Requirements for providing survey data to The Crown Estate via the Marine Data Exchange Requirements Note 001 Version 1.
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1 Requirements for providing survey data to The Crown Estate via the Marine Data Exchange Requirements Note 001 Version 1.2, November 2012 Printed versions of this document are not controlled. The latest electronic version can be provided upon request. Contents 1. Executive Summary Introduction Scope References Requirements Themes Stages of development Data Structure Series Datasets Reports Metadata Standards for Data Coordinate Reference Systems MEDIN Data Guidelines Process of providing data... 8 Appendix 1 Data related to the Marine Data Exchange... 9 Appendix 2 Example: Series anticipated from and offshore wind development Appendix 3 Data Clause Guidance Note Appendix 4 Quality Control Protocol Appendix 5 Metadata Guidance Note Appendix 6 Survey and Information Management Guidance Note For more information please contact the data management team at The Crown Estate: Tel Page 1 of 43
2 Version Date Author Reviewed by Description of change 1.0 July 2012 Pete Edmonds Round 3 Data Baseline version Workshop 1.1 September 2012 Pete Edmonds None Changed terminology from Project to Series 1.2 November 2012 Pete Edmonds None Minor edits and corrections 1. Executive Summary The requirements for providing survey data to The Crown Estate are: 1. The data shall be structured into a hierarchy of Series, Datasets and Reports according to Figure 1. If providing data on physical media, this structure should be used. 2. A Series is analogous to a MEDIN Series which can be defined as a collection of datasets and reports collected in relation to a survey or data collection campaign, linked by a common research question. Series must be described by a metadata record (see 5.a). A Series must contain one or more reports and / or datasets. 3. A Dataset is defined as a pillar of data and information related to a single parameter, instrument or method. Datasets must be described by a metadata record (see 5.b). A Series can contain one or more datasets. 4. A Report is defined as a set of documents relating to part, or the whole of a survey or data collection campaign. Reports must be described by a metadata record (see 5.c). A Series can contain one or more reports. 5. The Crown Estate s requirements for metadata are: a. Series MEDIN Discovery Standard (series metadata) b. Dataset MEDIN Discovery Standard (dataset metadata) c. Report The Crown Estate Report Metadata 6. Where data are spatially referenced, their coordinate reference system should be fully defined, and where transformation parameters do not exist (e.g. a bespoke engineering grid), transformation parameters between the coordinate reference system and WGS 1984 (EPSG code: 4326) should be provided. 7. Where appropriate, The Crown Estate will use the MEDIN data guidelines ( as a pro forma for quality control of data received. This means that, as a minimum, The Crown Estate expects that data provided contain all of the mandatory details identified by the appropriate MEDIN data guideline. 8. For all data collected after 1st January 2014, The Crown Estate will require data to be provided in full compliance with the appropriate MEDIN data guideline (where one exists). For the avoidance of doubt, full compliance with the guidelines will not be expected to be applied to data collected before 1st January Page 2 of 43
3 2. Introduction When a renewable energy developer enters into an Agreement 1 with The Crown Estate an obligation to provide data collected in respect of the development is included in the data clause. Whilst Agreements are generally consistent within a sector, or within a leasing round, there can be variances in the precise wording of the data clause within these Agreements and the following should be taken as a generic set of requirements, with the Agreements being referred to for agreed definitions of the obligation. Where uncertainty exists, the developer should contact The Crown Estate to confirm the requirements. This document focusses on survey data. Where there is an obligation to provide other data (e.g. Round 3 data room), they are provided to The Crown Estate via different means (currently agreed on a case-by-case basis). Survey data are provided to The Crown Estate via the Marine Data Exchange. The more complex nature of survey data means that it is necessary for The Crown Estate to provide a specialised system which incorporates a comprehensive quality control mechanism, ensuring maximum value is derived from survey data for both The Crown Estate and developers alike. Appendix 1 describes the broad themes of data that relate to the Marine Data Exchange. Appendix 2 describes in more detail the series expected to be provided to the Marine Data Exchange. 3. Scope The scope of this document is to provide high level requirements for providing survey data in accordance with Agreements including defining: a. High level data structure b. High level data definition c. Outline metadata requirements d. Outline minimum acceptable standards for survey data e. Outline the process for providing survey data Out of scope are requirements relating to non-survey data e.g. turbine layout plans, cable route options, commercial contracts, health and safety information. This document has no legal status. It simply supplements the data clause and expands upon the interpretation of it. 4. References This document is supplemented by a number of Guidance Notes included here as Appendices: Appendix No. Subject Scope Appendix 1 Data related to the Marine Data Exchange 1. Describe the broad themes of data which are anticipated to be included in the Marine Data Exchange. 1 Agreement means inter-alia an Exclusivity Agreement, Zone Development Agreement, Agreement for Lease or Lease held with The Crown Estate, or a temporary consent to perform intrusive seabed works (for example for the deployment of a test device, or a meteorological buoy). Page 3 of 43
