Institutional changes towards responsible research and innovation : achievements in Horizon 2020 and recommendations on the way forward.
Date: 2020-07-21
Institutions: Directorate-General for Research and Innovation
Subjects: civil society, gender equality, innovation, open science, report, research integrity, research project, research results

Institutional changes  
towards responsible
research and innovation
Achievements in Horizon 2020 
and recommendations on the way forward

Research and 
Innovation 

Institutional changes towards responsible research and innovation - Achievements in Horizon 2020 and recommendations on the way forward

European Commission
Directorate-General for Research and Innovation
Directorate G — Research & Innovation Outreach
Unit G.2 - Academic R&I and Research Organisations
Contact   Apostolia KARAMALI
Email  
              RTD-PUBLICATIONS@ec.europa.eu

Apostolia KARAMALI@ec.europa.eu 

European Commission
B-1049 Brussels

Research Executive Agency
Directorate B - Industrial Leadership and Societal Challenges
Unit B.5 - Spreading Excellence, Widening Participation, Science with and for Society
Contact   Ales FIALA
Email  

Ales.FIALAI@ec.europa.eu 

Manuscript completed in June 2020. 

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EUROPEAN COMMISSION

Institutional changes  
towards responsible
research and innovation

Achievements in Horizon 2020 
and recommendations on the way forward

Written by: 
Niamh Delaney and Raluca Iagher

Edited by:
Zeno Tornasi and Niamh Delaney

2020

Directorate-General for Research and Innovation
Science with and for society 

           
TABLE OF CONTENTS 

EXECUTIVE SUMMARY ................................................................................................... 4 

INTRODUCTION ............................................................................................................ 6 

0.  METHODOLOGICAL NOTE ...................................................................................... 10 

Data sources ........................................................................................................ 10 

Analytical approach............................................................................................... 11 

1.  OVERVIEW OF SWAFS IMPLEMENTATION IN HORIZON 2020 ...................................... 12 

1.1.  Evaluation process....................................................................................... 12 

1.2.  Project implementation ................................................................................ 16 

2. 

INSTITUTIONAL CHANGES TOWARDS RESPONSIBLE RESEARCH AND INNOVATION ...... 17 

2.1.  Policy objectives .......................................................................................... 17 

2.2.  Project portfolio .......................................................................................... 19 

2.3.  Achievements ............................................................................................. 23 

2.4.  Recommendations ....................................................................................... 32 

CONCLUDING REMARKS ............................................................................................... 34 

GLOSSARY .................................................................................................................. 36 

LIST OF COUNTRY CODES ............................................................................................. 37 

BIBLIOGRAPHY ............................................................................................................ 38 

2 

 
 
LIST OF TABLES 

Table 1: Number of SwafS projects in Horizon 2020, as of 15/07/2020 ............................... 11 
Table 2: SwafS proposals data in Horizon 2020 ............................................................... 13 

Table  3:  Institutional  changes  in  Research  Funding  and  Performing  Organisations  and  Higher 

Education Institutes RRI project portfolio ........................................................................ 20 
Table 4: Institutional changes in industry RRI project portfolio .......................................... 21 
Table 5: Institutional changes in territorial governance RRI project portfolio ........................ 21 
Table 6: Knowledge base RRI project portfolio ................................................................. 22 
Table 7: Examples of institutional changes in the RRI dimensions ...................................... 22 

LIST OF FIGURES 

Fig. 1: Evolution of budget allocated to ‘Science with and for Society’ in EU FPs .................... 6 
Fig. 2: Applicants for SwafS-2019 single call for proposals ................................................ 14 
Fig. 3: Number of coordinators in Member States (MS) and Associated Countries (AC) ......... 19 

Fig. 4: Number of other partners in Member States (MS) and Associated Countries (AC) ....... 19 

Fig. 5: Number of partners in Third Countries (TC) ........................................................... 20 

Fig. 6: Number of institutional changes produced by 12 RRI projects in Member States (blue), 

Associated Countries (green) and Third Countries (red). ................................................... 23 

Fig. 7: Number of institutional changes produced by 12 RRI projects in the RRI dimensions. . 24 

3 

 
 
ACKNOWLEDGEMENTS 

This  document  reports  on  the  Horizon  2020  Science  with  and  for  Society  (SwafS),  Responsible 
Research and Innovation (RRI) project portfolio results. Thus, the first to acknowledge are all the 
scientists and researchers involved, ensuring excellent research.  

The  report  was  prepared  with  the  support  of  Federica  Roffi,  Deirdre  Furlong,  Pepa  Krasteva, 
Cristina  Marcone,  Christopher  Niehaus,  Yiannis  Vacondios,  Sylvia  Osipof,  Agne  Dobranskyte-
Niskota, Antonio Scarafino, Colombe Warin, Roberta Monachello, David Pina and Wilco Graafmans 
from  the  Research  Executive  Agency  (REA);  and  Michael  Arentoft,  Linden  Farrer,  Aleksandra 
Hebda,  Cécile  Maréchal,  Michèle  Magermans,  Vasiliki  Kosiavelou  and  Vanessa  Monnet  from  DG 
Research and Innovation (DG R&I). 

4 

 
 
 
 
 
 
EXECUTIVE SUMMARY 

Research and innovation are essential to finding solutions to the pressing challenges we 
face. It requires opening up the research and innovation system to the participation and 
collective intelligence  of  society,  embedding  high  integrity  and  ethics  standards,  raising 
interest in science, and supporting Europe’s brightest minds engage in scientific careers. 
Put simply, Europe cannot thrive without ensuring the best possible match between the 
immense  potential  achievements  science  has  to  offer  and  the  needs,  values  and 
aspirations of citizens.  

The  objective of this report is to  convey the achievements  of  the Responsible Research 
and Innovation (RRI) projects funded under the Science with and for Society (hereinafter 
referred  to  as  SwafS)  part  of  Horizon  2020.  Its  purpose  is  to  serve  as  input  for  the 
preparation of the Horizon Europe programme implementation.  

Overview of SwafS Implementation in Horizon 2020 

A budget of EUR 462 million was earmarked for SwafS in Horizon 2020. Close to 2,000 
proposals  submitted  in  response  to  the  annual  calls  for  proposals,  conveys  strong 
interest in SwafS matters.  

The  annual  evaluations  are  deemed  to  be  highly  robust.  So  far,  they  resulted  in  150 
funded projects and close to 50 more projects are expected to stem from the final calls 
under  Horizon  2020.  Since  the  start  of  this  Framework  Programme,  REA  Unit  B.5 
manages the projects. SwafS projects are typically composed of large consortia with an 
average of 11 partners and tend to run for around 3 years.  

Institutional Changes towards Responsible Research and Innovation  

The  Responsible  Research  and  Innovation  (RRI)  approach  supported  by  the  European 
Commission  since  2011  encourages  societal  actors  to  work  together  during  the  whole 
research  and  innovation  (R&I)  process  to  better  align  R&I  and  its  outcomes  with  the 
values,  needs  and  expectations  of  society.  RRI  topics  have  been  geared  towards 
establishing  institutional  changes  in  higher  education  institutes,  research  funding  and 
performing  organisations,  industry,  SMEs,  as  well  as  local  and  regional  authorities, 
opening  them  up  to  closer  co-operation  with  citizens  and  civil  society.  After  analysing 
where  organisations  stand  in  terms  of  existing  RRI  practices,  projects  drafted  action 
plans to support the implementation of institutional changes intended to last beyond the 
lifetime of project funding.  

Projects  focused  on  implementing  institutional  changes  in  research  funding  and 
performing  organisations,  higher  education  institutions,  as  well  as  research  and 
technology  organisations  in  terms  of  their  governance  systems  related,  for  instance,  to 
ethics, open science, citizen engagement and gender equality. Industry-focused projects 
produced  practical  tools and  highlighted  promising  practices  to  enable  the  development 
of  innovative  products  and  services  that  directly  address  societal  needs  while 
contributing  to  environmental  and  economic  sustainability.  The  territorial  portfolio  of 
projects  supports  around  10  per  cent  of  all  EU  regions  to  develop  more  open  and 
collaborative  approaches  to  society  by  taking  a  Responsible  Research  and  Innovation 
approach.  Many  of  the  projects  from  across  this  portfolio  have  taken  disciplinary  or 
sectoral approaches (e.g. focused on marine research institutes, the biosciences, or de-
industrialising regions), suggesting  that drawing on common links can foster productive 
environments for conceptualisation and implementation of institutional changes.  

Furthermore,  RRI  projects  produced  an  array  of  invaluable  resources  for  organisations 
intending  to  implement  RRI  practices.  Embedding  RRI  and  implementing  structural 
changes  in  the  European  R&I  landscape  requires  building  a  strong  evidence  base, 
disseminating  tools  and  practices,  supporting  networks  of  practitioners,  and  effectively 

5 

 
 
monitoring  progress  towards  goals.  For  instance,  FP7’s  MoRRI  project  implemented  the 
first  RRI  monitoring  system  in  Europe  and  its  successor  Supper_MoRRI,  supported  by 
SwafS, builds on this work. The portfolio of RRI projects as a whole is marked by a high 
level  of  global  collaboration,  helping  influence  the  development  of  policies  at  national 
level  and  raising  the  EU’s  profile  as  a  global  R&I  actor.  The  ‘Pathways  declaration’ 
emerging  from  one  of  the  projects,  signed  by  more  than  13  projects,  called  for  RRI  to 
remain a central objective in EU R&I and for the EU to continue to pursue its leading role 
in this effort.  

Concluding remarks 

Since  2014,  the  projects  funded  under  ‘Science  with  and  for  Society’  contributed  to  its 
primary  aims  set  out  in  the  EU  Regulation  establishing  Horizon  2020,  notably  to 
effectively build cooperation between science and society, recruit new talent for science 
and  pair  scientific  excellence  with  social  awareness  and  responsibility.1  One  of  the  key 
ways  of  working  towards  these  three  SwafS  objectives,  and  ensuring  impact,  is  the 
implementation  of  institutional  changes2  in  beneficiaries  reflected  in  the  SwafS  Key 
Performance  Indicator:  ‘Percentage  of  research  organisations  funded  implementing 
actions  to  promote  Responsible  Research  and  Innovation,  and  number  of  institutional 
change measures adopted as a result’.3 

The  results  of  a  sample  of  twelve  RRI  projects  revealed  that  almost  250  individual 
institutional change actions are implemented or in the process of being implemented by 
this  part  of  the  SwafS  portfolio.4  Added  to  this,  is  the  pioneer  of  institutional  changes, 
the Gender Equality Plans (GEPs), with 130 institutions (78%) having implemented or in 
the process of implementing a GEP.  

SwafS  will  well  and  truly  surpass  its  target  of  100  institutional  changes  in  beneficiaries 
by the end of Horizon 2020. 

Consequently,  SwafS  stakeholders  are  in  an  excellent  position  to  take  a  leading  role  in 
institutional  transformation.  In  conclusion, 
supporting  other  entities  envisaging 
inclusiveness  on  all  levels  underpins  SwafS.  RRI  dimensions  (gender,  open  access, 
science  education,  ethics  and  public  engagement),  must  be  part  of  how  research  and 
innovation  is  realised  in  all  domains  as  well  as  its  implications  for  governance.  Horizon 
Europe  needs  to  leverage  SwafS  know-how  and  tap  into  the  vast  potential  citizens  and 
society have to  offer and  continue to ensure  effective  cooperation between  science and 
society. 

1 Regulation (EU) No 1291/2013 of the European Parliament and of the Council establishing Horizon 2020 
2  An  institutional  change  is  a  change  (with  meaningful  impact)  in  terms  of  how  a  beneficiary  governs  or  structures  itself  in 
relation to any of the RRI dimensions (public engagement, open access, gender, ethics, science education), and lasts beyond 
the lifetime of project funding. 
3 Horizon 2020 indicators 
4 This data collection exercise did not cover projects dedicated to gender equality, ethics, or open access/open data, which, to 
various degrees, focus also on institutional changes. 

6 

 
 
                                                 
INTRODUCTION    

The  Commission  working  paper  in  November  2000  ‘Science,  Society  and  the  Citizen  in 
Europe’  established  the  basis  for  the  debate  on  the  relationship  of  science  and 
technology  with  society.  On  26  June  2001,  European  research  ministers  adopted  a 
resolution  on  ‘science  and  society  and  on  women  in  science’  inviting  both  EU  Member 
States  and  the  European  Commission  to  become  more  active  in  bringing  science  and 
society closer. As a response to the June 2001 invitation, in December 2001 the ‘Science 
and  Society’  Action  Plan  was  launched  to  set  out  a  common  strategy  to  make  a  better 
connection between science and European citizens.  

