#  Executive summary

_This deliverable is an update of the Data Management Plan deliverable
(D6.6)._

_D6.6 outlines how the data collected or generated will be handled during and
after the DocksTheFuture project, describes which standards and methodology
for data collection and generation will be followed, and whether and how data
will be shared._

The purpose of the Data Management Plan (DMP) is to provide an analysis of the
main elements of the data management policy that will be used by the
Consortium with regard to the project research data. The DMP covers the
complete research data life cycle. It describes the types of research data
that will be generated or collected during the project, the standards that
will be used, how the research data will be preserved and what parts of the
datasets will be shared for verification or reuse. It also reflects the
current state of the Consortium Agreements on data management and must be
consistent with exploitation.

This Data Management Plans sets the initial guidelines for how data will be
generated in a standardised manner, and how data and associated metadata will
be made accessible. This Data Management Plan is a living document and will be
updated through the lifecycle of the project.

#  EU LEGAL FRAMEWORK FOR PRIVACY, DATA PROTECTION AND SECURITY

Privacy is enabled by protection of personal data. Under the European Union
law, personal data is defined as “any information relating to an identified or
identifiable natural person”. The collection, use and disclosure of personal
data at a European level are regulated by the following directives and
regulation:

  * Directive 95/46/EC on protection of personal data (Data Protection Directive) 

  

  * Directive 2002/58/EC on privacy and electronic communications (e-Privacy Directive) 

  

  * Directive 2009/136/EC (Cookie Directive) 

  

  * Regulation 2016/679/EC (repealing Directive 95/46/EC) 

  

  * Directive 2016/680/EC according to the Regulation 2016/679/EC, personal data 

  

_means any information relating to an identified or identifiable natural
person (‘data subject’); an identifiable natural person is one who can be
identified, directly or indirectly, in particular by reference to an
identifier such as a name, an identification number, location data, an online
identifier or to one or more factors specific to the physical, physiological,
genetic, mental, economic, cultural or social identity of that natural person_
(art. 4.1). The same Directive also defines personal data processing as

_any operation or set of operations which is performed on personal data or on
sets of personal data, whether or not by automated means, such as collection,
recording, organisation, structuring, storage, adaptation or alteration,
retrieval, consultation, use, disclosure by transmission, dissemination or
otherwise making available, alignment or combination, restriction, erasure or
destruction (art. 4.2)._

#  Purpose of data collection in DocksTheFuture

This Data Management Plan (DMP) has been prepared by taking into account the
template of the

“Guidelines on Fair Data Management in Horizon 2020”

(
_http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2020hi-
oa-data-mgt_en.pdf_ )  . According to the latest Guidelines on FAIR Data
Management in Horizon 2020 released by the EC Directorate-General for Research
& Innovation “beneficiaries must make their research data findable,
accessible, interoperable and reusable (FAIR) ensuring it is soundly managed”.

The elaboration of the DMP will allow to DTF partners to address all issues
related with ethics and data. The consortium will comply with the requirements
of Directive 95/46/EC of the European Parliament and of the Council of 24
October 1995 on the protection of individuals with regard to the processing of
personal data and on the free movement of such data.

DocksTheFuture will provide access to the facts and knowledge gleaned from the
project’s activities over a two-year and a half period and after its end, to
enable the project’s stakeholder groups, including creative and technology
innovators, researchers and the public at large to find/re-use its data, and
to find and check research results.

The project’s activities aim to generate knowledge, methodologies and
processes through fostering cross-disciplinary, cross-sectoral collaboration,
discussion in the port and maritime sector. The data from these activities
will be mainly shared through the project website. Meeting with experts and
the main port stakeholders will be organised in order to get feedback on the
project and to share its results and outcomes.

DocksTheFuture will encourage all parties to contribute their knowledge
openly, to use and to share the project’s learning outcomes, and to help
increase awareness and adoption of ethics and port sustainability.

#  Data collection and creation

Data types may take the form of lists (of organisations, events, activities,
etc.), reports, papers, interviews, expert and organisational contact details,
field notes, videos, audio and presentations. Video and Presentations
dissemination material will be made accessible online via the DocksTheFuture
official website and disseminated through the project’s media channels
(Twitter, LinkedIn and Facebook), EC associated activities, press, conferences
and presentations.

DocksTheFuture will endeavour to make its research data ‘Findable, Accessible,
Interoperable and Reusable (F.A.I.R)’, leading to knowledge discovery and
innovation, and to subsequent data and knowledge integration and reuse.

