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The future of research ethics review in the changing research environments

HORIZON Coordination and Support Actions

Basic Information

Identifier
HORIZON-WIDERA-2023-ERA-01-12
Programme
Enhancing the European R&I system
Programme Period
2021 - 2027
Status
Closed (31094503)
Opening Date
December 5, 2022
Deadline
March 8, 2023
Deadline Model
single-stage
Budget
€5,000,000
Min Grant Amount
€5,000,000
Max Grant Amount
€5,000,000
Expected Number of Grants
1
Keywords
HORIZON-WIDERA-2023-ERA-01-12HORIZON-WIDERA-2023-ERA-01Computer ethics and securityEthicsEthics in engineering and technologies

Description

Expected Outcome:

In order to support an effective adaptation of the ethics reviews to the evolution of scientific research, notably due to the emergence of new areas of research and new forms of research collaborations, projects are expected to contribute to the following outcomes:

  • Evaluate the effectiveness of current approaches to the ethics reviews in ensuring the embeddedness of human rights in the development of digital technologies and promoting adherence to ‘digital rights’ and ‘digital principles’ in the context of research and related international cooperation and partnership[1];
  • Develop new approaches to ethics reviews and assessments. This should focus on developing systems and procedures that promote an ethics by design culture fostering innovation, while supporting the research community to operationalise and embed new and upcoming EU human rights driven legal frameworks in research proposals, in line with the ethics by design approach;
  • Enable the ethics processes to better inform policy choices about the uses of new and emerging technologies and support the researchers in incorporating ethical considerations into their research, thereby contributing to the protection of human rights and the promotion of EU values. For example, the GDPR, since its adoption has inspired the adoption and reform of privacy and data protection frameworks globally, resulting in a so-called ‘Brussels effect’[2].

The emergence of new areas of research and development, including in the areas of gene editing and artificial intelligence, and the shift of research activities and collaborations to the online digital space, challenge the future of research ethics reviews.

At the same time, ethics should focus on the adherence to values and principles and not be a legal compliance mechanism. It is also necessary to prevent ethics reviews and assessments from becoming a red-tape mechanism, especially as the ex-ante-model of traditional ethics oversight might not be apt to deal with new challenges for example stemming from various forms of data re-use and the often unpredictable and tentative nature of big data research and unforeseeable risks.[3]

Scope:

Among the key concerns are research activities that do not involve traditional ‘research participants’ or where there are no established practices or legal obligations to undergo ethics review. A pertinent example is research assembling and analysing large volumes of existing (anonymised) research data, data produced as a by-product of people’s use of technological devices and services, and other categories of non-personal data. The absence of the traditional individual research participant or data subjects, however, does not mean the research activities do not pose ethical challenges or risks.

In addition, a broader variety of players, often in an international setting, is frequently involved in such research activities. These may include universities, corporations, public and private foundations, civil society organisations, online service providers, open exchange and collaboration initiatives and platforms, and other formal and informal associations.

Another important element to be taken into account when investigating how the ethics committee should evolve is the development of a new legal framework related to the protection of human rights. In particular, to prepare for ‘Europe’s Digital Decade’, there are several important initiatives in the pipeline that aim to facilitate the access to and use of digital data, such as the Data Governance Act[4] and the proposals for a Data Act[5] and the European Health Data Space[6] .Meanwhile, the EU has been a frontrunner in the formulation of normative frameworks that aim at safeguarding human rights and freedoms in the context of digital innovation, and has committed to incorporate those values into international research collaboration[7]. What is more, the GDPR, since its adoption, has inspired the implementation and reform of privacy and data protection frameworks globally, resulting in a so-called ‘Brussels effect’,[2] and the Commission has indicated a clear willingness to move further ahead with the proposal for an Artificial Intelligence Act[9] and the Declaration on Digital Rights and Principles for the Digital Decade.

