From%TAto%RRI:%What’s%new%in%preparing%for%the% … · 2015. 3. 22. ·...

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From TA to RRI: What’s new in preparing for the implica:ons of new technologies? Philip Shapira Workshop on Science, Technology and Innova8on Systems: Dynamics, Governance and Public Policy University of Campinas, Brazil March 4, 2015 Email: [email protected] | TwiPer: @philipshapira

Transcript of From%TAto%RRI:%What’s%new%in%preparing%for%the% … · 2015. 3. 22. ·...

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From  TA  to  RRI:  What’s  new  in  preparing  for  the  implica:ons  of  new  technologies?  

Philip  Shapira    

Workshop  on    Science,  Technology  and  Innova8on  Systems:  Dynamics,  Governance  and  Public  Policy    

University  of  Campinas,  Brazil  March  4,  2015  

1 Email:  [email protected]  |  TwiPer:  @philipshapira  

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From  TA  to  RRI:  What’s  new  in  preparing  for  the  implica:ons  of  new  technologies?  

1.   New  technologies:  Why  prepare?  

2.   An:cipa:on  &  Governance:  From  assessment  to  responsibility  

3.   Challenges  and  Opportuni:es:  Design  and  opera8onaliza8on  of  responsible  research  and  innova8on  

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New  technologies:  Why  prepare?  •  Ra:onales  for  ac:on  include:  

– Economic:  address  market  failures  to  investment  –  Ins:tu:onal:  address  public  failures,  e.g.  making  use  of  science  and  technology  

– Ethics  and  regula:on:  morality,  law,  standards  – Risk:  mi8gate  or  avoid  poten8ally  harmful  effects  – Distribu:on:  equity,  par8cipa8on  – Construc:ve  design:  bePer  meet  user  needs  – Challenges:  societal  and  global  grand  challenges  

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From  TA  to  RRI:  What’s  new  in  preparing  for  the  implica8ons  of  new  technologies?

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Prepare:  Late  Middle  English:  from  French  préparer  or  La8n  praeparare,  from  prae  “before”  +  parare  “make  ready”  (Oxford  Engl.  Dic8onary)  

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Why  focus  on  new  and  emerging  technologies?  

A  new  or  emerging  technology  offers:    •  Major  new  capabili:es  or  func:ons  when  compared  with  conven8onal  

(current)  technology.  –  Current  examples  include:  nanotechnology,  synthe8c  biology,  digital  

manufacturing,  advanced  neuroscience,  geo-­‐engineering.  

•  Claims  of  revolu8onary  or  transforma:ve  economic  and  societal  impacts,  ocen  targeted  to  societal  grand  challenges.  –  Likely  to  raise  significant  concerns  about  ethics,  environmental  health  and  

safety,  economic  displacement,  equity,  and  other  societal  impacts.  

•  Fresh  opportuni:es  for  prepara:on  and  shaping  at  the  “fuzzy  front  end”  when  new  technologies  are  s8ll  under  development  and  experimenta8on  –  New  approaches  possible  –  may  be  in  unregulated  voids  –  Yet  also  s8ll  challenged  by  ins8tu8onal  path  dependencies  and  incumbent  

technologies  and  stakeholders    

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Time  horizons:  Waves  &  cycles  of  technological  innova8on    

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Long  term  technology  and  growth:  Kondra8ev  Cycles  (Source:  MakingItMagazine.net)  

Short  term  profit  and  loss:  “Valley  of  Death” (Source:  Outlier  Magazine)  

See  also:  Schumpeter  “Crea8ve  destruc8on”  (medium-­‐term,  drivers  of  change  view)  

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The  promise  and  reali8es  of  emerging  technologies    Processes  of  emergence  

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Gartner  “Hype”  Cycle  

2013  Emerging  Technologies  Hype  Cycle  Source:  Gartner,  August  2013  

See  also:  “Double  Boom”  Schmoch,  2007  

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Technology Emergence  Societal  Challenges  

•  The  Grey  Goo  /  GMF  problem  –  Avoid  nega8ve  results  –  Responsibility  and  a  precau8onary  approach  

•  The  targe8ng  problem  – What  are  the  goals?  (esp.  of  public  investment  in  science  &  tech)  

–  Society  as  the  fron8er:  Equity,  quality  of  life  •  The  process  problem  

– Who  decides?  Can  decision-­‐making  be  inclusive?  –  Can  decision-­‐making  be  reflec8ve  and  an8cipatory?  

