#  Executive summary

This document corresponds to the first update of the current PROSEU Data
Management Plan (DMP), submitted on August 2018 (D1.2).

The PROSEU project participates in the Open Research Data (ORD) Pilot,
launched by the European Commission (EC), which aims at promoting free access,
reuse, repurpose, and redistribution of data generated by Horizon 2020
projects. Therefore, the purpose of the PROSEU DMP is to provide a description
of the main elements of the data management policy that will be used by the
Consortium with regard to the research data generated and collected during the
project (excluding deliverables for the EC and other dissemination materials).
Specifically, it includes detailed information about:

  * The main research data that the project will collect and generate; 

  

  * How it will be processed, organised, made accessible for verification and reuse; 

  

  * How it will be curated and preserved during and after the end of the project according to the corresponding ethical requirements (detailed on D9.1 and D9.2). 

  

To ensure that all research data produced is managed and shared properly,
according to ethical and technical standards, and to facilitate their reuse by
others in an effective, efficient and transparent way, PROSEU team members
have adopted a series of criteria to follow the FAIR data principles. Overall,
all research data that are final versions will be shared using licences that
permit the widest reuse possible (i.e. Creative Commons licences). Exceptions
are those datasets containing personal data, not-final versions of working
documents, datasets in which PROSEU members are not primary authors, or when a
contractual obligation exists between two parts. These documents will remain
closed and not be openly distributed, nor shared with third parties.

Since the DMP is a _living document_ , this version includes updated
information of all research data generated from month 1 to month 26 of the
project (i.e. March 2018 to April 2020). According to the Grant Agreement, the
DMP has to be periodically updated to include any significant change arisen
during the development of the project, thus, the following update (i.e. final
version) will be delivered on 05/2020.

This document introduces the Consortium’s commitment towards Open Data and
Open Access initiatives to contribute to Open Science principles, and is
structured as follows: Section 1 describes the features of the research data
expected to be generated and/or collected in the project. Section 2 is
dedicated to the principles of FAIR data, that is, how data will be findable,
accessible, interoperable, and reused. Section 3 details the costs and
responsibilities associated with making data FAIR. Next, section 4 addresses
data security issues. Section 5 will describe the ethical and legal aspects
involving the research data collected. Finally, the appendices include the
description and characteristics of the main datasets that have been generated
(or are expected to be generated) within the period covered by this version of
the DMP (until April 2020).

#  Introduction

The PROSEU project participates in the _Open Research Data (ORD) Pilot_ ,
which aims to make the research data generated by Horizon 2020 projects
findable and accessible for others, in order to maximise their reuse with as
few restrictions as possible, while protecting personal and sensitive data, as
well as intellectual property rights (following the premise “ _as open as
possible, as closed as necessary_ ”). Our ambition and responsibility as
researchers is to ensure that all research data produced is managed and shared
properly, according to ethical and technical standards, and to facilitate
their reuse by others in an effective, efficient and transparent way,
following open science practices. In this way, by opening up the research
data, new knowledge may be easily discovered and scrutinised by a largest
community of researchers and stakeholders, such as policy-makers or non-
governmental organisations, among other societal actors.

Therefore, the objective of the PROSEU Data Management Plan (DMP) is to
provide detailed information concerning the datasets that will be generated
during the project, and how these research data will be shared, archived and
preserved during the lifespan of the project, as well as after its conclusion.
Specifically, PROSEU collects data through several procedures, based on
transdisciplinary and interdisciplinary research methods and approaches, such
as: literature review, self-administered questionnaire (web-based); semi-
structured interviews; focus groups; living labs; or quantitative modelling
and scenario analysis, in nine EU countries (Belgium, Croatia, France,
Germany, Italy, Portugal, Spain, the Netherlands, and the United Kingdom).
Since the project’s impacts are dependent on an easy discovery, access and
reusability of the research data, these will be available during and after the
end of the project. Thus, the DMP describes which data can be shared,
including access procedures, storage and long-time preservation. Where
exceptions are necessary due to data protection issues and to confidentiality,
since some data cannot be anonymized and participants are entitled to
confidentiality, the DMP states clearly which data will not be shared. In this
regard, ethical-related aspects of data protection and research procedures
have already been considered in this DMP and are described in more detailed in
the PROSEU Ethics Requirements documents (i.e. Deliverables 9.1 and 9.2).

