Penn State University Libraries - eTD: Electronic Theses and Dissertations -- Cataloging Guidelines

Table of Contents

• General/Getting Started
• Bibliographic Record
  • Properties
  • Fixed Fields
  • Field-by-Field Guidelines
    • 006 | 007 | 040 | 100 | 245 | 246 | 260 | 300 | 500 | 502 | 533 | 538 | 653 | 699 | 700 | 856
• Call Number/Item
• Adding the Microform Holdings
• Exceptions for Schreyer Honors Theses
  • 500 | 502 | 533 | 699 | 700 | 710 | Call Number
• Referrals
• Statistics
• Macros

Apply these guidelines to current University Park Ph.D. dissertations, masters theses, and honors theses, all of which are issued originally in electronic format.

• Retrieve the dissertation:
  • On the list that comes from the Graduate Office, electronic theses will be listed as:
  • Open access
  • PSU only
  • Restricted
  • Note the author's name.
  • Go to the eTD page at: http://etda.libraries.psu.edu
  • Click on "Browse the ETDs by author or department" and find the author's name on the resulting page. (Hint: Use the Edit menu option to Find in this page, or CTRL-F, to locate the author more quickly.)
  • Click on the author's name to retrieve the document information page.
  • Scroll to the bottom of the eTD document information page, where you will find an area for "Files"
  • Click on the filename with the extension .pdf to see the thesis itself. The filename is sometimes named "etd.pdf."
• Chief source of information: Use the thesis title page in the .pdf file as the chief source of information.

• Use the MARC [Books] Format
• The Entries template should be set to TEMPLATE
• Set the following defaults for the Call Number/Item properties:
  • Library: ONLINE
  • Class scheme: ASIS
  • Type: THESIS B, M or D
  • Home location: ONLINE
  • Circulate: [checked]
  • Permanent: [checked]

Following are notes on particular elements in the fixed fields area, which should be filled in as indicated (see image below). See also Fixed Field Cheat Sheet for Monographs.

• Rec_Type: Should remain a for all eTDs
• Enc_Lvl: Should be set to 7 for all eTDs
• Desc: Should remain a for all eTDs
• Entrd: System supplied; do not change
• Dat_Tp Should remain s
• Date1 Enter date from pdf title page
• Date2: Should remain blank
• Cty: Set to pau for all eTDs
• Lang: Change if not in English

006 | 007 | 040 | 100 | 245 | 246 | 260 | 300 | 500 | 502 | 533 | 538 | 653 | 699 | 700 | 856

Insert an empty field above the 040 and enter 006 as the MARC tag. Press the Tab key. A Material Characteristics popup window will appear. Choose m - Computer File for the type of material and click OK. For the 006 Position 9 for FileType, enter a "d" for Document, or choose Document from the drop down list. If you don't have descriptive labels showing for the fields, mouse over the vertical bars to find out which line is Position 9. It should be the next to last line for the 006. After you enter d for Document, you may collapse the 006 field if you like by clicking on the triangle to the left of the 006 tag.

Insert an empty field above the 040 and enter 007 as the MARC tag. Press the tab key. A Physical Description window will appear; choose c - Electronic Resource and click OK. Fill in the remaining positions as follows:
Position 01: r = Remote
Position 04: n - Not applicable
Position 11: n = Not applicable [this is the last position]
The remaining positions should remain | = No attempt to code

Include the following 040 field:

040    PSt|cPSt

Authority Work
Prior to entering content in the 100 and 700 fields, it is very important to search the author’s name and the advisor/s or supervisor/s names in the database to see if the name is already present. If the name is present in the database and you have verified that it is the same author, use that form of the name. If it is not already in the database, input the name as it appears in the record.

When searching for the author’s name it is possible that you will find your record already in the database in another format or in the same format. If it is the same format you may just add your holdings to that record. If it is in a different format (i.e. there’s a book copy in the database and you have an electronic record) there will then be two separate records in the database.

Entering the author's name

Once you have checked the database for an existing form of name, copy the name of the author from the PDF title page.

