Organizational and Business Perspectives on Open Access to Information

1. Organizational and Business Perspectives on Open Access to Information Oya Y. Rieger Cornell University Library LVI 2012

5. established in 1991 by Paul Ginsparg • has been hosted at Cornell since 2001 • includes 790,000 e-prints • 2011 • 76,578 new submissions • ~50 million downloads

6. 2011 Institutional Downloads by Domain Name

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)

9. Sociotechnical Systems • interrelatedness of social and technical aspects of an information systems • networks of content, people, work practices, values, and policies

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

13. 1. Deep Integration into Academic Community & Scholarly Processes • Factor in research, communication, and collaboration practices & values • Balance IT bandwidth with sociocultural bandwidth • Implement user-based strategies & feedback cycles

14. 2. Clearly Defined Mandate & Governance Structure • Ensure that an organization has the means to: • envision its future • implement the vision • sustain the process over time • Tenets: • Participatory, accountable, transparent, responsive, equitable, and inclusive

15. arXiv -- Key Principles • General • arXivprovides an open access repository of scientific research to authors and researchers worldwide. • arXiv is a scholarly communication forum informed and guided by scientists and the scientific cultures being served. • Editorial • Criteria and standards for deposit in arXiv are maintained by the Scientific Advisory Board. • Economic • arXiv is supported financially by Cornell University Library and a global collective of institutional members with potential foundation grants • Governance

16. Cornell University Library • Manages the moderation of submissions and user support; • Operates arXiv’s technical infrastructure; • Ensures long-term access and maintains arXiv mirror sites. • Establishes and maintains partnerships with related initiatives; • Assumes financial responsibility for running arXiv; • Maintains transparent and open communication; • Provides legal protection. Member Advisory Board Scientific Advisory Board • Provide advice and guidance pertaining to the intellectual oversight of arXiv • Oversee arXiv'smoderation system. • Review the criteria and standards for deposit in arXiv • Propose new subject or discipline domains • Advise CUL on issues related to: • repository management and development, • standards implementation, interoperability, • development priorities, • business planning • outreach and advocacy.

17. 3. Technology Platform Stability and Innovation • Repository ecology: • interoperability & relation to other repositories • lowering the barriers in contributing content in multiple repositories • discovery & access: increasing relevance • archiving for access by designated communities • features in support of supplementary information objects

18. 4. Systematic Development of Content Policies • Clearly defined collection policies and submission guidelines • Quality control & endorsement systems • Scholarly communication chain • version control & persistence • author name disambiguation

19. 5. Reliance on Business Planning Strategies • Key elements of a business planning • Value proposition • Stakeholders’ perspectives • Financial planning – costs & revenues • ROI • Communication plan

20. SUSTAINABILITY