1. Introduction 

    1. Scope of this document 

  
  

  

  

This document is the first draft of the SHAPE-ID Data Management Plan (DMP),
presenting the project’s plans for collecting and processing data to fulfil
its commitments under the Horizon 2020 Open Research Data Pilot. The DMP
describes the data generated by the project, how it will be gathered or
created, curated and preserved in compliance with responsible research and
innovation (RRI) guidelines, legal obligations under the General Data
Protection Regulations (GDPR)  1  , and the FAIR Data Principles of ensuring
all data that can be shared is made available in a manner that is easily
findable, accessible, interoperable and permits reuse. The DMP will be
reviewed and if necessary revised during the project in response to any data
processing activities not currently anticipated, or in response to new legal
or ethical guidelines or requirements should they arise in the course of the
project.

  2. Objectives of the SHAPE-ID Data Management Plan 

  

  

The primary objective of the SHAPE-ID Data Management Plan is to ensure clear
procedures are in place for how the project will handle any data collected or
generated as a result of project activities, in compliance with legal and
ethical requirements and FAIR Data Principles. The specific objectives of this
document are as follows:

  * Draw up an initial inventory of data the project is expected to create or collect, including the purpose of the data collection, data origins, type, format and utility; 

  

  * Perform an initial assessment of what data the project can share openly and what must be restricted, ensuring project data is made ‘as open as possible, as closed as necessary’; 

  

  * Define standard measures for making published data Findable, Accessible, Interoperable and Reusable (FAIR); 

  

  * Describe any ethical issues raised by the project’s data processing activities and the procedures for addressing these. 

  

1.3 Roles and Responsibilities

All project partners are responsible for ensuring their own data processing
activities comply with GDPR and relevant national law and with RRI principles
for the ethical conduct of research. As Coordinator, TCD will provide
oversight and will have recourse to the Data Protection Office at TCD for
legal advice where necessary. Any perceived risks concerning the compliance of
proposed activities with legal and ethical requirements should be notified to
the Coordinator as soon as possible.

  2. Data summary 

    1. Purpose of Data Collection/Generation 

  
  

  

  

SHAPE-ID will collect and generate data for the purpose of carrying out
project activities and producing contractual project deliverables for
submission to the European Commission under the terms of the SHAPE-ID Grant
Agreement No 822705. This includes conducting a systematic literature review
and survey (Work Package 2), organising six learning case workshops in
different European countries (Work Package 3), developing and validating a
knowledge framework based on these evidence-gathering activities (Work Package
4), producing a toolkit and recommendations for stakeholders to improve
pathways for Arts, Humanities and Social Sciences (AHSS) integration (Work
Package 5) and disseminating project results to stakeholders, including
creating a Stakeholder Contact Database for this purpose (Work Package 6).

  2. Types and Formats of Data Collected and Relationship to SHAPE-ID Objectives 

  

  

SHAPE

\-

ID Objective

s

Data Collection/Generation

[

with formats

]

  * O2.1: to disentangle the different Literature review data: bibliographic metadata understandings of interdisciplinary research (including abstracts) of articles, book chapters, 

  

(IDR) books, reports and other texts on

  * O2.2: to identify the factors that hinder or interdisciplinarity (‘grey literature’) [csv, xlsx, xml, help interdisciplinary collaboration BibTeX], full texts of books, papers, reports, funding calls, etc. [pdf, txt], for the purpose of 

  

  * O2.3: to clarify which understandings of IDR conducting systematic literature review using 

  

and which factors of success and failure are

qualitative and quantitative methods.

specifically relevant for integrating AHSS in

IDR CORDIS projects data: metadata for FP7 and

H2020 funded projects with interdisciplinary aspects [csv, xlsx] for reviewing
funded EC projects for the purpose of selecting projects for survey.

Survey data: qualitative and quantitative data from a survey conducted with
50-60 participants with experience in IDR projects [csv, xlsx].

Interview data: audio recordings [mp3] and transcripts [docx, txt] from test
interviews with 510 participants in IDR projects to contribute to survey
development.

Project outputs: public deliverables, reports, conference presentations and
journal publications incorporating analysis of this data.

