D6.5 Data Management Plan

Managing and sharing data during a research project has several clear
advantages. It allows quickly finding and understanding the data when one
needs to use it; it gives continuity if project staff leave or new researchers
join, and it avoids unnecessary duplication. Moreover, the data underlying
publications are maintained allowing for validation of results and favouring
collaboration and further research on the same issues. It makes research more
visible and increases the impact.

The data management plan helps to save time and effort and makes the research
and data sharing process easier. By considering in advance what data will be
created and how, one can organize the necessary support, bearing in mind the
wider context and consequences of different options.

In this report the initial Data Management Plan (DMP) for the
TRANS‐URBAN‐EU‐CHINA project is presented. The report explains how research
data generated and used by the project will be handled during and after the
project duration. The DMP describes what data will be collected, processed or
generated with which methodologies and standards, whether and how this data
will be shared or made open, and how it will be curated and preserved.

This Data Management Plan provides a first overview on the diversity, scale
and amount of data which will be handled during the TRANS‐URBAN‐EU‐CHINA
project. The DMP provides information on the following points:

  * Data Description 

  

  * Data Access and Ethical Aspects 

  

  * Standards and Metadata 

  

  * Short‐Term Storage 

  

  * Archiving and Long‐Term Preservation 

  

The DMP is not a fixed document, but evolves during the lifespan of the
project.

#  DATA SUMMARY

TRANS‐URBAN‐EU‐CHINA will generate and collect various data. Through
interviews, questionnaires, surveys, re‐draw of existing situation city plans
and literature review urban data and the experience of citizens, policy
makers, urban authorities, planners, administrations and other stakeholders
will be gathered. In addition, certain data will be requested from the
participating city pairs and also bought from commercial data providers in
order to achieve a sound base for city indicators. In addition, contact
details of the target stakeholders for communication and dissemination
activities as well as of participants in project events will be stored.

Attachment 1 is a list of data that is expected to be generated during the
project. The list includes the types and formats of the data, size of data and
sharing options. This list reflects the current status of knowledge and
discussion within the consortium about the data to be produced within the
project. This list will evolve and develop over the lifetime of the project
and will be kept up to date on the document repository of the internal project
website.

The data generated in a project task will initially be stored by the partner
generating/acquiring the data. Datasets will be shared among project partners
through the internal project website. Any dataset containing personal data
will be anonymised before sharing. Which datasets will be provided open access
and stored in which long‐term repository will be decided later in the project.

The data collected and generated by the different consortium partners will
have multiple formats and vary in size from a few MB’s to several GB’s. The
formats range from interview transcripts, survey results, protocols, pictures,
reports up to software prototypes and test data. So far four types of general
data sets are identified:

  * text based data: interviews, surveys, publications, reports, contact details 

  

  * visual data: graphs, visual protocols, pictures, maps, diagrams 

  

  * models 

  

  * software data: test data, source code 

  

  * quantitative/qualitative data to be used to base indicators on. 

  

Due to the fact that data collection and creation is an ongoing process,
questions such as the detailed description of data nature, exact scale, to
whom those data may be useful or if these data underpin a scientific
publication will be answered in the updated versions of the DMP. Moreover the
question on the existence or non‐existence of similar data and the
possibilities for integration and reuse are not finally agreed between the
consortium partners and will be reported later.

The following is a summary and overview of the data planned to be generated in
the project with more details about individual datasets provided in Attachment
1.

Task 1.1 – Type: Mapping and analysing citizen perspectives to identify
opportunities and challenges of public engagement. Standards: Interviews and
surveys/questionnaires with stakeholders such as middleclass urban dwellers,
representatives of municipalities, policy makers, design agencies or
consultants. Exploitation/Sharing: Analyses and summaries of anonymised
interview and survey data will be published through the website. All
informants are informed about the research purpose, anonymity and
confidentiality and must consent before data is used.

Task 1.2 – Type: Experience of public and private institutions which provide
networks for citizens living in urban areas, in Europe and in China, with
specific attention to educative system. Standards: Direct interviews within
WP1 in cooperation with WP6 Data Management. Exploitation/Sharing: Responses
will be anonymised and summarised for comparative assessment. The summaries
will be shared with stakeholders for verification and discussion. Data will be
stored and curated by POLITO in cooperation with Tsinghua and according to WP6
Data Management.

