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Establish base cataloging templates and tracking spreadsheets:
  • Create/update Connexion cataloging templates for dissertations and theses. Incorporate any new fields and/or changes as needed in both Fixed fields and bibliographic fields.
  • Create/update Aleph template. This can be used interchangeably with dissertations and theses.
  • Create/update Excel spreadsheet for 1- and 5- year campus-only titles.
  • Create/update Excel spreadsheet for embargoed titles on a monthly basis.


Basic instructions for creating a RDA catalog record:
  • Receive packing list of names etc from Grad School and create an Excel spreadsheet for this list. The cataloger’s list must have columns for each author’s name, degree program, degree, year of birth, whether the work is campus only and for how long, whether there are supplemental files, whether it has been entered into Connexion and/or Aleph, whether it has been exported to OCLC, whether it needs subject headings and the date of embargo, if any.
  • Use above information as well as Scholarworks metadata page plus PDF of work to create a RDA cataloging record including but not limited to the author/title, abstract, keywords, any other necessary 5xx field, degree and degree program, degree supervisor and URL into the template.
  • If the work is in a language other than English, use the appropriate code in the Lang fixed field. Dissertation abstracts are generally in English as well as the original language; if this is the case, add a 546 field with the appropriate note (i.e., “Text in German; abstract in German and English”). Include the appropriate 041 field codes (i.e., 041 0_ ger |b eng |b ger).
  • Check each PDF for any illustrations, maps, etc and note in the record whether they are in color. If there is no color, make sure the record reflects this in the 007 |d subfield as well as the 300 |b subfield. If there are no illustrations etc, make sure the Ills Fixed field is blank.
  • If there are any supplemental files, add a 300 |e subfield accordingly as well as a note: 500 __ Accompanied by [number, type] files which are accessible through the same online resource.
  • If there are supplemental files of any type other than .pdf, change the 007 |h subfield accordingly.
  • If author/title information does not show on its appropriate Scholarworks list, search the SW series. If not found, notify the Scholarworks group. If found, notify group that name is not visible on list (or has been placed in the wrong list).
  • If name of author on SW metadata and/or title page differs from name given by Grad School, research. Make a judgment call if necessary. Make note if NAF needs to be created.
  • Check for name of degree supervisor in NAF. If not there, search OCLC for thesis or other publications. Compare against supervisor’s UMass website to determine whether it is the same person. Maintain spreadsheet of supervisors. Non-NAF names will need to have the proper form of name determined before the work is uploaded to OCLC.
  • If a work is embargoed, pull up the PDF via Scholarworks admin login and catalog with that. Make a note of the embargo date in the Connexion record My Status column.
  • Correct any errors present on Scholarworks metadata in the back end (i.e., badly broken abstracts, incorrect author or title entry).
  • If there is no metadata record for a title in Scholarworks, add a placeholder cataloging record in Connexion only. Do not add any records to Aleph without an URL link available for said record.
  • Make notation in My Status column of Connexion record what the degree program is or if it is for ISEL.
  • Create temporary record in Aleph for each Connexion bib record using the short form Aleph template. Add any needed 590 fields if a work is under embargo, giving the date of release, and/or if it is restricted access, again give the date of release. Add item record as well as holdings record with appropriate URL link (O/A vs C/A).
  • If a record does not need subject headings (typically M.F.A. English and Art works, certain Theater), upload record to OCLC and export et cetera.
  • Notify professional catalogers (Peter, Cindy, Sharon) when records are available for checking and/or adding subject headings.
  • Once a bib record in Connexion is ready, validate. If the record cannot validate because of unknown characters in a given field(s), search and replace said characters as appropriate. Use Notepad++ if necessary as well as verifying non-Marc 8 characters with Connexion.
  • Upload validated to OCLC. Copy OCLC record number and call up temp Aleph record. Insert OCLC number in temp record and overlay.
  • Update Excel spreadsheet to show if record is in Connexion and/or Aleph, whether it is under embargo or if it is not in Scholarworks (with NSW status). Also record whether there is a campus access restriction and for how long. If there are any attached supplemental files, make note on how many and what type (.pdf, .jpg, .mvi).
  • Check spreadsheets every month for any embargos which may have been lifted.
  • Once a title is no longer under embargo, remove the 590 field embargo note in the Aleph temp record and add a 300 field.


