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W.E.B.
Du Bois Library Cataloging Manual
CATALOGING INSTRUCTIONS
FOR DISSERTATIONS, THESES, AND TERMINAL PROJECTS
CONTENTS
I. Overview of Procedures
II. Cataloging Instructions
A.
Assistant to the Thesis Coordinator
B.
Catalogers
1.
Reviewing fixed fields
2.
Adding variable fields
3.
Reviewing variable fields
4.
Microfilm records
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I. Overview of Procedures
Doctoral and masters degree candidates
submit dissertations and theses to the Graduate Records Office in February,
May, and September of each year. Approximately a month later, the Graduate
Records Office sends one copy of each dissertation, and the "original"
plus one copy of each thesis, to the Thesis Coordinator in Information
Processing. (The "original" copy of each dissertation is sent directly
to University Microfilms by the Graduate Office.) Printouts listing each
candidate's name, birthdate, type of degree, and field of study are also
provided.
The Assistant to the Thesis Coordinator
assigns call numbers to each dissertation and thesis using the Cutter/Sanborn
tables, and an accession number for the microfilm copy of each dissertation.
The assistant then creates descriptive bibliographic records, which are
temporarily stored on a local database (microenhancer), and types bindery
slips for each volume. (Dissertations require two bibliographic records,
for the paper copy and for the microfilm.) Printouts of the bibliographic
records representing paper copies accompany the volumes into the Cataloging
Department, where catalogers review and proofread the records, and add
subject headings. Theses that do not require subject headings (i.e., many
M.F.A. theses) are not forwarded to the Cataloging Department. These bibliographic
records are proofread by the Thesis Coordinator in Information Processing.
When the volumes are returned from Cataloging
to Information Processing, the Thesis Coordinator sends them to the bindery.
Subject headings, other additions, and any corrections to the bibliographic
records are input by the coordinator's assistant, who then produces the
records, so that bibliographic records and item records without barcodes
appear in Innopac via weekly tapeload. When returned from the bindery,
the volumes go through end processing and are linked. In general, "original"
copies are held in Archives, and the second copy sent to Main or branch
stacks.
Microfilm records for doctoral dissertations
are input and stored as described above. The records are not produced,
however, until the University Microfilms number has been received by the
Thesis Coordinator and input into each record by the coordinator's assistant.
Terminal projects are masters degree
theses produced by candidates for degrees in Landscape Architecture or
Regional Planning. The general cataloging procedures for terminal projects
are the same as for masters theses, but terminal projects are not received
in the library according to any set schedule, and often do not need binding.
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II. Cataloging Instructions
A.
Assistant to the Thesis Coordinator
B.
Catalogers
1.
Reviewing fixed fields
2.
Adding variable fields
3.
Reviewing variable fields
4.
Microfilm records
A. Assistant to the Thesis Coordinator
The Assistant to the Thesis Coordinator
inputs descriptive records according to current cataloging rules using
constant data templates. The assistant is also responsible for doing name
authority work as follows:
The assistant searches the Innopac database
for previous works by authors of dissertations, masters theses, and terminal
projects. Where no previous works exist, or where previous works use the
same form of the author's name, the name is entered into the bibliographic
record as it appears on the title page, with year of birth when available
from Graduate Office printouts.
Where previous works do exist with a
different form of the name, and no authority record exists in Innopac,
the assistant obtains a printout of earlier records and attaches them to
the printout of the bibliographic record that will be reviewed by a cataloger.
The cataloger will be responsible for resolving name conflicts.
Local name authority records, when they
do not already exist, are created by the assistant for authors with compound
names or where significant differences exist between the author's name
as it appears on the thesis title page and its form in the printouts provided
by the Graduate Office. Copies of these authority records are submitted
to catalogers for review.
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B. Catalogers
Catalogers are responsible for
reviewing the descriptive portion of the bibliographic records and for
adding subject headings and additional variable fields when necessary.
Catalogers are also responsible for
reviewing local name authority records created by the Assistant to the
Thesis Coordinator and for resolving name conflicts created by earlier
entries. Using printouts obtained by the Assistant to the Thesis Coordinator,
catalogers will establish a valid form of the author's name, write the
valid form of the name on the printout of the current thesis record, and,
if necessary, submit a Database Correction Request Form to change earlier
entries on Innopac to the valid form. Catalogers will also create local
name authority records on Innopac as appropriate.
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1. Reviewing fixed fields
Fixed fields that should be reviewed
include:
Lang
Cont
Illus
F/B
Dates (the first date should match
the 260; the second date
should be blank)
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2. Adding variable fields
The cataloger is responsible for adding
the following fields, as needed:
041
043
6xx
7xx
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3. Reviewing variable fields
090 The year in the call number
is the year of graduation, as provided
by the Graduate Office.
049 Location code:
Main
AUND
Morrill
AUMX
Music
AUNX
Phys Sci AUNA
Archives AUMC (when
only one bound copy is held)
Microfilm AUMS
100 Form of name as described
in II.A above, with appropriate first
indicator.
245 From title page.
246 As appropriate.
260 Date from title page. The
title page date and the year of graduation are
generally the same for doctoral dissertations and masters theses, but
often different in terminal projects.
300 As appropriate.
5xx The "Typescript" note is common
to all dissertation, thesis, and terminal
project records (including microfilm).
The date in the 502 is the year of graduation.
Microform records contain a 533 field
with the year in which the microfilm was actually produced by UMI, and
a 500 field containing the UMI number.
690 Theses--[Field of study]--Degree
[Doctoral; Masters; Terminal Project].
949 This field creates an item
record in Innopac. The location code in
subfield l (el) should correspond to the 049 location code as follows:
AUND - uau
AUMX - uab
AUNX - uam
AUNA - uap
AUMC - uauat
AUMS - uaumm
The call number in subfields a and b
should match the 090. The status (subfield s) is p for paper copies, and
- [hyphen] for microfilm.
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4. Microfilm records
Bibliographic records for microfilm
copies of dissertations are created by the Assistant to the Thesis Coordinator
by altering paper copy records as follows:
Fixed fields: Same as for paper copy
except for:
Repr:a (altered by using constant data
template).
Variable fields:
007 Added in constant data.
090 Deleted.
099 Added.
049 Altered to AUMS using constant
data.
245 Subfield h [microform] is added
to the end of subfield a.
300 "Bound" is deleted from subfield
a.
500 Another copy in Archives note
is deleted.
500 Another copy: Micofilm note
is deleted.
533 Added in constant data. The
year in subfield d is input when
the microfilm is returned from University Microfilms.
500 UMI no. note is added in constant
data. The number is input
when the microfilm is returned from University
Microfilms.
590 For bound copy see: [call number]
note added in constant
data.
949 Location, status, and call number
fields are altered to create
item record for microfilm.
Subject headings, other additions, and
any corrections by catalogers to the paper copy records are also input
into microfilm records by the Assistant to the Thesis Coordinator.
Overview of Procedures
Cataloging Instructions
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1/23/96 - W9 / HTML 10/19/00
Copyright
2000 University of Massachusetts, Amherst
For corrections, comments
and suggestions contact the Cataloging
Manual Committee, W.E.B. DuBois Library
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of the University of Massachusetts Amherst Campus