4 Appendix 2 Example: Series anticipated from and offshore wind development 1. Provide a high level breakdown of anticipated series to be provided to the Marine Data exchange for an offshore wind development. Appendix 3 Data Clause Guidance 1. high level guidance on what data are to be provided in accordance with Agreements; 2. an overview of the rationale behind the requirement; and 3. clarification on confidentiality. Appendix 4 QC Protocol 1. The Crown Estate s check list for performing quality control on received data. Forms minimum acceptance criteria. Appendix 5 Metadata 1. Provide an introduction and background to metadata standards for marine data 2. Define The Crown Estate s preferred metadata standard for marine data. Appendix 6 4. Requirements Survey and Information Management Standards 1. Provides links to information regarding survey and information management procedures 2. Recommend adoption of consistent approach throughout the Series life-cycle 4.1 Themes For the definition of data for a specific development, please refer to the relevant Agreement 2. In generic terms, data themes that are required include: Environmental and ecological Physical environment Human environment Engineering & technical These themes refer to primary observations, investigations, modelling, monitoring, and associated reports. For a detailed breakdown of anticipated survey data to be provided to the Marine Data Exchange please see Appendices 1 and Stages of development Data are required during the entire life-cycle of a Series including: planning, scoping, consenting, design, pre / during and post-construction (monitoring), and during / post decommissioning 3. 2 It is important to note that under some Agreements data can mean all data required by the developer for the purposes of developing the relevant project. Page 4 of 43
5 4.3 Data Structure The data shall be structured according to Figure 1. If providing data offline on physical media, this structure should be used. Renewable Development Area Name Series MEDIN Metadata Reports Datasets Report 1 Report n Dataset 1 Dataset n Report Metadata Report Metadata MEDIN Metadata MEDIN Metadata Report files Report files Dataset files Dataset files Figure 1 - Survey data structure implemented by The Crown Estate Series A Series is analogous to a MEDIN Series which can be defined as a collection of datasets and reports collected in relation to a survey or data collection campaign, linked by a common research question. A Series shall be described by a MEDIN discovery metadata record. A Series must contain one or more reports and / or datasets. Example: Geophysical survey of a cable route Datasets A dataset is defined as a pillar of data and information related to a single parameter, instrument or method. A Series can contain one or more datasets. Example: Multi-beam echo sounder (MBES) data and information The pillar of data and information which make up a dataset shall include: metadata for the data set; 3 It is important to refer to the relevant Agreement, as Agreements may differ on this point. Page 5 of 43
6 o Example: MEDIN discovery metadata a base data product (cleaned and QC d version of the raw data, pre-analysis); o Example: GSF file as per MCA / UKHO requirements a final version of the analysed/modelled data; o Example: 10m resolution digital elevation model, slope model QC and calibration reports; o Example: Data QC report prepared by contractor, calibration certificate of the MBES. supporting data (e.g. survey equipment information, logs); and o Example: GIS files of acquisition lines and survey boundary Reports A report is defined as a set of documents relating to part, or the whole of a survey or data collection campaign. A Series can contain one or more reports. Example: Geophysical survey operations report, interpretive report of the data collected. 4.4 Metadata The Crown Estate s requirements for metadata are: Level Standard Where can this be created? Series MEDIN Discovery Standard (series metadata) See here. Dataset MEDIN Discovery Standard (dataset metadata) See here. Report The Crown Estate Report Metadata (see Appendix 5 section 2.5) This will be possible via the Marine Data Exchange. For more information see Appendix 5. For help with MEDIN metadata, please contact the MEDIN Metadata Helpdesk at medin.metadata@mba.ac.uk or An example metadata record is provided below: Example MEDIN metadata 4.5 Standards for Data Coordinate Reference Systems Where data are spatially referenced, their coordinate reference system should be fully defined, and where transformation parameters do not exist (e.g. a bespoke engineering grid), transformation parameters between the coordinate reference system and WGS 1984 (EPSG code: 4326) should be provided. Page 6 of 43
7 4.5.2 MEDIN Data Guidelines Where appropriate, The Crown Estate will use the MEDIN data guidelines ( as a pro forma for quality control of data received. This means that, as a minimum, The Crown Estate expects that data provided contain all of the mandatory details identified by the appropriate MEDIN data guideline. For all data collected after 1 st January 2014, The Crown Estate will require data to be provided in full compliance with the appropriate MEDIN data guideline (where one exists). For the avoidance of doubt, full compliance with the guidelines will not be expected to be applied to data collected before 1 st January For help and advice in using these guidelines, please contact MEDIN. Page 7 of 43
8 5. Process of providing data The process for providing data to The Crown Estate is outlined in Figure 2. Partner provides programme of work to be undertaken i.e. a list of proposed surveys TCE provides template data schedule workbook with items filled in from programme and other relevant documents e.g. EIA, licence, generic template Partner amends and fills in details as necessary Data Schedule Workbook Project Log worksheet containing past, current and future works to be undertaken with an agreed delivery date. 6 month review of workbook Preparation Workbook shared with partner and timescales agreed for providing data Providing Data Partner provides data to TCE via Marine Data Exchange according to agreed timescales Update workbook TCE logs, QCs and provides feedback to partner Site fully decommissioned and data schedule 100% complete Any issues resolved by partner and item closed in data schedule Figure 2 - Process for providing data to The Crown Estate Page 8 of 43
