WP6 Project Management Reponsible Institutions: IOER, TUD-EPC, CAUPD Presenter: Claudia Hawke (TUD-EPC)

Objectives Manage the project scientifically and administratively, coordinate with the External Advisory Board, and link with European Commission and other relevant stakeholders in an effective and inclusive manner to: Guarantee that the project objectives will be achieved with high quality, within the planned time and the allocated budget; Assure the integration of research results of the different Work Packages into joint products and publications; Provide for smooth communication between the Consortium and the European Commission Provide tools for communication with other stakeholders to ensure visibility of the project. WP 6 Project Management

Tasks Task 6.1: Scientific coordination and quality management (IOER, CAUPD) Integration of scientific project results of the different Work Packages Consortium Meeting Coordination Project Steering Board (PSB) Coordination External Advisory Board (EAB) Coordination Risk Management Data Management Task 6.2: Legal, financial and administrative management (TUD-EPC, IOER, CAUPD) Management and Coordination Plan Administrative management Financial management Task 6.3: Internal communication and communication tools (IOER, TUD-EPC, CAUPD) Internal communication Project Website and awareness raising tools Communication material WP 6 Project Management

Results Task 6.1 Scientific coordination and quality management The Management Structure was set up according to the GA establishing: Project Steering Board (PSB) – one representative per partner External Advisory Board (EAB) Meetings: Kick-off Meeting Dresden, Germany, Jan 21-23. 2018 Project Week in Beijing, China, Sep 03-07. 2018 incl. PSB and EAB meeting Monthly WebMeetings since Feb. 2018 Deliverables submitted: D6.5 Data Management Plan EAB members M. Bagnasco Progetto CMR, CN F. Graezer Bideau EPFL, CH T. Kalbro Royal Inst. of Techn., SE S. Li, Dev. Res. Center of the State Council, CN K. Mühlhahn, FU Berlin, DE Y. Ren, Fudan Univ., CN M. Wolfram, Yonsei Univ., KOR L. Zan, Univ. of Bologna, IT G. Zhang Urban China Initiative, CN Z. Zhank, UN-Habitat Progr., CN WP 6 Project Management

Results Task 6.1 Scientific coordination and quality management Workshops organised: Young Researchers Workshop on “Sustainable Urbanisation in the EU and in China” (Sep 3. 2018, Beijing, 32 participants) Joint TRANS-URBAN-EU-CHINA / JPI Urban Europe / URBAN-EU-CHINA / CAUPD Workshop on “Urban Living Labs (ULL): Testing grounds for urban in-novation and transformation” (Sep 4. 2018, Beijing, 40 participants) TRANS-URBAN-EU-CHINA Project Meeting Workshop on “Theoretical aspects of transition towards urban sustainability and the role of socially integrative cities” (Sep. 2018, Beijing, 36 participants) Book on “Sustainable urbanisation in Europe and China – facilitating the transition towards socially integrative cities”: Concept group established Definition of concept, structure, authors and content of the different chapters ongoing WP 6 Project Management

Results Task 6.2 Legal, financial and administrative management Deliverables submitted: D6.1 Management and Coordination Plan Management structures Progress monitoring (internal and external reporting) Cost/budget management Quality management (incl. review process for deliverables) Communication management Risk management Further activities: Distribution of pre-financing Setup of mailing lists and internal website for document sharing Preparation of 6-month internal report (technical and financial) Preparation of 1st Periodic Report (technical and financial) WP 6 Project Management

Results Task 6.3 Internal communication and communication tools Deliverables submitted: D6.2 Project logo, templates and communication material D6.3 Technical project communication tools D6.4 Website and project presence in social media Project logo Report template Flyer Roll-up WP 6 Project Management

