- Introduction
- Policy Principles
- Purpose of the Preservation Policy
- Definitions
- Access
- Risk Assessment
- Security Statement
- Disaster Preparedness
- Premises and Storage
- Needs Assessment
- Reprographics, Surrogates and Photocopying
- Handling & Transportation
- Training
- Exhibitions and Loans for Exhibitions
- Collections Preservation and Good Housekeeping
- Preservation and Conservation Treatments
- Selection for conservation
- Budgeting for Preservation
- Preservation Research
- Monitoring and Review of Policy
1. Introduction
UCL Library Services recognises its responsibilities to preserve its Special Collections in an accessible and safe condition, in perpetuity, to support the teaching and research of UCL and for the use of present and future generations. These responsibilities are further endorsed through UCL Library Services membership of “ Research Libraries UK” (RLUK) and its commitments to the wider community of research libraries and their users.
For a definition of 'Special Collections' see 4 below and for a description of UCL Library Services, Special Collections; see: the Library's web pages at http://www.ucl.ac.uk/Library/.
2. Policy Principles
This policy sets out what UCL Library Services will do to achieve its duty of care for all its Special Collections while maintaining and promoting access to these collections. The policy provides a comprehensive statement on the preservation and conservation requirements for Special Collections, and highlights the particular standards and procedures appropriate to maintain the integrity of all the items designated as Special Collections, including their historical, textual, pictorial, and physical content. Moreover, material in original format (whether paper-based or otherwise) will be preserved in perpetuity and access will be provided to original and surrogate formats as appropriate. This policy refers to particular standards and procedures appropriate for non-digital formats only (see : Reprographics, Surrogates and Photocopying, 11 below).
In fulfilling these duties, UCL Library Services adheres to the principles of preservation and conservation for Special Collections as recommended in British Standards BS5454:2000; by the National Preservation Office; the International Federation of Library Associations and Institutions; the Institute of Conservation and the European Confederation of Conservator-Restorers' Organisations.
3. Purpose of the Preservation Policy
The purpose of this Preservation Policy is to provide direction to all UCL Library Services staff who have responsibility for Special Collections in order that they may carry out their collections management responsibilities (relating to the preservation and conservation needs of Special Collections) in an informed way.
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4. Definitions
For the purposes of this policy, UCL Library Services has adopted the following definitions for Special Collections Materials, Preservation, Conservation, and Archival Quality Materials:
Definition of Special Collections Materials
UCL Library Services holds a large number of Special Collections which by virtue of the uniqueness or rarity of the items contained within them, their physical form, content, depth of subject coverage or other Special significance, are distinguished from the general stock of the Library and receive Special treatment in terms of housing and security, management, cataloguing, handling, consultation, preservation and conservation. By their nature they also form part of the local, national, and international documentary heritage.
An item or collection of items is normally designated as, added to or acquired by Special Collections if it fulfils the first and one or more of the following criteria:
- It complements, enriches or builds on the subject strengths of existing Special Collections (as detailed in the UCL Library Services' Special Collections Management Policy)
- It has been identified as supporting UCL teaching and research needs
- It is of intrinsic local (UCL), national or international heritage significance
- It is written in or contains items written in manuscript format
- It is intrinsically Archival in form and content, or it has been designated as archival in content. (For the purposes of this policy, Archival is further defined as an item or group of items in any medium that have been created by an individual, family, business or organisation during its existence, and have been chosen to be kept permanently or not other-wise disposed of because they are considered to be of continuing and historical value. Groups of personal papers or individual items are also often known as manuscript collections or manuscripts. Such items are unique and irreplaceable. Archives are not just written documents on paper or parchment, such as wills, diaries and letters. They may be photographs; audio-visual material like sound recordings and films; maps, plans and drawings; printed matter such as an organisations minutes or accounts)
- It is a Rare Printed Work or contains rare printed works. For the purposes of this policy, a Rare Printed Work is further defined as fulfilling one or more of the following categories:
- Created earlier than 1850
- Significant provenance
- Special bibliographic significance (a first edition, out of print, limited or Special edition, a fine binding, privately published or small press items)
- Significant cultural or historical value (e.g. association items, inscribed Items, items of known scarcity value)
- It enhances the reputation of, or is of Special local or historical significance to UCL
- Its physical format, fragility or vulnerability requires Special storage conditions and care in handling
Definition of Preservation
Preservation includes all managerial and financial considerations, including storage and accommodation provision; staffing levels, including the management of volunteers working with Special Collections, techniques, and methods involved in preserving all materials housed in Special Collections.
