Toolkit for policy makers on Open Science and Open Access
Open Science Policy Checklist
for Research Performing Organisations (RPOs)
Is your institution ready to adopt an Open Science Policy?
OpenAIRE has updated the following checklist to enable research performing organisations to assess their readiness in adopting an Open Science Policy. It covers main elements that should be taken into account in designing a policy that is aligned with the Horizon Europe requirements on open access and the key developments at EU level related to Open Science.
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The survey comprises 19 statements. For each statement, there are three possible answers (A, B, C). Responses under A indicate higher readiness, therefore the higher the number of A is recorded, the readier an institution is.
1. Policy
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My institution already has a policy on Open Science/ Open Access, endorsed by [Rector/other appropriate committee] and aligns with the Horizon Europe requirements.
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My institution is in the process of developing an Open Science/ Open Policy and has already endorsed the national open science policy developed in the territory where it is located, as well as related international declarations aiming to foster openness.
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My institution does not have an Open Science/ Open Access policy, nor has it endorsed related declarations.
2. Roles and Responsibilities
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The institutional policy specifies the roles, rights and responsibilities of each member/ unit/ department or other service within the institution with a role in the adoption and implementation of the policy.
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There is a rather vague description of the roles and responsibilities of each party involved in the implementation of the policy.
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There is no description of roles and responsibilities in the policy.
3. Open Science Activities
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My institution actively encourages the uptake of Open Science practices as early and widely as possible and across all stages of the research lifecycle such as the involvement in citizen science projects, the use of open peer review, the use of open educational resources etc., supports researchers through awareness raising and information activities and tracks their uptake.
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My institution encourages the uptake of Open Science practices, such as the involvement in citizen science projects, the use of open peer review, the use of open educational resources etc., but does not have a mechanism to monitor their uptake and such practices do not cover all stages of the research lifecycle.
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The policy makes reference only to open access to publications and research data.
4. Publications and Sharing
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The policy is aligned with the Horizon Europe requirements in defining the terms of providing open access to publications (mandatory deposit, locus of deposit, time of deposit and embargo periods (if any), recommended licenses and copyright etc.) for all types of research publications including but not limited to journal articles, conference papers, books, book chapters and reports, across all research disciplines.
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The policy defines the terms of providing open access to publications, but these are not aligned with the Horizon Europe requirements.
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There is no mandatory provision at my institution regarding open access to publications.
5. Open Data
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My institution has specific provisions (aligned with the Horizon Europe requirements) stipulating open data by default and the mandatory setup of Data Management Plans for all projects, establishing clearly defined reasons for opting-out and laying down provisions for archiving, sharing, long-term preservation etc.
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My institution has provisions on open data, but these are not aligned with the Horizon Europe requirements. No reference to the mandatory setup of Data Management Plans is made.
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There are no mandatory provisions on opening and sharing data in my institution.
6. Open outputs
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My institution has specific provisions (aligned with the Horizon Europe requirements) stipulating outputs such as workflows, protocols and software to be open by default, establishing clearly defined reasons for opting-out and laying down provisions for archiving, sharing, long-term preservation etc.
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My institution has provisions on open outputs (other than data and publications), but these are not aligned with the Horizon Europe requirements.
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There are no mandatory provisions on opening and sharing research outputs in my institution.
7. Infrastructure and Services
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My institution offers services to researchers allowing them to manage research outputs at different stages of the research cycle , which meet trusted quality standards (CoreTrustSeal, OpenAIRE compatibility, meeting FAIR principles, POSI principles) and allow for external auditing and community scrutiny.
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My institution has services, but these do not yet meet trusted quality standards.
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My institution provides ad hoc support to researchers in locating appropriate services of third parties without ensuring whether these third parties comply with FAIR and POSI principles.
8. Diversity and Inclusivity
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My institution offers inclusive services that support different disciplines and provide equal access to research outputs provided in a variety of languages.
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My institution encourages diversity in disciplines and languages, although it does not provide the necessary infrastructure to fully support this.
