#  Executive summary

This plan describes the data management life cycle for the data to be
collected, processed and/or generated by the project. As part of making
research data findable, accessible, interoperable and re-usable (FAIR), it
includes information on:

» The handling of research data during and after the end of the project,

» What data will be collected, processed and/or generated,

» Which methodology and standards will be applied,

» Whether data will be shared/made openly accessible and,

» How data will be curated and preserved (during and after the end of the
project).

The DMP will be **updated** over the course of the project whenever
significant changes arise, such as (but not limited to):

» New data;

» Changes in consortium policies;

» Changes in consortium composition and external factors (e.g. new consortium
members joining or old members leaving).

The Data Management Plan (DMP) will be updated as a minimum in time with the
final review of the project; specifically, for the final review, it will
report the data management activities, showing compliance to the approach
depicted in the DMP.

#  1 INTRODUCTION

##  1.1 SCOPE OF THE DOCUMENT

The purpose of this document is to describe the Data Management approach and
provide the plan for managing the data generated and collected during the
project, the Data Management Plan (DMP).

By following the principles outlined by the “Guidelines to the Rules on Open
Access to Scientific

Publications and Open Access to Research Data in Horizon 2020” and the
“Guidelines on FAIR Data Management in Horizon 2020”, the DMP specifically
describes the data management life cycle for all datasets to be collected,
processed and/or generated by the project. It includes.

» The handling of data during and after the project,

» What data will be collected, processed and generated,

» What methodology and standards will be applied, » Whether data will be
shared/made available and how, » How data will be stored and preserved.

##  1.2 STRUCTURE OF THE DOCUMENT

This document is divided in six sections.

Section 1 defines the objectives, scope and structure of the document.

Sections 2 and 3 describe the Data summary, FAIR DATA, Making data openly
accessible, interoperable, reusable.

Sections 4, 5 and 6 provides the allocation of resources, Data security and
Ethical aspects.

#  2 DATA SUMMARY

OPTICS2 aims at providing a comprehensive evaluation of relevant Safety and
Security research & innovation (R&I) in aviation and air transport. The main
objective of the project is assessing if Europe is performing the right safety
and security research and if the research is delivering the expected benefits
to society. OPTICS2 will be the continuation of the work started in OPTICS.
The successful methodology for assessing European Research developed in OPTICS
will be further refined in OPTICS2 – based on the lessons learnt over the past
four years – and extended to the security research as well. The purpose is to
offer to ACARE and to other key aviation stakeholders a wider perspective on
the recent and on-going research in Europe and to show where are the main gaps
and bottlenecks towards the achievement of Flightpath 2050 Safety and Security
goals.

In this framework the data collected will be mainly information related to:

» Ongoing or completed research projects (project results and related
documentation, reference documents, etc.) in the field of safety and security
in the transport domain to complement the OPTICS2 State-of-the-Art. Various
sources will be used, mostly referring to CORDIS, project’s websites and
project’s coordinators);

» External stakeholders involved in different types of activities e.g.
workshops, interviews, roundtable consultations and dissemination events.
These may include basic personal data for the organisation of the project’
events or for performing interviews, speakers’ presentations at workshops,
consultations, etc. (for this please see also D7.1).

In addition to the above mentioned, OPTICS2 will use the results obtained by
the OPTICS project in which the majority of the OPTICS2 partners (DBL, ECTL,
NLR, CIRA, ONERA, DLR) were also involved.

Data resulting from these activities will be subjected to EU legislation,
including the “Regulation (EU) 2016/679 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 and on the free movement of such data, and
repealing Directive 95/46/EC (General Data Protection Regulation)” that will
apply from 25 May 2018\.

The generated data will be mainly an open repository, reports on the state-of-
the-art assessment and roundtable consultations and materials on workshops and
dissemination events (agendas, proceedings, etc..), plus internal
communication documents (such as minutes of meetings, emails, agreements,
etc..) which will all be available internally on the InGrid tool, Confluence
software (developed by Atlassian) and in the project deliverables. They will
be treated differently according to the degree of confidentiality (public or
confidential) stated in the Grant Agreement.

