College and Research Libraries GAY WALKER Preservation Efforts in Larger U.S. Acade~nic Libraries A survey of preservation activities in large U.S. academic libraries re- vealed widespread problems of deterioration of library materials. The mafority of respondents hatJe developed some countermeasures, and various procedures are examined. Recommendations are made for establishing a preservation unit. It is evident that further commu- nication in this area is seriously needed. THE PHYSICAL DETERIORATION OF LI- BRARY MATERIALS is a critical problem facing academic libraries everywhere. Acid impurities introduced during pa- per production since the mid-nineteenth century and assimilated since from air pollutants cause a breakdown of the cellulose molecule and ultimate total de- terioration of the paper. Harmful en- vironmental conditions, such as heat and humidity extremes, aid in this de- struction.1 The deterioration problem is often assigned a low priority due to in- sufficient funds or personnel and the lack of large-scale technical solutions. The importance and support accorded preservation efforts must increase if li- brary collections so carefully developed over the last hundred years are to last beyond the coming generation of users. Book conservators and researchers are developing long-term preservation mea- sures such as deacidification for impor- tant materials.2 Two of the largest non- academic libraries, the New York Public Library and the Library of Congress, Gay Walker is preservation librarian, Yale University Library, New Haven, Con- necticut. have established comprehensive conser- vation sections, the latter with its own research laboratory. Unfortunately, there are so far few academic libraries able or rich enough to institute these techniques to preserve large numbers of volumes in poor condition. Realistic al- ternatives to restoration have been im- plemented at various libraries, includ- ing reproduction, replacement, and withdrawal of deteriorated materials. This article presents the results of a sur- vey, conducted in 1972, which confirms the existence of preservation efforts, their magnitude, and procedures. The questions asked were developed from experience in the Preservation Project at the Yale University Library. Questionnaires were sent to 115 aca- demic libraries, all with holdings of 500,000 volumes or more. Eighty-six li- braries, about 75 percent, replied, and many expressed a deep concern over preservation problems. EFFORTS UNDERTAKEN Sixty-two libraries, or 72 percent, re- ported some preservation procedures. Although many are small ccrepair or re- shelve" operations, a few have devel- /39 40 I College & Research Libraries • January 1975 oped more sophisticated programs of re- placement, reproduction, withdrawal, and special repairs. Though deterioration was not a prob- lem for a few recently opened or small- er libraries, several larger libraries indi- cated severe budgetary limitations which prevented any preservation action. At least four libraries have independent preservation operations with one or more persons engaged primarily in pres- ervation activities of an organizational and decision-making nature. Thirty-nine libraries reported preservation activities associated with technical services, and fifteen reported preservation activities as- sociated with circulation. All programs handle high-use items in disrepair; forty libraries use stack checks to discover other items needing preservation attention; twenty libraries use inventory; and twenty-five rely upon staff reports. Most titles processed are re- cently circulated items. Two libraries ex- pressed plans to check systematically through their entire collection for de- teriorated materials. It should be noted that twenty-one libraries have never taken a full inventory; and the majority give lower priority to items in storage collections. Patron or staff recommendations on deteriorated items are generally acted upon. Consultation with subject spe- cialists concerning such materials is gen- erally done only in special cases. Most libraries check the condition of other copies or editions of a deteriorat- ed item before deciding on its disposal. The reprint remains the most attractive form of replacement for both the de- teriorated monograph and serial and is twice as popular as out-of-print search- ing in the case of monographs. The main drawback cited for reprints is high cost, although bibliographic accu- racy presents problems. One librarian commented, ccReplacing a book with another from the same printing is in general senseless in that the life expectancy of the second is also low." Microfilm and microfiche were ac- ceptable to fewer libraries. Almost all participating libraries at- tempt to replace out-of-print deteriorat- ed volumes. While a few discard the originals outright and some leave them on the open shelves, the majority of li- braries keep the originals in storage areas or "brittle book collections" until the replacement arrives. One library's solution for deteriorated volumes