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NOTE: Due to workflow changes involving the implementation of Folio, this procedure is currently in process of being edited and parts re-written. If you have any immediate inquiries/questions regarding print copy theses, please contact  Pam Stansbury or Heidi Kotun Dawes

Overview: This document outlines the processes that the Library Technical Services staff (LTS), perform when handling Cornell theses, dissertations, specialty theses and project reports.   LTS staff process archival copies for the Annex, as well as  90 % of theses are generated through the Graduate School in Caldwell Hall, providing an electronic, and a print copy edition. LTS processes both the electronic and print circulating copies for the unit libraries, which support the study of each discipline, with the exception of the Law library (See Thesis Classifications).   In most cases, a link to an electronic edition will also be available in the online catalog.  If a thesis includes an approval page with signatures of the author and their professor(s), the archival copy will be the one containing the original (non-photocopied) signatures.   Most dissertations now arrive with electronically-generated approval pages, however, which lack printed names or signatures.  In these cases, there’s no difference between the circulating and archival copies.  If a misplaced dissertation agreement form is discovered with a thesis, it should be forwarded by Campus Mail to the appropriate Graduate School staff in Caldwell Hall.  Additional notes in this procedure will address the general submission process, as well as how theses are received and sorted.  The General Guidelines apply to theses and dissertations for libraries not named in the Special Cases section.

Contact:   Cynthia Rich, Peter DelaCuadra 

Unit:  Acquisitions

Date last updated: 03/17/15  

Date of next review: February 2016

General Guidelines               

. The other 10% are specialty theses provided by  a specific unit library, such as Fine Arts or Mann libraries. Once processed, the electronic version becomes available in eCommons, via a link in our online cataloged record. The Graduate School print copy is attached to the electronic bibliographic record and is distributed to the associated unit library for circulation. All specialty print copy theses and dissertations are handled on a per unit library basis.

Additional notes in this procedure will address the general submission process, as well as how theses are received and sorted.  The General Guidelines apply to theses and dissertations for libraries not named in the Special Cases section.

Contact:   Pam Stansbury, Heidi Kotun Dawes 

Unit:  Acquisitions

Date last reviewed: 03/15/2021

Date of next review: To be determined

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General Guidelines     

Thesis electronic record

        Editing

Adding print copy to electronic bibliographic record

Creating a Bib Record                              

Degree Abbreviations (502)                              

Template              

Creating a Holdings Record                                                       

Holdings Record for Archival Circulating Copy                     

Holdings Record for Circulating Copy              

Adding Copies

Shelf listingAdding Copies            

Creating the Book Cutter            call number            

Physical Processing   

 Special Cases               

 Theses for Fine Arts Library              

 Theses for Hotel Library                        

 Honors Theses for Hotel Library             

 Theses for Law Library   

 Theses for Mann Library        

 Theses for Music Library               

  Project Reports (Engineering Library)             

 Senior Seminar Papers (Veterinary Library) 

  Explanatory notes               

    Dual Degrees Degrees            

  Thesis/Dissertation Submission Process           

  Patron Access to Theses Prior to Cataloging/Binding

Embargo and Copyright Theses

 Distribution of Theses by Field of Study  Degree Program (arranged by field of studydegree program, A-L)

Distribution of Theses by Field of Study   Degree Program (arranged by field of studydegree program, M-Z)

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I. General Guidelines:

For project or library specific information, see Special Cases  

Double-check that the author is included on the appropriate list of Advanced Degrees Conferred (does not apply for Bachelor theses or project reports). If name is missing from list, refer to LTS Thesis Liaison for resolution with Graduate School office.

Insert appropriate location flyer in each volume, consulting Theses classifications list to determine which library will receive circulating copy, as well as the call number prefix.

Locate the bibliographic record for the Electronic edition in the database, if available, and upon verifying the accuracy of the content, create two additional Holdings records for the record: 1 for the archival, and 1 for the circulating copy.

