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This article was downloaded by: [Umeå University Library] On: 22 April 2014, At: 20:51 Publisher: Routledge Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK Journal of Archival Organization Publication details, including instructions for authors and subscription information: http://www.tandfonline.com/loi/wjao20 Planting Seeds for a Successful Institutional Repository: Role of the Archivist as Manager, Designer, and Policymaker Melissa Watterworth a a University of Connecticut , Storrs, Connecticut, USA Published online: 14 May 2009. To cite this article: Melissa Watterworth (2009) Planting Seeds for a Successful Institutional Repository: Role of the Archivist as Manager, Designer, and Policymaker, Journal of Archival Organization, 7:1-2, 24-32, DOI: 10.1080/15332740902892544 To link to this article: http://dx.doi.org/10.1080/15332740902892544 PLEASE SCROLL DOWN FOR ARTICLE Taylor & Francis makes every effort to ensure the accuracy of all the information (the “Content”) contained in the publications on our platform. However, Taylor & Francis, our agents, and our licensors make no representations or warranties whatsoever as to the accuracy, completeness, or suitability for any purpose of the Content. Any opinions and views expressed in this publication are the opinions and views of the authors, and are not the views of or endorsed by Taylor & Francis. The accuracy of the Content should not be relied upon and should be independently verified with primary sources of information. Taylor and Francis shall not be liable for any losses, actions, claims, proceedings, demands, costs, expenses, damages, and other liabilities whatsoever or howsoever caused arising directly or indirectly in connection with, in relation to or arising out of the use of the Content. This article may be used for research, teaching, and private study purposes. Any substantial or systematic reproduction, redistribution, reselling, loan, sub-licensing, systematic supply, or distribution in any form to anyone is expressly forbidden. Terms & Conditions of access and use can be found at http://www.tandfonline.com/page/terms- and-conditions

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Page 1: Planting Seeds for a Successful Institutional Repository: Role of the Archivist as Manager, Designer, and Policymaker

This article was downloaded by: [Umeå University Library]On: 22 April 2014, At: 20:51Publisher: RoutledgeInforma Ltd Registered in England and Wales Registered Number: 1072954 Registeredoffice: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK

Journal of Archival OrganizationPublication details, including instructions for authors andsubscription information:http://www.tandfonline.com/loi/wjao20

Planting Seeds for a SuccessfulInstitutional Repository: Role of theArchivist as Manager, Designer, andPolicymakerMelissa Watterworth aa University of Connecticut , Storrs, Connecticut, USAPublished online: 14 May 2009.

To cite this article: Melissa Watterworth (2009) Planting Seeds for a Successful InstitutionalRepository: Role of the Archivist as Manager, Designer, and Policymaker, Journal of ArchivalOrganization, 7:1-2, 24-32, DOI: 10.1080/15332740902892544

To link to this article: http://dx.doi.org/10.1080/15332740902892544

PLEASE SCROLL DOWN FOR ARTICLE

Taylor & Francis makes every effort to ensure the accuracy of all the information (the“Content”) contained in the publications on our platform. However, Taylor & Francis,our agents, and our licensors make no representations or warranties whatsoever as tothe accuracy, completeness, or suitability for any purpose of the Content. Any opinionsand views expressed in this publication are the opinions and views of the authors,and are not the views of or endorsed by Taylor & Francis. The accuracy of the Contentshould not be relied upon and should be independently verified with primary sourcesof information. Taylor and Francis shall not be liable for any losses, actions, claims,proceedings, demands, costs, expenses, damages, and other liabilities whatsoever orhowsoever caused arising directly or indirectly in connection with, in relation to or arisingout of the use of the Content.