diffi- cult to replace is to put the book in a pamphlet binder "so that it is available as long as possible." Approximately one- third of these libraries resell some of the withdrawn volumes. At least two libraries have a separate preservation budget for replacements and reproductions, and seven use in- house reproduction facilities to produce replacements. The large majority of the libraries surveyed attempt to replace serials which are beyond repair, and most own partial serial runs on film. It is more popular to use film for serial than for monographic replacement although re- prints are still the first choice. Attempts are generally made to iden- tify fragments while books with missing pages are either replaced · or completed by photocopying. No libraries are using technological preservation methods on a large scale in their main collections, and only one indicated immediate plans for such a step. That library planned the use of the vapor phase deacidifica- tion process. The numbers of deteriorated volumes processed illustrate the casual approach to preservation taken by most large aca- demic libraries. Thirty-two libraries handled less than 300 such volumes per year. Only one library estimated that the deteriorated items processed annually came to more than 1 percent of the col- lection. Four libraries, however, main- tained records and processed more than 1,000 volumes yearly in an aggressive and systematic attack on the deteriora- tion problem. A MoDEL PREsERVA noN PRoGRAM Although every library is dealing with a slightly different situation in terms of book deterioration, many aspects of es- tablishing a preservation program can be generalized. What follows is an out- line of some of the goals, considera- tions, and processes thought important by this author in setting up a preserva- tion program. Initial planning for a preservation program should insure a thorough, co- herent approach to the many aspects of preservation which affect all sections of the library and may include binding, re- pair, reprography, and collection man- agement along with the actual preserva- tion section. It is ideal to have one per- son in charge of the operation who will concentrate on overall organization and special projects, keep criteria consistent, establish priorities, and guide decision making. This person should have the necessary authority to establish pro- cedures and implement decisions and should be .responsible for keeping in- formed on new developments, educat- ing staff and patrons, planning for emergencies, and recommending pre- ventive environmental conditions and procedures for the entire library system. Many departments will be affected, and both budgetary and organizational changes should be anticipated. Inde- pendence for the preservation program is recommended, but it may be necessary to start in association with another de- partment. The circulation department can identify deteriorated items after circulation and will know high-use areas and collection idiosyncrasies. Other de- partments, such as cataloging or bind- ing, may provide equally helpful con- nections for preservation efforts. One of the first steps should be a sur- vey of stack conditions to determine the scope of the problem. This will aid in Preservation Efforts I 41 planning the actual program, its hous- ing and personnel, and the involvement of other departments. It will also aid in providing hard facts for budgetary con- sideration. Another early step should be the formulation of a preservation pol- icy which establishes criteria and goals. Deteriorated items are most easily identified after use by circulation per- sonnel. Focusing o,n these high-demand items is an obvious priority, although many research items receive little use but may be of critical importance. An inventory, while clearing up missing- book problems, can also be used for identifying deteriorated volumes. Each deteriorated item should be re- viewed with certain information avail- able: its relation to the collection and its commercial availability in reprint or microform. After making a record for the item to allow bibliographic control and user access, a search form should be made which will ultimately contain all necessary information about that item. Relevant volumes (other editions, duplicates , rest of the set) should be examined for condition where possible. For instance, if an exact duplicate in good condition is held, the deteriorated copy might be withdrawn unless the use pattern suggests duplication. Items with poor paper which cannot be repaired should be searched in the trade bibliog- raphies to determine availability. 