Books End-Processing: Workflow


Workflow overview

Materials arrive from different areas in Houghton Library and are processed for delivery to different locations:


Acquisitions / Cataloging / Public Services / Conservation & Preservation

Books End-Processing

Houghton Library (including WPR and HTC) closed stacks) / 

Harvard Depository


Most of the materials come directly from cataloging, but other activities also generate the need for end-processing, including acquisitions, conservation and preservation, and public services, resulting in a mixture of new items and existing collection material requiring new enclosures and/or barcodes. Bays and shelves are organized according to the flow of the process. For example, incoming shelves are in the first bays, followed by pasting and drying shelves, then processing and ready for shelving. Placement of the bays and/or shelves are designated as:

  • Incoming rush processing

  • Incoming quarto in Aeon

  • Incoming folio in Aeon

  • Incoming CMI quarto cases in Aeon

  • Incoming CMI folio cases in Aeon

  • Incoming phase box quarto/folio in Aeon

  • Incoming broadsides

  • Measured CMI orders awaiting boxes

  • Measured phase box orders awaiting boxes

  • Pasting in process

  • Drying in process

  • Process for Houghton shelving

  • Process for Poetry Room shelving

  • Process for Theatre Collection shelving

  • Process for Depository shelving

  • Ready for Houghton shelving

  • Ready for Poetry Room shelving

  • Ready for Theatre Collection shelving

  • Ready for Depository shelving


After materials are delivered to Books End-Processing and placed on the appropriate shelves, end-processing can begin. Books are placed upright and spine-out. Materials in flat boxes or fragile items laid flat for enclosures are placed in the appropriate area as space permits. If space is limited, please connect with the Technical Services Assistant or Rare Book Section Head for consultation.


Catalogers:

  •  Place items on "incoming" shelves by size.
    • CAVEAT:  Sexually explicit materials must be given to the Technical Services Assistant directly instead of placing them on incoming shelves.

End-processors' procedures:

  • Create labels, tabs, and plates according to Aeon slips' staff notes directions and/or information contained in Holdings records.
  • Check labels, tabs, and plates for errors.
  • Paste labels, tabs, and plates.
  • Remove blotters from the materials, and route accordingly for shelving.
  • Wrap (if necessary), barcode, and label the outgoing items.

TS Assistant's additional procedures:

  • Update the item records in Alma and finish Aeon requests.
  • Scan barcodes again to make sure they are functional.
  • Enter all end-processed items in the Books End Processing Log.
  • Pack HD items in grey bins and notify HD for pickup.
  • Bring on-site items to appropriate stacks location for shelving

General Processing Procedures

The general processing workflow is described below. Exemptions are noted at the end of this page.

(N.B. Follow the instructions on the routing slip at all times. If these instructions are either at odds with established procedure or otherwise unclear, bring the item to the Technical Services Assistant or Technical Services Librarian for consultation. If necessary, the TS Assistant will bring the item back to the cataloger who cataloged it for clarification.)

1. Collect books for batch processing on a book truck. Each batch contains 48 items (can be a mixture of books and boxes) because each spine label sheet contains 48 labels. The order of the books does not necessarily matter. For convenience, place books according to location for easier processing. For example, a book truck with Houghton books followed by Poetry Room books will be easier to process than intermingling them.

2. Move the book truck to a computer terminal and log on to Alma.

2.1. Open the “spine label template” for Houghton Library or other location and the “ownership label template” for the same locations.

2.2. Take the first book and enter the MMS ID on the routing slip into the Alma search box at the top of the page. Be sure the search criteria are “All titles” and “MMS ID”. 

2.3. Verify the title of book with the title on the record. 

2.4  Click the “Holdings” button to the right of the record’s title. Choose the holdings record that matches the location and call number on the routing slip by clicking on the long number on the left (usually begins with 22). This will display the holdings record with lines of formatted information.

2.5. In the 852 field, select and copy the call number (after the $$h) and place it in the upper left corner label on the label sheet and the upper left corner of the first ownership label on the ownership label sheet keeping the call number flush left on the ownership label. Cascade the call number on the spine label sheet according to instructions in Appendix C. Delete each $$i on the ownership label sheet and format according to directions in Appendix C.