[pdf]

  * O3.1: to test and validate the findings of the literature and survey exercise in interactive thematic workshops related to key societal challenges involving different stakeholders 

  

  * O3.2: to enable comparisons of IDR practices and results with regard to key societal challenges and other emerging missions that Europe faces in the future 

  

  * O3.3: to elicit insights from IDR project representatives and stakeholders and coproduce recommendations on the funding mechanisms and implementation of IDR in practice to provide effective responses to societal challenges. 

  

  * O3.4: to identify adequate and meaningful criteria and indicators to assess IDR, both ex ante (i.e. funding) and ex post (i.e. impacts on society with reference to societal challenges). 

  

  * O3.5 To facilitate exchange of best practices for IDR among existing projects Workshop data: the project will organise six learning case workshops, with approximately 20 invited participants attending each. Participants will have experience in IDR projects, university administration, research funding or research policy-making and the purpose of the workshops is to learn from their experiences and expertise as per the project objectives. Data from the workshops will be collected and analysed, including: written notes, audio recordings [mp3] and evaluation reports [docx] from the workshop; written and/or visual outputs produced by workshop participants (e.g. notes, diagrams, drawings). 

  

Project outputs: public deliverables, reports, conference presentations and
journal publications incorporating analysis of this data. and their
practitioners and experts, as well as to share common challenges and barriers,
developing a network of existing IDR projects and their teams within and
beyond H2020.

  * O4.1: to establish a working system of taxonomic categories for AHSS integration modalities providing a shared language of assessment. 

  

  * O4.3: to organise a consensus meeting for the panel of experts to validate the findings of the project as reflected in the draft taxonomy. 

  

Research data: it is anticipated that the development of the taxonomy or
knowledge framework will involve working primarily with data gathered during
earlier project activities and other bibliographic metadata for publications
and research projects [csv, xlsx, BibTeX]; it is not yet known for certain
what additional data may need to be collected or produced. FAIR data
principles and standard data management procedures as described in this
document will be applied and more detail will be provided in future versions
of the DMP.

Meeting data: an Expert Panel meeting will be organised to validate the
knowledge framework. Data from the meeting will be collected and analysed,
including: written notes and audio recordings [mp3]; panel members’ notes and
evaluation data from panel members and observers/organisers [txt, docx]. This
data will be confidential and used to prepare a report on the meeting’s
outcomes.  
  
<table>  
<tr>  
<th>

• O 5.2: to prepare an agreed set of heuristics, in the form of a multi-
faceted decision-making toolkit, to guide applicants

</th>  
<th>

Research data: it is anticipated that developing the toolkit will involve
working primarily with data gathered during earlier project activities; it is
not yet known what additional data may need to

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

Project outputs: public deliverables, reports, conference presentations and
journal publications incorporating analysis of this data. and funders in
achieving successful pathways to integration.

be collected or produced. FAIR data principles and standard data management
procedures as described in this document will be applied and more detail will
be provided in future versions of the DMP.

Project outputs: the final toolkit will be a public project deliverable
targeted at stakeholder groups and will be widely publicised and disseminated.

  * O6.2: to oversee and coordinate the dissemination of the results emerging from the project to the 4 stakeholder groups to ensure best take up of the project’s recommendations and toolkit in different stakeholder settings. 

  

Contact data: contact data will be collected from stakeholder organisations’
websites or from partners’ personal recommendations to add to a Stakeholder
Contact Database [xlsx, csv, pdf] to be submitted as a public project
deliverable and maintained as a live resource during the project. Individuals’
contact data will also be collected on a voluntary basis through a
subscription form

(hosted by Mailchimp) on the project website. Data from subscribers will not
be shared. All contact data will be used to disseminate project information to
stakeholders.

2.3 Re-Use of Existing Data

  * The systematic literature review makes extensive use of existing data in the form of bibliographic records and metadata, published abstracts and full texts of published journal articles, books and reports, which form the basis for its analysis. Data published openly by the European Commission in its CORDIS database of funded projects and calls is also re-used. 

  

  * The Stakeholder Contact Database is compiled from existing data published on organisations’ website, namely, organisation name, acronym, address, contact email address, description of activities or remit and, where possible, contact person name. 

  

2.4 Origin of Data

  * Bibliographic metadata will be harvested from scholarly communication platforms such as Web of Science, Scopus, JSTOR and OpenAIRE, as well as from partners’ or collaborators’ existing bibliographic libraries where these are shared. Project metadata will be harvested from the European Commission’s CORDIS database. Other repositories and websites will be used as needed. 

