Electronic Theses & Dissertations (ETD) Procedures

Contents

Pre-cataloging Steps
Cataloging, Part 1: Initial Steps Checklist
Cataloging, Part 2: BearDocs
Cataloging, Part 3: Quality Control in BearDocs
Cataloging, Part 4: Transform into MARC
PDF version: ETD & Project Cataloging Guidelines

Pre-Cataloging Steps

  1. ETDs are cleared by the Graduate School and Projects are cleared by the Dept. of Museum Studies and then are submitted to BearDocs and placed in "Tasks in the Pool." ETDs and Projects placed here are not viewable to the public.

  2. Once an ETD or Project is placed in BearDocs, the cataloger will receive an email notification.

  3. Login to BearDocs.

    • Click on the My BearDocs link – located on the left side of the BearDocs website. Make sure to make this page a Favorite.

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    • Sign in using your full Baylor email address and the password 'thesis'.

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    • Once signed in, you will see two lists of tasks: "Owned Tasks" (documents you claimed from "Tasks in the Pool") and "Tasks in the Pool" (ETDs or projects that have not been claimed). If you have not claimed any tasks, then the "Owned Tasks" section will not show.

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    • In the "Tasks in the Pool," click the "Take Task" button on the right for one of the ETDs or projects.

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  4. Note what the permissions are for the ETD or project.

    • Go to the "Files in This Item" section at the bottom of the "Preview Task" screen.

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    • Click on "View/Open" for the permissions form (example above). Go to the "Availability Options" section of the Permissions Form and write down what permissions option was selected on the Initial Steps Checklist. Below are the abbreviations associated with the three different permissions options that you will use on the Initial Steps Checklist. NOTE: Close permissions form once the appropriate abbreviation has been written on the Initial Steps Checklist.

                        1) OA [open access] used for worldwide access
                        2) NA [no access] used for patent and journal/other publication hold

      ETDPermform

      ETD_initial_steps

    • Click on "View/Open" for the dissertation, thesis or project. Print out and staple the abstract, title, and approval pages with the Initial Steps Checklist on top. Do not close the document once the relevant pages are printed. NOTE: Sometimes there is no separate title page just an approval and abstract page.

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      • Go through and check capitalization of the title on the printed abstract page.

        • Put a slash (/) through the letter of a word if it is not to be capitalized.

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        • Put two lines under the letter of a word that should be capitalized.

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Cataloging, Part 1: Initial Steps Checklist

  1. Author: Write down the name under the title on the abstract page on the Initial Steps Checklist. Make sure it is inverted (last name, first name). NOTE: The Metadata & Catalog Librarian will be checking the author's name to make sure it follows name authority rules.

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  2. Advisor: Note the chairperson's name under the author on the abstract page. [Sometimes there is more than one chairperson.]

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    • In BearDocs, click on "ETDs" under Browse on the left side.

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    • Click on the "Authors" button in the gray box on the "Electronic Theses and Dissertations" page.

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    • Enter the advisor's last name in the search box and click "GO!" If the advisor has a common last name, search by first and last name.

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    • It will take you to a results page and if there is an exact match the name will be highlighted in purple. If there is not an exact match look above and below where the name should have been.

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    • To make sure that it is the correct advisor, click on the name and check under "Authors" to see what department is represented. If it is the same department as the one that approved the ETD or project you're cataloging (department is found on the approval page), then it is the right advisor. Write down the advisor's name on the Initial Steps Checklist exactly as seen on the results page.

    • If it is not the same department being represented on the ETD or project you are cataloging, give the ETD or project to the Metadata & Catalog Librarian.

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    • If the advisor’s name is not in BearDocs, give ETD or project to the Metadata & Catalog Librarian who will do name authority work.

  3. Other contributors: This information is found on the approval page in the statement "Approved by ..." ONLY use the form for departments, institutes, programs, and schools from the list below.

    NOTE: For the projects, other contributors will ALWAYS be Dept. of Museum Studies.

