#  Introduction

This document defines the specific means taken in the CARTRE project to manage
the datasets created in CARTRE, as well as efficient working procedures to be
used by the CARTRE consortium partners for collaboration.

The purpose of a Data Management Plan (DMP) is to describe the data management
life cycle for all datasets to be collected, processed or generated by a
research project. It covers the handling of research data during & after the
project; what data will be collected, processed or generated; what methodology
& standards will be applied; whether data will be shared / made open access &
how; how data will be curated & preserved (see reference in section 1.2).

This document is targeted at:

  * The CARTRE consortium and associated partners: for laying out data management procedures 

  

  * Future researchers, in European projects or otherwise, that wish to reuse and use the CARTRE data sets to understand what is accessible and what the access procedures are 

  

  * Policy makers and stakeholders of Automated Road Transport (ART) for overviewing the positions, consensus and divergence in the ART domain 

  

  * The EC for assessing CARTRE’s approaches for data management. 

  

##  CARTRE Contractual References

CARTRE, Coordination of Automated Road Transport Deployment for Europe, is a
support action.

The Grant Agreement number is 724086 and project duration is 24 months,
effective from 1 October 2016 until 30 September 2016. The EC Project Officer
is Mr. Ludger Rogge and the project coordinator Dr. Maxime Flament, ERTICO.

##  Authoritative documents

  1. Grant agreement H2020-ART-2016 724086 CARTRE, Coordination of Automated Road Transport Deployment for Europe – CARTRE, 27 September 2016 

  

  2. CARTRE Project (724086) consortium agreement 

  

  3. Guidelines on Data Management in Horizon 2020 _http://ec.europa.eu/research/participants/data/ref/h2020/grants_manual/hi/oa_pilot/h2 020-hi-oadata-mgt_en.pdf_

  

  4. Guidelines on the Implementation of Open Access to Scientific Publications and 

  

  

Research Data in Projects supported by the European Research Council under
Horizon 2020

_https://erc.europa.eu/sites/default/files/document/file/ERC_Guidelines_Implementatio
n_Open_Access.pdf_

#  Data summary

##  Purpose of the data collection/generation

The data that is collected or generated in CARTRE, contributes to building
position papers. These papers serve to feed the public discussion and policy
building and thus accelerate development and deployment of automated road
transport. The creation process of the position papers will increase
cooperation between key stakeholders from different sectors. By creating
common views, the CARTRE project encourages testing and sharing best
practices.

The position papers will be based on a total of 9 datasets, containing
information about the themes of interests, their challenges and statements
regarding the themes.

##  CARTRE datasets

Table 1 gives an overview of all the datasets, their specific purpose and
metadata of the information in the dataset. Each dataset will be presented in
the form of a single document.

**Table 1 CARTRE datasets**  
  
<table>  
<tr>  
<th>

**Data set number**

</th>  
<th>

**Title**

</th>  
<th>

**Purpose**

</th>  
<th>

**Meta data**

</th>  
<th>

**Dissemination Level**

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

DS1

</td>  
<td>

Contact details of participants

</td>  
<td>

Allow networking and organising meetings

</td>  
<td>

Contact name,

affiliation, partner type [beneficiary, associated partner, network],
organization type, contact type [partner, project, team], phone number, e-mail
address, address, VAT number, company

description, CVs of key personnel, relevant projects, relevant publications,
available infrastructure

</td>  
<td>

Confidential

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

DS2

</td>  
<td>

Themes of

interest

</td>  
<td>

To scope the project and to focus meetings and organisation

</td>  
<td>

Id, title, theme description, 1  st  moderator, 2  nd

moderator, theme

description, priority

</td>  
<td>

Public

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

DS3

</td>  
<td>

Thematic

interests of partners

</td>  
<td>

To identify what the partner wants to focus on in CARTRE.

