REALISING THE TRANSFORMATIVE POTENTIAL OF TECHNOLOGY:THE DRAFT FRAMEWORK FOR THE GOVERNANCE OF EMERGINGTECHNOLOGIESDavid Winickoff
Science and Technology Policy DivisionOECD
20 September 2023

We need collective action on good technology governance toreach goals and missions

Technology governance rationales
••
•
•
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Anticipate and mitigate social and political disruptions
Safety, security and democratic risk management
Tech divides and rising inequalities
Public trust and public acceptance deficits in S&T
Inadequate alignment of technology and societal goals

1Tech governance: on the OECD agendaAdvances in science and technology are among themost important drivers of productivity, growth, andimprovement in living standards. These advances must
be shaped responsibly through effective governance toensure their benefits are distributed equitably and therisks are successfully managed…We recognise theneed to develop and strengthen standards for new andemerging technologies that reflect our shared values
and keep pace with innovations reshaping oureconomies and societies.
-- Statement, Meeting of the OECD
Council at the Ministerial Level 2021

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“Technology governance” definition

government activities,but also to the activities offirms, civil society
organisations andcommunities of practice.

The process of exercising
political, economic andadministrative authority inthe development, diffusion
and operation oftechnology in societies.

norms (e.g. regulations,standards and customs)
but also work in physicaland virtual architecturesthat manage risks andbenefits and structure
people’s lives

sum of the many ways inwhich individuals and orgs.
shape technology and how,conversely, technology shapessocial order.
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Governance challenges in emerging technologies
Governing emerging technologies well must address well-known challenges :A global observatory for gene editing• Mismatch between the pace of technology development
and adaptivity of governance frameworks• Increasing convergence of technologies leading toerosion of traditional disciplinary and regulatory lines• Fragmentation of governance approaches acrossadministrative boundaries/jurisdictions despite thefluid and cross-border nature and effects of innovation
impeding efficient governance. , imped• Uncertainty in the potential directions, impacts andrisks of innovation.
• Growth of public distrust in expertise, institutions
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A framework for responsible innovation in emerging technologies

To help bring forth transformative technologies.

AIMSTo guide Members to better anticipate and address ad hoc governancechallenges across emerging technology contexts.

To help innovation actors to develop longer-term capacities for responsibleinnovation.

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Why “emerging technologies”
Definition:• This framework illustrates how responsible
governance practices can be incorporated
into decision making for emerging
technologies:
where governments and other catalytic
actors have particular influence on theinitial speed and trajectory of technology
development• later stages of technology governancereceive more policy attention.
•▪ Technologies in active development▪ characterised by rapid expansion,
evolution, novelty, and uncertainty
in trajectory and impact.
▪ E.g., gene editing and synthetic
biology, generative AI, immersive
technologies like the metaverse, andquantum technologies.

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Framework for the governance of emerging technologies
I.

Intro: Definition, aims, methods, structure

II. Values [Foundational, Tech-specific]
III. Design considerations
IV. Action pathways and toolsets

I.

Appraising technology for policy

II. Embedding values upstream
in the innovation process

III. Engaging society and stakeholders
IV. Developing guidelines and regulation
V. Key role of the private sector
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Framework development: method and key sources• Recommendation of the Council on Artificial Intelligence (OECD/LEGAL/0449)• Recommendation of the Council on Responsible Innovation in Neurotechnology(OECD/LEGAL/0457)• Recommendation for Agile Regulatory Governance to Harness Innovation(OECD/LEGAL/0464)

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Framework structure: three interwoven components• Values: high-level ethical considerations,cultural and professional norms, and sharedcommitments.
• Design considerations: intermediaryguidance at a “middle layer” that can help
shape the policies and actions necessary for
responsible innovation• Action pathways: sequences of policy action
and toolsets that help advance the process ofdeveloping responsible technology

10Values in responsible innovation (1/2)

Continuous

Values should be reflected throughout the technology lifecycle, not merely
as an aspirational initial statement

Dynamic

They are to be used to enable and encourage responsible practices and tolimit or restrict irresponsible practices.

Constitutive

Moral and political basis for the priorities and trade-offs that are a featureof all governance decisions.

