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One of the reasons for using download statistics as the basis of the arXiv tier model is the challenges associated with tracking submissions from a particular institution to arXiv. The author metadata arXiv collects is not sufficiently consistent to support systematic submission analysis. Manual analysis of a single month of submissions in 2013 indicated a similar ranking in submission- and download-based data. During the arXiv-NG initiative, arXiv expects to undertake metadata remediation to improve the authorship data for existing submissions (including full ORCID implementation). In the current version of arXiv, it would be difficult to support a reliable submission-based tier model. While we do require submitters to register their institutional affiliation when they register an account with us, and most submitters are authors in the papers they submit (though not necessarily first authors), the relationship between the submitter and the submission’s author metadata is still rather weak. We allow submitters to supply affiliation information in the author metadata, but it’s neither enforced nor widely used. This makes it especially difficult to report on the institutional affiliation of co-authors. In order to implement a submission-based tier model, we will need to expand arXiv’s data model to better integrate with ORCIDs to start. In some cases (like large collaborations), it would still be difficult to expect submitters to provide complete authorship and affiliation data; here it would be helpful have tools to extract this information from the full-text automatically.
What are the expenses and revenue sources for
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2018–2022?
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.
arXiv Summary Budget | 2017 | 2018 | 2019 | 2020 | 2021 | 2022 |
Revenue | ||||||
Member contributions | $400,000 | $500,400 | $500,400 | $500,400 | $500,400 | $500,400 |
Simons Foundation Annual Commitment | $100,000 | $100,000 | $100,000 | $100,000 | $100,000 | $100,000 |
Simons Foundation Matching Fund | $300,000 | $300,000 | $300,000 | $300,000 | $300,000 | $300,000 |
CUL Direct Contribution & Leadership 1 | $75,000 | $170,000 | $170,000 | $175,000 | $175,000 | $180,000 |
Online donation program & gifts | $50,000 | $50,000 | $50,000 | $50,000 | $50,000 | $50,000 |
Total Revenue | $925,000 | $1,120,400 | $1,120,400 | $1,125,400 | $1,125,400 | $1,130,400 |
Expenses | ||||||
Direct Expenses | $925,000 | $1,044,600 | $1,066,103 | $1,097,551 | $1,124,792 | $1,157,851 |
Indirect Expenses | ||||||
College and dept administration and staff support 2 | $240,500 | $271,596 | $277,187 | $285,363 | $292,446 | $301,041 |
Facilities 3 | $101,750 | $114,906 | $117,271 | $120,731 | $123,727 | $127,364 |
Total Indirect Expenses | $342,250 | $386,502 | $394,458 | $406,094 | $416,173 | $428,405 |
Contribution to Reserve | $0 | $75,800 | $54,298 | $27,849 | $608 | -$27,451 |
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Notes
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- In 2018, CUL’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 salary is not considered an indirect cost due to its prominent role and included in the budget as a direct expense line
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Suggest rephrasing: 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 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 in-kind staff contribution) at 11%
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What is the staffing configuration for Classic arXiv?
Position Description | Staff | 2018 | 2019 | 2020 | 2021 | 2022 | |
User support (management + staff + student) | 1FTE Entwood, 1FTE Weiskoff, 1FTE Salguero, 0.5FTE Goldweber, 0.6FTE students | 4.1 | 4.1 | 4.1 | 4.1 | 4.1 | |
IT (management + staff) | 1FTE Lessmeister, 1FTE Caruso, 0.5FTE Fielding, 0.5FTE Perez, 0.50FTE Barker (CAC) | 3.5 | 3.5 | 3.5 | 3.5 | 3.5 | |
Leadership: Program Director , Scientific Director, CTO | 0.4FTE Rieger , 0.4FTE Scientific Director, 00.3FTE Payette | 1.1 | 1.1 | 1.1 | 1.1 | 1.1 | |
Membership, Finance, Policy– included in indirect | 0.2FTE McLaren, 0.1FTE Steinhart, 0.15FTE Bolduc | 0.45 | 0.45 | 0.45 | 0.45 | 0.45 | |
Total FTE: | 9.15 | 9.15 | 9.15 | 9.15 | 9.15 |
Green indicates staff lines that are not included in the budget as they are considered CUL’s contributions.
Purple indicates a line that is assumed by CUL (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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What funds are generated through the online giving campaigns?
arXiv has run two three week-long online giving campaigns to-date: the first campaign in September 2015 generated about $16,200 in donations and a campaign , the second in June–July 2016 generated approximately about $31,475 in donations, and a campaign in February-March 2017 generated around $31,700. We aim to raise at least $50,000 per year through online giving campaigns. A secondary goal of the online giving campaigns is to remind arXiv users that although arXiv.org is free to use, it is not free to produce.