</td>  
<td>

Company name, membership

</td>  
<td>

Confidential

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

DS4

</td>  
<td>

Challenges for

Automated

Road Traffic

</td>  
<td>

To identify what needs to be solved to accelerate ART

</td>  
<td>

Title, theme, background/context

</td>  
<td>

Public

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

DS5

</td>  
<td>

Statements on

</td>  
<td>

A confident and

</td>  
<td>

Title, theme,

</td>  
<td>

Confidential

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

**Data set number**

</td>  
<td>

**Title**

</td>  
<td>

**Purpose**

</td>  
<td>

**Meta data**

</td>  
<td>

**Dissemination Level**

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

</td>  
<td>

thematic interests or challenges

</td>  
<td>

forceful statement of fact or belief. To provoke discussion or to formulate
consensus

</td>  
<td>

challenge, background/context, date

</td>  
<td>

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

DS6

</td>  
<td>

Votes on statements

</td>  
<td>

Personal agreement or disagreement on a statement

</td>  
<td>

Statement, vote (6 scale [don’t agree at

all-strongly agree]), comments

</td>  
<td>

Confidential

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

DS7

</td>  
<td>

Position papers

</td>  
<td>

To formulate a draft or final position of the consortium and its network on
the Themes of Interest. To publish a clear position on the themes and what
needs to be addressed to accelerate ART.

</td>  
<td>

Theme, Keywords,

Challenges, Statements, Voting statistics, Research topics

</td>  
<td>

Public

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

DS8

</td>  
<td>

FOT-Net Catalogue entries

</td>  
<td>

CARTRE will build on FOT-Net and VRA catalogues of ongoing tests and available
data

</td>  
<td>

Information in FOTNet wiki and Tools catalogues provided by Wiki users

</td>  
<td>

Public

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

DS9

</td>  
<td>

VRA-net Catalogue entries

</td>  
<td>

CARTRE will build on FOT-Net and VRA catalogues of ongoing tests and available
data

</td>  
<td>

Information in VRAwiki

Data and Tools catalogues provided by Wiki users

</td>  
<td>

Public

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

DS10

</td>  
<td>

Questionnaire data

</td>  
<td>

CARTRE will use specific questionnaires to

collect input from its network

</td>  
<td>

Votes on highpriority topics and free-form

comments. The results will be reflected in

CARTRE’s work and deliverables.

</td>  
<td>

Confidential unless included in position papers (DS7) or deliverables

(DS10)

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

DS11

</td>  
<td>

Formal deliverables

</td>  
<td>

To provide the formal deliverables of the projects which document the results
of the project and provide evidence for achieving the project objectives.

</td>  
<td>

Title, project title, project grant number, deliverable number, key words

</td>  
<td>

Mostly public, following Grant agreement

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

##  Origin of data

The input for the position papers will originate from the CARTRE network and
from the consortium participants of CARTRE, who provide questionnaire data on
challenges, statements and votes. Inputs from related CSA projects are used,
in particular the Vehicle and Road Automation project ( _http://vra-net.eu/,_
currently closing), SCOUT (running in parallel), Mobility4EU (
_http://www.mobility4eu.eu/_ 2016–2018) and FOT-Net Data ( _www.fotnet.eu_ ,
ending December 2016). This is in line with the principle from the CARTRE
Coordination Auction to avoid reinventing the wheel, exchanging experience and
knowledge from existing research.

CARTRE will build on FOT-Net’s and VRA’s wiki catalogues (DS8, DS9) on
automated driving tests and other Field Operational Tests (FOTs):
_http://wiki.fot-net.eu/_ and _http://vranet.eu/wiki_ . These catalogues
provide information on past and ongoing test campaigns worldwide. Their
content is based on input received from the FOT and VRA communities. Besides
the tests, the catalogues provide further details on available data (FOT Data
Catalogue) and tools that have been used (FOT Tools Catalogue).

CARTRE will set out public questionnaires (DS10) e.g. about high-priority
research questions for upcoming tests of automated driving. Such data will be
used in guiding the project work and collaboration topics, as well as in
publications.

#  General CARTRE approach to data management

The mission of CARTRE is to accelerate development and deployment of automated
road transport by increasing market and policy certainties. This is further
operationalised in objectives on 1. Public–private collaboration; 2.
International cooperation within and beyond Europe and 3\. Strategic alignment
of national action plans.

Since CARTRE is a coordination and support action, the project does not aim to
develop protectable Intellectual Property. However, new results will be
created that are valuable for various stakeholders. This document describes
how the project will handle the information, with a particular focus on open
research data.

Several fundaments of the CARTRE data management plan have been identified:

  1. Within the partners and associated partners, the new information developed is open to all project partners after registration on a project intranet site as set out in the Consortium Agreement section 9.3). 

  

  2. Before publication of the results to the public, all partners have a right to review the material. The consortium agreement arranges further details on notification, protection of partner interests and objections (section 8.4). 

  

  3. The identity of the author is kept confidential for DS4 ‘challenges, DS5 ‘statements’ and DS6 ‘votes’ (see Table 1). This allows for free discussion. Only the intranet site administrators can view the identity of the contributing partner. 

