enabling seamless electromobility through smart vehicle ...€¦ · h2020 gv-8-2015 electric...

H2020 GV-8-2015

Electric vehicles’ enhanced performance and integration into the

transport system and the grid

Enabling seamless electromobility through smart vehicle-grid integration

Project Nº 713864

Electrific

D10.1 - H ‐ Requirement No. 1

Responsible: GFI

Contributors: FM, Bayernwerk, E-Šumava, UNIPassau, UNIMA

Document Reference: D10.1 - H ‐ Requirement No. 1

Dissemination Level: Confidential

Version: 1.0

Date: 14/11/2016

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D10.1 - H ‐ Requirement No. 1 14/11/2016, Version: 1.0

Executive Summary

This document, “D10.1 - H ‐ Requirement No. 1” provides information on key ethical issues

concerning research activities as identified and established according to the European Union

(EU) and national directives. It is focused on the procedures adopted by the partners to carry

out the action in compliance with (i) ethical principles (including the highest standards of

research with Humans – as set out, e.g., in the European Code of Conduct for Research Integrity – and, in particular, (ii) applicable international, EU1, and national laws.

1 DIRECTIVE (EU) 2016/680 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 27 April

2016 on the protection of natural persons with regard to the processing of personal data by competent

authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences

or the execution of criminal penalties, and on the free movement of such data, and repealing Council

Framework Decision 2008/977/JHA.

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Contributors Table

DOCUMENT

SECTION

AUTHOR(S) REVIEWER(S)

1 Aura Cifuentes-Gallo (GFI Fr) Wolfgang Duschl (Bayernwerk), Jaroslav Červinka (E-Šumava), Ammar Alyousef (UNI Passau), Celina Kacperski (UNIMA), Benedikt Kirpes (UNIMA), Jean-Luc Sonnet (FM), María Pérez Ortega (GFI Be), Matej Matejicek (GFI Be)


3 Aura Cifuentes-Gallo (GFI Fr), María Pérez Ortega (GFI Be), Matej Matejicek (GFI Be), Jean-Luc Sonnet (FM)

Wolfgang Duschl (Bayernwerk), Jaroslav Červinka (E-Šumava), Ammar Alyousef (UNI Passau), Celina Kacperski (UNIMA), Benedikt Kirpes (UNIMA), Jean-Luc Sonnet (FM), María Pérez Ortega (GFI Be), Matej Matejicek (GFI Be)

4 Aura Cifuentes-Gallo (GFI Fr), María Pérez Ortega (GFI Be), Matej Matejicek (GFI Be), Celina Kacperski (UNIMA)

Wolfgang Duschl (Bayernwerk), Jaroslav Červinka (E-Šumava), Ammar Alyousef (UNI Passau), , Benedikt Kirpes (UNIMA), Jean-Luc Sonnet (FM), María Pérez Ortega (GFI Be), Matej Matejicek (GFI Be)



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Table of Contents

I. INTRODUCTION ..................................................................................................... 9

I.1. Purpose and organization of the document ................................................................................. 9

I.2. Scope and audience ........................................................................................................................ 9

I.3. Document context ......................................................................................................................... 10

II. DEFINITION OF ETHICS REQUIREMENTS ....................................................... 11

II.1. European Commission framework ............................................................................................. 11

II.1.1. General definition .................................................................................................................... 11

II.1.2. Participation of Humans .......................................................................................................... 11

III. ELECTRIFIC’S SELF-ASSESSMENT OF ETHICS ISSUES RELATED TO

HUMANS .................................................................................................................. 14

III.1. Electrific’s Self-Assessment based on European Commission questionnaire .................... 14

III.2. Electrific’s Self-Assessment based on WP10’s leader questionnaire ................................... 18

III.3. High level architecture ................................................................................................................ 21

III.4. Electrific’s Self-Assessment conclusions ................................................................................ 24

IV. ELECTRIFIC’S ETHICS REQUIREMENTS AND ACTIONS WITH REGARDS TO

PARTICIPATION OF HUMANS ............................................................................... 26

IV.1. Information collection requirements ......................................................................................... 26

IV.1.1. Informed Consent for research .............................................................................................. 26

IV.1.2. Adult/General Informed Consent ........................................................................................... 27

IV.1.3. Copies of Ethics Approvals for the research with humans .................................................... 28

IV.1.3.a. UNIMA ............................................................................................................................. 28

IV.1.3.b. E-WALD .......................................................................................................................... 30

IV.1.3.c. BCNecologia ................................................................................................................... 30

IV.1.3.d. E-Šumava ....................................................................................................................... 30

IV.2. Personal Data requirements ...................................................................................................... 31

IV.2.1. Personal Data Collection ....................................................................................................... 31

IV.2.1.a. Definition of Personal Data ............................................................................................. 31

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IV.2.1.b. Partners directly responsible for personal data collection .............................................. 32

IV.2.1.c. Personal data collection tools ......................................................................................... 33

IV.2.1.d. Rental Contract ............................................................................................................... 33

IV.2.1.e. Surveys or Interviews ...................................................................................................... 34

IV.2.2. Personal Data Storage ........................................................................................................... 37

IV.2.3. Personal Data Protection ....................................................................................................... 37

IV.3. Ethics Advisory Board................................................................................................................ 38

IV.4. Electrific general procedure for Ethics requirements in regards to participation of humans

............................................................................................................................................................... 40

IV.5. Continuous monitoring of Ethics requirements fulfilment in regards to participation of

humans ................................................................................................................................................. 41

V. APPENDICES ...................................................................................................... 42

V.1. Appendix A: Non-Disclosure Agreement used in the Development and Testing Phase of the

project ................................................................................................................................................... 42

V.2. Appendix B: Informed Consent Model from E-WALD (Germany) ........................................... 45

V.3. Appendix C: Informed Consent Model from Electric Scooters services in Barcelona (Spain)

............................................................................................................................................................... 46

V.4. Appendix D: Informed Consent Model from E-Šumava (Czech Republic) ............................. 47

V.5. Appendix E: Letter of information Model from UNIMA (Germany) ......................................... 48

V.6. Appendix F: Informed Consent Model from UNIMA (Germany) .............................................. 50

V.7. Appendix G: Ethics Approvals Model to be used by E-WALD (Germany) ............................. 52

V.8. Appendix I: Ethics Approvals to be used by e-Šumava (Czech Republic) ............................ 54

V.9. Appendix I: Notification of processing for E-Šumava (Czech Republic) ............................... 64

V.10. Appendix J: Ethics Approvals framework for UNIMA (Germany) ......................................... 72

V.11. Appendix K: Mail sent to UNIMA Ethics Commission (Germany) ........................................ 74

V.12. Appendix L: Rental Car Contract template from E-WALD (Germany) .................................. 75

V.13. Appendix M: Rental Car Contract template from Electric Scooters services in Barcelona

(Spain) ................................................................................................................................................... 76

V.14. Appendix N: Rental Car Contract template from E-Šumava (Czech Republic) ................... 78

V.15. Appendix O: Interview Model from UNIMA (Germany) ........................................................... 80

V.16. Appendix P: Online Survey Model from UNIMA (Germany) .................................................. 81

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V.17. Appendix Q: Specific Survey Model for Electrific Trial Partners from UNIMA (Germany) . 82

V.18. Appendix R: Screenshots about Electrific’s Self-Assessment based on WP10’s

coordinator questionnaire .................................................................................................................. 83

IV. REFERENCES .................................................................................................... 86

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Table of Figures

Figure 1. Eletrific’s High level architecture. ...........................................................................22

Figure 2. Data Collection Model from University of Mannheim. .............................................35

List of Tables

Table 1. Self-assesment questions. ......................................................................................19

Table 2. Main data flows according to Eletrific’s High level architecture. ..............................23

Table 3. Electrific trials. ........................................................................................................32

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Table of Acronyms and Definitions

Abbreviation Explanation

ADAS Advanced Driver Assistance System

CA Consortium Agreement

CIM Common Information Model

CVUT Czech Technical University In Prague

E-Šumava E-Šumava.cz s.r.o.

THD Deggendorf Institute of Technology

UNIMA University of Mannheim

UNI PASSAU University of Passau

BCNecologia Agencia D’ecologia Urbana De Barcelona

E-WALD E-WALD GmbH

EC European Commission

EU European Union

EV Electric Vehicle

H Humans

ICT Information and Communication Technology

GPS Global Positioning System

NDA Non-Disclosure Agreement

POPD Protection of Personal Data

WP Work Package

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I. INTRODUCTION

I.1. Purpose and organization of the document

As defined by the European Commission (EC) "a proposal which contravenes ethical principles

or any applicable legislation, or which does not fulfil the conditions set out in Decision No

2013/743/EU, in the work programme, in the work plan or in the call for proposals may be

excluded from the evaluation, selection and award procedures at any time”2. In that sense, in

accordance with general relevant principles of ethics nature and on those following the

application of international, European and National laws, this document contains a list of Ethics

requirements that represent relevant operative criteria for the Electrific project’s development.

