#  1 Executive summary

The purpose of the Data Management plan is to describe the processes in place
for securing proper and safe handling of data during and after closure of the
project.

The document is divided into the following chapters:

Chapter 1: “Executive Summary” (this chapter)

Chapter 2: “Background”

Provides the context of the contents, specifically with respect to the scope,
Grant and Consortium Agreements

Chapter 3: “Objectives / Aims”

Defines the purpose and scope of the Data Management Plan (DMP)

Chapter 4: “Information Management & Policy”

Identifies the context of the data management within the IMPACT-2 domain.

Chapter 5: “Data Archiving and Preservation”

Identifies the procedures to be used for archiving, preservation and disposal
of data.

Chapter 6: “File naming conventions”

Describes the file naming convention for datasets filenames and the associated
coding for inclusion in archiving extracts and future dissemination
classification.

Chapter 7: “Conclusions”

Chapter 8: “References”

Reference documents governing the execution of IMPACT-2.

Chapter 9: “Antitrust statement”

#  2 Background

This document corresponds to Deliverable D9.1 “Data Management Plan (DMP)” for
the project IMPACT-2 which was submitted in response to the EU S2R JU 2017
call for members (proposal nr 777513). The GA was negotiated and closed during
the summer 2017 with official project start 1  st  of September 2017. The
consortium is made up of 13 members.

**Table 1: IMPACT-2 members**

IMPACT-2 has 9 WPs

WP1 Management (TRV lead)

WP2 Analysis of the Socio-economic impact (DB AG lead)

WP3 SPD Implementation (TRV lead)

WP4 KPI tree (DLR lead)

WP5 Standardisation (SNCF lead)

WP6 Smart maintenance (DB AG lead)

WP7 Integrated Mobility (BT lead)

WP8 Human Capital (DB AG lead)

WP9 Dissemination (TRV lead)

The purpose of the DMP is to outline the policy for handling and storage of
data during the project and after its closure. Detailed descriptions on
approved or disapproved types of data or files are outside the scope of this
DMP. Furthermore, the DMP policy set out in this document should be seen as
complementary and not in conflict with relevant sections in the CA or policies
in place by the beneficiaries.

The project addresses WA1, WA2, WA3, WA4 and WA6 in the MAAP.

**Figure 1: Overview Work Areas**

#  3 Objectives / Aims

This document has been prepared to provide an instruction for how to handle
data in a safe, secure and legally correct way. This is of utmost importance
for the quality and integrity of the project results. IMPACT-2 will provide
answers to the following objectives:

  * Evaluating the effects for mobility, society and environment induced by new technology solutions and developments 

  

  * Introducing relevant targets and needs to create a more attractive, a more competitive and a more sustainable rail system 

  

  * Defining System Platform Demonstrators (SPD) that represent future application use cases 

  

  * Defining Key Performance Indicators (KPIs) that enable the assessment of the Shift2Rail overall target achievement 

  

  * Smart maintenance concept for the whole railway systems which includes Condition Based Maintenance for passenger trains and integrated infrastructure & rail-vehicle data management 

  

  * Advanced business Service applications to be integrated in the Traffic Management process 

  

  * They cover new business software for freight operations to improve freight resource management and processes; crew and vehicle dispositions 

  

  * The railway staff using the S2R technologies need to be prepared and trained and the organisations need to be adopted for the faster evolution of technology in the future. A concept of the management of these changes on the human capital side (e.g. change in job profiles, skills and organisation) will be drafted. 

  

Trends, scenarios and socio economic impact assessments will address societal
values of S2R whereas the KPI model focusses on S2Rs operational targets i.e.
step change improvements in costs, capacity and reliability. Both levels
interact during the course of the project. Exchange of data between the WPs
will be a key element for the successful running of IMPACT-2.

**Figure 2 IMPACT-2 General concept**

The aim of the DMP is to control and ensure quality of project activities and
to effectively and efficiently manage the data generated within IMPACT-2. It
also describes how data will be collected, processed, stored and managed
including aspects like external accessibility and long term archiving.

#  4 Information Management & Policy

Information management is the discipline by which information is managed
within an organisation. It covers collection, ownership, archiving and
disposal. Information management is also a dissociated part of management and
governance of companies and projects. This document does not intend to in
depth go through theoretical concepts of information management layers or
architectures. The purpose is to highlight the practical handling of data in
IMPACT-2 so it adequately deals with company concerns about data that may be
commercially sensitive but responds to the need for dissemination of project
results at conferences, academic papers and the like.

