Social Sciences and Humanities (coordinator)

Call for proposals

Responsible Innovation (NWO-MVI)

2017, 2nd funding round

This document is the translation of the Dutch Call for Proposals. In case of different interpretation of the original

(Dutch) text and the (English) translation of this call or the annexes, the original Dutch text prevails.

Den Haag, mei 2017

Nederlandse Organisatie voor Wetenschappelijk Onderzoek

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Chapter 1: Introduction / Responsible Innovation

Contents

1 Introduction 2 1.1 Background 2 1.2 Available budget 2 1.3 Validity of the call for proposals 2

2 Aim 3 3 Guidelines for applicants 4

3.1 Who can apply 4 3.2 What can be applied for 5 3.3 When can applications be submitted 8 3.4 Drawing up an application 8 3.5 Specific conditions 9 3.6 Submitting an application 12

4 Assessment procedure 13 4.1 Procedure 13 4.2 Composition of committees 14 4.3 Criteria 15

5 Contact and other information 19 5.1 Contact 19 5.2 Other information 19

6 Annexes 22

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Chapter 1: Introduction / Responsible Innovation

1 Introduction

1.1 Background

This brochure describes the aim, conditions, criteria and guidelines of the NWO

programme Responsible Innovation, 2017 funding round. The Responsible

Innovation programme (abbreviated to NWO-MVI, from the Dutch Maatschappelijk

Verantwoord Innoveren) is part of the top sectors policy that was initiated at the end

of 2011 by the then Dutch government. NWO has committed itself to this new

industry policy by encouraging application-oriented, fundamental scientific research

that benefits the various top sectors (so-called economic priority areas). Moreover,

the current call is connected to the Dutch National Research Agenda (abbreviated to

NWA, from the Dutch Nationale Wetenchapsagenda), that the so-called knowledge

coalition offered to the Government at the End of 2015.

NWO-MVI encourages research where from the development phase of an innovation

onwards it is investigated which ethical and societal issues play a role and how

ethical and societal considerations can be utilised to shape innovations with a view

to their acceptance and acceptability within society. The programme is a joint

initiative of all the NWO units and is coordinated by NWO Humanities. The research

agenda for this funding round has been realised in collaboration with the following

top sectors:

Agri&Food

Chemistry

Creative Industry

Energy and the TKI Gas

Life Sciences & Health (LSH)

Logistics

Horticulture & Starting Materials

Water

NWO-MVI is part of the Social Infrastructure Agenda (SIA) of NWO.

1.2 Available budget

The minimum available NWO budget is M€ 2.6. The budget is available for projects

that will be realised in collaboration with private partners (public-private

partnership), who must match a part of the project budget. The available budget has

been distributed as follows over the four remaining items included from the agenda:1

Theme Available

BBoL Max. M€ 1.35

Creatieve Industry Max. M€ 0.25

Energy Min. M€ 0.5

Logistics Max. M€ 0.5

1.3 Validity of the call for proposals

This call for proposals is valid until the closing date of 7 September 2017.

1 BBoL is the abbreviation of the NWO programme Building Blocks of Life. The NWO-MVI budget for the top sectors Agri&Food (M€ 0.3), Chemistry (M€ 0.25), Life Sciences & Health (M€ 0.5), and Horticulture & Starting Materials (M€ 0.3) is used exclusively for this agenda item.

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Chapter 2: Aim / Responsible Innovation

2 Aim

The aim of research within the NWO programme Responsible Innovation (NWO-MVI)

is to broaden and deepen research, development and innovation pathways by

exploring the ethical and societal aspects. The programme identifies possible ethical

and societal questions during the early stages of technological innovations so that

these can be taken into account during the innovation process. This increases

support among stakeholders. Responsible innovation research involves the

normative question of whether innovations are societally and ethically acceptable.

Innovations and innovation processes are assessed critically in terms of the degree

to which they encourage important values such as trust, justice, privacy, autonomy,

responsibility and liability, durability, security, etc.

To achieve this, the research within the Responsible Innovation programme has

several focal points that are described in the research agenda (Annex 6.1). All

research projects must satisfy the NWO-MVI focus points and at the same time

elaborate on one of the topics of the research agenda for 2016-2017. This agenda

contains two parts, namely: 1) an agenda with "generic" (cross-sector) issues and 2)

agendas for each top sector with issues specific to that top sector. Please note: in

this second round, it is only possible to submit applications for top sector specific

issues within the themes BBoL, Creative Industry, Energy, Logistics. Proposed

projects are complementary with, or continue to build on, the results from previous

research within or outside NWO Responsible Innovation or related international

research.

NWO-MVI attaches importance to valorisation of obtained results. Every project

team must produce a valorisation plan (including concrete activities) in close

cooperation with a valorisation panel. This enables direct implementation of the

results. The NWO-MVI programme committee will monitor the annual progress. The

NWO-MVI programme itself also organises activities for researchers and

stakeholders (like an annual conference). These activities will be organised by the

new ‘Platform for Responsible Innovation (NWO-MVI)’ (www.nwo-mvi.nl).

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Chapter 3: Guidelines for applicants / Responsible Innovation

3 Guidelines for applicants

3.1 Who can apply

Applications can be submitted on behalf of consortia with at least one researcher

(the main applicant) and at least one private partner.

Main applicant

Only senior researchers who hold an appointment at one of the following knowledge

institutions can submit an application on behalf of a consortium:2

Dutch universities

KNAW and NWO institutes;

the Netherlands Cancer Institute;

the Max Planck Institute for Psycholinguistics in Nijmegen;

the Dubble beamline at the ESRF in Grenoble;

NCB Naturalis;

Advanced Research Centre for NanoLithography (ARCNL).

The main applicant is an experienced researcher with a PhD (i.e. full, assistant or

associate professor). He or she has a tenured appointment or a temporary

appointment at one of the aforementioned institutions for the duration of the

application process and the actual project.

The NWO funding is intended for the knowledge institution. The main applicant bears

final responsibility for the project and is responsible for the financial and research

aspects.

Consortium

The main applicant submits his/her proposal on behalf of a consortium with at least

one private partner. The research is realised as a public-private partnership in which

the private partner must match part of the NWO funding (this can be alone or

together with other private partners).

Private partners are understood to be parties that fall under the definition given in

Section 5.2.1.3

Co-applicant (s) - optional

An application may have a maximum of three co-applicants. Possible co-applicants

are also experienced researchers with a PhD who hold a tenured or temporary

appointment at one of the aforementioned knowledge institutions during the

application process and the actual project.

In this funding round, applicants may submit a maximum of one application per

agenda element, irrespective of whether they act as the main applicant or co-

applicant.

2 In relation to the international objectives of the NWO-MVI programme senior researchers from an international centre for scientific training in the Netherlands can also act as an applicant. This only concerns the following centres: UNESCO-IHE in Delft (www.unesco-ihe.org) and MSM (Maastricht School of Management). Applications from these institutions will be assessed for their relevance for Low and Middle Income Countries. 3 Consortia can be supplemented with private parties that do not provide matching but do, however, want to contribute to a project and benefit from the knowledge generated. Consortia can also be supplemented with public and semi-public partners that want to contribute to a project and benefit from the knowledge generated. Their contributions in cash or in kind (if any) do under certain conditions count towards the matching requirement stated in Section 3.2. Public and semi-public partners are understood to be parties that fall under the definition given in Section 5.2.1.

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Chapter 3: Guidelines for applicants / Responsible Innovation

3.2 What can be applied for

Two types of research project funding can be applied for: large research projects

and small research projects. For these the following fixed amounts can be applied

for:

─ Large projects: € 250,000

─ Small projects: € 125,000

For both types of project there must be a close collaboration between researchers

from the field of science and technology, humanities, and social and behavioural

sciences. Applicants should bear this in mind when putting together the research

team and allow for the appointment periods of the researchers involved. There are

extra conditions for the agenda item Building Blocks of Life, which are listed in a

separate section.

1. Large projects (€ 250k)

Large projects (€ 250k) focus on longer-term research questions for which the

funding of postdoc research forms the core of the project. The following conditions

apply:

The project has a duration of at least two years and at most three years

(with an extension to at most four years in the case of a postdoc with a

part-time appointment).

