Advertisement

NanoEthics

pp 1–26 | Cite as

Models of Anticipation Within the Responsible Research and Innovation Framework: the Two RRI Approaches and the Challenge of Human Rights

  • Daniele RuggiuEmail author
Original Paper
  • 25 Downloads

Abstract

Anticipation is one of the main goals of new governance models, such as Responsible Research and Innovation. However, there is not a single mode of anticipation in this model. Two approaches can be addressed within the RRI framework: a socio-empirical one, which tends to underline the role of the democratic processes, aimed at identifying values on which governance needs to be anchored (bottom-up); and a normative one, which stresses the role of EU goals (among which are fundamental rights) as ‘normative anchor points’ in governance (top-down). These two approaches also address two different models of anticipation: one based on the construction of shared pathways for reflexivity on the purposes of innovation (visions), the other based on the progressive implementation of constitutional goals in risk assessment and management tools. However, both can be deemed partially unsatisfactory from the standpoint of human rights since one puts individual rights in the middle of the ‘values lottery’ where any participatory process ultimately leads; the other can be inadequate since fundamental rights are balanced alongside other goals and thus can be (totally or partially) sacrificed, exposing the system to possible adverse court decisions. The normative framework of human rights can help to counterbalance both models aimed at maximising inclusion and those aimed at pursuing constitutional normative principles at the basis of technologically advanced societies, strengthening their dimension of anticipation according to a rights-based perspective.

Keywords

Models of anticipation Responsible research and innovation Risk assessment EU fundamental rights Human rights 

Notes

Acknowledgements

I am sincerely grateful to Maurice Brennan for his suggestions on the risk assessment literature. I also would like to thank the anonymous reviewers of this article for their comments and accurate suggestions and Alan Nelson for his review. Finally, I would like to express my gratitude to Christopher Coenen for the trust he has immediately shown in this article.

