Borthwick Institute for Archives

PRESERVATION POLICY

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Dr Amanda Jones

Preservation Archivist

April 2007

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Contents

Executive Summary 1. Mission Statement and Strategic Objectives

1.1 Purpose of the preservation policy 1.2 Mission statement/strategic objectives

1.2.1 Purpose and function of the Borthwick Institute 1.2.2 What needs to be preserved and why? 1.2.3 Statement of preservation philosophy 1.2.4 Review schedule

2. Definitions of Terms 2.1 Preservation 2.2 Conservation 2.3 Surrogating 3. Funding and Human Resources 3.1 Funding 3.2 Human resources 4. Responsibilities 4.1 Preservation officers 4.2 The preservation archivist 4.3 The conservator 4.4 Other archives staff 4.5 The wider institutional framework 5. Acquisition and Retention 5.1 The implication of preservation for the Borthwick’s acquisitions policy 6. The Environment 6.1 Strongrooms 6.1.1 Standards 6.1.2 Environmental conditions 6.1.2.1 Temperature and relative humidity 6.1.2.2 Air circulation 6.1.2.3 Light levels 6.1.2.4 Shelving 6.2 Cold Room 6.3 Public searchrooms 6.4 Accessions room 6.5 Conservation studio 6.6 Staff offices and Lifelong Learning rooms

6.7 Exhibition area 6.8 Exhibition cases

7. Environmental Monitoring and Building Maintenance 7.1 Environmental monitoring 7.1.1 Strongrooms and cold room 7.1.2 Searchrooms

7.1.3 Exhibition area 7.2 Housekeeping and cleaning 7.3 Building maintenance

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8. Security 8.1 Environmental threats 8.1.1 Fire 8.1.2 Flood 8.1.3 Pests 8.1.4 Mould and insects 8.1.5 Dust and pollutants

8.2 Theft and vandalism 8.2.1 Staff areas 8.2.1.1 Strongrooms 8.2.2 Public areas 8.1.2.1 Searchrooms 8.1.2.2 Lifelong Learning rooms 8.1.2.3 Exhibition area and display cases 8.3 Damage and Mishandling 9. Packaging for Storage 9.1 Boxing and wrapping 9.2 New accessions and repackaging

9.3 Enclosures 9.4 Staff training

9.5 Shelving 10. Promotion of Good Handling Practices 10.1 The Borthwick’s role 10.2 Users 10.2.1 Handling guidelines 10.2.2 Preservation equipment 10.2.3 Searchroom work spaces 10.2.4 Rights of access 10.2.5 Use of Lifelong Learning rooms 10.3 Staff 10.3.1 Handling 10.3.2 Document production 10.3.3 Staff training 11. Reduction of Unnecessary Handling; Protection of Fragile/Heavily-used Documents

11.1 Cataloguing 11.2 Provision of Surrogates 11.3 Withdrawal of ‘at risk’ documents from public access 11.4 Use of facsimiles in exhibitions 11.5 Archive copying

12. Conservation 12.1 Commitment to conservation 12.2 Conservation techniques 13. Exhibitions, Loans and Advice Services 13.1 Exhibitions 13.2 Loans

13.3 Advice services for record creators and potential depositors 14. Implementation 14.1 Preservation strategy 14.1.1 Preservation Assessment Survey

14.2 Conservation surveys 14.3 Disaster Control Plan

Bibliography

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Executive Summary

The Borthwick Institute is committed to preservation for access. We preserve documents so that they can be used by present and future generations. This preservation policy provides a statement of the Borthwick’s commitment to preservation. It will be implemented through the preservation strategy. The Borthwick preserves and provides access to the unique and irreplaceable archives in its care, which support the accountability of the University of York, the research activity of university members, and the rights and requirements of the public. The Borthwick’s new purpose-built archive building provides the optimum conditions for archival material and serves as the basic protection for the archives, by meeting the requirements of BS 5454: 2000, Recommendations for the storage and exhibition of archival documents. The policy addresses the preservation activities required to capitalise on the benefits conferred by the building, including environmental control and monitoring, the prevention of mould and insect infestations, housekeeping, building maintenance, security, packaging, the promotion of good handling practices, conservation work, the regulation of exhibitions and loans, and advice services for record creators and potential depositors. The security of the archives is the Borthwick’s highest priority. The Borthwick Institute is committed to protecting its holdings from environmental threats (such as fire, flood, mould, pests and pollutants), theft, vandalism, damage, and mishandling. Access to the strongrooms is restricted and strict security measures are enforced in the public searchrooms. All archives are packaged appropriately. The Borthwick promotes good handling practices amongst users and staff through the provision of preservation equipment, guidance and training. Unnecessary handling of material is reduced through cataloguing, surrogates of documents are produced where appropriate, ‘at risk’ documents may be withdrawn from use, and copying is carried out at the discretion of archives staff (where it does not pose risk to documents). The Borthwick balances preventive preservation with active conservation. Conservation work is carried out by a highly-skilled conservator, on-site, in a purpose-built conservation studio. The conservator’s skills and resources are prioritised towards those archives in most need. The Borthwick is also committed to developing relationships with record creators, archive owners, and potential depositors, to promote wider awareness and understanding of preservation issues.