At least two researchers funded by NWO must be appointed (postdocs).4

At least one of the researchers to be funded by NWO must be appointed for

the entire duration of the project.

Researchers must be appointed to the project for at least 0.5 fte during a

period of at least one year.

Directive for the amount to be reserved for valorisation activities: 10% of

the total project budget.

2. Small projects

Small projects focus on research questions for which a fast result is desired. It

concerns (policy) supporting research and analysis of current subjects where the

funding of postdoc research forms the core of the project. The following conditions

apply:

The project has a duration of at least one year and at most two years.

At least two researchers funded by NWO must be appointed, in other words

postdocs.

At least one of the researchers to be funded by NWO must be appointed for

the entire duration of the project.

Researchers must be appointed to the project for at least 0.5 fte during a

period of at least one year.

Directive for the amount to be reserved for valorisation activities: 10% of

the total project budget.

Building Blocks of Life (BBoL)

The following conditions apply for BBoL:

A project always has a connecting granted research project in the NWO

BBoL programme. For an overview of the 16 BBoL research projects, see the

following link [in Dutch]. The running time of both project has to contain a

substantial overlap.

Within the agenda item BBoL, small projects may also focus on longer-term

research questions and may have a duration of at most four years.

4 In this second round, the appointment of two postdocs is the only possibility for projects with a budget of € 250k. It is not possible to appoint PhD students in this rounds. See below for the other conditions.

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Chapter 3: Guidelines for applicants / Responsible Innovation

At least one of the applicants of the BBoL proposal is (co)project leader of

the NWO-MVI proposal. This person has to be actively involved for the

entire research of both projects. She/he has to apply for a replacement

grant for the purpose of leading the NWO-MVI project (see below).

By acting as a co-applicant, the project leader of the BBoL project declares

to agree that a connected NWO-MVI project will be executed in case of a

positive funding decision.

Cost categories that can be applied for and the associated conditions

Personnel costs will be funded in accordance with the most recent version of the

Agreement for Funding Scientific Research [text available in Dutch only]. The

following conditions apply to the costs that can be applied for:

For postdocs and maximum funding period of three years applies based on

1.0 fte. The maximum appointment period in the case of a part-time

appointment is four years (only possible in the case of large projects).

For main applicants and co-applicants a research leave grant (a so-called

replacement grant) can be requested. This is a standard amount intended

for the release of the applicant(s) from educational and supervisory tasks so

that he/she can participate in the NWO-MVI research. The employer can use

the research leave grant to cover the costs of a replacement for the non-

research part of the tasks of the researchers concerned (such as teaching

tasks).

o The maximum standard amount that can be applied for is € 50,000

for a secondment of 0.5 fte for a period of 24 months. Secondments

with a smaller size will be calculated on a proportional basis. For

example: For a secondment of 0.1 fte for a period of 48 months a

maximum amount of € 20,000 can be applied for. For a secondment

of 0.5 fte for a period of 12 months the maximum standard

payment is € 25,000.

o For the main applicant the research leave grant can be used for the

purpose of leading the project. For this a maximum of 0.1 fte for

the duration of the entire research project applies.

o For any co-applicants, the research leave grant may only be used

for participation in the research and the output to be delivered in

this context.

─ For temporary non-scientific personnel (for example a student assistant

or a programmer to support the project) a maximum amount of €

10,000 per year for 1.0 fte with a maximum of € 30,000 applies.

Awarding throughout the entire duration of the project (without

specifying the fte) is also possible.

─ For researchers from Low and Middle-Income Countries (LMICs, for the

definition of LMICs: see Section 5.2.1) a net monthly living allowance

can be requested, should such a researcher not receive an appointment

at a Dutch university. This living allowance should cover all personal

costs, including accommodation, medical costs, insurances and travel

to and from work. The amount paid will be in accordance with the

regulations of the institute where the main applicant works.

─ Material costs can be applied for as long as these are directly related to

the research. These can be costs for knowledge transfer and knowledge

utilisation, but also costs for internationalisation and any new

investments necessary for the research.

─ For appointments of at least 0.5 fte for period of one year (postdocs) a

bench fee will be awarded. You should allow for this when drawing up

your project budget. The bench fee is intended for the person realising

the project but is made available to the project leader. The person

realising the project is therefore entitled to it. The use of the bench fee

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Chapter 3: Guidelines for applicants / Responsible Innovation

should be discussed between the project leader and the person

realising the project.

Costs excluded and other conditions

─ Costs for computers, standard software and other costs that belong to

the standard facilities of universities, research institutes, studios or labs

are not eligible for funding.

─ General costs for project management and coordination are excluded

as equally commuting costs and costs in the category "unforeseen".

Neither can these be entered under matching by the private partners.

─ Any additional costs on top of the maximum NWO funding should be

funded by the knowledge institution of the main applicant.

Embedded research

For both types of research project embedded research is possible. Embedded

research is intended to facilitate and further expand the interaction and

collaboration between science and industry. This approach allows scientists,

knowledge users and companies to join forces to do research or to further

develop products or services for the top sector concerned. Embedded research

can assume different forms. It can be a researcher who is temporarily seconded

to a company and conducts demand-driven research there in collaboration with

the company. It could also be a person from the trade and industry who on a

temporary or part-time basis is employed in a research group under the

supervision of a senior researcher.

Compulsory matching by private partners

The NWO funding constitutes 80% of the total project budget that is required.

The remaining 20% has to be financed by matching.5 At least half of the

matching contribution must be matched in cash by one or more private

partners. The other half may be matched in kind, and may be matched by a

public or semi-public partner.6 The table below indicates the required matching

contribution for each project type.

5 For some of the participating top sectors a TKI allowance can be applied for as soon as the research has started. Applicants of projects awarded funding will be informed of this when they receive the funding decision. 6 For the second half of the matching contribution, mixed contribution private/public/semipublic or cash/kind are possible as well.

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Chapter 3: Guidelines for applicants / Responsible Innovation

NWO funding 80%

Matching contribution 20%

fixed payment private 50% - in cash

private and/or (semi)public 50% - in cash and/or in kind

Small: € 125.000 € 15.625 in cash € 15.625 in cash and/or in kind

Large: € 250.000,- € 31.250 in cash € 31.250 in cash and/or in kind

Table 1: Overview of the required matching contribution per project type.

3.3 When can applications be submitted

Applications consist of a full research proposal (in this second round there are no

preproposals).

In case you are willing to submit a full research proposal, you are requested to send

a declaration of intention by email (mvi@nwo.nl) with the subject “Intentie Aanvraag

NWO-MVI 2017”. In the mailtext you mention: Name + affiliation main applicant,

Code top sector specific agenda item, intended title of the proposal, short summary

(100 words), intended consortium partners (co financers).

The deadline for submitting a declaration of intention is:

29 June 2017, 14.00 hours (CEST, Central European Summer Time)

The deadline for submitting full research proposals is:

7 September 2017, 14.00 hours (CEST, Central European Summer Time)

The form for the full proposals can be downloaded via the website

www.nwo.nl/mvi. The Excel budget template that is part of it, will be available in

July 2017 (after publication of the new salary tables per 1 July 2017).

See Chapter 4 for further information about the procedure.

3.4 Drawing up an application

For full proposals, please proceed as follows:

Full proposals

1) Download the full proposal application form from the online application system

ISAAC (Annex 6.3) or from the NWO-MVI website (at the bottom of the page of

this funding instrument: www.nwo.nl/mvi).

‐ Complete the application form.

‐ Save the form as a PDF file and upload it in ISAAC.

2) Budget template for full proposals (Annex 6.4)

Download the format and complete it. Save the form as a PDF file and upload it

in ISAAC.

The budget template will be available in July 2017.

3) Statement of agreement made with private partners (Annex 6.5)

The statement contains the following two parts:

a. Letter from the main applicant entitled “Statement of agreements

made with private partners”

In this the agreements made with the partners are confirmed.

b. Matching statement entitled “Statement of the co-funding from

private partners”

In this each partner separately pledges its contribution to NWO.

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Chapter 3: Guidelines for applicants / Responsible Innovation

With the matching statement addressed to NWO, the private partner

commits itself to the amount pledged for the project if this is awarded

funding by NWO. The matching statement is unconditional and

contains no conditions of annulment.

