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Overview

Summary

This profile focuses on UMI Dissertation Publishing, a business unit of ProQuest LLC. UMI produces a database of dissertations and theses that contains most doctoral and some master’s level dissertations from U.S. and Canadian universities. It also provides additional information about dissertations from around the world. The database offers essential information to scholars worldwide. It is also, in effect, the official repository of dissertations and theses for the national libraries of Canada and the United States. ProQuest LLC provides a variety of services to the scholarly community. Libraries constitute ProQuest’s primary market, and subscribe to many of its major products and services.

Sources

The information in this report is based on interviews with ProQuest LLC staff and users of the databases, as well as the ProQuest LLC website. In particular, CRL is indebted to Austin McLean, Director of Scholarly Communication and Dissertation Publishing for ProQuest. In addition, secondary sources such as books and magazine or journal articles were consulted. Any information that is not cited was found on the websites of ProQuest LLC.

Authors

Center for Research Libraries

CRL Staff

Analysis

Mission and History

ProQuest LLC has a mission statement for its graduate works: 

As the primary publisher of dissertations and theses, our mission is to support higher education by meeting the university’s need to provide a record of scholarly productivity and ensuring that graduate works remain significant contributions to the primary literature.[1]

ProQuest LLC began as University Microfilm International (UMI), which was founded by Eugene B. Power in 1938 in Ann Arbor, Michigan. Power began the business with the idea of using microform technology to serve the low-demand publishing requirements of the scholarly community. One of UMI’s first areas for content acquisition was doctoral dissertations. At the time, U.S. doctoral students were required to pay the not-insignificant cost of self-publishing, producing multiple copies of, and often binding their dissertations. Within a year, UMI was microfilming dissertations and publishing the abstracts in Microfilm Abstracts, an annual catalog of the dissertations available for sale from UMI.

 In 1951, the UMI initiative gained considerable momentum when the Association of Research Libraries (ARL) voted to approve publication of doctoral dissertations on microfilm and to endorse distribution of those dissertations through UMI.[2] ARL urged universities to begin submitting paper copies of the dissertations produced by their doctoral candidates to UMI for distribution in micro-format and paper reprint. UMI microfilmed the dissertations and published the abstracts of each in Dissertations Abstracts (previously Microfilm Abstracts). ARL libraries then agreed to discontinue the practice of interlibrary loan of paper copies of dissertations that were available to universities on microfilm through UMI.[3]

UMI and Xerox

In 1962, the Xerox Corporation bought UMI for $8 million. Eugene Power continued to run the company as a subsidiary of Xerox until he retired in June 1970. Xerox introduced some changes, creating a designated sales force, and expanding the sale of reprints of publications from the company’s microfilmed collections[4]. In 1971 UMI changed its name to Xerox University Microfilms and in 1976 reverted to University Microfilms International.

UMI, Bell & Howell, and ProQuest

In 1985, UMI was sold to Bell & Howell, who changed the name to Bell & Howell Information and Learning in 1999. In 2001 Bell and Howell created the ProQuest Company out of two of its business units: Bell & Howell Information and Learning and Bell & Howell Publishing Services. In June 2001, “PQE” began trading on the New York Stock Exchange when Bell & Howell sold a minority of shares to the public.[5]

National Archive Publishing Company and ProQuest

In 2005, ProQuest divested of some of its assets to the National Archive Publishing Company (NAPC), a corporation formed by former members of ProQuest management. Under a long-term contract with ProQuest, NAPC serves as a producer and supplier of microfilm and digital content for ProQuest. Under the agreement, NAPC stores ProQuest microform masters and fulfills microfilm requests for content retained by ProQuest such as dissertations, newspapers, and research archives.[6]

ProQuest LLC and Cambridge Information Group (CIG)

