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The Current Investment Highlights of
US National Nanotechnology Initiative
Hongda Chen, Ph.D.
National Institute of Food and Agriculture (NIFA)
U.S. Department of Agriculture (USDA)
July 17, 2010, Chicago, IL
The views expressed in this presentation are those of the presenter and notnecessarily those of the United States Government or the presenter’s agency
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Outline
What is the U.S. Government’s National
Nanotechnology Initiative (NNI)?
Overview of the NNI Budget and Investments
Potential environmental, health, and safety (EHS)
and other regulatory considerations
How can industry tap into the benefits of
nanotechnology and utilize the results of NNI-
funded research?
Education, public communication and engagement,
perception and acceptance
DHS
NRC
FDA
CPSC ITC
USPTO
NIOSH
DOC BIS
USDA
FS
DOEd
DOL
NSF
DOEDOD
NASA
NIST
NIHOMBOSTP
EPA
DOT
DOTr
DOJ
ITIC
DOS
USDA/
NIFA
National Nanotechnology Initiative
Collaborative, Multi-agency, Cross-cut
Program Among 25 Federal agencies, 15 of
which have specific nanotechnology budgets
Funds R&D to advance understanding and
control of matter at nanoscale toward:
National economic benefit
National and homeland security
Improved quality of life
USGS
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
The National Nanotechnology Initiative:
vision and goals
The vision of the NNI: a future in which the ability to
understand and control matter on the nanoscale leads
to a revolution in technology and industry that benefits
society
Four goals for nanoscale science, engineering, and
technology, as described in the NNI's Supplement to
the President's FY 2011 Budget and ’07 Strategic Plan:
Advance a world-class research and development program
Foster technology transfer for commercial & public benefit
Develop & sustain educational resources, a skilled workforce,
and the supporting research infrastructure and tools
Support responsible development of nanotechnology
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Broad brush view of NNI operations
Management EOP + Agencies
Establishment of nanotechnology as high priority R&D area
Budget creation and funding allocation to agencies
Negotiations with Congress
Coordination NSET Subcommittee
Coordinates development of strategic plan for NNI
Providing mechanisms for interagency communication and
coordination on nanotechnology R&D
Reporting NNCO
Publishes reports on behalf of the NSET and the NNI for use
by Congress, academia, industry, and the public
Serves as central public point of contact for NNI
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NNI budget information
NNI expenditures* have grown from $464 million in
FY ‘01 to an FY ‘11 request of nearly $1.8 billion.**
* All numbers shown above are actual spending, except 2010, which is estimated spendingfor the current year and 2011 , which is requested amount for next year
(FY ‘09 figure shown here does not include ~$500 million in additional ARRA funding).** 2011 figure shown here does not include DOD earmarks included in previous yrs. ($117 M ‘09)
$464
$697$760
$989
$1,200
$1,351$1,424
$1,555
$1,702$1,781 $1,762
$0
$200
$400
$600
$800
$1,000
$1,200
$1,400
$1,600
$1,800
$2,000
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
International nanotech R&D investment
Source: M. C. Roco, NSF
U.S. estimate for 2010 is
$1.78 billion; 2011 request
is ~$1.76 billion
New announcements from
Russia and EU recently indicate
very large new investments
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NNI Support for Innovation
Cumulative NNI investment of nearly $14 billion (including the President’s request for 2011)
Advanced foundational knowledge for control of matter at the nanoscale with over 4500 research projects in all 50 states
Developed an extensive infrastructure of interdisciplinary research centers, networks and user facilities distributed across the country
Invested significantly in nanotechnology-related EHS R&D to date and anticipate continuing targeted increases
Established major networks for developing public awareness of nanotechnology and formal educational programs
Organized and conducted 16 workshops on cross-cutting areas of nanotechnology applications
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NEW: Supplement to thePresident's FY 2011
Budget
NNI activities and documents inform agencies,
report outcomes, and serve as resources
General brochure for a broad
audience
NNI Strategic Plan
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NNI budget by agency, ’09-’11
* Based on allocations ARRA appropriations. Agencies may report additional ARRA funding for SBIR and STTR projects later.** 2009 and 2010 DOD figures include Congressionally directed funding that is outside the NNI plan ($117 million for 2009).