2.6. In the 852 field, select and copy the accession number from the $$e field. Place the accession number in the lower right corner of the corresponding ownership label. If no accession number is present, then select the date from the $$d field. Format the date as follows: 23 April 2020. Keep the accession number or date flush right. 

2.7. Some holdings records may not have an accession number or date. Check the routing slip to verify the absence of this information. If an accession number or date is present on the routing slip, insert on the ownership label.

2.8. At times, some items may only need a spine label or an ownership label. Check the routing slip to verify necessary labels.

2.9. Repeat this procedure for each item in the batch until the spine label sheet is full. There will be one spine label sheet and up to four ownership label sheets per batch.

2.10. Print out the completed spine label template on the standard spine label sheet. Then, print all ownership label sheets on the approved archival paper. Place all sheets on the book truck.

3. Pasting Preparation

3.1. Mark the spine label sheet with a batch code. The batch code sheet is located in the folder with the blank spine labels. Pick the code after the last code used and crossed the new code out and write at the top of the sheet in pencil. Also, place the code at the top of each item’s routing slip on the book truck.

        3.2. Cut the ownership labels using a paper cutter board and leave 

approximately 2 mm around the border. Once cut, place ownership labels in the corresponding books after the title page or in the boxes.

3.3. Every item should have information on provenance on the routing slip. The routing slip indicates which bookplate to use on an item. Many book plates are stored and others will need to be created. Check the book plates cabinets and/or the box of most used book plates and retrieve the appropriate book plates for each item. Place the book plates inside the book or box with the ownership labels.

3.4. To create a new book plate, open the book plate template on the computer. Type the information on the routing slip, print out, and trim. See Appendix D for more information. Place the book plate in the book with the ownership label.

3.5. Mylar dust jacket covers are used on all books with a dust jacket, whether hardcover or paperback, to protect the dust jacket. There are two sizes of covers, so pick the best size for the dust jacket. If the dust jacket is too big for the large size, center the dust jacket in the cover and allow some portions of the dust jacket to be exposed….. 

3.6. Tabs are used for Houghton on-site books that do not require an enclosure. The routing slip will indicate a tab instead of a spine label. The tab template includes three possible tabs per sheet. Copy the call number from Alma and place at the top of one tab and delete the previous call number. Repeat this process for another two tabs if needed. When the number of tabs has been created, print the template on the heavyweight tan tab paper. Cut the tabs just inside the guides at the top of the template. If the tab is too long for the height of the book, cut it to the size of the book. Place the tabs at the end of each corresponding book just before the final page (flyleaf) of the book.

In the past, case tabs were used on on-site items in a publisher’s case. They are small tabs pasted on the inside cover of the case. According to the new policy, they are no longer used. If an item arrives in end-processing with a case tab, create a spine label for the item and remove the tab after final processing. At times, the item will receive a custom case. Place the spine label on the custom case in that instance.

3.7. Once all materials are completed and inside the books, the Technical Services Assistant will proofread the materials for accuracy and resolve any issues before pasting begins.

    4. Pasting

4.1. Pasting Area: After proofreading is complete, the ownership label and book plate (if both are present) are pasted in the corresponding book or box according to the directions on the routing slip. There are two options: Paste in the book or on the container (CMI, prefab, phase box). As a general rule, paste in the book if the book has an appropriate area available for pasting and the area is not too thin or fragile. If an item is cased and the covers of the book are fragile or heavily annotated, the book should only be labeled with the ownership label as the case will be plated (though the preference is always to have the book plated if at all possible). This should be noted on the routing slip. Other exceptions include: 

  • Do not paste over manuscript material, or any handwritten text.

  • Do not paste over another label (unless it’s a correction of the original label).

  • Do not paste on paper covers, unless instructed to do so on the routing slip.

  • Do not paste labels or plates into items on deposit.

  • Do not paste on decorated or illustrated endpapers, including watermarks, unless instructed to do so.

