Preservation Policy

ILLINOIS STATEMENT UNIVERSITY

NORMAL, ILLINOIS

Approved, November 1997

CONTENTS

1. Philosophy 4

1.1 Mission and objectives 4

1.2 Definition of terms 5

1.3 Priorities for the program 6

1.4 Categories of materials 7

1.5 Collection Evaluation 7

2. The Preservation Program 9

2.1 Preservation Administration 9

2.2 Environmental Control 11

2.3 Replacement and Reformatting 12

2.4 Conservation 13

2.5 Deacidification 15

2.6 Commercial Binding 15

2.7 Shelf Preparation 18

2.8 Stacks Maintenance 18

2.9 Disaster Preparedness 20

2.10 Staff and User Education 21

3.0 Remote Collections 23

3.2 Storage 23

3.3 Archives 24

4.0 Organization 25

4.1 Preservation Department 25

4.2 Function 25

4.3 Relationships 26

4.3.1 Internal 26

4.3.2 External 26

1. PHILOSOPHY

1.1 MISSION AND OBJECTIVES

The practice of preservation begins, not when an item has begun to deteriorate from use, abuse or age, but with selection. Each item's ultimate value to the collection should be considered at the time of acquisition and initial preservation plans made at that time. The preservation of library materials and the implementation of guidelines governing that activity are the responsibility of every department in the library. The treatment library materials receive throughout the library will directly affect their length of usefulness. Preservation requires establishing a balance between the amount of protection an item is given and the use it receives.

The preservation of library materials is an essential element in the mission of Milner Library. The establishment of a Conservation Lab in 1989, a Preservation Committee in 1990, and a Preservation Department in 1994 reflect the library's long-standing commitment to this mission. The mission of the preservation program of Milner Library is to insure the availability of the library’s collections, now and in the future. The preservation program is structured in accordance with the following principles.

1. Preservation activity should encourage cooperation at all levels, within the library and university community, regionally, and nationally.

2. The program should encompass both general and special collections, and include materials in all formats in accordance with the Collection Development Policy of the library.

3. The program should conform, insofar as possible, to established practices for the preservation of library materials.

4. Current and future activities should be integrated into a unified plan which provides for the accomplishment of short- and long-term objectives through phased development.

5. Preservation is essential in an academic library and therefore should be an integral element in administrative planning for the library as a whole.

1.2 DEFINITION OF TERMS

Milner Library strives to provide a preservation program for its materials consistent with the library’s mission. The program encompasses plans, guidelines, procedures, personnel and resources necessary to implement, where appropriate, the treatment of those materials maintained for the use of the educational and research community the library serves.

For the purposes of this document, the library’s collection is understood to include all materials held in Milner Library, the Williams Hall storage facility, and the University Archives in Williams Hall. The term "preservation" means maintaining, in reasonable condition, each item in the collection. "Conservation" is the action taken to prevent, stop or retard deterioration. "Restoration" implies returning the deteriorated item to its original or near original condition. "Information preservation," as opposed to preservation of the physical object, consists of reformatting materials in order to preserve their intellectual content.

This preservation statement, working with Milner Library's existing organization and procedures as well as recognized preservation knowledge and techniques, provides specific guidelines for preservation and outlines the distribution of responsibilities to facilitate those practices.

1.3 PRIORITIES FOR THE PROGRAM

1. Follow accepted preservation practices throughout the library.

2. Identify and prioritize those materials in need of conservation treatment, and select the appropriate treatment method.

3. Maintain appropriate environmental conditions in the library and storage facility.

4. Maintain an effective disaster preparedness and recovery program, which encourages staff awareness and prevention efforts.

5. Provide an education program for library staff and patrons to insure proper handling, shelving, use and repair of the collection.

1.4 CATEGORIES OF MATERIALS

Working with Preservation Department personnel, librarians and staff set priorities, make decisions and develop procedures for the preservation of the following categories of materials.

Research Materials - materials of permanent research value.

Circulating Collection - materials that receive moderate to heavy use within the building, circulate frequently and contain some duplicates.

