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Guidelines for the Cataloguing of Theses
Theses (or dissertations) have traditionally been considered to be unpublished works of very limited distribution, i.e. original typescripts, photocopies or works compiled with the use of computer desktop publishing software. They are now increasingly being produced in electronic form, or being copied from print to electronic formats for ease of access. There is a valid argument for considering such electronic formats to have changed the nature of theses, from unpublished to published resources. However there is still legitimate cause to treat some theses as Manuscripts.
Australian theses have been recorded on the Australian National Bibliographic Database to make them easily identifiable and accessible by Australian libraries and Australian researchers and students, as well as the broader community. Adding records for theses, print and digital, are encouraged and may be contributed through files of records or online (through the Libraries Australia Cataloguing Client or Web Input form). See http://www.nla.gov.au/librariesaustralia/cataloguing.html for more information.
These Guidelines have been prepared to assist in the interpretation of general cataloguing rules and practices. The guidelines recommend particular practices applicable to all theses, such as the use of the MARC 500 field to indicate whether the thesis is by coursework, and also practices for the cataloguing of electronic theses, (including theses in both electronic and print forms), and reproductions of theses (eg in microform, photocopy or digital form.
1. General guidelines for the cataloguing of theses
LEADER:Type of record (depends on the policy of the cataloguing institution; see comments above)
| May be catalogued either as a Monograph (Language material). | |
| Eg. Leader/06=a | |
| or as a Manuscript (Manuscript language material). | |
| Eg. Leader/06=t | |
MARC 008 Character positions 7-10: Date of Publication
| The date in the 008 should be the same as that in the MARC 260 subfield c (ie the date the thesis was produced). |
MARC 008 Character positions 15-17: Place of publication
| The Place of publication code is derived from the place where the institution granting the degree is located as named in the dissertation note. |
MARC 008 Character positions 24-27: Nature of contents
|
Should contain the code m (thesis) |
MARC 042: Australian Content Indicator
| If a thesis is produced at an Australian institution, by an Australian author or the content relates to Australia indicate this in MARC 042 subfield a by adding the code anuc (Australian National Union Catalogue): | |
| Eg. 042 $aanuc | |
MARC 245 $h: General Material Designation (GMD)
| If produced as a manuscript the GMD will be [manuscript] |
MARC 260 $c: Date of Publication
| The only data element present will be the date in the c subfield. In manuscript records this date is the date of writing of the thesis. The date of publication should also be added to MARC 008/7-10.In some cases libraries use the date of conferring of the degree. If this is the case, it should also be indicated by a general note (MARC 500). | ||
| Eg. 260 | $c1997 | |
| 500 | $aDegree conferred 1997; thesis submitted 1996. | |
MARC 500: General Note
| If known, include a note to indicate if the thesis is by Coursework | ||
| Eg. 500 $aCoursework | ||
| Some libraries may choose to use the General Note field to further describe the type of thesis. | ||
| Eg.: 500 | $aHonours Thesis. | |
| 500 | $aSubmitted in fulfilment of the requirements for the degree of Doctor of Philosophy to the Department of Civil Engineering. | |
| Note: The general note should supplement, not replace, the dissertation note. |
MARC 502: Dissertation Note
| The dissertation note includes the word Thesis, qualified by the degree (in parentheses) and the name of the institution. | |
| Eg. 502 $aThesis (Ph.D.) --University of Sydney, 2004. | |
MARC 710-Corporate Author Added Entry
| If information about the school or faculty is required, this should be included in an added entry. | |
| Eg 710 2$aUniversity of Adelaide.$bDept. of Psychology. | |
| Where the added entry is included in the record, the general note (500) re submission of the thesis should also be included (see above). |
Enriched data
For better searching and analysis it is recommended that Abstracts/summary and table of content data be included as far as possible.
| Include abstract either author produced or library produced. |
MARC 505: Formatted Contents Note
Include a formatted table of contents if available.