Task 1.3 – Type: Experiences on active preservation in Europe and China of
cultural heritage, with attention to population pressure, development policies
of local economies, and financial support for heritage sites. Standards:
Interviews, good methodologies and approaches within WP1 and test results in
Living Labs within WP5 in cooperation with WP6 Data Management.
Exploitation/Sharing: Responses will be anonymised and summarised for
comparative assessment. The summaries will be shared with stakeholders for
verification and discussion. Data will be stored and curated by POLITO in
cooperation with Tsinghua and according to WP6 Data Management.

Task 1.4 – Type: Experiences in which place‐making is influenced by the design
quality of public spaces, including processes of negotiation of citizenship
rights and social agreement. The purpose is to have basic materials to study
and reinterpret during the KB phase; generation of new plans and the
definition of a series of keywords. Materials can be divided into “first‐hand
documentary sources”, such as data and plans and “second‐hand documentary
sources” such as bibliographic references. A new glossary with WORDS that make
explicit concepts to be applied in future research programmes and a new series
of plans, referred as to specific PLACES that represent examples of good
practices will be generated. Data to be collected are bibliographical
references and series of maps of specific PLACES that represents examples of
good practices. For the European part, databases of the Municipality will be
used that can give us numerical data and vector plans. Existing maps will be
used as sources. Maps are re‐drawn in defining a representation strategy to
best communicate the concept of place‐making and design of public space.
Standards: Drawings, direct and indirect interviews and reports on good design
practices within WP1, in cooperation with WP6 Data Management.
Exploitation/Sharing: Responses will be anonymised and summarised for
comparative assessment. The summaries will be shared with stakeholders for
verification and discussion. Final critical results derived from a
reinterpretation and study of the collected data will be useful to trace
guidelines to be spread both to the scientific community and to stakeholders
and municipalities that could take advantage of our studies. Data will be
stored and curated by POLITO in cooperation with Tsinghua and according to WP6
Data Management.

Task 2.1 – Type: Case Studies on European and Chinese Cities on the
development process of their strategies for sustainable urbanisations.
Standards: Interviews with urban policy makers. Exploitation/Sharing:
Responses will be anonymised and summarised in case studies. The case studies
will be shared with stakeholders for verification. Data will be stored and
curated by AIT in cooperation with CAS and according to WP6 Data Management.

Task 2.2 – Type: Case Studies on European and Chinese Cities on the
implementation of integrated planning. Standards: Interviews with urban policy
makers. Exploitation/Sharing: Responses will be anonymised and summarised in
case studies. The case studies will be shared with stakeholders for
verification. Data will be stored and curated by AIT in cooperation with CCUD
and according to WP6 Data Management.

Task 2.3 – Type: List and description of mechanisms for implementation of
integrative planning. Standards: Interviews with urban policy makers,
literature review, EIP SCC document screening. Exploitation/Sharing: Responses
will be anonymised and summarised for the list and description of the
implementation mechanisms. The implementation mechanisms will be shared with
stakeholders for verification. Data will be stored and curated by ISINNOVA and
AIT in cooperation with CCUD and according to WP6 Data Management.

Task 3.1 – Type: Experiences on urban renewal, challenges, priorities,
opportunities, planning approaches, governance. Standards: Interviews within
WP3 in cooperation with WP6 Data Management. Exploitation/Sharing: Responses
will be anonymised and summarised for comparative assessment. The summaries
will be shared with stakeholders for verification and discussion. Data will be
stored and curated by IOER in cooperation with CAS and according to WP6 Data
Management.

Task 3.2 – Type: Experiences on urban expansion areas, challenges, priorities,
opportunities, planning approaches, governance. Standards: Interviews within
WP3 in cooperation with WP6 Data Management. Exploitation/Sharing: Responses
will be anonymised and summarised for comparative assessment. The summaries
will be shared with stakeholders for verification and discussion. Data will be
stored and curated by IOER in cooperation with CAS and according to WP6 Data
Management.

Task 3.3 – Type: Experiences on land banking and land administration,
challenges, priorities, opportunities, (technical and legal) approaches,
governance. Standards: Interviews within WP3 in cooperation with WP6 Data
Management. Exploitation/Sharing: Responses will be anonymised and summarised
for comparative assessment. The summaries will be shared with stakeholders for
verification and discussion. Data will be stored and curated by TUD in
cooperation with CAS and according to WP6 Data Management.