Reference Materials - materials that are used heavily and are frequently bound inadequately for their size, weight and amount of library use; sometimes superseded.

Ephemeral Materials - materials that will be withdrawn, superseded or reformatted. These include materials which receive heavy use and those which receive light use.

Special Collections - rare books, unique materials, items of local significance, or special format or subject collections.

1. 5 COLLECTION EVALUATION

The Milner Library Preservation Committee conducted a collection condition survey during fall semester 1993. The results of the survey continue to be used to give focus to the preservation program and to establish priorities.

The condition survey revealed that approximately 49% of the collection suffers from major or minor external damage to covers and/or boards. In the Social Sciences Division, that amount soars to 70%. While the damage to text block attachment to covers is 26% overall, in Social Sciences and Humanities the damage estimate is 38%. Major and minor user damage to the collection stands at 50%, with tears and highlighting accounting for 12% and 10% respectively. Forty-three percent of the collection shows signs of wear from patron usage. Approximately 30% of the collection suffers from environmental damage, the majority of which is due to fading caused by ultraviolet light. Nearly 83% of the collection contains acidic paper, but at the time of the survey only 5% could be classified as brittle.

Based on the results of this survey, the Preservation Department initiated a systematic treatment program in 1995 to rebind deteriorated monographs considered to be of continuing value to the collection. The problem areas identified in the survey are targeted by the Conservation Lab during routine collection maintenance.

Additional surveys of specific areas are conducted periodically, and are particularly informative to collection development activities.

2.0 THE PRESERVATION PROGRAM

There are ten key elements in a preservation program. These include preservation administration, environmental control, replacement and reformatting, conservation, deacidification, commercial binding, shelf preparation, stacks maintenance and collections improvement, disaster preparedness, and staff and user education. The preservation program in Milner Library addresses all these issues in compliance with standard preservation practice.

2.1 PRESERVATION ADMINISTRATION

The Milner Library mission statement includes the preservation of materials as one of its primary elements. This commitment to preservation necessitates an organized program to meet the needs of the library and the university. The preservation efforts of the library require a strong administrative component in order to emerge as a cohesive program. The preservation department works closely with all areas in the library to coordinate preservation activities and maintain a balance with other programs. The preservation librarian serves as the preservation advocate in discussions concerning the functions and mission of the library.

The preservation librarian oversees the development and operation of the preservation department. Responsibility for production-oriented activities, such as bindery preparation and conservation, is delegated to supervisors of those areas who operate within guidelines established by the librarian. For components which involve the library as a whole, such as environmental control and disaster preparedness, the preservation librarian provides expertise while working with other appropriate library personnel. Decisions which determine the growth and direction of the preservation program are reached cooperatively among the library administration, the preservation librarian, and other appropriate personnel in the same fashion as other major library programs.

The preservation librarian ensures that preservation activities performed by the library are consistent with accepted preservation practice and standards. New procedures and technologies are analyzed and evaluated before being adopted for use in the library. The preservation librarian represents the library in professional arenas and national preservation activities. It is the responsibility of the preservation librarian to remain abreast of state-of-the-art preservation theory and practice and use it to the best advantage of the library.

The Preservation Committee is comprised of faculty and support staff and has library-wide representation. The breadth of membership of this committee promotes awareness, cooperation and coordination of preservation activities. The Preservation Committee is responsible for the development of the guidelines and practices which guide the preservation program.

The Preservation Committee's specific responsibilities include the following:

1. To prepare and maintain a disaster preparedness plan, and serve as the core of the library's disaster recovery team.

2. To monitor library practices for adherence to established preservation practices and make recommendations to the administration as needed.

3. To educate library staff and users in appropriate preservation theory and procedures through workshops, displays and articles.