  

  * Survey and interview data will be gathered through interviews and surveys with participants who will be invited to participate in these data gathering activities on a voluntary basis. Further data will be produced by analysing this data. 

  

  * Workshop data will be gathered through observation, recording and evaluation of workshop activities and produced by participants of the workshops. Further data will be produced by analysing this data. 

  

  * Contact data will be gathered through organisations’ public websites. Additional information may be provided by contacts on request by email. 

    5. Expected Size of Data 

  
  

  

The exact size of the data generated by SHAPE-ID is unknown but no large-scale
datasets are anticipated and the overall scale is expected to be modest. Most
data will be generated in the course of research activities or as project
outputs following data analysis and taking the form of reports, policy briefs
and other publications.

  6. Data Utility 

  

  

All data collected or generated during SHAPE-ID will be used directly for the
purpose of carrying out project activities, including various forms of
qualitative and quantitative analysis and interpretation of the data.

Research data: some research data generated by the project may be of use to
other researchers, such as metadata libraries on literature or funded projects
engaging in interdisciplinary research. Such data incorporates existing data
and will be made openly available where permitted by the licenses governing
the use of the original data.

Project outputs: project reports, policy briefs, toolkit and other published
outputs will be of use to the project’s stakeholder groups in enabling better
understanding of and supporting successful IDR between AHSS disciplines or
AHSS and STEM disciplines. SHAPE-ID’s four stakeholder groups are:

  * European Research Area (ERA) funders and policy-makers; 

  

  * Research Performing Organisations (RPOs); 

  

  * Researchers in all disciplines; 

  

  * Research users or co-creators in industry, the cultural sector and civil society. 

  

  3. FAIR Data Procedures 

    1. Overview 

  
  

  

  

SHAPE-ID is committed to the Open Research Data principle that all data should
be made ‘as open as possible, as closed as necessary’  2  and with the FAIR
Data Principles that ensure openly published research data is Findable,
Accessible, Interoperable and Reusable. An analysis of the data SHAPE-ID will
collect or produce has been conducted, to determine what level of openness is
possible for each data type.  
  
<table>  
<tr>  
<th>

Work

Package

</th>  
<th>

Data Produced/Collected

</th>  
<th>

Data Sharing

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

2

</td>  
<td>

Literature Review

  * EndNote library of literature 

  

  * Metadata of bibliographic sources and funded projects related to inter- or transdisciplinary research 

  

  * NVivo codebook with nodes and 

  

categories of analysis

  * Results of data analysis 

  

</td>  
<td>

Research data such as Endnote libraries and metadata libraries will be made
available if permitted by the licensing terms of the data re-used in these
datasets. Prior to sharing, Endnote libraries will be exported to a
nonproprietary format such as csv to facilitate reuse.

NVivo codebooks and other internal research data is for internal project use
and is not considered of use or interest to the wider community.

The results of all data analysis will be published in the form of project
deliverables and other publications (see considerations for Project

Deliverables and Project Publications below).

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

2

</th>  
<th>

CORDIS projects data

</th>  
<th>

Datasets derived from the CORDIS FP7 and H2020 projects dataset published by
the EC will be made openly available.

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

2

</td>  
<td>

Interview data

  * Audio recordings 

  

  * Transcripts 

  

</td>  
<td>

Interview data will not be made openly available as it is gathered as an
internal aid to survey development.

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

2

</td>  
<td>

Survey data

  * Qualitative survey data 

  

  * Quantitative survey data 

  

  * Results of data analysis 

  

</td>  
<td>

The survey is under development at the time the first draft of this DMP is
being prepared and details will be updated in the revised DMP. The survey is
expected to produce both quantitative and qualitative data. It is anticipated
that qualitative survey data will not be shared as it will not be easy to
fully anonymise data when participants may be asked questions about their
experiences with specific projects, institutions or funding schemes.
Quantitative survey data may be published in anonymised form if considered of
sufficient value to the research community. All survey data will be analysed
and results of the data analysis will be published as part of a public project
deliverable

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

3

</td>  
<td>

Workshop data

  * Observation notes 

  

  * Recordings and transcripts 

  

  * Evaluation data 

  

  * Participants’ written and visual outputs 

  

  * Results of data analysis 

  

</td>  
<td>

Workshop data will not be shared as it will not be possible to fully anonymise
data when participants are asked to openly discuss both positive and negative
experiences with specific projects, institutions or funding schemes. Results
from the workshops incorporating analysis of data collected during the
workshop will be published as part of a public project deliverable.