The DocksTheFuture consortium is aware of the mandate for open access of
publications in the H2020 projects and participation of the project in the
Open Research Data Pilot.

More specifically, with respect to face-to-face research activities, the
following data will be made publicly available:

  * Data from questionnaires in aggregate form; 

  

  * Visual capturing/reproduction (e.g., photographs) of the artefacts that the participants will co-produce during workshops. 

  

#  Data Management and the GDPR

In May 2018, the new European Regulation on Privacy, the General Data
Protection Regulation, (GDPR) came into effect. In this DMP we describe the
measures to protect the privacy of all subjects in the light of the GDPR. All
partners within the consortium will have to follow the same new rules and
principles.

In this chapter we will describe how the founding principles of the GDPR will
be followed in the Docks The Future project.

Lawfulness, fairness and transparency

_Personal data shall be processed lawfully, fairly and in a transparent manner
in relation to the data subject._

All data gathering from individuals will require informed consent individuals
who are engaged in the project. Informed consent requests will consist of an
information letter and a consent form. This will state the specific causes for
the activity, how the data will be handled, safely stored, and shared. The
request will also inform individuals of their rights to have data updated or
removed, and the project’s policies on how these rights are managed. We will
try to anonymise the personal data as far as possible, however we foresee this
won’t be possible for all instances. Therefore further consent will be asked
to use the data for open research purposes, this includes presentations at
conferences, publications in journals as well as depositing a data set in an
open repository at the end of the project. The consortium tries to be as
transparent as possible in their collection of personal data. This means when
collecting the data information leaflet and consent form will describe the
kind of information, the manner in which it will be collected and processed,
if, how, and for which purpose it will be disseminated and if and how it will
be made open access. Furthermore, the subjects will have the possibility to
request what kind of information has been stored about them and they can
request up to a reasonable limit to be removed from the results.

Purpose limitation

_Personal data shall be collected for specified, explicit and legitimate
purposes and not further processed in a manner that is incompatible with those
purposes._

Docks The Future project won’t collect any data that is outside the scope of
the project. Each partner will only collect data necessary within their
specific work package.

Data minimisation

_Personal data shall be adequate, relevant and limited to what is necessary in
relation to the purposes for which they are processed._

_Only data that is relevant for the project’s questions and purposes will be
collected. However since the involved stakeholders are free in their answers,
this could result in them sharing personal information that has not been asked
for by the project. This is normal in any project relationship and we
therefore chose not to limit the stakeholders in their answer possibilities.
These data will be treated according to all guidelines on personal data and
won’t be shared without anonymization or explicit consent of the stakeholder._

_Accuracy_

_Personal data shall be accurate and, where necessary, kept up to date_

_All data collected will be checked for consistency._

Storage limitation

_Personal data shall be kept in a form which permits identification of data
subjects for no longer than is necessary for the purposes for which the
personal data are processed_

_All personal data that will no longer be used for research purposes will be
deleted as soon as possible. All personal data will be made anonymous as soon
as possible. At the end of the project, if the data has been anonymised, the
data set will be stored in an open repository. If data cannot be made
anonymous, it will be pseudonymised as much as possible and stored for a
maximum of the partner’s archiving rules within the institution._

_Integrity and confidentiality_

_Personal data shall be processed in a manner that ensures appropriate
security of the personal data, including protection against unauthorised or
unlawful processing and against accidental loss, destruction or damage, using
appropriate technical or organisational measures._

_All personal data will be handled with appropriate security measures applied.
This means:_

  * _Data sets with personal data will be stored at a Google Drive server at the that complies with all GDPR regulations and is ISO 27001 certified._

  

  * _Access to this Google Drivel be managed by the project management and will be given only to people who need to access the data. Access can be retracted if necessary._

  

  * _All people with access to the personal data files will need to sign a confidentiality agreement._

  

_Accountability_

_The controller shall be responsible for, and be able to demonstrate
compliance with the GDPR._

_At project level, the project management is responsible for the correct data
management within the project._

#  DocksTheFuture approach to privacy and data protection

On the basis of the abovementioned regulations, it is possible to define the
following requirements in relation to privacy, data protection and security:

  * Minimisation: DocksTheFuture must only handle minimal data (that is, the personal data that is effectively required for the conduction of the project) about participants. 

  

  * Transparency: the project will inform data subjects about which data will be stored, who these data will be transmitted to and for which purpose, and about locations in which data may be stored or processed. 