2006-05-03 23:10:00Scientist warns of nanotechnology dangersLONDON, May 3 (UPI) -- A British scientist is warning that hundreds of...

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An8cipa8on  and  governance:    From  assessment  to  responsibility  

From  TA  to  RRI:  What’s  new  in  preparing  for  the  implica8ons  of  new  technologies?

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S&T  policy  approaches  to  prepare  for  new  technologies,  include:  •  Forecas8ng  •  Foresight  •  Road  mapping  •  Scenarios  •  Technology  

assessment  •  Strategic  intelligence  •  An8cipatory  

governance    

An:cipa:on:  developing  understandings  of  what  might  happen,  e.g.  technology  pathways,  implica8ons      

Three  examples:  

Governance::    what  to  do,  who  should  be  involved,  and  what  can  be  done.  

Technology  Assessment  

Real-­‐Time  Technology  Assessment  

Responsible  Research  and  Innova:on  

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Congressional  Office  of  Technology  Assessment  

1986-­‐1988   2005-­‐2015   2015-­‐2019  

Responsible  Research  &  Innova:on  (RRI)  

Real-­‐Time  Technology  Assessment  (RTTA)  

Technology  Assessment  (TA)  

Center  for  Nanotechnology  in  Society  (CNS-­‐ASU)  

SYNBIOCHEM:  Centre  for  Synthe:c  Biology  of  Fine  and  Speciality  

Chemicals  (Manchester)    

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Example  1:  Technology  Assessment  (TA)

Concept:  TA  =  knowledge  development  and  dissemina:on  to  inves8gate  and  consider  the  full  range  of  impacts  and  consequences  of  technological  applica8ons.    

Core  principles:  •  Science  and  technology  developments  have  implica8ons  –  economic,  societal,  

ethical,  environmental,  health,  security  •  Implica8ons  not  always  obvious  at  an  early  stage  yet,  once  deployed  nega8ve  

implica8ons  can  be  difficult  and  costly  to  remedy  •  Early  assessment  and  examina8on  of  op8ons  and  their  implica8ons  can  inform  

technological  decision-­‐making  and  investment  •  Not  an8-­‐technological:  addresses  opportuni8es  and  barriers  to  desirable  

technological  adop8on,  as  well  as  highligh8ng  poten8al  issues,  risks    •  Technology  assessment  tools  include  (but  not  limited  to):  expert  advice,  

scenarios,  foresight,  undertaken  in  an  interdisciplinary  context  

Emergence:  Emerges  in  US  (and  Europe)  in  mid-­‐1960s  –  rising  concern  about  modern  technologies  and  impacts  –  pollu8on,  supersonic  transport,  agricultural  pes8cides,  natural  resource  exploita8on,  nuclear  power

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Key  Probes  

q  Drivers  -­‐  What  is  the  technology?  •  Who  is  developing  it,  how,  and  at  what  pace?  

q  Applica:ons:  What  are  the  poten:al  applica:ons?  •  Can  the  technology  scale  up  and  be  economic  and  

sustainable  in  produc8on  and  use  (added  value  compared  with  incumbents  or  compe8ng  new  technologies?)  

•  Who  will  be  the  likely  users?  Where  is  the  market,  and  what  size?  

q  Adop:on:  Can  and  Should  it  be  Deployed?  •  What  are  the  opportuni8es  and  barriers  to  technological  

adop8on,  also  poten8al  issues,  risks?  11

Example  1:  Technology  Assessment  (TA)

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OTA  –  Quick  Recap  Legisla:ve  development  

–  “Technology  assessment”  introduced  in  Congress  1965  -­‐  policymakers  could  not  judge  merits  of  technological  programs  

–  Na8onal  Academies  &  Congressional  studies;  NSF  TA  program  –  OTA  legisla8on  developed  in  1972,  founded  1973  (PL  92-­‐484)  

