Preservation Needs Assessment Survey Herbarium Library at the University of Texas at Austin

Transcription

1 Preservation Needs Assessment Survey Herbarium Library at the University of Texas at Austin Sam Burns and Holly Ovalle Professor Ellen Cunningham-Kruppa INF392G Management of Preservation Activities November 29,

2 Table of Contents Executive Summary...3 The Collection...5 Project Goals...7 Survey Design and Implementation...8 Survey Questions...11 Survey of Microfiche...11 Survey of Journals and Monographs...15 Findings Narrative...18 Microfiche...18 Monographs and Journals...24 Collection Availability...27 Environment...27 Recommendations...28 Microfiche...29 Monographs and Journals...31 Environment...32 Appendix A. Survey Instruments...33 Appendix B. Findings...36 Appendix C. Budget...42 Appendix D. Annotated Bibliography...44 Appendix E. Random Number Generator...45 Appendix F. Photographs of the Herbarium Library Collection

3 Executive Summary This report documents the findings of a preservation needs assessment of the Herbarium Library undertaken by two graduate students, Holly Ovalle and Sam Burns, from the U.T. School of Information during the fall semester of Statistical sampling was utilized to determine the overall preservation needs of the entire collection based on a stratified sample of 149 entities of which 119 were microfiche, 16 were monographs and 12 were journals. Two separate survey forms were used to analyze and assess the preservation needs of these materials. In addition, relevant descriptive data about the entities was recorded for the purpose of correlational data analysis and reporting. The goal of this project was to extrapolate findings from the sample to the population for the purpose of defining and describing existing preservation needs and speculating as to their causes. This report documents numerous findings from this comprehensive survey. A summary of findings follows: Microfiche A high percentage of the more than 28,200 microfiche exhibit potentially harmful foreign debris, scratches and fingerprints caused by active use. The microfiche collections are, on average, available from only four institutions worldwide, far fewer than the monographs and journals. Microfiche storage conditions were found to be inadequate for the long-term preservation of the collection. 3

4 Monographs and Journals A small percentage of preservation needs were identified among the monographs and journals and no systemic or unforeseen needs were found. Unlike the microfiche collection, ample evidence was found that preservation needs among monographs and journals were being handled on an active and continuing basis. Volumes published prior to 1970 showed expected indications of acidity and brittleness. Environment Potentially dangerous wiring and structural imperfections were discovered during the preservation assessment. Recommendations based on these findings include the following: The purchase of new storage cabinets and housings for the microfiche as well as the formation of new handling and maintenance procedures and administrative policies. Conducting a more comprehensive survey of the monographs and journals in order to assess whether or not our findings captured a statistically significant sample, and Monitoring environmental conditions regularly to gather data and repair any existing conditions that may pose an important threat to the collections. 4

5 The Herbarium Library: A Preservation Needs Assessment The Collection The Herbarium Library serves the needs of researchers in systematic botany from the main campus of the University of Texas at Austin. The library contains approximately 11,600 separately cataloged titles and an estimated 35,400 total microfiche, monographs, bound journals, and other materials. The collection is currently housed in an historic reading room of the Main building that once served as a reading room for the main library collection. The reading room appears much as it did when the building was constructed in 1937, with twenty foot ceilings painted with a unique Texana iconography, large windows high up on the walls, and furnished with wooden shelving and tables. The collection shares this larger space with offices and specimen storage space of the Plant Resource Center (PRC). The collection originated to serve the research of systematic botany, and after its formation in the 1970s, the PRC. The materials of the Herbarium Library collection were originally part of the Biology Library. The main biology collection was housed in the Biology Labs building until 1967 when the collection moved to Patterson Hall. The biology collection moved again in the mid-seventies as the collection grew larger and larger. Systematic botany materials were separated from the general biology collection after the move, where they were housed separately in Painter Hall, near the Herbarium Plant Specimen Collection. In the mid-eighties, the collection was moved to its current location in the Main building. The Herbarium Library is a separate subset of materials within the Life Science Library, 5

6 and maintained by Life Science Library staff. Prior to this move, the collection was maintained by volunteers and underwent very little development. After the collection moved to the Main building, Nancy Elder, the head librarian of the Life Science Library, wrote a collection development policy. Under the purview of that policy, the collection has grown gradually and steadily. Ms. Elder is particularly sympathetic to the requests of the Plant Resource Center staff and their needs for certain materials. Ms. Elder commented that the PRC s heavy use of the collection justified the occasional duplication of materials housed in limited circulating collections, like the Benson Latin American Collection. The development and the care of the collection are assisted by a special endowment which provides for botany research materials. Recently, a notable collection of fragile materials once owned by Cyrus Longworth Lundell, a famous Texas botanist, was acquired by the Herbarium Library Collection. Other materials donated by Dr. Lundell from his collection are housed at the Harry Ransom Humanities Research Center and in the Plant Resource Center. Although the Herbarium Library is open to the general public, the collection is most widely used by the Plant Resource Center staff and faculty for their research. During an informal interview with Thomas Wendt, the director of the Plant Resource Center, he described the Herbarium Collection as essential to the PRC s research in systematic botany. Mr. Wendt described the cumulative nature of the materials as the strength of the Herbarium Library collection. The research of morphology within systematic botany differs from other natural sciences in that all materials collected since 1750 and the study of Linneaus were valuable and necessary. 6

