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 reviewed: 02/11/2020
Date of next review: February 2021
Adding print copy to electronic bibliographic record
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.
Create item records, and add barcodes.
Thesis Electronic Record
For the majority of Ph.D. and Masters theses, electronic bibliographic records are preloaded via metadata from ProQuest into Voyager 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.
Editing
Due to how the thesis metadata from ProQuest is processed, the electronic bibliographic records may need some minor editing prior to the creation and attachment of the holdings record representing 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, adding the appropriate URI for the thesis advisor and implementing the correct 948 stat code for LTS to represent the addition of the newly created holdings record.
Adding print copy to electronic bibliographic record
Edit electronic bibliographic record for any cataloging errors. Add appropriate 948 to bib record for added location. Then create new holding for circulating location.
Add 843 field to designate physical characteristics
Example of 843 field:
843 \\ |a Print. |b Ithaca, N.Y. : |c Cornell University, |d 2017. |e 99 l. : ill. ; 29cm.
Add 852 field with appropriate call number
Example of 852 field:
852 80 |b uris |k Oversize |h Thesis PR15 2017 C833 |m +
If multi-vol, in addition to the 843 and 852 fields, you will need to add an 866 field to represent volume enumeration, and/or add 867 field for supplemental material
Example for multi-vol:
866 41 |8 0 |a v.1-2
Example for text with accompanying material, which must also be marked with the call number:
866 41 |8 0 |a 1 v.
867 41 |8 0 |a CD-ROM |z <in pocket of text>
Creating a Bib Record (no electronic bib record 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 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:
- 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 illustrations, maps)
- Dissertation note = 502 (use the year that the degree was conferred, according to the Advanced Degrees Conferred list)
- Bibliography note = 504
- Thesis 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 |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 |0(uri) http://vivo.cornell.edu/individual/individual23258
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.
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 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 fro processing)
Doctor of the Science of Law -- J.S.D.
Template: 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. 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 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 list, which is provided to the Thesis Coordinator. The call number for the circulating copy includes the word Thesis, the classification number, the year, and the author. Most theses are 29 cm. Consult the Oversize Chart for each location. If the thesis has multiple parts, create an 866 field in the holdings record and indicate the scope, e.g. v.1-2. And 867 field for supplemental material, (includes accompanying material.) All accompanying materials must be marked with the call number, should they become separated from the main piece.
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>
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
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.
Shelf listing
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 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.
Physical Processing:
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.
II. Special Cases
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.
A. Theses for Fine Arts Library (specifically Art, Architecture, Regional Planning degrees and Master of Fine Arts)
College of Regional Planning honors theses (Bachelors C.R.P.):
852 8 0 |b fine |h NA 9002 [year] [author cutter] |z Non-circulating
Item Status: nocirc
Masters of Regional Planning theses (M.R.P.)
852 8 0 |b fine |h Thesis NA 9001 [year] author cutter |z Non-circulating
Item Status: nocirc
Bachelor of Architecture (B'Arch)
852 8 0 |b fine |h NA 38 [yr.] [author cutter] |z Non-circulating
Item Status: nocirc
Masters of Architecture (M'Arch)
852 8 0 |b fine |h Thesis NA39 [yr.] [author cutter] |z Non-circulating
Item Status: nocirc
Master of Fine Arts (M.F.A.)
852 8 0 |b rmc,anx |h Thesis [conferral 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-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).
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
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.
E. Theses for Mann Library (specifically Masters of Professional Studies (M.P.S.))
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.
F. Theses for Music Library (These items are sent to, and processed by, the 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 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.
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 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
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
When the LTS thesis liaison, (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 liason 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 or author request hold on a particular title
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. 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. There is also a possibility that a thesis hold time may be extended; eCommons staff will notify LTS 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 |z 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 |z Note removed and then returned to the circulating library.
Example: 852 8 0 |b ilr |h Thesis HD4830 2017 Z436 |z <Currently NOT available, on hold until after September 11, 2019>
NOTE: When there is an EMBARGO on the electronic copy of a thesis at eCommons, and the print copy is 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 the same EMBARGO and NOT be processed and circulated. If the EMBARGO is any other type of hold, the print copy is able to be processed and circulated.
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Also thesis related: Thesis classification subjects
See Theses classifications, A-L