Vanessa André

Virginie Durier

Severine Henry

Fouad Nassur

Jacques Sizun

Martine Hausberger

Alban Lemasson
email: alban.lemasson@univ-rennes1.fr

Séverine Henry

The vocal repertoire of preterm infants: Characteristics and possible applications

Keywords: Conceptualization, Methodology, Investigation, Formal analysis, Writing; Conceptualization, Methodology, Formal analysis, Writing, Project administration, Funding acquisition prematurity, newborns, vocalisations, comfort, discomfort 2

published or not. The documents may come

Introduction

Young infants experience language, start uttering articulated sounds around 7 months old [START_REF] Oller | The emergence of the sounds of speech in infancy[END_REF] and produce their first words around 8-12 months [START_REF] Bates | Children's language and communication: The Minnesota Symposium on Child Psychology[END_REF]. However, infants vocalise long before [START_REF] Scheiner | Acoustic analyses of developmental changes and emotional expression in the preverbal vocalizations of infants[END_REF]. During their first months they produce so-called cries, laughs, squeals, moans and growls (Young and Decarie, 1974;[START_REF] Laufer | Fundamental frequency characteristics of infant nondistress vocalization during the first twenty-four weeks[END_REF][START_REF] Koopmans-Van Beinum | Early stages in the development of speech movements[END_REF]. In fact, infants pay attention to adults' vocal stimulations [START_REF] Stevenson | The beginning of conversation: Early patterns of mother-infant vocal responsiveness[END_REF]) and appear to be communicating with their caregivers who react to these vocalisations [START_REF] Zeskind | Pitch of infant crying and caregiver responses in a natural setting[END_REF][START_REF] Dessureau | A reassessment of the role of pitch and duration in adults' responses to infant crying[END_REF]. Parents and infants engage in vocal interactions respecting turn-taking rules [START_REF] Stevenson | The beginning of conversation: Early patterns of mother-infant vocal responsiveness[END_REF][START_REF] Ginsburg | Emergence of vocal alternation in mother-infant interchanges[END_REF][START_REF] Reissland | Turn-taking in early vocal interaction: a comparison of premature and term infants' vocal interaction with their mothers[END_REF], as early as 32 weeks post conception in preterm infants [START_REF] Caskey | Adult talk in the NICU with preterm infants and developmental outcomes[END_REF]. However, little is known about very young infants' vocalisations. Although newborns vocalise spontaneously [START_REF] Michelsson | Crying in separated and non-separated newborns: sound spectrographic analysis[END_REF] by producing acoustic structures shaped by prenatal experience with their native language [START_REF] Mampe | Newborns' cry melody is shaped by their native language[END_REF], few studies describe the diversity of sounds emitted during the first days/weeks of life. Most acoustic studies of young infants focused on crying during painful or uncomfortable procedures [START_REF] Owens | Pain in infancy: neonatal reaction to a heel lance[END_REF][START_REF] Gaspardo | Is pain relief equally efficacious and free of side effects with repeated doses of oral sucrose in preterm neonates?[END_REF][START_REF] Gustafsson | Fathers are just as good as mothers at recognizing the cries of their baby[END_REF][START_REF] Kelly | Adult human perception of distress in the cries of bonobo, chimpanzee, and human infants[END_REF][START_REF] Koutseff | The acoustic space of pain: cries as indicators of distress recovering dynamics in pre-verbal infants[END_REF].

These vocalisations are intense strident productions, with a high pitch and abrupt frequency modulation [START_REF] Porter | Neonatal pain cries: effect of circumcision on acoustic features and perceived urgency[END_REF][START_REF] Hadjistavropoulos | Judging pain in newborns: facial and cry determinants[END_REF][START_REF] Branco | The newborn pain cry: Descriptive acoustic spectrographic analysis[END_REF].

Newborns' cries can encode the level of arousal, becoming more strident as the pain increases [START_REF] Hadjistavropoulos | Judging pain in newborns: facial and cry determinants[END_REF][START_REF] Bellieni | Cry features reflect pain intensity in term newborns: an alarm threshold[END_REF] or more aperiodic in distress contexts [START_REF] Koutseff | The acoustic space of pain: cries as indicators of distress recovering dynamics in pre-verbal infants[END_REF].

Studies of older infants suggest a possible acoustic encoding of the emotional valence of their internal state. Distress vocalisations (pain, hunger or fussing cries) of two to six-month-A u t h o r ' s p o s t -p r i n t old infants display a higher frequency than "non-cry" vocalisations [START_REF] Fuller | Differences in fundamental frequency, jitter, and shimmer among four types of infant vocalizations[END_REF] and can be distinguished by ear [START_REF] Brennan | Classification of infant cries using descriptive scales[END_REF]. A few studies of severalmonths old infants confirmed that different types of vocalisations are associated with positive (e.g. laughs or squeals) and negative (e.g. cries or wails) emotions (Young and Decarie, 1974;[START_REF] Kent | Acoustic features of infant vocalic utterances at 3, 6, and 9 months[END_REF][START_REF] Scheiner | Acoustic analyses of developmental changes and emotional expression in the preverbal vocalizations of infants[END_REF]. One study of full-term infants a few hours after birth highlighted acoustic differences during invasive (intramuscular injection) or noninvasive (touching, rubbing) procedures, the former being associated with longer and higherpitched sounds [START_REF] Grunau | Neonatal facial and cry responses to invasive and non-invasive procedures[END_REF]. Further studies of infants' vocalisations are needed to understand their spontaneous vocal expression of various internal states better.

Animal bioacoustics' studies show a link between a caller's internal state, its physical impact on the muscles and the acoustic structures, with possible parallels with humans [START_REF] Scherer | Primate vocal expression of affective state[END_REF][START_REF] Briefer | Vocal expression of emotions in mammals: mechanisms of production and evidence[END_REF]. The "Motivation-Structural rules hypothesis" predicts that low-pitched and atonal vocalisations are produced when being hostile, while callers produce high-pitched and tonal sounds when frightened or appeasing while approaching in a friendly manner [START_REF] Morton | On the occurrence and significance of motivation-structural rules in some bird and mammal sounds[END_REF]. Indeed, the acoustic patterns (i.e. repetitive structures, abrupt frequency modulations, very high pitch) of sounds typically associated with alarm or distress have a direct (unpleasant and attention-getting) effect on receivers [START_REF] Rendall | What do animal signals mean?[END_REF]. Both emotional valence and arousal intensity can be encoded acoustically.