9 Appendix 1 Data related to the Marine Data Exchange DATA ASPECT / AREA Resource Measurement DOCUMENTATION / DATA Engineering Specifications Other Measurement Devices (please specify) Analysis Reports Cable Route Offshore Onshore Cable Studies Cable Studies Survey Data Environmental & Ecology Benthic Epifaunal Habitat Mapping Mammals Ornithological Sediment Sampling Physical Environment Coastal Processes Geophysical Geotechnical Metocean Modelling Onshore Flood Risk & Coastal Defence Onshore Contaminated Onshore as well as offshore elements Page 9 of 43
10 Land Human Visuals, landscape & seascape Shipping & Navigation Onshore Transport & Traffic Windfarm Infrastructure Commercial Fisheries Socio-Economic Noise (above) Noise (underwater) UXO Archaeology Aviation Environmental Statements & Assessments Environmental Impact Assessments Environmental Statements Appropriate Assessment Page 10 of 43
11 Appendix 2 Example: Series anticipated from and offshore wind development This guide has been compiled of two documents: BVG Associates A Guide to an Offshore Wind Farm. Swindon and CEFAS Offshore Wind Farms: Guidance Note for Environmental Impact Assessment in Respect of FEPA and CPA Requirements, Version 2 - June Survey Name PRE-CONTRUCTION PERIOD Content PHYSICAL ENVIRONMENT: GEOPHYSICAL, PHYSICAL PROCESSES, GEOTECHNICAL, METOCEAN, SEDIMENT SAMPLING Pre-construction geophysical surveys of the site and cable routes (Single) multi-beam echo soundings or swathe bathymetry, side scan sonar, magnetometer, sub bottom profiler (sparker, boomer, etc.) Raw, processed and interpreted data, any obstructions plotted, report Meteorological mast data Geotechnical surveys of the sea bed characteristics Metocean surveys and analysis Coastal processes Meteorological and oceanographic conditions at the site; sensors and auxiliary systems measuring wind speed, wind direction, temperature, pressure, humidity, solar radiation and visibility Bird radar and hydrophones detecting cetacean activity can be fitted and provide additional information Test procedures, Qualification testing, Equipment verification, Daily operation reports and field logs, Borehole records, Core photographs, Vibra-core, Cone, DGPS and gyrocompass calibrations, Lab report, Cross section diagrams, Raw and derived PCPT test results, standard, Penetration tests, PSA Data on wave, tide, current and suspended sediment concentrations Interpretation of hydrodynamic, sediment and morphodynamic regime ENVIRONMENTAL & ECOLOGICAL: BENTHIC, ECOLOGY, HABITAT MAPPING, MAMMALS, ORNITHOLOGICAL, SEDIMENT SAMPLING Intertidal habitat appraisal Wildlife surveys to consider potential ecological impact Sediment and benthic sampling surveys Seabed morphology and scour survey Marine mammals survey Ornithological surveys Seabird survey for locally identified species Marine ecology Electromagnetic field survey Full environmental statement Distribution of sediment types and benthic invertebrate communities Baseline control sites (then on-going monitoring) Beam trawl sampling for epifaunal species Video observations of colonisation of the monopoles and scour protection Further e.g. grab sampling, retention of benthic fauna, sampling of the sediment particle size analysis, sampling of the sediment for contaminants, drop-down camera sampling Two (one winter and one summer) high resolution swath-bathymetric surveys per annum of the wind farm intra-array and export cable route pre-construction baseline, then twice a year Aerial, boat-based visual surveys, mammal tagging and passive acoustic detection, assessment of the potential impacts of the wind farm to mammal populations Aerial, boat-based visual surveys, radio tagging surveys Terrestrial, inshore boat, and offshore boat surveys; reanalysis of bird population data to apply in modelling to calculate mortality rates in relation to wind farms; feeding ecology, desk reviews Investigation of benthic grab samples, epifaunal beam trawling and drop-down video sampling surveys to provide data and analysis informing on the marine ecology Pelagic survey Information on the macro benthic properties Desk-based study Environmental Statement including appendices HUMAN ENVIRONMENT: VISUALS LANDSCAPE & SEASCAPE, COLLISION RISK, COMMERCIAL FISHERIES, WIND FARM INFRASTRUCTURE, SOCIO-ECONMIC, NOISE, UXO, ARCHAEOLOLOGICAL, AVIATION RADAR Page 11 of 43
12 Archaeological assessment Underwater noise study Seascape and visual technical study Shipping and navigation risk assessment Maritime traffic survey Magnetometer UXO survey and explosive ordnance threat assessment Marine fish survey Human activities Investigation of geophysical, geotechnical and diver/rov data to identify archaeological sites and exclusion construction zones Modelling assessment of underwater noise during piling operations and electromagnetic fields impacts Magnitude and significance of change to the character of the regional seascape, landscape and general views An assessment of the potential impact of the proposed development on the routeing and safe navigation of vessels. Baseline information relating to ports, navigational aids, sailing directions, wrecks, oil and gas infrastructure, exercise areas and met ocean data. Radar, Automatic Identification System (AIS) and visual observations: visual representation of the tracks observed, charts, graphs. Geophysical interpretation of sonar and magnetometer charts together with detailed interrogation of the digital raw data A survey determining the general marine fish status (numbers, distribution) of the local fish populations which will be used for comparison with the post construction surveys (adult and juvenile fish surveys); fish and shellfish resources Raw, processed and interpreted data as well as report. Any surveys should be related to benthic surveys: The distribution, intensity of recreational activities The distribution, intensity and type of commercial and recreational fishing activity e.g. Commercial fishing baseline and impact assessments Socio-economic study accesses the impacts of a wind farm or coastal infrastructure, e.g. a port, such as changes in employment, transportation or recreation, or changes in the aesthetic value of a landscape. It estimates the impacts on the local society, not only of these socioeconomic changes, but also of the composite of biological, geological, and physical (bio-geophysical) effects caused by the proposed change on the local area. ENGINEERING & TECHNICAL: FOUNDATIONS, INTER-ARRAY CABLES, EXPORT CABLES Survey of national grid substation access A survey and assessment of botanical and other features