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1. Mission Statement and Strategic Objectives

1.1 Purpose of the preservation policy The purpose of this preservation policy is to provide a clear statement of the Borthwick’s commitment to preservation for use inside and outside the Borthwick Institute, namely by staff, university members, the public, inspecting and standards bodies, and grant-giving bodies. It states and communicates the principles that guide preservation activities and the preservation and conservation standards to be met, gives direction to archives staff, and facilitates accountability and performance measurement. It outlines what is to be preserved and why. The policy is designed to minimise the risk of damage or deterioration to the archives, ensure that preservation is carried out in the most effective way, and provide the basis for a preservation strategy, which defines the actions to be taken.

1.2 Mission statement/strategic objectives 1.2.1 Purpose and function of the Borthwick Institute The purpose and function of the Borthwick Institute is to preserve and provide access to the archives in its care; to extend the range of archives available for use by acquiring new archives in accordance with its collection policy; to heighten knowledge of the importance and nature of archives as records of public rights and responsibilities and as the primary source of evidence for research into past societies. 1.2.2 What needs to be preserved and why? The documents in the Borthwick’s care are unique and irreplaceable. The Borthwick’s archives include documents dating from the twelfth to the twenty-first centuries, in various formats (including parchment, paper, photographic, and audio material), embodying the collective memory of the nation, and forming part of the distributed national archive. These archives must be preserved for present and future generations to provide access to information, to enrich our cultural understanding, and to keep our collective memory alive. 1.2.3 Statement of preservation philosophy Preservation is a central function of the archive, underpinning all its core activities. The Borthwick Institute has a dual function: to preserve and provide access to the documents in its care. These functions are inextricably linked. Preservation makes access to archives possible, whilst access gives meaning to preservation. Thus, the Borthwick is committed to preservation for access. We preserve documents so that they can be used. The Borthwick Institute is committed to preserving the records in its care for both present and future access. We believe in balancing preventive preservation with active conservation. Preservation (prevention) is better and more cost effective than conservation (cure), and reduces the number of documents which need to be sent to the conservation workshop for repair. Conservation is nevertheless sometimes the

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only way of ensuring that documents can be used, and the skills and resources of the Conservator need to be prioritised towards those archives in most need. 1.2.4 Review Schedule This policy will be reviewed in April 2008 2. Definitions of Terms 2.1 Preservation For the purposes of this policy, preservation is the holistic preventive care of all documents of any sort. 2.2 Conservation Conservation is the concentrated active care of damaged or fragile documents in any format. It involves invasive procedures, which alter the state of documents in order to stabilise or repair them. 2.3. Surrogating Surrogating is the creation of copies of original documents in various forms, to be used in place of damaged or fragile originals, or originals which may become damaged or fragile through frequent use, and which continue to be preserved under the appropriate storage conditions.

3. Funding and Human Resources 3.1 Funding The Borthwick is committed to making proper provision for preservation and conservation within its budget. The Borthwick makes bids to appropriate external funding bodies for preservation and conservation projects. 3.2 Human Resources The Borthwick is committed to implementing preservation and conservation through the employment and retention of an adequate number of skilled, trained archives and conservation staff.

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4. Responsibilities Preservation is the shared responsibility of all archives staff, volunteers and users. 4.1 Preservation officers As a mark of our commitment to preservation and conservation, we have a preservation archivist and a highly trained and experienced conservator on-site at the Borthwick Institute, each with a clearly defined set of responsibilities. The Preservation Archivist and Conservator work together to ensure a holistic approach to the preservation and conservation of the archives in the Borthwick’s care. 4.2 The Preservation Archivist The Preservation Archivist is responsible for writing, implementing, and reviewing the Borthwick’s preservation policy, preservation strategy, and disaster control plan, and writing preservation bids in consultation with the Conservator. The Preservation Archivist monitors the Building Management System (BMS), compiles and analyses the results of environmental and BMS monitoring, liaises with Estates staff to ensure plant and equipment continues to function properly, and participates in the Preservation Assessment Survey (PAS). The Preservation Archivist judges when the physical condition of a document renders it unfit for use or copying in the absence of the Conservator. The Preservation Archivist makes recommendations for changes in procedures and practices, initiates preventive action whenever it is required, and provides training for new staff and refresher training for existing staff, in conjunction with the Conservator. 4.3 The Archive Conservator The Conservator assesses the preservation and conservation needs of new acquisitions to the archive, and conserves damaged or fragile documents already in the collection, according to need (as established by preservation and conservation surveys, and by the requirements of researchers). The Conservator carries out routine spot checks of environmental conditions in the strongrooms, searchrooms, and exhibition area using a variety of instruments (see section 7.1). The Conservator judges when the physical condition of a document renders it unfit for use or copying, makes recommendations for changes in procedures and practices, initiates preventive action whenever it is required, and has responsibility for supervising preservation and conservation projects, training new staff, and updating or refreshing the preservation skills of existing staff. 4.4 Other archives staff Archive assistants, cleaners, and security attendants work as the front-line in enforcing good preservation practices. The archive assistants have particular responsibility for ensuring that good preservation practices are maintained in the public searchrooms, with support from the preservation officers. The Archive

