and Space Admin.||20||22||22||46||22||51|
|National Institutes of Health||39||39.6||40.8||43.2|
|National Institute of Standards and Techn.||10||33.4||37.6||43.8|
|National Science Foundation||150||150||199||221|
|US Department of Agriculture||1.5||0||1.5||0||2.5|
DEPARTMENT OF DEFENSE (DOD)The FY 2003 request is $201 million, $21 million over FY 2002. The past (FY 2001), present (FY 2002 current plan) and request (FY 2003) DOD support for nanoscience and nanotechnology is delineated in Table 2. The principal DOD participants (e.g. budget lines) in the NNI are DDR&E(R), DARPA, Air Force, Army and Navy. While the NNI is a fundamental science (i.e., DOD 6.1 funding category) based initiative, one of the principal NNI goals is to transition science discovery into new technology. The DOD structures its S&T investment into basic research (6.1), applied research (6.2) and exploratory development (6.3); the latter two focus on transitioning science discovery into innovative technology. MANTECH, SBIR and STTR programs are also available for transition efforts. Beginning in FY 2002, the DOD will track and encourage the transitions into these applied programs, under the label "6.2/6.3" in Table 2.
Table 2. DOD investment in nanoscience
The University Research Initiative program in FY 2001 added 16 MURI nanoscience projects as part of a Defense University Research Initiative on Nanotechnology (DURINT) competition and another 5 nanoscience projects under the traditional MURI competition; the MURI projects carry a 5-year commitment including in FY 2003. DARPA plans a significant enhancement in nanoscience/nanotechnology for its investment portfolio in FY 2003. New programs begun for nanostructures in biology and quantum information S&T. The Molecular Electronics effort transitions from 6.1 into 6.2. The Large Area Printing program, in which approximately one half the projects addressed nanoscale issues, comes to a close. The Air Force is looking to increase its investment in nanoscience. It is anticipated that its basic research activities will expand research in nanocomposites- hybrid polymer-inorganic nanocomposites; self-assembly and nanoscale processing for the realization of 3-D optical and electronic circuitry; highly efficient space solar cells; nanoenergetics – understanding the factors that control reactivity and energy release in nanostructured systems; nanostructures for highly selective sensors and catalysts; as well as nanoelectronics, nanomagnetics and nanophotonics; nanostructured coatings, ceramics and metals.
The Army will allocate $10M of basic research funds for a University Affiliated Research Center (UARC) – Institute for Soldier Nanotechnologies. The purpose of this center of excellence is to develop unclassified nanometer-scale science and technology solutions for the soldier. A single university will host this center, which will emphasize evolutionary materials research toward advanced soldier protection and survivability capabilities. Reprogramming $10M of its core funds since FY 2002, the Naval Research Laboratory has initiated a Nanoscience Institute to enhance multidisciplinary thinking and critical infrastructure.
The FY2003 NNI recommendation for basic research funding seeks the insertion of that $40M permanently into the DOD basic research investment: $20M URI, $10M Army, $5M Air Force, and $5M Navy. The increase is consistent with the Quadrennial Defense Review that recommended growth of the S&T budget to 3% of the Defense Department budget. Nanoscience shows great promise for arrays of inexpensive, integrated, miniaturized sensors for chemical / biological / radiological / explosive (CBRE) agents, for nanostructures enabling protection against agent, and for nanostructures that neutralize agents. The recent terrorist events motivate accelerated insertion of innovative technologies to improve the national security posture relative to CBRE. DOD will play a major role in this multiagency effort. The DOD Advisory Group on Electronic Devices (AGED) will perform a special technical area review (STAR) on nanoelectronics. A key goal for that review will be guidance for the "Nano-Electronics, -Optoelectronics and -Magnetics" basic science investment, and for the 6.2/6.3 funding necessary to accelerate the development of information technology devices. The DOD nanotechnology budgets and programs are identified at http://nano.gov or http://www.nanosra.nrl.navy.mil.
