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Resource Description Procedures & Guidelines: Theses and Dissertations

Unit Statistics Links

Electronic Theses and Dissertations

From "Older Documentation" tab (moved 01-2020)


Becca will import to the unit’s online Connexion save file thesis and dissertation records which have been delivered from ProQuest and edited in MarcEdit. Becca and Amy will each take half the alphabet (by last name) and save the assigned records to their respective local Connexion save files.    


To catalog these, open the record in your save file, then search for the thesis or dissertation in the AU Research Commons ETD Collection [].  If the item cannot be viewed in the AURC, the full-text may be available in ProQuest’s Digital Theses and Dissertations database.  You can verify that an item is under embargo by checking the ETD submissions excel spreadsheet, found on the i-drive in the Thesis Accessions lists folder.  


Edit the following fields in Connexion, as necessary:



  • Code Ill. fields in 008, if applicable.
  • If no bibliography (such as for MFA theses), edit Cont. field



  • Add thesis accessions number (found on thesis accessions spreadsheet) in second $a



  • Edit pagination to match pagination found in PDF (e.g. 279 p. might become ix, 200 p.)
  • Add illustrations, if any


500 notes

  •  Look up thesis in ProQuest Dissertations and Theses database and add order number to second note.
  • Edit DAI abstracts information



  • Add pagination for bib. references.


Copy-catalog  all information in the record, in case there are errors.




Cross-check faculty name heading in 790 field with OCLC/Voyager name authorities, as ProQuest does not practice authority control.  Replace heading if necessary.



Next, update AU holdings and export the record into Voyager.  After export, make the following changes:

  • Change 790 field to 700
  • Change 791 field to 710
  • Change 856 $u to $x


Add separate holdings and “dummy” item records for microform and electronic versions.




852 8_ $b aumt $h Thesis $i [number from accessions list]

Item barcode=aumicroformthesis

Perm loc=aumt

Item type= non-circulating


Electronic version:


852 8_ $b auetd $h AU Electronic theses and dissertations

856 4_ $u [add Dpsace handle link to resource] $z Click here to access the electronic thesis.


Item barcode=eresource

Perm loc=auetd

Item type=electronic


*Note about electronic holdings: if the item is under permanent embargo in the AURC, suppress auetd holdings.  


If the ETD spreadsheet indicates that the item is under embargo and/or is (or will be) campus-access only, please add a note to the holdings record in 852, subfield z indicating this.


AURC Access Level column AURC Embargo 852 note reads
<blank> Perm. embargo $z Electronic thesis permanently unavailable, per author’s request.
<blank> Contains expiration date $z Electronic thesis unavailable until <fill in date>, per author's request.
Campus access only <blank> $z Electronic thesis available to American University authorized users only, per author's request.
Campus access only Contains expiration date $z Electronic thesis unavailable until <fill in date>, per author's request. Thereafter available to American University authorized users only.

Name authority example for theses and dissertations