Overview: General TS Processing Workflow

Scope: this workflow is limited to Yale print and microfilm dissertations submitted to the Graduate School of Arts and Sciences (GSAS) prior to 2022.

In 2022, the Yale Library ceased to acquired print and microfilm dissertations. Instead, three electronic versions are preserved. One is preserved in Preservica; one is distributed through EliScholar, and one is published by ProQuest. Contact Timothy Thompson for information about processing Yale’s electronic dissertations and thesis.

The GSA archival print dissertations are “owned by” Manuscripts and Archives. The microfilm copies are part of the general YUL microform collection. Separate bibliographic records were created for the archival copy and the microfilm copy. Both bibliographic records were exported to MARS and to OCLC. If uncataloged print and microfilm dissertations are found, they should be cataloged as they have been in the past, following instructions in this documentation.

Bibliographic records for Yale dissertations in this workflow are cataloged at minimal level (encoding level 7). At the request of some school and departmental libraries, full-level cataloging is sometimes performed by general TS for GSAS theses in printed form for their collections. Publication status for reproductions of theses depends on the cataloging rules applied at the time.

Non-GSA Yale dissertations and dissertations from other schools are processed through the standard cataloging workflow.

Yale Dissertations: Archival Copy

Search, Derive, or Create the Bibliographic Record

1. Search Alma by title to make sure a full or minimal-level cataloging record has not already been created. (Records for science libraries were often created in Voyager before we received the list.)

2. Under RDA, consider the archival dissertation as separate from its copies. If a full or minimal level record is found for a copy at another library than MSSA, do not add the archival dissertation to the record for the copy as an additional holdings record. Instead, derive a new record for the archival copy. Change the 260 or 264 tag to 264 _0 and the Leader, Type of Record, to "t" (manuscript language material). If the record is a full level record, subject fields and added entries may be copied to the record for the archival dissertation.

3. If no record is found, search Worldcat via OCLC Connexion or WorldShare Record Manager to see if a record exists. If one exists, use it to derive the archival copy.

4. If no record is found, create a new minimal Worldcat record.

Leader

The following values should be selected in the leader:

Type of record: t - Manuscript language Material

Bibliographic Level: m - Monograph/Item

Type of Control: [blank] - No Specific type of control

Encoding Level: 7 - Minimal level

Descriptive Cataloging Form: i - ISBND punctuation included

008 Fixed Length Data Elements

The following values should be selected or recorded in the 008 field

Publication status: s - Single known date/probable date

Date 1/Beginning Date of Publication: record date the dissertation was submitted

Place of Publication: to help with retrieval, record ctu even though the archival dissertation is considered unpublished.

Contents 1: m - Theses

Language: eng - English

Cataloging source: d - Other

Variable fields

Record the following fields:

040 __ $a YUS $b eng $e rda $a YUS

100: Main entry personal name

• Search the NACO authority file to determine whether the name has been established. If it does, use the form established: 100 1_ $a author’s access point, $e author.

• If the author’s name is not established, and the author's birth date is available on a vita or other form at the beginning or end of the thesis, add it to the 100 field in subfield d whether or not there is a conflict. If the date ends in a hyphen, delete the comma preceding the relationship designator in $e: 100 _1 $a author’s access point with $d birth date- $e author.

245 Title statement: $a : $b / $c

• Transcribe the title proper ($a) and other title information ($b) as found on the title page of the dissertation.

• Make sure the filing indicator (second indicator) is set correctly if there is an initial article.

• Use either the capitalization as found or capitalized according to the original RDA Toolkit appendix A.

• It is not necessary to supply diacritics if they do not appear on the source.

• If there are errors, transcribe them as found without [sic]. If necessary, make a 246 1_ with the corrected title

• For chemical and mathematical symbols, refer to the LC-PCC Policy Statements in the RDA Toolkit, section 1.7.5. Signs and Symbols. See especially section 4. (infinity symbol and other symbols with known verbal equivalents), section 5. (where the verbal equivalent is not known), and section 6. (where the symbol is in the ALA character set but must still be spelled-out in brackets).

• Record the statement of responsibility (the author’s name) as presented on the title page. If the statement of responsibility is not on the title page, you can take it from elsewhere in the item where the name is presented formally.

• If the author name only appears in a phrase of the type "A dissertation submitted to the Graduate Faculty of Arts & Sciences, Yale University by Father John L. Smith," transcribe the phrase exactly as found, including the religious title.

