1. Find an expert: Who is best
to represent a university on
matters of 'open'?
Workshop facilitated by Dr Danny
Kingsley
ETD2021 (Dubai)
15 November 2021

3. Today
What do we mean when we say ‘open’?
Where is open gaining traction?
How do we get to an ‘open’ utopia?
Where are responsibilities held within institutions?
What are institutional drivers?
Where do publishers fit in?

4. Open access benefits many

5. What do we
mean when
we say
‘open’?
Image:
Danny Kingsley

6. Common OA definitions
Definition Date Link
Budapest Open Access Initiative (BOAI) 2002 &
2012
https://www.budapestopenaccessinitiative.org/bo
ai-10-recommendations
Berlin Declaration on Open Access to
Knowledge in the Sciences and Humanities
2003 https://openaccess.mpg.de/policy
Australian Open Access Support Group
(AOASG)
n.d. (page
updated
2019)
https://aoasg.org.au/what-is-open-access/
Australian Research Council (ARC) 2017 https://www.arc.gov.au/policies-
strategies/policy/arc-open-access-policy-version-
20171
National Health and Medical Research
Council (NHMRC)
2018,
revised
2020
https://www.nhmrc.gov.au/about-
us/resources/open-access-policy

7. Remember this is more than OA
https://www.ukcorr.org/2020/12/02/open-access-is-not-enough-reproducible-science-research-and-scholarship/

8. The bigger ‘open’
Statement/declaration Year link
San Francisco Declaration on Research Assessment 2012 http://www.ascb.org/dora/
Force11 Joint Declaration on Data Citation Principles 2014 https://www.force11.org/datacitation
FAIR data principles 2015 https://www.force11.org/group/fairgroup/fairprinciples
Science International - (draft) Accord on Open Data 2015
http://www.icsu.org/news-centre/news/science-international-to-
agree-international-accord-on-open-data
Leiden Manifesto for research metrics 2015
http://www.nature.com/news/bibliometrics-the-leiden-manifesto-
for-research-metrics-1.17351
Science Europe Principles on Open Access publisher
services
2015
http://www.scienceeurope.org/uploads/PressReleases/270415_O
pen_Access_New_Principles.pdf
European open science cloud for research - position
paper
2015
http://libereurope.eu/wp-
content/uploads/2015/11/OSC_Position_Paper-final-30.10.15.pdf
The Hague declaration on Knowledge Creation in the
Digital Age
2015 http://thehaguedeclaration.com/
Principles of the Scholarly Commons 2017 https://www.force11.org/scholarly-commons/principles
> 90 declarations and position statements from around the world
http://tinyurl.com/scholcomm-charters
There are so many different definitions of Open Research/Science that now there
is an attempt to define the definitions
https://im2punt0.wordpress.com/2017/03/27/defining-open-science-definitions/

9. European Commission – since 2017
Open Science Monitor - European Commission. 28 March 2017
http://ec.europa.eu/research/openscience/index.cfm?pg=home&section=monitor

10. Open Science – Adopted! This week!
https://council.science/current/news/unesco-science-commission-adopts-open-science-recommendation/

11. UK Government Science &
Technology Committee – 2018
• UK Research Integrity Enquiry
• “looks at trends and
developments in fraud,
misconduct and mistakes in
research and the publication of
research results.”
• Oral Evidence session 6 March
2018
https://www.parliament.uk/business/committees/committees-a-z/commons-
select/science-and-technology-committee/inquiries/parliament-2017/research-
integrity-17-19/

12. Just closed – updated UK enquiry
https://committees.parliament.uk/
work/1433/reproducibility-and-
research-integrity/

13. European Commission
http://www.unica-network.eu/sites/default/files/daniel_spichtinger_sc16.pdf

14. UK institutions increasingly onboard

15. So how do we get
to this ‘open
utopia’?
Image:
Danny Kingsley

16. How are decisions made in
institutions?
• There’s a great deal of structure and governance
• There are processes and protocols
• Rules / By Laws / Statutes …
• When we speak about ‘open’, there needs to be some
consensus