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

4

</th>  
<th>

•

•

</th>  
<th>

Knowledge Framework

Research Data (TBC)

Expert Panel Meeting data

</th>  
<th>

The outputs of the development of the knowledge framework are not yet known
but it is anticipated that they will be made as widely available as possible.
Should preparation of the framework yield any additional research data, full
consideration will be given to making it available to the research community
if it is of potential value and if there are no practical, legal or ethical
restrictions to doing so. Data from the Expert Panel Meeting will be
confidential within the consortium and panel. All results and a report of the
meeting will be published as a public project deliverable.

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

5

</td>  
<td>

Toolkit

  * Research data (TBC) 

  

  * Final toolkit and recommendations 

  

</td>  
<td>

The toolkit and associated guidelines will be produced for use by stakeholders
and made widely available. Should preparation of the toolkit yield any
additional research data, full consideration will be given to making it
available to the research community if it is of potential value and if there
are no practical, legal or ethical restrictions to doing so.

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

6

</td>  
<td>

Contact data

  * Stakeholder Contact Database 

  

  * Individual contact data supplied through subscription form 

  

</td>  
<td>

The Stakeholder Contact Database is a public deliverable and will be made
publicly available on the project website and linked to from the associated
published project deliverable.

Contact data provided by individuals through the subscription form on the
project website will remain private in accordance with GDPR.

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

All

</td>  
<td>

Project Deliverables: the project will produce 24 contractual deliverables, 20
of which are classed as Public (PU) deliverables and will be published on
acceptance.

</td>  
<td>

All public project deliverables will be available through the CORDIS database
and on the project website.

Reports and Policy Briefs will be assigned a DOI and deposited in
institutional repositories for long-term storage, access and impact tracking.

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

All

</td>  
<td>

Project Publications: project partners will publish results in conferences and
peer-reviewed journals as soon as feasible after generating results.

</td>  
<td>

All project publications will be published through Open Access where possible
and will be deposited in institutional repositories such as TCD’s TARA and
Zenodo (other institutional repositories are listed in Section 3.3.3 below).

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

  1. Making Data Findable 

  

  

####  3.2.1 Discoverability of Data

All published data will be provided with metadata prepared according to
relevant standards to increase findability. Data deposited in TARA and Zenodo
are described according to qualified Dublin Core metadata which complies with
the OpenAIRE Guidelines for Data Archives  3  and uses the DataCite metadata
standard. It includes the funder name, programme name and grant number as well
as links to associated publications and related sources. These metadata are
optimised by their repositories for exposure on the internet for discovery and
harvesting purposes. In addition, the metadata of SHAPE-ID project outputs
will be included in institutional Current Research Information Systems (CRIS)
(e.g. TCD’s Research Support System) which are capable of data exchange using
the Common European Research Information Format (CERIF).

####  3.2.2 Identifiability of Data

Data will be stored in TARA and Zenodo, both of which automatically assign
persistent identifiers (PIDs) in the form of handles and (in the case of
Zenodo) digital object identifiers (DOIs). For any research outputs not stored
in Zenodo, DOIs will be assigned by TCD Library following its forthcoming
membership of DataCite, a non-profit organisation that provides persistent
identifiers (DOIs) for research data and other research outputs and enables
member organisations to do the same.  4

####  3.2.3 Naming Conventions

Data will be organised using a standardised naming convention, in files within
folders on the project’s shared drive (mirrored by the structure on the
project researchers’ laptops). Version control will be managed within this
system.

The following standard naming convention will be adopted for all published
project data:  5

ProjectAcronym_GrantAgreementNo_WPnumber_Keyword_Version (e.g. SHAPE-

ID_822705_WP2_journalMetadata_1)

####  3.2.4 Approach to Search Keywords

Data stored in the designated repositories will have keywords assigned in
those repositories (which also support full text indexing of all terms within
files and thus full text searching). Data will be tagged with standardised
terms to facilitate specific searches, including (where relevant) but not
restricted to, OECD Fields of Science, EC research areas, themes and missions,
and any terms developed by the project as part of the taxonomy or knowledge
framework that Work Package 4 will produce. These terms will be included in
the subject metadata describing the project’s datasets in the
development/analytical spreadsheets and accompanying the datasets as and when
they are archived in the repositories.

