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 Peter DelaCuadra - Updated April 29, 2022, but still incomplete Heidi Kotun Dawes
Anchor A5 A5
Overview: This document outlines the processes that the Library Technical Services (LTS), perform when handling Cornell theses, dissertations, specialty theses and project reports. LTS 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). Theses generated through the Graduate School in Caldwell Hall, provide an electronic, and a print copy editionThe 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 catalogcataloged record. The Graduate School print copy is attached to the electronic bibliographic record and is distributed to the associated unit library for circulation. All other 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, Peter DelaCuadraHeidi Kotun Dawes
Unit: Acquisitions
Date last reviewed: 03/15/2021
Date of next review: To be determined
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Adding print copy to electronic bibliographic record
Holdings Record for Circulating Copy
Creating the Book Cutter call number
Honors Theses for Hotel Library
Project Reports (Engineering Library)
Senior Seminar Papers (Veterinary Library)
Thesis/Dissertation Submission Process
Patron Access to Theses Prior to Cataloging/Binding
Distribution of Theses by Field of StudyDegree Program (arranged by field of studydegree program, A-L)
Distribution of Theses by Field of StudyDegree Program (arranged by field of studydegree program, M-Z)
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I. General Guidelines:
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For project or library specific information, see Special Cases
Excel spreadsheets containing thesis related data are provided to staff, and student employees, for manual processing of print copy theses.
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For the majority of Ph.D. and Masters theses, electronic bibliographic records are created from metadata provided by Associate 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.
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Creating a Bib Record (no electronic bib record available) Anchor A2 A2
Before Since the dawn of Folio, (July 1, 2021), manually 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 LDR field 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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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.
Degree Abbreviations Used in the 502, Dissertation Note Field Anchor A2a A2a
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.
Template: With the exception of theses generated through Fine Arts library, the use of templates for creating bibliographic records for print copy theses, has been cancelled. Anchor A2b A2b
Creating Anchor A2c A2c
Example of a thesis bibliographic record in RDA format:
040 |a NIC |b eng |e rda |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).
700 1 |a Ceci, Stephen John |e thesis advisor
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.
Bachelor of Regional Planning -- C.R.P.
Master of Architecture -- M.Arch.
Master of Arts -- M.A.
Master of Fine Arts -- M.F.A. (**NOTE: All M.F.A. theses are now sent to rmc,anx)
Master of Landscape Architecture -- M.L.A.
Master of Professional Studies (For all fields) -- M.P.S.(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. (**NOTE: All D.M.A. theses are sent to Music Library for processing)
Doctor of the Science of Law -- J.S.D. (**NOTE: All J.S.D. theses are sent to Law Library for processing)
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Holdings record for circulating copy: Add the print copy to the library location that predominantly supports the instruction and research in the discipline of the degree of the thesis. Consult Thesis Classifications for the location and classification number for each degree program. The degree program of each graduate is given in the Advanced Degrees Conferred listDegrees Conferred list, (metadata provided by the Senior Assistant Librarian), which is then provided to the Thesis Coordinator. The call number for the circulating copy includes the word Thesis, the classification numbersubject cutter, the conferral year, and the author cutter. Most theses are 29 cm. Consult the Oversize Chart for each location. If the thesis has multiple parts, create an 866 field a holdings statement note in the holdings record and to indicate the scope, e.g. v.1-2. And 867 field for , or for other supplemental material, (includes accompanying material.) All accompanying materials must be marked with the call number, should they become separated from the main piece.Anchor A2d A2d
852 8 0 |b asia |k Oversize |h Thesis P30 2002 B586 |m +
866 4 1 |0 |a v.1-2
867 4 1 |0 |a CD-ROM |z <in pocket of text>
; this is handled by the Physical Processing department.