17. Where are the ‘rules’ held in your
institution?
Policies = the rules
Procedures = provide for
the operationalisation of the
policy
Guidelines = support to
staff about practices that
should be followed

18. Example from University of Illinois
Goal: To have an open access policy for all theses and dissertations and to
require electronic deposit
Leads: Library and Graduate College
Stakeholders/Decision Makers:
- Graduate Students
- Departments / College
- Directors of Graduate Studies (every dept has one)
- Tech Transfer Office
- Advisory committees to Graduate College (faculty and students)
- Faculty Senate
- Executive Committee for Graduate College
Slide from FSCI2020 course: “How to introduce and
implement policies at your institution and still have
friends afterwards” https://osf.io/4yz79/

19. University of Arizona
Slide from FSCI2020 course: “How to introduce and
implement policies at your institution and still have friends
afterwards” https://osf.io/4yz79/

20. University of Arizona
Slide from FSCI2020 course: “How to introduce and
implement policies at your institution and still have friends
afterwards” https://osf.io/4yz79/

21. Responsibility for policy is devolved
to institutions in Australia
Responsibilities of institutions: “Develop and maintain the currency and ready availability of a
suite of policies and procedures which ensure that institutional practices are consistent with the
principles and responsibilities of the Code.”
https://www.nhmrc.gov.au/about-
us/publications/australian-code-responsible-conduct-
research-2018
https://online.nhmrc.gov.au/sites/default
/files/ethics/draft_guide_on_publication_
and_dissemination_of_research.pdf
“institutions should support researchers to
ensure their research outputs are openly
accessible in an institutional or other online
repository, or on a publisher’s website”.
“Research institutions have a responsibility to
develop and implement policies and provide
facilities and processes for the safe and secure
storage and management of research data and
primary materials …”
https://www.nhmrc.gov.au/sites/de
fault/files/documents/attachments/
Management-of-Data-and-
Information-in-Research.pdf

22. OA Policy study
https://prelights.biologists.com/highlights/free-for-all-or-free-for-all-a-content-analysis-of-
australian-university-open-access-policies/

23. Institutions need to change!
• One group that must step up is
that to which I belong: academic
leadership.
• Academic institutions can and
must do better. We should be
taking multiple approaches to
make science more reliable. One
of the most effective (but least
discussed) is to change how we
appoint and promote our faculty
members.
• Our processes should encourage
evaluators to say whether they feel
candidates’ work is problematic or
overstated, and whether it has
been reproduced and broadly
accepted.
http://www.nature.com/news/faculty-promotion-must-assess-reproducibility-1.22596

24. Rankings rule!
https://www.international.unsw.edu.au/
https://future-students.uq.edu.au/why-choose-uq
https://www.qut.edu.au/about/achievements-and-recognition
https://about.unimelb.edu.au/newsroom/news/2
018/september/university-of-melbourne-heads-
australian-universities-in-rankings

25. Metric assessment
• Forum for Responsible
Research Metrics
• A group of research
funders, sector bodies and
infrastructure experts
working in partnership
• Event held by HEFCE in the
past fortnight
• UK Research and
Innovation comes into
being on 1 April 2018 with
a strong steer to signing
DORA
http://www.hefce.ac.uk/pubs/rer
eports/year/2015/metrictide/
http://www.universitiesuk.ac.uk/policy-and-
analysis/Pages/forum-for-responsible-research-
metrics.aspx

26. DORA
• Themes
• Eliminate the use of journal-based metrics, such as
Journal Impact Factors, in funding, appointment, and
promotion considerations;
• The need to assess research on its own merits
rather than on the basis of the journal in which the
research is published; and
• The need to capitalize on the opportunities provided
by online publishing
• >11,800 individuals & >450 organisations
https://sfdora.org/