Examples:
Thesis catalogued as a Monograph
000 |
02700nam a2200649 a 4500 |
|
005 |
20000106090407.0 |
|
008 |
700415s1969acaab bm 000 0 eng d |
|
015 |
__ |
$aAus68-2799 |
040 |
__ |
$aLC$beng$cLC$dXNTU |
042 |
__ |
$aanuc |
043 |
__ |
$au-at--- |
050 |
_4 |
$aG58$b.A9 no. 6 |
082 |
04 |
$a305.89915$220 |
099 |
5_ |
$a3738043 |
100 |
1_ |
$aLawrence, Roger$q(Roger J.) |
245 |
10 |
$aAboriginal habitat and economy /$cRoger Lawrence. |
260 |
__ |
$c1969. |
300 |
__ |
$avii, 290 p. :$bill., maps ;$c30 cm. |
500 |
Coursework |
|
500 |
$aSubmitted in fulfilment of the requirements for the degree of Master of Arts to the Department of Geography. |
|
502 |
__ |
$aThesis (M.A.) -- AustralianNationalUniversity, 1969. |
504 |
__ |
$aIncludes bibliographical references ( p. 259-290). |
650 |
_0 |
$aAboriginal Australians$xHunting. |
650 |
_0 |
$aAboriginal Australians$xFishing. |
650 |
_0 |
$aAboriginal Australians$xFood. |
710 |
2_ |
$aAustralian National University.$bDept. of Geography. |
Thesis catalogued as a Manuscript
| 000 | 02222ntm a2200529 a 4500 | |
| 005 | 20020612000000.0 | |
| 008 | 900109s1972vram neng d | |
| 040 | __ | $aANL:MS$beng$cANL:MS$dANL:NR$dLC |
| 042 | __ | $aanuc |
| 099 | 5_ | $a5479104 |
| 100 | 1_ | $aHo, D. W. S.$q(David Wai Sum) |
| 245 | 10 | $aFlexural behavior of unbonded prestressed concrete beams$h[manuscript]. |
| 260 | __ | $c1972. |
| 300 | __ | $a196 leaves :$bill. ;$c30 cm. |
| 500 | __ | $aSubmitted in fulfilment of the requirements for the degree of Doctor of Philosophy to the Department of Civil Engineering. |
| 502 | __ | $aThesis (Ph. D.)-- MonashUniversity, 1972. |
| 504 | __ | $aIncludes bibliographical references (p. 53-64). |
| 504 | __ | $a"An annotated bibliography on education and cultural deprivation, prepared by Susan B. Silverman": p. [65]-179. |
| 506 | __ | $aAvailable for reference. Not for loan. |
| 650 | _0 | $aPrestressed concrete beams$xTesting. |
| 650 | _0 | $aConcrete beams$xTesting. |
| 710 | 2_ | $aMonash University.$bDept. of Civil Engineering. |
Enriched Thesis Record
| 000 | 01349cam a2200253 a 4500 | |
| 005 | 20041124113103.0 | |
| 008 | 041124s1996 xrado e m 000 0 eng d | |
| 040 | __ | $aSUA$beng$cSUA$dSUA |
| 042 | __ | $aanuc |
| 100 | 1_ | $aSkrzypiec, Grace K. |
| 245 | 10 | $aAdolescents, food behaviour and television /$cGrace k. Skrzypiec. |
| 260 | __ | $c1996. |
| 300 | __ | $a166, [14] leaves :$bcharts, photos ;$c30 cm. |
| 500 | $aCoursework | |
| 500 | $aSubmitted in fulfilment of the requirements for the degree of Master of Education to the Department of Education. | |
| 502 | __ | $aThesis (M. Ed.)--University of Adelaide, 1996. |
| 504 | __ | $aIncludes bibliographical references (leaves 156-165) |
| 520 | 3_ | $aSeveral researchers have indicated that the emphasis placed by young people on body shape and appearance has been greatly guided by the media. The aim of this research was to investigate this notion specifically with regard to televised media. It was hypothesised that there would be a relationship between media images, eating attitudes and dietary behaviours, particularly for teenagers with body-image self-schemas who were conscious of their appearance. |
| 530 | __ | $aAlso available in an electronic form. |
| 650 | _0 | $aBody image in adolescence. |
| 650 | _0 | $aSelf-esteem in adolescence. |
| 650 | _0 | $aEating disorders in adolescence. |
| 650 | _0 | $aTelevision and youth. |
| 650 | _0 | $aTelevision viewers$xPsychological aspects. |
| 710 | 2 | $aUniversity of Adelaide.$bDepartment of Education. |
| 850 | __ | $aSUA$b1019906$cPP37066 |
2. Cataloguing Electronic Theses
The general guidelines for cataloguing theses should be applied to electronic theses. In addition, the following should apply:
006: Computer files/electronic resources
| 006/00: Form of Item. The code m (computer file/electronic resource) should be added to character position 00. |
| 006/09: Computer File type. The code d (document) should be added to character position 09. |
007: Physical Description: General Information
| 007/00: Catgeory of material. The code c (electronic resource) should be added to character position 00. |
