Preservation

AdvisoryCentre
Building a preservation policy
The Preservation Advisory Centre is supported by:

The Pilgrim Trust

The Marsh Christian Trust
and the John Paul Getty Jnr Charitable Trust

ISBN 978 07123 0924 0

Authors Mirjam M Foot (revised by Caroline Peach)

Design The British Library Design Office

Content of publication © The British Library Board; and

Cover image Oleksii Glushenkov, Photos.com

First published January 2001 as

Building blocks for a preservation policy
Revised May 2013

6399–10/13
Building a preservation policy

1 Introduction
2 Benefits of a preservation policy
3 Relationship to other policies, strategy and action plans
4 Foundations for a preservation policy
5 Checklist for a preservation policy
6 Conclusion

1 Introduction

Preservation is the art of ‘keeping safe’, ‘maintaining’, ‘retaining’, and ‘keeping alive’.
Preservation, as it applies to library and archive collections, can be defined as ‘all
managerial, technical and financial considerations applied to retard deterioration and
extend the useful life of (collection) materials to ensure their continued availability1.

A preservation policy is an essential component of a collections management

framework, regardless of the size of the collection or organisation. It sets out an
organisation’s approach to preservation, addressing the questions of what needs
to be preserved, why, for what purpose, and for how long. The policy clarifies
the responsibilities of all concerned, staff, volunteers and users alike. It enables
organisations to set and validate priorities, and to review long-standing practices.
Preservation strategies, work plans, procedures and processes should all follow
from a preservation policy.

Building a successful preservation policy relies on a clear sense of purpose, widespread

collaboration and good communication. This booklet provides a framework for setting
out an organisation’s approach to achieving the sustainable use of its collections through
a preservation policy. It outlines the benefits of a preservation policy, describes its
relationship to other policies, and provides guidance on structure and content.

1
Eden, P. et al., A model for assessing preservation needs in libraries, London: British Library
Research and Innovation Centre, 1998

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2 Benefits of a preservation policy

The need for a preservation policy is not new, but it has become more acute in
recent years. With ever-dwindling resources and many more claims on those that are
available, the need for accountability and the need to prioritise and justify
expenditure have become more pressing. Clear statements, agreed at the highest
level in an organisation, about what needs to be preserved, why, and for how long,
are essential for long-term collections management.

A strong preservation policy will:

• clarify the relationship between the organisation’s mission and preservation activity
• clarify the scope of preservation activity by identifying the collections to be
preserved, their significance and the desired retention period
• act as a focal point for collaborative working across organisations and in some
cases between organisations
• clarify relationships with other aspects of collections management such as
collections acquisition, access and security
• provide a statement of accountability against which performance can be monitored
• demonstrate the organisation’s long-term commitment to its collections to funders
and users, internal and external
• act as a communication tool, internally and externally
• provide a basis for the development of preservation strategy and preservation
programmes
• provide a basis for establishing priorities and justifying investment
• demonstrate responsible stewardship for the benefit of current and future users
• explain to users why certain actions are taken and others are not.

3 Relationship to other policies, strategy and action plans

The length of a preservation policy and the level of detail included will vary from
organisation to organisation. A short, high-level document is much more likely to
be agreed, read and acted upon than a very lengthy or complex document. For
these reasons, it is generally most effective to limit a preservation policy to short

2
statements of intent that are agreed at a senior level in the organisation, and
to highlight other relevant organisational policies, strategy, or sub-policies to
provide greater levels of detail as needed.

Given the variety of activities involved in slowing the deterioration of collections

and ensuring their continued availability, a preservation policy must relate to
other organisational policies, such as collection development, security and access
policies. Guidance on how these aspects can be successfully managed together
can be found in PAS 197: 2009 Code of practice for cultural collections
management2.

A preservation policy is likely to impact on the work of more than one person or
department, e.g. retrieval staff, reading room staff, collection care staff, curators,
estates & facilities staff, reprographics staff and volunteers. For the preservation
policy to be successful, it is important to involve colleagues in its creation as well
as its on-going communication.

4 Foundations for a preservation policy

Before identifying the sections and content for your policy you need to give careful
thought to the questions: what needs to be preserved, why, for what purpose, and
for how long?

Purpose of the organisation

There are many different kinds of libraries and archives, ranging from national
institutions and large research collections, to specialist libraries and archives, local
record offices and public lending libraries. They cater for a wide variety of users, from
academics, businesses and private researchers, to children and all others who want to
be educated and entertained. What needs to be preserved and why are directly
linked to the purpose and function of the collections and of the organisations in
which they are kept.