• Transcribe abbreviations as found, but do not supply abbreviations. 

• There should be a period at the end of the field.

264 Production statement

• The second indicator should be 0 since the thesis is considered to be unpublished (no place of production/name of producer is needed): 264 _0 $a [New Haven, Connecticut] : $b Yale University, $c date of publication.

• Enter the date based on the copyright date or the date the degree was granted, whichever date is earlier.

• Do not record the copyright date in 264 _0.

300 Physical description

• Transcribe the extent, that is the number of the last numbered page or leaf in $a.

• Indicate whether the sheets are numbered as pages (text on both sides) or leaves (text on one side only) with either pages or leaves: 300 $a x pages or 300 $a x leaves.

• If the dissertation is in more than one volume, record the number of volumes instead. If the multivolume set is paged continuously, record the pagination in parentheses. Otherwise, just record the number of volumes. Under RDA, volumes is no longer abbreviated: ex. 2 volumes (450 leaves)

• It is not required to indicate illustrations in 300 $b if they are recorded, be sure to update 008. Do not abbreviate color or illustrations.

• Record the height of the dissertation in centimeters (cm is no longer considered to be an abbreviation, so leave out the period). Yale archival copies are generally a standard 29 cm in height.

336 Content type

• Record 336 __ $a text ‡b txt $2 rdacontent

337 Media type

• Record 337 __ $a unmediated $b n $2 rdamedia

338 Carrier type

• Record 338 __ $a volume $b nc $2 rdacarrier

380 Form of work

• Record 380 __ $a Dissertations, Academic $2 lcsh

502 Dissertation note

• Record 502 __$a Ph. D. $c Yale University $d 2015.

655 Genre/Form term

• Record 655 _7 Academic theses. $2 lcgft

710 Added entry corporate body

• Record 710 2_ $a Yale University, $e degree granting institution.

Produce the New Record and Export it to Alma

• Add the newly created record to the WorldCat database and set our holdings.

• Export the record to Alma.

• Add a local note to record the department where the student did his doctoral studies.

• Add the following local note:

Create the Holdings Record

• Even though all GSAS Dissertations are sent to LSF, the collection (852 $b) must be set to $b bein and the shelving location ($c), to smlmss.

• No call number is entered; no first indicator is entered.

• Use second indicator 1 if there are multiple volumes. In that case, create an 866 if volumes need to be recorded. 

• The collection and shelving location will be flipped to $b lsf and and $c lsfmssr by the system when the system is accessioned in LSF.

• NOTE: entering lsfmssr at the time of cataloging will throw off the LSF flip program. Therefore, do not enter lsfmssr.

Create the Item Record

• Affix the barcode to the front cover of the archival copy (or to the front cover of its container).

• Create an item record following regular procedures to create item records. See Item Record Fields

Example: Archival dissertation

Yale Dissertations: Added Copies

• Under RDA, consider copies (photocopies of dissertations) as separate from the archival dissertation.

• Catalog following the provider-neutral guidelines described in LC-PCC PS for 1.11.

• Clone the record for the archival dissertation in OCLC Connexion or WorldShare Record Manager.

• Keep all information in the record for the original dissertation, including the encoding level in the leader, the dates in the 008 field and the 264 field.

• In the 008 field, select the value “r” for the form of item (byte 23) to indicate the record describes a reproduction.

• Add $e pn to 040:

• Add the following 533 field:

• If cloning a record from the record of the archival dissertation, add the following note:

Produce the New Record and Export it to Alma

• Add the newly created record to the WorldCat database and set our holdings.

• Export the record to Alma.

• Add a local note to record the department where the student did his doctoral studies. You can copy the local note from the Alma record for the archival dissertation.

Create the Holdings Record

• Follow regular procedures for the library that owns the copy of the dissertation. A call number may need to be created.

• If the copy belongs to MSSA, do not use a call number and send the item to LSF.

• Use second indicator 1 if there are multiple volumes. In that case, create an 866 if volumes need to be recorded. 

• The collection and shelving locations of items sent to LSF will be corrected by the system when items are accessioned by LSF.

Create the Item Record

• Create an item record following regular procedures to create item records. See Item Record Fields

Yale Microfilm dissertations

For instructions to catalog microfilm dissertations, see https://yalelibrary.atlassian.net/wiki/spaces/CAY/pages/111969107