For theses which lack a record for the electronic version in the database, create a new bibliographic record for it, and add the appropriate Holdings fields as stated above.  This will apply primarily to Bachelor's thesis, though there are other examples.

Create a new bibliographic record as well as two holdings records in the local database, one for the archival copy and one for the circulating copy.

Select cutter for both archival and circulating copies.Write appropriate call numbers with correct library location in each copy.

Add 866 fields to MFHD as appropriate for multi-part items. Creating/Updating Holdings    

Create item records, and add barcodes.

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Before creating a new bibliographic record, search for the author's name in Voyager. If found, use the established form as the heading. Otherwise, use the form of the name found on the title page. Add the author's birth date if it can be found easily (often in the biographical sketch page, usually on p. iii). If there is a conflict between an established heading and the form of the name found on the title page, e.g. a manifestation of two different forms of the name, or any indication of a name change, copy the source page(s), i.e. title page, approval sheet and/or biographical sketch, for resolution by Database Quality staff responsible for authority control. A new bibliographic record is created in Voyager by using the thesis template, which can be edited as appropriate to reflect changes in years or degrees. The following Leader values are supplied by the template and will not need editing.

• Record status = n (status will change to c automatically if a new record is derived from an existing record)
• Type of material = t
• Bibliographic level = m
• Encoding level = 7
• Cataloging form = i

Most values for 008 fixed fields are also supplied by the template. Date field will require editing; others remain the same.

• Publication status = s
• Date1=[year of publication]
• Place of publication = xx
• Illustrations = Select a code corresponding to the illustrative material in 300 |b
• Contents = b
• Contents = m
• Language = eng
• Cataloging source = d

Variable fields required if applicable:

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Example of a thesis bibliographic record in RDA format:

040 |a NIC |c NIC  

100 1 |a Blume, Maria, |e author.   

245 10 |a Discourse-morphosyntax interface in Spanish non-finite verbs : |b a comparison between adult and child grammars / |c by Maria Blume. 

264 |c [2013]   

300 |a xxxvii, 491 leaves : |b illustrations ; |c 29 cm.   

336 |a text |2 rdacontent   

337 |a unmediated |2 rdamedia  

338 |a volume |2 rdacarrier   

502 |b (Ph. D.) |c Cornell University |d August, 2013.   

504 |a Includes bibliographical references (leaves xx-xxi).   

948 0 |a 20140415|b i |d pd36 |e lts |h gift   

948 1 |a 20140415 |b s |d pd36 |e lts   

948 1 |a 20140415 |b l |d pd36 |e lts   

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Bachelor of Architecture–B.Arch.

Master of Architecture -- M.Arch.

Master of Arts -- M.A.

Master of Arts in Teaching -- M.A.T.

Master of Engineering -- M.Eng. (followed by the special field)

Master of Fine Arts -- M.F.A.

Master of Health Administration -- M.H.A.

Master of Industrial and Labor Relations -- M.I.L.R.

Master of Landscape Architecture -- M.L.A.

Master of Management in Hospitality -- M.M.H.

Master of Nutritional Science -- M.N.S.

Master of Professional Studies (African and African-American Studies)-- M.P.S.(A.A.A.)

Master of Professional Studies (Agriculture) -- M.P.S.(Agr.)

Master of Professional Studies (Communication) -- M.P.S.(Comm.)

Master of Professional Studies (Community and Rural Development) -- M.P.S.

Master of Professional Studies (Human Ecology) -- M.P.S.(Hu.Ec.)

Master of Professional Studies (Industrial and Labor Relations) -- M.P.S.(I.L.R.)

Master of Professional Studies (International Development) -- M.P.S.(I.D.)

Master of Public Administration -- M.P.A.

Master of Regional Planning -- M.R.P.

Master of Science -- M.S.

Doctor of Philosophy -- Ph. D.

Doctor of Musical Arts -- D.M.A.

