This document discusses responsible research and innovation (RRI). It begins by noting that unexamined research is not worth funding, citing philosophers Socrates and Frodeman. It then outlines several European values found in EU treaties that could provide normative anchor points for RRI, including human rights, justice, dignity, social progress, and environmental protection. The document defines RRI as a transparent and interactive process where societal actors and innovators become mutually responsive to innovations and their impacts. It contrasts RRI with traditional models of market-based innovation and discusses several key features of RRI, including addressing normative concerns, public engagement, technology assessment, precautionary practices, and ensuring responsible governance and outcomes of innovations.

1. 1
Dr. Dr.phil René von Schomberg*
*The views expressed here are those of the author and may not in any circumstances be
regarded as stating an official position of the European Commission
Presentation is based on: 'A vision of Responsible Research and Innovation' in: In: R.
Owen, M.Heintz and J .Bessant (eds.) Responsible Innovation. London: John Wiley,
2013,

2. Is Socrates still instructive?
“Unexamined Life is not worth living”
“Unexamined Research is not worth
funding”(Frodeman, Mitcham)
BUT: “which values to address? Aristotelian “Common
Good” is no option in the 21th Century

3. • The defence of human rights and a
justice system based on the full respect
of human dignity is a key part of our
shared European values” Jerzy Buzek,
European Parliament President (10
October, 2009)
• "Europe is a community of Values". Van
Rompuy, First European Council
President, 19 November 2009
• "My political guidelines for the
Commission's next mandate stress the
idea that Europe's actions must be
based on its values". President Barroso,
European values in the new global
governance, 14 October 2009

4. Treaty on the EU(art.3)
• The Union shall (…) work for the sustainable development of
Europe based on balanced economic growth and price stability,
a highly competitive social market economy, aiming at full
employment and social progress, and a high level of protection
and improvement of the quality of the environment. It shall
promote scientific and technological advance.
• It shall combat social exclusion and discrimination, and shall
promote social justice and protection, equality between
women and men, solidarity between generations and
protection of the rights of the child.
• To promote (..) harmonious, balanced and sustainable
development of economic activities, a high level of
employment and of social protection, equality between men
and women, sustainable and non-inflationary growth, a high
degree of competitiveness and convergence of economic
performance, a high level of protection and improvement of
the quality of the environment, the raising of the standard of
living and quality of life, and economic and social cohesion and
solidarity among Member States.

5. Normative Anchor points derived from the Treaty on the European
Union

6. Defining RRI
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)
outcomes and impacts

7. Passarola- 'Ugly
bird'
"A machine for sailing through the air" 1702

8. Benefits: 'Manage 200 leagues a day'
'Bring far away countries news and orders'
'The furthermost regions will be discovered, to the
Portuguese nation's benefit'
Risks: 'many crimes will be committed, as (…) to easily
flee from one country to another'
Recommendation to the king: "its use will have to be limited"

9. Technical inventions vs. innovation
RESPONSIBLE CONTROL/USE RESPONSIBLE MARKETING
Responsible governor: central
control agent
Restricted use
Benefit for the state
Moral constraint of governor
• "Loss of control agent"
• Democratization of
use/privatization of
production
• Market-competition for
'benefit of all'-market-success
• Market hurdles

10. Innovation vs. Responsible
Innovation
MARKET-BASED INNOVATION RESPONSIBLE INNOVATION
State responsibility for risks
Macro-economic assessment:
'infinite growth'
steer less, inherently good
'the faster, the better'
Technology-oriented R&D
State responsibility for `right'
impacts of R&I
Economic and societal impact of
'knowledge'': 'sustained growth'
responsive to basic needs,
reflect basic values
Innovation is 'managed'
Issue-oriented R&I

11. FEATURES OF RESPONSIBLE RESEARCH AND INNOVATION
Product dimension: addressing
normative anchor points
Process dimension: deliberative
democracy
Institutionalization of Technology
Assessment and Foresight
Use of Code of Conducts
Application of the precautionary
principle; on-going risk
assessment; on-going monitoring
Ensuring market accountability: Use of
Standards, Certification schemes, Labels
Use of demonstration projects:
from risk to innovation governance
'Ethics' as a design principle for technology
Normative models for governance
Ongoing Public debate: Moderating "Policy
Pull and Technology Push"