See NNI Supplement to the President’s FY ‘11 Budget for additional details: http://www.nano.gov/NNI_2011_budget_supplement.pdf.
Agency 2009 Actual 2009 Recovery* 2010 Estimated 2011 Proposed
DOE 332.6 293.2 372.9 423.9
NSF 408.6 101.2 417.7 401.3
HHS/NIH 342.8 73.4 360.6 382.4
DOD** 459.0 0.0 436.4 348.5
DOC/NIST 93.4 43.4 114.4 108.0
EPA 11.6 0.0 17.7 20.0
HHS/NIOSH 6.7 0.0 9.5 16.5
NASA 13.7 0.0 13.7 15.8
HHS/FDA 6.5 0.0 7.3 15.0
DHS 9.1 0.0 11.7 11.7
USDA/NIFA 9.9 0.0 10.4 8.9
USDA/FS 5.4 0.0 5.4 5.4
CPSC 0.2 0.0 0.2 2.2
DOT/FHWA 0.9 0.0 3.2 2.0
DOJ 1.2 0.0 0.0 0.0
TOTAL 1,701.5 511.3 1,781.1 1,761.6
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
USDA/NIFA Expenditure in Nanotechnology
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
AFRI: Nanoscale Science and Engineering
FY 2009 Priorities – Anticipated Major Changes in FY 2010
Nanoscale recognition, reception, and transmission mechanisms and novel materials for developing nano-based sensors specifically for targets important to food safety and agriculture biosecurity.
Novel nanoscale processes, materials, and systems with improved delivery efficacy, controlled release, modification of sensory attributes, and protection of micronutrients and functional ingredients suitable for food matrices.
Understanding nanoscale phenomena and processes to support the development of nano-based technologies for food and agricultural product quality monitoring, identity tracking, and preservation.
NEW: Assessment and analysis of perceptions and acceptance of nanotechnology and nano-based products by the general public, agriculture, and food stakeholders using appropriate social science tools.
12
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Phytoglycogen dendrimer as nano-carrier for
antibacterial peptide loading and prolonged release
Advantages as controlled delivery of bioactive
compounds essential for the food safety and
nutrition and others
Surface treated nanoparticle-stabilized emulsion
much more effective than emulsions stabilized
using modified starch (WCS-OS) or Tween 20
Continuing research (NSF grants)(1) Biotechnology, Biochemical, and Biomass Engineering (BBBE), 01/01/2010 to 12/31/2012, Total fund: $327,603, PI: Yuan Yao, Co-PI: Arun Bhunia. Project title "Designing carbohydrate nanoparticles for prolonged efficacy of bacteriocin against food pathogens"
(2) Biomaterials, 07/15/2010 to 06/30/2013. Total fund: $350,000, PI: Yuan Yao, Co-PI: Ganesan Narsimhan, Project title "Dendrimer-like polysaccharides: structure, modification, and functional colloidal assembly".
0
1
2
3
4
5
6
7
0 10 20 30 40 50
Free nisin
PG-OS (DS 0.013)
WCS-OS (DS 0.013)
Tween 20
Size
of
inh
ibit
ory
rin
g, m
m
Storage time, Day
NSF Center Proposal
Industry-University Cooperative
Research Center (I-UCRC)
Brian Cunningham, PI, Illinois
Richard Linton, Co-PI, Purdue
Irfan Ahmad, Industry Liaison
December 7, 2009
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Over 60 major NNI centers, networks, user facilities
Molecular Foundry(Lawrence Berkeley National Laboratory)
Center for Integrated Nanotechnologies
(Sandia & Los Alamos National Labs)
Cornell NanoScale Science & Technology
Facility (CNF)
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NNI Areas of Investment(Program Component Areas)*
Fundamental Nanoscale Phenomena and Processes
Nanomaterials
Nanoscale Devices and Systems
Instrumentation Research, Metrology, and Standards for
Nanotechnology
Nanomanufacturing
Major Research Facilities and Instrumentation Acquisition
Environment, Health, and Safety (EHS)
Education and Societal Dimensions
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NNI FY ‘11 Breakout by Program Component Area
Fundamental nanoscale phenomena and processes ($484 million)
Nanomaterials ($342 million)
Nanoscale devices and systems ($402 million)
Instrument Research, Metrology and Standards ($77 million)
Nanomanufacturing ($101 million)
Major research facilities and instrumentation acquisition ($203 million)
Environment, Health, and Safety ($117 million)
Education and Societal Dimensions ($35 million)