This deliverable of D.10.1 of Work Package (WP) 10 documents the ongoing analysis of the

existing European and national rules on participation with humans in research projects, and

specially their application in Electrific. Detailed information is provided on the procedures

regarding personal data that will be implemented for collection, storage, transfer policies

(especially when third party countries –non EU countries- are concerned), protection, retention

and destruction.

To conduct Electrific’s research properly, it is important to collect data, which often personal

data. The purpose of this document (Task 10.1) is to set out ”Ethics requirements” that the

project’s consortium must comply with when Human participation takes place. Electrific was

conceived with a major focus on benefitting individuals by improving both their environment

and their lives. Therefore, it is important, in the development process, to take into account

individuals’ preferences, opinions and reactions to our project and propositions.

Chapter 1 establishes the introduction od D10.1. Chapter 2 defines the legal framework of

Ethics requirements for Electrific’s context. Chapter 3 gives an overview of the self-assessment

made by each partner and at project level regarding Human participation. Chapter 4 provides

a completed list of Ethics requirements and actions regarding data, information and monitoring.

I.2. Scope and audience

Primarly, this document is mainly a compilation of guidelines offered primarily by the EU-

funding authorities, as well as by the independent EU’s Advisory Body on Data Protection and

2 EUROPEAN COMMISSION, Ethics Appraise and Societal Impact in 2020, 2016.

http://ec.europa.eu/rea/pdf/5_ethics_in_h2020.pdf

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Privacy. This information is assessed in the context of the EU’s Data Protection Policy, as

possible and applicable so far.

Secondly, this document is intended to provide our reaction to those guidelines in order to

establish an overview of the major Ethics requirements of this project. It aims at raising

commitment about these concepts among the Electrific project Consortium partners and at

assisting them while beginning to develop their project researches.

Outcomes of this deliverable are important for participants of the following project Work

Packages: WP1, WP2, WP3, WP4, WP5, WP6, WP7, WP 8 and WP9. This document should

be read as well as by the Ethics advisory board and European officers.

I.3. Document context

This document does not claim to cover every single matter that might arise in within the context

of personal data protection but envisages giving information on the main aspects of data

protection in the context of research carried out by the Consortium.

This document should be consulted in parallel with the EU’s Data Protection Policy, National

Laws as well as with the Code of Ethics in Research. Finally, it must be borne in mind that,

although the document provides information and explanations which are in strict compliance

with the requirements and regulations in force, the document remains open to adaptation,

invention and modernisation whenever legal, pragmatic or technological developments should

require.

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II. DEFINITION OF ETHICS REQUIREMENTS

II.1. European Commission framework

Ethics is given the highest priority in EU funded research: all the activities carried out under

Horizon 2020 must comply with ethical principles and relevant national, EU and international

legislation, for example the Charter of Fundamental Rights of the EU and the European

Convention on Human Rights.

II.1.1. General definition

Ethics is an integral part of research throughout the whole process. Conduct of ethical research

implies the application of fundamental ethical principles and legislation to scientific research in

all possible domains of research – for example biomedical research, natural sciences, social

sciences and humanities.

The most common ethical issues include:

1. The involvemnt of humans (“Data subjects”), children, patients, vulnerable populations;

2. The use of human embryonic stem cells;

3. Privacy and data protection issues;

4. Research on animals and non-human primates.

In order to mitigate and reduce the risk, European, national and international ethics bodies

should collaborate actively and at multiple levels: within the EU, between the EU and other

high-income countries, and between high-income and low-income countries, where the risks

of dumping is higher. Good practices shall be identified with the intention of elaborating a code

of conduct for all project participants.

II.1.2. Participation of Humans

Informed consent is one of the most pivotal principles in research ethics in many international

conventions and guidelines. Informed consent is meant to guarantee the voluntary participation

in research and is probably the most important procedure to address privacy issues in

research. Informed consent consists of three components: adequate information,

voluntariness and competence.

Regarding, adequate information, volunteers concerned must receive, in a clear and

understandable manner, accurate and full information of all relevant issues such as:

1. The nature of the data processed;

2. Purposes of the processing;

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3. The recipients of possible transfers;

4. The rights of the data subject;

5. Consequences of not consenting the process in question.

In regards with the second component, voluntariness, the indicative categories of human

participants within research are:

1. Patients;

2. Healthy volunteers (related to health research);

3. Volunteers (for surveys, interviews, etc.);

4. Workers (e.g.: research lab personnel);

5. Children;

6. Vulnerable adults;

7. Others (e.g. special population groups such as minorities, persons from developing

countries, etc.).

Finally, in relation to competence, all research projects with humans must have competent and

autonomous volunteers. Therefore, although the specifics of an informed consent procedure

can vary according to the nature of the research and the needs of the research subjects

involved, certain information, as the listed below, should be provided to the research subjects

before they participate:

1. The purpose of the research and information about what will happen with the results of

the research;

2. The experimental procedures and a detailed description of the involvement of the

participants, including the expected duration, and all the relevant procedures;

3. All foreseeable risks or discomforts expected to occur for the research subjects during

and after their participation;

4. All benefits which may reasonably be expected to occur for the participants or for

others;

5. The insurance guarantees for their participation during and after as well as information

on the foreseen treatments and compensations;

6. Alternative procedures or treatments that might be advantageous to the participant

need to be disclosed;

7. Procedures in case of incidental findings;

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8. A description of the procedures adopted to guarantee the participant's privacy: the

levels of confidentiality, the measures to protect the data, the duration of the storage of

the data and what will happen with the data or samples at the end of the research;

9. Contact details for researchers who can be contacted at any time to answer pertinent

questions about the research and the participant's rights and that can be contacted in

the event of a research related injury;

10. A clear statement that the participation is voluntary is needed, that the refusal to

participate will involve no penalty or loss of benefits to which the participant would

otherwise be entitled and that the participant may decide, at any time, to discontinue

participation without penalty;

11. Information about the organization and funding of the research project.

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III. ELECTRIFIC’S SELF-ASSESSMENT OF ETHICS

ISSUES RELATED TO HUMANS

Since the elaboration of the Document of Action (DoA), Electrific Consortium has been taken

very seriously the responsibility of checking Ethics requirements under national and EU law.

This section describes the means the Consortium used to identify the key project areas that

deals with data related to humans:

First of all, the consortium responded to the self-assessment questionnaire proposed

by the EC through the Participant Portal to help applicants in getting proposals “ethics-

ready” for Horizon 2020 funding. The replies provided to the questionnaire served as a

useful starting point for further developing the analysis described in this deliverable;

In order to have more details about data management procedures – and for the special

case of this deliverable human-related data, shortly after project kick-off, WP10’s leader

created and sent questionnaires in order to perform a more specific self-assesment

with every Consortium partner. With the purpose of understanding which project

technological areas the abovementioned partner self-assessment has an impact in, we

analysed the technical solution high-level architecture. The aim of this analysis is to

identify the human data-related actors that will interact with our system and therefore

which modules will be responsible for correctly managing this critical data.

As result of this self-assessment this section concludes with the identification of the partners

that will deal with data related to humans.

III.1. Electrific’s Self-Assessment based on European

Commission questionnaire

This section details an excerpt of the ethics issues self-assessment questionnaire provided by

the EC at proposal submission phase, and fulfilled by the Consortium on October 15th 2015.

These questionnaire helped the Consortium to first identify any ethics issues that may arise

from our proposal and second to propose initial actions to correctly deal with these issues

Hence, this self-assessment questionnaire has been used as input on “how to” manage data

and protect volunteers, partners and other researcher colleagues.

Our responses were an opportunity - and an obligation - to start thinking about respecting

ethics regulations as well as considering actions the Consortium commits to implement.

Finally, this exercise was one of the inputs that helped us to identify Consortium partners that

will communicate with humans directly.

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1. Does this research involve human participants? Yes

INFORM: Confirm that informed consent has been obtained.

PROVIDE: Informed Consent Forms+ Information Sheets.

Detailed profiles of users will be carried out, including demographic variables (such as gender

and family status) and a range of psychological variables including personality traits like

sensation-seeking, anxiousness and the need for speedy driving'.

Customers of E-WALD GmbH booking and customers of the Electric Scooters services in

Barcelona currently fill in a rental contract (see enclosed) and give personal details like name,

address and mode of payment. Customers give consent that data (in this instance, GPS and

EV data) are logged and used anonymously for scientific evaluation. It is written in this rental

contract that personal data will be handled anonymously and not be conveyed to third parties.

It is further written that personal data will not be stored long-term in similar media storages.

The customers give co applied science sent that locational data and any technical data

generated by the car will be used for scientific purposes.

2. Are there persons unable to give informed consent? No

INFORM: Details on your procedures to obtain approval from guardian/ legal representative.

Details on the measures you intend to take to ensure that there is no coercion on participants.

PROVIDE: Copies of Ethics Approvals.

