PEOPLE, BUILDINGS, AND COLLECTIONS
Innovations in Security and Preservation
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22. National Research Libraries and Protection of Cultural Resources
James F. Williams, II
The strategic stewardship of cultural resources
requires at a minimum that research library deans or directors assume
responsibility for the safety of employees and patrons, the physical
protection of buildings and their contents and immediate surroundings,
the establishment and implementation of protection programs concerning
natural disasters, coordinated conservation and preservation programs,
an asset protection policy, periodic audits of the library's assets and
protection systems, and training programs related to the obligations and
responsibilities of staff in all safety and security matters. As the
head of a research library having unique information resources that
represent the collective memory of human activity, the director or dean
also has the responsibility to be a partner on the national level in
the emerging national strategy to preserve and protect the nation's
cultural resources. He or she must also implement this national strategy
locally in the home institution.
The forms of risk to a research library are myriad.
The research library dean or director must successfully provide a
reasonable level of stewardship and protection, while at the
same time offering the most reasonable level of
access to the library organization. This balance must be founded on a
careful consideration of risks, based on past experience, events, and
environmental factors. It demands also the corresponding use of
countermeasures, which should usually be expected to offer the desired
level of protection for the institution. Failing to reach balance on
this primary compromise could ultimately create a series of secondary,
negative compromises of necessity (out of the dean or director's
control) that could affect the continuing significance of the library.
Those negative compromises could relate to legal liability based on a
failure to preserve and protect, a negative reputation for the library
based on the perceived fears of patrons, and the ultimate compromise,
that is, a sense that the library denies a freedom of access that had
been previously enjoyed.
Numerous forms of risk to academic libraries have
been described in detail in a set of guidelines published by the Safety
and Security Committee of the Buildings and Equipment Section of the
Library Administration and Management Association (LAMA), a division of
the American Library Association. [1] These guidelines cover
(1) adequacy of protection, (2) fire and emergency protection, (3)
physical barrier and lock and key security, (4) security duties and
security staff, (5) personal access and parcel control, and (6) security
alarms and electronics.
In the early 1990s, the incidence of crime on campus
was highlighted in the public press in a New York Times Magazine
article that described the personal dangers that exist on many
campuses. [2] During that same period, Congress became so
concerned about the incidence of crime on campus that it passed the
Crime Awareness and Campus Security Act in 1990, requiring campuses to
report crime rates and types of offenses occurring on
campus. [3] For academic libraries, P. Bean alleges that these
institutions in particular have certain
characteristics in common that make them
particularly vulnerable to criminal activity. The foremost of
these is their expectation that their assets will be taken away for use
and returned at a later date. [4] Other common characteristics
are open access policies, extended hours of operation, limited full-time
staffing during evenings and weekends, a location on campus that may be
out of the way, architectural design that creates invisible areas within
the library and a lack of security training for the staff. These
characteristics lead to crimes of opportunity, whose prevalence centers
on theft of collections, vandalism or mutilation, theft of personal
property and library equipment, voyeurism and exhibitionism, arson, and
personal assaults on staff or patrons. The bottom line is that the
perpetrators of these types of crimes of opportunity probably commit their
offenses because of a perception that the threat of being caught is
low.
There is another major risk, however, that is not
associated with crime. The inscription over the door of the main library
at the University of Colorado at Boulder reads, "Who Knows Only His Own
Generation Remains Always a Child" (nescire autem quid ante quam sis
acciderit, id est semper esse puerum B Cicero, Orator 120).
It goes without saying that the nation's research libraries continue to
house and selectively preserve the record of human experience. They do
so in general and special collections of unique primary resources and
scholarly texts in print and many forms of other media. These collections
continue to be of immense value to society and to its
understanding of the past as it relates to the present and the future.
Many of the invaluable items in these collections have been subjected to
the vagaries of war, fire, floods, careless accidents, the wear and
tear of use, and the passage of time. And others, either surrogates or
those born digital, have already reached that point of extreme
volatility for magnetic media that we know as physical
deterioration.
