Ethical Governance of Research and Innovation Through Self-Regulation
Talking about governance means recognising that participation and interrelation in management or decision-making of the State, companies and civil society are necessary, and this is done by considering the many levels at which such interrelations take place: local, regional, national or international. In the RRI domain, “anticipatory governance” has been defined as “(…) a broad-based capacity extended through society that can act on a variety of inputs to manage emerging knowledge-based technologies while such management is still possible” (Guston
2014, p. 218). Therefore, anticipatory governance particularly involves motivating activities that allow the mobilisation of both expert and non-expert R&I stakeholders so that, when faced with the impossibility of calculating the probabilities of risks related to new technologies and innovation processes, they are at least able to detect certain forms of rejection, opposition and moratorium, as well as the desirable impacts believed necessary in such deliberative processes in a participated manner. In this way, anticipatory governance contemplates both hazards and risks as interests associated with technological developments (political, economic and civil society) to reach a consensus about the bases for the democratic management of the objectives that R&I must pursue (Gianni
2019).
So anticipatory governance shows that, not only are impacts or outcomes subject to democratic deliberation, but so are, explicitly or implicitly, the process, design, innovation and interests that promote scientific R&I (Urueña
2022; Wynne
2002, p. 464). Hence the institutionalisation of
ethical-discourse reflexivity favours the very possibility of this anticipatory governance, which is multi-level (local, national and international) and multi-actor (all the parties or stakeholders affected by a firm’s activity). Such an institutionalisation type like those considered here must be carried out by mechanisms of self-regulation or soft-law governance. Reaching consensuses is essential in the organisational or sectorial context so that, based on belief in the need to guide R&I activity insofar as these consensuses recognise the ethical and social values in the design, objective, processes and outcomes of research and innovation activity, these consensuses can be integrated into an organisation’s CSR policy. This would be feasible and fruitful in line with previous studies about shared and different points, and also about knowledge and acknowledgement from the business context of both approaches.
In the business context, the main driver for business ethics and CSR institutionalisation has been derived from self-regulation. This does not mean that traditional regulatory or hard-law governance frameworks are not necessary. Nevertheless, it is worth acknowledging that the latter “is not sufficient for the oversight of emerging technologies, such as AI and robotics. While government regulators and policymakers still play a critical role, oversight must be expanded to also include new institutions and methods that are more agile, holistic, reflexive and inclusive” (Wallach and Marchant
2019, p. 506). This is the main reason why combining the frameworks has been the option generally taken to encourage the institutionalisation of ethics, with the development and proposal of self-regulation frameworks (Stahl,
2021).
Examples of soft law are measurements that can be made and driven from different instances, including governments, industrial stakeholders, non-governmental organisations, professional societies, standardisation or normalisation organisations, opinion groups, public-private foundations, or any combination of these. Many examples of soft law exist, such as voluntary programmes, codes of ethics and conduct, codes of good practices, ethics committees, certification programmes, guidelines and statements of principles.
There are many advantages of governance based on self-regulation: (1) it can be adopted and amended quite quickly to adapt to any changes in the external or internal environment; (2) it can adopt the same formulation for different contexts and territories; (3) it might involve all the organisation’s stakeholders by allowing them to cooperate in its formulation even, and also during the process of setting up governance mechanisms and following them up (Wallach and Marchant
2019).
Above all, limitations have to do with the lack of mechanisms to ensure compliance, and also with the lack of coordination that regulatory mechanisms provide. It is worth pointing out that progress made in self-regulation mechanisms, reports and documents is often used as a basis for regulatory developments. Another limitation is related to the widespread use of different programmes or systems to deal with the same situation or matter, as firms may take some time in differentiating which self-regulation programme or proposal best matches its activity or which one is simpler or easier to set up, among other reasons (Wallach and Marchant
2019). This study proposes encouraging the self-regulation of business and industry that develop RRI as part of an organisation’s CSR policies which, as readers are reminded, are also self-regulation policies. In this way, integrating
ethical-discourse reflexivity into the heart of research activities will be possible. This idea falls very much in line with the demand by many experts in RRI from different fields of application (Salles et al.
2018) to integrate “ethicists and social theorists into design teams, not as naysayers, but as fellow designers sensitive to ethical and societal concerns” (Wallach and Marchant
2019, p. 507). Likewise, there is an analysis or evaluation of ethical and social impacts through rigorous risk assessments.
So it is necessary to promote and design processes in organisations that allow this second-order ethical-discourse reflection to guarantee, from the very core of the organisation, a space in which “one thinks about how one’s underlying values systems and beliefs influence the development of innovation, and what the role of the organisation and its innovation are in the wider political and socio-economic system” (Lubberink et al.