In the |a transcribe the author's name exactly as it is on the title page only putting author's last name first, first name and middle initial. Do not transcribe titles given to people (e.g., Jr., Sr., II, III). Also, do not put diacritics within the first five letters of the last name or the initials of the first and middle name.  The system does not accurately transcribe the diacritics; therefore, the call number does not print out properly.  See below how call numbers are formed. 

Add birth date if available by inserting ,|d[birth date]-. These are most commonly available for Doctoral theses and will appear in the vita at the end of the dissertation.  If a Doctoral thesis has a birth date and there is also a Bachelors and/or Masters thesis record already in the system, add the birth date to those degrees also.  Always prefer the fuller form of the name (i.e., if the Doctoral thesis has a full middle name and a birth date and the Bachelors and Masters only have a middle initial, add the full middle name and birth date to the other degrees.

The indicators vary depending on the type of name (see the X00 chapter of Bibliographic Processing Cataloging Rules or OCLC Bibliographic Formats & Standards 1XX).

If the name is compound and you are not certain which name is the surname, look the author up in the Pennsylvania State University Commencement Program under the degree granted. The alphabetical position of the name in the program will determine which part, or parts, of the name is the surname.

Copy the title from the PDF title page.  Click on the shortcut button to the Thesis title.exe macro before pasting into Workflows.  The shortcut is the Red "T" icon, which is downloadable from the ThesisTitle macro page.  This will make the title predominately case sensitive.  Read over the title and change any punctuation that still is not accurate.  Be aware of proper names that require capitalization and edit accordingly.  If you are unsure about the capitalization of words in the title, click on the word find button on the pdf page (the binoculars) and it will show you every place in the thesis where that word appears.

Sometimes there are symbols, subscripts or superscripts in the title.  If the symbol, subscript or superscript is not in the Symbol Table under the Tools menu, put the spelled out word for the symbol in square brackets in the 245|a and add a 246 with the spelled out word not in square brackets.  Or if there are raised or lowered letters that are not in the tables and there is no long form of spelling for them, put the word [subscript] or [superscript] after them in square brackets also adding a 246 without the word 'subscript' or 'superscript'.

Enter the GMD (General Material Designation), |h[electronic resource], immediately following subfield |a and before the punctuation that precedes the following subfield (space-colon for |b, space-slash for |c). Do not input A thesis in ... as the 245|b, or as any other part of the thesis record. Include a statement of responsibility taken from the pdf title page.  It is correct to have diacritics present for the author's name in the statement of responsibility.

Items with added title pages: See the BPCR Manual 245 VII. Items With Added Title Pages
"Added title page" refers to a title page in another language. Do not transcribe information from an added title page in 245. Instead, insert a 246 for the added title page title. Indicators will be 15.

Collective titles: See the BPCR Manual 245 VIII. Collections

Portion of title

Because thesis titles often begin with generic phrases, title added entries (formerly 740s but now 246s) are often made for portions of the title. These titles will usually begin with one of the following phrases (or something similar):

A study of ...
An analysis of ...
The effects of ...
An examination of ...
The influence of ...
An investigation of ...
The relationship of ...
A survey of ...
A ________ study of ... (e.g., A comparative study of ...)

Add a 246 with indicators 30 for the portion of the 245|a that follows the generic phrase. Do NOT begin it with an article (a, an, or the) because there are no nonfiling indicators in the 246 field.

Source: An investigation of the construct validity of a measure of perfectionism

Theses with two titles

We occasionally receive theses that have two titles by the same author in the same volume. In this case, transcribe both titles in the 245 with [and] between them, and record the second title in a 246 field with 1st indicator 3 and 2nd indicator [blank].

Source:
Urbanization in the Philippines Between 1939 and 1960

                *************************************

High rates of Positive Net Migration in Selected Areas of the Northeast

Corrections and spelled out numbers

We add a 246 with indicators 3 [blank] to a thesis record when there is an error in the first five words of the 245|a (it's not necessary if the error is in the |b). Input [sic] in square brackets following the error and add a 246 for the corrected 245|a.

Source: The wolrd of television

We also make a title added entry when there is a number in the first five words of the 245|a. However if a number is part of a formula don't spell it out.

