Robert Bai
email: rbai@eecs.umich.edu

Nam-Sung Kim
email: nam.sung.kim@intel.com

Tae Ho Kgil
email: tkgil@eecs.umich.edu

Dennis Sylvester
email: dennis@eecs.umich.edu

Trevor Mudge

Power-Performance Trade-offs in Nanometer-Scale Multi-Level Caches Considering Total Leakage

In this paper, we investigate the impact of T ox and V th on power performance trade-offs for on-chip caches. We start by examining the optimization of the various components of a single level cache and then extend this to two level cache systems. In addition to leakage, our studies also account for the dynamic power expended as a result of cache misses. Our results show that one can often reduce overall power by increasing the size of the L2 cache if we only allow one pair of V th /T ox in L2. However, if we allow the memory cells and the peripherals to have their own V th 's and T ox 's, we show that a two-level cache system with smaller L2's will yield less total leakage. We further show that two V th 's and two T ox 's are sufficient to get close to an optimal solution, and that V th is generally a better design knob than T ox for leakage optimization, thus it is better to restrict the number of T ox 's rather than V th 's if cost is a concern.

Introduction

Leakage power is a problem for all microprocessor circuit components, but it is a particularly important problem in processor on-chip caches where a large number of potentially high-leakage cross-coupled inverters -the storage elements of caches -are integrated in great numbers. We can expect the fraction of the leakage power to exceed that of the dynamic power in future processor generations. There have been several previous studies on cache leakage power reduction [START_REF] Nii | Proc. ISLPED[END_REF][START_REF] Powell | Proc. ISLPED[END_REF][START_REF] Hamzaoglu | [END_REF][START_REF] Azizi | Proc. ISLPED[END_REF][START_REF] Agarwal | [END_REF][START_REF] Kim | Proc. ISLPED[END_REF][START_REF] Kim | Proc. ICCAD[END_REF]; all of them focused on subthreshold leakage power. However, with aggressive T ox scaling, gate leakage power can potentially surpass the subthreshold leakage at low T ox . In this paper, we investigate various techniques to minimize total (gate + subthreshold) leakage power plus dynamic power under delay constraints by systematically assigning values for T ox and V th for single cache, two-level caching system and an entire microprocessor memory system consisting of L1, L2 cache and main memory.

Circuit Evaluation Methodology

For our experiment, we have used the technology files from Berkeley Predictive Technology Model (BPTM) for a 65nm technology node [START_REF]Berkeley Predictive Technology Model[END_REF]. We then characterize the technology files for a range of V th and T ox values. We let V th vary from 0.2V to 0.5V, while allowing T ox to scale from 10Å to 14Å. The lower limits of these ranges are chosen to reflect typical values of highperformance logic for the studied technology node. Such transistors would be required for the non-memory portion of a processor or system. While there is no physical reason for a V th upper bound, we expect that values above 0.5V are unlikely in 65nm technology with approximately 1V supply. The increase of T ox while maintaining the same drawn channel length may cause the gate terminal to lose control of the conduction state of the channel due to DIBL effect [START_REF] Sultania | Proc. DAC[END_REF]. Hence, when T ox changes, the drawn channel length must be scaled appropriately. Also in order to maintain memory cell stability, the widths of the transistors in the memory cell need to be adjusted proportionately with the change in the drawn channel lengths. Thus the impact of T ox scaling on the cell area must be taken into account, as the cell will grow in both horizontal and vertical dimensions.

Delay and Leakage Power Models

First we have re-designed the cache netlists used in [START_REF] Kim | Proc. ICCAD[END_REF] to target for 65nm technology node. We assume that internally, the cache consists of four components: memory cell array and sense amplifier, decoder, address bus drivers, and data bus drivers. Second, it is observed through extensive HSPICE simulation that the total leakage current of memory cell array is exponentially dependent on T ox and V th . We then approximate the total leakage power as follows:

1* 2 * , 0 1 2 *
( )

V th T o x a a to ta l th o x P V T A A e A e
On the other hand, the delay of the array is shown to be linear with T ox and over the range of our interest its dependence on V th can be approximated to an exponential growth function with very small exponents as follows:

3 )

( * 0 1 2* ( , ) * th k V d th ox ox T V T k k e k T
Although these total leakage and delay trends are for the memory cell array, the same trends also hold for the rest of cache memory components -decoders and address/data bus drivers. Therefore, we can model the total leakage and delay of each component in the same way as we do for the memory cell array assuming that both total leakage and delay of each component are independent from one another. Thus we can approximate both the total leakage and the delay of a cache system by summing up the leakage and delay of each cache component.

Single Cache Leakage Optimization

To examine the dependence of leakage power on V th and T ox assignment, we study three different V th /T ox assignment schemes:

Scheme I: assign independent V th 's and T ox 's to each cache component.

Scheme II: assign a V th /T ox pair to the memory cell array and another pair to the remaining three cache components. Scheme III: assign the same V th /T ox pair to all four cache components.

We formulate the problem of minimizing the leakage power given the delay constraint as the following optimization problem [START_REF] Bertsekas | Nonlinear Programming[END_REF]:

th th d t h o x t h o x b V b V o x o x o x o x o x o x th th th th T V T V T a B B e B T B e B T Å T T T T Å V V V V V V

S u b ject to

In our optimization process, we have chosen V th and T ox to take on discrete values with small step size. The optimization shows scheme III is the worst performer, and scheme I is the best. However, scheme II is only slightly behind scheme I for the same delay constraint, but from a process standpoint, scheme I is more costly than scheme II. Therefore, it is the preferred scheme, as it is not only economically feasible but also achieves close to optimal leakage. It is worth noting that in schemes I and II, high values of V th and thick T ox 's are always assigned to the memory cell arrays, and V th /T ox in the peripheral components have been set sufficiently low to help meet the delay target. To gain further insight into the selection of the decision variables during the optimization process, we perform an experiment in which for a 16KB cache we hold either V th or T ox constant, and at the same time observe how leakage power is impacted by the other decision variable independently. In Figure 1, we show four curves, two of which are constructed by fixing T ox at 10Å and 14Å, respectively, and the other two are created by fixing V th at 0.2V and 0.4V, respectively. It is evident that the leakage is more sensitive to T ox than V th , and the delay doesn't show as wide a range when V th is fixed as when T ox is fixed. Hence, to achieve minimum overall leakage, it is best to set T ox conservatively at a high value and let V th be the knob designers can vary to meet a delay constraint.

Two-Level Cache Leakage Optimization

We use architectural simulations to gather cache access statistics for each L1 and L2 cache size combination. To perform our evaluation, results from various benchmark suites such as SPEC2000, SPECWEB, TPC/C, etc., are collected. L2 Cache Leakage Power Optimization. Due to its size, L2 caches naturally consume much more leakage than L1 caches. In the first of our experiments, we fix the size of an L1 cache and assign the default V th and T ox to the L1 cache, and then proceed to see which L2 organization would yield better leakage whilst still meeting the same average memory access time (AMAT) constraint of the two-level cache system. For example, we can adjust both V th and T ox knobs to make two different size caches that have the same AMAT: note that the AMAT is a function of both the cache miss rate and access (hit) time. The results show that generally the bigger L2 consumes less leakage power than smaller ones under the same delay constraint. This agrees with the trends presented in [START_REF] Kim | Proc. ICCAD[END_REF] that focused only on the V th assignment to optimize L2 cache leakage power. A larger L2 cache results in a smaller miss rate and faster AMAT, therefore V th and T ox of L2 can be set more conservatively for a larger L2 than for a smaller one. Nevertheless, having the largest available L2 does not always yield the best leakage. This is because we reach a point where the leakage of a very large L2 outweighs the benefit of the improvement in the L2 miss rate.