Results Task 6.3 Internal communication and communication tools D6.4 Website and project presence in social media WeChat “gh_e108218b5f00” or “中欧可持续城镇化合作项目” http://transurbaneuchina.eu/ Social media profiles in Project website http://transurbaneuchina.eu/ Twitter https://twitter.com/TRANSURBEUCHINA LinkedIn https://www.linkedin.com/company/transurbaneuchina/ Research Gate https://www.researchgate.net/project/TRANS-URBAN-EU- CHINA-Transition-towards-urban-sustainability-through-socially-integrative- city WeChat (gh_e108218b5f00) WP 6 Project Management

Overview Deliverables Lead Delivery D6.1 Management and Coordination Plan IOER 29.03.2018 D6.2 Project logo, templates and communication material D6.3 Technical project communication tools D5.1 Dissemination and exploitation strategy (DES) EUR 30.05.2018 D6.4 Website and project presence in social media 29.06.2018 D6.5 Data Management Plan D4.1 Setting up the Big Data analytics framework including open data and the online ‘Community of Communities’ CUIC 30.11.2018 D1.1 Report, including good practice examples in Europe and China, derived from the knowledge base POLITO 01.02.2019 D2.1 Report on good practice and success factors for the development of strategies for sustainable cities, integrative planning and implementation in China and Europe AIT D3.1 Report on the current framework and situation of urban renewal, urban expansion as well as land management and land banking (incl. land administration) in China and Europe 16.01.2019 D5.2 Report on the Living Lab knowledge base NTNU 23.01.2019 * WP7 Deliverables in WP7 presentation WP 6 Project Management

Overview Milestones Milestone Lead Achievement MS1 Constitution of the External Advisory Board IOER 31.03.2018 MS2 Selection of 2 Chinese Living Labs NTNU 04.09.2018 MS3 Establishment of Reference Cities group EUR Not yet MS4 Workshop at Living Lab 1 on knowledge base due 9/19 MS5 Agreement on structure and content of the compendium on tools and measures for transition MS6 Workshop at Living Lab 2 on transformative knowledge due 5/20 MS7 Final agreement on which good practice examples shall be documented in the compendium WP 6 Project Management

Gantt chart WP 6 Project Management

Challenges Milestone 3 (Establishment of Reference Cities group, due in M6) not yet achieved, but large number of cities identified, just no written commitment from the cities More communication and training events targeting cities to disseminate, discuss and promote the first project outputs from WP1-4 focus on a real working relationship with cities rather than formal commitment Small delay of some deliverables due to Christmas and New Year holiday and internal review process. WP 6 Project Management

Used resources Planned versus spent effort per work package and per partner measured in person months Spent effort is in line with work plan:  Small underspend in WP2, WP3, WP4  Small underspend by ISINNOVA, TUD, CAUPD  Small overspend by NTNU Based on linear distribution Based on linear distribution WP 6 Project Management

Used resources Overspend: NTNU: high travel costs setting up the ULLs POLITO: publication costs UniMC: WP1 workshop costs WP 6 Project Management

Outlook Next meetings: Sep. 2019: Project meeting, PSB and EAB meeting in China May 2020: Project meeting, PSB and EAB meeting in China Continue monthly WebMeetings Distribution of 1st interim payment Monitoring and coordination of data management Implementation of recommendations from Ethics Advisor WP 6 Project Management

Outlook – Upcoming Deliverables in 2019 Lead Delivery D6.6 Workshop Report on “Theoretical aspects of transition towards urban sustainability and the role of socially integrative cities” IOER 3/19 D2.2 Concept for practical tools and mechanisms for the development of sustainable cities, integrative planning and implementation AIT 6/19 D3.2 Concept for report on applicable legal, planning, fiscal and participatory instruments, and land bank-ing mechanism in regard to land administration systems for land allocation in urban expansion and urban renewal in China to address urban planners and urban planning authorities D4.2 Critical review of the state of the art in SCBA in both Europe and China and recommended approaches and methods for the use of SCBA in urban planning and decision-making. ISINNOVA 12/19 D6.10 European Policy Brief No. 1 EUR WP 6 Project Management

WP7 Ethics requirements Reponsible Institutions: IOER, TUD-EPC, CAUPD Presenter: Claudia Hawke (TUD-EPC)