3 With this information, an acceptable decision on the disposal of research materials can be made by the appropriate bibliog- rapher, curator, or subject specialist. If criteria for peripheral materials (such as mysteries, certain subject areas) are clear enough, a decision may be made without this additional information. The decision-making process, though unique for each library, must be cooper- ative. The head of the preservation unit should act as a check, obtaining second opinions where necessary and maintain- ing a consistent approach to · all materi- als. The disposal options should be 42 I College & Research Libraries • January 1975 made clear to the specialist consulted, and comparative costs of alternatives should be available. Each volume must be reviewed, the bulk usually by the bibliographers or book selectors or a staff specialist. Curators of special col- lections and branch librarians are also important consultants. The request for recommendations on particular titles from faculty specialists encourages in- terest and can provide valuable exper- tise as well. Weeding routines may pro- vide useful aids, especially in terms of consulting procedures. Monographs Decisions must be made for each monographic title based on its value and relation to the collection. Postpon- ing action on identified volumes in poor condition or even tying or boxing items to last "as long as possible" is a disser- vice to the research collection. Titles al- ready part of the collection may be as important as new additions, and it is fair to make decisions on a competitive basis with new acquisitions. However, it appears preferable to set aside funds specifically for preservation replace- ment, reproduction, and repair so that the value and position of each book may be given the fullest consideration. A separate "brittle book" collection does not solve the problem of deteriorated items and may result in total loss. Stor- age collections may become "poor paper depositories," so criteria for storage should be carefully examined. The alternatives available for deci- sion making may vary with each library as many options are dependent upon ad- ditional funds or special personnel. The major options are to repair, rebind, re- place, reproduce, withdraw, or reshelve. The need for complete freedom in the choice of alternatives is evident. The re- pair or rebinding of an item depends on the condition of the paper, cost, and familiarity with the binders who serve the library. It may be more feasible to replace a research item with a reprint than undertake expensive repair work. Criteria for rare and semirare books will, of course, be different, and consul- tation with the appropriate specialist is necessary. The workload from these two categories must be reviewed with the binding unit to set up a tenable routine. Facsimile reprints are generally the most satisfactory replacement format. The advantages of reprints are many: paper used for reprinting is often long- er-lasting (such as the permanent/ du- rable paper developed by the Barrow Laboratory which should last at least 300 years) ;4 the format is identical to that of the original; printing is on both sides of the page; and the book is bound and easy to use in the conven- tional format. The retention of de- teriorated materials until they are phys- ically replaced is critical to the contin- ued availability of the text. Direct con- trol should be maintained over d eterio- rated items awaiting replacement; a spe- cial area is best, with controlled user ac- cess, no circulation, and supervision of the physical and record withdrawal. E x- perience has shown that out-of-print searching for exact replacements of de- teriorated rna terials should be a voided due to similarity in paper conditions and the unjustified expense in obtain- ing, at best, a very temporary solution. If deteriorated items are needed and not available commercially, hard copy reproduction (with due respect for copy- right restrictions) -either by photodupli- cation, using permanent/ durable paper, or by the more expensive enlarged pa- per copy method from a negative micro- film-is necessary. Microfilming is usu- ally the second choice, depending on the nature of the iten1, how large it is, and its use in the collection. It is helpful to have a written policy outlining general criteria for withdraw- al (such as off-prints, out-of-scope, low- use duplicates, mysteries, or areas of branch library responsibilities), but in- dividual judgments should be made in each case. Books withdrawn or replaced should have call numbers and plates marked out and date slips removed im- mediately. Otherwise, books are likely to turn up on the shelves again. Resale of suitable items via library sales or dealers can be economically beneficial to the library. Personnel involved in preservation must be careful to avoid being over- zealous. Does the item really require at- tention, or can it be reshelved or labeled only? Experience will be the best guide to choosing items needing immediate at- tention. Serials Deteriorated serial volumes present other difficulties as the condition of the whole run may be poor. When repairs are not sufficient or feasible, the preser- vation decision must be made on the basis of use, availability of replace- n1ent, and value. The ideal disposal de- cision will take into account the condi- tion of the entire run, to avoid later duplication of effort. The more popu- lar serial titles are