In the second part of our analysis, we assign a V th /T ox pair to the core array cells in an L2 cache and another pair to its peripheral circuitry. In this scenario, there are two ways to improve AMAT. One is through reducing the L2 miss rate by employing a large L2 cache as was done in the first part of our analysis; the other is by setting the V th /T ox assignments more aggressively in the peripheral circuitry. We found that the latter approach works better in the cases we have investigated. After optimization we see that V th and T ox in the core cell arrays are always set much more conservatively than those in the peripheral circuitry. This allows the leakiest component in the L2, which is the core cell array, to take on high values for V th and T ox , thus saving leakage. At the same time, we can still meet the target delay because V th and T ox in the peripheral circuitry can be set sufficiently low. L1 Cache Leakage Power Optimization. Local L1 cache miss rates are already very low and they do not vary much amongst the L1 caches ranging from 4K to 64K as illustrated in [START_REF] Kim | Proc. ICCAD[END_REF]. Hence given a fixed L2, the key to minimizing total leakage power is to reduce the leakage power consumed by L1. A smaller L1 will consume less leakage and at the same time a smaller L1 will be faster. Therefore, a small L1 will probably be the optimal solution Entire Processor Memory System Energy Optimization. We determine the optimal number of V th and T ox values needed to achieve the optimal total energy for a system comprising of L1, L2 and main memory. Figure 2. shows that the best scheme has 2 T ox 's and 3 V th 's. However, the difference between a system with dual T ox , dual V th and that with dual T ox , triple V th is very small. So in general a process with dual T ox and dual V th is sufficient to achieve near optimal total energy. It is also worth noting that a single T ox and dual V th process outperforms that with a single V th and dual T ox for the same reason that we discovered in Section 4: V th is generally a more effective design knob than T ox .

Figure 1 .

 1 Figure 1. Fixed Vth vs. Fixed Tox

Figure 2 .

 2 Figure 2. (Tox, Vth) Tuple Problem

Proceedings of the Design, Automation and Test in Europe Conference and Exhibition (DATE'05) 1530-1591/05 $ 20.00 IEEE


A Esper

E Portalier

B Dufay

C Dolabdjian

S Corodeanu

H Chiriac

GMI Low Frequency Noise Characterization Versus Wire Diameters

Keywords: Giant MagnetoImpedance, noise, magnetometer. I

Equivalent magnetic noise levels at 1 Hz of three GMI samples have been experimentally determined for different excitation conditions related to both dc current and ac excitation amplitude. These three wires or cylindrical-shaped samples are from the exact same alloy composition and obtained from the same fabrication process. The only difference is their diameter which are 80 µm, 100 µm and 120 µm, since this parameter has been identified as an important factor involved in GMI low frequency noise level. Indeed, from the recently proposed model, briefly reminded here, the equivalent magnetic noise level should decrease with the square of the wire diameter. These low frequency equivalent magnetic noise level measurements have been conducted with coherence measurements showing that the main noise source responsible of this noise level is the intrinsic noise of the GMI sensor. Obtained results have then been compared to the expected noise level from the theoretical model, showing a relative good agreement, validating the behavior regarding wire diameter.

INTRODUCTION

Materials exhibiting a Giant Magneto-Impedance (GMI) effect have been identified as good candidates for high sensitivity magnetometry thanks to their huge impedance variation with the external applied magnetic field, at room temperature [START_REF] Knobel | Giant magnetoimpedance[END_REF][START_REF] Phan | Giant magnetoimpedance materials: Fundamentals and applications[END_REF]. This effect relies on the penetration depth variation of the high frequency ac excitation current in the material while exposed to an external magnetic field applied in easy axis. The field sensitivity could further be improved when using an off-diagonal configuration [START_REF] Dufay | Improved GMI sensors using strongly-coupled thin pick-up coil[END_REF], where the GMI material is strongly coupled with a pick-up coil.

An important characteristic for designing high sensitivity magnetometers is the equivalent magnetic noise level, since it ultimately limits the lowest magnetic field which could be detected by the sensor. In the case of soft ferromagnetic amorphous wires, it has been recently proposed that the low frequency equivalent magnetic noise level, which exhibits an 1/f behavior, is dominated by the intrinsic noise of the sensing element itself [START_REF] Portalier | Etude du bruit excédentaire, en 1/f, à basse fréquence dans les magnétomètres basé sur l'effet Magnéto-impédant Géant (MIG)[END_REF]. The intrinsic origin of the noise has been experimentally proved thanks to cross correlation measurements, for optimal excitation conditions, for which the resulting noise level at 1 Hz is minimal. At the same time, a theoretical model has been proposed to predict this low frequency noise level based on the low frequency fluctuations of the magnetization direction [START_REF] Dolabdjian | Is low frequency excess noise of GMI induced by magnetization fluctuations?[END_REF]. The resulting expression of the theoretical equivalent magnetic power spectral density (expressed in T 2 /Hz) is

𝑏 𝑛 2 (𝑓) ≈ 6 𝜇 0 𝑘 𝐵 𝑇 𝜋 2 𝑑 2 𝐿 ( 𝐻 𝑘 𝑀 𝑠 ) 2 𝜒 ′′ (𝑓) 𝑓 (1)
where 𝐻 𝑘 is the anisotropy field, 𝜒 ′′ (𝑓) is the imaginary parts of the magnetic transverse susceptibility, 𝑀 𝑠 is the magnetization saturation, 𝑘 𝐵 is the Boltzmann constant, T the temperature, 𝜇 0 the vacuum permeability, and L and d are the length and the diameter of the wire, respectively. This model was successfully validated for several GMI samples from different materials [START_REF] Portalier | Evaluating of the imaginary part of the magnetic susceptibility, 𝜒 // , and application to the estimation of the low frequency, 1/f, excess noise in GMI sensors[END_REF].

In this paper, we proposed to enhance this validation by investigating the impact of the wire diameter, d, as [START_REF] Knobel | Giant magnetoimpedance[END_REF] predict that the noise level should increase inversely to the square of d.

The paper is organized as follows. Section II describes the experimental conditions. Both sample characteristics and involved measurements setups are described. Section III is dedicated to obtained results and discussion. We conclude in section IV.

II. MATERIAL AND EXPERIMENTAL METHODS

A. GMI samples 1) Fabrication process and geometric properties:

Our study was conducted on three GMI samples. All of these are soft ferromagnetic amorphous wires with the same nominal composition Co68.15Fe4.35Si12.5B15 and diameters of 80 µm (sample R80), 100 µm (sample R100) and 120 µm (sample R120). They were prepared at the National Institute of Research and Development for Technical Physics, using the in rotating water melt spinning method. This fabrication process consists in melting few grams of alloy inside a special quartz crucible, under argon atmosphere, using a high-frequency inductor. This melt is then ejected through a small circular hole in a layer of water, which is contained in a rotating disk with special profile, by applying an argon overpressure in the crucible [START_REF] Hagiwara | Rapidly Solidified Alloys: Processes, Structures, Properties, Applications[END_REF]. At the contact with the water, the stream of molten alloy is quickly cooled with cooling rate as fast as 10 6 K/s, and solidifies as an amorphous wire. The diameter of the wire is mainly given by the hole diameter, which needs to be correlated with argon overpressure and peripheral speed of the cooling fluid in order to obtain long cylindrical samples. Due to the very specific fabrication process, the amorphous wires have a remarkable symmetry not only geometrically, but also in terms of induced tensions and magnetic domain structure [START_REF] Chiriac | Internal stress distribution in glasscovered amorphous magnetic wires[END_REF][START_REF] Phan | Giant magnetoimpedance materials: Fundamentals and applications[END_REF][START_REF] Squire | Amorphous wires and their applications[END_REF].

Final sensors are constituted of a 24 mm long wire, for each of the three diameters, associated with a pickup coil of 450 turns.

2) Magnetic properties

As to compute the expected low frequency noise level given by (1), some magnetic properties of the samples have to be evaluated. First of all, the saturation magnetization, MS, was determined using a differential fluxmeter method [START_REF] Corodeanu | Magnetic characterization of submicron wires and nanowires using digital integration techniques[END_REF]. Fig. 1 shows the obtain hysteresis loop for the three samples recorded at a frequency of 50 Hz and a magnetic field applied in the longitudinal direction. All samples show similar saturation magnetization value of 540 kA/m, as usually expected for such material. Furthermore, the hysteresis loop shows almost the same coercivity, of 3 A/m, for all analyzed samples. The retentivity value was higher for the thinner sample (R80), with a value of 517 kA/m, and lower for the thicker ones (R120), around 358 kA/m. These differences probably appear due to different cooling rates, which should be higher in thinner samples, as well as to the changes in the stress distribution inside the wire. Indeed, this later influences the domain structure by increasing the area with circular magnetization for samples with higher diameter.