References

  1. 1.
    Collingridge D (1980) The social control of technology. Palgrave Macmillan, St. MartinGoogle Scholar
  2. 2.
    Kearnes M, Rip A (2009) The emerging governance landscape of nanotechnology. In: Gammel S, Lösch A, Nordmann A (eds) Jenseits von Regulierung. Zum politischen Umgang mit der Nanotechnologie. Akademische Verlagsgesellschaft, Berlin, pp 97–121Google Scholar
  3. 3.
    Leenes R, Palmerini E, Koops B-J, Bertolini A, Salvini P, Lucivero F (2017) Regulatory challenges of robotics: some guidelines for addressing legal and ethical issues. Law Innov Technol 9(1):1–44Google Scholar
  4. 4.
    Beck U (2000) Risk society revisited: theory, politics and research programs. In: Adam B, Beck U, Van Loon J (eds) Risk society and beyond. Critical issues for social theory. Sage, London, pp 211–230Google Scholar
  5. 5.
    Jonas H (2002) Das Prinzip Verantwortung:: Versuch einer Ethik für die technologische Zivilisation. Suhrkamp, Frankfurt am Main (1978); it. Trans. Il principio responsabilità: un’etica per la civilità tecnologica. Einaudi, TorinoGoogle Scholar
  6. 6.
    Nordmann A (2010) A forensics of wishing: technology assessment in the age of technoscience. Poiesis Prax 7(1–2):5–15Google Scholar
  7. 7.
    Barben D, Fischer E, Selin C, Guston DH (2008) Anticipatory governance of nanotechnology: foresight, engagement, and integration. In: Hackett E, Lynch M, Wajcman J (eds) The handbook of science and technology studies, 3rd edn. MIT Press, Cambridge, pp 979–1000Google Scholar
  8. 8.
    Eberlein B, Kerwer D (2004) New governance in the European Union: a theoretical perspective. J Common Mark Stud 42(1):121–142Google Scholar
  9. 9.
    Lyall C, Tait J (2005) Shifting policy debates and the implications for governance. In: Lyall C, Tait J (eds) New modes of governance. Developing an integrated policy approach to science, technology, risk and the environment. Ashgate, Adelshot, Farnham, pp 1–17Google Scholar
  10. 10.
    Peters A, Pagotto I (2006) Soft law as a new mode of governance: a legal perspective. Report of the project NEWGOV new modes of governance. Integrated project. Priority 7 – citizens and governance in the knowledge-based society. 04: D11 available at: http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1668531&rec=1&srcabs=1876508&alg=1&pos=1. Accessed 20 Feb 2019
  11. 11.
    Scott J, Trubek DM (2008) Mind the gap: law and new approaches to governance in the European Union. Eur Law J 8(1):1–18Google Scholar
  12. 12.
    Owen R, Stilgoe J, Phil M, Gorman M, Fisher E, Guston D (2013) A framework for responsible innovation. In: Owen R, Heintz M, Bessant J (eds) Responsible innovation: managing the responsible emergence of science and innovation in society. Wiley, Chichester, pp 27–50Google Scholar
  13. 13.
    van den Hoven J, Jacob K, Nielsen L, Roure F, Rudze L, Stilgoe J (eds) (2013) Options for strengthening responsible research and innovation. Report of experts group on the State of the Art in Europe on responsible research innovation. Publication Office of the European Union, LuxembourgGoogle Scholar
  14. 14.
    Stilgoe J, Owen R, Phil M (2013) Developing a framework for responsible innovation. Res Policy 42(9):1568–1580Google Scholar
  15. 15.
    Blok V, Lemmens P (2015) The emerging concept of responsible innovation: three reasons why it is questionable and calls for a radical transformation of the concept of innovation. In: Koops B-J, Oosterlaken I, Romijn H, Swierstra TE, van den Hoven J (eds) Responsible innovation 2: concepts, approaches, and applications. Springer, Dordrecht, pp 19–35Google Scholar
  16. 16.
    Pellé S, Bernard R (2015) Responsible innovation in the light of moral responsibility. Journal on Chain and Network Science 15(2):107–117Google Scholar
  17. 17.
    Timmermans J, Blok V (2018) A critical hermeneutic reflection on the paradigm-level assumptions underlying responsible innovation. Synthese.  https://doi.org/10.1007/s11229-018-1839-z
  18. 18.
