AAAS Report on U.S. R&D in FY 2011 Washington, D.C., Feb.2009 (Preprint) 

23 

National Nanotechnology Investment 

in the FY 2011 Budget1

M. C. Roco2 

American Society of Mechanical Engineers 

INTRODUCTION

The emerging fields of nanoscale science, engineering, and technology—

which investigate how to measure and restructure matter at the atomic 

and molecular levels to create materials, devices, and systems with 

fundamentally new properties and functions—are leading to 

unprecedented understanding and control over the basic building blocks 

and properties of all natural and manmade things. The fiscal year (FY) 

2011 funding request for nanoscale science, engineering, and technology 

(in brief, nanotechnology) research and development (R&D) in 15 

federal departments and agencies is $1.76 billion (Table I-8) reflecting a 

continuous growth. This investment is known as the National 

Nanotechnology Initiative (NNI) and began in FY 2001, inspired by a 

long-term vision3

 , with a budget of $494 million.4 The NNI engages 25 

federal departments and agencies (Appendix A) in strategic collaboration 

to accelerate the discovery, development, and deployment of 

nanotechnology. Because of the NNI, federal agencies have initiated 

major new nanotechnology R&D activities under a common vision that 

supports national goals and agency missions, an extensive infrastructure 

of nanotechnology research and education centers has been established, 

and participating agencies are working together to maximize the 

effectiveness of their individual and collective investments on society. 

 

1

 The chapter is available online at http://www.aaas.org/spp/rd/rdreport10/ 2

 The author is Senior Advisor to the National Science Foundation (NSF) and 

key architect of the National Nanotechnology Initiative. Any opinions expressed 

in this material are those of the author and do not necessarily the views of NSF. 

3

 “Nanotechnology Research Directions” (M.C. Roco, S. Williams and P. 

Alivisatos), Springer 1999, adopted as an official document of NSTC in 2000. 

4

 See the NNI website at http://nano.gov 

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M. C. Roco 

The NNI vision is a future in which understanding and control of matter 

at the nanoscale will lead to a revolution in technology and industry that 

benefits society. The four goals of the NNI are to: advance a world-class 

nanotechnology research and development program; foster the transfer of 

new technologies into products for commercial and public benefit; 

develop and sustain educational resources, a skilled workforce, and the 

supporting infrastructure and tools to advance nanotechnology; and 

support responsible development of nanotechnology. 

Table I-8 (NNI). NNI budget by agency, 2009-2011 (dollars in millions) 

Agency 2009 

Actual 

2009 

Recovery* 

2010 

Estimated 

2011 

WH Request 

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 

 * Based on allocations of the American Recovery and Reinvestment Act of 2009 

(P.L. 111-5) appropriations. Agencies may report additional ARRA funding for 

SBIR and STTR projects later, when 2009 SBIR/STTR data become available. 

** Funding levels for DOE include the Office of Science, the Office of Energy 

Efficiency and Renewable Energy, the Office of Fossil Energy, the Office of 

Nuclear Energy, and the Advanced Research Projects Agency–Energy. 

*** In Tables 2–4, the 2009 and 2010 DOD figures include Congressionally directed 

funding that is outside the NNI plan ($117 million for 2009). 

**** Totals may not add, due to rounding. 

Nanotechnology is transitioning its R&D focus from nanoscale 

components to nanosystems in 2011. While the NNI continues to fulfill 

the Federal role of supporting basic research, infrastructure development, 

and technology transfer, the proposed investments for 2011 place 

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NATIONAL NANOTECHNOLOGY INVESTMENT IN THE FY 2011 BUDGET 

renewed emphasis on accelerating the transition from basic R&D 

advances into innovations that support national priorities such as energy, 

manufacturing, healthcare, and environmental protection. Three NNI 

Signature Initiatives are planned 

(http://www.nano.gov/html/research/signature_initiatives.html): 

(a) Nanotechnology Applications for Solar Energy (DOE, NIST, NSF, 

DOD, DNI, USDA/NIFA); (b) Sustainable Nanomanufacturing (NIST, 

NSF, DOE, EPA, NIH); and (c) Nanoelectronics for 2020 and Beyond 

(NSF, DOD, NIST, DOE, DNI). The NNI is also increasing its 

investments in nanotechnology-related environmental, health, and safety 

(EHS) research by 28% as compared to estimated FY2010. As a part of 

this expanded EHS effort, the Food and Drug Administration and the 

Consumer Product Safety Commission are participating in the formal 

NNI budget crosscut for the first time in 2011. 

