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Cataloging NCSU Electronic Theses and Dissertations

Background

In the spring of 1997, the NCSU Libraries, the Graduate School, and the campus Information Technology Division began a pilot project that allowed graduate students to submit theses and dissertations electronically. Interest in the project steadily gained momentum and beginning Fall 2002, NCSU required all University theses and dissertations to be submitted electronically. This document presents policies and procedures for original ETDs and preservation microfiche copies.

Cataloging Decisions

1. Currently ETDs are cataloged as unpublished manuscripts, using Type t, manuscript language material, with the addition of the GMD |h [electronic resource] in the 245 and only the date |c in the 260 field. ETDs will continue to be cataloged as unpublished manuscripts until a policy decision is made to catalog ETDs otherwise.

2. After the ETD is cataloged, the preservation copy of microfiche will be cataloged as an "add-on" to the record describing the original ETD.

3. Unlike print theses and dissertations, ETDs will not be assigned LD3921 class numbers as Unicorn's sort function allows browsing by authors within a given program/discipline.

4. Currently no Library of Congress Subject Headings are assigned to ETDs. Instead, author-supplied keywords are included in the 520 field.
   
   

Current Workflow

The Graduate School maintains a website entitled Electronic Theses and Dissertations (ETD) that describes the Graduate School's guidelines and procedures for ETD submission. After a student submits his/her thesis or dissertation to the Graduate School Thesis Editor and the Graduate School accepts the work, the ETD appears on the List of Withheld ETDs, which is checked daily by the Cataloging Department. At this point, the following process for ETDs is completed:

• Complete name authority work
• Enter ETD bibliographic and access information into OCLC Connexion
• Export ETD bibliographic record from OCLC Connexion and import to Unicorn
• Add volume/copy information

Procedures: Original record creation

Entering Bibliographic and Access Information into OCLC Connexion

The cataloger will complete the following steps:

1. Log into List of Withheld ETDs. You will need to enter a user name and password, which will be provided by your supervisor.
2. After login, a list of ETDs displaying author, title, and date of approval will appear, with the option to View or Catalog entries. Select View in order to view the ETD HTML submission form. Do not select Catalog! If Catalog is selected, the ETD will disappear from the List of Withheld ETDs.
3. At this time, open the Connexion Windows client, or a second browser window if you are intending to use the Connexion Web client. You will need to enter an authorization and password, which will be provided by your supervisor.
4. Select Create. Select the Books workform and be certain that the Apply default constant data box is checked. Select Create.
5. When the constant data is loaded, fill-in the following fields. Much of the information needed for the necessary bibliographic elements can be copied and pasted from the HTML ETD submission page. However, the chief source of information is the title page contained within the PDF ETD file. When you complete your record, make sure that information copied and pasted from the HTML ETD submission page matches the information that appears on the PDF ETD title page.

   007: For physical characteristics

   Tp: c -- computer file
   Spmat: r -- remote
   Color: a -- one color, c – multicolor, m - mixed
   Dimension: n -- not applicable
   Sound: [blank] – silent

   Examples:

   007 c $b r $d a $e n – one color (typically black, white, and grayscale)
   007 c $b r $d c $e n – some color
   007 c $b r $d m $e n – multicolored

   100: First complete name authority work and enter name in the authorized form.

   245: Enter the title and author of the ETD as it appears on the title page.  Add $b for a subtitle if necessary.  Make certain that the second indicator corresponds with the number of non-filing characters.

   260: Enter here the date which appears on the title page of the ETD.  Make certain that this date also corresponds with the date located in the fixed field.

   300: Enter here the pagination and other physical details of the ETD.

   Examples:

   xvi, 141 p. :|bill. (some col.)
   xvi, 141 p. :|bill.
   xvi, 141 p. :|bill. (chiefly col.)

   502: Consult the ETD title page to determine if the ETD is a MS or PhD. The default is MS, so change accordingly.

   504: If the ETD concludes with a comprehensive list of bibliographical references, supply page numbers in parenthesis.

   Example:

   Includes bibliographical references (p. 136-141).

   If the ETD does not contain a comprehensive list of bibliographical references at the end of the work but rather a list of references at the conclusion of each chapter, do not supply page numbers.

   Example:

   Includes bibliographical references.

   500:Includes vita.

   520: Copy and paste keywords from the "List of withheld ETDs page", prefaced by Keywords:

   650: Complete |x in this field by applying the correct designation for the department available from Departmental Designations in Call Numbers and Subject Headings

   856: Supply the ETD’s URL in a |u after|yFull text (pdf)

6. Save bibliographic record to the "In Review" file and notify the Electronic Resources and Serials Section Library Technical Assistant.