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Assistants report to the Conservator any documents considered unfit for use in the searchrooms. 4.5. The wider institutional framework The Keeper of Archives, the Access Archivist (who has responsibility for acquisition and retention, and collection development), and the Office Manager work together with the preservation officers, archive assistants, security services, and cleaners to ensure the delivery of the Borthwick’s preservation for access philosophy. The Borthwick team liaises with other University departments, including estates, security, finance and health and safety, in order to meet the archives’ preservation needs. Channels of communication are kept open with the University of York Estates Department, which has overall responsibility for the maintenance of the Borthwick Institute’s building.

5. Acquisition and Retention 5.1 The implications of preservation for the Borthwick’s acquisitions policy The Borthwick will only collect material that we can preserve and provide access to, or material that we realistically expect to be able to preserve and provide access to in the future. Where we are unable to provide optimum storage conditions for records in certain formats, these records are re-housed at the appropriate repository (for example, we transfer moving images to the Yorkshire Film Archive). 6. The Environment The Borthwick Institute is housed in a new, purpose-designed archive building, which opened to the public in January 2005. The building provides the optimum conditions for the storage and consultation of archival material, and serves as the basic protection for the archives. 6.1. The strongrooms 6.1.1 Standards All document storage areas meet BS 5454: 2000, Recommendations for the storage and exhibition of archival documents. 6.1.2 Environmental Conditions 6.1.2.1 Temperature and relative humidity The archives are stored in two purpose-built strongrooms, using thermal inertia and air handling to maintain the temperature at 16oC +/- 1oC and the relative humidity (RH) at 55% +/- 5%, the optimum conditions for the permanent preservation of paper and parchment documents. The design of the strongrooms ensures that there are no

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seasonal fluctuations in these environmental conditions. Conditions can be maintained for at least 24 hours in the event of a plant failure. 6.1.2.2 Air circulation The air supply to the strongrooms is via a high level distribution close control unit, which re-circulates the air at the required conditions. A separate air handling unit tempers the supply of fresh air to pressurise the space in the strongrooms. There is a full air exchange within the strongrooms every 24 hours. ‘Air circulation parking’ spaces the electronic mobile shelving units at equal intervals overnight to maximise the air flow and prevent the development of stagnant air pockets and protect against the development of mould. 6.1.2.3 Light levels There are no windows in the strongrooms, and all lighting is UV-filtered and movement-sensored. Integral TS linear florescent UV-filtered luminaries are mounted on the top of the mobile shelving units, operating only to facilitate document retrieval. All strongroom lights operate automatically on a timer delay. This minimises light levels and heat gain. UV levels are at 0 and LUX levels are within the range specified by BS 5454 (2000). Both are checked regularly. All archives are boxed and stored in the dark (archives are subjected to a maximum of 100-300 LUX for short periods when removed from their boxes). This minimum exposure to light prevents deterioration. 6.1.2.4 Shelving The electronic mobile shelving in the strongrooms is installed on track supported on level floors, and is equipped with a safety device. The shelves are strong enough to carry the load of the archives, are made of durable, non-combustible metal and coated in substances which will not emit harmful substances. The shelves are easily adjustable to accommodate documents of different shapes and sizes. 6.2 The cold room The Borthwick has a purpose-designed cold room for photographic material, which is stored in the appropriate conditions, at a temperature of 7oC +/- 1oC and a relative humidity (RH) of 35% +/- 5%, and with sufficient air circulation to satisfy the condenser air flow. Environmental conditions are monitored using tachographs. Due to the cold conditions in which they are stored, photographs require 24 hours’ acclimatisation in the strongrooms before they can be produced in the searchrooms. 6.3 Public searchrooms The Borthwick provides climate-controlled searchrooms for the consultation of original documents and microform surrogates. The searchrooms are maintained at a temperature of 19oC to ensure that documents are subjected to a minimal change in temperature when they are transported from the strongrooms and made available for use. All lighting and glass is UV-filtered. The windows have been specially designed

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to prevent direct sunlight falling on the tables where documents are consulted. These measures prevent documents from being subjected to harmful fluctuations in temperature, relative humidity and light levels when they are moved between the strongrooms and the searchrooms. 6.4 Accessions room Accessioning and listing work by archives staff is largely carried out on large tables in the climate-controlled accessions room (maintained at a temperature of 19oC), with UV-filtered lighting and windows. 6.5 Conservation studio Conservation work is carried out in a climate-controlled conservation studio (maintained at 19oC), with UV-filtered lighting and windows. 6.6 Staff offices and Lifelong Learning rooms All windows and lighting are UV-filtered in the staff offices and Lifelong Learning rooms, in which archives are consulted by staff, students, groups and volunteers. 6.7 Exhibition area