  

  4. The consortium agreement details provisions on intellectual property of the content. 

  

  5. By joining the project, the partners are deemed to have consented to creating the data collected, as this is the purpose of the project. This is again confirmed in the Consortium Agreement (Section 2, Purpose). Therefore, no informed consent forms are used within the consortium. 

  

  6. For questionnaire respondents outside of the project consortium, an information sheet and informed consent will be used as shown in 9. This may be done in paper or in electronic form as part of a questionnaire. 

  

  7. All deliverables of the project are considered open to the public with the exception of 7 confidential deliverables, as specified in the Grant Agreement. 

  

  8. Interested network members can become associates to the CARTRE project. On signing the Associated Partnership Letter of Intent, they can have access to the CARTRE Sharepoint site to contribute to the content creation process. 

  

  

#  Making data findable, including provisions for metadata

The collected and generated data as listed in Table 1 will be made available
to the participants of the CARTRE project via the Microsoft SharePoint
document management and storage system. This environment will also be
accessible to the associated partners of the CARTRE project. It is
administered and provided by TNO.

Microsoft SharePoint provides functionality for identification mechanisms,
such as:

  * Unique identifiers for files 

  

  * Adding keywords for findability in the environment • Clear and automatic version history of each document 

  

  * Adding metadata to documents. 

  

From the Grant agreement article 29.2, the metadata requirements below are
applied. We quote:

_“The bibliographic metadata must be in a standard format and must include all
of the following:_

  * _the terms “European Union (EU)” and “Horizon 2020”;_

  

  * _the name of the action, acronym and grant number;_

  

  * _the publication date, and length of embargo period if applicable, and_

  

  * _a persistent identifier.”_

  

#  Data sharing within consortium

The data sharing procedures apply to all data types and are in accordance with
the Grant Agreement. Table 2 outlines the project access procedures and rights
in relation to the data gathered throughout the CARTRE project.

The data will be stored in a data management and storage system Microsoft
SharePoint. This environment provides access control and traceability of the
stored data.

An administrator of the Microsoft SharePoint environment can provide
restrictions on groups of files and individual files. Authorization and access
control will be handled by the coordination team of the CARTRE project. Each
participant of the CARTRE project or an associated partner who has signed the
Letter of Intent has access to the SharePoint environment for data access. At
the end of the project, the public deliverables will be made available through
the CARTRE public website.

To track the changes of each participant or network members each authorized
user must be registered in Microsoft SharePoint. Changes by a user are tracked
via the metadata of the data in the SharePoint environment. However, content
for the statements, challenges and votes are added anonymously by the users.

**Table 2 Data access procedure**  
  
<table>  
<tr>  
<th>

**Activity**

</th>  
<th>

**Access procedures and rights**

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

Registration to Project Intranet

</td>  
<td>

Interested network members can apply to become an associated member. The
coordination team decides whether the network member is an appropriate
organisation for the CARTRE project. If so, the network member can sign the
Associated Partner Letter of Intent. After signature, access is granted to
staff of the new Associated Member.

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

Access rights

</td>  
<td>

The CARTRE consortium agreement specifies access rights to Results and
background (Section 9). This includes open access for implementation of the
CARTRE Grant and conditional access for exploitation of the results.

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

Compilation of challenges and votes into a position paper

</td>  
<td>

The compilation of a position paper is done in various teleconferences and
live meetings among the CARTRE contacts that are interested in the Theme
topic. Full attendance is not needed. Each Theme of Interest has a moderator
and possibly a second moderator. The theme moderator performs a role as editor
of the position paper to prepare it for review.

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

Publication of a project result

</td>  
<td>

The consortium agreement specifies a period for prior notice of a planned
publication and procedures for objections of the other partners. It also
refers to article 29.1 of the Grant Agreement which specifies that results
should be published as soon as possible within the constraints of IP
protection, partner interests and security. These documents are authoritative
(this summary is not).

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

#  Making data openly accessible

##  Dissemination of data

The Dissemination Strategic Plan has been described in deliverable D6.1. The
data will be promoted within the constraints of the Grant agreement.

For future research, the catalogues, themes, challenges and position papers
are available. The statements and votes are not published. See Table 1 on page
5 for the full list.

The data is published via two channels: a website as a public channel and via
the Microsoft SharePoint environment. Information and data on the public
website can be used by all visitors anonymously. The audience requiring
specific data can request access to the Microsoft SharePoint environment as an
associated partner (see Table 2).

