#  Background

This is the deliverable report D9.3 “Data Management Plan” for OPEUS project’s
Work Package 9, as required by the project’s Grant Agreement number 730827. It
defines the data management processes that will be followed throughout the
project’s lifetime. Some of these processes may change or more data types may
be collected, which will then be documented in an update of this data
management plan as the project evolves. As such, this deliverable is a living
document that will be updated and will officially be released to the public as
D9.4 “Data Management Implementation” at M30 (i.e. April 2019).

#  Objective/Aim

This deliverable aims to:

  * demonstrate compliance with all applicable legislation in relation to the data being collected and used 

  

  * report on the data to be collected for use in the delivery of the OPEUS project 

  

  * present consortium decisions with respect to making the data FAIR and the respective mechanisms to support these decisions 

  

  * discuss the security processes to be applied, including data recovery as well as secure storage and transfer of sensitive data 

  

  * summarise any related ethical aspects e.g. with respect to (sensitive) personal data, informed consent, etc. 

  

##  Intended audience

This Data Management Plan (DMP) is for all the researchers within OPEUS and it
is considered to be a living document. Being a public document, this
Deliverable may also serve as a guide for other researchers working on similar
initiatives beyond the specific project.

#  Data Summary

The purpose of the data collection/generation and the relationship of the data
to the objectives of the OPEUS project:

The aim of OPEUS is to develop a simulation methodology and accompanying
modelling tool to evaluate, improve and optimise the energy consumption of
rail systems, with a particular focus on in-vehicle innovation.

The main objectives of OPEUS comprise:

  * the definition a simplified but universal energy requirements outlook for European urban rail systems 

  

  * the development a comprehensive rail energy usage simulation methodology 

  

  * the development of an energy consumption simulation modelling tool for assessment purposes and applicable to urban, regional, high speed and freight duty cycles 

  

  * the further assessment of the role and optimisation potential of driver advisory systems (DAS) in relation to control strategies for different representative duty cycles and traction types 

  

  * the further assessment of the potential for energy usage optimisation of novel technologies (e.g. next generation ESSs) and strategies (e.g. engine power-off at low loads) ▪ the provision of a critique of the energy consumption outlook for railway systems. 

  

To do this, three components can be defined within the OPEUS approach:

  * the energy simulation model 

  

  * the energy use requirements 

  

  * the energy usage outlook and optimisation strategies recommendation. 

  

To fulfil its objectives and achieve its aim, OPEUS needs to access, collect,
create, process and manage various data types. As the project develops, it may
be necessary to involve additional data; this will be included in the next
version of this deliverable, D9.4 “Data Management Implementation”, due for
completion at M30 (the final month of OPEUS project delivery).

Types of data collected and/or generated:

  * _Data from previous EU-funded collaborative projects:_

  

The OPEUS concept builds upon and extensive range of knowledge and outcomes
generated by a number of key EU-funded, collaborative projects including,
MERLIN, OSIRIS, CleanER-D, RailEnergy and ModUrbanRoll. The details of their
anticpated key inputs to be used are included to the DoA PartB (page 9). OPEUS
consortium does not control datasets from these previous projects, but it will
exploit them as maybe appropriate to augment the delivery of OPEUS’s project
activities.

  * _Data provided by / generated by OPEUS consortium partners:_

  

In delivering an improved simulation tool and testing it within a relevant
environment, data from consortium partners will be used e.g. operational data
from STAV.

Dataset description:

The following template, below at _Table 1: Dataset Description Template_ ,
will be used to collate information about, and for describing, the datasets
that are used and/or produced by the OPEUS project. The compiled descriptions
of these datasets will be provided in D9.4 “Data Management Implementation” at
M30 (i.e. April 2019):

_Table 1: Dataset Description Template_  
  
<table>  
<tr>  
<th>

**Dataset Reference**

</th>  
<th>

**OPEUS_WPX_TX.X_vXX:**

Each dataset will have a reference that will be generated by the combination
of the name of the project, the Work Package and Task in which it is generated
and its version (for example:

OPEUS_WP3_T3.2_v01)

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

**Dataset Name**

</td>  
<td>

Name of the dataset

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

**Dataset Description**

</td>  
<td>

Each dataset will have a full data description explaining the data provenance,
origin and usefulness. Reference may be made to existing data that could be
reused.