    Ruggiu D (2015) Anchoring European governance: two versions of responsible research and innovation and EU fundamental rights as ‘normative anchor points’. NanoEthics 9(3):217–235Google Scholar
  19. 19.
    Ruggiu D (2018b) Human rights and emerging technologies: analysis and perspectives in Europe. Foreword by Roger Brownsword. Pan Stanford Publishing, SingaporeGoogle Scholar
  20. 20.
    Owen R, Phil M, Stilgoe J (2012) Responsible research and innovation: from science in society to science for society, with society. Sci Public Policy 39:751–760Google Scholar
  21. 21.
    Sutcliffe H (2011) A Report on responsible research innovation for European Commission, available at: https://ec.europa.eu/research/science-society/document_library/pdf_06/rri-report-hilary-sutcliffe_en.pdf. Accessed 20 Feb 2019
  22. 22.
    Owen R (2014) Responsible research and innovation: options for research and innovation policy in the EU. European Research and Innovation Area Board (ERIAB), Foreword Visions on the European Research Area (VERA) available at: http://ec.europa.eu/research/innovation-union/pdf/expert-groups/Responsible_Research_and_Innovation.pdf. Accessed 20 Feb 2019
  23. 23.
    von Schomberg R (2011) Prospects for technology assessment in a framework of responsible research and innovation. In: Dusseldorp M, Beecroft R (eds) Technikfolgen abschätzen lehren. Bildungspotenziale transdisziplinärer Methoden. Springer Vs, Wiesbaden, pp 39–61Google Scholar
  24. 24.
    von Schomberg R (2013) A vision of responsible innovation. In: Owen R, Heintz M, Bessant J (eds) Responsible innovation: managing the responsible emergence of science and innovation in society. Wiley, Chichester, pp 51–73Google Scholar
  25. 25.
    Guston D (2013) Understanding ‘anticipatory governance’. Soc Stud Sci:1–25Google Scholar
  26. 26.
    Ruggiu D (2013b) Temporal perspectives of the nanotechnological challenge to regulation. How human rights can contribute to the present and future of nanotechnologies. NanoEthics 7(3):201–215Google Scholar
  27. 27.
    Grunwald A (2010) From speculative nanoethics to explorative philosophy of nanotechnology. NanoEthics 4:91–101Google Scholar
  28. 28.
    Lucivero F, Swierstra T, Boenink M (2011) Assessing expectations: toward a toolbox for an ethics of emerging technologies. NanoEthics 5:129–141Google Scholar
  29. 29.
    Borup M, Brown N, Konrad K, Van Lente H (2006) The sociology of expectations in science and technology. Tech Anal Strat Manag 18(3/4 July-September):285–298Google Scholar
  30. 30.
    Adam B (2006) Futurescapes: challenge for social and management sciences retroscapes and futurescapes. Paper presented at the international conference “Temporal Tensions in Organizations”, TerrasiniGoogle Scholar
  31. 31.
    Poli R (2014) Anticipation: what about turning the human and social sciences upside down? Futures 64:15–18Google Scholar
  32. 32.
    Arnaldi S (2010) L’immaginazione creatrice. Nanotecnologie e società fra presente e futuro. Il Mulino, BolognaGoogle Scholar
  33. 33.
    Groves C (2013) Horizons of care: from future imaginaries to responsible research and innovation. In: Konrad K, Ch C, Dijkstra AB, Milburn C, van Lente H (eds) Shaping emerging technologies. Governance, innovation, discourse. IOS Press/AKA-Verlag, Berlin, pp 185–202Google Scholar
  34. 34.
    Grunwald A (2006) Converging technologies: visions, increased contingencies of the conditio humana, and search for orientation. Futures 39(4):380–392Google Scholar
  35. 35.
    Stoke E, Bowman DM (2012) Looking back to the future of regulating new technologies: the case of nanotechnology and synthetic biology. European Journal of Risk Regulation 3(2):235–241Google Scholar
  36. 36.
    Widmer M, Meili C, Mantovani E, Porcari A (2010) The FramingNano governance platform: a new integrated approach to the responsible development of nanotechnologies, available at: http://www.framingnano.eu/index.php?option=com_content&task=view&id=161&Itemid=84. Accessed 20 Feb 2019
  37. 37.
    Poli R (2015) Social foresight. On the Horizon 23(2):85–99Google Scholar
  38. 38.