This article may be used for research, teaching, and private study purposes. Anysubstantial or systematic reproduction, redistribution, reselling, loan, sub-licensing,systematic supply, or distribution in any form to anyone is expressly forbidden. Terms &Conditions of access and use can be found at http://www.tandfonline.com/page/terms-and-conditions

Page 2: Planting Seeds for a Successful Institutional Repository: Role of the Archivist as Manager, Designer, and Policymaker

Journal of Archival Organization, 7:24–32, 2009Copyright © Taylor & Francis Group, LLCISSN: 1533-2748 print / 1533-2756 onlineDOI: 10.1080/15332740902892544

Planting Seeds for a Successful InstitutionalRepository: Role of the Archivist as Manager,

Designer, and Policymaker

MELISSA WATTERWORTHUniversity of Connecticut, Storrs, Connecticut, USA

Recent surveys indicate that many colleges and universities havereached a pivotal moment in assessing the function and future de-velopment of their institutional repositories. Other surveys conveythat archivists are participating in the development and implemen-tation of institutional repositories at a variety of levels and havecontributed to the broadening of content and source materials thatincreasingly reside in institutional repositories. Archivists reportthat institutional repositories have generally benefited archives byproviding a delivery mechanism for and enhancing access to in-stitutional records and digital collections. Case studies in recentpublications and conference proceedings further illustrate the ex-periences of archivists and reveal, however, that archivists havehad only limited success in realizing the promise of institutionalrepositories for digital preservation and for collaborating in newways with campus stakeholders.

KEYWORDS institutional repositories, digital collections, digitalpreservation

Among colleges and universities, institutional repositories (IRs) are broadlyconceived of as embracing the mission of a digital library to organize anddisseminate a diverse array of digital content. At research universities, in-stitutional repositories are “being positioned decisively as general-purposeinfrastructure within the context of changing scholarly practice,” and, in-creasingly, source materials of different types and formats reside in IRs.1 A

Address correspondence to Melissa Watterworth, MA, MSLIS, Curator of Literary, NaturalHistory, and Rare Books Collections, Thomas J. Dodd Research Center, University of Connecti-cut, 405 Babbidge Road Unit 1205, Storrs, Connecticut 06269. E-mail: [email protected]

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survey of several IR developers concluded that “institutional repositories (IRs)are becoming an extension of the institutional repository (archives).”2 Lessunderstood, however, is how archivists themselves are participating in theplanning, development, and early implementation of IRs and the benefitsyielded for institutional archives as a result of participation. Recent publi-cations and conference proceedings illustrate the experiences of archivistsat individual institutions. These studies identify areas where archives havehad fruitful engagements with IR development and demonstrate challengesto achieving IRs’ potential for collaboration with campus stakeholders anddigital preservation that continue to persist today.

In general terms, an institutional repository, as defined by Clifford Lynch,Director of the Coalition for Networked Information, is a “set of services thata university offers to the members of its community for the management anddissemination of digital materials created by the institution and its communitymembers” that most essentially embodies “an organizational commitmentto the stewardship of these digital materials, including long-term preserva-tion where appropriate, as well as organization and access or distribution.”3

Many colleges and universities that have implemented institutional IRs havereached a pivotal moment in assessing their function and determining theirfuture development. Several recent surveys seek to ferret out the commonchallenges faced by early implementers of IRs and to address the need formetrics and assessment measures.4 Citing a lack of steady growth in both IRcollections and usage statistics, some surveys are directed at understandingfaculty work methods, publishing practices, and attitudes about IRs.5 Yet,while most research libraries consider IRs to be an essential service in thesupport of scholarship in the digital age, academic institutions consideringimplementing an IR today are more likely to engage in needs assessmentsand pilot projects before committing to development and support for thelong term.6

In a 2006 report, the Association of Research Libraries anticipated that bythe end of 2007, 55 percent of its member institutions would have operationalIRs. Results of this survey indicate that, although academic units and graduatestudy programs are strong advocates for the establishment of campus IRs,libraries have been the driving force in planning and implementation ofrepositories at colleges and universities. Functional expertise is consideredthe most important quality when planning and developing IRs, with archivesand IT identified among expertise most desirable.7 A separate survey of IRdevelopers indicated that they perceive archivists as being actively involvedand “leading the charge to get involved with IRs” at their institutions (rankingfourth among the top five positions involved).8 In practice, however, fewarchivists are consulted prior to implementation.9 In terms of operations,one survey revealed that academic libraries are the principal managers andfunders of IRs and provide the most staffing to support it.10 Where librariesare the managers and operators of their campus IR, operational staffs are

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derived from the technical, archives, cataloging, and collection developmentunits of the library.11