GMI response, at a frequency of 1 MHz, of each sample was also evaluated, exhibiting classical two-peaks shape, considering an excitation current amplitude low enough to keep the sample in the linear regime. GMI response allows to determine the anisotropy field, Hk, which corresponds, in the quasi-static regime, to the field position of the maximum impedance [START_REF] Dufay | Improved GMI sensors using strongly-coupled thin pick-up coil[END_REF]. Values of 63.1 A/m, 24.2 A/m, and 46 A/m were obtained for sample R80, R100 and R120, respectively. Finally, the imaginary part of magnetic transverse permeability, 𝜒 ′′ (𝑓), was evaluated from the measurement of the real part of the impedance as a function of the excitation frequency as exposed in [START_REF] Portalier | Etude du bruit excédentaire, en 1/f, à basse fréquence dans les magnétomètres basé sur l'effet Magnéto-impédant Géant (MIG)[END_REF][START_REF] Portalier | Evaluating of the imaginary part of the magnetic susceptibility, 𝜒 // , and application to the estimation of the low frequency, 1/f, excess noise in GMI sensors[END_REF][START_REF] Bertotti | General Properties of Power Losses in Soft Ferromagnetic Materials[END_REF]. This was done for several excitation parameters, (involving both ac and dc excitation current amplitude) according to those used during noise measurement as detailed below.

B. Noise measurements

Each of the three GMI sensors was then operated in a classical electronic conditioning circuitry involving (1) a 1 MHz sine wave current source providing the excitation current flowing through the wire and (2) a demodulation stage based on a classical peak-detector which retrieves the envelop of the voltage induced at the end of the pick-up coil [START_REF] Dufay | Impact of Electronic Conditioning on the Noise Performance of a Two-Port Network Giant MagnetoImpedance Magnetometer[END_REF].

Studying the intrinsic low frequency noise behavior of GMI samples regarding diameter value is only relevant if the dominant noise source is the intrinsic noise of the sensor, and not a noise source induced by the electronic conditioning circuitry. To insure this, each noise measurement was conducted alongside with coherence measurements using two similar GMI sensors, demodulation stages and a unique current source as excitation stage. Fig. 2 shows the circuit diagram of this setup where the measuring chain separation could occur before (position B) of after (position A) the sensing element thanks to the switch selector. The principle of coherence spectral measurement lies in the fact that the noise of a single signal is measured through two different noise channels giving the ratio of common noise of the channels to total noise. In other words, it allows one to establish if two signals arise from a common origin or from different one.

Then, output signals, Vs1 and Vs2, from both channels are considered perfectly correlated (in other words, they possess the same origin) at the frequency, f, if correlation value γ²Vs1Vs2(f) = 1. On the contrary, if γ²Vs1Vs2(f) = 0, they are totally uncorrelated. In our case, the dominant noise source is the intrinsic noise of the sensor if the two following conditions are respected:  γ²Vs1Vs2(f) → 1 when the measuring chain separation is placed after the sample (switch selector in A position) and,  γ²Vs1Vs2(f) → 0 when the measuring chain separation is placed before the sample (switch selector in position B).

We should note that all noise measurements were done in a 6 layers GREYC magnetic shielded room as to neglect external surrounding noise. III.

RESULTS AND DISCUSSION Fig. 3 shows an example of a measured equivalent magnetic noise spectral density of the sample R100, for Idc = 40 mA and Iac = 36 mA. It shows a white noise level of 1.4 pT/Hz, and a 1/f excess noise at low frequency leading to a noise level of 14 pT/Hz at 1 Hz. Correlation values at low frequency obtained for a measuring chain separation occurring before and after the sensing element meet the two required conditions stated above insuring that the main dominant noise source at low frequency is the sensor itself. The equivalent magnetic noise level at 1 Hz strongly depends upon the excitation parameters and lowest level is reached only for an appropriate couple of dc and ac excitation current values. Fig. 4 shows the behavior of the equivalent magnetic noise level at 1 Hz regarding excitation parameters for sample R100. Corresponding voltage sensitivity (in V/T) is also given. For each dc bias current, the noise level decreases with the increased excitation current amplitude until it reaches a minimum value, and then start to increase again. Moreover, we observed that the minimum of noise decrease and shift to the right (higher ac Fig. 4. Behavior of the R100 sample in terms of equivalent magnetic noise and voltage sensitivity for different bias and amplitude current values, Iac, Idc, respectively. The solid and dashed lines, which correspond, respectively, to the equivalent magnetic noise at 1 Hz and the voltage sensitivity, are just a guide for the eyes. current amplitude) for higher dc currents. Finally, Table I summarizes the lowest equivalent magnetic noise level at 1 Hz obtained for the three considered samples for several dc bias current values. As expected from (1), the measured magnetic noise decreases when the GMI wire diameter increases, excepted when Idc is equal to 5 mA, for which, an opposite phenomenon occurs. This can be explained by material inhomogeneity uncompensated for low DC current value. For the sample R120, corresponding to the biggest diameter, a noise level of 13,5 pT/Hz at 1 Hz and 650 fT/Hz in white noise region has been reached. In addition, we have demonstrated that the model is coherent with the wire diameter dependence, opening doors for material improvements.

Fig. 1 .

 1 Fig. 1. Hysteresis loop of the three samples, measured at 50 Hz for a magnetic field applied along the longitudinal direction.

Fig. 2 .

 2 Fig. 2. Circuit diagram used for cross correlation measurements.

Fig. 3 .

 3 Fig. 3. (a) Equivalent magnetic noise spectral density, and corresponding coherence values when the switch selector is (b) connected to B and (c) connected to A, for the sample R100 with excitation parameters of Iac = 36 mArms at 1 MHz and Idc = 40 mA.

TABLE I .

 I EQUIVALENT MAGNETIC NOISE LEVEL AT 1 HZ COMPUTED (TH.) FROM (1) AND EXPERIMENTALLY MEASURED (MEAS.) FOR THE THREE CONSIDERED GMI WIRES CONSIDERING SEVERAL DC BIAS CURRENT VALUES.

	Idc
	(mA)

Equivalent magnetic noise level at 1 Hz (pT/√Hz)

		Sample R80	Sample R100	Sample R120
		Th.	Meas.	Th.	Meas.	Th.	Meas.
	5	34	33	38	54	63	81
	10	30	49	20	23	16	24
	20	20	18.8	16	17.7		14
	40	23	19		14.5		14
	60		18		13.7		13.5


Sarita Albagli

Anne Clinio

Henrique Parra

Felipe Fonseca

Beyond the Dichotomy between Natural and Knowledge Commons: Reflections on the IAD Framework from the Ubatuba Open Science Project

Introduction 1

The paper presents a critical analysis of the possibilities and limits of the Institutional Analysis and Development (IAD) framework, proposed by Elinor Ostrom and researchers from Indiana School, specially addressing the mutual relations between natural and knowledge commons. It is based on the results of an action-research project on the role of open science (OS) in development, carried out in 2015-2017, as part of the Open and Collaborative Science in Development Network-OCSDNet 1 . Focusing on the institutional, political, and governance issues affecting knowledge production and circulation, the project provided the opportunity to observe how these dynamics take place in a relatively small-scale (while heavily interconnected) context-the municipality of Ubatuba, on the North Coast of the State of São Paulo, Brazil. Our study produced rich empirical and theoretical material for analysis, offering possibilities for critical reflection as well as social learning relevant to other territorial and social contexts (See [START_REF] Albagli | Open Science and social change: a case study in Brazil[END_REF].

2

Ubatuba is located in the Atlantic Rain Forest region, a strategic and vulnerable environmental area, with a high level of endangered socio-biodiversity, and a focus of a. its rich and strategic natural, cultural, and knowledge commons; b. the necessity to provide access to local populations to social and economic benefits derived from the use of that wealth from a sustainable development perspective; c. political empowerment of local communities in a context of inequality of access to institutional deliberation processes; and d. the contributions that information and knowledge may make for these processes.

While most of the Ubatuba's territory (around 80%) is located within the protected area of the State Park of Serra do Mar (PESM), its economy is based on seasonal and predatory tourism that encourages real estate speculation, as well as, more recently, oil exploration boosted since the pre-salt discoveries. These aspects characterize a highly contentious action arena regarding its natural and immaterial commons.

This paper presents a part of the research and it involved the following steps:

a. Systematizing the literature on the IAD framework, in order to understand its rationale and consider its possible uses (and limits) in our case study. We were particularly interested in understanding how this framework expanded to include knowledge commons as part of its analysis.

b. Mapping and selecting literature representative of other theoretical approaches to the concept of common(s) (Hardin, Bollier, Negri, Laval and Dardot, among others), observing their convergence and divergence with Ostrom's perspective.

c. Developing a two-way exercise. On the one hand, we mobilized aspects of the IAD framework as a toolkit to help us select and organise relevant information, to characterize our "action arena" and to define an "action situation", focusing on the local socio-institutional context, key actors and their (cooperative or conflictive) relationships. We expected this approach would be helpful to analyze our case, because: it opposes a path dependence perspective, giving place to future alternative scenarios; and it could be used to analyze dynamic and changing situations. On the other hand, we confronted the IAD framework with our empirical research results, also considering other interpretative approaches identified in previous steps.