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Environmental, Health, and Safety (EHS) Budget
* research whose primary purpose is to understand and address potential risks to health and to the environment from nanotechnology, e.g., not including related instrumentation research
$35$38
$48
$70
$87
$92
$117
9%
37%
100%
149%
163%
234%
13%19%
30%
42%48% 47%
0%
50%
100%
150%
200%
250%
$0
$20
$40
$60
$80
$100
$120
$140
2005 2006 2007 2008 2009 2010 2010
% growth EHS funding over 2005
% growth total NNI funding over 2005
NNI funding for nanotechnology-related EHS research* has grown much faster than the NNI as a whole.by fiscal year, in $ millions (FY 2010 is estimated, FY 2011 is requested)
2011
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
NNI EHS Strategy Development
Nanotechnology Environmental and Health Implications (NEHI) Working Group formed as informal body in 2003, formalized in 2005
Extraordinary collaboration between research and regulatory agencies
Began with review of respective agencies’ jurisdictions, responsibilities
Industry and non-governmental organizations provided input throughout
Environmental, health, and safety research needs published in September 2006: http://www.nano.gov/NNI_EHS_research_needs.pdf
Public meeting held in January 2007 to gather additional input from research community and public
Interim document for public comment, “Prioritization of Environmental, Health, and Safety Research Needs for Engineered Nanoscale Materials” published in August 2007: http://www.nano.gov/Prioritization_EHS_Research_Needs_Engineered_Nanoscale_Materials.pdf
First comprehensive NNI strategy document published in February 2008: http://www.nano.gov/NNI_EHS_research_needs.pdf
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Role of nanotechnology-related EHS research in risk
management of nanomaterials*
* from Strategy for Nanotechnology-Related Environmental, Health, and Safety Research (February 2008): http://www.nano.gov/NNI_EHS_research_needs.pdf
NNI EHS Strategy
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
EPA-NSF-USDA/NIFA Joint Solicitation on EHS
Increasing Scientific Data on the Fate, Transport and Behavior of
Engineered Nanomaterials in Selected Environmental and
Biological Matrices
http://epa.gov/ncer/rfa/2010/2010_star_nano.html
Due: February 2, 2010
Research Area 1: Evaluation of potential exposures to
engineered nanomaterials including an exploration of
environmental and biological fate, transport, and
transformation of these materials throughout their lifetimes
Research Area 2: Improve the scientific understanding of
engineered nanoscale additives and ingredients that may be
intentionally introduced into food for delivery of important
micronutrients and modification of sensory attributes.
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
How can industry tap into the NNI?
Direct funding via SBIR/STTR programs
Some agencies (e.g., DOD, NIH) can fund large company R&D directly also
Information on NNI-funded research projects
NSF and NIH provide online database of funded projects:
http://nsf.gov/awardsearch/
http://projectreporter.nih.gov/reporter.cfm
www.research.gov will provide comparable information Government-wide
NNI-funded user facilities available for use by industry
Government as first customer for innovative applications (e.g., National Reconnaissance Office, Navy)
Opportunities for industry to participate in NNI research planning workshops; contact NNCO if interested
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
SBIR and STTR funding for nanotechnology
2004 2005 2006 2007 2008
SBI
R STTR
Tota
l
SBI
R
STT
R
Tota
l
SBI
R
STT
R
Tota
l
SBI
RSTTR
Tota
l
SBI
RSTTR
Tota
l
DOE 6.8 2.8 9.6 7.7 0.4 8.1 18.2 1.6 19.8 17.4 0.8 18.2 13.8 2.7 16.5
NSF 11.9 0.9 12.8 12.1 5.5 17.6 13.9 1.8 15.7 13.4 3.8 17.2 10.5 7.5 18.0
DHHS/NIH 9.3 2.6 11.9 11.1 5.2 16.3 15.1 2.1 17.2 18.4 1.1 19.5 29.3 1.8 31.1
DOD 10.5 6.9 17.4 7.5 5.5 13 12.6 5.6 18.2 8.4 4.2 12.6 19.8 2.3 22.1
DOC/NIST 0.5 0.0 0.5 0.1 0.0 0.1 0.1 0.0 0.1 0.3 0.0 0.3 0.4 0.0 0.4
EPA 0.6 0.0 0.6 1.0 0.0 1.0 1.2 0.0 1.2 0.5 0.0 0.5 0.7 0.0 0.7
