Disclaimer

This document contains description of the OpenAIRE-Advance project findings,
work and products. Certain parts of it might be under partner Intellectual
Property Right (IPR) rules so, prior to using its content please contact the
consortium head for approval.

In case you believe that this document harms in any way IPR held by you as a
person or as a representative of an entity, please do notify us immediately.

The authors of this document have taken any available measure in order for its
content to be accurate, consistent and lawful. However, neither the project
consortium as a whole nor the individual partners that implicitly or
explicitly participated in the creation and publication of this document hold
any sort of responsibility that might occur as a result of using its content.

This publication has been produced with the assistance of the European Union.
The content of this publication is the sole responsibility of the OpenAIRE-
Advance consortium and can in no way be taken to reflect the views of the
European Union.

OpenAIRE-Advance is a project funded by the

European Union (Grant Agreement No 777541).

#  Publishable Summary

This document is a Data Management Plan (DMP) for data collected and created
by OpenAIRE. The DMP was developed in line with the Guidelines on FAIR Data
Management in Horizon 2020 (version 3.0). The OpenAIRE infrastructure operates
by collecting, transforming and enriching metadata of research outputs, and by
interacting with third-party data and service providers. OpenAIRE also runs
the open access research data repository Zenodo, and in the frames of OpenAIRE
various research activities are undertaken. All of these aspects of the
project are covered in the DMP. The DMP describes the size and scope of the
data as well as policies adopted for data archiving, preservation, and
sharing. It is intended to further develop this DMP and keep it up-to-date as
the project and its requirements develop.

1| DATA RELATED TO THE PROJECT

1.1 Data summary

During OpenAIRE-Advance project many documents and other data for internal
purpose are being produced. The value of them is different. Some of them are
needed for the only short period of time, while others will be valuable until
the end of the project or even longer. Essential project documentation will be
created as a result of tracking and validating project progress by the project
boards within WP1.

Access to documents and other data produced for internal purpose should be
limited to the project team. Crucial part of this outcome is used as a support
for the purpose of the project. This is the case of financial reports or notes
after the meetings. This kind of information should be preserved for the
adequate period of time. However, it could be considered that some documents
can be safely made accessible in a broader range. This could be the case of
white paper deliverable from the WP1. Some legal analyses may be used after
the project as well.

##  1.2 Resources and responsibilities

The responsibility for managing data related to project lies with all the
partners. This kind of data is related to all WPs. Leaders of each WP decide
how it is being managed.

##  1.3 Data security

All the project data will be used in the best way from the operational point
of view. Because of it’s practical usage it should be created and persisted
using comfortable online collaborative tools such as Google Spreadsheets or
Google Documents with custom access rights set for each document accordingly
to the requirements. Some internal data will be stored in the ICM
infrastructure in OwnCloud storage available at  _https://box.openaire.eu_
with the ability to make it publicly available whenever possible.

##  1.4 Ethical and legal aspects

There is no specific ethical or legal aspects related to project data.

2| DATA RELATED TO NOAD OPERATION AND TRAINING

MATERIALS

2.1 Data summary

Various dissemination materials will be produced and published as an outcome
of WP2 and an electronic version should be easily exposable to public using
OwnCloud’s document sharing mechanisms. In addition to standard dissemination
materials such as leaflets, postcards, posters, factsheets and guides a number
of short stakeholder specific videos will be produced as general tutorials for
the OpenAIRE products.

WP3 focused around NOADs network operation will result in OA/OS policies
reinforcement and alignment in form of unified policy information which should
be made publicly available on the portal. Additionally two toolkits will be
provided alongside two deliverables:

  * D3.1 with toolkit for policy makers on OA/OS 

  

  * D3.2 with toolkit for researchers on legal issues 

  

Training activities will be strengthened with WP4 outcome in form of various
interactive training materials which in the end will contribute to Open
Research Data and OS carpentry courses. In order to meet T5.2.1 requirements
training materials should be also translated and adopted for use in Latin
America.

##  2.2 Resources and responsibilities

There are two main ways of gathering the data. Firstly it will be created
within the project by NOADs. Second source of the data is a result of
collaboration between OpenAIRE and other project and entities, such as FOSTER,
EOSC-hub and LA Referencia.

The responsibility for managing this category of the data lies with WP2, WP3
and WP4 leaders. The WPs leaders will be supported by NOADs. Standard
procedures for data management will be introduced by leader of each WP
relevant to this data.

##  2.3 Data security

All digital resources should be stored in the ICM infrastructure in OwnCloud
storage available at  _https://box.openaire.eu_ with the ability to make it
publicly available. Some resources (e.g. policies) will become publicly
available on the portal. In both cases data security is ensured by the ICM
data center preservation policies.

