1. Author submission 2. UMI/BePress dissemination 4. Metadata management 5. Permissions acquisition 3. Repository ingest 6. Embargo management Open Access ETD item! ETD workflow Proposal August 26, 2008

1. Author submission Author UMI/ProQuest web interface hosted at BePress 1. Author submission to UMI/ProQuest: Author-generated PDF file Supplemental files Author-entered metadata ETD workflow Proposal August 26, 2008

2. UMI/BePress dissemination 2a. BePress transfers the UMI ETD item package to drop box on DLP server: Author-generated PDF file Supplemental files Author-entered metadata ETD Cataloger 2b. UMI/Proquest transfers preliminary MARC record to IU Libraries (Into IUCAT? How often?) IUSW Drop Box Folder ETD workflow Proposal August 26, 2008

IUSW Repository ETD Cataloger 3. Repository ingest IUScholarWorks Drop Box Processor automated program 3a. Drop box processor program imports the ETD item into the IUSW repository with preset embargo policy 3b. Drop box processor program creates an author/item list for the ETD cataloger 3c. Drop box processor program creates an author/item list for the IUSW ETD manager IUSW ETD Manager ETD workflow Proposal August 26, 2008

IUCAT ETD Cataloger 4a. ETD Cataloger edits the imported MARC record in IUCAT: Enriches the metadata Adds a PURL, based on the identifier, to a hidden field in the record 4b. ETD Cataloger edits the archived ETD item in the IUSW open access archive: Adds the UMI identifier to the end of provided PURL IUSW Repository ETD workflow Proposal August 26, Metadata management

IUCAT IUSW Repository ETD workflow Proposal August 26, Metadata management 4c. The primary metadata record for the archived ETD item in the IUSW open access archive is overlaid with the enriched MARC metadata (automated, method TBD)

Author 5. Permissions acquisition ETD workflow Proposal August 26, 2008 IUSW ETD Manager 5a. The ETD manager invokes the mediated submission manager tool to contact the author via . (Note: initial contact might be automated by the Drop Box Processor program) 5b. The author accepts via to the ETD manager, including clear acceptance of IUSW license and the desired embargo term, if any Author IUSW ETD Manager

5. Permissions acquisition ETD workflow Proposal August 26, 2008 IUSW ETD Manager 5d. The ETD manager updates status of the author/item in tracking list 5c. The ETD manager edits embargo policy of the archived ETD item in the open access archive – this will either release the item or alter the duration Tracking list and method TBD IUSW Repository

DSpace Embargoes Feature 6. Embargo management ETD workflow Proposal August 26, a. The DSpace Embargoes feature monitors embargoed ETD item for release eligibility: When duration has ended, embargo is expired automatically 6b. Upon expiration, the DSpace Embargoes feature notifies the ETD cataloger to add an 856 field containing the PURL to the MARC record in IUCAT ETD Cataloger

DSpace Embargoes Feature 6. Embargo management ETD workflow Proposal August 26, c. The DSpace Embargoes feature alters visibility for ETD item depending on existence of embargo policy No public access, not visible Open Access ETD item! Embargo? Yes No