WP 7 Ethics requirements Objectives The objective is to ensure compliance with the 'ethics requirements' set out in WP7. Ethics requirements are based on the ethics issues identified in the Ethics Summary Report: Humans participants Protection of personal data Involvement of third countries WP 7 Ethics requirements

Pre-Grant Requirements 1. Procedures and criteria that will be used to identify/recruit research participants: Experts and other stakeholders will be selected on the basis of their expertise or their involvement in different urban development activities. Other interviewees will be selected randomly. 2. Information on the informed consent procedures for the participation of humans: All persons taking part in empirical parts of the project will be asked for their informed consent before any data is collected. Information presented to participants will clearly express, which data will be collected and for which purposes the data will be used. 3. Clarify whether children and/or adults unable to give informed consent will be involved and if so, how will consent/assent be assured: Children and/or adults unable to give informed consent will not be involved in the study. Pre-Grant Requirements are addressed in Section 5.1 of the DoA Part B: WP 7 Ethics requirements

Pre-Grant Requirements 4. Clarify whether vulnerable individuals/groups will be involved and details about the measures taken to prevent the risk of enhancing vulnerability/ stigmatisation of individuals/groups.: Vulnerable individuals or groups will not be involved in the numerous information/knowledge collection activities. The participation is voluntary. 5. Justification must be given in case of collection and/or processing of personal sensitive data: No personal sensitive data will be collected. WP 7 Ethics requirements

Pre-Grant Requirements 6. Detailed information on the procedures for data collection, storage, protection, retention and destruction and confirmation that they comply with national and EU legislation: Data minimization. Data collection and analysis in an anonymous or at least pseudonymous way. Collected data will be immediately pseudo anonymized and aggregated, and original data will not be stored. Data will be deleted or fully anonymized as soon as the relevant scientific and innovative purpose as stated in the DoA is fulfilled. For collection, storage and analyses of personal data only computers under the sole control of the project partners will be used. All data collected will be stored and transmitted in an encrypted way. 7. Clarify whether the qualitative interviews, ethnographic studies, and surveys do not entail the acquisition of personal data. No personal sensitive data will be collected. WP 7 Ethics requirements

Pre-Grant Requirements 8. Clarify whether the analysis activities involve the secondary use of personal data: In case of secondary use of personal data, partners have to provide evidence that the data is publicly available. The techniques for data obfuscation (such as substitution, shuffling, nulling out and masking out) will be used in case some sensitive data will be left in these data sets. 9. Foreseen measures to minimise risks to research participants, specifically where results may conflict with official state-sponsored policies in China, may reveal discriminatory regulations and policies, may uncover corrupt administration practices, and may adversely affect the researchers/participants: Prominent Chinese institutions are directly involved in the project as partners and co-leads, directly linked to ministries and high level policy-making of the national government. Chinese partners will forward solutions to the government so that they can be considered in further decision-making and included in policy-making processes. WP 7 Ethics requirements

Pre-Grant Requirements 10. Confirm that the research performed outside the EU is compatible with the Union, National and International legislation: Partners confirm that the research performed outside the EU is compatible with the Union, National and International legislation and could have been legally conducted in one of the EU Member States. 11. It is required that an independent Ethics Advisor is appointed: The appointment of an independent Ethics Advisor is foreseen in the DoA. WP 7 Ethics requirements

Post-Grant Requirements D7.1: Templates of the informed consent forms and information sheet must be submitted on request. The informed consent forms must be kept on file. [M1] D7.2: If the applicants have concluded that personal data will be collected, then templates of the informed consent forms and information sheet must be submitted on request. [M1] D7.3: If the project relies on the secondary use of personal data they have to provide evidence that the data is publicly available. [M6] D7.4: The applicant must provide details on the data which will be imported to/exported from EU and provide the adequate authorisations, if required. [M1] D7.5: A report by the Ethics Advisor must be submitted to the Agency together with the periodic reports. [M12] WP 7 Ethics requirements