CONTRUCTION PERIOD Archaeological monitoring Noise and vibration from the turbines Marine mammals monitoring, observations during construction and mitigation Seabed morphology and scour Benthic sampling Results of watching briefs A 3 year reporting cycle to monitor effectiveness of seabed construction exclusion zones Measurements at various frequencies at locations immediately adjacent to and between turbines e.g. visual observations, distance, direction, behaviour, count, species Mitigation of marine mammals during installation of foundations Two (one winter and one summer) high resolution swath-bathymetric surveys per annum of the wind farm intra-array and export cable route On-going monitoring - a minimum of three replicates at each station Beam trawl sampling for epifaunal species Video observations of colonisation of the monopoles and scour protection Survey of the intertidal habitats where trenching is used to install the export cables in the intertidal zone Further e.g. grab sampling, retention of benthic fauna, sampling of the sediment particle size analysis, sampling of the sediment for contaminants, drop-down camera sampling. Seascape and visual assessment Macro-benthic ecology surveys photomontages, wireframes etc (a number of visits were made to the site and surrounding study area) Page 12 of 43
13 Aerial and boat based seabird surveys (monthly) Seabird survey for locally identified species Radiological assessment of disturbed sediment during construction Information on local bird populations. Comparison with the pre-construction period. Terrestrial, inshore boat, and offshore boat surveys; reanalysis of bird population data to apply in modelling to calculate mortality rates in relation to wind farms; feeding ecology, desk reviews A desk-based assessment to determine the risk to human health from the sediment that could be disturbed during the wind farm construction POST-CONTRUCTION PERIOD / OPERATIONAL PERIOD SSS in grid lines Raw, processed and interpreted data, any obstructions plotted, report Archaeological monitoring Seabed morphology and scour Cables (if jetting of the export cable in the intertidal zone is agreed) Benthic sampling Seascape and visual assessment Macro-benthic ecology surveys Aerial and boat based seabird surveys (monthly) Seabird survey for locally identified species Marine mammals monitoring Noise and vibration Onshore baseline noise survey data Additional marine mammal monitoring Radiological assessment of disturbed sediment during construction 100% coverage swath bathymetric survey around a sample of adjacent turbines spacing (immediately the construction is complete and repeated at six monthly intervals for a period of three years (revision report every 1.5 years). Two (one winter and one summer) high resolution swath-bathymetric surveys per annum of the wind farm intra-array and export cable route Monitoring of suspended sediment concentrations within the area of jetting and at a control point outside the area. On-going monitoring - a minimum of three replicates at each station Beam trawl sampling for epifaunal species Video observations of colonisation of the monopoles and scour protection Survey of the intertidal habitats where trenching is used to install the export cables in the intertidal zone Further e.g. grab sampling, retention of benthic fauna, sampling of the sediment particle size analysis, sampling of the sediment for contaminants, drop-down camera sampling. photomontages, wireframes etc (a number of visits were made to the site and surrounding study area) Information on local bird populations. Comparison with the pre-construction and construction period. Terrestrial, inshore boat, and offshore boat surveys; reanalysis of bird population data to apply in modelling to calculate mortality rates in relation to wind farms; feeding ecology, desk reviews e.g. visual observations, distance, direction, behaviour, count, species A detailed survey on the frequencies and magnitudes of underwater noise produced by the wind farm (underwater noise assessment and impact modelling) It is determined if the survey is necessary over an initial 3 year period and on-going during the lifetime of the wind farm operation A desk-based assessment to determine the risk to human health from the sediment that could be disturbed during the wind farm construction DECOMMISSIONING Archaeological monitoring Decommissioning programme proposed decommissioning measures Page 13 of 43
14 Appendix 3 Data Clause Guidance Note The Data Clause Obligation: Guidance for Developers Guidance Note 007 Version 1.0, February 2011 Printed versions of this document are not controlled. The latest electronic version can be provided upon request. Introduction When a renewable energy developer enters into an Agreement 4 with The Crown Estate an obligation to provide data collected in respect of the development is included in the data clause. Whilst Agreements are generally consistent within a sector, or within a leasing round, there can be variances in the precise wording of the data clause within these Agreements and the following should be taken as a generic guide, with the Agreements being referred to for agreed definitions of the obligation. Where uncertainty exists, the developer should contact The Crown Estate to confirm the requirements. Scope The scope of this document is to provide: 5. high level guidance on what data is to be provided in accordance with Agreements; 6. an overview of the rationale behind the requirement; and 7. clarification on confidentiality. This document has no legal status. It simply supplements the data clause and expands upon the interpretation of it. The data clause For the definition of data for a specific development, please refer to the relevant Agreement 5. In generic terms, data themes that are required generally include: Environmental and ecological Physical environment Human environment 4 Agreement means inter-alia an Exclusivity Agreement, Zone Development Agreement, Agreement for Lease or Lease held with The Crown Estate, or a temporary consent to perform intrusive seabed works (for example for the deployment of a test device, or a meteorological buoy). 5 It is important to note that under some Agreements data can mean all data required by the developer for the purposes of developing the relevant project. Page 14 of 43
