Cataloging Procedures Manual

Chapter X: Theses and Dissertations

Receipt
Print-out of graduates is received automatically about 2 - 4 weeks after each graduation (May, August, January). If print-out is not received, contact:
Joyce Breeden (924-4507)
Facilities Coordinator
Program Support Tech.
Registrar's Office

Print out should be addressed to:

Cataloging Services Department

Alderman Library
Check in
Library Assistant checks in the theses and dissertations, placing a check-mark in the print-out of graduates beside the name of the author.
Descriptive cataloging
Following instructions in III, below, staff performs cataloging, creates a VIRGO record for the thesis or dissertation and returns the books to designated shelves.
Final disposition
Library assistant proofreads the VIRGO record and delivers archives copy to the marking shelves.
Exceptions
1. Education theses
  Ph. D. candidates in Education, who matriculate at the University of Virginia with a masters degree in hand, but who did not write a thesis for the masters, must do so here before they can earn a doctoral degree. Catalog the thesis, using the date on the title page for the call number. Write the name of the degree candidate into the print out for that date.
  Example:
  
  Ward-Zimmerman, Barbara. T.P. date: Sept 1982. Write her name into Aug. 1982 print out).
  
  Indicate in the call number that it is a Masters.
  Example:
  
  Masters Educ. 1982 .W37.
  
  Use the following 502 note "In partial fulfillment of the requirements for a doctoral degree, a master's thesis presented to the graduate faculty"--University of Virginia, 1982.
2. Consumer Banking theses
  Per 1979 agreement, only a few of these theses will be cataloged for Clemons Library.
3. Clinical Psychology theses
  Per 1986 agreement, master's theses and master's projects will be cataloged by this department. The master's project should have the following statement on the title page and this statement should be used in the 502 field: "Master's Project submitted in partial fulfillment of the requirements for the Ph. D. in Clinical Psychology, Institute of Clinical Psychology."
4. Music theses
  Music theses which are historical or analytical in nature (would normally be classed in ML or MT) should be cataloged in Alderman. Those that are original compositions or editions of musical works (would be classed in M) should be sent to the Music Library for cataloging.
5. Planning theses
  Occasionally, a Master of Planning thesis is sent to the unit for cataloging. Usually three copies are submitted. Catalog one copy for Archives and two copies for the Fine Arts Library. If two copies are not submitted, make a photocopy and have it bound for Archives.
6. Copies not added
  Do not add to holdings more than the normal number of copies (usually one for Archives and a second for Alderman stacks or the departmental library). If the department does not want to keep extra copies (3rd and 4th copies) uncataloged, send them to Gifts and Exchange. See E. for specific exceptions.

II. Shelflisting

Search the online catalog (use browse or Display1 item) to establish the cutter number so that the book can be shelved in alphabetical order.

Assign a call number as follows:

Masters
(Dept.)
Year degree granted
Cutter for author

Example:: Masters
Hist.
1978
.C6

Diss.
(Dept.)
Year degree gr anted
Cutter for author

Example:: Diss.
Hist.
1978
.D6

Assign book number according to cutter table:

1) After initial vowels


for the second letter:  b  d  l-m  n  p  r  s-t  u-y

           use number:  2  3   4    5  6  7  8    9

2) After initial letter S


for the second letter:   a  ch  e  h,i  m-p  t    u

           use number:   2   3  4   5    6   7-8  9

3) After the initial letters Qu


for the third letter:    a  e  i  o  r  y

          use number:    3  4  5  6  7  9

for names beginning Qa-Qt

use: 2-29

4) After other initial consonants


for the second letter:    a  e  i  o  r  u  y-z

           use number:    3  4  5  6  7  8   9

5) When an additional number is preferred


for the third letter: a-d  e-h  i-l  m  n-q  r-t  u-w  x-z

          use number:  2*   3    4   5    6    7    8   9



(*optional for third letter a or b)

For thesis or dissertation with title main entry or an author other than a graduate, assign a cutter for the University of Virginia graduate. For thesis or dissertation that is a translation, do not add translation numbers to the cutter number.

Department designations are based on department library symbols. Within Alderman, standard abbreviations are used. Those departments marked with an asterisk (*) receive the second copy of each thesis and dissertation. (See p. X-12)

Write the call number in pencil on the verso of the title page of both copies exactly as it will appear on the book when labeled; write the departmental location above the call number of the second copy. The original copy, overstamped "Archiv", is the first copy and always goes to the Archives. Second copies go to the stacks except the departmental theses and dissertations, which go directly to the departmental libraries.

