Let IR RIP

The Institutional Repository (IR) is obsolete. Its flawed foundation cannot be repaired. The IR must be phased out and replaced with viable alternatives.

Lack of enthusiasm. The number of IRs has grown because of a few motivated faculty and administrators. After twenty years of promoting IRs, there is no grassroots support. Scholars submit papers to an IR because they have to, not because they want to. Too few IR users become recruiters. There is no network effect.

Local management. At most institutions, the IR is created to support an Open Access (OA) mandate. As part of the necessary approval and consensus-building processes, various administrative and faculty committees impose local rules and exemptions. After launch, the IR is managed by an academic library accountable only to current faculty. Local concerns dominate those of the worldwide community of potential users.

Poor usability. Access-, copy-, reuse, and data-mining rights are overly restrictive or left unstated. Content consists of a mishmash of formats. The resulting federation of IRs is useless for serious research. Even the most basic queries cannot be implemented reliably. National IRs (like PubMed) and disciplinary repositories (like ArXiv) eliminate local idiosyncrasies and are far more useful. IRs were supposed to duplicate their success, while spreading the financial burden and immunizing the system against adverse political decisions. The sacrifice in usability is too high a price to pay.

Low use. Digital information improves with use. Unused, it remains stuck in obsolete formats. After extended non-use, recovering information requires a digital version of archaeology. Every user of a digital archive participates in its crowd-sourced quality control. Every access is an opportunity to discover, report, and repair problems. To succeed at its archival mission, a digital archive must be an essential research tool that all scholars need every day.

High cost. Once upon a time, the IR was a cheap experiment. Today's professionally managed IR costs far too much for its limited functionality.

Fragmented control. Over the course of their careers, most scholars are affiliated with several institutions. It is unreasonable to distribute a scholar's work according to where it was produced. At best, it is inconvenient to maintain multiple accounts. At worst, it creates long-term chaos to comply with different and conflicting policies of institutions with which one is no longer affiliated. In a cloud-computing world, scholars should manage their own personal repositories, and archives should manage the repositories of scholars no longer willing or able.

Social interaction. Research is a social endeavor. [Creating Knowledge] Let us be inspired by the titans of the network effect: Facebook, Twitter, Instagram, Snapchat, etc. Encourage scholars to build their personal repository in a social-network context. Disciplinary repositories like ArXiv and SSRN can expand their social-network services. Social networks like Academia.edu, Mendeley, Zotero, and Figshare have the capability to implement and/or expand IR-like services.

Distorted market. Academic libraries are unlikely to spend money on services that compete with IRs. Ventures that bypass libraries must offer their services for free. In desperation, some have pursued (and dropped) controversial alternative methods of monetizing their services. [Scholars Criticize Academia.edu Proposal to Charge Authors for Recommendations]

Many academics are suspicious of any commercial interests in scholarly communication. Blaming publishers for the scholarly-journal crisis, they conveniently forget their own contribution to the dysfunction. Willing academics, with enthusiastic help from publishers, launch ever more journals.[Hitler, Mother Teresa, and Coke] They also pressure libraries to site license "their" journals, giving publishers a strong negotiation position. Without library-paid site licenses, academics would have flocked to alternative publishing models, and publishers would have embraced alternative subscription plans like an iTunes for scholarly papers. [Where the Puck won't be] [What if Libraries were the Problem?] Universities and/or governments must change how they fund scholarly communication to eliminate the marketplace distortions that preserve the status quo, protect publishers, and stifle innovation. In a truly open market of individual subscriptions, start-up ventures would thrive.

I believed in IRs. I advocated for IRs. After participating in the First Meeting of the Open Archives Initiative (1999, Santa Fe, New Mexico), I started a project that would evolve into Caltech CODA. [The Birth of the Open Access Movement] We encouraged, then required, electronic theses. We captured preprints and historical documents. [E-Journals: Do-It-Yourself Publishing]

I was convinced IRs would disrupt scholarly communication. I was wrong. All High Energy Physics (HEP) papers are available in ArXiv. Being a disciplinary repository, ArXiv functions like an idealized version of a federation of IRs. It changed scholarly communication for the better by speeding up dissemination and improving social interaction, but it did not disrupt. On the contrary, HEP scholars organized what amounted to an an authoritarian take-over of the HEP scholarly-journal marketplace. While ensuring open access of all HEP research, this take-over also cemented the status quo for the foreseeable future. [A Physics Experiment] 

The IR is not equivalent with Green Open Access. The IR is only one possible implementation of Green OA. With the IR at a dead end, Green OA must pivot towards alternatives that have viable paths forward: personal repositories, disciplinary repositories, social networks, and innovative combinations of all three.

