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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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
1
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
5 Contact and other information 19 5.1 Contact 19 5.2 Other information 19
6 Annexes 22
2
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.
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).
4
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.
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.
8
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 ([email protected]) 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
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.
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.
29
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,
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.
31
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.