US  Office  of  Technology  Assessment  (OTA)  l  Opens  in  1974,  expert  staff  (health,  environment,  IT,  etc)      l  Provided  commiPees  with  assessments  of  complex  technologies  –  

with  op,ons  (pro  &  con)  l  12  member  bi-­‐par8san  TA  Board  l  c.  750  studies  and  reports  over  23  years,  many  topics;  c.  140  staff,  

$20m  budget  

OTA  Closed  (“De-­‐funded”)  l  1995  (Republican-­‐controlled  Congress)  

Example  1:  Technology  Assessment  (TA)

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Commentary  • “My  job  is  not  to  resolve  the  debate  but  to  enhance  and  inform  it”  (Nancy  Lubin,  OTA  project  director)  • Congress  has  too  much  informa8on  not  too  liPle  –  OTA  was  really  good  at  being  able  to  ”sic  through  that  and  figure  out  what  is  and  isn’t  a  problem”  (Bruce  Bimber,  UCSB)  • OTA  is  a  “defense  against  the  dumb”  (Rep  George  Brown,  1965)  

Sources: Peter Blair, Congress's Own Think Tank: Learning from the Legacy of the Office of Technology Assessment (1972-1995), 2013; Bruce Bimber, The Politics of Expertise in Congress: The Rise and Fall of the Office of Technology Assessment, 1996; T. Murphy, T Raja, You Can Also Blame Newt Gingritch for the Obama Care Website Screwup, Mother Jones, December 6, 2013. L. Kelly, Congress’ Wicked Problem: Seeking Knowledge Inside the Information Tsunami, New America Foundation, 2013; J Sadowski, Atlantic Monthly, Oct 26, 2012

Examples  of  OTA  insight  and  foresight  �  1975  study  -­‐  new  tanker  designs  needed  (decade  before  Exxon-­‐

Valdiz  spill  in  1989)  �  1982  study  an8cipates  that  email  will  obsolete  the  post  service  �  1985  assessment  of  mul8-­‐billion  dollar  Strategic  Defense  Ini8a8ve  

(Star  Wars)  finds  it  would  not  work    �  1993  study  emphasizes  dangers  of  fer8lizer  bombs  (c.f.  Oklahoma  

City  bombing  in  1995)  �  1994  assessment  of  Social  Security  computer  upgrades  yields  

$368m  savings  

US  Office  of  Technology  Assessment,  1974-­‐1995  

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TA  in  USA  since  1995  

q Range  of  views  on  effec8veness  of  OTA  –  Pro:  Much-­‐needed  body  of  independent  scien8fic  and  

technological  advice  for  Congress  and  country  –  Con:  Inefficient,  duplica8ve,  and  in  some  cases  biased    

q Since  1995  –  Other  organiza8ons  involved  in  TA  (or  “quasi-­‐TA”),  including  

Na8onal  Academy,  non-­‐profits  (RAND,  Cri8cal  Technologies  Ins8tute),  GAO,  other  expert  TA  consultancies)  

   q Efforts  to  re-­‐establish  OTA  or  an  OTA-­‐like  capability  

–  Legisla8ve  proposals  (beginning  2002,  Rush  Holt,  OTA  Re-­‐establishment)  and  other  proposals  for  TA  services  or  centers  aiding  Congress  

–  G.  Morgan,  J  Peha,  Science  &  Technology  Advice  for  Congress;  and  others  

–  Argument:  Congressional  TA  capability  is  essen8al    

Example  1:  Technology  Assessment  (TA)

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Meanwhile  …8mes  change  

q Development  of  innova:on  systems  approaches  q Advances  in  ICT  &  knowledge  systems  q New  TA  concepts  

–  Strategic  Intelligence  (Kuhlmann,  Smits)  •  Mul8ple  instruments:  Technology  Forecas8ng,  Technology  Foresight,  Technology  Assessment,  Evalua8on,  and  Road  Mapping    

–  Par:cipatory  TA;  Technology  Consensus  Conferences  (DK)  •  Broaden  par8cipa8on  &  engagement  in  TA  decision-­‐making  

–  Construc:ve  TA  (NL);  Real-­‐Time  TA  (Guston,  Sarewitz);  An:cipatory  Governance  (Guston);  Midstream  Modula:on  (Fisher)  

•  Use  TA,  other  methods  to  modify  /  modulate  technology  development  

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Center for Nanotechnology and Society (CNS-ASU) [NSF 2005-2015]