*Edited 7/26/2016 to correct formatting errors.

Market Capitalism and Open Access

Is it feasible to create a self-regulating market for Open Access (OA) journals where competition for money is aligned with the quest for scholarly excellence?

Many proponents of the subscription model argue that a competitive market provides the best assurance for quality. This ignores that the relationship between a strong subscription base and scholarly excellence is tenuous at best. What if we created a market that rewards journals when a university makes its most tangible commitment to scholarly excellence?

While role of journals in actual scholarly communication has diminished, their role in academic career advancement remains as strong than ever. [Paul Krugman: The Facebooking of Economics] The scholarly-journal infrastructure streamlines the screening, comparing, and short-listing of candidates. It enables the gathering of quantitative evidence in support of the hiring decision. Without journals, the work load of search committees would skyrocket. If scholarly journals are the headhunters of the academic-job market, let us compensate them as such.

There are many ways to structure such compensation, but we only need one example to clarify the concept. Consider the following scenario:

• The new hire submitted a bibliography of 100 papers.
• The search committee selected 10 of those papers to argue the case in favor of the appointment. This subset consists of 6 papers in subscription journals, 3 papers in the OA journal Theoretical Approaches to Theory (TAT), and 1 paper in the OA journal Practical Applications of Practice (PAP).
• The university's journal budget is 1% of its budget for faculty salaries. (In reality, that percentage would be much lower.)

Divide the new faculty member's share of the journal budget, 1% of his or her salary, into three portions:

• (6/10) x 1% = 0.6% of salary to subscription journals,
• (3/10) x 1% = 0.3% of salary to the journal TAT, and
• (1/10) x 1% = 0.1% of salary to the journal PAP.

The first portion (0.6%) remains in the journal budget to pay for subscriptions. The second (0.3%) and third (0.1%) portion are, respectively, awarded yearly to the OA journals TAT and PAP. The university adjusts the reward formula every time a promotion committee determines a new list of best papers.

To move beyond a voluntary system, universities should give headhunting rewards only to those journals with whom they have a contractual relationship. Some Gold OA journals are already pursuing institutional-membership deals that eliminate or reduce author page charges (APCs). [BioMed Central] [PeerJ][SpringerOpen] Such memberships are a form of discounting for quantity. Instead, we propose a pay-for-performance contract that eliminates APCs in exchange for headhunting rewards. Before signing such a contract, a university would conduct a due-diligence investigation into the journal. It would assess the publisher's reputation, the journal's editorial board, its refereeing, editing, formatting, and archiving standards, its OA licensing practices, and its level of participation in various abstracting-and-indexing and content-mining services. This step would all but eliminate predatory journals.

Every headhunting reward would enhance the prestige (and the bottom line) of a journal. A reward citing a paper would be a significant recognition of that paper. Such citations might be even more valuable than citations in other papers, thereby creating a strong incentive for institutions to participate in the headhunting system. Nonparticipating institutions would miss out on publicly recognizing the work of their faculty, and their faculty would have to pay APCs. There is no Open Access free ride.

Headhunting rewards create little to no extra work for search committees. Academic libraries are more than capable to perform due diligence, to negotiate the contracts, and to administer the rewards. Our scenario assumed a base percentage of 1%. The actual percentage would be negotiated between universities and publishers. With rewards proportional to salaries, there is a built-in adjustment for inflation, for financial differences between institutions and countries, and for differences in the sizes of various scholarly disciplines.

Scholars retain the right to publish in the venue of their choice. The business models of journals are used when distributing rewards, but this occurs well after the search process has concluded. The headhunting rewards gradually reduce the subscription budget in proportion to the number of papers published in OA journals by the university's faculty. A scholar who wishes to support a brand-new journal should not pay APCs, but lobby his or her university to negotiate a performance-based headhunting contract.

The essence of this proposal is the performance-based contract that exchanges APCs for headhunting rewards. All other details are up for discussion. Every university would be free to develop its own specific performance criteria and reward structures. Over time, we would probably want to converge towards a standard contract.

Headhunting contracts create a competitive market for OA journals. In this market, the distributed and collective wisdom of search/promotion committees defines scholarly excellence and provides the monetary rewards to journals. As a side benefit, this free-market system creates a professionally managed open infrastructure for the scholarly archive.

