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CHAPTER
37International GovernancePerspectives onNanotechnology WaterInnovation
David Rejeski1 and Evan S. Michelson21Science and Technology Innovation Program, Woodrow Wilson International Center for
Scholars, Washington, DC, USA 2Alfred P. Sloan Foundation, New York, NY, USA
37.1 Introduction ...................................................................................................573
37.2 Diagnosing the need.......................................................................................574
37.3 The role for policy .........................................................................................576
37.4 Conclusions...................................................................................................580
References .............................................................................................................580
37.1 IntroductionAs nanotechnology applications are being developed to provide novel solutions to
many of the world’s water problems—from developing improved desalination
methods to cleaning up emerging pollutants—the international community has a
unique opportunity to develop and implement new kinds of governance systems
that will ensure that these applications can reach the market quickly, efficiently,
and successfully. National and international regulatory bodies, from the
Environmental Protection Agency (EPA) in the United States to the United
Nations Water Program (UN-Water), can address this challenge of applying nano-
technology to improving water quality by adopting methodologies that spur inno-
vation for development early in the research process, focusing on new ways of
disseminating information about nanotechnology water applications, and consider-
ing the full life cycle of nanotechnology water applications.
This chapter will investigate some of the ways that barriers to collaboration
around nanotechnology water applications in the international arena can be
573Street, Sustich, Duncan and Savage. Nanotechnology Applications for Clean Water, 2nd Edition.
© 2014 Elsevier Inc. All rights reserved. DOI: http://dx.doi.org/10.1016/B978-1-4557-3116-9.00037-8
overcome. It begins by diagnosing the need for policy interventions with respect
to nanotechnology and water and then offers a series of recommendations for
approaches that may successfully address these challenges. The main purpose is
to present an emerging set of policy options that can accelerate the application of
nanotechnology toward improving water quality. However, without appropriate
supportive policy options that can advance innovation responsibly, there is a
potential that these benefits could be lost due to delay, lack of commercialization
opportunity, and poor public outreach and communication.
37.2 Diagnosing the needWith a number of potentially groundbreaking nanotechnology water purification
products entering the market—such as LifeStraw, a personal, portable water filtra-
tion product aimed at improving access to clean water in the developing world—
the application of nanotechnology to water has the potential to become a major
industry over the next 10�15 years [1]. In their comprehensive report
“Nanotechnology, Water and Development,” Hillie, Munasinghe, Hlope, and
Deraniyagala [2] conclude that “nanotechnology applications for water treatment
are not years away; they are already available and many more are likely to come
on the market in the coming years.” The promise of such nanotechnologies is also
well documented, ranking high on a list of potential applications for the develop-
ing world [3]. However, it is anticipated that the realization of such benefits from
nanotechnology could be hindered by challenges facing other, more conventional
technologies that have attempted to solve such development-related problems. For
example, a study comparing the use of conventional and nanotechnology water
treatment and filtration technologies notes that each faces a range of access, own-
ership, social, economic, and environmental barriers to success [4�6]. However,
in addition to these broader issues involving the application of new technologies
to international development, there is an additional set of scientific and policy
barriers more specifically related to the field of nanotechnology that could inter-
fere with the long-term success of these water applications. Without addressing
such obstacles, it remains an open question whether nanotechnology water appli-
cations will be able to surpass their conventional counterparts in terms of effec-
tiveness, reliability, and ease of diffusion.
One of the first challenges facing the application of nanotechnology to water
is addressing a number of critical, yet underlying, research areas as the field
advances. In NanoFrontiers: Visions for the Future of Nanotechnology, author
Karen Schmidt [7] reports that a discussion among leading scientists, engineers,
and policy analysts about applying nanotechnology to long-term, global problems
led to the articulation of a need for a set of information management, measure-
ment, and communication tools that will allows researchers to share vast kinds of
information quickly and efficiently. With multiple kinds of nanotechnology water
574 CHAPTER 37 International Governance Perspectives on Nanotechnology
treatment options in the pipeline, from carbon nanotube membranes to nanopor-
ous ceramics to nanoscale zero-valent iron [4], such broad research tools must be
developed to help organize and distribute a wealth of information that will
emerge from laboratories and companies over the ensuing decades. Without such
close-knit sharing of results, testing procedures, and standard material by way of
databases, interdisciplinary collaborations, and other methods, there is a real risk
that such efforts will fall prey to the drawbacks that other development-related
technologies have encountered.