All surveys of IR implementers indicate that while purposes for im-plementation are common among the majority of libraries, the deploymentstrategies, goals, technical systems, and administration of IRs are uniqueto each institutional context. Additionally, while preservation is consideredamong the most important benefits of an IR, few IRs have in their mis-sion the goal of long-term stewardship and preservation of digital content.12

Given these facts, one might assume that benefits to those archives that helpshape the development of IRs and the challenges encountered will reflectinstitutional circumstances as well. Case studies reveal however that whenarchivists have had fruitful engagement with development, it has largely im-pacted collection development scope and content in IRs. What follows is asummary of archivists’ recent experiences at a variety of institutions; theseserve to illustrate in a more nuanced way the issues, achievements, andchallenges encountered during the development process.

At the 2007 meeting of the New England Archivists, “Dialogues: NewDirections for College, University, and Schools Archives,” archivists for eachsession were invited to report on their experiences and to convene smalldiscussion groups to further explore the issues. Joan Krizack, UniversityArchivist and Head, Special Collections at Northeastern University, has beeninvolved with the institution’s IR since 2002 when, as a component of thelibrary’s strategic plan, a committee was formed to explore the feasibilityof developing an IR with a contracted vendor. Northeastern University is alarge, private research university with high undergraduate enrollment anda comprehensive doctoral program.13 From 2002 to 2004, Krizack and herteam—including the Dean of the Libraries, systems and reference librari-ans, applications specialists, and members of the faculty—defined the scopeof the repository, explored costs, created functionality and implementationmodels, established collection development guidelines and procedures, andarrived at a phased plan for community engagement and marketing. Sinceits rollout in 2005, Krizack has served as repository manager and communityadministrator for university archives collections in the IR. Discussion amongconference attendees was facilitated by Krizack, who asked attendees toreflect on the various roles for archivists in planning, implementation, andcontributing to an IR. Krizack focused discussion to highlight those areaswhere archival knowledge and expertise should impact IR development atdifferent stages and ultimately contribute to its successful implementation.

Archivists’ expertise, according to Krizack, would find its most con-structive application during the development stages of an IR in the areas ofdonor relations and content recruitment, selection, appraisal, arrangement,and preservation. It is critical at this stage for archivists to advocate for a ma-jor role in formulating the mission and scope of the IR and to ensure that themission to collect, preserve, and make accessible the intellectual output of

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faculty and students reflects the spectrum of output of the university commu-nity as a whole (including born-digital administrative records and historicallysignificant institutional records that have been digitized). Archivists’ knowl-edge of users and use of source materials for research is valuable for craftingcollection development policies, targeting user constituencies, and recruitingcontent. Archivists’ understanding of their physical repositories and the localpolicies already in place—including archival descriptive standards, organiz-ing principles, donor agreements, and practices for the capture of structuraland preservation metadata—is important for developing collection devel-opment guidelines, submission and distribution agreements, and workflowsof the IR. It is during the development phase of an IR that the archivists’knowledge of preservation standards for electronic records can help ensurethat its systems design and service model reflect an institutional commit-ment to access through time and, ideally, digital preservation. Benefits tothe archives for participating in the planning and development of an IR,Krizack has found, include the opportunities to contribute archival expertiseand knowledge of professional standards, to demonstrate the importanceof the archives and the historical record to the college or university com-munity, and to collaborate in new ways with content creators and campusstakeholders. Krizack continues to work toward the goal of gaining supportfor archival programs such as records management from the library, IT, andcampus administrators.

According to a 2006 survey of archival repositories, including those inpublic and private academic libraries, the majority of respondents rankedthe preservation of electronic records and born-digital materials as the mostsignificant issue in their workplace today.14 Yet in that same year, an Na-tional Historic Publications and Records Commission (NHPRC)–funded studyof college and university archives revealed that less than 8 percent of re-spondents had a formal electronic records management program in place.Questions remain with regard to whether an IR system offers a reliable,standards-based infrastructure for records management or a usable and con-textually appropriate mechanism for the delivery of digital collections held bythe archives. Case studies that address some of these questions are emergingin the print literature.