##  2.4 Ethical and legal aspects

There are no specific ethical issues related to this category of the data.
Copyright belongs to the most important legal aspects in this subject. However
significant part of the materials will be licensed on the basis of Creative
Commons licenses. Other materials will be available on the basis of the fair
use principle.

3| DATA RELATED TO THE OPENAIRE INFORMATION SPACE AND PRODUCTS

3.1 Data summary

The OpenAIRE-Advance project runs and maintains a research-information
e-infrastructure which collects, manages, aggregates, cross-links and analyzes
data about the research output across all research repositories. We term this
the OpenAIRE Information Space. Access to the Information Space for all
interested Internet users is provided through the main OpenAIRE portal  (
_www.openaire.eu_ ), dashboards and various APIs.

The software underlying the OpenAIRE infrastructure and portal is powered by
D-NET software, which is openly available under the AGPL license. Information
Inference Subsystem source code is publicly available on GitHub  1  . All
extensions to the software produced during OpenAIREAdvance are also being made
openly available under the same license.

The content of the Information Space (data populating it) is collected from
registered data providers (repositories, aggregators, CRISs, publishers,
funders) and from individual portal users, and it is also enriched by OpenAIRE
itself (through aggregation and inference algorithms). Bibliographic metadata
objects are in some cases complemented by corresponding fulltext files. The
resulting information has the form of an object/knowledge graph of all of the
metadata present in the system. The graph is generated by aggregating content
collected from data providers and portal users and enriching it with content
generated by the internal Information Inference System (IIS). The graph is
processed in an HBASE Column Store and delivered via APIs via varios back-
ends: Solr full-text index, MongoDB for OAI-PMH clients, Virtuoso for LOD, and
PostreSQL for statistics. The objects (the collected metadata records) conform
to the internal Information Space Data Model. The total size of the data
stored in the Information Space is now in the range of tens of TBs.

Further enrichment of Information Space content is expected through the pilots
defined in WP7 as a result of tight interoperability between OpenAIRE-Advance
and other external services. It is intended to support bidirectional data
exchange by not only absorbing the information from external services but also
sharing both aggregated and inferred Information Space contents. The
interfacing will be established with scholarly communication services such as
Sherpa ROMEO and DataCite, and with EC horizontal e-infrastructures: EOSC-hub,
EUDAT and EGI virtual appliances database. One another source of Information
Space data enrichment will be result of establishing interoperability between
OpenAIRE and Research Infrastructures services allowing publishing datasets
and methods being deposited and shared via RI services.

Information about the portal users is introduced by the users themselves
during account creation and then during portal usage.

Usage activity about the OpenAIRE portal and usage events from participating
repositories is collected by means of a Piwik platform and then analyzed to
produce consolidated usage statistics. No personal information is collected
here, apart from the IPs of the users who are visiting the web sites.

In the OpenAIRE-Advance project, we re-use and further build on software and
Information Space content from the previous projects in the series (OpenAIRE,
OpenAIREplus, OpenAIRE2020).

The software and data related to the OpenAIRE Information Space may be of
interest to everyone working in the area of open science, science management
and administration, or for other reasons interested in the functioning and
outputs of research.

OPENAIRE-ADVANCE PRODUCTS

###  Users engagement and feedback

Each new OpenAIRE-Advance product will have one dedicated user board, every
6/8 months feedback will be taken from users outside OpenAIRE consortium. The
outcome can be obtained in various ways, e.g.:

  * online tools for a quick feedback 

  

  * questionnaires 

  

  * interviews with specific stakeholders 

  

Quick feedback responses should be gathered and stored with the means provided
by the chosen web framework.

Existing standard questionnaires for measuring usability and user experience
will be combined with questionnaires tailored to record feedback on the
specific services the platform offers. The outcome of questionnaires should be
persisted, e.g. in  _box.openaire.eu_ , allowing easy access and further
processing.

Interviews can be conducted in form of semi-structured interviews or use
scenarios with users of OpenAIRE dashboards. Interviews outcome should result
in notes being stored in  _box.openaire.eu_ .

###  Monitoring Dashboards

The following set of dashboards will monitor and display research results for
the specific stakeholder group:

  * Funder Dashboard 

  

  * Project Dashboard 

  

  * Institutional Dashboard 

  

All monitoring dashboards will include standardized data spreadsheets and
graphs produced and exported in different formats on the fly, based on real
time data as aggregated by OpenAIRE.

They will also include tools to produce on demand reports.

Funder Dashboard was designed as a composition of two separate views:

  * private view: Research Statistics Tool 

  

  * public view: Funder Dashboard / Portal 

  

In order to increase impact through transparency funders will be encouraged to
share publicly (via URL) in the portal, all (or a selection) of the statistics
generated previously in the Research Statistics Tool. Very similar approach
was taken in Project Dashboard design.