  

  * Consent: Consents have to be handled allowing the users to agree the transmission and storage of personal data. The consent text included Deliverable 7.1 must specify which data will be stored, who they will be transmitted to and for which purpose for the sake of transparency. An applicant, who does not provide this consent for data necessary for the participation process, will not be allowed to participate. 

  

  * Purpose specification and limitation: personal data must be collected just for the specified purposes of the participation process and not further processed in a way incompatible with those purposes. Moreover, DocksTheFuture partners must ensure that personal data are not (illegally) processed for further purposes. Thus, those participating in project activities have to receive a legal note specifying this matter. 

  

  * Erasure of data: personal data must be kept in a form that only allow forthe identification of data subjects for no longer than is strictly necessary for the purposes for which the data were collected or for which they are further processed. Personal data that are not necessary any more must be erased or truly anonymised. 

  

  * Anonymity: The DocksTheFuture consortium must ensure anonymity by applying two strategies. On the one hand, anonymity will be granted through data generalisation and; on the other hand, stakeholders’ participation to the project will be anonymous except they voluntarily decide otherwise 

  

The abovementioned requirements translate into three pillars:

  1. Confidentiality and anonymity – Confidentiality will be guaranteed whenever possible. The only exemption can be in some cases for the project partners directly interacting with a group of participants (e.g., focus group). The Consortium will not make publicly accessible any personal data. Anonymity will be granted through generalisation. 

  

  2. Informed consent – The informed consent policy requires that each participant will provide his/her informed consent prior to the start of any activity involving him/her. All people involved in the project activities (interviews, focus groups, workshops) will be asked to read and sign an Informed Consent Form explaining how personal data will be collected, managed and stored. 

  

  3. Circulation of the information limited to the minimum required for processing and preparing the anonymous open data sets –The consortium will never pass on or publish the data without first protecting participants’ identities. No irrelevant information will be collected; at all times, the gathering of private information will follow the principle of proportionality by which only the information strictly required to achieve the project objectives will be collected. In all cases, the right of data cancellation will allow all users to request the removal of their data at any time 

  

  

#  FAIR (Findable, Accessible, Interoperable and Re-usable) Data within Docks
The Future

DMP component Issues to be addressed

  1. Data summary 

     * State the purpose of the data collection/generation 

  

     * Explain the relation to the objectives of the project 

  

     * Specify the types and formats of data generated/collected 

  

     * Specify if existing data is being re-used (if any) 

  

     * Specify the origin of the data 

  

     * State the expected size of the data (if known) 

  

     * Outline the data utility: to whom will it be useful 

  

  

  
  
<table>  
<tr>  
<th>

The purpose of data collection in Docks The Future is understanding opinions
and getting

feedbacks on the Port of The Future of proper active stakeholders - defined as
groups or organizations having an interest or concern in the project impacts
namely individuals and organisations in order to collect their opinions and
find out their views about the “Port of the Future” concepts, topics and
projects. This will Include the consultation with the European Technological
Platforms on transport sector (for example, Waterborne and ALICE), European
innovation partnerships, JTIs, KICs.Consortium Members have (individually) a
consolidated relevant selected Stakeholders list.

The following datasets are being collected:

  * Notes and minutes of brainstorms and workshops and pictires of the events(.doc format, jpeg/png) 

  

  * Recordings and notes from interviews with stakeholders (.mp4, .doc format) 

  

  * Transcribed notes/recordings or otherwise ‘cleaned up’ or categorised data. (.doc, .xls format) 

  

No data is being re-used. The data will be collected/generated before during,
or after project meetings and through interviews with stakeholders.

The data will probably not exceed 2 GB, where the main part of the storage
will be taken up by the recordings.

The data will be useful for other project partners and in the future for other
research and innovation groups or organizations developing innovative ideas
about ports.

</th> </tr> </table>

  2. Making data findable, including provisions for metadata 

     * Outline the discoverability of data (metadata provision) 

  

     * Outline the identifiability of data and refer to standard identification mechanism. Do you make use of persistent and unique identifiers such as Digital Object Identifiers? 

  

     * Outline naming conventions used 

  

     * Outline the approach towards search keyword 

  

     * Outline the approach for clear versioning 

  

     * Specify standards for metadata creation (if any). If there are no standards in your discipline describe what type of metadata will be created and how 

  

  

  
  
<table>  
<tr>  
<th>

The following metadata will be created for the data files:

  * Author 

  

  * Institutional affiliation 

  

  * Contact e-mail 

  

  * Alternative contact in the organizations 

  

  * Date of production 

  

  * Occasion of production 

  

Further metadata might be added at the end of the project.

