A New Look at Cataloging ETDs in RDA

Presented by

Amy Bailey, Michael Maben, Andrea Morrison, and Chuck Peters

Indiana University

May 19, 2015

ETD Catalogers at IU Bloomington

• Michael Maben,

Jerome Hall Law Library• Chuck Peters,

William & Gayle Cook Music Library • Andrea Morrison,

Herman B Wells Library• Amy Bailey,

Herman B Wells Library

Starting the conversation

• Dissertation Working Group report• Adoption of RDA standard• Embargoed status• Full-level cataloging

Catalog ETD correctly, more fully, and

more efficiently!

Collaborating

Batch processing vendor records

• AACR2 RDA standards• Change/enhance coding• Remove ProQuest fields we don’t

want• Add local notes

Batch processing with MarcEdit

Record from ProQuest After batch processing

Editing with Connexion constant data

After MarcEdit After constant data

INDIANA UNIVERSITY MAURER SCHOOL OF LAW ETDS

BY MICHAEL MABEN

Maurer School of Law Theses and Dissertations

• Maurer School of Law theses and dissertations handled exclusively by the Law School—no involvement by the Graduate School or ProQuest.

• All Maurer School of Law electronic theses and dissertations are stored in the Law School’s Digital Repository that is maintained by the Law Library.

• All Maurer School of Law electronic theses and dissertations are open access and freely available to anyone.

Maurer School of Law Degrees

• J.D. (Doctor of Jurisprudence): intended for students possessing a bachelor’s degree in any field of study—thesis is not an option (most common degree granted).

• LL. M. (Master of Laws) and M.C.L. (Master of Comparative Law): intended for students possessing either a bachelor’s degree in law (almost always from outside of North America) or a J.D.—thesis is optional.

• S.J.D. (Doctor of Juridical Science) and Ph. D. (Doctor of Philosophy in Law and Democracy)—dissertation is required.

Maurer School of Law Theses and Dissertations

• Graduating law students must submit their electronic thesis or dissertation to the Law Library’s Head of Technical Services.

• The Head of Technical Services loads the thesis or dissertation in to the Digital Repository.

• The Head of Technical Services informs Law School’s International Programs office that the thesis or dissertation has been received and loaded.

• The Head of Technical Services informs the Cataloging Librarian that a new thesis or dissertation needs to be cataloged.

Digital Repository @ Maurer Law

Theses/Dissertations from 2015The Meaning of the Responsibility to Protect: An Analysis of the R2P Principle in International Law, 2001-2013, Muditha Halliyadde

Theses/Dissertations from 2014The Role Government Should Play in the American Recovery and Reinvestment Act 2009, Jungmi Bang

A Comparative Analysis of Shareholder Derivative Litigations in Taiwan: Rethinking of Law, Implementation, and Suggestion, Ting-Hsien Cheng

A Comparative Study of GMO Labeling and Liability Systems in the US, EU, and South Korea: The Circumstances and a Future Potential for HarmonizationMoonSook Park, Indiana University Maurer School of Law

Date of Award4-2014Document TypeThesisDegree NameMaster of Laws (LLM)AbstractWith the remarkable development of GMOs, GMO trade has also increased. The different attitudes on GMOs among the countries all over the world, specifically the US, EU, and South Korea, have the potential to create international trade conflicts. In order to mediate the conflicts, reasonable labeling and liability systems need to be established to prevent potential GMO risks. The Biosafety Protocol regarding the transboundary movement of GMOs exists to resolve such tensions, but it fails to sufficiently solve the problems and provide clear regulations concerning GMO labeling and liability systems.

A successful GMO labeling and liability system should emphasize the precautionary principle and use a cooperative approach that considers all views on GMOs. After reviewing current international and domestic standards, particularly the ones in South Korea, the GMO labeling system should be mandatory, supporting the "consumer's right to know." Additionally, the new GMO liability system should reflect a civil liability system, where standards protect the party injured by GMOs in the direction of compensating the damage fully and efficiently by using the precautionary principle.