Definition of Conservation
Conservation: is taken as direct intervention to prevent/make good damage to materials.
Definition of Archival Quality Materials
Any cellulose based material (paper or board, etc) which is free from lignin and ground or chemical wood pulp and containing a neutral and stable size (gelatine,carboxymethyl cellulose, or Aquapel tm) and that has been buffered with an alkaline reserve to a pH of 7 or above, expressly for the purpose of producing a more durable product for the preservation of information or original materials. Adhesives, staples, stitching, and fittings associated with this cellulose material should also be stable, and not have any degrading effect on the materials they come into contact with.
5. Access
In keeping with the UCL Library Services Strategy 2005-10, it is recognised that the preservation and use of Special Collections is an important function of the prime purpose of the UCL Library Services as a whole. All Special Collections materials will be made available for research, for group activities and/or seminars which include the use of Special Collections materials, reprography, including other forms of surrogacy, and exhibition whilst ensuring that risk to any of these items is minimised. (For the exhibition of Special Collections, see 14 below.)
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6. Risk Assessment
UCL Library Services acknowledges its responsibilities to guard against any risks to any of its Special Collections and take appropriate action accordingly.
These risks can be classified as follows:
- Natural routine risks: relative humidity, temperature, light, pollution, pest infestation
- Natural extreme risks: fire, flood, earthquake, contamination
- Man-made routine risks: handling, wear and tear
- Man-made extreme risks: theft, vandalism, war, civil unrest
The Preservation Librarian, members of Special Collections staff and other UCL Library Services staff responsible for the safekeeping of Special Collections, routinely carry out risk assessments to guard against the risks listed above. These assessments also take into account the local context of the buildings in which Special Collections are stored and used, including all potential risk areas such as manhole covers, overhead water piping (including any fire suppressant systems) etc.
7. Security Statement
Security measures for the prevention of theft and vandalism to all Special Collections are of the highest priority. All storage areas, reading rooms, and other areas set aside for consulting Special Collections, including all office areas where Special Collections are catalogued, together with those areas used for group activities and/or seminars which include the use of Special Collections materials must be secure and supervised all times by one or more trained and responsible member of staff.
All bona fide readers requesting access to Special Collections materials must be processed in accordance with the rules governing the use of UCL Library Services, Special Collections and those procedures currently in use at sites which also house Special Collections.
UCL Library Services maintains a number of security measures for the safe keeping of Special Collections including; exit alarms, security doors with sound locking systems, intruder alarms and CCTV. All these systems are monitored by Special Collections staff and UCL Central Security Control Centre.
The transit of Special Collections outside of their normal storage areas or reading rooms - for conservation work, reprographics, loan exhibitions, group activities and/or seminars etc is governed by strict procedures and policies including:
- All Special Collections materials must be protected and carefully handled at all times
- They must be appropriately packed with ownership documentation and receipts prepared for signing and dating
- The signed receipts and another documentation must be returned to the normal storage area of Special Collections for filing
- When transporting Special Collections materials between UCL sites, similar procedures for packing and documentation, including signed receipts
- When moving Special Collections materials outside of their normal storage areas to an external destination, they must be escorted by at lest two trained members of staff from Special Collections, or other UCL Library Services staff who are responsible for the safe keeping of Special Collections. (see: Reprographics, Surrogates and Photocopying, and Handling & Transportation, 11 and 13 below)
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8. Disaster Preparedness
Special Collections staff and other UCL Library Services staff responsible for Special Collections materials (under the direction of the Preservation Librarian) are responsible for ensuring that contingency plans and procedures are in place to prevent, react to and recover Special Collections materials from emergency situations that may have an adverse effect.