Customers of E-WALD GmbH booking and customers of the Electric Scooters services in

Barcelona currently fill in a rental contract. As part of this contract we will explicitly ask

customers to give us consent to collect this data (in this term, GPS and EV data) and use it

anonymously for scientific evaluation. In the case of electric urban buses, no explicit consent

is needed as we will track the buses themselves and not the individuals using them.

3. Does your research involve personal data collection and/or processing? Yes

INFORM: Details on your procedures for data collection, storage, protection, retention,

transfer, destruction or re-use (including, collection methodology (digital recording, picture,

etc.), methods of storage and exchange (LAN, cloud, etc.), data structure and preservation

(encryption, anonymisation, etc.), data-merging or exchange plan, commercial exploitation of

data sets, etc.).

PROVIDE: Copies of notifications/authorisations for the collection and/or processing of the

personal data (if required).

This issue is related to the collection of information from the E-WALD EV-fleet users. It does

not impact the other field trials.

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The customers of E-WALD GmbH which are booking an EV, fill in a rental contract (see

enclosed) and give personal details likename, address and mode of payment. Customers give

consent that data (in this term, GPS and EV data) are logged and used anonymously for

scientific evaluation. It is written in this rental contract that personal data will be handled

anonymously and will not be conveyed to third parties. It is further written that personal data

will not be stored long-term in similar media storages. The customers give co applied science

sent that locational data and any technical data generated by the car will be used for scientific

purposes.

The rental contract is between E-WALD GmbH and the customer. Information of the contract

will electronically be stored on a server located at E-WALD GmbH premises.

For the purpose of scientific evaluation, GPS logging data and EV data are used. These data

are stored independently from the personal data, which are filed elsewhere at the E-WALD

GmbH. Therefore, scientists working on the GPS data have no access and do not know about

any personal information of customers booking the EV.

The GPS data are stored in a separate data base, located at the datacenter of Deggendorf

Institute of Technology (THD). They are necessary for the scientists working at THD to obtain

a model about the driving behavior, the range in which this car is used, and for evaluating the

battery behavior.

For the purpose and objective of the project ELECTRIFIC, it is sought to introduce Identification

Numbers (ID) to distinguish between different drivers. For each driver, an ID will be allocated.

This ID, however, has no relation to any personal information of the driver.

Moreover, we will take all necessary measures and implement procedures necessary for data

protection in full compliance with directive 95/46 EC.

We intend to protect rights and risks of researches equally as well as we intend to protect rights

of end users (EV drivers) whose personal data could be subject to our research.

INFORM: Details on your data safety procedures (protective measures to avoid unforeseen,

usage or disclosure, including mosaic effect, i.e. obtaining identification by merging multiple

sources).

PROVIDE: Informed Consent Forms + Information Sheets + Other consent documents (opt in

processes, etc.) (if relevant).

INFORM: Confirm that informed consent has been obtained.

The personal data used for the purpose of E-WALD GmbH fleet management and operation

only are separated from GPS and EV data used for scientific purposes. The GPS and EV data

are stored on the premises of THD on a specifically established server. Therefore, no scientist

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working on the scientific and technical processing of the GPS and EV data has access to

personal data, not by any technological means.

INFORM: Details on data transfers to third countries (type of data transferred and country to

which it is transferred; for US/Canada: information if recipient is ‘safe harbour recipient’).

PROVIDE: Copy of authorisation for data transfer to third country (if required)

This does not apply to ELECTRIFIC.

INFORM: Does it involve the collection or processing of sensitive personal data (e.g. health,

sexual lifestyle, ethnicity, political opinion, religious or philosophical conviction)?

PROVIDE: Copy of notification/authorisation for processing of sensitive data (if required)


INFORM: Does it involve processing of genetic information?


4. Does it involve tracking or observation of participants (e.g. surveillance or

localization data, and WAN data, such as IP address, MACs, cookies etc.)? Yes

INFORM: Details on methods used for tracking or observing participants.

PROVIDE: Copy of notification/authorisation for tracking or observation (if required)

Global Positioning System (GPS) data are collected from participants/customers booking an

EV during their usage of the EV. No other tracking or observation methods are being used.

The rental contract informs the customers about this and requires their consent.

5. Does your research involve further processing of previously collected personal

data (‘secondary use’) (including use of pre-existing data sets or sources,

merging existing data sets, sharing data with non-EU member states)? No

INFORM: Details on the database used or of the source of the data.

INFORM: Details on your procedures for data processing.

INFORM: Details on your data safety procedures (protective measures to avoid unforeseen,

usage or disclosure, including mosaic effect, i.e. obtaining identification by merging multiple

sources).

Confirm that data is openly and publicly accessible or that consent for secondary use has been

obtained (and details on how this consent was obtained (automatic opt in, etc.)).

Confirm permissions by the owner/manager of the data sets.

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PROVIDE: Evidence of open public access (e.g. print screen from website).

PROVIDE: Informed Consent Forms + Information Sheets + other consent documents (opt in

processes, etc.).

PROVIDE: Copies of permissions (if required).

For ELECTRIFIC, currently existing GPS and EV data collected within the scientific project E-

WALD shall be used and be subject for re-evaluation in order to fulfil the objectives of the

project ELECTRIFIC. These data, stored at a dedicated server at the data centre of THD, are

only accessible by the scientists in charge of the project E-WALD. The safety of the data

complies with high safety standards (Firewall, data encryption techniques). Customers who

have rented an EV from E-WALD GmbH have already given their consent that the GPS and

EV data recorded during the usage of the car will be used for scientific purposes.

III.2. Electrific’s Self-Assessment based on WP10’s leader

questionnaire

This section describes how we questioned ourselves about who, how and in which context the

project must deal with private data with human participants. We performed this exercise in

order to have detailed information about how to comply with ethical principles and applicable

EU, national and regional (when existing) laws. Questions contained in this questionnaire

followed guidelines from Grant manual ethics section provided by European Commision3. The

list of questions included in the questionnaire is detailed in Table 1.

3 EUROPEAN COMMISSION, H2020 Programme, Guidance, How to complete your ethics self-

assessment, 12 July 2016,

http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/ethics/h2020_hi_ethics-self-

assess_en.pdf

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Table 1. Self-assesment questions.

SUBJECT QUESTIONS

General

Legal

Framework

1. Which is the Data Protection Officer or National Data

Protection Authority in your country?

2. Does your Country have an Open Data Law? YES or NO

question

3. If YES: Does your research involve Open Data reuse?

Ethics 1. Have you ever ask for Ethics Approvals? YES or NO question

Data In

General 1. Are you going to collect data directly? YES or NO question

If YES: Provide details on your procedures for data collection

If YES: Provide details on your procedures for data storage

On which hardware type is the data stored: paper, disk,

removable device?

If YES: Provide details on your procedures for data protection

If YES: Provide details on your procedures for data retention

If YES: Provide details on your procedures for data transfer

If YES: Provide details on your procedures for data destruction

If YES: Provide details on your procedures for data re-use

2. For your research, do you depend on data provided by other

partners? YES or NO question

Human

Beings

1. Does you research involve human participants? YES or NO

question

If YES: Have you obtain an INFORMED CONSENT? Or, are they

persons unable to give informed consent (includinf

children/minors)?

Partners concerned, please provide please (document

attached or a link) : a survey model, an informed consent

model and a rental contract model.

If YES: Are they volunteer for social or human sciences research?

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If YES: Are they vulnerable individuals or groups?

2. Does your research involve physical interventions on the

study participants? YES or NO question

If YES: Does it involve invasive techniques (eg collection of

humans cells or tissues…)?

If YES: Does it involve collection of biological samples?

Personal

Data 1. Does your research involve personal data collection? YES or

NO question

If YES: Provide details on your procedures for data collection

If YES: Provide details on your procedures for data storage

If personal data is stored on a machine, is the storage

machine/server equipped with:

- Wifi

- Bluetooth

- USB drive

- On the whole, devices that might ease data duplication of

circulation

If YES: Provide details on your procedures for data protection

o Who has access to the data? Define the type of access to

that data (read, write, modify, delete, etc.).

If YES: Provide details on your procedures for data retention

o What data backup policies and processes will be

implemented?

If YES: Provide details on your procedures for data transfer

If YES: Provide details on your procedures for data destruction

o What will happen to the data after the end of the study?

If YES: Provide details on your procedures for data re-use

If Yes: Does this data collection or processing involve sensitive

personal data? (e.g. health, sexual lifestyle, ethnicity, political

opinion, religious or philosophical conviction)?

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2. How do you (currently or intend to) anonymize personal data?

o Precise wich technique of anonymization you will use:

Randomisation, Generalisation, Pseudonymisation or

Codification.

3. Does you research involve further processing of previously

collected personal data "secondary use" (including use of

preexisting data sets or sources, merging existing data sets,

sharing data with nonEU member states)?

The answers received from each partner were analyzed and summarized in “Section IV”.

Original document which contains answers of this exercise is unsuitable formatted (big table)

to be contained in a comprehensive form in this document. Please find an abstract (screenshot)

of this document in “Section VI.1. The original document is stored in the project collaboration

platform4 and is accessible for all Consortium partners, ethics board and EU review and project

officers.