####  3.2.5 Approach to Clear Versioning

All versions will be clearly labelled within the standardised naming
convention outlined in section 3.1.3 (above) and a version history will be
available.

####  3.2.6 Metadata Creation

Metadata for the project data will be captured and recorded at the point of
the data gathering/creation, parts of which (as appropriate) will be mapped to
OpenAIRE/DataCite compliant Qualified Dublin Core for entry into the
designated repositories (accompanying the corresponding data) for access,
archiving and preservation purposes.

Metadata and related vocabularies used by the project will either comply with,
or be mappable to, existing metadata schemas and standard international and EU
vocabularies  6  .

3.3 Making Data Openly Accessible

####  3.3.1 Data to be Made Openly Available

Most project contractual deliverables are classed as public deliverables and
will be made available through the European Commission’s CORDIS database and
the SHAPE-ID project website as well as through the designated repositories.
Data collection and analysis methodologies and the results of the data
analysis undertaken during project activities will also be shared.

####  3.3.2 Data to be Restricted

  * Qualitative research data such as interviews, survey results and workshop or meeting data will not be shared as it would be impossible to fully anonymise results when participants are being asked to comment in detail on specific projects or other initiatives they have participated in. However, for all of this data, the methodology and results of the data analysis will be published in the form of project deliverables, reports and other publications as appropriate. 

  

  * Private contact data supplied by individual subscribers to the SHAPE-ID mailing list will be restricted in accordance with GDPR. 

  

####  3.3.3 Process for Making Data Available

Following a process of data cleansing and checking, open or temporarily-
embargoed data outputs will be uploaded from the project’s shared folder to
suitable institutionally-based or external trusted repositories such as Zenodo
and linked with associated outputs using standardised classification/s and
persistent identifiers (PIDs) such as handles and Digital Object Identifiers
(DOIs). Upon publication of reports and other outputs, supporting data
(anonymised, if necessary, using Amnesia  7  ) will be made openly accessible
in this way as a standard practice.

Documents and published outputs will meet international standards for OA
metadata, licensing and interoperability through Zenodo and through the well-
established, OpenDOAR-registered institutional repositories in each of the
partner institutions:

  * _TARA_ (Trinity's Access to Research Archive) 

  

  * _Edinburgh Research Explorer_ (  using PURE the University’s CRIS as the back engine for the public repository) and/or  _Edinburgh DataShare_ . 

  

  * _RCIN (Digital Repository of Scientific Institutes)_

  

  * _Research Collection_ (ETH Zürich) 

  

These repositories provide a mechanism for the community to store and share
(through optimised online exposure) educational resources, documents, data and
institutional content, supporting harvesting and aggregation. Open by default,
their content is licensed for re-use via Creative Commons. Embargoes may be
applied if necessary but will be strictly limited. The SHAPE-ID toolkit and
associated policy brief will be openly accessible through this infrastructure
and promoted as such to the stakeholders, as well as being made available on
the project website.

Audio-visual and other non-text-based material will be treated as data and
will be stored, managed, curated, licensed and made accessible under similar
terms to the FAIR principles. Where these and other outputs are designed as
teaching and learning materials they will be made openly available and
discoverable online as Open Educational Resources (OER) using best practice
standards and established OER repositories/portals.

####  3.3.4 How to Access the Data

It is not anticipated that any special software will be needed to access the
data. However, should specific software be required, every effort will be made
to ensure that it is open source and easily accessible, e.g. when/if Protégé
8  (the free, open-source ontology editor and framework for building
intelligent systems) is used in Work Package 4, it will facilitate the further
development of the outputs by the project and (subsequently) by other
interested parties.

Most of the SHAPE-ID data will be accessible using commonly available desktop
software used on all platforms (word editor, spreadsheet application, browser,
multimedia player). In some cases, e.g. Endnote libraries, data will be output
to csv (comma-separated values) to support accessibility, interoperability and
reusability.

####  3.3.5 Where to Access the Data

As detailed above, all publicly available project data will be deposited in
institutional repositories such as Trinity’s Open Access repository TARA and
Zenodo. Resources will be linked to through the project website. There will be
no restrictions placed on any data that the project makes open.

##  3.4 Making Data Interoperable

As described above, common bibliographic standards (BibTeX, DataCite) will be
used to ensure the interoperability of bibliographic metadata used to describe
SHAPE-ID datasets. The project data will be made available in common formats
such as csv, txt, xlsx, docx, mp3 and pdf, which are either nonproprietary
formats or can be easily accessed and used with open source software.