15 Engineering & technical These themes refer to primary observations, investigations, modelling, monitoring and associated reports. The data definition is purposefully non-prescriptive regarding file types or specific survey data due to the tendency of technology and techniques to advance faster than the duration of a typical Agreement, and potential changes in the consenting process (and therefore the required survey works). The Crown Estate seeks to work with developers to agree file types and surveys that require data and the timeframe within which such data are to be provided. The clause applies to the entire life-cycle of a project including: planning; scoping; consenting; design; pre / during and post-construction (monitoring); and during / post decommissioning 6. The clause does not extend to requiring every version of a dataset and each dataset should be assessed for its appropriateness before being provided. A high-level guide is that a dataset provided to The Crown Estate will contain: metadata for the data set to an agreed standard; a base data product (cleaned and QC d version of the raw data, pre-analysis); a final version of the analysed/modelled data; QC and calibration reports; supporting data (e.g. survey equipment information, logs); and final report(s). Under some circumstances, the raw, unprocessed (i.e. as recorded) version of a dataset may also be required. The decision as to whether this will be necessary will be made by The Crown Estate on a case-by-case basis and its decision will be based on the following considerations: Is it expensive and cumbersome to store such data? Is the likelihood of needing to use it low and/or the consequences of not having it available immaterial? Does the data have temporary currency? Is it extremely unlikely to be revisited? Does a reliable sub-contractor already carry an obligation to maintain a store of the data and provide The Crown Estate with access to it? As an indicator of importance, is the developer storing the data themselves, and what rationale are they using if they are being selective? What scenarios can be envisaged where access to the raw data might be required in the future? How unlikely are these scenarios? Rationale behind the clause The clause is included in Agreements for a number of reasons which are embodied within The Crown Estate s core values of Commercialism, Integrity and Stewardship, namely: 6 It is important to refer to the relevant Agreement, as Agreements may differ on this point. Page 15 of 43
16 1. to ensure a full record of data collected for a development is held in a planned and managed environment; 2. to ensure retention of data and information; 3. to ensure access to data and information; 4. to work with developers to provide stewardship regarding best practice data management; 5. to provide information to aid the understanding of the marine estate; 6. to facilitate collaboration and research for the benefit of the industries concerned; and 7. to maintain development programmes in the event of a default event. Confidentiality The Crown Estate s intention is to make as much data publically available as possible. However, The Crown Estate s rights to do so will be subject to any confidentiality requirements in the Agreements. Generally, The Crown Estate cannot disclose certain categories of data 7 to third parties for a period of time (such categories and period will be set out in the Agreements). There are some exceptions to this general obligation for example, The Crown Estate will be able to disclose data if it is required to do so at law, by order of a court etc. The Crown Estate is bound by the provisions of the Freedom of Information Act 2000 (FOIA) and the Environmental Information Regulations 2004 (EIR). Accordingly, all data provided to The Crown Estate is potentially disclosable pursuant to an information request under the FOIA and EIR. It is therefore important that the developer clearly identifies any data supplied to The Crown Estate which is considered to be confidential or commercially sensitive. Where The Crown Estate believes that data/information ought not to be disclosed for the reasons given, it will take all possible reasonable steps to avoid its disclosure and would, in any event, where practicable, inform the relevant developer before doing so. However, The Crown Estate is ultimately responsible for determining whether any information supplied to it must be disclosed under the FOIA/EIR. 7 The Agreement will define what these categories of data and the exceptions for when The Crown Estate can disclose data. Page 16 of 43
17 Appendix 4 Quality Control Protocol When data are received by the Marine Data Exchange, they will undergo the following validation and QC checks which are documented and communicated back to the provider: 1. Check the location of metadata in the delivery is appropriate. a. QC pass criteria: Metadata is located alongside the relevant dataset or it is easy to identify which dataset a metadata record refers to. 2. Check metadata is created at an appropriate level. a. QC pass criteria: Relevant metadata has been created at the level of Series, Dataset and Report Note: ignore automatically generated file level metadata records where they are overridden by dataset level metadata. 3. Validate metadata a. QC pass criteria: No errors reported by validation. 4. Check the content of an appropriate selection of metadata records. b. QC pass criteria: metadata title and abstract and keywords are appropriate to the content of the Series, Dataset or Report. 5. Check the coordinate reference system of data provided. c. QC pass criteria: Coordinate reference system is defined as per Guidance Note 002. Variation can be accepted so long as the system is fully defined, and if not easily transformable, contains transformation parameters. 6. Check the content of 1 in 10 (unless inappropriate) datasets using reports as a reference. d. QC pass criteria: No obvious errors are present in terms of: i. Human errors in transferring the data e.g. draft version provided when finalised version was expected. ii. Obvious file naming errors iii. Gross errors e.g. data labelled as wind data is a txt file with nonsensical data. iv. Inconsistent file sizes or types. v. Lower than expected resolution e.g. 1 hour resolution wind data claiming to be 10 minute (cross reference with associated reports or metadata). vi. Smaller than expected coverage e.g. covers part of zone when claiming to be an entire zone survey (cross reference with associated reports or metadata). e. QC pass criteria: if a dataset falls within the scope of a MEDIN data guideline, dataset contains all information according to relevant MEDIN data guideline 7. For raw data only: check for existence of QC reports f. QC pass criteria: QC report exists for the raw dataset and provides sufficient detail to allow confidence in the data. 8. For raw data collected by instrumentation only: check for existence of calibration reports g. QC pass criteria: calibration reports included explicitly or implicitly within report of wider survey. Page 17 of 43