III.3. High level architecture

Based on self-assesment exercises described above and DoA elaboration, we decided to

specify the responsibility of each of the partners regarding Personal Data flow and Personal

Data Management. Our intention is to identify which WP and which part of the system will have

human participants involved (human interaction). In this line of thought, it was concluded that

in context of an Electrific User App , the solution is collecting information in order to define

customer behaviors (based on WP6 inputs) and that there is an important data processing part

that includes private data anonymization before being sent to Electrific Backend (see figure 1).

This analysis is performed in preliminary version of high level architecture developed by WP3,

exclusively for creation of this delivery. According to project plan, final common information

model and high level architecture is due M6. In case of any change in regards to current

anticipation of high level architecture and human interaction, Consortium commits to reassess

newly created deliverable and apply all identified actions as we identified and applied in this

case.

4 Consortium ethics self assesment document with all answers,

http://projects.electrific.eu/dmsf/files/123/view

22


Figure 1. Eletrific’s High level architecture.

The main data flows requiring attention are explained in the Table 2.

23


Table 2. Main data flows according to Eletrific’s High level architecture.

Component Description

Electrific User App Part of ELECTRIFIC system that interacts with the User

through a User Interface (UI).

During User Registration personal data is collected via the

different wizard screens after which a (user-agnostic) user

profile is assigned. All data is stored in the ELECTRIFIC

database. All sensitive data (name, address, e-mail, …) will be

anonymized and encrypted where needed. Data will be

encrypted using symmetric encryption (2-way). Passwords are

never stored in clear text, but protected by a hashing algorithm

(1-way).

Unless required, all other functionalities provided by the

ELECTRIFIC UI will be based on anonymized data, such as a

generated token or the user profile to implement anonymized

data flows.

Electrific Backend This is the central component of the ELECTRIFIC solution. All

data flows between this component and its subcomponents

are said to be anonymous.

THD Historical Car usage

database

This database contains data that is user agnostic, as described

in Section III.2.

Payment gateway Payment is external to ELECTRIFIC and is handled only by the

EFO (Fleet Owner). It is considered out-of-scope for

ELECTRIFIC.

Fleet Booking System The fleet booking system is a 3rd-party component that

interacts with the user. In case of EV fleet, ELECTRIFIC will

check the availability of an EV. This request will only contain

anonymized data (internal ELECTRIFIC ID).

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III.4. Electrific’s Self-Assessment conclusions

Electrific is a Research & Development project that involves human’s participation. This implies

that we must ensure respect for people and for human dignity. Core subject of the project is

Electric mobility, and in that context some partners of the Consortium will collect, manipulate

and store personal data from customers, drivers and/or Fleet users.

The issues related to ethics within the Project were categorized according to both self-

assessment (“Section III.1 and Section III.2”) and the analysis of how human data will flow

to/from the project technical solution (“Section III.3”).

This scope of ethical relevance allowed us to detect the main stakeholders on ethical

requirements for Electrific and confirmed responsibilities and commitments for each of the

partners. We can differentiate 2 different cases:

1) Partners which activities involves direct human participation are:

E-WALD GmbH (E-WALD);

e-Šumava.cz s.r.o (e-Šumava);

University of Mannheim (UNIMA).

We define direct participation of humans as direct involvement in private data collection

and contact with human participants.

2) Partner which activities involves indirect human participation is:

Agencia D’ecologia Urbana De Barcelona (BCNecologia).

We define indirect human participation in this context as working with human beings

through other external partners of the project (not part of the Consortium).

BCNecologia is indirectly involved in human participation as organizator (lead) of trials

in Barcelona, Spain. BCNecologia defines legal framework (through special contracts)

with external parties (operators) in context of trials they are leading (described in

“Section IV.2.1.b. If necessary, BCNecologia commits to include legal framework

(contract) which clearly defines project Ethics requirements and ask for commitment of

our external parties in the following points:

1. Responsibility of project partners with regards topersonal data requirements;

2. Informed consent of human participation;

3. Copies of Ethics Approvals for research with humans (if applicable).

That implies that BCNecologia transitions all Ethics requirements from them to external

partners in order to ensure Ethics requirements on project level. In the Barcelona trial

25


context, BCNecologia is ultimatively responsible for ensuring implementation,

execution, monitoring and reviewing of Ethics implementations from their external

partners. An example of abovementioned contract is not available since activites in

specific Work Packages of this project (WP3, WP5, WP6, WP7, WP8) that define

requirements and scope for contractual content have not started yet and/or not reached

required milestones.

In this project context, due that there will be an exchange of valuable information among

partners confidentiality issues and measures should be taken into consideration. Therefore,

the signature of a non-disclosure agreement (NDA) (“Section V.1. - Appendix A”) will take

place once the high level architecture model with data flow is completed. This action will

represent the Consortium’s compliance with confidentiality obligations during the whole life of

the project and after.

26


IV. ELECTRIFIC’S ETHICS REQUIREMENTS AND

ACTIONS WITH REGARDS TO PARTICIPATION OF

HUMANS

Based on Section III, it emerges that the consortium must comply with ethical requirements

and actions with regards to participation of Humans. These identified requirements are related

to the procedures the Consortium should implement when collecting data from humans and

how this data should be managed, which are described in the next subsections. In order to

help the Consortium assessing the correct fulfillment of these requirements an Advisory board

will be established, together with the methodology to be used by the Consortium to collect data

and to monitor its right management. These concepts are explained in the last subsections.

IV.1. Information collection requirements

As defined in "Section II.1.2", participation of humans in research imposes different rules and

standards than other types of research due of the sensitive data that is treated. The collection

and analysis of personal data entails the Electrific Consortium to take into account several

measures and tools, according to EU and National laws, from the very beginning. In that sense,

this section explains and details the process that Trial's partners and UNIMA are committed to

respect to ensure that personal data will be only treated with previous consent of participants,

will not be related to any individual, will not influence actions or decisions affecting an

identifiable individual, and will be used only for scientific purposes.

IV.1.1. Informed Consent for research

Universities and/or research centers that, in the scope of their mission and WP deliverables,

need to conduct surveys or interviews, commit to elaborate a Consent Form respecting the

following specifications:

The consent form will be in language understandable to the subject or his or her legal

representative;

Name of Researcher(s) (to be completed by the researcher);

Title of study (to be completed by the researcher);

A statement about the voluntary nature of the survey will be contained in the survey

instructions;

If the activities of a research project that will include recording audio (and/or video if

applicable) what is being recorded and how should be specified;

Contact information will be provided;

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Consent forms must be signed;

Informed consent form documents will be retained for a minimum of three (3) years

from the date of concluding the study.

Within Electrific, this case applies solely to UNIMA in the context of psychological EV user

profling in WP6. They commit to implement throughout the project informed consent form; one

example of a qualitative interview is provided in “Section V.6 - Appendix F”. Furthermore, a

letter of information (“Section V.5 – Appendix E”) will be provided in order that volunteers can

keep it as a proof of legitimacy about how data will be proceed.

IV.1.2. Adult/General Informed Consent

Partners who will collect personal data directly from individuals commit to implement and

provide a Consent Form (“Section V.2. Appendix B, Section V.3. - Appendix C, Section V.4 -

Appendix D”) with the following specifications:

The first page of the consent form will be on Partner’s letterhead;

The consent form will be in a understandable language to the subject or his or her legal

representative;

It must be written in a consistent voice: first person;

The consent form can be provided either in partner’s native language or in English;

It will be precised that personal data collected will only be reused when it is

anonymized;

Consent forms will require signature;

Informed consent form documents will be retained for a minimum of three (3) years

from the date of concluding the study.

As explained in Section 0 and how trials will be run in the DoA, this scenario will only applies

to partners that, even if they don’t collect data as is the case of BCNecologia, will reuse

personal data and are obliged to implement an Informed Consent.

It may also apply in the specific case of Bayernwerk’s participation in WP6 (user data

collection), for which the same process will be used. In WP4 they anticipated that only public

grid data like information from transformers or charging stations has to be collect. Therefore,

no legal issues appears. But maybe in the future they could decide that they need additional

information of their trial grid for a better understanding in terms of WP4. In that case they would

install additional metering points on households (like they did in the Seebach project). In case

of Electrific project private households with own charging infrastructure could be interesting.

(e.g. wall box). However, this is not foreseen at the moment and if they really decide to do that

in the future, they would follow the same procedure as in Seebach (implement individual

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consent forms and annomynised data by removing all kind of personal identification).

IV.1.3. Copies of Ethics Approvals for the research with humans

In the case of performing research with humans, partners must respect their national

regulation with respect to requesting authorizations or notifications to the Institute’s Local

Ethics Committee and/or the Data Protection Officer or other competent body5. It is important

to keep in mind that each country has a particular legal process defined.