The 21st Century Nanotechnology R&D Act (Public Law 108-153) 

authorized long-term funding levels for five agencies (NSF, DOE, 

NASA, NIST, and EPA), and new legislation for multiyear 

reauthorization is currently in preparation in Congress. 

SUMMARY OF FY 2011 BUDGET REQUEST FOR NNI

The FY 2011 President’s Request is approximately $1.76 billion for 

federal investment in nanotechnology. Approximately 65 percent of the 

total NNI funding supports academic research. About 25 percent of NNI 

funding supports R&D at government laboratories, and about 10 percent 

supports industry R&D of which about 6 percent for SBIR/STTR. 

NNI-supported R&D is reported in eight program component areas 

(PCAs); the PCAs and proposed FY 2011 funding levels across all NNI 

agencies are as follows: (1) fundamental nanoscale phenomena and 

processes, $484 million; (2) nanomaterials, $342 million; (3) nanoscale 

devices and systems, $402 million; (4) instrumentation research, 

metrology, and standards for nanotechnology, $77 million; (5) 

nanomanufacturing, $101 million; (6) major research facilities and 

instrumentation acquisition, $203 million; (7) environment, health, and 

safety (EHS), $117 million; and (8) education and societal dimensions, 

$35 million. 

The FY 2011 NNI budget request maintains fundamental nanoscale 

phenomena and processes as the largest PCA at $484 million. The 

Department of Energy now includes Advanced Research Projects-Energy 

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M. C. Roco 

(ARPA-E) and increased funding for Office of Science and the Office of 

Energy Efficiency and Renewable Energy. The fastest growing PCAs 

are in the areas of EHS to $117 million and of Nanomanufacturing to 

$101 million. 

The largest percentage increases in NNI are at agencies that have 

responsibilities related to EHS issues such as FDA, CPSC, NIOSH. 

DEPARTMENT OF ENERGY (DOE) 

In FY 2011, the total request for DOE is $424 million, including a $51 

million increase over the FY 2010 estimated budget (see Table I-8). The 

FY 2011 request includes a substantial increase in funding for research at 

the nanoscale for activities related to energy conversion and storage, at 

the Office of Science, the Office of Energy Efficiency and Renewable 

Energy, the Office of Fossil Energy, the Office of Nuclear Energy, and 

the Advanced Research Projects Agency–Energy. The FY 2011 request 

includes R&D funding for all five Nanoscale Science Research Centers 

(NSRC). Support for fundamental scientific research on nanoscale 

phenomena would be by grant programs and DOE National Laboratory 

research efforts. The Energy Frontier Research Centers and Energy 

Innovation Hubs on Fuels from Sunlight will be expanded. 

NATIONAL SCIENCE FOUNDATION (NSF) 

The FY 2011 request for NSF nanotechnology activities is approximately 

$401 million (see Table 1). NSF has provided $108 million in additional 

support for nanotechnology from ARRA funds in FY 2009 and FY 2010 

($35 million by the Directorate for Engineering and $73 million by the 

Directorate for Mathematical and Physical Sciences). 

 Table 1. NSF Directorate Budgets for NNI funding 

Biological Sciences $56.60 - $56.60 $56.60

National Nanotechnology Initiative Funding 

(Dollars in Millions)*

FY 2011 

Request

FY 2009 

Actual

FY 2010 

Estimate

FY 2009 

ARRA 

Actual

230 Computer and Information Science and Engineering 11.65 - 11.00 11.00 

Engineering 140.02 35.00 148.00 156.37 

Geosciences 0.85 - 6.33 0.85 

M athematical and Physical Sciences 194.27 72.81 190.59 172.26 

Office of International Science and Engineering 1.73 - - - 

Social, Behavioral and Economic Sciences 0 - 1.67 1.67 

Subtotal, Research and Related Activities $405.12 $107.81 $414.19 $398.75

Education and Human Resources 3.5 - 3.50 2.50 

Total, National Nanotechnology Initiative $408.62 $107.81 $417.69 $401.25
NATIONAL NANOTECHNOLOGY INVESTMENT IN THE FY 2011 BUDGET 

* Totals may not add due to rounding 

NSF supports nanoscale science and engineering in all disciplines 

throughout all research and education directorates as a mean of 

advancing discovery and innovation and integrating various fields of 

research. NNI enables increased interdisciplinarity from atomic and 

molecular levels for about 5,000 active awards representing more than 

10% of all NSF award portfolio. About 10,000 students and teachers are 

educated and trained in nanoscale science and engineering this year. 