Exceptions:

Medical theses - The first copy is cataloged for Archives which results in the creation of an item for Archives only. The second copy is sent uncataloged to the Health Sciences Library.

The third copy of nursing theses and dissertations goes uncataloged to:

Associate Dean

School of Nursing

McLeod Hall

Architectural History theses - The third copy is cataloged and sent to Fine Arts Library.

Engineering theses - The third copy, uncataloged, is left on a designated shelf in the Copy Center to be picked up by the engineering departments.

Use binding slip as the routing slip. Indicate Archives, Alderman, or the name of the departmental library in each second or third copy. Write the word "uncataloged" under the location on the routing slip of the uncataloged copies for Health Sciences.

III. Descriptive Cataloging Procedures

Authority control
Search the VIRGO authority file using the browse authority search for the established form of the name. If the author's name is not in either the VIRGO authority file or bibliographic file, enter it as it appears on the title page. Do not include the author's birth date in the heading unless there is a conflict.
Bibliographic Record Creation
1. Login to VIRGO, click on Display1 item, type ALY2918 to retrieve the template workform. Click duplicate item. DO NOT USE THE TEMPLATE RECORD AS THE CATALOGING RECORD.
  1. Complete new call number formatted as: [Degree] [Dept.] [Date] [Cutter number].
    
    Examples:
    
    Masters English 1996 .H37
    
    Diss. Hist. 1996 .C56
  2. Click on GO or press [Enter].
2. COPY INFORMATION
  1. New barcode--scan if necessary
  2. Type
    THESIS-DIS
  3. Home location
    Fill in with appropriate code.
3. CALL NUMBER INFORMATION
  1. Class scheme
    ALPHANUM
  2. Library
    Fill in appropriate code.
4. TITLE INFORMATION
  1. Record format
    MARC
  2. Control #
    Delete the control number which is the old NOTIS template number.
  3. Click on GO or press [Enter].
  4. Created by
    Individual login id.
  5. Date cataloged
    TODAY
5. Fill in or change the fixed fields as follows:
  1. Lang
    eng (or appropriate language code)
  2. Dat_Tp
    s
  3. Date1
    change the year of publication if necessary (If copyright and date of publication differ, use both dates.)
  4. Date2
    [blanks] (unless there is a second date)
  5. Cont
    b
  6. Illus
    a = illustrations
    
    [blank] = no illutrations
    
    b = maps
    
    f = plates
  7. Biog
    [blank] = not biographical material
    
    a = autobiography
    
    b = individual biography
    
    c = collective biography
    
    d = contains biographical information
  8. Fict
    0 = fiction
    
    1 = fiction
  9. Indx
    0 = no index
    
    1 = index present
6. Create variable fields as follows:
  General directions: Use information from the title page and examination of the piece.
  1. 001 Delete using the delete button.
  2. 099 Local call number
    Call number from verso of the title page.
    099 [Degree (Masters or Diss.)]|a[Dept.]|a[year degree granted]|a.[cutter for author]
    Example:
    
    099 Diss.|aEcon.|a1991|a.A234
  3. 100 Main entry
    100 1 [Last name, First name, Middle name or initial]
    (use 2 if the last name contains 2 names)
    Example:
    
    100 1[blank] Smith, John David.
    
    100 1[blank] Jones, Michael A.
    
    100 2[blank] Molina y Praz, Octavio.
  4. 245 Title and statement of responsibility (as it appears on title page)
    Second indicator is a filing indicator which disregards initial articles in all languages.
    245 1* [title proper] :|b[subtitle] /|c[author's name as it appears]
    Examples:
    
    245 10 Study of the plays of William Shakespeare :|bcomedies /|cby Michael A. Jones.
    
    245 14 The relationship between family cohesion and outcome in an adolescent diversion project /|cJonathan K. Heeren.
  5. 260 Imprint
    260 |c[date on title page]
    Example:
    
    260 [blank][blank]|c1991.
    
