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Taking stock of the overall confused picture that research and innovation (R&I) literature and practices offer with regard to citizen and stakeholder participation, this book provides a methodical conceptual and an empirical analysis to determine the connection between ethics and participation. Strong theoretical pillars in the fields of ethics, politics and responsible research and innovation (RRI) form the backbone of this critical approach to participation, which considers new approaches to democratic participation. Taking into account a number of participatory processes, Responsive Ethics and Participation establishes a new methodology to differentiate, classify and understand the added value of the participation of citizens and stakeholders in R&I.
Participation could be considered the epitome of innovation ethics. However, its multidimensionality, its ethical and theoretical grounds and the nature of the involvement and related outcomes must be clarified at the outset, in order to reach active forms of participation. Ethical participation is required for reliable developments in science and technology, which is what this book ultimately demonstrates.
Foreword ix
Bernard REBER
Acknowledgments xv
Introduction xvii
Chapter 1 Defining Ethics and Participation 1
1.1 Ethical challenges in research and innovation 2
1.1.1 Ethics in governance of research and innovation 2
1.1.2 Bottom-up approaches 6
1.2 Facing responsibility 10
1.2.1 The notion of responsibility in innovation 10
1.2.2 Ethics and technology assessment: at the root of responsible innovation 14
1.2.3 From ethics of technology to responsible research and innovation 18
1.3 Public participation and the ideal of participatory democracy 22
1.3.1 Public participation in research and innovation 22
1.3.2 Participation in technology assessment 26
1.3.3 From broad participatory practices to deliberation 29
1.4 The diverse field of participation 33
1.4.1 Defining participatory activities: types and timelines 33
1.4.2. Defining participants: types of actors and visions of engagement 37
1.4.3 Finding value in participation 42
1.4.4 Models of participation 45
1.5 Conclusion 48
Chapter 2 Regulations on Ethics and Participation 49
2.1 Policies and regulations on the ethics of innovation 49
2.1.1 Main regulations on research ethics and research integrity 49
2.1.2 Ethics assessment: a standard in European funding programs 54
2.2. Analysis of current European regulations on ethics and participation 58
2.2.1 The different institutional configurations for ethics and participation 58
2.2.2 The current deadlocks of European regulatory bodies 63
2.2.3 Ethics of participation: current boundaries 68
2.3 Soft law on participatory approaches 70
2.3.1 Re-shaping participatory approaches through soft law: toward a normative instrument 70
2.4 Beyond regulations: institutional needs for ethical participation 73
2.4.1 The needs from a governance point of view 73
2.4.2 Identifying good practices and criteria for ethical participation 77
2.5 Conclusion 82
Chapter 3 Ethical Participation 85
3.1 How mainstream is citizen participation? 86
3.1.1 A case study on research funding organizations 86
3.1.2 Citizens' low involvement in R&I processes 91
3.1.3 Prevailing types of participation 98
3.2 Leveraging the funding of R&I for a novel approach to participation 102
3.2.1 Context-sensitive specificities 102
3.2.2 Expectations and legitimacy in the funding of R&I 104
3.2.3 The impact of participatory practices 111
3.3 Addressing the needs of research funding organizations 114
3.3.1 Standardized approaches and the European discrepancies 114
3.3.2 Ethical grounds meeting public scrutiny 117
3.4 Toward an ethics framework 119
3.4.1. Finding common paths and compromises in R&I governance 119
3.4.2 Main critical factors facing institutions 123
3.5 An ethics framework for participation 125
3.5.1 Some guidelines for future ethics frameworks 125
3.5.2 A tentative ethics framework 128
Conclusion 133
Appendices 143
Appendix 1: Categories Considered in the Case Study on Research Funding Organizations 145
Appendix 2: Tentative Ethics Framework 149
References 179
Index 193
Participatory democracy is usually promoted as a key instrument in the leveraging of the responsibility and accountability of science and technology developments regarding society. Science and technology, or "research and innovation" (R&I), covers virtually all innovation developments - of either a scientific or technological nature - that can be applied to any sector. Past studies have revealed the great diversity of participatory configurations and the varying quality of participation, leading some to consider that participation's added value in R&I might not be an intrinsic attribute. This calls into question the grounds on which ethical participation can be established, as Pellé and Reber (2016) have already shown.
What is usually covered by "participation", "engagement" or "involvement" in R&I can vary according to the context and the normative understandings, thereby generating a homogeneous representation of practices that are not always clearly identified or convergent. Participation remains a gray area in R&I and even in responsible research and innovation (RRI), where several mechanisms compete with the same promise to legitimize and offer a co-creation process or dialog between science (and technology) and society. Moreover, new technologies are ambiguous and complex, asking reconsideration of their relationships within humans (Guchet, 2021).
Taking a step backward and considering participatory practices from a governance perspective, echoing reflexive (Maesschalck, 2017) and pluralist governance (Reber, 2016), this book studies the way R&I institutions deal with participatory mechanisms and provides the tools to understand the uneven or even unstable ground forming the ethical basis for these mechanisms. Despite the great public attention and the growing institutional (and governmental) support provided to public participation in Europe, the legitimacy of these mechanisms throughout their design, implementation and follow-up is not a given. This book aims at bringing together innovation ethics with participatory practices, asking what an ethical participation could be and presenting a critical theoretical analysis of the definitions and the regulations shaping both the fields of innovation ethics and of participation in R&I. It continues the work of Sophie Pellé (2017) in business studies.
