Renewing DataCite's Commitment to the Principles of Open Scholarly Infrastructure

Since its founding in 2009, DataCite has operated on a guiding vision of being a community-governed organization focused on providing foundational open scholarly infrastructure that enables research and knowledge to be discovered, connected, and reused. While we continue to evolve and adapt alongside ongoing changes in the research community and infrastructure landscape, the core principles of our guiding mission and vision continue to drive and shape our work. 

When the Principles of Open Scholarly Infrastructure (POSI), first written in 2015, were codified in 2020, we published a self-assessment shortly thereafter in 2021 outlining our adherence and commitment to these principles. In line with the principles, DataCite recognizes governance, sustainability, and long-term stewardship as core responsibilities required to ensure continuity, resilience, and trust in open scholarly infrastructure. In light of the recently released update to the principles in October 2025 (version 2.0), we are publishing a revised self-assessment that outlines the current status of our adherence to these principles, addresses new elements in the latest version, and reaffirms our commitment to the POSI framework.

While there is no standard process for conducting a POSI self-assessment, some infrastructures have chosen to adopt a "traffic light" evaluation framework to indicate degrees of alignment with the principles. DataCite has also used this rubric, defining it as follows:

• Green: The principle is fully met and evidenced in practice
• Yellow: The principle is partially met, with active steps underway to achieve full alignment
• Red: The principle is not currently met, or compliance is not feasible (this is not currently the case for DataCite's 2021 or 2026 assessments)

We note that a "green" result does not mean that our work in this area is perfect or completed, and a "yellow" or "red" result likewise may not indicate total lack of alignment. However, we believe that the evaluation framework is helpful in delineating where we feel particularly strong and confident about our level of alignment, and where we see opportunities for future exploration and efforts. In cases where a new component was added to the revised version of POSI, and therefore not applicable for the 2021 assessment, we use a gray indicator.

Governance

Coverage across the scholarly enterprise – research transcends disciplines, geography, institutions, and stakeholders. Organisations and the infrastructure they run need to reflect this.

As a global organization, DataCite represents a member community of more than 1700 organizations from over 60 countries. We sustain open scholarly infrastructure for the benefit of all stakeholders throughout the research lifecycle and support over 30 different resource types and resources (from datasets and preprints to awards and samples). Our efforts are focused on building a connected ecosystem, and we actively support connectivity with other research infrastructures. At the core, we focus on providing useful contextual metadata as the connectivity tissue and foundational layer of the scholarly record, ultimately connecting research in support of advancing knowledge.

Stakeholder governed – a board-governed organisation drawn from the stakeholder community builds confidence that the organisation will make decisions driven by community consensus and a balance of interests.

DataCite is a membership association for research organizations around the world and operates according to statutes developed, ratified, and approved by its member organizations. DataCite is governed by a Board of Directors that represents member organizations and is elected by the membership. Member organizations and the Board of Directors have governance oversight responsibilities on DataCite's finances and strategic directions. 

DataCite also builds trust and accountability with a broader network of stakeholders beyond its membership by providing opportunities for public input and engagement via community groups, open community meetings and other events, and product feature requests and discussions on GitHub.

Non-discriminatory participation or membership – we see the best option to be an "opt-in" approach with principles of non-discrimination and inclusivity, where any relevant group may express an interest and should be welcome. Representation in governance must reflect the character of the community or membership.

DataCite membership is open to any organization that meets baseline criteria for membership as established by DataCite statutes and governing bodies. We aim to minimize barriers to participation in the DataCite member community through an accessible and flexible fee structure and membership model. The Executive Board is composed of representatives from DataCite member organizations and is elected to represent the diverse needs of the member community.

Transparent governance – to foster trust, the processes and policies for governing the organisation and selecting representatives to governance groups should be transparent (within the constraints of privacy laws).

DataCite upholds transparent governance by clearly documenting and sharing its statutes, governance structures, and decision-making processes with the global community. The General Assembly serves as the association’s primary governance body, where members approve revenue and expenditures, elect or confirm the Executive Board, guide organizational strategy, submit resolutions, and amend the statutes. Transparent governance processes are supported through published Annual Reports and public Board meeting summaries. Members also engage through Steering and Working Groups, each operating under defined Terms of Reference, with membership open to the community. In addition, members and stakeholders are regularly invited to provide feedback throughout the year, ensuring inclusive participation, accountability, and informed decision-making across the association.