    NOTE: School of Engineering and Computer Science: Use the name of the department, if known. For Biomedical Engineering and general Engineering degrees use Depts. of Engineering.

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  4. Department: Note the last part of the ‘Approved by’ statement on the approval page and check it against the list of departments below.

    NOTE: For the project, the department will ALWAYS be Museum Studies.

    NOTE: School of Engineering and Computer Science: Collapse the following two depts. into the heading of Engineering:

    Electrical and Computer Engineering
    Mechanical Engineering

    Dept. of Modern Foreign Languages: Use the heading Spanish unless the thesis is obviously not about a Spanish topic. Ex. For the thesis Foreign language learning : an exploratory study on the external and internal influences affecting success use Modern Foreign Languages for the Department/690 field.

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  5. Degree: Note the degree on the approval form (Ex. Doctor of Philosophy). Double check the list of program degrees (Ex. Philosophy) below and write down the abbreviation of the degree (Ex. Doctor of Philosophy = Ph.D.). The list of degrees is not comprehensive.

    NOTE: For the projects, the degree will ALWAYS be M.S. or M.A.

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    Accounting M.Acc. | B.B.A./M.Acc.
    Advanced Neonatal Nursing M.S.N.
    American Studies M.A.
    Aviation Science (International Masters of Environmental Science) I.M.E.S.
    Austin EMBA M.B.A. – E.M.B.A.
    Behavioral Science Ph.D.
    Biology M.A. | M.S. | Ph.D.
    Biomedical Engineering M.S.B.M.E. | B.S.E.C.E./M.S.B.M.E. | B.S.E./M.S.B.M.E. | B.S.M.E./M.S.B.M.E.
    Biomedical Studies M.S. | Ph.D.
    Business Administration M.B.A.
    Business Administration with Health Care Administration Specialization M.B.A.
    Business Administration/Computer Science M.B.A./M.S.
    Business Administration/Information Systems M.B.A./M.S.I.S.
    Business Administration/Juris Doctor M.B.A./J.D.
    Chemistry M.S. | Ph.D.
    Church Music M.M. | M.M./M.Div.
    Clinical Psychology Psy.D.
    Communication Sciences and Disorders M.A. | M.S.C.D.
    Communication Studies

    M.A.

    Composition M.M.
    Computer Science

    M.S.

    Conducting M.M.
    Curriculum and Instruction

    M.A. | M.S.Ed. | Ed.D.

    Curriculum and Teaching

    Ph.D.

    Dallas EMBA M.B.A. – E.M.B.A.
    Directing M.F.A.
    Doctor of Ministry - Truett Seminary D.Min.
    Earth Sciences M.A.
    Economics M.S.Eco.
    Ecological, Earth and Environmental Sciences Ph.D.
    Educational Administration M.S.Ed. | Ed.D.
    Educational Psychology M.A. | M.S.Ed. | Ph.D.
    Electrical and Computer Engineering M.S.E.C.E. | B.S.E.C.E./M.S.E.C.E. | Ph.D.
    Engineering B.S.E.C.E./M.E. | M.E./M.B.A. | B.S.M.E./M.E. | M.E.
    English M.A. | Ph.D.
    Environmental Biology M.S.
    Environmental Studies M.E.S. | M.S.
    Exercise, Nutrition, and Preventative Health Ph.D.
    Family Nurse Practitioner M.S.N.
    Geology M.S. | Ph.D.
    Health Care Administration - Fort Sam Houston M.H.A.
    Health, Human Performance, and Recreation M.S.Ed. | Ph.D.
    History M.A. | Ph.D.
    Information Systems M.S.I.S. | Ph.D.
    International Economics M.A. | M.S.
    International Journalism M.I.J.
    International Relations M.A.I.R.
    Journalism M.A.
    Limnology M.S.L.
    Mathematics M.S. | Ph.D.
    Mechanical Engineering M.S.M.E. | B.S.M.E./M.S.M.E.
    Museum Studies M.A.
    Music Education M.M.
    Music History and Literature M.M.
    Music Theory

    M.M.