Doctor of the Science of Law  J.S.D.

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Excel spreadsheets containing thesis related data are provided to staff, and student employees, for manual processing of print copy theses.

Using the instance HRID provided in the aforementioned spreadsheet, locate the bibliographic record for the electronic version in the Folio database, create additional holding record for the circulating copy in hand.

Select appropriate classification subject cutter for circulating copies and create corresponding author cutter. Write appropriate library location and and related call number in proper location of thesis. Insert appropriate location flyer in each volume; location is provided in aforementioned spreadsheet.

Add additional appropriate fields to holdings needed for multi-part items.

Add barcodes to item in hand and then Create item records

NOTE: For theses from Graduate School, that lack a electronic record version in our database of the print copy in hand, take print copy thesis to Thesis Coordinator.

For the majority of Ph.D. and Masters theses, electronic bibliographic records are created from metadata provided by Metadata Projects Librarian. Records are then imported into Folio by the Batch Processing and Automation Department in Library Technical Services. These electronic records are used to create and attach a holdings record that represents a physical print copy housed in the respective circulating library.

Due to how the thesis metadata is provided and processed, the electronic bibliographic records may need some minor editing prior to the creation and attachment of the holdings record representing the circulating library print copy. The editing of bibliographic records is sporadic and inconsistent ... meaning the editing of one bibliographic record may not be the same as the next. However, the types of edits seem to be relatively consistent. The majority of edits consist of punctuation, proper usage of upper and lower case lettering, illustrations or no illustrations, and/or deleting a specific field.

Create new holding for circulating location.

Add reproduction note to designate physical characteristics

Example of reproduction note:

 Print. Ithaca, N.Y. : c Cornell University, d 2017. | xii, 99 l. : ill. ; 29cm.

Add call number in appropriate location of holdings record

Example of call number:

Oversize Thesis PR15 2017 C833 +

If multi-vol, you will need to add a holdings statement in the Holdings details section to represent volume enumeration, supplemental material, and/or indexes

Example for multi-vol in Holdings statement:

v.1-2

Example for text with accompanying material, in Holdings statement, (two separate notes):

1 v.

CD-ROM <in pocket of text>

Since the dawn of Folio, (July 1, 2021), manually creating a bibliographic record for print copy thesis has been stopped.

However, for some specialty theses, such as those generated from Fine Arts library, another method of manually creating a bibliographic record has been developed. This method is described in more detail in the Specialty Cases topic.

Bachelor of Architecture -- B.Arch.

Bachelor of Regional Planning -- C.R.P.

Master of Architecture -- M.Arch.

Master of Arts -- M.A.

Master of Fine Arts -- M.F.A.

Master of Landscape Architecture -- M.L.A.

Master of Professional Studies (For all fields)

Master of Public Administration -- M.P.A.

Master of Regional Planning -- M.R.P.

Master of Science -- M.S.

Doctor of Philosophy -- Ph. D.

Doctor of Musical Arts -- D.M.A.

Doctor of the Science of Law -- J.S.D.

Types of extra parts or accompanying material: an extra volume(s), an errata, a CD-ROM, videodisc or sound disc. Again, this information is noted in the holdings statement of the holdings record.

As of 2017, additional copies of print copy theses are no longer being accepted. However, occasionally an extra copy can be added to a particular unit library, if a Selector has requested the extra copy be added to our catalog. With the exception of Fines Arts, archival print copies, (rmx,anx), are no longer accepted. However, there are occasional instances when an item can be added as an additional copy with (rmc,anx) location. If there is already another location of the print copy in hand, please seek counsel regarding adding another copy and/or adding to (rmc,anx). IF any items are added to (rmc,anx), the item status is to be set as nocirc.

All call numbers for CUL theses begin with the word "Thesis" as the first element. Circulating copies are classified with an LC-type call number cutter depending on the field of study. Classification subject cutters are supplied by Thesis Classifications . The classification subject cutter is followed by the year the degree is conferred. Use the LC Cutter Table to assign the author cutter for the author for each copy.