Types of extra parts or accompanying material: an extra volume(s), an errata, Item Status: book (for circulating copy). If the thesis has been bound in more than one volume, or if it has accompanying material like a CD-ROM, videodisc or sound disc, this information is recorded on the MFHD in 866 and 867 fields. The 866 is used for the basic bibliographic units of the thesis, and the 867 is for accompanying material. Use macros to add these fields. Insert an 866 field by putting your cursor at the end of the 852 and typing "6^^," Type "7&&" to insert an 867. Additionally the piece count should be added to the item record and the individual pieces in the note. For example: a regular 2-volume thesis, a typical 866 looks like this:
866:41:|8 0 |a v.1-2
. Again, this information is noted in the holdings statement of the holdings record.
Adding Copies Anchor A4 A4
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.Anchor
Shelf listing Anchor A5 A5
All call numbers for CUL theses begin with the word "Thesis" as the first element. Archival copies are shelved together, regardless of topic or degree. Circulating copies are classified with an LC-type call number cutter depending on the field of study. Class numbers Classification subject cutters are supplied by Thesis Classifications . The call number classification subject cutter is followed by the year the degree is conferred. All three conferral degrees of the same year for master and doctoral thesis are shelved together. Use the LC Cutter Table to assign the author cutter for the author for each copy.
Examples of format how call numbers as should be written in the book:
ASIA Thesis PS 16 1998 J625 + | ARCH Thesis 1998 J625 |
Creating the Book Cuttercall number: Anchor A6 A6
Each thesis is shelf listed in such a way that the degree sits alphabetically with other degree recipients of that same year. Determine the filing position of the work and use the LC Cutter Table to create the cutter number. The letter part of the cutter number is the first letter of the author's last name or the title in the case of no main entry for Engineering Library project reports. 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. ARCH is the correct designation for all archival copies (852 |b rmc,anx). Barcode each volume and create the item record (item status for the archival copy = nocirc). If the thesis is a multi-volume, create an item record for each volume according to CUL guidelines. Accompanying materials are processed according to the guidelines for each cataloging location. Occasionally, a pocket needs to be created to hold CDs, DVDs, drawings, etc. All accompanying materials must be marked with the call number, should they become separated from the main piece.
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Cataloged theses and dissertations should be placed on the appropriate Physical processing trucks: PHD theses are stamped and tattle-taped at the bindery before they arrive in LTS, and only the circulating copies need to be labeled with the Call number. Archival/Annex PHD's can therefore be put directly on the outgoing 'Department Libraries' truck, while the circulating copies to be 'typed' (i.e. labeled), can be brought directly to Physical Processing staff. Masters Theses, on the other hand, are not stamped or tattle-taped when they arrive, so both copies can be put on the "Hardcover/Cataloged" truck, as with more conventional materials.
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Single copies only are received for Seminar Papers for Veterinary Library, M.P.S. Project Reports for Mann Library, as well as for Bachelor of Architecture theses for the Fine Arts Library. They are received in bound form, on an irregular basis, and are ready for processing as circulating copies.
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College of Regional Planning honors theses (Bachelors C.R.P.):
fine NA 9002 [conferral yr.] [author cutter] Non-circulating
Item Status: nocirc
Masters of Regional Planning theses (M.R.P.)
fine Thesis NA 9001 [conferral yr.] author cutter Non-circulating
Item Status: nocirc
Bachelor of Architecture (B'Arch)
fine NA 38 [conferral yr.] [author cutter] Non-circulating
Item Status: nocirc
Masters of Architecture (M'Arch)
fine Thesis NA39 [conferral yr.] [author cutter] Non-circulating
Item Status: nocirc
Master of Fine Arts (M.F.A.)
rmc,anx Thesis [conferral yr.] [author cutter] Non-circulating
Item Status: nocirc
Any Fine Arts thesis for which only one copy is received should be processed as a non-circulating item for the Fine Arts Library.
Exception: All M.F.A. theses, creative writing theses and critical or historical material theses, are to be cataloged for rmc,anx location and treated as non-circulation. No classification subject cutter is necessary, (see above example).
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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).
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One copy only (Circulating)
502 note: |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]
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From the electronic bibliographic record, create new holdings for law library as "In Process" for the circulating copy and send to law library including printout of newly created holdings:
852 8 0 |b law |h In Process
Flyer appropriately and annotate the flyer with the holdings record number. Send to Law Library where the processing of the circulating copies is completed.
