Policy on Open Access to Publications
and Data in DIAS
Introduction
This policy aims at aligning the institutional policies of the Dublin Institute forAdvanced Studies (hereinafter DIAS) with the 2012 Recommendation of theEuropean Commission on access to and preservation of scientific information and its
2018 update, the Horizon 2020 Guidelines on the rules of open access toscientific publications and research data, and takes into consideration importantdevelopments at EU-level related to Open Science/ Open Access such as the 2016
European Council Conclusions on the transition towards an Open Science system,
the “Plan S” and “cOAlition S”, the developments of the European Open Science
Cloud (EOSC) and the action lines of the European Open Science Policy
Platform.
It draws heavily on the UNESCO Open Access policy development guidelines,

the MedOANet guidelines for Open Access, PASTEUR4OA Toolkit and Policy
Guidelines, the RECODE project policy recommendations for Open Access policies
to research data, the LEARN project Model Research Data Management Policy, thepolicy working group of the EOSC Pilot project, and the SPARC Europe reporton Open Data and Open Science policies in Europe.

1. Preamble
1. DIAS has always been committed to the advancement of science as a public
good, and to the widest possible dissemination of knowledge for the benefit ofsociety. It thus strongly supports the promotion of more open, reproducible andresponsible research practices.
2. DIAS recognizes “openness” as one of its guiding principles and commits topromoting it by, inter alia, encouraging and supporting research processes andtools that encourage collaboration, enabling new working models and new social
relationships, stimulating the dissemination of knowledge and the accessibility andre-usability of research outputs, encouraging open access to publications and dataand building the necessary infrastructure to support open science.

2. Jurisdiction andEffect of Policy
The Policy applies to all researchers active at DIAS. In cases where research isfunded by a third party, any agreement with that party concerning access rights,
deposit and storage takes precedence over this Policy.

1The Policy has been approved by the Administration and Finance committee ofthe Council of DIAS and takes effect from [31/08/2020]
3. Rights, Responsibilities, and Duties
3.1 DIAS is responsible for:1. Supporting and empowering the transition to Open Access/ Open Science througheducation, training and awareness-raising actions targeting researchers and otheremployees, along with the provision of the necessary infrastructure and funding tosupport this transition. Acquisition of Open Science skills should form an integral
part of professional training and career development offered to researchers.
2. Maintaining its Institutional Open Access Repository DAIR https://dair.dias.ie/
according to international standards, containing digital content and providing advanced tools for search, navigation and Open Access to its content.
3. Promoting the use of unique permanent digital identifiers (DOIs, ORCID etc) byDIAS researchers.
4. Developing and providing mechanisms and services for the storage, safekeeping,registration, deposition and distribution of data and other records as well as theirlong-term preservation and providing appropriate guidance to researchers.
5. Embedding Open Science practices in recruitment, research assessment andevaluation criteria beyond the provision of open access to publications and data,
e.g. participation in citizen science projects, experimentation with open peer review or the use of Open Educational Resources (OER).
6. Monitoring policy compliance and compliance of the DAIR repository and other research infrastructures with certification requirements in relation to FAIR data principles and EOSC technical specifications.
7. Having appropriate IPR and data protection policies.
3.2 Researchers are responsible for:
1. Managing publications, data and educational resources in adherence with theprinciples and requirements expressed in this Policy.
2. Registering new research projects at the proposal stage with the Registrar’s office

to ensure that they can be provided with the necessary institutional support.
3. Ensuring that the principles governing the handling of data (in adherence with thepresent Policy and funders’ mandates) are included in a Data Management Plan(DMP). DMPs should include a sustainability plan as well as contact details.
4. Compiling a DMP for every major research activity they are coordinating.
5. Documenting the IPR status of their research where appropriate.
6. Choosing the appropriate time and type of licensing for their research.
4. Open Access to Publications
DIAS:
1. Requires researchers to deposit in its institutional repository DAIR, as well as inany other suitable infrastructure (e.g. arXiv) a machine-readable electronic copy ofthe full text (published article or final peer-reviewed manuscript), as well as the related metadata before, at the same time or after publication. Researchers are held
responsible for the timely deposit of their publications in the institutional repository. This step also applies in the case of open access publishing (“Gold OpenAccess”).