The  'Science  and  Society'  theme  under  ‘Structuring  the  ERA’  in  the  Sixth  Framework 
Programme (FP6) became the first ever initiative of its kind on a European scale. With a 
budget  of  EUR  88  million,  its  goal  was  to  increase  society’s  acceptance  of  and 
engagement with science and to rectify gender imbalances in research. The Science and 
Society  projects  supported  a  wide  range  of  studies  and  participatory  events  in  areas 
including gender, ethics, young people and scientific participation.5  

In  2007,  under  the  7th  Framework  Programme  for  Research  and  Technological 
Development  (FP7),  ‘Science  and  Society’  became  ‘Science  in  Society  (SiS)’  with  the 
main objective to foster public engagement and a  sustained two-way  dialogue between 
science  and  civil  society.  Its  budget  almost  tripled  to  280  million  euros.  183  projects 
were  funded  with  an  average  EC  contribution  of  1.6  million  euros.  SiS  demonstrated  a 
clear  European  added  value  addressing  science  and  society-relevant  issues  such  as 
governance,  ethics,  public  participation,  awareness  raising,  gender  equality,  science 
education, open access to data, as well as dissemination of research and innovation.6 

In 2012, the Communication on a reinforced  ERA, included gender  equality and gender 
mainstreaming in R&I as one of its five core priorities.7 

Fig. 1: Evolution of budget allocated to ‘Science with and for Society’ in EU FPs 

5  Report  of  the  Expert  Group:  Evaluation  of  the  Sixth  Framework  Programmes  for  research  and  technological  development  

2002-2006 

6 Study 'Commitment and coherence: Ex‐post‐evaluation of the 7th EU Framework Programme (2007‐2013)' 
7 COM(2012) 392 final ‘A Reinforced European Research Area Partnership for Excellence and Growth’  

7 

 
 
                                                 
In  parallel,  SiS  led  to  the  development  of  a  concept  reconciling  the  aspirations  and 
ambitions  of  European  citizens  and  other  Research  and  Innovation  actors  and  towards 
the end of FP7, lessons learnt gave birth to an approach known as Responsible Research 
and  Innovation  (RRI),  which  was,  on  21  November  2014,  enshrined  in  the  Rome 
Declaration.  

Under  such  a  framework,  all  societal  actors  (researchers,  citizens,  policy  makers, 
businesses,  civil  society  organisations,  etc.)  work  together  during  the  whole  Research 
and Innovation process in order to better align both the process and its outcomes, with 
the  values,  needs  and  expectations  of  European  society8.  In  practice,  RRI9  is 
implemented as a package, aiming to better engage society in Research and Innovation 
activities,  enabling  easier  access  to  scientific  results,  favouring  a  better  uptake  of  the 
gender  and  ethics  dimensions  in  Research  and  Innovation  content,  and  spreading  good 
practices in formal and informal education in science. 

This  concept  of  Responsible  Research  and  Innovation  (RRI)  was  tested  and  promoted 
during the last years of FP7. While RRI activities are concentrated in the ‘Science and/in 
Society’ parts, the intention was for the principles of RRI to be integrated into the overall 
research strategy across the Framework Programme.  

The ex-post evaluation of FP7 found that future Framework Programmes should involve 
citizens  and  civil  society  organisations  more  substantially.  They  should  engage  citizens 
and stakeholders in a dialogue about the purpose and benefits of research and the way it 
is  conducted,  create  incentives  for  science  communication  and  support  more  strategic 
measures of communication addressing different audiences, foster the linkages between 
researchers, citizens and policy makers.  

It  recognised  that  citizen  involvement  in  European  research  projects  aims  at increasing 
trust,  acceptance,  and  ownership  of  research,  a  positive  perception  of  science,  better 
adoption  of  new  knowledge  and  innovations,  and  improving  relevance  and  creativity  of 
research outcomes.10  

Following on from this, Horizon 2020 includes a dedicated  part on ‘Science with and for 
Society’. Its overall aim is to build effective cooperation between science and society, to 
recruit new talent for science and to pair scientific excellence with social awareness and 
responsibility.11  SwafS  has  grown  substantially  to  reach  EUR  462  million  (see  Fig.  1: 
Evolution  of  budget  allocated  to  ‘Science  with  and  for  Society’  in  EU  FPs),  giving leverage  to  put  RRI 
and all its dimensions into practice in Europe,  notably through 'institutional changes' (a 
concept  which  was  first  piloted  with  Gender  Equality  Plans  under  FP7)  in  research  and 
innovation  organisations.  In  parallel,  gender,  RRI,  and  social  sciences  and  humanities 
became cross-cutting issues promoted throughout the Horizon 2020 programme.12 

New  innovations  are  essential  to  Europe's  international  competitiveness.  Europe  cannot 
thrive  without  including  citizens  in  the  process  of  ensuring  the  best  match  possible 
between the immense potential achievements of science, and the needs and aspirations 
of society. 

It is essential to realise societally robust  science and innovation policy in the context of 
the  European  Research  Area  (ERA)  and  Innovation  Union.  The  interim  evaluation  of 
Horizon  2020  conveys  that  ‘Science  with  and  for  Society’  is  highly  relevant  to  the

8 Brochure ‘Responsible Research and Innovation: Europe's ability to respond to societal challenges’ 
9 The five dimensions of Responsible Research and Innovation are gender equality, science education, open access/open data, 

public engagement, and ethics. 

10 Study 'Commitment and coherence: Ex‐post‐evaluation of the 7th EU Framework Programme (2007‐2013)' 
11 Regulation (EU) No 1291/2013 of the European Parliament and of the Council establishing Horizon 2020 
12 European Commission website for SwafS  

8 

 
 
                                                 
overarching challenges facing Europe and calls for greater support for citizen science and 
user-led innovation.13 

In  response  to  this,  Horizon  Europe  places  citizens  at  its  core.  Like  for  FP6,  where  the 
programme was embedded in ‘Structuring the ERA’, ‘Science with and for Society’ will be 
embedded in the ‘Strengthening the European Research Area - Reforming and Enhancing 
the  European  R&I  system’.  According  to  the  legal  basis  establishing  the  framework  for 
Horizon  Europe,  ‘this  part  will  also  include  activities  on:  […]  modernising  European 
universities;  supporting  enhanced  international  cooperation;  and  science,  society  and 
citizens’.14  

The  Horizon  Europe  Impact  Assessment  report  states  that  the  SwafS  part  on 
to 
'Accelerating  and  catalysing  processes  of 
implementing  the  RRI  keys  (public  engagement,  science  education,  ethics  including 
research  integrity,  gender  equality,  and  open  access)  through  institutional  governance 
changes  in  Research  Funding  and  Performing  Organisations  (RFPOs)  in  an  integrated 
way.  

institutional  change'  contributes 

Results  contribute  to  the  implementation  of  ERA  priorities,  a  greater  involvement  of  all 
stakeholders in R&I, and a better and more sustainable engagement with society. Under 
Horizon  2020,  the  key  performance  indicator  for  SwafS  is  the  number  of  institutional 
change  actions  which  are  analysed  notably  under  the  RRI  chapter.  This  will  be  a  key 
bridge for SwafS as it moves into Horizon Europe. 

The  Horizon  Europe  legal  basis  sets  out  the  aim  of  deepening  the  relationship  between 
science  and  society,  maximising  benefits  of  their  interactions  through  gender  equality 
plans,  diversity  and  inclusion  strategies,  and  comprehensive  approaches  to  institutional 
changes. It calls on the future Framework Programme to engage and involve citizens and 
civil  society  organisations  in  co-designing  and  co-creating  responsible  research  and 
innovation  agendas  and  content,  promoting  science  education,  making  scientific 
knowledge  publicly  accessible,  facilitating  participation  by  citizens  and  civil  society 
organisations  in  its  activities  and  promoting  gender  equality  and  strengthening  the 
gender  dimension.  It  should  do  so  both  across  the  programme  and  through  dedicated 
activities under the 'Strengthening the European Research Area' part.  

The  engagement  of  citizens  and  civil  society  in  research  and  innovation  should  be 
coupled with public outreach activities to generate and sustain public support for Horizon 
Europe.  The  programme  should  also  seek  to  remove  barriers  and  boost  synergies 
between science, technology, culture and the arts to obtain a new quality of sustainable 
innovation, as well as support an inclusive approach to gender equality in research and 
innovation.15 

Further enriching the debate in the run-up to the start of Horizon Europe are two reports 
on  mission-oriented  R&I,  authored  by  Mariana  Mazzucato,  which  provide  directions  for 
how  co-design,  co-creation,  and  citizen  involvement  in  implementation  can  play  key 
roles in responding to the challenges of our times.16,17  

The  ERA cannot grow in a sound manner without citizens at its core  embracing science 
education  for  all,  promoting  gender  equality  in  our  organisations,  integrating  ethical 
aspects  in  the  research  design  phase  and  further  developing  a  coherent  EU  ethics  and 
integrity  framework,  opening  up  research  and  innovation  to  collective  intelligence  and 

13 Interim evaluation of H2020  
14 COM/2018/435 final 'Proposal for a regulation of the European Parliament and of the Council establishing Horizon Europe' 
15 See supra note 14 
16 'Mission-oriented Research & Innovation in the European Union', by Mariana Mazzucato 
17 Governing Missions in the European Union, by Mariana Mazzucato 

9 

 
 
                                                 
capabilities,  building  trust  in  science  through  targeted  communication  and  ultimately 
ensuring citizens are an integral part of the process to ensure better R&I. 

The  objective of this report is to  convey the achievements  of  the Responsible Research 
and  Innovation  projects  funded  under  SwafS  in  Horizon  2020  to  serve  as  input  for  DG 
Research  and  Innovation  for  Horizon  Europe,  both  across  the  future  Framework 
Programme  and  in  the  first  work  programmes  falling  under  the  'Strengthening  the 
European Research Area' part. 

The report commences with an outline of the methodological aspects of the analysis (the 
frame  for  the  analysis,  data  sources,  the  analytical  approach  and  its  limitations).  The 
first chapter presents an overview of SwafS implementation in Horizon 2020 in terms of 
both the evaluation process and project implementation. The core of the report presents 
the  Responsible  Research  and  Innovation  policy  objectives,  analyses  the  projects’ 
achievements and puts forward recommendations for the future Framework Programme. 
The  final  chapter  presents  concluding  remarks  as  a  complement  to  the  highlights 
outlined in the executive summary.  

At  the  time  of  writing  this  report,  the  COVID-19  pandemic,  came  to  the  fore  with 
Member States going into lockdown, resulting in citizens across the EU being obliged to 
stay  at  home.  There  was  an  imminent  need  for  effective  online  tools  and  many  SwafS 
projects  adopted  contingency  measures  notably  moving  from  physical  to  an  online 
format for project activities in order to sustain the bridge between  science and  society.

10 

 
 
0.  METHODOLOGICAL NOTE 

Data sources

Calls for proposal: From the start of Horizon 2020 in 2014 until 2019, projects funded 
under  the  calls  foreseen  in  the  respective  SwafS  work  programmes  are  included  in  the 
analysis (note that the calls dedicated to National Contact Points and those managed by 
DG  R&I,  featuring  under  the  ‘other  actions’  section  of  the  work  programmes  are 
excluded): 

Year 
2014 

2015 

2016 

2017 

2018 

2019 

2020 

Call 

ISSI (1 topic): ISSI-5-2014; GARRI (1 topic): GARRI-1-2014  
ISSI (3 topics): ISSI-3-2015, ISSI-4-2015, ISSI-5-2015;  GARRI (1 
topic): GARRI-2-2015 
Single call (2 topics): SwafS-04-2016, SwafS-09-2016 
Single call (4 topics): SwafS-05-2017, SwafS-06-2017, SwafS-12-
2017, SwafS-14-2017 
Two-stage call (1 topic): SwafS-20-2018-2019; Single call (3 
topics)18: SwafS-14-2018-2019-2020, SwafS-21-2018, SwafS-22-
2018 
Two-stage call (1 topic)19: SwafS-20-2018-2019; Single call (2 
topics): SwafS-05-2018-2019, SwafS-14-2018-2019-2020 
Single call (2 topics)20: SwafS-14-2018-2019-2020, SwafS-31-2020 

Projects: The projects included are those funded under the calls listed in Table 1: Number 
of RRI projects in Horizon 2020, as of 15/07/2020. In terms of data sources, the Grant Agreement 
notably the Description of Action, project deliverables, review reports, project web sites, 
project  policy  briefs  as  well  as  input  from  REA  Project  Officers  over-seeing  the 
implementation of the projects have been the basis of the analysis. 

Reports:  Horizon  2020  legal  basis,  annual  work  programmes,  Interim  evaluation  of 
Horizon 2020, Impact Assessment for Horizon Europe are the primary references. Other 
relevant documents are referenced directly in the respective chapters. 

Feedback  from  the  evaluation:  Some  recommendations  made  by  experts  during  the 
panel meetings and the independent observers in their reports are also included. 

DG R&I Policy Officers provided input in terms of key reference documents as well as 
the  objectives  of  the  respective  themes  and  gave  feedback  on  the  draft  chapters.

18 Includes SwafS-22-2018 topic on Outermost Regions managed by DG R&I 
19  Grant  Agreement  Preparation  on-going  at  the  time  of  writing  this  report  so  these  projects  have  not  been  included  in  the 

report. 

20 Evaluation still to be carried out at the time of writing this report. 

11 

 
 
 
 
 
 
 
                                                 
Table 1: Number of RRI projects in Horizon 2020, as of 15/07/2020 

               SwafS theme 

# of projects 

Finished 

Running (at least 1 review held) 

Running (1st review to be completed) 

Just started (Q4 2019 / Q1 2020) 

TOTAL GAs signed, as of 15/05/2020 

Forecast of 2019 2-stage21 & 2020 calls 

TOTAL H2020 

RRI 

12 

8 

7 

8 

35 

12 

47 

Analytical approach 

The  approach  to  the  analysis  is  qualitative.  Whenever  possible,  quantitative  data  has 
been included. 