Export ETD Bibliographic Records from OCLC Connexion and Import to SIRSI

The Electronic Resources and Serials Section Library Technical Assistant I will complete the following steps:

1. Follow steps 1-3 listed in Entering Bibliographic Information into Connexion above.
2. From the Show Options dropdown menu, select By Status. Show records in the In-review file.
3. Review the ETD bibliographic record for accuracy. From the Action dropdown menu, select Update Holdings. When the action is completed, you will be given the OCLC number for that record. Write down the OCLC number.
4. If only one record, verify, Export in MARC, and save in c:\Documents and Settings\your Unity ID\Sirsi\z3950\save\etd.mrc
5. If more than one record, select Flag Record. When all ETDs are reviewed and Update Holdings has been performed, save all ETD bibliographic records to c:\Documents and Settings\your Unity ID\Sirsi\z3950\save\etd.mrc
6. Open WorkFlows and select the Z39.50 wizard. Select the disk icon pictured on the toolbar. Select the saved file, etd.mrc. Select record you desire to import, select the magnifying glass icon labeled View records in the selected save file. View record to make sure you are importing the correct record. Capture the record and import into Unicorn.
7. In Unicorn, make sure the class scheme is ETD and the library is ONLINE.
8. Notify Electronic Resources and Serials Section Library Assistant of uploaded records. Be sure to provide the OCLC numbers of uploaded records.

Add Volume/Copy Information

The Electronic Resources and Serials Section Library Assistant will add ETD Volume/Copy information. Use auto call numbers with a class scheme of ETD. These should be provided automatically for new call number/volume records, but if you are changing an existing call number record, base the XX number on the item ID as follows. Use the format "XX(nnnnnnn.n)", where the digits before the decimal are the first portion of the automatically-generated item ID (the portion before the hyphen). The second portion of the auto call number (after the decimal) is the volume number from the item ID, the first number after the hyphen. Fuller discussion of this relationship may be found in the Control numbers documentation under Unicorn Cataloging tools. When completed your Vol/Copy screen should appear as follows.

Doctoral Dissertation:

Doctoral Dissertation example (right click on image to view at higher resolution using "View Image", or double click on image to execute Endeca search)

Master's Theses:

Master's Thesis example (right click on image to view at higher resolution using "View Image", or double click on image to execute Endeca search)

Procedures: Microfiche reproduction

Processing preservation copy of microfiche

1. Preservation Department orders a preservation copy of ETD on microfiche from UMI.
2. Preservation Department sends these microfiches to Metadata & Cataloging to be added to Special Collections.
3. Because the collection is arranged by year of graduation, then alphabetically by author's last name, write the year on the fiche folder.
4. DDS staff member adds location and copy information to the existing bibliographic record describing the original ETD by doing the following:

Completed screens look like this:

MARC Holdings

1. Create a MARC holdings for library: change to SPECCOLL
2. Use the following Fixed Field values:

• Rec_Type: x for single sheet; v for multiple sheets
• Enc_lvl: 1 (minimal level)
• Material: he (microfiche)
• Acq_Meth: z (other method of acquisition, e.g. not deposit, exchange, purchase, etc.)
• Gen_Retn: 8 (Permanently retained)
• Copies: 001
• Lending: b (will not lend, not a service copy)
• Repr: s (original is electronic)
• Holdings Entries: change 852 first indicator to "8" (other class scheme), then add |cARCHIVES|hArranged by year, then by author's surname
• Create 843 field to record copy specific information:
Preservation microfiche.|bAnn Arbor, MI :|cUMI,|d2003.|e2 microfiches ; 11 x 15 cm.

Completed screen looks like this:

Microfiche Reproduction Example (right click on image to view at higher resolution using "View Image", or double click on image to execute Endeca search)

Both ETD and MFTHESIS are used with an AUTO (XX) call number to suppress the display of the call number in the OPAC (not in the staff client) and to instead display a standardized text. Here is an OPAC display for an NCSU dissertation with a preservation microfiche, where the XX call number has been replaced for display purposes:

Name Authority Work for Electronic Theses and Dissertations

A thesis or dissertation is the written result of original research. It is national practice to use the form of a personal name based on the form found in the majority of the author's work. Because only a small percentage of thesis/dissertation authors have been previously published, the name form is most often the same as that on the title page. If a name is hyphenated, check with the Graduate School's Thesis Editor to ascertain the author's preference.

Begin name authority work by searching in Unicorn. If the author has been previously published, or has another NCSU thesis or dissertation, use the form found on the earlier record in Unicorn. If no form is found, search the Library of Congress Authorities as follows:

After selecting Search Authorities, search Name Authority Headings using last name, first name. If a name authority record is located, use the prescribed form. Check presented information, particularly any provided 670s, to ensure that the authorized heading describes the same person as the NCSU thesis or dissertation author.

If no name authority record is found, set up the name using the following guidelines:

Set up the author's name as it appears on the title page of the thesis or dissertation. Include fuller forms of name (|q) or birthdates (|d) that are found in the abstract or biographical information:

Information in the thesis or dissertation:

Title page: by John E. Rose
Abstract: John Edward Rose
Biography: ...born 1959

MARC record:

100 1   Rose, John E.|q(John Edward),|d 1959-

Information in the thesis or dissertation:

Title page: by John R. Arnold, Jr. (or III, IV, etc)
Abstract: Arnold, John Ray.
Biography: ....born 1957

MARC record:

100 1   Arnold, John R.|q(John Ray),|d 1957-

Information in the theses or dissertation:

Title page: by Maria Febbo-Hunt
Abstract: Febbo-Hunt, Maria

MARC record:

100 2   Febbo-Hunt, Maria.