In the context of this project and of the research with human participants, UNIMA is a project

leader of research activities with human participants (WP6). Survey Models will be used as

described in “Section V.15. V.16. V.17. R”. These survey/interview models will include the

Informed consent (“Section IV.1.2. “) as a prerequisite before proceeding with research. Other

trial partners (E-WALD, e- Šumava, BCNecologia) will use prepared research resources (rental

contracts and experiments) with included informed consent to perform research in the name

of University of Manheim in the context of the Electrific project. UNIMA will thus be responsible

for designing research activities, and they commit to submit their research material to the

Institutional Ethics Committee for ethics approvals if deemed necessary by the same Ethics

Committee, which they will consult on a regular basis. A detailed description of research bodies

in charge of ethics approvals, their statuts, procedures of ethics approvals and obtained

documentation for all research partners can be found in “Section IV.1.3.a. b. c. and .d.”.

IV.1.3.a. UNIMA

In Germany, it is necessary to comply with and be in contact with the

Bundesdatenschutzgesetz (BDSG), which is the entity that governs the protection of personal

data and is enacted by the BFDI6 (The Federal Commissioner for Data Protection and Freedom

of Information in German) (“Section V.10. – Appendix J”).

The BFDI is in charge of oversight the use of personal data. This refers to personal

data as name, address, birth date, phone number, email address, number of bank

account, religious affiliation, personal/ID/passport number and any pseudonyms that

are used instead of a name that allow for a reconstruction of personal information;

5 European Data Protection Authorities: http://ec.europa.eu/justice/data-protection/article-

29/structure/data-protection-authorities/index_en.htm

6 http://profiling-project.eu/wp-content/uploads/2014/10/The-German-Federal-Data-Protection-

Authority.pdf

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The BFDI relegates contact to the Landesdatenschutzbeauftragter (the state officer

in charge of data protection for the Baden Württemberg region in our case.).

UNIMA has contacted them for clarification of their responsibilities. The email that they

received is enclosed in “Section V.11 - Appendix K” where they are informed that they do not

fall into the range of responsibilities of the German National Data Protection Officer because

the UNIMA is running research with human participants in terms of surveys and interviews, but

is not involved in data collection in terms of trials and therefore are not in charge of ethics.

because UNIMA will neither collect nor receive from trials (due to anonymization) any personal

data of participants.

With regards to human-researcher interaction, the most appropriate body of governance in

Germany whose responsibility is the ethical treatment of human participants in psychological

research is the Ethics Commission of the Deutsche Gesellschaft für Psychologen7.

As according to their own regulations8 they do not process ethical applications for research if

the research institution in question, which is the case of the UNIMA, is part of an institution that

houses its own institutional ethics commission9. This is the case at University of Mannheim.

The UNIMA ethics commission has a legal statut, which establishes that researchers should

submit ethics applications for clearance in cases where the research includes any of the

following scenarios: “risks towards health, physical or psychological burdens, strongly negative

emotions (for example disgust, rage, fear), reports of traumatic experiences, experiments in

which the self-image of participants is distorted or questioned by manipulations in a strong

manner, inclusion of minors, conscious deception, other ethically problematic causes related

to personal data”.

None of the interviews, surveys or trials proposed by UNIMA falls into any of these categories,

and thus, ethical clearance in a formal manner will, at this point, not be necessary for any of

the proposed studies. Despite this, additional precautions should be taken to protect

participants, so UNIMA commits to:

7 http://www.dgps.de/index.php?id=185

8 http://www.dgps.de/index.php?id=186

9 University of Mannheim has such a commission (https://www.uni-

mannheim.de/1/universitaet/leitung_organe/staendige_kommissionen_ausschuesse/mitglieder_ethikk

ommission/), thus, this article applies: “Die Ethikkommission der DGPs bearbeitet keine Anträge, die

aus Institutionen mit einer eigenen, lokalen Ethikkommission stammen, an die Anträge aus der

Psychologie gerichtet werden können.“

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1. Be in contact with the institutional UNIMA ethics commission (For proof of established

contact, please find a copy of the first email we received in response to an inquiry

(which asked what documents would be required for ethics clearance if a study would

need to be submitted due to any causes listed in the Statute). This email is attached in

“Section V.11 - Appendix K” from Prof. Taupitz, who is the head of the commission;

2. Receive consultation on any proposals;

3. Update their collaboration with the DGPS National Ethics commission;

4. Update their assessment upon further examination by ethics experts and take into

consideration any advice from the ethics board and independent consultants.

IV.1.3.b. E-WALD

As described in “Section IV.1.3.d.” Ethics Approvals are required only for UNIMA since these

requirements are valid for research with humans in Germany.

IV.1.3.c. BCNecologia

As described in “Section III.4.1.”, BCNecologia is not obliged to obtain Ethics Approvals directly

from users. In the case data from humans (travellers) is collected this obligation is transferred

to external project (trial) parties. For example, in the case they need to collect data from the

traveller profile (gender, age, frequency of the trip, etc) this should be done by the transport

provider entity - ATM in the case of Barcelona. Hence this entity must fulfil the Ethics

requirements with respect to human data collection and management. BCNecologia will then

receive aggregated and anonymized data from users, and will not have to deal with personal

data.

In that case, BCNecologia commits to ensure the implementation, the execution, the

monitoring and the reviewing of Ethics requirements in context of obtaining copies of Ethics

Approvals for the research with humans from external parties.

IV.1.3.d. E-Šumava

In Czech Republic, the authority for data protection is "The office for Personal Data

Protection"10. To meet requirements of this authority, e-Šumava:

1. Has only to register and fill in a questionnaire (“Section V.8. - Appendix H”);

10 https://www.uoou.cz/en/

31


2. If everything in the questionnaire is completed correctly, the registration should be

confirmed in about one week;

3. They will not get any type of approval, the procedure is just a notification (“Section V.9

- Appendix I”).

IV.2. Personal Data requirements

Electrific’s Consortium complies with several procedures regarding Personal Data Analysis.

IV.2.1. Personal Data Collection

IV.2.1.a. Definition of Personal Data

As defined in the EU Data Protection Directive, personal data collected by partners means

“any information relating to an identified or identifiable natural person”11.

For Electrific project, personal data corresponds to:

Full name;

Home address;

Email address (if private from an association/club membership, etc.);

National identification number;

Passport number;

Vehicle registration plate number;

Driver's license number;

Credit card numbers;

Date of birth;

Birthplace;

Telephone numbers.

This means, that in compliance of the definition given above, partners also undertake to:

11 European Commision, Data Protection Directive (officially Directive 95/46/EC on the protection of

individuals with regard to the processing of personal data and on the free movement of such data). The

General Data Protection Regulation, adopted in April 2016, will supersede the Data Protection Directive

and be enforceable starting on 25 May 2018.

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Track vehicles themselves and not the individuals in them (i.e. BCNecologia will made

some tracking on scooters (not on users), in order to identify the main origins and

destinies, travel distances, batteries discharge models, etc.);

Not process any genetic information (e.g. Human embryos & foetuses);

Not observe or track participants (customers booking an EV) besides GPS data

collection;

Not collect any sensitive personal data, such as:

o Religious beliefs;

o Sexual orientation;

o Ethnic identification records;

o Health-related records (e.g. patient records, biographic data, medical

photographs, diet information, hospital information records, biological traits and

genetic material);

o Criminal records or legal justice investigations and proceedings;

o Circulation records such as visas; residence or various geographic recordings

such as GPS satellite localization recordings.

IV.2.1.b. Partners directly responsible for personal data collection

Trial’s partners as E-WALD and E-Šumava, commit to collect personal data only during three

trials listed in Table 3.

Table 3. Electrific trials.

Experiment / Trial Overview

1) Small-scale pilot E-WALD (Germany) - Data collected: personal data (from

national customers, tourists,

volunteers)

- Collection tool: rental contract

- Data Protection tool: informed

consent.

- Duration: M1 – M36

2) Small-scale pilot E-Šumava (Czech

Republic)

3) Small-scale pilot E-Šumava (Czech

Republic) – e-scooters

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Details on trials technologies and data assessment are described in deliverable D8.1 - Trials

technology and data assessment12.

IV.2.1.c. Personal data collection tools

E-WALD, E-Šumava, BCNecologia and UNIMA are the only ones who will collect data directly

from humans participants with the following collection tools:

Trial’s partners (E-WALD, E-Šumava) will implement a rental contract each time there

is an interaction with customers. Templates are provided in “Sections V. 12 – Appendix

L, Section V.13 – Appendix M, Section V.14 - Appendices N”;

UNIMA will not collect personal data, however, UNIMA will implement surveys or

interviews in the sense of human behavioral research or user profiling. An example of

a document that showcases previous psychological research carried out by one of the

current members of the UNIMA team can be accessed online13. A detailed example of

a qualitative structured interview guide is provided in “Section V.15 - Appendix O”.

For E-Šumava’s trial, it is important to notice that they have talked with their customers about

their satisfaction with electro mobility only verbally. They intend to prepare a written

questionnaire for ELECTRIFIC purpose in collaboration with other WPs (e.g. WP6 –

psychological profiling). As soon as the questionnaire is ready they will include it in their trial

procedure. Collected data will be immediately anonymized and sent to appropriate consortium

partners.