The analysis is primarily based on first-hand data on the currently running or completed 
projects  under 
the  Horizon  2020  Framework  Programme.  Each  project  was 
systematically  assessed  including  the  website,  review  reports  and  key  deliverables. 
Deliverables  singled  out  in  the  report  are  those  deemed  to  be  particularly  pertinent  by 
the  project  consortia  (highlighted in  project  website)  and/or  by  the  independent  expert 
involved  in  the  project  review  and  responsible  REA  Project  Officer  (highlighted  in  the 
review  report).  Policy  and  other  pertinent  reports  have  been  consulted  in  order  to 
integrate this analysis in a broader perspective. 

In  the  project  portfolio  table  and  maps,  a  distinction  is  made  between  the  coordinator 
(i.e. the entity coordinating the project consortium) and other partners. Note that ‘other 
partners’  includes  project  beneficiaries  that  are  signatory  to  the  grant  agreement  and 
does  not  include  other  entities  e.g.  third  parties,  that  may  be  involved  in  project 
activities.  

Finally, note that the project budget corresponds to the requested EU contribution. 

Limits of the analysis  

The main limitation of this study lies in the lack of complete data as many projects have 
not  yet  concluded.  The  analysis  was  carried  out  prior  to  the  2020  evaluation,  projects 
resulting  from  the  2019  call  commenced  close  to  the  time  of  drafting  this  report  and 
those  funded  following  the  2018  call  had  not  yet  been  subject  to  their  first  review. 

21 Grant agreement preparation is on-going for four projects selected for funding for the SwafS-2019 stage-2 topic which are 

not included in this report.  

12 

 
 
          
 
                                                 
1.  OVERVIEW OF SWAFS IMPLEMENTATION IN HORIZON 2020 

1.1.  Evaluation process  

Since  the  start  of  Horizon  2020,  SwafS  has  organised  calls  for  proposal  on  an  annual 
basis. 

As  indicated  in  the  introduction,  the  underlying  objective  of  all  these  calls  is  to  build 
effective co-operation between science and society; Foster the recruitment of new talent 
for science; Pair scientific excellence with social awareness and responsibility.22 

The Horizon 2020 specific programme23 outlines eight activity lines for SwafS: 

  Attractiveness of scientific careers; 
  Gender equality; 
  Integration of citizens’ interests and values in research and innovation (R&I); 
  Formal and informal science education; 
  Accessibility and use of research results; 
  Governance  for  the  advancement  of  responsible  research  and  innovation  and 

promotion of an ethics framework for research and innovation; 
  Anticipation of potential environmental, health and safety impacts; 
  Improved knowledge on science communication 

For the SwafS WP 2014-2015, four separate calls for proposal were organised each year, 
with a common call deadline, and focused on:  

  Making science education and careers attractive for young people (SEAC);  
  Promoting gender equality in research and innovation (GERI);  
  Integrating society in science and innovation (ISSI);  
  Developing  governance  for  the  advancement  of  responsible  research  and  innovation 

(GARRI)  

As of 2016, the structure of the SwafS work programme moved from four distinct calls to 
individual topics under a single call. Under this new approach, the SwafS WP 2016-2017, 
focused on the following main orientations:  

  Institutional  Change  to  Support  Responsible  Research  and  Innovation  in  Research 

Performing and Funding Organisations 

  Embedding  Responsible  Research  and  Innovation  in  Horizon  2020  Research  & 

Innovation 

  Strengthening the Science with and for Society Knowledge-Base 
  Developing Inclusive, Anticipatory Governance for Research & Innovation 

The  SwafS  WP  2018-2020  focused  on  the  following  five  strategic  orientations: 
Accelerating and catalysing processes of institutional change;  

  Accelerating and catalysing processes of institutional change; 
  Stepping up the support to Gender Equality in Research & Innovation policy;  
  Building the territorial dimension of SwafS partnerships;  

22 Regulation (EU) No 1291/2013 of the European Parliament and of the Council establishing Horizon 2020 
23 See supra note 22 

13 

 
 
 
 
 
                                                 
  Exploring and supporting citizen science, and  
  Building the knowledge base for SwafS. 

Table  2:  SwafS  proposals  data  in  Horizon  2020shows  the  number  of  proposals 
submitted, evaluated and funded as well as the corresponding EC grant amount and the 
volume of evaluation review requests. From the outset, it is clear that there  is a strong 
interest in the SwafS fields peaking in the final year of Horizon 2020 with 407 proposals 
submitted.  

Over the course of Horizon 2020, the pattern tends to be lower submission rates in the 
first  year  of  the  work  programme  compared  to  the  following  year.  Furthermore, 
submission  rates  were  lower  overall  for  the  2016-2017  work  programme  topics 

Table 2: SwafS proposals data in Horizon 2020 

compared  to  the  first  (2014-2015)  and  final  (2018-2020)  work  programmes  in  Horizon 
2020.  In  2020,  the  number  of  proposals  submitted  peaked  with  over  400  consortia 
putting  forward  proposals  and  bringing  the  total  number  of  proposals  submitted  under 
Horizon 2020 up to almost 2,000. 

Looking more closely at the 2019 call, for which the evaluation is completed,  compared 
to  the  previous  year,  the  number  of  proposals  increased  by  56%.  This  call  includes  13 
topics, two of which are subject to a two-stage evaluation (see 1.1.1).   

Science Education remains the most popular topic with the highest number of proposals 
(93).  Meanwhile,  Citizen  Science  is  the  topic  with  the  biggest  growth  in  terms  of 
proposals (78), which more than doubled compared to 2018 (33).  

In  the  2019  call,  approximately  one  third  of  the  topics  identified  international 
cooperation  as  particularly  pertinent  including  one  of  the  gender  topics,  dedicated  to 

14 

 
 
 
 
 
 
dialogue with third countries. With applicants from 85 different countries from continents 
across the globe including Asia, Australia, Africa, South and North America, Science with 
and for Society follows the spirit of ‘open to the world’. Looking at Europe in particular, 
the map below shows, applicants come from right across the continent. 

Applicants represent stakeholders from all parts of the quadruple helix model24, including 
Civil Society Organisations (falling under the ‘other’ category in pie chart above) with the 
relative majority being educational institutes.  

Fig. 2: Applicants for SwafS-2019 single call for proposals 

   EDU Higher or Secondary Education 
   RES  Research Organisations 
   PUB  Public Bodies 
   IND  Industry  
   SME  Small and Medium Enterprise 
   OTH All other entries 

24 The quadruple helix model considers particular services, products and solutions as being co-identified, co-developed and co-
created  through  co-operation  between  industry,  government  (e.g.  policy  makers  and  institutions),  universities  and  society 
(e.g. citizens and Civil Society Organisations (CSOs). 

15 

 
 
 
                                                 
After the 2014 evaluation, DG R&I delegated the management of SwafS to REA Unit B5. 
Since 2015, REA Unit B5 manages the evaluation and implementation of SwafS projects 
and to this end, continues to work in close cooperation with  DG R&I responsible for the 
policy making and drafting of the work programmes.  

In  line  with  Horizon  2020  practices,  three  independent  evaluators  evaluate  each 
proposal, selected for their expertise while the overall panel is well-balanced in terms of 
gender (i.e. at least 40% of males and females), geography and sector of activity. 

With regard to the quality of the evaluation process, independent observers examine the 
fairness  of  the  evaluation  procedure.  In  the  2019  SwafS  evaluation,  the  observer 
reported,  ‘that  the  design,  planning  and  execution  of  the  evaluation  process  was  very 
robust  and  entirely  consistent  with  peer  review  principles  of  transparency,  equality  of 
treatment  and  absence  of  conflicts  of  interest.’  The  evaluators  themselves  echoed  this 
observation in the panel meetings in their invitation to EC services to better publicise the 
robustness of the evaluation procedure. 

A  quantitative  indicator  of  the  quality  of  the  evaluation  is  the  number  of  evaluation 
review requests filed. Applicants may file a complaint on the evaluation of their proposal 
from a procedural point-of-view. Over the course of the last 5 years, 0.8% of applicants 
(12) filed such a complaint.   

An  independent  Evaluation  Review  Committee,  consisting  of  REA  staff  (not  involved  in 
the evaluation) and DG R&I staff, assesses each evaluation review request.  

The outcome shows that for 10 out of the 12 evaluation review requests, the respective 
Evaluation  Review  Committees  found  no  grounds  for  the  complaint.  For  the  remaining 
two  (0.1%),  the  Committees  found  some  grounds  for  the  complaint.  However,  this  did 
not  have  an  impact  in  terms  of  the  proposal’s  possibility  for  funding  and  hence  a  re-
evaluation of the proposal was not required. 

1.1.1.  Two-stage evaluation process 

The aim of the two-stage process is to ease the burden for applicants in the initial stage 
of  the  proposal  preparation  although  the  overall  period  for  the  evaluation  extends  by 
approximately eight months. In stage 1 of the two-stage procedure, applicants submit a 
short  proposal  (maximum  10  pages)  and,  like  the  evaluation  criteria,  focuses  only  on 
'excellence' and part of 'impact', notably in relation to the expected impact statement in 
the work programme. 

Successful  stage-1  proposals  passing  the  thresholds  (see  Annex  H  of  the  General 
Annexes to the  work programme), receive general common feedback and are invited to 
stage-2, which is the same as the single proposal procedure albeit that the full proposal 
must be consistent with the short proposal submitted in stage-1.  

2018 saw the introduction of the two-stage evaluation process for SwafS in view of the 
traditionally over-subscribed topic, science education (3% success rate in 2015).  

For science education, 67 applicants submitted a proposal to stage-1 (call deadline April 
2018)  of  which  15  were  invited  to  submit  a  full  proposal  in  stage-2  (call  deadline 
November  2018),  4  proposals  were  finally  selected  for  funding  (informed  March  2019) 
and projects commenced in summer 2019.  

A new bottom-up topic on ‘building the SwafS knowledge base’ was also included in the 
two-stage call as it was expected that such an open topic would result in a large volume 
of proposals which as it transpired was not the case.  

16 

 
 
 
 
 
1.2.  Project implementation 

SwafS  counts  a  total  budget  of  EUR  462  million  in  Horizon  2020.  Since  the  start  of 
Horizon  2020,  150  projects  have  been  funded  amounting  to  a  total  budget  of  EUR  319 
million,  all  are  managed  by  REA  Unit  B.5  except  for  three  which  are  managed  by  DG 
R&I. 

SwafS  projects  are  typically  composed  of  large  consortia  with  an  average  of 
approximately  11  partners  per  project.  The  duration  tends  to  vary  with  the  shortest 
project  duration  being  2  years  and  the  longest  project  extending  to  5  years  while  the 
average project duration is 3 years.  

In  terms  of  their  nature,  30%  are  Research  and  Innovation  Actions  (RIA)  focused  on 
generating new knowledge while approximately 70% of funded projects are Coordination 
and  Support  Actions  (CSA)  tending  to  focus  on  ‘accompanying  measures’  including  for 
example  networking,  mutual  learning  exercises  and  awareness-raising  type  activities. 
The  exception  is  GENDER-NET  Plus,  an  ERA-NET  COFUND  action,  managed  by  DG 
Research  and  Innovation  which  aims  at  funding  research  projects  promoting  the 
integration of sex and gender analysis into research at an international level.  

The REA Unit B.5 signs grants with consortia within the legal deadline of 8 months from 
the  call  deadline.  Project  officers  partake  in  kick-off  meetings  and  closely  follow  the 
project during the lifetime. Each project has defined reporting periods that conclude with 
a  review  meeting,  the  formal  approval  of  the  deliverables  and  the  payment  for  the 
activities carried out. The REA calls upon the support of an independent expert to review 
the  deliverables  and  reports.  The  quality  of  deliverables  is  closely  monitored  notably 
those that are public and are automatically published once approved. 

The  REA  works  closely  with  DG  Research  and  Innovation  to  ensure  policy  makers  are 
kept  abreast  of  any  feedback  from  the  project  relevant  for  their  policy  monitoring  or 
future policy making activities.  

DG  Research  and  Innovation  and  the  REA  promote  networking  between  projects  to 
encourage  sharing of best practices and to  encourage projects to build on the available 
know-how.  The  REA  and  DG  R&I  have  developed  this  practice  by  organising  thematic 
one-day  cluster  events  in  Brussels.  These  cluster  events  are  organised  in  co-creation 
mode  with  the  projects  and  since  2018  five  such  events  were  organised  including  for 
ethics, gender, science education and citizen science projects. 

Liaising  with  other  SwafS  projects  was  formally  encouraged  in  the  2018-2020  work 
programme  which  foresees  the  inclusion  of  ‘additional  dissemination  obligations’  in 
Article 29.1 of the grant agreement for certain topics. This provision requires consortia to 
share their strategies and methodologies from the outset with a view to reaping the full 
benefits  of  synergies.  Project  co-ordinators  have  demonstrated  strong  willingness  to 
work  together  in  organising  joint  communication  channels,  events,  meetings,  and  co-
ordinating content-related activities. This grant condition was a key element in terms of 
aiming to build a knowledge and collaboration ecosystem. The results have been positive 
in the territorial and citizen portfolios for example where projects are pro-actively liaising 
with each other. The Super_MoRRI project gathered 14 other SwafS projects together at  
its  annual  event  in  Leiden  in  January  2020.25  This  ‘additional  dissemination  obligation’ 
condition should be used more extensively in the future. 

