Oya Y. Rieger, Cornell University
OpenAIRE, November 2013

1
• established in 1991 by
Paul Ginsparg
• has been hosted at Cornell
since 2001
• includes 887,000 e-prints (10/13)
• physi...
http://arxiv.org/help/support
https://confluence.cornell.edu/download/attachments/127116484/arXivPrinciplesMarch12.pdf

4
factor in various stakeholders’ perspectives
societies &
publishers
research
centers

repository
community

foundations &
...
Membership Program
• Engage libraries and research laboratories
worldwide that represent arXiv's heaviest
institutional us...
Business Model, 2013-2017
• Cornell University Library
– $75,000 per year in support of operational costs
– in-kind contri...
2013 Distribution of
arXiv Members
5-Year Pledges
Israel
2%
France (CCSD)
5%
Netherlands
3%
Switzerland
3%
Canada
4%
Swede...
Projected Expenses (2013-2017)
Description
Expense

2013

2014

2015

2016

2017

236,400
8,500
164,685
64,000
473,585

24...
arXiv Organizational Chart: Draft, August 24, 2013
University Librarian *
• Resolve disputes between CUL, MAB, SAB as they...
Cornell University Library
• Manages the moderation of submissions and user
support
• Operates arXiv’s technical infrastru...
Principles for Sustainability
1. Deep integration into academic community
and scholarly processes
2. Clearly defined manda...
Quality Control

13
14
15
16
17
SUSTAINABILITY
Repository Architecture
Scientific Cultures
Discovery and Access

&
Other Stakeholders

Submission,
Moderat...
Sustainability and Business Models Session (12 minutes)
main mission of your service/infrastructure
maturity of the servic...
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4th OpenAIRE Workshop Oya Rieger

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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

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4th OpenAIRE Workshop Oya Rieger

  1. 1. Oya Y. Rieger, Cornell University OpenAIRE, November 2013 1
  2. 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 2
  3. 3. http://arxiv.org/help/support
  4. 4. https://confluence.cornell.edu/download/attachments/127116484/arXivPrinciplesMarch12.pdf 4
  5. 5. factor in various stakeholders’ perspectives societies & publishers research centers repository community foundations & funding agencies libraries scientists open access community
  6. 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 6
  7. 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) 7
  8. 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 8
  9. 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 1 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. 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. 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. 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. 13. Quality Control 13
  14. 14. 14
  15. 15. 15
  16. 16. 16
  17. 17. 17
  18. 18. SUSTAINABILITY Repository Architecture Scientific Cultures Discovery and Access & Other Stakeholders Submission, Moderation, Quality Control Financial Stability Interoperability with Related Systems
  19. 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 19
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