Because of the highly acidic paper on which they are
printed, most post-1850 print publications are at risk. In addition,
as scholarship and scholarly communication become increasingly
reliant on digital collections, research libraries are now faced with
the complex intellectual question about which information to
savenot whether to save, but what to save. The magnitude of the
preservation problems in a given research library is determined by the
age, scope, and composition of its various collections: collections
that come in the form of monographs, journals, newspapers, maps,
manuscripts, photographs, and digital images and collections that are
represented on paper, vellum, film, magnetic tape, and disks of various
types. Among the variety of these media, however, paper-based
publications still constitute the majority of our research collections,
and thus they are at the heart of the preservation crises in academic
libraries. An early study at the Library of Congress, for example, found
that some seventy-seven thousand of its volumes become brittle each
year. [5] Risk assessment and risk management have thus become
critical elements of an emerging national strategy to preserve and
protect as the complex question of what collections to save is engaged
both within and beyond the academy
Although it is much easier to agree on the need for
preservation than on a national strategy to preserve and protect for
continued access, one key element of that emerging national strategy is
to consider sharing the responsibility. The recommendation is that if a
library cannot afford the full range of operational expenses associated
with the successful management of special collections, it (the library)
should not attempt to house and manage such collections. [6] Any
national strategy to preserve and protect must be based on the defining
issue of selectionselection based upon common approaches, values,
and prioritization across the research library and scholarly
communityas well as on the choice of format
for preservation. And, if that strategy is based on
sharing national responsibility to preserve and protect those cultural
resources most at risk, the follow-on assumption is that the strategy
must be based on the integrity of local research collections.
Integrity in the individual academy library should be
defined in terms of subject or collection-based comprehensiveness and
strength, integrity that must therefore be determined through a
discipline-by-discipline differentiation and analysis, made by
scholars and library subject specialists in each field, of what is the
total literature of each field. This determination should further be
based on research patterns in each field and the uniqueness of the
resources in that field. With an emphasis on at-risk resources, the
partners who frame the national strategy must also take into account the
enduring value of some resources as artifacts.
This discipline-by-discipline selection process
should not be compromised by the need for expediency In addition, this
selection process can be supplemented through secondary partnerships
with learned societies, book collectors associations, antiquarian
booksellers, auction houses, book dealers, and nationally known new and
used bookstores. Several printed reference sources also exist through
which a capability to both establish and check the current value of
resources at risk may be implemented.
In the absence of such a national strategy, the
members of the Association of Research Libraries (ARL) who have a
preservation program currently use a variety of methods to preserve and
protect their collections for future access and use. These include
everything from commercial binding, to conservation treatment of rare
materials, to digitization. These methods also include the storage of
collections under properly controlled temperature and humidity. In
1998, the record of institutional support for preservation in ARL
institutions was more than $82 million. [7] As the move to
contain costs in higher education becomes a trend line, the threat to
preservation programs in the research library community becomes a major
challenge for scholars, librarians, and their institutions because of
competition for resources. Thus, there is an immediate need to leverage
existing resources through a national strategy that emphasizes
collaboration and a reduction in duplicative effort while sharing the
national responsibility to preserve, protect, and provide access. The
blueprint for a national strategy that includes a major use of
digitization for these purposes must address and solve the issues
surrounding the challenge of "how to convert such collections to digital
format," in Clifford Lynch's words, "in a way that facilitates reuse and
enhancement by the broad scholarly community over timethat
weaves primary content into a web of commentary criticism, scholarship,
and instruction, and links it to other related content without regard to
institutional or geographic boundaries, while preserving the integrity
of the digitized representations." [8]
With major risks associated with the preservation
crises at the national level, and other risks associated with crimes of
opportunity at the local level in individual research libraries, it
becomes apparent that responsibility to preserve and protect is a
partnership that begins at the local level. A comprehensive program of
safety and security in the local research library starts at the policy
level and moves from there to implementation. The development of such
comprehensive policies and programs involves many offices within and
beyond the institution, including facilities management, human
resources, disability and access services, institutional security risk
management, the university attorneys, and law enforcement and other
safety agencies in the community. At the policy level, there should be
full compliance and integration of the library's policies with
construction codes, with state laws related to library security, and with the regulations of the
Americans with Disabilities Act, the Federal Emergency Management
Association, the Occupational Safety and Health Act, and related
emergency agencies. This level of compliance and integration should also
assume institutional liaison and requisite reporting as related to these
congressional acts and associated agencies. Compliance also assumes that
the library will accept and respect the authority of the campus risk
management office and police. This obligation includes attention to
their analysis of risks to the library based on valuations of resources,
levels and elements of liability coverage, past events, and current
local, national, and international crime-watch bulletins.