Download the template for the statement (letter + matching statement) and

draw this up. The statement should, in accordance with the template, be

written on the stationary of the organisation concerned. You should save the

signed statement as a PDF file, and upload it in ISAAC (section

Inbeddingsgarantie).

NB. A signed digital version of the letter may be submitted as long as it

agrees with the conditions stated in the template. NWO reserves the right to

request the original statement from the main applicant.

On the NWO-MVI website, a sample Consortium Agreement (CA) is

available. In case the proposal is funded, this document must be completed

and signed by all the partners involved before the start of the research. It

should not be sent with the full proposal.

4) Approval statement institution (Annex 6.6)

Download the template for the approval statement and write this. The

approval statement should, in accordance with the template, be written on

the stationary of the organisation concerned. You should save the signed

approval statement as a PDF file, and upload it in ISAAC (section Overig).

By submitting the approval statement, the institute where the project will be

realised confirms that it has been informed of the application and agrees to

all of the conditions that the realisation of the project must satisfy.

3.5 Specific conditions

For this call for proposals, the NWO Regulation on Granting (version 1 December

2015) applies as equally the Agreement for Funding Scientific Research [text

available in Dutch only]. Applications must also satisfy the requirements described

in the following sections.

3.5.1 Fit within the NWO-MVI agenda

Applications should fit within the NWO-MVI research agenda of the participating top

sectors, which is included in Annex 6.1. In the application, applicants must argue

why in their opinion the proposal fits within the agenda. For top-sector-specific

research this concerns the fit within the chosen line of research of the top sector

concerned (for example CI: Smart wearables within the Top sector Creative

Industry). For generic (cross-sector) research it is not possible to submit

applications in this second round.

3.5.2 Multidisciplinary collaboration

In view of the ambition of the NWO-MVI programme to make a contribution to

responsible innovation, collaboration and exchange of research results between

researchers in the natural/technical sciences, humanities, and the social and

behavioural sciences are vitally important. Therefore the projects should always be

multidisciplinary in nature. In other words, researchers from the humanities and the

social and behavioural sciences must always be involved in the projects.

Furthermore, the input from the field of science and technology research must

always be clearly visible and demonstrably involved or integrated with the research

from the humanities and the social and behavioural sciences. Research in the natural

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Chapter 3: Guidelines for applicants / Responsible Innovation

sciences, humanities, and social and behavioural sciences is understood to mean the

following:

(i) Humanities researchers. This mainly concerns ethicists and philosophers

(everyday practice, science and technology); ethicists who contribute

normative ethical questions are also welcome in the NWO-MVI programme.

Contributions from other disciplines such as the history of science are also

conceivable;

(ii) Researchers from the natural and technical sciences (in the broadest sense

of the word so including the medical sciences, designers, engineers,

information scientists, physicists);

(iii) Researchers from the social and behavioural sciences. On the one hand this

includes researchers from more traditional disciplines such as sociology, law,

economics, and psychology and on the other hand researchers from the so-

called interdisciplines who contribute to the reflection on the position of

science, technology and technological systems and society.

3.5.3 Anticipating innovation pathways

In view of the NWO-MVI programme's focus on broadening innovations and

research, development and innovation trajectories, the research should lead to more

than just an analysis of and an insight into problems. On the other hand, it is crucial

that ethical and societal aspects are involved right from the start and incorporated

into the design of innovations and innovation pathways and subsequently result in a

tangible production or design perspective (which besides the design of the

innovation is also related to the institutional arrangements and/or ethical contexts

necessary for this). It concerns the question as to what must be done to innovate

responsibly. Both the central position of this production or design perspective, as

equally the clear stating of the contribution that is made to innovations or the

realisation of innovations form part of the assessment criteria.

3.5.4 Valorisation

Applicants must always put together a valorisation panel and produce a valorisation

plan. Besides representatives of the private partners, the valorisation panel includes

all other actual and potential users and/or user groups. Relevant societal

stakeholders can also be included in the valorisation panel. Also representatives

from organisations that are willing to disseminate the research results and to

valorise these among the target group that they represent can be included in the

valorisation panel.

The valorisation panel is put together during the drawing up of the full proposal, is

involved in writing the proposal, and remains involved in the project throughout its

entire duration. More specifically the valorisation panel's main task is to contribute

its knowledge and expertise and to confront the researchers with the everyday user

practice so that the researchers can incorporate this in their choices. At the very

least it has a supportive role in:

articulating the research question;

drawing up the valorisation plan;

reporting about the research;

disseminating and communicating the research results.

The valorisation plan is aimed at making the relevant research results available for

and usable by top sectors, societal partners and/or other interested parties from

inside and outside of the established scientific community. Besides an overview of

the costs associated with the valorisation it also describes the role of the

valorisation panel. In order to execute the valorisation plan appropriately, a

sufficient budget is necessary. Therefore, within NWO-MVI projects approximately

10% of the project budget has to be reserved for valorisation costs.

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Chapter 3: Guidelines for applicants / Responsible Innovation

3.5.5 International orientation

The NWO-MVI approach clearly has an international orientation with which specific

attention is paid to the global context and aspects. Questions and problems

addressed within the MVI programme are after all international in nature. This also

applies to the themes from the MVI agenda for which applications can be submitted

within the context of this call. Therefore the international dimension must be

explicitly included in the application.

For applications where the research partly or entirely takes place in Low and Middle-

Income Countries LMICs) the research team must include at least one person from a

partner institute in the LMIC country concerned and one postdoc from an LMIC

country.

Moreover, researchers from other countries can carry out research projects on the

condition that they receive an appointment at a Dutch institution or, in the case of

researchers from an LMIC country, a living allowance from a Dutch institution for

academic education and research.

For proposals in which the research has a strong international component and is

directly relevant for, but not carried out in, LMIC countries, it is recommended that

partners from these countries are included in an advisory group.

3.5.6 Conditions with respect to matching, consortia and IP policy

The NWO funding (fixed payment) represents 80% of the total project

budget. The remaining 20% has to be financed by a matching contribution.

At least half of this matching contribution must be paid in cash by one or

more private partners. The other half may be paid in kind, and may be

matched by a public or semi-public partner. For the required matching

contributions, please refer to Table 1 in section 3.2.

The in-cash and in-kind contributions that are entered in the budget of the

full research proposal correspond with the matching statements in which the

contribution by the private and/or public partners is pledged to NWO.

If the compulsory matching is partly contributed in kind, then the

stipulations stated in Section 5.2.2 below apply.

Supervision and consultancy may not be part of the compulsory matching

contribution.

In 2014, NWO and Technology Foundation STW (since 2017: TTW)

publisehd a new joint policy for Intellectual Property (IP) in accordance with

the Rules for public-private partnerships for programming and realisation of

fundamental and applied research '. The document NWO Policy on

Intellectual Property is included as appendix to Appendix 6.5.

A specific consortium, i.e. the combination main applicant with the co-

funding (private) partners, can submit a maximum of one proposal per

agenda element.

3.5.7 Specific conditions

Open Access

All scientific publications resulting from research that is funded by grants derived

from this call for proposals are to be immediately (at the time of publication) freely

accessible worldwide (Open Access). There are several ways for researchers to

publish Open Access. A detailed explanation regarding Open Access can be found on

www.nwo.nl/openscience-en.

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Chapter 3: Guidelines for applicants / Responsible Innovation

Nagoya Protocol

The Nagoya Protocol became effective on 12 October 2014 and ensures an honest

and reasonable distribution of benefits emerging from the use of genetic resources

(Access and Benefit Sharing; ABS). Researchers who make use of genetic sources

from the Netherlands or abroad for their research should familiarise themselves

with the Nagoya Protocol (www.absfocalpoint.nl). NWO assumes that researchers

will take all necessary actions with respect to the Nagoya Protocol.

Ethical aspects

Before submitting an application, you must determine if your proposed research

raises ethical questions and therefore needs to be assessed by an ethics review

committee. Possible relevant aspects are: - research on animals - informed consent

- privacy and data protection - research on human Embryonic Stem Cells - research

involving developing countries - biosecurity/dual use. Certain research requires a

statement of approval from a recognised medical ethics review committee (METC)

or an animal experiment committee (DEC). For some research proposals a licence in

accordance with the Population Screening Act (WBO) is required. More information

on METCs is available at the Central Committee On Research Involving Human

Subjects (CCMO), on DECs the Dutch Association for Institutional Animal Care and

Use Committees provides information and for the WBO The Health Council of the

Netherlands can provide information.