At the end we observed that the relevance of IAD framework lies in the fact that the diffusion and adoption of open science is closely related to institutional issues (both formal and informal) that affect the open and collaborative nature of knowledge production and circulation. On the other hand, those issues are inextricably invested with conflicts and power relations over natural and immaterial commons. In this sense, it has also highlighted the mutual and contradictory relations between the new einfrastructures and the vulnerability/robustness of information and knowledge commons, which requires going beyond the access paradigm.

The IAD framework and the commons

The IAD framework was developed by Elinor Ostrom 2 and other researchers of the Indiana School, based on extensive empirical research that demonstrated that a community can self-organize to "successfully" 3 use and manage a common pool resource (CPR) 4 [START_REF] Ostrom | Governing the Commons: The Evolution of Institutions for Collective Action[END_REF]). In other words, they argued that local and self-organized populations can economically exploit a CPR in a sustainable way for long periods of time. The IAD framework was first built on research on urban public goods, and it was further developed based on the work on the formal and informal rules that positively or negatively affect the sustainable management of natural CPRs (such as groundwater basins, irrigation systems, grazing systems, and forests). Ostrom team main question was: "[...] how a group of principals who are in an interdependent situation can organize and govern themselves to obtain continuing joint benefits when all face temptations to freeride, shirk, or otherwise act opportunistically?" (Ostrom, 1990, p. 29).

The results from the case studies helped them to question widely accepted theories-such as "The Tragedy of Commons" [START_REF] Hardin | The tragedy of commons[END_REF], "The Prisoner's Dilemma" (Dawes, 1973(Dawes, -1977) ) and "The Logic of Collective Action" (Olson, 1965)-for whom individuals necessarily develop opportunistic behavior towards the maximum exploitation of common resources, putting individual profit above all, and disregarding the collective losses of overexploitation. According to those theories, predatory behavior is an inherent feature of collective management of common resources, which necessarily leads to their ruin. This would justify the prescription of either the privatization of the commons or the imposition of rules by the State. In all cases, those theories envisaged the necessity of an external authority to supervise the use of common resources either by limiting their access or by applying sanctions to those who violate the rules established to ensure longterm sustainability and productivity.

Commons were later defined as a general term referring to "a shared resource that is vulnerable to social dilemmas" (Ostrom & Hess, 2007, p. 13), meaning: high vulnerability to subtraction (also referred to as rivalry, when the use of something by someone prevents its use by another one) and difficulty to exclude free riders (opportunistic behaviour) 5 . Ostrom and Hess did not differentiate common (singular) and commons (plural). For them, "Commons is an awkward word in the English language. The same word is used for both the singular and plural forms." (Ostrom & Hess, 2007, p. 21). Other authors would argue that the distinction between these two terms is a significant point, as we will discuss later.

Ostrom and Hess focused on the institutional dimension-"the rules, decisions, and behaviors people make in groups in relation to their shared resource" (Ostrom & Hess, 2007, p. 10). A set of eight "design principles" of institutional robustness in (un)successfully managing common-pool resources were pointed out [START_REF] Ostrom | Governing the Commons: The Evolution of Institutions for Collective Action[END_REF], provided that they should not be seen in a prescriptive way, as models, but rather as "insightful findings in the analysis of small, homogeneous systems" (Ostrom & Hess, 2007, p. 7). Their institutionalist approach emphasized rules-in-use (those practiced by actors) and "invisible" institutions (widely recognized sets of rules-in-use), as key aspects at times of institutional change. In this sense, institutions were conceived as "formal and informal rules that are understood and used by a community. […] [They] are not automatically what is written in formal rules. They are rules that establish the working "do's and don'ts" for the individuals in the situation that a scholar wishes to analyze and explain" (Ostrom & Hess, 2007, p. 42). Ostrom was particularly interested in developing a "microsituational level" of analysis and "more configural approaches", based on empirical work in order to confront "an immense diversity of situations in which humans interact", and to stress the importance of fitting policy prescription and institutional rules to specific social-ecological settings. "'One-size-fits-all' policies are not effective." (Ostrom 2009, p. 409).

understanding of the use of common resources, elaborating norms on rights and duties in resource management and evaluating the cost-benefits of agreed rules. "With adequate information [participants] may develop increasing trust so that the situation can lead to productive outcomes" (Ostrom & Hess, 2007, p. 59) Adapted by [START_REF] Clinio | Reflections on the Application of the IAD Framework to analyze the Ubatuba Open Science Platform[END_REF] from [START_REF] Ostrom | Institutional Analysis and Development: Elements of The Framework in Historical Perspective[END_REF] 12 The action arena refers to "the social space where individuals interact, exchange goods and services, solve problems, dominate one another, or fight (among the many things that individuals do in action arenas)." (Ostrom, 2010, s.p). Action arenas include one or more action situations and the participants in those situations [START_REF] Ostrom | Understanding institutional diversity[END_REF]. The action situation, "enables an analyst to isolate the immediate structure affecting a process of interest to the analyst for the purpose of explain regularities in human actions and results, and potentially to reform them" (Ostrom, 2010, p. 286). Action arenas and action situations are considered to be at the core of the IAD framework and they are affected by a set of broadest categories of "external factors" (biophysical characteristics, attributes of the community, and rules in use).

Traditional and new commons

Ostrom's initial focus on natural commons [START_REF] Ostrom | Governing the Commons: The Evolution of Institutions for Collective Action[END_REF] was further expanded to the analysis of information and knowledge as "new commons" [START_REF] Ostrom | Understanding Knowledge as a Commons: From Theory to Practice[END_REF]. With the rise of distributed information and knowledge in digital form on the web, the concept of the commons helped "to conceptualize new dilemmas" (Ostrom & Hess, 2007, p. 4), given the way new information and communication technologies have affected "how knowledge is managed and governed, including how it is generated, stored, and preserved" (Ostrom & Hess, 2007, p. 9). Ostrom and Hess emphasized the fact that these new technologies can promote either "the robustness or vulnerability of a commons". For them, digital forms made knowledge "more vulnerable than ever before", enabling the "ability to capture the previously uncapturable" (Ostrom & Hess, 2007, p. 10, 14).

When hard-copy journals, for instance, were sold to libraries and individuals, the decentralization of multiple copies made the works robust. When journals are in digital form and licensed to libraries or individuals, the works are centralized and vulnerable to the whims or happenstance of the publisher. (Ostrom & Hess, 2007, p. 14) Therefore the authors alerted to the importance of keeping the conditions for the preservation and sustainability of knowledge as a common good for present and future generations. They highlighted the emergence of scientific and social movements in favor of knowledge and information commons, as a central pillar of the struggle for democracy.

On the other hand, they argued that "knowledge commons is not synonymous with open access", stressing their understanding that "a commons is a shared resource that is vulnerable to social dilemmas" (Ostrom & Hess, 2007, p. 14).

The authors pointed out similarities and differences between knowledge and "traditional commons". Both were considered goods, resources jointly used and managed by groups at different levels and scales. For them, "the essential questions for any commons analysis are inevitably about equity, efficiency, and sustainability." (Ostrom & Hess, 2007, pp. 6).

On the other hand, they highlighted the cumulative character, the complex nature and the "dual functionality" of knowledge-"as a human need and an economic good", "both a social process and a deeply personal process". They advocated that the IAD framework could be "of value in understanding knowledge as a commons-in regard to both the public-good aspects of this commons and the common-pool resource aspects." (Ostrom & Hess, 2007, p. 16).

Understood as global commons, neither a private nor a strict public resource, knowledge was defined as:

"all intelligible ideas, information, and data in whatever form in which it is expressed or obtained.

[…] to all types of understanding gained through experience or study, whether indigenous, scientific, scholarly, or otherwise nonacademic. It also includes creative works, such as music and the visual and theatrical arts." (Ostrom & Hess, 2007. pp. 7-8).

In this sense, Ostrom and Hess were not only referring to scholarly and scientific knowledge, but to more extended knowledge concepts and issues "far beyond the ivory tower."

Alternative views

Alternative and complementary perspectives on the common(s) have been developed relative to that proposed by Ostrom and team. We summarize below those that address more directly the aspects that we want to emphasize here.

