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Rdna Research, the Human Genome Project, and the National Nanotechnology Initiative

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Rdna Research, the Human Genome Project, and the National Nanotechnology Initiative The Expansion of Science Policy in the United States in Three Cases: rDNA Research, The Human Genome Project, and the National Nanotechnology Initiative by Matthew B. Sullivan A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy (Sociology) in The University of Michigan 2018 Doctoral Committee: Associate Professor Renee Anspach, Co-Chair Associate Professor Sandra Levitsky, Co-Chair Professor Jason Owen-Smith Associate Professor Shobita Parthasarathy Matthew B. Sullivan [email protected] ORCID iD: 0000-0001-6734-6792 © Matthew B. Sullivan 2018 DEDICATION I would like to dedicate this dissertation to everyone who got a late start. ii ACKNOWLEDGMENTS I would like to thank and acknowledge first, my committee – particularly Sandra Levitsky and Renee Anspach – who have been of invaluable service along the way. I also want to acknowledge the help of David Guston and Andrew Maynard, who helped me get this project started. Thanks are due, as well, to the Social Movements Workshop, the Medical Sociology Workshop, and the Science and Democracy Network. Special thanks to Katie Hauschildt, Kathy Lin, and Dan Hirschman for being fantastic colleagues always ready with valuable insights and to Everett Peachey and Cheyney Dobson for keeping me relatively sane throughout. iii TABLE OF CONTENTS DEDICATION ...................................................................................................................ii ACKNOWLEDGMENTS .................................................................................................. iii LIST OF TABLES ........................................................................................................... vii LIST OF GRAPHS......................................................................................................... viii LIST OF FIGURES ..........................................................................................................ix LIST OF APPENDICES ................................................................................................... x ABSTRACT .....................................................................................................................xi Chapter I ......................................................................................................................... 1 Introduction .............................................................................................................. 1 Expansion of Science Policy .................................................................................... 3 Science, Policy and American Liberal Democracy ................................................... 3 Science and Trust in The Risk Society ..................................................................... 9 Autonomy ............................................................................................................... 16 Credibility ............................................................................................................... 21 Expertise ................................................................................................................ 23 Political Imaginaries, Civic Epistemology, and Public Reason ............................... 28 The Study and Research Design ........................................................................... 35 Research Design ............................................................................................ 35 Methods of Data Collection ............................................................................. 38 iv Summary of Dissertation Chapters ........................................................................ 41 Chapter II ...................................................................................................................... 44 The Asilomar Conference and Human Genome Project ........................................ 44 Introduction ............................................................................................................ 44 rDNA Research and the rDNA Debate ................................................................... 45 A Voluntary Moratorium.......................................................................................... 47 Asilomar ................................................................................................................. 52 The Public Emerges ............................................................................................... 61 The Importance of Asilomar ................................................................................... 70 The ELSI Working Group of the Human Genome Project ...................................... 71 Policy Expansion: New Experts .............................................................................. 76 After Watson: Disciplining ELSI .............................................................................. 82 Imagining Issues .................................................................................................... 87 Conclusion ............................................................................................................. 97 Chapter III ................................................................................................................... 100 The National Nanotechnology Initiative: Societal and Ethical Implications of Nanotechnology ................................................................................................... 100 Introduction .......................................................................................................... 100 Nanotechnology and The NNI .............................................................................. 101 Societal and Ethical Implications of Nanotechnology (SEIN) and Public Engagement ......................................................................................................... 105 The Value of the NNI ............................................................................................ 113 The Public Threat to the Nanotechnology Revolution .......................................... 124 Acceptable Concerns and New Experts ............................................................... 131 v Conclusion ........................................................................................................... 141 Chapter IV .................................................................................................................. 144 Upstream Public Engagement in the NNI ............................................................. 144 Introduction .......................................................................................................... 144 Enrolling Scholars ................................................................................................ 145 The Events ........................................................................................................... 152 Competing, Coexisting and Complimentary Goals ............................................... 153 Constructing Publics, Constructing Issues ........................................................... 159 The Outcomes of Engagement ............................................................................ 170 The End of Public Engagement in Nanotechnology ............................................. 182 Conclusion ........................................................................................................... 188 Chapter V ................................................................................................................... 190 Conclusion ........................................................................................................... 190 APPENDICES ............................................................................................................. 203 BIBLIOGRAPHY ......................................................................................................... 213 vi LIST OF TABLES TABLE I.1 Temporal Typology of Risks 10 I.2 Cases and Analytical Categories 38 IV.1 Nanotechnology Deliberative Public Engagement Events 153 V.1 Cases and Analytical Categories Revisited 192 V.2 Expected Approaches to Ethical Concerns and Publics 200 vii LIST OF GRAPHS GRAPH II.1 Funded ELSI Projects Involving Publics 91 II.2 Number of ELSI Projects by NIH Category 93 II.3 Number of Annual New ELSI Projects by NIH Category 96 II.4 Funding of New ELSI Projects by Research Type 96 II.5: Funding for Core ELSI Issues Defined by NHGRI 97 III.1 NIH and NSF Budgets from 1985-2015 in 2015 Constant Dollars 115 III.2 Science Funding by Discipline 1970-2016 in 2016 Constant Dollars 116 viii LIST OF FIGURES FIGURE III.1 Agencies in the National Nanotechnology Initiative 105 IV.1 Program Component Areas from 2004 NNI Strategic Plan 184 IV.2 Program Component Areas from 2007 NNI Strategic Plan 185 IV.3 Program Component Areas from 2015 NNI Strategic Plan 186 ix LIST OF APPENDICES APPENDIX A. Descriptions of Nanotechnology Public Engagement Events 203 Southwestern Nano-Dialogue 203 Midwestern Nanotechnology Deliberation 206 National Emerging Technologies Conference 207 Eastern Environmental Risk Forums 208 B. List of Future Nanotechnology Applications 210 x ABSTRACT In recent decades, the agencies tasked with science funding and science policy in the U.S. have increasingly embraced new ideas about the role and duty of science in society. They have opened up to the idea that science and technoscience -- the intersection
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