All windows and lighting are UV-filtered and blinds have been installed to prevent heat gain from direct sunlight. 6.8 Exhibition cases The Borthwick’s display cases meet the requirements of BS 5454 (2000) in terms of inert materials, environmental conditions, lighting, and security. See section 8.2.2.3 below. The laminated Opti-white glass filters over 97% of UV radiation, and is structurally strong to prevent seals being breached, allowing dust and pollutants to enter. Materials used in the construction of the cases meet the highest levels of conservation specification and the internal case environment is entirely neutral. The cases are highly sealed and have a concealed Artsorb facility for humidity control. Inert extruded silicone ‘bubble’ seals are firmly held within a discreet protective aluminium edging to provide approximately 0.25 air changes per day on a single case. The cases are lit by fibre optic lighting (consisting of a Tungsten halogen light source with dimmer and fan, located outside the display chamber), which minimises LUX levels and heat gain. Inert materials are used in all displays.

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7. Environmental Monitoring and Building Maintenance 7.1 Environmental monitoring 7.1.1 Strongrooms and cold room Environmental conditions in the strongrooms are constantly controlled by the Building Management System (BMS), which is regularly monitored by the Preservation Archivist. Environmental conditions in the cold room are constantly controlled by the Watford refrigeration and air conditioning unit, and monitored using tachographs and the temperature and relative humidity readings provided by the Watford unit. The Archive Conservator uses an electronic monitor, whirling hygrometer, digital memory thermo-hygrometer, and thermo-hydrographs to confirm calibration, temperature, relative humidity, UV and LUX readings in the strongrooms and cold room. 7.1.2 Searchrooms Environmental conditions in the searchrooms are controlled and monitored by Siemens panels. Spot checks of temperature, relative humidity and LUX levels are carried out regularly by the Archive Conservator using a whirling hygrometer and a digital memory thermo-hygrometer. 7.1.3 Exhibition area Temperature, relative humidity, and LUX levels in the exhibition area are regularly monitored by the Archive Conservator using a whirling hygrometer and a digital memory thermo-hygrometer. 7.2 Housekeeping and cleaning Good housekeeping practices are implemented by a dedicated team of cleaners trained specifically in the needs of archive repositories. The Borthwick’s cleaning team undertake daily cleaning of the strongrooms, searchrooms and other workspaces to prevent the accumulation of dirt, which may attract pests or mould. High standards of cleaning are vital in an archive repository because dirt and dust in itself causes the deterioration of unique and irreplaceable documents. No food or drink is permitted in the strongrooms, searchrooms, Lifelong Learning rooms (when archives are in use), accessions room, isolation room, conservation studio, or staff offices to prevent the attraction of insects, pests and vermin. Users must consume all food or drink outside the Library building. Borthwick staff are permitted to eat and drink only in the designated staff ‘break-out’ area. 7.3 Building maintenance The University of York’s Estates Department is responsible for the maintenance of the Borthwick Institute building, its plant and equipment, in conjunction with various

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service contractors. Estates carry out both routine and reactive maintenance work, including keeping the drains clear to prevent water leaks, and changing filters. The Stulz Air Handling Unit and Dehumidifiers are maintained by Stulz at 3 monthly intervals; all environmental controls and alarms are maintained via the Estates Building Management System (BMS), which has a 12 monthly service contract with Siemens; the VESDA fire alarms are maintained by Gents every 3 months; and our portable fire-fighting equipment is serviced 12 monthly by Chubb. 8. Security The Borthwick is built on a secure site, which is not liable to subsidence, landslides, flooding, fire, explosion, or terrorist attack. The repository is located away from sources of pollution or contamination. The Borthwick undertakes to store all its archival material securely. We will protect our holdings against environmental threats, theft, vandalism, deliberate or accidental damage, and mishandling. 8.1 Environmental threats Building design, risk assessments, and the Borthwick’s Disaster Control Plan are designed to minimize the risk of environmental hazards. However, disaster equipment is available for staff use in the event of a disaster. A disaster plan and disaster training will be implemented to ensure that staff, researchers, and the archives are protected in the event of a disaster. 8.1.1 Fire Non-combustible and chemically stable building materials, and materials, coatings and paints which minimise the emission of harmful substances (e.g. smoke or soot in the event of a fire) have been utilised in the construction of the Borthwick. The strongrooms are four-hour fire-resistant boxes, protected by an automatic VESDA early warning system, which feeds directly to the University Security Control Centre (24 hours), who are responsible for contacting the Fire Service. Regular contacts with the Fire Service include familiarisation visits. Fire drills are practised regularly and fire notices are displayed throughout the building. Portable water and gas-based fire extinguishers are provided in the staff and public areas of the building. Water-based fire extinguishers are located in the strongrooms. All power cabling runs in conduits, and serves only the strongroom space; no cabling runs through the strongrooms to serve other areas. Electrical testing and maintenance is carried out on a regular basis. Electrical equipment is unplugged overnight wherever possible. Smoking is not permitted in any part of the building. No cellulose nitrate film is stored at the Borthwick due to the risk of explosion.