Combinatorial

It is their joint use that is the approach described here for responsible
innovation
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Values in responsible innovation (2/2)

12Actioning specific values pertinent to the technology governance context
Specific values
pertinent to the respective
technology governance context

Safety and security
involves the adoption ofmeasures to minimize risk ofharm to well-being andenvironment

Fair access topotential benefits oftechnology refers to giving
due consideration to equitable
distribution of benefits of tech

Trust andtrustworthiness,
including ensuring that actors
and their decisions can becounted on for accuracy,
reliability and compliance

Innovation
for public goodTechnology
stewardship
responsibility to use technology
for future benefit

Accountability

the important benefits to society
from technology innovation

including holding specific actors
responsible for giving a
legitimate account for actions
they take on behalf of others

Transparency

Responsivenessto give an open and honestdescription of information
conveyed, its justification, andlimitations

meet the expectation thatpromised outcomes aredelivered

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Key considerations for technology governance14

Design considerations in focus (1/2)
AlignedInnovation actors shouldseek to align technologicaldevelopment withinstitutional and social
values to maximise benefitsof innovaton as well as
produce more support
among stakeholders and insociety.

Anticipatory
With pot. disruptive or transformativetechnology fields, forward-looking
anticipatory approaches are required.
They enable the identification,
upstream, of desirable futures
outcomes, potential risks, risk benefit
trade-offs and dilemmas.

Iterative
Iterative governance avoids
the phenomenon of ‘lockedin’ thinking, wheredecisions are regarded as
settled regardless of thepresence of newinformation. It encourages
a learning approach togovernance, as actors
revisiting choices anddecisions.

15Design considerations in focus (2/2)
Agile
Agility – adaptivity,
forward-looking,innovation-friendliness –confronts the evolving
nature of information
related to emerging
technology and theirapplication.

Inclusive
Inclusivity – in terms of outcome
and process - in the technology
governance context sets out tobridge divides and increase equity
and equality of opportunity withrespect to technology futures.

EngagedEngagement withstakeholders and society
can surface societal goals at
different points in theinnovation system, identify
public sensitivities before
they become divisive, andpromote public
understanding of scienceand technology.

16Interconnected pathways for responsible innovation
EmbeddingAppraising

Engaging

Developing•

Sequences of policy actionthat help advance theresponsible technology
development process•

Associated tools in eachaction pathway, which help
fulfil the design considerations•

Interrelated processes
rather than one-time actions.

•Can iterate at different key
points of leverage in theinnovation process.

17Pathway 1: appraising technology for policy
A multi-faceted process to understand:the emerging technology domain– potential directions of development– possible ethical and societal aspects– potential impacts and risks

Horizon Scanning–•••

Requires both set of tools and a general capacity.
A key function: identify (and involve) stakeholders
who should participate in the appraisal process.
Does not involve decision making; rather, it provides
strategic intelligence to understand an emerging
field and inform decision-making.
– for knowing when, who and what policy options should beapplied given a particular technology case
– when certain levels of governance or tools might betriggered.

1

A regular exploration of newtechnology developments and signalsthat indicate which technologies arebecoming issues of concern (or seen as
an opportunity)

Preliminary diagnosis

2

A first diagnosis of the governancesituation for a given technology area

Deep dive appraisal

3

A tailored in-depth analysis of thetechnology area along dimensions
identified during the preassessment
stage.

resource investment•

Three tech appraisal stages

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Pathway 2: appraising technology for policy
Stage 1: Horizon scanning360-degree exploration of all early-stage technology domains

Goal
Understand key drivers ofchange and how they may
evolveDetecting early signs ofpotentially importantdevelopments (early or weaksignals, emerging trends,problems)in stage 3 (deep dive appraisal)
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appraising technology for policy (2/4)
Stage 2: Preliminary diagnosis
Positioning the tech domain relative to six dimensions
uncertainty

risk
governance gaps

social license
strategic importancepace of technology emergence20Pathway: appraising technology for policy (2/4)
Stage 2: Preliminary diagnosis
Positioning the tech domain relative to six dimensions
uncertainty

risk
governance gaps

social license

Goal
decide whether
further policy action
is neededassess extent towhich this is an
emerging technology
of concern

strategic importancepace of technology emergence21Pathway: appraising technology for policy (4/4)
Stage 3: Deeper dive technology appraisal
Use of tools to address identified knowledge gaps
Tool/approach

Insights & link to diagnosis dimensions

Domain-specifichorizon scanning

can reduce uncertainty by creating a rich picture of expert expectations of how atechnology domain will unfold in the near, medium and long-term.

