VOLUME 14

NO.32007

ENCAPSULATION IS A COMMON

preservation practice in archivesand libraries to stabilize and protect

fragile, valuable, or high-use printed items.The University of Hawaii at Manoa (UHM)Library’s collection sustained extensive waterand mud damage in October 2004. Becauseof the damage caused to encapsulated maps,there was a clearly established need to reviewbest practices for encapsulation.

Disaster at UHMWithin 42 hours of the flash flood, irreplace-able priority maps of Hawaii and the Pacificregion were removed and placed into freezercontainers to stabilize the materials and pre-vent mold growth.1 Due to the magnitude ofthe disaster at UHM Library (approximately10,000 maps of Hawaii, 40,000 maps of thePacific Region and 75,000 aerial photographs),UHM contracted with experts in the field tocontribute to development of a treatmentprotocol to provide treatment services, trainingand consultation. Beginning in December2004, to expedite treatment, 40,000 20th

century non-encapsulated printed maps ofthe Pacific were sent to Belfor U.S. (a FortWorth, TX document recovery company) for treatment. All of these maps have beenreturned to the UHM Library.

In January 2005, consultants were invitedto assess damage, make treatment recom-mendations for the 10,000 water and muddamaged frozen maps to be treated at theUHM Library’s Preservation Lab and to trainstaff.2 This was the first time any of the mapshad been examined since the disaster. Mapswere removed directly from the freezer and

Archival Products

NEWSEncapsulation: Beyond the Island by Lynn Ann Davis

Because of the damagecaused to encapsulatedmaps, there was a clearlyestablished needto review bestpractices forencapsulation.

The UHM Library Map Room, October 31, 2004. Photo by Susan Murata.

examined as soon as the maps on top couldbe removed from the frozen block. To add tothe recovery challenge, there was no inventoryfor the map collection and map drawers con-taining over 100 maps. Every new drawerbrought up for treatment was anticipatedwith a certain excitement because of the vari-ety of problems. After nearly three years, it isdifficult to recall how shocking it was to seethat some of the most damaged maps wereencapsulated. How had mud and water pene-trated the polyester structure causing mudstaining and cockling of the paper as itexpanded within enclosure?

The Federal Emergency ManagementAgency (FEMA) joined the UHM team inFebruary 2005. A protocol for treatment ofmaps was developed and specified conservationprocedures, as well as digital documentation

to return the maps to a “functional” level sothat they could be used by researchers.3 Thisincluded re-encapsulating, at the request ofthe UHM Map Collection, the heavily usedmaps of the Hawaiian Islands. It was essen-tial to develop procedures for encapsulation“to decrease the probability of damage by theseal breaking.”

Best Practice and EncapsulationThe importance of encapsulation as a preven-tative treatment is that it is reversible. An itemcan be removed by trimming away the seal.To encapsulate an item, the document is placed between two sheets of polyester(widely known as Mylar® or Melinex®) andthe edges are sealed. The most commonlyaccepted method to seal the edges is theultrasonic welder developed by WilliamMinter, a book conservator, in 1978.4 Doublesided tape, as a seal, continues to be used byinstitutions without access to the welder.

The UHM Library Preservation Depart-ment organized a symposium on encapsulationto explore the possible cause of damage toencapsulated materials during the disaster.The symposium participants were JeanneDrewes (Library of Congress), WilliamMinter (Book Conservator), Marshall Oliver(Technical Director, Belfor Canada), JuliePage (University of California, San Diego),and the Preservation Department staff.5 Thesymposium lasted five days and providedtime for observation, testing and discussion.

Symposium FindingsAfter examining several drawers the followingobservations were agreed upon:• Based on location within map drawers, the

damage to encapsulated maps was random. • Non-encapsulated maps (located on the

top and bottom of the drawer) had greater mud damage; those in the middlewere often protected and mud staining was primarily on the map edges.

• Non-encapsulated maps on the top of

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Encapsulated map post conservation treatment (rinsingand flattening). Photo by Christine Takata (UHM Preser-vation Department Digital Photographer).

Dramatic damage to map caused by expansion of thewet map within the encapsulation enclosure. As the mapexpanded the paper cockled. In some cases the frictionbetween the polyester and the paper caused loss ofprinted color or data on the map surface. Photos by LynnDavis and Kyle Hamada.

The importanceof encapsulationas a preventa-tive treatmentis that it isreversible.