4. To monitor the condition of the collection through surveys and identify areas in need of preservation treatment.

2.2 ENVIRONMENTAL CONTROL

Control of the storage environment is the single most important aspect of collections maintenance. High temperature and humidity increase the rate of deterioration and promote mold growth, while very low humidity will desiccate bindings and embrittle paper. Optimum temperature and humidity levels for both library material and human comfort are 70 degrees Fahrenheit and 50 percent relative humidity, although lower temperatures in storage areas, such as the Special Collections book room, will slow the rate of deterioration. Additionally, fluctuations in temperature and humidity are undesirable because they cause materials to expand and contract and thus accelerate deterioration. Ultraviolet rays, from both sunlight and fluorescent light, fade bindings causing not only a loss of color, but also a weakening of both cloth and paper fibers.

As is the case with many libraries, the heating and cooling system in Milner Library does not provide for the maintenance of optimum conditions for both people and library materials. The humidity control system, when activated, creates unacceptable levels of condensation on exterior windows and cannot be used effectively. Portable humidification and de-humidification units are used in the Special Collections book room and the University Archives in Williams Hall to provide minimal humidity control in those areas. Any new construction or remodeling of the existing facility should include plans for adequate temperature and humidity control.

The heating, ventilation and air conditioning system in the library is maintained by the campus Facilities Management Department. Every effort should be made to work with ISU-FM to insure the best possible conditions in the library within the present limitations. Facilities Management personnel maintain the dry filters in the main intake duct which clean oncoming and recirculated air.

2.3 REPLACEMENT AND REFORMATTING

Not all deteriorated library materials warrant the expense of full restoration. Nor is it realistic to think there will ever be the time or the money to undertake such a project. The library should be prepared to pursue a program of information preservation in cases where the intellectual content of the item must be preserved while the artifactual value is not great.

When an item is identified for information preservation, every effort is made to commercially purchase a replacement from an out-of-print vendor, or as a reprint, photocopy, microform or electronic copy. The preservation program is committed to selecting the most appropriate type of reformatting for information, and examines new technologies that become available to determine their potential value and use to the library.

The library does not maintain an in-house microfilming facility. When the services of a commercial microfilmer are used, microfilming contracts are written to specify that all appropriate national standards for archival quality and bibliographic integrity must be met. Incoming microfilm is inspected on a random basis to insure adherence to these specifications.

Materials which, through use or abuse, are beyond repair and have reached the end of their physical usefulness must be evaluated by the appropriate librarian. The subject specialist is in the best position to determine the value of a given item to the collection, and the decision to withdraw, reorder or reformat is the responsibility of that librarian. Preservation staff are available for consultation concerning the preservation possibilities for a given item. (See Milner Weeding Policy)

2.4 CONSERVATION

The choice of the most appropriate treatment for a given item is based on many factors, including the item's long-term value to the collection, its condition and previous use, the availability of a replacement, and its intrinsic or artifactual value. Cost is the most important element in treatment selection, whether it is the cost of repair, restoration, withdrawal, replacement, or doing nothing. Whatever the decision, the long-term cost effectiveness of the selected treatment should be considered as well.

Decisions to treat individual items or whole collections are made jointly by the subject librarian responsible for the material and by the preservation staff. The subject librarian is in the best position to know the item's value to the collection and its intended use, while the preservation staff is responsible for choosing the best combination of methods and materials to ensure that use.

Screening of materials for repair occurs in two parts. First, the item is identified as needing treatment; second, the appropriate treatment for the problem is chosen. The original identification for treatment may occur at any time during the process of acquiring, cataloging, processing and disseminating library materials. The earlier the identification for treatment is made, the more successful that treatment will be. New acquisitions should be reviewed by the subject specialist before cataloging, taking into consideration the item's projected use and permanent value to the collection. Those items in questionable condition should be referred to the preservation staff. Vulnerable materials should be bound or reinforced before being allowed to circulate. Those items of long-term value to the collection, and for which it is appropriate, should be commercially bound if necessary, and those of more temporary value may be reinforced in-house. Materials should be selected for repair before minor damage has become a major problem.

Each item which is sent to the Conservation Lab is unique. Each one has its own history of use and abuse which affects its appearance and life expectancy. While most library materials are constructed in the same basic fashion, the quality of the individual products differs greatly.

