Overview: This document outlines the processes that the Library Technical Services staff perform when handling Cornell theses, dissertations, and project reports. LTS staff process archival copies for the Annex, as well as circulating copies for the 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
Holdings Record for Archival Copy
Holdings Record for Circulating Copy
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 Study (arranged by field of study, A-L)
Distribution of Theses by Field of Study (arranged by field of study, M-Z)
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.
Creating a Bib Record (applies only if no current template available)
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:
- Cataloging source = 040
- Author = 100
- Title = 245
- Alternative title = 246 (if needed)
- Date = 264 |c (use the year of publication from the title page, even if it differs from the Advanced Degrees Conferred list)
- Physical description = 3xx fields (limit description to ill., maps, facsim.)
- Dissertation note = 502 (use the year that the degree was conferred, according to the Advanced Degrees Conferred list)
- Bibliography note = 504
- Advisor = 700
- Stats code = 948 ( input and fastshelve or added copy or loc as appropriate)
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
Degree Abbreviations Used in the 502 Dissertation Note Field
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.
Note: The thesis template may be edited to reflect changes for each conferral year by changing the year in the 264 |c and the thesis note in 502 note field. After each template edit, subsequent records can be created by adding the author, title, physical description fields (with the corresponding codes for the fixed fields in 008 field) and abbreviation and date of conferral for the degree in the 502 field.
Creating a Holdings Record: Create new holdings records for each copy using the appropriate cataloging location in Voyager. The Voyager OPAC will display the cataloging locations in alphabetical order regardless of the order in which the locations are created. All archival copies are shelved together, regardless of topic or degree, but circulating copies are classified based on subject. The Holdings records for both the Archival and Circulating copies will also have an 843 field, designating them as print items. If the thesis has multiple parts, create an 866 field in the holdings record and indicate the scope, e.g. v.1-2.
Holdings record for archival copy: Add the archival copy (the book with the Approval form with the original signatures) first, always using rmc,anx location. Call number will consist of the word Thesis followed by the year and book number. Example: 843 |aPrint.|bIthaca, N.Y. :|c Cornell University, |d2010. |e x, 293 l. :ill. ; 29 cm. (used only when an electronic version was cataloged first, then the print copy added to exisiting record). 852 8 0 |b rmc,anx |h Thesis 2002 B586 Item Status: nocirc (for archival copy)
Holdings record for circulating copy: Add the circulating copy (the book with a copy of the approval form) as the second location to the library 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 list. The call number for the circulating copy includes the word Thesis, the classification number, the year, and the book number, followed by oversize symbol if appropriate. Most theses are 29 cm. Consult the Oversize chart for each location. As above, the Holdings for the circulating copy will also have an 843 field designating it as a primt-format item. Example:843 |aPrint. |bIthaca, N.Y. : |c Cornell University,|d2010. |e xi, 261 l. : ill. ; 29 cm. (used only when an electronic version was cataloged first, then the print copy added to exisiting record).852 8 0 |b asia |k Oversize |h Thesis P30 2002 B586 |m + 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: text + cd-rom For a regular 2-volume thesis, a typical 866 looks like this:866:41:|8 0 |a v.1-2We might want to add to this sentence:The 866 isued for the basic bibliographic units of the thesis, and the 867 is for accompanying material (anything which falls out of the volume when you shake it).
Adding Copies
Occasionally a CU library may already have received a thesis as a gift and cataloged it. If this is the case, add the archival copy (rmc,anx) as the 2nd location and the circulating copy as the 3rd location. Subsequent CUL thesis gifts are processed according to general thesis processing guidelines.
Shelflisting
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 depending on the field of study. Class numbers are supplied by Thesis Classifications . The call number 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 cutter for the author for each copy.
Examples of call numbers as written in the book:
ASIA Thesis PS 16 1998 J625 + | ARCH Thesis 1998 J625 |
Creating the Book Cutter:
Each thesis is shelflisted 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.
Physical Processing:
Cataloged theses and disserations 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 disgnated "Hardcover/Cataloged" truck, as with more conventional materials.
II. Special Cases
Single copies only are received for Seminar Papers for Veterinary Library, and Project Reports for Engineering 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.
A. Theses for Fine Arts Library
College of Regional Planning honors theses (B.S.):
852 8 0 |b fine |h NA 9002 [yr.] [author cutter] |z Non-circulating
Item Status: nocirc
Bachelor of Architecture:
852 8 0 |b fine |h NA 38 [yr.] [author cutter] |z Non-circulating
Item Status: nocirc
Masters of Architecture for which we only receive one copy (if we receive two, process as normal)
852 8 0 |b fine |hThesis NA39 [yr.] [author cutter] |z Non-circulating
Item Status: nocirc
Any Fine Arts thesis for which only one copy is received should be processed as a non-circuating item for the Fine Arts Library.
B. Theses for Hotel Library
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
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]
D. Theses for Law Library
LTS Olin staff create a bib record, and process the archival copy according to the general guidelines above. Also, create an "In Process" holdings record for the circulating copy:
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.
E. Theses for Mann Libraray
Mann has reshelved its M.P.S (Project Report) and other masters in the thesis area of their library necessitating a public note in the holdings:
852 8 0 |b mann |h H36.2 2013 |i .J34 |z Project Report (M.P.S.(International Development)) |z Shelved with the Mann Library Theses Collection.
F. Theses for Music Library
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 componet. 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.
rmc,anx |h Thesis 1998 L363 pt.1 mus|h Thesis ML30 1998 L363 pt.1 |m Folio
G. Project Reports (Engineering Library)
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
H. Senior Seminar Papers (Veterinary Library)
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 addtion 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
III. Explanatory Notes
Dual Degrees
Occasionally, 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., 1999.
Thesis/Dissertation Submission Process
Cornell degrees are conferred three times a year: January, 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 to 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. At the same time, the Print Center makes 2 hard copies of each thesis (one circulating, one archival), which are sent to the bindery. Upon their return (usually within 2-4 weeks), the hard copies are processed by LTS staff for the collection. Some of the bound Masters theses go to their respective schools before coming back to LTS, including Masters of Architecture, Masters of Science in Architecture, Master of Landscape Planning, and Masters of Regional Planning. Since the electronic copies precede the paper copies in the database in most cases (both for Masters and Doctoral theses), new MFHDs are added to the existing Electronic Resource records. In a few cases, however, paper copies will be the only ones available to patrons.
Patron Access to Theses Prior to Cataloging/Binding
When the LTS thesis liaison is contacted by a patron or notified by Reference Dept. 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, though the thesis may have been submitted to a college department. If the author appears on the list, and we have theses awaiting processing, RUSH process if it is bound. If the thesis cannot be processed, or still unbound at the Bindery, inform the patron and/or Reference staff of the situation and the process of viewing an unbound thesis. If both un-bound copies are available, select the circulating copy for viewing. Carry the unprocessed thesis to the security desk of the Rare Books and Manuscripts Division in 2B Krock Library, where the patron can view it in the secure reading room. When the patron no longer needs the thesis, RMC staff will notify LTS liasion to retrieve the thesis for processing.
See Theses classifications, A-L
Theses classifications , M-Z