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My institution does not actively promote diversity in disciplines or languages.
9. Gender Equality
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My institution has a Gender Equality Plan (GEP).
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My institution is in the process of developing a Gender Equality Plan (GEP).
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My institution does not have a Gender Equality Plan (GEP) and has no current plans to develop one.
10. Open Research Information
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All research information my institution uses is openly accessible by default, and my institution offers infrastructure that enables open research information.
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My institution encourages openness in research information whenever possible, however it does not offer infrastructure of services enabling so.
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My institution does not support open research information.
11. Responsible Research Assessment
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My institution ensures that research assessment is unbiased, inclusive and evaluation is based on qualitative measures, societal impact, and diverse outputs rather than journal impact factors or simplistic metrics.
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My institution recognizes the importance of responsible research assessment and aims to incorporate qualitative and quantitative indicators, though journal-based metrics remain a key part of our evaluation process.
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Research assessment at my institution primarily relies on journal impact factors, citation counts, and other traditional metrics.
12. Rewards and Incentives
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Open Science constitutes a formal criterion in research assessment and evaluation procedures.
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My institution encourages the adoption of Open Science practices, yet these are not embedded as a formal criterion in research assessment and evaluation procedures.
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There is no mechanism for incentivizing or rewarding researchers engaged in Open Science practices.
13. Educational Programmes on data-intensive research
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My institution provides courses on data management and data-intensive research, as part of the curriculum and leading to the award of specific titles.
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My institution provides some training on data management and data-intensive research through ad hoc workshops and other trainings, yet these are not part of the curriculum and do not lead to the award of a specific title.
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There are no such courses offered in the institution.
14. Training
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My institution (university library in cooperation with other departments/units or other appropriate services) organizes on a regular basis training courses of different open science topics, including research ethics, legal issues related to open science, gender equality and the responsible use of AI in research, targeting researchers at different stages of their careers, library staff and other members of the institution and taking into consideration disciplinary differences.
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My institution provides open science training courses, yet not a regular basis and of limited scope.
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My institution does not provide any training courses on open science/ open access, yet provides guidance on training courses offered by OpenAIRE/OpenPlato, RDA and other related projects and/or networks.
15. Dissemination/ Awareness Raising
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My institution has developed materials to familiarize its members with Open Science, operates an information point/ webpage dedicated to Open Science.
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My institution provides limited information through its library service on general Open Science/ Open Access topics.
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There is no central information point operating at my institution.
16. Funding
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My institution has a clear estimation of the costs related to Open Science research and activities (developing and maintaining the infrastructure, APC costs, licensing agreement costs, training and awareness raising activities, etc.) and has secured appropriate funding.
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My institution receives ad hoc funding to support Open Science research and activities.
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There is no specific budget line for Open Science related activities.
17. Monitoring and Compliance
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My institution has a set up a mechanism for monitoring compliance of its members with the policy, including sanctions in the case of no compliance.
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My institution has a monitoring mechanism to accompany the policy, yet there are no actions foreseen in the case of no compliance.
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There is no monitoring mechanism foreseen in the institutional Open Science/ Open Access policy.
18. Revision and Updates
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My institution already has a specific time plan for updating its policy (specifying the time and the people, departments/units or other service involved).
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My institution is in the process of developing such plan.
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There is no provision in the policy for its review.
19. Machine-readability of Policy
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The policy is provided in a machine-readable format and can be accessed via API.
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The institution will shortly provide the policy in a machine-readable format.
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The policy is not provided in a machine-readable format.
Related books
- Implementing OA mandates in Europe, Birgit Schmidt and Kuchma Iryna
- Studies on subject-specific requirements for OA infrastructure, Meier zu Verl, Christian; Horstmann, Wolfram (eds.)
- Safe to be open. Study on the protection of research data and recommendationsfor access and usage. Guibault, Lucie; Wiebe, Andreas (eds.)
- Open Data Protection. Study on legal barriers to open data sharing - Data Protection and PSI, Wiebe, Andreas; Dietrich, Nils (eds.)