    (If copyright and publication dates differ, use both dates)
    
    Example:
    
    260[blank][blank]|c1991, c1990.
  6. 300 Physical description
    300 [pagination] :|b[illustrations, if any] ;|c[29 cm.]
    Example:
    
    300 xv, 123 leaves :|b ill. ;|c 29 cm.
    1. Pagination (recorded in leaves; Roman and Arabic numerals if applicable)
      If 3 or more page number types are used, type v. (various pagings). Plates: A plate is a leaf containing illustrative matter, with or without explanatory text, that does not form part of either preliminary or the main sequences of pages or leaves.
      One leaf is referred to in collation as: [1] leaf of plates
      3 common situations
      - Plate is not numbered, but is accounted for in the pagination e.g. page 14, plate, page 16. Do not mention plate in subfield |a. In subfield |b --"ill."
      - Plate is numbered; description of figure is not numbered, ignore the leaf of description.
      - Plate is not numbered; description of figure is numbered. Count as leaf of plates.
    2. Illustrations (if any)
      Describe an illustrated printed monograph as "ill." Tables are not illustrations. Disregard illustrated title pages and minor illustrations (decorations, vignettes, etc.)
      Example:
      
      327 leaves :|bill. ;|c29 cm.
      
      Describe colored illustrations (i.e., those in two or more colors) as such.
      Examples:
      
      327 leaves :|bcol. ill. ;|c29 cm.
      
      327 leaves :|bill. (some col.) ;|c29 cm.
    3. Size
      Size will usually be 29 cm.
  7. 502 - Thesis statement
    502 Thesis [Degree granted]--University of Virginia, [year].
    Before and after a two letter abbreviation for the degree, put a space.
    Examples:
    
    502 Thesis (Ph. D.)--University of Virginia, 1986.
    
    502 Thesis (M. Arch. Hist.)--University of Virginia, 1986.
    
    502 Thesis (M.S. Nurs.)--University of Virginia, 1981 (Glass), 1982 (King)
    
    502 In partial fulfillment of the requirements for a doctoral degree, a Master's thesis presented to the graduate faculty"--University of Virginia, 1982.
    
    502 "Master's Project submitted in partial fulfillment of the requirements for the Ph. D. in Clinical Psychology, Institute of Clinical Psychology."
  8. 504 Bibliographical references
    504 Includes bibliographical references (leaves [numbers]).
    Example:
    
    504 Includes bibliographical references (leaves 124-135).
    
    If a publication contains a bibliography, that is, a list of citations or works grouped together in a single list, regardless of either the arrangement or the footnote-type numbering the citations might bear, use the term "Includes bibliographical references" (without quotation marks), followed by its pagination or foliation in parentheses--e.g. Includes bibliographical references (leaves 123-125). The same applies to a bibliographical essay. (Record unnumbered pages or leaves within brackets).
  9. 590 Local Note
    Add a note stating the department conferring the degree.
    Examples:
    
    590 "Department of Education."
    
    590 "Department of Government and Foreign Affairs."
    
    590 "[Department of] Mechanical and Aerospace Engineering."
    
    For dissertations only, type a second 590 note with the word, Dissertation.
    Example:
    590 Dissertation.
  10. 911 Staff Note If a single copy in hand, add note c.1 for arch lacking.
7. Click on GO or press [Enter]. Check record for errors.
Multi-volume sets
1. Create a call for each volume. (See Appendix 1)
2. Create a MARC holdings record. (See Appendix 21)
Creation of Archive copy record
If two copies of the book are in hand, an item must be created for the Archive copy.
If only one copy is in hand, do not create an item. When the second copy of the dissertation arrives, the book should be marked and an item must be created for the Archive copy.
1. Click on Create item icon on control pad. Select CALL. Click on GO or press [Enter].
2. Complete the following fields.
  Library -- SPEC-COLL
  Type -- ARCHIVES
  Home location -- SC-IVY
  Click on GO or press [Enter].
Final disposition of books
1. Write the VIRGO number on the routing slip and place in the Archives copy of masters or the circulating copy of dissertations.
2. Put the library circulating copy of theses on the appropriate book truck.
3. Put the Archives copy of theses and the circulating copy of dissertations on the designated shelves for revision by the library assistant.

IV. Dissertation Archive Copy Processing

When the second copy (Archives copy) of the dissertation arrives, the library assistant will check the graduation printout.
Retrieve the record in VIRGO, mark the book, and delete the 911 field.
Create an item for the Archives copy following procedures in III.D.

V. Problem Resolution

To correct errors in the records, use the arrow keys, [backspace], [delete], and [insert]. If the errors are extensive and record has not been created, click on BACK and start over.
To add more fields to the record, click on the field preceding or following the field that needs to be inserted, click Before or After. Type information in the field following the basic instruction for tags, indicators, delimiters, etc. Click on GO or press [Enter] and recheck the record.
If there are problems which cannot be resolved, do not enter a record. Flag problem book and consult the library assistant.

