#  INTRODUCTION

##  Summary

**NANO2ALL** is a coordination and support action (CSA) aimed at establishing
a European-wide sustainable platform for mutual learning and informed dialogue
among all stakeholders (researchers including social sciences and humanities,
industry/ business, the public including Civil Society Organisations and the
media, as well as policy-makers and research funders) to improve transparency
and societal engagement in responsible nanotechnology. Engaged through
European-wide initiatives, as well as via an online platform making full use
of current communication technologies, stakeholders will exchange best
practice (e.g. from ObservatoryNano, NanoOpinion, NanoEIS and Nanodiode, among
others). They will also develop their understanding of responsible research
and innovation (RRI) and its tools (e.g. based on EthicSchool and RRI Tools).
Based on this, through national and EU level dialogue, stakeholders will
develop an action plan (MLAP) with a shared vision on existing and potential
future benefits and risks of advancing nanotechnology including ways to
support RRI along the value chain. Systemic engagement of policy-makers and
relevant communities will facilitate “buy-in” through co-development of
roadmaps to drive future Joint Stakeholder Undertakings, such as the
Nanofutures ETP. This will result in a permanent platform for future
development of trust, awareness and inclusion, providing guidance on societal
needs and concerns, and fuelling coinnovation that benefits society as a
whole.

In order to achieve the **NANO2ALL** goals, we will deliver during the
lifetime of the project activities where we will gather different types of
data. To be sure to comply with the strict requirements of the European
Commission this Data management plan (DMP) will serve as a manual to describe
the process of gathering the information, preserving and archiving it.

The main findings that will be subject to this DMP refer to:

  * Task 1.1 Nano2All Multi-Stakeholder Platform, in relation to the subscriptions to project newsletters, registrations for getting enrolled in Forum discussions, emails from stakeholders about inquiries and sharing best practices in RRI 

  

  * Task 1.3. Stakeholder contact management 

  

  * Task 1.5. Engaging the Stakeholders, in relation to engagements events and other engagement activities where stakeholder data is collected 

  

  * Task 2.3 Training Needs Self-Assessment Tool, in relation to the online surveys that will be conducted to the various stakeholders 

  

  * Task 2.4 Preparing for the Dialogues, in relation to the face to face training of the stakeholders’ representatives. 

  

  * Task 3.2 Future Techno-Moral & Application Scenarios, where a Delphi survey among selected nanoexperts will be performed. 

  

  * Task 3.3. Multi-stakeholder dialogues 

  

  * Task 3.5. Monitoring and Evaluation 

  

  * Task 4.2 Expert & Stakeholders Validation Symposium 

  

A set of planned datasets is described, including information about the
dataset itself, what it is intended to contain, and what the current plans are
to make the data available during but especially after the project. Where
appropriate, and not otherwise restricted by existing partner agreements, such
data will by default be deposited with the EU zenodo repository
(http://zenodo.org), with a general restriction that any such data should be
used for non-commercial, preferably research purposes.

The commitment to gathering and sharing data, associated with what
**NANO2ALL,** is related also with engaging relevant parties and raising
general awareness. This creates a need to consider ethical oversight, not
least because of related plans to publicise and share our results through
research publication as well as more widely targeted dissemination collateral.

As an initial outline and set of planned activities, this document provides a
summary of discussions already underway within the consortium to fully manage
project data. It will, however, be revised and updated in response to the
practical experiences of the partners and if more sensitive activities are
needed.

##  DMP aim

**NANO2ALL** Data Management Plan (DMP) describes the data management life
cycle for all data sets that will be collected, processed or generated by
**NANO2ALL** project. This document is aiming at outlining the way the
consortium will collect and manage data and information from the involved
stakeholders. It contains:

  * The nature of the data gathered; 

  

  * The methodology used for the collection and preservation; 

  

  * The procedure used for the analysis; 

  

  * The Ethical treatment of participant data; 

  

  * Data Open access to publications 

  

The DMP is not a fixed document as it evolves during the lifetime of the
project. **NANO2ALL** consortium foresees to provide updates at the end of
each reporting period, inside the periodic project reports.

In the early months of the project, there are a number of specific
considerations which will be discussed in the current report, to be further
expanded in the periodic progress reports:

  * How can the project handle the series of multi-stakeholder dialogues and training activities to address knowledge gaps between various types of actors and potential co-production of knowledge? This will include a consideration of the: 

    * different stakeholder categories that will be engaged with the project activities, and 

  

    * various activities that will involve them and generate a remarkable amount of data and knowledge. 