25 Super MoRRI annual event, January 2020  

17 

 
 
 
                                                 
2.  INSTITUTIONAL CHANGES TOWARDS RESPONSIBLE RESEARCH 

AND INNOVATION 

2.1.  Policy objectives      

‘Early  and  continuous  engagement  of  all  stakeholders  is  essential  for  sustainable, 
desirable  and  acceptable  innovation.’26  The  Responsible  Research  and  Innovation 
(RRI)  approach  supported  by  the  European  Commission  since  2011  aims  to 
encourage societal actors to work together during the whole research and innovation 
(R&I)  process  to  better  align  R&I  and  its  outcomes  with  the  values,  needs  and 
expectations of society.  

In  practice,  RRI  is  implemented  as  a  package,  aiming  to  better  engage  society  in 
research  and  innovation  processes,  enabling  easier  access  to  scientific  results, 
favouring  better  uptake  of  the  gender  and  ethics  dimensions  in  research  and 
innovation  content,  and  spreading  good  practices  in  formal  and  informal  science 
education.  

The eight activity lines for SwafS in the Horizon 2020 specific programme27 take up 
all these dimensions of RRI in various forms. 

One  of  the  key  ways  of  working  towards  the  objectives  for  SwafS,  and  ensuring 
impact  (and  therefore  value  for  money),  is  the  implementation  of  institutional 
changes  in  beneficiaries.  This  is  evidenced  by  the  Key  Performance  Indicator  for 
SwafS  being  ‘Percentage  of  research  organisations  funded  implementing  actions  to 
promote  Responsible  Research  and  Innovation,  and  number  of  institutional  change 
measures adopted as a result’.28 

What  does  the  EC  mean  by  an  ‘institutional  change’?  While  this  was  put  in  broad 
terms in early work programmes, by 2018-2020 it was described more precisely. In 
2019,  specific  guidance  was  developed,  based  on  observed  practices  and  the 
approach  taken  in  the  work  programme  2018-2020,  stating  that  an  institutional 
change is a change to how a beneficiary governs or structures itself. It is expected to 
have meaningful impact within the institution concerned and intended to last beyond 
the lifetime of project funding. Moreover, institutional changes towards RRI concern 
one  or  more  of  the  EC's  five  dimensions  of  RRI  (public  engagement,  open  access, 
gender,  ethics,  science  education),  or  manifest  as  an  'RRI  package'  covering  all  of 
these five dimensions. 

This  chapter  focuses  on  three  of  the  constituents  of  the  quadruple  helix  model 
funding  and  performing 
institutes  and  research 
(firstly,  higher  education 
organisations,  secondly,  industry  and  SMEs,  and  thirdly,  regional  and  territorial 
public  authorities)  and  how  they  open  up  to  the  fourth  constituent  of  the  model 
(citizens  and  civil  society).  A  large  part  of  these  projects  focus  on  implementing 
institutional changes within the beneficiaries of the project  funding, but others look 
more  widely  at  the  systemic  changes  required  to  open  up  governance  to  society 
more broadly. The final part of the chapter examines projects that sought to deepen 
the  knowledge  base  on  RRI  and  enhance  co-ordination  between  RRI  actors.

26 Rome Declaration on Responsible Research and Innovation in Europe, November 2014  
27 Regulation (EU) no 1291/2013 of the European Parliament and of the Council establishing Horizon 2020  
28 Horizon 2020 indicators  

18 

 
 
                                                 
2.1.1.  Research Funding and Performing Organisations and Higher Education 

Institutes29 

Both  the  2014-2015  and  2016-2017  work  programmes  included  topics  that 
supported  ‘structural  change’  or  ‘opening’  research  funding  and  performing 
organisations  to  society.  The  work  programme  2016-2017  pointed  to  a  need  to 
overcome  obstacles  to  engagement  with  society,  for  example  due  to  lack  of 
knowledge  or  behaviour  types  and  to  focus  on  spreading  good  RRI  practices  in 
Research  Funding  Organisations  (RFOs)  and  Research  Performing  Organisations 
(RPOs). This aim was pursued in two topics that ran in the  work programme 2018- 
2020, and in 2020 the focus narrowed somewhat from RRI to citizen science. 

2.1.2.  Industry 

The work programme 2014-2015, addressed Responsible Research and Innovation in 
an  industrial  context  with  a  view  to  building  the  evidence  base  on  how  RRI  can 
improve  development  processes  and  the  quality  of  the  research  and  innovation 
outcomes.  

The  work  programme  2016-2017  sought  to  progress  further  in  integrating  RRI  in 
industrial contexts through two dedicated topics. Moreover, the work programme for 
2020  includes  a  sub-topic  focused  on  frugal  innovation,  bridging  citizen  science 
approaches to industry/SMEs.  

2.1.3.  Territorial governance 

While one project was funded from the 2014-2015 work programme on opening up 
territorial  governance  to  society,  it  was  not  until  the  work  programme  2018-  2020 
that  specific  focus  was  put  on  this  area.  The  goal  was  to  work  towards  the 
establishment  of  self-sustaining  R&I  ecosystems,  characterised  by  a  high  degree  of 
openness and  responsiveness to local needs. This required relevant quadruple helix 
R&I  actors  to  work  together.  This  inclusive  approach  ensures  the  buy-in  of 
stakeholders and results in greater sustainability on all levels. In particular, projects 
focused on opening up territories through RRI and regional partners are expected to 
update their smart specialisation strategies based on the broad input of society. 

2.1.4.  Knowledge base 

Evidence  from  the  Sixth  Framework  Programme  Science  and  Society  (S&S)  and 
Seventh  Framework  Programme  Science  in  Society  (SiS)  programmes  shows  that 
more  consistent  policy  development  in  Science  and  Technology  requires  systematic 
cooperation  and  a  shared  knowledge  base  on  which  European,  national  and  sub-
national  research  and  innovation  policy  decisions  can  be  drawn  from.  In  the  work 
programme  2014-2015,  a  topic  was  dedicated  to  fostering  the  sharing  of  ‘Science 
with  and  for  Society’  experience  and  know-how  in  Europe,  and  beyond,  notably  by 
building a Knowledge Sharing Platform (KSP). 

Several  other  topics  in  SwafS  have  focused  on  specific  areas  of  interest,  such  as 
monitoring  the  evolution  and  benefits  of  RRI,  and  global  governance  towards  RRI. 
Moreover,  the  work  programme  2018-2020  included  topics  that  encouraged 
applicants  to  come  up  with  areas  of  research  that  they  thought  were  most  needed 
and  to  ‘connect  the  dots’  between  disparate  initiatives  and  knowledge  bases

29 RFPOs should be understood broadly as organisations developing or funding activities in the field of R&I as one of their 

objectives, including civil society organisations engaged in R&I. 

19 

 
 
 
                                                 
2.2.  Project portfolio 

RRI is addressed in various SwafS work programmes, resulting in 35 funded projects 
(2019  2-stage  and  2020  calls  not  included)  which  for  the  purposes  of  this  analysis 
are categorised into four groups:  

  Research  Funding  and  Performing  Organisations  and  Higher  Education  Institutes 

(12 projects – EUR 29.4 million);  

  Industry (6 projects – EUR 12.6 million);  
  Territorial governance (10 projects – EUR 24.3 million) 
  Knowledge base (7 projects – EUR 23.7 million).   

Their combined budget is approximately EUR 90 million.   

Fig. 3: Number of coordinators in Member States (MS) and Associated Countries (AC) 

Fig. 4: Number of other partners in Member States (MS) and Associated Countries (AC) 

20 

 
 
 
 
 
 
 
 
 
Fig. 5: Number of partners in Third Countries (TC) 

Table 3: Institutional changes in Research Funding and Performing Organisations and Higher Education 
Institutes RRI project portfolio 

Project 

Budget 
€ 

Dates 

Coordinator 

Country  
Coord. 

Countries 
Other partners 

Website 

ISSI-5-2014-2015  Supporting structural change in research organisations to promote Responsible Research 
and Innovation (CSA) 

NUCLEUS 

4.0 M 

01-09-2015 
31-08-2019 

RHINE-WAAL UNIVERSITY 
OF APPLIED SCIENCES 

STARBIOS 
2 

3.5 M 

01-05-2016 
31-07-2020 

UNIVERSITÀ DEGLI STUDI 
DI ROMA TOR VERGATA 

JERRI 

2.4 M 

01-06-2016 
31-05-2019 

FRAUNHOFER 
GESELLSCHAFT ZUR 
FÖRDERUNG DER 
ANGEWANDTEN 
FORSCHUNG 

RRI-
PRACTICE 

3.6 M 

01-09-2016 
31-08-2019 

OSLOMET - 
STORBYUNIVERSITETET 

DE 

IT 

DE 

NO 

EU: AT, DE(5), 
EL, FR(2), IE, IT, 
MT, NL(2), UK(5)  
AC: GE, RS 
TC: CN(2), ZA 
EU: BG, DE, DK, 
FR, IT(2), PL, 
SE, SI, UK 
TC: BR, US 

nucleus-
project.eu  

starbios2.eu  

EU: AT, NL, 
UK(2) 

jerri-project.eu  

EU: BG, DE, FR, 
IT, NL(2), UK(2) 
AC: NO 
TC: AU, BR, CN, 
IN, US 

rri-practice.eu  

GARRI-1-2014  Fostering RRI uptake in current research and innovation systems (CSA) 

FoTRRIS 

2.0 M 

01-10-2015 
31-03-2018 

VLAAMSE INSTELLING 
VOOR TECHNOLOGISCH 
ONDERZOEK 

BE 

EU: AT, BE, ES, 
FR, HU, IT 

fotrris-h2020.eu  

SwafS-4-2016  Opening Research Organisations in the European Research Area (CSA) 

FIT4RRI 

3.2 M 

01-05-2017 
31-10-2020 

UNIVERSITÀ DEGLI STUDI 
DI ROMA LA SAPIENZA 

ORION 

3.2 M 

01-05-2017 
31-10-2021 

FUNDACIÓ CENTRE DE 
REGULACIÓ GENÒMICA 

IT 

ES 

EU: DE, EL, FI, 
FR, IT, NL, 
PT(3), UK(2) 
AC: NO 
EU: CZ(2), DE, 
ES(2), IT, SE, UK 

fit4rri.eu  

orion-
openscience.eu  

SwafS-5-2018-2019  Grounding RRI practises in RFOs and RPOs (CSA) 

GRACE 

1.5 M 

01-01-2019 
31-12-2021 

FONDATION EUROPÉENNE 
DE LA SCIENCE 

GRRIP 

1.5 M 

01-01-2019 
31-12-2022 

UNIVERSITY COLLEGE 
CORK 

RESBIOS 

1.5 M 

01-01-2020 
31-12-2022 

UNIVERSITÀ DEGLI STUDI 
DI ROMA TOR VERGATA 

ETHNA 
System 

1.5 M 

01-01-2020 
31-12-2022 

UNIVERSITAT JAUME I DE 
CASTELLÓ 

Co-Change 

1.5 M 

01-02-2020 
31-01-2023 

AUSTRIAN INSTITUTE OF 
TECHNOLOGY 

FR 

IE 

IT 

ES 

AT 

EU: BE, DK, EL, 
ES, IT(2), NL, 
SE, SI 
EU: DE, ES, 
IE(2), IT, FR(2), 
NL, PT, UK(2) 
EU: AT, BG, DE, 
DK, EL, ES, HR, 
IT, PL, SI 
AC: UA  
EU: AT, BG, 
DE(2), DK, EE, 
ES, PT 
AC: NO 
EU: AT, ES, 
FI(2), HU, NL 
AC: RS 

grace-rri.eu  

grrip.eu  

cordis.europa.eu/
project/id/872146  

cordis.europa.eu/
project/id/872360  

cordis.europa.eu/
project/id/873112  

21 

 
 
 
 
 
Table 4: Institutional changes in industry RRI project portfolio 

Project 

Budget 
€ 

Dates 

Coordinator 

Country  
Coord. 

Countries 
Other partners 

Website 

1.4 M 

PROSO 

01-01-2016 
28-02-2018 

GARRI-1-2014  Fostering RRI uptake in current research and innovation systems (CSA) 
DIALOGIK 
GEMEINNÜTZIGE 
GESELLSCHAFT FÜR 
KOMMUNIKATIONS- UND 
KOOPERATIONSFORSCHU
NG 
GARRI-2-2015  Responsible Research and Innovation in industrial context (CSA) 
SMART-
map 
COMPAS
S 

AARHUS UNIVERSITET 

1.5 M 

1.5 M 

DK 

DE 

AT 

EU: AT, BE, BG, 
DE, UK(2), PT 

WIRTSCHAFTSUNIVERSIT
ÄT WIEN 
TECHNISCHE 
UNIVERSITEIT DELFT 

NL 

EU: AT, DE, ES, 
HU, IT(2), UK(2) 
EU: BE(2), CY, 
ES, NL, UK 
EU: DE, IT, NL, 
UK 

01-05-2016 
31-10-2018 
01-05-2016 
30-04-2019 
01-08-2016 
31-07-2019 

PRISMA 

1.7 M 

SwafS-06-2017  Engaging industry – Champions for RRI in industrial sectors (CSA) 

LIV.IN 

3.5 M 

01-05-2018 
30-04-2021 

WIRTSCHAFTSUNIVERSIT
ÄT WIEN 

AT 

EU: AT, BE, 
DE(3), ES(3), 
HR, IT, NL, PL, 
RO, UK 

SwafS-12-2017  Web of Innovations Value Chains and openings for RRI (RIA) 

I AM RRI 

3.0 M 

01-05-2018 
30-04-2021 

MONTANUNIVERSITÄT 
LEOBEN 

AT 

EU: AT(2), DE, 
DK, ES, FI(2), 
FR, IT(2), LT, 
NL, SI, UK  
AC: NO 

proso-
project.eu  

projectsmartma
p.eu  
innovation-
compass.eu/  

rri-prisma.eu  

living-
innovation.net  

iamrri.eu  

Table 5: Institutional changes in territorial governance RRI project portfolio 

Project 

Budget  
€ 

Dates 

Coordinator 

Country  
Coord. 

