ProQuest Export Documentation Vireo 3

Vireo 2.0.5 and higher includes an export format for sending theses and dissertations to ProQuest via FTP. By using the Vireo ProQuest export format, universities can bypass any costs of publishing ETDs with ProQuest.

To create the export for ProQuest:

1. First, filter your ETD list in Vireo to select those records you want to send. (The Status of records is irrelevant.)

2. Use the “Download Export” link under Advanced Options and select “ProQuest UMI”.

3. Download the Zip file and extract the files to your computer.

   1. Each ETD record will convert into an individual zip file named upload_AuthorLastName_AuthorFirstName.zip.

   2. This zip file contains

      • The dissertation/thesis file (PDF) named AuthorLastname_AuthorFirstName.pdf

      • An XML file with ProQuest-required metadata named AuthorLastname_AuthorFirstName_DATA.xml

      • A folder named AuthorLastname_AuthorFirstname_Permission

      1. This folder contains the ProQuest license, the TDL license files, and any permission letters for use of material under another copyright.  (See Note about Permission Letters below)

      • A folder named AuthorLastName_AuthorFirstName_Media 

        1. This folder contains any Supplemental files

4. FTP the files to ProQuest

   1. You can use FileZilla or another FTP client to send the files

   2. You must have the host (i.e. ProQuest) FTP address and a username and password for your institution. Please contact the Texas Digital Library (info@tdl.org) or ProQuest (disspub@proquest.com) to obtain this information.

Configuring Vireo Settings for ProQuest Export

Certain metadata fields are required for the ProQuest export. They include:

Language

The Language field indicates the primary language of the thesis or dissertation.

The Language field should be designated as required in the Vireo Submission Settings.

Additionally, in Configurable Settings under “Available Languages,” administrators should provide a list of languages for students to choose from. This list can be created by clicking ADD NEW and then using the dropdown menu to select applicable languages. The dropdown menu contains a ProQuest-supplied controlled vocabulary.

Embargo code 

The Embargo code is created programmatically based on the embargo option a student selects.  ProQuest accepts no embargo, a 6 month embargo, a 1 year embargo, and a 2 year embargo.  Matching embargos for all but the 6 month embargo are already set up in Vireo by default in the Configurable Settings in the Vireo Administrative interface.  The names of the embargoes can also be changed in the Configurable Settings.

In the ProQuest export itself, you will see the Embargo Type in the xml file as <embargo_code=0>, where the type of embargo is represented by a number. Creating a 6 month embargo period in Vireo will translate to an embargo code of “1” in the ProQuest XML file.

Other embargo lengths must be arranged with ProQuest.  Note that, as a matter of policy, some institutional users choose not to export ETDs that are under embargo.  If the institution holds ETDs until an embargo ceases, the embargo must be changed to None in the Document Info view of the Vireo submission prior to downloading the ProQuest UMI export.  Otherwise, the embargo will be enforced a second time by ProQuest.

Degree Code

The degree code is a ProQuest-supplied code for each degree your institution offers.  ProQuest will supply a list of degrees that have been received from your university.  You can inform ProQuest if additional degrees need to be added. (For TDL members, these codes will be supplied by TDL.) Under Applications Settings you will enter the ProQuest codes for your degree types.  In the Submission Settings, you must designate Degree as a required field for students.

Subjects

The Subjects field should be designated as required in the Vireo Submission Settings.

Students will select up to three Subjects from a controlled vocabulary coded into the Vireo configuration files.  No further configuration in the Vireo settings is required.

ProQuest Institution Code

The ProQuest Institution Code must be added in the Application Settings of the Administrative interface of Vireo.  This code is a ProQuest-supplied code that identifies the institution associated with all submissions coming from the institution.

The ProQuest Institution Code can be obtained from ProQuest or (for TDL member institutions) from the Texas Digital Library.

Search Engine indexing

In Vireo 2.X the setting to enable indexing by search engines is applied at the institutional level.  In Application Settings, choose Yes to allow submissions to be indexed by search engines such as Google and Yahoo, or choose No to reject indexing by search engines.

ProQuest/UMI License

Submission of ETDs to ProQuest requires a separate license in addition to a license that allows publication of the thesis or dissertation to an institutional repository and the Texas Digital Library.

The UMI Release must be enabled in the Submission Settings of Vireo.  Institutions will choose between Optional or Required depending upon policy.  If submission to ProQuest is mandatory for both theses and dissertations, the Required option should be selected.  The Required setting will not allow students to complete the submission process until the agreement box has been checked.  Institutions which do not require submission to ProQuest would set this field to Optional to allow students to continue the submission process without agreeing to the license.  Institutions with mixed policies such as mandating dissertation deposits but not theses would choose the option that is best suited for their workflow.

The ProQuest License Agreement itself is visible in the Application Settings and can be edited to add notes about the institution’s policy on submission to ProQuest or to provide other directions.  The language of the license itself should never be changed without written permission from ProQuest.

Some institutions choose to combine the institutional repository/TDL license with that of ProQuest by moving the text of both licenses to either the ProQuest License Agreement box or the Submission License box in the Application Settings.  For this to work correctly one of the license types must be disabled in the Submission Settings.

Processing Codes There are two processing codes which are hard coded into Vireo.  They are M for Masters and D for Dissertations. If your institution has more than one campus, department, or college submitting ETDs to ProQuest you may have different settings.  Contact ProQuest to obtain the processing codes you will need to modify your system.

Testing

Prior to going live, institutions submitting through Vireo must go through a testing phase. Testing is performed to make sure that

–        The institution FTP account functions properly

–        File naming conventions are correct

–        XML structure is correct

The testing phase is considered a success once files flow through ProQuest’s automated processes without error.

(Please note: Test files will not be published. Any data that the institution delivers during testing that the institution wants included in PQDT will have to be resent once the test phase is complete.)

Note about Permission Letters

Submitting permission letters to ProQuest requires a change of file type in order for the document to export into the correct folder and remain hidden from public view.  Staff may upload a permission letter as a License file in the View screen of the submission.  Alternately, the student may upload the permission letter as a file type specified by the institution and then staff can change the file type to License upon receipt.

Important Contacts

1. Texas Digital Library info@tdl.org (for ProQuest/UMI institution codes, degree codes, and FTP information)

2. ProQuest Dissertation and Theses Customer Service – disspub@proquest.com