The legitimacy of transnational private governance arrangements ratated to nano-technologies

302 Pages·2015·3.01 MB·English

Cover Nanotechnology def.indd 1 07-01-2015 14:43:51
THE LEGITIMACY OF TRANSNATIONAL PRIVATE
GOVERNANCE ARRANGEMENTS RELATED TO
NANOTECHNOLOGIES:

THE CASE OF INTERNATIONAL ORGANIZATION
FOR STANDARDIZATION

Evisa Kica Ibraimi
Composition of the Graduation Committee:

Dr. Diana Bowman University of Michigan
Dr. Ellen-Marie Forsberg Oslo and Akershus University College of Applied Sciences
Prof. Dr. Nico Groenendijk University of Twente
Prof. Dr. Michiel Heldeweg Univeristy of Twente
Prof. Dr. Bärbel Dorbeck-Jung Univeristy of Twente
Prof. Dr. Linda Senden Utrecht University
Prof. Dr. Ramses A. Wessel Univeristy of Twente

The work described in this thesis was performed at the Law and Regulation Group,
Department of Public Administration, School of Management and Governance,
University of Twente, PO Box 217, 7500 AE, Enschede, The Netherlands.

ISBN: 978-90-365-3818-3
DOI number: 10.3990/1.9789036538183
Official URL: http://dx.doi.org/10.3990/1.9789036538183
This thesis was printed by CPI - Koninklijke Wöhrmann Print Service, Zutphen.
Cover Design by De Weijer Design, Baarn.
The image was downloaded from the iStockphoto.com and uploaded by xrender (real name
hidden).

Copyright © 2015 Evisa Kica Ibraimi, Enschede, The Netherlands.
All rights reserved. No part of this book may be reproduced or transmitted, in any form or by
any means, electronic or mechanical, including photocopying, microfilming, and recording, or
by any information storage or retrieval system, without the prior written permission of the
author.

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THE LEGITIMACY OF TRANSNATIONAL PRIVATE
GOVERNANCE ARRANGEMENTS RELATED TO
NANOTECHNOLOGIES:

THE CASE OF INTERNATIONAL ORGANIZATION FOR
STANDARDIZATION

DISSERTATION

to obtain
the degree of doctor at the University of Twente,
on the authority of the rector magnificus,
prof.dr. H. Brinksma,
on account of the decision of the graduation committee,
to be publicly defended
on Friday, 23rd of January 2015 at 16:45 pm

by

Evisa Kica
born on 18th of March, 1984
in Struga, Macedonia.

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The dissertation has been approved by:

Prof. Dr. Bärbel Dorbeck-Jung Univeristy of Twente (promotor)
Prof. Dr. Ramses A. Wessel Univeristy of Twente (promotor)

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Summary

This thesis argues that since the mid-2000 transnational private governance arrangements
(TPGAs) have emerged with a great promise to regulate the field of nanotechnologies due to
their potential to bring technology to the market, promote innovation and complement existing
legislation. These arrangements provide for non-binding norms grounded in practical experience
and expertise. TPGAs have not replaced the sovereignty of the nation-state, however, this thesis
argues that they have the potential to complement the conventional national and international
institutions, and become a precondition for entry into (certain) markets and/or regulatory
processes. By providing - amongst others - common vocabularies for nanotechnologies, as well
as specific information with regards to risk assessment, occupational safety and different test
methods for use at the nano scale, these arrangements have the potential to satisfy particular
(technical, scientific or regulatory) needs and/or fill a communication gap. However, as this
thesis argues, the potential of these arrangements to satisfy a specific regulatory need and/or
serve as tools for regulating technological innovation in such a challenging and emerging field
such as nanotechnologies gives rise to important theoretical and political concerns of legitimacy.
Questions of legitimacy in (nano)technology research and regulation have attracted the
attention of a wide range of scholars. Current studies have provided various norms of
legitimacy, which are crucial to guiding the functioning of governance arrangements to achieve
socially desirable outcomes at the transnational level. However, in these studies it is still unclear
whether these norms provide sufficient basis for determining the legitimacy of TPGAs related to
technology regulation. Furthermore, there have been no serious efforts made to study the
legitimacy of TPGAs related to nanotechnology regulation empirically - for example through
opinion surveys on how stakeholders perceive legitimacy in practice - on whether they accept
technology regulation or why this is not the case.
Theoretically this thesis addresses these issues through a systematic discussion on how
legitimacy may be conceptualized at the transnational level and what this concept entails. The
core of this thesis consists of developing a comprehensive empirical assessment on the
legitimacy of nanotechnology related TPGAs, explored through the case study of the
International Organization for Standardization (ISO) Technical Committee on Nanotechnology
(ISO/TC 229), which arguable is one of the core TPGAs in the field of nanotechnologies. Data
for this thesis come from interviews with 76 stakeholders participating in the setting TC 229
standards. The perceptions of stakeholders are used to understand legitimacy in practice, by
conducting empirical analysis through quantitative research methods such as opinion surveys.
The thesis finds that the legitimacy of technology related governance arrangements in practice
can be understood when stakeholders come to assess different aspects of a governance
arrangement that relate to its decision-making process, expertise and outcomes. It finds that the
perceptions of stakeholders on the legitimacy of nanotechnology standards are positively related
to their level of participation, representation in the process, but also to the expertise that
stakeholders have on nanotechnology standardization issues. The characteristics of the survey
respondents suggest that respondents from developed countries (who have been generally more
active in the decision-making process) appear to be more concerned with the benefits and
problem-solving capacity of standardization outcomes. Respondents from less developed
countries (who have been less involved in the setting of TC 229 standards) appear more
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concerned with decision-making processes guiding the development of standards for
nanotechnologies. At the practical level the responses of stakeholders seem to justify that for a
governance arrangement to be perceived legitimate both its processes and outcomes are crucial.
It is clear from this research that the participation gap, as well as the challenges to access,
control and influence the decision-making process, and benefit from TC 229 deliverables, are
likely to have important implications for the perceptions of stakeholders on the legitimacy of TC
229. This thesis argues that the legitimation of a transnational private governance arrangement
cannot be viewed as a stable condition, but as something volatile and requires that effective
strategies are deployed by relevant arrangements to improve not only the quality of their
decision-making processes, but also the quality of standardization outcomes.