Recommended CitationPark, MoonSook, "A Comparative Study of GMO Labeling and Liability Systems in the US, EU, and South Korea: The Circumstances and a Future Potential for Harmonization" (2014). Theses and Dissertations. Paper 4.

Maurer School of Law Theses and Dissertations Cataloging Workflow

• Maurer School of Law theses and dissertations are cataloged exclusively by the Cataloging Librarian.

• Original full-level cataloging records created in OCLC, generally following established Wells Library guidelines.

• Records include full subject analysis, a genre heading, and a dissertation note (502), but do not include LC Classification or name authority control for the author.

• Transition from AACR2 to RDA was made beginning in January, 2013 for original records.

• Acknowledgements are my favorite part of the theses or dissertations.

INDIANA UNIVERSITY JACOBS SCHOOL OF MUSIC ETDS

BY CHUCK PETERS

Jacobs School of Music Degrees

• D.M. (Performance degree)• D.M. in Piano (Requires essay)• D.M. in Composition• Ph. D., M.M.E. and D.M.E

Music Document Sources(For both Books and Scores)

• ProQuest• IUScholarWorks• Print copies submitted• Gift Collections

Music Cataloguing Workflow• Cataloguing is done by Head of Cataloguing and one

support staff cataloguer.• Created a music cataloguing document based on the

guidelines developed by Wells• Added instructions for score format• Additional fields for music• Music Library Association (MLA) Best Practices• Constant data created in Connexion• Support staff cataloguer trained• Records are created in Connexion and exported to

Symphony WorkFlows• Spreadsheet of titles received, with status of

processing is maintained

Bibliographic Records for Music:Piano Essay

Bibliographic Records for Music:Doctoral Document – transcription of a work in French

Bibliographic Records for Music:Doctoral Document- Music Score

Bibliographic Records for Music:Doctoral Document – Music Score

Bibliographic Records for Music:Doctoral Document – Music Score

Bibliographic Records for Music:Doctoral Document – Music Score

Bibliographic Records for Music:Doctoral Document – Performing Edition of a Score

Bibliographic Records for Music:Doctoral Document – Performing Edition of a Score

How Music Records are Different• All Records

• Subject analysis• The subject heading may be a musical work• Complex construction of LCSH for music• LC Genre/form terms now in use in addition to LCSH

• Scores• Preferred titles (previously uniform titles)• Medium of performance (382 in addition to 048)• Duration (306 and 500)• Language and notation system (546)

Music Workflow: Other Responsibilities• NACO authority records for Music documents

• IUScholarWorks metadata• Name and Title information corrected if necessary (to

agree with the document and authority records)

INDIANA UNIVERSITY CAMPUS (WELLS LIBRARY) ETDS  WITH:

RDA ISSUES AND ETDDISCOVERABILITY

BY ANDREA MORRISON

Indiana University, Bloomington Degrees Recorded by Graduate School

• Arts, Sciences & Social Sciences dissertations and Master’s theses

• Degree granting institution varies: Indiana University, Bloomington

used for publications of IUB after the university's 1974 reorganization

Indiana University used for some multi-campus departments & schools

ETD Document Sources

• ProQuest quarterly e-theses MARC record files

• IUScholarWorks e-documents few (updated spreadsheet)• Print copies submitted. Usually for online embargoed works.