DEPARTMENT OF ENERGY (DOE)In FY 2003, the total request is $139.3 million, including funding of$6.3 million for defense programs. This is an increase of $48.2 millionover FY 2002. Fundamental research to understand the properties of materialsat the nanoscale will be increased in three areas: synthesis and processingof materials at the nanoscale, condensed matter physics; and catalysis.In addition, the FY 2003 request includes $35 million for centers. Thesecenters are the Molecular Foundry (Foundry) at Lawrence Berkeley NationalLaboratory, the Center for Nanophase Materials Sciences (CNMS) at OakRidge National Laboratory, and the Center for Integrated Nanotechnology(CINT) at Sandia National Laboratories and Los Alamos National Laboratory.Construction will begin on one Nanoscale Science Research Center (NSRC),and engineering and design will continue on two others. NSRCs are userfacilities for the synthesis, processing, fabrication, and analysis ofmaterials at the nanoscale. NSRCs were conceived within the context ofthe NSTC Interagency Working Group on Nanoscale Science, Engineering,and Technology as part of the DOE contribution to the National NanotechnologyInitiative. They involve conventional construction of a simple laboratorybuilding, usually sited adjacent to or near an existing BES synchrotronor neutron scattering facility. The research activity will also benefitby new work proposed in FY 2003 by the Office of Advanced Scientific Computing(ASCR) in the area of computational nanoscale science engineering andtechnology. ASCR will develop the specialized computational tools fornanoscale science. The estimate of FY 2003 DOE funding includes $6.3 millionin the Office of Defense Programs (NNSA), 0.2 million over FY 2002. Theamount is an estimate of the fraction of the work supported at Sandia,Los Alamos, and Livermore that is in this area.
DEPARTMENT OF JUSTICE (DOJ)In FY 2003 the budget request is steady at $1.4 million (NIJ Base Budget and the Local Law Enforcement - Block Grant Technology Set-aside). The DOJ National Institute of Justice (NIJ) has two separate projects areas in that is or will incorporate nanotechnology - DNA Research ($1 million) and Development and Chemical and Biological Defense ($0.4 million). DNA Research and Development program will continue basic research as well as the demonstration of chip based or micro device technologies to analyze DNA in forensic applications. Nanotechnology have or will be a significant part of the device under development that will eventually integrated into the current crime laboratory processes and protocols to analyze forensic DNA samples. Chemical and Biological Defense program is developing a wearable, low-cost device to provide warning of exposure to unanticipated chemical and biological hazards in sufficient time for its wearer to take effective protective measures. The current approach relies on an enzymatic reaction. It is based on vapor exposure of an immobilized enzyme surface. Evolving nanotechnology may be used to address limitations of the enzymatic approach.
DEPARTMENT OF TRANSPORTATION (DOT/FAA)The FY 2003 research request is approximately $2 million to address one of the agency's most critical missions today: ensuring the security of our nation's air transportation system by improving the detection of explosives and chemical/biological weapons. The Department's Federal Aviation Administration (FAA), Aviation Security Division, is pursuing research, development, test, and evaluation programs to detect explosives and hazardous chemicals at the nanometer level and to characterize the interactions of explosives on material surfaces at this scale. Further research will yield sensor technologies that are cheaper and lighter --and yet far more sensitive, selective, and reliable ?than current systems. Current collaborations include NASA, ORNL, ARL, ATF, NRL, SNL, DARPA, and NIST. Programs proposed for FY 2003 would expand this collaboration to other agencies participating in the NNI, as well as to other research institutions and industry. The NNI activities proposed for FY 2003 will build on current efforts to expedite the fielding of far more accurate and effective security technology at our nation's airports. In particular, DOT plans to apply novel chemical detectors based on nanoscale and MEMS integrated circuits to sense trace levels of explosives and chemical/biological weapons at checkpoints and in checked bags; investigate nanoscale detection (building on current research in "nanoexplosion"/detection with microcantilever surfaces) with MEMS remote receive/transmit systems imbedded on the chip; study monolayer and cluster nanolayers of selective polymers on surfaces to selectively collect, preconcentrate, and detect trace levels of explosives and other hazards; and characterize molecular detection mechanisms to investigate novel miniature inlet/preconcentrator systems (with MEMS) for enhanced sensitivity and selectivity.
ENVIRONMENTAL PROTECTION AGENCY (EPA)
FY 2003 research is expected to be at a similar as in FY 2002 at approximately $5 million. EPA's research is organized around the risk assessment/risk management paradigm. Research on human health and environmental effects, exposure, and risk assessment is combined to inform decisions on risk management. Research on environmental applications and implications of nanotechnology can be addressed within this framework. Nanotechnology may offer the promise of improved characterization of environmental problems, significantly reduced environmental impacts from "cleaner" manufacturing approaches, and reduced material and energy use. However, the potential impacts of nanoparticles from different applications on human health and the environment will also be evaluated.