ProQuest’s difficulties as an independent public company began in 2006, when its 2005 financial information was determined to have been incorrectly stated by the Securities and Exchange Commission. Independent auditors determined that ProQuest had “certain deficiencies in internal controls.” The auditors also found that “there was no evidence of undue pressure from corporate management to attain certain results, but that one individual was responsible.”[7] In May 2007, the ProQuest Company’s stock was removed from listing and trading on the New York Stock Exchange because of the company’s failure to file its 2005 annual report, Form 10-K, and certain fiscal 2006 Form 10-Q filings.[8] As a result of the accounting irregularities, several shareholders filed lawsuits against ProQuest in 2006.[9] In June 2007, ProQuest changed its name to Voyager Learning Company and its ticker symbol from PQE to VLCY. Voyager relocated corporate operations to Dallas and has since concentrated on K–12 products.

Prior to the establishment of Voyager Learning Company, in December 2006, the Cambridge Information Group (CIG) bought the unit of ProQuest called ProQuest Information and Learning (which included UMI). Alan Aldworth, ProQuest Company's chairman and CEO, said, "This pending transaction . . . will significantly improve ProQuest Company's capital structure."[10] CIG merged ProQuest with Cambridge Scientific Abstracts (CSA), a scientific database provider, and named the new company ProQuest LLC.[11]

In addition to ProQuest LLC, CIG owns a variety of other interests, including the publishing company Bowker. CIG is the largest shareholder in Navtech, a supplier of flight operations information and aeronautical charts to the airline industry, and GWDI, a company that provides communication and data management to the aeronautics market. CIG owns other types of educational businesses, including  MetaMetrics, a company that develops products and services that focus on improving teaching and learning in grades K–12; Sotheby’s Institute of Art, which offers postgraduate degrees and undergraduate study abroad programs in art scholarship, connoisseurship, and art business; and Bach to Rock (B2R), a chain of music schools designed for students from pre-school through adulthood.[12] CIG also holds equity in Jin Yun Wan Xiang, a chain of “retail establishments located in historic sites in and around Beijing that sell gifts inspired by cultural icons.” [AUTH: need citation for quote]

ProQuest LLC appears to be expanding its content through acquiring well-known companies. In June 2008, ProQuest LLC purchased DIALOG and its European-based DataStar division from Thompson Reuters, renaming it ProQuest DIALOG. In late 2010, ProQuest acquired Congressional Information Service (CIS) and University Publications of America (UPA) from LexisNexis[13]. In January 2011 ProQuest bought Ebrary, distributors of ebooks to libraries and corporations. According to Information Today, this acquisition “will bring a fully functioning ebook platform to ProQuest to add to its extensive content platform[14].”

Governance and Staffing

ProQuest is owned by the Cambridge Information Group (CIG). CIG is a private, family-owned company that has been in operation since 1971. It was founded by Robert N. Snyder and Philip E. Hixon; Philip Hixon has since retired, but Robert N. Snyder serves as president of Cambridge Information Group and chair of ProQuest. In November 2013 Goldman Sachs purchased a minority share in ProQuest.

ProQuest LLC continues to be a privately held company within the larger CIG organization. At the time of acquisition, CIG appointed Martin Kahn as CEO. A senior executive team made up of the top ProQuest executives assists Kahn in decision making. The complete management team is listed in Appendix A. ProQuest’s member list of its Board of Directors is not publicly available.

Funding and Planning

As outlined in the history section above, ProQuest has been through several periods of financial difficulty. In 2005, ProQuest reported annual revenue of $159.4 million, indicating that this publicly traded company was doing well. The picture changed quickly in 2006 after the company disclosed there had been accounting irregularities that overstated earnings for the years 2000–05. After these disclosures, ProQuest shares dropped to a new 52-week low of $9.50 on the New York Stock Exchange. By December 2006, CIG had purchased ProQuest Information and Learning (PQIL) for $222 million.

