Nanoscale Science and Engineering Center Performance on Societal Objectives

Jan YoutieGeorgia Institute of Technology

American Evaluation Association Annual Meeting, November 2011

Objectives

• Understand the context of evaluating NSECs on the societal goal

• Apply an “additionality” framework• Share evaluation findings and conclusions

NSEC Evaluation v. Societal Goal

• Ethical, legal, societal implications (ELSI) assessments since Human Genome Project (late 1980s)– High levels of impact not acknowledged (Marshall 1996,

Fisher 2005)• The scope of societal assessment broadened beyond

ELSI – economic impact, equity, privacy, security, environmental

effects, public deliberation, public perception, media and culture (Mnyusiwalla et al. 2003; Sheetz et al. 2005; Bennett and Sarewitz 2006)

• Framework for integrated and interdisciplinary approach to nano R&D

• Encourages applications of nano for productivity, industrial competitiveness

• Provides for nano education and training

• Requires ethical, legal, environmental, and other societal concerns to be addressed

Sec 2(b)(10): Establishes societal implications

research program Requires nano research centers

(NSECs) to address societal implications

Integrates societal, ethical, environmental concerns with nano R&D

Ensure advances in nanotech lead to quality of life improvements for all

Provides for public input

ContextThe U.S. 21st Century Nanotechnology R&D

Act of 2003 (PL 108-153)

Nanotechnology’s societal objective has undergone change

• Pre 2005: Societal + Environmental, Health, Safety (EHS)

• 2005-2010: Societal separated from EHS; education is sometimes included

• 2010-2011: Societal becomes responsible governance; EHS is sometimes included

Nanotechnology Budget: Societal and EHS Components v. Overall Budget

($millions)

2007 2008 2009 2010 2011$0

$20

$40

$60

$80

$100

$120

$140

$0

$500

$1,000

$1,500

$2,000

$2,500

EHSSocietalAll Nano

Source: National Nanotechnology Initiative, budget, various years.

NSF Nano and Society Initiatives[Past and present major projects]

Center for Nanotechnology

and SocietyUC Santa Barbara

Center for Nanotechnology

and SocietyCNS-ASU

Nanoscale Interdisciplinary Research TeamUniversity of South Carolina

Nanoscale Interdisciplinary Research TeamHarvard/UCLA/NBER (incl. Georgia Tech)

Nanoscale Interdisciplinary Research TeamMichigan State University

National Nanotechnology InfrastructureNetwork – Cornell University

National Science Foundation(ENG/SBE)

Arizona State University

Georgia TechU Wisconsin-Madison

U Colorado-BoulderNorth Carolina State U

Rutgers University

NanoBank (Nano Connection to Society)

Nanoscale Engineeringand Science Centers (NSEC)

Nano developmentGlobal innovationResponse to nano

Education, outreachReal-time technologyassessment

Education, outreach

Nano societal publications on the rise19

8219

8319

8719

9119

9219

9319

9419

9519

9619

9719

9819

9920

0020

0120

0220

0320

0420

0520

0620

0720

0820

09

0

20

40

60

80

100

120

140

160

180

200

Nano in Social Science is Multidisciplinary

Information Science & Library Science Computer Science, Interdisciplinary Applications

Multidisciplinary Sciences Planning & Development

Ethics Business

Social Issues History & Philosophy Of Science

Management Medical Ethics

Social Sciences, Biomedical Law

Social Sciences, Interdisciplinary Chemistry, Multidisciplinary

Engineering, Multidisciplinary Medicine, Legal

0 5 10 15 20 25 30 35 40

# Publications

Source: Shapira, P., J. Youtie, and A.L. Porter. 2010. The Emergence of Social Science Research in Nanotechnology. Scientometrics. 85(2): 595-611.

And draws on a further set of

multi-dimensional

sources

Source: Shapira, P., J. Youtie, and A.L. Porter. 2010. The Emergence of Social Science Research in Nanotechnology. Scientometrics. 85(2): 595-611.

Source: Shapira, P., J. Youtie, and A.L. Porter. 2010. The Emergence of Social Science Research in Nanotechnology. Scientometrics. 85(2): 595-611.

and multi-disciplinary sources

NSEC Societal Evaluation

• Societal goal: “Support responsible development of nanotechnology”

• Mainly carried out by 2 specialized societal NSECs

• Early centers did not have a societal goal requirement, but all have societal activities

Behavioural Additionality Framework

Type of Additionality Description

None No inputs are allocated, goals are not addressed

Input Change to inputs, implementation is outsourced, goals are addressed

Behavioural Change to inputs and behaviour, implementation is outsourced and in-house, goals are fully addressed

Source: Abdullah Gok, (2010). An Evolutionary Approach to Innovation Policy Evaluation: Behavioural Additionality and Organisational Routines, University of Manchester, UK.

Analysis of Societal Goal v. Center Activity

Type of Additionality Description

None •Original centers did not have a societal component

Input •Center allocates funding to address societal goal •Social scientists receive funds and implement•Societal projects not always related to center mission

Behavioural •Change to inputs and behaviour•Some implementation is outsourced to social scientists, some fulfilled by center leaders•Societal goals change the way the center operates

Diversity of Outsourced Societal Activities

• History of a prize winning scientist• Survey of nanotechnology industry leaders• Case study of technology transfer institutions at the university• Study of online resolution of intellectual property disputes involving

nanotechnology• Public perceptions of nanotechnology from media and public culture

portrayal• Visual representations/pictoral images of nanotechnology• Citizen engagement through consensus conference• Dissemination of nanotechnology in Internet media• New measurement approaches to studying environmental, health and

safety effects of nanoparticles in complex samples• Toxicity models and studies of nanomaterials in fluidic conditions

Case Study: Center for Biological and Environmental Nanotechnology (Rice U.)

• Participation in standards committees– Important for creation of terminology for nanotechnology for regulatory purposes– Development of good practice documentation and databases– Creates path for future EPA and FDA policies

• New organizational approaches: International Council on Nanotechnology– Database of nano EHS articles– Working groups of company participants– Occupational health and safety good practice guidebook

• Global implications– Work on nano-enabled water purifications in developing country contexts open

source “recipe” for removal of arsenic in water enhanced understanding of of nanotechnology adoption in developing countries

• Nano Environmental Health and Safety (EHS) thinking about policy and ethical issues– Nano EHS policy design and creation of Nano EHS as a scientific subfield

Limitations

• The societal goal concerning nanotechnology has evolved from a definitional perspective

• This goal operates in a research context that is growing and multidisciplinary

• The main effort of the NSEC program toward the goal is carried out by two specialized centers not part of this evaluation

Observations• NSECs v. societal goal most commonly use an “outsourcing

approach” consistent with Gok’s “input additionality” construct– The connection to the center is more indirect, less well integrated.

• One center significantly exhibited “behavioural additionality” in changing the way it worked as a result of engagement with the societal goal– Centers working on health/environmental aspects of

nanotechnology address problems of a societal nature that are configured within their field of research

• The societal goal seems in the same position as the education goal for centers in the 1990s, suggesting it may become more well integrated, easier to understand