Countries 
Other partners 

Website 

ISSI-4-2015  On-line mechanisms for knowledge-based policy advice (RIA) 

ONLINE-S3 

3.9 M 

01-05-2016 
30-06-2018 

RESEARCH, 
TECHNOLOGY 
DEVELOPMENT 
AND INNOVATION 

ES 

EU: AT, BE, EL(3), 
FI, SI, SK, UK(3) 

onlines3.eu  

SwafS-22-2018 Mobilising Research Excellence in EU Outermost Regions (CSA) 

FORWARD 
(Managed by 
DG R&I) 

4.3 M 

01-01-2019 
31-21-2021 

GOBIERNO DE 
CANARIAS 

ES 

EU: FR(12), ES(6), 
PT(5) 

forward-h2020.eu  

SwafS-14-2018-2019-2020  Supporting the development of territorial Responsible Research and 
Innovation (CSA) 

SeeRRI 

2.0 M 

01-01-2019 
30-06-2021 

NORDLANDSFORS
KNING 

TeRRIFICA 

2.0 M 

01-01-2019 
30-06-2022 

WISSENSCHAFTSL
ADEN BONN 

TeRRItoria 

2.0 M 

CHERRIES 

2.0 M 

DigiTERRI 

2.0 M 

RRI2SCALE 

2.0 M 

TRANSFORM 

2.1 M 

TETRRIS 

2.0 M 

01-02-2019 
31-01-2022 

01-01-2020 
31-12-2022 

01-01-2020 
31-12-2022 

01-01-2020 
31-12-2022 

01-01-2020 
31-12-2022 

01-09-2020 
31-08-2023 

FONDATION 
EUROPÉENNE DE 
LA SCIENCE 
ZENTRUM FUR 
SOZIALE 
INNOVATION 
GMBH 
AUSTRIAN 
INSTITUTE OF 
TECHNOLOGY 
AGENZIA PER LA 
PROMOZIONE 
DELLA RICERCA 
EUROPEA 
FONDAZIONE 
GIANNINO 
BASSETTI 
TEKNOLOGIAN 
TUTKIMUSKESKUS 

NO 

DE 

FR 

AT 

AT 

IT 

IT 

FI 

EU: AT(3), ES(4), IT 
AC: IL, NO(2) 
EU: DE(2), ES, FR, 
PL 
AC: RS 
TC: BY 
EU: BE, BG(2), IT(2), 
DK(2), EL(2), RO 
AC: NO(2) 

seerri.eu  

terrifica.eu  

territoriaproject.eu  

EU: BE, CY(2), 
ES(4), IT, NL, SE(2) 

cordis.europa.eu/p
roject/id/872873  

EU: AT(3), ES, 
FR(3), SE(3)  
AC: NO 

EU: AT, BE, EL(2), 
ES, NL(3) 
AC: NO(2) 

EU: BE(5), ES(3), 
IT(2),  
AC: NO TC: US 
EU: BE, DE(2), 
ES(2), FI, HU, NL 

cordis.europa.eu/p
roject/id/873010  

cordis.europa.eu/p
roject/id/872526  

cordis.europa.eu/p
roject/id/872687  

cordis.europa.eu/p
roject/id/872550 

22 

 
 
 
 
Table 6: Knowledge base RRI project portfolio 

Project 

Budget 
€ 

Dates 

Coordinator 

Country  
Coord. 

Countries 
Other partners 

Website 

ISSI-3-2015  Knowledge sharing platform (CSA) 

MARINA 

3.0 M 

01-05-2016 
30-04-2019 

CONSIGLIO NAZIONALE 
DELLE RICERCHE 

IT 

EU: BE, CY(2), 
DK, EE, ES, IE, 
FR, IT(2), PT, RO 
AC: TR 

cordis.europa.eu/
project/id/710566 

SwafS-9-2016   Moving from constraints to openings, from red lines to new frames in Horizon 2020 (CSA) 

NewHoR
RIzon 

6.8 M 

01-05-2017 
30-04-2021 

INSTITUT FÜR HÖHERE 
STUDIEN 

AT 

EU: AT(2), CZ, 
DE(2), DK, 
EE(2), ES, FI, 
FR(2), NL(5) 
AC: NO 
TC: CO, JM 

SwafS-5-2017   New constellations of changing institutions and actors (CSA) 

MULTI-
ACT 

RiConfig
ure 

3.4 M 

3.5 M 

01-05-2018 
30-04-2021 

FONDAZIONE ITALIANA 
SCLEROSI MULTIPLA 

01-05-2018 
30-04-2021 

FONDEN 
TEKNOLOGIRADET 

SwafS-14-2017   A linked-up global world of RRI (RIA) 

RRING 

3.0 M 

01-05-2018 
30-04-2021 

UNIVERSITY COLLEGE 
CORK 

IT 

DK 

IE 

EU: BE(2), ES, 
FI, FR, IT(2), LU, 
PL, PT 
EU: AT(2), DE, 
DK, ES, HU, IT, 
NL(2) 
TC: CO 

EU: DE(2), ES, 
FR(2), IE(2), IT, 
LT, NL(4), UK(4) 
AC: RS, UA 
TC: JP, ZA 

newhorrizon.eu  

multiact.eu  

riconfigure.eu  

rring.eu  

SwafS-21-2018   Advancing the monitoring of the evolution and benefits of Responsible Research and 
Innovation (RIA) 

Super_M
oRRI 

3.0 M 

01-01-2019 
31-12-2023 

FRAUNHOFER 
GESELLSCHAFT ZUR 
FÖRDERUNG DER 
ANGEWANDTEN 
FORSCHUNG 

SwafS-20-2018-2019  Building the SwafS knowledge base (RIA) 

On-
MERRIT 

1.0 M 

01-10-2019 
31-03-2022 

KNOW-CENTER GMBH 
RESEARCH CENTER FOR 
DATA-DRIVEN BUSINESS 
& BIG DATA ANALYTICS 

DE 

EU: AT, DK, 
ES(2), NL(2), RO 
AC: NO 

super-morri.eu  

AT 

EU: AT, DE, PT, 
UK 

cordis.europa.eu/
project/id/824612  

Table 7: Examples of institutional changes in the RRI dimensions 

Theme 

Examples of institutional changes 

Ethics 

Introduction of a new code of ethics 

Ethics and integrity training established for all personnel 

Gender equality 

Establishing a ‘family room’ in the institution 

Introducing an action plan on gender equality 

Open access/Open data 

Introducing training on implicit bias for senior management 

Implementation of an open access policy plan 

Making data management plans compulsory 

Inclusion of open access measures in legal documents connected with funding 

decisions 

Spin-off company created to link researchers with industry 

Public engagement 

Involvement of atypical stakeholders in strategy advisory councils 

Recruitment of a citizen science facilitator in the institution 

Establishment of an action plan on science education 

Science education 

Introduction of PhD training on communication to diverse audiences 

Publication of educational materials on thematic issues on an institutional website 

Full RRI package 

Publication of a booklet on RRI recommendations for a faculty Implementation of an 
RRI policy development action plan 

Establishment of a new information centre to engage with the public 

23 

 
 
 
  
 
2.3.  Achievements 

As  previously  stated,  the  key  performance  indicator  for  SwafS  is  the  number  of 
institutional 
in  
Table  7:  Examples  of  institutional  changes  in  the  RRI  dimensions):  ‘Percentage  of  research 
organisations  funded  implementing  actions  to  promote  Responsible  Research  and 
Innovation, and number of institutional change measures adopted as a result’.30 

examples 

change 

actions 

(see 

To this end, REA.B.5 unit ‘Spreading Excellence, Widening Participation, Science with 
and for Society’ launched an exercise in 2019, in close co-operation with DG R&I unit 
‘Open  Science’,  to  gather  data  from  SwafS  projects  focused  on  implementing 
institutional changes towards RRI in beneficiary organisations.  

The  results  of  this  exercise  showed  that  238  individual  institutional  change  actions 
had  been  or  were  being  implemented  by  this  part  of  the  SwafS  portfolio,  and 
suggest that SwafS will well and truly surpass its target of 100 institutional changes 
in beneficiaries by the end of the programme.31 

Fig. 6 and Fig. 7 show the results for a sample of 12 RRI projects32, by country and 
by RRI dimension. 

Fig. 6: Number of institutional changes produced by 12 RRI projects in Member States (blue), Associated 
Countries (green) and Third Countries (red). 

30 Horizon 2020 indicators 
31 This data collection exercise only covered projects in the RRI portfolio focused on institutional changes, and did not 

cover projects dedicated to gender equality, ethics, or open access/open data, which, to various degrees, focus also on 
institutional changes. 

32 The 12 projects considered are: STARBIOS 2, RRI-Practice, FoTRRIS, FIT4RRI, ORION, RIConfigure, JERRI, SeeRRI, 

TeRRIFICA, NUCLEUS, PROSO, GRACE. 

24 

 
 
                                                 
Fig. 7: Number of institutional changes produced by 12 RRI projects in the RRI dimensions. 

2.3.1.  Research Funding and Performing Organisations and Higher Education 
Institutes 

Projects  funded  under  this  category  aim  to  change  the  institutional  practices  and 
cultures  in  research  funding  and  research  performing  organisations  (RFPOs)  with  a 
view to fostering and embedding RRI on a sustained basis.  

The projects aiming to  open up RFPOs use a variety of approaches and methods in 
implementing  institutional  changes  towards  RRI.  These  include  identifying  best 
practices  and  analysing  obstacles  and  barriers  in  successfully  implementing  RRI 
principles. As such, one of the main outcomes of the portfolio of projects is a strong 
evidence-based  inventory  of  impactful  practices  for  the  uptake  of  RRI.  They  show 
that  different  changes  require  varying  amounts  of  effort,  that  changes  in  some 
institutions are easier to implement than in another, and that all manner of changes 
can be impactful depending on  the context. For many  of the projects  in SwafS, the 
changes  introduced  represent  significant  steps  forward  towards  RRI  for  the 
organisations concerned. 

For  the  purposes  of  the  analysis  of  the  group  of  projects  targeting  institutional 
changes  in  higher  education  institutes  and  RFPOs,  the  projects  are  grouped 
according  to  four  main  areas  of  focus:  good  practices  in  RFPOs;  setting  up  action 
plans; training and education on RRI and finally those with a particularly innovative 
approach. 

2.3.1.1. Good practices in RFPOs 

NUCLEUS  developed  a  new  understanding  of  engagement  in  universities  and 
scientific  institutions.  Its  main  goal  was  to  implement  this  understanding  by 
embedding RRI in the governance and culture of research institutions across Europe, 
China  and  South  Africa.  The  NUCLEUS  project  tested  the  principles  of  RRI  through 
experiments in ten research institutions across Europe, as well as in South Africa and 
China.  

25 

 
 
 
 
 
These experiments involved implementing approaches and activities that would help 
overcome institutional obstacles and demonstrate the benefits of RRI to each partner 
institution. NUCLEUS developed a web-tool for RRI implementation.   

RRI  Practice  reviewed  RRI-related  work  in  22  RFPOs  and  developed  objectives, 
targets  and  indicators  for  each  organisation.  One  of  the  main  outcomes  of  the 
project  is  the  RRI  Handbook  for  organisations  that  are  considering  implementing 
policies  or  practices  related  to  RRI.  Together  with  the  NUCLEUS  project,  they 
organised the ‘Pathways to Transformation’ conference.  

The  conference  explored  the  pathways  that  institutions  may  follow  towards  being 
more socially responsive, with two main questions acting as the driving force: firstly, 
what can research performing organisations learn from the projects’ institutional RRI 
experiments  (‘Practical  Pathways’)?  And  secondly,  how  can  research  policy 
incentivise  stakeholders  to  contribute  to  more  responsive  science  and  innovation 
systems  (‘Policy  Pathways’)?  The  ‘Pathways  declaration’  emerging  from  the 
conference, signed by more than 13 projects funded under SwafS, called for RRI to 
remain a central objective in EU R&I and for the EU to continue to pursue its leading 
role  in  this  effort  (section  6.4  outlines  the  recommendations  put  forward  for  the 
European  Commission).  This  formed  the  basis  for  a  ‘Joint  Declaration  on 
Mainstreaming  RRI  across  Horizon  Europe’  recently  published  in  the  Journal  of 
Responsible Innovation. 

JERRI  orchestrated  a  deep  RRI  transition  process  within  two  major  European 
Research  and  Technology  Organisations:  the  German  Fraunhofer  Gesellschaft  and 
the Netherlands Organisation for Applied Scientific Research.  