As indicated in Section 3.2.6 above, metadata and related vocabularies it uses
will either comply with, or be mappable to, existing metadata schemas and
standard international and EU vocabularies  9  e.g. mapping to Schema.org  10
(the collaborative, community initiative with a mission to create, maintain,
and promote schemas for structured data on the Internet) will be provided, if
required.

The final form of the taxonomy or knowledge framework to be developed in Work
Package 4 has not yet been defined but it will, in so far as possible and
appropriate, be based upon existing data thesauri. The use of SKOS (Simple
Knowledge Organisation System)  11  for the structure of this knowledge
framework is currently under investigation. Should an ontology for AHSS
integration modalities be created as part of Work Package 4, it will be built
using OWL (Web Ontology Language)  12  .

##  3.5 Increasing Data Re-use

###  3.5.1 Licensing Data for Re-Use

All publicly available data will be licensed by default under a Creative
Commons CC-BY license.

###  3.5.2 Time Frame for Data Availability

Data will be made available during the project lifetime once it has been
published in project deliverables or other publications, as deemed appropriate
by partners whose work it concerns. Data may be embargoed until publication of
the results of the data analysis if it is considered necessary. All project
deliverables must be approved by the SHAPE-ID Project Officer before
publication.

###  3.5.3 Accessing Restricted Data or Accessing Data after the Project

All openly available data will be reusable by all interested parties under the
terms of the specified license. Any requests for access to unpublished data
will be reviewed by the project team on a case-bycase basis.

###  3.5.4 Data Quality Assurance

All data collected or generated during the project will be reviewed by the
project team and checked for duplicates and inconsistencies before being made
publicly available. It is anticipated that data utilised and generated in Work
Package 4 will be cleaned using OpenRefine  13  prior to analysis and sharing.

#  Allocation of resources

The costs of making the data FAIR are minimal and activities necessary for
doing so, as described in this DMP, will be carried out as part of the
standard duties of personnel employed by the project, with no additional
costs.

Publicly available data will be stored in institutional repositories (as
detailed in Section 3.3.3 above) and Zenodo with no additional costs to the
project.

Data stored on partners’ local servers does not incur additional costs as the
institutional subscriptions already include sufficient storage. Should
unanticipated storage needs arise in the course of the project this will be
reviewed within the consortium to determine the availability of budget to meet
these needs.

#  Data Security

##  Data Storage

Data collected during the project is stored on secure local servers managed by
partners’ IT Services or IT support teams. Daily backups of partners’ servers
are managed by their institutions’ IT Services in accordance with local data
protection protocols (see Section 7 below). Data used by multiple partners is
stored in a shared Office 365 SharePoint site managed securely by TCD’s IT
Services. Back-ups of the project’s SharePoint resource are routinely and
regularly managed by TCD IT Services. This installation of SharePoint has been
pre-vetted by TCD IT Services to ensure compliance with institutional IT
security policies and with the relevant legislation.

Personal data collected for the Stakeholder Contact Database is stored in the
first instance on this

SharePoint site, and also backed up on a secure network drive at TCD, also
managed by TCD IT Services.

Contact information for the Stakeholder Contact Database and individuals who
subscribe to the SHAPEID mailing list is also stored on Mailchimp servers,
using a paid subscription approved by TCD Data Protection Office.

Free public cloud services such as Dropbox, box or Google drive will not be
used to store data for this project as they do not comply with local or
international policies and/or legislation, with the exception of corporate
services provided by those platforms (e.g. G-Suite), which are compliant with
the relevant data protection legislation.

Laptops and PCs used for data processing are password protected and configured
for security with verified antivirus software. Digital audio recorders will be
used to record audio for interviews and workshops in mp3 format. This data
will be immediately transferred to researchers’ laptops or PCs, stored on
secure local servers and network drives as with other project data, and the
mp3 files deleted from the recording device for additional security and to
protect data subjects’ privacy. Transcripts of these recordings will be made
as soon as feasible as a further backup measure. All paper notes from
workshops or meetings will be stored in locked offices and drawers and
digitised as soon as feasible through transcription or digital photography /
scanning as appropriate.