Another option is to “tip in” the labels. ”Tipping in” means applying glue to one side (usually the right side) of a label/plate and affixing the label/plate on that one side only (e.g. over the earlier signs of provenance by that one edge only so that, while the label/plate might cover the provenance, the glue adheres only to the board and not the provenance) in the usual places. Plates can also be tipped in on the front free flyleaf and ownership label on the back free flyleaf. Consult with your supervisor if you question the pasting area.

4.2. Pasting Directions: Ownership labels are pasted on the inside back cover in the upper right hand corner away from any cloth, leather, or vellum and only on paper. Book plates are centered on the inside front cover. Use methyl-cellulose paste (archival quality paste) to adhere them to the books. When a book has a very glossy cover, the use of PVA paste is required because the methyl-cellulose paste will not provide the proper affixation. Do not overglue, but make sure the entire surface, especially the corners, is covered. Use a bone folder over a blotter to secure the pasting paying special attention to securing the corners and working out any bubbles or ridges on the labels. When affixed to the book, completely cover the ownership label and bookplate with blotters and cover with a mylar sheet  to protect them and the book while drying. If there is an exception to this procedure, it should be noted on the routing slip. 

4.3. Post-pasting Directions. Carefully stack books on top of each other to weight down the label, or put weights over glued areas on the Drying in Process shelf with the covers face up so the blotters and mylar coverings do not fall out if put in an upright position. Allow labels and bookplates to dry overnight. When dry, remove blotters and mylar covers from books and boxes and place on a book truck for further processing.

4.4. Tyvek Envelopes. For books destined off-site at the Harvard Depository, they must have an enclosure. If a book, mostly hardcovers,  does not have a CMI, prefab, or phase box, it must have a Tyvek envelope. There are five sizes of envelopes, so select the size best suited for the book. Place the book inside the envelope with the cover facing the front of the envelope. Fold the top of the envelope over the back of the envelope. Cut a piece of cotton string to wrap the envelope. With the book face up on the table, place the string underneath height wise and fold to the front. In the middle, intertwine the string width wise and bring the left side of the string underneath the book to meet the right side of the string. Tie a bow on the top of the book.

4.5. Spine Labels. All books and boxes without a tab will have a spine label. There are two places to place spine labels according to the enclosure being used. For CMI and phase boxes for vertical shelving, the spine label is placed on the bottom of the spine about a half-inch above the bottom edge. If necessary, the spine label may be trimmed to ease placement on the spine. For Tyvek envelopes and prefabs, the spine label is not placed on the spine but one-inch below the top of the upper left hand corner of the envelope or prefab. All spine labels are covered with a spine label protector: a clear, plastic, adhesive film. Center the protector over the spine label and press for adhesion. This ensures the ink from the label doesn’t wear away or smudge.

4.6. Barcoding. All books and boxes receive a barcode on the enclosure,  tab, or box.. 

4.6.1. There are three different barcodes used: Houghton Library, Harvard Theatre Collection, and Woodberry Poetry Room. Be sure to check the routing slip to determine the correct barcode.

4.6.2. Barcode Placement. Barcodes are placed in the upper left hand corner in the front of the enclosure. Leave a small amount of space at the top and left side of the barcode. For boxes, use two barcodes, one above each of the spine labels. For tabs, place the barcode on the reverse side of the call number at the top.

4.6.3. To process items for barcodes, move the book truck to a computer terminal and log on to Alma. Select a book and retrieve its record. Click the “...” button to the far right and select “Items”. Then, click the second “...” button and select “Edit”. The complete item record will appear. Place the cursor in the “Barcode” field and delete the current barcode number. Select the correct barcode for the item and place the first barcode in the appropriate place on the enclosure, tab, or box. Place the second barcode at the top of the routing slip except for boxes. With the laser wand, wand the barcode and it will automatically populate the “Barcode” field and the record will automatically save. Hover your cursor over the barcode number to ensure the barcode loaded correctly. If it did not, repeat the process until successful.