Through the use of sound preventative preservation practices and common sense, damage to library materials can be limited. The Public Service areas are discouraged from making temporary repairs. Pressure sensitive tapes, except those supplied by the Conservation Lab, should never be used for on-the-spot repairs. All procedures used in the Conservation Lab are reversible and all materials are permanent and durable in so far as this is possible.

Routine repair and rebinding procedures are designed to reduce the time an item is unavailable for use. Batch processing is used when possible to save time and money. When it is reasonable to do so, the original cover is retained and restored rather than making a new cover or sending the book for commercial binding.

2.5 DEACIDIFICATION

The paper used in the production of books since 1840 is overwhelmingly acidic. While more and more paper mills are converting to the alkaline process of paper production, some books are still being printed on acidic paper today. According to a 1993 condition survey conducted by the Preservation Committee in Milner Library, 83% of the book collection is printed on acidic paper. Currently, only 5% of the collection is considered brittle, but that number will increase dramatically as the collection ages. The technology now exists to deacidify large quantities of books and documents, thereby arresting the degradation of acidic paper. Deacidification neutralizes the acid inherent in the paper and leaves an alkaline buffer to prevent re-acidification over time. Mass deacidification should be considered for those materials of long-term research value which are printed on acidic paper, particularly if replacement of the material would be difficult. Flat items to be encapsulated are deacidified in the Conservation Lab before enclosure.

2.6 COMMERCIAL BINDING

The commercial bindery is an integral part of the preservation program. The bindery, however, is a business and is unable, due to profit motivation and mass production techniques, to consider individually each volume it treats. It is the responsibility of the library and the personnel who write the binding contract to insist upon quality workmanship and sound preservation practices from the commercial binder. Only binderies which comply with Library Binding Institute standards for processes and materials are considered for the Milner Library binding contract.

The bindery schedule is designed to minimize the time an item is unavailable for use. Each public service area is provided a target number of periodicals to send to the bindery each shipment, in order to balance work flow and meet the binding needs of the library. Older monographs are sent for rebinding based on the schedule established by the Conservation Lab, while new monographs are sent upon receipt. Materials sent for commercial binding are charged out on the on-line catalog to alert users to their unavailability.

New monographs are chosen for commercial binding when the original cover or leaf attachment is not expected to withstand library circulation. Based on projected use, this decision is made by the subject librarian before cataloging. Worn or damaged materials are selected for commercial binding when the repair is beyond the scope of the Conservation Lab, or the item has significant long-term value to the collection.

Periodicals are commercially bound to ensure their long-term availability. The bindery provides the most appropriate method of leaf attachment based on the original structure of the issues. Every effort is made to secure missing issues before binding so that the volume is as complete as possible.

Bindery preparation staff tour the commercial bindery as necessary to become acquainted with the binding process and to see that materials are being handled properly. Library staff responsible for preparing items for commercial binding must be familiar with procedures and trade language to be capable of making appropriate decisions. Bindery shipments are regularly inspected to see that contract agreements are being met.

Selection of method of leaf attachment is the single most important aspect of binding. The library’s requirements in this area are written into the binding contract and regularly monitored with the vendor. Any new products or techniques offered by the binder are reviewed in light of the library's needs and good binding practice.

The commercial binder provides automated bindery preparation procedures and equipment to assist the library. This system is used in conjunction with the on-line catalog and the serials check-in database in order to prepare materials for binding and to keep adequate records.

2.7 SHELF PREPARATION

Neatly prepared materials can send a message to the user that these materials have value and should be handled carefully. Appropriately processed materials withstand more uses and are therefore available to the patron for a longer period of time.

The Processing Unit implements shelf preparation procedures developed in accordance with accepted preservation practice. The materials used in the unit are reversible and non-destructive insofar as possible. Processing staff are trained to recognize potential preservation problems and to refer those items to the appropriate preservation staff.