With assistance from CIG, ProQuest returned to financial viability, buying new companies. As CEO Marty Kahn stated to Information Today in February 2011, “We have ample resources to do what we need to do, and we are committed to recognizing that this is a multiyear undertaking.  We have to achieve our financial goals every year just like everyone else, but Bob and Andy Snyder and their CIG team are committed to making it happen.[15]"

Stakeholders and Designated Community

UMI Dissertation Publishing serves three distinct user or client communities: a) graduate student authors of graduate works and their universities; b) other scholars and researchers, and the libraries through which they obtain access to the ProQuest Dissertations and Theses (PQDT) database; and c) the national libraries of Canada and the United States, for which UMI serves as the official legal depository of electronic theses and dissertations.

Services to Authors and their Universities

Universities help UMI by collecting, editing, and submitting the graduate works to UMI through their dissertation offices. For graduate students who contribute their works to UMI, this submission is often the last phase of the degree process. University participation in the UMI program is informal and voluntary. UMI is active in the academic community, providing nearly $150,000 each year in the form of sponsorships and dissertation awards to be distributed through university-affiliated organizations.

Dissertation authors can request that distribution of their work be embargoed for a limited period. Restrictions of various durations can be imposed and are placed at the request of the author (and with the approval of the graduate school), such as six months, one year, or two years.

Copyright in the work continues to be owned by the author, although the author must secure authorization for inclusion of third party-produced content used in the graduate work prior to submitting the work to UMI. UMI asserts that it will not distribute a dissertation that contains content created by a third party where permission to reproduce has not been obtained.

Under an arrangement with the Library of Congress (see Appendix C), UMI will register an author’s work with the U.S. Copyright Office for an additional $65. In 2002, ProQuest submitted approximately 500 electronic registrations per week for university dissertations, the largest number from any single submitter.[16]

Services to National Libraries

UMI also serves the national libraries of Canada and the United States. Under an agreement between ProQuest and the National Library of Canada signed in 1997, and renewed with Library and Archives Canada in 2000, UMI became the authorized worldwide distributor of graduate works from all institutions participating in the Canadian Theses Service. The Canadian Theses Service, now Theses Canada, is a national program based at Library and Archives Canada whose purpose is to preserve and provide access to a comprehensive collection of Canadian graduate dissertations and theses. Approximately 4,000 dissertations and 7,000 theses are produced annually at participating colleges and universities in Canada.[17] (See Appendix B, Publishing Agreement between UMI and the National Library of Canada.)

The Canadian agreement authorizes UMI to produce and distribute paper, microform, and electronic editions of the works. In return, UMI is required to provide to Theses Canada and Library and Archives Canada three archival quality microfilm copies of all Canadian graduate works distributed under the agreement.

UMI also executed an agreement with the Library of Congress and the U.S. Copyright Office in January 1999. The LC agreement provides for electronic copyright registration and deposit of graduate works over the Internet to the U.S. Copyright Office. (See Appendix C: Publishing Agreement between UMI and the Library of Congress.) The agreement designated ProQuest Digital Dissertations as the official repository for more than 150,000 graduate works converted by UMI to digital form since 1997, and for such works to be produced in the future. The agreement was the first in which the Library of Congress designated an “official off-site repository” for digital materials required to be deposited with the Library.[18]

Content and Services

UMI Dissertation Publishing offers not a single product or service but rather provides related products based on single works, and performs a set of services for different clients and stakeholders. UMI publishes and distributes graduate works in microform, paper, and electronic formats; registers many of those works for copyright in either the United States or Canada; and makes citations and abstracts of the works available for discovery through online databases.

Citations and Abstracts

The main UMI product, ProQuest Dissertations and Theses (PQDT) database, is available by Web-based subscription, a single platform for search and discovery of citations for all UMI dissertations and theses. As of March 2008, 2,119,392 doctoral dissertations and 342,452 master’s theses were listed in PQDT.

In the U.S., the PQDT database is considered to be a nationwide clearinghouse of graduate works, to which the vast majority of U.S. graduate works are submitted. The dissertations listed in the database date from 1861 through the most recent academic year; master’s theses began to be added selectively in 1962. Since 1988, the database includes citations for dissertations from 50 British universities that have been collected by and filmed at the British Document Supply Centre.