A first set of arguments refutes a rigid division between natural and intellectual commons, arguing that this distinction should rather be re-interpreted as a matter of emphasis in the analysis, considering the necessary dual character of the common (see [START_REF] Vieira | Os bens comuns intelectuais e a mercantilização. Tese (doutorado). Faculdade de Educação[END_REF]. From this perspective, Hardt and Negri (2009, p. xviii) claim that their notion of the common "does not position humanity separate from nature, as either its exploiter or its custodian, but focuses rather on the practices of interaction, care, and cohabitation in a common world, promoting the beneficial and limiting the detrimental forms of the common.". In this sense, Massimo De Angelis (2007) recalls the contribution of historian Peter [START_REF] Linebaugh | The Magna Carta Manifesto: Liberties and Commons for All[END_REF] who popularized the term "commoning" as corresponding to "the (re)production of commons". David Bollier (2014, p. 351) also refers to Linebaugh when he states that "there is no common good without commoning", understood as "a set of ongoing practices, not an inert physical resource". He claims that "the commons is not only about shared resources; it's mostly about the social practices and values that we devise to manage them" (Bollier, 2014, p. 351).

A second set of arguments questions the idea of intrinsic characteristics of the commons, considering they are the result of collective and conflicting decisions and actions that promote or hamper practices that ensure their equitable and sustainable management.

For Dardot and Laval (2015, p. 271),

Nothing is in itself or by nature "common". Ultimately it is social practices and only them that decide on the "common" character of a thing or a set of things. Therefore, against any naturalism or essentialism it is necessary to maintain that it is the activity of men which makes something a common, keeping it from any logic of appropriation and reserving it for collective use.

A third set of arguments criticizes the idea that more information leads to better politics as concealing the conflicts and inequalities within social relations. On the contrary, social actors usually diverge about expectations and objectives and hardly establish long-lasting agreements based on consensus and mutual truth. The conflicting dimension is an integral part of the commons and its governance. From this perspective, Dardot and Laval (2015, p. 271)

argue that

The conflict dimension must be recognized as part of the common and not considered an unfortunate 'side effect' that should be avoided: the common it does not constitute itself, it does not perpetuate itself and it does not expand in any way other than in and through conflict. What is instituted as common is in active opposition to a privatization process (be it urban space, water or seeds).

Finally, Lafuente and Estalela (2015) developed a theoretical-conceptual approach in which common does not only mean common goods (the commons), referring to an economic sense. Common also-and mainly-refers to the relationship with otherness, "in between", in a more anthropological sense. From this perspective, they propose the notion of "common science", which combines knowledge activism and knowledge production, opening up science agenda, concepts and methods to the scrutiny and contribution of other epistemic groups. This mode of science acknowledges the epistemic value of the "experiential" as well as the ordinary knowledge. In this sense, lay people should be recognized as "experts in experience" [START_REF] Callon | Research 'in the wild' and the shaping of new social identities[END_REF] who produce relevant knowledge from solving problems in everyday life and from participating in social movements. Actors with differents points of view not only alter the social composition of science, but also promote alternative modes of knowledge. Lafuente (2012, p. 144) considers that it favors "more robust" decisions because "each new collective incorporated represents a lower degree of exclusion, implies an extension of freedoms, and, finally, makes visible an expanded society beyond the limits we believed to be insurmountable" 6 .

A "situated" view from Ubatuba: possibilities and limits of the IAD framework

Our case study on open science in the context of the municipality of Ubatuba helped us to identify both possibilities and limits in the use of the IAD framework in a concrete situation. Among the limits, we point out:

a. The difficulty in delimiting of a single common pool resource in that region, since our action arena is not restricted to the management of a single resource of common use, but it refers to a medley of resources.

b. The larger scale and heterogeneity of perspectives and interests of its population, which hinders trust relations and mutual agreement. While the IAD case studies reported by Ostrom and team encompass small-scale resource systems, usually involving communities with about 50 to 15,000 people who depend heavily on that resources for their livelihoods, Ubatuba municipality has a population of about 80 thousand inhabitants, in a heterogeneous composition and diverse interests and conflicts: indigenous communities, fishermen, caiçaras, quilombolas and a multitude of floating residents and seasonal tourists.

c. The difficulty to operationalize the IAD framework, since it requires information that is not easily available to the researcher, which would require an intense and prolonged fieldwork, broader than what was feasible for the project.

d. Finally, the fact that, as pointed by [START_REF] Vieira | Os bens comuns intelectuais e a mercantilização. Tese (doutorado). Faculdade de Educação[END_REF], the IAD framework does not sufficiently address considerations about broader socio-political and economic relations and-long term historical processes, nor the analysis of power relations, conflicts and inequalities among actors with different expectations. In our case, the economic and territorial occupation through tourism, real estate, oil and gas industries place local dynamics in strong interaction and interdependence with broader scales (regional, national and global).

On the other hand, the IAD framework was useful to think of our research field as an action situation, in motion, a non-static reality, therefore quite consistent with our perspective of action research.

We defined as our action situation the process of revision of the ecological-economic zoning (EEZ) of the North Coast of São Paulo, which is a legal responsibility of the State Government. With the help of the Municipal Department of Environment, public hearings were held in the region, aiming to inform the population about the process and mobilize residents to draw up a plan in line with local demands. More than 80 requests for modifications were submitted by the municipal government, responding to demands submitted by the local population. The effort of the Traditional Communities Forum (FCT) to develop its own map to support the EEZ revision reveals the understanding that the role of information users is very limited for those who aim to interfere politically. These communities wish not only to contribute their accumulated experience and knowledge in

Beyond the Dichotomy between Natural and Knowledge Commons: Reflections on th...

ELPUB 2018

the sustainable management of common resources but also to influence the decisions that affect them.

Nevertheless several local leaders reported problems in the traditional communities participation in the EEZ revision process. Our research evidenced that overlapping the roles of policy-makers and information providers is not mere coincidence. It is an essential strategy for data production that legitimates the arguments competing for the definitions of the EEZ and, in the end, disputing different conceptions and strategies of development. In this process, scientific knowledge, produced in research institutes, universities and laboratories, is mobilized by public policymakers with the purpose of certifying and, therefore, legitimating their proposals. In this sense, the mastery of technical language and the ability to translate this knowledge into information represented in maps -and, even more so, in rules-in-form-is an important advantage for policymakers.

We concluded that the role assigned to information and knowledge, from different points of view and strategies, lies at the heart of disputes between a managerial logic that also implies the normalization of new forms of control versus a logic of dissent that disputes the criteria of "measure" of instrumental reason and defines new instituting forms of the common. And this represents the opposite of the idea of an "institutional robustness" based on the co-construction of rules-in-use involving different actors and perspectives. At the end, the perpetuation of the commons depends on the ability of actors to evolve rules and to build democratic ways to dispute antagonistic views.

These findings are congruent with the criticisms of the open science initiatives focused only on "access", since they may reinforce the equivalence between a "well informed" policy and a "certified" one. In this sense, we adopted the notion of common science, proposed by [START_REF] Lafuente | Ways of science: public, open, and commons[END_REF], emphasizing the importance of favoring the interlocution of science with other cognitive actors and their knowledge bases.

Finally, the IAD framework served us as an analytical tool that was instrumental in dealing with different variables and dimensions. Congruent with our territorial perspective, the IAD framework made us critically interrogate about the mutual feedback between natural (or more widely, material) and knowledge/information commons. Nevertheless, When in our action research project, we aimed not only to combine, on the one hand, the IAD framework´s initial focus on the collective management of natural commons, and, on the other, the latter one oriented to the knowledge commons. We proposed to reflect on the interaction and co-determination between these two common resources. Moreover, we shed light on the fact that they are not just two different types of commons, but are mainly two dimensions of the same "commoning" process.

Concluding remarks

From the outset of our project, we questioned the current idea in the open science movement that open access to scientific information would be capable or be sufficient to reduce asymmetries and promote "better informed" and more egalitarian policies. We observed that, although democratization in access to information and knowledge-and even the recognition of the contribution of different modes of knowledge-is important, this does not solve the asymmetries of power over common pool resources. The disputes over the natural commons and the information and knowledge commons are part of a local institutional dynamics characterized by:

1. the flow of public, private and non-governmental interests through different spaces, within an informal network of influence;

2. the existence of a complex movement of alliances and tensions between actors and their different institutional positions;

3. the diversity of forms of information and knowledge production and demands as a central aspect of the positioning of the actors in affirming and defending their views and claims with respect to the commons.