  

  

  * What data sets are currently available, and can they be shared with others? 

  

  * What data sets are going to be developed during the project lifetime? 

  

  * What form do those data sets take? 

  

The purpose of this deliverable is to introduce some of the considerations
under discussion within the **NANO2ALL** consortium in relation to these high-
level concerns.

##  Intended audience

The document is aimed at two different types of readership. First, it provides
an internal record for the project itself and all consortium members to be
able to refer to and understand what plans are in place, and what progress is
being made. Secondly, it serves as summary and stake-in-the-ground for DMP
aimed at external parties interested in the **NANO2ALL** project outcomes (the
Project Officer, researchers, and other stakeholders). Stakeholder
participants include citizens, organisations and experts already involved
Nanotechnologies, as well as those who will join specifically during the
dialogues and who, in particular, may provide input and responses as the basis
for their perspective and needs in the project.

##  Document structure

The next Chapter will begin with a consideration, on the nature of the data
gathered, the methodology used for the collection and preservation, the
procedure used for the analysis, the Ethical treatment of participant data.
Finally, a brief overview of the **NANO2ALL** approach to publishing results
is introduced in the chapter Data Open access to publications.

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#  DATA SET

##  Description of the nature of the data

The main set of Data collected, generated and analysed in the framework of the
**NANO2ALL** project will come from Multi-Stakeholder Platform and dialogues,
and can be classified as:

  1. Profile public data, including: e.g. organisational profiles and contacts, which will be provided, for public use, on the project website, the multi-stakeholder platform, the project events and the public reports. 

  

  2. Personal, survey and evaluation data, acquired by surveys, interviews and case studies developed during the project progress. 

  

  

These two different types of data will each require a unique procedure for
data collection, management, preservation and sharing.

  1. **NANO2ALL** project involves, by definition, engagement with those already involved with or motivated to support prosocial activities in relation to the MultiStakeholder Platform and dialogues (WP1-WP4). All such interactions will involve data, such as contact details and some description of interest and motivation. This profile public data will attempt to capture such information. With the explicit consent of stakeholders’ participants at project activities, the following contact information data will be collected: 

     * Name 

  

     * eMail 

  

     * Address (optional) 

  

     * Contact phone number 

  

     * Nature of interest 

  

     * Online presence (e.g., website, blog etc.) 

  

     * Any additional information (e.g., related projects, initiatives, activities, etc.) 

  

  

  

The data will be largely free form text, and held in a project-wide data
repository. There are no specific standards relevant. The data will be stored
initially in Excel spreadsheet form, which may be converted or backed up as
CSV text.

Initially, the data will be restricted to project partners. Towards the end of
the project, those whose details are contained within the dataset will be
contacted and asked for permission to make the data available solely for non-
commercial purposes and strictly within the context of nanotechnology.

The Multi stakeholder platform (Task 1.1) has the following metadata:

  1. Textual information, translated in all partner languages, about the project (objectives, impacts, expect results) and stakeholders (who they are, their benefits and advantages for being part of the project). 

  

  2. Relevant external sources (opinions, reports, initiatives and events) in a searchable format and with public access; 

  

  3. Relevant best practices, which will be available in the platform, in a searchable format, without restrictions. These practices will be result of the tasks 2.1 and 2.4, but all users are invited to share their own practices in the platform. 

  

  4. Online communication tools (social networks and discussion areas in the platform) will allow us to collect specific information such as: personal data (name, e-mail, country, etc), collected from registration forms, surveys and newsletter subscription. 

  

  5. Promotional materials, such as: flyers, newsletters, press releases and posters. 

  

  

In addition, a database of relevant stakeholders contacts will be developed in
Task 1.3. This database constitutes an excel file, for private use of the
consortium and only available in Basecamp.

And in Task 1.4 a list of relevant initiatives is being produced. This list is
presented in the news and events section in the platform, in a searchable way
and public access.

During the project, the data will be curated by the Data controller (ViLabs).
With consent as indicated in the previous section, the data will be
transferred to Zenodo repository.

  2. Especially, the surveys undertaken in the WPs below, will likely include personal data, or at very least will include data that may introduce a risk that data subjects could be identified, even if their survey data is anonymized: 

     * WP2, under task 2.3, where a short online survey across NfA contacts (NfA members cover all Nano Technology stakeholders’ categories) will be performed so as to triangulate the training needs identified in literature together with a short survey among EUSJA’s contacts to gather their training needs and training preferences, since the media’s training needs on RRI have not yet been identified by any other EU project. Based on the surveys an online tool (NANO2ALL Self-Assessment Training Tool) will be built and the work will be reported on “D2.2 : Online Training Needs Survey report” that will include questionnaires, analysis and results. 