PQDT also includes 350-word abstracts for dissertations published from 1980 forward, written by the authors; and 150-word abstracts for master’s theses from 1988 forward. Abstracts for dissertations and theses in the database dating from before 1980 can be found in earlier UMI print publications Dissertation Abstracts International, American Doctoral Dissertations, Comprehensive Dissertation Index, and Masters Abstracts International.

 Access to Full Texts

Aside from citations and abstracts, the PQDT database provides access to the full texts of more than a million graduate works produced since 1997, in PDF digital format. Access to the full texts is limited to users at the originating universities, although 24-page previews of those works are available more widely.

The PQDT database subsumed the contents of an earlier stand-alone platform called ProQuest Digital Dissertations, which existed from 1997 to 2007. (In 2007, Current Research@, a separate distribution platform that gave contributing universities access to their full text dissertations, was also migrated into the PQDT database.) As of 2008, 1,750 of the electronic graduate works also contained supplemental files in a variety of formats, among them digital audio, video, and electronic spreadsheet.

Some graduate student authors opt to make the full texts of their works openly accessible on the Web. At the time of this report, 124 open-access graduate works were available through the UMI webpage PQDT Open.

Discovery

Full interoperability exists between PQDT and other products on the ProQuest platform, such as ABI/INFORM. A number of other online distribution channels exist for the graduate work abstracts and index terms, such as OCLC, Dialog, the STN database, and Chemical Abstracts, which includes subject-specific graduate works. Other subject-specific indexes that index or list graduate works published by UMI include: ABI; American Psychological Association’s PsychInfo; ABC-CLIO’s American History and Life; Historical Abstracts; Modern Language Association’s MLA database; Cambridge Scientific Abstracts’s Sociological Abstracts; American Mathematical Society’s Mathematical Abstracts; Cumulative Index to Nursing and Allied Health Literature (CINAHL); Chemical Abstracts; ProQuest Nursing and Allied Health, and ProQuest Health Management.

In addition, Google has been permitted to crawl and index bibliographic data for UMI graduate works published from 2005 forward. As of March 2008, approximately 23,000–25,000 UMI dissertations citations were available through Google Scholar. The link from Google Scholar to an internal UMI page provides the name of the author, the author’s graduate advisor, school, source, source type, publication number, a persistent link to the PQDT database, and possibly an abstract.

Technical Systems and Analysis

Submissions workflow

UMI receives all graduate works in either hard copy or electronic format through a university’s dissertation office. The university dissertation office is responsible for reviewing the dissertation, checking that it conforms to UMI formatting requirements, and verifying that all the accompanying materials are available.

Along with the graduate work, UMI requires an abstract, which must accompany the agreement forms signed and submitted by the author, and the author’s payment. The agreement between ProQuest and the author is entitled: ProQuest UMI Publishing Agreement (see Appendix C). The agreement authorizes UMI to publish the dissertation and, if the author chooses, to act as the agent for copyright registration with the Library of Congress.

For electronic submission, UMI creates a submission webpage for each university. Authors submits their graduate work in PDF format, via the webpage to the university’s dissertation office. The dissertation office checks the dissertation and accompanying materials and then submits an electronically approved version to UMI. UMI provides an easy-to-use utility to convert Word files or RTF files to PDF format. If the digital file of a graduate work is over 100 megabytes in size, UMI advises the author to submit the PDF file and any associated supplementary files on a CD or DVD.

The editing of the format by both the university’s dissertation office and UMI results in a uniform document that can be better managed by the ProQuest database system. This makes the works easy for UMI to reproduce in a microfilm, hard copy, or digital format. For archiving purposes, it creates uniform documents that are highly desirable for migration to new systems.

