Census of Institutional Repositories in the United States MIRACLE Project Research Findings by Karen Markey, Soo Young Rieh, Beth St. Jean, Jihyun Kim, and Elizabeth Yakel February 2007 Council on Library and Information Resources Washington, D.C. ii ISBN 978-1-932326-28-4 CLIR Publication No. 140 Published by: Council on Library and Information Resources 1755 Massachusetts Avenue, NW, Suite 500 Washington, DC 20036 Web site at http://www.clir.org This publication is available online at no charge at http://www.clir.org/pubs/abstract/pub140abst.html. Copyright 2007 by the Council on Library and Information Resources. No part of this publication may be reproduced or transcribed in any form without permission of the publishers. Requests for reproduction or other uses or questions pertaining to permissions should be submitted in writing to the Director of Communications at the Council on Library and Information Resources. iii Contents List of Illustrations . v About the Authors . vii Authors' Acknowledgments . viii Foreword . .ix Abbreviations . .xi Executive Summary . 1 1 Background and Methodology . 7 1.1 The Impetus for the MIRACLE Project’s Census of IRs in the United States . 7 1.2 Obtaining a Mailing List of Academic Library Directors . 8 1.3 Conducting Comparative Analysis of Survey Software . 8 1.4 Drafting and Pretesting Survey Instruments . 9 1.5 Setting Up Survey Administration Procedures and Protocol . 9 1.6 Data Collection . 10 1.7 Data Analysis . 12 1.8 Chapter 1 Summary . 12 2 The Institutions and the People Involved with IRs . 13 2.1 Census Respondents . 13 2.2 Using CCHE to Characterize Participating Institutions . 16 2.3 Positions of the People Involved with IRs. 18 2.4 Number of People Involved with IRs. 20 2.5 Positions of People Involved with IRs . 20 2.6 The Responsibility for the IR . 23 2.7 Involvement with IRs . 23 2.8 Chapter 2 Summary . 24 3 The Budget for an IR . 25 3.1 Sources of Funding . 25 3.2 IR Budget Line Items . 27 3.3 Chapter 3 Summary . 28 4 Important Investigative Activities . 29 4.1 Important Investigative Activities . 29 4.2 The Needs Assessment . 31 4.3 Pilot Testing IR Software Packages. 32 4.4 Next Steps Pertaining to the IR Effort . 34 4.5 Chapter 4 Summary . 37 5 IR Systems and Features . 38 5.1 Number of IRs at Institutions . 38 5.2 IR Software . 38 5.3 IR-system Features . 40 5.4 Migrating to a New IR . 41 5.5 Chapter 5 Summary . 42 iv 6 IR Practices and Policies . 43 6.1 The Number of Digital Documents in IRs . 43 6.2 Digital Document Types in IRs . 44 6.3 Status of IR Policies . 46 6.4 File Formats Guaranteed in Perpetuity . 50 6.5 Contributors to IRs . 52 6.6 Chapter 6 Summary . 57 7 IR Benefits and Beneficiaries . 58 7.1 Benefits of IRs. 58 7.2 Building Relationships . 61 7.3 Deploying a Successful IR . 62 7.4 IR Contributors . 63 7.5 Evaluation Methods . 65 7.6 Chapter 7 Summary . 66 8 Institutions That Have No Involvement with IRs . 67 8.1 Reasons for No Planning . 67 8.2 IR-related Activities. 69 8.3 Likelihood of IR Planning . 72 8.4 Chapter 8 Summary . 72 9 Discussion of Census Findings . 74 9.1 The Sleeping Beast of Demand for IRs from Master’s and Baccalaureate institutions. 74 9.2 Verifying Previous Survey Findings Pertaining to Institutions Involved with IRs. 78 9.3 Building on Our Knowledge of IRs . 79 9.4 Observations on Long-term Issues Pertaining to IRs. 85 9.5 Chapter 9 Summary . 90 APPENDIX A. Advisory Group Members . 92 APPENDIX B. Questionnaire for No Planning (NP) Respondents . 93 APPENDIX C. Questionnaire for Planning Only (PO) Respondents . 100 APPENDIX D. Questionnaire for Planning and Pilot Testing (PPT) Respondents. 112 APPENDIX E. Questionnaire for Implementation (IMP) Respondents . 129 APPENDIX F. Literature Review . 147 F1 IR Definition and Attributes . 147 F2 The First IR Systems, IR Projects, and IR-related Projects. 148 F3 IR Surveys and the Extent of Survey Respondents’ Involvement with IRs . 149 F4 The People Involved with IRs . 150 F5 The Budget for an IR. 152 F6 Important IR Investigative Activities . 153 v F7 IR-system Software, Content, and Features. 153 F8 IR Practices and Policies. 154 F9 IR Benefits.