4.7. Final Processing. For items going to Harvard Depository, add the appropriate sticker to the item. There are two stickers that correspond to the three barcodes: HD HOU (used for Houghton and Poetry), and HD THE (Harvard Theatre Collection) Place the sticker underneath the barcode and flush left and above the spine label.

5. Broadside Processing. Broadsides are placed in appropriately sized folders by either the accessioner or cataloger. To see more about Houghton broadside and flat file procedures, go to Appendix G or   <https://harvardwiki.atlassian.net/wiki/display/HoughtonTechnicalServices/Broadsides+and+Flat+Files> End-processing procedures for broadsides are similar to books with some exceptions.

5.1. Labels: Broadsides use special broadside labels measuring 3” x 4”. More information is included on them than a regular label including size designation, call number, preferred access point and/or title, year of creation, accession number, gift or fund source, and location. 

5.2. Move the item to a computer terminal and log on to Alma. 

5.2.1.Open the broadside label template with tabs embedded in them for ease of construction in MS Word.that corresponds with the location (Houghton or Theater) on the routing slip. It will show the locations of the information described below.

5.2.2. Enter the MMS ID number on the routing slip into Alma in the search box at the top of the page. Be sure the search criteria are “All titles” and “MMS ID”. 

5.2.3. Verify the title of the broadside with the title in the record. 

5.2.4. Click the “Holdings” button to the right of the record’s title. Choose the holdings record that matches the location and call number on the routing slip by clicking on the long number on the left (usually begins with 22). This will display the bibliographic holdings record with lines of formatted information.

5.2.5. In the 852 field, select and copy the call number (after the $$h) and place it in the top upper left corner (left section) of the broadside label. Cascade the call number as required and delete any delimiters (e.g. $$m).

5.2.6. Select and copy the accession number (after the $$e) and place it in the broadside label flush right one space below the date. If no accession number is present, use the date in the $$d field with the day-month-year format. If both pieces of information are not present, leave this area blank.

5.2.7. Select and copy the source information (gift or fund) from the 561 field after the $$a and place it centered one space below the accession number on the broadside label.

5.2.8. Return to the main record page where you began. Click on the title of the item to reveal the bibliographic record. 

5.2.9. Locate and copy the information after the $$a in the 1XX field (if present) and place the information in the broadside label on the top line of the top right section. Include information in the $$d field, if present. If a 1XX field is not present, leave that space blank on the label.

5.2.10. Locate and copy the information in the 245 field up to the $$b including any brackets and place the information after the $$a in the broadside label indented 5 spaces below the 1XX field information, if present. Every label must have this information. If a record also has a 240 field, include that information indented above the 245 field information.

5.2.11. Locate and copy the information in the 260 or 264 field after the $$c including any brackets and place the information on the broadside label indented below the 245 field information. Every label must have this information.

5.2.12. Print the label on a broadside label sheet. Remove the label from the sheet and place it in the upper left hand corner of the front of the broadside folder. Press for adhesion.

5.2.13. Barcoding. Select the appropriate barcode according to the location and place one barcode at the top of the routing slip and the other near the bottom of the broadside label between the source information and the location information. Wand in the barcode into the item record as usual (see instructions above).

6. Special Box Processing. There are a few different procedures when processing a flat (horizontal) box (container) of materials and Paige boxes. This does not apply to containers that will sit vertically on the shelves.

6.1. Processing flat boxes includes these additional procedures.

6.1.1. Create two spine labels for flat containers. One spine label will be placed on the lower left side of the longest side panel of the box. The other spine label is placed on the lower left side of the shortest panel of the box to the right of the labeled longest side panel.

6.1.2. When barcoding, place two barcodes on the box. Each barcode is placed above the spine labels. There will be no barcode on the routing slip. Flat items are not shelved in the Harvard Depository, so no HD location stickers are necessary.

6.1.3. Place a “Keep Flat” or “Very Heavy, Keep Flat” sticker in the middle of each side of the box with a spine label and barcode.

6.1.4. Verify that the Holdings record indicates it is a flat item. Open the Holdings record of the item and verify a “$$m Flat” note at the end of the 852 field.