Ingestion of Graduate Works

Once UMI receives the content from the university’s dissertation office, the material is sent through the dissertation publishing process workflow. First, all graduate works have a metadata file produced using the in-house developed Exodus system. The metadata itself is created in MARC 21 format. If the graduate work is submitted in paper form, it is forwarded by UMI to a scanning vendor for processing and quality control. The outsourcing company scans the hard copy in TIFF images, and then wraps these images with the metadata in a PDF file wrapper. Once the graduate work is in PDF format, it is microfilmed using ProQuest’s Electron Beam Camera. The PDF file is loaded along with the metadata into the PQDT database and a second, separate high-resolution repository. Both are located in ProQuest’s Ann Arbor facilities.

In a separate process, the author’s abstract is saved as a file. Optical Character Recognition (OCR) is performed on the file and it is given SGML tagging. Index terms are extracted from the abstract. The abstract and index terms are added to the PQDT database. A separate process takes the indexed terms and incorporates them in a number of print indexes produced by UMI.

Distribution

Information about UMI dissertations is available to users in a variety of online and print publications. The most common method for accessing dissertations is through PQDT, ProQuest’s searchable database of abstracts available to subscribers. Subscribers can access their university’s dissertations for free in full text, or they may order other dissertations for instant viewing online or order hard copy in a variety of formats. As of March 2008 prices ranged from $39 to $101, with the instantaneously available digital copy being the least expensive format.

Authors can also choose to publish their work through an open-access UMI website called PQDT Open. Currently, this simple standalone webpage lists the open access works contributed in 2006 alphabetically by the author’s last name. UMI plans to further develop the site as more works designated as open access are received.

ProQuest Database and Database Center

ProQuest’s Database Center houses all ProQuest information products. This includes the PQDT database of graduate works. The amount of content currently held within the ProQuest database system is over 125 billion digital pages.

The ProQuest Data Center is located in Ann Arbor, Michigan. In 2000, ProQuest LLC migrated to a Red Hat Enterprise Linux environment, in which all of the company’s online database products were combined into one Oracle database back end.[?] This system utilizes 295 HP ProLiant BL35p blade servers powered by AMD Dual-Core Opteron processors. If there is a need for more capacity, it can be quickly supported by adding additional HP ProLiant servers. The system uses one-third the number of processors and half the memory of the systems replaced in 2000.[??]

ProQuest maintains logs of application retrieval failures, which ProQuest staff investigate and correct on a regular basis. The vast majority of errors are logical errors (application errors or configuration problems), rather than media errors (data integrity errors on disk). ProQuest maintains that these errors are corrected as they are discovered.

In 2008, ProQuest planned to relocate their main data center to Virginia. The company also built a new data center in Ann Arbor, Michigan, for computer equipment and pre-production housing and testing of new products. The Ann Arbor data center was projected to cost $6.5 million. ProQuest planned to hire an additional 303 employees in 2009 to staff the Ann Arbor data center.

Preservation of Repository Content

ProQuest’s ingestion and archiving process incorporate some commonly accepted preservation strategies. Dissertations are normalized by converted them to standard file formats, TIFFs, and wrapped in a PDF. Multiple copies of these files are then stored in online electronic vaults housed within ProQuest facilities in Ann Arbor. One copy is available in Ann Arbor in a mirrored storage set up, where two or more drives in a RAID-5 (redundant arrays of inexpensive disks) system hold the file. The second backup copy is kept on a Spinning Disk system located in Sterling, Va. Spinning disk systems—an inexpensive, long-term storage solution—are designed for fast writes and rewrites of data, making them a good choice for archiving purposes.

Preservation of Repository Content

Microform continues to be a strong part of UMI’s preservation program. All graduate works are archived on two copies of microform. UMI creates both a master negative and a print negative of each work. The master negative is not used and is held for archival purposes; the print negative is used to generate print and digital copies. Each microform is stored in a separate vault. These vaults are climate- and humidity-controlled according to the industry standard and meet all Library of Congress qualifications. The microform created follows the ANSI/AIIM specifications that UMI helped establish as an industry standard. Even “born digital” graduate works are archived on microform. All page-based material (e.g. material that can be printed out as either 8.5” x 11” or A4 paper formats) is captured using a state-of-the-art Electron Beam camera, which converts both born digital and digitally scanned files of graduate works into microform. In addition to microform, two digital backup copies are created and archived offsite. In addition to ProQuest’s other storage solutions, a backup tape is kept at an undisclosed location in the Ann Arbor area.