Task 4.1 – Type: Formulation of storylines illustrating integrated pathways
for urban transition. Standards: Information collected through predefined
templates from WP1‐5 in cooperation with WP6 Data Management.
Exploitation/Sharing: Responses will be summarised and shared with
stakeholders for verification and discussion. Data will be made public online
stored and curated by IOER in cooperation with CAS and according to WP6 Data
Management.

Task 4.2 – Type: Experiences on SCBA in urban policy and decision‐making,
challenges, priorities, opportunities, planning approaches, governance.
Standards: Interviews within WP4 in cooperation with WP6 Data Management.
Exploitation/Sharing: Responses will be anonymised and summarised for
comparative assessment. The summaries will be shared with stakeholders for
verification and discussion. Data will be stored and curated by IOER in
cooperation with CAS and according to WP6 Data Management.

Task 4.3 – Type: Numerical and map data on environment, image data, and
textual data. Standards: GIS data standards. Exploitation/Sharing: Textual
responses will be anonymised, summarised and shared with stakeholders for
verification and discussion. Open Data will be made public online at the CIUC
according to WP6 Data Management.

Task 5.1 ‐ Type: Meeting summaries for all Living Lab workshops and meetings.
Meeting details including numbers and lists of attendees and participants,
location specifics, duration, activities and outcomes. Documents and other
material presented and/or exchanged during the events. Standards: DOCX, PDF,
etc. Exploitation/ Sharing: The data generated in this task will be condensed
and edited to an appropriate format and publically shared on the project’s
open access website. The full version of minutes, activities, and outcomes
will be made available to consortium partners and Advisory Board members as
well as Living Lab participants. Data published or otherwise released to the
public will include disclaimers and/or terms of use as per the policies of the
DES.

Task 5.2 – Type: Exchange of knowledge and good practices with a wider circle
of Reference Cities, identification of experts that work in urbanisation
topics. Standards: Collection of basic information about urban projects and
practices in cooperation with WP6 Data Management. No personal or sensitive
data will be asked for or collected. Collection of business contact details
for practitioners, industry, academia experts and policy makers that relate to
the urbanisation topics in Europe and China. Exploitation/Sharing: Contacts
and mailing lists as well as project information fiches will be shared with
project partners for analysis, verification and discussion. Data will be
stored and curated by IOER in cooperation with CAS and according to WP6 Data
Management.

Task 5.3 – Task 5.3 disseminates data types, standards, and exploitation to
the URBAN‐EU‐CHINA R&I Agenda and Evidence Base, and does not generate data of
its own.

Task 5.4 – Type: Promotion of project results to interested persons and
organisations. Standards: Collection of business contact details for
organisations, city practitioners, industry and academia experts and policy
makers that relate to the urbanisation topics in Europe and China.
Exploitation/Sharing: Contacts and mailing lists will be shared with project
partners for communication and dissemination purposes. The membership
information of EUROCITIES (the Membership Information hereinafter), including
but not limited to the contact details and identity information of persons
connected to the individual members, shall stay confidential to any party
under the Grant Agreement without prior consent of EUROCITIES in writing.
Access to and disclosure of the Membership Information, either in part or in
whole, shall be determined EUROCITIES based on the relevance of the request
and interests of EUROCITIES’ members. Any request to deliver communication in
any form to any EUROCITIES member via EUROCITIES shall be decided by
EUROCITIES based on its assessment of the value and interests of any relevant
member or group of members. Data will be stored and curated by IOER in
cooperation with CAS and according to WP6 Data Management.

Task 6.3 – Task 6.3 uses the data generated in the project and processes it
for the website and other information material. It does not generate data of
its own.

#  FAIR DATA MANAGEMENT

TRANS‐URBAN‐EU‐CHINA aims for 'FAIR'  1  research data, that is findable,
accessible, interoperable and re‐usable.

##  Making data findable, including provisions for metadata

A first collection of datasets has been compiled in Attachment 1 at the end of
this document. A comprehensive pattern for naming the produced datasets of the
project to be published open access will be developed. As an example one
approach could be the following:

TUEC_Data_"WP.TaskNo."."DatasetNo."_"DatasetTitle"

e.g., TUEC_Data_WP1.1_InterviewCitizens. This depends also on the long term
data sharing platform to be chosen.