This document details the research datasets that PROSEU Consortium members
have generated from the beginning of the project until now (M1 to M15), as
well as their expectations regarding the data that will be generated within
the period covered by this second version of the DMP (M16 to M26). The PROSEU
DMP excludes the deliverables for the EC and other dissemination materials,
which will be made publicly available through the EC website, the PROSEU
project website, and the open repository ZENODO. In line with the Grant
Agreement, the DMP will be again updated in deliverable D1.5 (month 27),
corresponding to its final version. The document follows the guidelines on
FAIR Data Management for Horizon 2020 projects and is organised in six
sections that cover the description of the data (Section 1), the FAIR
principles for opening research data (Section 2), resources needed for making
data FAIR (Section 3), data security (Section 4), and ethical aspects (Section
5). A detailed description and characteristics of all datasets covered by this
DMP can be found as an appendix to this report.

#  Data summary

The results obtained within the PROSEU project rely on efficient data
collection from several sources, mainly primary and secondary, which allow us
to determine what incentive structures may enable the mainstreaming of RES
_prosumerism_ and, in so doing, safeguarding citizen participation,
inclusiveness and transparency in the Energy Union. _Collective RES Prosumer
Initiatives_ and other relevant stakeholders involved in _RES prosumerism_
(such as business model experts; FinTech companies; local, national and EU
regulators and policy-makers; technology experts, etc.) will be requested to
provide information about the economic, financial, legal, technological and
cultural factors that drive or hinder the development and consolidation of RES
_prosumerism_ in Europe. Specifically, factors that facilitate or impede
collective energy-responsible behaviour and choices, including data on how
prosumer initiatives deal with issues of participation, inclusiveness, gender,
and transparency.

Specifically, PROSEU researchers collect and/or generate both quantitative and
qualitative data that are used to:

  1. develop a typology of prosumer experiences in Europe that will provide a framework for a meaningful comparison of RES prosumer drivers, barriers, challenges, opportunities and incentive structures across Europe (WP2); 

  

  2. produce a document with concrete policy options for regulatory frameworks that will be directed towards policy makers at EU, national, regional and local levels, as well as a policy brief on the models of participatory governance to inform the development and revision of Member States’ National Energy and Climate Plans (WP3); 

  

  3. illustrate the business model archetypes and innovation potential for European prosumers, and to produce a detailed policy brief on the changes needed to energy market regulations and policy to allow new business models for the Energy Union (WP4); 

  

  4. create EU, national and local technology scenarios to assess the impact of prosumers, as well as the potential drivers and barriers in various political and economic frameworks and climate conditions (WP5); 

  

  5. provide an overview of current financial and non-financial (dis)incentive structures for prosumerism in Europe (WP6). 

  

  

To accomplish this, the PROSEU team members are collecting data via interviews
with experts and focus groups (WP3 and WP4); technological databases (WP5);
workshops (WP6); and, finally, through direct input from RES Prosumer
collectives and other stakeholders (in the form of interviews or workshops,
depending on the interventions conducted in the multiple Living Labs that will
take place across Europe), but also drawing on previous research from other
WPs (WP7). The research data generated will allow us to gain a deeper
understanding of the sociotechnical dimensions of RES _prosumerism,_ and
concretely:

  * To map and characterise RES prosumer initiatives in Europe, and to develop a typology that accounts for their full diversity, achievements and ambitions including sociocultural and socio-economic factors (Objective 1); 

  

  * To examine the current regulatory frameworks and policy instruments relevant for RES prosumer initiatives across the EU to produce updated Member State factsheets and policy briefs on challenges, opportunities, incentives of regulations and policies for prosumers in nine EU member states (Objective 2); 

  

  * To identify innovative business and financial models for RE prosumers (Objective 3); 

  

  * To develop local, national and EU technology scenarios for 2030 and 2050, and technology recommendations for RES prosumers under different geographical, climatic, and socio-political conditions (Objective 4); 

  

  * To propose a set of incentive structures and a roadmap for the mainstreaming of prosumers in the Energy Union (Objective 5); 

  

  * To develop new methodological tools (based on the co-creation and co-learning methods used in the living labs) to facilitate the mainstreaming of _prosumerism_ (Objectives 6 and 7); 

  

  * To create a Prosumers Community of Interest by bringing together relevant stakeholders (Objective 8). 