Beall's Rant

Jeffrey Beall of Beall's list of predatory scholarly publishers recently made some strident arguments against Open Access (OA) in the journal tripleC (ironically, an OA journal). Beall's comments are part of a non-refereed section dedicated to a discussion on OA.

Michael Eisen takes down Beall's opinion piece paragraph by paragraph. Stevan Harnad responds to the highlights/lowlights. Roy Tennant has a short piece on Beall in The Digital Shift.

Beall's takes a distinctly political approach in his attack on OA:

“The OA movement is an anti-corporatist movement that wants to deny the freedom of the press to companies it disagrees with.”
“It is an anti-corporatist, oppressive and negative movement, [...]”
“[...] a neo-colonial attempt to cast scholarly communication policy according to the aspirations of a cliquish minority of European collectivists.”
“[...] mandates set and enforced by an onerous cadre of Soros-funded European autocrats.”

This is the rhetorical style of American extremist right-wing politics that casts every problem as a false choice between freedom and – take your pick – communism or totalitarianism or colonialism or slavery or... European collectivists like George Soros (who became a billionaire by being a free-market capitalist).

For those of us more comfortable with technocratic arguments, politics is not particularly welcome. Yet, we cannot avoid the fact that the OA movement is trying to reform a large socio-economic system. It would be naïve to think that that can be done without political ideology playing a role. But is it really too much to ask to avoid the lowest level of political debate, politics by name-calling?

The system of subscription journals has an internal free-market logic to it that no proposed or existing OA system has been able to replace. In a perfect world, the subscription system uses an economic market to assess the quality of editorial boards and the level of interest in a particular field. Economic viability acts as a referee of sorts, a market-based minimum standard. Some editorial boards deserve the axe for doing poor work. Some fields of study deserve to go out of business for lack of interest. New editorial boards and new fields of study deserve an opportunity to compete. Most of us prefer that these decisions are made by the collective and distributed wisdom of free-market mechanisms.

Unfortunately, the current scholarly-communication marketplace is far from a free market. Journals hardly compete directly with one another. Site licenses perpetuate a paper-era business model that forces universities to buy all content for 100% of the campus community, even those journals that are relevant only to a sliver of the community. Site licenses limit competition between journals, because end users never get to make the price/value trade-offs critical to a functional free market. The Big Deal exacerbates the problem. Far from providing a service, as Beall contends, the Big Deal gives big publishers a platform to launch new journals without competition. Consortial deals are not discounts; they introduce peer networks to make it more difficult to cancel existing subscriptions. [What if Libraries were the Problem?] [Libraries: Paper Tigers in a Digital World]

If Beall believes in the free market, he should support competition from new methods of dissemination, alternative assessment techniques, and new journal business models. Instead, he seems to be motivated more by a desire to hold onto his disrupted job description:

“Now the realm of scholarly communication is being removed from libraries, and a crisis has settled in. Money flows from authors to publishers rather than from libraries to publishers. We've disintermediated libraries and now find that scholarly system isn't working very well.”

In fact, it is the site-license model that reduced the academic library to the easy-to-disintermediate dead-end role of subscription manager. [Where the Puck won't Be] Most librarians are apprehensive about the changes taking place, but they also realize that they must re-interpret traditional library values in light of new technology to ensure long-term survival of their institution.

Thus far, scholarly publishing has been the only type of publishing not disrupted by the Internet. In his seminal work on disruption [The Innovator's Dilemma], Clayton Christensen characterizes the defenders of the status quo in disrupted industries. Like Beall, they are blinded by traditional quality measures, dismiss and/or denigrate innovations, and retreat into a defense of the status quo.

Students, researchers, and the general public deserve a high-quality scholarly-communication system that satisfies basic minimum technological requirements of the 21st century. [Peter Murray-Rust, Why does scholarly publishing give me so much technical grief?] In the last 20 years of the modern Internet, we have witnessed innovation after innovation. Yet, scholarly publishing is still tied to the paper-imitating PDF format and to paper-era business models.

Open Access may not be the only answer [Open Access Doubts], but it may very well be the opportunity that this crisis has to offer. [Annealing the Library] In American political terms, Green Open Access is a public option. It provides free access to author-formatted versions of papers. Thereby, it serves the general public and the scholarly poor. It also serves researchers by providing a platform for experimentation without having to go through onerous access negotiations (for text mining, for example). It also serves as an additional disruptive trigger for free-market reform of the scholarly market. Gold Open Access in all its forms (from PLOS to PEERJ) is a set of business models that deserve a chance to compete on price and quality.