EPA has issued a second STAR solicitation in early 2002 with an estimated budget of $5 million (http://es.epa.gov/ncer/rfa/02nanotech.html). The four research areas have been identified: Green Manufacturing and Processing (nanotechnology that eliminates or minimizes harmful emissions from industrial processes); Remediation/Treatment (techniques to effectively remediate and/or treat environmental pollutants; Sensors (Novel sensing technologies or devices for pollutant and microbial detection); and Environmental implications of nanotechnology (environmental benefits and potential harmful effects of nanotechnology at a societal level). EPA's nanotechnology research is managed by the Office of Research and Development. The STAR grant solicitation and Small Business Innovation Research (SBIR) Programs are managed by the National Center for Environmental Research (NCER). In-house research currently includes the National Exposure Research Laboratory and the National Risk Management Research Laboratory, and may expand to other ORD laboratories in the future. EPA has plans to explore collaborations in nanotechnology research with other Agencies. In particular, USDA and EPA share some common interests in nanotechnology research, for example, in the areas of biotechnology applications, pesticide monitoring, and food safety.
NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA)
The FY2003 request is approximately $51 million. In addition to the $22M in both Basic Nanoscience and Nanotechnology Research (which remains as line items in the Budget), the Agency plans to invest approximately an additional $29M in the area of Nanotechnology Science and Applications. These investments are embedded within several Program areas and within the Office of Biological and Physical Research and the Office of Aerospace Technology. The Basic NASA Nanoscience Program comprises Bio-Molecular Systems Research, which is a joint NASA/NCI Initiative, and the second is in Biotechnology and Structural Biology. The OAT Program integrates Nanotechnology development in three areas: (1) Materials and Structures, (2) Nanoelectronics and Computing, and (3) Sensors and Spacecraft Components. A major focus at NASA is to advance and exploit the zone of convergence between Nanotechnology, Biotechnology and Information Technology.
Collaboration is particularly important for NASA, since it recognizes the importance of importing technologies from other Federal Agencies. Given the infancy of Nanotechnology, there is a broad area of basic research knowledge performed by other Federal Agencies (particularly NSF, DOD, NIH, and DOE) that would benefit NASA. The Agency will focus primarily on NASA-unique needs; examples are low power devices, high strength materials that perform with exceptional autonomy in the hostile space environment. (A joint program in non-invasive human health monitoring via identification and detection of molecular signatures is currently being developed with NCI based on a common interest in this area.). NASA will significantly increase university participation in Agency nanotechnology programs by competitively awarding three University Research, Engineering and Technology Institutes (RETIs) in FY 2003. NASA plans to select one RETI in each of three areas: (1) aerospace materials, (2) electronics and computing and (3) bio-nanotechnology fusion. Each award will for about $3M/yr for 5 years with the option to extend award for up to an additional 5 years. NASA's interaction with international activities is typically in international space missions, which are negotiated among the space agencies of the collaborating nations, and are implemented with no exchange of funds It is the Agencies intent to extend such space mission collaborations into the arena of nanotechnology.
NATIONAL INSTITUTES OF HEALTH (NIH)
The FY 2003 request is $43.2 million, $2.4 million over FY 2002. NIH will receive nanoscience and nanotechnology grant applications under existing and renewed programs. These programs are managed individually by the Institutes and Centers, with peer review conducted for the most part by the NIH Center for Scientific Review. Overall nanotechnology program coordination occurs through the NIH Bioengineering Consortium (BECON). The NIH nanoscience program announcements are available from www.nano.gov/nihnano.doc and http://grants.nih.gov/grants/becon/becon_funding.htm. The NIH nanotechnology-specific SBIR program entitled "Bioengineering Nanotechnology Initiative," will be revised reissued in 2003. Application deadlines are on April 1, August 1, and December 1, annually.
Paired program announcements on Single Molecule Detection and Manipulation (PA-01-049 for R01 grants, PA-01-050 for SBIR and STTR grants), will continue FY 2003. These programs solicit investigator-initiated proposals for basic research on detection and manipulation of single molecules to provide fundamentally new information about biological processes for understanding cellular function, including real time measurements of single molecules in living cells and the development of the collateral chemistry and instrumentation. Led by the National Institute of General Medical Sciences, the National Institute on Deafness and Other Communication Disorders and the National Human Genome Research Institute are also participating. The joint NCI-NASA program, "Fundamental Technologies for Development of Biomolecular Sensors," will continue. The purpose of this collaborative interagency program between the National Cancer Institute and NASA is to advance the development of technologies and informatics tools to enable minimally-invasive detection, diagnosis, and management of disease and injury, using technology platforms for biomolecular sensors which can function in the living body to measure, analyze, and manipulate molecular processes. Training of scientists and engineers to conduct multifaceted nanotechnology research is essential. NIH, through BECON, is re-issuing a program solicitation, "Mentored Quantitative Research Career Development Award," to support career development of investigators with quantitative scientific and engineering backgrounds who have made a commitment to focus their research on biomedical (basic or clinical) or behavioral research. The awards support supervised study and research to assist investigators in making this career transition. Three agencies, NSF, DOE, and NIST participate in the BECON nanotechnology activities. NCI has funds a contract at NASA's Ames laboratory to study how nanotechnology can be used in the detection of cancer cells. NCI and NASA also host a web-based Biotechnology Forum that brings together NCI and NASA scientists, technologists, and engineers. NIH is developing several research areas for FY 2003: nanomaterials, nano-imaging, cell biology, molecular and cellular sensing/signaling, and nanomotors.
NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY (NIST)
The FY 2003 request is $43.8 million, $6.2 million increase over FY 2002. Projects in the following areas will be funded: Molecular Electronics; Quantum computing; Nanomagnetodynamics; Nanotribology; and Autonomous Atom Assembly. Approximately half of the total allocated funds have been used to increase current efforts in several of these areas and half will be used to leverage existing efforts with external partners. The funds are distributed, using a competitive process, across the NIST Laboratories for enabling infrastructural measurement, standards, and data for nanomagnetics, nanocharacterization, and new information technologies. Areas of focus are: (a) Nanomagnetics research for measurement and standards for current and near-term applications of nanotechnology in the semiconductor, communications, and health care industries; (b) Nanocharacterization research to produce standards and tools for visualization and characterization at the nanoscale, which are in high demand by a broad base of U.S. industries; (c) Research will be conducted to provide fundamental measurements needed for future generations of information technology hardware that will be needed to replace semiconductor electronics technology in about a decade. In order to leverage internal efforts, NIST will develop stronger strategic alliances and collaborations with universities, businesses, and other government agencies that possess leading expertise in nanotechnology. NIST plans to direct half of the new nanotechnology funding to these external organizations to conduct much of the specific work required to meet the goals of this initiative and avoid developing costly, complex in-house capabilities that may only be used once. NIST has a large range of collaborations with industry.
NATIONAL SCIENCE FOUNDATION (NSF)
The FY 2003 request is about $221 million, $22 million increase over FY 2002. The FY 2001 (actual), FY 2002 (current plan) and FY 2003 (WH request) per directorates are shown in Table 3.
Table 3. NSF budgets for Nanoscale Science and Engineering in the first three years of NNI
(Millions of Dollars)
|Computer and Information Science and Engineering||2.20||10.20||11.14|
|Mathematics and Physical Science||83.08||93.08||103.92|
|Social and Behavioral Sciences||0.00||0.00||1.11|
|Education and Human Resources||0.00||0.00||0.22|
|Total, Nanoscale Science and Engineering||$149.68||$198.71||$221.25|
Totals may not add due to rounding.
The Nanoscale Science and Engineering (NSE) Group coordinates the NNI activities. Each directorate has two representatives in the NSE Group. The Chair of the Group is the NSF representative in NSEC, and its current chair. The FY 2002 program solicitation can be found at https://www.nsf.gov/nano (NSF 01-157), with two modes of research support: Nanoscale Interdisciplinary Research Teams and Nanoscale Exploratory Research. This investment will be expanded to develop and strengthen critical fields and to establish the science and engineering infrastructure and workforce needed to exploit the opportunities presented by these new capabilities. Support will be focused on interdisciplinary research and education teams, national science and engineering centers, exploratory research and education projects, and education and training.
The investment will expand a wide range of research and education activities in this priority area, including approximately 15 nanotechnology research and education centers, which focus on electronics, biology, optoelectronics, advanced materials and engineering.
Long-term objectives include laying a foundation of fundamental research for NNI Grand Challenges; ensuring that U.S. institutions will have access to a full range of nano-facilities; enabling access to nanotechnology education for students in U.S. colleges and universities; and catalyzing the creation of new commercial markets that depend on three-dimensional nanostructures. This should result in the development of completely ew technologies that contribute to improvements in health, advanced agriculture, conservation of materials and energy, and sustainability of the environment. This investment will be expanded in FY 2003 to develop and strengthen critical fields and to establish the science and engineering infrastructure and workforce needed to exploit the opportunities presented by these new capabilities. In addition to single investigator research, support will be focused on interdisciplinary research and education teams, national science and engineering centers, exploratory research and education projects, and education and training.
Long-term objectives include building a foundation of fundamental research for understanding and applying novel principles and phenomena for nanoscale manufacturing and other NNI Grand Challenges; ensuring that U.S. institutions will have access to a full range of nano-facilities; enabling access to nanotechnology education for students in U.S. colleges and universities; and catalyzing the creation of new commercial markets that depend on three-dimensional nanostructures. These goals will enable development of revolutionary technologies that contribute to improvements in health, advance agriculture, conserve materials and energy, and sustain the environment.