Responsibility and responsiveness imply taking a critical stance on participation, considering how participation is justified, what the goals or outcomes to be targeted are, and the nature and the scope of the underlying ethical issues. It means taking into account the preservation of the freedom and responsibilities of the actors involved (Lenoir, 2019). In addition, participatory processes relate to varying interests on behalf of the participants, thus requiring further examination of who has an interest in an R&I process, might be affected by its outcomes or might contribute to new solutions: these questions are an integral part of the legitimacy of participatory processes. At the same time, the timescale and the resources of participation have to be examined as well, as they shape the nature and degree of involvement. All of them have their part to play in the programs to develop individual and collective competencies (Loisy and Coulet, 2018).
Building on the overall blurred vision that R&I literature and practices showcase regarding participation, this book combines theoretical considerations with policy-making and empirical insights. The main orientation of this study draws from the conclusions of past publications, which have highlighted the overall lack of understanding of why, how and in view of what quality participatory practices are undertaken (Pellé and Reber, 2016). These questions are here addressed through the scope of an original methodology, empirically tested and improved, aiming at developing new taxonomies and definitions.
This book reveals the lack of common understanding around consensual terms such as "citizens", "stakeholders", "participation" and "ethics". Also, an additional layer of complexity appears with the diversity of institutionalized mechanisms, some of them being formalized, others not, and with a diversified connection to ethics. It also reveals how little equipped R&I institutions can sometimes be when it comes to resources and guidance for participatory practices and for ethics (Gianni, 2016). Understanding what participation means is all the more difficult when the ethical grounds on which it can be set are not identified and when it is not clear which ethical risks or issues can be at stake.
From the perspective of R&I governance, building a framework for an ethical participation implies considering the ethical requirements of both innovation and of participation, and thereby defining a method that could allow for increased legitimacy and adaptation of participatory mechanisms. As participation requires resources (both human and financial), expertise and commitment, the need for guidance and tools to design and implement processes that are both adaptive and legitimate would be a requisite for a "responsive" participation (Reber, 2022). The analysis of the grounds on which participatory processes can be ethically developed and conducted forms the bedrock of this study.
In the governance of R&I, ethics procedures are not necessarily formalized and may not cover all processes throughout their lifetime. Similarly, when the public is invited in consultation, co-creation or any other participatory activity, the design and involvement are not necessarily part of a formalized process, nor do they necessarily abide by specific rules ensuring the quality of the initiative and its added value. From the inception to the ex post evaluation of the R&I outcomes, having a responsive participatory mechanism remains an ideal for which tools, understanding and capacities might be lacking.
The ideal of participatory democracy encounters profound challenges and critique over its effective connection to decision-making and regarding whether its actual impact aligns with democratic values. What if ethics and participation in R&I governance could be combined in a comprehensive and responsive system? This is the question and the guiding hypothesis of this book, which also methodically anchors the touchstone of an ethical participation. Observing how the governance of R&I struggles to harmonize the processes and the means deployed to promote public participation - citizens and stakeholders - in science and technology, it seems timely to overcome the conceptual and practical hurdles through a comprehensive approach.
The main novelty brought by this new contribution to the Innovation and Responsibility series is fourfold: first of all, it establishes an original connection between ethics and participation; second, it offers a broad overview of participatory practices, encompassing all types of activities and actors; third, it presents new categorizations and definitions within this large spectrum of participatory activities; and, fourth, it translates theory into practical guidance for ethical participation.
The approach offered by this book is general enough to be relevant for institutions related to the funding of R&I, to ethics committees and potentially to any institution or organization in the field of R&I either interested in or already implementing participatory practices. Although it is impossible to encapsulate all practices, this study gathers a variety of different approaches, methodically combined into a clarification of what an ethical participation is. Regardless of the sector or the national context, or even the objectives of a given institution, this new insight into the ethical R&I governance of participation could be of interest to anyone willing to challenge the current trends of participatory democracy.
Among the prominent features of this book, the reader will find: a state-of-the-art analysis of European regulatory frameworks on ethics and participation; a conceptual analysis of R&I ethics and of participatory mechanisms; and an attempt to merge both ethics and participation in what could be defined as ethical participation. Also, new classifications aiming at a clearer view regarding new publics invited in the arena of R&I processes are suggested, in addition to the identification of key factors worth considering for responsive participation. This book ends with a final suggestion for the design of an ethics framework, which is meant to be used as a tool for reflection and adaptation in any R&I context to properly identify who participation will be undertaken with, why and when, as well as the participatory mechanism that is relevant.
The analysis of the different publics embraced in participatory democracy leads to the distinction of different cases, such as citizens, stakeholders, organized civil society or experts, for instance, all of them being different representations of public participation. Regarding these discrepancies, the involvement of a group of participants is motivated either by their present or future implication regarding the science and technology developments at stake. This entails the identification of concerned or affected publics, with a variety of underlying justifications for their involvement. These latter can occur at different time frames, through different processes, which must be identified. Having a general overview of these processes and the tools to guide the proper "matching" between these options appears as a guarantee of the...
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