For example, mammals associate increase of arousal with increases of mean fundamental frequency, energy spectrum and number of repeated units (Briefer et al. 2015a[START_REF] Lemasson | Cross-taxa similarities in affect-induced changes of vocal behavior and voice in arboreal monkeys[END_REF]and 2015), whereas call duration and fundamental frequency variations may code for emotional valence (Briefer et al., 2015a and[START_REF] Briefer | Emotions in goats: mapping physiological, behavioural and vocal profiles[END_REF]. Call rates and vocal sequence length also increase following stress [START_REF] Marx | Vocalisation in chicks (Gallus gallus dom.) during stepwise social isolation[END_REF][START_REF] Cooper | Vocalizations as measures of pain in monkeys[END_REF][START_REF] Lemasson | Speed of call delivery is related to context and caller identity in Campbell's monkey males[END_REF][START_REF] Briefer | Vocal expression of emotions in mammals: mechanisms of production and evidence[END_REF].

A u t h o r ' s p o s t -p r i n t

With the recent increase of premature births, improving preterm infants' well-being and identifying visible and reliable welfare indicators has become a major societal challenge.

Vocalisations are interesting candidates [START_REF] Van Beek | Development of communicative behaviors in preterm infants: The effects of birthweight status and gestational age[END_REF] and understanding their "meaning" is essential. Indeed, even though preterms can have difficulties expressing discomfort with body movements [START_REF] Craig | Neonatal pain perception and behavioral measurement[END_REF][START_REF] Gibbins | Pain behaviours in extremely low gestational age infants[END_REF], they vocalise frequently [START_REF] Van Beek | Development of communicative behaviors in preterm infants: The effects of birthweight status and gestational age[END_REF][START_REF] Gaspardo | Is pain relief equally efficacious and free of side effects with repeated doses of oral sucrose in preterm neonates?[END_REF], even before their expected term age [START_REF] Caskey | Importance of parent talk on the development of preterm infant vocalizations[END_REF]. This study focused on preterm infants' vocal productions in non-painful resting contexts. We aimed to establish possible relationships between vocal rate and acoustic structures related to their internal state. First, we established the vocal repertoire of preterm infants based on vocal recordings and evaluated its relevance via acoustic measurements and the analysis of associated behavioural expressions. Second, we tested the reliability of vocalisations as indicators of an infant's emotional state by focusing on their rate of emission in relation to clothing constraints and background noises, contexts known to impact infants' comfort [START_REF] Darcy | A descriptive study of noise in the neonatal intensive care unit ambient levels and perceptions of contributing factors[END_REF][START_REF] Lasky | Noise and light exposures for extremely low birth weight newborns during their stay in the neonatal intensive care unit[END_REF][START_REF] Durier | Unexpected behavioural consequences of preterm newborns' clothing[END_REF]. We hypothesised that physical constraints would trigger an increase of acoustic structures supposedly associated with discomfort, and that human-related noises would stimulate infants' vocal production (attempts to communicate, social facilitation).

Methods

Protocols, approved by the Brest and Rennes Regional and University Hospital Centre ethical committees, followed the Helsinki declaration. Neonates were included after their parents' informed consent had been received with ensured anonymity.

Participants

A u t h o r ' s p o s t -p r i n t [START_REF] Westrup | Newborn Individualized Developmental Care and Assessment Program (NIDCAP)-family-centered developmentally supportive care[END_REF].

Procedure

The infants were filmed, between two feeding periods, with an infrared camcorder (Sony HDR-XR200) connected to a microphone (Dell® Latitude-D600, Sample rate 44100Hz). Ten minutes of the video recording of each subject were analysed. These periods were chosen randomly under the condition that they included different stages of the Prechtl's scale (1974), that is moments when asleep (eyes closed, calm or small movements) and awake (eyes open, agitated or not).

Analyses of behaviours and vocalisations

All the infants' behaviours (Table 1) were scored every second using 1/0-sampling [START_REF] Altmann | Observational study of behavior: sampling methods[END_REF]. To test the reliability of our scoring, we asked a second rater to blindly resample 420 scores (i.e. 4 babies, one score every 30s) using the same repertoire and obtained an inter-rater agreement of 92% (Cohen's Kappa = 0.86). Each vocalisation was extracted from the videos using VLC software for subsequent analysis with ANA® software [START_REF] Richard | Sound analysis and synthesis using an Amiga micro-computer[END_REF]resampling 11kHz /16bit). In parallel, all the occurrences of environmental A u t h o r ' s p o s t -p r i n t

noises were scored and categorised as human (talking, laughs, coughs...) or material (scope beep, closing a door, object falling…) noises.

The vocalisations were classified based on audio-visual inspections of spectrograms (as in animal bioacoustics: [START_REF] Mccowan | Vocal learning in captive bottlenose dolphins: a comparison with humans and nonhuman animals[END_REF][START_REF] Datta | Dolphin whistle classification for determining group identities[END_REF][START_REF] Lemasson | Acoustic variability and social significance of calls in female Campbell's monkeys (Cercopithecus campbelli campbelli)[END_REF]. Acoustic measurements were done for all tonal vocalisations (Fig. 1).

We noted whether a vocalisation was emitted alone or as part of a sequence (series of vocalisations separated from one another by silent breaks ≤ 1s, Fig. 2).

Statistical analyses

To confirm that the vocal types identified audio-visually had an acoustic validity, a principal component analysis (PCA) was run on the acoustical data (log transformed). The coordinates on the first two axes were then extracted for use in a mixed linear model (with individual identity as random factor to account for the unbalanced subjects' contributions).

Then, after checking the residual plots, a Manova and its subsequent Anova compared the different vocal types applying Bonferroni correction.

In order to assess the potential association of vocal types with the infants' internal state, we performed a first exploratory factorial component analysis (FCA) with all vocalisations and associated behaviours. It revealed a link between vocal types and particular behaviours,

i.e. body tension or facial expressions. We ran a final FCA concentrating on these behaviours.