ProQuest demonstrated its ability to recover from a disaster during the Great Northeastern Power Blackout of 2003. Around 4:00 p.m. on August 14, 2003, the largest power outage ever to hit the U.S. cut the power to the Ann Arbor area. Power was not fully restored to the area until 7:00 p.m. the following day. According to Austin McLean, Director of Scholarly Communication and Dissertation Publishing, ProQuest LLC’s systems were temporarily shut down, but backup generators quickly restored service to customers worldwide. Other than a temporary halt in service, there was no loss or damage to the system.[??]

In December 2005, ProQuest convened an advisory group to recommend strategies for the organization to adopt to conform to digital preservation best practices. The advisory group included:

Sheila Anderson, Arts & Humanities Data Service, King’s College
Mark McFarland, University of Texas at Austin
John Ober, California Digital Library
Mark Sweeney, Library of Congress
Perry Willett, Digital Library Production Service, University of Michigan

The group recommended that ProQuest take the following measures:

  • Create an audit and risk assessment [process]
  • Document current processes and assess gaps
  • Identify person(s) responsible for digital preservation management
  • Utilize the OAIS Reference Model as chief model of guidance
  • Utilize widely accepted preservation formats
  • Utilize widely accepted metadata standards in our information packages
  • Utilize platform independent, open systems wherever possible
  • Provide as much transparency into preservation processes as possible

A preservation policy was subsequently developed, and is available on the ProQuest website[??]. ProQuest designated a group of staff members to be responsible for digital preservation management, and asserts a commitment to migrating content as necessary. This commitment was demonstrated by a necessary migration to a Linux-based system.

Conclusions

UMI has been able to sustain and grow its holdings of graduate works over a period of seventy years, and achieve pre-eminence as supplier of dissertations and theses from North American universities. UMI was able to identify early on an important category of scholarly materials problematic for libraries and authors, and to use innovative technologies to create a cost-effective solution. Graduate works tend to be encumbered by intellectual property restrictions and other constraints. Before UMI, graduate students bore the cost of self-publishing multiple copies of their degree documents, as publishers had little incentive to invest in producing small editions of works of limited interest. UMI was able not only to provide in microform and later in digital format a low-cost publishing solution for authors, but to centralize and bring to scale the cataloging, storage, conversion, and delivery of such works.

UMI was also able to distribute its production and service costs among both the library and student communities, charging authors for publication and copyright registration and libraries for access to abstracts, citations and full texts.

Formal agreements with the National Library of Canada (now Library and Archives Canada) and the Library of Congress negotiated by UMI (in 1997 and 1999, respectively) designated UMI as the official repository for dissertations and theses produced at Canadian and U.S. universities. On the strength of those agreements, the statutory authority of the national libraries ensures a continual flow of content to the UMI collection. Moreover, the Library of Congress agreement exempted UMI from the costly requirement to deposit in the national library copies of the dissertations as a condition of copyright registration.

UMI has also succeeded in imposing a high level of uniformity on the production of dissertations and theses. By rapidly achieving market dominance in the publication of dissertations and theses, the service in effect set the standard for formatting graduate documents by a large population of authors. In 1951, the members of the Association of Research Libraries moved to accept microform as the medium for distributing graduate works, and designated UMI as the primary source of these works by agreeing to no longer circulate on interlibrary loan works available from UMI. This has enabled UMI to exercise greater control over its production and content management costs.

UMI and its parent company, ProQuest LLC, have continued to maintain a close working relationship with the suppliers of their content: university graduate students and faculty. ProQuest invests heavily in direct marketing to the academic community, engaging as advisors scholars, bibliographers, and other specialists in the humanities, and promoting ProQuest and UMI products at academic and library conferences.