The choice is not between one free-market option and a plot of European collectivists. The real choice is whether to protect a functionally inadequate system or whether to foster an environment of innovation.

Open Access Politics

The Open Access (OA) movement is gaining some high-level political traction.

The White House Open Access memorandum enacts a national Green OA mandate: Most US funding agencies are directed to set up OA repositories for the research they fund. This Green OA strategy contrasts with the Gold OA strategy proposed by the Finch report in the UK. The latter all but guarantees that established publishers will retain their revenue stream if they switch their business model from site licenses to Author Page Charges (APCs).

The White House memorandum is likely to have the greatest impact. As its consequences ripple through the system, the number and size of Green OA repositories is likely to grow substantially over the next few years. Large-scale validation of altmetrics and the development of new business models may lead to the emergence of new forms of scholarly communication. Green OA archivangelist Stevan Harnad hypothesizes a ten-step scenario of changes.

There are also reasons for concern. As this new phase of the OA movement unfolds on the national political stage, all sides will use their influence and try to re-shape the initial policies to further their respective agendas. The outcome of this political game is far from certain. Worse, the outcome may not be settled for years, as these kind of policies are easily reversed without significant voter backlash.

At its core, OA is about an industry changing because of (not-so-)new technology and its accompanying shift in attitudes and values. In such cases, we expect established players to resist innovation by (ab)using politics and litigation. The entertainment industry lobbied and litigated against VCRs, DVRs, every Internet service ever launched, and now even antennas. In the dysfunctional scholarly-communication market, on the other hand, it is the innovators who resort to politics.

To understand why, suppose university libraries were funded by user-paid memberships and/or service fees. In this scenario, libraries and publishers encountered the same paper-to-digital transition costs. When library prices sky rocketed, students and faculty created underground exchanges of scholarly information. They cancelled their library memberships and/or stopped using their services. The publishers' revenue streams collapsed. Only the most successful journals survived, and even they suffered. Publishing a paper became increasingly difficult because of a lack of journals. This created an opening for experiments in scholarly publishing. This bottoms-up free-market transition would have been chaotic, painful, and forgotten by now.

We do not need to convert our libraries and research institutions into free-market enterprises. We do not need to abandon the fundamental principles on which these institutions are built. On the contrary, we must return to those principles and apply them in a new technological reality. Rebuilding the foundations of institutions is hard under the best of circumstances. When users are shielded from the external incentives/hardships of the free market, it is near impossible to disrupt, and continuity remains an option far beyond reason.

Green OA is an indirect approach to achieve fundamental change. It asks scholars to accept a little inconvenience for the sake of the larger principle. It asks them to deposit their papers into OA repositories and provide free access to publicly-funded research. It is hoped that this will gradually change the journal ecosystem and build pressure to innovate. It took dedicated developers, activists, advocates, and academic leaders over twenty years to promote this modest goal and create a movement that, finally, seems to have achieved critical mass. A growing number of universities have enacted OA mandates. These pioneers led the way, but only a government mandate can achieve the scale required to change the market. Enter politics.

Scholars, the creators and consumers of this market, should be able to dictate their terms. Yet, they are beholden to the establishment journals (and their publishers), which are the fountain of academic prestige. The SCOAP3 initiative for High Energy Physics journals shows how scholars are willing to go to unprecedented lengths to protect their journals.

Market-dominating scholarly publishers are paralyzed. They cannot abandon their only source of significant revenue (site licenses) on a hunch that another business model may work out better in the long term. In the mean time, they promote an impossible-to-defend hybrid Gold OA scheme, and they miss an opportunity to create value from author/reader networks (an opportunity recognized by upstart innovators). This business paralysis translates into a lobbying effort to protect the status quo for as long as feasible.

Academic libraries, which enthusiastically supported and developed Green OA, now enter this political arena in a weak position. The White House memorandum all but ignores them. Before complacency sets in, there is precious little time to argue a compelling case for independent institutional or individual repositories preserved in a long-term archive. After all, government-run repositories may disappear at any time for a variety of reasons.

The Gold OA approach of the Finch report is conceptually simpler. Neither scholars nor publishers are inconvenienced, let alone disrupted. It underwrites the survival of favored journals as Gold OA entities. It preempts real innovation. Without a mechanism in place to limit APCs, it's good to be a scholarly publisher in the UK. For now.