2
PAS 197:2009 Code of practice for cultural collections management, London: British Standards
Institution, 2009

3
Purpose of the collection
A broadly-based, international collection will comprise original sources and secondary
material, as well as basic research material and ephemera, all in a variety of media
and formats. It is the purpose of the collection, more than its physical format, which
determines its preservation needs at policy level. Different formats and different
media may need different preservation strategies and demand different technical
solutions, but the aims and the purpose of the library or archive and its functions
determine its preservation policy, which must cover all formats and all media.

Functions of the organisation

The purpose of a collection will strongly influence the actions taken to preserve it,
but other library and archive functions that are closely linked to preservation must
also be considered, such as acquisition, retention, access and use. The strength of
these links and the relative importance of these functions again depend on the
purpose of the organisation, as well as on the nature of the material.

Acquisition
Decisions made at the point of acquisition have an impact on the preservation
requirements during an item’s lifecycle. Preservation decisions will be influenced
by both the format, e.g. hard copy or digital format, paperback or microfilm; the
condition, e.g. good or poor; and the purpose of the acquisition, e.g. for short term
use to be replaced when worn out, for the primary purpose of lending or remote
access, or for long term retention, to become the national archival copy or master.

Retention
In most libraries, as opposed to archives, material is not always acquired with a
retention decision clearly in mind. Frequently, the decision to retain an item for
medium term, long term or indefinite use, can only be made once its short term
usefulness has been proven. Before any preservation decision is made, a retention
decision is vital. Without a clear retention policy, preservation rapidly becomes a
haphazard and potentially wasteful exercise. The decision on the format in which
an item is to be retained is equally important.

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Access
The kind of access required will need to be considered when formulating a preservation
policy. Access can take many forms. Access to information about holdings, through
good and accessible catalogues, and wider library and archive networks will increase
use and thereby the need for good handling policies, conservation treatment, protection
and good storage policies. Catalogues can also help by defining what is in a collection,
preventing readers from asking for the wrong material and thereby minimising
unnecessary handling. They can also be used to refer readers to surrogates, to be
used in preference to the originals.

Use
Use can take many different forms such as direct or remote consultation, or as
part of an exhibition. The needs of the users will determine whether the original
document (provided it is in a fit state to be used) or a surrogate is issued, while
the kind of use will determine the security measures needed. The concept of use
is an important one for most libraries and archives, and many organisations take
the amount of use as an indication of preservation need. Heavily used material is
commonly recognised as needing protection and/or treatment to keep it in a usable
state. However, low use alone is no justification for neglect: regular preservation
surveys will ensure an awareness of the needs of all collections. The shift in many
libraries and archives from ownership and collecting to the provision of access means
we must be very clear that the responsibilities for long term preservation are shared
by all staff, users and volunteers.

Collaboration
Cooperative acquisition, collection management or preservation programmes may
be planned, or already in place. A preservation policy must incorporate such
commitments.

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Collection assessment
Good knowledge of the collection, its significance and the way it is used is very
valuable when building a preservation policy. There are a number of different ways
in which this information can be collected. Each has a slightly different emphasis so
be clear about what you are seeking to gain from an assessment before choosing
a methodology.

Risk assessment
A risk management framework provides a good approach to collection care3. By
identifying the threats to collections, understanding the likelihood and impact of the
risk, and thinking about the strategies needed to mitigate or eliminate the risk, you
will gain knowledge of the vulnerability of the collections and the elements that need
to be addressed by the preservation policy4.

Significance assessment
Significance refers to the values and meanings that items and collections have for
people and communities5. PAS 197: 2009 advocates significance assessment as part
of collections development processes. Understanding the significance of collections
helps the prioritisation of preservation management activities.

Preservation needs assessment

A preservation needs assessment combines information on access, significance, use,
condition and preservation measures in place, to determine preservation needs and

3
PAS 197:2009 recommends that documented collections care procedures should be in place
for conducting an assessment of the risk to items from (where applicable) their inherent
instability, other collection items, actions by people, disasters, environment and technological
factors, and an assessment of the risk from the collection to people and environment.
ISO 31000:2009 provides principles and generic guidelines on risk management and can
be applied to a wide range of activities, including strategies and decisions, operations,
processes, functions, projects, products, services and assets.
4
Refer to the Ten agents of deterioration published by the Canadian Conservation Institute
www.cci-icc.gc.ca/caringfor-prendresoindes/articles/10agents/index-eng.aspx
5
Refer to Significance 2.0: a guide to assessing the significance of collections, Collections
Council of Australia, 2009
www.environment.gov.au/heritage/publications/significance2-0/ pubs/significance20.pdf

6
priorities. Use a standardised methodology such as the Preservation Assessment
Survey6 or commission an assessment from an accredited conservator7.