NWO subscribes to the Openheid Dierproeven (Freedom of Information on Animal

Experiments) and the Biosecurity Code. Applicants must subscribe to and comply

with the prevailing codes. A research project can only start when NWO (if

applicable) has received a copy of the approving ethical statement and/or

Population Screening Act licence. For complex questions related to ethical issues,

NWO reserves the right to consult an external adviser. If after consulting the

applicant, NWO is of the opinion that an ethical assessment is needed for an

application then the applicant is obliged to take the necessary measures for such an

assessment. If the applicant fails to obtain the necessary statement of approval

from an ethics review committee then the grant shall be immediately withdrawn.

Once the project has started then your research must be conducted in an ethically

responsible way. If you fail to do this then NWO shall reserve the right to withdraw

your grant immediately.

Finally, in the application you declare that you have completed the form truthfully

and that you satisfy the nationally and internationally accepted standards for

scientific conduct as stated in the Netherlands Code of Conduct for Scientific

Practice 2012 (Association of Universities in the Netherlands).

3.6 Submitting an application

An application can only be submitted to NWO via the online application system

ISAAC. Applications not submitted via ISAAC will not be considered. A principal

applicant must submit his/her application via his/her own ISAAC account. If the

principal applicant does not have an ISAAC account yet, then this should be created

at least one day before the application is submitted to ensure that any registration

problems can be resolved on time. If the principal applicant already has an NWO-

account, then he/she does not need to create a new account to submit an

application.

When you submit your application to ISAAC you need to enter several additional

details online. Make sure you allow enough time for this.

For technical questions please contact the ISAAC helpdesk, see Section 5.1.2.

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Chapter 4: Assessment procedure / Responsible Innovation

4 Assessment procedure

4.1 Procedure

The NWO Code of Conduct on Conflicts of Interest applies to all persons and NWO

employees involved in the assessment and/or decision taken.

All applications received will be tested by the NWO-MVI office for admissibility in

accordance with the admissibility criteria stated in Section 4.3.1. All admissible

applications will enter the same assessment procedure. They will be assessed in

competition with each other by the selection committee (Advisory Board) and quality

will play a leading role in this. The full research proposals will be assessed according

to the selection procedure described below and the assessment criteria stated in

Section 4.3.2.

Full research proposals

The Advisory Board will test whether the full proposal fits within the NWO-MVI aims

and focus points, as well as within the chosen element of the NWO-MVI research

agenda. The Advisory Board assesses the admissible proposals in the manner

described below.7

Hearing and rebuttal

All applications will be submitted to at least two independent international referees

for assessment ('hearing' phase). Applicants will then be given the possibility to

respond in writing to the anonymised advices of the referees (‘rebuttal’ phase).

Researchers will be given five working days to write a response.

Assessment and prioritisation

The Advisory Board assesses and prioritises the proposals based on the assessment

criteria stated in Section 4.3.2, namely: I General scientific quality, II Scientific

quality within the MVI frameworks and III Societal relevance and knowledge

utilisation. Based on the proposal, the rebuttal and the (possible) interview with the

main applicant, the Advisory Board will issue an opinion about the quality and

relevance of the proposals.

The academic members will give an opinion about scientific quality of the proposals

(Criteria I and II). The societal members will assess the societal relevance (Criterion

III). Using this approach the Advisory Board will make a prioritisation, with the

granting being subject to the available budget per agenda element (see section 1.2)

and the thematic spread within the agenda. The advice of the Advisory Board will be

submitted to the NWO Humanities Board (coordination division) for the decision

taking.

Decision taking

The Social Sciences and Humanities Board of NWO will spot check the assessment

procedure and then based on the submission from the Advisory Board it will take the

final decision about which proposals will be awarded funding. Applications within the

agenda element BBoL can only receive NWO funding in case the connection

application is one of the 16 funded BBoL projects of the BBoL programme.

7 If the number of proposals received is at least four times as high as the number of proposals that can be

awarded funding then the decision taking board (NWO Humanities Board) can decide to apply a preselection process to the agenda element concerned.

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Chapter 4: Assessment procedure / Responsible Innovation

NWO will give a qualification to all proposals that have completed the entire

assessment procedure (see also Section 4.3.3 Weighting Criteria). The applicant will

be informed of this qualification in the funding decision. For further information

about the qualifications see NWO qualification system on the website.

Overall timetable

29 June 2017, 14.00 hours

CEST

Declaration of intention (email)

7 September 2017, 14.00

hours CEST

Deadline for submitting full research

proposals

September – November 2017 Consulting referees

Start November 2017 Applicants receive the referees' reports

with the request to submit a rebuttal

Mid November 2016 Assessment full research proposals by

the Advisory Board

End November / Start December

2017 (optional)

Advisory Board holds interviews

Mid December 2017

Decision coordination NWO division on

advice from Advisory Board. Applicants

are informed about the outcome

4.2 Composition of committees

The Advisory Board is formed by experts (academic members) from the

scientific disciplines relevant for NWO-MVI who have a broad experience in the

area of the participating Top sectors. The Board also has representatives from

relevant societal parties (societal members). The composition of the Advisory

Board will be published on the website of the MVI programme

(www.nwo.nl/mvi) after the assessment procedure has been completed.

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Chapter 4: Assessment procedure / Responsible Innovation

4.3 Criteria

4.3.1 Criteria for Admissibility

NWO will not process any applications where one or more of the following situations

occurs:

1. The application has not been submitted via ISAAC.

2. The application has been submitted after the deadline.

3. The application has not been drawn up in accordance with the templates set.

4. The application has not been completed correctly or is incomplete and the

applicant has not (or has not on time) met the request to submit a corrected

proposal.8

5. The application has not been submitted by a full professor, assistant professor

or associate professor appointed at an institution as stated in Section 3.1.

6. The application has not been submitted on behalf of a consortium consisting of

a main applicant, at least two researchers to be appointed by NWO, and at

least one private party and/or with the required matching as described in

Section 3.2.

7. Several identical or very similar proposals are submitted at the same time.

8. A researcher is the main applicant or co-applicant in more than one application

within the same agenda element.

9. The project cannot be started within six months of the grant being awarded.

For full research proposals a further condition is that these will not be processed if

one or more the following situations occurs:

10. Not applicable.

11. The annexes required are missing and/or have not been added to the

application as separate documents in the form of PDF files:

a. the letter signed by the applicant with the overview of the partners

involved – see Section 6.5 of this call;

b. the matching declaration signed by each individual partner – see

Section 6.5 of this call;

c. a signed statement from the applicant and from a person authorised to

sign/with administrative responsibility from the institution that the

project will be realised at the university concerned if the application is

awarded funding – see Section 6.6 of this call.

12. The size and specification of personnel costs are not in line with the standards

established for this in the Agreement for Funding Scientific Research 2008 of

NWO and VSNU (www.nwo.nl/akkoordbekostiging).

13. The maximum funding approved for small projects and large projects is

exceeded.

14. There is no clear specific input from the applicants.

15. The main applicants and co-applicants are also responsible for realising one of

the subprojects.

16. A valorisation plan and a valorisation panel are not part of the application. It is

for the Advisory Board to assess whether the application sufficiently satisfies

the relevant conditions, including the budget reserved for the realisation of the

valorisation plan.

17. The supervisors of any possible PhDs are not specified in the application.

8 If correction of the application or the submission of the required annexes is still possible then the applicant will be given the opportunity to modify his/her application within 48 hours and/or to submit the annexes required. If the application is not corrected within the time set then the application will not be admitted to the assessment procedure. If the application is corrected on time then after approval it will still be admitted to the assessment procedure.

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Chapter 4: Assessment procedure / Responsible Innovation

Finally the following applies:

18. All of the intended project leaders, collaborative partners, advisers. et cetera

have been informed by the applicants that they have been included in the

proposal. This applies to both preproposals and full proposals.

4.3.2 Criteria quality and relevance

Scientific admissibility

The Advisory Board will establish whether the full research proposals fit within the

chosen element of the NWO-MVI research agenda (see Annex 6.1).

