SIST-TP CWA 17796:2021
(Main)Responsibility-by-design - Guidelines to develop long-term strategies (roadmaps) to innovate responsibly
Responsibility-by-design - Guidelines to develop long-term strategies (roadmaps) to innovate responsibly
This document provides guidelines to develop long-term strategies (roadmaps) for innovating responsibly, thereby helping organizations to achieve socially desirable outcomes from their innovation processes.
These roadmaps encourage a “responsibility-by-design” approach that integrates considerations of technical, ethical, social, environmental, and economic aspects all along the research, development, and design process leading to an innovation.
The document aims at all organizations and agents involved in planning and performing research and innovation and technological development.
The focus is on innovation enabled by transformative technologies.
This document has been designed to be consistent with, and to support, as much as possible, existing management system standards and management/governance standards (e.g. EN ISO 9001). Particular attention has been given to social responsibility (i.e. EN ISO 26000).
This document has been designed to be consistent with, and to support, as much as possible, existing management system standards and management/governance standards (e.g. EN ISO 9001). Particular attention has been given to social responsibility (i.e. EN ISO 26000).
Odgovornost pri načrtovanju - Smernice za razvoj dolgoročnih strategij (načrtov) za odgovorno inoviranje
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
SIST CWA 17796:2021
01-november-2021
Odgovornost pri načrtovanju - Smernice za razvoj dolgoročnih strategij (načrtov)
za odgovorno inoviranje
Responsibility-by-design - Guidelines to develop long-term strategies (roadmaps) to
innovate responsibly
Ta slovenski standard je istoveten z: CWA 17796:2021
ICS:
03.100.02 Upravljanje in etika Governance and ethics
03.100.40 Raziskave in razvoj Research and development
SIST CWA 17796:2021 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST CWA 17796:2021
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SIST CWA 17796:2021
CEN
CWA 17796
WORKSHOP
September 2021
AGREEMENT
ICS 03.100.02; 03.100.40
English version
Responsibility-by-design - Guidelines to develop long-term
strategies (roadmaps) to innovate responsibly
This CEN Workshop Agreement has been drafted and approved by a Workshop of representatives of interested parties, the
constitution of which is indicated in the foreword of this Workshop Agreement.
The formal process followed by the Workshop in the development of this Workshop Agreement has been endorsed by the
National Members of CEN but neither the National Members of CEN nor the CEN-CENELEC Management Centre can be held
accountable for the technical content of this CEN Workshop Agreement or possible conflicts with standards or legislation.
This CEN Workshop Agreement can in no way be held as being an official standard developed by CEN and its Members.
This CEN Workshop Agreement is publicly available as a reference document from the CEN Members National Standard Bodies.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,
Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2021 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members.
Ref. No.:CWA 17796:2021 E
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Contents
Foreword . 3
Introduction. 5
1 Scope . 7
2 Normative references . 7
3 Terms and definitions . 8
4 Principles for implementing RRI . 15
5 Methodological approach . 19
6 Framework for developing an RRI roadmap . 20
6.1 General . 20
6.2 Top management commitment and leadership . 21
6.3 Context analysis . 21
6.4 Materiality analysis . 23
6.5 Experiment and engage . 27
6.6 Validation . 28
6.7 Roadmap design . 29
Annex A (Informative) Examples of RRI actions . 33
Annex B (Informative) Examples of tools . 39
Annex C (Informative) Examples of applying the guidelines . 41
Annex D (Informative) SWOT analysis for RRI implementation in industry . 42
Annex E (Informative) Tools for materiality and stakeholder analysis . 43
Annex F (Informative) Methods for stakeholder engagement . 46
Annex G (Informative) Criteria for impact analysis of RRI actions . 48
Annex H (Informative) Examples of RRI key performance indicators . 50
Annex I (Informative) Informative resources from other initiatives . 53
Bibliography. 55
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Foreword
This CEN Workshop Agreement (CWA 17796:2021) has been developed in accordance with the CEN-
CENELEC Guide 29 “CEN/CENELEC Workshop Agreements – A rapid prototyping to standardization” and
with the relevant provisions of CEN/CENELEC Internal Regulations - Part 2. It was approved by a Workshop
of representatives of interested parties on 2021-04-21, the constitution of which was supported by CEN
following the public call for participation made on 2019-06-27. However, this CEN Workshop Agreement does
not necessarily include all relevant stakeholders.
The final text of this CEN Workshop Agreement was provided to CEN for publication on 2021-08-02.
Results incorporated in this CWA received funding from the European Union’s Horizon 2020 research and
innovation programme under grant agreement No 710059.