The reasons for not disclosing certain datasets to the public or research
community are as follows:

**Table 3 Grounds for not disclosing certain datasets**  
  
<table>  
<tr>  
<th>

**Data set**

**number**

</th>  
<th>

**Data set**

</th>  
<th>

**Ground for non disclosure**

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

DS1

</td>  
<td>

Contact details

</td>  
<td>

Privacy, prevention of spam messages or advertising

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

DS4

</td>  
<td>

Thematic interests of partners

</td>  
<td>

May reveal business interests

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

DS5

</td>  
<td>

Statements on themes of interests

</td>  
<td>

Publication of the author would lead to heavy selfcensoring by the authors. By
allowing anonymous statements, participants feel more free to create content.
Also, the raw statements are not subjected to review and may contain
politically incorrect or commercially sensitive content. The editing and
review process of the position papers assures that the support of the
consortium members for the subset of statements included in the position
papers.

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

DS6

</td>  
<td>

Votes on statements

</td>  
<td>

Privacy and ethical grounds for stimulating independent voting.

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

Note that in multi-beneficiary projects it is also possible for specific
beneficiaries to keep their company-specific data closed if relevant
provisions are made.

##  Public website

The dissemination strategy for the website as a public deliverable has been
described in deliverable D6.1. It will be a shared website with the SCOUT
project using the URL: _http://www.connectedautomateddriving.eu/_

The public website has no access control (except for website administration)
and is strictly separated from the project intranet using SharePoint where all
confidential information is handled.

##  Project intranet website

Authorization and data access for the SharePoint environment is managed by the
coordination team. Daily administration is handled by TNO. The environment
allows users to view the data via an internet browser. The data can be edited
using Microsoft Office or equivalent (open-source) software. Furthermore,
there are possibilities to access the data via database protocols, such as SQL
or Microsoft Access, or map the SharePoint environment as a network drive.
These options are supported and available by SharePoint.

Similar to the SharePoint environment for the consortium, this environment
will have options for metadata. External users will also need to be registered
as an authorized user to access the data and require extended authorization to
modify data.

#  Making data interoperable

Data interoperability allows researchers, institutions, organisations,
countries, etc. reuse the existing data by adhering to (existing) standards in
the field and using available (open) software applications where possible.

Data in project’s wiki catalogues is structured and uses metadata definitions
defined for FOTs in FOT-Net Data project.

Documents, spreadsheets and presentations are stored in Portable Document
Format (pdf) as well as accepted XML formats. This is supported by software
such as Acrobat Reader, Microsoft Office and open source software such as
LibreOffice.

Questionnaire data is possible to export from electronic databases to various
formats on request.

##  Increase data re-use through clarifying licenses

The following licenses to the datasets have been identified.

**Table 4 License types for data sets**  
  
<table>  
<tr>  
<th>

**Dataset number**

</th>  
<th>

**Title**

</th>  
<th>

**License**

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

DS1

</td>  
<td>

Contact details of participants

</td>  
<td>

No license, confidential

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

DS2

</td>  
<td>

Themes of interest

</td>  
<td>

Copyright

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

DS3

</td>  
<td>

Thematic interests of partners

</td>  
<td>

No license, confidential

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

DS4

</td>  
<td>

Challenges for Automated Road

Traffic

</td>  
<td>

Copyright

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

DS5

</td>  
<td>

Statements on thematic interests or challenges

</td>  
<td>

No license, confidential

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

DS6

</td>  
<td>

Votes on statements

</td>  
<td>

No license, confidential

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

DS7

</td>  
<td>

Position papers

</td>  
<td>

Copyright

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

DS8

</td>  
<td>

FOT-net catalogue entries

</td>  
<td>

Open data

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

DS9

</td>  
<td>

VRA-net catalogue entries

</td>  
<td>

Open data

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

DS10

</td>  
<td>

Questionnaires

</td>  
<td>

Copyright

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

DS11

</td>  
<td>

Formal deliverables

</td>  
<td>

Public deliverables: copyright

Confidential deliverables: copyright

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

For the copyrighted data sets, a Creative Commons CC BY license will be
explored. This gives permission to share (copy and redistribute the material
in any medium or format), adapt (remix, transform, and build upon the material
for any purpose, even commercially), provided appropriate credit is given (see
_https://creativecommons.org/licenses/by/3.0/_ ). This will be explored by the
coordination team and needs support of the General Assembly.