NSF's planned investment for Nanoscale Science and Engineering in FY 2003 will have five programmatic focus areas are:
Fundamental Research and Education. The FY 2003 request includes $140.93 million for fundamental research and education, with special emphasis on:
- Biosystems at the Nanoscale - Approximately $20.7 million
- Nanoscale Structures, Novel Phenomena and Quantum Control - Approximately $53.5 million
- Device and System Architecture - Approximately $27.8 million
- Nanoscale Processes in the Environment - Approximately $9.6 million
- Multi-scale, Multi-phenomena Theory, Modeling and Simulation at the Nanoscale Manufacturing processes at the nanoscale - Approximately $8.49 million
Grand Challenges. Approximately $10.70 million
Centers and Networks of Excellence. Approximately $38.64 million
Research Infrastructure. Approximately $21.70 million
Societal and Educational Implications of Science and Technology Advances. Approximately $9.28 million
Examples of collaborations with other agencies/private sector include: Quantum computing, with DARPA; MRSEC materials Centers with DOD; SRC and ERCs; GOALI awards (collaboration with private sector); cofunding two new NSEC centers with DOD.
U.S. DEPARTMENT OF AGRICULTURE (USDA)The FY 2003 Request is approximately $2.5 million without having a special line item in the budget. USDA conducts its research both extramurally through the partnership between Cooperative State Research, Education, and Extension Service (CSREES) and Land Grant Universities (LGUs), and in-house at Agriculture Research Service (ARS) national laboratories. The CSREES also provides leadership and financial supports in education and outreach in all the states and territories of US through the LGUs. According to the USDA Current Research Information System (CRIS) database, the combined research expenditure (with matching funds) related to nanoscale science and technology was about $9.2M in FY 2001.
The R&D activities include:
- Development of new materials (Textile materials based on fibers of agricultural origin and polymers for environmental compatibility and human health and safety; Bionites made from Bacillus subtilis fibers that use drawn bacterial thread as the substrates for mineralization; Wheat biopolymer (starch) composites for industrial and food applications; Integrating nano particles into biodegradable polymers to improve the physical and mechanical properties of the resulted polymers; Nanocrystalline reinforcing agents from sugar refining waste products; Topochemically modified cellulose nanoparticles for polymer composites; Development of a scaleable thermal process with improved thermal efficiency to produce nanostructured silicon carbide using rice husk as the precursor; Self-assembled cellulosic films by surface segregation.
- Fundamental studies are focusing on: DNA-enzyme interactions - single molecule studies; Mechanisms of plant virus transmission and assembly; Biomolecular motor powered nano-mechanical devices; Structural and immunochemical characterization of quadruplex DNAs; Separation of bioproducts; Development of biosensor and sensing systems.
- Education: Educating young researchers for sustainable agriculturally-based bioindustries; and The Alliance for Nanomedical Technologies brings together academia and the private-sector of New York State to develop basic components as well as integrated systems that will be the next generation of medical devices.
SUMMARY FOR ALL AGENCIES
PRIORITIES IN FY 2002
The budget provides $710.2 million for the multiagency National Nanotechnology Initiative, 68% increase over the planned investment in FY 2001. The initiative focuses on long-term research on the manipulation of matter at the atomic and molecular levels, giving us an unprecedented ability to create building blocks for advanced products such as new classes of devices as small as molecules and machines as small as human cells. This research could lead to continued improvement in electronics for information technology; higher-performance, lower-maintenance materials for manufacturing, defense, transportation, space, and environmental applications; and accelerated, biotechnical applications in medicine, health care, and agriculture. In 2003, the Initiative will focus on fundamental nanoscale research through investments in investigator led activities, centers and networks of excellence, and infrastructure.
Priority in funding will be given to: (1) research to enable the nanoscale as the most efficient manufacturing domain; (2) innovative nanotechnology solutions to biological-chemical-radiological-explosive detection and protection; (3) development of instrumentation and standards; (4) the education and training of the new generation or workers for the future industries; and (5) partnerships to enhance industrial participation in the nanotechnology revolution. The convergence of nanotechnology with information technology, modern biology and social sciences will reinvigorate discoveries and innovation in almost all areas of the economy.
Examples of major collaborative NNI activities crossing the eight agencies with FY2002 budget request listed in Table 1 are shown in Table 3. DOS is contributing to international aspects on all topics. DOT, DOTreas and DOA also participate in their areas of interest.