Post-hoc tests were used to further confirm the results. The acoustic parameters of all 635 tonal vocalisations (22 -133 per infant) were measured (Table 2). A PCA analysis, extracting 60.31% of the inertia on axis 1 and 23.75% on axis 2, was computed on these parameters and confirmed the acoustic distinctiveness of the five pre-identified tonal vocal types (Fig. 4a,b). Fundamental frequencies and duration explained most of the distribution along axis 1 and axis 2 respectively (Fig. 4c): the first axis A u t h o r ' s p o s t -p r i n t opposed TLL, TLM and TLS to THL and THS, and the second axis opposed TLL, TLM and THL to TLS and THS.

Each vocal type was emitted by 86% (+/-22) of the infants and all infants emitted isolated vocalisations and vocal sequences (

Towards acoustic indicators of comfort and discomfort?

The FCA run with the most relevant behaviours (body tensions and facial expressions, of our sampled facial expressions had a negative valence [START_REF] Young | An ethology-based catalogue of facial/vocal behaviors in infancy[END_REF][START_REF] Steiner | Human facial expressions in response to taste and smell stimulation[END_REF][START_REF] Ganchrow | Neonatal facial expressions in response to different qualities and intensities of gustatory stimuli[END_REF]), it appears that the tenser the infants, the more they used long and low-pitched vocalisations.

A u t h o r ' s p o s t -p r i n t

Characteristics of vocalisations in relation to practical situations

Infants with clothing constraints (CC), known to be in a relatively uncomfortable situation [START_REF] Durier | Unexpected behavioural consequences of preterm newborns' clothing[END_REF] 6). Conversely, infants with no clothing constraints emitted higher proportions of atonal short (AS) vocalisations (Z=2.239, P=0.019; Fig. 6). Thus, the more the infants felt uncomfortable, the more they emitted long vocalisations, notably atonal and low-pitched ones.

The higher the number of human noises, the more the infants produced isolated vocalizations (Spearman correlation test, P=0.036, R=0.665, Fig. 7a), whereas the exact opposite was observed for material noises (P=0.058, R=-0.616). They also emitted less vocal sequences when the number of material noises was high (P=0.047; R=-0.638) (but not for human noises: P=0.080, R=0.578) (Fig. 7b). The types of vocalizations produced also differed according to the types of surrounding background noises. There were more atonal vocalisations overall (P=0.002, R=-0.842), and particularly more atonal short (AS, P=0.002, R=-0.845), but also tonal high-pitched short (THS) vocalisations (P=0.028, R=-0.689) produced when material noises were rare. No other vocal type appeared affected.

A u t h o r ' s p o s t -p r i n t

Discussion

To our knowledge, this is the first description of young preterm infant vocalisations emitted before the age of 38 weeks post-conception, in a calm (resting) context. Infants Our study underlines the rich vocal production of preterm infants, composed of subtle differences between vocal types that are more complex than the well-described distress cries [START_REF] Porter | Neonatal pain cries: effect of circumcision on acoustic features and perceived urgency[END_REF][START_REF] Hadjistavropoulos | Judging pain in newborns: facial and cry determinants[END_REF][START_REF] Branco | The newborn pain cry: Descriptive acoustic spectrographic analysis[END_REF]. Although gradation does exist, we identified stereotyped vocal types shared by several infants (independent of sex and time). Thus, long before they babble [START_REF] Oller | The emergence of the sounds of speech in infancy[END_REF], preterm infants are able to vocalise flexibly [START_REF] Michelsson | Crying in separated and non-separated newborns: sound spectrographic analysis[END_REF][START_REF] Caskey | Importance of parent talk on the development of preterm infant vocalizations[END_REF]. The first non-verbal vocalisations could be premises of vocalisations later called "cries" (TLL/TLM), "squeals" (THS/THL), "moans" (TLS) or "growls" (IL / IS) that were reported to appear during the first 2 months (Young and Decarie, 1974;[START_REF] Laufer | Fundamental frequency characteristics of infant nondistress vocalization during the first twenty-four weeks[END_REF][START_REF] Koopmans-Van Beinum | Early stages in the development of speech movements[END_REF]. Further acoustic comparisons are required to secure this conclusion. Our study A u t h o r ' s p o s t -p r i n t

confirms [START_REF] Caskey | Importance of parent talk on the development of preterm infant vocalizations[END_REF]'s report documenting that preterm infants begin to emit primitive vocalisations before their expected term age.

As predicted, the acoustic structure of these preterm infants' vocalisations could be associated with either positive or negative emotions experienced by callers. Shinya et al.

(2014) showed that differences in cries' fundamental frequency of young preterm infants were not caused by body size but rather by neurophysiological states. Our findings support studies that described different types of vocalisations of several-month-old infants associating "squeals" with an overall positive valence and "cries" with a more negative valence (Young and Decarie, 1974;[START_REF] Kent | Acoustic features of infant vocalic utterances at 3, 6, and 9 months[END_REF][START_REF] Scheiner | Acoustic analyses of developmental changes and emotional expression in the preverbal vocalizations of infants[END_REF]. The importance of sound duration was confirmed when the production of atonal sounds of infants with and without clothing constraints was compared, as the former emitted longer and the latter shorter atonal sounds. All in all, these findings converge with earlier findings on the acoustic encoding of emotions by humans and animals: (1) low-pitched vocalisations would be associated with "hostile" or chronic discomfort contexts, and slightly higher frequencies emitted by calm and relaxed individuals [START_REF] Morton | On the occurrence and significance of motivation-structural rules in some bird and mammal sounds[END_REF][START_REF] Scherer | Primate vocal expression of affective state[END_REF][START_REF] Portfors | Types and functions of ultrasonic vocalizations in laboratory rats and mice[END_REF][START_REF] Taylor | Context-Related Variation in the Vocal Growling Behaviour of the Domestic Dog (Canis familiaris)[END_REF], and (2) sound duration would increase with arousal intensity [START_REF] Lemasson | Cross-taxa similarities in affect-induced changes of vocal behavior and voice in arboreal monkeys[END_REF]).

However, these relationships are not linear as very high-pitched sounds for example are typical of intense acute distress or discomfort (Sébe et al., 2012). More general recording contexts should now be explored to evaluate in more depth the relative importance of tonal versus atonal, high-versus low-pitched and long versus short structures for coding emotional valence and arousal intensity by infants.

Beyond the acoustical structures, we found that vocal rate varied with context and could be another indicator of internal state. Indeed, clothing constraints increased vocal production, particularly of vocal sequences, indicating a high level of arousal, often associated with negative emotional states [START_REF] Cooper | Vocalizations as measures of pain in monkeys[END_REF][START_REF] Lemasson | Speed of call delivery is related to context and caller identity in Campbell's monkey males[END_REF][START_REF] Briefer | Vocal expression of emotions in mammals: mechanisms of production and evidence[END_REF].