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drawers were permanently damaged bystaining from the water; soluble dyes in the cloth covers were used to hold materials in place.

• Folders absorbed some of the trauma, protecting both encapsulated and non-encapsulated maps.

• Folders were not consistently used in themap drawers.

• Interleaving paper used irregularly betweenmaps contributed to damage of fragilemaps or maps printed on coated paper.The interleaving paper wicked water andkept the map surface constantly wet/dampuntil the items were frozen. To develop revised encapsulation proce-

dures for UHM, the symposium needed todetermine the cause of the failure of theencapsulation. The UHM Library used doublestick tape for encapsulation prior to acquiringBill Minter’s ultrasonic welder around 1993.Bill came to Hawaii to install the welder andtrain staff. Three years later in 1996, thePreservation Department had no consistentprocedures or policy for encapsulation. Whenwater penetrated any opening in the encap-sulation, the paper absorbed the water andexpanded within the sealed enclosure:

• All encapsulation using double stick tapefailed and as the waterlogged paperexpanded it adhered to the edges of the adhesive.

• Although the practice was not consistent,openings were left at the corner of weldswhen items were encapsulated.

• The breaks in the ultrasonic weld were nearthe corners of encapsulated items; they wereusually small, between 1⁄4–1 inch.

• Tears in the polyester on the inside of theweld was more unusual, but also providedan opening for water and mud to enterthe capsule.

Causes of Failure of the WeldsThere are two causes for the failure of theweld: 1) lack of consistent policy and proce-dures for encapsulation; and 2) inadequatetraining of staff and student workers whoencapsulate materials. The responsibility lieswith the UHM Preservation Department,not the ultrasonic welder or the materialsused. Bill Minter identified several proce-dures that could contribute to failure of theweld. The UHM sequence for encapsulationwelding was to move the item in a clockwisedirection; this can cause puckering in thepolyester which will cause the weld to fail.The recommended method is to seal paralleledges first. Another problem was that UHMdid not test the welds at the beginning of

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Encapsulated map with failed weld. Symposium at UHM Library Preservation Department. Left-to-right,Jeanne Drewes (Library of Congress), Marshall Oliver(Belfor Canada), William Minter (Book Conservator anddeveloper of ultra sonic welder), Julie Page (University of California, San Diego) Angelica Anguiano (UHM LibraryPaper Conservator). Photo by Lynn Ann Davis.

Close up of right corner of map; arrows indicate were theweld broke. Photo by Marshall Oliver.

The UHMLibrary PreservationDepartmentorganized asymposium onencapsulation to explore thepossible cause of damage toencapsulatedmaterials during the disaster.

every batch for strength. To test the weld the polyester is pulled in opposite directions.

Observation of use and handling of mapcollections contributed to understanding thecommon failure of welds at the corners ofmaps. When staff or a user opens a mapdrawer they lift the corner edges of the mapsto locate the item they wish to see. For heavilyused maps that are encapsulated this commonhandling method is repeated on a regularbasis, weakening the weld. Bill Minter wasinspired to conceptualize a tool like a “pizzapaddle” be used in lifting map folders indrawers. In honor of the island environmentthis tool has been named the “sting-ray.”

Paper Backing and FoldersFor all libraries and archives, cost is the greatestfactor in determining preservation policy.While deacidifying materials prior to encap-sulation is the ideal, at UHM, staff size andconservation expertise has meant that bufferedpaper was placed in the encapsulation enclo-sure instead of deacidification. In cases whereboth sides of the item (such as a newspaper)were important, a strip of buffered paper wassealed on the edge. It was interesting toobserve the affect of grain orientation of thebacking paper in relationship to the documentwhen the item got wet and expanded withinthe encapsulation pocket. Jeanne Drewespointed out that when the grain was perpen-dicular there was less cockling of the map.The tension between the expansions of thepapers in two different directions within theenclosure possibly prevented more severedamage. The common practice for encapsula-tion is that the paper grain of the backingshould follow the grain of the item. Moreresearch needs to be done on this issue.

It can come as no surprise that foldersprotected maps. The cost of folders for a large map collection meant that even somerare maps at UHM were not housed in folders.In one instance, a folder had been inadver-tently placed in a drawer with the fold facing

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the drawer opening; in this case, the mapssuffered minor damage.