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Samenvatting

Dit proefschrift betoogt dat transnational private governance arrangements (TPGAs) een
grote belofte met zich brengen om nanotechnologie te reguleren vanwege hun mogelijkheid
om nanotechnologie op de markt de brengen, innovatie te bevorderen en regelgeving te
complementeren. Deze arrangements brengen niet-bindende normen tot stand die gebaseerd
zijn op praktische ervaringen en expertise van stakeholders. Hoewel de overeenkomsten
niet in de plaats komen van de soevereiniteit van de nationale overheden, betoogt deze
studie dat ze de potentie hebben om de conventionele nationale en internationale instituties
te complementeren en dat ze een voorwaarde voor toegang tot (bepaalde) markten en/of
regelgevingsprocessen kunnen vormen. Door middel van (onder andere) een gezamenlijke
vocabulaire voor nanotechnologie en specifieke informatie ten aanzien van risico analyses,
veiligheid op het werk, en verschillende test-methoden voor het gebruik op nanoschaal,
bieden deze overeenkomsten de mogelijkheid om aan een bepaalde (technische,
wetenschappelijke of regelgevende) vereisten te voldoen en/of om een communicatieve
lacune te vullen. Zoals in dit proefschrift wordt geconstateerd, geeft het feit dat deze
overeenkomsten aan een bepaalde regulerende behoefte kunnen voldoen en/of om als
hulpmiddel te dienen voor de regelgeving van technologische innovatie in een ingewikkeld
en opkomend gebied als nanotechnologie, aanleiding tot zowel theoretische als politieke
bezorgdheid over de legitimiteit ervan.
Bezorgdheid over de legitimiteit van (nano)technologisch onderzoek en regelgeving
heeft de aandacht van een brede groep onderzoekers getrokken. Recente studies hebben
geleid tot verschillende normen van legitimiteit die cruciaal zijn om het functioneren van
governance overeenkomsten te sturen om zo sociaal wenselijke resultaten op transnationaal
niveau te bereiken. Het is echter niet duidelijk of deze normen een voldoende basis vormen
voor het bepalen van de legitimiteit van TPGAs in relatie tot technologische regelgeving.
Verder zijn er geen serieuze pogingen gedaan om de legitimiteit van TPGAs in verband met
nanotechnologische regelgeving empirisch te onderzoeken – bijvoorbeeld middels enquêtes
over hoe stakeholders de legitimiteit in de praktijk ervaren, of zij technologisch
regelgeving aanvaarden of waarom dit niet zo is.
Vanuit een theoretisch perspectief worden deze punten in deze dissertatie benaderd
in een systematische discussie over hoe legitimiteit op transnationaal niveau kan worden
geconceptualiseerd en wat dit concept inhoudt. De kern van dit proefschrift wordt gevormd
door het ontwikkelen van een uitgebreide empirische beoordeling van de legitimiteit van
aan nanotechnologie gerelateerde TPGAs, die worden onderzocht door een casestudie
analyse van de International Organization for Standardization (ISO) Technical Committee
on Nanotechnology (ISO/TC 229), een van de belangrijkste TPGAs op het gebied van
nanotechnologie. De data voor dit onderzoek zijn verzameld via interviews met 76
stakeholders die betrokken waren bij de uitwerking van de TC 229 standaarden. De
stakeholder percepties zijn gebruikt om legitimiteit in de praktijk te begrijpen door
empirisch analyses uit te voeren met gebruik van kwantitatieve onderzoeksmethoden zoals
perceptie-enquêtes.
Deze studie constateert dat de legitimiteit van technologie gerelateerde governance
overeenkomsten in de praktijk kan worden begrepen als stakeholders verschillende aspecten
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van een governance overeenkomst die in verband staan met haar besluitvormingsproces,
expertise, en de resultaten evalueren . Het blijkt dat the percepties van stakeholders over de
legitimiteit van nanotechnologie standaarden een positief verband laten zien met het niveau
van participatie van stakeholders, hun vertegenwoordiging in het proces, maar ook met hun
expertise ten aanzien van nanotechnologie standardisatie. De eigenschappen van de
respondenten van de enquête suggereren dat respondenten van meer ontwikkelde landen
(die over het algemeen aktiever zijn geweest tijdens het besluitvormingsproces) zich meer
bezig lijken te houden met de voordelen en de probleemoplossende capaciteit van
standardisatie resultaten. Aan de andere kant, respondenten van minder ontwikkelde landen
(die minder betrokken zijn geweest bij de ontwikkeling van TC 229 standaarden) lijken
zich meer bezig te houden met de besluitvormingsprocessen die ten grondslag liggen aan de
ontwikkeling van nanotechnologie standaarden. Op praktisch niveau lijken de respondenten
van mening dat bij de bepaling van wanneer een governance overeenkomst legitiem is,
zowel de processen als de resultaten van crucial belang zijn. Het wordt duidelijk uit dit
onderzoek dat zowel de participatie-afstand als de uitdagingen met betrekking tot toegang,
zeggenschap en invloed op het besluitvormingsproces, en profiteren van TC 229
deliverables, waarschijnlijk belangrijke consequenties hebben voor de percepties van
stakeholders over de legitimiteit van TC 229. Daarnaast laten de adviezen van stakeholders
over hoe legitimiteit zou moeten worden verbeterd zien dat de legitimisering van een
transnationale private governance overeenkomst niet kan worden gezien als een vaststaand
proces, maar dat het nodig is om over te gaan op effectieve strategieën om niet alleen de
kwaliteit van de besluitvormingsprocessen te verbeteren, maar ook de kwaliteit van
standardisatie resultaten .