    Neonatal Nurse Practitioner M.S.N.
    Nursing M.S.N.
    Nurse-Midwifery D.N.P.
    Nutrition - Fort Sam Houston

    M.S.

    Occupational Therapy Ph.D.
    Orthopaedic Physical Therapy - Brooke Army Medical Center D.Sc.P.T.
    Orthopaedic Physical Therapy - West Point D.Sc.P.T.
    Performance M.M.
    Philosophy M.A. | Ph.D.
    Physician Assistant Studies - Fort Sam Houston D.Sc.P.A.
    Physical Therapy - Fort Sam Houston D.P.T.
    Physics M.A. | M.S. | Ph.D.
    Piano Accompanying M.M.
    Piano Pedagogy and Performance M.M.
    Political Science M.A.I.R. | M.P.P.A. | Ph.D.
    Psychology & Neuroscience Psy.D. | Ph.D.
    Public Policy and Administration M.P.P.A. | M.P.P.A./J.D.
    Religion M.A. | Ph.D.
    School of Education Graduate Programs Ed.S. | M.A. | M.S.Ed. | Ed.D. | Ph.D.
    School Psychology Ed.S.
    Social Psychology Ph.D.
    Social Work

    M.S.W. | M.S.W./M.div.

    Sociology M.A. | Ph.D.
    Spanish

    M.A.

    Statistical Science M.A. | Ph.D.
    Theatre

    M.F.A.

    Taxation M.Tax. | B.B.A./M.Tax. | M.Tax./J.D.
    Transition Doctor of Physical Therapy Program M.P.T. to D.P.T.

  6. After the Initial Steps Checklist has been filled out, put ETD or Project in the "To Be Checked" basket on top of the black filing cabinet by the Serials and Electronic Resources Catalog Specialist's desk for the Metadata & Catalog Librarian.

  7. Once the ETDs and Projects have been checked by Metadata & Catalog Librarian, the ETDs and Projects will be distributed to the Serials and Electronic Resources Catalog Specialist and the Metadata Specialist for cataloging.

Cataloging, Part 2: BearDocs

  1. Login to BearDocs.

  2. Find the author in the "Submitted By"; column on the right side under "Tasks in the Pool." Click on the "Take Task" button next to the author's name on the right.

  3. Scroll to the bottom of the page and click on the "Accept This Task" button. On the "Perform Task" screen there will be 5 choices to choose from at the bottom of the page:

    1. ApproveONLY click on this button when you have completely finished cataloging the ETD or Project.

    2. RejectNEVER click this button, because it will permanently delete the ETD or Project in which case the student would have to submit their ETD or Project all over again.

    3. Edit Metadata – Click on this button to edit the ETD or Project.

    4. Do Later – Click on this if you cannot edit the ETD or Project right away. It will put the ETD or Project in your "Owned Tasks" to do later and no one else can claim it.

    5. Return Task to Pool – Click on this if you have decided not to catalog the ETD or Project. This is important because if you decide not to catalog, clicking this button will return it to "Tasks in the Pool" for someone else to claim and catalog it. NOTE: If you do this it will email everyone letting them know that a new ETD or Project has been submitted. Once that email has been sent, notify everyone that the ETD or Project is not new and has only been returned to the "Task in the pool."

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  4. Click the "Edit Metadata" button if you are ready to catalog it. The "Submit: Describe Your Item" screen will appear. Ignore this screen and click the "Next" button to go to the next screen.

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    • 1st Option: The only time this is selected is when the ETD is a translation.

    • 2nd Option: This is only selected when previously published material is included in the ETD or Project. You will need to check for citations in a later screen (these citation fields do not appear unless this particular option is checked).

  5. On this screen, you will be editing the author, advisor(s), other contributors, title, other title, date of issue, copyright date, publisher, citation, type, language, and access rights fields. There are two buttons on the right: "Remove This Entry" (to delete a field) and "Add More" (to add a field); use these buttons when necessary. When you are finished entering all the fields on this screen, do a spell-check before clicking on the "Next" button to go to the next screen.

    • Authors: Enter the author's name exactly as it appears on the Initial Steps Checklist.