18 Appendix 5 Metadata Guidance Note Metadata standards: guidance for third parties Guidance Note 001 Version 2.1, May 2012 Contents 1 - Introduction Scope Background Glossary and abbreviations Metadata standards The business case for metadata Metadata basics The Crown Estate and metadata MEDIN discovery metadata standard v The Crown Estate Report Metadata Introduction to the Annexes Annex A - The development of metadata standards A Glossary and abbreviations A Metadata standards structure A Introducing the options Annex B - Metadata comparison Annex C - Metadata creation C Introduction C Creation Annex D - Technical encoding and metadata validation For more information please contact Peter Edmonds, Marine Data Manager at The Crown Estate: peter.edmonds@thecrownestate.co.uk Tel Page 18 of 43
19 1 Introduction 1.1 Scope This document provides high-level guidance on metadata for Series, datasets and reports with technical guidance for implementation in the Annexes. Metadata standards for describing services (e.g. a web mapping service, see ISO 19119) are not included. The guidance note is intended to describe the provenance of metadata standards, the links between them and their application within best practice survey data management and recommend adoption of the guidance within developer organisations. It also defines a metadata standard for report metadata. Outside of scope are more generic metadata standards such as Dublin Core (ISO 15836) and profiles thereof, such as the e-government Metadata Standard (e-gms) that are designed for resources other than survey data (e.g. websites or books). However, the standards described in this document are designed to incorporate the ability to describe these resources. 1.2 Background Metadata is often defined as data about data or information about data. Within the geospatial community, the term data is often used to define a geospatial dataset / dataset series, resource or service. Metadata is a critical resource that allows a user to discover, understand the provenance of and evaluate how appropriate data are for a particular use case. It can also be used to track the currency of data, the steps that have been taken in processing the data, and contact details for the metadata and /or data. These kinds of information allow a user to understand the data origins, and provide documentation that can be used for a wide variety of tasks such as stepping back through the creation process, fixing problems or changing parameters. 1.3 Glossary and abbreviations Discovery metadata e-gms Element INSPIRE ISO Defines the minimum set of elements required to enable a dataset to be effectively searched for. e-government Metadata Standard. A discrete item of information. The Infrastructure for Spatial Information in Europe (INSPIRE) Directive aims to create a European Union (EU) spatial data infrastructure and came into force on 15 May It will be implemented in stages. International Organisation for Standardisation. Page 19 of 43
20 MaRS MEDIN Metadata profile Metadata record Schema definition Schematron Standard Technical encoding XML XSD UML Marine Resource System. Marine Environmental Data and Information Network. Specific definition of a metadata standard designed for a particular use. A collection of metadata elements relating to a resource. Describes, defines and establishes the relationships between different elements of metadata e.g. a UML model. Rule based validation language, based on XSLT that validates XML documents against assertions that detect the presence or absence of patterns in an XML tree. Defines the metadata elements and relationships between them, the core metadata elements that must be populated and may consider the technical encoding to in which the metadata should be transferred. Defines the technical encoding used to store and transfer metadata records e.g. a set of XSD files. Extensible Mark-up Language. XML Schema Definition/Document. Unified Modelling Language. 2 Metadata standards 2.1 The business case for metadata Metadata standards are used because they allow for interoperability and encourage sharing of metadata between different data suppliers, consumers and warehouses. They provide standard definitions of elements, define relationships between elements, define a set of minimum elements that must be populated to create a conformant metadata record, and potentially a technical encoding by which to store and share the metadata record. Not only do standards improve the ability to discover, understand and evaluate datasets, they also ensure that the originator understands the data that has been created by ensuring certain elements are considered (e.g. spatial reference system of the dataset). 2.2 Metadata basics Figure 1 describes the component parts of a metadata standard. An example of a minimum set of metadata elements might include: a title, abstract, geographic extent and lineage (description of the steps taken to create the dataset). In this example, the lineage would show all operations (e.g. Page 20 of 43
