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Electronic Dissertations Workflow

Overview

Three times a year (for February, May, September), the Office of Degree Requirements in the Graduate School of UMass receives dissertations submitted electronically for a Ph.D. or Ed.D. degree. Once these dissertations are reviewed and approved, the Office uploads the Open Access files via BePress and also notifies ProQuest, our dissertations publisher, that they have the go-ahead to “publish” both Open Access and Campus Access works. ProQuest will then make these works available online via the ScholarWorks database. See the related Dissertations And Theses Overview page for more information on open access and campus access works.

Theses which are embargoed are uploaded to Scholarworks with the date(s) the works will become available. Dissertations which are open access will also have a date; those which are campus access will have a note that the work is not available for purchase at the author's request, with no release date given. Embargoes are typically for six months. Note that embargo terms are counted from the date they are received by ProQuest, not when they are released by the Graduate Office and also that ProQuest typically uploads files on or around the 15th of each month, so there may be a delay before the titles become available on Scholarworks. Note also that at times a title does not appear on ProQuest at all. Such missing works should be searched for on Scholarworks periodically for up to a year before checking with the Graduate Office and/or ProQuest.

The Graduate Office no longer sends a binder containing paper dissertation signature pages to the UMass Library’s Thesis Cataloger as the practice of requiring print copies was discontinued in 2010, but an emailed Excel spreadsheet containing information for each author is still sent to the Cataloger. It is the Cataloger’s responsibility to implement and keep track of each step required to make these dissertations available to the public, including and not limited to creating catalog records in Connexion, creating temporary bibliographic records in ALEPH and uploading the finished bib records into OCLC’s database and the library’s own OPAC.

Procedures

1) The Thesis Cataloger creates and prints out an Excel worksheet containing the graduate program, degree, and date of birth and access category for each author as provided by the Graduate Office. This worksheet is also used to track the progress of each dissertation as it is cataloged, uploaded to OCLC, exported to ALEPH and linked to appropriate ScholarWorks communities online as well as track any embargos.

2) OCLC’s authority file, author files and the UMass library's OPAC are no longer searched for any variant forms of name. However if there is a previously established form of name in OCLC or in the OPAC, it may take precedence over any form of name submitted by the Graduate Office. If necessary, authority records are created or updated in OCLC, particularly in the case of married vs. unmarried surnames.

3) Once the electronic dissertations are loaded into Scholarworks and their entire contents can be accessed online, cataloging records are created in Connexion for each dissertation using a previously created Constant Data template for electronic resource bibliographical records. The library's professional catalogers are then notified that the records are available for assignment of subject headings. The catalogers directly add these headings to the Connexion cataloging files; this is the only work they need to do associated with the dissertations aside from any potential authority record work.

NOTE: The program name in the cataloging record must be that which is provided by the Graduate Office on the spreadsheet. Do not use any variant form or department listed on the title page. A copy of the Degree Programs and their codes can be found in Graduate Degree Program Codes.

5) Temporary bibliographic records for each electronic dissertation accessible via Scholarworks are created in ALEPH, using an established template. Each bib record contains the fields for call number, author, title, statement of responsibility, pagination, 506 field, mode of access, the 502 and 690 fields, and a 910 field stating “TEMP” and the Thesis Cataloger's initials plus the date. The bib records then have item and holdings records created for their corresponding Scholarworks URL. These temp records allow the library to have an established access point in the OPAC while awaiting a fully cataloged bibliographic record. Embargoed works do not get temp records in ALEPH.

6) Once the subject headings are assigned, the Thesis Cataloger proofs and validates each record, double-checking for the appropriate open/restricted access category of each piece. If a dissertation is Open Access, the bib record receives a 506 field (indicators 0 blank) saying “Open access”. If the dissertation is Campus Access, the bib record receives a 506 field (indicators 1 blank) saying “Access restricted to the UMass community” Both Open and Campus Access records contain a 856 URL field with their appropriate Scholarworks link and a subfield |z saying “Connect to this title online”. Note that the 856 fields require a change once the bib records are exported to ALEPH; see below.

7) Each record is then imported to OCLC, and once an OCLC number is assigned the record is exported to ALEPH, overlaying any temporary bib record. The 856 field is then removed from the bib record in ALEPH.

