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Started in August 1991 by Paul Ginsparg, arXiv.org is internationally acknowledged as a pioneering digital archive and open access distribution service for research articles. The e-print repository, which moved to the Cornell University Library in 2001, has transformed the scholarly communication infrastructure of multiple fields of physics and plays an increasingly prominent role in mathematics, computer science, quantitative biology, quantitative finance, and statistics. arXiv is an essential component of scientific communication for many researchers worldwide in order to rapidly and widely disseminate their findings, establish priority of their discoveries, and seek feedback to help improve their work.As of February 2017, arXiv includes over 1.2 million e-prints. During 2016, the repository saw 113,380 new submissions and over 100 million downloads from all over the world. arXiv  arXiv has an international scope, with submissions and readership from around the world, and collaborations with U.S. and foreign professional societies and other international organizations. Including indirects, arXiv’s operating costs for 2017 are projected to be approximately $1.2 million, including 9 FTE staff, server maintenance, and networking. Please see the recent arXiv update for additional information.

The sustainability model lays out a business model for arXiv including anticipated expenses, potential revenue streams, value propositions, and communication strategies. The plan entails only the regular operation of arXiv—in other words, what we call “keeping the lights As 2017 is the last year of the current  five-year business model , working with the Member Advisory Board (MAB), the arXiv team has created a sustainability model for 2018–2022. The purpose of the plan is to lay out a business model for arXiv including anticipated expenses, potential revenue streams, value propositions, and communication strategies. The plan entails only the regular operation of arXiv—in other words, what we call “keeping the lights on.” It should be seen as a baseline operational budget, as it does not factor in additional expenses required for R&D or new development projects such as arXiv-NG.  

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the next-gen arXiv (arXiv-NG) initiative.  

What is arXiv's Financial Model for 2018-2022?

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. 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. As of February 2017, we have 206 members representing 25 countries. arXiv’s sustainability plan is founded on and presents a business model for generating revenues and a set of governance, editorial, and financial principles. Cornell University Library (CUL), the Simons Foundation, and a global collective of institutional members support arXiv financially. The financial model for 2013–2017 entails three sources of revenues: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:

• Cornell provides a cash subsidy of $170

CUL provides a cash subsidy of $75

• ,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

• The Simons Foundation

contributes

•  contributes $100,000 per year

($50,000 prior to 2016)

• 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

four

• six tiers from $1

,500 to $3,000.

In 2016, Cornell raised approximately $515,000 through membership fees from 201 institutions and the total revenue (including CUL, Simons Foundation direct contributions, and online fundraising) is around $1,015,000. 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.

• ,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.

What is arXiv-NG, and how is it funded?

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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.  Please see the recent arXiv update  for additional information.

What is the tier model for 2018–2022?

Note: The goal of Tier 6 is to provide an equitable and affordable fee to allow participation. Although we focus our membership drive on the top 200 institutions, we would like to encourage other libraries to contribute.

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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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The draft budget factors in support only for the routine, daily arXiv operation. It does not include resources needed for significant improvements, emergency interventions (server failure), special projects, or research and innovation. This budget does not consider the nascent arXiv-NG initiative as the new development initiative needs to be supported by an additional fund raising effort. As we transition from Classic arXiv (current system) to arXiv-NG in approximately 2020, the annual expenses will need to be adjusted, taking into consideration the staffing needs of the new architecture.

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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What is the staffing configuration for Classic arXiv?  

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).

Please see the recent arXiv update  for up-to-date information.

What funds are generated through the online giving campaigns?

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