21 Metadata Standard coordinate transformations) applied to the dataset. This allows a simple means by which to audit, understand, correct, or alter the dataset to ensure it is in a format that is appropriate to a specific use case. Metadata should form an integral part of any dataset. The definition of a geographic dataset should be considered to include: data, metadata and a defined coordinate reference system. Without one of these items, a geographic dataset should not be considered complete. Content Information about the dataset understood by the originator Defined elements Content normalised into defined elements in at least a minimum set prescribed by the standard (e.g. ISO 19115) Technical Encoding Defined elements encoded in a transferrable form (e.g. ISO 19139) Validation Metadata automatically validated according to technical encoding and content (e.g. Schematron) Publication Consumer receives standard information that can be readily understood by users and systems Figure 1 - Component parts of a metadata standard 2.3 The Crown Estate and metadata The Crown Estate s Marine Resource System (MaRS) currently has around 450 GIS data layers available for analysis and this number is expected to grow as new datasets become available. Having assessed the available standards that are widely used and relevant to the UK marine sector, MaRS has opted to implement the Marine Environmental Data Information Network (MEDIN) discovery standard for metadata v2.3.7 (see section 2.4) and has developed a bespoke taxonomy that enables a hierarchical approach to categorising data for internal management purposes. Guidance on the taxonomy can be provided if required. Implementing this standard has helped: track and ensure the best and most up-to-date data is made available; report and audit outputs from the system; understand the limitations and provenance of datasets, the currency of datasets and how appropriate a dataset is for a particular use. Page 21 of 43
22 Suppliers of data to The Crown Estate are encouraged to generate metadata which conforms to the MEDIN discovery metadata standard v2.3.7 that MaRS has implemented (see Annex C for technical guidance). This will help ensure maximum interoperability between data held and produced by The Crown Estate, and that all parties gain maximum benefit from the MaRS tools and more generally from improved data management. This metadata standard has also been implemented for Seriess and datasets in The Crown Estate s Marine Data Exchange and it is a mandatory requirement for providing data to The Crown Estate via this system. 2.4 MEDIN discovery metadata standard v2.3.7 MEDIN is a partnership of UK organisations committed to improving access to marine data and the latest version of the MEDIN discovery metadata standard was published 11 March The MEDIN standard conforms to the most up-to-date and relevant UK, EU and international standards and provides additional benefits such as marine thesaurus services to improve an organisation s ability to standardise keyword terms. A more detailed description of different metadata standards can be found in Annex A. Further information on MEDIN can be found at Guidelines for the creation of metadata to this standard can be found in Annex C. MEDIN Discovery Metadata requires the following set of minimum elements (M indicates a mandatory element, C indicates a conditional element) encoded in ISO (see appendices): Element Resource title (M) Resource abstract (M) Resource type (M) Resource locator (C) Unique resource identifier (M) Resource language (C) Description The title is used to provide a brief and precise description of the resource. The abstract should provide a clear and brief statement of the content of the resource. Identify the type of resource e.g. a dataset using the ISO controlled vocabulary e.g. dataset. Formerly named online resource. CONDITION: If the resource is available online you must provide a web address (URL) that links to the resource. MEDIN recommends the use of a code + a codespace e.g. Code: Code space: Describes the language(s) of any textual information contained within the resource. CONDITION: If the resource contains textual information. Page 22 of 43
23 Element Topic category (M) Keywords (M) Geographic bounding box (M) Spatial reference system (M) Temporal reference (M) Lineage (M) Spatial resolution (M) Limitations on public access (M) Conditions for access and use constraints (M) Responsible party (M) Frequency of update (M) Description This indicates the main theme(s) of the data resource using the ISO controlled vocabulary e.g. biota. The entry. Should consist of two sub-elements: the keywords and reference to the controlled vocabulary the keywords are taken from. INSPIRE requires at least one INSPIRE theme. Four sub-elements represent the geographical bounding box of the resource's extent. The co-ordinates of this bounding box should be expressed as decimal degrees longitude and latitude. A minimum of two and a maximum of four decimal places should be provided. Describes the system of spatial referencing (typically a coordinate reference system) used in the resource. This should be derived from the EPSG register of geodetic parameters ( It is recommended that all known temporal references of the resource are included. The temporal extent of the resource (e.g. the time period over which data were collected) and the date of publication (ie the date at which it was made publicly available) are mandatory, dates of creation and revision are optional. Lineage includes the background information, history of the sources of data used and can include data quality statements. Provides an indication of the spatial resolution of the data. The element has largely been derived for the mapping community and is currently poorly defined however MEDIN recommends providing the average distance (ie resolution) between sampling locations in metres. This element describes any restrictions imposed on the resource for security and other reasons using the controlled ISO vocabulary. This element describes any restrictions and legal restraints on using the data. Any known constraints such as fees should be identified. If no conditions apply, then no conditions apply should be recorded. MEDIN mandates that the roles of Originator and Custodian (data holder) and the role of Distributor should be entered if different to the Custodian. The Metadata point of contact is also mandatory. Other types of responsible party may be specified from the controlled vocabulary if desired. This describes the frequency that the resource (dataset) is modified or updated and should be included if known. Page 23 of 43