7 Mr. Wendt was also able to describe basic patterns in the use by PRC researchers. The pattern of use is dependant on the type of material. Microfiche are primarily used with in the Herbarium Library reading room or the copier lobby of the Life Science library where a reader-printer is located. Books and journals are ordinarily checked out by PRC staff and used in their labs where the information in those materials can be referenced side-by-side with the PRC s collection of plant specimens. PRC staff are also instrumental in collection development, suggesting new materials to be acquired. In addition to frequent use by PRC staff, Herbarium Library materials are often requested by outside organizations through Interlibrary Loan. Project Goals Because the cumulative collection of materials represented by the Herbarium Library is so essential to the research of the Plant Resource Center and other researchers in the field of systematic botany, it is essential that it be preserved in good condition. In order to describe a specific and appropriate course of action, we sought to specify and operationalize a comprehensive list of potential preservation issues for use in a survey instrument. The goal of this survey was to obtain findings from a sample that we could extrapolate to gauge the overall preservation status of the entire collection, both defining the types of damage and to speculate as to its cause. Further, we will propose a prioritized course of action to be followed to assist in the continued care of the Herbarium Library collection. The specific goals of this survey are dependant on the physical format of the materials being examined: microfiche, monographs, and journals. 7

8 Microfiche 1. How common is the title? 2. Is the plastic film support and image material made of a stable material? 3. Is there any damage to the film support? What kind of damage is seen? 4. Is there any damage to the image? What kind of damage is seen? 5. How is the microfiche housed? Monographs and Journals 1. What is the age of the title? 2. How common is the title? 3. What type of binding does the title have? What is the condition of that binding? 4. How are the leaves attached? What is the condition of the leaf attachment? 5. What is the condition of the paper? 6. Does the book show damage from its environment? 7. What type of treatment would be necessary to prevent further damage? Survey Design and Implementation In order to define a representative sample of materials, it was decided that a random sampling technique should be used. The collection, in terms of individual entities, is roughly 80% microfiche and 20% books and bound journals. In order to be sure that the final sample would include these materials in proportion to their population within the collection, it was decided that stratified sampling should be employed. The sample was further stratified to separate books and journals. This stratification was made convenient by their separate shelving and will allow any extant important differences of those collections to be understood separately. 8

9 To define the samples, it was first necessary to obtain accurate population counts of each type of material to be sampled. According to a recent shelf list, the Herbarium Library housed 11,600 individually coded items. Of those, 4,400 were microfiche titles. It was discovered that each cataloged title might include between one and several thousand cards housed in boxes and loose envelopes in three large vertical cabinets. Those microfiche in labeled boxes were counted by their labels, which had ordinal numbers in sequence. Those microfiche in envelopes, but otherwise loose, were estimated by counting the number of microfiche within an inch and measuring the number of inches in each drawer. In areas where the size of the fiche changed, a new per inch count was obtained. Using this method, it was estimated that the three cabinets contained 28,200 individual microfiche cards, raising the total population to 35,400 items. It was impossible to ascertain via the shelf list which of the remaining 7,200 items were monographs and which were journals, although we can be reasonably certain that the numbers represented in the shelf list accurately represent the number of items on the shelves, as it is policy to code monographs and journals individually within the shelf list. Based on a count of journals, we determined that there were 3400 journals and 3800 monographs. Therefore, microfiche represent slightly less than 80% of the collection, monographs represent slightly less than11%, and journals represent slightly less than 10% of the collection. Within an estimated population of approximately 35,400 items, a sample of 149 items was chosen. This sample size represents a 95% confidence level with a confidence interval of +/- 8 points. This sample size of 149 was then divided 9

10 proportionally to match that of the population: 119 microfiche, 16 monographs, and 14 journals. These samples each represent 0.4% of each sample strata. This survey gives equal weight to each separate entity regardless of its physical format. It should be noted that considering the microfiche, monographs and journals as three separate populations would yield considerably different sample sizes. Not having the judgment to gauge the intellectual or economic importance of either the microfiche or book collections in comparison to each other, it was decided that the collection should be examined as a total collection of all materials regardless of physical format. It was hoped that the process of stratifying the sample would guarantee the inclusion of the book materials in the appropriate measure. The number of items sampled from each collection is extremely small. However, the confidence interval is greater for books if these same population and sample numbers are considered separate populations. Thus, we can extrapolate to the populations of books and journals with less certainty based on our findings of these strata. However, as we will demonstrate in the findings, there are mitigating factors related to the respective preservation treatments of these populations that we believe support our methods at least for this initial comprehensive preservation assessment survey. In any case, this review should be seen as a general review of the total condition of the collection as a whole. Any decisions based on this data should be understood within the context of this problematic choice. The items representing each sample were chosen randomly using a random number generator designed by a project team member. Because counting each 10

11 microfiche in a drawer holding several thousand cards was prohibitively labor intensive, it was decided that the sample would be chosen physically. A random drawer, then a random side, then a random inch, and finally a random 16 th of an inch was located. A card marker was inserted at that point and the fiche in front of the card marker was pulled. If there was no microfiche at the chosen location, a new number was calculated. Microfiche in boxes were pulled with their boxes. Books and journals were chosen by locating a random range, a random shelf, and then a random book, by counting. Survey Questions Because of their different physical characteristics, a separate survey instrument was created for the microfiche and the books. The survey questions were formulated after a review of preservation literature concerning the physical materials, a review of similar preservation surveys, and a brief sampling of the Herbarium Library materials. SURVEY OF MICROFICHE Bibliographic information Call number and title information were collected so that a particular microfiche might be retrieved for further testing. OCLC numbers were retrieved via the library catalog, and searched in Connexion or WorldCat to find the number of holdings. Items with fewer holdings are more likely to be borrowed through Interlibrary Loan. Publisher information was collected from either the microfiche itself or its housing. Publishers were then contacted to confirm the identity of the physical materials of the microfiche. 11