In this context, the proposed actions should:

  1. Analyse the strengths and weaknesses of the current approaches to ethics review in their capacity to address the challenges above (new technologies, new players, new forms of collaboration and partnerships, new human rights related framework, etc.), and, on this basis, propose concrete ways of adapting ethics committees (working methodologies, composition, etc.) in view of matching the new challenges. The overall objective is to identify gaps in practice and formulate proposals to enhance the capabilities of the existing ‘ethics infrastructure’ in Europe. As regards the role of the bodies, it is important not to limit the scope to the ex-ante ethics review, prior to the start of the research concerned, but to also cover the monitoring during the implementation of the research and innovation activities. Practical ways to support the work of relevant stakeholders, notably research funders should also be identified, including the development of quality criteria or benchmarking tools to assist in the evaluation of existing research ethics oversight mechanisms[10]. The applicability of the proposed approaches should also be tested via the use of specific case-studies (involving non-EU partners where appropriate);
  2. Organise stakeholder consultations and interdisciplinary mutual learning initiatives to enable the identification of best practices for the ethics oversight of new modes of research. As cutting-edge research is of cross-border character, this action should involve institutions that engage in research ethics review and relevant related activities, including at the international level;
  3. Develop guidelines and corresponding training and education materials to enable ethics experts involved in ethics reviews to assess compliance with the new ethics standards resulting from the new challenges addressed under point 1 and above;
  4. Train Framework Programme ethics appraisal scheme experts (250-300). Close attention should be paid to gender balance, as well as to gender equality- and diversity-related ethical aspects. Feedback of the trainees should be used to improve the trainings.

In addition, this action should produce traditional and innovative training material (reflecting the developed approaches and guidelines) for students, early career and experienced researchers, as well as for research administrators and managers (to support the professionalisation of research management in the area of research ethics). The priorities of the EU Digital Education Action Plan (2021-2027)[11] should be taken into account.

Proposals should ensure that the publicly available results from relevant EU-funded research projects (e.g., SOPs4RI, SHERPA, SIENNA, TechEthos, RoSie) [12] are incorporated, in particular the guidelines that they have produced.

Proposals should foresee budget for cooperation with Embassy of Good Science (including the necessary technical aspects) and ENERI[13], as well as cooperation with other existing European Networks with clear attribution of research ethics responsibilities, including (associations of) European networks of (early) career researchers or educators in the field of research ethics and integrity. The material must be made available on the e-platform Embassy of Good Science[14].

In order to improve the impact of the expected output (such as effectiveness of training courses, guidelines, toolboxes, etc.), cooperation with research management offices and ethics officers in Research Performing Organisations is highly recommended. In addition, National Contact Points should be provided with all the materials relevant to support their advisory activities.

To achieve the expected outcomes, international cooperation is strongly recommended.

Consortia with EU partners or Associated Countries partners that have not previously collaborated are encouraged to participate.

For all published articles and deliverables produced in the context of the activities, an authorship contribution statement must be added, in accordance with a recognised standardised taxonomy developed for this purpose (e.g., CRediT).

[1] Communication From the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions: 2030 Digital Compass: the European way for the Digital Decade, COM(2021) 118 final, Brussels, 9.3.2021, https://eur-lex.europa.eu/resource.html?uri=cellar:12e835e2-81af-11eb-9ac9-01aa75ed71a1.0001.02/DOC_1&format=PDF

[2] Floridi, L. The European Legislation on AI: a Brief Analysis of its Philosophical Approach. Philos. Technol. 34, 215–222 (2021). https://doi.org/10.1007/s13347-021-00460-9.

[3] Ferretti, A., Ienca, M., Sheehan, M. et al. Ethics review of big data research: What should stay and what should be reformed?. BMC Med Ethics 22, 51 (2021). https://doi.org/10.1186/s12910-021-00616-4.

[4] https://data.consilium.europa.eu/doc/document/PE-85-2021-INIT/en/pdf

[5] https://digital-strategy.ec.europa.eu/en/library/data-act-proposal-regulation-harmonised-rules-fair-access-and-use-data

[6] https://ec.europa.eu/health/ehealth-digital-health-and-care/european-health-data-space_en

[7] As confirmed by the Marseille Declaration on International Cooperation in Research and Innovation of 8 March 2022, and reflected as priority of the European Research Area Policy Agenda for 2022-2024.

[8] Floridi, L. The European Legislation on AI: a Brief Analysis of its Philosophical Approach. Philos. Technol. 34, 215–222 (2021). https://doi.org/10.1007/s13347-021-00460-9.

[9] EUR-Lex - 52021PC0206 - EN - EUR-Lex (europa.eu)

[10] For health research, a notable example of a Benchmarking Tool for ethics oversight has been developed by the WHO. See https://cdn.who.int/media/docs/default-source/ethics/who-benchmarking-tool_research-ethics-oversight_draft-for-consultation-26-nov-2021.pdf?sfvrsn=ed34a0ec_5

[11] https://ec.europa.eu/education/education-in-the-eu/digital-education-action-plan_en

[12] Detailed information of the mentioned EU-funded projects can be found on CORDIS website: https://cordis.europa.eu/

[13] http://eneri.eu/

[14] https://embassy.science/

Destination & Scope

Introduction

Horizon Europe has a new level of ambition – to maximise the impact of the European Union's research and innovation funding for European science, the economy and the wider society. It marks a paradigm change in the design of the European R&I framework programmes (FP) from an activity-driven to an impact-driven programme. Coupled to this ambition is the relaunch of the European Research Area (ERA) as described in the Commission Communication “A new ERA for Research and Innovation” (COM/2020/628 final of 30.09.2020).

