#  1\. INTRODUCTION

##  The study

To support further product development and effective widespread uptake of
climate services, as a means to boost mitigation of and adaptation to climate
change as well as capabilities to cope with climate variability, the European
Commission has included several actions in its current research programme
Horizon 2020 (H2020). Essentially these actions follow from the logic to
implement the European Research and Innovation Roadmap for Climate Services
(cf. European Commission, 2015)

EU-MACS and its twin project MARCO deal with analysis of the climate services
market. In addition demonstration calls were launched on the added value of
climate services for supposedly high value added sectors with hitherto little
uptake of climate services (SC5-01-2016-2017), while other actions focus more
on networking activities interlinking to better connect relevant players, such
as the Coordination and Support Action (SC5-05b-2015) called Climateurope. In
addition the ERANET for climate services (ERA4CS) is a programme that contains
both testing of particular types of climate services in selected sectors and
exploration of suitable climate service types for selected sectors.

An extremely important sub-programme in H2020 is the COPERNICUS Climate Change
Service (C3S) programme, which aims to generate a very comprehensive coherent
and quality assured climate data set meant to support mitigation and
adaptation planning, implementation and monitoring. In due course, also coping
capabilities of (current) climate variability are addressed.

In this framing, EU-MACS – European Market for Climate Services – will analyse
market structures and drivers, obstacles and opportunities from scientific,
technical, legal, ethical, governance and socioeconomic vantage points. The
analysis is grounded in economics and social sciences, embedding innovation
theories on how service markets with public and private features can develop,
and how innovations may succeed.

##  The scope and remit of this report

The project EU-MACS does not produce new climate services itself, neither is
it engaged in the processing of climate data or impact data as such. Instead,
EU-MACS collects different types of (meta)information regarding the ‘field of
climate services’ and the ‘climate services market’ (the market being a subset
of the field). Apart from literature study, the typical ways of collecting
information are surveys, interviews, workshops and internet based interaction
formats. In addition, the project assembles stakeholder lists based on
snowballing among the consortium partners and some key contacts, contacts
during outreach activities, and stakeholder feedback via the website and
twitter. Furthermore, purpose designed interaction formats, such as Living Lab
embedded workshops and web based explorations on climate service design
preferences, are used.

Given the nature of these data not only maximization of access to research
data is an issue, but also data protection considerations. As regards data
protection, two types of potential limitations on openness play a role, being:
(1) personal contact information, and (2) attribution of characteristics or
opinions to participating organisations or their representatives. The
implication is that for a part of the collected information only meta-
information can be provided freely, whereas the actual research files (e.g.
interviews) can only be made available under stringent conditions (such as
‘view only’) and only for the academic purpose of peer review and duplication.

This report is meant to give the consortium partners guidance in how to
collect, store, share and describe data with the aim to promote the objective
of open access to research data, under the conditions of the Grant Agreement
and the Consortium Agreement, while abiding to the EU regulation on data
protection, (EU) 2016/679  1  ). In addition to providing guidelines, the
project EU-MACS pursues also an open data pilot in order to tangibly promote
the access to research data via EUDAT  2  .

This Deliverable is a living document, which may be revised during the
project. The first version will be formally submitted as Deliverable to the EC
Project Portal.

##  Structure of the report

Chapter 2 briefly reviews the principal guidelines regarding open data access
and data protection for this project. Chapter 3 gives a detailed account of
the collected and processed information. Chapter 4 presents the guidelines for
properly assembling and storing the project’s datasets. Chapter 5 describes
the implementation steps planned in order to effectively support open data
access by means of EUDAT, while honouring applicable data protection
principles. Annex 1 – provides an insight in the description of the metadata.

#  2\. PRINCIPAL GUIDELINES

##  Open data

  * Information generated by the project EU-MACS, either as intermediate or as final product, should as much as possible be made available for reuse by third parties; 

  

  * To make availability meaningful for third parties the information should be: 

    * Easy to find and identify o Described in accompanying meta-information in order to adequately facilitate the judgement of a potential user regarding the usefulness of the considered data; this should include information on the origin, observation technology, and post-processing of the information 

  

    * Clearly organised in datasets with adequate use of object/variable labels and definitions o Submitted to a commonly agreed quality control prior to definitive submission o Accurate (at the time of its collection) 

  

  

  * Information planned to be made accessible for third parties should be reviewed with respect to data protection regulation _prior to its submission_ to facilities meant for retrieval by third parties and should be sufficiently anonymised or conversely sections of the considered datasets should not be submitted to such facilities; in the latter case meta-information disclosing that such information exists and is in possession of one or more consortium partners can be submitted to such facilities; 