8) To create an electronic resource item record for each dissertation's bibliographic record in ALEPH:

  • Click on New. Set the following categories:
  • Sublibrary: UMDUB
  • Collection: UWWW
  • Material type: EBOOK
  • Item Status: 04
  • Statistics: 09
  • Update

Create a new Holdings Record and edit as follows:

  • Delete the LC call number in Field 852 (subfields h and i).
  • For Open Access dissertations, add the following Holdings Record field:

856 40 |u http://www.scholarworks.umass.edu/open_access_dissertations/<document number> |z Connect to this title (open access)

  • For dissertations restricted to the campus community, add the following Holding Records field:

856 40 |u http://silk.library.umass.edu/login?url=http://www.scholarworks.umass.edu/dissertations/ <document number> |z UMass: Connect to this title

  • For dissertations which have an embargo, add the following to the Holdings record:

952 __ |z Embargoed until <date as given in Scholarworks>

9) Once there is an established bibliographic record in the library's OPAC with a link to its electronic resource, the Thesis Cataloger orders two paper copies of the dissertation through ProQuest's Dissertation Express. One copy will be placed in the library's Main or ISEL stacks (as appropriate), and the other copy will be sent to the Five College Depository. The copies are ordered through and paid for via the Acquisition Department's account with ProQuest, and a printout of each order is to be given to Jan Bagjier. A second printout is kept with the Thesis Cataloger to track the progress of each order. No bibliographic record is to be placed in the OPAC until a resource, electronic or otherwise, is available.

10) The paper copies are received as unbound sheets, each manuscript sandwiched between two cardboard sheets and wrapped protective plastic. The plastic is removed from the manuscript along with the cardboard, and the appropriate original signature page inserted just after the photocopy's signature page. The copy's title page is placed on top of the entire works which is then sandwiched between two cardboard sheets and secured with a rubber band. This will aid the bindery people in boxing up a number of dissertations without damaging the loose pages. Note that not all paper copies of a batch are available at once; it will be necessary to keep checking Dissertations Express to see when any given paper copy is available. Also note that each paper copy comes with a 'packing slip' which contains an ISBN for the work; this should be added to both the OCLC and the library's bibliographic record.

2) A Library of Congress call number is assigned to each author using the Cutter-Sanborn author table. The library’s OPAC is checked to ensure there are no duplicate call numbers. The appropriate format for each call number is LD3234.M267 <Year of degree awarded> .<Author cutter>. Example: LD 3234.M267 2009 .D1235

11) A bindery record is created on Acme Bookkeeping for each copy, using the appropriate horizontal or vertical binding format (UMH75 or UMV75 - black binding with gold letters) and using the following format in capital letters:

  • AUTHOR <Last name only>
  • PROGRAM NAME <i.e., Astronomy>
  • DEGREE NAME <PH.D. or ED.D.>
  • YEAR <on title page>

The program name is to be the same form of name shown in the work's bibliographic record (field 690). Printouts for each manuscript are then inserted into their corresponding copy and the entire batch sent to the Bindery.

12) Create an item record for each to-be-bound dissertation in ALEPH:

Open the appropriate bibliographic record in ALEPH then create a new item record for UMDUB or UMSCI with the following:

Scan in the piggyback barcode. Set the following:

  • Sublibrary: UMDUB or UMSCI
  • Collection: UGEN
  • Material type: BOOK
  • Item Status: 01
  • Item Process Status SB
  • Internal note: Sent to Bindery <date>
  • Circulation note: If any accompanying materials need to be inserted once the paper copy is bound, add a note to the Circulation note field which says “Return to Kay Dion”. These materials are kept at her desk until the bound dissertation is returned from the bindery and are sent to her.

Update. Create a Holdings record. Apply the piggyback barcode to the upper edge of the last page of the dissertation.

13) Create a duplicate bib record for the Depository copy:

In the main bib record, hit CTRL-N (or Cataloging–>Duplicate). This will pop up a window menu asking you to Select. Click on FC101 then OK; this will create a duplicate copy on the Five College server. Change the OWN field code in the duplicate bib record to DP. Save. In the left-hand column under the FCL101 list, find DEP50. Click on ITEMS beneath that.

To create an item record: Scan in the piggyback barcode. Set the following:

  • Sublibrary: UMDPT
  • Collection: UDBKS
  • Material Type: BOOK
  • Call number type: 8
  • Item Status: 02
  • Item Process Status: SB
  • Check Temporary Location box
  • Internal note: Sent to Bindery <date>
  • Circulation note: see procedures for the non-Depository copies of accompanying materials, above.

Update. Create a Holdings Record. Add an 856 field:

856 55 |u http://www.fivecolleges.edu/depository/fcdepbook.html |z Request item from Five College Depository for use in UMass Special Collections and Archives

Apply the piggyback barcode to the upper edge of the last page of the dissertation.