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Acknowledgements

WOW!! I cannot believe that I am sitting today, in this lovely New Year season, to write the
acknowledgments of my thesis. It feels wonderful and the more I think about it the more
confused I get as of where to start with this piece. The PhD journey has been amongst the best
experiences I have had in my life. A job I have greatly enjoyed, travelling to places I have never
thought of and meeting wonderful people who have always been there for me. At this point, I
just want to stop for a while to express my deepest gratitude to those who have made this thesis
possible.
To begin with, I want to thank my promoters Bärbel Dörbeck-Jung and Ramses Wessel.
Thank you for making the decision to hire me to carry out this project and for believing in my
professional capabilities. Bärbel thank you for your patient guidance, encouragement and advise
you have provided throughout my PhD studies. I have been extremely lucky to be guided by a
supervisor who cared so much about my work, was open to discussions at any time and
responded to my inquires so promptly. I want to thank you in particular for your constructive
criticism and advise on how should I conceptualize legitimacy and operationalize it in a more
detailed way. Your suggestions and guidance has highly influenced my theoretical approach in
this thesis, for which I am deeply grateful. I was continuously amazed by yours and Bernard’s
hospitality and willingness to invite me at your place, which made me feel that I have easily
found a second home in the Netherlands. Thanks to you I experienced how beautiful it was to
have a team trip in one of the most beautiful Dutch islands, Schiermonnikoog. This trip was
amongst the best adventures I have experienced during this period, accompanied by such
wonderful discussions, nice food and sightseeing. Ramses thank you for your being extremely
supportive and helpful throughout this period. I really appreciate the freedom you have given me
to find my own path and for the support you have offered me continuously. Your positive
outlook in my research and thoughtful comments have highly influenced the quality of this
thesis. I really appreciate your advice on how to structure my approach on transnational
governance arrangements related to the governance of nanotechnologies. I have thoroughly
enjoyed to work with you during this period and discuss future career paths. I am deeply grateful
for the opportunities I have been able to seek thanks to your support and guidance.
My experience as a researcher at the University would not have been half as much fun
without the support of Diana Bowman. Diana, I have learned a lot from working with and
alongside you. Your straightforward criticism combined with constant support and constructive
suggestions have greatly improved my confidence and performance as a new researcher. Your
forensic scrutiny on the thesis has been extremely useful. Thank you for taking the time out of
your busy schedule to travel to Enschede, have long discussions over my research, and propose
excellent suggestions that have significantly helped me to organize my ideas and improve my
critical thinking. Your confidence in my research, energy and enthusiasm has greatly inspired
me to work with dedication. I greatly enjoyed working with you in several papers and traveling
together in many conferences.
For my research I am greatly thankful to all my study participants as well. Without their
support and collaboration this thesis would have not been possible. Thank you for your time,
critical comments and participation in the survey questionnaire. This study would also have not
been possible without the help of the Dutch Standardization Body (NEN) and its staff. I want to
thank specially Tanja van Tooren for her endless support, understanding and discussions on
nanotechnology standardization issues. Special thanks goes also to the Dutch NanoNext
Research Programme and the Dutch Ministry of Economic Affairs for supporting this research
financially.
Throughout the entire period of this project I have had the opportunity to share beautiful
and exciting moments with many colleagues I have met at the faculty. Nupur, Aline, QingQian,
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