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8.1.2 Flood The risk of water leaks or flooding is minimised by the building location and design. There are no flood risks posed by the Borthwick’s environs and no water pipes run through or above the strongrooms. Drainage gutters in the strongrooms become operational only in the event of a disaster (these are sealed to prevent the ingress of dust, pollutants, insects and vermin). Documents are stored well above floor level. 8.1.3 Pests Preventive measures have been taken against insect and vermin infestations. Environmental conditions in the strongrooms and searchrooms, together with good housekeeping practices (as outlined in section 7.2) and regular monitoring, limits the risk of infestation. In order to prevent insects and vermin entering the building, there are no opening windows in the strongrooms or searchrooms, external doors and windows are closely fitted, gaps around ductwork and pipe work (including the emergency drainage gutters in the strongrooms) have been sealed, and there are no flowering plants and shrubs around the building. Food and drink is forbidden from the strongrooms, searchrooms, Lifelong Learning rooms (when archives are in use), accessions room, isolation room, conservation studio and staff offices. 8.1.4 Mould and insects The Borthwick provides isolation facilities for storing and treating new archival acquisitions which may be infected with mould spores or insects in order to prevent the spread of mould and/or insect infestations within its collections. New accessions are assessed by the Archive Conservator, and treated as required. See also sections 6.1.2.2 and 7.2. 8.1.5 Dust and pollutants The Borthwick is located outside the city centre, away from major pollutants such as traffic and industrial fumes. Non-combustible and chemically stable building materials and materials, and coatings and paints which minimise the emission of harmful substances (e.g. smoke or soot in the event of a fire) have been utilised in construction. The strongroom floors are constructed of hard-wearing concrete, which has been sealed, is easy to clean, and does not cause dust to accumulate. All doors are closely fitted, and ducts and pipes have been sealed to prevent the ingress of dirt, dust, and pollutants. A regular cleaning and housekeeping routine is in place. All packaging materials are of archival quality and do not emit substances which may be harmful to the documents. See also sections 6.1.2.4, 6.8, 7.2, 8.1.2, and 9. 8.2 Theft and vandalism The Borthwick Institute is protected by a security alarm system, which covers the whole building, and is monitored by the Security Control Centre (24 hours). The building is checked nightly by security staff. All external doors are strongly constructed, closely fitted, and kept locked. Members of staff are the sole key-holders.

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There is no possibility of entry by unauthorised personnel. Building maintenance staff and contractors can enter only under supervision. Staff are always vigilant and are on the look-out for intruders or suspicious behaviour. 8.2.1 Staff areas All internal doors are kept locked, and access to staff-only areas of the building is controlled by Onity locks. The strongrooms, staff offices, accessions room, isolation room, and conservation studio, where documents are stored or used by staff, are located in the secure staff area. The strongrooms themselves are protected by mechanical locks. 8.2.1.1 Strongrooms The strongrooms are protected by thick concrete walls and toughened metal doors. They are kept locked at all times and are only accessible to members of staff. Strongroom keys are kept in a secure key cabinet when not in use, and are never taken outside the building. Researchers and members of the public may only enter the strongrooms on official guided tours, under the supervision of an archivist. 8.2.2 Public areas All the public areas of the Borthwick (the searchrooms, Lifelong Learning rooms, and the exhibition area) are protected by CCTV. Attendants regularly check these areas. 8.2.2.1 Searchroom Security Access to the searchrooms is controlled by Borthwick staff. Only papers, pencils, laptops, and reading glasses are permitted in the searchrooms, in accordance with the searchroom regulations. Food and drink is not permitted in the searchrooms. Coats and all other personal belongings must be locked in the lockers provided in searchroom reception. Researchers agree to abide by the searchroom regulations through the signing-in process. Archive assistants retain the right to refuse access to anyone wearing coats with large pockets (which could be used to conceal documents) or carrying items which could cause damage to documents. Borthwick staff reserve the right to search through researchers’ papers and files on departure, in the interests of security. Security is provided through constant surveillance by staff, CCTV cameras, clear sight lines and strict management procedures, in order to prevent accidental damage, unauthorised alteration, vandalism and theft. Appropriate action will be taken against researchers who behave suspiciously and researchers who commit acts of theft or vandalism against the Borthwick’s documents. All document issues are recorded in an electronic database. 8.2.2.2 Lifelong Learning rooms Documents are produced in the Lifelong Learning rooms for teaching purposes or use by groups of volunteers. The rooms are protected by CCTV (which is monitored from