The following organizations and individuals developed and approved this CEN Workshop Agreement:
− Andrea Porcari, Airi - Associazione Italiana per la Ricerca Industriale – Chairman
− Ibo van de Poel, Vice chair
− Giovanni Baldi, Colorobbia Consulting
− Francesca Braca, Laboratori ARCHA Srl
− Giulia Bubbolini, CISE – Centro per l’innovazione e lo sviluppo economico
− Mario M. D’Elios, University of Florence
− Donato Di Donato, Agrate & Castelletto Site Labs & Sustainability Quality Manager
− Marc Dreyer, Futopedia Consulting
− Linden Farrer
− Luisa Fracassini Agrate & Castelletto Site Labs & Sustainability Manager
− Jonathan Hankins, Foreign Scientific Correspondent – Fondazione Giannino Bassetti
− Kostas Iatridis, School of Management University of Bath
− Pim Klaassen, Assistant professor
− Zenlin Kwee, Delft University of Technology
− Joost Groot Kormelink, Delft University of Technology
− Agata Gurzawska, TRILATERAL RESEARCH
− Panagiotis Isigonis, Ca Foscari University of Venice
− Maria Maia, Karlsruhe Institute of Technology (KIT) - Institute for Technology Assessment and
Systems Analysis (ITAS)
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− Ineke Malsch, Malsch TechnoValuation
− Elvio Mantovani
− Christopher Nathan, University of Warwick
− Francesco Niglia, CEO - KOYS srls
− Daniela Pimponi, Airi - Associazione Italiana per la Ricerca Industriale
− Tom Sorell, Professor of Politics and Philosophy, University of Warwick
− Rene Von Schomberg
− Bernd Carsten Stahl, De Montfort University, Centre for Computing and Social Responsibility
− Emad Yaghmaei, Delft University of Technology
− Thamar Zijlstra, Consultant Standards Development – NEN, SHERPA project
Attention is drawn to the possibility that some elements of this document may be subject to patent rights. CEN-
CENELEC policy on patent rights is described in CEN-CENELEC Guide 8 “Guidelines for Implementation of
the Common IPR Policy on Patent”. CEN shall not be held responsible for identifying any or all such patent
rights.
Although the Workshop parties have made every effort to ensure the reliability and accuracy of technical and
non-technical descriptions, the Workshop is not able to guarantee, explicitly or implicitly, the correctness of
this document. Anyone who applies this CEN Workshop Agreement shall be aware that neither the Workshop,
nor CEN, can be held liable for damages or losses of any kind whatsoever. The use of this CEN Workshop
Agreement does not relieve users of their responsibility for their own actions, and they apply this document at
their own risk. The CEN Workshop Agreement should not be construed as legal advice authoritatively
endorsed by CEN/CENELEC.
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Introduction
Responsible research and innovation (RRI) addresses the development of products and processes that are
safe, ethically acceptable, and responsive to the needs and expectations of people and society.
The essential difference between RRI and existing practices regarding corporate social responsibility (CSR),
responsible business conduct, risk, and quality management is RRI’s focus on the research and innovation
(R&I) process, from the early stages to prototyping to going to market, and the high degree of societal
involvement RRI requires to assess potential (future) ethical and social impacts of innovation. The goal of RRI
is to design and develop innovations that have socially desirable outcomes, thus addressing specific ethics
and social concerns and providing solutions for acknowledged societal challenges (e.g., sustainable
development goals). Some examples are provided in the Annex III.
The ability to translate technological developments into innovations that generate benefits and value for the
organization and its shareholders and stakeholders and for society is a core aspect of RRI.
Initiatives to put RRI into practice in industry, for instance in the form of action plans, are still limited, with most
being related to cooperative projects within EU framework programmes or national equivalents. Examples
include Horizon 2020’s SwafS (Science with and for Society) projects such as Responsible Industry, Compass,
SMART-map, Liv-In, Orbit, Satori, Sherpa, Sienna, and TechEthos.
However, it’s worth noting that principles and approaches related to RRI have elements in common with
acknowledged business and innovation management methods and practices, such as theory of change,
1
business model generation, stakeholder management, design-thinking, and agile management.
2
The guidelines offered here were developed by the PRISMA project, which worked with eight industrial pilot
projects dealing with the application of transformative technologies in different sectors. The pilots were used
to integrate RRI principles in the participating companies’ strategies and actions in order to improve the societal
value and overall performances of their R&D (research and development) outcomes and to develop specific
“pilot RRI roadmaps”.
For an effective RRI uptake, it is essential for companies to identify strategies and practices that fit within the
realities and constraints in which they operate. The roadmap described in these guidelines aims to help them
do just that. The overall goal is to help strengthen aspects of responsibility all along the research, development,
and design process for innovations and thus to support a “responsibility-by-design” approach.
Besides helping to identify a vision, a set of actions, and a timeline (roadmap) for implementing RRI
approaches, this guideline also analyses the potential barriers, opportunities, and benefits in pursuing RRI.
Within this guidance, we understand research and innovation as intertwined: research (besides its role of
creating knowledge) has an applied character and is oriented towards innovation, with the final goal of
generating both economic and societal value.
At the industry level, technology roadmapping is already a quite widely utilized method in strategy planning. A
technology roadmap visualizes an organization’s strategic aims (vision/development plans) and can be utilized
to structure its research, development, and business activities. In recent years, the concept of IPRM
(innovation policy roadmapping methodology) has been developed to connect the development of technologies
3
and innovations to a wider societal sphere. A main aspect of IPRM is identifying those societal needs that
create a potential demand for new solutions and possibly favour the emergence of new products and markets.
1
A description of the relevance of these methods for RRI is provided in Dreyer et al., 2017.
2
The PRISMA project received funding from the EU’s Horizon 2020 research and innovation programme
(grant agreement No. 710059). More information is available on the PRISMA website: www.rri-prisma.eu/
3
Ahlqvist, T., Valovirta, V., & Loikkanen, T. (2012). Innovation policy roadmapping as a systemic instrument
for forward-looking policy design. Science and Public Policy, 39(2), 178–190
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IPRM integrates a foresight exercise into enabling technologies, applications, products, and markets with
analysis of socio-economical and sectorial drivers and policy and regulatory tools and strategies.
