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Since 2010, Cornell’s sustainability planning initiative has aimed to reduce arXiv’s financial burden and dependence on a single institution, instead creating a broad-based, community-supported resource. We remain grateful for the support from the Simons Foundation that encouraged long-term community support by lowering arXiv membership fees and making participation affordable to a broad range of institutions. This model aims to ensure that the ultimate responsibility for sustaining arXiv remains with the research communities and institutions that benefit from the service most directly.arXiv’s funding and governance for the current operation (Classic arXiv) is based on a membership program engaging libraries and research laboratories worldwide that represent the repository’s heaviest institutional users. The financial model for 2018–2022 entails four sources of revenues:

• CUL provides Cornell provides a cash subsidy of $170,000 per year in support of arXiv’s operational costs (including the Program Director salary and benefits). In addition, CUL Cornell makes an in-kind contribution of all indirect costs, which currently represents 37% of total operating expenses.

• The Simons Foundation contributes $100,000 per year in recognition of CUL’s Cornell’s stewardship of arXiv. In addition, the Foundation matches $300,000 per year of the funds generated through arXiv membership fees.

• Each member institution pledges a five-year funding commitment to support arXiv. Based on institutional usage ranking, the annual fees are set in six tiers from $1,000 to $4,400.

• Grants funds from foundations and agencies (e.g., Sloan Foundation and Heising-Simons Foundation) to assist with special projects such as the arXiv-NG.

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Another source of funding in support of arXiv-NG came from the Allen Institute for Artificial Intelligence (AI2). An initial gift of $200,000 for 2017 will support a collaboration between the Cornell University Library and Cornell Computing and Information Science (CIS). This donation will allow us to hire a Research and Innovation Fellow to collaborate with the arXiv team in designing and integrating a series of updated, research-oriented features for arXiv. The ultimate goal is to integrate tools emerging from research into the production system to improve user and moderator experience.

In addition to supporting Classic arXiv through the membership model, Cornell University Library will University will continue to raise funds through grant proposals to agencies and foundations in order to fund the arXiv-NG initiative. Also, there will be some reliance on development reserve funds as needed.

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• Given the erosive effect of inflation, a $3,000 fee in 2012 is worth $2,587 in 2016. In other words, total arXiv member fees are worth about 85% of their 2012 value.

• arXiv’s user support and development costs have increased due to the incorporation of unforeseen or underestimated expenses, including staffing. The new lines include Scientific Director (vacant, 0.4 FTE), CTO (0.30 FTE), paid moderation for physics.gen-ph, and 1.5 FTE additional developer time (including UX; see arXiv 2016 organization chart ).

• The operational cost upsurge reflects the increase in user submissions and the proportional increase in workload for administrators. As illustrated below, the annual submissions since 2012 have increased by 35%. During 2012–2016, the number of submissions grew from 84,000 to 113,400.

• The new tier and fee structure aims to be more equitable as the number of downloads from the top 20 institutions corresponds to 22% of the total downloads, while the sum of their contributions corresponds to less than 10% of all member contributions.

• In addition to the CUL’s Cornell’s indirect contributions, the Library’s direct University"s direct financial contribution will increase to $170,000, including the salary of Program Director (.40 FTE), which is not considered an indirect expense line.

• To simplify the application of the fee structure for both member institutions and for arXiv, institutional tier rankings will be assigned based on a three-year rolling average of use (institutional downloads).

• Without an increase in the member fees, arXiv would run a deficit of $450,000 for 2018–2022, an average of $90,000 per year. If CUL is Cornell is unable or unwilling to absorb increased operating deficits, arXiv support and development spending will need to be cut or the service will need to be transitioned to a new host.

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1. In 2018, CUL’s Cornell’s direct financial contribution will increase from $75,000 to $170,000, including the salary of Program Director (.40 FTE) as a bridging strategy until we identify additional revenue sources. The MAB recommended that the Program Director's salary be considered a direct cost due to its prominent and necessary role. Prior to 2018 this position has been included with indirect costs.  
2. University-negotiated indirect cost rate for administration & staff support (HR, finance, facility & IT); based on direct costs (less CUL inCornell in-kind staff contribution) at 26%. Includes McLaren (0.2 FTE), Steinhart (0.1 FTE), Bolduc (0.15 FTE).
3. University-negotiated indirect cost rate for maintenance, custodial & other facility-related costs; based on direct costs (less CUL inCornell in-kind staff contribution) at 11%.

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Green indicates staff lines that are not included in the budget as they are considered CUL’s Cornell’s contributions.

Purple indicates a line that is assumed by CUL Cornell (in addition to indirects); however, it would be reconsidered as we secure additional income (e.g., add a Society membership tier).

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