Overview: CMS Processing Workflow
Scope: this workflow is limited to Yale dissertations submitted to the Graduate School of Arts and Sciences. The archival copy is located at Manuscripts and Archives. The microfilm copy is part of the general YUL microform collection. Separate bibliographic records are created for the archival copy and the microfilm copy. Both bibliographic records are exported to MARS and to OCLC.
The Yale community has access to the digitized version of the dissertation via ProQuest, but CMS does not create a separate bibliographic record for the digital version in Orbis, although notes alert the user to the existence of the online copy. For recent dissertations, records for the online version are batch-loaded records derived from ProQuest data rather than YUL cataloging. Unlike the archival & microfilm copies, the records for the online version include the author's abstract.
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 CMS for GSA theses in printed form for their collections. Publication status for reproductions of theses depends on the cataloging rules applied at the time.
GSA theses assigned full cataloging, non-GSA Yale theses, and theses of other universities are processed through the standard CMS cataloging workflow.
Historical note: In the original Yale dissertation workflow, a preliminary record was created to represent the thesis while it was being digitized and microfilmed at UMI, and was then used as the basis for the archival copy record. In the current workflow, the bibliographic record is not created until it has been delivered to Catalog and Metadata Services (CMS).
After microfilming and digitizing, ProQuest (formerly UMI) sends the archival copy of the thesis to MSS&A, and the archival copies are sent for binding.
- When the archival copies have been bound, MSS&A delivers them in batches to Catalog and Metadata Services (CMS) for minimal level cataloging.
- A record for the archival copy (E/L 7) will generally be created by a CMS C&T staff member. The record will follow the Guidelines for cataloging the archival copy of the Yale dissertation.
- If a fully cataloged record has already been created by another unit, a separate record will be created for the archival dissertation and a linking note will be added to the catalog record of the copy. If necessary, the bibliographic record will be upgraded to follow the standards of the Guidelines.
- The location entered by CMS staff will be smlmss, but no call number will be assigned. (LSF software will flip the location from smlmss to lsfmssr upon receipt if the copy is sent to LSF)
- After cataloging, the record will be exported to MARS and subsequently to OCLC with other records cataloged in Orbis.
- The record will NOT be suppressed in the OPAC.
- CMS staff will affix a barcode to the front cover of the archival copy (or to the front cover of its container) and create an item record linked to the barcode and the MFHD. The newly created item record will not be charged or discharged by CMS staff. Upon completion, CMS staff notify MSS&A staff for pick-up.
After microfilming, ProQuest sends a positive microfilm copy of the thesis to MSS&A.
- When MSS&A receives notice from CMS that the set of all archival copies for the semester have been cataloged, their staff send the microfilm reels in batches to the CMS staff for minimal level cataloging.
- CMS staff upgrades the preliminary record to EL/7 or higher using the cataloging for the archival copy as the source for the bibliographic description. The description is adjusted to account for microform format according to Guidelines for cataloging microfilm copy.
- A sequential number is assigned using the Cataloging Accession Tool (recommend using IE for browser)
- After the call number has been assigned, the record for the microfilm is exported to MARS. The call number is written in pencil on the box containing the reel, and the boxes are left for pick-up by Microtext staff on the designated CMS shelf. An item record is not created by CMS staff. Microtext staff create the label using the call number written on the box.
3.4.2 Descriptive Cataloging of Theses and Dissertations
This policy delineates cataloging practice for describing unpublished academic theses issued by BYU or other institutions. The term thesis here should be understood to designate all types of academic dissertations, field projects, research papers, honors theses and other papers written to fulfill requirements for a degree or other scholastic recognition. This policy does not apply to published editions of works originally presented as theses. For copies of theses and dissertations issued by a non-academic agency such as University Microfilms International, see also the policy on Facsimiles, Photocopies, and Other Reproductions (3.4.1).
AACR2 and LCRI, chapters 2 and 4 (specifically, 1.7B13, 2.7B13, 4.7B13, and 4.4B1)
USMARC Format for Bibliographic Data: Books, fields 06, 008/15-17, and 008/24-27
Maxwell, Robert L. Maxwell’s Handbook for AACR2R. Chicago: American Library Association, 1997. p. 102-103, p. 153-154.
CSB 118.8 (Summer 1976)
Academic theses are actually manuscript books. On the one hand, they are unique, unpublished materials; on the other, they are in the form of a book. Because of this dual nature, we need to apply cataloging rules pertaining to manuscripts (AACR2 chapter 4) and books (AACR2 chapter 2).