CNS-­‐ASU  involves  the  ac8vi8es  of  more  than  80  individuals  at  3  major  collabora8ng  ins8tu8ons,  as  well  as  other  collaborators,  partners,  and  consultants  

•  Arizona State University

•  University of Wisconsin-Madison

•  Georgia Tech

MISSION •  Research  the  societal  implica8ons  of  

nanotechnologies  

•  Train  a  community  of  scholars  with  new  insight  into  the  societal  dimensions  of  nanoscale  science  &  engineering  (NSE)  

•  Engage  the  public,  policy  makers,  business  leaders,  and  NSE  researchers  in  dialogues  about  the  goals  and  implica8ons  of  NSE  

•  Partner  with  NSE  laboratories  to  introduce  greater  reflexiveness  in  the  R&D  process  

Example  2:  Real-­‐Time  Technology  Assessment  (RTTA)

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The  U.S.  21st  Century  Nanotechnology  R&D  Act  of  2003  (PL  108-­‐153)  

Four  key  objec:ves:  •  Framework  for  integrated  and  

interdisciplinary  approach  to  nano  R&D  

•  Encourages  applica8ons  of  nano  for  produc8vity,  industrial  compe88veness  

•  Provides  for  nano  educa8on  and  training  

•  Requires  ethical,  legal,  environmental,  and  other  societal  concerns  to  be  addressed  

Sec  2(b)(10):  ¡  Establishes  societal  implica8ons  

research  program  ¡  Requires  nano  research  centers  

(NSECs)  to  address  societal  implica8ons  

¡  Integrates  societal  concerns  with  nano  R&D  

¡  Ensure  advances  in  nanotech  lead  to  quality  of  life  improvements  for  all  

¡  Provides  for  public  input  

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An:cipatory  Governance  •  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  s8ll  possible.  

CNS-ASU aims to encourage reflexivity

among the NSE research establishment and build capacity for anticipatory

governance

Reflexivity  •  a  capacity  for  social  learning  (by  

individuals,  groups,  ins8tu8ons,  publics)  in  the  NSE  enterprise  narrowly  and  society  broadly  that  expands  the  domain  of  and  informs  the  available  choices  in  decision  making  about  nano.  

Center  for  Nanotechnology  in  Society  

Example  2:  Real-­‐Time  Technology  Assessment  (RTTA)

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CNS-­‐ASU  Programs  Center for Nanotechnology in Society (CNS-ASU)

Real-­‐Time  Technology  Assessment  1.   Research  and  Innova:on  

Systems  Analysis  (RISA)  2.   Public  Opinion  and  Values  

(POV)  3.   Delibera:on  and  Par:cipa:on  

(D&P)  4.   Reflexivity  Assessment  and  

Evalua:on  (RAE)  

Thema:c  Research  Clusters  1.   Human  Iden:ty,  

Enhancement  &  Biology  2.   Equity  3.   Urban  Design,  Materials  &  

the  Built  Environment  (Nano  &  the  City)  

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Performance  and  Outcomes  

Important scholarly and reference works •  Encyclopedia of Nanoscience and Society •  Yearbook of Nanotechnology in Society series

Large, multi-year datasets & tools •  Publications •  Patents •  Public opinion •  Expert opinion •  Media •  STIR field data •  Policy documents •  Urban design elements

Demonstrations of public engagement at scale •  National Citizens’ Technology Forum •  FutureScape City Tours

Extended networks of individuals and institutions •  Scores of institutions in public and private sectors •  More than 100 international visitors •  Thousands of participants

Generative, influential vision & methods •  Anticipatory governance •  Real-time technology assessment

In-depth study of critical, long-term societal issues •  Human Identity, Enhancement & Biology •  Equity, Equality and Responsibility

•  Nano and the City

New techniques and methods for •  Anticipating futures •  Engaging publics •  Integrating across “two cultures” •  Training students

Scholarly impact •  100-150 peer-reviewed publications •  1000-2000 citations

Human capital •  New scholars •  Enlightened citizens •  Informed decision-makers •  Reflexive scientists and engineers

Example  2:  Real-­‐Time  Technology  Assessment  (RTTA) Center  for  Nanotechnology  in  Society  

