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NANOTECHNOLOGY RESEARCH IN THE US AGRI-FOOD SECTORAL SYSTEM OF INNOVATION: TOWARD SUSTAINABLE DEVELOPMENT A Dissertation Presented to The Academic Faculty By Rodrigo Cortes-Lobos In Partial Fulfillment Of the Requirements for the Degree Doctor of Philosophy in the School of Public Policy Georgia Institute of Technology May 2013 NANOTECHNOLOGY RESEARCH IN THE US AGRI-FOOD SECTORAL SYSTEM OF INNOVATION: TOWARD SUSTAINABLE DEVELOPMENT Approved by: Dr. Susan E. Cozzens, Advisor Dr. Richard Barke School of Public Policy School of Public Policy Georgia Institute of Technology Georgia Institute of Technology Dr. Juan Rogers Dr. Wenda K. Bauchspies School of Public Policy School of History Georgia Institute of Technology Georgia Institute of Technology Dr. Jennifer Kuzma School of Public Affairs University of Minnesota Date Approved: January 7, 2013 To my wife Beatriz, Martina and Emiliano For their infinite patient and love ACKNOWLEDGEMENTS1 I want to thank all the people that shared in this important moment and helped me achieve this goal in my academic life. First, I’d like to thank my wife Beatriz who always was my close collaborator and confident partner in this journey. We both learned how to successfully navigate this turbulent ocean of new emotions, worries, expectation, and happy moments during these years. To my daughter Martina and son Emiliano, who were both taken from the comfort life in Chile to initiate a journey that required them an accelerated process of learning and adaptation to new realities, people and language, without your constant love and happiness this voyage could never get to harbor. To my parent, Juan Cortes Monterrichard, and Sonia Lobos Puelles, I would like to thank you for always supporting me in each step of my life. I want to express my gratitude to my advisor Dr. Susan Cozzens, who has been very important, not only in the finalization of this dissertation, but also in giving me support and constant advice to help my academic career. I am also very grateful to my dissertation committee that helped me to shape the ideas and concepts that I finally wrote in this work. I want to thank my friends and colleagues from the TPAC research group, especially Diran Soumonnni and Thomas Woodson with whom I shared many research hours and had many good conversations. To my friends in School of Public Policy, and to all of those people that in one way or another help me to transit this journey in a more 1 This material is based upon work supported by the National Science Foundation under grant No. 0531194under Cooperative Agreement of the Center for Nanotechnology and Society at Arizona State University Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author and do not necessarily reflect the views of the National Science Foundation. iv comfortable way, thank you. To Mercedes Martinez, my friend who spent a lot of time making revision of my dissertation, I appreciate all that you did. Last, but not least, I want to acknowledge the Universidad de Talca, the Fulbright Commission, and the Chilean Ministry of Education for financially supporting my PhD. studies in the United State of America. I would like to thank to the Center for Nanotechnology in Society in Arizona State University and the colleagues at TRC1 research group for supporting my dissertation research.     v TABLE OF CONTENTS  ACKNOWLEDGEMENTS………………………………………………………..……..iv LIST OF TABLE……………………………………………………………………..…..ix LIST OF FIGURES…………………………………………………………………..…...x SUMMARY………………………………………………………………………….......xii CHAPTER 1: INTRODUCTION. ...................................................................................... 1 1.1 Research Background and Motivation .......................................................................... 2 1.2 Nanoscience and Nanotechnology ................................................................................ 5 1.3 Nanotechnology in the U.S. Agrifood Sector ............................................................... 6 1.4 Risk Governance in Agrifood Nanotechnology ............................................................ 8 1.5 Theoretical Frameworks ............................................................................................... 9 1.6 Research Question and Methodology ...................................................................... 12 1.7 Significance and Contribution .................................................................................... 16 1.8 Structure of the Dissertation ....................................................................................... 18 CHAPTER 2: LITERATURE REVIEW. ......................................................................... 19 2.1 Introduction ................................................................................................................. 19 2.2 Sectoral System of Innovation .................................................................................... 20 2.3 Advocacy Coalition Framework (ACF) ...................................................................... 25 2.4 The US agrifood System and its Institutional Framework.......................................... 31 2.5 Sustainable Development............................................................................................ 38 2.6 Nanotechnology Governance ...................................................................................... 46 2.7 Nanotechnology and Risk ........................................................................................... 48 2.8 Agrifood Nanotechnology .......................................................................................... 50 2.9 Theoretical Background .............................................................................................. 55 2.10 Research Questions ................................................................................................... 