A u t h o r ' s p o s t -p r i n t

Moreover, perception of human noises increased infants' vocal production whereas material noises inhibited it. We argue that infants vocalised in an interactive way when their social environment was appropriate. A previous study underlined that the more adults talked, the more infants vocalised in response [START_REF] Caskey | Importance of parent talk on the development of preterm infant vocalizations[END_REF]. Here, the infants produced more single calls when hearing human sounds, which may leave time for a response (a first step towards turn-taking interactions). Besides, the infants may have identified that when hearing human voices, a potential help/comfort source was present, and thus increased their vocalisations, whereas material noises may have been associated with potential impending disagreeable care, inducing a decline of vocal production and particularly of their positive valence vocal production.

We acknowledge that our sample size is limited (10 infants, 10 min each) and that more infants, maternity types and recording contexts are needed to be allowed to make more definitive conclusions. However, our results confirm that infants' vocalisations can be reliable indicators of their internal state and therefore highlight the fact that carers need to pay more attention to the vocal expression of newborns.

A labelled "THLX", "THSX", "TLLX", "TLMX", "TLSX" with "X" the number of the subject, accordingly; and c) contribution coefficient of each parameter on each axis (See Figure 3 and Table 2 for definitions of vocal code names and acoustic parameters). Post-hoc Anova using the PCA coordinates confirmed the acoustic differences between these vocal types. Indeed, there was a gradient in the fundamental frequencies from the highest in THS and THL, intermediate values for TLS, to the lowest in TLM and TLL (P>0.05: THS-THL & TLM-TLL, P=007: TLS-TLL, P=0.01: TLS-TLM, P<0.01: all other comparisons). Concerning sound duration, we found a gradient, TLL was longer than TLM and THL (not different from each other, P>0.05), that in turn were longer than TLS, again longer than THS (P<0.001 for all significant differences).

A u t h o r ' s p o s t -p r i n t 1 for definitions of vocal and behavioural code names). Arrows indicate the direction of the effect of the behaviours.

A u h o r ' s p o s t -p r i n t A u t h o r ' s p o s t -p r i n t

Fig.

  Fig.5a,b) yielded a total inertia of 64.75 % for the first two axes. Axes 1 and 2 (respectively

  produced a broad range of vocalisations falling into nine vocal types distinguishable acoustically and non-randomly associated with behaviours. High-pitched sounds were associated with less facial movements and relaxed postures and thus appeared to have a positive valence. In contrast, long low-pitched vocalisations were associated with tensed arms and facial expressions associated with discomfort and therefore appeared to have a more negative valence. These vocalisations could be useful indicators of infants' internal state in practical situations: their number, their pattern of emission (isolated versus sequence) and the vocal types produced varied according to the presence of constraints imposed by clothing as well as the type of background noises. Constraining clothes were associated with higher rates of vocal sequences and long low-pitched vocalisations. Also, whereas human-associated noises triggered an increase of vocal production, material noises inhibited vocal production.

FiguresFig. 1 .

 1 Figures

Fig. 2 .

 2 Fig. 2. Frequency distribution of inter-vocalisation pause durations.

Fig. 5

 5 Fig. 5. a) Factorial Component Analysis (FCA) run with vocal type, facial expression and arm

Fig. 6 .

 6 Fig. 6. Vocal production (percentage of each vocal type, in proportion) in relation to clothing

Fig. 7

 7 Fig. 7. a) Isolated vocalisations in relation to human noises. b) Vocal sequences in relation to

Table 3

 3

	). No effects of sex (Mann-Whitney test,

Table 1 . Behavioural repertoire, associated codes and definitions (these categories are defined following Young and Decarie, 1974; Sarnat, 1978; Gauthaman et al., 1984; Morison et al., 2003; Durier et al., 2015). Eyes posture Behavioral repertoire Facial expression Right hand Left hand Lips Eyes Nose Face Feet Movement and General activity Left arm Posture and Body tension Eyes Head Arms Hands Right arm

 1

		Code	Definition
	Presence	LipsFE	Smile, pout, opened, stretched or tight lips
	Absence	LipsFO	Relaxed lips
	Presence	EyesFE	Frown or squint
	Absence	EyesFO	Relaxed eyes
	Presence	NoseFE	Frown or moving
	Absence	NoseFO	Relaxed nose
	Presence FacialExp	At least one of the item of the face showing an expression (lips, eyes or
	Absence	FacialO	nose) Any item of the face showing an expression
	Opened OpenedEyes	Eyes opened more than the half of the eyelid
	Semi	SemiEyes	Eyes opened less than the half of the eyelid
	Closed ClosedEyes	Eyes totally closed
	Tension RHTension	Tensed fingers
	Tight	RHTight	Clenched fist
	Opened RHOpened	Opened fingers without tension
	Closed	RHClosed	Fist
	Semi	RHSemi	At least one finger, but not all, opened or closed
	Tension LHTension	Tensed fingers
	Tight	LHTight	Clenched fist
	Opened LHOpened	Opened fingers without tension
	Closed	LHClosed	Fist
	Semi	LHSemi	At least one finger, but not all, opened or closed
	Tension RATension	Arm-forearm angle greater than 90°N
	o tension	RATension O	Arm-forearm angle less than 90°F
	ar	RAFar	Rigth hand localised below chest level
	Near	RANear	Rigth hand localised above chest level
	Tension LATension	Arm-forearm angle greater than 90°N
	o tension	LATension O	Arm-forearm angle less than 90°F
	ar	LAFar	Left hand localised below chest level
	Near	LANear	Left hand localised above chest level
	Presence	EyesM	Eyes moving
	Absence	EyesO	Eyes immobile
	Presence	HeadM	Head moving
	Absence	HeadO	Head immobile
	Presence	ArmsM	Arms moving
	Absence	ArmsO	Arms immobile
	Presence	HandsM	Hands moving
	Absence	HandsO	Hands immobile
	Presence	FeetM	Feet moving
	Absence	FeetO	Feet immobile

A u t h o r ' s p o s t -p r i n t

Table 2 .

