*** This version of Confluence is for testing only and contains a copy of content from June 29th 2026. No changes will be preserved. ***
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 May 2, 2022, but still incomplete Heidi Kotun Dawes
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Overview: This document outlines the processes that the Library Technical Services (LTS), perform when handling Cornell theses, dissertations, specialty theses and project reports. 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). The other 10% are specialty theses provided by a specific unit library, such as Fine Arts or Mann libraries. Once processed, the electronic version becomes available in eCommons, via a link in our online cataloged record. The Graduate School print copy is attached to the electronic bibliographic record and is distributed to the associated unit library for circulation. All specialty print copy theses and dissertations are handled on a per unit library basis.
Additional notes in this procedure will address the general submission process, as well as how theses are received and sorted. The General Guidelines apply to theses and dissertations for libraries not named in the Special Cases section.
Contact: Pam Stansbury, 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
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 Degree Program (arranged by degree program, A-L)
Distribution of Theses by Degree Program (arranged by degree 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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All call numbers for CUL theses begin with the word "Thesis" as the first element. Circulating copies are classified with an LC-type call number cutter depending on the field of study. Classification subject cutters are supplied by Thesis Classifications . The classification subject cutter is followed by the year the degree is conferred. Use the LC Cutter Table to assign the author cutter for the author for each copy.
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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.
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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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III. Explanatory Notes
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Dual Degrees Anchor C1 C1
On a extremely rare occasion, a student may receive two degrees using the same thesis for both. In this case, the record is created according to the general guidelines above with the exception of the 502 field, which should include both degree abbreviations. In this case 2 copies of thesis are received as usual, one for the circulating location and one for rmc,anx. Choose the call number by using the first degree listed in the book. For example, if the first degree listed is for a Master in Landscape Architecture (M.L.A.) and the second is a Master in Regional Planning (M.R.P.), assign the call number according to Landscape Architecture in the Thesis Distribution List under "City and Regional Planning." Landscape Architecture uses SB468 for call number and City and Regional Planning uses NA9001. Since the Landscape Architecture degree is listed first, use SB468 for the call number. Dissertation note:
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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, is contacted by a patron or notified by Reference department that a patron wishes to see a thesis before it has been processed, ask for patron's contact information (name, phone/e-mail) so that you can provide information on the availability of the thesis. Check the latest list of Advanced Degrees Conferred for the author. If the author does not appear on the list, the degree has not yet been conferred, (meaning LTS may not yet have print copy on hand). If the author appears on the list, and we have the particular thesis awaiting processing, double check to see if the electronic copy does not have an EMBARGO, as the type of EMBARGO may effect circulation, (see note below). If the print copy thesis does not have a restricted EMBARGO, inform the patron and/or Reference staff of the situation and that the thesis can be provided for a viewing. Once Reference and the patron have agreed on the viewing arrangements, the LTS thesis liaison will take the unprocessed thesis to the security desk of the Rare Books and Manuscripts Division in 2B Kroch Library, where the patron can view it in the secure reading room. Standard viewing time frame is two weeks from date of request. Patron does have the option of requesting additional time. When the time frame has expired for the viewing period, the LTS thesis liaison will go to RMC and retrieve the thesis and return to LTS cataloging for further processing.
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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