Source: Norwegian in 10 minutes a day

Source: Modeling and level one estimation

For Roman numerals, add 246s for both the spelled out form of the numeral plus the Arabic numeral. This does not occur very often in thesis titles.
Source: Super bowl XXIX program

246 list with indicators

The indicators in the 246 are extremely important, since they control whether or not a note shows on the patron screen as well as access to the record. Below is a summarized list of the 246s you will encounter in thesis processing with the correct indicators. See also the complete 246 Cheat Sheet.

If the title on the document information page is different than the title on the pdf title page, enter a 246 with indicators 1[blank] for |iTitle from document information page:|a[title] (see third example below).

• 260|a: Input the place of publication as [University Park, Pa.] : If the thesis is not from University Park, substitute the place name of the campus
• 260|b: Transcribe the name of the institution from the pdf title page, e.g., |bPennsylvania State University
• 260|c: Transcribe the year from the pdf title page. Ignore the "date of defense" on the document information page

Example:

300|a

Input the following:

300 1 electronic document (__ p.)

Give the total number of pages in the pdf file in parentheses.

300|e

Add a 300|e when additional file types accompany the pdf.

Examples:

+|eX audio files

+|eX video files

+|eX image files

+|eX spreadsheet files

where "X" is the number of files

Add the file format (the file extension) in parentheses:

+|e5 audio files (mp2)

+|e8 video files (mov)

+|e50 image files (tiff)

+|e3 spreadsheet files (xls)

If there are several types of audio or video files, list all of them in parentheses:

+|e10 video files (avi, mov)

If there are multiple types of files (e.g., audio and video files, image and video files, etc.), list each separately:

+|5 image files (jpg) + 4 video files (mpg)

Other file types not listed may appear. Check with the faculty resource person as to how they should be entered if it is not clear.

Instructions from Shreyer to their students:

• If your thesis content is such that you feel you need to upload content other than text to properly represent your work (e.g., audio, video), upload the textual portion of your thesis first as a single, standalone PDF file.

• Add additional files for any other content as separate uploads.

• Do not upload any ZIP files.

• The acceptable formats are:

Video

Apple Quick Time (.mov) -- [.qt is also okay]
MPEG (i.e., MPEG-1, MPEG-2) (.mpg)
Microsoft Audio Video Interleaved (.avi)

Audio

MIDI (with timing information) (.midi)
MPEG-2 (.mpg) -- [.mp3 is also okay]
WAV (.wav)

Images

PDF (.pdf)
PDF/A
JPEG (.jpg)
TIFF (.tif)

A 500 stating the advisor's name in direct order.  If there is more than one advisor, input all advisors' names in one 500 note separated by commas.

Example:

See Exceptions for Schreyer Honors Theses

Enter the thesis note as usual:

Following is a list of degrees with the abbreviations to be used in the 502. Transcribe the degree abbreviation exactly as given below in regards to capitalization and spacing.

If the degree is not listed above, then it is either a M.A. (Master of Arts) or a M.S. (Master of Science) degree.

See Exceptions for Schreyer Honors Theses

These notes can be input by using the appropriate macro.

Doctorate
For doctoral theses use the 6 or 7 digit UMI number from the microfilm box to create the following 533 field.

Thesis slip: 32-66092
Example:

Masters
If the number of fiche in the macro (|e2 fiches) does not agree with the number you have in hand, change the number of fiche in |e subfield and delete the "s" in fiches if only one.

Example:

See Exceptions for Schreyer Honors Theses

Enter the following note using the appropriate macro (see Macros section).

The "keywords" will appear on the document information page. Input all the keywords in a single 653 field, using semicolons to separate each word or phrase. Copy and paste the keywords from the document information page into the 653. After copying the keywords, be sure to click on the shortcut button to the Create653.exe macro before pasting into Workflows.  The shortcut is the Green "S" which is downloadable from the Create653 macro page.  This will correct the capitalization and add the semi-colons.  Be aware of proper names that require capitalization and edit accordingly.

The subject of a thesis is the program in which the degree has been granted. The graduate program name is listed on the document information page and on the pdf title page. Transcribe the program/subject as it appears on the title page.