Second, a clear and transparent oversight system for nanotechnology is
needed, one that demonstrates a vision, risk management principles, and a com-
mitment to investigating and anticipating risks early in the research process.
Without such a consistent regulatory approach from governments, both in the
United States and around the world, even the development of promising nanotech-
nology water applications runs the risk of being hampered by distrust from the
public at large. This may be one lesson that the introduction of nanotechnology
can learn from the uneven and often resisted introduction of genetically modified
foods: that initial lack of trust due to perceived secrecy, or concerns that poten-
tially negative health and environmental impacts are not being addressed, can be
difficult to overcome, if not insurmountable, in some cases.
As public perception research from the Project on Emerging Nanotechnologies
and others indicates [8�11], the good news is that surveys and focus groups have
shown a high degree of consistency in terms of what it takes to increase public
confidence in government and industry involved with nanotechnologies: first, dis-
closure and transparency concerning the risk and benefits of nanotechnologies;
second, more pre-market testing of products; and, third, testing done by trusted,
third-party entities. This may be particularly important in the realm of nanotech-
nology water applications, where a dynamic could emerge that has companies
from the developed world creating and marketing products for the developing
world. Over the next few years, the social contract between government, industry,
and the public around nanotechnology water applications will be defined, and cre-
ating trust will become a critical and essential factor in creating value and com-
mercialization opportunities.
Closely tied to the issues of trust and transparency is the need for extensive
risk research to determine how nanotechnology water applications might nega-
tively impact human health and environmental well-being. To date, such risk
research is generally scarce and offers little indication about how nanomaterials
such as carbon nanotubes or nano-engineered silver, that may be used for environ-
mental remediation or water filtration, could cause ecotoxicity, dispersion through
the aquatic system, or contamination of the food chain. For example, an inventory
of ongoing nanotechnology risk research projects maintained by the Project on
Emerging Nanotechnologies [12] reveals that a disproportionately low amount of
funding is being directed into looking into these environmental impact questions.
Affected populations will begin to ask if such materials lead to uptake in the
drinking water or persist in soil for extended periods of time.
57537.2 Diagnosing the need
For some nanomaterials, such as silver, there still remains uncertainty as to
how government regulators will respond to its use in a variety of applications
[13], and there are also concerns from environmental groups that the same proper-
ties that make nanoscale silver beneficial in improving water quality—because its
enhanced properties are more effective at killing off bacteria and microbes—will
be the same properties that reduce the effectiveness of municipal water treatment
facilities that rely on the action of bacteria and microbes to purify sewage and
wastewater [14�15]. As Breggin and Pendergrass [16] note, there is even grow-
ing concern that certain classes of nanomaterials may, in the future, be considered
hazardous waste due to their as-of-yet unknown toxicological properties, creating
potential legal liabilities for manufacturers, investors, and insurers. Addressing
such uncertainties early in the development process would be beneficial and could
help avoid health, environmental, and legal problems in the future.
Finally, nanotechnology faces the problem of waiting for a “killer applica-
tion”—an indispensable, high-profile application that transforms the industry from
its nascent stages of research to a more mature stage of commercialization—
that has yet to arrive. Certainly, a nanotechnology water application, whether it is
used for desalinization, purification, or recycling, could serve as such a visible use
for the technology. However, without such a “got to have it” product or set of pro-
ducts, the presumed nanotechnology revolution risks becoming out of date in
today’s rapidly advancing technological landscape. There are already signs of
“nano fatigue,” with scientists, policymakers, and media outlets beginning to focus
on emerging fields of synthetic biology, advanced climate change, and next-
generation robotics. Whereas transformative breakthroughs take time, advancing
nanotechnology water applications will require that a range of stakeholders, includ-
ing government, identify long-term goals and develop a well-articulated strategy
for reaching them. Although such roadmaps are available from a variety of organi-
zations, such as the Foresight Nanotech Institute [17], governments needs an
improved process of searching for new, “game changing” ideas for improving
water quality and helping to transform them into revolutionary products and ser-
vices that would benefit people in the developed and developing world.
37.3 The role for policyGiven these challenges, there is clearly a role for policymakers to play in advanc-
ing the application of nanotechnology toward improving water quality. It is antici-
pated that a suite of policy actions is needed that are both coordinated and
integrated across a range of disciplinary boundaries and local, state, national, and
international actors. One theoretical approach useful in conceptualizing such gov-
ernance options is the “Frame One” and “Frame Two” context developed in a
White Paper from the International Risk Governance Council [18] and a confer-
ence report from the Swiss Re Centre for Global Dialogue. The notion is that
576 CHAPTER 37 International Governance Perspectives on Nanotechnology
addressing nanotechnology’s oversight and public risk perception may shift from
a situation where “existing risk management approaches are directly applicable”
(Frame One) to a situation where “a set of new risks could emerge through the
profound shift in technical capabilities that nanotechnology offers” (Frame Two)
[19].