The deliverables (DS11) are available only for partners and associated
partners until positive review by the project officer.

The public project results (see Table 1) can be used by third parties upon
release of the results. The reuse is under the condition of appropriate credit
to the CARTRE project.

The data will be reusable for four years. However, since the position papers
will outdate quickly in the rapidly changing world of automated road traffic,
the value of the data will quickly drop after 2 years.

##  Data quality

Data quality assurance processes related to position papers are based on
internal review processes. The quality of public wiki catalogues or
questionnaire data is only checked by administrators against expected data
types.

##  Data security

The secured server ecity.tno.nl requires a username and password. Users of a
site are invited by the project manager, and are given access only to specific
projects. The server received an A rating on the Quality SSL Labs SSL report
(https://www.ssllabs.com/ssltest), and uses only TLS 1.2, 1.1 and 1.0.

Project sites on this server are being migrated to Office 365 SharePoint
Online. After migration to this environment, use of multi-factor
authentication to access the sites will be compulsory.

Backups are automatically run using a fixed schedule.

#  Ethical aspects

The main ethical aspect of the datasets creation and data usage remains in the
privacy of the authors and the partner companies. This is addressed by
anonymous creation of content for challenges, statements and votes. The ethics
are further addressed in WP7 with deliverables D7.1, D7.2, D7.3 and D7.4.
Commision regulations for research projects specify specify the relevant
ethical topics: human participants in the research; protection of personal
data and third countries.

For human participants in questionnaires, in particular network members and
public outside of the project consortium, an informed consent form will be
used as shown in Appendix 1.

#  Glossary: Acronyms and definitions  
  
<table>  
<tr>  
<th>

**Term**

</th>  
<th>

**Description**

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

ART

</td>  
<td>

Automated Road Transport

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

Background

</td>  
<td>

Background IPR as defined in Article 24 of the Grant Agreement

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

CARTRE

</td>  
<td>

EU H2020 ART06 CSA project CARTRE, GA number 724086

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

Consent Form

</td>  
<td>

A form signed by a participant to confirm that he or she agrees to participate
in the research and is aware of any risks that might be involved.

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

Metadata

</td>  
<td>

Metadata is data that describes other data. Meta is a prefix that in most
information technology usages means "an underlying definition or description."
Metadata summarizes basic information about data, which can make finding and
working with particular instances of data easier.
_http://whatis.techtarget.com/definition/metadata_

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

Participant

Information

Sheet

</td>  
<td>

An information sheet is an important part of recruiting research participants.
It ensures that the potential participants have sufficient information to make
an informed decision about whether to take part in your research or not.

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

Project intranet web site

</td>  
<td>

A closed website for interaction between registered partners and associated
partners. In this case a Microsoft SharePoint site
_https://ecity.tno.nl/sites/eu-cartre_ or _https://partners.tno.nl/sites/eu-
cartre_

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

Public CARTRE web site

</td>  
<td>

Joint CARTRE-SCOUT website with the URL
_http://www.connectedautomateddriving.eu/_

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

Repository

</td>  
<td>

A digital repository is a mechanism for managing and storing digital content.

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

Statements

</td>  
<td>

A confident and forceful statement of fact or belief. To provoke discussion or
to formulate consensus

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

Votes

</td>  
<td>

Personal agreement or disagreement on a CARTRE statement

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

#  Appendix 1. Information sheet and Informed consent template

This template outlines information to be given in CARTRE questionnaires and an
informed consent form regarding the use of the collected data. The consent can
be collected on paper or digitally as part of an introduction to an
electronically conducted questionnaire.

Thank you for your willingness to fill in a CARTRE questionnaire.

The CARTRE project is set up to accelerate European automated road transport.
It does so by collaboration between partners, international cooperation and
joint agenda setting for research and policy. It results in a number of
position thematic papers (among others).

Your input is used to determine what the challenges, opportunities and
opinions are on these themes. We look for both consensus and contrasting
opinions.

Your input will be used in an anonymised way. We may quote you anonymously.
Your votes on statements will be shown together with other anonymous replies.
We ensure that readers cannot derive your identity.

If you have further questions, you can contact the CARTRE member who gave you
this questionnaire, info@connectedautomateddriving.eu or ERTICO
(http://ertico.com/ or phone +32 2 4000 700).

Please answer the following questions about your approval:

I agree that my answers to the questionnaire are used anonymously in CARTRE
publications.

I agree I do not agree

I agree that some of answers may be quoted anonymously.

I agree I do not agree