12 Support Material Each microfiche is composed of a plastic film support and an image layer. If the materials of these two components are stable, the microfiche ages with little degradation. Each microfiche was examined to determine if the support material was polyester, cellulose acetate, or cellulose nitrate. 1 Polyester is an accepted archival film which remains stable for more than 500 years in proper environmental conditions. 2 Polyester appears clear, but under fluorescent lights, polyester film may also reflect interference colors of pink and green. Cellulose acetate is an unstable film that becomes brittle, yellow, warped, and smells of vinegar as it ages. Cellulose nitrate is another unstable film that, in addition to becoming brittle, yellow and warped, becomes dangerously flammable as it ages. Various methods were employed to determine which film was used. The microfiche supports were examined by the two project members for their flexibility, color, interference colors, and smell. Outside data was also sought. When queried, Ms. Elder believed that the microfiche were made of stable materials like polyester. The publisher Mindata replied to indicating their microfiche was polyester. After examining the sample in situ, two boxes and five envelopes of microfiche from each of the most common titles and common publishers were tested by a professional materials conservator, Ms. Karen Pavelka. After performing an examination of the materials and a burn test, Ms. Pavelka concluded that all of the tested supports were probably polyester. 1 Microfilm and Microfiche. Dalton, Steve. 14 July Northeast Document Conservation Center. 26 Nov < 2 Microfilm and Microfiche. 12

13 Image Material The most common image layers are silver halide, diazo, and vesicular. 3 Silver halide images are the most stable of the three types, lasting for more than 100 years in good environmental conditions. 4 Silver halide is characterized by its dark black color, but it may also demonstrate a silvery appearance with age, called mirroring. The emulsion side of a silver halide film will appear matte; whereas diazo and vesicular films are glossy on both sides. Diazo images are less stable, with an approximate life of 50 years. 5 Diazo images may be many colors, but they are light fugitive. 6 In vesicular film the image is formed from small bubbles formed with heat. Vesicular images are even less stable, with a life of less than 20 years. Vesicular images are easily damaged by mechanical abrasion and the high temperatures of a microfiche reader lamp. 7 Support: Colorless and Flat After determining the potential stability of the support, it was important to gauge the current level of damage to the support material. A change in the color of the support can be indicative of damage to the film caused by age. Cellulose-derived films are particularly likely to yellow and darken with age. Over time these films warp and become brittle as plasticizers migrate out of the support. Poor housing and pollutants may also cause the support to warp. 3 Microfilm and Microfiche. 4 Supplies Section Diazo & Silver Film. Undated. The Microfilm Shop. 26 Nov < 5 Supplies Section Diazo & Silver Film. 6 Microfilm and Microfiche. 7 Microfilm and Microfiche. 13

14 Image: Distortion Free The image material can also be damaged by a variety of causes including age, poor storage and exposure to pollutants. Damage to the image manifests itself as an image distortion or a change of color. Distortions due to poor filming were not documented. Image: Foreign Debris, Scratches, and Fingerprints Foreign debris, scratches, and fingerprints were recorded where they appeared on the image; although they were not recorded when found along the upper edge. Foreign debris included solid particles such as dust, or spots caused by liquids. 8 Solid particles are deposited on the film due to poor storage and handling. Scratches occur when foreign debris abrades the film s surface. These scratches often occur when the film is slid between the glass surfaces of the reader. Spots from dried liquids may result from hazardous developing chemicals or condensation, indicating high humidity. Fingerprints indicate poor handling. Oils and acids from fingerprints can damage the film or image. 9 Fingerprints were only recorded as such when they were identifiable. Small, unpatterned droplets of oils were recorded as foreign debris. Housing: Envelopes and Boxes To protect the film and the image, it is important that all microfiche be properly housed. Envelopes should be free from damaging acids. 10 The adhesive of the envelope should not face the emulsion side of the microfiche, as chemicals migrating out of the adhesive may cause the image to deteriorate. The edges of the envelope 8 Microforms Collection Preservation Plan. Ed. Vidos, Tamara. 6 Aug University of Oregon Libraries. 26 Nov < 9 Microforms Collection Preservation Plan. 14

15 may also abrade the image layer. 11 Boxes can prevent damage to microfiche due to shifting or pollutants; however, it is important that box materials should not damage the film. SURVEY OF JOURNALS AND MONOGRAPHS Bibliographic Information The same survey instrument was used to assess both the monographs and the journals. The title, author, call number, and publisher were recorded so that any volume could be recalled for further examination. To understand the age of the collection, the published year of each item was recorded. Papers made before the seventies are likely to be acidic. With time, acidic paper becomes increasingly brittle, until it breaks with even gentle handling. Bibliographic information was used to determine the OCLC number from the library catalog. The OCLC number was then used to obtain the number of holdings in libraries within the OCLC network. A title with fewer holdings might be considered rarer. Size The height, width and thickness of each item were measured in inches. Taller items are damaged by inadequate shelf height. Thicker books have heavy text blocks which may detach from the book s spine. Binding: Origination and Materials The binding of each item was examined to determine its origin and materials. Publishers bindings are the original bindings of paper, cloth or leather. Acidic paper 10 Microforms Collection Preservation Plan. 15

16 covers may exacerbate an item s brittleness. Leather undergoes a similar dry, flakey degradation known as red rot. Commercial bindings are added by the library to improve the attachment of the text block and its leaves. Commercially bound publications are typically bound in buckram cloth. A pamphlet binding is attached to publications with soft covers that offer inadequate protection to the text block. Pamphlet bindings are made of paper covered boards, laced or stapled on. Binding: Condition The condition of the binding was diagnosed for various maladies. Loose hinges occurred on items where the endpapers separated from the boards. If the interior hinge was broken to expose the boards or their text block attachment, it was recorded as a broken joint. Detached boards or a detached spine occurred if the boards or spine were completely separated from the text block. Damage to the headcap, due to poor handling, was recorded separately from all other types of damage to the cover, including stains, tears, red rot, etc. Text Block: Leaf Attachment Method The method by which the pages of each book were attached to the each other was noted as sewn, stapled, or glued/taped. If the item was pamphlet bound, both the original attachment method and the pamphlet folder attachment were noted. Items sewn through the fold and lace-on pamphlet folders were both recorded as sewn volumes. 11 Microfilm and Microfiche. 16

