Inputting Thesis/Dissertation Records into OCLC

The goal of this process is to export brief records of theses/dissertations from OneSearch, import them into OCLC, then upgrade these records to full level cataloging records. We receive metadata from Proquest that we then upload into OneSearch that will be then imported to OCLC for the final touches to the full level records.

I. Export record from OneSearch

1. In OneSearch open the brief record by author or title.
2. Click Tools--Export Record, Browse and create a file name, then click Append to Save the file on your computer. (Using the last name makes it easy to find)
3. If the above is too time consuming then just copy and paste. Once in OCLC press Ctrl-Shift-B and it creates the basic information needed for the record. Then press Ctrl-U for the online constant data needed. Or Edit—Constant Data—Online—by name “TD”—Both. This adds the online constant data, that everyone has access to, to the record for easier implementation.

II. Import record to OCLC

1. Click Import Records under File
2. Browse and find the file you saved, and choose “Import to online save file” then click OK
3. A window pops up indicating that the record was imported, you want to “delete original import file” so that you don’t keep importing the same record over and over again. Then close the message window.

III. Edit the record in OCLC

1. Open the imported record in OCLC

• Ctrl-F3
• Open the record by title

2. Apply appropriate constant data and delete unnecessary fields

• Go to Edit—Constant Data—Online—by name “TD”—Both
• Copy bib # from 907 to 949 (Overlay Command, the field ends with a semicolon), then Delete 907
• Delete 998 and 945 (if it is NOT initials) by using combination keys “Alt—Delete”
• Record the save file #
• Save the record by clicking Action – Save record to online file

3. Edit the record 

• Call up the record

Press combination keys “Ctrl-F3”

Call up the record by searching the save file #

• Fixed Fields are already filled in by applying constant data
• Variable Fields

Check and edit the following fields. Remember that OCLC format uses spaces around subfield delimiters, unlike OneSearch. It also uses end punctuation at the end of all fields except for 246 field and fields ending with parenthesis.

             049  AFUH

This code will generate the location of Internet resources for the Millennium record after export

            100  Author Main Entry

Search in Sierra and OCLC for author’s authority record, if found, use this

If not found, create an authority record on a workform using the information on title page and library transmittal form. Here is an example:

100  1   Uplinger, James Robert, $d 1979-

670  DNA translocation through a solid-state nanopore . . . , 2005 : $b t.p. (James Robert Uplinger, M.S., U. of Ark., 2005) ; submission form (Uplinger, James Robert, Jan 1, 1979)

Note: remember to put your initial and date created on the right top of the workform. For the authority record of a literature, put LC Call no. in the field 053. This can be done when the brief bib is created to decrease work at this point. Also, all new name authority records are now entered according to RDA. These typically follow the standard above in local records, but if they are to be entered via NACO into the national database, the cataloger should create those records.

In OCLC, fill in the author from the authority workform you made. For example:

            100 1   Sanderson, Crystal Ellen, $d 1967- $e author

            245  Title and Statement of Responsibility

Check if indicators are appropriate (1st ind. = 1, 2nd ind. = # of nonfiling characters). Don’t forget spaces on either side of $b, $c, etc., and the period at the end of the field. Pay attention to case sensitive and subtitle. (Usually “:” is a sign for subtitle.) Here is an example:

                 245 14 The waves are so high : $b stories and poems / $c by Margaret Pfaff.

690  Local Subjects

• Department information can be found on the Library Transmittal Form. Verify Department has an authority record by making a subject search for “Dept.: XX” in OneSearch, if the authority record is found, use thus. If not, find the right department name.  If there is no authority record for the correct department then create an authority record on a workform for the department. Make sure and have all correct information, so ask for help if needed by supervisor. Here is an example:

150  Dept.: Chemistry

550  Dept.: Chemistry and Biochemistry

667  Name changed in 1987/88 from Chem. to Chem & Biochem. Use Chem & Biochem. for theses 1988 and later

Note: some departments have changed name over time, make sure to use the right name. We also need to update authority records when case arises, to add cross-references and notes to reflect name changes.