The core of the library's safety and security policy
must focus on adequacy of protection in all circumstances of risk. These
policies should include (in no order of priority):
(1) a directory (including names and contact numbers)
of those who are responsible for operations and actions during
situations of risk;
(2) the rules of conduct and engagement for staff
(regardless of rank) during situations of risk, in order to provide
adequate protection to fellow workers and patrons, and the library's
assets;
(3) specifications noting the location of the
library's most valued physical assets, for instance, rare books,
manuscripts, archives, and so on, for use by law enforcement and fire
and other safety agencies, including a security operations review cycle
specifically related to these resources and their location;
(4) specifications for the location of cold-site
(versus hot-site) storage of back-ups to bibliographic and other
resource-related files for reference by law enforcement and fire and
other safety agencies, including a security operations review cycle
specifically related to these resources and their location;
(5) a current valuation of the library's resources,
highlighting those resources of highest value and at the greatest
risk;
(6) an internal security plan that identifies the major threats and
risks to staff, patrons, and the library's assetsa plan that
anticipates each type of risk and addresses the library's specific
plans (including staff training) and countermeasures for each type of
threat (this internal security plan may also include a basic security
operations manual for student employees or other part-time staff during
those hours of operation when immediate access to upper level management
is not possible);
(7) a staff training plan that includes training provided by
professional safety personnel from within and beyond the institution,
which, if it involves life safety assistance of fellow staff or patrons,
should be approved by university attorneys as it relates to the
institution's liability in certain circumstances;
(8) an emergency disaster plan that anticipates all such emergencies and
includes specific staff instructions, institutional and community
safety agencies that normally respond to threats of personal safety,
major theft, vandalism, fire, floods, tornadoes, hazardous waste spills,
and so on, and contacts for both facilities and consultants related to
conservation and preservation;
(9) a comprehensive plan for special events that involve valuable assets
owned by or on loan to the institution, which includes valuation of the
assets involved in the event, determination of whose insurance will
cover the liabilities associated with the event, the level of necessary
security personnel for the event based on the valuation of assets,
electronic surveillance methods, personal access and parcel control
procedures, the level and nature of public relations associated with
the event, donor-approval procedures related to all aspects of the event
(if necessary), and pre- and post-event lock-up procedures;
(10) a statement about the institution's pre-employment screening
guidelines as they relate to safety and security;
(11) a statement about the institution's
qualifications for safety and security professionals, including what the
staff can expect in terms of the physical, mental, and other characteristics
of these professionals, once hired;
(12) where applicable, a statement about the
expectations of the security employees in the library including their
jurisdiction and authority;
(13) a timetable for life safety practice sessions,
evacuation drills, emergency disaster response simulations, safety equipment
demonstrations, and so on, that relates to all types of threats;
and
(14) a timeline for regularized security audits that
review the adequacy of the following basic elements of the library's
security program: (a) opening procedures, (b) closing procedures, (c)
patron screening, (d) bibliographic control, (e) special collections,
(f) other limited circulation collections, (g) division of labor in
acquisitions operations, (h) equipment and supplies, and (i) follow-up
reporting on all occurrences related to risk.
In its library security guidelines, LAMA specifies
for security alarms and electronics that reliable alarm security
systems require the following six characteristics:
(1) local alarm annunciation when an area is
occupied;
(2) consistent and rapid human response;
(3) professional selection and application of alarm
sensors for good alarm coverage;
(4) secured communication lines and back-up power
supply;
(5) appropriate adjusting, testing, inspection, and
maintenance; and
(6) back-up annunciation at a commercial alarm
monitoring facility. [9]
The LAMA guidelines go on to describe in detail the
necessity for: continuous alarm protection; interrupted alarm
protection; and audible and visual alarm annunciation. They specify
overlapping security protection for high-security areas, with
alarms to central stations that are monitored twenty-four hours a day
and consistent and rapid response to security alarm annunciation during
and after library hours of operation. Magnetic contact or microswitches
should be in place on exterior perimeter openings, and
glass-break detecting sensors or volumetric motion detection sensors
should be in place on perimeter exterior surfaces with glass, as well as
combination volumetric motion detection sensors to detect unauthorized
persons in the library when it is closed.