A Physics Experiment

Researchers in High Energy Physics (HEP) live for that moment when they can observe results, interpret data, and raise new questions. When it arrives, after a lifetime of planning, funding, and building an experiment, they set aside emotional attachment and let the data speak.

Since 1991, virtually all HEP research papers have been freely available through an online database. This repository, now known as arXiv, inspired the Green model of the Open Access movement: Scholars submit author-formatted versions of their refereed papers to open-access repositories. With this simple action, they create an open-access alternative to the formal scholarly-communication system, which mostly consists of pay-walled journals. The HEP scholarly-communication market gives us an opportunity to observe the impact of 100% Green Open Access. Following the scientists' example, let us take a moment, observe this twenty-year-long large-scale experiment, and let the data speak.

When publishers digitized scholarly journals in the 1990s, they added site licenses as an add-on option to paper-journal subscriptions. Within a few years, paper-journal subscriptions all but disappeared. At first, publishers continued the super-inflationary price trajectory of subscriptions. Then, they steepened the price curve with assorted technology fees and access charges for digitized back-files of old issues. The growing journal-pricing crisis motivated many university administrators to support the Open Access movement. While the latter is about access, not about the cost of publishing, it is impossible to separate the two issues.

In 1997, the International School of Advanced Studies (SISSA) launched the Journal of High Energy Physics (JHEP) as an open-access journal. JHEP was an initial step towards a larger goal, now referred to as Gold Open Access: replacing the current scholarly-communication system with a barrier-free system of journals without pay walls. The JHEP team implemented a highly efficient system to process submitted papers, thereby reducing the journal's operating costs to the bare minimum. The remaining expenses were covered by a handful of research organizations, which agreed to a cost-sharing formula for the benefit of their community. This institutional-funding model proved unsustainable, and JHEP converted to a site-licensed journal in 2003. This step back seems strange now, because JHEP could have copied the funding model of BioMed Central, which had launched in 2000 and funded open access by charging authors a per-article processing fee. Presumably, JHEP's leadership considered this author-pay model too experimental and too risky after their initial attempt at open access. In spite of its difficult start, JHEP was an academic success and subsequently prospered financially as a site-licensed journal produced by Springer under the auspices of SISSA.

Green Open Access delivers the immediate benefit of access. Proponents argue it will also, over time, fundamentally change the scholarly-communication market. The twenty-year HEP record lends support to the belief that Green Open Access has a moderating influence: HEP journals are priced at more reasonable levels than other disciplines. However, the HEP record thus far does not support the notion that Green Open Access creates significant change:

• Only one event occurred that could have been considered disruptive: JHEP capturing almost 20% of the HEP market as an open-access journal. Instead, this event turned into a case of reverse disruption!
• There was no change in the business model. All leading HEP publishers of 2012 still use pre-1991 business channels. They still sell to the same clients (acquisition departments of academic libraries) through the same intermediaries (journal aggregators). They sell a different product (site licenses instead of subscriptions), and the transactions differ, but the business model survives unchanged.
• No journals with significant HEP market share disappeared. Even with arXiv as an open-access alternative, canceling an established HEP journal is politically toxic at any university with a significant HEP department. This creates a scholarly-communication market that is highly resistant to change.
• Journal prices continued on a trajectory virtually unaffected by turbulent economic times.

Yet, most participants and observers are convinced that the current market is not sustainable. They are aware of the disruptive triggers that are piling up. Scholarly publishers witnessed, at close proximity, the near-collapse of the non-scholarly publishing industry. All of these fears remain theoretical. Many disruptions could have happened. Some almost happened. Some should have happened. None did.

In an attempt to re-engineer the market, influential HEP organizations launched the Sponsoring Consortium for Open Access Publishing in Particle Physics (SCOAP³). It is negotiating with publishers the conversion of established HEP journals to Gold Open Access. To pay for this, hundreds of research institutions world-wide must pool the funds they are currently spending on HEP site licenses. Negotiated article processing charges will, in aggregate, preserve the revenue stream from academia to publishers.

If SCOAP³ proves sustainable, it will become the de-facto sponsor and manager of all HEP publishing world-wide. It will create a barrier-free open-access system of refereed articles produced by professional publishers. This is an improvement over arXiv, which contains mostly author-formatted material.

Many have praised the initiative. Others have denounced it. Those who observe with scientific detachment merely note that, after twenty years of 100% Green Open Access, the HEP establishment really wants Gold Open Access.

The HEP open-access experiment continues.