Methods for Practising Ethics in Research and Innovation: A Literature Review, Critical Analysis and Recommendations

This paper provides a systematic literature review, analysis and discussion of methods that are proposed to practise ethics in research and innovation (R&I). Ethical considerations concerning the impacts of R&I are increasingly important, due to the quickening pace of technological innovation and the ubiquitous use of the outcomes of R&I processes in society. For this reason, several methods for practising ethics have been developed in different fields of R&I. The paper first of all presents a systematic search of academic sources that present and discuss such methods. Secondly, it provides a categorisation of these methods according to three main kinds: (1) ex ante methods, dealing with emerging technologies, (2) intra methods, dealing with technology design, and (3) ex post methods, dealing with ethical analysis of existing technologies. Thirdly, it discusses the methods by considering problems in the way they deal with the uncertainty of technological change, ethical technology design, the identification, analysis and resolving of ethical impacts of technologies and stakeholder participation. The results and discussion of our literature review are valuable for gaining an overview of the state of the art and serve as an outline of a future research agenda of methods for practising ethics in R&I.

[1]  David Wright,et al.  The state of the art in privacy impact assessment , 2012, Comput. Law Secur. Rev..

[2]  G. Graffigna,et al.  How do ethics assessments frame results of comparative qualitative research? A theory of technique approach , 2010 .

[3]  Carl Mitcham Why Science, Technology, and Society Studies? , 1999 .

[4]  Sven Ove Hansson,et al.  The case for ethical technology assessment (eTA) , 2006 .

[5]  Donna Riley,et al.  Hidden in Plain View: Feminists Doing Engineering Ethics, Engineers Doing Feminist Ethics , 2011, Science and Engineering Ethics.

[6]  Thomas Nickles,et al.  Methodology, Heuristics, and Rationality , 1987 .

[7]  Bernd Carsten Stahl,et al.  IT for a better future: how to integrate ethics, politics and innovation , 2011, J. Inf. Commun. Ethics Soc..

[8]  Fern Wickson,et al.  Standardising Responsibility? The Significance of Interstitial Spaces , 2015, Sci. Eng. Ethics.

[9]  Yuya Kajikawa,et al.  Structure of knowledge in the science and technology roadmaps , 2008 .

[10]  Paul Sollie,et al.  Ethics, technology development and uncertainty: an outline for any future ethics of technology , 2007, J. Inf. Commun. Ethics Soc..

[11]  B. Hofmann Why ethics should be part of health technology assessment , 2008, International Journal of Technology Assessment in Health Care.

[12]  J. Stilgoe,et al.  Responsible research and innovation: From science in society to science for society, with society , 2012, Emerging Technologies: Ethics, Law and Governance.

[13]  Trevor Wood-Harper,et al.  Socio-Technical Design of the 21st Century - A Vision , 2007, Organizational Dynamics of Technology-Based Innovation.

[14]  B. Hofmann Toward a procedure for integrating moral issues in health technology assessment , 2005, International Journal of Technology Assessment in Health Care.

[15]  Philip Boucher,et al.  Mapping the ethical landscape of carbon capture and storage , 2012, Poiesis Prax..

[16]  R. Ashcroft Ethics and Health Technology Assessment , 1999 .

[17]  Margus Pedaste,et al.  Definitions and Conceptual Dimensions of Responsible Research and Innovation: A Literature Review , 2017, Sci. Eng. Ethics.

[18]  Noëmi Manders-Huits,et al.  What Values in Design? The Challenge of Incorporating Moral Values into Design , 2010, Sci. Eng. Ethics.

[19]  W. McGrew,et al.  Invention and innovation , 2004, Nature.

[20]  Katie Shilton,et al.  This is an Intervention: Foregrounding and Operationalizing Ethics During Technology Design , 2014 .

[21]  Philip A.E. Brey,et al.  Anticipatory Ethics for Emerging Technologies , 2012, NanoEthics.

[22]  Claes Wohlin,et al.  Guidelines for snowballing in systematic literature studies and a replication in software engineering , 2014, EASE '14.

[23]  Rachel L. Finn,et al.  Ethical dilemma scenarios and emerging technologies , 2014 .

[24]  Lorraine Warren,et al.  Participatory sociotechnical design of organizations and information systems – an adaptation of ETHICS methodology , 2000, J. Inf. Technol..