14) The dissertations are assigned to their appropriate ir_series (academic program) collection in Scholarworks by the Thesis Cataloger. See related instructions at Adding Dissertations and Theses to ScholarWorks Collections.

Make sure the Excel spreadsheet have had their categories checked off where appropriate for each author.

Special Situations

  • Title/Author Discrepancies

It is not unusual for an author’s name in a Scholarworks abstract to vary from the form of name on the title page of a work. The rule of thumb is to catalog the piece with the name which is on the title page, along with the date of birth, unless there is a form of name already established in OCLC’s authority file or in the UMass OPAC. If this is the case, that form of name takes precedence. There is no need to make or edit an authority record to reflect the form of name found in Scholarworks, unless searching by the proper form of name does not bring up the document there.

The abstract title in Scholarworks should match the title on the dissertation. If there are any discrepancies, they should be noted with an added title (Field 246) in the bibliographic record. Dissertations submitted in Spanish or any other foreign language are asked to have their abstracts submitted in English; in this case, the original title is cataloged along with an added title for the English abstract.

Titles which contain mathematical symbols in Scholarworks but which are spelled out on the title page of the piece, and vice versa, should have added titles inserted in the bibliographic record as needed.

  • Dealing With Attached Files

On occasion, an electronically submitted dissertation will be accompanied by attached files, most notably .avi (movie) files. These are to be noted in a 500 field of the cataloging bibliographic record in the following format:

Accompanied by [number of] [type of file(s)] ([number of MBs]).

(Example: “Accompanied by PDF file (3MB)” or “Accompanied by 15 .avi files (215MB)” )

If necessary, a copy of the attached files can be downloaded and burned to a CD-ROM or DVD to accompany the paper copy of its dissertation. If this is done, make a 590 note in the bib record in the following format:

Library's paper copy has [type of file(s)] files on [CD-ROM or DVD] in back pocket.

If the file is a PDF, make sure the paper copy has these file(s) printed out and bound in at the back of the dissertation.

  • Embargos

Each dissertation author has the option of embargoing, or limiting public access to, their works. The Bepress Digital Commons system, which powers the ScholarWorks Digital Repository, will automatically handle embargoes and access restrictions that students decide to place on their works. If a dissertation has an embargo placed on it, a note will appear on the title's citation page on ScholarWorks indicating when it will be available for full text download. Any bib record in Aleph should have a disclaimer in the holdings record that the piece is embargoed until the specified date. When this is lifted, the note is to be removed from the holdings record.

  • Restricted Dissertations

Occasionally, an author will restrict his work from being accessed online but allows a paper copy to be ordered. If this is the case, two copies are ordered as usual and the bibliographic record is cataloged from these.

  • Web-Only Downloads

Normally the library is able to order a paper copy of each dissertation via Dissertation Express, but at times a dissertation will be made available only by a purchased Web PDF file download. If this is the case, the entire PDF file is to be printed out via Scholarworks, and any accompanying attachments burned to a DVD.

  • Missing Paper Copies

ProQuest does not always notify the library when they cannot provide a paper copy ordered through Dissertation Express. If the paper copy fails to be delivered to us after a month, a follow-up query should be sent to ProQuest. Usually it’s a case of the author deciding to put an embargo on his work after it is released by the Grad Office.

  • Errors in ScholarWorks

If there are typos in an author's name or in a title which are severe enough to impede a search for the work, these typos can and should be corrected. Since the works live at ProQuest (which provides the links to each title added to Scholarworks), the library's metadata cataloger must submit any corrections needed to ProQuest and have them make the fix(es). For open access titles, the errors will need to be fixed by Proquest in the Dissertation series AND by the metadata cataloger in the Open Access Dissertation series.

Further Access Information

Graduate students do an online submission of their works to ProQuest, which then gives the Graduate School access to the back end of this submission system so that each submitted title can be reviewed. Once the Grad School gives the go-ahead to publish, ProQuest FTPs a copy of each dissertation to one of our Library web servers. The company also adds World Wide Web links to each dissertation title contained in the Dissertations series of the ScholarWorks@UMassAmherst digital repository. These are external links to the ProQuest Theses and Dissertations database and only users who have an UMass Amherst OIT NetID account can access the full text PDF files in this database. However, dissertation titles which are designated Open Access by the authors will be uploaded to the Open Access Dissertations series on ScholarWorks. The full text of these dissertations will be openly accessible to both UMass and non-UMass users. For more information, see Dissertations and Theses Overview in this wiki.

Primary contact: Kay Dion

electronic_dissertations_workflow.1335448194.txt.gz · Last modified: 2019/01/07 17:20 (external edit)
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