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Reflec:ons  •  CNS-­‐ASU:  A  new  na8onal  and  interna8onal  resource  

informing  and  s,mula,ng  scien8fic  and  policy  dialogue  about  nanotechnology  emergence  

•  Innova8ve  approaches  (for  the  US),  incl.  datamining,  scenarios,  wikis,  ci8zen  panels,  science  engagement,  policy,  business  and  community  engagement  

•  Has  caught  aPen8on  of  some  scien8sts  (but,  of  course,  not  the  majority),  policymakers  (na8onal,  local)  

•  Resources:  $1.2m  /  year    –  Enough  to  establish  a  model,  but  not  to  replicate?  

•  Limited  to  one  technology  (albeit  a  general  purpose  technology)  

•  Can  it  be  replicated  for  other  emerging  technologies,  e.g.  synthe8c  biology?  

CNS-ASU Mission

¡  Research

¡  Train

¡  Engage

¡  Partner

Example  2:  Real-­‐Time  Technology  Assessment  (RTTA) Center  for  Nanotechnology  in  Society  

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Example  3:  Responsible  Research  and  Innova8on  (RRI)

Core  principles:  •  Focusing  research  and  innova8on  to  social  or  environmental  benefit.  •  Involvement  of  society,  from  beginning  to  end  of  the  innova8on  process,    •  Assessing  social,  ethical  and  environmental  impacts,  risks  and  opportuni8es,  

both  now  and  in  the  future,  alongside  the  technical  and  commercial.  •  Developing  oversight  mechanisms  with  the  capability  to  an8cipate  and  

manage  problems    •  Openness  and  transparency  integrated  into  the  research  and  innova8on  

process.            [Adapted  from  Sutcliffe  2014]  

Concept  RRI  =  transparent  interac8ve  process  involving  societal  actors  and  innovators  to  address  the  acceptability,  sustainability  and  societal  desirability  of  innova8on  processes  and  products  [Adapted  from  von  Schomberg  2011]  

Emergence  –  beginning  in  Europe  post-­‐2000s,  expanding  post  2010s    

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Mul:ple  Dimensions  of  RRI*  

23

Example  3:  Responsible  Research  and  Innova8on  (RRI)

*S8lgoe,  J.,  Owen,  R.,  Macnaghten,  P.  Developing  a  framework  for  responsible  innova8on,  Research  Policy,  2013  [Not  all  techniques  included]  

• Foresight;  Technology  assessment;  Horizon  scanning;  Scenarios;  Vision  assessment;  Socio-­‐literary  techniques    

An8cipa8on    

• Mul8disciplinary  collabora8on  and  training;  Embedded  social  scien8sts  and  ethicists  in  laboratories;  Ethical  technology  assessment;  Codes  of  conduct;  Moratoriums    

Reflexivity    

• Consensus  conferences  Ci8zens’  juries  and  panels  Focus  groups;  Science  shops;  Delibera8ve  mapping    Inclusion    

• Cons8tu8on  of  grand  challenges  and  thema8c  research  programmes;  Regula8on;  Standards;  Open  access  and  other  mechanisms  of  transparency    

Responsiveness    

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EPSRC  (UK)  2013  -­‐  Framework  for  Responsible  Innova:on  

•  RRI  Concept  –  Responsible  Innova8on  is  a  process  that  seeks  to  promote  crea8vity  and  

opportuni8es  for  science  and  innova8on  that  are  socially  desirable  and  undertaken  in  the  public  interest.  

•  Key  elements  -­‐  ANTICIPATE,  REFLECT,  ENGAGE  AND  ACT  (AREA)  –  An:cipate  –  describing  and  analysing  the  impacts,  intended  or  otherwise,  (e.g.  

economic,  social,  environmental)  that  might  arise.  This  does  not  seek  to  predict  but  rather  to  support  an  explora8on  of  possible  impacts  and  implica8ons  that  may  otherwise  remain  uncovered  and  liPle  discussed.  

–  Reflect  –  reflec8ng  on  the  purposes  of,  mo8va8ons  for  and  poten8al  implica8ons  of  the  research,  and  the  associated  uncertain8es,  areas  of  ignorance,  assump8ons,  framings,  ques8ons,  dilemmas  and  social  transforma8ons  these  may  bring.  