WP 7 Ethics requirements Results D7.1: Templates of the informed consent forms and information sheet Background: the proposed work includes interviews and questionnaires, including interviews with “middle-class urban dwellers”, i.e. potentially vulnerable subjects or subjects not able to give informed consent. Templates have been submitted in M1 (Jan. 2018), including a template for informed consent from children and illiterate subjects. Templates revised in March 2019 following advice from the Ethics Advisor, with: reference to children removed; translation of templates in Chinese provided. During 1st reporting period, no interviews or questionnaires have been implemented. Check if WP1 and WP4 had interviews or questionnaires WP 7 Ethics requirements

WP 7 Ethics requirements Results D7.2: Templates of the informed consent forms and information sheet in case of personal data collection Templates have been submitted in M1 (Jan. 2018), including a template for informed consent from children and illiterate subjects. Templates revised in March 2019 following advice from the Ethics Advisor, with: reference to children removed; translation of templates in Chinese provided. During 1st reporting period, no interviews or questionnaires have been implemented. AIT interview?? WP 7 Ethics requirements

WP 7 Ethics requirements Results D7.3: Evidence that data is publicly available in case of secondary use of personal data Deliverable submitted in M6 (June 2018): Partners shall consider thoroughly whether their work relies on the secondary use of personal data or not, for which purpose they use personal data, and what evidence there is of the data being publicly available. During 1st reporting period, there was no secondary use of personal data. WP 7 Ethics requirements

WP 7 Ethics requirements Results D7.4: Details on the data which will be imported to/exported from EU and provide adequate authorisations Deliverable submitted in M5 (May 2018): Data will be stored and processed, where it is generated – hence no data input or export is expected. Location of data will be indicated in Deliverables and Reports/Publications. During 1st reporting period, no data was imported or exported from non-EU countries to EU countries. WP 7 Ethics requirements

WP 7 Ethics requirements Results D7.5: A report by the Ethics Advisor must be submitted to the Agency together with the periodic reports Deliverable submitted beginning of M13 (Jan. 2019): Following a tendering process, the following person was appointed as independent Ethics Advisor to TRANS-URBAN-EU-CHINA: Dr. Pak-Hang Wong, PhD Twente Research Associate (PostDoc), Ethics in Information Technology Universitaet Hamburg, Department of Informatics GA, Ethics Summary Report and Deliverables were provided to Dr. Wong. A WebMeeting took place on 11.01.2019 between the consortium partners and Dr. Wong. Report from Ethics Advisor submitted as Annex to Part B of Periodic Report. WP 7 Ethics requirements

Results Recommendations from Ethics Advisor “Measures implemented by TRANS-URBAN-EU-CHINA are sufficient answers to the Ethics Requirements of the EC.” Recommendations: Include minor adjustments on the templates of Informed Consent Forms in relation to children and vulnerable subjects. → D7.1 and D7.2 resubmitted in 3/19 Clarify recruitment process of research participants with regards to children and vulnerable subjects. Provide translated version of the templates of Informed Consent Forms and Information Sheet for non-English speaking research participants. → D7.1 and D7.2 resubmitted in 3/19 Establish Ethics Board in the Project Management structure, and to state the membership of the Ethics Board. → Membership agreed on 28/3/19 (EUR, UniMC, CAS, TSHA) Document the Location of Data in Deliverables and in Data Management Plan, and to describe the technique(s) for Data Anonymization. Implement Terms of Services in “The Online Community of Communities” (CoC). → Implemented WP 7 Ethics requirements

WP 7 Ethics requirements Challenges Selection process for appointing the Ethics Advisor has been challenging because from 12 persons invited to provide a quote, only 2 offers were received → delay in appointing the Ethics Advisor. WP 7 Ethics requirements

WP 7 Ethics requirements Outlook Implementation of recommendations from Ethics Advisor. Ongoing implementation of ethics requirements according to the ethics deliverables and the report by the Ethics Advisor. Submission of 2nd Ethics Report with 2nd Periodic Report (Feb. 2021) WP 7 Ethics requirements