sometimes in print, but titles of highly specialized research value must be carefully preserved or re- produced (with due regard to copyright restrictions). Cooperative reproduction or transfers are attractive possibilities. Serials can be accumulated and the com- plete run of each title checked as to physical condition. In this way, cost es- timates can be made for the alternatives on every title. Replacements would be chosen according to value and the state of the run; if the whole run is poor, it might be placed on microfilm while one or a few poor volumes might be re- placed by hard copies. The replacement for any item read as a single unit and receiving at least moderate use may be preferable as a hard copy. It is best to attempt identification of fragments immediately upon receipt as they are an indication of worn or de- Preservation Efforts I 43 teriorated material which should be processed as soon as possible to prevent further loss. Interlibrary loans may be used to copy missing pages, and it is best to use permanent/ durable paper for all such photocopying. Other Considerations A general ''awareness campaign" for both staff and patrons will greatly bene- fit preservation efforts and encourage in- volvement. Educational activities such as tours, exhibits, hand-outs, bibliogra- phies, or "Conservation Days" will serve as good advertising and may bring val- uable help from faculty and other spe- cialists. Preservation activities are crit- ical to the research collection and pro- vide service of immediate benefit to both patrons and staff, and a clear un- derstanding of the program is impor- tant. Few libraries have fully documented their preservation efforts. 5 The main- tenance of careful statistical records is essential for preservation activities and should be a basic requirement. Each li- brary has apparently developed its own standards and criteria for decision mak- ing for deteriorated items, and though one policy would be impractical for all libraries, with their differences in bud- get, manpower, and philosophy, perhaps helpful guidelines may be drawn up to help the organization of preservation pro- grams at other libraries in the future. CoNCLUSION The deterioration of library materials is of critical proportions for large American academic libraries. As this problem becomes more apparent to li- brary administrators, more separate preservation programs will be estab- lished. Some suggestions have been made for the establishment of a pres- ervation unit on a small scale. The sur- vey reported here shows that many inde- pendent approaches have been made in handling deteriorated library materials 44 I College & Research Libraries • January 1975 but that only three or four academic li- braries have instigated preservation pro- grams to deal with the problem in its en- tirety. These libraries should communi- cate their findings and methods of oper- ation so others may benefit from past experiences. Such cooperation is essen- tial for a successful, on-going campaign to preserve library collections. REFERENCES 1. The two-volume title by George Cunha and Dorothy Cunha, Conservation of Library Materials (2d ed.; Metuchen, N.J.: Scare- crow, 1971), gives an excellent overview and bibliography for the entire field of pres- ervation including storage conditions. A comprehensive scientific essay on storage conditions can be found in Carl Wessel, "Environmental Factors Affecting the Per- manence of Library Materials ," in Howard W. Winger, ed., Deterioration and Preserva- tion of Library Materials ( Chicago: U niv. of Chicago Pr., 1970 ), p.39-84. A good discussion of the subject in layman's tenns is presented by Paul Banks, "Environmental Standards for Storage of Books and Manu- scripts," Library Journal 99:339-43 (Feb. 1, 1974). 2. In particular, see papers by Richard Daniel Smith on paper preservation and deacidifica- tion, especially his "Paper Impermanence as a Consequence of pH and Storage Condi- tions," Library Quarterly 39: 153-95 (April 1969). 3. See Alfred Lane, "Reprints in the Preserva- tion Picture; And a Drift Aside," Special Li- braries 63:305- 9 (July 1972). 4. See the works by William J. Barrow and his laboratory, especially the series entitled Per- manence/Durability of the Book (Rich- mond, Va.: W. J. Barrow Research Labora- tory, 1963- 1969), I-VI. A good overview of the paper problem and its history can be found in Verner Clapp, "The Story of Per- manent Durable Book Papers, 1115-1970," Restaurator (Supplement 2; 1972), p.1-51. 5. The following are relevant works on local preservation programs: Hannah B. Fried- man, "Preservation Programs in New York State: Existent and Non-existent," Special Libraries 60: 578-89 (Nov. 1969); Hannah B. Friedman, "Preservation of Library Ma- terials: The State of the Art," Special Librar- ies 59:608-13 (Oct. 1968); James W. Hen- derson and Robert G. Krupp, "The Librarian as Conservator," Library Quarterly 40:176- 92 (Jan. 1970); and Frazer G. Poole, "Pres- ervation Costs and Standards," Special Li- braries 59:614- 19 (Oct. 1968 ).