31 In this sense, we adopted a substantive socio-territorial approach, relying on the Brazilian geographer Milton Santos's conception of space as a hybrid made up of the indissociable union of systems of objects and systems of actions (Santos, 1996[START_REF] Albagli | Technical-Scientific-Informational Milieu, Networks and Territories[END_REF]. The sustainable and equitable management of the local natural resources as a commons is inextricably co-related to the disputes over the production and circulation of knowledge and information as a commons. The production of knowledge commons involves the social appropriation of the territory, as well as a common material base, composed of natural and artificial goods that support life in common. On the other hand, the so-called "exogenous" variables in the IAD framework-biophysical characteristics, attributes of the community, and rules-in-use-are an intrinsic part of an action situation.

32 Our common science approach, based on Lafuente and Estalela (2015), implied the recognition that a pluralistic ecosystem of knowledge modes is closely related to a pluralistic ecosystem of modes of existence [START_REF] Albagli | Open Science and social change: a case study in Brazil[END_REF]. From this perspective, in our case, we considered the territory as the very infrastructure of the production and reproduction of knowledge common, both as the material basis of life in common and as the space where modes of subjectivation for the commoning takes place.

BIBLIOGRAPHY 3. For Ostrom, the notion of "successful" management of common goods refers to the twofold objective of (1) avoiding overexploitation and exhaustion of resources, and (2) generating quality of life, understood here as the effective people´s participation in the management of the common goods through principles of coexistence shared by all involved.

4. "[...] it refers to a natural or man-made resource system that is sufficiently large as to make it costly (but not impossible) to exclude potential beneficiaries from obtaining benefits from its use." (Ostrom, 1990, p. 30).

5.

Vincent and Elinor Ostrom's (1977) previous work had typified four kinds of goods-public goods, toll or club goods, common-pool resources, and private goods, classified according to their level of exclusion (easy, difficult) and subtractability (low, high).

6. "[...] cada nuevo colectivo incorporado representa un grado menor de exclusión, implica un ensanchamiento de las libertades y, por fin, hace viable una sociedade expandida más allá de los límites que creíamos infranqueables."

ABSTRACTS

The paper presents a critical analysis of the possibilities and limits of the Institutional Analysis systematizing the literature on the IAD framework; mapping and selecting literature representative of other theoretical and conceptual approaches; critically using and adapting the framework to the case studied. The project provided the opportunity to observe how these dynamics take place in a relatively small-scale (while heavily interconnected) context. While the IAD framework helped us to analyse the institutional, political, and governance issues affecting knowledge production and circulation, we observed the higher complexity of our action arena, shedding light on the fact that natural and knowledge commons are the two dimensions of the same "commoning" process.

  Beyond the Dichotomy between Natural and Knowledge Commons: Reflections on th... ELPUB 2018 intense scientific research. Ubatuba's key development challenges are related to how to conciliate:

Figure 1 :

 1 Figure 1: Institutional Analysis and Development Framework

and

  Development (IAD) framework, proposed by Elinor Ostrom and team, specially addressing the mutual relations between natural and knowledge commons. It results from an actionresearch project on the role of open science (OS) in development, carried out in the municipality of Ubatuba, on the North Coast of the State of São Paulo, Brazil, in 2015-2017. The work involved:

INDEXKeywords:

  Commons, Open Science, Institutional Analysis and Development, Ubatuba, Brazil AUTHORS SARITA ALBAGLI Institute of Information in Science and Technology, IBICT-Brazilian, Brazil sarita.albagli@gmail.com (corresponding author) Beyond the Dichotomy between Natural and Knowledge Commons: Reflections on th... ELPUB 2018

The authors also highlighted the role of informed and communicative patterns of interaction within the community as ways to develop a common language and a collective Beyond the Dichotomy between Natural and Knowledge Commons: Reflections on th... ELPUB 2018

The IAD methodology was conceived as a "multitier conceptual map"[START_REF] Ostrom | Understanding institutional diversity[END_REF]) and a "metatheoretical language", designed "to enable scholars to analyze systems that are composed of a cluster of variables, each of which can then be unpacked multiple times depending on the question of immediate interest"(Ostrom, 2009, p. 414). It is organised in three clusters of variables schematically represented by Figure2. Depending on the research question, it is possible to privilege one of these clusters as the starting point of the analysis.

This work was funded by OCSDNet/IDRC/UKAid, Fundação Carlos Chagas de Apoio à Pesquisa do Estado do Rio de Janeiro (Faperj) e Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq). We also thank the contributions of the reviewers.


Juan Pablo Alperin

John Willinsky

Brian Owen

James Macgregor

Alec Smecher

Kevin Stranack

The Public Knowledge Project: Reflections and Directions After Its First Two Decades

At the same time, it has become clear that we need to find new ways to better support our work. To this end, we present a summary of our interpretation of the findings, both the positive and negative, along with the actions we intend to take to improve how we operate. This is surely not the only way to interpret the findings report, but it reflects what we, the PKP Team, have learned about ourselves, and the vision that we have for the organization. We welcome additional input, both in response to this document and to the report that gave rise to it, as we move forward on implementing.

Introduction 1

Getting unvarnished feedback from the community, through a third party, has given us the opportunity to see ourselves through the lens of others. This view has enabled us to reflect on our values, our activities, and our operations. We are certain about several things: At our heart is our mission to provide free open source software to anyone, anywhere, as a means of lowering barriers to creating, presenting, and sharing scholarly content. We are an academic-led initiative, and are firmly a part of the community we serve. We will never be acquired by a commercial entity. In order to continue to provide best-in-class service to our thousands of users worldwide, our not-for-profit, academicled initiative needs to operate in a way that makes best use of business strategy to ensure that our products and services are competitive with offerings of all types, and that our internal operations are efficient and productive. Our community of users is everything to us, and we will find more ways to actively support, educate, and engage them in the years ahead.

Our Three Pillars

Through this process, a picture emerged of three areas of strength for PKP. These three distinct but interrelated activities are at the heart of PKP. Collectively, they define PKP and they explain how PKP serves its larger goal of making knowledge public:

1. Our open source software mission drives everything we do. We remain committed to developing excellent software and to making it freely available to all. While OJS is our flagship software, we will continue to be involved in other areas of scholarly communications, like our monograph software (OMP) and our Typesetting stack (OTS). Being an open source project is important to us because: It builds capacity around the world by encouraging a "do-it-yourself" approach; it allows PKP to benefit from outside contributions, such as translations and code; it supports more diverse use-cases, allowing users to customize their installations to suit their needs; and it demonstrates that openness is at the core of PKP.

2. Our research, education and advocacy are a core part of who we are. We are deeply embedded in the academic, library, and technical communities that make up higher education, and seek to both build on and contribute to our collective understanding of the ways in which that knowledge is created, circulated, and used, under the belief that the public has a right to access to knowledge. To this end, we research a broad range of issues around scholarly communications, innovate and experiment with new technologies, and work to educate and be actively involved with the academic and scholarly communication communities. Doing so helps us achieve our goals because: 3. Our PKP Publishing Services (PKP|PS) are a key way in which we support those in the community who prefer not to host software themselves, as well as to those seeking a community-based not-for-profit alternative for their publishing needs. Importantly, providing publishing services supports PKP because they:

a. provide revenue back to the organization to support the software, research, education, and advocacy work; and b. gives us the constant feedback we need for our software to remain competitive with even the most polished commercial offerings.

After listening to the community, we have come to believe, more strongly than ever, that it is essential for PKP to continue to operate in all three areas. However, it has also become evident that each undertaking of PKP can no longer be done in isolation from the rest. PKP is committed to bringing these activities together in ways that reinforce each other and are philosophically coherent and consistent with the principles that underlie the open access community.

Our core takeaway from this report is that PKP should strengthen the ties among its activities, and actively work to communicate more about those linkages to the community. Doing so will not only help others to assess the value of PKP, it will also provide a stronger technological, social, and financial foundation that will enable PKP to continue to have an impact that is disproportionately large for its modest budget and team size.

To strengthen the ties between our activities, we realize we also need to build out each area. We have taken stock of the feedback we received from the experts and stakeholders we consulted, and of our own sense of where our strengths and weaknesses are. There is much to be proud of in each realm, but also many opportunities for improvement. We summarize some of the key findings and our proposed approach to move forward below.