17 Text Block: Condition The condition of the text block was examined to determine if the leaves were completely intact. Any page tears were noted, as well as any intentional mutilation, such as highlighting, marginalia, defaced images, etc. Paper Condition The condition of individual pages was assessed. Brittle paper, caused by acidity, was of particular concern. 12 A single corner from the approximate center of the publication was folded forward and back twice, and given a light tug. If the corner detached, the paper was deemed brittle. Discolored paper can also indicate poor paper quality and high acidity. Papers that appeared darker around the edges than the center of the page were considered discolored. Glossy publications were marked as coated paper. Coated paper is not easily treated for acidity, and easily damaged by water. Foxing is yet another type of discolored spotting. Caused by fungus, foxing may indicate poor environmental conditions and high humidity. Other types of environmental damage, caused by water, insects, etc., were recorded separately as they occurred. Suggested Treatment An effort was made to diagnose what needed to be done to bring the sampled items to a condition which would not be damaged by further use. 13 Recasing was recommended for items with loose hinges or intact text blocks that had detached from intact boards and spine. Rebinding was suggested for items with broken joints, 12 Library Preservation at Harvard: Conservation Resources. Oct President and Fellows of Harvard College. 26 Nov < 13 Cornell University Department of Preservation and Conservation. Mar Cornell University Library. 26 Nov < 17

18 detached boards or spines. Rebinding was also recommended for pamphlet bound items with acidic boards. Resewing was recommended for items where a sewn text block had broken. Items with extremely brittle pages were recommended for reformatting. Previous preservation treatments were also recorded, including commercial binding, pamphlet binding, phase boxes, page mends, etc. Findings Narrative MICROFICHE The microfiche collection contains approximately 80% of the entities maintained by the Herbarium Library. Three eight-drawer metal file cabinets hold an estimated 28,200 microfiche in both loose envelopes and envelopes in boxes. Most of the drawers are filled to capacity with cards occupying two rows in each drawer. The cards themselves vary in width with some cards fitting comfortably within the drawer while others are too wide for the drawer when they are within their envelope enclosure. The microfiche cabinets had stains on the bottom drawers apparently from cleaning solutions or wax used for the floors. Although the cabinets function reasonably well, they are older model microfilm cabinets lacking some of the organizational and protective qualities such as wider drawers, non-slip dividers and non-tip drawer locks found in newer cabinets. The microfiche reader available in the Herbarium Library reading room is an old model machine that works correctly, although the glass plates and lenses are quite dirty. There is currently no schedule for reader maintenance. It is unknown if the temperature from the lamp of this older reader is safe for microfiche. A 18

19 second newer microfiche reader with scanning and printing capabilities is available outside the Herbarium Library reading room, in the Life Science Library lobby. A cabinet drawer splashed with floor wax and cleaning fluids An open cabinet drawer showing microfiche in envelopes and boxes A larger card that is too wide for the cabinet drawer Support and Image Materials Of the 119 microfiche sampled, all used polyester supports as opposed to the older and more volatile cellulose acetate or cellulose nitrate supports. All but one of our sample microfiche was produced with silver halide film. The one card not made with silver halide film was made with diazo film. The use of these stable materials bodes well for the longevity of the microfiche collection. We have a high degree of confidence in these findings due to the fact that production methods are consistent throughout titles and from particular publishers. The table below shows the numbers of items sampled from each collection, the corresponding publisher and the number of samples obtained from each collection. 19

20 Collection Title Publisher Number Plant Taxonomic Literature Microfiche Collection Meckler 49 Candolle: Prodromi Herbarium IDC 21 Thunberg, CP Herbarium IDC 6 Linnaean Herbarium IDC 5 Journal of Botany, The Brittish and Foreign Ed. IDC 5 Index Kewenis Mindata 5 Herbarium Jussieu IDC 5 Willdenow Herbarium IDC 4 Wallich Herbarium (Royal Botanical Gardens, Kew) IDC 3 Smith Herbarium IDC 3 Annales du Museum d'historire Naturalle IDC 3 Herbarium Lamark IDC 1 Flora of Panama? 1 Annals of the Lyceum IDC 1 Linnaeus C. Species Planatarumr IDC 1 Jacquin, N.J. Enumeratio IDC 1 Sloane, H. Catalogue Planatarum IDC 1 HERBARIUM HUMBOLDT, BONPLAND ET KUNTH IDC 1 Archives du Museum d'histoire Naturelle IDC 1 von Schlechtendal IDC 1 Herbarium Michaux IDC 1 Grand Total 119 Housing All of the microfiche sampled were housed in paper envelopes. Thirty-four percent of our sample were also housed in either plastic boxes (12%, ~=3,384 pop.) or plasticized paper and board boxes (22%, ~=6,204 pop.). Both types of boxes were examined by Ms. Pavelka. The plastic boxes were tested to determine their plastic content. The results of a Beilstein test indicated that the boxes are not made of the damaging plastic polyvinyl chloride. Ms. Pavelka thought that those boxes might be polystyrene, and in her opinion posed a low risk to the collection. The boxes made of 20

21 board covered in plasticized paper were determined to be acidic, however, and researchers noted that the envelopes in these boxes were discolored where they contacted the boxes. microfiche housing % None 0 0% envelope only 78 66% Plastic box 15 12% Plastic and board box 26 22% We are confident that our findings are consistent with the distributions of housings for the entire population. Visually estimating the housing types by drawer bear this out. Also, because housing is consistent across collection titles and because our sample was proportionally consistent based on collection size, we can be confident that our results closely match the population. Numerous problems related to microfiche housings were identified. Twenty-two percent of the sample (~=6,204 pop.) were housed in acidic board boxes with a plasticized paper covering. Thirty percent of the sample cards (~=8,460 pop.) were housed in envelopes where the emulsion side faced the envelope adhesive. Nearly one-third of our sample (~=7,896 pop.) were not housed in acid-free envelopes. This 21