 2 Acoustic characteristics of tonal vocal types (mean +/-s.d.): frequency (F0Start: fundamental frequency at the beginning; F0End: fundamental frequency at the end; Fmax: dominant frequency) and

	TLS
	TLL TLM	p o s t -p r i n t
	THL THS A u t h o r ' s
		Duration. N=1447
		26

Table 3 . Vocal production of our 10 subjects (NB1 to NB10): number of vocalisations per type, number of isolated vocalisations, number of vocal sequences and number of vocalisations emitted within a sequence. See Figure. 3 for definition of vocal type codes.

 3

Acknowledgments

We warmly thank the babies and their parents who accepted to participate in this study, as well as the NICU staff for their help. We also thank Ann Cloarec for helping with the writing in English and Nicolas Dollion, Basile Griois and Emmanuelle Martin for their implication in data collecting and processing. This project emerged after discussions among members of the research network GIS ''Cerveau-Comportement-Societé''.

Financial support was provided by the CNRS, the University of Rennes 1 and the University hospital centre of Morvan at Brest.


Shelley Stall
email: sstall@agu.org

Transnational, Interdisciplinary and Transdisciplinary Data Use in Environmental Change Project Building New Tools for Data Sharing and Reuse through a Transnational Investigation of the Socioeconomic Impacts of Protected Areas (PARSEC) June 2020 PARSEC -Data and Digital Output Management Plan and Workbook Table of Contents PARSEC -Data and Digital Output Management Plan and Workbook 4

The Principal Investigators (PI) for each of the PARSEC strands are

Introduction

This Data and Digital Output Management Plan and Workbook (DDOMP) are used by the PARSEC team to establish the policies the team will follow, document the operational procedures necessary to comply with those policies, and the planned activities necessary to manage PARSEC data, software, and other digital outputs. This is a working document. This document describes activities necessary during the PARSEC research lifecycle as well as those necessary to preserve all digital outputs for use into the future. It is the intent of the PARSEC team to make our digital outputs as open as possible, discoverable, accessible, welldocumented to promote the broadest reuse. These elements are both recommended and required by the Belmont Forum Open Data Policy and Principles1 and the FAIR Guiding Principles2.

The Belmont Forum Open Data Policy and Principles state that:

Datasets should be:

• Discoverable through catalogues and search engines

• Accessible as open data by default, and made available with minimum time delay • Understandable in a way that allows researchers-including those outside the discipline of origin-to use them • Manageable and protected from loss for future use in sustainable, trustworthy repositories

The FAIR Guiding Principles state that data should be Findable, Accessible, Interoperable, and Reusable.

Introduction PARSEC Team Members Roles

PARSEC -Operational Procedures for selecting datasets for preservation.

PARSEC -Operational Procedures for protecting digital objects during the life of the project.

PARSEC -Operational Procedures for ensuring quality of digital objects during the life of the project and prior to preservation.

PARSEC -Operational Procedures for ensuring data security, privacy, and intellectual property restrictions associated with datasets and digital outputs are honored and preserved in derivative products.

PARSEC -Operational Procedures for assigning usage licences to data and digital outputs.

PARSEC -Operational Procedures for preparing supporting documentation (i.e., metadata) for data and digital outputs that supports public access, discovery, and long-term reuse. Responsibility following the end of the project for data and digital objects created by the team is entrusted to the selected preservation repositories. Selected repositories have indicated a commitment to maintaining the preserved objects and their persistent identifiers in support of the scientific record.

PARSEC -Operational

All PARSEC team members are responsible to have and manage an ORCID profile that links to their digital products. This promotes credit and automated attribution.

PARSEC -Operational Procedures for selecting datasets for preservation.

Belmont Forum Rubric Reference: 1.1 Datasets and other digital objects of long-term value are identified, including data type and encoding, 1.2 How the data and other digital objects will be collected, captured, or created.

A fundamental principle of the PARSEC project is to promote data reuse by NOT creating any new earth observation data. All raw data needed for our work already exists and includes household survey datasets and satellite imagery. Datasets significant to our research are logged in our Dataset Tracking tool as well as any processed or derived dataset.

As an overview, PARSEC is using existing raw data that includes satellite imagery available at various resolutions, time-series, and costs from instruments associated with our country partners: US, Brazil, France, and Japan. To perform ground truth analysis with our models we are using local household surveys for towns and villages associated with our selected sites. Much of this data is available in both detailed and aggregated forms. For the detailed data we must submit formal requests and comply with the terms of use, and necessary protections for this sensitive information.

PARSEC output data will include global gridded socio-economic information and socioeconomic dynamics specific to our study sites.

Our primary data and digital products planned for preservation include:

• Cleaned observation records and measurements • Aggregated datasets subjected to quality control protocols, used for machine-learning and artificial intelligence models. This includes the provenance of what data was used to develop the aggregated dataset. • Documentation of the quality control protocols used • Algorithms developed to prepare data (cleaning scripts) and perform analyses • Software supporting machine learning and artificial intelligence models • Results of our analysis • Training and workshop material Dataset Preservation: If a dataset is used for analysis, it is to be preserved and made available prior to the end of the project or if more time is needed then before the final report is submitted to the Belmont Forum. We track this in the table where all datasets are logged. For any papers written during the PARSEC project, datasets used to support that research must be preserved and available at the time of publication.

Software Preservation: All software developed is to be preserved at each major release.

Training and workshop materials: All materials are to be preserved on or near the time of the workshop.

PARSEC -Operational Procedures for protecting digital objects during the life of the project.

Belmont Forum Rubric Reference: 4.1 Describe security measures for the data and other digital outputs to prevent unauthorized access with specific examples.

The PARSEC project has selected a number of tools to use during the project. We have elements of our project that we want to keep confidential during the development, but other objectives that benefit from a very broad community, much larger than our team, supporting review and feedback. The PARSEC Data Strand provides support and expertise for the data management needs of the entire team.

For material development and temporary storage: Google Drive

We have organized the content allowing different permissions for leadership, team members, and other sub-groups. Security measures: minimum protocols are in place. Links to the materials are easy to share across the team, partners, and other stakeholders.

For team communications and information dissemination: Email, Slack, Zotero Security measures: minimum protocols are in place. The email list for the project is managed by the leadership. The Slack channel is available only to project members, partners, and other invited stakeholders. PARSEC's group in Zotero is open to those interested in the references gathered.