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

**Standards and metadata**

</td>  
<td>

  * The metadata attributes list 

  

  * The used methodologies 

  

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

**File format**

</td>  
<td>

All the format that defines data

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

**Data Origin**

</td>  
<td>

Specify the origin of the data (including whether created or collected)

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

**Data Size**

</td>  
<td>

State the expected size of the data

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

**Data Sharing**

</td>  
<td>

Explanation of the sharing policies related to the dataset between the next
options:

  * **Open** : Open for public disposal 

  

  * **Embargo** : It will become public when the embargo period applied by the publisher is over. In case it is categorized as embargo the end date of the embargo period must be written in DD/MM/YYYY format. 

  

  * **Restricted** : Only for project internal use. 

  

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

**Data Utility**

</td>  
<td>

Outline to whom the dataset could be useful – potential secondary users

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

**Archiving and Preservation**

</td>  
<td>

The preservation guarantee and the data storage during and after the project
(for example: databases,

institutional repositories, public repositories, etc.)

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

**Re-used existing data**

</td>  
<td>

Yes / No. If “Yes”, state the re-used data and how/from where they were
retrieved

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

Open Access approach:

The OPEUS consortium has agreed to follow an “Open Access” approach (as much
as possible depending on the specific data type) following the respective
Horizon 2020 guidelines  1  to ensure that the results of the project results
provide the greatest impact possible. OPEUS will ensure the open access  3  to
all peer-reviewed scientific publications relating to its results and will
provide access to the research data needed to validate the results presented
in deposited scientific publications. Publications and research data made
available to third parties will not contain any personal information.

The following lists the minimum fields of metadata that should come with an
OPEUS projectgenerated scientific publication in a repository:

  * The terms: “European Union (EU)”, “Horizon 2020” 

  

  * Name of the action (Research and Innovation Action) 

  

  * Acronym and grant number (OPEUS, 730827) 

  

  * Publication date 

  

  * Length of embargo period, if applicable 

  

  * Persistent identifier 

  

When referencing open access data, OPEUS will include at a minimum the
following statement demonstrating EU support (with relevant information being
included into the repository metadata):

“The OPEUS project has received funding from the European Union’s Horizon2020
research and innovation programme under grant agreement No 730827”.

The OPEUS consortium will strive to make its datasets open access. When this
is not the case, the “Data Sharing” element for that particular dataset will
describe why access has been restricted.

Regarding specific repositories where OPEUS datasets will be held during and
after the project, they will be noted in the “Archiving and Preservation”
field of Table 1 (above). In cases where the project partners maintain
institutional repositories, these will be listed in OPEUS deliverable D9.4
“Data Management Implementation” at M30 (i.e. April 2019). The project
scientific publications and, in some instances, research data will be
deposited on the institutional repository depending primarily on the primary
creator of the publication and on the data in question. In cases where the
project partners do not operate publicly accessible institutional
repositories, they will use either a domain specific repository or the EU
recommended service OpenAIRE  ( _http://www.openaire.eu_ )  as an initial step
to finding resources to determine relevant repositories for depositing the
scientific publications and the respective data.

The repository will also include information regarding the software, tools and
instruments that were used by the dataset creator(s) so that secondary data
users can access and then validate the results.

In summary, as a baseline OPEUS partners will deposit:

  * Scientific publications – on their respective institute repositories in addition (when relevant) to a public OPEUS repository (such as ZENODO) 

  

  * Research data – to the public OPEUS repository collection (when possible) 

  

  * Other project output files – to the OPEUS public repository collection (as relevant). 