Cannot lobby – infrastructure organisations should not lobby for regulatory change to cement their own positions or narrow self-interest. However, an infrastructure organisation's role is to support its community, and this can include advocating for policy changes.

DataCite does not lobby nor does DataCite include regulatory change as part of its remit. DataCite's core purpose is to ensure that research outputs and resources are openly available and connected so that their reuse can advance knowledge across and between disciplines, now and in the future.

Living will – to build trust, organisations should establish and communicate clear commitments regarding their long-term stewardship responsibilities, including the principles by which assets, data, resources, services, and staff would be responsibly transferred to a successor or the organisation or service wound down. The commitments should address future governance, with defined criteria for acceptable successor organisations. This should include continued alignment with POSI and any legal or structural constraints.

As a nonprofit organization, DataCite is governed by statutes approved by its members and Executive Board. These statutes define procedures to be followed in the event of dissolution and provide a framework for responsible wind-down and asset handling, reflecting the legal and structural constraints associated with DataCite's organizational form.

DataCite recognizes that stewardship responsibilities extend beyond dissolution to include any future transfer of assets, data, services, or governance, whether planned or unplanned. DataCite is committed to ensuring that any successor organization or service would continue to uphold the Principles of Open Scholarly Infrastructure, including open governance, open access to metadata, and community stewardship.

To support continuity and replicability, DataCite makes its data file available under a CC0 public domain dedication and publishes its software under a permissive open-source MIT License. DataCite further recognizes the importance of preserving core assets in trusted environments and is committed to ensuring appropriate arrangements for long-term preservation and archiving in the context of organizational transition. We are continuing to ensure that our efforts in this area are as robust as possible.

Regular review of purpose and community value – Organisations and services should regularly review their relevance, effectiveness, and the level of community support to determine whether their continued operation is necessary. If no longer needed, they should take responsible steps to transition or wind down operations in consultation with the community and in alignment with their living will.

DataCite regularly reviews its mission, relevance, and effectiveness through its governance structures, including the General Assembly and strategic planning processes. This is done annually through the Business Meeting of the General Assembly and at the end of each multi-year strategy (usually four years). These mechanisms support ongoing assessment of community needs and ensure that DataCite's activities continue to serve the global research community. Where change is required, DataCite is committed to acting responsibly and transparently in consultation with its members, while sharing advance notice of changes to the open scholarly infrastructure services.

Sustainability

Transparent operations – to enable organisational accountability and openness, the operating policies and procedures, detailed financials, sustainability models, fees, strategic and product roadmaps, organisational charts, and other appropriate operational information should be made openly available (within the constraints of privacy laws). Information should be available for investigation and reuse by the community.

DataCite supports transparent operations by proactively publishing key organizational and operational information for its members and the wider community. Governance operations are documented in the statutes, and Board meeting minutes and the Annual Report are publicly available on the website. Regular communication is provided through the monthly newsletter, while meetings and events are documented on the blog to ensure broad access and visibility. 

Operational transparency also extends to service and product development. Product updates and opportunities for feedback are shared via GitHub and the website, and core code repositories are openly available on GitHub. 

Through these practices, DataCite ensures its operations remain transparent, accountable, and aligned with the needs of the global research community, while respecting applicable legal, contractual, and privacy obligations.

Time-limited funds are used only for time-limited activities – operations should be supported by sustainable revenue sources, whereas time-limited funds are used only for time-limited activities. Depending on grants to fund ongoing and/or long-term operations fully makes organisations fragile and distracts from maintaining core infrastructure.

DataCite supports its day-to-day operations through a sustainable membership and service fee model, ensuring that core infrastructure activities are not dependent on short-term or project-based funding. This approach enables DataCite to focus on maintaining and developing stable, reliable services for the global research community.

Where DataCite participates in externally funded projects or collaborations, these activities are scoped, time-limited, and resourced accordingly. Grant or project funding is used to support specific initiatives or innovations and does not replace sustainable funding for core operations. Through this approach, DataCite seeks to balance innovation with long-term operational stability.

Goal to generate surplus – it is not enough to merely survive; organisations and services have to be able to adapt and change. Organisations and services that define long-term sustainability based only on recovering costs risk becoming brittle and stagnant. To weather economic, social and technological volatility, organisations and services need financial resources beyond immediate operating costs.

DataCite operates on a membership and service-based revenue model designed to support sustainable operations. While responsible cost recovery remains an important foundation, DataCite recognizes that long-term resilience requires the capacity to generate a modest surplus over time.