22. In the case of “Green Open Access”, requires the full text of all publications referred to in 1 to be made available under a standard open licence within at most 6
months (or 12 for publications in the social sciences and humanities).
3. Requires the metadata of the publication to be made openly accessible in thecase of ‘closed’ publications with the aim of increasing their visibility.
4. For purposes of individual or institutional evaluation of the research output of theinstitution and its members, will only consider as publications those whose metadata and full texts are deposited in the institutional repository according to the requirements stated above.
5. Reminds its members that the Council of DIAS has ownership of copyright inworks produced as a result of research in DIAS, and to licence to publishers only
those rights necessary for publication. This is possible through the use of addenda
to the publishing contract. Templates are available at https://sparcopen.org/wpcontent/uploads/2016/01/Access-Reuse_Addendum.pdf

6. Encourages researchers to deposit in the institutional repository publications authored prior to the date of effect of the current policy and make them openly accessible whenever possible.
5. Open Access to Research Data
DIAS
1. Requires researchers to deposit the data needed to validate the results presented
in scientific publications in a suitable repository. Data should be provided with persistent identifiers.
2. Requires that data and services are handled according to open and FAIR principles (i.e. Findable, Accessible, Interoperable and Re-usable). Data should also be
traceable and whenever possible available for subsequent use.
3. Follows the principle “as open as possible as closed as necessary”. If data cannot
be open due to legal, privacy or other concerns (for example sensitive data or personal data) this should be clearly explained. Metadata ensuring that data are findable should be provided in all instances.
4. Encourages the adoption of the EOSC requirements for monitoring of open science resources.
5. Requires researchers to submit a DMP for every major research activity they areinvolved in.
6. Requires researchers to define post-project usage rights through the assignmentof appropriate licenses.
7. Requires that data are stored for a period as defined by the respective communities.
8. The minimum archive duration for research data is 10 years after the assignmentof a persistent identifier. In the event that these records need to be deleted or destroyed after the expiration of the required archived duration or for legal and ethical reasons, such actions need to consider all legal and ethical perspectives.
6. Open Science
1. DIAS actively encourages the uptake of Open Science practices (beyond openaccess to publications and data) such as the involvement in citizen science projects,
the use of open peer review, the use of open educational resources, the release ofdata and content under open and standard open licenses, etc., and tracks theiruptake.

3

7. Infrastructure
1. DIAS will seek to ensure that its data infrastructures meet trusted qualitystandards (OpenAIRE compatible, meeting FAIR principles) and are linked withEOSC.
2. DIAS will seek to ensure that DAIR is registered in appropriate registries and isinteroperable through the OpenAIRE Metadata Schema for Repositories.
8. Research Assessment and Evaluation
DIAS commits to:
1. Developing in cooperation with funding agencies, government departments andother appropriate units a framework for research assessment and evaluation thatincentivises research quality and Open Science behaviours and practices following
European developments on the topic and the work of the European Open Science
Policy Platform. Such systems should take into consideration disciplinary differences
and their impact on researchers at different career stages.
2. Setting up reward mechanisms for researchers using Open Science practices (e.g.
sharing provisional results through open platforms, using open software and othertools, participation in open collaborative projects (citizen science) etc.)
9. Training
1. DIAS commits to the provision of training courses to facilitate the adoption of openscience. Such training courses should include the skills necessary for open accesspublishing, open data management, and research integrity. In providing such training
synergies with Research funders and other stakeholders will be sought.
10. Validity of the Policy
This policy will be reviewed and updated by the Council of DIAS every five years, oras necessary.

___________

August 2020

*The text derives from the model policy for research performing organisations published by Openaire under the creative commons attribution 4.0 international licence
https://zenodo.org/record/2579629#.X3MgwC0ZOmkv

4

ANNEX: Definitions· Gold Open Access: the process of achieving open access through publication inan open access journal (open access publishing).
· Green Open Access: the process of providing open access through an open access repository (also known as “self-archiving”).
· Machine-readable copy of a publication is a publication in a format can be used
an understood by a computer.
· Metadata are the descriptors used for describing, tracing, use and managementof the deposited item (indicatively: title of publication, author(s), institutional affiliation, name of journal where the publication has been accepted).
· Open Educational Resources (OER) according to the OECD are “teaching,learning and research materials that make use of tools like open licenses that permit their free reuse, continuous improvement and repurposing by others for educational purposes”.]· Open Peer Review is defined as a scholarly review mechanism were both theidentities of the reviewer and the author are known to one another during the review and publication process.
· Publication is defined as the peer-reviewed published (or under publication) workof researchers based in the institution.
· Research Data is the data (such as statistics, results of experiments, measurements, observations, interview recordings, images, etc.) used to validate the results presented in scientific publications or other data used during a project anddescribed in the Data Management Plan.
· Research is defined as any creative and systematically performed work with thegoal of furthering knowledge.
· Researcher is defined as any member of the research staff of DIAS, of all levels
and irrespective of their employment status including employees and doctoral students· Suitable Repository is one that meets quality standards like FAIR Principles,OpenAIRE compatibility, CoreTrust Seal.

5