SurveyThe initial survey on encapsulation, createdby William Minter, was designed to gatherinformation for the symposium. To expandthe information on current practice, the samesurvey was placed on the PreservationAdministrators Discussion Group (PADG)list serve.6 A total of 42 institutions responded;63% of the respondents to the encapsulationsurvey were Academic Research Libraries. Thecomments and questions demonstrated theneed for further discussion and research andfurther discussion on encapsulation.

There is intense disagreement in the fieldabout the only major accelerated agingresearch on permanence and encapsulation.7

Several survey participants noted that theirobservations, made over time, indicate thatencapsulated items do not deteriorate at thesame rate as similar items exposed to nor-mal conditions of humidity, temperature,and light.

In addition, participants were interested in selection criteria, the use of polypropyleneinstead of polyester, use of polyester L-sleeves,and approaches to deacidification prior toencapsulation and/or the use of backing paperfor buffering.

UHM Changes Procedure and PolicyAfter review of disaster related experiences,the symposium and the survey, the Preserva-tion Department has made two significantchanges in procedure. 1) New procedures

7% 10%

10%

10%

63%

Archives – State

Public Library

Special Library

Academic ResearchLibrariesOther (Museum, Archive)

Types of institutions that participated in the 2007 survey on encapsulation.

Bill Minter was inspired to conceptualize a tool like a“pizza paddle”be used in lifting mapfolders in drawers.

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were developed for encapsulation.8 2) Encap-sulated items have been added as a priority inthe UHM Library Collection Disaster Plan.In the case of a water disaster, they will beimmediately air dried or frozen and air driedas soon as possible to prevent damage due to cockling.9 This decision was based uponencapsulated items that received immediatetreatment and had no damage.10

After nearly three years, the UHM LibraryPreservation Department continues conserva-tion treatment on Hawaii and Pacific regionmaps. The disaster has opened a Pandora’sbox of issues that need to be explored. Theliterature does not reflect the pragmatic con-cerns about the use of encapsulation as wellas the huge physical benefits of encapsulationas a preventative measure for collection man-agement. No library or archive is an islandthat can function in isolation to preserve cultural resources. There is a need to create a new sustainable model for research, trainingand exchange. As a first step towards a newapproach, UHM, along with other partners in Hawaii and the Pacific region, is partici-pating in the NEH-funded Western Statesand Territories Preservation Assistance Program (WESTPAS).

AcknowledgementsMahalo nui to conservators and preservationcolleagues for their generosity in sharing theirexpertise; and to the UHM Library Preserva-tion Department staff: Angelica Anguiano,Deborah Dunn, Darnell Gamiao, KyleHamada, Nadine Little, Sarah Mesina,Nathan Napoka, Ann Rabinko, ChristineTakata, Phyllis Wilhoite-Nakasone.

Lynn Ann Davis is the Head of Preservation at the Universityof Hawaii at Manoa Library, Honolulu, HI. She can be reachedat ldavis@hawaii.edu.

FOOTNOTES1. For additional information on the UHM Library disastersee the case study, “Hamilton Library (University of Hawaii, Manoa)” part of the Heritage Health Index Report, http://heritagepreservation.org/HHI/case91.html.

2. January 2005 consultants: Mary Wood Lee (Paper Conser-vator, CT), Kirk Lively (Belfor U.S., Fort Worth, TX), PamNajar-Simpson (National Library of New Zealand, Auck-land), Julie Page (University of California, San Diego),Randy Silverman (University of Utah Marriot Library), andGraham Simpson (Photography Specialist, Auckland, NewZealand). Paper Conservator, Leslie Paisley was appointedto the UHM project by FEMA in February 2005; Debbie Evans(Head of Paper Conservation Fine Arts Museums of SanFrancisco) and Jeffrey Warda (Conservation Intern, FineArts Museums of San Francisco) worked on collections and trained staff in May 2005.

3. Davis, Lynn Ann, “Protocol for Conservation Treatment:Recovery of Hawaiian Maps and Unique Aerial Photographsfrom University of Hawaii, Manoa Flood Damage,” FederalEmergency Management Agency, December 2005, http://libweb.hawaii.edu/libdept/preservation/index.htm.

4. Swartzburg, Susan G., “Preserving Library Materials: A Manual, Second Edition,” Lanham, Md., & London: The Scarecrow Press, Inc., 1995, p. 150.

5. Symposium on Encapsulation, February 26–March 3, 2007, UHM Library Preservation Department staff included Angelica Anguiano, Deborah Dunn, and Kyle Hamada.