For the assessment by the referees and the Advisory Board the following

assessment criteria will apply. These will be operationalised for a number of

subsidiary aspects. The Advisory Board will use these criteria to assess the

proposals.

I General scientific quality

─ Originality and/or innovativeness of the question and/or method.

The project is innovative and will provide new insights.

─ Scientific importance of the proposed research.

The project will provide answers to/solutions for scientific questions.

─ Clarity of the problem.

The aim is clear and concrete. This should also result in a concrete and testable

problem.

─ The action plan and suitability of the approach/methodology.

The action plan is clear an adequate for the problem or task defined. It describes

the techniques, methods and analyses chosen, including the theoretical and/or

empirical support. The action plan also describes – if applicable – the extent to

which the intermediate and/or final target group will be collaborated with.

─ Feasibility of the research proposal and work plan.

The project makes a plausible case that the intended problem or task defined

can be answered or realised with the available expertise, people and facilities

within the planned time. The facilitating and limiting factors are considered in

the project description. If applicable, concrete involvement of the parties, target

groups and intermediate target groups must be ensured.

─ The size of the funding requested for personnel is proportionate to the

intended research results.

There is a considered balance between efforts, input, use of resources and

expected outcomes and yield.

─ Quality of the research group and track record of the researchers.

The research group has demonstrable experience in areas relevant for the

proposal and the impact of the products. Its productivity in recent years is

apparent, for example, from relevant publications/reports/guidelines and/or can

be measured from the number and nature of grants acquired and national and

international contact with peers and target groups. The quality of the research

group can also be measured in terms of the presence of highly promising new

talent. The private partners will be assessed for their track record in the area of

product and service innovation. For starting or relatively new companies the

potential for this will be assessed.

─ Organisation and embedding of the research.

The institutions where the research will be carried out have an excellent

reputation in relation to the theme chosen.

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Chapter 4: Assessment procedure / Responsible Innovation

II. Scientific quality within the MVI frameworks

─ Multidisciplinary and interdisciplinary scientific collaboration.

Researchers from the humanities, natural/ technical sciences, and social and

behavioural sciences work together intensively and the collaboration leads to a

demonstrable added value. How the collaboration is realised will be further

elaborated on in the project description.

─ The proactive nature of the research and the central position of a

production perspective or design perspective.

The ethical and societal aspects are incorporated in the design process of the

innovations/innovation pathways right from the start. How this happens will be

argued for in the project proposal. Providing insight into and an analysis of

ethical and societal problems will not be enough for this.

─ International orientation and/or international collaboration, including

an exploration of global social issues in Low and Middle-Income

countries (LMICs).

The research has an international orientation and/or is relevant for LMICs. The

proposal describes how the international orientation and/or collaboration for the

project will be realised.

III Societal relevance and knowledge utilisation

─ How the societal importance and relevance for the chosen Top sector is

explained in the proposed research.

There is a clear and concrete contribution to the elaboration of the applicable

MVI research themes for the Top sector chosen or, in the case of cross-sector

research, Top sectors. The project satisfies the societal needs that emerge from

the MVI research agenda.

─ The extent to which relevant knowledge users (valorisation panel) are

involved in the elaboration of the proposed research proposal and

during the realisation of the research to safeguard the utilisation

perspective.

All relevant stakeholders involved (including the private partners) are included in

the valorisation panel. The collaboration with the panel is clear and is realised in

concrete terms. How the panel's input is incorporated in the research is also

clear.

─ The degree to which relevant knowledge users are involved in the

dissemination of and communication about the research results among

the intended user groups (input in drawing up and realising valorisation

plan).

There is a clear and effective plan with respect to the dissemination and

implementation of the project results. At the very least the plan describes:

- why the user and target groups included are the right ones for achieving

the goals set;

- how these groups will be involved in the project;

- how the dissemination and implementation activities will actually take

place.

─ The period in which the possible knowledge utilisation can be expected

and can be anchored within the Top sector concerned (and possibly

outside of this).

The research contributes to solutions for the problems from the MVI agenda of

the participating Top sectors. The project describes which results can be

expected at what point in time.

─ A clear statement of the contribution that will be delivered to achieve

innovations.

In the project description attention is given to what the project will deliver in

concrete terms for current or future innovation pathways. The project offers

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Chapter 4: Assessment procedure / Responsible Innovation

concrete knowledge handles for potential knowledge users and describes what

these are.

4.3.3 Weighting criteria

The assessment criteria I and II carry equal weighting. Based on these criteria the

Advisory Board assesses and prioritises the proposals. The final outcome will be one

of the four NWO-wide valid final qualifications: excellent, very good, good,

unsatisfactory. The proposal has to be awarded at least the category good on both

criterion I and criterion II , otherwise the proposal will not be eligible for funding.

Assessment criterion III is also a precondition for funding. For these the categories

high, medium and low will be used. Proposals that are awarded the category low will

not be eligible for funding, irrespective of the scientific quality.

Within the qualification groups awarded the scientific quality (excellent, very good,

good) proposals with a high assessment for societal relevance will be ranked above

proposals with a medium assessment.

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Chapter 5: Contact and other information / Responsible Innovation

5 Contact and other information

5.1 Contact

5.1.1 Specific questions

For specific questions about Responsible Innovation and this call for proposals please

contact until further notice:

Drs. Marlies van de Meent (senior policy advisor NWO-MVI)

NWO Social Sciences and Humanities (unit acting as official secretary)

T: +31 70 349 45 60

E: mvi@nwo.nl

5.1.2 Technical questions about the electronic application system ISAAC

For technical questions about the use of ISAAC please contact the ISAAC helpdesk.

Please read the manual first before consulting the helpdesk. The ISAAC helpdesk can

be contacted from Monday to Friday between 10:00 and 17:00 hours CET on +31

(0)900 696 4747. Unfortunately, not all foreign telecom companies support calling to

0900-numbers. However, you can also submit your question by e-mail to

isaac.helpdesk@nwo.nl. You will then receive an answer within two working days.

5.2 Other information

5.2.1 Definitions/explanation of a few of the terms used

Definitions

1. Private parties

NWO defines a contribution as private when the contribution is not directly or

indirectly paid by state funding, according to the EU state aid framework.

International private sector parties can also participate. All committed financial

(cash) and material (kind) contributions need to be stated in Euros.

In addition, the water boards and drinking water companies (top sector Water) and

medical research charities (top sector LSH) may participate in consortia under the

conditions that apply for private parties.

2. Definition public and semi-public parties

Public and semi-public sector parties are institutions that are not research

institutions recognised by NWO and are not classified as a private sector parties.

3. Low and Middle-Income Countries (LMIC)

Low and Middle-Income Countries (LMIC) are defined as the low and middle-income

countries that are entitled to official development assistance (ODA), as defined by

the OECD (see www.oecd.org/dac/stats/daclist).

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Chapter 5: Contact and other information / Responsible Innovation

5.2.2 Stipulations in-kind contributions by private parties

1. Possibilities for participation by private parties with in-kind

contributions

Private parties usually participate in NWO research programmes by means of a

financial contribution to the programme and/or the project budget.

In the MVI projects, private parties can participate with a partial in-kind contribution

under the following conditions:

The total private contribution to the project must be at least 10% of the

total project budget and be in cash. The total project budget is constituted

by 80% of NWO funding (fixed payment: see section 3.2). The eventual in

kind contribution can only concern the remaining 10% of the total project

budget.

In-kind contributions/efforts must be essential for the project and be

included in the budget approved by NWO for the research costs of the

project proposal in which the private party participates (see for the in-kind

contributions to be contributed Provision 3) and fall under one of the cost

categories stated under 3.

2. Commitment

If an external partner is to participate in the research project with a partial in-kind

contribution such as described above then the private party shall commit the in-kind

contribution plus the financial (in-cash) contribution to the NWO project. If the

private party has committed itself to a research project with an in-kind contribution

and in the end does not contribute the entire contribution or a part thereof or cannot

account for it, then NWO will invoice the party for this part of the in-kind

contribution so that the total contribution pledged is made.