–  Engage  –  opening  up  such  visions,  impacts  and  ques8oning  to  broader  delibera8on,  dialogue,  engagement  and  debate  in  an  inclusive  way.  

–  Act  –  using  these  processes  to  influence  the  direc8on  and  trajectory  of  the  research  and  innova8on  process  itself.  

See: http://www.epsrc.ac.uk/research/framework/Pages/area.aspx

Example  3:  Responsible  Research  and  Innova8on  (RRI)

Importance  of  meta  

frameworks  

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Centre  for  Synthe:c  Biology  of  Fine  &  Speciality  Chemicals  

SYNBIOCHEM  Directors  

SYNBIOCHEM  Cabinet  

DESIGN   BUILD   TEST   RRI  DATA  CPI   Gene  Mill  

Grand  Challenges  

Themes   Centre  Targeted  Projects   Teams  

SCAFFOLDS   Alkaloids,  Flavonoids,  Terpenes   Faulon,  ScruPon,  Turner  

DATA

 Cura8

on    

Carole  Gob

le  

RESPONSIBLE  RE

SEAR

CH  &  

INNOVA

TION  -­‐  Shapira

 

TAILORING   NRP’s  and  PKS  scaffolds  Toolkits  Cytochromes  P450  oxida8on  and  glycosyla8on    

Flitsch,  Leys,  Munro  

REGULATION   Orthogonal  riboswitches  Light  senor  and  signalling  circuits  

Micklefield,  Dixon  

CHASSIS   Chassis  based  on  Halomonas  sp,  Geobacter,  Yeast  Host  cell  environment  and  microcompartment  engineering  Engineering  end-­‐product  transport  

Delneri,  Lloyd,  Takano  

PROCESS   Process  engineering  challenges  –  e.g.  downstream  separa8on  Scaling  up  toolkit  Process  analy8cal  technology  

Chen,  Mar8n,  Pearson  

Design  and  engineer  biological  parts,  devices  and  systems  for  sustainable  fine  and  speciality  chemicals  produc:on,  including  new  products  and  intermediates  for  drug  development,  agricultural  chemicals  and  new  materials  for  sustainable  manufacturing.    

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SYNBIOCHEM  –  Responsible  Research  and  Innova:on  [RRI]  

Responsible  Research  and  Innova:on  (RRI)  -­‐  analysis,  collabora8on  and  delibera8on  to  an8cipate,  prepare  for,  or  mediate  impacts  of  emerging  new  technologies  in  society,  economy,  and  the  environment.  

   Synthe:c  Biology  Context  –  Why  RRI?  Worldwide  scien:fic  and  commercial  interest  

Societal  concerns  and  expecta:ons  Growing  debates  

Emerging  policy  frameworks  

Transforma:onal  poten:al  q  Interdisciplinary  team  –  social  sciences,  ethics  and  humani8es,  science  &  innova8on  policy,  and  sustainability    q  Embedded  in  centre;  Networked  interna8onally  q  Outputs:  Research,  models,  prac8ce,  policy      

Shapira  

Randles  

Balmer  

Azapagic  

Chan  

SYNBIOCHEM  RRI  Group  

MBS/M

IOIR  Inno

va8o

n  Re

search  

Sociology  

ISEI  &  Bioethics  

ChE  

Assess  research  targets,  commercial  applica:ons,  innova:on  pathways  

An:cipate    poten:al  risks,  ethical,  legal,  regulatory  

issues  

Analyse  life-­‐cycle  &  sustainability  implica:ons  

Prepara:on  and  training  of  centre  researchers  

Development  of  modula:on  strategies  (upstream  /  

midstream  /  downstream)  

Real-­‐8me  assessment  and  an8cipa8on  

Ethics  and  delibera8on  

Sustainable  industrial  systems  

Collabora8ve  development  

Engagement  and  delibera:on  (mul:-­‐way)  with  scien:sts,  

companies,  external  stakeholders,  publics  

SYNBIOCHEM  RRI  Processes  

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Comparisons  OTA  Model   CNS  Model     SYNBIOCHEM  Model  