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the searchrooms) for security purposes and kept locked or under direct supervision at all times. Classes using archival or special collections material are supervised by a member of Borthwick or University staff at all times. Appropriate action will be taken against group members who behave suspiciously or commit acts of theft or vandalism against the Borthwick’s documents. 8.2.2.3 Exhibition area and display cases The Borthwick’s exhibition area is under constant invigilation by CCTV. The display cases meet the requirements of BS 5454 (2000) in terms of security. The laminated Opti-white glass conforms to BS 5544 anti-bandit specification as specified by the National Security Advisor for national and international museum loans. The cases are secure, double locking with concealed Abloy CL 291 cartridges at both top and bottom. Good quality facsimiles will be displayed in place of exceptionally valuable archives. 8.3 Damage and mishandling The Borthwick takes its responsibility to protect archives from accidental damage and mishandling very seriously, and implements strict management procedures to mitigate the level of risk. See section 10 below. 9. Packaging for Storage 9.1 Boxing and wrapping All of the Borthwick’s holdings are boxed and/or wrapped in acid-free materials as a first defence against dust, light, fluctuations in temperature and relative humidity, pollutants, handling, fire, water, vermin/insects, mould, and general deterioration. 9.2 New accessions and repackaging The Borthwick is committed to a document packaging programme. All new acquisitions will be wrapped and/or boxed, as appropriate, and the re-packaging of any poorly-packaged material is an ongoing process. 9.3 Enclosures Only good-quality enclosures, which meet archival standards, are used (e.g. acid free paper, folders, and boxes; Tyvek) to prevent damage to documents. Boxes are designed to fit the documents and to withstand their weight. Seals are protected by appropriate padding and containers. Custom-made boxes and enclosures are used for outsize material. Boxes and wrappers are referenced using permanent markers. 9.4 Staff training Training in packaging is provided to all new staff. The Borthwick produces separate guidelines on packaging archives.

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9.5 Shelving All documents, including outsize documents, are fully-supported on archive quality shelving in the strongrooms and cold room. The strongrooms incorporate specially designed shelving and map cabinets to fully support outsize material and maps. Bound volumes (including outsize bound volumes) are stored flat in boxes on the strongroom shelves. Maps are stored near to the searchrooms for ease of production and handling. Maps, plans and drawings are stored flat in boxes or portfolios, where possible. Where maps are stored vertically the weight of the whole width of the document is supported. Rolled maps are stored on specialist cantilevered shelving. 10. Promotion of Good Handling Practices 10.1 The Borthwick’s role The Borthwick Institute undertakes to raise awareness of the importance of preservation among staff and users and promote good handling practices, through verbal advice, printed guidance leaflets, open days, classes, and demonstrations, as appropriate. 10.2 Users 10.2.1 Handling guidelines The Borthwick provides clear printed handling rules for users to follow. These are issued with original documents and are clearly visible in the searchroom. Borthwick staff dispense verbal advice and closely supervise users, including groups and classes working with original documents or special collections books in the Lifelong Learning rooms. The Borthwick expects readers to use the available preservation equipment appropriately, as outlined in 10.2.2 below. 10.2.2 Preservation equipment The Borthwick is committed to providing the appropriate preservation equipment for use in its searchrooms. The Borthwick requires its researchers to use foam book rests when consulting volumes, to use weights where necessary, to use unbleached cotton gloves for handling photographic material, and to use acetate sheets for tracing maps. Acid-free paper slips are made available for readers who wish to follow text across the page. Preservation equipment minimises handling, encourages readers to use original documents with due care, and ensures that documents are not damaged during use. The Borthwick will update preservation equipment as required. 10.2.3 Searchroom work spaces The workspaces in the searchroom have been designed to ensure that documents are not damaged during use. Large tables, and a designated table for consulting maps and other large documents, are provided. Shelves are provided at the ends of the tables to

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prevent a build-up of boxes, or documents being rested on each other due to lack of desk space. 10.2.4 Rights of access Access to the searchrooms is conditional on acceptance of the searchroom regulations. In signing the visitors’ book, readers agree to abide by these regulations. The Borthwick is committed to preservation for access not just by the current generation, but also by subsequent generations. Therefore, access to all archival material is at the discretion of the Borthwick Institute, in accordance with the terms of the Freedom of Information Act and the Data Protection Act, and is dependent on the condition of the documents. Material may be declared unfit for production until such time as it has been repaired by the conservator. Staff retain the right to correct users, to withhold documents (subject nevertheless to rights of access to information in them), and to take appropriate action in cases of accidental or deliberate damage. See sections 11.2-11.5. 10.2.5 Use of the Lifelong Learning rooms Documents are produced in the Lifelong Learning rooms for teaching purposes or use by groups of volunteers. Instruction on how to handle documents is provided by the Archive Conservator or an archivist at the start of the session in order to promote good handling practices among new groups of users, and reminders of the handling regulations are clearly displayed on desks. Preservation equipment is provided. No food, drink, or pens are permitted when archives are in use. 10.3 Staff 10.3.1 Handling Borthwick staff use original documents in accordance with the handling guidelines cited above in the course of their research, utilising preservation equipment where appropriate. 10.3.2 Document production The Borthwick provides appropriate equipment for document production (including ladders, document trolleys, and a lift) to minimise the risk of damage to archives during transit from the strongroom shelves to the searchroom. Documents are carried to the searchroom tables by archives staff to reduce the risk of mishandling by researchers (see section 10). Maps and outsize documents are unrolled and rolled by staff. There is ample circulation space in the searchroom to permit care when carrying documents and monitoring of documents in use. 10.3.3 Staff training The preservation officers continually update and refresh their preservation skills and knowledge and receive specialist training, which is cascaded down to all staff and

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volunteers, as appropriate. Preservation training will be given to all new staff and volunteers as part of their induction programme. Ongoing/refresher training will be provided for all members of staff and volunteers by the preservation officers. See sections 4.1-4.3. 11. Reduction of unnecessary handling; protection of fragile/heavily- used documents 11.1 Cataloguing The Borthwick is committed to the creation of archival catalogues to reduce unnecessary handling (of material irrelevant to the enquiry) and facilitate direct access to the documents required.