2017, p. 20). At the same time, such processes must see that the asymmetry of information, always present in business research and innovation, is no obstacle to the inclusion of stakeholders in the design and development of innovation and/or research, because, as people affected in the present or future, they must be part of the decision-making process. From a pragmatic point of view, this aspect is perhaps one of those can involve the greatest difficulties, as noted by Blok and Lemmens (
2015) and descriptively analysed by Lubberink et al. (
2019). The ETHNA System model includes this intention by incorporating bottom-up and top-down deliberation processes within the organisation itself.
The ETHNA System Model for the Business Context
Institutionalising ethical-discourse reflexivity requires spaces for dialogue and communication, whose objective is to explain the ethical-social values that the affected parties possess concerning business activity. In our case, this is the research and/or business area to jointly deliberate on them, and be able to identify those that must form part of organisations’ decision-making and guide their R&I policies. Hence they can organizationally cope with some ethical challenges in R&I matters that are considered in the business R&I context.
A governance system that, from the firm, acknowledges traditional regulatory frameworks, but goes beyond them by generating coordinated self-regulation with lawmakers and civil society. In short, governance in which the market, State and civil society work jointly in ethical orientation intends to take place in R&I, and also in areas like social innovation, biotechnologies, neurosciences, Artificial Intelligence, robotics, etc. This self-regulation affects both the organisations that finance science and those that conduct science in public/private academic or business contexts (Hovdal et al.
2022).
The ETHNA System project is working along these lines. It has proposed an ethical governance system of R&I processes in centres where research is carried out (research performance organisations – RPO) and in organisations that finance R&I (funding research organisations). So the ETHNA System is intended to promote ethical governance structures and processes for R&I in any field. By way of example, it has been recently proposed for the field of Artificial Intelligence (González-Esteban and Calvo
2022). It is being applied as six pilot schemes at two universities, and in one applied research centre, one social research centre and one technology park.
The ETHNA System comprises a structure, known as an RRI Office(r), that acts as the base of a system. The main tasks of this RRI Office(r) focus on aligning the existing resources and structures in an organisation, linked with RRI dimensions and key areas; identifying the commitment that an organisation wishes to make with RRI; drawing up an action plan that allows existing resources to move to help an organisation to be committed and to ethically promote RRI. From this point, we should work on aligning those actions that are to be developed and are linked with the organisation’s CSR. Aligning processes and analysing an organisation’s economic, social and environmental impacts from the R&I perspective will allow an organisation’s social responsibility to further develop.
The ETHNA System proposes that this RRI Office(r) has an Ethics Committee for R&I and an Ethics Line to develop its action plan and be committed to a code of ethics and practices. All these governance structures are monitored with indicators that measure not only the system’s progress but also the progress made.
For any business organisations that already have such structures linked with their Social Responsibility (Code of Ethics and Conduct, Ethics Committee, Ethics Hotline and Responsibility Report), the challenge involves developing them by considering RRI dimensions and keys so that they generate consensuses (code of good practices) on the values and norms that must orientate an organisation’s R&I activity.
The dimensions that this structure promotes are anticipation, the inclusion of all groups of interest linked with research activity, reflexivity about design, the development and impact of R&I, and the responsiveness that the whole institution must have internally and externally. The areas that the ETHNA System covers are governance, research integrity, the gender perspective, public commitment and open access, although other areas of interest to the organisation can be incorporated, such as sustainability, ethical digitisation, and so on. Considering that, as the specialised RRI bibliography shows, the thematic content of responsible innovation and research must not be understood to be constrained by the keys that were priorities in the science funding programmes within the European Union framework, nor must they be explored only in the business, technical and scientific context or paradigm (Blok and Lemmens
2015; Owen and Pansera
2019; Owen et al.
2021; Novitzky et al.
2020).
The most outstanding characteristic of the ETHNA System is that it offers a flexible ethical governance system so that all institutions, either RFO or RPO and depending on the context they operate in, e.g., universities, technology parks, innovation centres, applied research and technology centres, etc., can use the parts of the ETHNA System that they need (González-Esteban et al.,
2023). The reasons why a firm or industry adopts an ethical governance system have to do with the commitment that it aims to have with socially desirable and ethically acceptable R&I. And the motivations behind this reasons can be either normative (concerned with doing the right thing) or instrumental (achieving the acceptance of products and services) as noted in the empirical studies indicated in the first part of this article. Ethical challenges in business and industrial contexts are growing and come in different types, and such variability gives rise to unpredictable scenarios.
As this study has shown, one of the most pressing challenges identified calling for a structural response is to build ethical governance systems for R&I that can be aligned with an organisation’s CSR policies so they can be self-regulated within existing regulatory frameworks, sometimes even going beyond the provisions of these frameworks. This proposal includes the recognition of different paradigms behind RRI proposals (Timmermans & Blok,
2018). It also suggests thinking of the development of research and innovation based on an ethical and critical paradigm of governance which, at the same time, acknowledges the existence of a specific socio-political and economic governance paradigm, based on which second-order reflection has to be carried out.