Transition roadmaps were developed detailing pathways to the envisaged long-term 
goals  of  both  entities  to  guide  the  process  beyond  the  project’s  lifetime  as  well  as 
producing best practices (Deliverable 9.1: Global RRI Goals and Practices).  

2.3.1.2. Setting up action plans 

After  analysing  where  their  institutions  stand  in  terms  of  existing  RRI  practices, 
many  of  the  projects  drafted  action  plans  to  support  their  organisations  in 
implementing structural changes.  

STARBIOS 2 produced six action plans geared to putting in place structural changes 
in  one  or  more  of  the  RRI  dimensions  in  partner  institutions  based  in  Europe  and 
developed three action plans for non-European partners, all active in the field of the 
biosciences.  STARBIOS  2  is  in  the  process  of  developing  an  RRI  model  for  the 
biosciences,  with  the  potential  of  contributing  to  structural  changes  in  bioscience 
institutions  in  Europe  and  beyond.  Examples  of  institutional  changes  include  the 
implementation  of  an  open  access  policy  at  one  of  the  RPOs,  the  setting  up  of  an 
ethical  commission  at  a  higher  education  partner,  and  the  creation  of  a  start-up  to 
connect  the  university’s  research  to  enterprises:  InNutRes  (Responsible  Innovation 
in  Nutrition).  Finally,  STARBIOS  2  organised  a  session  on  ‘Epigenetics  in  Infection, 
Diets  and  Environment:  Responsible  Research  and  Innovation’  at  the  American 
Association  for  the  Advancement  of  Science  (AAAS)  Annual  Meeting  2019  in 
Washington DC.33  

GRRIP focuses on embedding RRI practices through action plans in five RFPOs active 
in the marine and maritime sectors. GRRIP aims to contribute to the implementation 
of RRI in partner institutions by providing evidence of societal, democratic, economic

33 STARBIOS2 at AAAS Annual Meeting 2019  

26 

 
 
                                                 
and  scientific  impacts  of  institutional  changes  through  a  monitoring  and  evaluation 
methodology  developed  in  co-creation  mode  with  input  from  all  quadruple  helix 
stakeholders.  

Actions plans are also the focus of GRACE, which involves ten RFPOS in Europe. Each 
institution  will  develop  customised  RRI  profiles  for  implementing  RPFOs  based  on 
their  needs,  expectations  and  specific  characteristics,  which  they  will  then 
implement. The novelty of the GRACE project is that these action plans will lead to 
an 8 year RRI roadmap for each implementing RPFO.  GRACE intends to co-organise 
a  side  event  at  the  III  International  Triple  Helix  Summit  in  Bologna  (November 
2020)  together  with  another  project  funded  under  the  same  topic  as  part  of  its 
‘additional dissemination obligations34’, foreseen for some SwafS projects.  

ETHNA  System  started  in  January  2020  and  will  develop  and  implement  an  Ethics 
Governance  System  for  grounding  good  practices  in  RRI  in  Higher  Education  and 
Funding and Research Centres. The project will implement and validate a new formal 
organisational  structure  within  the  management  structure  of  its  six  partner 
institutions. 

2.3.1.3. Training and education on RRI 

Embedding  RRI  in  institutions  and  implementing  structural  changes  along  the  RRI 
dimensions can only take place if the organisations themselves are comfortable with 
what  RRI  entails  and  know  about  the  tools  available  in  the  implementation  of  RRI-
related changes. Educating future researchers to be attuned to RRI is also important, 
as is grounding RRI in higher education curricula.  

Many projects focus on the training aspect, not only in capacity building for staff in 
higher  education  to  teach  RRI  but  also  in  training  the  RFPOs  by  providing  tools, 
guidelines etc.  

FIT4RRI  focuses  on  the  training  of  RFPOs  through  workshops,  with  an  online  RFPO 
training  programme  to  follow.  Similarly,  ORION  is  creating  training  content  for 
researchers  and  professional  staff  at  funding  agencies  on  RRI  and  Open  Science 
concepts, practices and tools.  

To  date,  ORION  produced  case  studies,  checklists,  factsheets,  podcasts,  and  are 
planning to launch a Massive Open Online Course (MOOC). 

2.3.1.4.  Innovative approaches  

Embedding RRI creates a need for intermediary structures, reconnecting established 
knowledge  institutions  with  broader  society  for  the  co-creation  of  local  answers  to 
global challenges. Several projects adopted an innovative approach to the challenge 
of embedding RRI in RFPOs. 

intermediary  structure:  a  Co-RRI 
FoTRRIS  developed  and  tested  such  an 
Competence  Cell.  This  was  prototyped  in  five  regional  case  studies  on  various 
challenges, including renewable energy, refugees, and women with disabilities, local 
food  and  material  scarcity.  FoTRRIS  designed  and 
economy,  sustainable 

34 The 2018-2020 work programme foresees additional dissemination obligations: consortia must make active efforts to 
freely share, in a timely manner and as appropriate, the research strategies, methodologies, and raw and analysed data 
deriving  from  their  activities  (including  any  evaluation  activities),  with  the  other  projects  funded  by  SwafS  subject  to 
these same additional dissemination obligations. Applicants must acknowledge and incorporate these obligations in their 
proposal,  outlining  the  efforts  they  will  make  towards  this  in  Annex  1  of  the  proposal.  The  respective  option  of  Article 
29.1 of the Model Grant Agreement applies.  

27 

 
 
                                                 
implemented co-RRI competence cells within its partner organisations, with changes 
to  these  organisations’  governance  in  the  way  research  and  innovation  practice 
occurs. These have resulted in commitments from the organisations to promote and 
sustain their institutional changes, to varying degrees depending on the specifics of 
the institutional context (e.g. their business model and size). Furthermore, FoTRRIS 
produced  a  set  of  highly  innovative  materials,  including  a  co-RRI  ‘cook  book’  to 
assist stakeholders in implementing RRI.  

Co-change,  which  recently  commenced,  centres  on  the  concept  of  change  labs  to 
generate  transformative  capacity  for  institutional  change  in  terms  of  practices, 
procedures, rules and norms. 

2.3.2.  Industry 

The  2015  topic  dedicated  to  ‘Responsible  Research  and  Innovation  in  the  industrial 
context'35, resulted in the funding of PRISMA, SMART-map and COMPASS.  

the 

result of  eight  pilots 

The goal of PRISMA was to identify lessons on implementing RRI in industry ranging 
from  small  enterprises  to  large  corporations  and  universities.  The  structured 
methodology  was 
in 
emerging technologies  (nanotechnologies,  synthetic  biology,  Internet  of  things,  and 
autonomous  vehicles).  PRISMA  produced  a  number  of  practical  tools and  promising 
practices  for  companies  to  include  RRI  in  their  (business)  strategies,  notably  a 
roadmap  consisting  of  a  6-step  approach  for  defining  an  RRI-strategy.  The  PRISMA 
R&I  toolkit is  geared  for  SMEs  aspiring  to  develop  innovative  products  and  services 
with  which  societal  needs  are  addressed  together  with  a  contribution  to 
environmental  and  economic  sustainability.  The  project  also  designed  a  MOOC  on 
‘CSR and RRI: Building tomorrow’s responsible firms’.  

companies  active 

in 

A  re-run  of  the  course  is  planned  in  2020.  The  project  team  were  very  active  with 
close  to  30  publications  produced  in  journals  and  conference  articles.  Finally,  the 
project  aims  at  sustainability  through  the  development  of  CEN  (the  European 
Committee  for  Standardisation)  standards  on  responsible  industry  based  on  the 
outcomes of the project’s work. 

SMART-map  defined  and  implemented  concrete  roadmaps  for  the  responsible 
development  of  technologies  and  services  in  three  fields:  precision  medicine, 
synthetic  biology  and  3D  printing  in  biomedicine.  Industrial  Dialogues  i.e. 
collaborative dialogue between industry and societal actors, resulted in the co-design 
of  a  SMART  map  to  help companies  address  questions  of  social  and  environmental 
responsibility in their innovation processes.  

COMPASS  developed  an  interactive  online  platform,  the  Responsible  Innovation 
Compass,  deploying  RRI  visions  and  roadmaps  for  three  innovation  fields 
(healthcare, nanotechnology, ICT) with a particular focus on SMEs. The Responsible 
Innovation Self-Check Tool for SMEs is a key outcome, providing concrete inputs and 
examples on how to translate RRI principles into actual business practices. 

Falling  under  the  2014  topic  ‘Fostering  RRI  uptake  in  current  research  and 
innovations systems’36, PROSO aimed to foster the engagement of citizens and ‘third 
sector  organisations’,  notably  non-governmental  organisations  (NGOs)  and  civil 
society  organisations  (CSOs),  in  Europe’s  research  and  innovation  processes  across 
three domains of research and innovation: nanotechnology, food and health and the 
bio-economy.  The  PROSO  Support  Tool  outlined  practices  that  encourage  the 

35 SwafS work programme 2014-2015  
36 See supra note 35  

28 

 
 
 
 
 
                                                 
engagement  of  citizens  and  third  sector  actors  in  publicly-funded  research  and  in 
research and innovation policy in the European Union.  

LIV.IN  launched  a  Virtual  Community  Platform  to  co-create  new  solutions  that  are 
beneficial  to  society  and  create  new  business  opportunities  in  the  areas  of  smart 
homes,  smart  health  and  designing  responsible,  sustainable  solutions  for  future 
living.  The  platform  was  created  on  the  basis  of  the  RRI  Community  Building 
Handbook, a guide to the design, development and maintenance of a sectoral virtual 
community.  The  initiative  gives  citizens  the  chance  to  be  involved  in  the  design  of 
technology  that  will  shape  their  future  lives  while  giving  industry  the  possibility  to 
respond directly to changes and the needs of users and expectations of society.37 

I  AM  RRI  is  investigating  the  additive  manufacturing  (AM)38  innovation  network  in 
order to develop a dynamic model of webs of innovation value chains in AM based on 
open  innovation  considerations  and  stage-gate  approaches  to  include  openings  for 
responsible  research  and  innovation.  Additive  manufacturing  in  the  automotive  and 
medical industry will serve as pilot cases to refine and validate the model.39 

2.3.3.  Territorial governance 

Complementing the European Commission’s guidance40 on the methodological design 
of  RIS3  (research  and  innovation  strategies  for  smart  specialisation),  ONLINE-S3 
developed an e-policy platform hosting a toolbox consisting of 28 tools covering the 
complete  RIS3  process,  a  roadmap  and  a  6-phase  guide  to  assist  national  and 
regional  authorities  in  the  EU  elaborate  their  smart  specialisation  agenda.  Online-
S3’s  web  services  and  tools  to  implement  RIS3  methodologies  were  tested  in  four 
regions:  Scotland  (United  Kingdom),  Central  Macedonia  (Greece),  Galicia  (Spain), 
and  Northern  Netherlands.  Over  12,000  users  were  involved,  of  which  over  1,000 
contributed with suggestions and conveyed high levels of satisfaction.41 

The  following  projects  are  supported  by  topic  SwafS-14-2018-2019-2020  that  will 
likely  see  around  10  per  cent  of  all  EU  regions  developing  more  open  and 
collaborative territorial governance through institutional and governance changes by 
taking a Responsible Research and Innovation approach. 

TeRRItoria will connect RRI to the general strategy of Smart Specialisation of regions 
by  developing  a  set  of  transformative  experiments42  and  implementing  institutional 
changes in five European selected territories in order to embed RRI in their planning 
process.  The  territories,  represented  by  a  territorial  organisation,  are  located  in 
Central Macedonia (Greece), Emilia-Romagna (Italy), Trøndelag (Norway), Region of 
North-East  Romania  and  the  Municipality  of  Gabrovo  (Bulgaria).  So  far,  TeRRItoria 
has produced an inventory of 43 RRI Governance Innovation Practices, on the basis 
of good practices observed in other RRI projects in the design and implementation of 
five transformative experiments foreseen. 

SeeRRI aims to establish a foundation for self-sustaining R&I ecosystems in Europe 
by  developing  a  framework  for  integrating  the  RRI  approach  into  regional 
development  policies  in  three  European  territories:  Nordland  in  Norway;  B30  in 
Catalonia; Ecoplus from Lower Austria. The aim is to provide a set of core principles 
and  a  roadmap  that  regions  can  use  to  develop  a  sustainable  research  and 

37 Liv.In website  
38 AM is a key enabling technology in high value manufacturing  
39 I am RRI website 
40 Guide on Research and Innovation Strategies for Smart Specialisation  
41 Intelligence and co-creation in Smart Specialisation Strategies: Towards the next stage of RIS3 
42 TeRRItoria Project experiments  

29 

 
 
 
 
 
 
                                                 
innovation  ecosystem  based  on  RRI  principles.43  SeeRRI  published  an  article 
explaining how organisations can become responsible innovators and demonstrating 
that practicing RRI may give companies a competitive advantage.44 

In  October  2019,  SeeRRI  and  TeRRItoria  partook  in  the  European  Week  of  Regions 
and Cities, in a workshop on ‘In Science for Citizens: how science meets regions and 
cities’, emphasising the importance of involving all actors in the  ‘quadruple helix’ in 
transition processes.45 

TeRRIFICA  will  increase  competencies  for  climate  action  and  climate  change 
adaptation in six pilot cities and regions: Barcelona (Spain), Brittany, Normandy and 
Pays  de  Loire  (France),  South  Oldenburg  (Germany),  Poznań  Agglomeration 
(Poland),  Minsk  (Belarus)  and  Belgrade  (Serbia).  TeRRIFICA  produced  a  guide  on 
engagement  and  co-creation  aimed  at  fostering  stakeholders’  engagement  and  co-
creation  within  the  context  of  climate  mitigation  and  adaptation.  In  the  knowledge 
gathering  phase,  it  examined  the  local  contexts  in  the  six  pilot  regions46  and 
identified  case  studies  of  community-academia  research  partnership  related  to 
climate change, highlighting common elements for the development of future climate 
actions.47  

The  outcomes  of  this  project  should  be  particularly  interesting  to  future  work  on  a 
climate-focused mission in Horizon Europe and the European Green Deal.  