    Carayannis EG, Barth TD, Campbell DFJ (2012) The Quintuple Helix innovation model: global warming as a challenge and driver for innovation. Journal of Innovation and Entrepreneurship, 1: 2 available at: http://www.innovation-entrepreneurship.com/content/1/1/2. Accessed 19 Feb 2019
  39. 39.
    Pariotti E, Ruggiu D (2012) Governing nanotechnologies in Europe: human rights, soft law and corporate social responsibility. In: van Lente H, Coenen C, Fleischer T, Konrad K, Krabbenborg L, Milburn C, Thoreau F, Zülsdorf TB (eds) Little by little. Expansions of Nanoscience and Emerging Technologies. IOS Press/AKA-Verlag, Heidelberg, pp 157–168Google Scholar
  40. 40.
    Roco MC (2006) Progress in governance of converging technologies integrated from the nanoscale. Ann N Y Acad Sci 1093:1–23Google Scholar
  41. 41.
    Mehta MD (2004) From biotechnology to nanotechnology: what can we learn from earlier technologies? Bull Sci Technol Soc 24(1):34–39Google Scholar
  42. 42.
    Jasanoff S (2003) Technologies of humility: citizen participation in governance science. Minerva 41:223–244Google Scholar
  43. 43.
    Tallacchini M (2009) Governing by values. EU ethics: soft tool, hard effects. Minerva 47:281–306Google Scholar
  44. 44.
    Sørensen E, Torfing J (2009) The politics of self-governance in meso level theories. In: Sørensen E, Triantafillou P (eds) The politics of selfgovernance. Ashgate, Farnham, pp 43–59Google Scholar
  45. 45.
    Stoker G (1998) Governance as theory: five propositions. Int Soc Sci J 50(155):17–28Google Scholar
  46. 46.
    Mandel G (2013) Emerging technology governance. In: Marchant G, Abbott KW, Allenby B (eds) Innovative governance models for emerging technologies. Edward Elgar, Cheltenham, pp 44–62Google Scholar
  47. 47.
    Ruggiu D (2013a) A rights-based model of governance: the case of human enhancement and the role of ethics in Europe. In: Konrad K, Coenen C, Dijkstra A, Milburn C, van Lente H (eds) Shaping emerging technologies: governance, innovation, discourse. IOS Press/AKA-Verlag, Berlin, pp 103–115Google Scholar
  48. 48.
    Ruggiu D (2013c) Dominating non-knowledge. Rights, governance and uncertain times. Cosmopolis: Robotics and Public Issues 9(2) http://cosmopolis.globalist.it/Detail_News_Display?ID=68672&typeb=0&Dominating-Non-knowledge-Rights-Governance-and-Uncertain-Times
  49. 49.
    Ruggiu D (2018a) Implementing a responsible, research and innovation framework for human enhancement according to human rights: the right to bodily integrity and the rise of ‘enhanced societies’. Law Innov Technol 10(1):82–121Google Scholar
  50. 50.
    Gorgoni G (2018) Responsible research and innovation and the governance of human enhancement. NanoEthics 12:257–267Google Scholar
  51. 51.
    Arnkil Anu R, Pasi J, Koski P, Piirainen T (2010) Exploring Quadruple Helix. Outlining user-oriented innovation models. University of Tampere, Tampere available at: http://tampub.uta.fi/handle/10024/65758. Accessed on 19 Feb 2019
  52. 52.
    Ruggiu D (2014) Responsibilisation phenomena: the EC code of conduct for responsible nanosciences and nanotechnologies research. European Journal of Law and Technology 5(3):1–16 http://ejlt.org/article/view/338 Google Scholar
  53. 53.
    Weber M (1958) Gesammelte Aufsätze zur Wissenschaftslehre (1922). Tübingen: Mohr; It. trans. Il metodo delle scienze storico-sociali. Einaudi, TorinoGoogle Scholar
  54. 54.
    Waldron J (1999) Law and disagreement. Oxford University Press, OxfordGoogle Scholar
  55. 55.
    Holbrook JB, Briggle A (2014) Knowledge kills action: why principles should play a limited role in policy-making. Journal of Responsible Innovation 1(1):51–66Google Scholar
  56. 56.
    Smismans S (2015) Democratic participation and the search for a European Union institutional architecture that accommodates interests and expertise. In: Piattoni S (ed) The European Union democratic principles and institutional architectures in times of crisis. Oxford University Press, New York, pp 88–111Google Scholar
  57. 57.
    Mandel G (2009) Regulating emerging technologies. Law Innov Technol 1(1):75–92Google Scholar