We describe typescripts of academic theses and copies thereof according to the rules for manuscripts (AACR2 chapter 4). For theses, these rules result in similar descriptions as do the rules for books, with one notable exception – the publication area (260 field). Because theses are generally unpublished materials, they are given only the date of the manuscript, with place and publisher being omitted.
Correspondingly, the particular fixed field codes that reflect the description are as follows:
Type of record: t (= manuscript language material)
Unicorn = Rec_Type
RLIN = DCF
Bibliographic level: m (= monograph)
Unicorn = Bib_Lvl
RLIN = BLT
Place of publication, production, or execution: xx (= no place, unknown, or undetermined)
Unicorn = Ctry
RLIN = CP
Nature of contents: m (= Theses)
Unicorn = Cont
RLIN = CON
The 502 field is used to record the details of the thesis. This is done by using the term “Thesis”qualified by the type of degree (M.A., Ph. D., etc.), the name of the university (followed by the name of the department for all BYU theses), and the date the degree was granted. (See example below.)
Please note that Ph. D. is used with a space between the Ph. and the D. (LCRI 1.0C)
Please note also that in a thesis revised for publication, a 500 note is used rather than a 502, with somewhat different wording.
500: : Originally presented as the author’s thesis (Ph. D.–Indiana University, 1980).
500: : Originally presented as the author’s thesis (M.A.–University of Utah, 1995) under title: __________.
For theses to which conventional abbreviations do not apply, the term “doctoral” or “master’s” may be used.
502: : Thesis (doctoral)–Universität Heidelberg, 1998.
502: : Thesis (master’s)–Universidad de Madrid, 1990.
For BYU research papers (i.e., field projects, honors theses, marketing research projects, etc.), we will use a 502 field to indicate the type of research paper, qualified by the degree (if applicable), Brigham Young University, the specific department of the University (if applicable), and the date the paper was produced (date in 260 field).
Examples of currently used terminology:
502: : Honors Project–Brigham Young University, 2001.
502: : Marketing research project–Brigham Young University. Marriott School of Management, 2000.
502: : Closure Project (B.I.S.)–Brigham Young University. Dept. of Independent Study, 1999.
502: : Project (M.S.)–Brigham Young University. Dept. of Nursing, 2001.
Please be aware that older BYU records may have used different terminology, punctuation, spacing, and capitalization, as well as different tags to convey information of this type. Some records may have used a 500 field transcribing exact wording from the title page – e.g., “Submitted to Brigham Young University in partial fulfillment of graduation requirements for University Honors.” Others may have used various terms to denote a research paper for University Honors — e.g., Honors Project (B.A.); Thesis (Honors); Thesis (University Honors); University Honors; “A University Scholars Project.” Still other records may have omitted the date. For older records, we will attempt to standardize the tagging (using a formal 502 field) as time and resources allow.
For future records, the expectation is that catalogers apply the terminology and punctuation used in the examples above and that they follow the guidelines specified in this policy.
IV. EXAMPLE OF BYU MASTER’S THESIS
Rec_Type: t Bib_Lvl: m Enc_Lvl: Desc: a
TypeCtrl: Entrd: 920908 Dat_Tp: s Date1: 1992
Date2: Ctry: xx Lang: eng Mod_Rec:
Source: d Illus: a Audience: Repr:
Cont: bm GovtPub: a ConfPub: 0 Festchr: 0
Indx: 0 Fiction: Biog:
040: : UPB|cUPB
100:1 : Richards, Thomas D.
245:14: The bacterial ferritin of azotobacter vineland ii : |biron release kinetics and extended X-ray absorbance fine structure studies /|cby Thomas D. Richards.
260: : |c1992.
300: : vi, 90 leaves : |bill. ;|c28 cm.
502: : Thesis (M.S.)–Brigham Young University. Dept. of Chemistry, 1992.
504: : Includes bibliographical references (leaves 86-90).
650: 0: Ferritin.
650: 0: Azotobacter.
650: 0: Extended X-ray absorption fine structure.
655: 7: Dissertations, Academic.|2lcsh
V. ELECTRONIC THESES AND DISSERTATIONS
3.4.17 Electronic theses and dissertations (ETDs)
VI. RELATED POLICIES
3.4.3. Facsimiles, Photocopies, and Other Reproductions
4.6.0. Classification of BYU Theses and Dissertations
Maintained by: Chad Parker
Last Updated: August 2014
Last Modified: October 15, 2014