Benchmarks in Collection Care

This is a self-assessment checklist which can be used to plan and assess collection care
activity. The checklist covers many different areas of activity, both policy and practice.
It identifies current achievements and gives an indication of which improvements in
collection care might be needed, thus providing a useful planning tool8.

Condition surveys
Condition surveys can be carried out item-by-item, or on a sample of the total
collection. They provide useful information to gauge conservation requirements
and will also help to inform preservation needs. However, they provide an
assessment of current condition (damage) and do not assess the causes of damage
and are therefore are of limited use when planning future preservation activity.

5 Checklist for a preservation policy

When structuring a preservation policy, think about its intended audience and how it
will be used as well as what it includes. Will the policy be available on the organisation’s
website, in reading rooms, as part of reader welcome packs and staff inductions?
Remember that the preservation policy is a living document and its strength comes
from being tailored to the organisation, its collections and users.

The headings below provide a checklist to work against when building a preservation
policy. You may not need to use all of them; you may wish to give some sections more
emphasis than others; you may want to group sections together, or cover some
headings as sub-policies separate from your main policy document.

6
Refer to the Preservation Advisory Centre website www.bl.uk/blpac/paslib.html
7
A conservator accredited by Icon, the Institute of Conservation or the Archives and Records
Association
8
Refer to the Collections Link website
www.collectionslink.org.uk/programmes/benchmarks-for-collections-care

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1 Purpose and function of the organisation
Look at founding documents, Acts, legal requirements, mission and vision, strategic
plans and corporate business plans.

• Describe the purpose and function of the organisation.

• State the rationale for the preservation policy.
• Ground the preservation policy within its organisational context and establish
clear links to the organisation’s goals.

2 Definitions
The audience for a preservation policy is usually diverse. It is useful to define key
terms at the outset to ensure common understanding e.g. preservation, collections
management, conservation, preventive conservation, surrogacy9.

3 Scope
Does the preservation policy apply to all collections and all formats? What time
(retention) period does it cover? Is this the same for all collections? Who is the
policy for?

Review collections acquisition, development, management, access, and retention

policies to ensure that the policies are consistent. If digital and analogue collections
are treated separately make sure policies cross-reference and are consistent.

• Identify the collections and formats to which the preservation policy applies.
• Identify the retention period or include a link to the organisation’s retention policy.
• State who the policy applies to (e.g. all staff and users).

9
A list of terms and definitions is provided in PAS 197: 2009 Code of practice for cultural
collections management and a glossary of terms in provided in Benchmarks 2.0 on the
Collections Link website
www.collectionslink.org.uk/programmes/benchmarks-for-collections-care

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4 Preservation philosophy, standards and ethics
The policy should contain a statement of preservation philosophy, balancing
preventive conservation with interventive conservation. It should be supported by
accepted standards, ethics and a high level of professional performance. Include a
statement on the organisation’s approach to risk management, or a link to the risk
assessment and risk management strategy.

Key resources include:

PAS 197: 2009 Code of practice for cultural collections management
PD 5454: 2012 Guide for the storage and exhibition of archival materials
PAS 198: 2012 Specification for managing environmental conditions for cultural
collections
ISO 31000: 2009 Risk management – principles and guidelines

5 Access
The preservation policy should include a statement on how the organisation provides
access to its collections, or a link to the access policy.

6 Security
The preservation policy should include a statement on responsibilities for the security
of the collections, both those of the staff and the users. It should address the
following aspects directly, or through a link to the organisation’s security policy:

• physical security, such as building and perimeter security

• security of access (e.g. access by staff, contractors and users to storage areas,
and decisions on closed versus open access)
• reading room security
• security during lending and transport
• exhibition security
• security of computer systems, including authorised access to and manipulation
of data.

Remember how your preservation policy will be used. It may not be appropriate
to include this section in a publicly available version of the document.