Department/Location Designations

DEPARTMENT	ABBREVIATION	LOCATION
Accounting	*Acct.	Commerce
Anthropology	Anthrop
Architectural History	*Arch. Hist.	Fine Arts
Art	*Art	Fine Arts
Astronomy	*Astron.	Astronomy
Biology	*Biol.	Biology
Business Administration	*Bus. Admin.	Grad. Bus.
Chemistry	*Chem.	Chemistry
Classics	Classics
Clinical Psychology	*Clinical Psych.	Education
Drama	*Drama	Fine Arts
East Asian Studies	E.Asian Studies
Economics	Econ.
Education	*Educ.	Education
(Ed. D. & Ph. D.)
Engineering	*Engr.	Science/Engineering
English	English
(incl. creative writing)
Environmental Science	*Env	Science/Engineering
(incl. Geog. and Geol.)
Foreign Affairs	ForAff
French	French
German	German
Government	Govt.
(incl. Pub. Admin.)
Greek	Greek
History	Hist.
Italian	Italian
Landscape Architecture	* Land. Arch.	Fine Arts
Latin	Latin
Linguistics	Ling.
Marine Affairs	*Marine Affairs	Science/Engineering
Marine Science	*Marine Sci.	Science/Engineering
Mathematics	*Math	Mathematics
Medicine	*Med.	Health Sciences
(incl. Anat., Biochem., Biophysics, Microbio., Nursing, Pharm., Physiol., Surg., etc.)
Music	*Music	Music
Philosophy	Phil.
Physics	*Physics	Physics
Planning	*Planning	Fine Arts
Psychology	*Psych.	Psychology
Religious Studies	Relig. Studies
Rhetoric and Communication Studies	Rhetoric
Russian	Rus.
Slavic	Slavic
Sociology	Soc.
Spanish	Span.
Speech Drama (Dept. divided7/1/73)	Sp.Dr. (Not used)
Speech	Speech
Statistics	Math	Science/Engineering

Degree Designations

M.A. Master of Arts

M. Ed. Master of Education

M.S. Master of Science

M. Arch. Hist. Master of Architectural History

M.F.A. Master of Fine Arts

(incl. drama and creative writing)

M. Land. Arch. Master of Landscape Architecture

M. Plan Master of Planning

M.S. Nurs. Master of Science in Nursing

Masters of Science in Engineering:

M.S.A.E. Aerospace*

M.S.A. Math Applied Math

M.S.A. Mech. Applied Mech.

M.S. Biom. E. Biomedical

M.S. Ch. E. Chemical

M.S.C.E. Civil

M.S. Comp. S. Computer Sci.

M.S.E.E. Electrical

M.S.E. Phy. Engr. Physics

M.S. Mat. S. Material Sci.

M.S.M.E. Mechanical*

M.S. Mech. & A.E. Mechanical and Aerospace

M.S.N.E. Nuclear

M.S. Sys. E. Systems

M.S.T.E Transportation

D.B.A. Doctor of Business Administration

Ed. D. Doctor of Education

Ph. D. Doctor of Philosophy

Phys. Ed. D. Doctor of Physical Education

*Master of Science in Aerospace Engineering and Mechanical Engineering has been combined into one degree--Master of Science Mechanical and Aerospace Engineering.

Location Designations

LIBRARY MARKING LOCATION VIRGO LIBRARY HOME/CURRENT LOCATION
Alderman ALD ALDERMAN ALD-STKS
Archives ARCHIVES SPEC-COLL SC-IVY
Astronomy ASTRO MATH-ASTRO ASTRO-STKS
Biology BIO-PSY BIO-PYSYCH BIO-PSY-ST
Chemistry CHEM CHEMISTRY CHEM-STKS
Clemons CLEM CLEMONS CLEM-STKS
Darden DARD DARDEN DARD-STKS
Education EDUC EDUCATION EDUC-STKS
Fine Arts FA FINE-ARTS FA-STKS
Mathematics MATH MATH-ASTRO MATH-STKS
Mt. Lake MT-LAKE BIO-PSYCH MT-LAKE
Music MU MUSIC MU-STKS
Physics PHYS PHYSICS PHYS-STKS
Psychology BIO-PSY BIO-PSYCH BIO-PSY-ST
Science/Engineering SEL SCI-ENG SEL-STKS

Table of Contents

Chapter 11

Rev. 02/08/99