Potential Vulnerabilities

While the market share and pre-eminence that UMI Dissertation Publishing has achieved may well endure, the service could face a number of challenges to its position, particularly as a source of graduate documents in electronic form (EDTs). In the digital realm, self-publishing has become almost cost-free, giving rise to a growing number of open-access repositories for these kinds of materials, established by individual universities using D-Space, Fedora, and other institutional repository software. Efforts such as the Networked Digital Library of Dissertations and Theses to federate these individual repositories and to provide authoring tools and standards may eventually offer graduate students alternative ways to expose their works to web discovery and to gain access to the works of others. The growth of institutional repositories and open-access dissertation efforts in the U.S. and abroad could thus make inroads on UMI’s market.

Aggregators like ProQuest have lost ground to open-access projects on other fronts. Major newspapers like The New York Times have moved from distributing their digitized back-files through subscription packages to mounting them directly on the web and exposing them through search engines like Yahoo! and Google.

The increasing diversity and complexity of the digital media in which graduate documents are created today may also challenge UMI’s ability to impose uniformity on the production and intake of EDTs. UMI has in fact seen a recent increase in dissertations and theses that include supplementary digital materials, such as audio, video, and spreadsheets. ProQuest’s recent migration of its systems to more efficient platforms and its creation of a new data center in Ann Arbor should help manage the pressure such content growth will inevitably exert on UMI storage and content management costs.

UMI’s parent ProQuest LLC is owned by a private equity group as part of a portfolio of eight “operating companies.” The other seven holdings in the portfolio, aside from Bowker, do not appear to offer much potential for synergy; they include companies specializing in aeronautics and flight information, K–12 and art education, and gift retail.

Should the PQDT database fail or become unavailable, some level of protection would be afforded U.S. and Canadian libraries by the cooperative agreements made between the National Library of Canada and Library of Congress. (See Appendices B and C.) That level of protection, however, differs under the two agreements. The Library of Congress agreement provides only limited protection to libraries other than LC. For example, it does not provide for access to the full texts of dissertations and theses included in the PQDT for submitting universities or libraries in the event of a UMI failure, as the Canadian agreement does. Nor does it protect libraries from price volatility, i.e., from price increases that might be imposed arbitrarily by UMI on the PQDT database or its related services. The trigger events that require UMI to provide serviceable copies of the dissertations to the Library of Congress include unavailability of the database to the Library and transfer of its control out of the hands of UMI, but not interruptions in access to other libraries or extreme increases in the price of subscription to the database.

The Library and Archives Canada agreement, on the other hand, establishes both the prices UMI may charge for copies of Canadian graduate works and the prices UMI is permitted to charge student authors for services and others for copies of the works.

Endnotes

[1] Austin McLean (director, Scholarly Communication and Dissertations Publishing, ProQuest), interview with author, February 2008.

[2] Ralph E. Ellsworth, “Toward Publishing Doctoral Dissertations,” Journal of Higher Education 23 (1952): 241–44.

[3] Eugene B. Power, Edition of One (Ann Arbor, MI: University Microfilms International, 1990).

[4] Ibid.

[5]ProQuest Company Launched from Base of Bell & Howell e-Businesses,” Cambium Learning, accessed April 4, 2011, http://phx.corporate-ir.net/phoenix.zhtml?c=93447&p=irol-newsArticle&ID=340979&highlight=.

[6]"About NA Publishing, Inc.," National Archive Publishing Company, accessed April 4, 2011, http://www.napubco.com/about.html.

[7]Paula J. Hane, “ProQuest Reports Completion of Audit Committee Investigation,” Information Today: Newsbreaks (August 7, 2006), accessed April 4, 2011, http://newsbreaks.infotoday.com/nbReader.asp?ArticleId=17326.

[8]“25-NSE New York Stock Exchange Inc.,” Securities and Exchange Commission, accessed April 4, 2011, http://www.secinfo.com/dQX3q.uch.d.htm.