The DMP has been developed to address the following management and policy
objectives:

  * Comply with participating companies commercial interests whilst at the same time allowing project activities to be carried out necessary for a successful completion of deliverables. 

  

  * Guaranteeing adequate quality of data 

  

  * Fulfil required storage of technical and financial data as requested by the H2020 rules and the CA 

  

  * Allow the coordinator and the steering committee to get timely and accurate information on the progress of individual tasks, milestones and deliverables 

  

##  4.1 DMP – handling of data

The purpose of the DMP is to make sure that handling of data is done in a way
that safeguards quality, storage and confidentiality requirements. Overseeing
the appropriate handling of data for modelling and dissemination of project
results is a key management activity for the TMT which is composed of DLR,
ASTS, BT, CAF, DB, SNCF and TRV

Adequate handling of data is key to the successful completion of IMPACT-2. The
project will be dependent on gathering data from the other IPs and it will
generate data of importance not only for IMPACT-2 but for the S2R endeavour
itself. In particular the data “heavy” WPs handling of the data is described
below:

###  4.1.1 WP1 Management, Lead TRV

WP1 deals exclusively with management and coordination of the project. No
issues concerning collection, safe storage, quality of data or Meta data are
explicitly handled in WP1.

###  4.1.2 WP2 Analysis of the Socio-economic impact, Lead DB AG

All data and documents produced within the IMPACT-2 project are stored and
exchanged via the EC cooperation tool. The confidentiality of these data and
of the content is covered by the Grant Agreement, the Consortia Agreement and
the nondisclosure statement of the S2R partners.

###  4.1.3 WP3 SPD Implementation, Lead TRV

All data and documents produced within the IMPACT-2 project are stored and
exchanged via the EC cooperation tool. The confidentiality of these data and
of the content is covered by the Grant Agreement, the Consortia Agreement and
the nondisclosure statement of the S2R partners. Data that is provided by the
IPs and SPDs as input for mode choice modelling is covered by the
nondisclosure statement and confidentiality agreements of the S2R partners.

Location of digital data: Data is stored in a folder on a VTI server, for
which backup is made every night. In case of analogue data this is stored in
locked cabinets.

###  4.1.4 WP4 KPI tree, Lead DLR

Project management and project content related data and files: All data and
files directly related to the project IMPACT-2 are stored and exchanged via
the EC cooperation tool. The confidentiality of these data and of the content
is covered by the Grant Agreement, the Consortia Agreement and the
nondisclosure statement of the S2R partners.

Data that is provided by the IPs, TDs or SPDs as well as any other input for
the KPI development and calculation: All data is stored in a folder on a DLR
server, for which backup is made every night. The confidentiality of this data
is covered by the nondisclosure statement and confidentiality agreements of
the S2R partners.

###  4.1.5 WP5 Standardisation, Lead SNCF

Data exchange between SNCF and DB concerning Standardisation-data is done via
Email and stored in the EC cooperation tool. Row data provided by the IPs, TDs
and Shift2Rail project teams and any input to the Standardisation roadmap and
standardisation development plan are stored in the EC cooperation tool.

The confidentiality of these data and of the content is covered by the Grant
Agreement and the Consortia Agreement.

###  4.1.6 WP6 Smart maintenance, Lead DB AG

All data and files directly related to the project IMPACT-2 WP 6 are stored
and exchanged via the EC cooperation tool. The confidentiality of these data
and of the content is covered by the Grant Agreement, the Consortia Agreement
and the nondisclosure statement of the S2R partners

The CBM-data provided by IMPACT-2 partners should only be used within the S2R
project by the participants of WP 6. The data should not be shared with other
persons or third parties. The use of the data for public deliveries requires
the agreement of the partner who provides the data.

###  4.1.7 WP7 Integrated Mobility, Lead BT

In WP7 communication between the involved partners will be done by mail and
via on-line sessions. Pre-Drafts of the deliverables, templates and other
administrative documents will be distributed and stored via the tool.

Four Face2Face (F2F) Progress Review meetings are scheduled for 2018 to cover
for critical technical discussions and reviews. The number of F2F meetings
will be strongly reduced when entering in the phase of no-collaborative
development of the proposed prototypes.

###  4.1.8 WP8 Human Capital, Lead DB AG

Data exchange between DB and SNCF/CP concerning Human Capital-data is done via
Email. The confidentiality of these data and of the content is covered by the
Grant Agreement and the Consortia Agreement.