All data files will be named so as to reflect clearly their point of origin in
the Docks The Future structure as well as their content. For instance, minutes
data from the meeting with experts in work package 1 will be named “yyy mmm
ddd DTF –WP1-meeting with experts”.

No further deviations from the intended FAIR principles are foreseen at this
point.

</th> </tr> </table>

  3. Making data openly accessible 

     * Specify which data will be made openly available? If some data is kept closed provide rationale for doing so 

  

     * Specify how the data will be made available 

  

     * Specify what methods or software tools are needed to access the data? Is documentation about the software needed to access the data included? Is it possible to include the relevant software (e.g. in open source code)? 

  

     * Specify where the data and associated metadata, documentation and code are deposited 

  

     * Specify how access will be provided in case there are any restrictions 

  

  

  

Data will initially be closed to allow verification of its accuracy within the
project.

Once verified and published all data will be made openly available. Where
possible raw data will be made available however some data requires additional
processing

and interpretation to make it accessible to a third party, in these cases the
raw data

will not be made available but we will make the processed results available.

Data related to project events, workshops, webinars, etc will be made
available on the docks the future website. No specific software tools to
access the data are needed.

. No further deviations from the intended FAIR principles are foreseen at this
point

  4. Making data interoperable 

     * Assess the interoperability of your data. Specify what data and metadata vocabularies, standards or methodologies you will follow to facilitate interoperability. 

  

     * Specify whether you will be using standard vocabulary for all data types present in your data set, to allow inter-disciplinary interoperability? If not, will you provide mapping to more commonly used ontologies? 

  

  

  

The collected data will be ordered so as to make clear the relationship
between questions

being asked and answers being given. It will also be clear to which category
the different

respondents belong (consortium members, external stakeholder).

Data will be fully interoperable – a full unrestricted access will be provided
to datasets that are stored in data files of standard data formats, compliant
with almost all available software applications. No specific ontologies or
vocabularies will be used for creation of

metadata, thus allowing for an unrestricted and easy interdisciplinary use

  5. Increase data re-use (through clarifying licences) 

     * Specify how the data will be licenced to permit the widest reuse possible 

  

     * Specify when the data will be made available for re-use. If applicable, specify why and for what period a data embargo is needed 

  

     * Specify whether the data produced and/or used in the project is useable by third parties, in particular after the end of the project? If the re-use of some data is restricted, explain why 

  

     * Describe data quality assurance processes 

  

     * Specify the length of time for which the data will remain re-usable 

  

  

  

Datasets will be publicly available. Information to be available at the later
stage of the project. To be decided by owners/ partners of the datasets.

It is not envisaged that Docks The Future will seek patents. The data
collected, processed and analyzed during the project will be made openly
available following deadlines (for

deliverables as the datasets. All datasets are expected to be publicly
available by the end of the project.

The Docks The Future general rule will be that data produced after lifetime of
the project will be useable by third parties. For shared information, standard
format, proper documentation will guarantee re-usability by third parties.

The data are expected to remain re-usable (and maintained by the partner/
owner) as long as possible after the project ended,

  6. Allocation of resouces 

     * Estimate the costs for making your data FAIR. Describe how you intend to cover these costs 

  

     * Clearly identify responsibilities for data management in your project ⮚ Describe costs and potential value of long term preservation 

  

  

  

Data will be stored at the coordinator’s repository, and will be kept
maintained, at least, for 5 years after the end of the project (with a
possibility of further

prolongation for extra years).

Data management responsible will be the Project Coordinator (Circle).

No additional costs will be made for the project management data.

  7. Data Security 

     * Address data recovery as well as secure storage and transfer of sensitive data 

  

  

  

Circle maintains a backup archive of all data collected within the project.

After the Docks The Future lifetime, the dataset will remain on Circle’s
server

and will be managed by the coordinator.

  8. Ethical Aspects 

     * To be covered in the context of the ethics review, ethics section of DoA and ethics deliverables. Include references and related technical aspects if not covered by the former 

  

  

  

No legal or ethical issues that can have an impact on data sharing arise at
the

moment

#  Open Research Data Framework

The project is part of the Horizon2020 Open Research Data Pilot (ORD pilot)
that “aims to make the research data generated by selected Horizon 2020
projects accessible with as few restrictions as possible, while at the same
time protecting sensitive data from inappropriate access. This implies that
the DocksTheFuture Consortium will deposit data on which research findings are
based and/or data with a long-term value. Furthermore, Open Research Data will
allow other scholars to carry on studies, hence fostering the general impact
of the project itself.