Ethics & Data Management Reponsible Institutions: IOER, TUD-EPC, CAUPD Presenter: Claudia Hawke (TUD-EPC)

Ethics & Data Management Objectives TRANS-URBAN-EU-CHINA participates in the Open Research Data Pilot (ORDP). The project is committed to make digital research data generated in the project openly accessible. This includes: data, including associated metadata, needed to validate the results presented in scientific publications; other data, including associated metadata, as specified and within the deadlines laid down in the ‘data management plan’. Ethics & Data Management

Ethics & Data Management Results Deliverable D6.5 Data Management Plan submitted in M6 (June 2018), which includes: Data Summary Fair Data Management Allocation of Resources Data Security Ethical Aspects Pre-Grant Requirements are addressed in Section 5.1 of the DoA Part B: Ethics & Data Management

Ethics & Data Management Results Data Summary Data will be generated through interviews, questionnaires, surveys, re-draw of existing situation city plans and literature review. Certain data will be requested from the participating city pairs. Some data will be bought from commercial data providers. → Data refers to urban data and the experience of citizens, policy makers, urban authorities, planners, administrations and other stakeholders. DMP includes an overview of the data planned to be generated in the project per task. Pre-Grant Requirements are addressed in Section 5.1 of the DoA Part B: Ethics & Data Management

Ethics & Data Management Results 2. FAIR Data Management TRANS-URBAN-EU-CHINA aims to make data findable, accessible, interoperable and re-usable (FAIR). Use of unified pattern for naming the produced datasets. Use of template table to describe metadata of each dataset including title, author, description, formats, etc. Regarding data access, embargo periods or copyright details for scientific publications will be taken into account. Short-term data storage (for raw data and documents) by each partner. Intermediate documents and data shared through internal project website. Long-term data storage in selected repositories and preserved for at least 10 years. choice of repository will depend on: location of repository research domain costs open access options prospect of long-term preservation. Possebilities: OpARA (institutional repository of the TU Dresden) ZENODO (online, free of charge storage created through the European Commission’s OpenAIREplus project and is hosted at CERN, Switzerland) Ethics & Data Management

Ethics & Data Management Results 3. Allocation of Resources The costs of short-term data storage will be borne by all project partners. The costs of preparing data and documentation for long term storage will be borne by individual project partners. Pre-Grant Requirements are addressed in Section 5.1 of the DoA Part B: Ethics & Data Management

Ethics & Data Management Results 4. Data Security Long-term data have different levels of open accessibility: data with restricted access to the consortium partner creating this data set; data with restricted access to TRANS-URBAN-EU-CHINA project partners; data that is to be published and shared as open source to researchers only; data that is to be published and shared as open source to everyone. Decisions on data publication and the level of accessibility will be taken per dataset and by the responsible consortium partner who created the dataset. Pre-Grant Requirements are addressed in Section 5.1 of the DoA Part B: Ethics & Data Management

Ethics & Data Management Results 5. Ethical Aspects All partners will ensure that project activities related to data, specifically to personal data, will be in compliance with applicable EU and national law on data protection, in particular the EU General Data Protection Regulation (GDPR) and China’s Network Security Law. → No personal sensitive data will be collected. → Use of informed consent forms and information sheet. → Principle of data minimization. → Data analysis in an anonymous or at least pseudonymous way. → Regarding data processing, the collected data is pseudonymized and aggregated. → Data will be deleted or fully anonymized once the scientific purpose is fulfilled. → Data collected will be stored and transmitted in an encrypted way. Pre-Grant Requirements are addressed in Section 5.1 of the DoA Part B: Ethics & Data Management

Ethics & Data Management Challenges Data collection and research activties in different countries. Data processing and storage outside of the EU. Data transfer between the EU and other countries. Clarity on data that will be generated. Ethics & Data Management

Ethics & Data Management Outlook To identify the expected data and relevant ethical issues. Monitoring of data management activities. Update of Data Management Plan. Ethics & Data Management