Forecasting

can provide an indication of the pace of technology and identify key stakeholders, makeexplicit their expectations on how the field is likely to unfold over time

Foresight

Can make explicit alternative futures, articulation of desirable futures, anticipate on howtechnology is embedded in society; informs the social license and the strategic
importance dimensions

TechnologyAssessment

can reveal governance gaps in technology development and application perspectives, byrevealing stakeholder perspectives, informs the social license dimension

Early-stage risk
assessment

Can stress test existing risk assessment and regulatory approaches, informs risk andgovernance gap dimensions

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Pathway 2: embedding value upstream in tech development• Actions taken early in technology development can help optimise key design considerations• 5 key moments in technology development:

Lever 1

Orienting research and development

Lever 2

Building collaborative platforms and otherco-creation spaces

Lever 3

Interdisciplinary technology development

Lever 4

“By-design” governance approaches

Lever 5

Stewardship through technology transfer

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Pathway 3: Engaging stakeholders and society (1/2)
ActorsSuccess factors•

contribute perspectives, concerns and ideas which could
help in prioritising R&D and other decision making•••

gather evidence and insights, help test design validity orparticipate in juries•••

Start early and allocate adequate time: build ownershipdevelop trust, and ensure relevant and timely inputs; allow time forthe process to unfold
Effective communication: present balanced and accurate
information, allow for diverse opinions, willingness to exchange
perspectives among all participants
Frame around missions, goals and future products: as
technologies are often not yet embodied in future products orservices, the engagement needs to focus on relatable issues for
publics/citizens
Iterations and stages: rather than one-off, iterative engagements
or different stages have become more common and enable a moreholistic involvement
Diverse inputs: include diverse stakeholders and publics byeducation level, experience, race, gender and socio-economic status.
Transparent process: analyse the results with all actors thatwere involved, keep them informed about how insights are used
Real impact: translate and integrate stakeholder insights into
decision-making
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Engaging stakeholders and society (2/2)

Source: OECD STIO Outlook 2023
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Pathway 4: Developing guidelines and regulation (1/3)
Pathway concerns the construction of norms and norm-driven oversight systems to steer
technology development.
Key considerations:• should be designed to be learning, agile
and adaptive• not mutually exclusive and can be usefully
combined• need to be consistent with, and seek mutual
reinforcement from, other levers ofaction, such as public procurement• involve trade-offs and opportunity costs
that need to be carefully assessed

Characteristics• Building and improving a robust evidence base
– Ensure that sufficient (technical, analytical andadministrative) capacity, skills and resources areavailable to relevant authorities– Leveraging new data sources and continuous
monitoring to produce broader, more reliable andtimely assessments of relevant impacts.

•Learning and experimentation– Testbeds: suitable for earlier maturity stages, focus

primarily on the technical dimension of developing,
testing and upscaling a product or service– Regulatory sandboxes: aimed at regulatory learning,
involve a temporary loosening or modification ofapplicable norms
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Pathway: Developing guidelines and regulation (2/3)
Non-binding approaches:
Principles and guidelines. Attractive forinternational, transnational and/or global
actors to make moral and politicalcommitments.

Technical norms and standards. determine
the specific characteristics of a product, process,or production method. Can emanate from theprivate, public or both in collaboration.

Codes of conduct are organizationallycodified values and/or behaviours that seek toshape professional norms by communicatingclear expectations. Form of self-governance.

Success factors
••
•

•

•

•

Monitor and assess their performance andeffects
Deploy appropriate oversight to prevent undue
influence of interested actors
Acquire a precise understanding of the set ofincentives that underpin participation in voluntaryregimes
Use the potential of technical standard development
processes to facilitate responsible innovation by
fostering co-operation among innovators
Closely monitor practices and engage in regularreviews in an open and inclusive way to avoid
inappropriate market distortions.
Define credible sanction mechanisms toprevent and address potential misconduct27

THANK YOU

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Pathway: appraising technology for policy (2/4)
Stage 1: Horizon scanning (domain-specific)
Systematic analysis of information to identify potential risks,
threats, opportunities, and other emerging issues
3. sensemaking of the potential
ramifications, on the economy and society

3 steps

2. rank which changes are the mostpressing or potentially impactful
1. gather intelligence about awide range of change

Goal
Detecting earlysigns ofpotentially
importantdevelopments(early or weak signals,emerging trends,problems)

30Embedding values “upstream” in the innovation process

OECD 2018

OECD 2019