  

     * and WP3, under task 3.2, where a Delphi survey among selected nanoexperts will be performed. Throughout the citizen and multi-stakeholder dialogues, various measures will be taken to maintain the quality of the results. The quality criteria are based on the responsive research methodology as formulated by Guba and Lincoln (1989)  1  : credibility, fairness, and satisfaction. Credibility of the results is firstly enhanced through member check. The Delphi survey, the combination of citizen and multi-stakeholder dialogues as well as the online deliberations all contribute to triangulation. 

  

  

  

##  Methodology of collection and analysis

For all the foreseen research activities the **NANO2ALL** consortium will
apply the following procedures:

  * Non-disclosure and privacy protection statements complying with EU and national legislation will be signed by task leaders and WP leaders and privacy/non-disclosure statements and information on data collection and data treatment will be made available to all respondents to all research actions. 

  

  * Collected data will be: textual answers to an online survey; audio taped interviews and/or textual in depth interviews; pictures, audio and/or videotaped interviews and/or pictures, 

  

  * All collected data will be treated anonymously and numerically identified, 

  

  * Task leaders will be responsible and accountable for data storage and treatment after the end of the project. Collected raw information (texts and audio files of interviews as well as answers to questionnaires) will not be published online and/or made available to the public anyway. 

  

  * For the specific release and dissemination of success stories identified respondents will be involved in the contents design of their ‘story’ and will have to provide written and signed authorization to the release and publication of any audio/video/textual contents related to their own personal experiences. 

  

  * All original, irreplaceable electronic project data and electronic data from which individuals might be identified will be stored on Task Leaders supported media and secure server space or similar; such data will never be stored on temporary storage media nor cloud services, unless fully compliant with national and EU regulation on data protection. 

  

  * All research data will be accessible to partners of the project being in charge of the specific research action, as well as the Ethics auditors. 

  

Especially, the surveys undertaken in WP2 and WP3 will likely include personal
data, or at very least will include data that may introduce a risk that data
subjects could be identified, even if their survey data is anonymised.
Therefore, we will introduce a threestep process to ensure that the data is
anonymised and ensure that participants retain control over the release of
research data relating to them. This will be supplemented by the projects
ethical and data protection protocol (D5.2: Data protection and ethical
protocol, delivered on M18).

First, in describing the survey purpose, **NANO2ALL** partners will populate
information in general terms on the website, within project deliverables and
when presenting the results of the case study research. Furthermore, if
information related to a particular context is so specific that the identity
of the stakeholder is obvious, **NANO2ALL** partners may choose not to release
that portion of the data, or to re-mix stakeholders’ elements in order to
disrupt the link between the stakeholder and the information.

Second, the **NANO2ALL** project will utilise a multi-dimensional consent
mechanism. Surveyed participants will be invited to consent to the survey
itself and the storage, preservation, opening and sharing of their data. Thus,
data subjects can consent to participate in the survey, and decline to consent
to providing open access to their data. This may be particularly useful to
research participants who feel they may be opening themselves up to adverse
effects if their data was made openly available. In all cases, participants
will be given access to their anonymised transcript and invited to make
corrections, amendments, additions, etc. before the survey material is
utilised in any publicly-available documents.

Third, the anonymised data will be made available after an embargo period
corresponding to one year after the close of the case study work package. This
will enable **NANO2ALL** researchers to draft and make available to
participants both project deliverables, which will be publicly available, and
journal articles or other publications, which will also be published as open
access, resulting from the case study research before they are released. This
will give survey participants an opportunity to withdraw their consent for
their survey material to be made publicly available if they have any concerns
based on what is written in the research outputs.

However, if other researchers wish to verify the material, we will construct a
managed access plan to enable such verification, with the understanding that
these other researchers will respect the wishes of the data subject. In order
to aid the preservation and re-use of the survey data, **NANO2ALL** will make
use of existing standards and infrastructure.

It will use the Zenodo repository developed by OpenAIRE/OpenAIRE plus and it
will follow their guidelines in relation to authoring appropriate and useful
metadata. The project will also use standardised format for data sharing – for
example, .txt in respect of survey transcripts originally produced in
Microsoft Word.

As such, we will avoid access barriers related to proprietary software. We
will rely on the good practice developed by the OpenAIRE team in relation to
ensuring the integrity and validity of the data we deposit.

##  Internal project working environment

Basecamp.com, has been decided to be used for the internal management and
collaboration work in the project. In Basecamp, all data is encrypted via
_SSL/TLS_ when transmitted from their servers to the browser. The database
backups are also encrypted.