12. Science and(vs) Innovation
Collaboration/Competition
Competition and
collaborative' competition
 "Good Science anywhere is good for
Science everywhere":
Credible Science:
-scientific integrity
-open access
Responsive Science:
-Open, networked collaborative
Science: Responsive to societal
challenges/Issue-mission oriented.
Responsible Science
-foresight on impacts and outcomes
New institutions/extending :
Global Research Council(?)-Extending
ERC in GRC?
New mandate for UNESCO?
Good innovation anywhere, might
be beneficial for many,
somewhere"
Credible Innovation:
-agreement on standards
Responsive Innovation:
- IPR but also 'open' innovation
Responsible Innovation:
Joint tackling of Grand
Challenges-"right outcomes"
International agreement on codes of
conduct/ethical standards/
Mutual responsiveness(?)

13. Irresponsible Innovation
Technology Push: GMOs (Rathenau-Rathenau: Ag.
Biotech consensual among stakeholders….)
Policy Pull: biometrics (visa), 'body scanner' etc
Neglectance of basic principles: EPD, Smart-meters
etc.
Lack of Foresight and Precaution: Asbestos-see 'late
lessons from early warning'

14. Responsible Development of Tech
vs Responsible Innovation
Responsible Development Responsible Innovation
 Identification and management of
ethical, legal, and societal
implications
 Incorporation of safety evaluation of
nanomaterial into the product life
cycle and allocation of
 Budgets for identification and study
of risks
 Identification of knowledge gaps
and regulatory needs
 Involvement of stakeholders and
engagement in international
dialogue
 Key-tech focussed
 Anticipatory Governance
 Deliberative Governance: Early
policy responsive and stakeholder
commitment
 Ethics of Co-Responsibility
 Ethics as a driving force ('privacy
by design' etc)
 Mid-stream modulation
 Driving innovation 'societal
desirable ends'- Innovation
partnerships
 Societal objective focussed:
whatever it takes as 'means':
multitech-social innovation etc

15. 'Internal' Grand Challenges
China and India: Income gaps
China: Urbanisation (13,5 million each year)
China: 'Managed' innovation
India: Frugal innovation
Europe: Internal 'Cohesion'
Innovation divide: Inclusive Growth? vs Inclusive
Innovation

16. Frugal Innovation(Mashelkar):
More(performance),Less(cost),More(people)
INCOME Inequality: 1000:1
Access Inequality: 1:1
03/24/15

17. Frugal Innovation: 28 Dollar Foot
03/24/15

18. Frugal innovation India
Product From TO
Tablet 700 $ 35 $
Psoriasis Treatment 20.000$ 100$
Hepatitis B vaccine 18 $ 0.4
Cataract Surgery 3000 30 $
Artificial Foot 12.000 28 $
03/24/15

19. Process
dimen-
sion
Pro
duc
t
dim
ensi
on
Technology
Assessment
and Foresight
Application of
the
Precautionary
Principle
Normative/eth
ical principles
to design
technology
Innovation
governance
and
stakeholder
involvement
Public
engagement
Technology
Assessment and
Foresight
x
Development
of Procedures
to cope with
risks
Which design
objectives to
choose?
Stakeholder
involvement in
Foresight and
TA
How to engage
the public?
Application of
the
Precautionary
Principle
Identification
of nature of
risks
x
Choice and
development of
standards
Defining
proportionality:
how much
precaution?
How safe is
safe enough?
Normative/ethi
cal principles
to design
technology
“privacy” and
“safety” by
design
Setting of risk/
uncertainty
thresholds
x
Which
principles to
choose?
Which
technologies
for which
social desirable
goals?
Innovation
governance
models and
stakeholder
involvement
Defining scope
and
methodology
for
TA/Foresight
by stakeholders
Defining the
precautionary
approaches by
stakeholders
Translating
normative
principles in
technological
design
x
How can
innovation be
geared towards
social desirable
objective
Public
Engagement
and Public
Debate
Defining/choic
e of
methodology
for public
engagement
Setting of
acceptability
standards
Setting of
social
desirability of
RRI outcome
Stakeholders
roles in
achieving
social desirable
outcomes
x

20. renevonschomberg.wordpress.co
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