22 number is probably much larger throughout the population as we were unable to adequately identify the acidity of the envelopes for more than half of the sample. Damage Assessment of the microfiche supports revealed that all were colorless. We found that 8% (~=2,256 pop.) of the supports sampled were bent, sometimes severely. In many cases, the bending appeared to be caused by the plasticized paper and board boxes. It is unclear whether this damage was caused by the size or the poor materials of the box; however, it was apparent that the red plasticized paper and board boxes were too small for the microfiche inside. Microfiche housed in gray plasticized paper and board boxes had a tendency to bend backwards at the top of the microfiche. Larger cards that were bent within the drawers tended to spring back once they were removed. It is unclear, however, whether long-term storage in this environment might cause the loose fiche deform permanently and loose elasticity. Example of microfiche cards bending at the top in a box. Example of cards unable to fit within the microfilm drawer without bending. The damage assessment of the images on each card revealed a high percentage of potential problems throughout our sample strata. Of the 119 microfiche sampled, 81% (~=22,842 pop.) were found to have some kind of foreign debris, 75% (~= 21,150 pop.) of the microfiche cards sampled were found to have scratches and 25% (~=7,050 22

23 pop.) were found to have fingerprints on the images. Four percent of the sample (~=1,128 pop.) had distortions or color changes visible in the images No Yes free of distortions free of debris free of scratches free of fingerprints Damage to the images and associated with housing problems provide evidence that the current care and handling of these microfiche have caused problems that will continue to endanger the microfiche collection over time. While we have explained how the findings regarding housing extrapolate to the population, we can also be confident that the damages identified extrapolate to the population as whole for the same reasons. The percentage of damage found in our sample was consistent with the proportional size differences of collection titles within the collection. Those titles that make up a larger percentage of the entire collection had proportionately higher incidences of damage; therefore, we found no evidence that damage to the microfiche was limited to some smaller population within the collection. 23

24 MONOGRAPHS AND JOURNALS The remaining 20% of the Herbarium Library collection consists of monographs and bound journals. Of the 3800 monographs and 3400 serials in the entire population, we sampled 16 and 12 respectively. Shelving for the monographs and journals is made of wood. Monographs are shelved along the walls of the reading room, while the journals are shelved in stand-alone bookshelves. The shelves are generally full, and occasionally tightly packed. The high incidence of worn heacaps gives evidence of full shelves and poor handling. It was noted that a few shelves contained items tall enough that they were difficult to remove. The general condition of the shelving, however, was clean, and loose shelves were propped up with bookends. The average publication year of monographs sampled was 1962 and for serials was The earliest monograph sampled was published in 1902 and the earliest journal in the sample strata was published in Damage For both monographs and journals we found very little evidence of systemic preservation needs. In the case of monographs, most damage tended to be minor damage to the binding and included damage such as loose hinges, worn headcaps and discoloration. In nearly all cases, the condition of the text block and leaf attachment was found to be quite good. The condition of the paper was quite good overall except we found that about one-third (~=1254 pop.) of our monograph sample had discolored, and/or brittle paper. All of the discolored and brittle paper was found in monographs and journals published prior to Both monographs and journals showed some kind of previous treatment for a preservation need. Nearly forty percent of monographs 24

25 (~=1406) had previously been treated for a preservation need and all of the journals in our sampled had been previously treated. 25

26 Monograph/binding Yes No yes no % % loose hinges % 75% Broken joints % 100% detached boards % 100% damaged cover % 88% detached spine % 75% worn headcap % 69% Other % 50% Monograph/block Yes No yes no% % Not Intact % 94% Tears % 94% Mutilation % 94% The findings for the journals demonstrated even fewer issues. For each of our preservation needs assessments related to binding, text block and paper categories, we never found any more than two representatives from our sample (17%, ~=578 pop.) that exhibited the condition. In fact, we found no instances of problems in nearly half of the assessments we made in these three categories. For both monographs and journals we suggested treatment for fewer than one-third of our sampled items. Additionally, we found no significant links between preservation needs and particular binding origination, dimensions, bibliographic information and/or leaf attachment types. serials/binding Yes No Yes % no % loose hinges % 83% broken joints % 100% detached boards % 100% damaged cover % 100% detached spine % 92% worn headcap % 100% Other % 83% 26

27 serials/block Yes No Yes % no% Not intact % 100% Tears % 83% Mutilation % 100% COLLECTION AVAILABILITY A review of OCLC holdings via WorldCat and Connexion found that titles in the microfiche collection are available on average from four other institutions while the average journal or monograph was available in approximately 58 other institutions. It is revealing that the titles that make up such a large portion of the Herbarium Library collection are available in so few institutions in the OCLC network. Availability in Median number of Mean number of other institutions institutions institutions Microfiche Monographs Serials This finding reinforces our belief that an emphasis should be placed on meeting the preservation needs of the microfiche collection at a level that is at least commensurate with both its size relative to other Herbarium Library materials as well as its limited availability. ENVIRONMENT Environmental data for the Herbarium Library was collected through informal interviews with Ms. Elder and Mr. Wendt and observations made by the researchers during the period of this survey. Before moving to the Main building, the collection was not maintained in optimal temperature and humidity conditions; however, since the mid- 27

28 eighties the temperature and humidity levels within the Herbarium Library have been stable in large part to protect plant specimens kept by the PRC, which share space with the library collection. During our work in the building we found no evidence to suggest that the temperature and humidity levels were subject to fluctuations. Exposed wiring above and below sections of the shelving around the perimeter of the room causes concern for potential electrocution and fire risks. In some cases this wiring appeared to protruding out of defunct electrical sockets. Blue sparks issued from three separate outlets, including the outlet powering the microfiche reader, when researchers attempted to plug in laptop computers. Cracks visible in the walls above the built-in shelving may represent structural damage or a potential for water leakage. Recommendations The preservation needs of the Herbarium Library book collection are currently addressed in both a proactive and a reactive way by the University Libraries preservation department. Items entering the collection may be commercial or pamphlet bound based on their need. Selection for preservation treatment by the preservation department is largely dependant on need; items which are currently damaged or in fragile condition are repaired or boxed. Unfortunately, these types of care are focused on book-type items and do not address the needs of microfiche. Although service microfiche are considered a replaceable resource, the economic investment in replacing 28,200 microfiche is prohibitive. As the titles age, it may become difficult to obtain replacements from the original publishers. The care of the microfiche collection is better addressed through a proactive preservation program geared towards preventing damage. 28