Examples of format how call numbers should be written in the book:

As stated in the Shelf Listing topic, all call numbers begin with the word "Thesis" as the first element. Outside of that first element, there are three parts to creating the correct call number for a thesis. The First portion is called the classification subject cutter, the second portion is the conferral year, and the third portion is identified as the author cutter. The parts of the call number are separated by a space. Example: Thesis TX295 2020 D453

The author's area of discipline, (degree program), is listed in the metadata provided by the Senior Assistant Librarian. The degree program is listed alphabetically in charts, A-L or M-Z. When you find the associated degree program in the correct chart, you will find the location the item will be sent to, and the classification subject cutter for the first portion of the call number.

The second portion of the call number is the conferral year of the thesis. This is the year the author had their thesis approved and signed.

Each thesis is shelf listed in such a way that the degree sits alphabetically with other degree recipients of that same year. For the third portion of the call number, you will use the LC Cutter Table to create the author cutter. The letter part of the cutter number is the first letter of the author's last name. Always use a three digit cutter to allow room for later degree recipients of the same year. Ensure that the cutter is unique, and to the extent possible, shelved alphabetically. However, don't recall theses to make adjustments to the alphabetical order within a given year. Assign a call number to each copy, taking care to write proper location in the book, as mentioned in the Shelf Listing topic.

Cataloged theses and dissertations should be placed on the appropriate Physical processing trucks located in the Physical Processing area. From there, the Physical Processing unit handles the proper labeling, tattle-tape if needed, and any other physical processing needs for theses. After physical processing is complete, all theses are routed to their corresponding unit library location.

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II. Specialty Thesis Cases

Single print copies are received as Seminar Papers from Veterinary Library, M.P.S. Project Reports from Mann Library, and Bachelor of Architecture, (B'Arch), Bachelor City Regional Planning, (C.R.P.), from Fine Arts Library. All Veterinary Seminar Papers are sent to (vet,anx) location. All M.P.S. Project Reports are sent to (rmc,anx) location, unless there is already an existing copy. All B'Arch and C.R.P. theses are sent to Fine Arts and the item status set to non-circulating. Double print copies are received as Masters of Architecture, (M'Arch), Masters of  Landscape Architecture, (M.L.A), and Masters of Regional Planning, (M.R.P.), from the Fine Arts Library. The first print copy is sent to Fine Arts with the item status set as non-circulating, and the second copy is sent to (rmc,anx), with the item status set to non-circulating.

College of Regional Planning honors theses (Bachelors C.R.P.):

fine NA 9002 [conferral yr.] [author cutter]

Item Status: non-circulating

Masters of Regional Planning theses (M.R.P.)

fine Thesis NA 9001 [conferral yr.] author cutter

Item Status: non-circulating

Bachelor of Architecture (B'Arch)

fine NA 38 [conferral yr.] [author cutter] 

Item Status: non-circulating 

Masters of Architecture (M'Arch)

fine Thesis NA39 [conferral yr.] [author cutter]

Item Status:  non-circulating

Master of Fine Arts (M.F.A.)

Master of Fine Arts, (M.F.A.) is no longer processed for Fine Arts Library. They are processed for Rare and Manuscript Collections, annex location.

rmc,anx Thesis [conferral yr.] [author cutter]

Item Status:  non-circulating

All Fine Arts theses have there own processing procedure and can be found at: Fine Arts thesis processing.

Exception: As stated above, M.F.A. theses are now cataloged under creative writing theses and critical or historical material, and are to be cataloged for rmc,anx location and treated as non-circulation. No classification subject cutter is necessary, (see above example).