Any surplus generated supports the continued operation, improvement, and long-term stability of DataCite's services and infrastructure. DataCite operates under German non-profit law, which generally requires funds to be used within two years of being received, but § 62 AO allows the organization to legally set aside reserves when needed, for example, to ensure financial stability, manage risk, or invest in future priorities rather than being required to spend all income immediately. Oversight of financial performance and the use of funds is provided through DataCite's governance structures, ensuring that financial decisions remain aligned with the organization's mission and the needs of its community.

Establish and maintain financial reserves guided by policy – organisations and services should have a clear policy on maintaining financial reserves, including the purpose, minimum and maximum level, and governance of these funds. The actual level of reserves should be determined and periodically reviewed by the governing body, ensuring that resources are available to support Living Will implementation, including an orderly wind-down, transition to a successor, or response to major unforeseen events. A financial reserve policy might include how funds will be held, under what circumstances they will be used, and how much would be necessary for an adequate wind-down or transfer of assets, given the complexity of the organisation's infrastructure.

DataCite maintains financial reserves in accordance with applicable legal and statutory requirements and under the oversight of its governing bodies. The establishment, purpose, and use of reserves are guided by governance processes and are subject to approval through established decision-making mechanisms, ensuring that reserve funds are managed responsibly and in alignment with the organization's mission.

DataCite recognizes the importance of maintaining financial reserves to support long-term resilience, continuity of services, and the ability to respond to unexpected events. Financial reserves are intended to support organizational stability and, if ever required, the responsible implementation of an orderly transition or wind-down.

Because DataCite operates under German non-profit law, which requires the timely use of funds, financial reserves must be established gradually and within the limits permitted under § 62 AO. As a result, meeting this principle requires building reserves over time rather than holding large reserves immediately. Within this legal framework, DataCite continues to responsibly build free reserves and other permissible reserves to strengthen long-term financial resilience and align with the intent of this principle.

The level, purpose, and governance of financial reserves are periodically reviewed through DataCite's governance structures to ensure that they remain appropriate to the organization's operational complexity, risk profile, and stewardship responsibilities.

Mission-consistent revenue generation – revenue sources should be evaluated against the infrastructure's mission and not run counter to the aims of the organisation or service.

DataCite generates revenue through membership fees, open infrastructure service fees, and participation in mission-aligned funded projects. DataCite operates on a cost-recovery basis to ensure long-term sustainability of core services. All revenue-generating activities are designed to support and strengthen DataCite's mission as a community-governed infrastructure provider for research organizations globally. 

DataCite's governance bodies have oversight of the organization's financial operations and ensure continued alignment with DataCite's mission, values, and community expectations.

Revenue generated from services, not data – data related to the running of the scholarly infrastructure should be community property. Appropriate revenue sources might include value-added services, consulting, API Service Level Agreements, or membership fees.

DataCite treats metadata and identifier information as a public good. The DataCite data file, metadata, and APIs are openly available under a CC0 public domain dedication. Access to core data is neither restricted nor monetised, and no part of the service model is based on charging for access to data. Instead, revenue is generated through a membership model and the provision of services, ensuring financial sustainability while fully preserving openness and community access.

Volunteer labour – organisations that rely on volunteers and their labour should recognise this as a valuable resource for the organisation's long-term viability, and factor it into sustainability planning and risk management.

DataCite's core operations are carried out by paid staff, ensuring that the continuity and reliability of its services do not depend on volunteer labour. Community participation through working groups, advisory activities, and engagement forums is recognized as a valuable contribution to the organization, but does not replace essential operational roles or introduce structural dependency. This approach supports organizational stability while continuing to benefit from community input and collaboration in shaping DataCite's services and strategic direction.

Transition planning – organisations that are heavily dependent on a limited number of individuals should take steps to reduce their dependence on these individuals, including via transition and succession planning, so that the organisation is not at risk of collapse in the event of their departure.

DataCite recognizes transition and succession planning as a core element of sustainability and risk management. Clear governance processes are in place for Board member and Executive leadership transitions, helping ensure continuity and stability. Institutional knowledge is supported through comprehensive internal documentation, and technical resilience is strengthened by committing code to shared repositories rather than relying on individuals. Together, these measures reduce dependency on single roles and help ensure that DataCite's services and organizational functions remain resilient, stable, and capable of long-term operation.

Insurance

Open source – all software and non-physical assets required to run the infrastructure should be available under an open-source licence. This does not include other software that may be involved with running the organisation.