9. Premises and Storage
The long-term preservation of all UCL Library Services' Special Collections will be ensured through the use of appropriate premises and storage facilities. The environmental conditions in key storage areas for Special Collections are controlled by air conditioning, with computerised monitoring of relative humidity and temperature levels recorded on dataloggers and downloaded on a regular basis, so that hardcopy proper records may be kept. To ensure the smooth running of these environmental controls, all filters connected to the air conditioning units are changed regularly (every six weeks for bag filters and annually for carbon filters). Controls in the air conditioning plant are directly linked to UCL Estates & Facilities Maintenance Section so that remedial action can be taken immediately in case of malfunction or breakdown of the air-conditioning equipment. All environmental conditions follow the recommendations of BS5454:2000 standards with a constant relative humidity (R/H) of 55% +/-5% and a temperature of 16 degrees Celsius +/- 1 degree (all violent fluctuations in R/H and temperature are avoided wherever possible). UCL Library Services resolves to ensure that appropriate premises, storage (including shelving as recommended by BS5454:2000 standards) and environmental controls are in place for the safekeeping of all its Special Collections.
UCL Library Services will also ensure that all localised housing, boxing and other forms of protection used to prolong the longevity of its Special Collections are manufactured from materials of the highest 'archival quality' (see: Definitions, 4 above).
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10. Needs Assessment
Statistically valid condition surveys are carried out on a regular basis for all of UCL Library Services, Special Collections. These surveys allow for assessment of the general physical condition of Special Collections and provide the basis for realistic preservation/conservation planning, including cost projections.
11. Reprographics, Surrogates and Photocopying
UCL Library Services runs an active programme of reprographics and other forms of surrogate copying of its Special Collections; using microforms, digitisation, photography, and photocopying. This programme is recognised as an important part of UCL Library Services strategy to preserve its Special Collections, and to disseminate and promote the information they contain more widely to UCL users and the public. For fragile and vulnerable material, readers are encouraged to consult surrogate copies unless they have a valid reason for seeing the original.
The programme of reprographics is undertaken in accordance with UCL Library Services policies governing copyright (see: the Library's web pages at http://www.ucl.ac.uk/library/copyright/) and is generated by the following criteria:
- To fulfil the objectives of UCL Library Services
- To promote the use of Special Collections to a wider audience.
- The significance and value of the material
- The amount and nature of usage
- The physical condition of the material
- The need to exhibit Special Collections materials in areas which do not conform to UCL Library Services' "Terms and Conditions for the Loan of Manuscripts, Rare Books or Archives for Exhibition", and/or UCL Library Services' "Exhibitions Policy for Special Collections & other Rare and Valuable objects". (See: Exhibitions and Loans for Exhibitions, 14 below)
UCL Library Services recognises that reprographic and surrogate processes including microfilming, digitisation, photography, and photocopying, pose a potential risk of damage to its Special Collections materials. Therefore, every precaution is taken to avoid damage or interference with an item's physical integrity and historical authenticity. All Special Collections materials required for any form of surrogacy, as listed above are to be assessed for their suitability for reprographic and surrogacy only by trained UCL Library Services staff and other appropriately trained UCL reprographic professionals and external providers of these services.
Master copies of all digital surrogates taken of Special Collections materials are stored and maintained by Special Collections staff, UCL Library Services Web Development Team, and UCL Media Services .
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12. Handling & Transportation
UCL Library Services recognises that appropriate handling of all its Special Collections materials by staff and users is an important means of ensuring minimal loss and damage. To assist in these requirements, the Preservation Librarian will provide guidelines and appropriate training on handling Special Collections materials to Special Collections staff and all other UCL Library Services staff who have responsibility for the care of Special Collections. All readers are monitored to ensure that these guidelines and procedures are followed.