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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.
Physical Processing: Anchor A7 A7
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
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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.
A. Theses for Fine Arts Library (specifically Art, Architecture, All Regional Planning degrees, and Honors)Anchor B1 B1
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).
B. Theses for Hotel Library Anchor B2 B2
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).
C. Honors theses for Hotel Library Anchor B3 B3
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]
D. Theses for Law Library Anchor B4 B4
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.
E. Theses for Mann Library (specifically Masters of Professional Studies (M.P.S.)) Anchor B5 B5
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))
F. Theses for Music Library (These items are sent to, and processed by, the Music Library)Anchor B6 B6
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.
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All M.P.S.' are now being shelved in Rare and Manuscript Collection (RMC)
Example of location holding and necessitating a public note in the holdings:
852 8 0 |b rmc,anx |h H36.2 2013 |i .J34 |z Project Report (M.P.S.(International Development)) |z Shelved in RMC.
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A Doctor of Musical Arts thesis is not the same as a Master's or Ph.D. in music. The latter are treated the same as any other thesis or dissertation. Doctor of Musical Arts theses traditionally have two parts (see note below). One part is text in book format; the other is musical composition in score format. Pt. 2 is not always the score, nor pt. 1 the text. Use part numbers as found on the title pages of the two physical pieces. Before creating the bibliographic records for pt. 1& 2, examine the electronic resource and add a 500 note to indicate that there are 2 parts: the textual portion and musical score component. Then add a 700 added title entry for whichever part is not given in the 245.
Note: Doctor of Musical Arts theses in 2 parts are for degrees in musical composition. There are also DMA theses that contain only 1 part. These are for degrees in Performance Practice.
Leader values for scores:
Type of record: c (Printed music)
Encoding level: 7
008 values for scores:
Composition: zz (Other)
Format of music: a (Full score) 300 1 score (iv, 68 leaves) ;|c 29 x 44 cm.
The text will be input in the books format and the musical composition in the scores format. Input the part number in the thesis note field (502) as shown in the examples below for both formats. For oversize notations in the call numbers, see the oversize chart. The appropriate part number is used at the end of the call number for both locations.
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G. Project Reports (Engineering Library) Anchor B7 B7
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Create a bib record according to the general guidelines above. In addition to the variable fields outlined, include the following fields as appropriate:
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852 80 |b rmc,anx |h Seminar SF610.1 2002 G674
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Anchor C C
III. Explanatory Notes
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Dual Degrees Anchor C1 C1
On a extremely rare occasionsoccasion, 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, Jan.University, January 1999. Masters in Landscape Architecture and Masters in Regional Planning
Thesis/Dissertation Submission Process Anchor C2 C2
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, and two separate recipients of the Library: staff of the LTS Batch-Processing unit, and of the Library Print Center. The Batch-Processing staff submit the theses to e-Commons, and link them to newly-created MARC records in the Library catalog. . 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 a 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.
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When the LTS Thesis Coordinator, (Peter DelaCuadra), is contacted by a patron or notified by Reference department staff 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.
Thesis with a EMBARGO: A copyright, patent and/or author request hold on a particular titleAnchor C4 C4
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 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. There However, there is also a possibility that a thesis hold time may be extended ; eCommons beyond the typical two year hold; ProQuest staff will notify LTS, and/or the Graduate School of any embargoes that are extended due to patent holds.
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.
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NOTE: When there is an EMBARGO on the electronic copy of a thesis in eCommons, and the print copy is not NOT on listed on the EMBARGO list of the corresponding conferral date, the type of EMBARGO on the electronic copy will need to be verified. If the type of EMBARGO on the electronic copy is a Patent Hold, then the print copy is treated with as the same EMBARGO of the electronic copy and will NOT be processed and circulated. If However, if the EMBARGO is any other type of hold, the print copy will to be is processed and circulated.Anchor C5 C5
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