60 2.11 Description of Variables ........................................................................................... 61 CHAPTER 3: DELIMTING THE AGRIFOOD NANOTECHNOLOGY SECTOR, RESEARCH DATA AND METHODOLOGY ................................................................ 64 3.1 Introduction ................................................................................................................. 64 3.2 The US agrifood nanotechnology sector..................................................................... 65 3.2.1 Policy Context of the national nanotechnology research agenda in the US ............ 65 3.2.2. Policy Context of the Nanotechnology Research Agenda in the US agrifood Sector ................................................................................................................................. 66 3.3 Data ............................................................................................................................. 72 vi 3.4 Research Design.......................................................................................................... 81 3.5 Techniques of Analysis ............................................................................................... 82 3.6 Advantages and Limitations of the Data and Methodology ....................................... 86 CHAPTER 4:THE US AGRIFOOD NANOTECHNOLOGY: KNOWLEDGE AND TECHNOLOGIES. ........................................................................................................... 88 4.1 Introduction ................................................................................................................. 88 4.2 The US Agrifood Nanotechnology Research Sector .................................................. 89 4.2.1 Actors and Research Collaboration ......................................................................... 92 4.2.2 Bibliometric Analysis of the US Agrifood Sector ................................................... 96 4.3 The US Agrifood Nanotechnology by Research Area .............................................. 102 4.3.1 Biosensors: ............................................................................................................. 105 4.3.2 Environmental Processing ..................................................................................... 109 4.3.3 Sustainable Agriculture .......................................................................................... 111 4.3.4 Pathogen Detection ................................................................................................ 112 4.3.5 Plant Production and Nanobiotechnology ............................................................. 115 4.3.6 Veterinary Medicine and Animal Production ........................................................ 117 4.3.7 Nano-bioindustrial Products .................................................................................. 119 4.4 US Agrifood Environmental, Health and Safety (EHS) Research ........................... 122 4.5 Conclusions ............................................................................................................... 126 CHAPTER 5:ACTORS AND NETWORKS – THE INFLUENCE OF ADVOCACY COALITION GROUPS. ................................................................................................. 128 5.1 Introduction ............................................................................................................... 128 5.2 Evidence of Advocacy Coalitions in the US Nanotechnology Agrifood Sector. ..... 131 5.3 “Pro-nano” Advocacy Coalition A ........................................................................... 134 5.3.1 Beliefs of Advocacy group Pro-nano ..................................................................... 134 5.3.2 Advocacy Pro-EHS Research Subgroup ................................................................ 138 5.3.3 Bio-base nanoparticles Advocacy Subgroup ......................................................... 142 5.4 Resources Pro-nano Advocacy Group ...................................................................... 144 5.5 Relationships among Pro-nano coalition’s members ................................................ 145 5.6 “Pro Nano-Regulation” Advocacy Coalition B ........................................................ 149 5.6.1 Beliefs of Advocacy group Pro nano-regulations .................................................. 151 5.6.2 Resources Pro Nano-regulation Advocacy Group ................................................. 162 5.6.3 Relationships among Pro Nano-Regulation coalition’s members ......................... 165 5.7 Conclusions ............................................................................................................... 167 CHAPTER 6:US AGRIFOOD NANOTECHNOLOGY RESEARCH AGENDA AND ITS INSTITUTIONAL FRAMEWORK ........................................................................ 171 6.1 Introduction ............................................................................................................... 171 vii Advocacy groups Participation in the US Nanotechnology Research Agenda .............. 173 6.2 Advocacy groups Participation in the US Nanotechnology Research Agenda…….173 6.3 Pro-nano Coalition Participation in Influencing the US Nanotechnology Policy Subsystem .............................................................................................................. 174 6.4 The Nano-debate on Risks versus Benefits .............................................................. 178 6.5 The Battle for Regulating Nanotechnology .............................................................. 187 6.6 Conclusions ............................................................................................................... 192 CHAPTER 7:CONCLUSIONS AND POLICY IMPLICATIONS. ............................... 