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7 Surrogacy and reformatting
Where items are in poor condition, actively deteriorating or subject to heavy use, the
creation and use of a preservation surrogate can help prolong the life of an original
by protecting it from over handling and repeated copying. The preservation policy
should include a statement on the availability of surrogates and their role.

In some instances, access to the original format is as important as, or sometimes

even more important than, the information it contains. Physical format can provide
information over and above its content and there are a number of library and archive
users who have a real need to consult material in its original format. In other cases
users may simply be disappointed by not being able to see ‘the real thing’. Be clear
in your surrogacy policy about the circumstances in which users can consult original
documents for which surrogates exist.

Whether or not the original format should be retained once a surrogate has been
made requires careful consideration. Where difficult decisions are necessary, they
should take into account the nature of the material in question, whether it is unique
(or one of only a few copies in the UK), its significance, the likely use it will get and
on the likely purpose of such use.

For born digital material it is not possible to distinguish between retention and
preservation. Preservation of the intellectual content must begin at the time of
acquisition, or before in order to ensure sustainable access. The lack of longevity of
storage media, together with the inevitable obsolescence of retrieval hardware and
software pose significant digital preservation challenges10.

8 Exhibition and loan

Exhibitions and loans can be an important method of increasing access to collections
and broadening enjoyment of them. The preservation policy should state whether or
not material can be exhibited or loaned (there may be depositor restrictions or other
reasons why this activity cannot be carried out).

10
Refer to the Digital Preservation Coalition’s Digital Preservation Handbook
www.dpconline.org/publications/digital-preservation-handbook

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Any reasons for restrictions on lending certain types of material must be clear. It must
be decided whether loans will be restricted to duplicates and surrogates, or whether
original and rare material can be lent.

The preservation policy should cover the following points, or link to a separate
exhibitions and loans policy:

• restrictions on the type of material that can be exhibited or loaned

• restrictions on the duration of exhibitions or loans
• conditions for security and handling
• environmental standards required and levels of illumination
• design of exhibition cases, furniture and stands
• security provision during transport
• responsibility for insurance.

Guidelines for support materials and the handling of objects are also needed
and procedures must be in place for conservation reports and for monitoring
the condition of the material before, during and after the exhibition.

9 Use
Risks assessments carried out on collections of library and archive materials commonly
find that the greatest risk is use. Of course use takes many forms, but it is worth
investigating the amount and kind of use that collections receive when formulating
preservation strategies. At the policy level consider whether the organisation will
provide the following:

• guidelines for the proper handling of the collections by staff and readers
• the provision of book supports and related equipment in reading rooms, together
with guidelines on their use
• procedures for removing and replacing items on shelves
• guidelines for packing and moving items, and the provision of appropriate
equipment
• regular training on handling and use to staff and/or readers11.

11
Refer to the Preservation Advisory booklet Using library and archive collections
www.bl.uk/blpac/pdf/handling.pdf

11
10 Self-service copying
Photocopiers and/or reprographics services have been provided by libraries and
archives for many years. Increasingly though, there are demands for scanning
facilities, self-service digital imaging facilities, and the use of personal cameras in
reading rooms. The preservation policy should include a statement on self-service
copying, or link to a separate reprographics policy. Consider the following points:

• measures to safeguard original materials from damage

• copyright and re-use of images
• conditions of use of any equipment provided12.

11 Storage
The long term retention of collections requires suitable storage accommodation to
protect against physical and chemical deterioration. The preservation policy should
outline how the organisation approaches the storage of its collections. The format,
structure, size, and shape, as well as the age, rarity and value of the collections, will
also influence the way in which they should be stored. Some types of material will
need greater security, others a different and/or better controlled environment or
extra protection. For guidance on the storage of conventional library and archive
material refer to PD5454: 2012 Guide for the storage and exhibition of archival
materials. For guidance on the storage for digital objects refer to the Digital
Preservation Coalition’s Digital Preservation Handbook13.

12 Environment
The organisation’s approach to the management of the environment in which
collections are stored, used and exhibited should be stated in the preservation policy,
with reference to appropriate standards. Ideally, environmental conditions should
be determined by the materials in the collection. PAS 198: 2012 Specification for

12
Refer to the Preservation Advisory booklet Self-service copying of library and archive materials
www.bl.uk/blpac/pdf/photocopy.pdf
13
www.dpconline.org/advice/preservationhandbook/organisational-activities/storage-and-
preservation?q=storage

12
managing environmental conditions for cultural collections14 advocates the
development of an environmental management strategy for the collection, to include
a statement of the expected collection lifetime and the energy demand arising from
the environmental conditions needed to achieve this, taking into account the
sensitivity, significance and use of individual collection items.