For dataset storage during the project: Université de Montpellier/CINES, Amazon Web Services (AWS), Open Science Framework (OSF)

We are currently working through the best way to integrate these platforms and apply the terms of use for the datasets we plan to use. Each of these platforms supports access/controls for our team members to protect the project space. Montpellier's repository supports protections necessary for sensitive data. The team will have access to AWS in June 2020. OSF can integrate with AWS, GitHub, Google Drive, and other platforms.

Security measures:

The EDI repository ensures stable access via servers hosted on the campus of the University of New Mexico (UNM) and connected via UNM's Science DMZ research network, DOE Energy Sciences Network (ESNet) and the Western Regional Network. EDI's data storage capacity is currently at 30TB (expandable), with an equivalent mirror storage for near-time backups. EDI also uses the AWS Glacier storage as a long-term "cold data" archive.

EDI's authentication procedures use organizational LDAP systems (Lightweight Directory Access Protocol), with mapping to 3rd-party identity service providers (Google, GitHub and ORCID), using the OAuth/OpenID Connect protocols. EDI metadata employs Ecological Metadata Language (EML), which includes access rules at the data package and data entity levels to support embargo when necessary. EDI advocates for open and unfettered access, but does not forbid providers from declaring more restrictive licensing agreements for use of their data packages. If providers do not include a statement of Intellectual Rights in EDI adds a default declaration based on the Creative Commons CC0 "No Rights Reserved" waiver. Details are posted: https://environmentaldatainitiative.org/edi-data-policy-2/ For software development: GitHub GitHub allows a team of software developers to work together with version control, collaboration, and easy access. During the project the team site will be kept private. At the end of the project or if referenced in a paper, the site will be made open. The PARSEC GitHub repository is located at https://github.com/PARSECworld. Security measures: GitHub is GDPR compliant and adheres to the Privacy Shield Framework, certified January 26, 2017. More information on GitHub security can be found here: https://github.com/security/trust For software preservation: Zenodo (using integrated link with GitHub) Zenodo is a well known general repository that has specialized in software preservation through their partnership with GitHub. PARSEC -Operational Procedures for ensuring quality of digital objects during the life of the project and prior to preservation.

Belmont Forum Rubric Reference: none.

The PARSEC project is developing a set of processes to ensure that the quality of datasets generated by the team through aggregation or analysis meets all the quality requirements and are consistent across the country teams. We plan to report on these processes in future reports.

Processes to ensure Quality and consistency will include:

1. Methods for handling missing data 2. Methods for handling data at different granularities. 3. Methods for handling data using different time series. 4. Use of file naming standards. 5. Completion and accuracy of metadata. 6. Use of standard vocabularies. 7. Adequate capture of changes made to digital objects to maintain transparency. 8. Tracking of those involved to ensure an accurate list of creators/authors with their ORCIDs. 9. Correct levels of access/controls for sensitive/restricted data. 10. Compliance with all elements defined in the DDOMP.

PARSEC -Operational Procedures for ensuring data security, privacy, and intellectual property restrictions associated with datasets and digital outputs are honored and preserved in derivative products.

Belmont Forum Rubric Reference: 7.1 Describe intellectual property rights to the data and other digital outputs.

All PARSEC team members have signed a Code of Conduct document, as mentioned previously, that along with expectations on data and digital output management, also includes the following statements about how intellectual property rights will be handled:

Investigators will adhere to the appropriate standards for reporting the results of their scientific activities including respecting the intellectual property rights of others consistent with the European Code of Conduct for Research Integrity (2011) downloadable from: http://www.esf.org/coordinating-research/mo-fora/research-integrity.html.

Derived data and digital outputs generated during PARSEC activity will be documented and released at the time of publication where possible into the public domain in compliance with Belmont Forum requirements. Policies for broad access and sharing, including provisions for appropriate protection of privacy, confidentiality, security, intellectual property, or other rights or requirements, metadata description, intended repositories, and so on will be clearly described in the Project's Data and Digital Outputs Management Plan

The Belmont Forum claims no intellectual property rights (including copyright) in any reports or data produced by the funded party except for summary reports on grant outcomes required by the Belmont Foundation or other bodies to whom the Belmont Foundation is required to provide reports.

Signed PARSEC Code of Conduct forms from all team members are kept on file and available for review.

PARSEC -Operational Procedures for assigning usage licences to data and digital outputs.

Belmont Forum Rubric Reference: 7.2 Describe licensing of data and other digital outputs.

PARSEC digital outputs are to be as open as possible and closed as necessary. PARSEC team members will follow these steps to ensure reuse of datasets and other digital objects or for created digital objects.

Existing Datasets or Digital Objects:

PARSEC -Data and Digital Output Management Plan and Workbook 10

Step 1 -determine the terms of use and licensing of datasets (of digital objects) being used by the team. Determine if there are additional country or regional laws that must be considered, or indigenous sovereignty governance required of the data.

PARSEC team members will:

• Give credit to the dataset authors • Be responsible with the data • Share what is learned • Respect the dataset license or waiver • Understand and follow any restrictions or regulations

Step 2 -determine how those existing requirements should be inherited to aggregated/qualitycontrolled datasets that result in derived data products. Derived data products (to which the project has added intellectual content) will cite the original source(s) in the metadata.

PARSEC Created Datasets/Digital Objects:

Step 1 -determine if any requirement must be followed. Otherwise, the dataset is as open as possible with the ability to create derived data products. Creative Commons CC BY 4.0 is the default for the project, but CC0 for US government agencies as required.

Step 2 -confirm that the selected repository supports the desired access/controls. Note: CC0 is a waiver and allows any type of usage of the object is assigned. This includes access, mining, redistribution & reuse. CC BY 4.0 applies internationally and requires all derivative works to acknowledge all contributors to all works from which they are derived. Digital objects can be accessed, mined, redistributed, and reused as long as attribution is indicated.

How to License Research Data: http://www.dcc.ac.uk/resources/how-guides/license-researchdata PARSEC -Operational Procedures for preparing supporting documentation (i.e., metadata) for data and digital outputs that supports public access, discovery, and long-term reuse.

Belmont Forum Rubric Reference: 8 Describe supporting documentation and metadata that will be created to make data and digital outputs publicly accessible, discoverable, and reusable.

PARSEC will follow the community standards for each product type.