Create a bib record, and process the archival copy according to the general guidelines above. Also, create an "In Process" holdings record for circulating copy:

852 8 0 |b hote |h In Process

Monographs written for Master of Management in Hospitality degree will have only one copy, and it will be cataloged as any other treatise for the Hotel Library. A thesis note (502) will be replaced by a general note (500).

One copy only (Circulating)

502 field: |a Honors thesis (B.S.)--Cornell University, School of Hotel Administration, (Season + Year)

852 8 0 |b hote |h TX911.2 H66 [yr.] [author cutter]

Send to Law Library, ATTN: Jackie Magognosc, where the processing of the circulating print copy is completed.

Flyer appropriately and include note with instance HRID.

All M.P.S.' are now being shelved in Rare and Manuscript Collection (rmc,anx)

Example of location holding and necessitating a public note in the holdings:

  rmc,anx H36.2 2013 .J34 |z Project Report Note: (M.P.S.(International Development))

Send to Music Library, ATTN: Kate LaVerne, where the processing of the circulating print copy is completed.

Flyer appropriately and include note with instance HRID.

Project reports for Masters in Engineering degrees will be processed similarly to Cornell theses, though there is only one copy and it will circulate.

These reports typically include a number of authors and therefore may have a title main entry. You should follow the guidelines for "rule of three" using a 100 field for the first author and 700 fields for others when the writing responsibility is shared by 1- 3 authors. If responsibility is shared by more than three authors, use a title main entry, include all authors in a 500 note, and provide a 700 field for each.

Instead of a thesis note (502), provide a general note:

500::Master of Engineering project report, Cornell University, [year].

Call numbers for project reports begin with "Project" instead of "Thesis", followed by the call number assigned for each discipline in the Cornell Thesis Distribution List. A decimal ".12" is added to this call number to differentiate project reports from theses and is followed by the year of conferral, and the book cutter:

|b engr |h Project T57.12 1998 C673  

There will be only a single copy of the senior seminar papers and it will not circulate.

Create a bib record according to the general guidelines above. In addition to the variable fields outlined, include the following fields as appropriate:

Series statement: (title page will vary)

490 1 |a Senior seminar

490 1 |a Senior seminar paper

490 1 |a Senior seminar presentation If there is nothing on the title page, bracket the series information: 490 1 |a [Senior seminar]

520 field (Summary)

Include an abstract (may also be found as the "introduction" at the beginning of the paper or "summary" at the end of the paper) in 520 field only if provided. Short paragraph (3-4 sentences) is generally OK in this field. Transcribe as given or edit for succinctness.

Subject access: Subject access will be primarily by title key word. When title does not include reference to the type of animal discussed or subject matter is not otherwise evident (summary may provide an indication of the adequacy of the title), generic LC subject headings should be added by the cataloger. Most senior seminar papers will not require 650s.

Examples of generic LC subject headings:

Dogs [or Cats, Horses, Cattle, Birds, etc.] |x Surgery |v Case studies.

Dogs [or Cats ...] |x Diseases |v Case studies.

Dogs [or Cats ...] |x Wounds and injuries |x Treatment |v Case studies.

Veterinary surgery.

Veterinary medicine |x Diagnosis.

Established series heading: 830 0|a Senior seminar paper (Cornell University. College of Veterinary Medicine)

Local series code:

899   |a vetsem

Create MFHD using Prefix "Seminar" and LC-like classification number SF610.1 to file immediately after theses for the Veterinary Library. Follow class number by conferral year and cutter number, using the LC Cutter Table to create the cutter. 