13 Integrated pest management

The preservation policy should include a statement on its approach to managing
pests, including Integrated Pest Management (IPM) strategies, quarantine procedures
and treatment policy15.

14 Housekeeping
The preservation policy should include a statement on the organisation’s approach to
housekeeping including dust monitoring, cleaning routines, guidelines for cleaning
and the provision of training to staff, contractors or volunteers16.

15 Emergency response
The preservation policy should refer to the organisation’s emergency planning and
response procedures, and business continuity plan17. The detailed plan and procedures
should not be included in a publicly available version of the preservation policy.

16 Conservation
The preservation policy should include a statement on the organisation’s approach
to conservation which should cover:

• how conservation priorities are established

• the creation and retention of conservation documentation
• policy on treatment decisions

14
PAS 198: 2012 Specification for managing environmental conditions for cultural collections,
London: British Standards Institution, 2012
15
Refer to the Preservation Advisory booklet Managing pests in paper-based collections
www.bl.uk/blpac/pdf/pests.pdf
16
Refer to the Preservation Advisory booklet Cleaning books and documents
www.bl.uk/blpac/pdf/clean.pdf
17
Refer to the Preservation Advisory booklet Salvaging library and archive collections
www.bl.uk/blpac/pdf/salvage.pdf

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• the use of appropriately trained professionals18
• the conservation principles, professional standards and ethics employed.

17 Training
The range of areas covered by a preservation policy means that its implementation
cannot be the responsibility of one member of staff. There must be a constant
emphasis on raising awareness of preservation throughout an organisation and
throughout the community. The preservation policy should outline the organisation’s
commitment to training for:

• all library staff and volunteers

• contractors as appropriate
• users.

18 Research and development

Include a link to the policy for, or statement on, research and development
in preservation and conservation.

19 Finance
No preservation policy or strategy, however well conceived, can be implemented
without sufficient funding. Preservation is only one of many library and archive
functions that require funding. For a proper balance between the funding of
preservation activities and those of other library and archive functions, consider how
they are related. Collection life-cycle models can be useful in this respect, particularly
for the ongoing management of electronic materials. Ensure that the organisation
maintains a distinct preservation budget.

20 Responsibility, monitoring and review

• The preservation policy should be agreed at the highest level in the organisation,
and this should be identified in the policy.
• Its communication throughout the organisation should be endorsed by senior
management.

18
A conservator accredited by Icon, the Institute of Conservation or the Archives and Records
Association

14
• Progress on implementing the policy should be monitored regularly. It should form
the basis for the development of preservation strategies, procedures and action
plans.
• A named individual should be responsible for reviewing the policy on a specified date.

These measures ensure that the document remains relevant and is used.

6 Conclusion

A preservation policy will clarify the relationship between an organisation’s mission

and preservation activity. It provides the basis for establishing priorities and justifying
investment, and for the development of preservation strategy and preservation
programmes. It also provides a statement of accountability against which performance
can be monitored, and demonstrates an organisation’s long-term commitment to its
collections to funders and users. There are many resources that will help you write a
policy. In addition to the publications referred to in the text, a number of organisations
have published their own policies online. Remember that a preservation policy is a living
document and its strength comes from being tailored to an organisation, its collections
and users.

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Preservation guidance booklets

The following booklets can be downloaded free of charge at

www.bl.uk/blpac/publicationsleaf.html.

Free printed copies are also available.

Basic preservation for library and archive collections
Building a preservation policy
Cleaning books and documents
Damaged books
Library and archive storage furniture
Making the most of funding opportunities for preservation and conservation projects
Managing pests in paper-based collections
Managing the library and archive environment
Moving library and archive collections
Mould outbreaks in library and archive collections
Preservation of photographic material
Salvaging library and archive collections
Self-service copying of library and archive materials
Understanding and caring for bookbindings
Using library and archive collections

The Preservation Advisory Centre promotes the benefit of good preservation practice
and provides support in the form of information services, training and preservation
management tools.
www.bl.uk/blpac

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Preservation Advisory Centre
The British Library
96 Euston Road
London
NW1 2DB

T +44 (0)20 7412 7612

[email protected]
www.bl.uk/blpac