NSF contributes to the goals and eight program component areas (PCAs) 

outlined in the NNI Strategic Plan (www.nano.gov). A main increase in 

2011 is for nanomanufacturing with a budget of $32.20. Environmental, 

health and safety implications of nanotechnology, including development 

of predictive toxicity of nanomaterials, will be investigated in three 

dedicated multidisciplinary centers and over other 60 smaller groups 

with a total annual budget of $33.01 million. The modes of support 

include single investigator, multidisciplinary team, center, and network 

awards. Ten networks for research, education, and user facilities would 

be operating in 2010 (see Table 2). The Major Research Instrumentation 

Program and other programs would continue to support the creation of 

smaller academic nanoscale science and engineering facilities. NNI 

activities at NSF are coordinated by the Nanoscale Science and 

Engineering (NSE) Group. 

Table 2. NNI R&D centers, user facilities, and networks (March 2010). 

Name Institution(s) 

NSF – ten networks 

National Nanofabrication Infrastructure 

Network (NNIN) – 15 nodes (user facilities) 

Cornell University – main node 

Network for Computational Nanotechnology 

(NCN) – 7 nodes (user facilities) 

Purdue University – main node 

National Nanomanufacturing Network (NNN) University of Massachusetts, 

Amherst – main node 

Nanotechnology in Society Network (NCN) Arizona State University and 

University of California, San Diego 

Nanoscale Center for Learning and Teaching 

(NCLT) 

Northwestern University – main 

node 

Nanoscale Informal Science Education (NISE) 

Network 

Museum of Science, Boston – main 

node 

Nanoscale Science and Engineering Centers 

(NSEC) 

University of Columbia – main node 

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M. C. Roco 

Materials Science and Engineering Centers 

(MRSECs) 

Distributed centers 

Centers for the Environmental Implications of 

Nanotechnology (CEIN) 

University of California, Los 

Angeles, and Duke University 

Center for National Nanotechnology 

Applications and Career Knowledge (NACK) 

Pennsylvania State University 

DOE – one network of five user facilities 

Center for Functional Nanomaterials Brookhaven National Laboratory 

Center for Integrated Nanotechnologies Sandia National Laboratory and Los 

Alamos National Laboratory 

Center for Nanophase Materials Sciences Oak Ridge National Laboratory 

Center for Nanoscale Materials Argonne National Laboratory 

Center for Molecular Foundry Lawrence Berkeley National 

Laboratory 

NIH – four networks 

NHLBI Program of Excellence in 

Nanotechnology 

Four distributed centers 

Nanomedicine Development Centers Eight distributed centers 

Centers of Cancer Nanotechnology Excellence Eight distributed centers 

Nanotechnology Characterization Laboratory 

(user facilities) 

Frederick, Md. campus 

NIST – two user facilities 

Center for Nanoscale Science and Technology 

(CNST) 

Gaithersburg, Md. campus 

NIST advanced nanofabrication facility 

(NanoFab) 

Gaithersburg, Md. campus 

DEPARTMENT OF DEFENSE (DOD) 

The FY 2011 request for DOD is $349 million, a decrease from the FY 

2009 estimate in the current plan, which includes congressionally 

directed funds (see Table I-8). Because DOD is a mission-oriented 

agency, its nanotechnology programs are simultaneously focused on 

scientific and technical merit and potential relevance to DOD. The 

principal DOD participants in the NNI are the Directorate for Defense 

Research and Engineering (DDR&E), the Defense Advanced Research 

Projects Agency (DARPA), the Air Force, the Army, and the Navy. The 

Defense Threat Reduction Agency (DTRA), the U.S. Army Medical 

Research and Material Command, and the Manufacturing Technology 

(MANTECH) program are evaluating nanotechnology as an investment 

area. DOD supports nanoscale science and technology in order to meet 

the national security mission. 

DEPARTMENT OF HEALTH AND HUMAN SERVICES (HHS): NATIONAL 

INSTITUTES OF HEALTH (NIH), NATIONAL INSTITUTE FOR 

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NATIONAL NANOTECHNOLOGY INVESTMENT IN THE FY 2011 BUDGET 

OCCUPATIONAL SAFETY AND HEALTH (NIOSH), AND FOOD AND 

DRUG ADMINISTRATION (FDA) 

The total HHS request for nanotechnology in FY 2011 is $414 million, 

which would support activities in NIH ($382 million, an increase of $22 

million over FY 2010 estimation), NIOSH ($17 million, and increase of 

$7 million), and FDA ($15 million, first year of funding). 