Table 1 summarises the data planned to be collected and generated within the
project duration.

_Table 1: Data planned to be collected and generate_  
  
<table>  
<tr>  
<th>

**Type of data**

</th>  
<th>

**Description**

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

Collected data

</td>  
<td>

Research project documentation

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

Reference documents

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

Basic personal data of external stakeholders involved in events, interviews,
etc..

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

</td>  
<td>

Presentations for workshops, events

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

Generated data

</td>  
<td>

Open Repository

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

Assessment results for each project (first output of the assessment)

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

State-of-the-art results and assessment syntheses per

SRIA action area/line

(processing of the above-mentioned assessment results per project)

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

Reports on roundtables consultations

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

Reports and material on workshops and dissemination events

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

Minutes of the meetings, webex, etc..

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

The following principles will be used to guide the data management life cycle:

» No data, which is not strictly necessary to accomplish the current study,
will be collected; data minimisation policy will be adopted at any level of
the study;

» The research activities involving external stakeholders will be strictly
limited to those engaged on a voluntary basis. Participants will be asked to
sign a consent form (the detailed procedure to involve external stakeholders
is explained in D7.1). Moreover, participants to OPTICS2 activities are
authorised to request the removal of their recorded data at any moment;

» The collected data will be made available always as aggregated metadata.
Data will not be modified or falsified;

» Anonymity of data will always be guaranteed. The project will neither
collect nor store personal and biographical data (e.g. telephone numbers,
address of residence, age, sex, etc.);

» The exchange of data between the partners involved in the project will be
done through a reliable tool and platform, Confluence software;

» Specific care will be applied when research and validation activities are
linked to sensitive areas (e.g. confidential security data, personal aspects,
etc.).

The data collected and generated by OPTICS2 will be used by the consortium
partners. The aggregated data will be included in reports that will be made
available to the European Commission and stakeholders.

All the data collected, processed and generated by OPTICS2 will be available
to the project partners through a wiki-like online tool named " InGrid",
Confluence software (Atlassian developer). The tool is accessible at
https://research.innaxis.org. The access permissions will be managed by the
project coordinator. This software has been properly adapted to the specific
requirements of OPTICS2 in order to serve as a useful Management Information
System for the project. The suitability of InGrid for this kind of project has
been largely proven by Innaxis (part of the OPTICS2 consortium) in the past
several years with very satisfactory results. Its features of InGrid that make
it applicable for this project are described in the following list:

» Customisable: the structure of any space can be adapted to the specific
requirements of the purpose for which it is created. The necessary structure
of pages can be developed and easily changed at any moment. The layout and
appearance can also be personalised.

» Scalable: the main actions within the tool can create, edit and comment on
pages as well as attach documents (of any format). There are no practical
limits in the number of pages, attachments or comments.

» Online: easily accessed from anywhere in the world with internet connection.
It works properly without any pre-requisite downloads and with almost every
browser (Explorer, Firefox, Chrome, Safari etc.) in any operative system
(Windows, iOS, Linux, Android).

» Wiki-like: specifically designed to take into consideration the
collaborative paradigm which is key for the success of such a project.

» Secure: The tool allows a secure management of user access. The access
requires a user and a secure password which is specific to each person
participating in the project. The particular permissions of each user can be
restricted, including the permissions of viewing or editing particular pages
of the space. This feature also enables the creation of groups of users who
can only see certain part(s) of the project, as needed.

» User-friendly: Advanced features of Confluence software can be easily learnt
by any user over a short period of time.

» Dynamic and Real-time: with the necessary commitment of its users,
Confluence software is a very dynamic tool which shows the updates of each
part of the project in real time. This allows every participant to have access
to the latest version of each section of the project, facilitating the flow of
information and exchange of outputs/inputs among tasks and deliverables. Also,
it enables reducing to a bare minimum the review process of several versions
which is usually time-consuming and prone to errors.

» Reliable: thanks to the possibility to see the history of changes Confluence
software results to be a very reliable instrument that guarantees the safe
storage of data.