The internal project website is used to share and manage the collected and
generated data sets within the project. It provides a well‐organized structure
to make it easy for research teams to find, better understand and reuse the
various data by creating a consistent and well‐structured research data pool.

The TRANS‐URBAN‐EU‐CHINA project will create diverse data to detail project
content and to create data needed to enable other researchers to use and
regenerate output data in a systematic way. The documentation can take the
form of publications, manuals and reports. To enable a consistent description
of all datasets provided by the project, a template table is used to describe
metadata of each dataset including title, author, description, formats, etc.
(see Attachment 1).

##  Making data openly accessible

When a specific task of the project is concluded, the scientific results will
be published in international peer‐reviewed journals. At this stage, data
analysis will allow the partners to identify and select the most important
data related to the specific publication. These data will be deposited in a
repository and preserved for at least 10 years. Moreover, at the end of the
project all relevant data, even if not published yet, will be preserved in the
same way.

Concerning access to the data, the consortium partners will take into account
the embargo periods or copyright details involved in the specific scientific
publications. Data will be made available as soon as possible considering
those limitations. Moreover, data that are relevant for future publications or
significant new results and discoveries worth protecting will be excluded from
data sharing and archiving.

In particular, the data produced by the TRANS‐URBAN‐EU‐CHINA project will be
kept confidential and not made open access due to the following reasons:

  * legal properties (e.g. missing copyrights, participant confidentiality, consent agreements or intellectual property rights) 

  

  * scientific and/or business reasons (e.g. pending publications, exploitation aspects) 

  

  * technical issues (e.g. incomplete data sets). 

  

Each consortium partner will be responsible to secure the short‐term data
storage. All raw data and documents relevant to the project data should be
preserved until the end of the project and then transferred to a long‐term
repository.

Intermediate documents and data generated by the project partners will be
shared through the internal part of the project website (
_http://transurbaneuchina.eu/_ ). The website can be easily accessed by all
partners. It includes all the publications, raw data, reviews, deliverable
reports, meeting minutes, slides of the presentations at the project meetings,
and further information material. No personal data will be shared by the
project partners without written consent. Personal data will be removed from
any data set before sharing it by anonymizing the data.

Selected data from TRANS‐URBAN‐EU‐CHINA will be shared publicly during or
after the life time of the project. All long term data collected or generated
will be deposited in a repository. The final repository has not been chosen
yet. The choice of repository will depend on:

  * location of repository 

  

  * research domain 

  

  * costs 

  

  * open access options 

  

  * prospect of long‐term preservation. 

  

One option considered for long‐term data archiving and publication is the
research data repository OpARA (Open Access Repository and Archive). OpARA is
the institutional repository of the TU Dresden and is operated in cooperation
with the TU BAF Freiberg. It allows the publication and referencing of
research data (by a DOI) with metadata for reuse (“Open Access”). For closed
data restricted access is possible as well as the setting of an embargo period
before publication. Interested parties can search for published data and
download them via a web browser. The data are archived for at least 10 years
according to the universities ‘Guidelines for Safeguarding Good Scientific
Practice, Avoiding Scientific Misconduct and Dealing with Violations’.

Another repository considered is ZENODO _https://zenodo.org/_ . This is
online, free of charge storage created through the European Commission’s
OpenAIREplus project and is hosted at CERN, Switzerland. It encourages open
access deposition of any data format, but also allows deposits of content
under restricted or embargoed access. Contents deposited under restricted
access are protected against unauthorized access at all levels. Access to
metadata and data files is provided over standard protocols such as HTTP and
OAI‐PMH. Data files are kept in multiple replicas in a distributed file
system, which is backed up to tape every night. Data files are replicated in
the online system of ZENODO. Data files have versions attached to them, whilst
records are not versioned. Derivatives of data files are generated, but the
original content is never modified. Records can be retracted from public view;
however, the data files and records are preserved. The uploaded data is
archived as a Submission Information Package in ZENODO. Files stored in ZENODO
will have MD5 checksum of the file content, and it will be checked against
their checksum to assure that a file content remains correct. Items in the
ZENODO will be retained for the lifetime of the repository which is also the
lifetime of the host laboratory CERN which currently has an experimental
programme defined for the next 20 years. Each dataset can be referenced at
least by a unique persistent identifier (DOI), in addition to other forms of
identifications provided by ZENODO.