  

  * All consortium parties should inform the consortium coordinator about the data collected and processed in the EU-MACS project by using a preformatted table provided by the coordinator; this meta-information table will be made available to all consortium partners; the coordinator should see to it that the meta-information table is regularly updated during the project; 

  

  * If there are no objections from the point of view of the Grant Agreement and of the Consortium 

  

Agreement, and if the considered data are not subject to sharing limitations
due to Regulation EU 2016/679, collected and processed data are supposed to be
made available for third parties by means of the Open Data Pilot (see below).
An exception can be made for those data of which a majority of the consortium
is of the opinion that there is no value added for third parties or if the
manager of the data repository service is not interested in the submission;

  * For data that cannot be shared, meta-information will be made available for third parties, as much as possible; 

  

  * After submission of data for the Open Data Pilot, and after quality control has shown that all conditions are met, consortium parties are not obliged to provide further support free of charge with respect to possible maintenance of the submitted data. An exception to this principle applies when preventable inadequacies are detected after submission and quality control. 

  

  * Files to be made accessible for third parties will be declared under Creative Commons Licensing system; the recommended options are  3  : 

    * Attribution-ShareAlike 4.0 International (CC BY-SA 4.0) o Attribution 4.0 International (CC BY 4.0) 

  

  

##  Open data pilot

  * In the Open Data Pilot data generated in the EU-MACS project will be uploaded to the EUDAT facility (  _https://www.eudat.eu/_ )  and/or to the Finnish Social Science Data Archive (FSD;  _http://www.fsd.uta.fi/en/data/index.html_ )  depending on the nature of the files, while an effort will be made to advertise the availability of these data to third parties; 

  

  * It is the ambition of the Open Data Pilot to upload all eligible data generated in the EU-MACS project, where eligibility refers to limitations following from the Grant Agreement, the Consortium Agreement, or the Regulation EU 2016/679; 

  

  * In order to be able to upload eligible data in a systemized way a set of preparatory actions should be carried out related to selection, quality assurance, data protection review, metainformation, consent from third parties, and formatting of datasets; 

  

  * In order to formulate guidelines for selection, quality assurance, data protection review and metainformation the Executive Board will nominate an Open Data Pilot (ODP) committee; the ODP committee will oversee the adequate implementation of the Open Data Pilot, with support from the project’s information integrity officer; 

  

  * The ODP committee will manage a table of potentially eligible data in the common workspace of the EU-MACS project, and ensure it is regularly updated regarding the declaration of eligible datasets; 

  

  * The ODP committee can delegate the actual technical preparations and uploading of datasets to the designated partner(s); 

  

#  3\. TYPES OF DATASETS IN EU-MACS

##  Survey data

Up to now, one survey has been held by means of an online questionnaire. The
questionnaire counts 42 questions. Some questions are multistage and others
allow for more than one entry. The questionnaire is addressing both climate
service providers and users, for whom partly common and partly distinct
questions are presented. Apart from respondent characterization all questions
have to do with awareness of, experiences with, and pre-conditions for climate
services and their development. The online questionnaire starts with an
explanation of the purpose of the questionnaire and the characteristics of the
EU-MACS project.

The response types include numerical information, predetermined choice
options, and text.

The current number of valid questionnaires is about 150, but we aim to raise
this to 200 at least.

The questionnaire results have been collected in an EXCEL file. The
respondents are anonymous, and only needed to indicate type of organisation
and country from which they operate.

In case of future surveys with identifiable respondents, the publishable file
contains a respondent sequence number, while the actual respondents’
identities are stored separately.

More information on the survey and its results can be found in Deliverable
1.1, and to some extent in Deliverable 1.2. (  _http://eu-macs.eu/outputs/#_
>> Reports)

##  Interviews

Various consortium partners have conducted interviews, mostly by phone or
video connection, sometimes face-to-face. Most interviews are of a semi-
structured nature. Interviewees are informed in advance (by email) about the
purpose and context of the interview, and are requested to sign and return an
informed consent form (scanned pdf). Interview summaries are sent to the
interviewees for comments and approval. Interviews have also been recorded
(voice).

Neither the recordings nor the individual interview summaries are public
research material, but may be made accessible for academic peer review
purposes. Syntheses of clusters of interviews can be considered for
publication. Also the basic sets of questions for the semi-structured
interviews can be published.’ Synthesizing interpretations of the interviews
are presented in various WP1 deliverables.