The COVID-19 pandemic demonstrated the importance of R&I cooperation to provide solutions to society’s most demanding needs. With the priority on delivering Europe’s recovery as well as on the green and digital twin transitions, a new level of ambition, linking R&I better with the economy, and with education and training, is needed to match these challenges and put scientific knowledge to work.

The new ERA calls for deepening existing priorities and creating new initiatives by strengthening the mobility of researchers and the free flow of knowledge and technology, to improve access to excellence, boost market uptake and prioritise investment and reform. Working together has been the philosophy of the ERA since its launch; however, the green and digital transitions and the COVID recovery call for more and closer cooperation between the Commission, the Member States and stakeholders. They require the setting of new priorities, launching ambitious joint initiatives and developing common approaches between policies.

To address these requirements, Destination 3 of part 11 of the Horizon Europe work programme will support efforts to reform and enhance the European R&I system. Destination 3 is built around four strands corresponding to the four objectives set out in the ERA Communication:

  1. Prioritising investments and reforms in research and innovation;
  2. Improving access to excellence, progressing towards excellence across the whole EU and striving for stronger research and innovation systems;
  3. Translating R&I results into the economy to meet the digital and green transition objectives, and boost the resilience and competitiveness of our economies and societies;
  4. Deepening the ERA, to further progress the free circulation of knowledge and to ensure an upgraded, efficient and effective R&I system.

The principle of excellence, meaning that the best researchers with the best ideas that offer the best solutions to the societal challenges obtain funding, remains the cornerstone for all investments under the ERA.

Strand 1 recognises the importance of prioritising investments and reforms to accelerate the green and digital transformation and to increase competitiveness as well as the speed and depth of the recovery. It offers support for policy-makers and addresses the need for better analysis and evidence, including simplifying and facilitating the inter-play between national and European R&I systems.

Strand 2 addresses the need to improve access to excellence and to increase the performance of R&I systems, building on dedicated Horizon Europe measures as well as complementarities with smart specialisation strategies under the Cohesion Policy.

Strand 3 focuses on the importance of translating R&I results into the economy. R&I policies should aim to boost the resilience and competitiveness of our economies and societies.

Strand 4 addresses the challenge of deepening the ERA and includes Open Science, Higher Education and Researchers, Citizen Science, Science Education, Gender and Ethics. It aims at underpinning a new ERA benefitting from knowledge creation, circulation and use. This empowers higher education institutions and research organisations to embrace a transformative process; where a highly skilled workforce can circulate freely; and where research outputs are shared; where gender equality is assured; where the outcomes of R&I are understood, trusted and increasingly used, by educated informed scientists and citizens to the benefit of society.

Expected impact:

Proposals for topics under this Destination should set out a credible pathway to contributing to the following expected impacts, focussing on those that are most relevant to the respective topic:

  1. Reform and enhance of the European R&I system;
  2. Prioritisation of investments and reforms, accomplish the recovery and the twin transitions;
  3. Improved access to excellence;
  4. High quality scientific production and stronger translation of R&I results into the economy;
  5. Deepen the ERA;
  6. Coordinated national and regional R&I programmes by pooling national resources and contributing to the alignment of national research and innovation policies;
  7. Improved knowledge for policy making about the networking patterns of research support staff and research management;
  8. Synergies between research & innovation and higher education policies and programmes;
  9. Modernised higher education sector, adressing higher education, research, and innovation;
  10. Increased number of interconnected knowledge ecosystems, strong in knowledge creation, circulation and use;
  11. Researchers benefitting from attractive careers;
  12. Inclusive gender equality is promoted in the European research and innovation system;
  13. A more open and inclusive research and innovation system;
  14. Increased capacity in the EU R&I system to conduct open science and to set it as a modus operandi of modern science;
  15. Increased engagement of citizens with research and innovation;
  16. Increased alignment of strategic research with societal needs, expectations and values;
  17. Identify synergies between second and third level education, and between education and business;
  18. Increased trust in science and R&I outcomes, and greater two-way communication between science and society;
  19. Knowledge and a highly skilled workforce circulate freely;
  20. Improved capacities within the EU R&I system to conduct open science.

