Ethical Code and Updates on
                                                   Data Protection




7 Annex I – Details on PUCs
                            Details on demonstrations/operational tests

Pilot Use Case description [PUCX.X: Title]
 [Please indicate the no. and title of your PUC and provide a description: where it is going to take place (city,
 country), when (exact date, if not known yet, project month), what is the purpose - which WPs/sub-tasks would
 you like to test, which activities are going to take place and what the participants will be asked to do in the pre-
 mentioned activities]




Participants recruitment procedure
 [Please indicate how you recruited your participants (e.g. people employed in the project, use of own contacts,
 snowball techniques, participants from a previous study that you have their written consent to re-contact them?
 etc. do you plan to provide them with an information sheet and get their signed consent before the
 commencement of any work?)]




Types of data collected

 [Please identify which type of data will be collected during the informed consent (e.g. basic personal data:
 name, age, contact details, job title, etc.? sensitive data: health, sexual lifestyle, ethnicity etc.?)

 Also indicate what type will be collected during the demo/test by UxVs/cameras/sensors (e.g. video/audio
 recordings? images? etc. – are they going to be used for detection ONLY or for the identification of a person as
 well?]




Are any of these data:

Publicly available:

Previously collected:

If previously collected, do you have a lawful basis to use them in this case?
(consent, contract, legal obligation, vital interest, public task, legitimate interest)
                                                                                                   YES NO

UxV details
Total No. of UxVs




D8.6_EthicalCode_and_Updates_on_DataProtection                                                       Page 41 of 87

Ethical Code and Updates on
                                               Data Protection


[Please provide as much technical details as possible regarding the equipment employed and the procedures of
the activities in which Personal Data will be collected / processed.

Please indicate whether you have obtained the required permission to operate your UxV – if yes, describe how
you acquired it – if not yet, describe how you will. Make sure to abide by both EU regulations and national
legislation.]




Filming in Real Time                          Yes                 No
Transfer of Data to Third Parties             Yes                 No
Process interconnections                      Yes                 No


Recipients to whom personal data may be disclosed
[Please identify and describe the recipients of the Personal Data involved in the activities (e.g. data subjects
themselves, employees within the organisation, government / regulatory authorities, other organisations
processing data on behalf of the Data Controller, other third parties)]




Transfer of personal data abroad
[Please describe if the Personal Data will be transferred. If yes, please specify if it will be transferred to EU
Member States and / or other third countries.]




Security measures during the demo/test
[Please describe the security measures planned for the simulation exercise to ensure compliance all EU
Directives

and informing people of the surveillance that is going to take place in that location for a specific amount of time
(e.g. putting up signs indicating the commencement of a demo/test, restricting people to access the simulation
area)]




D8.6_EthicalCode_and_Updates_on_DataProtection                                                     Page 42 of 87

Ethical Code and Updates on
                                               Data Protection




Security measures for processing and/or storing personal data
 [Please describe the security measures relating to processing and / or storing of Personal Data. This involves,
 not exclusively, methods of storage and exchange (e.g. LAN, cloud, secure servers), data structure and
 preservation (e.g. encryption, anonymization), data-merging or exchange plan and commercial exploitation of
 data sets.



RESPONSIBLE FOR THE PROCESSING (Data Controller)
Name
ID                                 Activity
Address
Post Code                City                 Country
Phone                               Mobile
E-mail

PERSON OF CONTACT (regarding the demo/test)
Name
Phone                                   Mobile
E-mail

ORGANISATION
Name
Department
Address
Post Code                                    City                       Country
Phone                                                                  Mobile
E-mail
Type of Organization (tick where appropriate)
     Government Department                                 Public Corporation or Authority

     Health                                                Civil Partnerships

     Education                                             Company

     Financial Services                                    Foundation / Association

     Other:


Nature of Business:
Please describe the nature of business of your organisation.




D8.6_EthicalCode_and_Updates_on_DataProtection                                                  Page 43 of 87

Ethical Code and Updates on
                                      Data Protection


DETAILS OF DATA PROTECTION OFFICER
Name
Address
Post Code                 City                           Country
Phone                              Mobile
E-mail




D8.6_EthicalCode_and_Updates_on_DataProtection                     Page 44 of 87

Ethical Code and Updates on
                                          Data Protection