The RRI roadmap proposed in this guideline adapts a generic IPRM architecture to the definition of long-term
visions and action plans for RRI uptake within the innovation strategies of organizations and others agents
(e.g., cooperative projects) active in research and innovation. It provides the methodological and technical
conditions to address RRI principles in the context of rapid (and possibly disruptive) scientific and technological
developments to ensure such developments are relevant to society.
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1 Scope
This document provides guidelines to develop long-term strategies (roadmaps) for innovating responsibly,
thereby helping organizations to achieve socially desirable outcomes from their innovation processes.
These roadmaps encourage a “responsibility-by-design” approach that integrates considerations of technical,
ethical, social, environmental, and economic aspects all along the research, development, and design process
leading to an innovation.
The document aims at all organizations and agents involved in planning and performing research and
innovation and technological development.
The focus is on innovation enabled by transformative technologies.
This document has been designed to be consistent with, and to support, as much as possible, existing
management system standards and management/governance standards (e.g. EN ISO 9001). Particular
attention has been given to social responsibility (i.e. EN ISO 26000).
4
2 Normative references
The existing management standards and normative references used in this document are listed below. For
dated references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
EN ISO 26000, Guidance on social responsibility
ISO 31000, Risk management – Guidelines
ISO 45001, Occupational health and safety management systems – Requirements with guidance for use
EN ISO 14001, Environmental management
EN ISO 9001, Quality management systems – Requirements
Series CEN/TS 16555, Innovation management
Series CWA 17145, Ethics assessment for research and innovation
IWA 26 Using ISO 26000:2010, in management systems
UNI/PdR 27, Guidelines for management and processes development for responsible innovation
UNI/PdR 18, Social responsibility in organizations – Guidance to the application of UNI ISO 26000
4
These standards and guidelines (in their scope and contents) refer to and can be used to contribute to the
UN’s Sustainable Development Goals. This document also takes into account the Rome Declaration on
Responsible Research and Innovation in Europe (European Union, 2014). In addition, it recognizes the need
to consider efforts towards responsibility in research and innovation within the broader framework of corporate
sustainability, responsible business, and sustainable finance practices (UN Global Compact:
unglobalcompact.org), though these aspects are not explicitly addressed within the scope of this guidance.
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EN ISO 56000, Innovation management – Fundamentals and vocabulary
EN ISO 56002, Innovation management – Innovation management system – Guidance
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following
addresses:
• ISO Online browsing platform: available at https://www.iso.org/obp
• IEC Electropedia: available at https://www.electropedia.org/
3.1
context of the organization
combination of internal and external issues that can have an effect on an organization’s approach to developing
and achieving its objectives.
Note 1 to entry: The organization’s objectives can be related to its products and services, investments and
behaviour towards its interested parties.
Note 2 to entry: The concept of context of the organization is equally applicable to not-for-profit or public
service organizations as it is to those seeking profits.
Note 3 to entry: In English, this concept is often referred to by other terms such as “business environment”,
“organizational environment”, or “ecosystem of an organization”.
Note 4 to entry: Understanding the infrastructure can help to define the context of the organization.
[SOURCE: ISO 9000:2015 Quality management systems -- Fundamentals and vocabulary]
3.2
corporate social responsibility (CSR)
a concept whereby companies integrate social and environmental concerns in their business operations and
in their interaction with their stakeholders on a voluntary basis”, as well as “the responsibility of enterprises for
their impacts on society.
[SOURCE: European Commission, 2011].
3.3
documented information
information required to be controlled and maintained by an organization and the medium on which it is
contained.
Note 1 to entry: Documented information can be in any format and media, and from any source.
Note 2 to entry: Documented information can refer to:
- the management system, including related processes;
- information created in order for the organization to operate (documentation);
- evidence of results achieved (records).
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3.4
engagement
involvement in, and contribution to, activities to achieve shared objectives.
[SOURCE: ISO 9000:2015 Quality management systems -- Fundamentals and vocabulary]
3.5
ethics
systematic reflection on right and wrong conduct according to norms and values that we believe should be
followed. Ethics refers to duties, responsibilities, rights, welfare, justice and the avoidance of harms. Typical
moral values include autonomy, freedom, dignity, privacy, justice, well-being and responsibility.
[SOURCE: Series CWA 17145]
3.6
framework
an outline, or skeleton, of interlinked items and actions that supports a particular approach to a specific
objective and serves as a guide that can be modified as required by adding or deleting items.
3.7
human-centred design (HCD)
characterized by:
- The design is based upon an explicit understanding of users, tasks and environment;
- Users are involved throughout design and development;
- The design is driven and refined by user-centred evaluation;
- The process is iterative;
- The design addresses the whole user experience;
- The design team includes multidisciplinary skills and perspectives.
[SOURCE: ISO 9241-210:2010]
3.8
impact assessment
assessment of research and innovation for its projected or actual societal impacts.
[SOURCE: Series CWA 17145]
3.9
involvement
taking part in an activity, event or situation.
[SOURCE: ISO 9000:2015 Quality management systems -- Fundamentals and vocabulary]
3.10
innovation
new or changed entity, realizing or redistributing value.
Note 1 to entry: Novelty and value are relative to, and determined by the perception of, the organization and
interested parties.
Note 2 to entry: An innovation can be a product, service, process, model, method etc.
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Note 3 to entry: Innovation is an outcome. The word “innovation” sometimes refers to activities or processes
resulting in, or aiming for, innovation. When “innovation” is used in this sense, it should always be used with
some form of qualifier, e.g., “innovation activities”.