1970s-­‐1980s   2005-­‐2015   2014-­‐2019  

Downstream  TA   Upstream  RTTA   Embedded  RRI  

Focused  on  Washington   Distributed  structure   Integrated  center  

Mul8ple  technology  scope   Single:  Nanotechnology   Single:  Synthe8c  Biology  

Target  group:  policy  decision  makers  

Target  group:  scien8sts,  decision-­‐makers,  business,  NGOs,  public(s)  

Established  exper8se   Established  exper8se  plus  capacity  building  

Established  techniques   Able  to  experiment  with  new  methods  

Reports,  tes8mony,  informal  interac8ons  

Mul8ple  dissemina8on  and  engagement  modes  

Embedded  in  policy  cycle   Program  cycle   Center  cycle  

Top-­‐down  forms  of  influence  ð  stakeholders  

BoPoms-­‐up  indirect  influence  ð  stakeholders  

Direct  interac8ons  with  scien8sts;  itera8ve  stakeholder  interac8ons    

TA,  RTTA,  and  RRI

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Comparing  Synbio  and  Nano  

Different  pre-­‐contexts  •  Both  are  post-­‐GMO  –  aPen8on  to  societal  implica8ons    •  Nanotechnology:  social  scien8sts  engaged  in  considering  

societal  implica8ons  (2000s+)  –  No  prior  societal  research  infrastructure  –  21st  Century  Nanotechnology  R&D  Act  created  societal  research  agenda  

–  Separate  programs,  centers  e.g.  NNI-­‐NSF  Centers  for  Nanotechnology  in  Society  

•  Synbio:  now  aPrac8ng  social  science  aPen8on  (2008+)  –  Extension  from  human  genomics  (ELSI)  –  Transdisciplinary  centers  (medicine,  law,  ethics)  –  New  synbio  research  centers  with  embedded  societal  research  capabili8es  (UK  Synbio  Centres)  

www.gauchergroup.biology.gatech.edu/

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Research  Papers  in  Synthe8c  Biology  

29 Social  science,  humani8es  (SSH)  papers  

Science  (SCI)  p

apers  

Source: WoS + Scopus, Publications to Mid-2014. Countries allocated by author affiliations. Broader definition.

SCI SSH

Synthe8c  biology  -­‐  The  story  so  far  (to  2014)  A  transatlan8c  axis  of  research  outputs  

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Synbio Reference Dimensions

Auto-Correlation Map

Cited Authors (Cleaned) (Clea...

Top links shown> 0.75 1 (0)0.50 - 0.75 3 (0)0.25 - 0.50 32 (67)< 0.25 0 (636)

Powell,  A  JPowell,  A  J

Davies,  J  FDavies,  J  FChurch,  GChurch,  G

Weiss  R .Weiss  R .

Craig  Venter,  JCraig  Venter,  J

T ucker  J onathan,  BT ucker  J onathan,  B

S chmidt  MarkusS chmidt  Markus

R o,  D  -­‐KR o,  D  -­‐K

R ai  Arti  K .R ai  Arti  K .

Pottage  AlainPottage  Alain

Paul  R abinowPaul  R abinow

O'Malley  Maureen  A.O'Malley  Maureen  A.

Nordmann  A.Nordmann  A.

Morange  MichelMorange  Michel

Maurer,  S  MMaurer,  S  M

Mackenzie  AdrianMackenzie  Adrian

Latour  BrunoLatour  Bruno

Keasling,  J  DKeasling,  J  D

J asanoff,  S heilaJ asanoff,  S heila

Heinemann,  MHeinemann,  M

Glass  J .I.Glass  J .I.

Gibson,  D  GGibson,  D  G

Garfinkel  Michele  S .Garfinkel  Michele  S .

Keller  E velyn  FoxKeller  E velyn  Fox

Endy  DrewEndy  Drew

E lowitz,  M  BE lowitz,  M  B

Deplazes-­‐Z emp  A.Deplazes-­‐Z emp  A.

De  Lorenzo  Vic torDe  Lorenzo  Vic tor

Collins,  J  JCollins,  J  J

Cello  J .Cello  J .

Carlson  R obert  H.Carlson  R obert  H.

Campos  L .Campos  L .

Calvert  J .Calvert  J .

Brent,  RBrent,  R

Boldt  J .Boldt  J .