      Ex. Smith, Joseph, 1978-
      Sampson, Eleanor Jane.
      Johnson, Michael Jim, 1980-
      Torason, Hanna G.
      Guya, S. Tina
      Zimbana, R. E.

    • Advisors: Enter the advisor's name exactly as it appears on the Initial Steps Checklist.

      Ex. Smith, Joseph, 1956-
      Sampson, Eleanor Jane.
      Johnson, Michael Jim, 1962-
      Torason, Hanna G.
      Guya, S. Tina
      Zimbana, R. E.

    • Other Contributors: Enter the department, institute, or school exactly as it appears on the Initial Steps Checklist.

    • Title: Enter the title exactly from the abstract page with correct capitalization and punctuation. NOTE: Always put a space before and after a colon if there is a subtitle.

      Ex. Electronic theses and dissertations : a case study in how they are inputted.

    • Other title: This only appears when the 1st option from the previous screen is selected. Enter the title of the original work being translated here. NOTE: Make sure to take out initials articles.

    • Date of Issue: This only appears when the 2nd option from the previous screen is selected. Enter the date exactly from the previously published material.

    • Copyright Date: Enter ONLY the month and year that is stipulated on the approval page under "Accepted by the Graduate School." Delete any numeric value that is in the "Day" field.

    • Publisher: This only appears when the 2nd option from the previous screen is selected. Enter the publisher's name in this field.

    • Citation: This only appears when the 2nd option from the previous screen is selected. If the citation is incomplete, check BearCat to see if Baylor owns the journal, check Baylor's periodical databases, or search the web to find all the information to make a complete citation following Chicago Manual of Style guidelines. Below are some examples of the most common types of citations for journal articles. If you cannot find any information to make a complete citation, give to the Metadata & Catalog Librarian.

      • Ex. Journal Article with volume and issue #

        Author. "Article title." Journal title volume, issue # (date): page number(s).

        Ex. Hagelson, Anthony. "How to input electronic theses and dissertations into DSpace." ETD Journal 3, 6 (2007): 54-63.

      • Ex. Journal Article with volume but no issue #

        Author. "Article title." Journal title volume (date): page
        number(s).

        Ex. Hagelson, Anthony. "How to input electronic theses and dissertations into DSpace." ETD Journal 3 (2007): 54-63.

      • Ex. Journal Article with no volume or issue #

        Author. "Article title." Journal title (date): page number(s).

        Ex. Hagelson, Anthony. "How to input electronic theses and dissertations into DSpace." ETD Journal (2007): 54-63.

    • Type: Verify that "Thesis" has already been selected from the drop-down menu for the ETDs. NOTE: "Project" will have been already selected for the Projects.

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    • Language: English is the default language. If the ETD is in another language, select the correct language from the drop-down menu.

    • Access Rights: Note the permissions abbreviation from the Initial Steps Checklist, and select from the drop-down menu the correct access option (Worldwide Access = OA; No Access = NA).

      BearDocsAccess

  6. On this screen, you will be editing the subject, abstract, description, statement of responsibility, rights, degree, and department. Click on the "Next" button to go to the next screen.

    • Subject: Use the keywords that the student has supplied. Make sure that each keyword or keyword phrase is in a separate subject field. DO NOT leave all the keywords or keyword phrases in one subject field.

    • Abstract: Make sure the content in the abstract field and the summary on the abstract page match. Change smart quotes (ex. “me”) to straight quotes (ex. "me"), and curly apostrophes and quotes (ex. she’s and ‘me’) to straight apostrophes and quotes (ex. she's and 'me'). Other diacritics issues will be handled by the Metadata & Catalog Librarian.

    • Statement of Responsibility: Enter the word "by" and the ETD or Project author's name. The author's name should be entered exactly as it appears on the abstract page (Ex. by Ullysis Thompson.).

    • Rights: A standard rights statement will already be in this field; make sure it matches the rights statement below. If it does not, delete what is there and replace with the statement below.