Note 4 to entry: For the purpose of statistical measurement, refer to the Oslo Manual (OECD/Eurostat, 2018):
New or changed entity’ corresponds to ‘a new or improved product or process, or combination thereof, that
differs significantly from the unit’s previous products or processes’. Realising or redistributing value’
corresponds to ‘and that has been made available to potential users or brought into use by the unit’.
[SOURCE: EN ISO 56000]
3.11
innovation ecosystem
system of organizations, people and resources, complementing each other and contributing to a common
objective with regards to innovation.
Note 1 to entry: An innovation ecosystem can include private companies, public authorities, universities,
institutes, individual entrepreneurs, investors, researchers as well as funding and infrastructures.
Note 2 to entry: An innovation ecosystem generally includes intangible and qualitative interactions and
relationships necessary for its effectiveness.
[SOURCE: EN ISO 56000]
3.12
management system
set of interrelated or interacting elements of an organization to establish policies and objectives and processes
to achieve those objectives.
Note 1 to entry: A management system can address a single discipline or several disciplines.
Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning,
and operation.
Note 3 to entry: The scope of a management system may include the whole of the organization, specific and
identified functions of the organization, specific and identified sections of the organization, or one or more
functions across a group of organizations.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.13
management standard
management standard designed to be widely applicable across economic sectors, various types and sizes of
organizations and diverse geographical, cultural and social conditions.
[SOURCE: ISO/IEC Directives, Part 1, Consolidated ISO Supplement, 2018]
3.14
management system standard (MSS)
MSS designed to be widely applicable across economic sectors, various types and sizes of organizations and
diverse geographical, cultural and social conditions.
[SOURCE: ISO/IEC Directives, Part 1, Consolidated ISO Supplement, 2018]
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3.15
materiality
identification and understanding of priorities within the context of social responsibility in which an organization
operates. These priorities reflect the economic, social, and environmental factors that need to be considered.
[SOURCE: UNI/PdR 18 Social responsibility in organizations – Guidance to the application of
UNI EN ISO 26000]
3.16
monitoring
determining the status of a system, a process or an activity.
Note 1 to entry: To determine the status, there may be a need to check, supervise or critically observe.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.17
organization
person or group of people that has its own functions with responsibilities, authorities and relationships to
achieve its objectives.
Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation,
firm, enterprise, authority, partnership, charity or institution, or part or combination thereof, whether
incorporated or not, public or private.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.18
participatory design
a “practice of collective creativity” that emphasizes active involvement by the users and all the stakeholders in
design and development of new systems.
[SOURCE: Niemelä et al., 2014].
3.19
process
set of interrelated or interacting activities which transforms inputs into outputs.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.20
performance
measurable result.
Note 1 to entry: Performance can relate either to quantitative or qualitative findings.
Note 2 to entry: Performance can relate to the management of activities, processes, products (including
services), systems or organizations.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
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3.21
quadruple helix stakeholder
key local actors from public institutions, private organizations, academia and the public.
[SOURCE: Carayannis et al., 2009]
3.22
quality management
management with regard to quality.
Note 1 to entry: Quality management can include establishing quality policies and quality objectives, and
processes to achieve these quality objectives through quality planning, quality assurance, quality control, and
quality improvement.
[SOURCE: ISO 9000:2015 Quality management systems — Fundamentals and vocabulary]
3.23
responsible research and innovation (RRI)
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 products (in order to allow a proper embedding of scientific and technological advances in
our society).
[SOURCE: Von Schomberg, 2012]
3.24
responsible research and innovation (RRI) maturity level
how RRI is perceived and valued within an organization. Empirical research has identified five different stages:
unaware (the organization is not aware of RRI or its components); exploratory/reactive (the organization reacts
to external pressures concerning aspects of RRI); defined (the organization has definitions for RRI components
and has integrated these components into its practices); proactive (the organization realizes the benefits of
RRI and increasingly integrates RRI into its business); strategic (the organization has adopted RRI as a
component of its strategic framework and aims to ensure that all R&D activities consider most of the RRI
components).
[SOURCE: Stahl et al., 2017]
3.25
roadmap
strategic plan that defines a goal or desired outcomes and includes the major steps or milestones needed to
reach them.
3.26
roadmapping exercise
collaborative learning process and a tool for drawing up strategies, reaching consensus on requirements and
needs, and driving proactive planning and future studies.
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3.27
risk
effect of uncertainty on objectives.
Note 1 to entry: An effect is a deviation from the expected. It can be positive, negative or both, and can
address, create or result in opportunities and threats.
Note 2 to entry: Objectives can have different aspects and categories, and can be applied at different levels.
Note 3 to entry: Risk is usually expressed in terms of risk sources, potential events, their consequences and
their likelihood.
[SOURCE: ISO 31000:2018 Risk management — Guidelines]
3.28
risk assessment
overall process of risk identification, risk analysis and risk evaluation.
3.29
risk identification
process of finding, recognizing and describing risks.
3.30
risk analysis
process to comprehend the nature of risk and to determine the level of risk.
3.31
risk evaluation
process of comparing the results of risk analysis with risk criteria to determine whether the risk and/or its
magnitude is acceptable or tolerable.
[SOURCE: ISO Guide 73:2009 Risk management – Vocabulary]
3.32
RRI product
research and innovation output (e.g., product, service, process, model, method) selected by the organization
as the focus of the RRI roadmap design.