Such changes in governance strategies are critical to adequately respond to the
complex and interrelated impacts of these nanotechnology applications. As Olson
and Rejeski [20] note, “traditional policy approaches based on hierarchical sys-
tems of command and control and market interventions will need to be comple-
mented by the use of networks to steer change.” In practice, this change of
mindset has started to occur through the proliferation of voluntary codes of
conduct—for example, the Responsible Nano Code in the United Kingdom
[21]—and industry and nongovernmental risk management frameworks—for
example, the Nano Risk Framework created by Environmental Defense and
DuPont Corporation in the United States [22]. Such oversight experimentation
will work to ensure that there is a commitment toward pursuing nanotechnology
water applications in a coherent and sustainable manner. Although the options
presented here are not the only ones available that could jump-start innovation
aimed at addressing such long-term problems, they do center on actions that could
be undertaken in the short term and that could foster cooperation among a range
of interested stakeholders.
One way to address the challenges outlined earlier is to offer innovation
inducement awards and prizes—a topic that has gained considerable attention
from policy analysts over the past few years in reports from Kalil [23] and The
National Academies [24]—in the area of nanotechnology applications for improv-
ing water quality. Such a prize could establish key scientific and technical bench-
marks that would need to be achieved in order to receive the monetary amount of
the prize or the award. As Schmidt states in Green Nanotechnology: It’s Easier
Than You Think [25], such a prize would fit well under the concept of green
nanotechnology, an approach to risk mitigation that encompasses three comple-
mentary goals of advancing the development of clean technologies that use nano-
technology, minimizing potential environmental and human health risks
associated with the manufacture and use of nanotechnology products, and encour-
aging the replacement of existing products with new nanotechnology products
that are more environmentally friendly throughout their life cycles.
Such a “GreenNano Water Award” could help elevate green nanotechnology’s
visibility in a number of ways and, in turn, stimulate further innovation. For
instance, recognizing innovative approaches to improving water quality based on
nanotechnology would reward scientists and engineers working in this emerging
area, may attract more scientists to the field, and help retain them over the course
of their careers. Offering a financial award could help researchers and developers
commercialize their green nanotechnology innovations and make green nanotech-
nology a visible national and international priority. An award program could also
increase knowledge on efforts in green nanotechnology by consolidating and, in a
57737.3 The role for policy
sense, creating an inventory of ongoing activities. Anastas and Zimmerman [26]
note in their report “Green Nanotechnology: Why We Need a Green Nano Award
& How to Make It Happen” that such a prize would take advantage of the unprec-
edented opportunity to “green” the wider emerging nanotechnology production
infrastructure and, in terms of applications that improve water quality, would
have the opportunity to positively shape investments in environment-friendly
facilities, foster open intellectual property arrangements, and create mutual
responsibility across supply-chain relationships. In short, an award that recognizes
green nanotechnology water applications would significantly influence key pro-
duction choices that will become “locked-in” over the next 5�10 years.
Second, funding nanotechnology water research and applications could
become a strategic investment goal of government agencies in the United States,
including the EPA, the National Science Foundation (NSF), the Small Business
Innovation Research (SBIR) Program, and the Small Business Technology
Transfer (STTR) Program. Ideally, such funding efforts could be conducted in
collaboration with international partners, in the European Union (EU) and East
Asia, and through organizations such as UN-Water and the Organisation for
Economic Co-operation and Development (OECD). Such joint funding projects
on a particular topic, such as nanotechnology and water, would be a novel way to
stimulate the creation of international research networks and share technical,
logistical, and commercialization expertise across leading developing countries,
such as India and China [27]. In his report EPA and Nanotechnology: Oversight
for the 21st Century [28], J. Clarence Davies noted that a renewed emphasis on
international efforts, such as the ones described earlier, would be necessary to
help the United States maintain and continue its leadership in nanotechnology
over the next 2�5 years. Such collaborations are rapidly occurring between devel-
oping countries [29] and between countries in the developed and developing
world [30�31] and could easily be focused around an organizing topic such as
nanotechnology and water. However, without policy changes and a renewed
emphasis on technical assistance programs, diffusion of such cutting-edge tech-
nologies to the developing world will fall short and the problem of poor water
quality will persist. Therefore, formal collaborations are needed at the micro-level
(between individual researchers), meso-level (between individual universities or
companies), and macro-level (between nations or groups of nations), and they
could culminate in an International Year of Water Nanotechnology that brings
increased attention to nanotechnology’s environmental applications.