      Baylor University theses are protected by copyright. They may be viewed from this source for any purpose, but reproduction or distribution in any format is prohibited without written permission. Contact librarywebmaster@baylor.edu for inquiries about permission.

    • Degree: Enter the degree abbreviation exactly as it appears on the Initial Steps Checklist.

    • Department: Note the department on the Initial Steps Checklist, and select the correct one from the drop-down menu.

  7. Ignore the "Submit: Uploaded Files" screen and click the "Next" button to take you to the next screen.

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  8. The "Submit: Verify Submission" screen will have all the fields from the previous screens. Verify that all the information is correct. If something is wrong, click on the "Correct one of these" button, and it will return to the screen where you need to make corrections. Once changes have been made, click the "Verify" button. This will take you back to the "Submit: Verify Submission" screen. Review the information again, make sure everything is spelled correctly, and if it is all correct, click on the "Next" button to take you to the next screen.

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  9. At the bottom of the "Perform Task" screen select the "Approve" option to send it on to quality control queue.

    ETD Approve Button

Cataloging, Part 3: Quality Control in BearDocs

  1. Login to BearDocs.

  2. Find the author in the "Submitted By"; column on the right side under "Tasks in the Pool." Click on the "Take Task" button next to the author's name on the right.

  3. Scroll to the bottom of the page and click on the "Accept This Task" button. On the "Perform Task" screen there will be 4 choices to choose from at the bottom of the page:

    1. Commit to ArchiveONLY click on this button when you have finished quality control checking of the ETDs or Projects.

    2. Edit Metadata – Click on this button to edit the ETD or Project.

    3. Do Later – Click on this if you cannot edit the ETD or Project right away. It will put the ETD or Project in your "Owned Tasks" to do later and no one else can claim it.

    4. Return Task to Pool – Click on this if you have decided not to catalog the ETD or Project. This is important because if you decide not to catalog, clicking this button will return it to "Tasks in the Pool" for someone else to claim and catalog it. NOTE: If you do this it will email everyone letting them know that a new ETD or Project has been submitted. Once that email has been sent, notify everyone that the ETD or Project is not new and has only been returned to the "Task in the pool."

  4. Click on the "Edit Metadata" button.

    ETD Edit Metadata

  5. First assign name authority headings to the author and advisor.

    • Check in OCLC Connexion to see if there are any name conflicts.

    • If name in email address is different from the name given on the abstract page, give to the Catalog and Database Maintenance Librarian.

    • Remove designations like Jr., Sr., III, from names unless it is needed to break a name conflict. Rule: AACRII 22.19

    • Qualify a name only when it needs to break a name conflict. For example, you might need to create a fuller name by qualifying initials (ex. Smith, T. Jones (Thomas Jones)). Rule: AACRII 22.18

    • Check these additional places if more personal information about the author's name if needed: Baylor directory and website and BearDoc's author field.

    • Send the ETD Author Personal Information Request Form (EAPIRF) if more personal information is needed to break a name conflict, and be sure to cc the Catalog and Database Maintenance Librarian. NOTE: This form will also be used for Projects.

      ETD EAPIRF

    • If the author's name is still problematic give to the Catalog and Database Maintenance Librarian to resolve.

  6. Next fix any problematic diacritics in the title, author, advisor, and abstract fields. Save changes and make sure the changes have occurred.

  7. Skim through all the information on the "Verify" page to make sure everything is correct and click "Next" and hit the "Do Later" button at the bottom of the page.

  8. Lastly, put author, advisor, title, department, degree, and access information in the GoogleDoc spreadsheet that keeps track of permissions.

  9. Archiving ETDs & Projects. Once graduation has occurred you can archive the ETDs and Projects.

    • Commit to Archive

      • ETDs and Projects that are Open Access (OA) or No Access (NA) CANNOT be committed to the archive until you have set a date with the Analyst Programmer for Library Systems to lock them down (permission form for the OA ETDS and Projects is the only item that is locked down). Until a date has been set, click on the "Do Later" button and keep them in your "Owned Tasks."

        • Once a date has been set, login to BearDocs.