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#  ETHICAL TREATMENT OF PARTICIPANT DATA

**NANO2ALL** platform, by definition, contains personal data from registered
users and project events  2  . Moreover, WP2 and WP3 will involve the
collection of specific research data from data subjects. The purpose of this
Chapter, therefore, is to set out the basic ethical principles to be adhered
to in the project. Partners involved have many years’ experience in running
both quantitative and qualitative surveys. If and when required, they will
seek ethics approval from their respective institutions prior to any data
collection exercise.

##  Ethical Requirements

A number of ethics requirements are identified and listed in _Table 1_ below.

Table 1 : Ethical requirements for **NANO2ALL**  
  
<table>  
<tr>  
<th>

**# Requirement**

</th>  
<th>

**Status**

</th> </tr>  
<tr>  
<td>

1

</td>  
<td>

Copies of ethical approvals for the collection of personal data by the
competent University Data

Protection Officer / National Data Protection authority should be submitted

</td>  
<td>

As and if required, approval will be sought from the relevant institution(s)
_prior_ to any data collection.

</td> </tr>  
<tr>  
<td>

2

</td>  
<td>

The recipients of the Multi-

stakeholder platform are addressing all stakeholder groups. Because of the
open character of the platform already running, there is a risk of
stigmatization of individuals who use the services of the platform. The
project should describe a strategy to counteract the possibility of

</td>  
<td>

For the operational use of the platform, data is used in compliance with the
existing Terms & Conditions between the partners. These are currently being
reviewed within the project to determine if further explicit consent may be
required, for instance, for data to be stored in a centralised location. This
will inform architectural decisions to be

</td> </tr> </table>  
<table>  
<tr>  
<th>

</th>  
<th>

stigmatization of individual recipients. In addition, a policy about the
possibility of abuse and misuse of the platform for unduly personal gain
should be in place.

</th>  
<th>

reported in WP5.

</th> </tr>  
<tr>  
<td>

3

</td>  
<td>

The platform must explicitly confirm that the existing data is publically
available

</td>  
<td>

See Requirement 2, above.

In addition, an Open Data source which may be used during platform operation
will be used strictly in accordance with the terms of the provider. Such data
are typically public.

</td> </tr>  
<tr>  
<td>

4

</td>  
<td>

Detailed information must be provided on the procedures that will be
implemented for data collection, storage, protection, retention and
destruction, and confirmation that they comply with national and EU
legislation.

</td>  
<td>

In addition to the Data management plan outlined in the preceding sections,
appropriate research protocols will be developed and published D5.2: Data
protection and ethical protocol, delivered on M18.

</td> </tr>  
<tr>  
<td>

5

</td>  
<td>

Detailed information must be provided on the informed consent procedures that
will be implemented

</td>  
<td>

See requirement 4 above.

Notwithstanding research protocol details to be provided in D5.2: Data
protection and ethical protocol, delivered on M18).

</td> </tr>  
<tr>  
<td>

6

</td>  
<td>

In case of data not publicly available, relevant authorisations must be
provided

</td>  
<td>

There is currently no plan to release data which is not publically available.
As outlined under Requirement 4 and 5 above, procedures are already being set
out as guidelines for data handling.

</td> </tr>  
<tr>  
<td>

7

</td>  
<td>

The project must clarify whether children and/or adults unable to give
informed consent will be involved

</td>  
<td>

There is no plan to recruit or involve any minors or vulnerable adults.

</td> </tr>  
<tr>  
<td>

</td>  
<td>

and, if so, justification for their participation must be provided.

</td>  
<td>

</td> </tr> </table>

In the following sections, the overarching ethical and data protection
framework for the project are discussed, and will continue to be referred to
and monitored during project meetings. Any changes to the above will be
reported in the periodic progress reports and, if warranted, discussed
directly with the Project Officer.

##  Reference material

The overall approach in the project, notwithstanding specific provisions under
the legislation of individual Member States, is based on the following EU
legislation:

**Directive 95/46/EC** forms the basis for legal management of personal data
and data protection in general (European Commission, 1995).

This has been extended in the **Directive 2002/58/EC** with guidance on data
protection should data be transferred via public connections (European
Commission, 2002)  3  .

In addition to these legal instruments, and leading on from Directive
95/46/EC, a working party (WP29) was set up by the European Commission to
consider and share opinion on specific issues of data protection and handling.
In the context of **NANO2ALL** , we are specifically looking at information on
anonymization at this time (WP29, 2014)  4  .