##  Workshops

The Work Packages 2, 3, and 4 (hereafter WP2, WP3, WP4) organize workshops
with representatives from the focus sectors, finance (WP2), tourism (WP3) and
urban planning (WP4). The programme and activity descriptions (assignments) of
these workshops are available as internal documents. The same applies to the
internal detailed reports of the workshops. Summaries (impressions) of the
workshops are published in the project’s communication channels, such as the
Newsletter. The programme, activity descriptions (assignments) and the
published summaries are eligible for publication and submission of copies to
third parties. As with the interviews the detailed internal reports are only
available for academic peer review purposes. Some highlights of the results
and their interpretation will be presented in WP2, WP3 and WP4 deliverables.

##  Web based interactive explorations (bidding games)

For WP2 and WP3 internet based serial questionnaires are used to elicit
information on inclinations and tendencies of different types of users with
respect to climate service product features and provision modes. The
anonymized results will be made available for 3  rd  party use, provided the
respondent numbers are large enough. Summaries of the results and their
interpretation will be made presented in WP2 and WP3 deliverables.

##  Stakeholder registry

The stakeholder registry combines the collected contact information from
interviews, workshops, encounters in events, and other contacts, with the
exception of the internet based survey responders. The stakeholder registry is
only for internal project purposes and is not supposed to be accessible for
people outside the EU-MACS consortium. A protected version of the stakeholder
registry is available in the protected common work space of the project.

The stakeholder registry will be evicted after the conclusion of the project.

#  4\. PRACTICAL GUIDELINES FOR ASSEMBLY AND STORAGE OF DATASETS

##  Survey data

####  Data format

Even though original source data need to be kept, in case errors are found
later, the target dataset discussed here is a database format which enables
easy use, both as such (e.g. as EXCEL ® or ACCESS ®) and as source file for
another data handling programme (SAS®, MATLAB®, etc.), and enables also
metadata specification.

**Meta data can in principle contain the following variables:**

  * Creation date / period 

  

  * Creator (name; email) 

  

  * Owner(s) (organisation(s) + prime contact) 

  

  * Original purpose; project 

  

  * Level of openness; Allowed types of re-use (incl. license version of Creative Commons 4.0) 

  

  * Number of variables 

  

  * Variable list (incl. applied units, resolution, observation method, post-processing steps) 

  

  * Observation or measurement period 

  

  * Number of observations 

  

  * Number of respondents (if not same as number of observations) 

  

  * Anonymization method 

  

  * Kind of quality check (none; visual; simple checks on allowable ranges and plausible scores; …) 

  

  * Handling of missing data (none; …) 

  

####  Storage

  * During the project: in the common workspace 

  

  * In the Finnish Social Science Data Archive (FSD) and linked from the EUDAT service at the latest starting at the end of the project 

  

##  Interviews

####  Data format

  * Audio and audiovisual files of recorded interviews 

  

  * Transcripts of interviews (text file) 

  

####  Meta data

Interview datasets are in principle not public, but their archiving should
nevertheless allow for tractability in case of later needs for peer review.

For each audio- and audiovisual file a separate small (text) document has to
be made, containing the metadata of the file of interest. In additional a
summary meta-data overview for all (audio)visual file and transcripts belong
to the same interview collection can be made.

  * Creation date / period 

  

  * Creator (name; email) 

  

  * Owner(s) (organisation(s) + prime contact) 

  

  * Purpose; project 

  

  * Level of openness; Allowed types of re-use (see Creative Commons 4.0) – if any 

  

  * Interviewee(s) – if allowed to disclose 

  

  * Length of audio-recording in minutes 

  

  * Length of transcript (number of words) 

  

  * Used questionnaire (if any) 

  

  * Informed consent form 

  

####  Storage

  * During the project: transcript text files in the (protected) common workspace; (audio)visual files offline 

  

  * Files should be kept available for at least 5 years after the end of the project in case of peer review requests 

  

##  Workshops

####  Data format

  * Audio and audiovisual files of recorded interviews 

  

  * Transcripts of interviews (text file) 

  

####  Meta data

Workshop datasets are in principle not public, but their archiving should
nevertheless allow for tractability in case of later needs for peer review.
See interviews for suggested meta data contents. For workshop files the
precise relevant contents is case specific.

####  Storage

  * During the project: in the (protected) common workspace; 

  

  * Files should be kept available for at least 5 years after the end of the project in case of peer review requests 

  

##  Web based interactive explorations (bidding games)

**Data format**

Easy accessible and usable format, i.e. EXCEL®, ACCESS®, or comparable

**Meta data**

Same guidelines as for surveys.

**Storage**

Same guidelines as for surveys.

##  Stakeholder registry

**Data format**

Same guidelines as for surveys.

**Meta data**

None, except indication on openness, i.e. only for project internal use.