The FY 2011 NIH request would be invested in several roadmap 

initiatives5

. NIH’s priority for nanotechnology research continues to be 

creating novel diagnostic and therapeutic approaches and devices, and 

operating research capabilities to understand fundamental biomedical 

mechanisms. A consortium of 17 NIH institutes re-released the 

solicitation, Nanoscience and Nanotechnology for Biology and 

Medicine, both for regular research grants and feasibility projects. Large 

centers and related programs at the National Cancer Institute (NCI), 

National Heart, Lung, and Blood Institute (NHLBI), and Nanomedicine 

Roadmap Initiative would continue in 2011. There is a continued rampup of nanotechnology R&D funding for programs including 

implementing the Nanomedicine Roadmap Initiative, the NCI’s 

Nanotechnology Platform Partnerships and Nanotechnology 

Characterization Laboratory, the NHLBI’s Programs of Excellence in 

Nanotechnology, and the Nanotechnology Program Area at the National 

Institute of Biomedical Imaging and Bioengineering. 

The FY 2011 NIOSH request would allow intramural and extramural 

projects targeted to addressing critical research gaps around occupational 

safety and health of nanotechnology and nanomaterials. NIOSH will 

operate the Center of Excellence for Nanotechnology Research, with the 

role of coordinating nanotechnology-related activities across the institute 

and addressing critical occupational health issues. The agency plans to 

continue to develop partnerships with stakeholders and other 

organizations to enable the translation of agency activities into 

appropriate workplace practices. 

The FY 2011 FDA request will support responsible development of 

nanotechnology in several environment, health, and safety priorities: 

laboratory and product testing capacity; scientific staff development and 

training; and collaborative and interdisciplinary research to address 

product characterization and safety. The work is done under the auspices 

 

5 http://nihroadmap.nih.gov 

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M. C. Roco 

of the FDA Nanotechnology Task Force and Nanotechnology Interest 

Group (NTIG),

ENVIRONMENTAL PROTECTION AGENCY (EPA) 

The FY 2011 request for EPA is $20 million, a $2 million increase from 

the FY 2010 estimate. In line with EPA’s Nanotechnology White Paper 

(2007) and its strategic planning process, this program includes 

intramural research within EPA’s Office of Research and Development, 

as well as the extramural program that has been in place for several 

years. EPA has launched a collaborative process on Nanoscale Materials 

Stewardship for voluntary reporting of nanomaterials production under 

the provisions of the Toxic Substances Control Act (TSCA). EPA would 

continue to focus the majority of its research in 2011 on health and 

environmental implications of nanomaterials. EPA would increase its 

efforts in the area of risk assessment and risk management needs for 

nanomaterials. Finally, EPA would research nanoscale technologies as 

potential solutions to environmental problems. 

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA)

The FY 2011 NASA request for nanotechnology programs is $16 

million. The NASA Office of Advanced Technology Program integrates 

nanotechnology development in three areas: materials and structures; 

nanoelectronics and computing; and sensors and spacecraft components. 

A major focus is to advance and exploit the zone of convergence 

between nanotechnology, biotechnology, and information technology. In 

addition to basic nanoscience and nanotechnology research, NASA plans 

to invest in various application areas. 

DEPARTMENT OF HOMELAND SECURITY (DHS) 

The FY 2011 request for DHS nanotechnology programs is 

approximately $12 million. The funding increase would enable planned 

program scope changes associated with transitioning of technologies 

from proof of concept to prototype development. The DHS Directorate 

for Science and Technology (S&T) supports nanotechnology research 

that will enable critical enhancements to homeland security applications 

in advanced threat detection systems and materials and systems for 

mitigation and blast protection. 

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NATIONAL NANOTECHNOLOGY INVESTMENT IN THE FY 2011 BUDGET 

NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY (NIST) 

The NIST FY 2010 budget request for nanotechnology is $108 million. 

The Center for Nanoscale Science and Technology (CNST, Gaithersburg 

campus) will focus on collaborative nanotechnology research on costeffective manufacturing of products made with components the size of 

atoms and molecules. Additional foci at NIST include the development 

of standard reference materials for nanotechnology and research related 

to nanomanufacturing, as well as nanoelectronics. NIST has a large range 

of collaborations with industry. 

? NIST funding for EHS aspects of nanotechnology would increase from 

$3.2 million in FY 2009 to $6.2 million in FY 2010 to advance the 

development of an accurate characterization framework urgently needed 

by all federal agencies. NIST has also established a series of 

collaborative research programs focused on the new area of quantum 

nanotechnology. 