  

This DMP does not include the actual metadata about the Research Data being
produced in OPEUS project. Details about building a repository and accessing
this metadata will be provided in deliverable D9.4 “Data Management
Implementation” at M30.

#  FAIR Data

OPEUS will in principle participate in the Open Research Data Pilot (ORDP) but
data marked as “Restricted” or under an “Embargo” period will be excluded. To
this end, the data that will be generated during and after the project and
will be included in ORDP should be ‘FAIR’, that is Findable, Accessible,
Interoperable and Reusable. These requirements do not affect implementation
choices and do not necessarily suggest any specific technology, standard, or
implementation solution.

The FAIR principles were generated to improve the practices for data
management and datacuration, aiming to describe the principles to be applied
to a wide range of data management purposes, whether it is data collection or
data management of larger research projects regardless of scientific
disciplines.

With the endorsement of the FAIR principles by H2020 and their implementation
in the guidelines for H2020, they serve as a template for lifecycle data
management and ensure that the most important components for lifecycle are
covered. This is intended as an implementation of the FAIR concept rather than
a strict technical implementation of the FAIR principles:

  * Making data _Findable_ , including provisions for metadata: 

  

▫ The datasets will have very rich metadata to facilitate the findability

▫ All the datasets will have a Digital Object Identifier provided by an OPEUS
public repository (e.g., ZENODO)

▫ The reference used for the dataset will follow the format:
OPEUS_WPX_TX.X_vXX, including clear indication of the related WP, activity and
version of the dataset

▫ The standards for metadata will be defined in the “Standards and metadata”
section of the dataset description table (see Table 1, above).

  * Making data openly _Accessible_ : 

  

  
<table>  
<tr>  
<th>

▫

</th>  
<th>

Datasets openly available are marked as “Open” in the “Data Sharing” section
of the dataset description table (see Table 1).

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

▫

</td>  
<td>

The repository in which each dataset is stored, including open access
datasets, is mentioned in the “Archiving and Preservation” section of the
dataset description table (see Table 1)

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

▫

</td>  
<td>

The “Data Sharing” section of the dataset description table (Table 1) will
also include information with respect to the methods or software used to
access the data of each dataset

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

▫

</td>  
<td>

The data and their associated metadata will be deposed either in a public
repository or in an institutional repository

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

▫

</td>  
<td>

The “Data Sharing” section of the dataset description table (see Table 1) will
outline the rules to access the data, if restrictions exist.

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

  * Making data _Interoperable_ : 

  

▫ Metadata vocabularies, standards and methodologies will depend on the
repository to be hosted (incl. public, institutional, etc.) and will be
provided in the “Standards and metadata” section of the dataset description
table (Table 1).

  * Making data _Reusable_ : 

  

  
<table>  
<tr>  
<th>

▫

</th>  
<th>

All the data producers will license their data if applicable to allow the
widest reuse possible. More details about license types and rules will be
provided in OPEUS deliverable D9.4 “Data Management Implementation” at M30.

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

▫

</td>  
<td>

The “Data Sharing” section of the dataset description table (see Table 1) is
the field where the data sharing policy of each dataset is defined. By
default, the data will be made available for reuse. If any constrains exist,
an “Embargo” period or “Restricted” flag will be explicitly raised in this
section of Table 1.

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

▫

</td>  
<td>

The data producers will make their data available for third-parties within
public repositories only for scientific publications validation purposes.