11.2 Provision of surrogates The Borthwick will provide surrogate copies of documents in various alternative formats (e.g. microfilm, microfiche, photocopy, digital copy) both to minimise handling of the originals in the interest of their preservation (especially in the case of heavily used or fragile archives, or where future heavy use is anticipated: our probate digitisation project is an example), and to ensure retention of the information our documents contain. Where surrogating is required, we are committed to preserving both the original document and the surrogate copy. Where surrogates are available, original documents will only be produced in cases where researchers can prove a genuine need to consult the originals. Examples would include: instances where a member of the archives staff judges part(s) of the surrogate copy to be illegible or missing; where researchers are preparing editions of documents for publication, hence decreasing demand on the originals; and where researchers are carrying out studies of watermarks, signatures, scribes’ hands, or other aspects of a document’s diplomatic, which are only possible through use of the original. In these instances, original documents will be issued at the discretion of archives staff. 11.3 Withdrawal of ‘at risk’ documents from public access The Borthwick has a duty to preserve the archives in its care in perpetuity. Therefore, documents judged seriously at risk by archives staff will not be produced in the searchrooms for consultation. Documents classed as ‘unfit for production’ should be clearly labelled as such, and catalogues should be annotated accordingly.

Unfit documents may be withdrawn temporarily for repair, or permanently, (at the discretion of staff) and surrogates provided in the latter case. The Conservator judges when the physical condition of a document renders it unfit for production. In his absence the responsibility is that of the Preservation Archivist. Surrogate copies of the original documents will be provided wherever possible. Alternatively, researchers may be advised to postpone their visit until such time as the required document has been repaired and made fit for use.

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11.4 Use of facsimiles in exhibitions Good quality facsimiles may be displayed to prevent deterioration of original documents. 11.5 Archive Copying (see separate reprographics policy) Archive copying is carried out at the discretion of the Borthwick Institute. The Borthwick reserves the right to refuse to provide copies of documents where the copying process is deemed to pose a risk of harm to the originals (particularly with reference to format, physical condition, bindings etc). The Conservator judges when the physical condition of a document renders it unfit for copying. In his absence, the responsibility is that of the Preservation Archivist.

Researchers will be advised about which copying methods are appropriate for archival materials, in accordance with the Borthwick’s copying policy. Reprographics services offered include microfilm printouts, photocopying, digital imaging and photography. Where possible, printouts from microfilms will be supplied in the interest of preserving the original documents. Bound volumes will be scanned.

Copying is restricted to staff only (with the exception of microfilm printouts made by researchers using the self-service reader printer). Staff are provided with training in all types of document copying.

Photographic copies can be supplied by the Borthwick, or by researchers using their own cameras by prior appointment only, under the direct supervision of a member of the archives’ staff, and away from the public searchrooms. Flash photography is not permitted. 12. Conservation 12.1 Commitment to conservation The Borthwick Institute undertakes to carry out conservation repair work as appropriate; to identify and create a record of archives most in need of specific preservation measures or conservation work (through surveys, on-going staff vigilance, and a conservation database), and to prioritise the work according to agreed criteria (including the needs of researchers, significance, informational and/or monetary value, rarity, level and type of use, physical condition). This programme of conservation work is carried out in accordance with assessed priorities and available resources, both human and financial. External funding for preservation and conservation projects is sought where appropriate. The Borthwick endeavours to apply cost effective preservation and conservation measures for maximum benefit to the archives, in accordance with the conservator’s recommendations. 12.2 Conservation techniques Conservation work is carried out by a highly-skilled conservator, on-site, in a purpose-built conservation studio. The conservation studio is fully equipped for

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repairing volumes, paper, parchment, wax seals, microform and photographic material, using wet and dry methods of repair. It is the duty of the conservator to select appropriate action, considering the full range of preservation options, from benign neglect, removal of inappropriate fasteners, packaging, boxing, and stabilisation to halt further deterioration, through to full-scale repairs, and mass treatments.

Archive conservation ethics require that conservation work should be obvious and reversible, so that the differences between the original document and the repair work are immediately apparent, and that new techniques can be utilised as they become available in the future. The use of chemicals will be kept to an absolute minimum, but where they must be utilised any work will conform to COSHH regulations. The Borthwick is committed to reviewing and keeping up-to-date with new conservation and preservation techniques and applying those considered most suitable for our holdings, and for different media.

13. Exhibitions and Loans

13.1 Exhibitions The Borthwick mounts internal exhibitions (exhibiting its own documents) and hosts external exhibitions of archival material and artefacts from other institutions, by agreement. Exhibitions of original documents are mounted for no more than three months. For environmental conditions, environmental monitoring and security, see sections 6.6, 6.7, 7.1.2, and 8.2.2.3 above.