For special collections, these precautions are
augmented by the placement of magnetic contact or microswitches on all
openings; vibrator alarm sensors on all flat surfaces to detect forced
entry from unprotected areas; and microdot tags and radio frequency
field labels in high-risk materials (for libraries with exit detection
systems). Closed-circuit television systems, alarm key-pads with a
confidential code to authenticate persons who open and close the
library, and silent duress or panic alarms for persons who open and
close the library are indicated. The guidelines also recommend
hard-wired or wireless alarm systems with control panels; back-up
and secure annunciation systems to an outside alarm monitoring
facility (or municipal police or similar emergency dispatch station) that
follows UL Standard 1610 for central station alarm units and meets UL
Grade AA Communication Link requirements; and, last but not least,
provision for alternative power supplies or generators. [10]
Additional security modifications should also include
state-of-the-art archival storage rooms and vaults for
special collections. To guard against crimes of opportunity, additional
technological modifications may also include (1) enhanced
card key systems, (2) surveillance cameras, (3)
duress alarms at service desks, (4) scream alarms in restrooms, (5)
portable alarm devices for staff, (6) communications systems for full
staff alerts, and (7) computer security systems to protect against abuse
or malicious use. The library market has already seen the introduction
of automated inventory control and access systems that operate on radio
frequency field labels that are integrated with patron identification
and local library systems. These radio-frequency-based
systems provide automatic circulation of materials, real-time
inventory control, detailed use statistics at the material and patron
level, immediate location of materials that are not in circulation, and
the added advantage of security control against unauthorized users.
Because digitization holds the promise as one of the
best ways to reformat and preserve resources at risk while providing
networked access to them, the framers of a national strategy to
preserve and protect must face the reality that there is no existing
standard for the archival permanence of digitized resources. In the
absence of such national standards, best practices and community-based
standards are being applied across the country
These ad hoc standards are based on the work of
recognized leaders in the field of digitization, such as the Council on
Library and Information Resources, Cornell University, the Digital
Library Federation, the Library of Congress, the Online Computer Library
Center, the Research Libraries Group, and the University of California,
Berkeley. [11] Most of the existing community-based standards developed to
date should be viewed as minimum recommended standards with accompanying
guidelines for the application of those standards. They typically
contain sections on scanning, metadata creation and entry copyright, and
collection development policy and selection. Taken as a corpus of
digital project resources, these community-based standards and
guidelines constitute a de facto national standard for those
institutions entrusted with the strategic stewardship of cultural
resources.
The strategic stewardship of cultural resources is a
responsibility of immense proportions for the nation's museums,
archives, and research libraries. This stewardship involves the daily
security and preservation of the vast historical and intellectual
records of human experiencerecords that are the foundation of
scholarship, teaching, and discovery. Because of the kind and content of
the risksboth real and perceivedassociated with these
resources, the need for coordinated national programs to preserve and
protect them is apparent. At a minimum, national stewardship
responsibilities place a corresponding local responsibility on the
research library dean or director for the safety of employees and
patrons, buildings, and collections. Protection programs related to
natural disasters, coordinated conservation and preservation programs,
and an asset protection policy are all necessary. Programs to audit
asset and protection systems and adequate training programs for staff in
all safety and security matters are essential elements of this
stewardship. Local responsibility for security and preservation also
means that the research library director must anticipate risks to
cultural resources and thus maintain safeguards to prevent predictable
losses associated with the major forms of risk.
Best practicebased on best
knowledgedictates a primary compromise on the question of how
much security is too much or too little. That compromise must provide a
reasonable level of stewardship and protection, while offering the most
reasonable level of access to our cultural resources. It is a compromise
that should be formalized in policy and founded on an ongoing
consideration of risks and the use of innovative and effective
countermeasures, which would usually be expected to offer the desired
level of protection for an institution and its assets.
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