##  Data Recovery

Where partners are storing data locally for the purpose of carrying out
project activities, nightly backups of all research data collected will be
made by those project members to a separate local drive in each member
institution, or to the SharePoint site. All data stored on the SharePoint site
or TCD network drive is automatically backed up nightly by TCD IT Services.
Additionally, another off-site drive shall be maintained and backed-up
periodically by the partner members responsible for the data in question, e.g.
an external hard-drive device stored in another location. Servers, laptops and
PCs used for processing data during the project are backed up on a daily
basis.

All data collected and managed by IBL PAN are stored on an IBL PAN
institutional cloud drive (G-suite). This data is stored while being
collected, cleaned and prepared for use and eventual publication where
possible. The data does not include any sensitive personal data or other data
with ethical implications. All data is also backed up, encrypted (AES-256) and
stored on the institutional QNAP server allowing for data mirroring and
version history. Final datasets will be uploaded to SharePoint for further
archivisation.

##  Long Term Storage and Data Preservation

Data outputs from this project will be permanently archived in TARA and/or
Zenodo as well as in other appropriate institutional facilities such as
Edinburgh DataShare  14  . TARA uses DSpace-generated preservation metadata
and checksum reporting. TARA is backed up on a nightly basis using standard
database maintenance and backup processes and procedures and institutional
security protocols. Permission is granted via the deposit agreement for the
migration of file formats should this become necessary in the future.
Appropriate additional trusted subject repositories shall be explored in order
to deposit in multiple locations and comply with the LOCKSS (Lots of Copies
Keep Stuff Safe) principle.

##  Contact Data

As described in 5.1 above, SHAPE-ID uses Mailchimp as its mailing list
platform through a paid account operated by the Trinity Long Room Hub at TCD.
All contact data for mailing list subscribers and those added to the
Stakeholder Contact Database will therefore be stored on Mailchimp servers for
the purpose of email communication with contacts. Mailchimp servers are based
in the United States but their practices comply with GDPR through their use of
Privacy Shield.  15  The TCD Data Protection Office has advised that a paid
Mailchimp account may be used for this purpose.

#  Ethical Aspects

Ethical issues arise in SHAPE-ID in several contexts where human subjects will
participate in the research as interview, survey or workshop participants, or
where personal data will be collected for use in project dissemination or as a
project requirement. Where ethical issues have been identified, project
partners are committed to following their own institutional guidelines on the
ethical conduct of research involving human subjects, as detailed in Section
6.4 below.

##  Interview and survey participants

Participation will be voluntary and by invitation. Interview participants will
be experienced researchers or other project stakeholders such as policy makers
and funders. Participants are not expected to be vulnerable individuals or
minors. Participants will be advised on the purpose and scope of the data
collection, and on how survey data will be stored, processed and shared.
Informed consent will be sought in advance of participation. Participants’
names, email addresses and other potentially identifying information such as
details of projects they are involved in or institutional roles may be
collected directly or may be gathered inadvertently through survey responses.
All data will be stored securely, and no identifiable details will be included
in published work using the survey results without explicit informed consent.
A list of projects included in the survey may need to be published as part of
the project deliverable with explicit informed consent of participants.

##  Workshop participants

Participation will be voluntary and by invitation. Workshop participants will
be advised on data collection methods used during the workshop and how data
will be stored, processed and shared. Informed consent will be sought in
advance of participation. Participants’ names, email addresses and other
potentially identifying information such as details of projects they are
involved in or institutional roles may be collected directly or may be
gathered inadvertently. A participant list may be published as part of the
project deliverable with explicit informed consent.

##  Stakeholder Contact Database

Because the Stakeholder Contact Database is a public project deliverable and
will be made available through the project website once approved, it was
decided to separate this database from the mailing list that individuals may
subscribe to through the project website. For individual subscriptions, all
data will remain private.

As the Stakeholder Contact Database includes personal data in the form of
contact names and email addresses, a Data Protection Risk Assessment was
conducted. This was reviewed by the TCD Data Protection Office, who approved
the proposal to gather contact details from partners and from organisations’
websites for compiling the Stakeholder Contact Database and advised that the
legal basis for such processing was GDPR Article 6 (1)(e): "processing is
necessary for the performance of a task carried out in the public interest or
in the exercise of official authority vested in the controller".  16

The following recommendations were made by the DPO and have been implemented:

###  Privacy Notice

A privacy notice was added to the project website, describing how the project
collects and uses data either provided through the mailing list subscription
form or gathered for the purpose of compiling the Stakeholder Contact
Database.  17  This includes information on the purpose and legal basis for
data collection, how the project stores and shares data, and data subjects’
rights, including the rights of access, rectification, restriction, erasure
and objection to processing.