[25]  Alan Borning,et al.  Value Sensitive Design and Information Systems , 2020, The Ethics of Information Technologies.

[26]  Arie Rip,et al.  Nano-ethics as NEST-ethics: Patterns of Moral Argumentation About New and Emerging Science and Technology , 2007 .

[27]  Anders Albrechtslund,et al.  Ethics and technology design , 2007, Ethics and Information Technology.

[28]  William Rehg,et al.  Discourse ethics for computer ethics: a heuristic for engaged dialogical reflection , 2014, Ethics and Information Technology.

[29]  Y. Fassin Innovation and ethics: ethical considerations in the innovation business , 2000 .

[30]  P. Verbeek Morality in Design: Design Ethics and the Morality of Technological Artifacts , 2008 .

[31]  Philip Brey,et al.  Disclosive computer ethics , 2000, CSOC.

[32]  Kevin Mentzer,et al.  Foresight for a responsible future with ICT , 2014, Information Systems Frontiers.

[33]  Michael Decker,et al.  The role of ethics in interdisciplinary technology assessment , 2004, Poiesis Prax..

[34]  Arianna Ferrari Developments in the Debate on Nanoethics: Traditional Approaches and the Need for New Kinds of Analysis , 2010 .

[35]  G. Tellis,et al.  Research on Innovation: A Review and Agenda for Marketing Science , 2006 .

[36]  Kate Bulpin,et al.  Left to their own devices: Post-ELSI, ethical equipment and the International Genetically Engineered Machine (iGEM) Competition , 2013, BioSocieties.

[37]  Nicholaos Jones,et al.  Toward Modeling and Automating Ethical Decision Making: Design, Implementation, Limitations, and Responsibilities , 2013 .

[38]  Utpal Bose An ethical framework in information systems decision making using normative theories of business ethics , 2012, Ethics and Information Technology.

[39]  H. Tavani,et al.  Ethics and technology : controversies, questions, and strategies for ethical computing , 2010 .

[40]  H. Have Theoretical Models and Approaches to Ethics , 2001 .

[41]  Sjoerd D. Zwart,et al.  A network approach for distinguishing ethical issues in research and development , 2006, Science and engineering ethics.

[42]  Bryn Williams-Jones,et al.  Mapping the integration of social and ethical issues in health technology assessment , 2007, International Journal of Technology Assessment in Health Care.

[43]  Ellen-Marie Forsberg,et al.  Facilitating Ethical Reflection Among Scientists Using the Ethical Matrix , 2011, Sci. Eng. Ethics.

[44]  B. Hofmann,et al.  Tackling ethical issues in health technology assessment: A proposed framework , 2011, International Journal of Technology Assessment in Health Care.

[45]  Clare Palmer,et al.  Technology assessment and the 'ethical matrix' , 2003, Poiesis Prax..

[46]  Veikko Ikonen,et al.  Ethical Assessment of Future-Oriented Design Scenarios , 2008 .

[47]  Michel J. Kaiser,et al.  Ethical Matrix Manual , 2006 .

[48]  Jeroen van den Hoven,et al.  Moral Methodology and Information Technology , 2009 .

[49]  Edward B. Roberts,et al.  Managing Invention and Innovation , 2007 .

[50]  Michel J. Kaiser,et al.  Developing the ethical matrix as a decision support framework: GM fish as a case study , 2007 .

[51]  Bjørn Hofmann,et al.  Different methods for ethical analysis in health technology assessment: An empirical study , 2011, International Journal of Technology Assessment in Health Care.

[52]  Sofia Tranæus,et al.  FRAMEWORK FOR SYSTEMATIC IDENTIFICATION OF ETHICAL ASPECTS OF HEALTHCARE TECHNOLOGIES: THE SBU APPROACH , 2015, International Journal of Technology Assessment in Health Care.

[53]  Patrick Boissy,et al.  Framework for the Analysis of Nanotechnologies’ Impacts and Ethical Acceptability: Basis of an Interdisciplinary Approach to Assessing Novel Technologies , 2015, Sci. Eng. Ethics.

[54]  Veikko Ikonen,et al.  Human-Driven Design: A Human-Driven Approach to the Design of Technology , 2014, HCC.