IV.2.1.d. Rental Contract

Trial’s partners using a rental contract commits to execute the following specifications:

Elaborate a rental contract in paper format and provide it to customers for signature

o Specify the parties of the agreement: “Car owner” and “Car renter”;

o Specify the identification of the vehicle: model, year, etc.;

o Specify the rental date: start date and end date;

o Specify the scope of use: personal or business use;

12 D8.1 - Trials technology and data assessment, Electrific, 2016,


13 Kacperski, Celina S., "Construal Levels in the Context of Sport Imagery and Performance" (2016).

Electronic Thesis and Dissertation Repository. Paper 3987.

34


o Specify mileage of the rental vehicle;

o Define rental fees;

o Establish a security deposit;

o Ask to customers to have a valid driver’s licence;

o Define indemnification scenarios: loss, damage, etc.;

o Establish national laws that will give the contract a legal interpretation.

Elaborate an informed consent model in paper format;

Provide an informed consent to customers and ask them for signature when personal

data will be reused.

In this part, it is important to remind that BCNecologia is not the institution that directly will

implement rental contracts. BCNecologia will sign an agreement with e-scooter sharing

companies (“Section III.4.1.”). BCNecologia will need to have some data from the e-scooters

sharing companies involved in the project. These data will be mostly technical, but also related

to fleet management, which implies in some way the use of the service that customers do. In

order to set this collaboration, they are committing to sign an agreement between both parties.

That agreement will include, at least, the kind of data that will be requested and the purpose

of this data collection (scientific purposes for Electrific project). The agreement will specify that

no personal data will be directly provided: if data requested involves users, these data must

be anonymized. In case it involves addresses or locations (basically in scooters booking or

tracking) these data must be generalized. Anonymization and generalization of data will be

done by the scooter companies before sending them to BCNecologia, in accomplishment of

the data protection laws and the scooters companies own privacy policy. A preliminary

example of the paragraph regarding personal data that is going to be included in that

agreement is in “Section V.13 - Appendix M “.

IV.2.1.e. Surveys or Interviews

Surveys will be designed by UNIMA based on information from previously published literature,

qualitative interview information and data deemed necessary by researchers for development

of the Advanced Driver Assistance Systems (ADAS) and development of behavioral

interventions (as described in Section V.17. Appendix O). An example of previous surveys

conducted online can be found in “Section V.15. ,V.16. Appendices P,Q”.

Participants will be invited to participate in the survey in either paper format or in an online

environment (generally use www.soscisurvey.de which servers are located in Germany, and

therefore adheres to German data protection regulations).

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Figure 2. Data Collection Model from University of Mannheim.

The following is an overview over one research project in the form of a survey and a qualitative

interview that will be carried out by UNIMA within the confines of ethical guidelines and data

protection measures described before. As will become obvious, no personal data is collected

and all data will be stored anonymously.

1. Select participants from various sources: the general population, students, trial

partners’ existing data bases of customers. No vulnerable participants will be

approached;

2. Emphasize that participants can quit the interview at any time and that their data will

be removed if participants request this. For this purpose, all participants will be asked

to create a password/number that is attached to their data set when they begin the

study and that is only known to them, in case they wish to remove data at a later point;

3. Elaborate an informed consent model in paper format (contact information will be

provided);

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4. Provide informed consent to customers and ask them for signature when personal data

will be reused;

5. Carry out semi-structured interviews that last between 20 minutes to 1 hour and collect

the following data in a standardized form:

Socio-demographic information of users (e.g., sex/gender, age, family status,

nationality, income, level of education, car ownership);

Usage-based information about users (e.g., do they use the EVs for leisure vs.

professional, routine vs. incidental, tourism);

Array of psychological variables that are directly relevant for EV range, battery life

and grid quality (e.g., range anxiety, need for speedy driving, comfort with new

technologies);

Personality traits like sensation-seeking, anxiousness, curiosity, exploration,

openness for experience, initiative, conformity;

Pro-environmental attitudes, concerns about environmental issues such as air

quality, noise, awareness of environment policy, involvement in activism;

Need for cognition, regulatory focus, levels of conformity;

Competence, self-efficacy, self-concept;

Status of convenience, public transport comparison, flexibility;

Lay knowledge about EV cars, batteries, vehicle charging, power grid;

Information about day usage Of EVs;

Information about destinations and timing necessities of individuals, habit formation;

Privacy Issues;

Interest in integration of other sources such as personal calendars;

Trust in ADAS recommendations;

Willingness for certain amounts of effort;

Overall satisfaction with the ADAS;

Satisfaction with recommendations of the ADAS;

Satisfaction with the frequency of suggestions by the ADAS;

Satisfaction with EV programmes available;

Satisfaction with range, battery and other properties of EVs.

37


6. Record interviews with audio tape and later transcribed them. Audio taped data will be

deleted immediately after transcription;

7. Select statistical analyses such as calculation of means, variances, outlier analyses to

check data quality, analyses of variances, linear regression models and others.

Specifics will be decided once surveys are constructed.

No other partner will use surveys or interviews as tool for obtaining human-related data.

IV.2.2. Personal Data Storage

Trials partners commit to store data once data is collected, structured and anonimized as it

follows:

1. Store data on USB drives;

2. An encrypted databases will be backed up to an online cloud;

3. All data will be deleted three years after the end of the project;

UNIMA commits to implement this once they have collected data and have the

permission to reuse it and store it;

4. Data from surveys will be transcribed from paper or downloaded from the website

server;

5. Data will be encrypted and stored on encrypted USB drives;

6. Paper files will be stored in locked offices in university premises until destruction after

3 years, and data from the servers will be deleted immediately after data collection is

completed;

7. Anonymous data in the form of of a “data set” will, following the Berlin Declaration on

Open Access to Knowledge in the Sciences and Humanities

(https://openaccess.mpg.de/Berlin-Declaration) be made available to other

researchers for data quality assessments and reuse.

Every specific issue related to data retention and data destruction will be defined in deliverable

10.2.

IV.2.3. Personal Data Protection

Among the three mains techniques of anonymization -randomization, generalization, or

codification- trial’s partners as well as the UNIMA commits to implement the second one

method: generalization.

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They commit to generalize, or dilute, the attributes of data subjects by modifying the respective

scale or order of magnitude (i.e. a region rather than a city, a month rather than a week).

Trials partners, except BCNecologia who will receive already anonimized data, commit to

follow a generalisation process to anonymize personal data, as described below:

1. Collecting data;

2. Structuring data;

3. Omitting user profile data which can be directly linked to a certain person (name,

surname etc.);

4. Linking the edited profile to a project-number (e.g. user Michael A. etc. will be number

#A0161);

5. Only the project-number will be used in terms of data evaluation (Driving behavior,

charging behavior etc.);

6. Exact project-numbers are going to be defined in their trials.

Regarding data collection carried out by UNIMA, data from surveys and interviews will be used

for statistical analysis only, no personal data will be collected. Besides this, data from

experimentation trials that will be received by UNIMA from trial partners, will be anonymized,

and trial partners themselves in charge of the anonymization procedure.

To supply more details about data received from interviews, audio tapes will be transcribed

and immediately destroyed to protect the privacy of participants. Transcriptions will not be

connected with any personal identifiers. Data will be codified or generalized: it will contain

blanks or pseudonyms whenever times, locations, names or organizations are mentioned that

might in any way allow a reconstruction of personal identity. Full transcripts will not be available

to anyone except the researchers, and will not be published in full, only in excerpts necessary

to support conclusions drawn from them. They will be stored in USB drives that will be

destroyed after 5 years.

IV.3. Ethics Advisory Board

Suitably experienced ethics advisers14 will support the Consortium to deal with ethical issues

and putting into place the procedures to handle these appropriately, due that Electrific includes

several ethical concerns.

14 EUROPEAN COMMISSION, Roles and Functions of Ethics Advisors/Ethics Advisory Boards in

European Commission-funded Projects, December 2012.

39


Electrific’s ethics advisory board is composed of several experts with varied expertise. All

candidates are:

External to the project and to the host institution;

Totally independent;

Free from any conflict of interest.

This ethics and legal advisory board is an essential element in our project management

structure. Members of advisory board are all professionals of highest repute. At the time of

prepapration of this document, following candidates were identifieied as preffered members of

ethics advisory board:

Professor Diane L Cox PhD, MSc, Dip COT, CertLTHE, FCOT

Director of Research & Head of the Graduate School

Professor of Occupational Therapy,

Research Office & Graduate School, FF14 Gressingham

Bowerham Road Campus, University of Cumbria,

Lancaster, LA1 3JD , UK

Roberto Gimenez

Plaza Juan Ramon Jimenez 7-2

46520 Puerto de Sagunto

Valencia Spain

Company: Europe Creative

Hristo Koshutanski

Postdoctoral Fellow

Proteus Research Lab

Centro Andaluz de Investigación en Tecnología Informáticas (CAITI), Universidad de

Málaga

Calle Arquitecto Francisco Peñalosa, 18. Ampliación Campus de Teatinos

29071 Málaga. Spain

Abovementioned preffered members are suggested by several Consurtium partners (GFI,

UNIMA, UNI PASSAU) as a result of good collaboration on this subject on previous and on

going European projects.