195 7.1 Introduction ............................................................................................................... 195 7.2 General Observations and Findings .......................................................................... 196 7.3 Theory Implications .................................................................................................. 204 7.4 Policy Implications ................................................................................................... 208 7.5 Conclusions ............................................................................................................... 211 APPENDIX A:Case Study Protocol. .............................................................................. 212 I Theoretical Frame ......................................................................................................... 212 II Data Gathering Plan .................................................................................................... 214 III Data Analysis Plan and Reporting ............................................................................. 220 APPENDIX B:KEYWORD STRATEGY SEARCH. ................................................ 221 Crop-specific search terms for the agri-food analysis .................................................... 221 REFERENCES ............................................................................................................... 228 viii LIST OF TABLES Table 1: Four Dimension Sustainability Goals ................................................................. 42 Table 2: Recommended USDA Budget Nanotechnology Agrifood Program 2003. ........ 68 Table 3: Interviews Nanotechnology Agrifood Sector in the US ..................................... 79 Table 4: Official Documentation Related to Nanotechnology ......................................... 80 Table 5: Pro-nano advocacy group Line of Argumentation ........................................... 133 Table 6: IFT’s Food Nanoscience Working Group Strategy Plan .................................. 135 Table 7: Arguments Coalition A to Support Their Research Area. ................................ 137 Table 8: Arguments Subgroup Pro-EHS Research ......................................................... 140 Table 9: Beliefs Subgroup Bio-base Nanoparticles ........................................................ 143 Table 10: Advocacy Pro-nano Coalition’s Available Resources .................................... 144 Table 11: Advocacy Pro Nano-regulation Coalition’s Available Resources .................. 164 Table 12: Advocacy Group Members’ Participation on the US Nanotechnology Regulation Framework in 2006 ........................................................................ 182 Table 13: Advocacy Group Members’ Participation on the US Nanotechnology Regulation Framework Period 2007-2012 ........................................................ 185 Table 14: Public Comments on FDA’s Draft Guidance ................................................. 189 ix LIST OF FIGURES Figure 1: Diagram of the Advocacy Coalition Framework .............................................. 28 Figure 2: The three Pillars of Sustainability (Brundtland 1987) ....................................... 41 Figure 3: Conceptual Framework to Study the Use of Nanotechnology in the US Agrifood Research Agenda ............................................................................................... 58 Figure 4: USDA Annual Budget for Nanotechnology Research Period 2001-2010 ........ 71 Figure 5: Number Publications CNS-ASU Nanotechnology Bibliometric Dataset Period 2000-2010 ......................................................................................................................... 74 Figure 6: Geographical Distribution of Intervieews ......................................................... 79 Figure 7: US and World Trend in Agrifood Nanotechnology Publications Period 2000- 2010................................................................................................................................... 90 Figure 8: Trend in Agrifood Nanotechnology Publication by Country Period 2000-2010 ........................................................................................................................................... 91 Figure 9: Rate of growth of Agrifood nanotechnology Publications in relation to Total US nano Publications Period 2000-2010………………………………………………..92 Figure 10: Cross correlation map of US Research Organizations Period 2000-2010 ...... 95 Figure 11: Main Concepts results of the US Agrifood Nanotechnology sector Period 2000-2010. ........................................................................................................................ 97 Figure 12: Keywords results of the US Agrifood Nanotechnology Sector in Period 2000- 2010................................................................................................................................... 99 Figure 13: Four Dimension Sustainability Goals with relation to Nanotechnology Research in Soil .............................................................................................................. 100 Figure 14: Four Dimension Sustainability Goals with relation to Nanotechnology Research in Pesticide and Insecticide ............................................................................. 102 Figure 15: US Agrifood Nanotechnology Research Topics Development in the Period 2000-2010……………………………………………………………………………... 104 Figure 16: Trend in Nanotechnology Sustainability Research in US Agrifood Sector 2000-2010 ....................................................................................................................... 105 x

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1.3 Nanotechnology in the U.S. Agrifood Sector 6 . 4.2 The US Agrifood Nanotechnology Research Sector .
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