  58. 58.
    von Schomberg R (2010) Organising public responsibility: on precaution, code of conduct and understanding public debate. In: Fiedeler U, Ch C, Davis SR, Ferrari A (eds) Understanding nanotechnology. Philosophy, policy and publics. IOS Press, Amsterdam, pp 61–70Google Scholar
  59. 59.
    Brownsword R (2008) Rights, regulation and the technological revolution. Oxford University Press, OxfordGoogle Scholar
  60. 60.
    Koops BJ, Di Carlo A, Nocco L, Casamassima V, Stradella E (2013) Robotic technologies and fundamental rights: robotics challenging the European constitutional framework. International Journal of Technoethics 4(2):15–35Google Scholar
  61. 61.
    Arnaldi S, Gorgoni G (2016) Turning the tide or surfing the wave? Responsible research and innovation, fundamental rights and neoliberal virtues. Life Sciences, Society and Policy 12(6):1–19Google Scholar
  62. 62.
    Arnaldi S, Gorgoni G, Pariotti E (2016) RRI as a Governance Paradigm: what is new? In: Lindner R, Kuhlmann S, Randles S, Bedsted B, Gorgoni G, Griessler E, Loconto A, Mejlgaard N (eds) Navigating towards shared responsibility in research and innovation. Approach, process and results of the Res-AGorA Project. Fraunhofer ISI, Karlsruhe, pp 23–29Google Scholar
  63. 63.
    Groves C (2015) Logic of choice and logic of care? Uncertainty, technological mediation and responsible innovation. NanoEthics 9(3):321–333Google Scholar
  64. 64.
    Grinbaum A, Groves C (2013) What is “responsible” about responsible innovation? Understanding the ethical issues. In: Owen R, Heintz M, Bessant J (eds) Responsible innovation: managing the responsible emergence of science and innovation in society. Wiley, London, pp 119–142Google Scholar
  65. 65.
    Cooper RG (1990) Stage gate systems: a new tool for managing new products. Bus Horiz 33(3):44–54Google Scholar
  66. 66.
    Sørensen E, Triantafillou P (2009) Introduction. In: Sørensen E, Triantafillou P (eds) The politics of selfgovernance. Ashgate, Farnham, pp 1–22Google Scholar
  67. 67.
    Heydebrande W (2003) Process rationality as legal governance: a comparative perspective. Int Sociol 18(2):325–349Google Scholar
  68. 68.
    Dworkin R (1996) Freedom’s law. The moral reading of the American Constitution. Harvard University Press, OxfordGoogle Scholar
  69. 69.
    Rawls J (1982) A theory of justice (1971). Cambridge, Mass.: Harvard University press; it. trans. Una teoria della giustizia. Feltrinelli, MilanoGoogle Scholar
  70. 70.
    Raz J (1985) Authority and justification. Philos Public Aff 14(1):3–29Google Scholar
  71. 71.
    Blok V, Gremmen B, Wesselink R (2016) Dealing with the wicked problem of sustainability: the role of individual virtuous competence. Bus Prof Ethics J 34(3):297–327Google Scholar
  72. 72.
    Sand M (2018) Virtues and vices of innovators. Philosophy of Management 17:79–95Google Scholar
  73. 73.
    International Association of Synthetic Biology (IASB) (2009) The IASB code of conduct for best practices in gene synthesis, Cambridge (MA), Nov. 03, 2009 available at: http://op.bna.com.s3.amazonaws.com/hl.nsf/r%3FOpen%3Djaqo-7xqpnr. Accessed 17 Feb 2019
  74. 74.
    Latour B (2005) From Realpolitik to Dingpolitik or how to make things public. In: Latour B, Weibel P (eds) Making things public: atmospheres of democracy. MIT Press, Cambridge, pp 14–43Google Scholar
  75. 75.
    Miller CA, Bennet I (2008) Thinking longer term about technology: is there value in science fiction-inspired approaches to constructing futures? Sci Public Policy 35:597–606Google Scholar
  76. 76.
    Simakova E, Coenen C (2013) Visions, hype, and expectations: a place for responsibility. In: Owen R, Bessant J, Heintz M (eds) Responsible innovation. Wiley, Milano, pp 241–266Google Scholar
  77. 77.
    Puig de la Bellacasa M (2011) Matters of care in technoscience: assembling neglected things. Soc Stud Sci 41(1):85–106Google Scholar
  78. 78.
    Azoulay D (2012) Just out of the REACH. How REACH is failing to regulate nanomaterials and how it can be fixed. The Center for International Environmental Law (CIEL), GenevaGoogle Scholar