Benner  S teven,  ABenner  S teven,  A

Basu,  SBasu,  S

Balmer  AndrewBalmer  Andrew

Arkin,  A  PArkin,  A  P

E rnesto  AndrianantoandroE rnesto  Andrianantoandro

Philosophy  of  science  

S&T  Studies  

Law  

Bioscience  

Bioengineering  

Venter  

Governance  

Ethics  

Synthe8c  biology    social  science  

Synthetic biology: 314 SSH papers (2000-2014) from WOS SSCI/AHCI + Scopus = 7200+ cited references (Shapira et al., JRI, 2015)

Nodes = # papers citing work by authors Links = degree of association in being cited by two or more papers, VP path-erasing algorithm focuses on strongest links Multiple dimensions reduced into two-dimensional space, proximity of nodes indicates association

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Nano-­‐Synbio  Social  Science  Comparison  

q Broad  disciplinary  bases    

q Low  overlap  nano  &  synbio  knowledge  sources  – Different  sets  of  highly  cited  knowledge  sources  – Very  few  common  shared  highly  cited  papers  

q Integra:on:  synbio  social  science  connec8ons  with  natural  science   31

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Observa:ons  &  Insights  1  q More  than  50  years  of  formalized  approaches  to  prepare  for  

the  implica8ons  of  new  technologies  q Na8onal  frameworks  are  important  in  establishing  condi8ons  

for  systema8c  technology  prepara8on  (e.g.  US  21st  Century  Nanotechnology  R&D  Act;  EPSRC  Framework  for  Responsible  Innova8on)  

q Responsible  research  and  innova8on  builds  upon,  and  has  connec8ons  to  a  series  of  earlier  concepts  which  con8nue  to  be  relevant  in  science  and  technology  policy,  including  technology  assessment  and  real-­‐8me  technology  assessment.  

 

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From  TA  to  RRI:  What’s  new  in  preparing  for  the  implica8ons  of  new  technologies?

3  

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Observa:ons  &  Insights  2  q New:  responsible  research  and  innova8on  is  envisaged  as  a  

broader  and  more  norma8ve  process.    q Breadth  and  inclusiveness:    

–  Delibera8on  should  be  undertaken  not  only  by  experts,  government  officials,  and  directly-­‐connected  interests  but  also  more  widely  with  broader  publics  and  less  powerful  but  s8ll  affected  groups.    

q Norma:ve  targets:  –  Expecta8on,  at  least  among  some  proponents,  that  processes  of  

responsible  research  and  innova8on  should  not  only  seek  to  mi:gate  poten:al  risks  but  also  lead  to  the  pursuit  of  different  scien:fic  goals,  alternate  scien:fic  pathways  (modula8on)  and  the  redesign  of  technology  so  as  to  bePer  meet  societal  goals  and  address  global  grand  challenges.    

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Challenges  and  Opportuni:es  •  Classic  reasons  for  policy  failure:  

–  1.  Problems  in  goal  se}ng  and  policy  design  –  2.  Problems  in  policy  implementa8on  

•  The  s8ll  evolving  domain  of  responsible  research  and  innova8on  suffers  from  both  of  these    

•  Challenge  1:  There  is  ongoing  debate  about  what  exactly  responsible  research  and  innova8on  is  and  what  it  means.  

•  Challenge  2:  Uncertainty  about  how  to  opera8onalize  responsible  research  and  innova8on  (what  means  of  transla8on,  what  measures)  

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Learning  by  doing  &  reflec:ng  •  RRI  is  presently  in  a  mode  of  learning  by  doing  and  reflec8ng  

•  Phase  of  experimenta8on*  – Modes  of  organiza8on:  free-­‐standing  v.  embedded  researchers  

– Modes  of  modula8on:  how  to  use  insights  gained  from  engagement  and  delibera8on  –  what  should  scien8sts  do,  what  should  policymakers  and  industry  do?  

–  System  integra8on:  how  to  integrate  RRI  into  related  systems  (e.g.  from  science  to  universi8es,  funding  bodies,  industry)  

*  Opportuni8es  to  learn  through  compariso  35

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The  difficulty  lies,  not  in  the  new  ideas,  but  in  escaping  from  the  old  ones  

 J.M.  Keynes  (The  General  Theory,  1936)