RRI2SCALE  aims  to  implement  successful  regional  R&I  policies  that  spearhead 
sustainable development and economic growth while advancing inclusiveness in four 
regions:  Hordaland  (Norway),  Overijssel  (Netherlands),  Crete  (Greece)  and  Galicia 
(Spain). RRI2SCALE will examine the integration of RRI principles within the regions 
as well as the key components of territorial R&I ecosystems. This will be followed by 
a  large-scale  citizen  survey  on  RRI  principles  and  their  interaction  with  R&I 
ecosystems. All the project’s results, together with a training compendium, will form 
the  RRI2SCALE  Toolkit  which  can  be  used  for  replicating  the  move  towards  RRI  by 
other territories.  

TRANSFORM  will  bring  Lombardy  (Italy),  Brussels  (Belgium)  and  Catalonia  (Spain) 
together  to  design,  test  and  disseminate  participatory  research  agenda  setting; 
design  for  social  innovation;  and  citizen  science  as  co-creation  methodological 
frameworks  for  the  implementation  of  Smart  Specialisation  Strategies  (RIS3). 
Regional  governments  involved  in  TRANSFORM  will  adopt  RRI  approaches  in  their 
R&I  policies  and  actions  including  integration  into  the  strategic  roadmaps  for  the 
implementation of RRI within RIS3. 

CHERRIES will support healthcare research and innovation policy and pilot actions by 
interlinking  RRI,  demand-side  policy  and  territorial  innovation  models  including 
smart specialisation. This pilot innovation process will be implemented and tested in 
the territories of Murcia (Spain), Örebro (Sweden) and the Republic of Cyprus. 

DigiTeRRI  will  develop  a  framework  for  the  responsible  transition  of  traditional 
industrial  regions  into  digitised  R&I  ecosystems  together  with  the  impacted 
industries, territorial authorities and citizens affected in Värmland (Sweden), Région 
Grand  Est  (France)  and  Styria  (Austria).  DigiTeRRI  will  produce  a  strategy  for 

43 SeeRRI website  
44 'The responsible learning organization: Can Senge (1990) teach organizations how to become responsible innovators?' 
45 18th European Week of Regions and Cities, 12-15 October 2019 
46 TeRRIFICA 'Report on institutional framework conditions, relevant local and regional processes, instruments and co-
creation factors related to or adaptable for climate action' 
47 TeRRICICA ‘Case studies report’  

30 

 
 
 
 
                                                 
implementing  resilient  R&I  ecosystems  for  digitalised  industries  in  traditionally 
industrial-oriented territories. 

TETRRIS,  due  to  start  later  in  2020,  will  support  four  European  pilot  territories  to 
integrate  RRI  practices  into  their  territorial  research  and  innovation  systems  and 
development approaches. The regions are Tampere (Finland), Karlsruhe (Germany),  
Cantabria  (Spain)  and  Szeged-Timișoara  (Hungary-Romania).  TETRRIS  will  also 
develop  tools  and  good  practices  and  policy  recommendations  for  other  European 
territories to integrate RRI in their regional development. 

Looking  further  afield,  FORWARD  (managed  by  DG  R&I),  launched  as  part  of  the 
EU’s  strategy  for  outermost  regions,  aims  to  foster  research  excellence  in  EU 
Outermost  Regions  (ORs).  The  project  involves  the  regional  governments  from  the 
nine ORs in charge of R&I regional policies together with key R&I actors.  

FORWARD  will  perform  an  initial  analysis  of  R&I  ecosystems  and,  based  on  these 
results,  will  put  in  place  tailored  actions  including  a  joint  strategy  and  thematic 
action  plans,  capacity  building  and  networking  activities,  as  well  as  approaches  for 
connecting  research  and  policy  making.  Importantly,  and  in  line  with  SwafS, 
emphasis  is  placed  on  the  involvement  of  civil  society  organisations  within  these 
processes. 

2.3.4.  Knowledge base 

MARINA  developed  a  Knowledge  Sharing  Platform  in  order  to  facilitate  the 
cooperation of those involved in marine issues and ensure the integration of citizens’ 
ideas.  The  platform  includes  a  section  on  tools  and  good  practices  for  RRI 
implementation.48  Now  that  the  project  is  over,  the  project  team  guarantees  the 
sustainability of the communities federated in the platform and of the platform itself.  

NewHoRRIzon  sets  out  to  promote  the  acceptance  of  RRI  in  Horizon  2020  and 
beyond.  It  will  work  out  the  conceptual  and  operational  basis  to  fully  integrate  RRI 
into European and national research and innovation (R&I) funding practices. In order 
to accomplish this goal, NewHoRRIzon established 19 Social Labs, each dedicated to 
a  different  part  of  H2020  (e.g.  ERC,  LEIT  ICT,  Societal  Challenge  6).49  For  every 
section  of  H2020,  different  stakeholders  gather  in  a  Social  Lab  to  define  the  social 
challenges  at  stake  and  develop  social  experiments 
them. 
NewHoRRIzon  also  analysed  the  specifics  of  the  current  use  and  practices  of  RRI 
within the various Horizon 2020 programme lines.  

to  overcome 

One  important  outcome  of  the  project  is  the  Societal  Readiness  Thinking  Tool,  a 
practical online tool that can be used by research projects and funders to ensure that 
they  have  adequately  taken  into  account  different  aspects  of  responsibility  through 
the  research  and  innovation  process,  so  as  to  ensure  that  the  outcomes  of  the 
research and innovation will align with the needs, values and expectations of society 
(‘societal readiness’). 

MULTI-ACT  aims  to  increase  the  impact  of  health  research  on  people  with  brain 
diseases  through  patient  participation.  Starting  with  multiple  sclerosis  as  its  first 
case  study,  MULTI-ACT  will  create  and  implement  a  new  model  allowing  for  the 
effective  cooperation  of  all  relevant  stakeholders  in  defining  the  scope  of  health 
research as well as new metrics for the evaluation of its results.50  

48 Marina website 
49 New Horizon website  
50 MULTI-ACT website  

31 

 
 
 
 
 
 
 
 
                                                 
So  far, MULTI-ACT produced a  Master Scorecard  for use at the beginning or during 
the development of a  research initiative, engaging multiple stakeholders  in defining 
impact indicators towards a given mission through a collective bottom-up approach. 

RiConfigure  aims  to  include  civil  society  in  the  innovation  process  in  order  to  let 
innovative  solutions  flourish  and  in  doing  so  bring  different  voices  together  in  new 
types  of  collaborations  to  avoid  blind  spots  and  exploit  the  specific  competences  of 
the  various  actors.51  RiConfigure  produced  a  social  lab  methodology  manual  for 
designing and implementing social labs. 

RRING  aims  to  bring  RRI  to  the  global  level  to  promote  mutual  learning  and 
collaboration in RRI through a global RRING community network and a global Open 
Access RRI knowledge base.52 An important part of RRING is its bottom-up approach 
to  share  and  engage  in  learning  about  responsibility,  aligned  to  the  states’ 
commitments  to  implement  UNESCO’s  Recommendation  on  Science  and  Scientific 
Researchers (2017).   

On  13  February  2020,  RRING  ran  a  workshop  at  the  American  Association  for  the 
Advancement  of  Science  (AAAS)  Annual  Meeting  in  Seattle  (USA),  which  brought 
together  various  stakeholders  of  science  technology  and  innovation  systems  for 
learning on responsibility in research and innovation.  

FP7’s  MoRRI  project  (2014-2018)  conceptualised  and  implemented  the  first  RRI 
monitoring system in Europe, consisting of more than 36 indicators for the key areas 
of  RRI.53  SUPER_MoRRI  builds  on  this  work,  ensuring  sustained  data  collection, 
curation, further assessment and refinement of the MoRRI indicators.  

Super_MoRRI aims to  continue  cross-European data  collection on the  evolution and 
benefits  of  RRI,  enhance  understanding  of  its  societal,  democratic,  economic  and 
scientific benefits and ultimately improve the monitoring system.  

In  addition, it  will  create  a  user-friendly,  interactive  dashboard54.  The  annual  event 
in Leiden in January 2020 gathered 14 other SwafS projects, focused on institutional 
change,  the  territorial  dimension  of  open  and  responsible  research  and  innovation, 
and citizen science.55 

The project has been particularly active in developing an active ecosystem of sharing 
and  learning,  so  as  to  inform  and  co-develop  the  indicator  system  with  SwafS 
stakeholders.  

ON-MERRIT,  targets  an  equitable  scientific  system  that  rewards  merit  rather  than 
the ‘Matthew Effect’56 of cumulative advantage.  

ON-MERRIT  deploys  a  combination  of  qualitative  and  computational  methods  that 
use  stakeholder  participation  and  co-design  to  engage  researchers,  industry,  policy 
makers  and  citizens  in  examining  the  extent  of  the  Matthew  Effect  in  key  RRI 
elements  with  the  aim  of  providing  evidence-based  policy  recommendations  for 
stakeholders  on  mitigate  these  effects.  ON-MERRIT  was  the  only  project  to  be 
supported from the 2018 call of SwafS-20-2018-2019.  

51 RiConfigure website  
52 RRING website  
53 'Monitoring the evolution and benefits of responsible Research and Innovation' 
54 Super_MoRRI website 
55 Super_MoRRI events 
56 The idea that the rich get richer and the poor get poorer is a social phenomenon linked to the Matthew effect. 
Essentially, it refers to the concept that those who already have status can gain more, whereas those without status 
struggle more to gain it. In other words, it is the accumulated advantage. 

32 

 
 
 
 
 
 
 
 
 
 
 
                                                 
2.4.  Recommendations 

2.4.1.  Policy recommendations 

NUCLEUS  highlighted  in  its  policy  brief  the  importance  of  impressing  upon 
stakeholders  the  meaning  and  principles  of  RRI  rather  than  focusing  on  the  term 
itself, which can create unnecessary barriers.  

The  Pathways  Declaration,  recently  published  in  the  Journal  of  Responsible 
Innovation  as  a  ‘Joint  declaration  on  mainstreaming  RRI  across  Horizon  Europe’57, 
calls for the funding of a hub on RRI to ensure quality in the mainstreaming of RRI, 
co-creation,  public  engagement  and  citizen  science  in  the  next  Framework 
Programme. This hub should build on and further cultivate the RRI knowledge base. 
It  should  advise,  train,  consult,  assess  and  provide  quality  control  and  serve  as  a 
resource for those who include RRI-related activities in Horizon Europe projects.  

It should also provide experts for the assessment of these aspects  in proposals and 
project activities as well as for relevant committees and boards. 

RRI-Practice  produced  a  policy  brief  echoing  some  ideas  from  the  Pathways 
Declaration, notably establishing a network of train-the-trainers in all Member States 
to  train  stakeholders  in  RRI.  The  project  also  proposed  that  the  European 
Commission  launch  a  tender  for  professional  marketing,  dissemination  and  training 
of RRI.  

It  proposed  for  DG  R&I  to  fund  a  conference  with  a  global  scope,  with  the  goal  of 
developing a Declaration on Research Quality and Impact (in a similar format as the 
Rome  Declaration  on  RRI).  Another  idea  proposed  was  setting  up  an  annual  RRI 
award to incentivise and promote RRI. 

With  respect  to  regional  governance,  the  European  Commission  should  envisage 
greater  synergies  between  the  SwafS  calls  and  ESF  (European  Social  Fund),  ERDF 
(European  Regional  Development  Fund)  and  Erasmus+.  RRI  practices,  for  example 
stakeholder engagement, should be part of the evaluation for Structural Funds, and 
RRI is a key tool towards opening up cohesion policy to the input of society. ONLINE 
S3’s platform and other project outputs of potential interest to regional governments 
should be referenced on the European Commission’s Smart Specialisation Platform. 

While progress has made in terms of the participation of Civil Society Organisations 
(CSOs)  in  Horizon  2020  projects,  efforts  should  continue  to  ensure  the  inclusion  of 
this group of actors. Appropriate funding mechanisms to encourage CSOs to partake 
in  quadruple  helix  collaborations  should  be  promoted,  notably  the  cascading  grant 
mechanism, a useful instrument to engage such stakeholders.  

Furthermore, a clearer definition of CSOs in the context of particular topics would be 
commendable  and  could  help  clarify  the  types  of  CSOs  expected.  Finally,  a 
compendia of ‘best practices’ should be made available to the research community at 
large,  including  effective  methodologies  to  support  the  active  participation  of  CSOs 
within quadruple helix collaborations.58 

2.4.2.  Recommendations for Horizon Europe 

The Pathways Declaration (recently published as ‘Joint declaration on mainstreaming 
RRI across Horizon Europe’) pointed to the following specific recommendations to the 
European Commission in relation to strengthening RRI in Horizon Europe: 

57 Joint declaration on mainstreaming RRI across Horizon Europe 
58 RiConfigure Policy Brief 

33 

 
 
                                                 
 

In  cases  in  which  RRI-related  concepts  are  included  in  future  topics,  applicants 
should  outline  how  their  projects  relate  to  RRI,  based  on  guidelines  for  how  to 
embed RRI effectively and to measure societal impact.  