Source: A Thesis in Curriculum and Instruction

Watch for dual degrees for Masters and Doctorates in which case you will have two programs/subjects listed in separate 699s. If you come to a program that doesn’t seem familiar to you and you can’t find it on the Graduate Degree list, then it is necessary to call the Graduate Office at 865-5448 and ask if this is a new program or if there is an error. The Graduate Programs can be found at http://bulletins.psu.edu/bulletins/whitebook/graduate_degree_programs.cfm?letter=A&program=grad_abiol.htm

See Exceptions for Schreyer Honors Theses

First do the necessary Authority Work referred to above, and then input the advisor's name (if multiple advisors, enter separate 700 for each name).

Example:

See Exceptions for Schreyer Honors Theses

The "etd-number" will be found at the top of the document information page (e.g., etd 1272). The entire URL can be copied from the top of the browser window and pasted into your record. Always copy the URL from the document page and never from the title page. When you paste the URL into WorkFlows, be sure to insert a |u before pasting.

Example:

The call number is formed by running the appropriate macro, which is Ctrl + t.  To begin, put your cursor in the 100 field (before the birth date if there is one), and the system will read the first five letters of the author's last name and the initials of the first and middle name.  It then reads the date from the 260 field and the type of degree from the 502 field.  When the macro stops, go to the Call Number/Item screen and put the cursor in the Call number box.  Input the appropriate macro, which is Ctrl + Shift + t.  Next, drop down to the Item ID box and type "AUTO' and the system will generate a barcode.

The logon for Schreyer Honor's Theses is as follows: http://honors.libraries.psu.edu/

For Schreyer Honors theses, the person editing a thesis is a supervisor instead of an advisor in almost all cases.

For Schreyer Honors theses, the degree is not noted on the title page of the thesis. Often the degree or degrees can be found in the vita or on the document page, but, if it is not in one of those places, refer to the Commencement Book for Baccalaureate and Associate Degrees. For the Spring graduation only, because it is such a large graduation, each Department has its own book that lists the programs in that department.

If a student has more than one program on the title page and each is listed in the Commencement Book, there should be two 502s in the record: one for a B.S. and one for a B.A. (or other degrees as appropriate). If both programs have the same type of degree, only one 502 should be entered.

Example: the student received degrees in Information Sciences and Technology (B.S.) and Economics (B.A.)

It is also important to remember that some programs such as Economics and others can be a B.A. or a B.S. If it is a program that can be either/or, it is very important that you look it up in the vita or the Commencement Book to see which degree was received.

It is common practice for a student to use the same thesis for his Bachelors Degree and his Masters Degree. In such a case there should be separate 502s for each degree.

Example:

If there is more than one microfiche, change the subfield |e from 1 to the appropriate number and add an “s” to fiche.

If both a Bachelors and a Masters are being completed from the same thesis, there should be a microfiche note for each degree. (See Macros section for the appropriate notes.)

It is possible to have two or more programs/subjects.  Make a separate 699 for each program/subject listed on the title page including the honors program.

First do the necessary authority work referred to above, and then input the supervisor's name (or names) instead of the advisor's name.

Schreyer Honors traces the name of the college.

For Schreyer Honors, the call number should reflect an "s" for scholars instead of a "b" for bachelors. This has to be changed manually after using the thesis call number macro.

Example:

Thesis 2009sMoyer,KE

Refer a thesis to an original cataloger to have subject headings added when people’s names, titles of books, or Pennsylvania appears in the thesis title. Pennsylvania can just be inferred in some cases. Referrals may be made via email. Include the title control number of the record and at least one additional piece of information that can be used to call up the record, such as the thesis author. Be sure to indicate the type of referral you are making.

• Electronic remote/Original – Each thesis
• Micro added locations and vols. – Each microfiche or microfilm
• Maint. - For PSU changes to www
• Thesis remote/added locations and vols – thesis second location.

Download the MacroExpress file with theses macros (contains both the default macros and theses macros listed below).  These macros can be modified in Macro Express.  It is especially important that the date is changed in the appropriate macro for the different year that a person is inputting.