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Guidance Documents for Lifecycle Management of Etds

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Guidance Documents for Lifecycle Management of Etds Guidance Documents for Lifecycle Management of ETDs Authors: Daniel Alemneh, Bill Donovan, Martin Halbert, Yan Han, Geneva Henry, Patricia Hswe, Gail McMillan, Xiaocan (Lucy) Wang Editors: Matt Schultz, Nick Krabbenhoeft, and Katherine Skinner 18 March 2014 Version 1.0 Guidance Documents for Lifecycle Management of ETDs Publication Notes Title: Guidance Documents for Lifecycle Management of ETDs Editors: Matt Schultz, Nick Krabbenhoeft, and Katherine Skinner Authors: Daniel Alemneh, Bill Donovan, Martin Halbert, Yan Han, Geneva Henry, Patricia Hswe, Gail McMillan, Xiaocan (Lucy) Wang Publisher: Educopia Institute, 1230 Peachtree Street, Suite 1900, Atlanta, GA 30309. Copyright: 2014 This publication is covered by the following Creative Commons License: Attribution-NonCommercial-NoDerivs 4.0 You are free to copy, distribute, and display this work under the following conditions: Attribution – You must attribute the work in the manner specified by the author or licensor (but not in any way that suggests that they endorse you or your use of the work). Specifically, you must state that the work was originally published as the Guidance Documents for Lifecycle Management of ETDs, and you must attribute the copyright holder as the Educopia Institute. Noncommercial – You may not use this work for commercial purposes. No Derivative Works – You may not alter, transform, or build upon this work. Any of these conditions can be waived if you get permission from the copyright holder. Your fair use and other rights are in no way affected by the above. The above is a human-readable summary of the full license, which is available at the following URL: http://creativecommons.org/licenses/by-nc-nd/4.0/ Guidance Documents for Lifecycle Management of ETDs Table of Contents Introduction.................................................................................................................................................... i About The Guidance Documents ................................................................................................................ i Roadmap .................................................................................................................................................. iv Defining “ETDs” and “Lifecycle Management” ........................................................................................ vi 1 Guidelines for Implementing ETD Programs – Roles and Responsibilities ............................................ 1-1 1.1 Introduction ...................................................................................................................................... 1-1 1.2 Types of Stakeholders ....................................................................................................................... 1-2 1.3 Stakeholders’ Roles and Responsibilities .......................................................................................... 1-6 1.4 Summary ........................................................................................................................................ 1-29 Bibliography ......................................................................................................................................... 1-30 2 Guide to Access Levels and Embargoes of ETDs .................................................................................... 2-1 2.1 Introduction ...................................................................................................................................... 2-1 2.2 Reasons for Access Restrictions ........................................................................................................ 2-2 2.3 Arguments Against Access Restrictions.......................................................................................... 2-10 2.4 Requesting Restricted Access ......................................................................................................... 2-11 2.5 Enforcing Access Restrictions ......................................................................................................... 2-12 2.6 Releasing Restricted Access ETDs ................................................................................................... 2-13 2.7 Summary ........................................................................................................................................ 2-13 Bibliography ......................................................................................................................................... 2-14 3 Briefing on Copyright and Fair Use Issues in ETDs ................................................................................ 3-1 3.1 Introduction ...................................................................................................................................... 3-1 3.2 Definition and Overview of Copyright and Fair Use in an ETD Context ............................................ 3-2 3.3 Summary ........................................................................................................................................ 3-16 Bibliography ......................................................................................................................................... 3-17 4 Guidelines for Collecting Usage Metrics and Demonstrations of Value for ETD Programs .................. 4-1 4.1 Introduction ...................................................................................................................................... 4-1 4.2 Evaluation of Electronic Resources: Methods and Issues ................................................................. 4-2 4.3 Collecting Web Statistics ................................................................................................................ 4-10 4.4 Use of Statistics Data ..................................................................................................................... 4-10 Table of Contents Table Guidance Documents for Lifecycle Management of ETDs 4.5 Open Access Model and Impact ..................................................................................................... 4-12 4.6 Summary ........................................................................................................................................ 4-14 Bibliography ......................................................................................................................................... 4-15 5 Managing the Lifecycle of ETDs: Curatorial Decisions and Practices .................................................... 5-1 5.1 Introduction ...................................................................................................................................... 5-1 5.2 Overview of Some Risk Factors for ETDs .......................................................................................... 5-2 5.3 Data Wrangling: Organizing Digital Content Prior to Ingest ........................................................... 5-4 5.4 Complex Content Objects ................................................................................................................. 5-9 5.5 Migration Scenarios ....................................................................................................................... 5-12 5.6 Summary ........................................................................................................................................ 5-14 Appendix A: Further Details about Various PDF File Formats .............................................................. 5-16 Bibliography ......................................................................................................................................... 5-17 6 Metadata for ETD Lifecycle Management ............................................................................................ 6-1 6.1 Introduction ...................................................................................................................................... 6-1 6.2 Metadata Roles in ETD Lifecycle Management ............................................................................... 6-1 6.3 Capturing Metadata ......................................................................................................................... 6-6 6.4 Best Practices for ETD Metadata ................................................................................................... 6-10 6.5 ETD Metadata Quality and Management ...................................................................................... 6-16 6.6 Summary ........................................................................................................................................ 6-18 Appendix A: Texas Digital Libraries (TDL) ETD Metadata Example ..................................................... 6-20 Bibliography ......................................................................................................................................... 6-21 7 Guide to ETD Program Planning and Cost Estimation .......................................................................... 7-1 7.1 Introduction ...................................................................................................................................... 7-1 7.2 Personnel .......................................................................................................................................... 7-3 7.3 Technology ......................................................................................................................................
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