2.8 STACKS MAINTENANCE

Keeping the stacks clean and orderly prolongs the life of the materials shelved there, and enhances the ability of the patron to locate desired materials. Each Public Service area should conduct regular shelf-reading programs during which books are checked for proper order. At the same time, shelves should also be cleaned and straightened, book ends added if necessary, and areas which need to be shifted identified. Non-book materials are protected through the use of specialized containers. Routine cleaning and maintenance of media equipment contributes to the preservation of those materials which require that equipment.

Books are to be shelved upright, except for large folios. Allowing books to lean causes damage to the spine, sewing and pages. Bookends should be used as needed. Simply keeping books neat on the shelves and in an upright position will prevent much damage. Library books are not to be shelved on their fore-edges, since that practice causes the contents to pull away from the covers and destroys the shape of the spine. Books awaiting shelving should not be placed on their fore-edges. For those books too large to be shelved upright, alternative placement of call numbers will allow the numbers to be easily read when the books are shelved spine down. Very large volumes should be stored flat on wide shelves, with no more than three or four volumes per shelf. Providing adequate viewing space for oversize volumes will reduce damage to the volume during use.

Books should not be so tightly shelved that the patron is encouraged to remove the book by pulling on the head of the spine. Not only does tight shelving complicate removal, it can also create undue pressure to materials on the shelves. Shelvers are instructed to report overcrowded shelves and those which will not allow upright shelving of oversize books to the person on each floor responsible for shelf maintenance. Shifting is performed as needed to relieve improper shelving conditions. Before conducting major shifts in the stacks, personnel should be briefed in proper handling to avoid injury to themselves and library materials.

One member of the preservation staff is assigned one-quarter time to stacks maintenance. This activity includes cleaning materials and shelves with specially treated dust cloths, as well as shelf reading, straightening, and identification of materials in need of repair.

2.9 DISASTER PREPAREDNESS

Libraries are susceptible to damage resulting from natural and man-made disasters. Fires, floods, earthquakes, storms and mechanical malfunctions can all bring dirt, water and debris in their wake. Advance planning for such events enables the library to organize the salvage operation and reduce losses.

The disaster preparedness plan for the library is written and maintained by the Preservation Committee, who also serve as the Recovery Team. The plan includes names and phone numbers of pertinent staff members responsible for given aspects of disaster recovery; lists of necessary supplies and their locations; collection salvage priorities; detailed salvage procedures; and the names and phone numbers of off-site persons, suppliers and businesses who could contribute expertise in the event of a disaster. Copies of the plan are distributed to the recovery team, all library departments, and to other pertinent campus offices.

The development of salvage procedures and the determination of methods to be used during a recovery operation are the responsibility of the Preservation Librarian. Priorities for salvage are determined by the subject librarians.

Much of the damage occurring in libraries today is the result of poor maintenance of old plumbing, leaks in the roof or careless placement of air-conditioning or ventilation ducts. Plans for a new building or remodeling of the existing structure should take these possible dangers into account.

2.10 STAFF AND USER EDUCATION

Before a library preservation program can be effective, it must have the support of the library staff. Because people who handle hundreds of books each day tend to treat them indifferently, the library staff can be a major element in the deterioration of library materials. Well-intentioned "repairs," mishandling and faulty shelving practices, performed out of a lack of information rather than malice, can ultimately contribute to the loss of both materials and money. Thus, a primary responsibility of the preservation program is to communicate the preservation goals of the library to staff members who may be unfamiliar with preservation. Preservation of the collection requires the cooperation of everyone who works in the library.

All new employees are made aware of the library's preservation program through the New Employee Packet, and those with preservation responsibilities are referred to the Preservation Librarian for orientation. The Preservation Librarian participates in Centralized Student Training, teaching a materials handling unit to new student assistants. The Preservation Committee holds workshops on pertinent topics as necessary, and the Preservation Librarian apprises affected personnel of new techniques and practices available in the Conservation Lab.