##  Definitions

This section provides a few definitions as they relate specifically to the
project. This is not an exhaustive list as provided, for example, in (Article
2: "Definitions" European Commission, 1995, No L 281/38f).  
  
<table>  
<tr>  
<th>

Data controller

</th>  
<th>

“’controller’ shall mean the natural or legal person, public authority, agency
or any other body which alone or jointly with others determines the purposes
and means of the processing of personal data” (European Commission, 1995,
Article 2, Paragraph (d))

For **NANO2ALL** , there is discussion at the present time to establish
appropriate general guidelines for the Data controller. As an initial
framework, we are suggesting:

  1. By default, SPI as project co-ordinator, will act as Data 

  

  

controller;

  2. For existing data, all partners will remain data controller solely in respect of the data they use for the purposes of their current activities; 

  

  

</th> </tr>  
<tr>  
<td>

Data processor

</td>  
<td>

“’processor’ shall mean a natural or legal person, public authority, agency or
any other body which processes personal data on behalf of the controller”
(European Commission, 1995, Article 2, Paragraph (e))

As above, the initial framework would correspondingly involve by default, WP
leaders (within the context of their WPs) will act as Data processors for all
data collected, generated and analysed to their perspective WP.

</td> </tr>  
<tr>  
<td>

Data subject

</td>  
<td>

“an identified or identifiable natural person” (European Commission,

</td> </tr> </table>

1995, Article 2, Paragraph (a))

For the purposes of **NANO2ALL** , Data subjects will be all stakeholders’
participants that will be recruited to be engaged to the WP activities. They
will be presented with a separate Consent Form requesting their agreement for
the collection and specific processing of their data for the purposes of the
project surveys.

The project partners are currently reviewing any consent forms or terms and
conditions to provide a baseline for future engagement and the use of personal
data, for example, as part of dissemination materials.

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#  DATA OPEN ACCESS TO PUBLICATIONS

Notwithstanding any provision relating to data subject rights and on the basis
of what has been outlined for specific data sets, it is by definition the
intention of the **NANO2ALL** project to share and publicise information as
widely as possible. The following briefly outlines current plans in relation
both to scientific publication as well as more general materials providing a
description of the project and reports on specific events.

##  Dissemination materials

The project will produce a set of leaflets and brochures to describe the
project itself, any specific white-paper style discussion of the problems of
nanotechnology, and to highlight individual events. The specific plan for what
publications will be produced will be discussed in the annual communications
reports (D1.2-D1.4).

These are intended for publication primarily through the project website, with
additional references and links from individual partner sites as they relate
to or are relevant to the specific environment within which end-user partners
operate. Publication on the project website will also include all project
deliverables, with the exception of the two which are confidential to the
consortium, as well as informative videos providing further detailed
information about different aspects of the **NANO2ALL** activities.

##  Scientific publications

Scientific publications will all be targeted at open access journals in the
first instance, unless specifically made available within a conference or
other such event. DOIs will be generated by the journal initially.

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#  CONCLUSIONS

This version of the DMP as anticipated is a first version that will be updated
during the lifetime of the project and if needed more activities which are
sensitive in terms of data management plan might be added.

Although the **NANO2ALL** project has only recently begun (in October, 2015),
it is already appropriate to outline how the project will handle existing
data, from the usecase partners, along with future data. Such data will be
collected and processed in connection with the platform development (WP1) and
the Multi-stakeholder dialogues (WP3), so important to inform and support the
longer term benefits of the project.

With that in mind, in the preceding chapters, the report has introduced key
concepts and set out generalized guidelines for data management. This has to
include the identification of suitable stakeholders and interested parties,
but also take into account the value and potential sensitivity of the data
which will be generated during the project.

Such data, it is expected, will be generated as a result of operation of the
platform and the stakeholders’ engagement. But in addition, data will also be
created in terms of survey responses as part of the Dialogues preparations
planned.

In consequence, there is also a need for ethical oversight and governance, as
well as some consideration of how and when to make data and information
available. We have already outlined here the relationship between partners in
terms of data management responsibilities (Data controller vs Data processor).
We also foresee not only typical dissemination materials, such as brochures,
whitepapers, and the like, but additionally as research papers and conference
presentations, making the ethical oversight of data an important aspect of the
work being started.

This report has therefore sought to bring together all of the related strands
in a first iteration of the project data management. There are some
discussions to be held as the project progresses so that the plans outlined in
this report can be adapted as required to meet new demands as they occur, and
to exploit the experience of the close collaboration of the various partners
in the consortium.

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