29 MICROFICHE The support and image materials of the microfiche collection are chemically stable. Our findings describe damage that is related to the poor housing and handling of the fiche. These issued can be easily addressed by improving the individual and collection housing of the microfiche collection, and implementing new handling policies proscribing correct microfiche use. The following recommendations are listed in order of their suggested priority. Write and implement a policy of maintenance for the microfiche reader and microfiche cabinets. This policy should include a schedule for cleaning the microfiche readers and vacuuming the microfiche cabinets to prevent damage from foreign debris. Write and implement a policy for the proper care and handling of microfiche. This policy should reflect use by Life Science Library staff, Interlibrary Loan staff, PRC staff, and the general public. Signs proscribing proper handling techniques should be created and placed near the microfiche cabinets and readers. Cotton gloves should be procured for staff and patrons for use when handling microfiche. Although all patrons may be unlikely to use gloves, this preventative measure would dramatically reduce the amount of foreign debris and skin oils found on images. Additionally, we would advise that an active contact list of microfiche publishers and instructions be maintained for the replacement of lost or damaged cards. Purchase a modern storage cabinet designed to hold microfiche. Chose a steel cabinet with drawers large enough to hold the largest microfiche in the collection. The new cabinet should also have a storage system more amenable to browsing and retrieving items from large microfiche collections. We advise selecting any lateral 29

30 drawer filing system that allows only one drawer to open at once and uses control plates to prevent microfiche from slipping and abrading against each other. Control plates also allow for more convenient browsing of the collection. To prevent floor cleaning chemicals from entering the lower drawers, the lowest drawers should be raised one foot from the ground. Replace the plasticized paper and board boxes. The smaller, red colored boxes should be replaced first, as they are physically warping the microfiche within. All of these boxes are acidic and may cause damage to the support and image. The Northeast Document Conservation Center suggests that chemically stable boxes can serve as protective microclimates where humidity and temperature are uncertain. 14 Replace all microfiche envelopes, aside from those marked acid-free, with acid-free envelopes. Although recently acquired microfiche are housed in marked, acid-free envelopes, many of the older fiche are not. Envelopes showing discoloration or darkened adhesives should be replaced first, as these are likely to be more damaging than white envelopes with clear adhesives at this time. It is important that emulsion side of microfiche not come in contact with the adhesive side of the envelope, to prevent abrasion and chemical damage to the image. Write and implement a policy of annual review for the microfiche collection. Materials should be examined yearly for damage to the supports and images. Replace the microfiche reader with a modern reader-printer. The glass surface of the plates should remain cool enough to avoid damaging the film. 14 Microfilm and Microfiche. 30

31 MONOGRAPHS AND JOURNALS Our findings showed the wear and tear that is expected given the age and limited but intensive use of these materials. Provided that this collection continues to receive active preservation care from the University Libraries preservation department, we advise the following prioritized actions be taken: Review our detailed findings of binding, text block, and paper preservation needs to determine if a more vigilant effort is needed to address the needs of the collection. You should determine if the current level of damage will endanger the collection and prevent its further use, or if you are satisfied with the current level of preservation care offered by library preservation staff. If even minor damage is unacceptable, a plan for preservation selection should be drafted. Conduct a more thorough evaluation of your journal and monograph collection. A more detailed survey for these strata would require sampling monographs and journals separately from the microfiche collection to determine if our preliminary assessment did not uncover more systemic preservation needs issues within the collection. Replace the brown, acidic pamphlet bindings with acid-free, alkaline-buffered pamphlet binders. Review materials published before 1923 for preservation reformatting. Especially brittle materials should be reformatted to prevent damage to the information during regular use. According to Mr. Wendt, the books and journals are used inside of the PRC laboratories, away from microfilm readers and computers. This pattern of use suggests that preservation photocopying would be preferable to digitization or 31

32 microfilming. PRC staff should be enlisted to identify damaged or brittle materials for preservation reformatting. ENVIRONMENT Based on our experiences and observations of the Herbarium Library environment, we recommend that you: Assess the wiring issues in and around the collection. Although our team lacks the expertise to ascertain the exact nature of these problems, we reasonably believe that open wiring and ungrounded plugs represent an electrocution risk to patrons and a fire risk to collection materials and shelving. Begin logging the humidity and temperature of the Herbarium Library. Close monitoring of the Herbarium Library reading room will also be valuable in assessing the conditions of the PRC plant specimens housed in that room. Silver halide microfiche can develop measles at a RH above 40%, 15 and books kept at an RH of 40% suffer less from acidity, brittleness, mold, and foxing. Undertake, if possible, an annual review of the structural condition of the building to ascertain any current or potential problems related to leaks, structural cracking, or other conditions that could result in a catastrophic loss of materials. Test for insect or other vermin in the collection. Although no vermin were observed in the collection, traps should be placed and checked for pests. These creatures can damage paper and endanger the health of patrons using the collection. 15 Microfilm and Microfiche. 32