6.2. Processing Paige boxes (brown corrugated boxes) includes these procedures.

6.2.1. If the Paige box is not full, add packing material to sides needing material and at the top of the pile of items. 

6.2.2. Paige boxes have two broadside labels, not spine labels. Create broadside labels for the box according to the directions for general broadsides. Place one broadside label in the center of one side of the box. Place the other label in the center of the side to the left of the first label.

6.2.3. Barcode each broadside label with one barcode following the procedure of general broadsides. There will be no barcode for the routing slip. Wand in the barcode into the item record as usual (see instructions above). Place an “HD” sticker under the barcode if the item is going to the Harvard Depository. 

6.3. Processing miniature books includes these additional considerations.

6.3.1. All miniature books need a flexible cardstock container for storage. If a book does not have a cream-colored container, ask Conservation and Preservation to make one.

6.3.2. Be sure to include the box and section number on the spine label for easy shelving. 

6.3.3. Miniature books need the same labels as other books, but it can be difficult to affix them on their small containers. Place the barcode and spine label on the outside as usual, preferably on the front of the container since miniature books lie vertically (face up) in the larger miniature book boxes in Houghton Library.

6.3.4. The ownership and bookplate (if needed) are pasted in the usual places but are tipped in the book and folded so they fit into the book completely. They are folded once, but some books may require two foldings.

7. Alternative Media. CDs/DVDs, video cassettes, tape cassettes, reels, and other related media are delivered to End-Processing. Processing is similar to books with some exceptions. OWNERSHIP LABELS????

7.1. For CDs/DVDs, the usual labels and barcodes are created and applied to the cases. However, the spine label is affixed under the barcode like a prefab. Also, the bookplate is tipped on the verso of the paper front cover in the usual location, not the case itself. The ownership label gggggggg

7.2. Video cassettes have a barcode in the usual location, spine labels are affixed to the spine, the bookplate is tipped on the verso of the front cover in the usual location. The ownership label ggggggggggg.

7.3. Tape cassettes have a barcode in the usual location, or close to it, being mindful not to obscure too much information. For bookplates, use the small versions of the bookplates because the casing is small. Attach them to the outside back of the case, not inside the case, with a spine label protector.

7.4. Reels are housed in a CMI even if the tape reel is in the original storage box. The ownership label and bookplate are affixed to the CMI. The spine label is affixed to the spine if appropriate.

8. Serials

    8.1. Reference serials

Reference serials (including those housed in the Reading Room and Theatre Collection) are processed as they arrive. End-processing staff follows the instructions on the routing slip. A spine label is generated and placed in the upper left corner of the cover allowing space for a barcode. The spine label should contain the location, call number, issue and number (as appropriate), and date (month, season and/or year, as appropriate). A barcode is placed above the spine label and wand it in following the general procedures above for books. Reference serials do not receive ownership labels, bookplates, or tabs. The end-processed serial issue is then placed on the appropriate shelf for dispatch.

8.2.. Collection serials

Collection serials occasionally arrive and usually come in a group (a press run or collection of issues). They are measured and placed in CMI cases (or may come already in an enclosure). These serials should be accessioned (a boxed collection receives one accession number) and the holdings record should reflect the issues in hand (via 853/863 fields). The routing slip provides guidance on the treatment the serials are to receive after placed in their CMI cases. Generally, the bookplate is placed on the inside left cover to reflect the provenance. Each issue of the serial will receive its own ownership label in the usual place. They may be tipped in if the back cover is not thick enough to absorb the paste without bubbling.

9. Exemptions

Incoming RUSH processing items are an immediate unit priority and should be processed within 24 hours of delivery unless otherwise specified. Follow the General End-Processing Guidelines and connect with the routing slip creator whose initials are at the bottom of the slip concerning questions.

10. Preservation Services

Materials delivered to End Processing may require consultation with Preservation Services located in the basement of Lamont Library before end processing can commence.