3.33
social responsibility
responsibility of an organization for the impacts of its decisions and activities on socie
...
SLOVENSKI STANDARD
SIST-TP CWA 17796:2021
01-november-2021
Odgovornost pri načrtovanju - Smernice za razvoj dolgoročnih strategij (načrtov)
za odgovorno inoviranje
Responsibility-by-design - Guidelines to develop long-term strategies (roadmaps) to
innovate responsibly
Ta slovenski standard je istoveten z: CWA 17796:2021
ICS:
03.100.02 Upravljanje in etika Governance and ethics
03.100.40 Raziskave in razvoj Research and development
SIST-TP CWA 17796:2021 en,fr,de
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
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SIST-TP CWA 17796:2021
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SIST-TP CWA 17796:2021
CEN
CWA 17796
WORKSHOP
September 2021
AGREEMENT
ICS 03.100.02; 03.100.40
English version
Responsibility-by-design - Guidelines to develop long-term
strategies (roadmaps) to innovate responsibly
This CEN Workshop Agreement has been drafted and approved by a Workshop of representatives of interested parties, the
constitution of which is indicated in the foreword of this Workshop Agreement.
The formal process followed by the Workshop in the development of this Workshop Agreement has been endorsed by the
National Members of CEN but neither the National Members of CEN nor the CEN-CENELEC Management Centre can be held
accountable for the technical content of this CEN Workshop Agreement or possible conflicts with standards or legislation.
This CEN Workshop Agreement can in no way be held as being an official standard developed by CEN and its Members.
This CEN Workshop Agreement is publicly available as a reference document from the CEN Members National Standard Bodies.
CEN members are the national standards bodies of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland,
France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal,
Republic of North Macedonia, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.
EUROPEAN COMMITTEE FOR STANDARDIZATION
COMITÉ EUROPÉEN DE NORMALISATION
EUROPÄISCHES KOMITEE FÜR NORMUNG
CEN-CENELEC Management Centre: Rue de la Science 23, B-1040 Brussels
© 2021 CEN All rights of exploitation in any form and by any means reserved worldwide for CEN national Members.
Ref. No.:CWA 17796:2021 E
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SIST-TP CWA 17796:2021
CWA 17796:2021 (E)
Contents
Foreword . 3
Introduction. 5
1 Scope . 7
2 Normative references . 7
3 Terms and definitions . 8
4 Principles for implementing RRI . 15
5 Methodological approach . 19
6 Framework for developing an RRI roadmap . 20
6.1 General . 20
6.2 Top management commitment and leadership . 21
6.3 Context analysis . 21
6.4 Materiality analysis . 23
6.5 Experiment and engage . 27
6.6 Validation . 28
6.7 Roadmap design . 29
Annex A (Informative) Examples of RRI actions . 33
Annex B (Informative) Examples of tools . 39
Annex C (Informative) Examples of applying the guidelines . 41
Annex D (Informative) SWOT analysis for RRI implementation in industry . 42
Annex E (Informative) Tools for materiality and stakeholder analysis . 43
Annex F (Informative) Methods for stakeholder engagement . 46
Annex G (Informative) Criteria for impact analysis of RRI actions . 48
Annex H (Informative) Examples of RRI key performance indicators . 50
Annex I (Informative) Informative resources from other initiatives . 53
Bibliography. 55
2
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SIST-TP CWA 17796:2021
CWA 17796:2021 (E)
Foreword
This CEN Workshop Agreement (CWA 17796:2021) has been developed in accordance with the CEN-
CENELEC Guide 29 “CEN/CENELEC Workshop Agreements – A rapid prototyping to standardization” and
with the relevant provisions of CEN/CENELEC Internal Regulations - Part 2. It was approved by a Workshop
of representatives of interested parties on 2021-04-21, the constitution of which was supported by CEN
following the public call for participation made on 2019-06-27. However, this CEN Workshop Agreement does
not necessarily include all relevant stakeholders.
The final text of this CEN Workshop Agreement was provided to CEN for publication on 2021-08-02.
Results incorporated in this CWA received funding from the European Union’s Horizon 2020 research and
innovation programme under grant agreement No 710059.
The following organizations and individuals developed and approved this CEN Workshop Agreement:
− Andrea Porcari, Airi - Associazione Italiana per la Ricerca Industriale – Chairman
− Ibo van de Poel, Vice chair
− Giovanni Baldi, Colorobbia Consulting
− Francesca Braca, Laboratori ARCHA Srl
− Giulia Bubbolini, CISE – Centro per l’innovazione e lo sviluppo economico
− Mario M. D’Elios, University of Florence
− Donato Di Donato, Agrate & Castelletto Site Labs & Sustainability Quality Manager
− Marc Dreyer, Futopedia Consulting
− Linden Farrer
− Luisa Fracassini Agrate & Castelletto Site Labs & Sustainability Manager
− Jonathan Hankins, Foreign Scientific Correspondent – Fondazione Giannino Bassetti
− Kostas Iatridis, School of Management University of Bath
− Pim Klaassen, Assistant professor
− Zenlin Kwee, Delft University of Technology
− Joost Groot Kormelink, Delft University of Technology
− Agata Gurzawska, TRILATERAL RESEARCH
− Panagiotis Isigonis, Ca Foscari University of Venice
− Maria Maia, Karlsruhe Institute of Technology (KIT) - Institute for Technology Assessment and
Systems Analysis (ITAS)
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− Ineke Malsch, Malsch TechnoValuation
− Elvio Mantovani
− Christopher Nathan, University of Warwick
− Francesco Niglia, CEO - KOYS srls
− Daniela Pimponi, Airi - Associazione Italiana per la Ricerca Industriale
− Tom Sorell, Professor of Politics and Philosophy, University of Warwick
− Rene Von Schomberg
− Bernd Carsten Stahl, De Montfort University, Centre for Computing and Social Responsibility
− Emad Yaghmaei, Delft University of Technology
− Thamar Zijlstra, Consultant Standards Development – NEN, SHERPA project
Attention is drawn to the possibility that some elements of this document may be subject to patent rights. CEN-
CENELEC policy on patent rights is described in CEN-CENELEC Guide 8 “Guidelines for Implementation of
the Common IPR Policy on Patent”. CEN shall not be held responsible for identifying any or all such patent
rights.
