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CHAPTER 37 International Governance Perspectives on Nanotechnology Water Innovation David Rejeski 1 and Evan S. Michelson 2 1 Science and Technology Innovation Program, Woodrow Wilson International Center for Scholars, Washington, DC, USA 2 Alfred 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 Introduction As 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 573 Street, 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

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Page 1: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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

Page 2: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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

Page 3: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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

Page 4: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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

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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

Page 6: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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

Page 7: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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

Page 8: Nanotechnology Applications for Clean Water || International Governance Perspectives on Nanotechnology Water Innovation

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