| 007/01: Specific material designation. The code r (remote) or o (optical disk) should be added as appropriate to character position 01. |
008/23: Form of Item
| If the thesis is published in electronic format, the code s (electronic) should be included in character position 23. |
MARC 245 $h: General Material Designation (GMD)
| If an electronic thesis, the GMD will be [electronic resource] |
| (Note: Do not use GMD [electronic resource] if only table of contents, abstract etc are available electronically, and not the full text of the thesis). |
MARC 538: Mode of Access
| The record should contain a note to indicate mode of access to the electronic resource: |
| Eg. |
538 |
__ |
$aMode of access: World Wide Web. |
MARC 856: Electronic Location and Access
| An electronic thesis which is available online should contain a MARC 856 field containing the URL of the thesis. |
| Eg: 856 4$uhttp://web4.library.adelaide.edu.au/thesis/ |
| 09SM/09smg974.pdf |
| Availability for viewing or document delivery should be indicated in the Public Note subfield ($z). |
| Eg.856 4_ $uhttp://www.library.uow.edu.au/adt-NWU/public/adt-WU20050307.143257/index.html$zAvailable for Document Delivery |
Example – Electronic Thesis:
| 000 | 01223nam a2200289 a 4500 | |
| 005 | 20050327184640.0 | |
| 006 | m d | |
| 007 | cr cnu---uuuuu | |
| 008 | 030218s2002 at m 000 0 eng d | |
| 040 | __ | $aANU$beng$dANU |
| 042 | __ | $aanuc |
| 100 | 1_ | $aHaine, Simon A. |
| 245 | 14 | $aThe stability of a continuously pumped atom laser$h[electronic resource] /$cSimon A. Haine. |
| 256 | __ | $aComputer data. |
| 260 | __ | $c2002. |
| 500 | Coursework. | |
| 500 | __ | $aAvailable via the Australian National University Library Electronic Pre and Post Print Repository. |
| 500 | __ | $aTitle from title screen (viewed Feb. 18, 2003) |
| 500 | __ | $a"A thesis submitted as partial fulfillment of the requirements for the degree of Bachelor of Science with Honours in theoretical physics at the AustralianNationalUniversity" |
| 502 | __ | $aThesis (BSc. (Hons))--AustralianNationalUniversity, 2002. |
| 504 | __ | $aIncludes bibliographical references. |
| 538 | __ | $aMode of access: Internet. |
| 650 | _0 | $aOptical pumping. |
| 650 | _0 | $aLasers in physics. |
| 650 | _0 | $aBose-Einstein condensation. |
| 850 | __ | $aANU$c.b21273273 |
| 856 | 4_ | $zView electronic text$uhttp://eprints.anu.edu.au/documents/disk0/00/00/06/62/index.html |
3. Theses presented in multiple forms, or reproduced in different forms
Many theses are now produced in both print and electronic form, or reproduced in different forms. Ideally each form should be described in a separate record, adding a MARC 530 (Additional Physical Form) note and optionally a MARC 776 (Linking Entry) to indicate the existence of the alternative form.
This is consistent with the practice outlined in the Guidelines for the cataloguing of electronic resources (http://www.nla.gov.au/librariesaustralia/dg_cer.html ).
When a thesis is produced in multiple formats (eg both Print and electronic versions), or the original is reproduced in a different form, and both forms of a thesis are catalogued on the one record, the following should be included:
| MARC 007: Physical Description. |
| If appropriate, repeat MARC 007 to allow for the different physical formats described in the same cataloguing record. |
| Eg. |
| 007 | cr mn ---uuuuu (Electronic resource: remote access) | |
| 007 | ta (Text, Regular print) |
| MARC008/23: Form of item |
| Insert form code for the reproduction as described in the 533 note. |
| Eg. |
| 008 | 050207s2004 xraa esmb 000 0 eng d |
| MARC 245 $h: General Material Designation |
| If appropriate, give in the title and statement of responsibility area the general material designation (gmd) for the reproduction, e.g. [microform] |
| Eg. 245 10 $aArchitecture as social strategy$h[microform] :$bstructures for knowledge for change /$cby Lian Hurst Mann. |
| MARC 530: Additional Physical Form |
| Eg. 530 $aAlso available in print form. |
MARC 533: Reproduction Note
| Contains information about the additional form (eg the electronic version, if the main portion of the record describes the original print version) |
| Eg. |
| 533 | __ | $aElectronic reproduction.$b[Australia] :$cAustralian Digital Theses Program,$d2004. |