###  Notification of Contacts

It was recommended that data subjects be made aware that their details had
been gathered and added to the SHAPE-ID Stakeholder Contact Database as soon
as possible, with an explanation of the reasons for this and information on
how to opt out.

An email introducing SHAPE-ID, explaining that the project had added the
organisation and/or individual contact name and address to a Stakeholder
Contact Database, how this data will be used, and how to opt out if desired,
was prepared and is sent to all contacts prior to the data being made public,
using Mailchimp to issue emails. A link to the SHAPE-ID Privacy Notice, with
contact details for the Project Manager and the TCD Data Protection Office, is
also included in the email. Where contacts request removal or amendment of
their data this is done promptly.

Contacts may also opt out easily by clicking in the footer of any subsequent
email they receive from SHAPE-ID through Mailchimp.

##  Partner Institutional Guidelines on Research Ethics

Each partner will adhere to their own organisation’s guidelines and practices
concerning the ethical conduct of research and will act in compliance with the
relevant national laws transcribing the General Data Protection Regulations.
Specific guidelines are detailed below where applicable.

###  TCD

TCD complies with the requirements of the GDPR and the Irish Data Protection
Act 2018. As Coordinator, TCD will consult its own Data Protection Office for
guidance on any issues concerning compliance with these legal requirements.
Research in TCD is conducted in accordance with the University’s Policy on
Good Research Practice  17  and the TCD Ethics Policy.  18  Researchers in TCD
are required to seek ethical approval from a School or Faculty Ethics
Committee prior to commencing any research involving human participants. TCD
will seek approval as required from the Faculty of Arts, Humanities and Social
Sciences Ethics Committee.

###  ISINNOVA

ISINNOVA comply with GDPR requirements in all their practices and all data
collection and processing will be carried out in accordance with these
requirements. Furthermore, where derogations are evident, these will be
carried out in accordance with the Italian Data Protection Code (Legislative
decree no. 196/2003, Data Protection Code or DPC) of 2018\.

###  ETH Zürich

Ethical research practice at ETH Zürich is guided by the ETH Zürich Compliance
Guide for Integrity and ethics in research.  19  Details of ethics approval
procedures are available at:  _https://ethz.ch/en/_ _research/ethics-and-
animal-welfare/research-ethics.html_ .

###  UEDIN

Ethics approval for UEDIN’s elements of this research has been obtained from
the University of Edinburgh School of Social and Political Science. The
applicable guidelines are available at
_http://www.sps.ed.ac.uk/research/research_ethics/ethical_review_process_for_staff._

UEDIN complies fully with the requirements of the GDPR and the UK Data
Protection Act 2018.

###  IBL

IBL complies fully with the requirements of the GDPR and the Polish Personal
Data Protection Act of 10 May 2018, as described in local law and
institutional guidelines.

#  Institutional Data Management Practices

In addition to the principles and practices outlined above, a number of
partners are required to comply with their own institutions’ relevant policies
and guidelines on data management.

##  TCD

  * TCD Data Protection Policy:  _https://www.tcd.ie/info_compliance/data-protection/policy/_

  

  * TCD Open Access Publications Policy: 

  

_http://www.tara.tcd.ie/bitstream/handle/2262/80574/TCD%20Open%20Access%20Policy%2_
_81%29%281%29.pdf_

TCD is also working towards implementing the LERU Open Science Roadmap  20
and Ireland’s recentlylaunched ‘National Framework for the Transition to an
Open Research Environment’  21  .

##  ETH Zürich

  * Directive on “Information Security at ETH Zurich”: 

  

_https://rechtssammlung.sp.ethz.ch/Dokumente/203.25en.pdf_

  * ETH Zürich Information Security Guidelines:  _https://ethz.ch/services/en/it-services/itsecurity/guidelines.html_

  

##  UEDIN

  * University of Edinburgh Data Protection Policy (and handbook):  _https://www.ed.ac.uk/records-management/policy/data-protection_

  

  * University of Edinburgh Information Security Policy:  _https://www.ed.ac.uk/informationservices/about/policies-and-regulations/security-policies/security-policy_