• Advisor information can be found on the Approval Page with Signatures. Make a subject search for “Advisor: XX” in OneSearch, if the authority record is found, use thus. If not, use the name that appears on the Approval Page, and create an authority record on a workform. Here is an example:

150  Advisor: Adams, Glynn P

450  Adviser: Adams, Glynn P

   6xx  Subjects

            Specify the type of 6xx (600, 610, 650, or 651) and fill in the indicators. Indicator 2 will always be 0.  

6xx begins with a capital letter. Subsequent words within a subfield are not capitalized

Each subfield begins w/a capital letter: “Career development $x Moral and ethical aspects” 

A summary for subfields:

                        $x for topical subdivisions: “Moral and ethical aspects”

                        $y for chronological subdivisions: “20^th century:

$z for geographic subdivisions: “United States”

                        $v for form subdivisions: “Case studies”

There usually isn’t punctuation between subfields

6xx ends with a period unless another mark of punctuation (including a parenthesis) is present

To figure out the indicators look at the Library Transmittal form and Proquest Submission Form, the author should have good ideas written down. If you need more help look at the Abstract. To check and see if what you chose works go to Edit control headings, do “all” or if only one heading “single”.  To search by subject in OCLC, “shift F2” then search using LCSH.

050  4  Call Number

Fill in the call number as seen from similar OCLC or InfoLink records. Sometime subject headings has call number attached, another way is to assign call number is using the Correlations Search function of ClassWeb to convert LC subject heading to LC Class Number. The classification portion of the number goes in $a; the shelflisting part (including Cutter and date) goes in $b. For example:

            050  4  HD5713 $b .R63 1999

                Note: There are no spaces between elements in $a, but there are between those in $b.

Check the call numbers in Millennium to make sure they fit in system, adjust cutter number if necessary

4. Save the Record

• Print the record
• Go to Action—Save Record to Online File (Ctrl + Shift + V). OCLC will tell you the Save File number for the record (e.g., “63"). Print the online save record. Cataloger will check over your work and perform the export

kmk10/17/00;rev5/2/01; exd rev4/06rev11/06rev05/09rev7/11; ccm/jwd rev 02/15

Editing Thesis/Dissertation Records

After Publishing Online

T/Ds sent to ProQuest are digitized. Usually three weeks after delivering if T/Ds are submitted online, check if the Internet copy is available online. Here is how to check:

• Go to the U of A Libraries website
• Search “ProQuest Dissertations” in the Database Finder search box, which will bring up the ProQuest Advanced Search interface
• Search by Publication no., Author (last name, first name), or Document Title
• If the document is found, then it is available online

Once the Internet copy is available online, editing the bib records accordingly:

1. Call up the bib record by Author (last name, first name)
2. Change Item status:
   • Change the Inter item status from u (UMI-In Process) to j (On Internet)
   • Change the Lisas item status from b (In Process) to e (Bind Prep) (Only if a paper copy is created)
3. Add the following variable fields using Macro function, which you will create in Sierra:

      n  500        UMI ##-#####  

      This field records ProQuest Publication no., which is given when we get the records from ProQuest.

For example, UMI 30-37930

      d  690        Text (Electronic thesis)

      Local subject heading for all the theses and dissertations

      y  856  41    %dd

(This is also given when we get ProQuest record but it is useful for when there is an embargo or a needed change)

• %dd is a substitution phrase for the following URL “stem”:

      |zFull text from ProQuest Dissertations and Theses. |u http://0-gateway.proquest.com.library.uark.edu/openurl?url_ver=Z39.88-2004&res_dat=xri:pqdiss&rft_val_fmt=info:ofi/fmt:kev:mtx:dissertation&rft_dat=xri:pqdiss:

• Enter ProQuest Pub Number of the T/D at the end of the URL string

When a student chose embargo time (6 months, 1 year, or 2 years) to delay the online publication of the full text of his/her thesis, only the abstract is available online during the embargo period. Use a different note for these embargoed T/Ds:

•    y  856  41  |zOnline abstract from ProQuest Dissertations and Theses. At the author's request, the full text of this thesis/dissertation is not available online from [Date on ProQuest Shipment Transmittal List] to [Date of embargo period ends]. %dd

•    Use the Date from the UMI Administrator as the beginning date of embargo period, then adding the lengths of embargo time to calculate the embargo ending date. Go to publishing history and find the last entry, which would usually be publishing date.
•    Delete note “|zFull text from ProQuest Dissertations and Theses” since it is generated automatically by substitution phrase  %dd and conflict with the new note
  • Enter ProQuest Pub Number of the T/D at the end of the URL string
•    Embargo information can be found under the Revision/Changes-View history-Proquest Processing: Published by Proquest UMI on UMI Administrator.
•    Go to Summary and View Order-Attach new order-embargo tickler temp-add ending embargo date-save.