Open Source Software

The good news: OJS is the reason that a large number of journals are able to publish. Individuals and organizations around the world are able to set up an instance of OJS and operate a journal because it is free and open source, and because it has minimal server requirements. There are over 10,000 journals actively using OJS (publishing at least at least 10 articles a year, and an average of 46 articles per year). Many find OJS helpful for the ways it can be configured and the range of publications it makes possible. Those who have used or seen OJS3 are very pleased with the more modern design and upgraded features.

The less-good news: Some are frustrated by what they perceive to be an unnecessarily slow pace of change. Many perceive OJS as being outdated and rigid, both in its look and its workflow, based largely on their experience with OJS2. Some have stated they do not feel PKP functions as fully "open source" as it could and should be more actively seeking code contributions from others. Some feel OJS is "too heavy" and requires using or dealing with more workflow elements than are needed. There is little awareness and lower levels of adoption of the other PKP software (e.g., OMP and OCS).

Next steps: We plan to actively encourage open source contributions from the community. Doing so will increase the speed at which we can deliver new features and respond to the needs of the community, like we have seen with OJS being translated by volunteers into dozens of languages. To do this, we will:

a. Find ways to call attention to the many contributions our community continues to make to our code and to our documentation;

b. Review and improve documentation for the developer community;

c. Revise and redesign the online spaces (such as the PKP Forum and Github), so that it can serve as an obvious way to encourage recommendations for new features, have the community vote on them, and track progress as new efforts progress; d. Specify discrete and actionable work "packages" or assignments for outside contributors; e. Dedicate PKP developer time to facilitate code contributions from those that express interest in customizing their own installations;

f. Host more developer-centric events (e.g., code sprints);

g. Decrease the code complexity by incorporating third party software and updating/ streamlining code to be more transparent.

We also plan to make our software easier to use and adopt. We are certain that OJS delivers value (10,000 journals cannot be wrong!). But still, people have issues with how it looks, operates, and what it can do. We will address these issues by: a. Develop tools, documentation, and service packages to make it easier for existing OJS2 users to migrate to OJS3, so they can enjoy its full benefits;

b. Review the OJS interfaces and workflow to see if there are ways of offering a more streamlined experience for those not requiring all the functionality it offers; c. Communicate more effectively the modular and customizable aspects of OJS 3, by offering visuals, documentation, and other guidance on ways it can be used in part or in whole;

d. Invite more community input at the vision, planning, and priorities stages;

e. Make it easier for users to see how OJS can function in harmony with other popular software and infrastructure, including open source repositories (e.g., DSpace, Islandora, Samvera) and centralized services (e.g., Crossref, ORCID).

Research, Education, and Advocacy

The good news: There is a high degree of trust, admiration and respect for PKP. The vast majority of those we consulted held PKP in high regard, and were appreciative of the work that we do. We are actively publishing and presenting at academic venues around the world, with both invited and peer-reviewed activities; our research is widely read and used to inform the collective understanding of scholarly communication (e.g., [START_REF] Alperin | The Reinterpretation of the Visibility and Quality of New Policies to Assess Scientific Publications[END_REF]Alperin, Gomez, and Haustein, in press;Willinsky, 2017;[START_REF] Willinsky | The academic ethics of open access to research and scholarship[END_REF]. We are a strong voice for scholarly publishing in the academic community, with PKP team members serving on editorial boards and advisory groups of important initiatives such as SPARC, Crossref, Open Library of Humanities, HIRMEOS, ScholarlyHub, DOAJ, Redalyc, and the Library Publishing Coalition. Our educational offerings have made a significant contribution towards professionalizing the work of new editors and emerging publisher. We have successfully moved some experimental services, like the PKP Index and the PKP Preservation Network into production offerings, open to all journals that use OJS. We are developing new community-based publishing models, whether nationally with Coalition Publi.ca in Canada or within disciplines, such as Libraria in anthropology and working with similar initiatives around the world, e.g. Journal.fi (Finland).

The less-good news:

There is a very limited awareness of PKP's activities outside of our developing OJS. Some believe that PKP's software needs to be more innovative and keep up with the times. Some have expressed frustration with their efforts to collaborate with PKP, following promising conversations with PKP team members at events and meetings.

Our capacity to deeply interact with a very large and geographically diverse community has been limited to attending and putting on conferences and to the PKP Forum. PKP's educational content requires regular updating and expansion to better serve the community, and more effort is needed to raise awareness of activities in this area.

The Public Knowledge Project: Reflections and Directions After Its First Two ...

ELPUB 2018

Prototypes, like article-level metrics and automated XML typesetting, have not yet made it into production, despite their importance to the community.

Next steps: PKP's strong reputation gives us the opportunity to play a leadership role in supporting the academic community, but to do so, we need to:

a. Reinvest in community outreach, as a formal activity, offering more ways for us to stay in touch with our users, more ways to support them, and help them to help each other;

b. Re-evaluate our educational activities to foster a shared understanding of the values and practices between PKP and the community; c. Overhaul our web presence, documentation and other materials to be more inviting of input and dialogue with the community, as well as to better showcase the work and activities PKP is already involved with;

d. Expand the reach and diversity of PKP's community-based committees with a particular emphasis on guiding PKP's work across all areas;

e. Build on the global reach of PKP by hosting or helping to organize events with user groups around the world;

f. Explore feasible and reliable strategies for OJS journals and their users to avoid "predatory journal" designations by introducing public-facing verification systems, including thirdparty checks, metrics, and AI to establish editor, editorial board, reviewer and review integrity.

We also need to formalize processes for research and innovation activities to improve our offerings. We have been successful as a research group, but our research does not always make its way into our offerings. Similarly, we have had mixed success in moving experimental services into production. To strengthen the ties between our research, software, and services, we will:

a. Develop and seek funding for a research agenda that address pressing needs of the academic community, while simultaneously providing useful intelligence to further PKP's development;

b. Create something akin to a "PKP Labs," as a means of identifying, building and testing innovative projects, supported by internal and external funds.

PKP Publishing Services

The good news: We have created a publishing services offering (PKP|PS) that has continued to grow since it was started in 2007, to a point where today it supports approximately 50 percent of PKP's annual operating expense. Our clients report a high level of satisfaction with the degree to which we are able to customize our software to suit their needs. We serve a diverse set of clients, including everything from small, independent publishers with one journal, to major society publishers with many high-profile journals.

The less-good news:

There is limited awareness of PKP|PS and the services it offers. There are many competitive services available that host OJS; some are in the academic space, some are commercial offerings. Most do not contribute anything back to PKP. We know the degree of support top-tier publishers require, and to expand our offering, we will need to substantially increase our staff support.

Next steps: Our publishing services have grown to make up over half of our operating revenues, and they have done so without any targeted promotion. Although some clients

The Public Knowledge Project: Reflections and Directions After Its First Two ...

ELPUB 2018

seem to find us through word of mouth or through our webpage, too many potential clients are unaware of our services. We will promote and grow our services by: a. Having members of the PKP|PS team participate in industry conferences, as well as academic events, for the purposes of promotion, hiring new staff if necessary;

b. Developing and executing a full marketing strategy that is consistent with PKP's mission and values, while simultaneously extolling the quality of PKP|PS.

Our current clients include single-journal publishers and multi-journal publishers, commercial and non-profit organizations. However, we are aware that certain types of publishers do not see us as an obvious choice, so we have decided to:

a. Developing service packages that can be customized to address the needs of a certain type of user/potential client;

b. Build partnerships with other service providers, or expand our own services, to offer additional options to all clients, including professional publishing and editorial support services, theming, and customization; c. Present an array of service options and packages in ways that make it easier for the wide range of people who make purchase decisions.

The publishing services team already runs a successful operation that generates surplus revenue, but more can be done to improve its efficiency and increase the surplus that supports other PKP activities. We will improve operations by: a. Investing in building tools that the PKP|PS team can use to further automate installing, upgrading, and monitoring journals;

b. Offer an option to use a shared installation (i.e., cloud-based) for journals that do not require customizations to minimize the maintenance overhead; c. Revisit our pricing model, to make it more appealing for large institutions and publishers to host a large number of journals with us.

A Way Ahead

After two decades of being an academic-led "project" within the university context, the PKP organization has successfully matured into a reliable, secure, and evolving organization with a range of related goals and activities, and a globally recognized contribution to make to scholarly communication and public knowledge. We have formed a dedicated team, many members of which have now been with PKP for well over a decade, and all of whom are experts in our software and in supporting our community around the world in various ways. That said, our internal operations are ready for a new phase of growth and structure. In order for the plans outlined in this report to take flight, we understand we will need to make internal changes by, for example, supplementing existing staff with those who can bring additional skills to our team.