10.1. Materials with mold or related substances should not be processed until remediated. Consult with a Preservation Services staff member to determine if the substance is detrimental to the material and whether it needs remediation. If the material is left at Preservation Services, change the location of the material to Preservation in Aeon.

10.2. If a miniature book is delivered without a special flapped enclosure, deliver the book to Preservation for the creation of an enclosure. Change the location of the material to Preservation in Aeon.

10.3. Consult with Preservation Services for enclosure padding for materials that do not securely fit into a box or multiple materials are included in the box. Change the location of the material to Preservation in Aeon.

11. Delivery 

11.1. End-processed materials are delivered by book truck to the appropriate on-site location on a regular basis, usually weekly. 

11.2 End-processed materials destined for Harvard Depository are placed in gray bins requested from the Harvard Depository at https://projects.iq.harvard.edu/hdep/online-forms. The link also provides a link for the gray bins to be picked up. These actions are coordinated by the Technical Services Assistant.

11.2.1 Once materials are processed and ready to send to the Depository, place the books in two columns with the larger items on the bottom and keep the size of books in each column uniform, if possible. When the columns nearly reach the top, lift the gray bin to gauge its heaviness. If you cannot pick it up easily, then assume someone else handling it also cannot. Take out a book or two if necessary to attain an appropriate weight. 

11.2.2. Place packing material around the edges of the gray bin and a sheet of bubble wrap on top of the books, if available, so books do not move during transit. Close the bin and wrap a nylon tie around one of the enclosure holes found on either side of the bin and place it at the assigned pick up point. Communicate to the Technical Services Assistant the quantity of gray bins ready for transfer.

11.2.3. The TS Assistant fills out the Media Pick up form on the Harvard Depository website by 3:00 pm for next day pick up.

4. Routing and Aeon Slips

4.1. A single routing slip is used for all accessioned materials. A completed slip should arrive with each item in End-Processing, providing information for the item’s appropriate treatment (e.g. ownership labels, tabs, spine labels, book plates).

<<picture of routing slip>> 

4.1.1. The accessioner/acquisitioner fills out the following parts. Other information may be included on a case-by-case basis.

  • Location

  • Call number

  • Accession number

  • Alma system number (MMS ID)

  • End-processing treatment

  • Fund/Donor information

4.1.2. The cataloger will complete any areas of the slip needing attention, most often the call number, but also casing needs, special instructions, and if the item should be sent to HD.

4.1.3. Always keep routing slips with their books until each item’s final proofing and processing. The Technical Services Assistant retains routing slips after the items have been sent to HD or shelved on-site for recording statistics.

4.2. An Aeon slip should be paired with the routing slip accompanying each item sent to End-Processing. It should accurately reflect that the item is in End-Processing so that Houghton staff can easily find the item if needed, and that it is not necessarily ready for patron use, though exceptions can be made in consultation with the Technical Services Librarian or TS Assistant. If the slip does show that the item is checked out to End-Processing, check the item’s status in Aeon as the slip may not have been printed prior to its arrival in End-Processing.

<<picture of Aeon slip>>

4.2.2. The originating department will provide additional information, most often boxing, special instructions, and/or transfer location.

4.2.3. Keep Aeon slips with their books until each item’s final proofing and processing. The Technical Services Assistant retains Aeon slips after the items have been sent to HD or shelved on-site for recording statistics.

The Technical Services Assistant changes the Aeon status of a book or box to “Request finished” after it has been fully processed and sent to the stacks or HD, so that the item can be requested by staff for patrons.

RUSH Procedures

(For reference books, special curatorial requests, circulating Poetry Room books, some serials, and other special requests.)

Catalogers:

  • Label routing slips "RUSH" and place items on the "RUSH" shelf at the top of bay 1.

End-processors' procedures:

  • When making labels, always include items from the "RUSH" shelf first.
  • Check and paste rush items immediately after finishing the batch. If this is not possible, give to the end processing supervisor before the end of your shift.
  • After pasting, do not place on the drying shelves, but give directly to the end processing supervisor.

TS Assistant's additional procedures:

  • Edit item records, enter statistics, and deliver before the end of the day.