Ethics Framework and Guidelines:
Table of Contents
Ethics Framework and Guidelines »List of Abbreviations »Preamble »Introduction »
Part I: General Consideration »On ethics »General considerations on ethics »Ethical assessment procedures and the ethics review »On participation »General considerations on participatory practices »Experiences with the ethics framework »
Part II: Tools & Guidelines »A. How should participatory processes be structured? »B. Which type of activity is targeted by the participatory process? »C. Which types of participants are targeted? »D. What are ethical issues and risks? »E. How can equal and meaningful dialogue be fostered? »F. How should participatory processes be monitored & reflected upon? »
Glossary »EC Reference Documents »Endnotes »
Ethical assessment procedures and the ethics review
Ethical compliance and appraisals such as ethics reviews in research funding tend to stay close to legal standards and regulations and in turn do not comprehensively cover intricate ethical conundrums as they arise during complex R&I processes – especially if they are structured as participatory processes. Publicly funded R&I is associated with forms of ethics assessment procedures, safeguarding the compliance of (to be funded) research with ethical principles. However, ethics reviews differ across countries and institutions, and ethical procedures are not systematically implemented in funding programs. The connection between ethical reviews and participation remains underdeveloped, as their link is often unspecified.
Ethical reviews require skills and knowledge that researchers and innovators frequently lack. Ethical analyses require familiarity and conformity with standards and an understanding of approaches to build, recognize, and justify ethical dilemmas in light of conflicting values. The notions of “right” and “wrong” are based on moral values (ideals), principles and norms that define standards – identified as “ethical principles” – some concerning individual rights, benefits, harms, fairness principles, and virtues.
Identifying possible ethical issues provides guidance for R&I and helps reflect on its implications. It may also enhance the transparency and accountability of decision-makers and could ead to better processes. As such, ethical considerations help address the complexity, uncertainty, and contestation associated with R&I, making these processes more responsible. Because it is impossible for one single stakeholder group to have a comprehensive understanding of societal risks and uncertainties, identifying and weighing ethical considerations can be supported by involving a more diverse set of stakeholders11. Such complementary perspectives allow for a more thorough grasp of both the risks and potential benefits associated with complex R&I processes, anchored in the lived experiences of affected individuals12. Thus, all dimensions of R&I, including research funding processes, could benefit from stakeholder participation.