We

Organizational Structure and Governance

Our organization currently includes an internal management team and a few advisory groups. We are based at Simon Fraser University, in Canada, with roots in both SFU Library and the School of Publishing. We plan to keep these elements in place going forward, but are committed to revisiting the governance structure, the makeup and mandate of the advisory groups, and the mechanisms we use to gather ongoing feedback and direction from our community.

Internally, we have already begun to see how thinking about PKP's work around the three pillars outlined above can be reflected in the financial management of the organization.

As we seek to strengthen each pillar of activity, we are ensuring that each area operates under its own internal logic, with specific goals that can be tracked. By having these be reflected in the financial management, we are ensuring each area is adequately resourced, and is not made to suffer at the expense of the others. Conversely, we are also making explicit the direct and indirect supports that each provides the others, so that when resources need to shift from one priority to another, it is done so with a clear rationale and well-defined parameters.

Externally, we recognize the need to restructure our decision making to have greater involvement from the community. We see potential in a membership model, with members having voting rights to help us determine key elements on our development roadmap and the project's overall direction. The actions outlined above are also largely oriented to capturing more community feedback, regardless of membership, and so we intend to formally bring that feedback into decision-making going forward.

Internal and external communication

One of the main findings of this study was that that we need to better communicate how PKP contributes to open scholarly publishing. Communicating who we are and what we do is built into the proposed actions of each of the pillars above, but we feel it is important to highlight separately, as it is essential that PKP also present the unified picture of how the pieces fit together. To do so we need to develop a formal communication strategy that can be used within the organization to ensure we have a shared understanding of our goals and activities, and externally so that the scholarly publishing and academic communities can fully benefit from and appreciate the work that we do.

This communication strategy needs to be bidirectional, and will require one or more additional team members who can actively do outreach at major community events, participate in important meetings, and regularly solicit frank feedback from stakeholder groups on directions and details (like this project did).

Sources of support

PKP has just concluded a five-year sustainability strategy that saw our operating budget grow substantially, and which has put us on much firming footing going forward. This growth has come in large part from the PKP's Publishing Services (PKP|PS), but continues

The Public Knowledge Project: Reflections and Directions After Its First Two ...

ELPUB 2018

to be supplemented by our sustainers program and by significant grant funding. We have also benefited from community contributions through things like translation of our software and some code contributions. However, we are convinced that we are not maximizing the potential in any of these areas.

The actions outlined above will go a long way to increase the in-kind support we get through community contributions. Our inability to grow the pool of contributors substantially over the years has limited our growth, and we are certain that by having dedicated personnel who will be in charge of outreach, documentation, and development (in the specific ways outlined above), we will translate into growth in the contributions we receive in various forms (e.g., translations, code, hosting PKP events, etc.). The value of these contributions, we expect, will far outweigh the efforts and costs necessary to generate them.

However, to grow the team with people who are capable of encouraging and supporting more community contributions, we need to have the necessary financial resources. We see potential in both models recommended: a membership model that can bring both financial and in-kind contributions (as well as feedback and direction, as noted above), and through the growth of PKP|PS.

To grow our membership model, we are reviewing ways to make participation more attractive to a wide number of our users. Some may want to affiliate with PKP for benefits like discounted registration for PKP conferences and workshops. Others-those with deeper ties to PKP-may want to support the organization financially. We will review our key relationships, and seek to establish closer ties to organizations that are built upon our software, to see how their success can also help fuel our ongoing support of their work. This work will itself require dedicated people to build relationships, but after an initial investment, the financial contributions of members should make this position selfsustaining.

To grow our PKP Publishing Services, we need to first ensure that people become aware of the services we offer, and subsequently review our offerings to provide the level of support that even the largest and most sophisticated publishers expect. We have been fortunate until now to not have to actively promote our services, but we realize that this has limited our capacity to grow. Growing PKP|PS will require bringing on, at the very least, a dedicated business development manager and customer service support specialists. The business development manager will be seeking clients from organizations that support multiple journals, and will actively work with university-based publishers to introduce them to our offerings, as well as seeking out other segments for growth. Like with the personnel necessary to grow the membership model, the costs associated with these positions should be self-sustaining through growth in the business after an initial investment. Moreover, the outreach that helps grow the business will also be a key element in ensuring that those who use OJS and our other software feel fully a part of the broader PKP community.

Being an academic-led project, we will also continue to pursue grants as a way to support the research and innovation of PKP, but hope to use the new organizational structure to remove the reliance on such grants for core operations. Grants, unless specifically intended for operations, should be focused on the research activities of PKP, with the intended benefit to other areas, but without becoming a source of direct support for nonresearch activities. Taken together, these efforts to both raise revenues, streamline processes, and expand the membership base of the organization will permit the PKP to quickly expand the speed of development, and to remain in close touch with the very people it was created to serve.

Conclusion

This study served as an inspirational moment for our team in its commitment to supporting greater access to research and scholarship into a third decade. It has helped us gain insight into what distinguishes PKP's contribution and what people value about our approach. We are more certain than ever that PKP should sustain its efforts in the three designated areas, while realizing that there is always more to do in fulfilling the resulting responsibilities: After a thorough consultation with members of the scholarly publishing community, Nancy Maron concluded that PKP has strengths to build on in undertaking the change that is needed to better serve its community: PKP has developed a deep and loyal global following over its nearly twenty years of operation. It is poised today to squarely addresses its challenges and leverage its strengths into a dynamic plan for the future. The next steps will almost certainly involve a good deal of change, and this may not be easy. But publishers of all types in countries around the globe, continue to seek ways to create, consume, publish and share information, and the Public Knowledge Project, through its mission, its software, and the support of its community, is in a position to help them as needs continue to evolve [START_REF] Maron | Understanding the Audience of the Public Knowledge Project's Open Source Software: Findings from the Planning Grant from the Laura and John Arnold Foundation[END_REF].

Our plan is to use what we have learned from the Community Consultation that Nancy Maron conducted to not only catch up with the growth in the global use of our software, in terms of our publishing services and support, but to push the thinking about ways of improving scholarly communication even further, in pursuit of such goals as universal open access and community control of scholarly publishing infrastructure.

Going forward, we intend to facilitate increased community contributions and input throughout the areas in which we work; to strive for more internal coherence and crossover among what we now think of as PKP's three pillars; to give the library community and granting agencies more reasons to sponsor both our publishing innovations and our software upgrade cycles. More specifically on this last point, we see exciting opportunities ahead for developing editorial efficiencies for improved research quality, reader enhancements through design improvements, stronger integration of infrastructure for improved scholarly communication at every phase of the research process. We can also see now that our aim is to build a publishing service that offers both a level of professionalism (in its responsive service focus) and a commitment to being of, as well as for, the academic community of which it remains proud to be an integral part.

  a. the research builds a better understanding of the issues around scholarly communication;b. the research and our active involvement at events keeps the PKP team embedded within the academic and scholarly communication communities we seek to affect; c. our training materials and workshops help raise awareness and improve the quality of scholarly publishing; d. the experimentation and innovation with technologies improves the software; and e. being a voice in the community helps directly influence decision making and discussions.

  are also committed to greater coordination among open infrastructure projects supporting all phases of scholarly communication, not only around interoperability among these systems, but around ensuring that there are open, community support and tracking systems at each step of the research life cycle. Through such means, and in cooperation with libraries and funders (seeWillinsky and Rusk, in press, for one financial

model), we see the means of achieving a sustainable and universal open access that operates in conjunction with open data, open educational resources, and open infrastructure (based on open source software).

  The Public Knowledge Project: Reflections and Directions After Its First Two ...

	BIBLIOGRAPHY
	ELPUB 2018

The Public Knowledge Project: Reflections and Directions After Its First Two ... ELPUB 2018

ABSTRACTS

As the Public Knowledge Project (PKP) enters its third decade, it faces the responsibilities of supporting the more than 10,000 journals using its software and are dependent on PKP continuing to develop the code. In the fall of 2017, PKP, with the support of the Arnold Foundation, contracted the consulting services of BlueSky to Blueprint, with its principal Nancy Maron embarking on an exploration of PKP's standing and prospects among a sample of those involved in scholarly publishing, including current, former, and potential users of its software [START_REF] Maron | Understanding the Audience of the Public Knowledge Project's Open Source Software: Findings from the Planning Grant from the Laura and John Arnold Foundation[END_REF]