» Suitable as a repository of deliverables and other relevant documents
(including history of changes): all deliverables of every WP will be stored in
a single page so they can be easily found. Another page will be created
containing all the minutes of the meetings. It’s really important to stress
that Confluence software stores not only the last version of each attachment
but also the previous ones even though the same title is given, so, if
necessary, old versions can be consulted or restored.

The DMP will be updated as a minimum in time with the final review of the
project.

#  3 FAIR DATA

##  3.1 MAKING DATA FINDABLE, INCLUDING PROVISIONS FOR METADATA

All the data will be available to the project partners on InGrid tool,
Confluence software (see chapter 2 for detailed description). In addition,
public deliverable, including only aggregated data or data coming from already
public sources, will be available on the OPTICS2 website
(http://www.opticsproject.eu/products/).

Formal issues of reports and other documents shall be exported to .doc and
.pdf formats and submitted by the Project Coordinator to the European
Commission by electronic means (Participant Portal system), using the template
developed at the beginning of the project. A repository list recording all the
documents produced by the Consortium members shall be available through the
InGrid page "Final deliverables," which will also include documents required
by the EC out of the formal deliverables (Reports, Publishable Summary,
Results, etc.).

Regarding OPTICS2 naming convention, it will follow the DoA indications in
case of the deliverables (e.g. D_WP number_deliverable number). In case of the
project assessment, the generated excel file name will include the following
information: general category (Security or Safety), funding programme (SESAR,
CleanSky, etc.) and reference to the workflow (revision level).

Furthermore, all Microsoft Word and Adobe Acrobat versions shall be kept for
future reference and stored in InGrid, Confluence software. The Coordinator
shall be responsible for keeping the List updated and for transferring the
public deliverables to the website.

In addition to being available through the Participant Portal and public
website (if applicable), all the deliverables will be submitted by the
deadlines in an electronic format (pdf or MS Word compatible) by e-mail to the
EC project officer in charge of the project if he requires it. Simone Pozzi
(simone.pozzi@dblue.it) from Deep Blue, is the point of contact regarding
OPTICS2 documentation and repositories.

OPTICS2 does not create metadata.

##  3.2 MAKING DATA OPENLY ACCESSIBLE

The generated data that were identified as public in the Grant Agreement
together with the scientific publications that could arise from this project
will be made available on the project website. In particular the publications
will be given green access Open Access (OA), also referred to as self-
archiving, that is the practice of placing a version of an author’s manuscript
into a repository, making it freely accessible for everyone.

According to the DoA, OPTICS2 should create an Open Database containing the
assessed safety and security projects and the consolidated assessment results.
Deliverable D1.2 due at Month 10 will define the requirements for the
development of such database.

As stated in article 29.2 of the Grant Agreement open access to all peer-
reviewed scientific publications relating to the results of the project will
be ensured. To meet this requirement, the coordinator will, at the very least,
ensure that any scientific peer-reviewed publication can be read online,
downloaded and printed. Open access will be provided also to other types of
scientific publication including, if applicable, monographs, books, conference
proceedings, grey literature (informally published written material not
controlled by scientific publishers, e.g. reports).

3.3 MAKING DATA INTEROPERABLE

Not applicable.

##  3.4 INCREASE DATA RE-USE (THROUGH CLARIFYING LICENSES)

OPTICS2 does not envisage providing any data licensing, and the disclosable
data (most of the time based on publicly available data), according to the
agreed disclosure rules, will be freely accessible. It is expected to keep
OPTICS2’s data for four years after project completion, period in which they
may be re-used.

#  ALLOCATION OF RESOURCES

Costs for making data FAIR in OPTICS2 were not allocated to the software tool
implementation and maintenance under partners "other direct costs" since the
used tool (InGrid, Confluence software) is already owned by Innaxis that uses
it for the management of several projects and for the internal management of
resources.

The person responsible for coordinating the data management process will be
the Project Coordinator, and the Project Management Board will be the ultimate
decision-making body of the Consortium and responsible for taking major
strategic decisions with respect to data management if necessary. The effort
for coordinating the data management process is included in the coordinator’s
WP6 effort.

The long-term preservation of data will be discussed with the EC at the
earliest convenience and required resources will be allocated from the OPTICS2
WP5 budget, if necessary.