[9]ProQuest, “ProQuest Provides Business Update,” PRNewswire-FirstCall, accessed April 4, 2011, http://www.prnewswire.com/cgi-bin/stories.pl?ACCT=104&STORY=/www/story/03-07-2007/0004542031&EDATE=.

[10]Ibid.

[11]Cambridge Information Group Announces Agreement to Acquire ProQuest Information and Learning,Cambridge Information Group, accessed April 4, 2011, http://info.csa.com/enews/CIGAcQuiresProQuestPR.shtml.

[12]“CIG Operating Companies,” Cambridge Information Group, accessed April 4, 2011, http://www.cambridgeinformationgroup.com/companies.htm.

[13]Barbara Brynko, “Kahn: The ProQuest Vision,” Information Today (Feb 2011),  accessed April 4, 2011, http://www.infotoday.com/IT/feb11/Kahn-The-ProQuest-Vision.shtml.

[14]Paula J. Hane, “ProQuest Acquires Ebook Pioneer ebrary,” Information Today: Newsbreaks (January 13, 2011), accessed April 4, 2011, http://newsbreaks.infotoday.com/NewsBreaks/ProQuest-Acquires-Ebook-Pioneer-ebrary-73219.asp.

[15]Brynko, “Kahn: The ProQuest Vision,” Information Today.

[16]U.S. Copyright Office, Annual Report of the Registrar of Copyrights, 2002, accessed April 4, 2011, http://www.copyright.gov/reports/annual/2002/automation.html.

[17]PR Newswire, “UMI and National Library of Canada Sign Major Agreement,” accessed April 4, 2011,  http://www.prnewswire.com/cgi-bin/stories.pl?ACCT=104&STORY=/www/story/12-12-97/377386&EDATE=.

[18]Library of Congress and Copyright Office Sign Landmark Agreement with UMI,” Library of Congress, accessed April 4, 2011, http://www.loc.gov/today/pr/1999/99-007.html.

[19]“ProQuest CSA Wins Red Hat Innovation Award,” ProQuest, accessed April 4, 2011,  http://www.proquest.com/en-US/aboutus/pressroom/07/20070514.shtml .

[20]“Red Hat Announces Winners of First Annual Innovation Awards,” Red Hat, accessed April 4, 2011, http://customers.press.redhat.com/2008/01/10/ProQuest-csa-2007-red-hat-i....

[21]Austin McLean (director, Scholarly Communication and Dissertations Publishing, ProQuest), interview with author, February 2008..

[22]“UMI Dissertation Publishing Preservation Policy,” accessed April 4, 2011, ProQuest, http://www.ProQuest.com/products_umi/dissertations/preservationpolicy.shtml.

Appendix

Appendix A

ProQuest Management Team (as of 3/24/2011)

Andy Snyder, Chairman

Marty Kahn, Chief Executive Officer

Philip Evans, Chief Financial Officer

Annie Callanan, Chief Operating Officer

Simon Beale, Senior Vice President, Global Sales

Timothy Babbitt, Senior Vice President, ProQuest Platforms

Jane Burke, Senior Vice President, Strategic Initiatives

Elliot Forsyth, Senior Vice President, Human Resources and Business Services

Rod Gauvin, Senior Vice President, Publishing and Global Content Alliances

Michael Gersch, Senior Vice President and General Manager, Serials Solutions

Boe Horton, Senior Vice President, Research Solutions

Lynda James-Gilboe, Senior Vice President, Marketing and Customer Care

Rich LaFauci, Senior Vice President and General Manager, Research Solutions

Vince Price, Senior Vice President, Content Operations

Mary Sauer-Games, Senior Vice President, Higher Education Publishing

John Taylor, Vice President, Technology and General Manager, Cambridge Operations

Tim Wahlberg, General Manager of Dialog and Vice President, Corporate Markets

 

 

Appendix B

Publishing Agreement between UMI and the National Library of Canada. (PDF)

Appendix C

Publishing Agreement between UMI and the Library of Congress. (PDF)

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