4. From dropdown menu, select “View—Public Display,” make sure that URL connects correctly to the digital version.
5. When all of the records have their own OCLC record take the documents that were saved in the accordion files and add them to a binder with the semester and year on the outside. All of them need to be in alphabetical order.
6. Let the cataloger know that the records are done so they can have the Special Collections Director look through the list to see if  they want a cotton paper copy of any of the documents.
7. Count Statistics

Record under “TD Records Edited after Publishing Online” on the Annual Thesis/Dissertation Statistics sheet

kmk 5/17/02; dek rev7/08/04; exd rev4/06rev12/06rev2/09rev7/11; ccm/jwd 2/15

Theses/Dissertations Post Processing

This is only used when we have an archival copy (cotton paper copy)

When the archival copy is bound and returned to the Cataloging. We need to update the status of Lisas item records and add T/D numbers. In Sierra:

1. Call up the Lisas item of a bib record by scanning the barcode.

2. Change item status code from b (In Process) to o (Noncirculating)

3. Insert 099 field (local call no.) using Macro function: c099##T#2011, then add cutter number. Detailed instructions see the section below.

4. Change item location to “SPCOT” for Arkansas-related theses

     Change item location to “SPCOD” for Arkansas-related dissertations.

5. Route the item as appropriate:

• Deliver Arkansas-related theses/dissertations to Special Collections Department
• Deliver others to Lisas Storage.

6. Count statistics:

Record under “TD numbers assigned” on the Annual Thesis/Dissertation Statistics sheet.

Assign Thesis/Dissertation Call Numbers (Local Call No.)

This can be done for the internet copy as well before or after creating the OCLC record

1. A T/D number will be put in the T/D’s Lisas item and consists of 3 parts:

• T or D (theses or dissertations)
• the year of graduation
• the Cutter number

An example of T/D number for a 2005 thesis written by Kluttz, K. M.:  T 2005 K68

The cutter number “K68” start with the FIRST letter of the author’s last name “K”, then the following digits “68” are determined by using the Cutter Table. Usually there are 2 digits, occasionally 3 or even 4 digits are used.

Notes: If a name has a SPACE in it somewhere (“de Silva”) or is a two-parter (Jimenez Cordova; these are often seen in Spanish and Hungarian names), 2 things:

• Make sure you know which part to start with (“de” or “Silva”? “Jimenez” or “Cordova”?). The name on the spine isn’t always correct and you may not be able to tell from the title page (where the entire name is run together). Look at the “surname” part on the Library Transmittal Form.
• If you are starting with a “short” part (“de” of “de Silva,” for example), make sure you count the space. In traditional shelflisting terms, nothing comes before something. So “de_” should come before “Dea” (but after all the “Da...” names). The space can be accounted for with a number 1 or 2, followed by the appropriate digit for the next letter in the name (“S” of “Silva”). Thus:

                        De Silva, O

                        D417 (in which 4=e, 1=the space between “de” and “Silva” and 7=S.) 

2. Check if the T/D number fits in OneSearch

From our library homepage, go to Books--Library Catalog--Number Searches—Local Call Number, type the T/D number in the search box (e.g., T 2007 K68 or just T 2007 K). If the number conflicts with one already created, adjust the number. (e.g., if we already had “Klyburn” at “K68", then “Kluttz” should be “K67" or SOME number that will put “Kluttz” before “Klyburn”), Remember that the Cutter Table is here to help us but fudge when necessary. The goal is to make things file in alphabetic order, not to follow the table religiously.

kmk9/14/00; exd rev12/05rev12/06rev7/11; ccm/jwd 2/15

This section is maintained with a PDF, as all submissions are now electronic and no longer require shipping.

This section is maintained with a PDF, as all submissions are now electronic and no longer require ordering or invoicing.