##  4.2 Data types

The minimum requirement on data handled in the S2R collaboration tool is, that
it is equitable with the descriptions of the annex 1 in the GA (DOA) that is
data types covering the tasks involved in carrying out the project.

##  4.3 Data quality

The responsibility for gathering data to be used for the creation of
scenarios, SPDs, KPI models and the like is delegated to the parties involved
in the corresponding tasks. Routine academic quality measures should be
applied by all parties in establishing quality and when relevant integrity.

##  4.4 Data sharing

The following system for classification of data sets will be used:

  * CO0 – do not use the information as a reference or as a source for the project. Information will be only provided for controlling / checking and “fine-tuning” of tools. Information / Data shall not be used for sharing between the project partners. (Example: sensitive economic company owned data for the validation of the KPI-tool) 

  

  * CO1 - confidential level 1: data shall not be shared at any time during or after the project outside the original work package members 

  

  * CO2 - confidential level 2: data shall not be shared outside the consortium members 

  

  * CO3 - confidential level 3: data can be shared outside the consortium without restriction 

  

##  4.5 Data rights

Users of the S2R collaboration tool will have different access rights based on
their contribution and role within the project. In order to secure that
relevant user get access to read / edit and add information the following
access rights are available and should be used accordingly:

###  Guest

This is an observer role, with no activity but with the capacity to download.
Guest rights give access to all documents and meetings with Access field
marked as “Guest” in the tool (i.e. documents and meetings with access flagged
with higher rights will not be visible for Guests). **Limited user**

This is an active role but for those with limited activity attributed (not as
active as a User) and with the capacity to download. **User**

This is a role for members actively contributing in a “domain”, enabling them
to upload new documents.

**Power user**

This role has the same rights as User and, in addition, is able to create
meetings.

###  Domain Administration

This role is assigned to leaders of domain. In addition to the Power User, the
Domain Admin can:

  * Manage user rights within the domain; 

  

  * Change documents Status to “Issued”, confirming that the peer review process is completed; 

  

  * Create and manage action points from meeting. 

  

###  Project administration

The IMPACT-2 Project coordinator has overall project administration rights,
enabling to administrate the complete project.

• The same applies to the S2R JU Groups’ coordinators concerning the S2R JU
Group’s database

#  5 Data Archiving & Preservation

##  5.1 Archiving

At the formal project closure all the data material that has been collected or
generated within the project and registered in the S2R collaboration tool and
classified for archiving shall be copied and transferred to a digital archive
of the S2R collaboration tool. The JU S2R is responsible for its adequate long
term preservation as well as maintaining a system for queries and retrievals
for as long as the data files are to be kept. The relevant data created by
each IMPACT-2 project partner and not stored within the S2R collaboration tool
will be archived by each responsible partner.

Recording and archiving of audio or visual data files as well as personal data
will need written approval by the concerned subjects and is subject to the
responsibility of the collecting organisation.

##  5.2 Confidentiality

Information shall only be made available to those who are authorised to access
it. Information Owners are accountable for defining access to the information
they own. To safeguard and prevent unauthorised access to information,
Information Owners shall classify and govern information in accordance with
the data set classification taxonomy described in the previous chapter and
respecting commitments in the CA. The procedures implemented for data
collection, storage, protection, retention and destruction comply with the EU
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 and Section
5 of the German Federal Data Protection Act of 22 May 2001 (BDSG).

##  5.3 Data integrity

Data and information owners overseen by the TMT (DLR, TRV, BT, CAF, SNCF and
DB) are responsible for the level of protection required against unauthorised
or accidental changes. An additional “quality” assurance is provided by
scientific peer reviews of articles and papers that come out of the project.
Information shall be protected against loss or damage until it is no longer
required to be retained for audits by the EU. Further keeping of records are
subject of negotiations with TRV and the party requesting such archiving.

##  5.4 Cyber security

All information flagged for archiving shall be screened for malware
infestation before entering the S2R collaboration tool repository.

#  6 File Naming Conventions

**6.1 Document code structure:**

All files irrespective of the data type shall be named in accordance with
Cooperation Tool document coding rules.

Whenever a new document is produced within the project, it must be uploaded on
the Cooperation Tool. When a document is uploaded, a unique document code is
assigned. The following subsections describe how this identification code is
structured and set up.