        • Set up a new email message to be sent to the Analyst Programmer for Library Systems.

        • Go into your "Owned tasks" and click on the "Perform This Task" button for each ETD and Project individually.

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        • Commit each ETD and Project to the archive and copy the handle provided on the "Thank You" page and paste it into the GoogleDoc spreadsheet for each ETD and Project.

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        • When all the ETDs and Projects have been archived, paste the GoogleDoc spreadsheet (author, title, date, department, handle) into an email message to the Analyst Programmer for Library Systems.

        • The Analyst Programmer for Library Systems will lock the ETDs and Projects down and will send an email back to the Metadata & Catalog Librarian notifying them that they have been locked.

Cataloging, Part 3: Transform into MARC

Transform ETDs and Projects from Dublin Core to MARC.

  1. The Metadata & Catalog Librarian will email the Analyst Programmer for Library Systems and ask him/her for a XML file of the ETDs and Projects that were recently cataloged.

  2. The Metadata & Catalog Librarian will review the XML file sent by the Programmer for diacritic issues and other problems. If there are problems, the Metadata & Catalog Librarian will login to BearDocs and make corrections. Once the corrections have been made, they will ask the Programmer to resend the XML file.

  3. Once the XML file is deemed okay, the Metadata & Catalog Librarian will run the XML file through the DC-MARC script program. If there are issues, they will make corrections and send a report to the Senior Systems Analyst to make corrections to the programming script.

  4. The Metadata & Catalog Librarian will review and edit as necessary the converted MARC UTF-8 file and then send it to the Catalog and Database Maintenance Librarian to proof. NOTE: Make sure that the name authorities are formed correctly and that they have the correct MARC subfields. Also check titles that start with definite/indefinite articles to make sure the MARC indicators are correct. Lastly check diacritics, punctuation, and spacing and correct if needed.

  5. After the MARC UTF-8 file is deemed fine, the Metadata & Catalog Librarian will run the MARC UTF-8 file through the diacritics script program to convert the file to a MARC MARC-8 file.

  6. Once the MARC MARC-8 file has been created, the Metadata and Catalog Librarian will proof the file.

  7. When the file has been finalized, the Metadata and Catalog Librarian will convert the MARC MARC-8 file into a raw MARC file format (.mrc), and email it to the Senior Systems Analyst who will FTP it to OCLC.

  8. Once OCLC has notified us that the ETD and Project records are ready for downloading, the Librarian will download the records from OCLC Products & Service website into a .bin file, which will be converted into a .mrk file (readable MARC).

    • Go to the OCLC Product Services website: https://psw.oclc.org/

    • Click on the "Records and reports" button in the left navigational panel.

      ETD_OCLC-PS

    • Click on the "All records and reports" link, and login in using your Connexion user authorization code and password.

      ETD_OCLC-ARR

      ETD_OCLC-Login

    • Scroll to the bottom of the "OCLC Batch Services records and reports"/"Records" section, and look for the file that has the exact file name as the text file attachment in the Batchload Processing Summary for IYU Project email (Ex. D110103.R353639). Once you have found the correct file, click on the "download" link next to it.

      ETD_OCLC-BSE

      ETD_OCLC-BSR

    • Next save the .bin file to Desktop/ETDs/Semester.Year/OCLC. Then click on the "Close" button.

    • Open up MarcEdit and convert the .bin file into a readable .mrk file that replaces the already existing one in the OCLC folder.

    • Next convert the readable .mrk file back to a raw MARC .mrc file that will replace the already existing one in the OCLC folder.

  9. The Metadata and Catalog Librarian will take that .mrk file and the MARC UTF-8 file and run both files through the parsing program which will strip out the necessary MARC fields in both the OCLC .mrk file and the MARC UTF-8 file to create a new MARC UTF-8 file.

  10. Metadata and Catalog Librarian will proof the MARC UTF-8 file, and will then convert it into a raw MARC file and will send it to the Catalog and Database Maintenance Librarian who will review and download the records into BearCat.

revised 3/9/2011