###  Dashboard for Content Providers

The dashboard for content providers target mainly repository managers and will
provide functionalities related with the registration and validation process
and display metadata enrichments and usage statistics information (views and
downloads) from each registered data source.

This dashboard will include standardized data spreadsheets and graphs produced
and exported in different formats on the fly, based on real time data as
aggregated by OpenAIRE, and will display the metadata records enriched via the
broker service. The dashboard for content providers was designed to provide
only a private view for registered repository managers.

###  Other products

Gathering data management details related to other newly introduced OpenAIRE-
Advance products is still in progress mainly because of an embryonal state of
their design and development. DMP in accordance with its ongoing nature will
be kept up-to-date and will be supplemented with all the details as soon as
they will become tangible.

##  3.2 FAIR data

Findable data. Access to the Information Space data is provided through the
OpenAIRE portal, dedicated dashboards and various APIs. Due to the size and
scope of the project, the Information Space data follows an internal data
model inspired by the CERIF and DataCite data models. The description and
documentation of the Data Model is openly available on the OpenAIRE2020 wiki
2  .

The software powering OpenAIRE (D-NET) and its documentation are findable
through the D-NET website and through the standard set of metadata and DOI
that accompany the D-NET deposit in the Zenodo repository.

Accessible data. The content of the Information Space is available for
download and re-use with no restrictions or embargo. OpenAIRE-Advance provides
continuous access to the information space via standard APIs. These APIs
include OAI-PMH and HTTP REST search APIs  ( _api.openaire.eu_ ) and a SPARQL
Linked Open Data entry point (  _lod.openaire.eu_ ). The data are also openly
available for bulk-download through OAI-PMH.

Data on portal usage are analyzed internally but not shared in raw form. Usage
statistics based on repository content views and downloads are publicly
available in the OpenAIRE portal and via a standardized API.

The full source code of the OpenAIRE D-NET software is stored at ISTI CNR  3
and can be requested there. A basic installation and toolkit is deposited in
GitHub and can be accessed there or through Zenodo  4  . IIS source code is
available on GitHub repository  5  .

Interoperable data. The content of the Information Space is stored in an
internal Data Model format which is inspired by the CERIF and DataCite
standards. Interoperability is supported by the provision of dedicated APIs
that allow to export the content in standard formats and standard data models.
Also, specific APIs will be provided on request to serve interoperability with
systems or infrastructures that are particularly relevant to OpenAIRE.

The source code follows standard software development procedures and contains
standard documentation.

Re-usable data. The content of the Information Space (the full OpenAIRE
knowledge graph) is available under a CC-BY license.

The D-NET source code and its extensions are all open under the AGPL license.
IIS is released under the Apache 2.0 license.

##  3.3 Resources and responsibilities

The responsibility for managing data related to the Information Space, portal
and dashboards lies with the partners: ICM, CNR, ARC and UNIBI. During the
project, the portal and Information Space data is being stored at the ICM data
centre. After the project ends, the Information Space and its content as well
as the D-NET software project will be managed by the OpenAIRE Legal Entity,
which will maintain and curate the data and software as long as it remains in
operation. In case the Legal Entity quits operation in the future, it will be
its responsibility to ensure that the data and software are transferred to a
further relevant institution, or to provide for the longterm archivization of
the data.

##  3.4 Data security

The OpenAIRE infrastructure and all of the Information Space content are
currently 24/7 maintained and operated at the ICM data centre. Preservation
and back-ups of the data are ensured by the ICM data centre preservation
policies: daily backups, security updates, tightly controlled administrative
access.

3 _http://www.d-net.research-infrastructures.eu/_ 4
_https://zenodo.org/record/168362_ 5

_https://github.com/openaire/iis_

##  3.5 Ethical and legal aspects

Legally, it is on the side of the data providers - who register their services
(e.g. data or publication repositories, journals) with OpenAIRE \- to ensure
that the transfer of metadata records from their services to OpenAIRE does not
violate intellectual property rights. OpenAIRE assumes the data providers make
sure that the metadata records are free to be processed, and that it is
therefore entitled to make the Information Space graph (which is based on
these records) openly available under the CC-BY license.

In accordance with legal restrictions, personal data concerning the portal
users are not shared in any manner.

4| DATA RELATED TO ZENODO

4.1 Data summary

The OpenAIRE-Advance project runs and maintains the publication-and-data
repository Zenodo. The repository is open to all researchers world-wide to
deposit their publications and data sets. Thus, the repository hosts content
that it preserves, but does not own any intellectual property rights over it.
Access to the Zenodo contents for all interested Internet users is provided
through the Zenodo user interface (  _zenodo.org_ ) and through appropriate
APIs (OAI-PMH and REST-API).