The identification code contains the six following sections:

[Project] – [Domain] – [Type] – [Owner] – [Number] – [Version]

where:

  * [Project] is IMP2 for all IMPACT-2 documents; 

  

  * [Domain] is the relevant domain in the Cooperation Tool (WP, Task or project body); 

  

  * [Type] is one letter defining the document category; 

  

  * [Owner] is the trigram of the deliverable/document leader organisation; 

  

  * [Number] is an order number allocated by the Cooperation Tool when the document is first created. 

  

  * [Version] is the incremental version number, automatically incremented at each upload. 

  

Examples:  
  
<table>  
<tr>  
<th>

**Project**

**-**

**Code**

</th>  
<th>

**Domain**

**-**

**(3-4 characters)**

</th>  
<th>

**Type**

**-**

**(1 letter)**

</th>  
<th>

**Owner**

**-**

**(3 letters)**

</th>  
<th>

**Number**

**\- (3 digits)**

</th>  
<th>

**Version**

**(2 digits)**

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

IMP2 -

</td>  
<td>

TMT -

</td>  
<td>

B -

</td>  
<td>

TRV -

</td>  
<td>

001 -

</td>  
<td>

01

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

IMP2 -

</td>  
<td>

SC -

</td>  
<td>

T -

</td>  
<td>

SIE -

</td>  
<td>

002 -

</td>  
<td>

03

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

IMP2 -

</td>  
<td>

WP1 -

</td>  
<td>

P -

</td>  
<td>

CAF -

</td>  
<td>

003 -

</td>  
<td>

02

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

##  6.2 Documents type

When creating a document in the Cooperation Tool, the type of document in the
section “Specific Information” should be selected. This information will be
used to set up the identification code. Documents are classified among the
following types:  
  
<table>  
<tr>  
<th>

**Letter**

</th>  
<th>

**Name**

</th>  
<th>

**Description**

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

A

</td>  
<td>

Administrative

</td>  
<td>

Any administrative document except contractual documents

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

B

</td>  
<td>

Meeting Agenda,

Presentation or

Minutes

</td>  
<td>

Meeting Agenda, Presentation or Minutes

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

C

</td>  
<td>

Contractual document

</td>  
<td>

Consortium Agreement, Grant Agreement and their approved amendments

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

D

</td>  
<td>

Deliverable

</td>  
<td>

Deliverable identified as such under the Grant Agreement

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

E

</td>  
<td>

EC document

</td>  
<td>

Document provided by JU (general rules, guidelines or JU experts documents)

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

I

</td>  
<td>

Internal

</td>  
<td>

Document not to be circulated to outside the project

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

J

</td>  
<td>

Publication

</td>  
<td>

Document accessible to the public

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

M

</td>  
<td>

Model (template)

</td>  
<td>

MS-Office document templates

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

P

</td>  
<td>

Periodic Report

</td>  
<td>

All intermediate/periodic reports except those listed as deliverables. May be
a WP intermediate report or a project intermediate report requested by the
Grant Agreement but not listed as deliverable.

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

R

</td>  
<td>

Deliverable Review

Sheet

</td>  
<td>

Filled review sheet used to gather peer review comments on a deliverable. It
can be also used to comment any other internal document when explicitly agreed
or requested by its owner.

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

S

</td>  
<td>

Risk Sheet

</td>  
<td>

Filled risk sheet

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

T

</td>  
<td>

Technical contribution

</td>  
<td>

Technical document contributing to a task/deliverable but not part of the
deliverable

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

W

</td>  
<td>

Proposal

</td>  
<td>

Proposal for changes to the Consortium Agreement or Grant Agreement

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

X

</td>  
<td>

External document

</td>  
<td>

Document produced by non-members of the project (e.g. papers, reports,
external public deliverables…) that, upon authorisation of the author(s), are
shared with the project due to its relevancy.

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

##  6.3 Document´s status

A status is associated to each step of the document lifecycle:

  * Draft: the document is under development by one or several partners 

  

  * Under review: the document is made available within the project/WP/task for peer review 

  

  * Issued: the document is ready for submission to the JU 

  

  * Obsolete: the document is withdrawn (cancelled or superseded). 

  

#  7 Conclusions

This report should be read in association with all the referenced documents
including the GA, CA and H2020 anointed model agreement, annexes and
guidelines.

The report will be subject to revisions as required to meet the evolving needs
of the IMPACT-2 project and will be formally reviewed at month 6 and 12 to
ensure it is fitting for purpose.