The Digital Library Initiatives group, now the Center for Digital Schol-arship, at Rice University has demonstrated that the role of an IR can beexpanded to serve as digital archive for a range of scholarly endeavors.15

Rice University is a private, medium-sized research university with a major-ity undergraduate enrollment profile. Through significant developments intechnical infrastructure and the adoption of the METS (Metadata and En-coding Transmission Standard) standard for metadata, the university’s im-plementation of DSpace was modified to capture and deliver an expandedrange of digital content. Digitized documents including journal preprints,dissertations, and digitized source materials held by its archives and libraries

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(including images and audio) as well as born-digital research materials cannow be accessed from the IR. The IR serves as a portal to integrate contentand centralize search and retrieval across digital library projects, includingcomplex digital objects such as XML-coded texts and harvested metadata foreducational modules that reside in another system. The university’s archivesbenefit from this expanded functionality as access to digital collections ofarchival materials is enhanced and supported centrally by IT services ratherthan via a local implementation of a content management system.

Many college and university archivists who contribute content to IRsreport that the systems, while not appropriate for the acquisition and preser-vation of many types of electronic records, are useful for disseminating andmaking accessible particular record types or groupings (series) of materials.Browsing the collections listed among the Registry of Open Access Repos-itories (ROAR), one indeed finds a commonality in material types currentlyavailable in IRs, indicating that archivists are highly selective in their con-tent submissions.16 Foundation documents, institutional publications, collegehistories, speeches of campus administrators, board minutes and senate pro-ceedings, undergraduate theses, historic photographs, and digital collectionsfrom archival holdings are among the most common document types repre-sented within institutional archives communities in ROAR. The experiencesof Tim Pyatt, University Archivist and Associate Director of the Rare Book,Manuscript, and Special Collections Library at Duke University, with manag-ing the records of the Public Affairs office at the university offer insight intothe issues associated with appraising and processing electronic records ofhistoric value and with identifying the appropriate tools for providing accessto these electronic records.

Duke University is a large, private research university with a compre-hensive doctoral program and a majority graduate/professional enrollmentprofile. The University’s Division of Public Affairs began to phase out pa-per publications in the late 1990s and by 2004 was conducting its newsand communication business and disseminating the bulk of its press re-leases electronically. Records were transferred to the archives according tothe retention schedule created by the campus records manager. Significantdifficulties arose when Pyatt attempted to accession and process (assess fileformat, establish authenticity, and capture metadata) digital media files cre-ated by the division. Electronic press releases and news stories, on the otherhand, were more readily processed by adapting local work flows (used foranalog materials) and establishing records management protocols with thedivision prior to transfer. Plans were made to provide access to the unre-stricted press releases and news stories, more than 10,000 items, via the Web.Pyatt determined that “archival finding aids do not generally offer the samelevel of searchable metadata that users expect from online digital records”and that item-level description, which he had done selectively for otherelectronic documents (such as speeches) to enhance retrieval, “proved too

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labor-intensive for the large volume of files.” He decided instead to explorethe newly launched IR “DukeSpace” for providing access to and searchingof the files. In the DSpace structure, Pyatt established a University Archivescommunity, a “News and Communication” collection within the commu-nity and within it, a series-level metadata record for press releases by date.The system proved insufficient for batch-loading, describing, searching, anddisplaying archival records according to the hierarchical arrangement he en-visioned. Pyatt also discovered that the system (in its standard configuration)lacked functionality for searching by title and the full-text of individual doc-uments. He reports that he is currently working with information technologystaff to improve the functionality of the IR system with regard to full-textsearching and is exploring tools to facilitate processing of electronic recordsin the archives. Pyatt’s experimentation with managing and providing accessto electronic records via the IR led him to conclude that archivists need toreevaluate accessioning and processing procedures, identify appropriate ac-cess tools, and facilitate the development of improved searchability in orderto enable a level of access that users expect and that particular documentsrequire in an IR.17 Pyatt’s experience leading the development of functionalimprovements to an IR serves the needs of a broad user constituency and,as is consistent with other published studies, is likely to foster and sustainsuccessful engagement with content contributors.18