Software. Zenodo is powered by the Invenio repository platform, which is
available under the GPL license. All extensions to Zenodo produced during
OpenAIRE-Advance will also be made openly available under the same license.
The source code is stored in GitHub and can be accessed there  3  .

Content. Zenodo stores files of research publications and research datasets,
along with accompanying metadata. The files and metadata are provided by
individual repository users who voluntarily decide to store their research
output in Zenodo. The metadata is stored in JSON format  4  , the publication
and data files are in formats chosen by the persons depositing them (all file
formats are accepted). The total size of the data stored in Zenodo is now
151TB (38TB logical) with 1.2 million of files and 378 thousands of published
records.

Users. Information about the repository users is introduced by the users
during account creation and then by using the service. Zenodo does not track,
collect or retain personal information from users of Zenodo, except as
otherwise provided in the repository. In order to enhance Zenodo and monitor
traffic, Zenodo collects, stores and analyzes non-personal information about
its users, such as IP addresses and cookies and log files. This data is stored
and may be shared in aggregated form with other community services.

For Zenodo, we re-use and extend software prepared and data collected during
previous projects in the series (OpenAIRE, OpenAIREplus, OpenAIRE2020).

The data that populate Zenodo may be of interest to everyone interested in
research outputs. The software is of special interest to everyone who is
considering to run any kind of repository (in particular for scientific
institutions world-wide).

##  4.2 FAIR data

Findable data. Access to Zenodo content is provided through the user interface
and through standard APIs. Zenodo mints DOIs via DataCite for all deposited
uploads and thus metadata is also discoverable through DataCite’s APIs. The
metadata is discoverable thanks to standardized metadata export formats (in
DataCite v3.1, MARC21 and DublinCore).

The software powering Zenodo (Invenio with modifications) and its
documentation are findable through the Zenodo and CERN websites and in GitHub.

Accessible data. The metadata of all records stored in Zenodo is openly
available for download and re-use with no restrictions or embargo. It is
licensed CC0 and free for download – excluding bulk download of e-mail
addresses. The publication and data files are made available precisely in
accordance with the choice made by their depositors: ranging from openly
available on a CC0 license to closed access.

The Zenodo software and its documentation are accessible in GitHub.

Interoperable data. The metadata of Zenodo records follows multiple standard
formats (JSON, DataCite v3.1, DublinCore and MARC21) and is thus
interoperable. Interoperability is further enhanced by the API, which allows
to harvest the entire repository via the standard OAIPMH protocol. The
publication and data files are available in all possible formats and ensuring
their interoperability lies on the side of the depositors.

The source code is interoperable as it follows standard software development
procedures and Python community standards for code style and documentation and
contains standard documentation.

Re-usable data. The metadata of Zenodo records is licensed under CC0 and can
thus be downloaded and used without any restrictions, excluding bulk download
of e-mail addresses which is specifically prohibited. The files are licensed
in accordance with the precise choice of their depositors: ranging from openly
available on a CC0 or CC-BY or other license to restricted or closed access.
Since all intellectual property rights lie with the data producers
(depositors), Zenodo must respect these choices.

The Zenodo source code and its extensions are all open under the GPLv2 or
later version license.

##  4.3 Resources and responsibilities

The responsibility for managing data related to Zenodo lies with CERN. The
repository is hosted in the CERN Data Centre physically located on CERN
premises. After the project ends, Zenodo and its content will be managed
either by CERN or by the OpenAIRE Legal Entity; the responsible institution
will maintain and curate the data and software as long as it remains in
operation. In case the managing institution quits operation in the future, it
will be its responsibility to ensure that the data and software are
transferred to a further relevant institution or archived in an appropriate
manner.

##  4.4 Data security

Zenodo is maintained and operated by CERN. All data files are stored in CERN’s
EOS disk storage service in two independent copies, with each copy having two
replicas. Currently all file replicas reside in the same physical data centre,
but work is ongoing to keep one replica in CERN’s second data centre. MD5
checksums are computed for all files by both Invenio repository software and
EOS, and file integrity checks are regularly being performed.

Metadata is stored in a PostgreSQL database managed by CERNs Database Team
with 6-hourly backups to disk and weekly backups to tape.

Operational systems are managed and governed according to CERN security
policies, and CERN staff with access to operational systems and data (either
physical or remote) operates under CERN Operational Circular no. 5.

##  4.5 Ethical and legal aspects

Legally, the data depositors – who upload their research outputs to Zenodo -
agree to provide their metadata under the CC0 license, and actively specify
the legal status of the data files. It is therefore clear that Zenodo may make
all metadata openly available.

The terms on which portal users introduce their data during user registration
and while using the repository (searching, uploading) are regulated by the
Terms of Use.