For data and supporting products preserved in the Environment Data Initiative repository, each data package will include metadata in the Ecological Metadata Language (EML, https://eml.ecoinformatics.org/).

For software preserved in Zenodo we will use the Force11 recommendation of CodeMeta, with support from the online tool to generate CodeMeta Files.

For training and workshop material preserved in Zenodo we will use metadata criteria defined in the Data Management Training Clearing House: https://dmtclearinghouse.esipfed.org. We will also register the materials in the clearinghouse.

For any digital product not included above we will use metadata criteria defined by the selected repository, specifically Zenodo, enhanced as needed depending on product type.

All digital products, no matter the repository, will include the following core metadata:

Provided by submitter:

• Creator/Author(s) (with given name, family name, ORCID, and affiliation)

• Title • Resource Type (e.g. paper, pre-print, dataset, software, etc.)

• Contributors (with given name, family name, ORCID and affiliation) To enable automated attribution and credit, ORCIDs for authors will be included with all products preserved in repositories.

PARSEC -Operational Procedures for selection of a digital object Preservation Repository

Belmont Forum Rubric Reference: 2.3 Name of the Repository; 5.1 Repository T&C and/or sustainability plan / cost, 5.

Entity responsible for managing long-term accessibility

The PARSEC team used the following guidelines when selecting repositories for our digital output preservation. f. Support peer-review of related manuscripts by enabling access to the research outputs prior to publication. g. Gain third-party validation of trustworthy and sustainable practices and capabilities. 3. Dataset or file size limits can support PARSEC requirements. 4. Costs for preservation during the project are within the PARSEC budget a. PARSEC country members have accounted for data management in their budgets. Each country-lead monitors their budget and usage. 5. Access and controls necessary to protect sensitive data. 6. Indicates in the terms of use (or similar) their commitment to long-term preservation and persistence of the digital objects in their care as part of the scientific record. 7. For domain repositories, has a third-party certification of services such as CoreTrustSeal (for domain repositories only) or are a World Data System Regular Member compliant with their Data Sharing Principles. 8. Uses English as a primary language, or has an English version that allows for searching, and other discovery activity in English. [Note: Journals prefer that preserved datasets to be in a repository that supports the English language.] 9. Working towards compliance with the TRUST Principles for digital repositories3. 10. Complies will all PARSEC funder requirements PARSEC Funder Repository Requirements -Reference Information: São Paulo Research Foundation, FAPESP (São Paulo, Brazil): This workbook follows the FAPESP guidelines that recommends to deposit in repositories where the data will be maintained and preserved according to the standards of each scientific domain, under the ethical and security constraints defined by the project and its associated domains. FAPESP has been working since 2017 in the open research data repositories that will be considered as soon as available (http://www.fapesp.br/openscience/en).

Desirable Repository

Japan Science and Technology Agency, JST (Japan) -This workbook is aligned with Implementation Guidelines: JST Policy on Open Access to Research Publications and Research Data Management. Here it is indicated that "It is preferable that research data be made openly available by depositing them in an existing public database or common disciplinary repositories established by academic societies to facilitate reuse of research results. If there is no appropriate public database, institutional repositories could also be used. In some cases, the academic journals to which research publications are submitted suggest designated repositories to deposit data."

PARSEC -Sensitive or Restricted Data Operational Procedures

Belmont Forum Rubric Reference: 6.1 -Describe how sensitive data and other digital outputs are made available beyond the project team, 6.2 -Describe any limitations on the ability to share data and other digital outputs.

PARSEC is using socio-economic data sourced from primarily global operations such as WHO World Health Survey with more precise data available (if needed) from the Demographic and Health Surveys (DHS), carried out by ORC Macro for the United States Agency for International Development (USAID) and the Living Standards Measurement Study (LSMS) surveys, conducted with technical assistance from the World Bank. Depending on the selection of protected area sites, we likely will need additional surveys. These datasets include details about communities that are defined as sensitive.

To date, only one dataset has been requested from the WHO. The data access agreement is listed in Appendix 1. All elements defined will be complied with by the PARSEC team. Those elements specific to this DDOMP are in bold.

For data that does not have a specified data access agreement or terms of use: Before sharing data, PARSEC team members practice includes:

• Understanding the Belmont Forum's policies on data sharing, and any additional institution or country requirements. • Only share data that has been aggregated and can no longer be used to identify individuals.

Before using existing datasets previously created, PARSEC team members practice includes:

• Giving credit in publications, presentations, and other materials • Respecting the assigned license • Protecting the datasets appropriately PARSEC may be using data associated with indigenous peoples. Should that occur, the team will consult the CARE Principles for Indigenous Data Governance. At the time of this report there is not implementation guidance, but we do expect that to be developed during the time of this project. 2. Copies of the restricted data or any data created on the basis of the original data will not be copied or made available to anyone other than those mentioned in this Data Access Agreement, unless formally authorized by the Data Archive.

3. The data will only be processed for the stated statistical and research purpose. They will be used for solely for reporting of aggregated information, and not for investigation of specific individuals or organizations. Data will not in any way be used for any administrative, proprietary or law enforcement purposes.

4. The Lead Researcher must state if it is their intention to match the restricted microdata with any other micro-dataset. If any matching is to take place, details must be provided of the datasets to be matched and of the reasons for the matching. Any datasets created as a result of matching will be considered to be restricted and must comply with the terms of this Data Access Agreement.

5. The Lead Researcher undertakes that no attempt will be made to identify any individual person, family, business, enterprise or organization. If such a unique disclosure is made inadvertently, no use will be made of the identity of any person or establishment discovered and full details will be reported to the Data Archive. The identification will not be revealed to any other person not included in the Data Access Agreement.

6. The Lead Researcher will implement security measures to prevent unauthorized access to licensed microdata acquired from the Data Archive. The microdata must be destroyed upon the completion of this research, unless the Data Archive obtains satisfactory guarantee that the data can be secured and provides written authorization to the Receiving Organization to retain them. Destruction of the microdata will be confirmed in writing by the Lead Researcher to the Data Archive.

7. Any books, articles, conference papers, theses, dissertations, reports, or other publications that employ data obtained from the Data Archive will cite the source of data in accordance with the citation requirement provided with the dataset.

8. An electronic copy of all reports and publications based on the requested data will be sent to the Data Archive.

9. The original collector of the data, the Data Archive, and the relevant funding agencies bear no responsibility for use of the data or for interpretations or inferences based upon such uses.