Many university archives responsible for preserving electronic recordslack the resources to develop and implement a trustworthy repository ordigital preservation program on their own. They acknowledge that estab-lishing partnerships with campus departments, peer institutions, and con-sortiums is necessary in order to pursue, shape, and eventually achievetheir preservation objectives. While the professional literature appears toreflect the observations of many in the fields of information science andlibrary automation—that the fundamental services of repositories are stillevolving—developers are emphasizing the need to do more with repositorysystems and to exploit the scalability and flexibility that some of the sys-tems offer. They urge repository planners and administrators to support anumber of value-added services, including models that support a phasedapproach to preservation services, in their business plans and developmenttargets.19 Stakeholders—principally humanities scholars, faculty, archivists,and librarians—argue for increasing the amount and integration of digitalcollections and for building the advanced tools necessary to make themrelevant and usable.20

The partnership of the Perseus Project and the Digital Collections andArchives program at Tufts University serves as a successful working modelof collaboration between stakeholders and developers for the purpose of“pushing the boundaries of digital library technology for humanities col-lections.” The collaboration was founded in the common desire to build afoundation for preservation of digital assets as a complement to the array

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of digital libraries and services available throughout the institution. TuftsUniversity is a medium-sized, private research university with a majority un-dergraduate enrollment profile. Anne Sauer, Director and University Archivistat Digital Collections and Archives, which administers Tufts Fedora-based IR,worked with a team of librarians and IT specialists to determine benchmarksfor the repository’s success, a work plan for addressing digital preserva-tion needs (and establishing trust), and a list of services that support us-ability and sophisticated use of repository content. In an outline of theirwork in the Journal of Digital Information, members of Digital Collectionsand Archives provided expertise in preservation, policies, and user services.The Perseus Project brought their experience in developing innovative toolsthat support use of digital collections to the team. Together they “recog-nized that our viability as a repository program depends on forging strongpartnerships” as well as a “marriage of preservation and services, data andtools.”21

CONCLUSION

Using the results of recent surveys of IR implementers and case studies inprofessional literature as indicators, archivists at colleges and universitiesare participating in the development and implementation of IRs at a varietyof levels. The degree to which this is occurring and its impact are difficultto gauge. Among early implementers, archivist participation appears to behighly influenced by timing of engagement (development phase) and charac-teristics of campus development contexts, namely method of IR deployment,systems deployed, services provided, and administration. Meaningful contri-butions by archivists emerge in the following areas: systems selection, collec-tion development, community engagement, and user behavior. Case studiesdemonstrate that archivists have had some success influencing IR scope,content, and functionality yet continue to encounter challenges in terms ofacquiring services needed to carry out the archives’ mission including acqui-sition and delivery of born-digital archival records, digital preservation, andIT support for tool development.

Although challenges persist in gaining institutional support for digitalpreservation in the planning and implementation of IRs, surveys show thatdigital preservation planning in colleges and universities overall is in its in-fancy. Perhaps the challenge for college and university archivists, in turn, isto find ways to influence development of digital preservation policy ratherthan the deployment of particular systems. With the eventual implementationof scalable, trusted digital repository systems, archivists need to articulate theprinciples of stewardship—trust, authenticity, and integrity—and their em-bodiment in records of enduring value. As the Tufts University study illus-trates, archival expertise will accordingly be necessary for preservation policy

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planning, establishing benchmarks for successful repository implementation,and development of functional service models. Additionally and importantly,archivists will need to foster a shared vision and sense of commitment amongcampus stakeholders and leverage their own abilities for collaboration.

NOTES

1. Joan K. Lippincott and Clifford Lynch, “Institutional Repository Deployment in the United Statesas of Early 2005,” D-Lib Magazine 11, no. 9 (September 2005): 5–9.

2. Elizabeth Yakel, Soo Young Rieh, Beth St. Jean, Karen Markey, and Jihyun Kim, ““InstitutionalRepositories and the Institutional Repository: College and University Archives and Special Collections inan Era of Change,” American Archivist 71, no. 2 (Fall/Winter 2008): 323–349.

3. Clifford Lynch, “Institutional Repositories: Essential Infrastructure for Scholarship in the DigitalAge,” ARL Bimonthly Report, 226 (February 2003): 2–3.

4. Charles W. Bailey, Institutional Repositories (SPEC Kit 292, Washington, DC: Association ofResearch Libraries, July 2006).

