Guidelines for cataloguing 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Theses (or dissertations) have traditionally been considered to be unpublished works of very limited distribution, i.e. original typescripts, photocopies or works compiled with the use of computer desktop publishing software.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 There is a valid argument for considering such electronic formats to have changed the nature of theses, from unpublished to published resources.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 ANBD 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 (see our Cataloguing page for more information on cataloguing methods available in Libraries Australia).

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 (e.g. in microform, photocopy or digital form).

General guidelines for cataloguing theses

LEADER/06: Type of record (depends on the policy of the cataloguing institution; see comments above).

May be catalogued either as a:

  • Monograph (Language material), e.g. Leader/06=a, or
  • Manuscript (Manuscript language material), e.g. Leader/06=t

008/7-10: Date of Publication

The datein the 008 control field should be the same as that in the MARC 260 subfield c (i.e. the date the thesis was produced).

008/15-17: 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.

008/24-27: Nature of Contents

Should contain the code m (thesis).

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), e.g. 042 $aanuc

245 $h: General Material Designation (GMD)

If produced as a manuscript, the GMD will be [manuscript]

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):

e.g. 260
500 __ $aDegree conferred 1997; thesis submitted 1996.

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:

e.g. 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.

502: Dissertation Note

The Dissertation Note includes the word Thesis, qualified by the degree (in parentheses) and the name of the institution in a single subfield, e.g. 502 $aThesis (Ph.D.) --University of Sydney, 2004.

Alternatively, the information may be parsed into specific subfields:

$b Degree type

$c Name of granting institution

$d Year degree granted

$g Miscellaneous information

$o Dissertation identifier

e.g. 502 __ $gThesis$bPh.D.$cUniversity of Sydney$d2004$oT9999.

710: Corporate Author Added Entry

If information about the school or faculty is required, this should be included in an added entry:

e.g. 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 Contents data be included as far as possible.

520: Summary

Include abstract either author produced or library produced.

505: Formatted Contents Note

Include a formatted table of contents if available.

Example 1: 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
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.) – Australian National University, 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.

Example 2: 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.

Example 3: 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

Cataloguing electronic theses

The general guidelines for cataloguing theses should be applied to electronic theses. In addition, the following should apply:

006/00: Computer Files/Electronic Resources: Form of Item

Should contain the code m (computer file/electronic resource).

006/09: Computer Files/Electronic Resources: Computer File Type

Should contain the code d (document).

007/00: Physical Description: General Information: Category of Material

Should contain the code c (electronic resource).

007/01: Physical Description: General Information: Specific Material Designation

Should contain the code r (remote) or o (optical disk).

008/23: Form of Item

Should contain the code s (electronic) if the thesis is published in electronic format.

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.

538: Mode of Access

The record should contain a note to indicate mode of access to the electronic resource:

e.g. 538 __ $aMode of access: World Wide Web.

856: Electronic Location and Access

An electronic thesis which is available online should contain a MARC 856 field containing the URL of the thesis:

e.g. 856 _4 $u

Availability for viewing or document delivery should be indicated in the Public Note subfield ($z):

e.g. 856 _4 $u$zAvailable for Document Delivery

Example of an 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 Australian National University"
502 __ $aThesis (BSc. (Hons))—Australian National University, 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_ $zView electronic text$u

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 cataloguing remote access electronic resources.

When a thesis is produced in multiple formats (e.g .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:

007: Physical Description

If appropriate, repeat the 007 field to allow for the different physical formats described in the same cataloguing record:

e.g. 007 cr mn ---uuuuu(Electronic resource: remote access)
007 ta (Text, Regular print)

008/23: Form of Item

Insert form code for the reproduction as described in the 533 note:

e.g. 008 050207s2004 xraa esmb 000 0 eng d

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]:

e.g. 245 10 $aArchitecture as social strategy$h[microform] :$bstructures for knowledge for change /$cby Lian Hurst Mann.

533: Reproduction Note

Contains information about the additional form (e.g. the electronic version, if the main portion of the record describes the original print version):

e.g. 533 __ $aElectronic reproduction.$b[Australia] :$cAustralian Digital Theses Program,$d2004.

534: Original Version Note

Contains information about the original version, where the reproduction is described in the main portion of the record (e.g. print version if the main portion of the record describes the electronic reproduction):

e.g. 534 __ $p:Original: $exvi, 420 p. ; 30 cm.

776: Additional Physical Form (optional)

Include a MARC 776 (Additional Physical Form) to indicate the existence of the alternative form:

e.g. 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.

Example 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[electronic resource] /$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_ $3Click here to access$u

Example 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

Example 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