Electrific Consortium, with prior approval of Project Management Board, is taking actions in

the course of the project (e.g. allocating a budget if needed), to ensure that the ethics advisory

40


board will maintain an overview of the work throughout the whole course of the project and

help us to think ahead about possible problems that might arise and how they can be

addressed.

Their experience will help us check for compliance with ethical standards within the relevant

research fields. We would provide a periodic update on the fulfilment of identified ethics issues

as a consolidated addendum to the project reports.

The Consortium will work with them on a regular basis throughout the project. Their oversight

role will be fully integrated into Electrific’s research activities and they would work closely with

all of the partners so they are fully aware of all the developments as our research progresses.

The Ethics Advisory Board will also be responsible for reporting to the Consortium and to the

Commission, on a regular basis, on ethics concerns as they arise and the continuing probity

of our studies.

IV.4. Electrific general procedure for Ethics requirements in

regards to participation of humans

This chapter describes general procedure that needs to be followed during each activitiy

performed by every Consortium partner in regards to Ethics requirements in regards to

participation of humans.

Procedure is described with following steps:

1. Every Consortium partner continuously consults content of Ethics requirements

document D10.1 and D10.2. The goal of this step is that every Consortium partner is

fully aware and respects the content and obligations described in this document;

2. During each activity and/or creation of delivery in the Electrific project, responsible

Consortium partner makes following tasks:

a. Performs analysis of the action and/or delivery content in regards to ethics

issues with participation of humans;

b. For Information collection requirements, Consortium partners consults Section

IV.1. ;

c. For Personal Data requirements, Consortium partner consults Section IV.2. ;

d. In the case that a Consortium partner finds a change in delivery in regards to

the preliminary assumptions based on an analysis and/or requirements defined

in this document (e.g. new human interaction points found), this Consortium

partner performs alignment actions that will bring delivery content in line with

Ethics requirements;

41


3. The responsible Consortium partner implements Ethics requirements section that will

support enablement of fulfilling a continuous monitoring Ethics requirements fulfilment.

Details of this task is described in Section IV.5.

4. If additional data or explanation is required in regards to Ethics requirements, the

Consortium partner consults with WP leader and/or project coordinator.

IV.5. Continuous monitoring of Ethics requirements

fulfilment in regards to participation of humans

This chapter describes actions and obligations in respect to continous monitoring of Ethics

requirements in regards to participation of humans.

These steps will be continuously made during lifetime of the project:

1. Continous Ethics requirements legal and regulation framework monitoring;

2. In case of legal / regulation change, project coordinator and project management board

must be informed in written form in earliest convenience;

3. Project coordinator is responsible for confirming about lthe egal and regulation

changes, and to include / amend these changes to the document D10.1 and D10.2;

4. As described in the “Section IV.4. ”, during each activity and/or delivery creation,

accountable Consortium partner includes Ethics requirements section which will

include:

a. Description of applicable ethics issues;

b. Description of the implemented ethics issues actions;

c. Description of differences in regards to main Ethics requirements document

with complete and justified explanation must be provided;

d. Taking into account all general Ethics requirements (“Section II“) and Electirific

requirements (“Section IV“);

5. As described in “Section IV.3. ”, Project constitutes Ethics Advisory Board that will

ensure independent and expert Ethics requirements review on regular basis;

6. Each consortium partner provides all information required to perform ethics

requirement audit.

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V. APPENDICES

V.1. Appendix A: Non-Disclosure Agreement used in the

Development and Testing Phase of the project

Non-Disclosure Agreement

By... (e.g. registering at this website) you agree to by bound by this Non-Disclosure Agreement

(“Agreement”) which is entered into by “Provider” and “Recipient”.

The AGREEMENT is dated ... and made ...

BETWEEN

(1) GFI NV AND THE GROUP GFI INFORMATIQUE, coordinating and representing the

Electrific. Consortium consisting of (1) UNIVERSITY OF MANHEIM, established in

(ADDRESS), (2) FREEMIND CONSULTING established in ..., (3) CZECH TECHNIAL

UNIVERISTY OF PRAGUE established in ..., (4) DEGGENDORF INSTITUTE OF

TECHNOLOGY established in ..., (5) UNIVERSITY OF PASSAU established in ..., (6)

HAS.TO.BE established in ...,(7) BCN ECOLOGIA established in ..., (8) BAYERNWERK

established in ..., (9) E-WALD GmbH established in ..., (10) E-ŠUMAVA.CZ established in ...,

(11) (“Provider”)

and

(2) [Name and address]…………………… (“Recipient”)

(Provider and Recipient individually shall be referred as a “Party” and collectively as “Parties”.)

WHEREAS

(A) Provider possesses certain Confidential Information which is willing to disclose

43


To Recipient as a SIG Member on the terms set out below.

T10.1 – Legal and Ethical Requirements Version: ...– Final, Date:/.../2016

Project Title: Electrific Contract No. 713864

Project Coordinator: Gfi NV and the Group Gfi Informatique

(B) Recipient is willing to accept the Confidential Information on those terms and to use the

Confidential Information only for the purpose of monitoring the progress and development

activities of the Project (the “Permitted Purpose”).

NOW IT IS AGREED AS FOLLOWS

1. “Confidential Information” means any and all information whether commercial or technical

relating to the business of owner, including without limitation, know-how, data, processes,

designs, photographs, drawings, specifications, software programs, and samples, which

is marked with an indicator such as “Confidential” or “Proprietary”, but excluding

information which:

1.1 is or comes into the public domain otherwise than by disclosure or default by the

Recipient;

1.2 was or is lawfully obtained or available from a third party who was lawfully in possession

of the same and free to disclose it; or

1.3 was already known to the tecipient as evidenced by written record pre-dating such

disclosure.

2. In consideration of owner disclosing Proprietary Information, the recipient hereby

undertakes for a period of [five] years from the date of this Agreement

2.1 to keep confidential all Proprietary Information that it may acquire in any manner;

2.2 to use such Proprietary Information exclusively for the Permitted Purpose and not to

use the Proprietary Information for the Recipient’s own purposes or benefit;

2.3 not to disclose such Proprietary Information to anybody, except to authorised

employees or other agents of the Recipient who need to have access to the Proprietary

Information for the purpose of carrying out their duties in connection with the Permitted

Purpose ;

44


2.4 to inform everybody to whom it discloses Proprietary Information that it is confidential

and obtain their agreement to keep it confidential on the same terms as this Agreement;

2.5 to keep safe any drawings, documents, samples or materials provided on loan by

owner, not to reproduce, part with possession of, modify or otherwise interfere with

such items, to return them immediately upon owner’s request and in any event

spontaneously when no longer required for the purposes of this Agreement;

2.6 to notify owner immediately upon becoming aware of any breach of confidence by

anybody to whom the Recipient has disclosed the Information and give all necessary

assistance in connection with any steps which owner may wish to take to prevent, stop

or obtain compensation for such breach or threatened breach.

3. Nothing in this Agreement shall be deemed to grant to the recipient a license expressly or

by implication under any patent, copyright or other intellectual property right. The recipient

hereby acknowledges and confirms that all existing and future intellectual property rights

relating to the Proprietary Information are the exclusive property of owner. The recipient

will not apply for or obtain any intellectual property protection in respect of the Proprietary

Information. All intellectual property rights relating to any drawings, documents and work

carried out by the recipient (whether past, present or future) using the Proprietary

Information will belong to and will vest in owner. The recipient will do all such things and

execute all documents necessary to enable owner to obtain, defend or enforce its rights

in such drawings, documents and work.

4. This Agreement is governed by and will be construed in accordance with European law

and is subject to the non-exclusive jurisdiction of the courts of EU member states.

For and on behalf of Recipient: For and on behalf of Provider:

Signed:__________________ Signed:________________

Name:__________________ Name:_________________

Position:_________________ Position:_______________

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V.2. Appendix B: Informed Consent Model from E-WALD

(Germany)

Einige Fahrzeuge der E-WALD Flotte sind mit Datenaufzeichnungsgeräten zur

wissenschaftlichen Auswertung ausgestattet.

Ich bin damit einverstanden, dass die {PROJEKTPARTNER}, diese Daten elektronisch

speichert und wissenschaftlich im Rahmen des vom {PROJEKTTRÄGER} getragenen

Projekts {PROJEKTNAME} völlig anonymisiert auswertet.

Eine darüber hinausgehende Datenübermittlung an Dritte erfolgt nicht. Ebenso wenig erfolgt

eine langfristige Speicherung der personenbezogenen Daten in den gleichen

Medienspeichern, siehe auch §21 – Datenschutz der AGB.

_________________ _________________

Unterschrift Kunde Ort und Datum

(The above text at the time of writing of this document was only available in German; the

following is not an official translation)

Some vehicles of the fleet of the E-WALD GmbH are equipped with devices for the purpose of

scientific evaluation.