Although the Workshop parties have made every effort to ensure the reliability and accuracy of technical and
non-technical descriptions, the Workshop is not able to guarantee, explicitly or implicitly, the correctness of
this document. Anyone who applies this CEN Workshop Agreement shall be aware that neither the Workshop,
nor CEN, can be held liable for damages or losses of any kind whatsoever. The use of this CEN Workshop
Agreement does not relieve users of their responsibility for their own actions, and they apply this document at
their own risk. The CEN Workshop Agreement should not be construed as legal advice authoritatively
endorsed by CEN/CENELEC.
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Introduction
Responsible research and innovation (RRI) addresses the development of products and processes that are
safe, ethically acceptable, and responsive to the needs and expectations of people and society.
The essential difference between RRI and existing practices regarding corporate social responsibility (CSR),
responsible business conduct, risk, and quality management is RRI’s focus on the research and innovation
(R&I) process, from the early stages to prototyping to going to market, and the high degree of societal
involvement RRI requires to assess potential (future) ethical and social impacts of innovation. The goal of RRI
is to design and develop innovations that have socially desirable outcomes, thus addressing specific ethics
and social concerns and providing solutions for acknowledged societal challenges (e.g., sustainable
development goals). Some examples are provided in the Annex III.
The ability to translate technological developments into innovations that generate benefits and value for the
organization and its shareholders and stakeholders and for society is a core aspect of RRI.
Initiatives to put RRI into practice in industry, for instance in the form of action plans, are still limited, with most
being related to cooperative projects within EU framework programmes or national equivalents. Examples
include Horizon 2020’s SwafS (Science with and for Society) projects such as Responsible Industry, Compass,
SMART-map, Liv-In, Orbit, Satori, Sherpa, Sienna, and TechEthos.
However, it’s worth noting that principles and approaches related to RRI have elements in common with
acknowledged business and innovation management methods and practices, such as theory of change,
1
business model generation, stakeholder management, design-thinking, and agile management.
2
The guidelines offered here were developed by the PRISMA project, which worked with eight industrial pilot
projects dealing with the application of transformative technologies in different sectors. The pilots were used
to integrate RRI principles in the participating companies’ strategies and actions in order to improve the societal
value and overall performances of their R&D (research and development) outcomes and to develop specific
“pilot RRI roadmaps”.
For an effective RRI uptake, it is essential for companies to identify strategies and practices that fit within the
realities and constraints in which they operate. The roadmap described in these guidelines aims to help them
do just that. The overall goal is to help strengthen aspects of responsibility all along the research, development,
and design process for innovations and thus to support a “responsibility-by-design” approach.
Besides helping to identify a vision, a set of actions, and a timeline (roadmap) for implementing RRI
approaches, this guideline also analyses the potential barriers, opportunities, and benefits in pursuing RRI.
Within this guidance, we understand research and innovation as intertwined: research (besides its role of
creating knowledge) has an applied character and is oriented towards innovation, with the final goal of
generating both economic and societal value.
At the industry level, technology roadmapping is already a quite widely utilized method in strategy planning. A
technology roadmap visualizes an organization’s strategic aims (vision/development plans) and can be utilized
to structure its research, development, and business activities. In recent years, the concept of IPRM
(innovation policy roadmapping methodology) has been developed to connect the development of technologies
3
and innovations to a wider societal sphere. A main aspect of IPRM is identifying those societal needs that
create a potential demand for new solutions and possibly favour the emergence of new products and markets.
1
A description of the relevance of these methods for RRI is provided in Dreyer et al., 2017.
2
The PRISMA project received funding from the EU’s Horizon 2020 research and innovation programme
(grant agreement No. 710059). More information is available on the PRISMA website: www.rri-prisma.eu/
3
Ahlqvist, T., Valovirta, V., & Loikkanen, T. (2012). Innovation policy roadmapping as a systemic instrument
for forward-looking policy design. Science and Public Policy, 39(2), 178–190
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IPRM integrates a foresight exercise into enabling technologies, applications, products, and markets with
analysis of socio-economical and sectorial drivers and policy and regulatory tools and strategies.
The RRI roadmap proposed in this guideline adapts a generic IPRM architecture to the definition of long-term
visions and action plans for RRI uptake within the innovation strategies of organizations and others agents
(e.g., cooperative projects) active in research and innovation. It provides the methodological and technical
conditions to address RRI principles in the context of rapid (and possibly disruptive) scientific and technological
developments to ensure such developments are relevant to society.
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1 Scope
This document provides guidelines to develop long-term strategies (roadmaps) for innovating responsibly,
thereby helping organizations to achieve socially desirable outcomes from their innovation processes.