8 Annex II – Updated information sheet/informed consent
General Information
You have been requested to participate in a research conducted by ROBORDER’s
Consortium which is coordinated by CERTH (Centre for Research and Technology – Hellas).
ROBORDER is a project funded by the European Commission regarding an autonomous
swarm of different robots for border surveillance. This document will provide you with all the
necessary information you need in order to fully understand why this research is taking place
and what it involves, before you decide whether you would like to participate.
Participation
It should be noted here that your participation is completely voluntary, and you can
withdraw at any time of the process without providing any reason. In order to do so, please
contact [responsible partner], whose contact details can be found at the end of this
document. After contacting him/her, you will be asked whether you would like us to
permanently delete your data or if you agree with this data to continue being processed. In
addition, you might be asked the reason why you would like to withdraw from the research,
but you are not obliged to answer. In addition, in the case of being recruited by your
employer, please make sure you are under no unjust pressure to participate. Therefore, we
would like to ask you to carefully read the following, make sure that you fully understand the
research and its scope and ask for any clarifications or translation, in case you think you
need it.
The project
ROBORDER aims at developing and demonstrating a fully functional autonomous border
surveillance system with unmanned mobile robots including aerial, water surface, underwater
and ground vehicles which will incorporate multimodal sensors as part of an interoperable
network. The main goal would be to enhance the current surveillance system with detection
capabilities for early identification of criminal activities at border and coastal areas along with
marine pollution events.
ROBORDER’s research started in May 2017 and will be completed in February 2021 – more
information can be found at the project’s website: https://roborder.eu. As stated above, this
research is funded by the European Commission under Horizon 2020 (Grand Agreement
No.:       740593,       Call:     H2020-SEC-2016-2017,         Topic       SEC-20-BES-2016,
https://cordis.europa.eu/project/rcn/209949/factsheet/en) and is run by 25 partners across
Europe:
    1. Centre for Research and Technology Hellas (Greece)
    2. Fraunhofer Gesellschaft zur Foerderung der Angewandten Forschung E.V.
         (Germany)
    3. Sisekaitseakadeemian (Estonia)
    4. Teknologian tutkimuskeskus VTT Oy (Finland)
    5. Everis Spain SL (Spain)
    6. Police Service of Northern Ireland (United Kingdom)
    7. Ministerio da Administracao Interna (Portugal)
    8. NATO Science and Technology Organisation (Belgium)
    9. Orszagos Rendor – Fokapitanysag (Hungary)
    10. Robotnik Automation SLL (Spain)
    11. Serviciul de Protectie si Paza (Romania)
    12. Elletronika GMBH (Germany)
    13. Ministry of National Defence (Greece)
    14. Sheffield Hallam University (United Kingdom)
    15. Autorita di Sistema Portuale del Mar Tirreno Settentrionale (Italy)
    16. OCEANSCAN – Marine Systems & Technology LDA (Portugal)

D8.6_EthicalCode_and_Updates_on_DataProtection                                      Page 45 of 87

Ethical Code and Updates on
                                         Data Protection


   17. Institut Po Otbrana (Bulgaria)
   18. Copting GMBH (Germany)
   19. Ethniko kai Kapodistriako Panepistimio Athinon (Greece)
   20. CSEM – Centre Suisse d’Electronique et de Microtechnique SA – Recherche et
       Developpement (Switzerland)
   21. Consorzio Nazionale Interuniversitario per le Telecomunicazioni (Italy)
   22. Ministerio da Justica (Portugal)
   23. Cyberlense LTD (United Kingdom)
   24. Inspectoratul General al Politiei de Frontiera (Romania)
   25. EVADS – everis Aerospace and Defence Division (Spain)
Description of the research
[state what the research will involve: where it is going to take place, when, how long will it
last, why is it going to take place (which WP/sub task will you test), which specific activities
will it involve, what will the participants be asked to do, what personal data are going to ask
from the participants or collect from the UxVs – be as specific as possible – this information
can be copied-pasted from the PUC Details document CERTH has asked you to fill in]
By taking part in the pre-mentioned activities, you will be asked to provide this information:
    • Name
    • Professional affiliation
    • Contact information
    • … [add all kinds of information you’ll be asking from the participant]
Photographs and video/audio recordings will be made during your participation in this
research (e.g. interviews audio recordings, video recording of participation in the
demonstration etc.). This information will be used for adjusting the project’s user
requirements, system design and used technologies for object/individual detection.
Additionally, the information you will provide us with may also be used for the writing of
articles in journals or industry magazines, conference presentations and workshops or for
further dissemination purposes. No other use of your information will take place without your
written permission. You can also review these recordings upon request to [responsible
partner]’s responsible concerning the research:
Name:
Address:
E-mail:
Benefits gained with the research and possible harm caused to participants, if
any
Although, there will be no immediate benefits from participating in this research, the
outcomes will contribute to enhancing European Union’s resilience against criminal activities
taking place at the borders, as well as, against environmental disasters. No physical harm or
damage is expected to be inflicted on the participants.
Personal data and privacy
[responsible partner] is only collecting and processing personal data in connection with the
research’s informed consents and for so long as it is required by the project. Only the
absolute necessary data for the project will be collected and processed. These data will be
kept strictly confidential and will not be shared outside of the Consortium UNLESS we are
required to share your information with the European Commission/national authorities as a
part of our obligations.
The description of the personal data register and information concerning the rights of
the data subject in accordance with EU General Data Protection Regulation (2016/679) is in
attachment with this document.