13.2 Loans

Documents or artefacts obtained by the Borthwick on loan for exhibition purposes will be transported with due care, and displayed in secure cases in the exhibition area or searchrooms. Extra security measures will be enforced for rare or valuable items (e.g. removal to the strongrooms overnight).

The Borthwick will return archival material to owners or depositors for current use or display purposes, with the appropriate documentation. The Borthwick will advise on appropriate transportation, storage and security arrangements, but can not be held responsible for damage incurred by documents whilst they are on temporary loan. The Borthwick is able to lend display cases where they are required. It is a condition of the loan agreement that parish records can only be loaned together with an appropriate case. 13.3 Advice services for record creators and potential depositors The Borthwick Institute will develop appropriate relationships with record creators and potential depositors to promote awareness and understanding of preservation issues.

The Borthwick sees it as its duty to advise potential depositors (both the University and private depositors) on stable materials to be used at the point of record creation, and to promote good record-keeping practices in order to prolong the life of records

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likely to be selected for permanent preservation as archives. This helps to ensure that records reach the archives in good condition.

The Borthwick builds external and cooperative relationships through providing access to original documents for school and community groups; and through loans and lending agreements. 14. Implementation

14.1 Preservation strategy (see separate preservation strategy document)

This policy is supported by a detailed preservation strategy and implementation programme. 14.1.1 Preservation Assessment Survey

As part of this preservation strategy, the National Preservation Office (NPO) Preservation Assessment Survey (PAS) will be carried out to establish the overall condition of the Borthwick’s archive collections.

This will allow the Institute to set priorities by assessing preservation needs through a sample survey of the whole collection/selected archives and the preservation environment, to balance physical and intellectual needs (value, use, and condition), and to identify and assess all risks to the archives. The survey will look at what condition the archives are in and what needs to be done to facilitate their usability.

The Borthwick will act appropriately, in accordance with the results of the survey. The outcomes of the assessment will indicate preservation priorities and allow us to decide what actions will most effectively meet our targets.

14. 2 Conservation surveys

The Conservator’s assessment for treatment may be carried out on an item-by-item basis or on a material type or problem area identified by a sample, or an entire archive, as appropriate.

14.3 Disaster control plan (see separate disaster plan) The Borthwick Institute will develop appropriate strategies for dealing with disasters (e.g. fire, flood, terrorist attack), and will establish links with the local fire service. Risk assessment will be carried out on a regular basis and action taken to minimise all risks to archives. The Borthwick’s disaster control plan and disaster training programme will minimise damage and ensure an efficient salvage operation in the event of a disaster. The disaster plan will be updated regularly in accordance with an agreed review cycle.

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18:2 (1997), 165-173. Forde, H., ‘Preservation as a strategic function and an integrated component of archives

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Preservation Issues, Proceedings of the 34th International Conference of the Round Table on Archives (Budapest, 1999), 47-51.

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Kitching, C., Archive Buildings in the United Kingdom, 1977-1992 (London, 1993). Kitching, C., ‘BS5454:2000, the Evolution of a Standard’, Journal of the Society of Archivists

21:2 (Oct 2000), 159-168. Ling, T., Solid, Safe, Secure: Building Archives Repositories in Australia (Canberra, 1998). MacKenzie, G.P., ‘Establishing a Preservation Programme’, Janus 1996:1, 86-99. McCormick-Goodhart, M.H., ‘The Allowable Temperature and Relative Humidity Range for

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Collections. National Preservation Office, The application and use of standards in the care and

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materials. National Preservation Office, Security Matters: Carrying out a Library Security Survey &

Drafting a Security Policy. National Preservation Office, Security Matters: How to Deal with Criminal and Anti-social

Behaviour. National Preservation Office, Security Matters: Designing Out Crime. National Preservation Office, The Prevention and Treatment of Mould Outbreaks in

Collections. National Preservation Office, Preservation of Photographic Material. National Preservation Office, Photocopying of library and archive materials. National Preservation Office, Guidance for exhibiting archive and library materials. National Preservation Office, Managing the Digitisation of Library, Archive and Museum

Materials. National Preservation Office, Knowing the Need: A report on the emerging picture of

preservation need in libraries and archives in the UK (February 2006). Pickford, C., Rhys-Lewis, J., and Weber, J., Preservation and Conservation: A guide to policy

and practices in the preservation of archives (Society of Archivists, 1997). Re:Source, Security in Museums, Archives and Libraries: A Practical Guide (London, 2003). Re:Source, Benchmarks in Collection Care for Museums, Archives and Libraries. Ritzenthaler, M.L., Preserving Archives and Manuscripts (Chicago, 1993). Smith, B.S., ‘A Standard for Record Repositories’, Journal of the Society of Archivists 12:2

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Conferences and Workshops ‘Where Shall We Put It? Spotlight on Collection Storage Issues’, National Preservation Office

Conference, 4 October 2004. ‘Has Preservation Come of Age’, National Preservation Office Annual Conference, 31

October 2005. National Preservation Office Workshop, Preservation for access: managing paper-based

collections in museums, libraries and archives, 21 February 2005.