Yale Dissertations: Guidelines for Cataloging Archival Copy on Orbis

For: Catalog Dept. Liaison and processing staff
By: Steven Arakawa
Date: (4/01/03 creation date/ 04/04/2003 1:47 PM revision date)

After ProQuest (formerly UMI) has microfilmed and returned the Yale dissertation to Mss&A, and after Mss&A. has had the dissertation bound, Mss&A staff route the bound dissertation to the Catalog Dept. As appropriate, Cat. Dept. staff create the Orbis record for the archival copy or add the archival copy as an additional copy statement to a previously cataloged Orbis record.


1. Search Orbis by title to make sure a full or minimal-level cataloging record has not already been entered. (Records for science libraries are often created in Orbis before we receive the list. The authority checking for the author may be done as well at this time.) OCLC and RLIN are not searched.

2. If a full or minimal level record is found, follow instructions at the end of this document for adding copy statements.

3. If an in-process record is found for the title, create a NEW record in Voyager. (Because a copy of the in-process record will require extensive editing, it is simpler to create a new record and copy/paste the 100 and 245 data from the in-process record to the new record).

Click on the NEW icon (the first icon on the toolbar) to open a copy of the template. The template should look like this.

If it isn't, follow the instructions in the box.

  • Click on Options->Preferences. Click on the Folders/Files Tab. Under Templates check the BIB: box. The path should be

    c:\voyager\catalog\template\preliminary templates\preliminary diss lsf.tem

    Use your right arrow key if you can't see the entire path.

  • If the template is not PRELIMINARY DISS LSF.TEM, click on the ellipses button to the right of the BIB slot. The Preliminary Records Template window will open. Double click on PRELIMINARY DISS LSF.TEM. This will change the default template and reopen the Session Defaults and Preferences window/Files/folders. Click the OK button at the bottom of the window to save the new default.

4. LEADER TEMPLATE. There is nothing to update in the leader template. Note that the encoding level is 7 for minimal level standard. All descriptive fields and the 100 field follow AACR2 and the LCRIs.

5. 008. Update Date 1 to match the date used in 260. Change Illustrations 1 to a if there are illustrations.


a. Transcribe the author to the 100 field (or copy/paste from the in-process record)

b. Transcribe the title and statement of responsibility to the 245 field. (or copy/paste from the in-process record) Update the filing indicator.

c. Update the 260 field to match the date on the thesis. Add a copyright c if there. Dates for theses are not bracketed.

d. Transcribe the physical description to the 300 field.

e. Update the date of the thesis in 502 to match the item in hand

f. For more detail, consult VARIABLE FIELDS: ADDITIONAL NOTES.


7. Save the record to the Orbis database by clicking on the Sailboat icon on the toolbar.

8. Click on the SEND button on ExportQ. OCLC, RLIN, and MARS should all be checked.

9. MFHD.

  • Location must be 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. 
  • LSF software will flip the 852 $b from smlmss to lsfmssr after the item is received. NOTE: entering lsfmssr at the time of cataloging will throw off the LSF flip program, so DO NOT USE lsfmssr


852 _ 0 ‚b smlmss

10. Attach a SINGLE-SIDED barcode to the UPPER LEFT HAND CORNER of the FRONT COVER. Use it to create an item record for the volume.

To create an item record on Voyager: Record>Create Items.  Item type is: lsfr


11. Check work in Webpac.


12. Route volume to the LSF transfer room in SML. Item is not charged.


100 field.

1. If 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.

100 1 _ ‚a Smith, John L., ‚d 1968-

When authority verification takes place, make sure the heading is not creating a split file or is conflicting with another heading.

245 field.

1. Correct any title discrepancies in subfields a & b if you copy/paste from the in-process record; the title page is authoritative. (The source for the title on the preliminary record is the Registrar's list; this is not an authoritative source.) Enter any missing diacritics. If there is a "‡h [microform]" delete it. Make sure the capitalization follows AACR2. Check with your supervisor if you have questions about diacritics, capitalization, or what to transcribe.

2. Statement of responsibility is mandatory for E/L 7. Transcribe after / ‡c. If a phrase of the type "A dissertation submitted to the Graduate Faculty of Arts & Sciences, Yale University by Father John L. Smith" appears on the title page, transcribe only "by John L. Smith." (Note that religious titles, etc. are not transcribed.) There should be a period at the end of the field.

245 1 0 ‚a Japanese rap music : ‚b an ethnography of globalization in popular culture / ‚c by Ian Condry.

300 field

‡a subfield: transcribe the number of the last numbered page or leaf, and indicate whether pages (text on both sides) or leaves (text on one side only) with either p. or leaves.

300 _ _ ‚a 412 leaves

300 _ _ ‚a 314 p.

Subfield ‡b (illustrations) is not required, but OK to transcribe. Be sure to update 008 if illustrations are recorded, and if they are in color.

300 _ _ ‚a 314 p. : ‚b col. ill.

300 _ _ ‚a 412 leaves : ‚b ill. (some col.)

Subfield ‡c (size) is not required, but should be recorded, following semicolon subfield c. Record the height in centimeters (abbreviated cm.) Archival copies are generally a standard 29 cm. in height.

300 _ _ ‚a 412 leaves :‚b ill. (some col.) ; ‚c 29 cm.

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.

300 _ _ ‚a 2 v. ; ‚c 29 cm.

300 _ _ ‚a 2 v. (985 leaves) ; ‚c 29 cm.



If another copy* of the dissertation has already been cataloged at full, core, or minimal-level, add the Mss&A archival copy as an added MFHD. On the bibliographic record, add a 590 note. (It should be the first note)

590 _ _ ‚a SMLMSS: Archival copy. Patrons must use film available in Microtext Room.

*Do not consider cataloging for a microform version to be a copy.

If the dissertation was cataloged at minimal-level as is sometimes done by departmental libraries,  check for the following and update if necessary:

  • LEADER: Verify that Type of record is t (NOT a); update if necessary; change Encoding Level from 5 to 7 <minimal level cataloging standard>

  • 008: If necessary, change any "pipes" to blank from the following fixed fields: Date 2 and all fixed fields between Illustrations and Conf Publication. If the prelim. record has Form of item:a, change to: <blank>

  • 008: Enter code 0 <zero> in the following fixed fields: Conf Publication, Festschrift, Literary Form, Index

  • VARIABLE FIELDS: Make sure there is an 040 CtY$cCtY; review the 100, 245, and 300 fields: see instructions under  VARIABLE FIELDS. Additional Notes above.

  • VARIABLE FIELDS. Review also the 260 field and make sure it has been entered in $c <NOT $a> and that it matches the date in 008.

  • VARIABLE FIELDS. The 590 fields should precede all other note fields. Do not delete any 590 field entered by the departmental library. Add a 590 for SMLMSS as instructed above.

  • VARIABLE FIELDS: Review the 502 field and make sure it follows the form used in the template:


502 _ _ ‚a Thesis (Ph. D.)--Yale University, Department of Chemisty, 2002.


502 _ _ ‚a Thesis (Ph. D.)--Yale University, 2002.

If another copy of the dissertation is received by the Catalog Dept., that copy will be added as a second copy to the Orbis record created by Mss&A.

The record may be updated to full or core level by Catalog Dept. staff when the additional copy is added if the minimal Mss&A copy is the first copy. In any case, a 590 note will be added to record any physical differences between the archival copy and the added copy.















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Contact: steven.arakawa@yale.edu
Last updated: < 04-Apr-2003 1:47 PM --> -->
URL: http://www.library.yale.edu/cataloging/Orbis2Manual/dissmicrovoyager.htm