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 »
Part I: General Considerations
On ethics
There is broad consensus that R&I has a substantial impact on society. Innovations are not value-neutral but rather impose certain values, worldviews, and risks on society. By way of illustration, let us consider the possible implications of Artificial Intelligence (AI). AI is often associated with positive impacts such as the automation and optimization of tasks like fraud detection, quality control, and medical screenings. However, algorithmic decision-making also entails certain risks such as biases and discrimination, data misuse, and shifting job markets. These risks are subject to heated debates and show that ethical considerations are needed to ensure that R&I processes result in socially desirable and ethically acceptable outcomes.4 This is especially urgent for ex-post ethical guidance for innovations already developed and embedded in society.
Researchers increasingly urge for early anticipatory and reflective deliberations that help collectively shape innovations when this is still possible5 (see textboxes with examples of research trends that support participation). A substantial part of this support comes from research fields like Responsible (Research and) Innovation, Open Science, Transdisciplinary Research, Technology Assessment, Citizen Science, and Ethical and Legal Aspects/Implications Research. One of their commonalities is their support for ‘upstream’ stakeholder participation already in the phases of research funding. Discussing ethical considerations through such participatory processes is one means of addressing the complexity, uncertainty, and contestation associated with (disruptive and/or controversial) R&I. Ethics cannot be reduced to standard procedures and legislation alone (soft law, ethical compliance), but is a discipline (from applied ethics to meta-ethics6) that extends the existing regulatory schemes governing the processes of R&I: ethics helps decipher legitimacy, tensions, and adequacy of processes and legal compliance while being mindful of contextual specificities.
OPEN SCIENCE
"Open science is a set of principles and practices that aim to make scientific research from all fields accessible to everyone for the benefits of scientists and society as a whole. [...] Open science has the potential of making the scientific process more transparent, inclusive and democratic.”
United Nations Educational, Scientific and Cultural Organization (UNESCO)7
CITIZEN SCIENCE
"Citizen science is an ‘umbrella’ term that describes a variety of ways in which the public participate in science. The main characteristics are that: (1) citizens are actively involved in research, in partnership or collaboration with scientists or professionals; and (2) there is a genuine outcome, such as new scientific knowledge, conservation action or policy change."
European Citizen Science Association (ECSA)8
TRANSDISCIPLINARY RESEARCH
"Transdisciplinary research [...] is a mode of research that integrates both academic researchers from unrelated disciplines – including natural sciences and SSH – and non-academic participants to achieve a common goal, involving the creation of new knowledge and theory. In drawing on the breadth of science and non-scientific knowledge domains such as local and traditional knowledge, and cultural norms and values, it aims to supplement and transform scientific insights for the good of society. It criss-crosses the traditionally separated realms of science and practice and advances both simultaneously."
Organisation for Economic Co-operation and Development (OECD)9
RESPONSIBLE RESEARCH & INNOVATION
"Responsible Research and Innovation is a transparent, interactive process by which societal actors and innovators become mutually responsive to each other with a view to the (ethical) acceptability, sustainability and societal desirability of the innovation process and its marketable products (in order to allow a proper embedding of scientific and technological advances in our society)."
René von Schomberg (2011)10
The multitude of ethical theories suggests there are several ways in which ethics can be considered in R&I. For instance, ethics can focus on particular types of entities (i.e., action, person, institution, technology); normative factors (i.e., values, consequences, virtues or norms); and foundational normative theories (ways to select normative factors and types of entities). Conflicting factors or hybrid forms of reasoning call for a move beyond regulations (as in ethics reviews/assessments), and to embrace a broader pluralistic scope. These views demand enhanced reflexivity and responsibility. Especially related to the development of digital technologies, we have also witnessed a rise of specific design approaches that are sensitive to specific values (value-sensitive design, human-centered design) or specific challenges (explainable AI, human-in-the-loop design), or the broader functioning of digital technologies (trustworthy AI).
Table of Content »