27. Entire countries are shifting
https://www.scienceguide.nl/wp-content/uploads/2019/11/283.002-Erkennen-en-Waarderen-Position-
Paper_EN_web.pdf

28. The library
perspective
Image:
Danny Kingsley

29. Time to take a new approach
Country/organisa
tion
Publisher activity Date Links
Norway Cancelled Elsevier
subscription
March 2019 https://www.editage.com/insights/norway-joins-the-ranks-
of-germany-and-sweden-cancels-subscription-with-elsevier
University of
California
Cancelled Elsevier
subscription
February
2019
https://www.nature.com/articles/d41586-019-00758-x
Hungarian
Consortium EINZ
Did not renew
Elsevier
subscription
December
2018
http://eisz.mtak.hu/index.php/en/283-hungarian-
consortium-terminates-negotiations-with-elsevier.html
Bibsam
Consortium -
Sweden
Cancelled
agreement with
Elsevier
16 May 2018 https://www.nature.com/articles/d41586-018-05191-0
French national
consortium Coup
erin.org
Cancelled
subscriptions to
SpringerNature
30 March
2018
http://couperin.org/breves/1333-couperin-ne-renouvelle-
pas-l-accord-national-passe-avec-springer
Dutch
consortium
VSNU
No agreement
with Royal Society
of Chemistry
12 March
2018
https://www.vsnu.nl/en_GB/news-
items/nieuwsbericht/394-no-agreement-with-the-royal-
society-of-chemistry-publishing%C2%A0.html
SPARC maintains a Big Deal Cancellation Tracking list -
https://sparcopen.org/our-work/big-deal-cancellation-tracking/

30. Harder negotiation outcomes
• Feb 2018 - Germany estimated to be saving £8.7million
per year
• https://www.timeshighereducation.com/news/will-other-
countries-follow-germany-battle-elsevier
• July 2018 - Elsevier cut off access to Sweden and
Germany
• https://www.nature.com/articles/d41586-018-05754-1
• Feb 2019 - “Thousands of scientists run up against
Elsevier’s paywall”
• https://www.nature.com/articles/d41586-019-00492-4
• Researchers: some articles are impossible to get, causes
“unnecessary delays” to work, “This is damaging to research,
and punishes researchers, not publishers.”
• Libraries: most of these article requests are fulfilled within a
working day, suspects that scientists are turning to other
articles or journals

31. New big deals
https://www.the-scientist.com/news-opinion/elsevier-
and-norway-agree-on-new-open-access-deal-65789
https://caul.libguides.com/read-
and-publish
https://www.thebookseller.com/news/cup-oa-
partnership-university-california-988666

32. Publishers
are
stakeholders
here too!
Image:
Danny Kingsley

33. Moving into the data space
https://data.mendeley.com/faq

34. No need for Libraries, Student
Services or Research Offices
https://researcheracademy.elsevier.com/
https://edservices.wiley.com/why-partner/services-and-solutions/

35. Careful of the open ‘agenda’
https://www.coimbra-group.eu/wp-content/uploads/Burgelman2018-OS-COIMBRA-december.pdf

36. Complete ecosystem
Vertical integration resulting from Elsevier’s acquisitions, from Alejandro Posada and George Chen, (2017)
Rent Seeking and Financialization strategies of the Academic Publishing Industry - Publishers are
increasingly in control of scholarly infrastructure and why we should care- A Case Study of Elsevier
http://knowledgegap.org/index.php/sub-projects/rent-seeking-and-financialization-of-the-academic-
publishing-industry/preliminary-findings/

37. Summary
• There are many many voices in the Open discussion.
• There are also many, many agendas
• It is not the responsibility of any individual or area of an
institution
• There must be senior buy-in to the discussion
• When there is an agreed position for the institution…
*anyone* can represent the university on matters of open

38. Thank you!
Dr Danny Kingsley
danny.kingsley@flinders.edu.au
@dannykay68