852 80 |b rmc,anx |h Seminar SF610.1 2002 G674 

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III. Explanatory Notes

On a extremely rare occasion, a student may receive two degrees using the same thesis for both. In this case, the record is created according to the general guidelines above with the exception of the 502 field, which should include both degree abbreviations. In this case 2 copies of thesis are received as usual, one for the circulating location and one for rmc,anx. Choose the call number by using the first degree listed in the book. For example, if the first degree listed is for a Master in Landscape Architecture (M.L.A.) and the second is a Master in Regional Planning (M.R.P.), assign the call number according to Landscape Architecture in the Thesis Distribution List under "City and Regional Planning." Landscape Architecture uses SB468 for call number and City and Regional Planning uses NA9001. Since the Landscape Architecture degree is listed first, use SB468 for the call number. Dissertation note:

502::Thesis (M.L.A. and M.R.P.) Cornell University, January 1999.  Masters in Landscape Architecture and Masters in Regional Planning

Cornell degrees are conferred three times a year: December, May, and August.  Most students submit theses electronically to the Graduate school, and upon conferral of the students’ degrees, the Graduate school posts the “Advanced Degrees Conferred” list online, showing the students’ names, thesis titles, and fields of study.  The Graduate School also sends electronic versions of non-embargoed theses to Proquest. The LTS Metadata Projects Librarian retrieves metadata from ProQuest, arranges metadata in CSV format and sends to the Thesis Coordinator. The Thesis Coordinator, in turn, processes metadata and creates new electronic bibliographic MARC records and imports those records into Cornell Library catalog. At the same time, ProQuest prints and sends print copy of each thesis to the LTS Thesis Coordinator.  Upon their return (usually within 8-16 weeks), the hard copies are processed by LTS staff and student employees for the collection. Since the electronic copies precede the paper copies in the database in most cases, (both for Masters and Doctorate theses), new print copy holdings are added and attached to the existing electronic resource records.  In a few cases, however, paper copies will be the only ones available to patrons.     

When the LTS Thesis Coordinator, is contacted by a patron or notified by Reference department that a patron wishes to see a thesis before it has been processed, ask for patron's contact information (name, phone/e-mail) so that you can provide information on the availability of the thesis. Check the latest list of Advanced Degrees Conferred for the author. If the author does not appear on the list, the degree has not yet been conferred, (meaning LTS may not yet have print copy on hand). If the author appears on the list, and we have the particular thesis awaiting processing, double check to see if the electronic copy does not have an EMBARGO, as the type of EMBARGO may effect circulation, (see note below). If the print copy thesis does not have a restricted EMBARGO, inform the patron and/or Reference staff of the situation and that the thesis can be provided for a viewing.  Once Reference and the patron have agreed on the viewing arrangements, the LTS thesis liaison will take the unprocessed thesis to the security desk of the Rare Books and Manuscripts Division in 2B Kroch Library, where the patron can view it in the secure reading room.  Standard viewing time frame is two weeks from date of request. Patron does have the option of requesting additional time. When the time frame has expired for the viewing period, the LTS thesis liaison will go to RMC and retrieve the thesis and return to LTS cataloging for further processing.

Occasionally, a student's thesis will have an embargo attached to it. It could be a planned publication or patent hold, or even just an author request hold. Information on the patent hold is included in the ProQuest metadata, and the Thesis Coordinator verifies that all requested patent holds are legitimate. In the case of patent holds, the thesis in question forgoes the standard thesis processing procedure. For theses with other embargo reasons, we don't delay processing. The thesis physical item is placed in storage with a copy of the appropriate notification, and the date of when the embargo ends. Current storage location is in Olin Library sub-basement or LTS Thesis Processing shelving/staging area. When the time frame of the embargo ends, the thesis will then be placed into regular workflow for normal processing. Embargo time frames typically extend 2 years from the conferral date. However, there is also a possibility that a thesis hold time may be extended beyond the typical two year hold; ProQuest staff will notify LTS, and/or the Graduate School of any embargoes that are extended.

If the thesis in question has already been catalogued, the item will need to be pulled from the circulating library and stored in the appropriate location. Then the associated holdings record will need to be suppressed and a holdings Note added to reflect the release date of the hold. Once the thesis has been released, the holdings record will need to be unsuppressed, the holdings Note removed and then returned to the circulating library.

Example: Note: Currently NOT available, on hold until after September 11, 2040