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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 Peter DelaCuadra - Updated April 29, 2022, but still incomplete
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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 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: Pam Stansbury, Peter DelaCuadra
Theses generated through the Graduate School in Caldwell Hall, provide an electronic, and a print copy edition. Once processed, the electronic version becomes available in eCommons, via a link in our online catalog. The Graduate School print copy is attached to the electronic bibliographic record and is distributed to the associated unit library for circulation. All other 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 DelaCuadra
Unit: Unit: Acquisitions
Date last reviewed: 03/15/2021
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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)
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, 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.
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
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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 version 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 (i.e., create two holdings records for the record: 1 for the archival, and 1 for the circulating copy). This will apply primarily to Bachelor's thesis, though there are other examples.
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.
Add barcodes to item in hand and then Create item records, and add barcodes
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.
Thesis Electronic RecordAnchor A1 A1
For the majority of Ph.D. and Masters theses, electronic bibliographic records are preloaded via metadata from ProQuest into Voyager are created from metadata provided by Associate 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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Due to how the thesis metadata from ProQuest 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, 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 recordand/or deleting a specific field.
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Edit electronic bibliographic record for any obvious cataloging errors. Add appropriate 948 to bib record for added location. Then create Create new holding for circulating location.
Add 843 field reproduction note to designate physical characteristics
Example of 843 fieldreproduction note:
843 \\ |a Print. |b Print. Ithaca, N.Y. : | c Cornell University, | d 2017. | e xii, 99 l. : ill. ; 29cm.
Add 852 field with appropriate call number in appropriate location of holdings record
Example of 852 fieldcall number:
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 a holdings statement in the Holdings details section to represent volume enumeration, supplemental material, and/or add 867 field for supplemental materialindexes
Example for multi-vol in Holdings statement:
866 41 |8 0 |a v.1-2
Example for text with accompanying material, which must also be marked with the call number:in Holdings statement, (two separate notes):
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) Anchor A2 A2
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- 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:
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700 1 |a Ceci, Stephen John |e thesis advisor |0(uri) http://vivo.cornell.edu/individual/individual23258thesis advisor
948 0 |a 20140415 |b i |d pd36 |e lts |h gift
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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.
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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)
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. Anchor A2b A2b
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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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II. Special Cases
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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.
A. Theses for Fine Arts Library (specifically Art, Architecture, All Regional Planning degrees, Honors, and Master of Fine Arts)Anchor B1 B1
College of Regional Planning honors theses (Bachelors C.R.P.):
852 8 0 |b fine |h NA 9002 [yearconferral yr.] [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 [yearconferral yr.] author cutter |z Non-circulating
Item Status: nocirc
Bachelor of Architecture (B'Arch)
852 8 0 |b fine |h NA 38 [conferral yr.] [author cutter] |z Non-circulating
Item Status: nocirc
Masters of Architecture (M'Arch)
852 8 0 |b fine |h Thesis NA39 [conferral 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).
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852 80 |b rmc,anx |h Seminar SF610.1 2002 G674
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III. Explanatory Notes
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Dual Degrees Anchor C1 C1
OccasionallyOn rare occasions, 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:
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Thesis/Dissertation Submission Process Anchor C2 C2
Cornell degrees are conferred three times a year: JanuaryDecember, 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. 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, ProQuest prints and sends a 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 Doctoral Doctorate theses), new MFHDs holdings 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 Anchor C3 C3
When the LTS thesis liaisonThesis 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.
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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 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 |z holdings Note removed and then returned to the circulating library.
Example: 852 8 0 |b ilr |h Thesis HD4830 2017 Z436 |z <Currently : Note: Currently NOT available, on hold until after September 11, 2019> 2040
NOTE: When there is an EMBARGO on the electronic copy of a thesis in 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 will NOT be processed and circulated. If the EMBARGO is any other type of hold, the print copy will to be processed and circulated.Anchor C5 C5
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