#  DATA SECURITY

The following rules will apply to data management in order to ensure data
security:

» The data will be stored on servers at the EU-based project partners’
institutions and analysed. Backups will be stored on encrypted hard disks. The
computers and hard disks will be either in a project room or in the data-
centre of selected institutions, password-protected and protected by general
security measures (such as a swipe card entry system at the door) that
guarantee that only employees with the appropriate training and right of
access have access to the rooms where the computers and data are stored;

» Data will consist of digital or/and paper data. Digital data will be stored
on hard disks disconnected from the network, which will be stored on secured
drawers; and/or on secured servers, with defined protocol that limit access to
authorised personnel. Paper data will be stored on secured drawers with
limited access to authorised personnel;

» Strong passwords will be established. These will include a combination of
capital and lowercase letters, numbers, and symbols, and will be 8 to 12
characters long. Use of any personal data (such as birthdays), common words
spelled backwards, sequences of characters or numbers, or those that are close
together on the keyboard, will definitely be avoided; » Password checkers will
be used to assess the strength of the passwords.

Every individual member of the OPTICS2 Consortium will have his/her own
username and password for any login system, from desktops to CMS. Shared
passwords will not be allowed;

» Writing down of passwords will not be allowed;

» Frequent password changes will be encouraged;

» Data access will be limited to authorised staff only, and only within the
spatial and temporal limits negotiated with the data owners and in no case
beyond what prescribed by the current legislation. The people responsible for
the management of data will be the ones mentioned in the informed consent
document presented to the user;

» All changes in the data and documents will be easily trackable through the
history of changes thus guaranteeing their reliability.

As already mentioned, Confluence software will be used as collaborative tool
to exchange data across project partners. Some data may be also exchanged
through e-mail. In order to have a properly protected network, a strong
firewall will be put on the Personal Computer of all individual members of
Project Consortium. This will protect the OPTICS2 network by controlling
internet traffic coming into and flowing out of business. In line with this,
Antivirus and anti-malware software will be recommended as compulsory tools in
any computer used by the OPTICS2 Consortium. All the aforementioned security
applications will be regularly updated.

Raw data will be stored until the end of the project and then deleted from
both servers and backup disks.

Project documentation, including technical documents describing the results of
research activities, will be archived after the end of the project in
password-protected servers.

#  ETHICAL ASPECTS

Ethical aspects of data protection and management are addressed in
Deliverables 7.1 and 7.2.

According to the Italian Regulation and following the Checklist available on
the Italian Personal Data

Protection Authority website (accessible via this link:

_https://web.garanteprivacy.it/rgt/NotificaInserimento.php?h_act=U
&x=5.535781156837938) _ ,  OPTICS2 does not require any ethical approval.
Indeed, OPTICS2 will only collect basic personal data for the organisation of
the projects’ events aiming at collecting experts’ opinions to complement the
State-of-the-Art results. Such data will fall into the category of personal,
non-sensitive, nonjudicial information.

#  REFERENCE

European Commission – Directorate-General for Research & Innovation (2016).
_Guidelines on FAIR_

_Data Management in Horizon 2020_ . Version: 3.0. URL:

_http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hioa-
data-mgt_en.pdf_

European Commission – Directorate-General for Research & Innovation (2017).
_Guidelines to the Rules on Open Access to Scientific Publications and Open
Access to Research Data in Horizon 2020_ .

Version 3.0 (21 March 2017). URL:

_http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020-hioa-
pilot-guide_en.pdf_

European Parliament and Council (2016). _Regulation EU 2016/679: on the
protection of natural persons with regard to the processing of personal data
and on the free movement of such data, and repealing Directive 95/46/EC
(General Data Protection Regulation)_ . URL:  _http://eurlex.europa.eu/legal-
content/EN/TXT/PDF/?uri=CELEX:32016R0679 &from=EN _ OPTICS2 (2018). _D7.1 H -
Requirement No. 1 (Ethics)_ . Submitted.

OPTICS2 (2018). _D7.2 POPD - Requirement No. 2 (Ethics)_ . Submitted.