D8.6_EthicalCode_and_Updates_on_DataProtection                                     Page 46 of 87

Ethical Code and Updates on
                                          Data Protection


All personal data are processed in accordance with EU General Data Protection Regulation
(2016/679). Video and still imagery will be collected but only for the purposes of detection of
persons, not their identification (i.e. detection of the presence of humans in an image or
video). This information will be used for the purposes of Search and Rescue missions by
border authorities and prevention of criminal or illicit activities. ROBORDER will not perform
identification of persons through any data collected during the project.
In case of incidental findings, meaning that the ROBORDER system detects anything
illegal or unintentionally captures personal data through its sensors (e.g. cameras) that may
lead to the identification of individuals, one of the following procedures will be followed
according to each case:
     • In case a person working for ROBORDER has enacted an illegal activity with the sole
         purpose of testing the system and has been detected by the system, the local
         practitioner authority (e.g. National Police or Navy) will issue said person with a Letter
         of Commission stating that he or she has performed the action resembling an illegal
         act for the sole purpose of testing the system. No further action is needed.
     • In case a person not involved in any way in the project engages in an illegal activity
         detected by the system, then the person will be handed over to the border police units
         present who will carry out standard operational procedures determined by regulations
         on the given case, and all relevant data has to be secured/encrypted and handed
         over to the police as evidence.
     • Any data collected from video, imagery or other sensors that incidentally may be
         considered relevant for the identification of individuals not involved in the project will
         be immediately isolated and erased from all storage devices (e.g. cameras).
Contact Points
   •   For information regarding the research/withdrawal (Data Controller):
       Name:
       Affiliation:
       Address:
       Email:
       Phone:
   •   Coordinator’s Data Protection Officer:




   •   [responsible partner] Data Protection Officer:
       Name:
       Affiliation:
       Address:
       Email:
Each ROBORDER partner stated above is a joint-data controller, meaning that all partners
have a common objective/purpose regarding the data processing; have designed this
process together and have a common information management set of guidelines.
Your rights
   •   Right to access: you may access your data and ask copies of your data whenever
       you like.
   •   Right to rectification: you may ask us to rectify the information you have provide us
       with in case you think that something is missing or is incorrect.
   •   Right to erasure: you may ask us to erase your personal data at any given moment
       without a specific reason.

D8.6_EthicalCode_and_Updates_on_DataProtection                                      Page 47 of 87

Ethical Code and Updates on
                                        Data Protection


   •   Right to object: you may ask us to stop processing your personal data and withdraw
       at any given moment from the research
   •   Right to data portability: you have the right to ask us to transfer your personal data t
       another party or directly to you.


                      INFORMED CONSENT STATEMENT
I have been requested to participate in a research conducted by ROBORDER’s Consortium,
[responsible partner] coordinated by CERTH – Centre for Research and Technology Hellas.

       I have read the Information Sheet concerning the research and gained sufficient
       understanding about the research.

       I have read the description of the personal data register and information
       concerning the rights of the data subject and gained sufficient understanding
       about the processing of my personal data and the rights that I have concerning
       processing of my personal data.

       I understand that it is completely voluntary to participate in this research and consent
       to the processing of my personal data. I have at any time the right to withdraw my
       consent to any of the above without announcing any specific reason for my
       withdrawal. The contact person at [responsible partner] for this purpose is:

       Name:
       Affiliation:
       Address:
       Email:
       Phone:


With my signature I hereby confirm my participation in the described research and state my
voluntary consent to the processing of the personal data in accordance with the information
contained in the above-mentioned documents.

  Full Name:
  Professional affiliation:
  Email address:
  Phone:
  Signature of Participant:




                                                               Date: ___/___/20__




D8.6_EthicalCode_and_Updates_on_DataProtection                                   Page 48 of 87

Ethical Code and Updates on
                                        Data Protection




9 Annex III – EEA Ethics Report

                                      HORIZON 2020




                 GEN – REQUIREMENT NO.19




ROBORDER
740593

Deliverable Information
Deliverable Number: D9.6                   Work Package: 9
Date of Issue: 05/11/2018
Document Reference: 740593-ROBORDER-D9.6-GEN Requirement No. 19
Version Number: 1.0
                                           Dissemination Level of Deliverable:
Nature of Deliverable:
Report

Author(s):
Keywords: external ethics advisor report
Abstract:
Report by the ethics Advisor to be submitted to the Commission with the periodic reports




D8.6_EthicalCode_and_Updates_on_DataProtection                                 Page 49 of 87