| MARC 534: Original Version Note |
| Contains information about the original version, where the reproduction is described in the main portion of the record (eg print version if the main portion of the record describes the electronic reproduction). |
| Eg. |
| 534 __ $p:Original: $exvi, 420 p. ; 30 cm. |
| MARC 776: Additional Physical Form |
| Optionally, include a MARC 776 (Additional Physical Form) to indicate the existence of the alternative form. |
| Eg. |
| 245 | 10 | $aIntegration of children with behaviour disorders$h[electronic resource] :$ba comparative case study analysis in two Australian states |
| 776 1 $cOriginal$tIntegration of children with behaviour disorders |
Examples:
1. Print thesis reproduced in electronic form
| 000 | 01566nam a2200361 a 4500 | |
| 005 | 20050330193147.0 | |
| 006 | m e d | |
| 007 | cr mn ---uuuuu | |
| 008 | 050207s2004xraa esmb 000 0 eng d | |
| 040 | __ | $aSUA$beng$cSUA |
| 042 | __ | $aanuc |
| 043 | __ | $au-at-sa |
| 100 | 1_ | $aBaldock, M. R. J.$q(Matthew R. J.) |
| 245 | 10 | $aSelf-regulation of the driving behaviour of older drivers$h[electronicresource] /$cMatthew R. J. Baldock. |
| 260 | __ | $c2004. |
| 500 | __ | $aTitle from screen page; viewed 7 Feb 2005. |
| 500 | $aSubmitted in fulfilment of the requirements for the degree of Doctor of Philosophy to the Department of Psychology. | |
| 502 | __ | $aThesis (Ph.D.)--University of Adelaide, 2004 |
| 504 | __ | $aIncludes bibliographical references. |
| 516 | __ | $aElectronic publication; full text available in PDF format; abstract in HTML format. |
| 530 | __ | $aAlso available in print form. |
| 534 | __ | $pOriginal: $exvi, 420 p. ; 30 cm. |
| 538 | $aMode of access: World Wide Web. | |
| 650 | _0 | $aOlder automobile drivers$zSouth Australia$xSafety measures. |
| 650 | _0 | $aOlder automobile drivers$zSouth Australia$xAttitudes. |
| 650 | _0 | $aSelf-management (Psychology) |
| 650 | _0 | $aSelf-help techniques. |
| 650 | _0 | $aHuman behavior$vCase studies. |
| 650 | _0 | $aTraffic accidents$zSouth Australia$vCase studies. |
| 650 | _0 | $aTraffic safety$zSouth Australia. |
| 710 | 2 | $aUniversity of Adelaide.$bDept. of Psychology |
| 710 | 2 | $aUniversity of Adelaide.$bCentre for Automotive Safety Research. |
| 830 | _0 | $aAustralian Digital Theses Program. |
| 850 | __ | $aSUA$b1152840$c- |
| 856 | 4_ | $3Click here to access$uhttp://thesis.library.adelaide.edu.au/public/adt-SUA20041221.165852/ |
2. Microform reproduction
| 000 00868nam a2200229 a 4500 |
| 001 000014614240 |
| 005 20050220184937.0 |
| 007 hd afb---baca |
| 008 990324r19911990cau am 000 0 eng d |
| 040 __ $aSUA$beng$cSUA |
| 082 04 $a720.103$220 |
| 100 1_ $aMann, Lian Hurst. |
| 245 10 $aArchitecture as social strategy$h[microform] :$bstructures for |
| knowledge for change /$cby Lian Hurst Mann. |
| 260 __ $c1990. |
| 300 __ $aviii, 247 leaves. |
| 500 __ $aMicroform reproduction. |
| 502 __ $aThesis (Ph.D.)--University of California, Berkeley, 1990. |
| 504 __ $aIncludes bibliographical references (leaves 225-247). |
| 533 __ $aMicroform.$bAnn Arbor, Mich. :$cUniversity Microfilms |
| International,$d1991.$e1 microfilm reel ; 35 mm. |
| 650 _0 $aArchitecture and society$xHistory$y20th century. |
| 650 _0 $aArchitectural practice$xDecision making. |
| 850 __ $aSUA$cMICROFILM 20977 |
3. Photoreproduction
| 000 00880cam a2200229Ia 4500 |
| 001 000023967987 |
| 005 20020108130126.0 |
| 008 020821s1992 xx rbm 000 0 eng d |
| 040 __ $aNUWS:W$beng |
| 082 04 $a610.73069$221 |
| 100 1_ $aDaugherty, Kay Suzanne. |
| 245 14 $aThe essence of staff nurse job satisfaction :$bconnectedness, a |
| grounded theory /$cby Kay Suzanne Daugherty. |
| 260 __ $c1992. |
| 300 __ $axiii, 215 leaves ;$c28 cm. |
| 502 __ $aThesis (Ph. D. in Nursing)--University of Colorado, 1992. |
| 504 __ $aIncludes bibliographical references (leaves 195-205). |
| 533 __ $aReproduction (photocopy).$bAnn Arbor, Mich. :$cUMI |
| Dissertation Services,$d1994.$e21 cm. |
| 650 _0 $aNurses$xJob satisfaction. |
| 650 _0 $aNursing$xPsychological aspects. |
| 650 _0 $aJob satisfaction. |
| 710 2_ $aUniversity of Colorado. |
| 850 __ $aNUWS:P$b353990$c610.73069 62 |