  Clear  criteria  for  assessing  RRI-related  concepts  should  be  communicated  to 

applicants and evaluators. 

 

Interdisciplinary  collaboration  should  be  encouraged.  For  instance,  including 
researchers  from  Social  Sciences  and  Humanities  (SSH)  usually  increases  the 
quality of RRI actions.  

  Treat RRI components  as research, for  example the methods and results of RRI 

measures in an integrated project should be published.  

  Open science, citizen science and co-creation agendas should be considered in a 

broader perspective with reference to RRI.  

  The  different  advisory  boards  and  committees  in  Horizon  Europe,  especially  in 
relation  to  emerging  science  and  technologies,  as  well  as  the  mission-oriented 
programmes, should be well-versed in RRI. 

NewHoRRIzon  may  potentially  have  a  significant  impact  on  future  R&I  policy  in 
Europe.  EC  staff  should  be  more  involved  in  the  pilots  and  an  EC  contact  person 
nominated for each social lab.  

NewHoRRIzon  advises  a  shift  from  RRI  being  a  general  ‘cross-cutting  issue’  to 
becoming an explicit policy goal, outlined in clear guidelines for action and that the 
European  Commission  should  develop  and  actively  disseminate  information  on  RRI 
implementation tools.59 

Finally, NewHoRRIzon recommends including the Societal Readiness Thinking Tool in 
the  Horizon  Europe  evaluation  process  by  requiring  applicants  to  include  project-
specific RRI-related questions and reflections with the support of this tool. This step 
would encourage researchers to reflect on their work in relation to societal needs.  

With  respect  to  regional  governance  specifically,  in  collaboration  with  EU  services 
dealing  with  regional  policy, 
the  region’s  design  and 
implementation of smart specialisation strategies and projects funded under Horizon 
Europe  geared  towards  developing  RRI  practices  in  RIS3  strategies  should  be 
strengthened.  

link  between 

the 

A  conference  organised  in  February  2020  by  the  Commission’s  Directorate-General 
for Regional and Urban Policy on ‘Engaging citizens for good governance in Cohesion 
Policy’, aimed to identify new  solutions and approaches to better involve citizens in 
the decision-making process related to the implementation of the cohesion policy.60  

However,  there  appeared  to  be  little  knowledge  of  the  projects  supported  in  SwafS 
that  are  showing  how  to  do  this  in  practice  and  this  know-how  should  be  better 
exploited across Commission services.  

59 Second NewHoRRIzon Policy Brief  
60 High-level conference “Engaging citizens for good governance in Cohesion Policy”, Brussels, 6 February 2020 

34 

 
 
 
 
 
 
 
                                                 
CONCLUDING REMARKS 

Since  2014,  the  projects  funded  under  ‘Science  with  and  for  Society’  contributed  to  its 
primary  aims  set  out  in  the  EU  Regulation  establishing  Horizon  2020,  notably  to 
effectively build cooperation between science and society, recruit new talent for  science 
and pair scientific excellence with social awareness and responsibility.61  

One  of  the  key  ways  of  working  towards  these  three  SwafS  objectives,  and  ensuring 
impact,  is  the  implementation  of  institutional  changes  in  beneficiaries.  This  is 
demonstrated by the Key Performance Indicator for Swafs being ‘Percentage of research 
organisations  funded  implementing  actions  to  promote  Responsible  Research  and 
Innovation, and number of institutional change measures adopted as a result’.62  

The  results  of  a  sample  of  twelve  RRI  projects  revealed  that  almost  250  individual 
institutional change actions are implemented or in the process of being implemented by 
this part of the SwafS portfolio63.  

The  pioneers  of  institutional  changes  are  Gender  Equality  projects  dedicated  to  the 
implementation of Gender Equality Plans (GEPs). Out of 168 institutions involved in GEP 
projects,  130  institutions  (78%)  implemented  or  are  in  the  process  of  implementing  a 
GEP.  

SwafS  will  well  and  truly  surpass  its  target  of  100  institutional  changes  in  beneficiaries 
by the end of Horizon 2020. 

for  example  universities  envisaging 

SwafS stakeholders are in an excellent position to take a leading role in supporting other 
entities, 
transformation.  As 
Commissioner  Gabriel’s  portfolio  encompasses  innovation,  research,  culture,  education 
and  youth,  exploiting  synergies  between  research  and  innovation  and  education  is 
particularly pertinent.  

institutional 

Networking is key to  ensure that projects learn from each other and build on existing 
know-how. Liaising with other SwafS projects was formally encouraged in the 2018-2020 
work  programme  which  foresees  the  inclusion  of  ‘additional  dissemination  obligations’ 
requiring  consortia  to  share  their  strategies  and  methodologies  from  the  outset  with  a 
view to reaping the full benefits of synergies. This grant condition was a key element  in 
efforts  to  build  a  knowledge  and  collaboration  ecosystem.  Project  co-ordinators 
demonstrated strong willingness to work together.  

International  cooperation  is  one  of  the  priorities  of  Commissioner  Gabriel.  SwafS 
projects have embraced international cooperation and involve partners from around the 
world. 

In  practice,  RRI  is  implemented  as  a  package  across  its  five  dimensions:  science 
education, gender equality, ethics, open access/open data and public engagement.  

Science  Education  is  the  basis  for  recruiting  new  talent  for  science.  It  is  crucial  to 
continue  to  invest  in  science  education  to  nourish  young  curious  minds  and  invest  in 
Europe’s  future  researchers.  The  high  submission  rate  of  proposals  throughout  Horizon 
2020 convey the research community’s strong interest in this domain.   

61 Regulation (EU) No 1291/2013 of the European Parliament and of the Council establishing Horizon 2020  
62 Horizon 2020 indicators 
63 This data collection exercise did not cover projects dedicated to gender equality, ethics, or open access/open data, which, to 
various degrees, focus also on institutional changes. 

35 

 
 
                                                 
Integration services offered by the pan-European network of EURAXESS support centres 
for researchers’ careers and their families is an investment in the R&I system and a key 
enabler  of brain and knowledge  circulation and should be considered  part  of the much-
needed  transformations  and  scale-up  mechanisms  to  ensure  an  inclusive,  healthy  and 
attractive work environment for excellent research in the renewed ERA. 

Gender  Equality,  enshrined  as  one  of  the  key  priorities  of  the  ERA  with  a  clear 
commitment  from  the  von  der  Leyen  Commission  reinforces  the  growing  importance 
attached to the Gender Equality Plans (GEPs). GEPs have been a pioneering tool towards 
institutional  change  and  with  Horizon  Europe,  the  aim  is  to  achieve  sustainable  impact 
and a multiplier effect. 

Research  Ethics  and  Research  Integrity  are  fundamental  to  the  credibility  of 
researchers work. Horizon 2020 achievements include establishing a research ethics and 
research integrity community, developing frameworks and operating procedures as well 
as  training.  Horizon  Europe  needs  to  build  on  this  solid  base  to  ensure  ethics  and 
integrity are part of the research approach from the outset.  

Open  access  to  research  outputs  contributes  to  better  science  and  innovation. 
Continued  efforts  are  needed  in  terms  of  improving  the  knowledge  and  skills  of 
researchers on open access matters. 

Engaging citizens is a priority across the European Commission and a key component 
of  Horizon  Europe.  Missions,  constituted  under  Horizon  Europe,  provide  a  unique 
opportunity to test and refine mechanisms for consulting and engaging with citizens. Use 
of citizens’ engagement for the definition and implementation of missions under Horizon 
Europe  is  crucial.  Effective  citizen  engagement  involves  three  stages  of  intervention: 
communication  and  awareness 
raising;  co-design  and  co-creation;  and  co-
implementation.  Toolkits  and  guidelines  produced  by  SwafS  funded  projects  will  be 
useful resources to effectively implement these missions.  

Inclusiveness on all levels underpins SwafS. We need science education for all, gender 
equality in our organisations, ethics and integrity embedded in research, communication 
we can trust,  open  science and ultimately place citizens at the core to ensure excellent 
Research and Innovation to tackle the challenges of today for a better future. 

36 

 
 
 
GLOSSARY 

AM: Additive manufacturing 

CSA: Coordination and Support Action 

CSO: Civil Society Organisation 

DG: Directorate-General 

DG R&I: DG Research and Innovation 

EC: European Commission 

ERDF: European Regional Development Fund 

ESF: European Social Fund 

FP: Framework Programme 

GA: Grant Agreement 

GE: Gender Equality 

GEP: Gender Equality Plan 

H2020: Horizon 2020 

HEI: Higher Education Institutes 

ICT: Information and Communication Technology 

KSP: Knowledge Sharing Platform 

MOOC: Massive Open Online Course 

NGO: Non-Governmental Organisation 

OR: Outermost Regions 

R&I: Research and Innovation 

REA: Research Executive Agency 

RFO: Research Funding Organisation 

RFPO: Research Funding and Performing Organisation 

RIA: Research and Innovation Action 

RIS3: Research and innovation strategies for smart specialisation  

RPO: Research Performing Organisation 

RRI: Responsible Research and Innovation 

S&S: Science and Society 

SiS: Science in Society 

SoP: Standard Operating Procedures 

SSH: Social Sciences and Humanities 

STEM: Science, Technology, Engineering and Mathematics 

SwafS: Science with and for Society 

WP: Work Programme

37 

 
 
 
LIST OF COUNTRY CODES  

AT  Austria 

AU  Australia 

BE  Belgium 

BG  Bulgaria 

BR  Brazil 

BY  Belarus 

CN  China 

CO  Colombia 

CY  Cyprus 

CZ  Czechia 

DE  Germany 

DK  Denmark 

EE  Estonia 

EL  Greece 

ES  Spain 

FI  Finland 

FR  France 

GE  Georgia 

HR  Croatia 

HU  Hungary 

IE 

Ireland 

IL 

Israel 

IN 

India 

IT 

Italy 

JM  Jamaica 

JP 

Japan 

LT  Lithuania 

LU  Luxembourg 

MT  Malta 

NL  Netherlands 

NO  Norway 

PL  Poland 

PT  Portugal 

RO  Romania 

RS  Serbia 

SE  Sweden 

SI  Slovenia 

SK  Slovakia 

TR  Turkey 

UA  Ukraine 

UK  United Kingdom 

US  USA 

ZA  South Africa 

38 

 
 
 
 
BIBLIOGRAPHY 

Commission  of  the  European  Communities,  Commission  working  document,  science,  society  and 
the citizen in Europe, SEC(2000) 1973, Brussels, 2000 

European  Commission,  SWD/2018/307  final,  Impact  Assessment  Accompanying  the  document 
Proposals  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  establishing  Horizon 
Europe, Brussels, 2018 

European  Commission,  In-depth  Interim  evaluation  of  Horizon  2020,  Commission  staff  working 
document, Brussels, 2017 

European Commission, Evaluation of the Sixth Framework Programmes for research and 
technological development 2002-2006, Brussels, 2010 

European Commission, FP6-SOCIETY - Science and society: specific programme "Structuring the 
European Research Area" under the Sixth Framework Programme 2002-2006, Brussels, 2002 

European Commission, Science and Society Action Plan, Brussels, 2002 

Gerber et al, Joint declaration on mainstreaming RRI across Horizon Europe, 23 May 2020 

High-level expert group, Commitment and coherence Ex‐post‐evaluation of the 7th EU Framework 
Programme (2007‐2013), Brussels, 2015  

Italian  Presidency  of  the  Council  of  the  European  Union,  Rome  Declaration  on  Responsible 
Research and Innovation in Europe, Rome, 2014 

Mariana  Mazzucato,  Independent  Expert  Report:  Governing  Missions  in  the  European  Union, 
Brussels, 2019 

Mariana  Mazzucato,  Mission-Oriented  Research  &  Innovation  in  the  European  Union,  Brussels, 
2018 

Official Journal of the European Union, Proposal for a Regulation of the European Parliament and of 
the Council establishing Horizon Europe – the Framework Programme for Research and Innovation, 
laying down its rules for participation and dissemination, COM/2018/435 final, Brussels, 2018 

Official Journal of the European Union, Regulation (EU) No 1291/2013 of the European Parliament 
and of the Council of 11 December 2013  establishing  Horizon 2020  - the Framework  Programme 
for Research and Innovation (2014-2020), Brussels, 2013 

Official Journal of the European Union, Council Resolution of 26 June 2001 on science and society 
and on women in science, Brussels, 2001 

39 

 
 
 
 
 
 
 
 
 
 
Getting in touch with the EU

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Inclusiveness on all levels underpins SwafS. We need science education for all, 
gender equality in our organisations, ethics and integrity embedded in research, 
communication we can trust, open science and ultimately place citizens at the core 
to ensure excellent Research and Innovation to tackle the challenges of today for a 
better future.

Europe can only thrive by matching the immense potential of science with the 
values, needs, and aspirations of society.

Horizon Europe must strengthen efforts to tap into the vast potential citizens have 
to offer and ensure effective cooperation between science and society.

Studies and reports