3. In-kind contributions to be contributed

The following costs incurred directly for the research project by the private party can

be made as in-kind contributions (see also Provision 1):

Salary costs, with the understanding that an hourly rate is paid, calculated

on the basis of the annual salary for a full-time position according to the

column income for income tax of the payroll increased by the increments,

obliged by law or on the basis of individual or collective employment

agreements, for social security costs, and for 1650 productive hours per

year. For this an allowance may be budgeted for general costs, to a

maximum of 50% of the salary costs mentioned above. The hourly rate

allocated to the project as a result of this calculation, including the 50%

allowance stated, may be no more than € 100. Costs for supervision or

project management may only be contributed in the case of active

participation of the intended supervisor or project manager in the research

project.

It is possible that part of the research will be realised by third parties. One

of the conditions for the deployment of personnel is that the expertise

delivered in the form of man-hours is not already available at the research

institutes and is therefore specifically used for the project. For the

capitalisation of personnel deployed by third parties, NWO uses fixed rates

for a senior or junior researcher (see www.nwo.nl/subsidiewijzer, section

Regulation on Granting).

Costs of consumables, equipment and software/software licenses directly

related to the project are based on the original purchase prices. A condition

for in-kind contributions in the form of the supply of services is that these

can be recognised as a new effort. The service is not already available at the

research institutes that are carrying out the research. It can be the case

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Chapter 5: Contact and other information / Responsible Innovation

that parties want to budget services already provided (for example a

database or software) as co-funding in kind. However this will not be

automatically accepted. NWO should be contacted in advance about this. In

that case NWO will determine whether a tangible value can be established

for this service supplied.

3.1 Not permissible as co-funding:

Discounts on commercial rates, e.g. for materials, equipment and services.

Costs related to overheads, supervision, consultancy and/or participation in

the user committee.

Costs for services that are conditional. No conditions may be attached to the

provision of co-funding. The provision of co-funding is not dependent on

whether or not a certain stage in the research plan is achieved (e.g. a

go/no-go moment).

Costs that will not be reimbursed according to the call for proposals.

Costs for equipment if one of the primary objectives of the research

proposal is improving/creating added value for this equipment.

4. Accountability for the in-kind contributions

If the co-funding is not provided via the NWO budget then NWO will consider the

financial contribution as an in-kind contribution and it will also be registered as such.

Public and private parties should give account for their contribution (in cash or in

kind) to NWO by supplying NWO with a list of the costs contributed. This should be

submitted within three months after the research project to which the contribution

was made has finished.

The request to confirm the in-cash and/or in-kind contribution should be submitted

at the same time as the request for finalising the grant by the project leader and it

should be accompanied by a joint final report. If the in-cash or in-kind contribution

to be accounted for (as far as this is not being provided via the NWO budget) is

higher than k€ 125, an auditor's statement should be provided; in other cases it is

enough to provide a written statement from the project leader in which the funds

contributed are stated (as far as this is not being provided via the NWO budget) and

/or the in-kind contributions that have actually been made to the project are stated.

If the public or private party that has committed itself to make an in-kind

contribution to a research project does not eventually make this in-kind contribution

in full and/or cannot give account for this contribution, then NWO will invoice this

party for the missing amount of the in-kind contribution concerned so that the total

amount committed is still met.

In the event that accountability after the project is not given, NWO reserves the

right to withdraw the entire grant (General Administrative Law Act 4;48)

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Chapter 6 Annexes / Responsible Innovation

6 Annexes

6.1 Research agenda NWO-MVI

6.2 Not applicable

6.3 Application form full proposal

6.4 Budget template full proposal

This document can be downloaded from the NWO-MVI grant page from July 2017 onwards.

6.5 Statement of agreement made with private partners

The grant page also contains the document NWO Policy for Intellectual Property as well as a

sample Consortium Agreement.

6.6 Approval from the institution where the research is to be carried

out

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Chapter 6: Annexes / Responsible Innovation

6.1 Research agenda NWO-MVI

NWO-MVI: Responsible innovation

The success of innovations depends increasingly on their societal embedding. Issues concerning

food, healthcare, security, energy and the use of raw materials demand integrated, innovative

solutions. However, promising innovations can fail if their ethical and societal aspects are not

addressed in a timely manner. Consider, for example, the discussions concerning the recovery of

shale gas, CO2 storage, electronic patient files or the "smart energy meter".

In the NWO programme Responsible Innovation (Dutch: NWO-MVI) possible ethical and societal

questions are identified during the early stages of technological innovations so that these can be

taken into account during the innovation process. This increases support among stakeholders.

Responsible innovation research involves the normative question of whether innovations are

societally and ethically acceptable. Innovations and innovation processes are assessed critically in

terms of the degree to which they encourage important values such as trust, justice, privacy,

autonomy, responsibility and liability, durability, security, etc. To achieve this, research within the

Responsible Innovation programme has a number of focus points (Figure 1).

o Proactive production or design perspective: Responsible innovation research leads not only

in an analysis of an insight into problems, but also into a concrete "production or design

perspective" in which ethical and societal values are involved and incorporated from the

very beginning into innovations and innovation processes;

o Interdisciplinary approach: researchers from all academic disciplines work together. With

this approach researchers from the humanities and social sciences (e.g.

philosophical/ethical, historical, sociological, economics and legal researchers) ask

researchers from the natural sciences and engineering (technical/medical researchers,

designers and engineers) questions about their presumptions underlying particular

innovations and innovation processes. The cooperation with researchers from the natural

sciences and engineering into generic issues (see below, at Research Agenda) is related to

the concrete focus of the research on the top sectors;

o Societal relevance and valorisation: all requests are evaluated for their societal relevance

and for the applicability of the results. Each project has a valorisation panel, which allows

stakeholders to be closely involved with the research and enables direct implementation of

the results.

Figure 1: Focus points of the Responsible Innovation programme

The (technological) innovations investigated within the Responsible Innovation programme NWO-

MVI concern both products and services (institutional designs for an organisation or infrastructure,

for example). These innovations aim to contribute to the resolution of a societal issue - for example

a better system of supervision, better transportation, energy savings, or increased security. The

research is internationally oriented, with an eye to the global context.

The NWO-MVI approach offers many opportunities to the top sectors and the business community.

Many parties, including natural sciences/engineering researchers and (industrial) partners, labour

under the misunderstanding that considering the societal and ethical aspects of new technologies

nearly always leads to promising innovative research being halted and business opportunities

missed. The NWO Responsible Innovation programme emphatically presents a different vision.

Innovations that are approached in a societally responsible manner do not hinder growth or

opportunities in the market but can, on the contrary, accelerate these. Since ethical and societal

aspects are already taken into account in the design process, failures and expensive adaptations

later are prevented. Furthermore, opportunities for better products and services also arise through

societally inspired innovations.

For businesses, a better understanding of societal and ethical issues means several things,

including:

24

Chapter 6: Annexes / Responsible Innovation

o expanding the licence to operate;

o having innovations align better with consumers and the societal environment along with

generating ideas for unexpected innovations;

o receiving usable, constructive feedback from excellent scientists;

o joining in with the European Societal Challenges, in which Responsible Research & Innovation

is paramount for the European Horizon2020 programme.

Figure 2: Advantages of NWO-MVI for companies

2016-2017 Research Agenda

The NWO-MVI Research Agenda for 2016-2017 contains two parts, namely: 1) an agenda with

"generic" (cross-sector) issues and 2) agendas for each top sector with issues specific to that top

sector. The first category involves ethical and societal issues that are relevant for nearly all top

sectors and which are expected to be crucial for the success of innovations in the coming years.

Please note: in this second round, it is only possible to submit applications for part (2) of the

agenda, and exclusively for the top sector specific issues BBoL, Creative Industry, Energy, Logistics

Research proposals can be submitted for the themes formulated in the NWO-MVI Research Agenda.

Research into these themes takes place using the NWO-MVI approach, which consists of the focal

points described above. This agenda contains several examples of NWO-MVI projects. These serve

as an explanation of the NWO-MVI approach and as a source of inspiration.

Proposed projects are complementary with, or continue to build on, the results from previous

research within or outside NWO’s Responsible Innovation programme or related international

research.9 The precondition for proposals concerning the generic issues is that the proposed

research has a concrete focus on the top sectors, which shows the importance of the research for

the top sectors.