33 Appendix A. Survey Instruments Microfilm Data Collection Sheet Preservation Needs Assessment Survey University of Austin Texas: Herbarium Library Bibliographic Information Call number Title: Publisher: OCLC number: Number of Holdings: Microformat Type of support: polyester [ ] cellulose acetate [ ] cellulose nitrate [ ] Type of image: silver halide [ ] diazo [ ] Is the support colorless? Yes [ ] No [ ] Is the support flat? Yes [ ] No [ ] Is the image free of: Distortions or color change? Yes [ ] No [ ] Foreign debris? Yes [ ] No [ ] Scratches? Yes [ ] No [ ] Fingerprints? Yes [ ] No [ ] Housing None [ ] Envelope [ ] Acid free? Yes [ ] No [ ]? [ ] Box [ ] Hard Plastic [ ] Plastic and Board [ ] Emulsion side facing envelope adhesive? Yes [ ] No [ ] Other notes 33

34 Data Collection Sheet [ Serial ] [ Monograph ] Preservation Needs Assessment Survey University of Austin Texas: Herbarium Library Bibliographic Information Title: Author: Call number: Publisher: Year of Publication: OCLC number: Holdings: Dimensions Height: in Width: in Depth: in Binding Origination Publisher [ ] Commercial [ ] Pamphlet Binding [ ] Paper [ ] Cloth [ ] Leather [ ] Binding Condition (Mark all that apply.) Loose Hinges [ ] Detached Boards [ ] Detached Spine [ ] Broken Joint(s) [ ] Damaged Cover [ ] Worn Headcap [ ] Other: Leaf Attachment (If pamphlet bound, note original (O) and folder attachment (F).) Sewn [ ] Stapled [ ] Glued/Taped [ ] Other [ ] Unknown [ ] Text Block Condition (Mark all that apply.) Leaf Attachment: Intact [ ] Not Intact [ ] Page Tears [ ] Mutilation [ ] 34

35 Paper Condition (Mark all that apply.) Brittle Paper [ ] Foxing [ ] Coated Paper [ ] Discolored Paper [ ] Other: Environmental Damage Yes [ ] Description: Treatment Suggested (Mark all that apply.) None [ ] Recase [ ] Rebind [ ] Resew [ ] Reformat [ ] Previously treated [ ] How? Other: Additional notes 35

36 Appendix B. Findings Number of Sample Percentage Items Size Microfiche % 119 Monographs % 16 Serials % 14 Film 52 Total % 149 Sample Size Calculation z (95%) p c ss ss (rev) Count of Microfiche Title Total Plant Taxonomic Literature Microfiche Collection 49 Candolle: Prodromi Herbarium 21 Thunberg, CP Herbarium 6 Linnaean Herbarium 5 Journal of Botany, The Brittish and Foreign Ed. 5 Index Kewenis 5 Herbarium Jussieu 5 Willdenow Herbarium 4 Wallich Herbarium (Royal Botanical Gardens, Kew) 3 Smith Herbarium 3 Annales du Museum d'historire Naturalle 3 Herbarium Lamark 1 Annals of the Lyceum 1 Archives du Museum d'histoire Naturelle 1 Linnaeus C. Species Planatarum 1 Jacquin, N.J. Enumeratio 1 Sloane, H. Catalogue Planatarum 1 Herbarium Humboldt, Bonpland Et leunth 1 Araceae Bromeliaceae 1 von Schlechtendal 1 Herbarium Michaux 1 36

37 Grand Total 119 Count of Emulsion Facing Adhesive Emulsion Title no yes Plant Taxonomic Literature Microfiche Collection 44 5 Candolle: Prodromi Herbarium 3 18 Thunberg, CP Herbarium 5 1 Linnaean Herbarium 1 4 Journal of Botany, The Brittish and Foreign Ed. 4 1 Index Kewenis 2 3 Herbarium Jussieu 4 1 Willdenow Herbarium 4 Wallich Herbarium (Royal Botanical Gardens, Kew) 3 Smith Herbarium 3 Annales du Museum d'historire Naturalle 3 Herbarium Lamark 1 Annals of the Lyceum 1 Archives du Museum d'histoire Naturelle 1 Linnaeus C. Species Planatarum 1 Jacquin, N.J. Enumeratio 1 Sloane, H. Catalogue Planatarum 1 Herbarium Humboldt, Bonpland Et leunth 1 Araceae Bromeliaceae 1 von Schlechtendal 1 Herbarium Michaux 1 Grand Total

38 Count of Acid-Free Envelopes Acid Free? Title? no yes Plant Taxonomic Literature Microfiche Collection Candolle: Prodromi Herbarium 4 17 Thunberg, CP Herbarium 4 2 Linnaean Herbarium 5 Journal of Botany, The Brittish and Foreign Ed. 1 4 Index Kewenis 4 1 Herbarium Jussieu 4 1 Willdenow Herbarium 2 2 Wallich Herbarium (Royal Botanical Gardens, Kew) 1 2 Smith Herbarium 3 Annales du Museum d'historire Naturalle 3 Herbarium Lamark 1 Annals of the Lyceum 1 Archives du Museum d'histoire Naturelle 1 Linnaeus C. Species Planatarum 1 Jacquin, N.J. Enumeratio 1 Sloane, H. Catalogue Planatarum 1 Herbarium Humboldt, Bonpland Et leunth 1 Araceae Bromeliaceae 1 von Schlechtendal 1 Herbarium Michaux 1 Grand Total

39 Count of Title/Monograph Count of Title/Monograph Binding org. Total Binding Type Total Commercial 3 Cloth 7 Pamphlet 4 Cloth (Plasticized) 1 Publisher 9 Paper 6 Paper ; Cloth Grand Total 16 (spine) 1 (blank) 1 Grand Total 16 Count of Title/Journal Count of Title/Journal Binding org. Total Binding Type Total Commercial 8 Cloth 8 Pamphlet Binding 4 Paper 3 Grand Total 12 Paper ; Spiral 1 Grand Total 12 Count of Title/Monograph Treatment non-acid binder None recase reformat Grand Total Total Count of Title/Journal Treatment None rebind reformat Grand Total Total Median Mean Availability in OCLC Availability Microfiche Monographs Serials