  79. 79.
    Lee JM, Hirschfeld E, Wedding J (2016) A patient-designed do-it-yourself mobile technology system for diabetes promise and challenges for a new era in medicine. J Am Med Assoc 315(14):1447–1448Google Scholar
  80. 80.
    Mantovani E, Porcari A, Azzolini A (2010) Synthesis report on codes of conduct, voluntary measures and practices towards a responsible development of N&N. Published under the NanoCode project as deliverable D1.3 for Work Package 1 (WP1)Google Scholar
  81. 81.
    Grobe A, Kreimberger N, Funda Ph (2011) NanoCode WP2 synthesis report on stakeholder consultations. Published under the NanoCode project as deliverable D2.3 for Work Package 2 (WP 2)Google Scholar
  82. 82.
    Meili C, Widmer M, Schwarzkopf S, Mantovani E, Porcari A (2011) NanoCode MasterPlan: issues and options on the path forward with the European Commission code of conduct on responsible N&N research. Published under the NanoCode project as deliverable D3.3 for Work Package 3 (WP3)Google Scholar
  83. 83.
    Blind K (2008) Regulatory foresight: methodologies and selected applications technological forecasting & social change. Technol Forecast Soc Chang 75:496–516Google Scholar
  84. 84.
    Boillat P, Kjaerum M (2014) Handbook on European data protection law. Publications Office of the European Union, LuxembourgGoogle Scholar
  85. 85.
    Reyes I, Wijesekera P, Reardon J, Elazari Bar On A, Razaghpanah A, Vallina-Rodriguez N, Egelman S (2018) “Won’t somebody think of the children?” examining COPPA compliance at scale. Proceedings on Privacy Enhancing Technologies 3:63–83Google Scholar
  86. 86.
    Cope S, Schoen S, Schwartz A (2017) Digital privacy at the U.S. border: protecting the data on your devices. Electronic Frontier Foundation available at: https://www.eff.org/files/2018/01/11/digital-privacy-border-12-2017.pdf. Accessed 20 Feb 2019
  87. 87.
    Mantalero A (2018) Report on artificial intelligence. Artificial intelligence and data protection: challenges and possible remedies. Directorate General of Human Rights and Rule of Law of the Council of Europe, Strasbourg available at: https://rmcoeint/report-on-artificial-intelligence-artificial-intelligence-and-data-pro/16808e6012. Accessed 20 Feb 2019
  88. 88.
    Robles Morchón G (2001) La protezione dei diritti fondamentali nell’Unione Europea. Ars interpretandi Annuario di ermeneutica giuridica 6:249–269Google Scholar
  89. 89.
    Pariotti E (2013) Diritti umani. Contesto, teoria, evoluzione. CEDAM, PadovaGoogle Scholar
  90. 90.
    Donati F, Milazzo P (2003) La dottrina del margine di apprezzamento nella giurisprudenza della Corte europea dei diritti dell’uomo. In: Falzea P, Spadaro A, Ventura L (eds) La Corte costituzionale e le Corti d’Europa. Atti del seminario svoltosi a Capannello (CZ) il 31 maggio-1 giugno 2002. Giappichelli, Torino, pp 65–117Google Scholar
  91. 91.
    Benvenisti E (1998) Margin of appreciation, consensus, and universal standards. Journal of International Law and Politics 31(4):843–854Google Scholar
  92. 92.
    Greer S (2000) The margin of appreciation: interpretation and discretion under the European Convention on Human Rights. Council of Europe Publishing, StrasbourgGoogle Scholar
  93. 93.
    Bultrini A (2004) La pluralitá dei meccanismi di tutela dei diritti dell’uomo in Europa. Giappichelli, TorinoGoogle Scholar
  94. 94.
    Spielmann D (1999) Human rights case law in the Strasbourg and Luxembourg courts: conflicts, inconsistencies, and complementarities. In: Alston P, Bustelo M, Heenan J (eds) The EU and human rights. Oxford University Press, OxfordGoogle Scholar
  95. 95.
    Dworkin R, The Law Empire (1986) Cambridge (Mass.): The Belkamp Press of Harvard University Press; It. trans. L’impero del diritto. Il Saggiatore, MilanoGoogle Scholar

Copyright information

© Springer Nature B.V. 2019

Authors and Affiliations

  1. 1.Department of Political Science, Law and International StudiesUniversity of PadovaPadovaItaly

Personalised recommendations