These roadmaps encourage a “responsibility-by-design” approach that integrates considerations of technical,
ethical, social, environmental, and economic aspects all along the research, development, and design process
leading to an innovation.
The document aims at all organizations and agents involved in planning and performing research and
innovation and technological development.
The focus is on innovation enabled by transformative technologies.
This document has been designed to be consistent with, and to support, as much as possible, existing
management system standards and management/governance standards (e.g. EN ISO 9001). Particular
attention has been given to social responsibility (i.e. EN ISO 26000).
4
2 Normative references
The existing management standards and normative references used in this document are listed below. For
dated references, only the edition cited applies. For undated references, the latest edition of the referenced
document (including any amendments) applies.
EN ISO 26000, Guidance on social responsibility
ISO 31000, Risk management – Guidelines
ISO 45001, Occupational health and safety management systems – Requirements with guidance for use
EN ISO 14001, Environmental management
EN ISO 9001, Quality management systems – Requirements
Series CEN/TS 16555, Innovation management
Series CWA 17145, Ethics assessment for research and innovation
IWA 26 Using ISO 26000:2010, in management systems
UNI/PdR 27, Guidelines for management and processes development for responsible innovation
UNI/PdR 18, Social responsibility in organizations – Guidance to the application of UNI ISO 26000
4
These standards and guidelines (in their scope and contents) refer to and can be used to contribute to the
UN’s Sustainable Development Goals. This document also takes into account the Rome Declaration on
Responsible Research and Innovation in Europe (European Union, 2014). In addition, it recognizes the need
to consider efforts towards responsibility in research and innovation within the broader framework of corporate
sustainability, responsible business, and sustainable finance practices (UN Global Compact:
unglobalcompact.org), though these aspects are not explicitly addressed within the scope of this guidance.
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EN ISO 56000, Innovation management – Fundamentals and vocabulary
EN ISO 56002, Innovation management – Innovation management system – Guidance
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
ISO and IEC maintain terminological databases for use in standardization at the following
addresses:
• ISO Online browsing platform: available at https://www.iso.org/obp
• IEC Electropedia: available at https://www.electropedia.org/
3.1
context of the organization
combination of internal and external issues that can have an effect on an organization’s approach to developing
and achieving its objectives.
Note 1 to entry: The organization’s objectives can be related to its products and services, investments and
behaviour towards its interested parties.
Note 2 to entry: The concept of context of the organization is equally applicable to not-for-profit or public
service organizations as it is to those seeking profits.
Note 3 to entry: In English, this concept is often referred to by other terms such as “business environment”,
“organizational environment”, or “ecosystem of an organization”.
Note 4 to entry: Understanding the infrastructure can help to define the context of the organization.
[SOURCE: ISO 9000:2015 Quality management systems -- Fundamentals and vocabulary]
3.2
corporate social responsibility (CSR)
a concept whereby companies integrate social and environmental concerns in their business operations and
in their interaction with their stakeholders on a voluntary basis”, as well as “the responsibility of enterprises for
their impacts on society.
[SOURCE: European Commission, 2011].
3.3
documented information
information required to be controlled and maintained by an organization and the medium on which it is
contained.
Note 1 to entry: Documented information can be in any format and media, and from any source.
Note 2 to entry: Documented information can refer to:
- the management system, including related processes;
- information created in order for the organization to operate (documentation);
- evidence of results achieved (records).
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3.4
engagement
involvement in, and contribution to, activities to achieve shared objectives.
[SOURCE: ISO 9000:2015 Quality management systems -- Fundamentals and vocabulary]
3.5
ethics
systematic reflection on right and wrong conduct according to norms and values that we believe should be
followed. Ethics refers to duties, responsibilities, rights, welfare, justice and the avoidance of harms. Typical
moral values include autonomy, freedom, dignity, privacy, justice, well-being and responsibility.
[SOURCE: Series CWA 17145]
3.6
framework
an outline, or skeleton, of interlinked items and actions that supports a particular approach to a specific
objective and serves as a guide that can be modified as required by adding or deleting items.
3.7
human-centred design (HCD)
characterized by:
- The design is based upon an explicit understanding of users, tasks and environment;
- Users are involved throughout design and development;
- The design is driven and refined by user-centred evaluation;
- The process is iterative;
- The design addresses the whole user experience;
- The design team includes multidisciplinary skills and perspectives.
[SOURCE: ISO 9241-210:2010]
3.8
impact assessment
assessment of research and innovation for its projected or actual societal impacts.
[SOURCE: Series CWA 17145]
3.9
involvement
taking part in an activity, event or situation.
[SOURCE: ISO 9000:2015 Quality management systems -- Fundamentals and vocabulary]
3.10
innovation
new or changed entity, realizing or redistributing value.
Note 1 to entry: Novelty and value are relative to, and determined by the perception of, the organization and
interested parties.
Note 2 to entry: An innovation can be a product, service, process, model, method etc.
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Note 3 to entry: Innovation is an outcome. The word “innovation” sometimes refers to activities or processes
resulting in, or aiming for, innovation. When “innovation” is used in this sense, it should always be used with
some form of qualifier, e.g., “innovation activities”.
Note 4 to entry: For the purpose of statistical measurement, refer to the Oslo Manual (OECD/Eurostat, 2018):
New or changed entity’ corresponds to ‘a new or improved product or process, or combination thereof, that
differs significantly from the unit’s previous products or processes’. Realising or redistributing value’
corresponds to ‘and that has been made available to potential users or brought into use by the unit’.