##  Making data interoperable

Since only common formats such as pdf, docx, xlsx, jpeg, gif, mpg, mp3, mp4
will be used in the project, interoperability will not be an issue.

**2.4 Increase data re‐use (through clarifying licences)**

Licensing options will be considered and decided later in the project.

#  ALLOCATION OF RESOURCES

The costs of short‐term data storage, and of preparing data and documentation
for long term storage will be borne by the project partners.

The permanent costs of preserving datasets in the OpARA repository are free of
charge for TUD members.

#  DATA SECURITY

The long term data have different levels of open accessibility:

  * data with restricted access to the consortium partner creating this data set; 

  

  * data with restricted access to TRANS‐URBAN‐EU‐CHINA project partners; 

  

  * data that is to be published and shared as open source to researchers only; 

  

  * data that is to be published and shared as open source to everyone. 

  

The decisions on data publication and the level of accessibility will be taken
per dataset and by the responsible consortium partner who created the dataset.
This will be documented in future versions of the data management plan. The
updated version of the DMP shall detail the information on data sharing,
including access procedures, embargo periods, and outlines of technical
mechanisms for dissemination of open accessible data sets.

The internal project website ( _http://transurbaneuchina.eu/login/_ ) is
hosted on a server at jweiland.net in Stuttgart, Germany and monitored by the
coordinator IOER in Dresden, Germany. Data is backed up by jweiland.net
automatically as well as by IOER once a week. This assures data recovery and
data protection.

#  ETHICAL ASPECTS

All partners will ensure that project activities related to data, specifically
to personal data, will be in compliance with applicable EU and national law on
data protection, in particular the EU General Data Protection Regulation
(GDPR)2 and China’s Network Security Law.

The following principles will guide all data activities:

  * to be as sensitive as possible about collecting, storing and using personal data; 

  

  * to keep personal data anonymised and not retractable; 

  

  * to use correct citations (‘credits’) to the data originator; 

  

  * based on legal conditions (right to use/edit/publish the data). 

  

No personal sensitive data will be collected. Interviewees will be asked for
opinions about urban development and urban sustainability. In order to comply
with the regulations, the persons taking part in empirical parts of the
project will be asked for their informed consent before any data is collected.

Personal data will only be collected if absolutely necessary to fulfil the
objectives of the project, e.g. contact details of interested stakeholders for
dissemination and communication activities.

A principle will be that only the minimal amount of data necessary to reach
the research goal will be collected (data minimization). Data collection and
analysis will be done in an anonymous or at least pseudonymous way. This will
be especially the case in all kinds of (online) questionnaires, where
demographic data is only collected to the extent that makes re‐identification
of a single person very unlikely. Names and addresses of interviewees will be
separated from the information they provide, so that it will not be possible
to trace back the information to any identifiable individual. If data
collected for research purposes are not anonymised, explicit consent from the
data subject will be required.

Regarding data processing, the collected data will be immediately
pseudonymized and aggregated, and the original data will not be stored
whatsoever.

In terms of data retention and destruction, data will be deleted or fully
anonymized as soon as the relevant scientific and innovative purpose as stated
in the DoA is fulfilled. For the collection, storage and analyses of personal
data only computers under the sole control of the project partners will be
used, e.g. no third party services offering online questionnaires etc. will be
used. Appropriate technical measures will be taken for secure data access and
user authentication.

All data collected will be stored and transmitted in an encrypted way together
with a sticky policy expressing for which purposes the data was collected and
who is allowed to access the data. Easily accessible and understandable
privacy policies will on the one hand bind the data controllers and on the
other hand allow the data subjects to understand and execute their rights at
any time. This privacy policy will be defined following the European Union’s
Data Protection Directive (Directive

2

https://ec.europa.eu/commission/priorities/justice‐and‐fundamental‐rights/data‐protection/2018‐reformeu‐data‐protection‐rules_en

95/46/EC on the protection of individuals with regard to the processing of
personal data and on the free movement of such data).

Data which will be imported to/exported from EU will be listed in Attachment
1. Adequate authorisations, if required, will be provided by the relevant
consortium partner.

#  ATTACHMENT 1

List of TRANS‐URBAN‐EU‐CHINA datasets

**TRANS‐URBAN‐EU‐CHINA**