24 Element Conformity (C) Date of update of metadata (M) Metadata standard name (M) Metadata standard version (M) Metadata language (M) Description Please note that this element is under discussion with the authors of GEMINI2 and within the Location Programme metadata subgroup. It is currently felt that the MEDIN interpretation is INSPIRE compliant. Indicates whether a resource conforms to a product specification or other INSPIRE thematic specification. CONDITION: if wishing to create INSPIRE conformant metadata. The Crown Estate recommends this is completed. This describes the last date the metadata was updated on. If the metadata has not been updated it should give the date on which it was created. Identify the metadata standard used to create the metadata. It is recommended that the term MEDIN Discovery Metadata Standard is used to comply with this MEDIN standard. Identify the version of the metadata standard used to create the metadata. It is recommended that the term is used to comply with this MEDIN standard. Describes the language(s) elements of the metadata according to the ISO code list of languages e.g. eng for English. 2.5 The Crown Estate Report Metadata To gain the greatest possible benefits in searching that are provided by metadata, The Crown Estate has also chosen to implement a metadata standard for reports. This standard is based on the MEDIN standard and is comprised of the following elements, all of which are mandatory: Attribute name Description Type Title Name given to the report set. Free text Abstract Brief narrative summary of the report set. Free text Reference Date Topic Category Reference date for the data resource: Creation, Publication or Revision. Main theme(s) of the data resource. Topic Categories are specified on a list maintained by ISO. Date Controlled list Page 24 of 43
25 Attribute name Description Type Keyword Specific terms relating to the resource. Keywords are specified on a list maintained by MEDIN. Controlled list These metadata can be created via the Marine Data Exchange. 3 Introduction to the Annexes The appendices are intended to provide a more detailed description of the different available metadata standards, guidance to technical staff on how a consistent metadata standard might be implemented, and an overview of the benefits of adopting an internationally standardised technical encoding (ISO 19139). Annex A describes the development of metadata standards and justifies The Crown Estate s decision to adopt the MEDIN discovery metadata standard v2.3.7; Annex B provides a comparison between the different sets of minimum defining elements prescribed by the various standards discussed; Annex C describes options for authoring and transforming between different metadata standards; Annex D covers standard technical encodings of metadata and validation options. Page 25 of 43
26 Annex A The development of metadata standards A.1.1 Glossary and abbreviations AGI ANSI ANZLIC CSDGM DTD GEMET NAP NGDF UK UML XSD XSL XSLT Association of Geographic Information American National Standards Institute Australia and New Zealand Location Information Council Content Standard for Digital Geospatial Metadata Document Type Definition GEneral Multilingual Environmental Thesaurus North American Profile National Geospatial Digital Framework United Kingdom Unified Modelling Language XML Schema Definition/Document Extensible Stylesheet Language Extensible Stylesheet Language Transformations A.1.2 Metadata standards structure Metadata standards tend to be hierarchically layered in three component parts: The element definitions (schema definition), the technical encoding, and the minimum set of elements (profile). The table below gives a brief description and examples of the different component parts of metadata standards and how they fit together. Component Description Example Schema definition Describes, defines and establishes the relationships between different elements of metadata. A UML model schema that defines relationships between defined elements of metadata and provides a framework of how to populate metadata. Example: ISO UML model. Page 26 of 43
27 Technical encoding Profile Defines the technical encoding used to store and transfer metadata records. Prescribes the schema definition (and possibly the technical encoding) to be used to create metadata records along with specifying the obligation to populate particular schema definition elements. A set of XML schema files (e.g. XSD s) defining how to populate, store and transfer metadata. Example: ISO A unit (e.g. country or industry) specific set of rules defining how and what to author in metadata relating to that unit. Example: UK GEMINI v2. In addition to the technical structure of metadata, there is also a hierarchy for the use to which metadata is created for. In general terms there are 3 levels of resolution that metadata can be created for: discovery, evaluation and application/use. Discovery metadata defines the minimum set of elements required to enable a dataset to be effectively searched for. Evaluation metadata defines the same as discovery metadata plus additional information to enable the user to evaluate the dataset e.g. detailed information on the instrumentation and their calibration parameters used to collect wind data. Application/use metadata defines evaluation metadata plus additional information to enable to user to apply the data to a specific use. This might include information such as a UML model to define the potential relationships to other datasets. At the point of publication, there is no standard relevant to the UK that defines metadata beyond discovery. A.1.3 Introducing the options When deciding which geospatial metadata standard to adopt, The Crown Estate considered the different options that exist, their relative merits and constraints, the level of conformance with emerging data/metadata standards such as INSPIRE, the level of industry adoption and the ease of creation and validation. There are a number of metadata standards available for businesses to use. The most common have been identified and compared. A more detailed comparison of the set of minimum elements for these standards can be found in Annex B. Below are the metadata standards and profiles considered most relevant to the UK marine sector, that are discussed in this section. Where one standard is born out of another (e.g. the MEDIN discovery metadata standard is a child profile of UK GEMINI), it will conform to its parent standard by default. This is why it is advantageous to have an understanding of the provenance of different metadata standards. Page 27 of 43
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