[55]  Noëmi Manders-Huits,et al.  Value‐Sensitive Design , 2009 .

[56]  M. Newport,et al.  A mixed-methods study on perceptions towards use of Rapid Ethical Assessment to improve informed consent processes for health research in a low-income setting , 2014, BMC medical ethics.

[57]  A. Grunwald,et al.  Against over-estimating the role of ethics in technology development , 2000, Science and engineering ethics.

[58]  H. Have Ethical perspectives on health technology assessment. , 2004 .

[59]  D. Ihde Technology and the lifeworld : from garden to earth , 1991 .

[60]  A. Grunwald,et al.  The normative basis of (health) technology assessment and the role of ethical expertise , 2004, Poiesis Prax..

[61]  Ellen-Marie Forsberg,et al.  Assessments of emerging science and technologies: Mapping the landscape , 2014 .

[62]  Steven M. Flipse,et al.  The Why and How of Enabling the Integration of Social and Ethical Aspects in Research and Development , 2013, Sci. Eng. Ethics.

[63]  E. Thorstensen Public Involvement and Narrative Fallacies of Nanotechnologies , 2014 .

[64]  Rudy Hirschheim,et al.  Realizing Emancipatory Principles in Information Systems Development: The Case for ETHICS , 1994, MIS Q..

[65]  Jean-Pierre Brans The management of the future: Ethics in OR: Respect, multicriteria management, happiness , 2004, Eur. J. Oper. Res..

[66]  Enid Mumford,et al.  Effective systems design and requirements analysis : the ETHICS approach , 1995 .

[67]  Harry Hummels,et al.  Teamwork and Morality: Comparing Lean Production and Sociotechnology , 2000 .

[68]  Philippe Goujon,et al.  Implementing Ethics in Information Systems, Presuppositions and Consequences in Ethics and Information Systems , 2012, HCC.

[69]  Armin Grunwald,et al.  Responsible innovation: bringing together technology assessment, applied ethics, and STS research , 2011 .

[70]  J. Stilgoe,et al.  Developing a framework for responsible innovation* , 2013, The Ethics of Nanotechnology, Geoengineering and Clean Energy.

[71]  David M. Wasieleski,et al.  Erratum to: Institutionalizing Ethical Innovation in Organizations: An Integrated Causal Model of Moral Innovation Decision Processes , 2013 .

[72]  Anke van Gorp,et al.  Parallel, Embedded or Just Part of the Team: Ethicists Cooperating Within a European Security Research Project , 2011, Sci. Eng. Ethics.

[73]  L. Winner DO ARTIFACTS HAVE (cid:1) POLITICS? , 2022 .

[74]  Konrad Ott,et al.  Technology assessment and ethics , 2002, Poiesis Prax..

[75]  P. Borry,et al.  International survey on attitudes toward ethics in health technology assessment: An exploratory study , 2011, International Journal of Technology Assessment in Health Care.

[76]  B. Hofmann Why not integrate ethics in HTA: identification and assessment of the reasons , 2014, GMS health technology assessment.

[77]  Aimee van Wynsberghe,et al.  Designing Robots for Care: Care Centered Value-Sensitive Design , 2013, Sci. Eng. Ethics.

[78]  Jeroen van den Hoven,et al.  ICT and Value Sensitive Design , 2006, The Information Society.

[79]  Catherine Flick,et al.  Identifying the Ethics of Emerging Information and Communication Technologies: An Essay on Issues, Concepts and Method , 2010, Int. J. Technoethics.

[80]  R. Murphy,et al.  Genealogy and palaeodrainage basins in Yunnan Province: phylogeography of the Yunnan spiny frog, Nanorana yunnanensis (Dicroglossidae) , 2010, Molecular ecology.

[81]  B. Latour On Technical Mediation , 1994 .

[82]  D. Sacchini,et al.  Health technology assessment (HTA): ethical aspects , 2008, Medicine, health care, and philosophy.

[83]  A. V. Gorp Ethics in and During Technological Research; An Addition to IT Ethics and Science Ethics , 2009 .

[84]  Ben Mepham,et al.  A Framework for the Ethical Analysis of Novel Foods: The Ethical Matrix , 2000 .