  

Table 1 and table 2 (Appendix A and Appendix B) provide the updated
description of the datasets that PROSEU partners have collected/generated (or
will collect/generate) within the period covered by this DMP (until April
2020), which are directly linked with the above PROSEU’s objectives. These
tables may suffer further modifications by the addition, removal or rename of
the dataset included, and will be updated in the following (and final) version
of the DMP.

PROSEU Consortium members expect that the research data and outcomes generated
through the project (e.g. deliverables, policy briefs, guidelines, etc.) will
be useful for other researchers from different fields - not only in the social
sciences and humanities, but also in the STEM (science, technology,
engineering and mathematics) sciences, as well as for current and future RES
prosumer initiatives, and their potential allies such the alternative finance
sector, utility and grid operators, and representatives from governments at
the local, regional, national and EU level. Thus, to facilitate the widespread
reuse of the research data, and in this manner enable the reproducibility of
results, PROSEU datasets use widely accepted formats and standards. These
datasets are provided in text (plain text and/or comma delimited) and/or in
numeric formats. PROSEU uses the most common file extensions to save the data
(such as .pdf, docx, or .csv), and follows standard file-naming conventions
and keywords. The data is made available on the online repository ZENODO, a
free of charge repository developed by CERN within the EU project OpenAIRE to
support Open Data management for EC funded multi-disciplinary research, and
shared under the Creative Commons (CC) Attribution (BY) version 4.0 (CC BY
4.0) licence. All of the above, aim to follow the FAIR principles for research
data established by the EC, i.e. data should be Findable, Accessible,
Interoperable and Reusable (FAIR).

#  FAIR Data

The PROSEU project, as participant in the ORD pilot, follows the FAIR
principles for research data,

i.e. data should be **Findable, Accessible, Interoperable and Reusable
(FAIR)** . To do so, PROSEU Consortium members have agreed on establishing a
series of criteria to make data findable by other users (e.g. using metadata
standards, adding keywords, and DOIs, etc.); to address which data may be
accessible via open repository or should remain confidential according to
ethical requirements; to foster the interoperability of the data by allowing
data exchange and reuse (e.g. using standards, or open source); and, to
establish the licences of the data generated to permit the widest reuse
possible.

##  Making data findable, including provisions for metadata

Improving the ability of other researchers, policy makers, and stakeholders to
find and reuse the PROSEU research data is vital to increase the impact of the
project. The standards and good practices detailed in the previous version of
the DMP (Deliverable 1.2) have been followed (i.e. use of metadata, DOI, file-
naming convention and keywords) (see examples shown in Tables 3 and 4,
Appendix C and D). **There are not significant changes with respect to that
version** .

##  Making data openly accessible

As stated in the previous version of the DMP (Deliverable 1.2), public
research data generated is openly accessible via the **online repository
_ZENODO_ ** , a free of charge repository developed by CERN within the EU
project OpenAIRE to support Open Data management for EC funded
multidisciplinary research. PROSEU is already storing research data produced
within the project (i.e. databases and deliverables) on that repository. The
currently available documents are detailed in Table 5 (Appendix E). The direct
links to those documents are the following:

  * **Survey questionnaire (WP2):** _https://zenodo.org/record/3238181#.XPZhPS1Dnq0_ (Self-administered online questionnaire); 

  

  * **Country factsheets (WP2)** :  _https://zenodo.org/record/3247376#.XQdbIC1DnMI_ (ZIP file, 9 country fact sheets) 

  