As the EC states, Research Data “refers to information, in particular facts or
numbers, collected to be examined and considered as a basis for reasoning,
discussion, or calculation. […] Users can normally access, mine, exploit,
reproduce and disseminate openly accessible research data free of charge”.
However, the ORD pilot does not force the research teams to share all the
data. There is in fact a constant need to balance openness and protection of
scientific information, commercialisation and Intellectual Property Rights
(IRP), privacy concerns, and security.

The DocksTheFuture consortium adopts the best practice the ORD pilot
encourages – that is, “as open as possible, as closed as necessary”. Given the
legal framework for privacy and data protection, in what follows the strategy
the Consortium adopts to manage data and to make them findable, accessible,
interoperable and re-usable (F.A.I.R.) is presented.

#  Data collected during the first reporting period

During the first reporting period, there have been occasions in which data
have been collected for the project implementation. These moments are
described below:

  * Online Stakeholder Consultation. The stakeholders’ consultation, whose results fed into D1.2- _Stakeholders consultation proceedings,_ was carried out through an online survey based on the Google forms platform. The online survey was launched the 14th September 2018 and remained open until the 1st of October. After the first launch, a second reminder was sent on 26 September. The official survey was preceded by 5 interviews that were aimed at testing the stakeholders’ answer. The interviews were partially close to the current survey since they were mainly based on open questions. After this “testing phase”, the consortium decided to administer an online survey, made up by both open and closed questions, a smaller number of open questions and a greater adherence to deliverable D1.1 Desktop analysis of the concept including EU Policies, that, in the meantime, was submitted and completed. To reach out a larger community of interested stakeholders, the link to the web-based survey has been disseminated using: the official project website, the project newsletter and dedicated emails to selected stakeholders. The online survey has been closed on the 1st of October 2018 with 72 complete individual answers 

  

  * Workshop with experts, 29  th  and 30  th  October 2018, Oporto. The workshops were hosted by APDL (Administração dos Portos do Douro, Leixões e Viana do Castelo) in the Port of Leixões. The event aimed at getting the vision, sharing knowledge and ideas about the Port of The Future: the DocksTheFuture project. The participants were from different sectors of the maritime and port industry. There were experts from wide range of organizations and institutions like Maritime & Mediterranean Economy Department at SRM, Hellenic Institute of Transport, the Baltic Ports Organization, Fraunhofer IFF’s Digital Innovation Hub, ALICE, PIXEL Ports Project, Delft University of Technology, University of 

  

Genova, Port of Barcelona, Kühne Logistics University (KLU), Escola Europea –
Intermodal Transport, PortExpertise, PIXEL, Irish Maritime Development Office,
KEDGE Business School etc. As underlined in the Grant Agreement, this workshop
was conducted with reference to Task 1.5 and its specific goal was that the
experts validate WP1 outputs. Therefore, after having conducted a desktop
analysis of what Ports might look like in the near future, it is undoubtedly,
essential to validate those conclusions with those who are on the field and
have unquestionable expertise on the subject matter. The interesting
discussions went on five breakout sessions in the following topics:

o Digitalisation and digital transformation o Sustainability o Port-city
relation o Infrastructure, means of transport, and accessibility, and o
Competition, cooperation, and bridging R&D and implementation

  * Workshop with experts, 3  rd  April, Trieste. The main goal of the workshop was twofold. To validate the selected projects and initiatives of interest with reference to WP2- _Selection and Clustering of Projects and Initiatives of Interest_ , on the one hand, and to present/add further projects and initiatives not considered, on the other hand. 

  

Before each of the above-mentioned activities, the involved experts and
stakeholders were asked to fill the informed consent form, (refer to
deliverable 7.1- H-Requirement N1) before giving their inputs (e.g. filling
the online survey, sharing the presentations received from them).

#  Updated of the consent form

The above-mentioned consent form has been further updated according to the
Regulation (EU) 2016/679 ("GDPR"). The updated consent form is presented below
(additions marked in yellow) and will be used from now on in the second
reporting period.

Disclaimer

_The views represented in this document only reflect the views of the authors
and not the views of Innovation & Networks Executive Agency (INEA) and _ _the
European Commission. INEA and the European Commission are not liable for any
use that may be made of the information contained in this document.
Furthermore, the information are provided “as is” and no guarantee or warranty
is given that the information fit for any particular purpose. The user of the
information uses it as its sole risk and liability_