[85]  Rider W. Foley,et al.  Practitioners’ Views on Responsibility: Applying Nanoethics , 2012 .

[86]  Ellen-Marie Forsberg,et al.  Institutionalising ELSA in the moment of breakdown? , 2014, Life sciences, society and policy.

[87]  L. Schwartz,et al.  Ethics in Canadian health technology assessment: A descriptive review , 2009, International Journal of Technology Assessment in Health Care.

[88]  J. Hoven Value Sensitive Design and Responsible Innovation , 2013 .

[89]  D. Stemerding,et al.  Anticipating the Interaction between Technology and Morality: A Scenario Study of Experimenting with Humans in Bionanotechnology , 2010 .

[90]  L. Roberts Ethical dimensions of psychiatric research: a constructive, criterion-based approach to protocol preparation. The research protocol ethics assessment tool (RePEAT) , 1999, Biological Psychiatry.

[91]  H. Have Medical technology assessment and ethics. Ambivalent relations. , 1995 .

[92]  Bernd Carsten Stahl,et al.  ETHICS, Morality and Critique: An Essay on Enid Mumford¡¯s Socio-Technical Approach , 2007, J. Assoc. Inf. Syst..

[93]  Geoff Walsham,et al.  Toward Ethical Information Systems: The Contribution of Discourse Ethics , 2010, MIS Q..

[94]  Ellen-Marie Forsberg,et al.  Pluralism, The Ethical Matrix, and Coming to Conclusions , 2007 .

[95]  Fred Wenstøp,et al.  On operations research and value conflicts , 2009 .

[96]  A. Grunwald,et al.  The application of ethics to engineering and the engineer’s moral responsibility: Perspectives for a research agenda , 2001, Science and engineering ethics.

[97]  Graham Tate,et al.  A study of user participation in information systems development , 1994, J. Inf. Technol..

[98]  W. Hiddemann,et al.  Ethical assessment of life-prolonging treatment. , 2011, The Lancet. Oncology.

[99]  Matthew Cotton,et al.  Evaluating the ‘Ethical Matrix’ as a Radioactive Waste Management Deliberative Decision-Support Tool , 2009 .

[100]  F. Brom,et al.  Ethical Tools to Support Systematic Public Deliberations about the Ethical Aspects of Agricultural Biotechnologies , 2007 .

[101]  Jeroen van den Hoven,et al.  The Need for a Value-Sensitive Design of Communication Infrastructures , 2009 .

[102]  J. Schummer “Societal and Ethical Implications of Nanotechnology”: Meanings, Interest Groups, and Social Dynamics , 2004 .

[103]  C. Heleski,et al.  Science alone is not always enough: The importance of ethical assessment for a more comprehensive view of equine welfare , 2012 .

[104]  Krsto Pandza,et al.  Strategic and ethical foundations for responsible innovation , 2013 .

[105]  Kenneth D. Pimple Emerging pervasive information and communication technologies (PICT) , 2014 .

[106]  Catherine Flick,et al.  The empathic care robot: A prototype of responsible research and innovation , 2014 .

[107]  Aimee van Wynsberghe,et al.  Ethicist as Designer: A Pragmatic Approach to Ethics in the Lab , 2014, Sci. Eng. Ethics.

[108]  David Wright,et al.  A framework for the ethical impact assessment of information technology , 2011, Ethics and Information Technology.

[109]  Larry Stapleton,et al.  Ethical decision making in technology development: a case study of participation in a large-scale information systems development project , 2007, AI & SOCIETY.

[110]  Luciano Floridi,et al.  Tolerant Paternalism: Pro-ethical Design as a Resolution of the Dilemma of Toleration , 2016, Sci. Eng. Ethics.

[111]  Larry Stapleton,et al.  Towards empathy: a human-centred analysis of rationality, ethics and praxis in systems development , 2014, AI & SOCIETY.

[112]  George Middendorf,et al.  Introducing Survival Ethics into Engineering Education and Practice , 2013, Sci. Eng. Ethics.

[113]  Ibo van de Poel,et al.  Translating Values into Design Requirements , 2013 .

[114]  V. Blok,et al.  Moral “Lock-In” in Responsible Innovation: The Ethical and Social Aspects of Killing Day-Old Chicks and Its Alternatives , 2015 .