UCL Library Services recognises that photocopying and other reprographic procedures, including digitisation etc are a potential for major damage to Special Collections materials. Therefore, before any of these activities are undertaken the suitability of any Special Collections materials for photocopying and other reprographic procedures must be assessed by trained UCL Library Services staff and other appropriately trained UCL reprographic professionals and external providers of these services (see: Reprographics, Surrogates and Photocopying, 11 above).
Procedures for the transit of Special Collections have been developed to ensure that the movement of any Special Collections materials outside of their normal storage areas – for conservation work, reformatting, loan exhibitions etc – are well protected, secure and carefully handled, with appropriate documentation and receipts signed and dated accordingly, see: Security Statement, 7 above.
13. Training
UCL Library Services recognises the need for continuing professional development (CPD) for all staff working with Special Collections in order to maintain the highest level of awareness of development in preservation practice, materials, and procedures.
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14. Exhibitions and Loans for Exhibitions
For Special Collections materials sent on loan and for exhibition contact UCL Special Collections for further information.
15. Collections Preservation and Good Housekeeping
UCL Library Services recognises that ongoing and routine collections maintenance will reduce the likelihood of serious damage to its Special Collections. Collections maintenance procedures include:
- Monitoring environmental conditions on an ongoing basis
- Maintaining a pest management programme
- Maintaining cleanliness in all Special Collections storage areas and other spaces where these collections are consulted
These procedures will be monitored on a regular basis by the Preservation Librarian and other trained staff.
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16. Preservation and Conservation Treatments
Preservation treatments are undertaken to prolong the life of all Special Collections materials, and include housing, boxing, cleaning etc. These procedures also include conservation treatments and the creation of surrogates when original and other primary source materials are at risk, damaged or deteriorated. All these treatments are undertaken to recommended international standards and all materials used in the preservation and conservation process will be of the highest archival quality as directed by BS5454:2000 standards (see: Definitions and Premises and Storage, 4 and 9 above). UCL Library Services also recognises that preventive preservation is the most effective means of conserving its Special Collections. Preventive preservation techniques and procedures will be put in place before conservation treatment of any individual item. This includes selective cleaning of all dusty and/or mouldy items and housing (including boxing) of all vulnerable material.
17. Selection for conservation
Special Collections materials are selected for conservation according to the following priorities:
- To fulfil the objectives of UCL Library Services
- To promote the use of Special Collections to a wider audience
- The significance and value of the material
- The amount and nature of usage
- The physical condition of the material
- If it is required for public display
All conservation treatments will be of minimum intervention, leaving the integrity and originality of the item unchanged. Each item will be individually assessed, by the Preservation Librarian and other trained Special Collections staff, and conservation limited to what is necessary for its long term stability and expected use. A conservation record (including before and after photography) of all treatments undertaken will be maintained by the Preservation Librarian and made available on request. Only those conservators who are accredited under the Professional Accreditation of Conservator-Restorers (PACR) scheme or who are working towards accreditation with PACR will be engaged to conserve any Special Collections items. For the movement of Special Collections for conservation treatment: see Security Statement, 7 above.
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18. Budgeting for Preservation
UCL Library Services allocates a proportion of its annual budget to ensure that this preservation policy can be implemented. This budget is maintained by the Preservation Librarian and reviewed annually. Additionally, external funding and sponsorship will be sought to support UCL Library Services' efforts to preserve and conserve its Special Collections materials.
19. Preservation Research
UCL Library Services actively supports scientific and technical research to address problems encountered in the preservation of all its Special Collections.
20. Monitoring and Review of Policy
This Policy will be will be monitored and reviewed on a regular basis to ensure that it addresses current developments in the preservation and conservation of UCL Library Services Special Collections and to reflect overall national standards and strategic planning changes.
Frederick Bearman ACR
Preservation Librarian
Revised 4 November 2009
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Last modified 17 November 2009
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