40 average age Monographs 1962 Serials 1965 monograph/binding Yes No yes % no % loose hinges % 75% broken joints % 100% detached boards % 100% damaged cover % 88% detached spine % 75% worn headcap % 69% Other % 50% monograph/block Yes No yes % no% Intact % 6% Tears % 94% Mutilation % 94% monograph/paper Yes No yes % no% Brittle % 69% Foxing % 94% Coated % 69% Discolored % 69% Other % 100% serials/binding Yes No yes % no % loose hinges % 83% broken joints % 100% detached boards % 100% damaged cover % 100% detached spine % 92% worn headcap % 100% Other % 83% serials/block Yes No yes % no% Intact % 0% Tears % 83% 40

41 Mutilation % 100% serials/paper Yes No yes % no% Brittle % 83% Foxing % 100% Coated % 42% Discolored % 83% Other % 100% microfiche housing % acid free None 0 0% yes 21 Envelope 78 66% no 33 Box 41 34%? 65 Plastic 15 13% 119 plastic and board 26 22% 41

42 Appendix C. Budget Microfiche Cost Units Total Product Source Signs Cotton Gloves Cotton Flannel Cleaning Cloth $ $60.38 $ $ $ $37.50 Glass Cleaner $ $8.95 Vacuum Cleaner with Soft Brush Attachment $ $26.80 Microfiche Cabinets $1, $1, Platform for Microfiche Cabinet $200 1 $200 Graduate Assistant for Rehousing Project $3,600 1 $3,600 Chemically Stable Microfilm Boxes Acid Free Envelopes Microfiche Reader $ $ $ $ $4, $4, total $11, DEMCO 12"H Custom Engraved Signs M Cotton Gloves Medium 12PR/PK Cotton Flannel, Unbleached, 5 meters Plexiglass Cleaner, 16 Oz. Vacuum Cleaners, Handheld, Fiberglass Filter, Data-Vac Russ Bassett Microfiche Cabinets Lateral 7 Drawers One foot, hardwood platform bolted to the floor and cabinet 6 months x $10/hour, including 50% fringe benefits Unbuffered box sized for microfiche; choose inside dimensions from 6-1/4W x 2"D or 6-1/4W x 4"D 500 Acid Free Microfiche Envelopes 4-1/4" X 6-1/8" Microfiche Reader/Plain Paper Printer, Alos, Model Z ers.com om/ om/ om/ om/ Construction and Installation Contracted Out to University Facilities Staff om/ ers.com om/ 42

43 Monographs and Journals Lace-on Pamphlet Binding Reformatting: Preservation Photocopy $ $1,628 $ $36,000 Multi Binder DuraCoat Classic 8 x 11" Pkg 12 Commercial bound volume and digital version (CD) Labor and Materials Contracted through University Libraries, Preservation Department Heckman Bindery, Contracted through University Libraries General Environment Environmental Monitoring total $37,628 $ $ Building Structural Review $5,000 1 $5,000 Insect & Vermin Testing $ $86.95 Data Logger for Temperature and Humidity, Docking Station, and Software Interface Independent Austin Historic Building Inspector, Consulting Fee Pest Monitoring Kits, for Museums total $5, Microfiche, Monographs, Journals and Environmental Recommendations total $53,

44 Appendix D. Annotated Bibliography Cornell University Department of Preservation and Conservation. Mar Cornell University Library. 26 Nov < This survey contained preservation treatment definitions and criteria that we used to define our assessment survey of monographs and journals. Library Preservation at Harvard: Conservation Resources. Oct President and Fellows of Harvard College. 26 Nov < The "Preservation Facsimiles in Widener Library" and "Transfer of Library Materials to the Harvard Depository" contain selection criteria, which helped to inform some of the things we specified on our assessment survey of monographs and journals. Microfilm and Microfiche. Dalton, Steve. 14 July Northeast Document Conservation Center. 26 Nov < This resource clearly outlines several factors, including support and image materials, which predict the longevity of different microfiche. The characteristics of good housing are also described. Microforms Collection Preservation Plan. Ed. Vidos, Tamara. 6 Aug University of Oregon Libraries. 26 Nov < This resource gives information particular to the care, environment, and proper housing of microformat materials. Supplies Section Diazo & Silver Film. Undated. The Microfilm Shop. 26 Nov < This commercial site gives approximate lifespans for the different imaging materials. 44

45 Appendix E. Random Number Generator The following is a screen shot of the scripting application used to create the random numbers generated for our assessment. The script was written in PHP and would generate three separate random number strings for each strata of our sample. The illustration explains how our random numbers were seeded and why. 45

46 Appendix F. Photographs of the Herbarium Library Collection An Overview of the Collection Monographs are shelved along the wall, while journals are shelved in free standing wooden shelves. The height of the ceilings can be seen in this image. Concerns about the Environment Wiring is the most immediate environmental concern. Exposed wiring is visible above and below the book shelves. Blue sparks were emitted from three electrical outlets to the left of the outlet visible in the left picture. 46

47 The Microfiche Collection The microfiche collection is housed in three steel cabinets. The microfiche reader is visible in the left picture. A reader-copier is available in the lobby of the Life Science Library. These boxes of microfilm, though discolored, were determined to present a low immediate risk to the collection. 47

48 The Monographs The monographs include a separate reference collection. All the items in the Herbarium are marked with an Herbarium sticker just under the headcap. Publisher, commercial and pamphlet bindings can be seen. 48

49 The Journals All journals are bound and coded before being placed in the Herbarium Library. Complete journals are bound commercially, while incomplete volumes are pamphlet bound. Sampling A team member records data on journal volumes. Two team members worked to pull the items. After pulling items, the volumes were compared to the survey instruments. 49

50 Three sessions of several hours each were necessary to pull and record all items in the sample. A brittle and discolored journal volume from Russia. Brown pamphlet binders are acidic. The volume on the right is brittle. At some point, it was repaired with book cloth tape on the spine. The darkened area of the cover is caused by adhesives from the call number label protector. 50