4th OpenAIRE Workshop - Legal and Sustainability Issues for Open Access Infrastructures Nov. Vilnius Perspectives, Ideas, success and challenges of sustainability models Arxiv - Oya Rieger, Associate University Librarian, Cornell University

1. Oya Y. Rieger, Cornell University
OpenAIRE, November 2013
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2. • established in 1991 by
Paul Ginsparg
• has been hosted at Cornell
since 2001
• includes 887,000 e-prints (10/13)
• physics, math, computer science,
astronomy
• 2012
– 84,000 new submissions
– 64 million downloads
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3. http://arxiv.org/help/support

4. https://confluence.cornell.edu/download/attachments/127116484/arXivPrinciplesMarch12.pdf
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5. factor in various stakeholders’ perspectives
societies &
publishers
research
centers
repository
community
foundations &
funding
agencies
libraries
scientists
open access
community

6. Membership Program
• Engage libraries and research laboratories
worldwide that represent arXiv's heaviest
institutional users in arXiv's support and
governance
• Each member institution pledges a five-year
initial funding commitment to support arXiv
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7. Business Model, 2013-2017
• Cornell University Library
– $75,000 per year in support of operational costs
– in-kind contribution of all indirect costs (37%)
• Simons Foundation
– $50,000 per year
– $300,000 per year matching grant
• Member Institution
– annual fees within $1,500-3,000 range (based on usage
ranking)
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8. 2013 Distribution of
arXiv Members
5-Year Pledges
Israel
2%
France (CCSD)
5%
Netherlands
3%
Switzerland
3%
Canada
4%
Sweden
2%
Other
countries
16%
US nonconsortia
23%
UK (Jisc)
9%
Germany
13%
US consortia
(CIC/CDL)
Japan
13%
(SPARC)
7%
173 Members
22 Countries
$315,000 in
membership fees
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9. Projected Expenses (2013-2017)
Description
Expense
2013
2014
2015
2016
2017
236,400
8,500
164,685
64,000
473,585
244,680
8,500
170,453
66,240
489,873
295,453
8,500
176,415
68,558
548,925
305,795
8,800
182,590
70,955
568,140
41,700
1,550
1,865
8,280
20,700
74,095
43,160
1,605
1,930
8,570
21,425
76,690
44,670
1,660
2,000
8,870
22,175
79,375
46,235
1,720
2,070
9,180
22,950
82,155
47,855
1,780
2,140
9,500
23,755
85,030
67,265
60,530
62,617
69,419
71,849
158,991
226,256
143,072
203,602
148,004
210,622
164,081
233,500
169,824
241,673
Total Expenses 837,760
753,877
779,869
864,580
894,843
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Staff
User support (staff)
228,405
User support (student)
8,500
2.25 FTE + 0.36 student
Programming & system maintenance
238,669
Management & administration
61,835
Subtotal Staff Costs 537,409
Other Direct Costs
0.50 FTE
Server costs2
Network bandwidth & telephony
Staff computers, software & supplies
Staff travel
Advisory group travel support
Subtotal Direct Costs
Indirect Costs
Facilities3
1.58 FTE
Department administration & staff support 4
Subtotal Indirect Costs

10. arXiv Organizational Chart: Draft, August 24, 2013
University Librarian *
• Resolve disputes between CUL, MAB, SAB as they relate to CUL’s responsibilities
• Determine termination and need for transition strategy
Program Director (20%) *
• Oversee membership, business planning, &
governance and coordinate the development of
associated policies
• Participate in identifying technical requirements
and setting development priorities
• Facilitate MAB and liaise to SAB
• Represent arXiv in library and open access
* CUL indirect contribution
forums etc.
•
•
specify •
collaboration
areas •
•
Scientific Director (50%)
to be filled
Provide scientific oversight
Participate in identifying technical requirements
and setting development priorities
Coordinate the development of associated policies
with the SAB
Facilitate SAB & liaise to MAB
Represent arXiv in scientific forums etc.
* Not included in current 5-year budget
org chart reflects main responsibility areas for the key team members, not reporting relationships
supervisory relationships to be determined during the interim period
Library IT Lead (30%)
Library Membership*
• Manage arXiv membership
program (invoices, institutional
use, information about
sustainability program)
CY13 & CY14 Staffing: 0.10 FTE
* CUL’s indirect contribution
• Operate arXiv’s technical infrastructure
• Document & maintain arXiv code
• Partner with related initiatives and
services to share tools and software
CY13 Staffing: 0.30 Manager + 2.25 FTE
Programming Staff
• CY14 is set at @ 1.5 FTE (potential proposal
to increase it to 2.5 FTE)
• Cornell IT governance require programmers to
report to an IT director
Administrator & User Support Lead
• Technical administration of arXiv
submission process
• Support subject moderators
• Assist users and submitters
• Maintain user help pages &
process documentation
CY13 & CY14 Staffing: 0.20 Manager + 2.75
FTE Mod/Admin + 0.36 students
• Oversight of routine mod/admin task to
be discussed

11. Cornell University Library
• Manages the moderation of submissions and user
support
• Operates arXiv’s technical infrastructure
• Ensures long-term access
• Establishes and maintains partnerships
• Assumes financial responsibility
• Maintains transparent and open communication
• Provides legal protection
Scientific Advisory
Board
• Provides advice and guidance
pertaining to the intellectual
oversight of arXiv
• Oversees arXiv's moderation system
• Reviews the criteria and standards
for deposit in arXiv
• Proposes new subject or discipline
domains
Member Advisory
Board
• Advises CUL on issues related to:
o repository management and
development
o standards implementation &
interoperability
o development priorities
o business planning
o outreach and advocacy

12. Principles for Sustainability
1. Deep integration into academic community
and scholarly processes
2. Clearly defined mandate & governance
structure
3. Technology platform stability and innovation
4. Systematic development of content policies
5. Reliance on business planning strategies

13. Quality Control
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14. 14

15. 15

16. 16

17. 17

18. SUSTAINABILITY
Repository Architecture
Scientific Cultures
Discovery and Access
&
Other Stakeholders
Submission,
Moderation, Quality
Control
Financial Stability
Interoperability with
Related Systems

19. Sustainability and Business Models Session (12 minutes)
main mission of your service/infrastructure
maturity of the service
history of funding
history of the organization and attempts to create a sustainability model
the infrastructure
identification of users
identification of funding channels the governance of the infrastructure
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