####  Storage

  * During the project: in the protected common workspace; 

  

  * After the project: dataset should be discarded 

  

#  5\. IMPLEMENTATION STEPS

##  Organising data sets and their storage during the project

  * WP leaders in cooperation with the coordinator and the information integrity officer will review that the relevant datasets are properly uploaded to the common workspace. Where necessary protected subsections and/or keyword protection by file will be applied. 

  

  * The established situation will be reviewed by the information integrity officer 

  

  * First, the situation for already existing files will be reviewed in January and February 2018. Subsequently the same procedure will applied to newly created files. 

  

  * The evolution in the stored datasets will be monitored by the information integrity officer. 

  

##  Archiving datasets after the project has ended

  * Designated eligible files will be transferred to the Finnish Social Science Data Archive (FSD) and announced to EUDAT by the coordinator. 

  

  * Designation of eligible files will be prepared by the Open Data Pilot (ODP) committee and approved by the General Assembly of the project. These decisions should be made before the termination of the project (31.12.2018). 

  

  * The agreements between FMI, FSD, and EUDAT will be reviewed by the information integrity officer. 

  

#  6\. SUMMARY OF DATA GENERATED DURING THE PROJECT

##  Brief description of generated data by type of information

In the various EU-MACS work packages, information was collected and evaluated
on the basis of a web survey, interviews and workshops.

####  Web-Surveys

The web survey aimed to collect information from providers and users of
climate services on barriers related to the development and uptake / use of
climate services in political, economic, social, technological, ethical and
legal / regulatory respects. It also addressed topics such as resourcing and
quality issues.

The survey was organised in two branches; one provider-specific and one user-
specific branch. Each branch itself was organised in three loops. The survey
consists of 121 questions in total including open and different forms of
closed questions (e.g. multiple choice, rating on 5-Point Likert Scales etc).
Participants were routed through the survey based on their responses. None of
the participants had to go through all questions.

169 participants took part in the survey, of which 109 considered themselves
as a provider (which also includes intermediary providers or so-called
purveyors) and 60 as a user. None of the participants had to provide any kind
of personalized data. The results of survey are available as an excel file.

In WP2 and WP5 web surveys failed to attract notable numbers of respondents.
The modest material from these surveys has been used to provide further
support to certain statements and insights In D2.1 and D5.2, but there is no
point in uploading these files to a repository.

####  Interviews

Interviews were mainly conducted in the three case study sectors finance,
tourism and urban planning with both, providers and users of climate services.
Additional interviews were conducted in WP1 related to quality assurance with
climate services providers only and in WP5 to receive additional views on the
conclusions drawn.

In many cases the interviews provided a forum to discuss also confidential
details, only to be shared in a safe environment and with the knowledge that
the shared information will only be used in an aggregated manner. Furthermore,
the informed consent form for the interviewees promises confidentiality of the
interview. Nevertheless, all interviews have been either recorded (with
approved transcripts created afterwards) or trans-scripted.

The information collected during interviews are stored as recorded files and /
or (approved) trans-scripted text documents. In only very few cases the
documentation only contains of some notes taken during the interviews.

####  Workshops

Workshops were conducted in two out of three case study sectors, i.e. tourism
and urban planning. Participants represented mostly users of climate services
but also few climate services providers. Main parts of the workshops were
dedicated to Constructive Technology Assessment (CTA). The CTA part of the
workshop offered a set of specific viewpoints to consider scenarios of using
climate services, while at the same time giving ample space for discussion of
aspects stakeholders find important. Another element of the workshops was a
discussion on typical business cases for climate services use in the two
sectors.

Even though, proper documentation of the workshops has been done, workshops
did not generate material which merits to make generally available that goes
beyond the processed products and syntheses as can be found in the respective
deliverables of WP3 and WP4.

##  Proposition for data to submitted to open data repository

Not all information collected in EU-MACS through a variety of interaction
formats can be made accessible for the reasons given above. The original files
are stored for five years by the organisations that collected the information.
Access can be granted upon request to the owner of the information under
conditions in accordance with the Consortium Agreement. However, the original
files will under no circumstances be made available for commercial purposes.

While the survey does not contain any personalized or confidential
information, the interview records and transcripts do. The same applies to a
proper workshop documentation. Therefore, the following information on the
various interactions and information will be made available:

  * The survey will be made available both in terms of a file providing some meta-information as well as the excel file providing all responses from all 169 participants. 

  

  * For interviews and workshops, only meta-information will be provided. 

  

The meta-information follow the guidelines and principles presented in chapter
4 and are made available as pdf files (see also annex 2), which will be
uploaded to the Finnish Social Science Data Archive and announced to EUDAT by
the coordinator.