6. Encapsulation Survey and results, 2007. http://libweb.hawaii.edu/libdept/preservation/index.htm.

7. “Accelerated Aging of Paper: Can it Really Foretell the Permanence of Paper,” Library of Congress, October 2006,http://www.loc.gov/preserv/rt/age/age_5.html.

8. Hamada, Kyle, “Encapsulation Guidelines,” August 2007,http://libweb.hawaii.edu/libdept/preservation/index.htm.

9. Davis, Lynn Ann, “UHM Library Collection DisasterResponse,” August 2007, http://libweb.hawaii.edu/libdept/preservation/index.htm.

10. Monday November 1, 2004, thirty-five encapsulated mapswere treated by removing the polyester and air drying themon blotting paper. Although water had penetrated the encap-sulation seal, the maps had no cockling and sustained nopermanent damage.

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As a first steptowards a newapproach,UHM, alongwith other partners inHawaii and the PacificRegion, is participating in the NEH-funded WesternStates and TerritoriesPreservationAssistance Program(WESTPAS).

ACRITICALLY NEEDED PRESERVATION

project—WESTPAS—is beinginstituted to address the unique

circumstances of the Western and PacificUnited States. To describe the project and its goals, the originators of the project wereinterviewed—Barclay Ogden, Head of thePreservation Department from the Universityof California, Berkeley and Julie Page,WESTPAS User Services Coordinator andformer Head of Preservation at the Universityof California, San Diego. Already seasonedfrom their successful experiences with theCalifornia Preservation Program, Barclay andJulie perceived that the need for preservationeducation and assistance existed in neighbor-ing states and throughout the West’s widegeographical expanse.

What Does WESTPAS Stand For? WESTPAS stands for Western States andTerritories Preservation Assistance Service,i.e., the 14 Western and Pacific states andterritories where the project will conduct dis-aster preparedness workshops. Specifically,the states and territories are Alaska, California,Colorado, Hawaii, Idaho, Montana, Nevada,Oregon, Utah, Washington, Wyoming; theterritories are American Samoa, Guam, andthe Northern Marianas.

Why is WESTPAS Needed?Results of the 2005 nationwide HeritageHealth Index survey of the preservation needsof cultural collections indicated that 80% ofcollecting institutions in the Western andPacific regions are not prepared to respond toa disaster involving their collections. They donot have a written disaster response plan withstaff trained to carry it out. To help addressthis need, which is similarly experiencedthroughout the country, some regions in the

country are served by regional preservationfield services. The Northeast, mid-Atlantic,Southeast, Southwest, and upper Midweststates are served by preservation educationand training centers to help meet the needsof libraries and archives in these regions. TheWestern and Pacific regions need comparableservices organized specifically to overcomeobstacles created by large geographic dis-tances between cultural centers in many partsof the regions.

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Preserving Cultural Collections in the Westby Kristen Kern

For a description of the CaliforniaPreservation Program’s services andresources, see:calpreservation.org.

Barclay Ogden, Head of the Preservation Department from the University of California, Berkeley and WESTPASProject Manager, with Julie Page, WESTPAS User ServicesCoordinator and former Head of Preservation, at the University of California, San Diego.

WESTPAS = Western States and Territories Preservation Assistance Service

States:AlaskaCaliforniaColoradoHawaiiIdaho

MontanaNevadaOregonUtahWashingtonWyoming

Territories:American

SamoaGuamNorthern

Marianas

See the WESTPAS website for informationabout the project and upcoming disaster planning workshops: http://westpas.org/

Is There an Overarching Vision For the Project?Most institutions throughout theWestern and Pacific regions are small.Their historical collections of booksand documents provide rich insightinto the particularity of life in theirlocales and contribute to an overallunderstanding of the history of theregions. In addition, they provide tothe people who live there a stronglyfelt sense of place and community.People want to maintain culturalresources in local institutions to have access to the collective memoryof their ancestors. There is a power-ful pride of ownership of history,which has led to the establishmentof many small local organizationsrather than a few large regional ones.The vision of WESTPAS is to helpthese smaller, culturally essentialinstitutions, by providing preservationeducation, training, and emergencyassistance services.

What is the Major Goal of the Project?The major goal of the first phase ofWESTPAS, January 2007-December2008, is to deliver preservation education and training on disasterpreparedness, emergency response,and collection salvage to 600 stafffrom smaller libraries and archivesin the regions and produce writtendisaster response plans for all partic-ipating institutions.