I agree that {PROJECT PARTNERS} these data electronically store and scientifically within

the project {PROJECT NAME} funded by {ORGANISATION} evaluate.

No data will be transmitted to third persons. No long-term storage of personal data within the

same storage media is in effect, c.f. §21 – Data Protection of the AGB.

_________________ _________________

Signature Customer Place and Date

46


V.3. Appendix C: Informed Consent Model from Electric

Scooters services in Barcelona (Spain)

Notice: In the current state of the project, BCNecologia would like to notice that they think that

in their case, as intermediares, they'll receive data already anonymized, and the companies

who collect and treat the data for them are the ones who have to accomplish with all data

protection laws, as they state in their own privacity policies. They want to remark this, because

Electric Scooters services accept to be part of the project voluntary, and they don't have any

direct compensation with this collaboration. In that sense, even if they provide an informed

consent model, they can’t ask them to have this kind of consent for all their users.

I agree that the Company X is going to collect my personal data related to the movement of

the shared e-scooter via the Company Application and an special equipment installed in the

scooter. These personal data will be anonymised immediately and further processed and used

for scientific purposes only”.

“I accept that these anonymised data will be processed by BCNecologia and / or UNIMA only

for the EU project ELECTRIFIC purposes. I have been informed about the aims and other

circumstances of the project”.

“The provision of this data to BCNecologia is explicitly regulated by a formal agreement

between both of them. The transfer of these data to a third part is not allowed”

“I am giving my consent for processing my above mentioned personal data in accordance with

the Spanish Personal Data Protection Law (Law 15/1999, of December 13, about Protection

of Personal Data), in particular with the Title 2 of this Law (Principles of Data Protection)”.

_________________

Customer’s signature

47


V.4. Appendix D: Informed Consent Model from E-Šumava

(Czech Republic)

Consent to collection and further processing of personal data

I agree that the company E-Šumava.cz will collect some my personal data related to the

movement of the rented car via a special equipment installed in the car. These personal data

will be anonymised immediately and further processed and used for scientific purposes only.

I accept that these anonymised data will be processed by E-Šumava.cz and / or Deggendorf

Institute of Technology only for the EU project ELECTRIFIC purposes.

I have been informed about the aims and other circumstances of the project.

I am giving my consent for processing my above mentioned personal data in accordance with

the Czech Personal Data Protection Law (Act No. 101/2000 Coll., of April 4, 2000 on the

Protection of Personal Data and on Amendment to Some Acts ), in particular with the Chapter

2 of this Law (Rights and obligations in processing of personal data).

Customer’s signature

__________________________________

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V.5. Appendix E: Letter of information Model from UNIMA

(Germany)

Project Title: (Title)

Principal Investigators: (NAMES)

Letter of Information

1. Invitation to Participate

You are invited to participate in a study entitled NAME conducted by ____

2. Purpose of the Letter

The purpose of this letter is to provide you with information required for you to make an informed decision regarding participation in this research.

3. Purpose of this Study

The purpose of this study is to…

4. Inclusion Criteria

Example: Male and female participants of age with acceptable levels of English writing and

speaking are allowed to participate.

5. Study Procedures

If you agree to participate, you will be asked to complete a survey….

6. Possible Risks and Harms

Example: No known risks are associated with participation in this study.

7. Possible Benefits

Example: New knowledge gained from participants about how they view political issues

can be used by other researchers to further research in the area of political science and

used for interventions.

8. Compensation

Example: No compensation is provided for participation in this research.

9. Voluntary Participation

49


Participation in this study is voluntary. You may refuse to participate, refuse to answer any questions or withdraw from the study at any time with no effect on their future academic status. If you do not wish to participate, simply do not fill out/return the questionnaire.

10. Confidentiality

Example: The questionnaire results will be stored in a locked cabinet in the researcher’s

office, accessible only to the researchers, and will be destroyed once transferred into

electronic format. All electronic data will be stored on a password-protected USB stick,

located in a locked room accessible only to the researchers and their assistants. All data

associated with you will be destroyed 5 years after the findings of this study have been

published.

11. Contacts for Further Information

If you require any further information regarding this research project or your participation in the study you may contact Research Coodinator ___NAME____ If you have any questions about your rights as a research participant or the conduct of this study, you may contact The Office of Research Ethics (Phone number)

12. Publication

If the results of the study are published, your name will not be used. If you would like to receive a copy of any potential study results, please contact __NAME____

This letter is yours to keep for future reference.

50


V.6. Appendix F: Informed Consent Model from UNIMA

(Germany)

Project Title:

Principal Investigator:

I, _________________________________________

have read the Letter of Information, have had the nature of the study explained to me I agree

to participate. All questions have been answered to my satisfaction.

I agree to be audio / video-recorded in this research

YES NO

I consent to the use of personal, identifiable quotes obtained during the study in the

dissemination of this research

YES NO

I consent to the use of unidentified quotes obtained during the study in the dissemination of

this research

YES NO

_________________ ________________

Signature Date

Contact for future studies

51


Please check the appropriate box below

___ I agree to be contacted for future research studies, Email: ____________________

___ I do NOT agree to be contacted for future research studies

Statement of responsibility

My signature means that I have explained the study to the participant named above. I have

answered all questions.

__________________________ _________________

Signature or Stamp Date

52


V.7. Appendix G: Ethics Approvals Model to be used by E-

WALD (Germany)

53


54


V.8. Appendix I: Ethics Approvals to be used by e-Šumava

(Czech Republic)

55


56


57


58


59


60


61


62


63


64


V.9. Appendix I: Notification of processing for E-Šumava

(Czech Republic)

65


66


67


68


69


70


71


72


V.10. Appendix J: Ethics Approvals framework for UNIMA

(Germany)

73


74


V.11. Appendix K: Mail sent to UNIMA Ethics Commission

(Germany)

75


V.12. Appendix L: Rental Car Contract template from E-

WALD (Germany)

76


V.13. Appendix M: Rental Car Contract template from

Electric Scooters services in Barcelona (Spain)

Companies have a contractual relationship with their customers. They ask them to register by

internet as it’s shown below (example of one of the e-scooters sharing company):

77


Notice: “Company X is going to send some management data to BCNecologia in the only

scope of science purposes for Electrific project. In case that data involves users, Company X

is going to anonymize or generalize these data before sending them to BCNecologia. The

transfer of these data to a third part is not allowed”

78


V.14. Appendix N: Rental Car Contract template from E-

Šumava (Czech Republic)

79


80


V.15. Appendix O: Interview Model from UNIMA (Germany)

81


V.16. Appendix P: Online Survey Model from UNIMA

(Germany)

Example of a previous demographics data collection carried out by one of the UNIMA

researchers.

82


V.17. Appendix Q: Specific Survey Model for Electrific Trial

Partners from UNIMA (Germany)

83


V.18. Appendix R: Screenshots about Electrific’s Self-Assessment based on WP10’s

coordinator questionnaire

84


85


86


IV. REFERENCES

1 DIRECTIVE (EU) 2016/680 OF THE EUROPEAN PARLIAMENT AND OF THE

COUNCIL of 27 April 2016 on the protection of natural persons with regard to the

processing of personal data by competent authorities for the purposes of the

prevention, investigation, detection or prosecution of criminal offences or the execution

of criminal penalties, and on the free movement of such data, and repealing Council

Framework Decision 2008/977/JHA.

2 EUROPEAN COMMISSION, Ethics Appraise and Societal Impact in 2020, 2016.

http://ec.europa.eu/rea/pdf/5_ethics_in_h2020.pdf

3 EUROPEAN COMMISSION, H2020 Programme, Guidance, How to complete your

ethics self-assessment, 12 July 2016,

http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/ethics/h20

20_hi_ethics-self-assess_en.pdf

4 Consortium ethics self assesment document with all answers,


5 European Data Protection Authorities: http://ec.europa.eu/justice/data-

protection/article-29/structure/data-protection-authorities/index_en.htm

6 University of Mannheim has such a commission (https://www.uni-

mannheim.de/1/universitaet/leitung_organe/staendige_kommissionen_ausschuesse/

mitglieder_ethikkommission/), thus, this article applies: “Die Ethikkommission der

DGPs bearbeitet keine Anträge, die aus Institutionen mit einer eigenen, lokalen

Ethikkommission stammen, an die Anträge aus der Psychologie gerichtet werden

können.“

7 European Commision, Data Protection Directive (officially Directive 95/46/EC on the

protection of individuals with regard to the processing of personal data and on the free

movement of such data). The General Data Protection Regulation, adopted in April

2016, will supersede the Data Protection Directive and be enforceable starting on 25

May 2018.

8 D8.1 - Trials technology and data assessment, Electrific, 2016,


9 Kacperski, Celina S., "Construal Levels in the Context of Sport Imagery and

Performance" (2016). Electronic Thesis and Dissertation Repository. Paper 3987.

10 EUROPEAN COMMISSION, Roles and Functions of Ethics Advisors/Ethics Advisory Boards in European Commission-funded Projects, December 2012.

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