This concept of an “International Year” of nanotechnology leads to a third
policy action, which centers on developing an advanced outreach and communica-
tion strategy for nanotechnology water applications. Although viewing communi-
cations as a policy tool may not appear, at first glance, to be a worthwhile
endeavor, it is evident that the lack of public awareness about nanotechnology’s
potential applications can hinder its growth and potentially lead to backlash or
rejection of the technology [9�10]. Disseminating information about such
research and potential applications can be a powerful advancement tool,
578 CHAPTER 37 International Governance Perspectives on Nanotechnology
particularly when using interactive, new media outlets, such as podcasts, video
links, blogs, and video games. For example, a podcast on nanotechnology and
clean water applications—“Plenty of Clean Water at the Nanofrontier” [32], fea-
turing researcher Eric Hoek (see also Hoek and Ghosh, Chapter 9)—is available
online at the Project on Emerging Nanotechnologies website. There may also be
other strategies—such as a word-of-mouth information campaign focusing on
nanotechnology and water—that use the power of personal conversation to spread
information about this emerging area of research. Such a word-of-mouth cam-
paign could help diffuse knowledge of new ideas by targeting individual trendset-
ters that can inform larger groups of people through their own influential
networks. The advantage of launching an informational nanotech campaign on the
topic of water applications using word-of-mouth is that the communication infra-
structure, know-how, and evaluation systems are already in place, and are rapidly
improving. An innovative word-of-mouth campaign could place nanotechnology
water applications into the world of everyday conversation, where messages are
built on trust and understanding rather than on hype and jargon.
Finally, concerns about potential health and environmental impacts of nano-
technology water applications can be addressed by encouraging companies to
undertake robust life cycle assessments (LCAs) of their products before they enter
the market. A cradle-to-grave look at the health and environmental impact of a
material, chemical, or product, LCAs can be essential tools for ensuring the safe,
responsible, and sustainable commercialization of nanotechnology, provide the
advantage of making potential problems known early in the innovation process,
and encourage confidence in the consumer that companies have practiced due dil-
igence and foresight. In particular, LCAs conducted in partnership between gov-
ernment and industry—or by independent, third parties—have the power of
presenting a degree of objectivity about the scientific and technical findings. Such
public�private partnerships also encourage the sharing of information among par-
ticipants, with government gaining early information about new kind of products
and with industry gaining experience in responding to and addressing critical
questions about environmental safety and health.
Nanotechnology products designed to improve water quality are natural candi-
dates for LCA analysis because they could potentially have long-term effects
across multiple stages of use, from generation to consumption to disposal.
A report from a workshop on this topic, “Nanotechnology and Life Cycle
Assessment: A Systems Approach to Nanotechnology and the Environment” [33],
points out that wisely implemented assessment tools, such as LCA, can help
enable governments, industry, and consumers to compare the environmental per-
formance of a novel nanotech product with that of conventional products already
on the market. However, the report also points out that major future efforts related
to data gathering, protocol implementation, and practical measurement methodol-
ogies are needed if potential risks are to be fully addressed by LCAs. Options are
available to fill in these gaps, through the undertaking of LCA case studies of rep-
resentative materials and the adoption of standardized LCA reporting mechanisms
57937.3 The role for policy
and terminologies, but action is needed soon if such information is going to sig-
nificantly impact early stage innovation.
37.4 ConclusionsIn the end, only a concerted effort to think ahead about nanotechnology water
applications on a global level will ensure that their full potential will be realized.
Clearly, challenges remain, from ensuring that appropriate research tools are
widely available to addressing concerns about environmental health and safety
risks to implementing a clear and transparent oversight system. Responding to
these problems will require an integrated set of forward-looking policy solutions
that combine high-profile incentive awards for innovation; targeted, coordinated,
and strategically planned investment at the international level; a renewed focus on
public outreach and communication; and reliance on life cycle assessments to
identify long-term risks. Undertaking these actions will require intellectual, finan-
cial, human resource, and time commitments from a range of stakeholders. This
process must begin to move forward at a rapid pace to match the speed of nano-
technology innovation.
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582 CHAPTER 37 International Governance Perspectives on Nanotechnology