Yale Dissertation Workflow

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).

Archival Copy

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.

  1. When the archival copies have been bound, MSS&A delivers them in batches to Catalog and Metadata Services (CMS) for minimal level cataloging.
  2. 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.
  3. 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.
  4. 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)
  5. After cataloging, the record will be exported to MARS and subsequently to OCLC with other records cataloged in Orbis.
  6. The record will NOT be suppressed in the OPAC.
  7. 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.

Microfilm Copy

After microfilming, ProQuest sends a positive microfilm copy of the thesis to MSS&A.

  1. 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.
  2. 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.
  3. A sequential number is assigned using the Cataloging Accession Tool (recommend using IE for browser) 
  4. 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.
Effective Date: 
February 5, 2014