[115]  Batya Friedman,et al.  Value-sensitive design , 1996, INTR.

[116]  Assessment vs. appraisal of ethical aspects of health technology assessment: can the distinction be upheld? , 2014, GMS health technology assessment.

[117]  Improving ethics analysis in health technology assessment , 2011, International Journal of Technology Assessment in Health Care.

[118]  Len Sassaman Ethical Guidelines for Computer Security Researchers: "Be Reasonable" , 2010, Financial Cryptography Workshops.

[119]  Michael Friedewald,et al.  Integrating privacy and ethical impact assessments , 2013 .

[120]  Jan-Åke Törnroos,et al.  Ethics and value creation in business research: comparing two approaches , 2006 .

[121]  Tsjalling Swierstra,et al.  Assessing Expectations: Towards a Toolbox for an Ethics of Emerging Technologies , 2011, Nanoethics.

[122]  P. Brey,et al.  Anticipating ethical issues in emerging IT , 2012, Ethics and Information Technology.

[123]  Katie Page,et al.  The four principles: Can they be measured and do they predict ethical decision making? , 2012, BMC Medical Ethics.

[124]  Shona Leitch,et al.  ETHICS: The Past, Present and Future of Socio-Technical Systems Design , 2010, HC.

[125]  Leon Hempel,et al.  Towards a social impact assessment of security technologies: A bottom-up approach , 2013 .

[126]  I. van Hoyweghen,et al.  Reflections on different governance styles in regulating science: a contribution to ‘Responsible Research and Innovation’ , 2015, Life sciences, society and policy.

[127]  Laurens Landeweerd,et al.  Adapt or perish? Assessing the recent shift in the European research funding arena from ‘ELSA’ to ‘RRI’ , 2014, Life sciences, society and policy.

[128]  U. Felt,et al.  Unruly ethics: on the difficulties of a bottom-up approach to ethics in the field of genomics , 2009 .

[129]  P. Verbeek What Things Do: Philosophical Reflections on Technology, Agency, and Design , 2005 .

[130]  Ibo van de Poel,et al.  Values in Engineering Design , 2009 .

[131]  Charalabos-Markos Dintsios,et al.  Information on ethical issues in health technology assessment: How and where to find them , 2010, International Journal of Technology Assessment in Health Care.

[132]  Philippe Goujon,et al.  Toward a normative ethics for technology development , 2011, J. Inf. Commun. Ethics Soc..

[133]  B. Stahl Virtual suicide and other ethical issues of emerging information technologies , 2013 .

[134]  Ann J. Russ,et al.  Revisiting the biomedicalization of aging: clinical trends and ethical challenges. , 2004, The Gerontologist.

[135]  Kristrun Gunnarsdottir,et al.  The Technolife Project: an experimental approach to new ethical frameworks for emerging science and technology , 2013 .

[136]  Susan Wyche,et al.  Values as lived experience: evolving value sensitive design in support of value discovery , 2009, CHI.

[137]  Bjørn Hofmann,et al.  HARMONIZATION OF ETHICS IN HEALTH TECHNOLOGY ASSESSMENT: A REVISION OF THE SOCRATIC APPROACH , 2014, International Journal of Technology Assessment in Health Care.

[138]  Bernd Carsten Stahl,et al.  Tomorrow’s ethics and today’s response: An investigation into the ways information systems professionals perceive and address emerging ethical issues , 2014, Inf. Syst. Frontiers.

[139]  J. Herkert,et al.  Future directions in engineering ethics research: Microethics, macroethics and the role of professional societies , 2001, Science and engineering ethics.

[140]  I. Poel How Should We Do Nanoethics? A Network Approach for Discerning Ethical Issues in Nanotechnology , 2008 .

[141]  Dietrich Brandt,et al.  THE GLOBAL VALIDITY OF ETHICS: APPLYING ETHICS TO ENGINEERING AND TECHNOLOGY DEVELOPMENT , 2005 .

[142]  Päivi Heikkilä,et al.  Human-driven design of micro- and nanotechnology based future sensor systems , 2015, Journal of Information, Communication and Ethics in Society.

[143]  Ana Viseu,et al.  Integrating and Enacting ‘Social and Ethical Issues’ in Nanotechnology Practices , 2012 .