  Security measures CINES: Le C.I.N.E.S. (Centre Informatique National de l'Enseignement Supérieur) is a national public institution, based in Montpellier (France) and placed under the Ministry of Higher Education, Research and Innovation (MESRI). The C.I.N.E.S. has three national strategic missions: Supercomputing, Long-term preservation and Hosting computer platforms nationwide. Details on security can be found here: https://www.cines.fr/en/long-termpreservation/expertises/quality/security/ Security measures AWS: AWS provides robust security measures for project teams. The full set of best practices can be found here: https://aws.amazon.com/blogs/security/tag/bestpractices/ Security measures OSF: Each member of PARSEC must have an OSF login in order to manage access/controls. The project space can be kept private or public. Project files are backed up each night. More information here: https://help.osf.io/hc/enus/articles/360019930993-FAQs-Security For dataset and supporting object preservation (except for software and training/workshop materials: Environmental Data Initiative The Environmental Data Initiative (EDI, independently funded by the U.S. National Science Foundation) is a partner on the PARSEC project, and a preferred domain repository. EDI promotes and enables curation and re-use of environmental data for large ecosystem-level research projects including the U.S. Long Term Ecological Research Program (LTER) and many field stations, individual laboratories and synthesis research projects. The EDI repository fully supports metadata and data immutability and strong versioning for auditing and reproducibility. Each dataset version receives a Digital Object Identifier (DOI), registered and resolved through DataCite. EDI is working toward CoreTrustSeal certification, and collaborates with other data professionals to operationalize FAIR principles. EDI is a signatory of the Enabling FAIR Data Commitment Statement.

Security measures :

 measures Our digital objects preserved in Zenodo are open and licensed CC BY 4.0. More information here: https://about.zenodo.org/policies/ For training and workshop materials preservation: Zenodo, PARSEC Community Security measures: Our digital objects preserved in Zenodo are open and licensed CC BY 4.0.More information here: https://about.zenodo.org/policies/ For credit and automated attribution: PARSEC team members will have active and up-to-date ORCID profiles that allow for automated updates from Crossref and DataCite.

  The digital object must have the most open license possible. Creative Commons CC BY 4.0 or CC0 Software: the license PARSEC will use is: GNU GPLv3 which allows others to do almost anything they want with the software, except distributing closed source versions. Training and Workshop Materials: the license used is Creative Commons CC BY 4.0.

Appendix 1 -

 1 WHO Multi-Country Studies Data Archive, Data Access Agreement for the dataset "France -World Health Survey 2003" 1. Access to the restricted data will be limited to the Lead Researcher and other members of the research team listed in this request.

http://www.belmontforum.org/about/open-data-policy-and-principles/

https://www.nature.com/articles/sdata201618.

Lin, D., Crabtree, J., Dillo, I. et al. The TRUST Principles for digital repositories. SciData 7, 144 (2020). https://doi.org/10.1038/s41597-020-0486-7

http://www.fapesp.br/openscience/en Agence Nationale de la Recherche, ANR (France): This workbook aligns with ANR's Open Science Policy. In it they reference "Practical Guide to the International Alignment of Research Data Management" which has an extensive list of guidance for selecting trustworthy repositories (pp. 26-30).

National Science Foundation, NSF (US) -The NSF currently does not have guidance for selecting repositories. In NSF 19-069, Dear Colleague Letter: Effective Practices for Data they indicated the importance of data having persistent identifiers. This workbook supports that best practice.

responsible for the development, implementation, oversight, and maintenance of the Data and Digital Output Management Plan and Workbook. The type of outputs are different for each strand. This collaboration allows for all types of digital objects to be addressed.

PARSEC Data Sets (to include Data Types, Transition to Preservation Repository, etc.)

Belmont Forum Rubric Reference: 1.1 -Types of data and other digital outputs of longterm value, 1.3 -How much data is anticipated, 2.1 -Metadata standards or formats for the data and other digital objects, 2.2 -When data and other digital outputs will be made available outside and within the project team, 2.3 -How data and other digital outputs will be made available beyond the project team, 6.2 -Limitations on the ability to share data and other digital outputs, 7.2 -licensing of the data and other digital outputs Datasets developed by the PARSEC project to include the date of identification, name, metadata standard used, available formats, name of repository, date of initial submission.

PARSEC Dataset Tracking Tool

https://docs.google.com/spreadsheets/d/1XQuGBRJKrgoZsxim9SKzj8cv0P-6tQOOpuxrLzGdEmY/edit?usp=sharing PARSEC Software (to include Models, Workflow, etc.)

Belmont Forum Rubric Reference: 1.1 -Types of data and other digital outputs of longterm value, 1.3 -How much data is anticipated, 2.1 -Metadata standards or formats for the data and other digital objects, 2.2 -When data and other digital outputs will be made available outside and within the project team, 2.3 -How data and other digital outputs will be made available beyond the project team, 6.2 -Limitations on the ability to share data and other digital outputs, 7.2 -licensing of the data and other digital outputs Software developed by the PARSEC project to include the date of identification, name, description, metadata standard used (CodeMeta), language, name of repository, date of initial submission.

PARSEC

-Metadata standards or formats for the data and other digital objects, 2.2 -When data and other digital outputs will be made available outside and within the project team, 2.3 -How data and other digital outputs will be made available beyond the project team, 6.2 -Limitations on the ability to share data and other digital outputs, 7.2 -licensing of the data and other digital outputs

Other Digital Objects developed by the PARSEC project that includes the date of identification, name, metadata standard used, available formats, name of repository, date of initial submission. These objects include posters, presentations, training materials, and workshop materials organized by event where they were presented. https://docs.google.com/spreadsheets/d/1dH-uvcim-kIC590HKJOLNNHOL8UaRTmhY7iGLBVL5Bw/edit?usp=sharing PARSEC -Operational Procedures for determining costs associated with long-term data management.

Belmont Forum Rubric Reference: 9 Describe costs or estimated costs associated with long-term data management or an assigned data manager.

Cost Description:

Acquiring External Data Sources: For the PARSEC project this primarily includes satellite images. The PARSEC team members are providing the above data management services as in-kind contributions except for the following items:

• Fees for satellite imagery -the team from France is managing this budget item.

• Access to AWS -the team from Brazil has allotted $11,000 USD per year to support the PARSEC team. This access starts in June 2020.