How is the Project Funded?WESTPAS is funded in a large partthrough a National Endowment forthe Humanities grant. BELFOR,the international disaster recoveryservice, and, of course, ArchivalProducts, are helping to support the project. Further, all 14 statesand territories through their statelibraries and archives have providedstaff liaisons to the project to helpsite, schedule, and promote theworkshops to libraries and archivesin their states.

What Roles Did You Two Play in Developing This Project? We sought funding (contributed byPreservation Technologies, LP) toconduct a planning meeting of thepotential project trainers. From theplanning meeting emerged a sharedvision for how this group of trainerscould work together to deliverpreservation education and assis-tance services to libraries andarchives in the Western and Pacificregions. The next step was to pre-pare a project plan that was awardedfunding by the National Endow-ment for the Humanities.

What is Your Background? Julie, recently retired from the University of California, San Diego,served as Preservation Librarian atthe University beginning in 1989,and Barclay has served in the samerole for University of California,Berkeley since 1980. We haveworked together for many years onUniversity of California system-wide preservation projects, andsince the late 1990s have served asco-chairs of the California Preserva-tion Program (CalPreservation.org),an IMLS/LSTA (Institute of Muse-um and Library Services/LibraryServices Technology Act) state-funded preservation education andassistance program that became theorganizational model for WESTPAS.Barclay is the Project Manager, andJulie is serving as User ServicesCoordinator for WESTPAS.

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WESTPAS Supporters:National Endowment for the Humanities

Archival Products

BELFOR

Preservation Technologies, L.P.

The Heritage HealthIndex found that:• 270 million rare and unique books,

periodicals, and scrapbooks requireimmediate attention and care.

• 2.6 billion items of historic, cultural,and scientific significance are notprotected by an emergency planand are at risk should a disasterstrike their institutions.

• 70% of institutions need additionaltraining and expertise for staff caring for their collections.

For further information on the resultsof the Heritage Health Index, visit:www.heritagepreservation.org/HHI/index.html

Julie Page, WESTPAS User Services Coordi-nator, with Randy Silverman, PreservationLibrarian at University of Utah, in conversationduring a group planning session.

Are There Others Who Have Been Involved in Developing the Project? There are four other experienced preservationprofessionals who are involved in developingand carrying out the objectives of the project.They are: Lynn Davis, University of Hawaii atManoa; Kristen Kern, Portland State Univer-sity; Gary Menges, University of Washington;and Randy Silverman, University of Utah.

What Challenges Do You Foresee in Attaining the Project’s Goal?The primary challenge to the project will be to reach out to many remotely locatedlibraries and archives with very small staffs.Completing disaster response and collectionsalvage plans also is always a challenge; con-sequently the workshops have been designedto maximize the probability of participantscompleting disaster response plans within the project period.

What Will Success Look Like for the Project?Total success will be all institutions that par-ticipated in the training will have completeddisaster plans and trained their staff in howto implement them.

LBS/Archival Products1801 Thompson Ave.P.O. Box 1413Des Moines, Iowa 50306-14131-800-526-5640515-262-3191Fax 888-220-2397custserv@archival.com

archival.com

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What Do You Foresee in the Future for WESTPAS After the Funding Ends? The need for a preservation assistance service is so compelling in the Western and Pacificregions that we anticipate considerable supportfor continuing services with a combinationof grant and institutional funding.

AfterwardEven though the WESTPAS project has benefited greatly from the expertise gainedthrough the process of developing and sus-taining the California Preservation Program,much work has transpired to create theWESTPAS presence. The curriculum for the two-part disaster preparedness andresponse workshops has undergone severalrevisions tailoring the agenda, handouts andappendices to libraries and archives across the Western and Pacific states and territories.Discovering and modifying a suitably usableyet compact disaster plan was essential sinceit is crucial to fulfilling the grant’s require-ments that every participating institutionsuccessfully complete a customized plan. The Council of State Archivists (CoSA)Pocket Response Plan proved to be the perfectmodel, which was modified for WESTPASand, with appendices, will serve as the tem-plate for the workshops.

At the time of publication, disaster planningworkshops scheduled thus far for this up-coming fall include San Marino and SantaBarbara, CA; La Grande, OR; Seattle andKennewick, WA; Honolulu, HI; Salt LakeCity, UT.

Kris Kern is Preservation/Catalog Librarian at Portland StateUniversity Library. She can be contacted at kernk@pdx.edu.