5. Nancy Fried Foster and Susan Gibbons, “Understanding Faculty to Improve Content Recruit-ment for Institutional Repositories,” D-Lib Magazine 11, no. 1 (January 2005): 4–5; Philip M. Davisand Matthew J. L. Connolly, “Evaluating the Reasons for Non-use of Cornell University’s Installation ofDSpace,” D-Lib Magazine 13, nos., 3/4 (March/April 2007): 8–11.

6. Karen Markey, Soo Young Rich, Beth St. Jean, Jiyhun Kim, and Elizabeth Yakel, Cen-sus of Institutional Repositories in the United States MIRACLE Project Research Findings (Washington,DC: Council on Library and Information Resources, 2007), available at http://www.clir.org/pubs/reports/pub140/pub140.pdf.

7. Bailey, Institutional Repositories.8. Yakel and others, “Institutional Repositories and the Institutional Repository,” 333.9. Douglas Bicknese, “Institutional Repositories and the Institution’s Repository: What is the Role

of the University Archives with an Institution’s On-line Digital Repository,” Archival Issues: Journal of theMidwest Archives Conference 28, no. 2, (2003/2004): 82–90; Markey and others, Census of InstitutionalRepositories in the United States MIRACLE Project Research Findings.

10. Bailey, Institutional Repositories.11. Ibid.12. Markey, Census of Institutional Repositories in the United States MIRACLE Project Research

Findings.13. Classification of universities is according to the Carnegie Classification of Institutions of Higher

Education, available at http://www.carnegiefoundation.org/classifications/.14. Susan E. Davis, “Electronic Records Planning in ‘Collecting’ Repositories,” American Archivist

71, no. 1 (Spring/Summer 2008): 178–179.15. Marie Wise, Lisa Spiro, Geneva Henry, and Sidney Byrd, “Expanding Roles for the Institutional

Repository,” OCLC Systems & Services 23, no. 2 (2007): 216, 222–223.16. See Registry of Open Access Repositories (ROAR), available at http://roar.eprints.org/.17. Tim Pyatt, “Managing Public Affairs Records in the Digital Age,” Society of American

Archivists Campus Case Studies—Case 6 , April 2006, available at http://www.archivists.org/publications/epubs/CampusCaseStudies/casestudies/Case6-Pyatt-FINAL.pdf.

18. Rea Devakos, “Towards User Responsive Institutional Repositories: A Case Study,” LibraryHi-Tech 24 no. 2 (2006): 3–4.

19. Steve Hitchcock, Tim Brody, Jessie M. N. Hey, and Leslie Carr, “Digital Preservation Ser-vice Provider Models for Institutional Repositories,” D-Lib Magazine 13, nos. 5/6, (May/June 2007):4; Paul Conway, “Modeling the Digital Content Landscape in Universities,” Library Hi-Tech 26, no.3, (2008); Kevin Glick and Eliot Wilczek, “Fedora and the Preservation of University Records Project,Conclusions and Future Directions” (September 2006), available at http://dl.tufts.edu/view pdf.jsp?urn=tufts:central:dca:UA069:UA069.004.001.00012 and http://repository01.lib.tufts.edu:8080/fedora/get/tufts:UA069.004.001.00012/bdef:TuftsPDF/getPDF.

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20. American Council of Learned Societies, “Our Cultural Commonwealth: The Report of theAmerican Council of Learned Societies Commission on Cyberinfrastructure for Humanities and SocialSciences,” available at http://www.acls.org/cyberinfrastructure/OurCulturalCommonwealth.pdf.

21. Robert Chavez, Gregory Cane, Anne Sauer, Alison Babeu, Adrian Packel, and Gabriel Weaver,“Services Make the Repository,” Journal of Digital Information 8, no. 2 (2007).

ABOUT THE CONTRIBUTOR

Melissa Watterworth, MA, MSLIS, is Curator of Literary, Natural History andRare Books Collections, Thomas J. Dodd Research Center at the Universityof Connecticut in Storrs, Connecticut. Together with her curatorial duties,Melissa is charged with leading the center in establishing guidelines for theappraisal and acquisition of manuscript collections in electronic form.

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