First copies retained in our Storage facility, restricted circulation

Second copies retained in Storage or in a campus library

• Other I.U. campuses, i.e. IU Kokomo or Southeast, upon demand

https://scholarworks.iu.edu/ Submission encouraged, not required unless by Departmental policy

IUB’s thesis of record

Print required if online submission to PQDT is embargoed

Wells Library Cataloging Workflow

• Receive Quarterly ProQuest Dissertation files via e-mail• AACR2 records 2001-2014• RDA records Quarter 1 2015

• IT staff review and process the file*• Files are archived on a shared drive in MARC format• Catalogers import PQ MARC records locally

• Complete cataloging in RDA and produce records in OCLC Connexion

• MARC Edit software• OCLC Connexion constant data

• After cataloging is complete, catalogers archive the PQ record files with OCLC numbers and notes about referred records on the shared drive: Referred to Music Library, or, IUPUI record

Practice Before RDA Cataloging

• K-level records were produced

• Subjects were not authorized

• Before 2004, no national authority work (NACO)

• No access point for the I.U.B. Department name

Example

in handouts

ProQuest ETD Records Benefits √

• Metadata harvested from ProQuest Dissertations & Theses Global (PQDTG) includes Author supplied metadata PQ metadata

• Good accuracy in title, author, thesis statement, summary and name fields

• Significant time-saving, especially for descriptive content and transcription!

• URL automatically generated

• Better control of Masters theses (now e-submission is required!

• PQ staff responsive to questions

PQ’s metadata description page

Note:Publishing statement

Check for supplementary files

Some have notes: Open access, or, Embargoed Abstract not available

Cataloging ETD Records RDA Records√

• MARC Edit is used to remove entire fields:

590 School code: 0093

• Constant data in Connexion is used to add some fields:

Cataloging ETD Records: Final Step√

• Manual editing of fields:520: Abstract not available Removed

300 Updated with exact pagination of the PDF.

• Partial editing of fields:

• Adding fields 506 Open access (added as applicable)

500 “Department of English, Indiana University.”

500 Embargoed by the author until January 20, 2017.

500 Embargoed by the author for up to 2 years from publication date.

710 2# Indiana University, Bloomington. ǂb Department of English.

Challenges with ProQuest ETD Records

AACR2 records

• MARC Edit software is used to process all files before cataloging. Corrects only some issues.

• Lacks some fixed field codes, field 100, and 245 $c

• 260 fields for publisher• Too many fields (members of

committee and institution codes)• Subjects too general• 856 field lacks 1st and 2nd

indicator

RDA records an improvement!

• Many of these issues were improved with RDA records

• RDA coding present (040 $e rda)• Uses field 264 for publication

statement• Field 502 dissertation note uses

new subfields• 710 field for degree granting

institution• Subjects remain too general• 33X fields not accurate for e-

books

Cataloging Challenges for ETDs

• PQ theses Publishing Statement:

• IUSW Dissertations publishing statement (does not include ProQuest information)

Appreciation of Cataloging ETDs

• Reviewed process slowly, applying new RDA, PCC, or NACO instructions over time

• New RDA instructions for name authorized access points greatly assist identifying unique names with occupations

• Due to our collaboration with Graduate School: submissions guidelines were clarified on their website!

• Encouraged staff feedback

• Added trained catalogers (supervisors)

• Improved cataloging by collaborating with Music and Law: especially record standards, notes, access points

Examples: Online Theses in Handouts

• A history of railroad depots, 2012,

(Ph. D. thesis in PQ database), http://iucat.iu.edu/catalog/14021783

• Aspects of Bangime phonology, morphology, and morphosyntax, 2013 (has two 856 fields)

http://iucat.iu.edu/catalog/14413677 (version described)

http://hdl.handle.net/2022/18024 (IUSW related version 856)•Quality, retrieval and analysis of provenance in large-scale data,

2014, http://iucat.iu.edu/catalog/14413626 (was embargoed)

ETD Discoverability in IUCAT

Recent searchable collection was added to the advanced search in IUCAT, based on the 502 MARC field with ‘Indiana University’

Implemented 2015 from our suggestion!

ETD Discoverability in IUCAT Music & Law

School of Music Example of a search in the new Theses Collection with keyword “Ph.D.”

Thank you!

• Questions?• Presentation slides will be shared post-conference.• You may also contact us later via the Staff Directory,

http://libraries.iub.edu/all/staff

Michael Maben

Chuck Peters

Andrea Morrison

Amy Bailey