DataCite publishes its software openly under a permissive open-source MIT License. Code repositories, development processes, and prioritization are managed openly, enabling transparency and reuse by the wider community. Where possible, DataCite also leverages open-source components and provides documentation to support reuse and replication of its infrastructure.

Ensure open and secure data accessibility within legal and ethical constraints – To support potential forking or replication, infrastructure should aim to make all relevant data openly available, following best practices such as applying a CC0 waiver where appropriate. This must be balanced with compliance with privacy, data protection, and security requirements. Organisations should have a clear policy outlining how private or sensitive data will be handled—particularly in the event of a transfer to another organisation—to ensure continuity, legal compliance, and responsible stewardship.

DataCite makes the DataCite data file openly available under a CC0 public domain dedication, enabling unrestricted access, reuse, and redistribution of DOI metadata. This commitment to openness is balanced with compliance with privacy, data protection, and security requirements where applicable.

DataCite recognizes the importance of responsible data stewardship and applies appropriate safeguards for any non-public or sensitive information. These safeguards and policies would apply equally in the context of any transfer of services or assets, supporting continuity, legal compliance, and responsible stewardship.

Available and preserved – it is not enough that content, data, and software be "open" if there is no practical way to obtain them. These resources should be made easily available with clear public documentation about where they are and how to access them, as well as an open licence where possible. It is not enough that "open" resources are available. In line with the Living Will, it is essential to deposit content, data, and software with at least one trusted third-party digital archive.

DataCite provides practical access to its core data and services through open APIs, data files, discovery interfaces, and publicly available documentation. These mechanisms enable members and the wider community to retrieve, query, and reuse DOI metadata at scale under open licensing terms. 

DataCite recognizes the importance of long-term preservation of its core assets. DataCite is committed to ensuring that its content, data, software, documentation, and licences are preserved in trusted third-party digital archiving environments, supporting continuity, resilience, and the potential for replication or transition where necessary. Preservation activities include automated processes such as the archiving of code repositories by Software Heritage, as well as locally initiated mechanisms. As part of our ongoing commitment to long-term preservation, we aim to pursue a robust and multi-faceted approach and will continue to optimize our strategy to keep up with evolving technologies and practices. 

Patent non-assertion – the organisation should commit to a patent non-assertion policy or covenant. The organisation may obtain patents to protect its own operations, but not use them to prevent the community from replicating the infrastructure.

DataCite provides an openly available store of factual information about research. As facts, information stored in DataCite metadata by its nature cannot be patented. DataCite makes no copyright, related, or neighboring rights claims to the aggregated data. Consistent with this broad waiver, and with the overall POSI framework, DataCite does not impose any conditions on access to and use of DataCite metadata.

Prioritise interoperability and open standards to ensure continuity and resilience – infrastructures should adopt and support widely accepted open standards—both formal and de facto—to ensure that systems, data, and services can be replicated, migrated, or integrated with minimal disruption without the use of proprietary extensions or software. Where relevant, organisations should document dependencies on standards.

DataCite prioritizes interoperability and the use of widely adopted open standards to enable seamless integration across the scholarly ecosystem. Our metadata schema is openly documented and mapped to other community standards through established metadata crosswalks (e.g., to Dublin Core, schema.org, and other domain standards), and metadata is available in multiple structured formats such as XML and JSON. Persistent identifiers are embedded in our metadata to support machine-actionable linking across systems, and open APIs enable harvesting, integration, and reuse. 

By adhering to non-proprietary standards, providing structured data formats, documenting dependencies, and avoiding closed extensions, DataCite ensures that its services and metadata can be reused, migrated, replicated, and integrated without reliance on proprietary software.

Reaffirming a constant practice of openness 

We recognize that openness alone is not sufficient; long-term trust in open infrastructure also depends on strong governance, sustainable operations, and responsible stewardship. Updating DataCite's self-assessment in light of POSI version 2.0 is an opportunity to reaffirm our commitment to openness and validate our alignment with the original POSI framework while also incorporating components from version 2.0 focused on continuity, resilience, and preparedness. While many of these practices have long been embedded in DataCite's operations, the latest version of the principles provides a clearer framework for reviewing, articulating, and recommitting to these responsibilities.

DataCite views this assessment as part of an ongoing process rather than a static statement. As the scholarly ecosystem continues to evolve, DataCite remains committed to regularly reviewing its role, practices, and community value, and to working collaboratively with its members and partners to ensure that its infrastructure remains open, trusted, and resilient over the long term.