Eligibility & Conditions

General conditions

General conditions

1. Admissibility conditions: described in Annex A and Annex E of the Horizon Europe Work Programme General Annexes

Proposal page limits and layout: described in Part B of the Application Form available in the Submission System

2. Eligible countries: described in Annex B of the Work Programme General Annexes

3. Other eligibility conditions: described in Annex B of the Work Programme General Annexes

4. Financial and operational capacity and exclusion: described in Annex C of the Work Programme General Annexes

  • Award criteria, scoring and thresholds are described in Annex D of the Work Programme General Annexes

  • Submission and evaluation processes are described in Annex F of the Work Programme General Annexes and the Online Manual

  • Indicative timeline for evaluation and grant agreement: described in Annex F of the Work Programme General Annexes

Beneficiaries will be subject to the following additional dissemination obligations:

Proposals must include structured cooperation with the e-platform Embassy of Good Science[[www.embassy.science]] (including the necessary technical aspects), and the European Networks ENERI (European Network of Research Ethics Committees and Research Integrity Offices)[[http://eneri.eu/]].

The output material of the action must be made available on the e-platform Embassy of Good Science.

6. Legal and financial set-up of the grants: described in Annex G of the Work Programme General Annexes

 

Specific conditions

7. Specific conditions: described in the specific topic of the Work Programme

 

Support & Resources

Online Manual is your guide on the procedures from proposal submission to managing your grant.

Horizon Europe Programme Guide contains the detailed guidance to the structure, budget and political priorities of Horizon Europe.

Funding & Tenders Portal FAQ – find the answers to most frequently asked questions on submission of proposals, evaluation and grant management.

Research Enquiry Service – ask questions about any aspect of European research in general and the EU Research Framework Programmes in particular.

National Contact Points (NCPs) – get guidance, practical information and assistance on participation in Horizon Europe. There are also NCPs in many non-EU and non-associated countries (‘third-countries’).

Enterprise Europe Network – contact your EEN national contact for advice to businesses with special focus on SMEs. The support includes guidance on the EU research funding.

IT Helpdesk – contact the Funding & Tenders Portal IT helpdesk for questions such as forgotten passwords, access rights and roles, technical aspects of submission of proposals, etc.

European IPR Helpdesk assists you on intellectual property issues.

CEN-CENELEC Research Helpdesk and ETSI Research Helpdesk – the European Standards Organisations advise you how to tackle standardisation in your project proposal.  

The European Charter for Researchers and the Code of Conduct for their recruitment – consult the general principles and requirements specifying the roles, responsibilities and entitlements of researchers, employers and funders of researchers.

Partner Search Services help you find a partner organisation for your proposal.

 

Latest Updates

Last Changed: April 21, 2023

Call HORIZON-WIDERA-2023-ERA-01 has closed on the 09th of March 2023.

45 proposals have been submitted.

The breakdown per topic is:

  • HORIZON-WIDERA-2023-ERA-01-01​:   3​ proposals
  • HORIZON-WIDERA-2023-ERA-01-02​:   2​ proposals
  • HORIZON-WIDERA-2023-ERA-01-03​:   6​ proposals
  • HORIZON-WIDERA-2023-ERA-01-04​:   1​ proposal
  • HORIZON-WIDERA-2023-ERA-01-05​:   1​ proposal
  • HORIZON-WIDERA-2023-ERA-01-06​:   6​ proposals
  • HORIZON-WIDERA-2023-ERA-01-07​:   2​ proposals
  • HORIZON-WIDERA-2023-ERA-01-08​:   10​ proposals
  • HORIZON-WIDERA-2023-ERA-01-09​:   4​ proposals
  • HORIZON-WIDERA-2023-ERA-01-10​:   5​ proposals
  • HORIZON-WIDERA-2023-ERA-01-11​:   1​ proposal
  • HORIZON-WIDERA-2023-ERA-01-12​:   4​ proposals

Evaluation results are expected to be communicated in July 2023.

Last Changed: December 6, 2022
The submission session is now available for: HORIZON-WIDERA-2023-ERA-01-03(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-07(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-11(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-08(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-04(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-05(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-01(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-06(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-02(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-09(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-10(HORIZON-CSA), HORIZON-WIDERA-2023-ERA-01-12(HORIZON-CSA)
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