Library patrons tend to treat library materials as they perceive them to have been treated in the past. If the library projects an atmosphere of care and concern for its holdings, the patron will recognize that. An active preservation program encourages respect for the library and its collection. Patrons resort to mutilation of library materials out of ignorance, disrespect for the library, or dissatisfaction with library services. These motivations can be weakened through education, logical policies, clearly posted penalties and user-oriented services. Patrons are prosecuted for the mutilation and/or theft of library materials in accordance with appropriate statutes. A warning statement to this effect is posted in several places within the library.

The Bibliographic Instruction program within the library, particularly as it teaches general education classes, has the opportunity to reach a large number of the university's students. This program should include information to increase preservation awareness among the library's users.

3.0 REMOTE COLLECTIONS

3.1 STORAGE

Milner Library maintains an 82,000 volume storage facility in Williams Hall, the former library building. Materials sent to storage continue to have value to the collection, but are not used often enough to warrant shelf space in the main library. Patrons can request materials from storage and are able to charge out those items after Circulation staff have retrieved them.

Materials from storage receive minimal treatment in Conservation before or after circulation as needed, in order to stabilize them. Damaged items do not receive extensive treatment unless the decision is made to return them to the regular collection.

The environment in the Williams Hall facility is extremely unstable. Temperatures reach 90 degrees during the heating months, while dropping to an acceptable 65 degrees at times when the air conditioning is in operation. The relative humidity fluctuates wildly from 15% to 90%, depending on the season. Mold outbreaks are common in the summer and, due to the remote location of storage, often cause irreparable damage before being discovered. Any remodeling or relocation of the storage facility should include plans for efficient environmental control.

3.2 ARCHIVES

The University Archives is located in the basement of Williams Hall, the former library building. The Archives is an official arm of the library, and the University Archivist reports to the Dean of Libraries.

The Preservation Librarian works closely with the University Archivist, determining appropriate treatment, housing and reformatting for materials in the collection. Disaster recovery assistance is afforded to the Archives just as it is to the main library and storage collections.

The environment in the Archives is the same as that for the storage facility. (See 3.2) Portable humidifiers and dehumidifiers are used in the Archives to attempt to control the relative humidity. Any remodeling or relocation of the Archives should include plans for efficient environmental control.

4.0 ORGANIZATION

4.1 PRESERVATION DEPARTMENT

The Preservation Department resides within Technical Services in the Milner Library organization. The Preservation Librarian reports to the Associate Dean for Technical and Administrative Services.

There are three distinct units within the Preservation Department: Binding, Conservation, and Processing. Full time staff include a Library Technical Assistant (LTA) I and a Library Clerk (LC) II in Binding and two Chief Library Clerks in Processing. The Conservation Lab is led by an LTA III, whose duties also include departmental management responsibilities. An LC III performs conservation treatments and an LC II is responsible for stacks maintenance.

4.2 FUNCTION

The preservation program is guided by the following principles:

1. All repair procedures are consistent with established preservation practices.

2. The materials used in the Conservation Lab are permanent and nondestructive, and all treatments are reversible in so far as this is possible.

3. A distinction is made between materials of permanent research value and those which are rare or unique. This distinction influences the decision for the type and extent of treatment performed on a given item.

4. Decisions for treatment are made cooperatively between the subject librarian, who is aware of an item's value to the collection, and the preservation staff, who are knowledgeable of the appropriate treatment options.

4.3 RELATIONSHIPS

4.3.1 INTERNAL

While the Preservation Department is physically housed and organizationally placed in Technical Services, the preservation program is committed to service for the entire library and is guided by the needs of the library and the university committee. The preservation program is not a behind-the-scenes process, but actively reflects the purpose of the library and the use of the collection.

4.3.2 EXTERNAL

Milner Library is committed to furthering cooperative efforts to preserve library materials. The library is an active participant in cooperative projects with such organizations as the Alliance Library System and the Illinois Cooperative Collection Management Program. These cooperative activities have a positive impact on library collections state wide, as well as reducing costs and eliminating duplication of effort.

The Preservation Librarian serves as a resource person for the region, providing collections care and disaster recovery information and assistance to other libraries.