[144]  Matthew J. Drake,et al.  Socially responsible modeling: a stakeholder approach to the implementation of ethical modeling in operations research , 2011, OR Spectr..

[145]  Fern Wickson,et al.  The Walkshop Approach to Science and Technology Ethics , 2015, Sci. Eng. Ethics.

[146]  Ben Light,et al.  Ethics and social networking sites: a disclosive analysis of Facebook , 2010, Inf. Technol. People.

[147]  A. Braunack-Mayer Ethics and health technology assessment: Handmaiden and/or critic? , 2006, International Journal of Technology Assessment in Health Care.

[148]  S. Reiter-Theil Does empirical research make bioethics more relevant? “The embedded researcher” as a methodological approach , 2004, Medicine, health care, and philosophy.

[149]  Christian Gamborg,et al.  The acceptability of forest management practices: an analysis of ethical accounting and the ethical matrix , 2002 .

[150]  Michael Friedewald,et al.  Open consent, biobanking and data protection law: can open consent be ‘informed’ under the forthcoming data protection regulation? , 2015, Life Sciences, Society and Policy.

[151]  P. Verbeek,et al.  Materializing Morality , 2006 .

[152]  B. Stahl,et al.  How to Shape a Better Future? Epistemic Difficulties for Ethical Assessment and Anticipatory Governance of Emerging Technologies , 2015 .

[153]  P. Verbeek,et al.  What things do , 2005 .

[154]  D. Frisby,et al.  Towards a Transformation of Philosophy , 2023 .

[155]  Y. Bombard,et al.  Eliciting ethical and social values in health technology assessment: A participatory approach. , 2011, Social Science & Medicine (1967).

[156]  N. Karafyllis Facts or Fiction? A Critique on Vision Assessment as a Tool for Technology Assessment , 2009 .

[157]  Audley Genus Rethinking constructive technology assessment as democratic, reflective, discourse , 2006 .

[158]  Barbara Begier Effective cooperation with energy consumers: An example of an ethical approach to introduce an innovative solution , 2014, J. Inf. Commun. Ethics Soc..

[159]  M. Polonsky Incorporating Ethics into Business Students' Research Projects: A Process Approach , 1998 .

[160]  Mads Borup,et al.  The sociology of expectations in science and technology , 2006, Technol. Anal. Strateg. Manag..

[161]  Alan Borning,et al.  Next steps for value sensitive design , 2012, CHI.

[162]  Michael Rohs,et al.  Social, Economic, and Ethical Implications of Ambient Intelligence and Ubiquitous Computing , 2005, Ambient Intelligence.

[163]  C. Groves Logic of Choice or Logic of Care? Uncertainty, Technological Mediation and Responsible Innovation , 2015 .

[164]  Neelke Doorn,et al.  Responsibility Ascriptions in Technology Development and Engineering: Three Perspectives , 2009, Sci. Eng. Ethics.

[165]  A. Spahn Mediation in Design for Values , 2015 .

[166]  I. Autti-Rämö,et al.  Ethical evaluation in health technology assessment reports: An eclectic approach , 2007, International Journal of Technology Assessment in Health Care.

[167]  C. Whitbeck Ethics in Engineering Practice and Research: Responsible Research Conduct , 2011 .

[168]  P. Lansky The Importance of Being Digital , 2013 .

[169]  Ineke Malsch The Just War Theory and the Ethical Governance of Research , 2013, Sci. Eng. Ethics.

[170]  V. Entwistle,et al.  Guidance for considering ethical, legal, and social issues in health technology assessment: Application to genetic screening , 2008, International Journal of Technology Assessment in Health Care.

[171]  A. Nordmann If and Then: A Critique of Speculative NanoEthics , 2007, The Ethics of Nanotechnology, Geoengineering and Clean Energy.

[172]  T. Beauchamp,et al.  Principles of biomedical ethics , 1991 .

[173]  Bjørn Hofmann,et al.  On value-judgements and ethics in health technology assessment , 2005, Poiesis Prax..

[174]  Janita F. J. Vos,et al.  Investigating the use of the stakeholder notion in project management literature, a meta-analysis , 2008 .

[175]  A. C. Van Gorp,et al.  Ethical issues in engineering design safety and sustainability , 2005 .