Dutch National Research Agenda as a source of inspiration for the generic issues

The Dutch National Research Agenda (NWA: from the Dutch ‘Nationale Wetenschapsagenda’) has

been the source of inspiration for the generic issues. The NWA came about via a participatory

process with citizens, societal organisations, businesses and scientists. By using this agenda as a

source of inspiration, the support that the NWA was created with can be further built upon.

Furthermore, harmonisation with the NWA provides opportunities to encourage new collaborative

partnerships. In particular, it offers a perfect opportunity to make connections between top sector

research and important societal challenges at the national and international level. This aligns well

with the NWO Responsible Innovation programme, which also focuses on making new connections

among parties inside and outside the scientific community. For example, the programme addresses

ethical and societal issues that are important to all top sectors and from this perspective it connects

the top sectors with each other. Not only do scientists from all disciplines work together on this,

collaborative partnerships are also set up with representatives from the private and public sector.

The NWA recognises many questions about the ethical and societal aspects of innovations. Some of

these questions concern specific top sectors; others are relevant for nearly all top sectors. The latter

category forms the basis for generic issues in the NWO-MVI Research Agenda. At the end of this

chapter, references are included to NWA issues that have inspired this generic agenda.

Please note: in this second round, it is no longer possible to submit applications for this agenda

item.

9 Please refer to the NWO-MVI website for an overview of the Responsible Innovation projects (section ‘Research projects’).

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Chapter 6: Annexes / Responsible Innovation

Part 1: Generic issues

In this round, it is no longer possible to submit applications for generic issues. This part of the

research agenda is therefore not included in this call.

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Chapter 6: Annexes / Responsible Innovation

Part 2: Issues specific to the top sectors

The issues specific to the top sectors came about in consultation with the relevant top sectors. The

four items that are open in this second round are (in alphabetical order)10:

NWO-MVI Research agenda – Building Blocks of Life (BBoL) – see the agenda below for the

top sectors within which BBoL projects have to be included.

NWO-MVI Research agenda – Creative Industry

NWO-MVI Research agenda – Energy

NWO-MVI Research agenda – Logistics

For more information about the top sectors that is referred to in this agenda, see:

http://topsectoren.nl/english.

10 Each agenda item is preceded by a code, e.g. CI: Smart wearables). The code has to be used in the relevant field of the application form.

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Chapter 6: Annexes / Responsible Innovation

NWO-MVI Research Agenda - Building Blocks of Life (BBoL)

Introduction

Within the NWO-MVI agenda component BBoL, applicants can submit a NWO-MVI proposal linked to

an NWO Building Blocks of Life proposal. This enables BBoL researchers to perform timely research

into correlated ethical and societal issues, together with humanities and social sciences researchers.

BBoL: research projects that are parallel to BBoL projects on topics of the BBoL manifesto

A NWO-MVI propsoal always runs parallel to a proposal within BBoL and can be funded only if it is

connected to one of the 16 funded BBoL projects (for an overview, see here). The basis for the

proposal’s theme is the BBoL programme manifesto, which can be found on the BBoL funding page

(annex to the BBoL call). The manifesto contains two interdisciplinary challenges, namely (1)

Understanding cellular processes and identity from molecule to organism, and (2) Engineering of

molecules and cells. The content of the BBoL research must fall within the objectives of at least two

of the participating top sectors, namely Life Sciences & Health, Agri & Food [in Dutch], Horticulture

& Starting Materials [in Dutch], Chemistry [in Dutch], and High Tech Systems and Materials

Examples of possible research topics:

The new technology for genome modification (CRISPR-CAS) has now received considerable media attention.

Originally it was a bacterial resistance system against viral infections that, after modification, was

also suited for modifying non-bacterial genomes in a relatively simple way.

Using a so-called guide RNA, nearly every DNA sequence in the cell can be changed specifically. The CAS9

protein associated with the guide RNA provides a cleavage reaction at that location, thereby causing

a breach in the DNA molecule. This breach is than repaired by special proteins that occur naturally

in the cell. This repair process is not always error-free and sometimes mutations arise. The repair

process is encouraged further if repair DNA or donor DNA is provided at the same time. This donor

DNA can be provided with the new desired functions. The result of the entire process is a modified

genome in which a new desirable property (programmed in the DNA code) is introduced with great

precision. Currently, the technology is spreading rapidly throughout the scientific community and it

has proven to be widely applicable - from microorganisms to plants, animals and humans.

Combined with the capability of large-scale DNA synthesis, genome (DNA) sequencing analysis and

interpretation using bio-informatics, the possibility then arises of "reading, writing and editing"

genomes. The rapid technological development is associated with many patent requests, new

innovation opportunities and business efforts in many sectors. A debate about the responsible use,

consideration of risks and ethical assessment has arisen in the research community.

The NWO-MVI programme provides possibilities for performing research into the societally responsible

application of this new technology, which touches literally on the “building blocks of life”. How could

we make optimum use of this technology's new capabilities without losing societal support? Which

applications and risks do we find acceptable? Which instruments for policy, evaluation, risk

management and supervision are needed for this?

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Chapter 6: Annexes / Responsible Innovation

NWO-MVI research agenda - Chemistry

In this round, it is no longer possible to submit applications for top sector specific issues within

the Chemistry agenda. This part of the research agenda is therefore not included in this call.

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Chapter 6: Annexes / Responsible Innovation

NWO-MVI Research Agenda – Creative Industry

Within the NWO-MVI Creative Industry research agenda, requests can be submitted under the

theme of "Responsible design of smart wearables". The principles for good design are included in

Manifesto (http://iotmanifesto.org/). The sector wishes to focus on reinforcing good design by

reinforcing the knowledge layers underlying the principles. These associated questions must be

interpreted in this context.

CI: Smart wearables

The digital devices with which we interact with the world around us are transforming increasingly

from being separate devices (laptop, tablet, smart phone) into devices that we wear on (and even

in) our bodies. First on our wrists and as glasses, but clothes are increasingly becoming "connected"

and can act both as a sensor and as an actor for collecting and forwarding information. This gives

rise to a ‘second skin media’ that offers a new sensitivity to and about the environment. It is part of

a larger movement towards an Internet of things in which objects, devices and sensors are linked

and in which they continuously exchange data about us, our environment, what we do, what we

feel, what we might or should know, and what we can or should do. The insights from behaviour

design are important sources of inspiration for designing and creating relevant experiences. The

design of rule-based algorithms plays a role in creating learning systems. Material aspects also play

a role in this: sensors, fabrics, actors, energy/batteries and connections.

The applications are endless: personal fitness, allowing people with visual handicaps to experience

their surroundings, providing new possibilities for interaction with the environment, creating more

awareness of the environment for everyone (air pollution, for example), monitoring unsafe

surroundings in the city or experiencing new layers in and about the environment we are in. All of

these sensors, actors and networks have been designed to exchange data and to support us with

specific functionalities. But these opportunities and capabilities also have a downside. One example

of this is that the same data can be used by others or by other systems for entirely different

purposes. Alternatively, the smart technology could be used to manipulate the wearers' decisions.

Can everyone have equal access? How can the design of smart wearables take the ethical and

societal aspects that play a role in this theme into account? How can smart wearables be designed

responsibly?

Examples of possible research topics: Important questions in this theme are related to the responsible handling of data: how can we design

wearables that deal with data responsibly? Here, sub-questions include: How can we ensure that data that are collected for a specific purpose with wearables are only used for that

purpose? Which conditions must responsible use of the collected data satisfy? How can the data's anonymity be guaranteed? Are other encryption mechanisms possible that provide better

guarantees for anonymity? And, by extension: how can the design take the desire to be "invisible" to the data world into account? Or, beyond that: how can intelligent wearable technology be deployed to spy on those who spy on us (sous surveillance)?

Which conditions must the translation of interpersonal relations into digital interactions satisfy? Which apps can we make that have the desired effects (e.g. societal contacts), but that cannot be abused?

Examples of other questions include: What is the relationship of a "sixth sense" in clothing with respect to the individual's personal experience?

What does this sixth sense mean to his/her autonomy and sense of self-worth? Are the methods used to influence people's behaviour with respect to wearables acceptable and, if so, under

which conditions (nudging)? Which ethical and societal values play a role in haptic interactions and how can these be incorporated in the

design of these interactions? A similar question can be asked of fabrics that adapt to the wearer's profile and behaviour, for example,

fabrics that respond to health profiles.