[SOURCE: EN ISO 56000]
3.11
innovation ecosystem
system of organizations, people and resources, complementing each other and contributing to a common
objective with regards to innovation.
Note 1 to entry: An innovation ecosystem can include private companies, public authorities, universities,
institutes, individual entrepreneurs, investors, researchers as well as funding and infrastructures.
Note 2 to entry: An innovation ecosystem generally includes intangible and qualitative interactions and
relationships necessary for its effectiveness.
[SOURCE: EN ISO 56000]
3.12
management system
set of interrelated or interacting elements of an organization to establish policies and objectives and processes
to achieve those objectives.
Note 1 to entry: A management system can address a single discipline or several disciplines.
Note 2 to entry: The system elements include the organization’s structure, roles and responsibilities, planning,
and operation.
Note 3 to entry: The scope of a management system may include the whole of the organization, specific and
identified functions of the organization, specific and identified sections of the organization, or one or more
functions across a group of organizations.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.13
management standard
management standard designed to be widely applicable across economic sectors, various types and sizes of
organizations and diverse geographical, cultural and social conditions.
[SOURCE: ISO/IEC Directives, Part 1, Consolidated ISO Supplement, 2018]
3.14
management system standard (MSS)
MSS designed to be widely applicable across economic sectors, various types and sizes of organizations and
diverse geographical, cultural and social conditions.
[SOURCE: ISO/IEC Directives, Part 1, Consolidated ISO Supplement, 2018]
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3.15
materiality
identification and understanding of priorities within the context of social responsibility in which an organization
operates. These priorities reflect the economic, social, and environmental factors that need to be considered.
[SOURCE: UNI/PdR 18 Social responsibility in organizations – Guidance to the application of
UNI EN ISO 26000]
3.16
monitoring
determining the status of a system, a process or an activity.
Note 1 to entry: To determine the status, there may be a need to check, supervise or critically observe.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.17
organization
person or group of people that has its own functions with responsibilities, authorities and relationships to
achieve its objectives.
Note 1 to entry: The concept of organization includes, but is not limited to sole-trader, company, corporation,
firm, enterprise, authority, partnership, charity or institution, or part or combination thereof, whether
incorporated or not, public or private.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.18
participatory design
a “practice of collective creativity” that emphasizes active involvement by the users and all the stakeholders in
design and development of new systems.
[SOURCE: Niemelä et al., 2014].
3.19
process
set of interrelated or interacting activities which transforms inputs into outputs.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
3.20
performance
measurable result.
Note 1 to entry: Performance can relate either to quantitative or qualitative findings.
Note 2 to entry: Performance can relate to the management of activities, processes, products (including
services), systems or organizations.
[SOURCE: ISO/TMB/JTCG Joint technical Coordination Group]
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3.21
quadruple helix stakeholder
key local actors from public institutions, private organizations, academia and the public.
[SOURCE: Carayannis et al., 2009]
3.22
quality management
management with regard to quality.
Note 1 to entry: Quality management can include establishing quality policies and quality objectives, and
processes to achieve these quality objectives through quality planning, quality assurance, quality control, and
quality improvement.
[SOURCE: ISO 9000:2015 Quality management systems — Fundamentals and vocabulary]
3.23
responsible research and innovation (RRI)
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 products (in order to allow a proper embedding of scientific and technological advances in
our society).
[SOURCE: Von Schomberg, 2012]
3.24
responsible research and innovation (RRI) maturity level
how RRI is perceived and valued within an organization. Empirical research has identified five different stages:
unaware (the organization is not aware of RRI or its components); exploratory/reactive (the organization reacts
to external pressures concerning aspects of RRI); defined (the organization has definitions for RRI components
and has integrated these components into its practices); proactive (the organization realizes the benefits of
RRI and increasingly integrates RRI into its business); strategic (the organization has adopted RRI as a
component of its strategic framework and aims to ensure that all R&D activities consider most of the RRI
components).
[SOURCE: Stahl et al., 2017]
3.25
roadmap
strategic plan that defines a goal or desired outcomes and includes the major steps or milestones needed to
reach them.
3.26
roadmapping exercise
collaborative learning process and a tool for drawing up strategies, reaching consensus on requirements and
needs, and driving proactive planning and future studies.
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3.27
risk
effect of uncertainty on objectives.
Note 1 to entry: An effect is a deviation from the expected. It can be positive, negative or both, and can
address, create or result in opportunities and threats.
Note 2 to entry: Objectives can have different aspects and categories, and can be applied at different levels.
Note 3 to entry: Risk is usually expressed in terms of risk sources, potential events, their consequences and
their likelihood.
[SOURCE: ISO 31000:2018 Risk management — Guidelines]
3.28
risk assessment
overall process of risk identification, risk analysis and risk evaluation.
3.29
risk identification
process of finding, recognizing and describing risks.
3.30
risk analysis
process to comprehend the nature of risk and to determine the level of risk.
3.31
risk evaluation
process of comparing the results of risk analysis with risk criteria to determine whether the risk and/or its
magnitude is acceptable or tolerable.
[SOURCE: ISO Guide 73:2009 Risk management – Vocabulary]
3.32
RRI product
research and innovation output (e.g., product, service, process, model, method) selected by the organization
as the focus of the RRI roadmap design.
3.33
social responsibility
responsibility of an organization for the
...
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