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

#  Allocation of Resources

In order to face the data management challenges efficiently, all OPEUS
partners have to respect the policies set out in this DMP and datasets have to
be identified, created, managed and stored appropriately. The OPEUS roles
related to the management of the data are:

  * The _data controller_ **,** who acts as the point of contact for data protection issues and will coordinate the actions required to liaise between different beneficiaries and their affiliates, as well as their respective data protection agencies, in order to ensure that data collection and processing within the scope of OPEUS, will be carried out according to EU and national legislation. The data controller must ensure that data are shared and easily available 

  

  * The _data producer_ **,** which is any entity that produces data within OPEUS’s scope. Each data producer is responsible for the integrity and compatibility of its data during the project lifetime. The data producer is responsible for sharing its anonymised datasets through open access repositories, according to the principles and mechanisms defined in the current document. They are in charge of providing the latest version 

  

  * The _data manager_ **,** who will coordinate the actions related to data management, will be responsible for the actual implementation of the DMP successive versions and for the compliance to Open Research Data Pilot (ORDP) guidelines. As the OPEUS open data will be hosted either by institutional databases or by an open free of charge platform (e.g. 

  

ZENODO), no additional costs will be required for hosting the data.

Responsibilities:

UNEW, as project coordinator, is responsible for implementing the DMP.

In principle, all partners are responsible for data generation, metadata
production and data quality. Specific responsibilities are to be assigned
depending on the data and the internal organisation in the WPs and Tasks where
data is created.

Dataset storage and backup, data set archiving and sharing will be, in the
majority of cases, the responsibility of the partner(s) who owns the data
and/or the servers in which they will be stored.

#  Data Security

Data sharing, storage, backup/recovery and long term data preservation

A “repository” is a mechanism used by a project consortium to make its project
results (i.e., publications and scientific data) publicly available and free
of charge for any user.

Several options are considered/suggested by the EC in the frame of the Horizon
2020 programme to this aim:

  * For depositing scientific publications: 

  

▫ Institutional repository of the research institutions

▫ Subject-based/thematic repository

▫ Centralised repository

  * For depositing generated research data: 

  

▫ A research data repository which allows third parties to access, mine,
exploit,

▫ Reproduce and disseminate free of charge

▫ Centralised repository

The Consortium is aware of the mandate for open access of publications in the
H2020 projects and the participation of the project in the ORDP. The academic
institutions participating in OPEUS have available their own repositories
which in fact are linked to OpenAIRE. These institutional repositories will be
used to deposit the publications generated by them.

A scientific publication and data repository, such as ZENODO (the repository
set up by the EC’s OpenAIRE initiative in order to unite all the research
results arising from EC funded projects), will be used for the sharing and
preservation of project outcomes. The Consortium will ensure that scientific
results that will not be protected and can be useful for the research
community will be duly and timely deposited in the chosen scientific results
repository, free of charge to any user.

Considering ZENODO as the repository, the short- and long-term storage of the
research data will be secured since they are stored safely in same cloud
infrastructure as research data from CERN's Large Hadron Collider. It uses
digital preservation strategies to storage multiple online replicas and to
back up the files (data files and metadata are backed up on a nightly basis).
Therefore, this repository fulfils the main requirements imposed by the EC for
data sharing, archiving and preservation of the data generated in OPEUS.

#  Ethical Aspects

There are no ethical issues related to data management in OPEUS, as the
project does not handle personal (sensitive) data.

#  Conclusions

This deliverable provides an overview of the data that OPEUS project will
produce together with related data processes and requirements that need to be
taken into consideration.

The document gives an overview of the anticipated dataset types, defines a set
of attributes to be used for describing each dataset, and presents the open
access aspects to be followed by the consortium. These include a description,
standards, methodologies, sharing and storage methods.

With respect to making the data FAIR and the respective mechanisms to support
these decisions are described, with the allocation of resources, data security
and ethical aspects are presented.

This deliverable is a living document which will be updated during the project
lifetime as needed, including more detailed information regarding the
collected / generated data. The next official updated version will be released
as deliverable D9.4 “Data Management Implementation”, at M30 (i.e., April
2019), providing more information on such as:

  * The descriptions of the different datasets, including their reference, file format, standards, methodologies and metadata and repository to be used 

  

  * Institutional repositories in cases where the project partners maintain such a repository 

  

  * The use of an appropriate Open Access repository to enable the sharing and reuse of data from the project 

  

  * How the data is being curated and will be preserved.