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Chapter 6: Annexes / Responsible Innovation

NWO-MVI research agenda - Energy

E1. Assessment models in the transition to a more sustainable energy supply.

The debate about and the determination of the desirability of innovations as part of the

transition to a more sustainable energy supply use assessment models, which are based on

certain values. As such, this transition gives rise to questions about responsible innovation.

What assessment models exist, and what are the assumptions? What weight should be assigned

to values achieved in the short term, and those achieved in the more distant future (what

discount rates apply, and why)? Separate projected results of innovations are assessed, after

which it is decided whether the innovation is desirable (from a particular perspective). This

assessment includes various values, which sometimes conflict (safety, etc.). The research does

not inherently limit the grounds for the assessment in the assessment models, since the

substance and weight of the assessment depend on the innovation and the ethical and societal

context.

Relevant questions include: How to weigh the societal and ethical importance against values

that can be expressed in monetary terms? Generating offshore wind energy, for example, is

often qualified as being too expensive; whether or not this is in fact the case depends on the

weight ascribed to the future ‘gains’ that can be achieved in societal and ethical terms. Is it in

fact necessary to seek to translate the current and future societal interests into financial value?

Examples of possible research topics:

the values underlying assessment models, for example as used in the analysis of cost/benefit-to-society, and

their impact on innovation and the surroundings,

differences in findings from research into the desirability of innovations measured according to various

assessment models,

the often implicit assumption that the benefits (particularly financial and societal) should outweigh the costs,

while the ethical benefits or costs are sometimes overlooked,

the relationship between various calculation factors (financial, ethical, societal, etc.) and existing and future

innovation processes, or

possibilities for and the desirability of modifying the assessment models during innovation processes.

Within this agenda item, it is possible to choose a cross-sectoral case with the top sector Chemistry.

E2. Institutional arrangements, energy market models and other forms of coordination

in the transition to a sustainable energy supply (system and market perspective).

Technological innovations in the transition to a more sustainable energy supply require major

changes in terms of institutional, market and other coordination forms. This transition gives rise

to questions in terms of responsible innovation. For example, with people being able to generate

their own energy, their output to the grid needs to be organised properly; but whose

responsibility is this? What do the changes to the energy market models mean for people living

off-grid, particularly in transitioning economies? These innovations in the energy supply are also

rendering new institutional and market models possible, for example in connection with the

conditions attached to grid access.

Examples of possible research topics:

how technological innovations in the energy sector and accompanying changes to institutional and market

models and other coordination forms impact the certainty of supply or affordability of energy for

individuals (not only in the Netherlands but also in other parts of Europe and in developing countries),

who are the various stakeholders, in the Netherlands, in Europe and beyond? Are their roles and

responsibilities changing?

what values come into play in questions concerning further deregulation, self-regulation, re-regulation, the

incentives for sustainable energy and encouraging acceptance of innovations, etc.?

how to assess calls for new regulation, and on what basis? Are normative models needed to make these

assessments, and what do they look like?

Within this agenda item, it is possible to choose a cross-sectoral case with the top sector Chemistry.

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Chapter 6: Annexes / Responsible Innovation

E3. Business and organisation models in the transition to a sustainable energy supply

(business and market perspective).

Technological innovations in the transition to a more sustainable energy supply require major

changes in terms of business and organisation models. One of the causes is increased

autonomous energy production and consumers' changing need for supply and grids. In addition,

these innovations in the energy supply are rendering new business and organisation models

possible. The changing production possibilities are also creating opportunities for new

organisation forms. Both these trends give rise to questions in terms of responsible innovation.

Examples of possible research topics:

how technological innovations and accompanying changes to business models impact the separate

stakeholders, including the private sector itself,

what values are factors in transitions to new business and organisation models, and how they can be

weighed against other internal and external values,

the assessment between short-term and long-term issues such as finance and granting access to energy,

the role that individuals, citizens' initiatives, business and sector organisations play in encouraging increased

sustainability in the energy supply, in the Netherlands and the rest of Europe, and in developing

countries, or

how normative models can be developed that enable assessments of a business's or organisation's

operations within the context of the energy transition and help justify them.

Within this agenda item, it is possible to choose a cross-sectoral case with the top sector Chemistry.

Example of a completed MVI research project

A team of economic, sociological, physics and philosophical expertise led by professor Rolf Künneke, together with professionals from the sector, analysed the values and value conflicts concerning wind energy. The objective was to set up the new industry in the area of wind farms robustly, in a way that did justice to as many values as possible - even if those values appeared contradictory at first. That can be done both in the technological design of the wind farms themselves and in the institutional design of the related processes, e.g. in the area of permit policy and laws and regulations. The team looked not only at what is acceptable at present, but also at what will be acceptable in the long term for society as a whole, for the market and for specific interest groups. Without a consistent vision of the interplay in that triangle, long-term policy will not work. For more information about this project, see http://www.nwo.nl/onderzoek-en-resultaten/cases/waardenbewust-ontwerpen-op-de-noordzee.html.

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Chapter 6: Annexes / Responsible Innovation

NWO-MVI Research Agenda - Logistics

The top sector Logistics has defined six roadmaps which record the knowledge and innovation

questions for the coming years: Smart ICT, Synchro-modality, Trade Compliance and Border

Management, Cross-Chain Control Centres, Service Logistics and Supply Chain Finance. For an

explanation, see http://topsectoren.nl/documenten/logistiek/Kernpunten-KIA-Logistiek-2016-

2019_2015-10-05_243.pdf. Proposals for NWO-MVI research in the area of the top sector Logistics

relate to one or more of these roadmaps. Examples of possible topics for responsible innovation

research are listed below.

Please note: the following agenda is an update agenda of the preceding round. It is only possible to

submit application that fit within this new updated agenda.

L1: Issues with respect to new technologies in the logistics sector

Within the logistics sector the number of new, often remotely operated, technologies used is

increasing. These new technologies have a major impact on the quality of the work in the logistics

sector and the competencies profile of logistics employees. If the logistics sector is to have a

sustainable future then it must have an integral approach to logistics issues that sufficiently takes

into account the need for new technologies to be embedded in a sociotechnical system. This is

required to ensure that technology does not advance without the user playing a role in the

development process.

Urgent ethical and societal issues play a particular role in the following areas:

i. Robotisation Due to the increasing robotisation issues arise such as quality of work,

unemployment and the value that people derive from their work.

ii. Planning software This concerns the process related to production and goods

transport (for example, the ‘last mile’) and the increasing use of ICT in this. Examples

of this are intelligent software and robots that can make their own choices. In the

case of these new technologies the issue of trust also plays an important role because

it is impossible for the individual users to maintain an overview of the entire process.

iii. Data sharing When sharing data / ICT, issues like privacy, trust, security (of

information in the case of data platforms), business models and block chain need to

be considered.

L2: Governance models

How can innovative business and organisation models be developed that encourage sustainability,

security and societally responsible handling of innovations (integrity issues/corporate ethics,

including questions regarding equality and justice on the work floor)? Questions that arise here

include: which ethical and societal considerations play a role in organisational innovation, and how

can these be balanced against such considerations as efficiency and economic aspects? Which

methods and strategies can businesses use? What are the stakeholders' expectations? How can good

cooperation be encouraged among the various players within the sector?

L3: Sustainability

On the one hand, the transition to sustainability offers significant opportunities to innovate in a

societally responsible manner (e.g. the development of advanced planning systems). However,

conflicts can also arise between values - e.g., between efficiency, sustainability and the concern for

security. How should these be dealt with?

L4: Cost-benefit analyses

Cost-benefit analyses are often made when assessing services and projects. However, these

analyses do not always involve all of the relevant ethical and societal considerations. For example,

justice issues are not considered by a cost-benefit analysis. The question is: how can a cost-benefit

analysis be designed that also includes ethical and societal considerations in the analyses and that is

optimally usable at the same time?

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Chapter 6: Annexes / Responsible Innovation

NWO-MVI research agenda – Water

In this round, it is no longer possible to submit applications for top sector specific issues within

the Water agenda. This part of the research agenda is therefore not included in this call.

Published by:

Netherlands Organisation for

Scientific Research

Visiting address:

Laan van Nieuw Oost-Indië 300

2593 CE The Hague

May 2017