For records which were uploaded to OCLC and Aleph without subject headings:

These records were cataloged under the old AACR2 cataloging rules but their temp records in Aleph are “RDA upgraded” via the Backstage conversion project. Therefore:

  • Add subject headings to the OCLC record then call up the temp Aleph record, insert the same subject headings, and remove the TEMP in the original 910 field. OR add subject headings in OCLC, overlay the temp record in Aleph, and add a 928 AUTHORITY field while removing the TEMP in the original 910 field.
  • If this is done by a professional cataloger, the original record in Connexion must be marked “SHs added - OCLC/OPAC” to notify the dissertation cataloger that both bib records have been updated.
  • The Excel spreadsheet is marked as appropriate to show which records now have subject headings and thus are completely done.


For works received from or uploaded to Scholarworks by LARP:

No spreadsheet is kept for the Terminal Projects (M.L.A, M.R.P.) from the Department of Landscape and Architecture although there is an Excel file on the W drive which keeps track on whether each work is a print resource, an e-resource or both so we know what has been cataloged. The LARP office typically does not always notify the dissertation cataloger whenever a new work is added to the LARP Scholarworks collection. The dissertation cataloger must check for these new works on a regular basis.


  • If a print copy is received from LARP, check the Scholarworks collection to see if there is an e-resource version.
  • If not, catalog the print copy in a Connexion file, create a LC call number (LD3234.M267 [or M268] |b [year] [Author cutter]).
  • Add 500 field: Terminal Project. Degree in [Regional Planning or Landscape Architecture] from the University of Massachusetts Amherst.
  • Notify professional catalogers of the new record for subject headings work.
  • Once the record is complete, upload to OCLC then export to Aleph.
  • Add appropriate stack item/holdings information to UMA50 Aleph record for UMDUB location.
  • Create a duplicate of the bib record then catalog it as a DEP50 record with its own UMFCD item/holdings record.


  • If a new e-resource record is found in Scholarworks, search Aleph for a print version. If one is found, catalog the e-resource version in Connexion with the print version information and the 500 Terminal Project note.
  • Upload record to OCLC then export to Aleph. A notation is added to the Aleph record that a print copy is also available.
  • If no print version is found in Aleph, the e-resource version is cataloged in Connexion.
  • Notify the professional catalogers that it needs subject headings.
  • Once the subject headings are added, the record is uploaded and exported as above.


Unbound print copies received from ILL or ProQuest:
  • Search Aleph for a record of the original copy.
  • If a record is found and no copies are missing, treat the unbound copy as an added copy and add the appropriate item record.
  • If the print copy is a replacement, check the bib record for a SUPPRESSED field. Remove if present. Update/add any item record as per current added copy rules.
  • Add a duplicate barcode to the unbound copy and a specific Sent to Bindery date.
  • Give the copy to the Bindery Supervisor with the appropriate cover color/lettering and spine title information for input into the bindery database.


Special requests for a newly digitized older work:
  • When notified by Scholarworks that the digitization of an older print version has been done and added, search Aleph for the print version.
  • Catalog the e-resource version using information from the print version record, upload to OCLC and export to Aleph. Add 530 field note about print copy in the Aleph record only.
  • Update bib record of print version with 530 note about e-resource version.
  • Pull up ETD Digitization project spreadsheet and note this dissertation has been cataloged.
  • Notify Lisa Persons.


Other dissertation/thesis work:
  • At the end of each month, check all files under the Theses directory in Connexion. Make a note of how many records in each file are ‘available’ (ready for subject headings), how many are for ISEL, whether there are any specific records for Peter Shea (music, German lang) or Sharon Domier (Asian lang, Asian topics), and how many are still under embargo.
  • Create a monthly report with this information and send to Meghan, Ron, Peter, Cindy and Sharon.
  • Maintain wiki information especially in regards to workflow changes.
  • Maintain wiki list of department program codes which are used by the Grad School.
  • Maintain paper files of Excel spreadsheets and any other information pertinent to these files (form of name clarifications, embargo notes, degree program verifications, etc.). These are valuable archival tools!


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