  * **National Energy and Climate Plans – Preliminary analysis on Prosumerism for 9 EU Member States (WP3)** :  _https://zenodo.org/record/2650933#.XOKCRy9DnMI_ (Dataset, policy analysis) 

  

  * **Assessment of existing EU-wide and Member State-specific regulatory and policy frameworks of RES Prosumers (WP3)** : 

  

_https://zenodo.org/record/2607940#.XOKEGi9DnMI_ (Report; Deliverable 3.1)

  * **Prosumer technology database (WP5)** : 

  

_https://zenodo.org/record/2611147#.XOJ_3S9DnMI_ (Database)

  * **RES Living Labs Operational Plan (WP7):** _https://zenodo.org/record/3236049#.XPE28i1Dnq0_ (Working document; management of Living Labs) 

  

  * **Co-creating models for Prosumerism in Portugal: Our experience working with Living Labs: (WP7):** _https://zenodo.org/record/3236219#.XPE3Hi1Dnq0_ (Conference contribution; abstract) 

  

There is not any highly specialised software tool needed to access the PROSEU
public research data shared on ZENODO. As described in Table 2 (Appendix B),
most of the datasets produced within the project are available in **common
text or numeric format files** (e.g. DOCX, XLSX, ODT, PDF, etc.). When
possible, **open source code** and/or **open source software** (e.g.
LibreOffice) will be used.

Although our ambition is to widely distribute PROSEU research data as open as
possible, **certain datasets cannot be shared or need to be shared under
restrictions** . For instance, datasets containing personal data of
participants (such as names or e-mail addresses, which cannot be anonymized),
not-final versions of working documents, datasets in which PROSEU members are
not primary authors, or when a contractual obligation exists between two
parts, will remain stored in the project’ servers and will not be openly
distributed, nor shared with third parties. Table 6 (Appendix F) details
PROSEU members’ expectations regarding the availability of the project’s
datasets stored in the open repository ZENODO.

##  Making data interoperable

Interoperability of the data (i.e. allowing data exchange and re-use of the
research data between researchers, institutions, organisations or countries)
is ensure by following the good practices and standards for research that were
detailed in the previous version of the DMP (Deliverable 1.2). **There are not
significant changes with respect to that version** .

##  Increase data reuse (through clarifying licences)

The reuse of PROSEU research data by third parties (i.e. other researchers,
policy-makers, and other societal actors) is expected during the project’s
activities. Whenever possible, public research data is shared under the
licence **Creative Commons (CC) Attribution (BY) version 4.0 (CC BY 4.0)** in
order to allow the widest reuse possible. Datasets containing personal data of
participants (such as names or e-mail addresses, which cannot be anonymized),
not-final versions of working documents, datasets in which PROSEU members are
not primary authors, or when a contractual obligation exists between two
parts, remain stored in the project’ servers.

#  Allocation of resources

The costs for making PROSEU research data findable, openly accessible,
interoperable, and reusable (i.e. FAIR), while securing any personal data
collected, were detailed in Table 7 (Appendix G) of the previous version of
the DMP (Deliverable 1.2). **There are not significant changes with respect to
that version** .

#  Data security

The procedures to ensure the correct management (i.e. data collection, long-
term conservation, secure storage, protection, and destruction of data) of all
PROSEU research data as well as any personal data collected from participants
were detailed in the previous version of the DMP (Deliverable 1.2). **There
are not significant changes with respect to that version** .

#  Ethical aspects

The ethical and data protection frameworks that guide the project’s research
practices are in line with the EU key ethical principles and research codes of
conduct, as well as the current regulations on Data Protection (General
Regulation on Data Protection from 25 May 2018, and the EU Directive
2016/679). A detailed description of the ethical and data protection
procedures can be found in the PROSEU Deliverable 9.1 and Deliverable 9.2
(namely, Ethics Requirements 1 and 2), as well as in the previous version of
the DMP (Deliverable 1.2). **There are not significant changes with respect to
those documents** .

#  Other issues

The application of other national, institutional, departmental, or group
procedures on data management, data sharing and/or data security are not
expected at this stage.