Library Technical Services

Scope: This document outlines the processes that the Olin Library technical services staff follow when handling Cornell theses, dissertations and project reports. LTS staff at Olin process archival copies of theses and dissertations for all campus locations and circulating copies for all locations with the exception of Law. Theses will be processed for the library which supports the study and teaching of each discipline. See Thesis classifications. It also includes explanatory notes that address how the theses are received and stored, as well as the general submission process. The General Guidelines apply to theses and dissertations for libraries not named in the Special Cases section.

Contacts: Pedro Arroyo, Lois Peret Purcell

Unit: Cataloging

Date last updated: 02/25/08

Date of next review: September 2008

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.

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.

1. Creating a Bib Record
   

   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 = a
   • Bibliographic level = m
   • Encoding level = 7
   • Cataloging form = a
   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
   • Language = eng
   • Cataloging source = d
   Variable fields required if applicable:
   • Cataloging source = 040
   • Author = 100
   • Title = 245
   • Alternative title = 246
   • Date = 260 |c (use the year of publication from the title page, even if it differs from the Advanced Degrees Conferred list)
   • Physical description = 300
   • Dissertation note = 502 (use the year that the degree was conferred, according to the Advanced Degrees Conferred list)
   • Bibliography note = 504
   • Stats code = 948 ( input and fastshelve or added copy or loc as appropriate)

   Example of a thesis bibliographic record: 040 |a NIC |c NIC
   100 1 |a Blume, Maria.
   245 10 |a Discourse-morphosyntax interface in Spanish non-finite verbs : |b a comparison between adult and child grammars / |c by Maria Blume.
   260 |c c2002.
   300 |a xxxvii, 491 leaves : |b ill. ; |c 29 cm.
   502 |a Thesis (Ph. D.)--Cornell University, Jan., 2002.
   504 |a Includes bibliographical references.
   948 0 |a 20021008 |b i |d sl53 |e lts |h gift
   948 1 |a 20021008 |b s |d sl53 |e lts
   948 1 |a 20021008 |b l |d sl53 |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 260 |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.
2. 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. 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:
   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.
   Example:
   852 8 0 |b olin |k Oversize |h Thesis P30 2002 B586 |m +
   Item Status: book (for circulating copy)

    

3. 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.

4. 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:

   OLIN Thesis PS 16 1998 J625 +

   ARCH Thesis 1998 J625

5. 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. Double check that a thesis is shelflisted correctly by doing a call number search in Voyager, selecting "Other" for call number type. 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.
6. Physical Processing

   Cataloged theses and dissertations should be placed on the appropriate phyical processing trucks.

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.

1. 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
   
   Bachelor of Architecture:

   852 8 0 |b fine |h NA 38 [yr.] [author cutter]

2. Theses for Hotel, and ILR Libraries

   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 ilr |h In Process

   Flyer appropriately and annotate the flyer with the holdings record number. Make printouts of Voyager bib and holdings records and deliver to appropriate LTS Olin original cataloger.

   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).

3. 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]

4. 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.

5. 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. One part is text in book format; the other is a musical score. 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.

   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

    

6. 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

7. Senior Seminar Papers (Veterinary Library)

   There will be only a single copy of the senior seminar papers and it will 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. Make MFHD note for OPAC: |z Request at Circulation Desk

   852 80 |b vet |h Seminar SF610.1 2002 G674 |z Request at Circulation Desk

III. Explanatory Notes

1. 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.

    

2. Thesis/Dissertation Submission ProcessCornell degrees are conferred three times a year: mid January, late May, and early August. The Graduate School releases the theses and dissertations when the approval sheet is received with all appropriate signatures by members of the student’s committee. About six weeks after each conferral the theses and dissertations arrive at Olin Library for processing, about March 1st, July 15th, and September 30th, respectively. After each conferral and prior to the receipt of the theses, Graduate School office staff send the LTS thesis liaison two copies of the official "Advanced Degrees Conferred" list. Master theses and doctoral dissertations have two copies: a circulating copy, which is cataloged for the campus library that predominantly supports instruction and research in the field of the graduate’s concentration, and an archival copy, processed for the Annex Library. The archival copy is the copy that includes the original approval sheet with the student’s committee signatures following the title page. Master theses arrive from Graduate School office staff, with the exception of Master of Architecture, Master of Science in Architecture, Master of Landscape Planning, and Master of Regional Planning that are received via Fine Arts Library from the Department of Architecture. These are already bound and, after the verification that the author is on the list of Advanced Degrees Conferred corresponding to the date on the title page, ready for inputting and processing. Both archival and circulating copies arrive without ownership stamps or tattle-taping. When they have been fastshelved, they are placed on the ‘unstamped’ hardcover truck in the Physical Processing Unit. Doctoral dissertations are received from the Graduate School in loose-leaf and unbound form and stored in boxes to facilitate the microfilming. The boxes contain the name of the student. The Graduate School sends the archival copy directly to LTS Olin staff and the circulating copy to Challenge Industries where the microfilming is done for ProQuest Information and Learning (formerly University Microfilms, Inc. (UMI)) in Ann Arbor, MI. ProQuest owns the rights, with some exceptions, to reproduce and distribute copies of all Cornell University doctoral theses. After microfilming, Challenge Industries holds the copy until ProQuest has approved the quality and accuracy of the microfilm. If there are any problems, e.g. pages missing, Challenge Industries staff must remake and re-send the film to ProQuest, which may create a delay. Challenge Industries staff deliver the circulating copies to the Olin shipping room, and the LTS thesis liaison is notified of delivery. The archival copies are stored and arranged in alphabetical order by the author’s name. The copies are matched, checked for correct order of pages as well as for missing pages, and rubber banded together in preparation for binding. Correct order of the pages is following:

   Archival Copy	Library Copy
   Title page	Title page
   Original thesis approval form	Copy of original thesis approval form (used from 2001-
   Copyright (if separate)	Copyright (if separate)
   Copyright permissions (if included)	Copyright permissions (if included)
   Abstract	Abstract
   Biography	Biography
   Acknowledgment	Acknowledgment

   Currently, the Thesis Approval form includes the License to Use Copyrighted Material form at the bottom, signed by the student. If the License to Use Copyrighted Material form is not used, there is a separate copyright page. Both copies of the thesis are sent to Olin Preservation staff, from where they are sent to a commercial binder. The LTS thesis liaison will need to arrange shipments with Olin Preservation staff since their schedule and maximum number of items per shipment, varies.

   The bound dissertations are returned to Preservation staff, who will stamp and tattle-tape them before their return to LTS staff for inputting and fastshelving. Following processing, both copies should be placed on the stamped hardcover physical processing truck.

   Theses may be RUSH bound if necessary and in agreement by Preservation Dept. staff. Two weeks must be allowed for their return. If a patron needs to view a thesis before binding or fastshelving, see Patron Access to Theses Prior to Cataloging/Binding
3. 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 is found unbound, inform the patron and/or Reference staff of the availability and the process of viewing an unbound thesis. If both theses boxes are available, select the circulating copy for viewing. Carry the unbound thesis to the security desk of the Rare Books and Manuscripts Division in 2B Kroch Library, where the patron can view the unbound copy in the secure reading room. When patron no longer needs the thesis, RMC staff will notify LTS liaison to retrieve the thesis for processing. Keep in mind that if you are unable to find a copy of a thesis, that it may be at the bindery. In that case, the patron will be notified when it is possible to view the item..