DHHS/NIOSH 0.0 0.0 0.0 0.0 0.0 0.0 0.1 0.0 0.1 0.1 0.0 0.1 0.4 0.0 0.4
NASA 7.2 0.6 7.8 6.0 0.0 6.0 12.1 1.5 13.6 11.7 1.5 13.2 6.2 0.8 7.0
USDA/FS 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.3 0.0 0.3
USDA/NIFA 0.8 0.0 0.8 1.0 0.0 1.0 0.7 0.0 0.7 1.1 0.0 1.1 0.6 0.0 0.6
TOTAL 47.6 13.8 61.4 46.5 16.6 63.1 74.0 12.6 86.6 71.3 11.4 82.7 81.9 15.1 97.0
Over $390 million in nanotechnology-related Small
Business Innovation Research (SBIR) and Small
Business Technology Transfer (STTR) funding
between 2004 and 2008, inclusive
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Industry Consultative Boards for Advancing Nanotech Key for development of nanotechnology, EHS coordination
CCR
Electronic Industry (Semiconductor Research Corporation lead),
October/2003 - Collaborative activities in key R&D areas 5
working groups, Periodical joint actions and reports; NSF-SRC
agreement for joint funding; other joint funding
Chemical Industry (Council for Chemical Research lead) - Joint
road map for nanomaterials R&D; Report in 2004; 2 working
groups, including one EHS Use of NNI R&D results, and one to
identify R&D opportunities
Organizations and business (Industrial Research Institute lead) -
Joint activities in R&D technology management; 2 working groups
(nanotech in industry, EHS) Exchange information, use NNI results,
support new topics
Forest products industries (AF&PA lead), April 2007 – Facilitate
forest products industry input to and communication with NSET
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Education, other societal implications
Industry often cites main contribution of the Government is in education and training of the workforce
Over $260 million in NNI education and “ELSI” funding, 2005-2011, not including support for grad. students involved in substantive research
Obama Administration initiative, “Educate to Innovate”:
Cooperative effort between industry, government, and non-profit organizations
US$260 million in total
Includes $100 million from Time Warner Cable to produce shows that promote science and technology
Children's favorite Sesame Street will have a two-year focus on science
Discovery Communications will deliver science content to 60,000 schools, reaching 35 million pupils
Sony will support a challenge to design free, science-based video games
National Lab day, Ist week of May 2010
Also involves annual White House Science Fair
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Nanotechnology in classroom
Hello, I am Miss Marble, Compared with earth we live on, I am in the Nano size. What is Nano? Nano: 1nm=10^-9m.
ACS NanoTube Contest - What is "Nano" ?
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Effective Public Communication
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Food Nanotechnology: Understanding the
Parameters of Consumer Acceptance
Understanding of acceptable characteristics and uses of
nanomaterials in food
Establish the baseline parameters of acceptability of
nanotechnologies in food. (Qualitative interviews)
Understand who may be most open to nanotech foods
(National survey)
Understand factors that influence acceptance (Food
sensory experiment)
PD: William K. Hallman, Rutgers U.
H. Chen 7/2010 after NNCO, 4/2010Introduction to the NNI and its Investments, @ IFT 2010
Summary: Recent NNI developments
Cumulative NNI funding for nanoscale science and engineering
research, 2001-2011: over $14 billion
Over 60 NNI research centers, networks and user facilities funded
Current NNI Strategic Plan released Dec. ’07; due for update 2010
NNI EHS strategy released Feb. ’08; also due for update soon
Over $480 million in “primary purpose” EHS R&D, 2005-2011
combined; over $260 million in education and ELSI funding over the
same period
Nanoscale science, engineering and technology for food applications
is still in its infancy – amply opportunities calls for private-public
partnership (PPP)
Transparent and proactive public engagement is a key for a
successful development and deployment of nanotechnology for the
societal and consumer benefits.
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