DEPARTMENT OF AGRICULTURE (USDA): COOPERATIVE STATE 

RESEARCH, EDUCATION AND EXTENSION SERVICES (CSREES) AND 

FOREST SERVICE (FS) 

The FY 2011 request for USDA is approximately $9 million for NIFA 

and $5 million for Forest Service. USDA conducts its nanotechnology 

research both in-house, at Agriculture Research Service (ARS) National 

Laboratories, and extramurally, through the partnership between the 

CSREES, the land grant universities (LGUs), and SBIR. The CSREES 

also provides leadership and financial support for education and outreach 

in all the states and territories of the United States through the LGUs. 

CSREES’s Agriculture and Food Research Initiative (AFRI) priorities 

include detection and intervention technologies for enhancing food 

safety and agricultural biosecurity; effective and safe delivery of 

bioactives in functional foods for improving human health and wellness; 

and product traceability, identity preservation, and tracking to embrace 

the continuous advancement of information technology for better 

decision-making. The FS plans to focus on applications of 

nanotechnology to enhance utilization of forest resources and research on 

low-cost forest product feedstocks for nanomanufacturing. The FS would 

support research to determine the basic nanoscale cell wall architecture 

of wood and bark, wood–binder interaction, and utilization of nanocarbon materials recovered from gasification of woody biomass, as well 

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M. C. Roco 

as characterization of nanoscale structures of chemically and physically 

altered wood fiber cell wall surfaces. 

Consumer Product Safety Commission (CPSC) 

CCPSC joins the NNI budget crosscut for the first time in 2011 with a 

request of $2.2 million for environment, health, and safety area. 

Program plans include: developing protocols to assess the potential 

release of airborne nanoparticles from various consumer products and to 

determine their contributions to human exposure; determining whether 

nanomaterials can be used for performance improvement in sports safety 

equipment such as helmets and kneepads without creating other health 

hazards; expanding consumer product testing using scientifically credible 

protocols to evaluate the exposure potential from nanosilver in consumer 

products, with special emphasis on exposures to young children; and 

working across agencies to assure that shared common public health 

concerns are met in research studies to determine potential impacts on 

the public health of nanomaterial use in consumer products. 

DEPARTMENT OF TRANSPORTATION (DOT) 

The DOT Federal Highway Administration (FHWA) budget request for 

approximately $2 million in FY 2011 would support research aimed at 

improving fundamental understanding of the structure and properties of 

highway construction materials at the nanoscale. 

DEPARTMENT OF JUSTICE (DOJ) 

The DOJ National Institute of Justice (NIJ) has two programs that 

involve nanotechnology. The first program, DNA Research and 

Development, would continue basic research as well as the 

demonstration of chip-based or micro-device technologies to analyze 

DNA in forensic applications. The second program, Chemical and 

Biological Defense, is developing wearable, low-cost devices using 

nanotechnology to provide warning of exposure to unanticipated 

chemical and biological hazards in sufficient time for its wearer to take 

effective protective measures. 

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NATIONAL NANOTECHNOLOGY INVESTMENT IN THE FY 2011 BUDGET 

Appendix A. NNI members (25 federal departments and agencies) 

Federal Agencies Participating in the NNI (March 2010) 

Federal agencies (15) with budgets dedicated to 

nanotechnology research and development 

Consumer Product Safety Commission (CPSC) 

Department of Defense (DOD) 

Department of Energy (DOE) 

Department of Homeland Security (DHS) 

Department of Justice (DOJ) 

Department of Transportation (DOT, including the Federal Highway 

Administration, FHWA) 

Environmental Protection Agency (EPA) 

Food and Drug Administration (FDA, DHHS) 

Forest Service (FS, Department of Agriculture) 

National Aeronautics and Space Administration (NASA) 

National Institute for Occupational Safety and Health (NIOSH, 

DHHS/Centers for Disease Control and Prevention) 

National Institute of Food and Agriculture (NIFA, Department of 

Agriculture)6

National Institutes of Health (NIH, DHHS) 

 National Institute of Standards and Technology (NIST, DOC) 

 National Science Foundation (NSF) 

Other participating agencies (10) 

Bureau of Industry and Security (BIS, Department of Commerce) 

Department of Education (DOEd) 

Department of Labor (DOL) 

Department of State (DOS) 

Department of the Treasury (DOTreas) 

Director of National Intelligence (DNI) 

International Trade Commission (ITC) 

Nuclear Regulatory Commission (NRC) 

U.S. Geological Survey (USGS, Department of the Interior) 

 U.S. Patent and Trademark Office (USPTO, Department of 

Commerce)

 

6

 Section 7511 of the Food, Conservation, and Energy Act of 2008 (FCEA) 

established within the Department of Agriculture the National Institute of Food 

and Agriculture (NIFA) and transferred all authorities of the Cooperative State 

Research, Education, and Extension Service (CSREES) to NIFA not later than 

October 1, 2009. 

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