UNESCO Guidelines for the conservation of documents

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Part one: Processes and techniques and their application

2. Definitions, principles and standards
3. Agents of deterioration and destruction
4. Preservation
5. Active conservation and restoration: Traditional materials
6. Preservation and conservation of non-textual materials
7. Substitution copying

2. Definitions, principles and standards

2.1 Definitions and Terminology
2.1.1 Preservation. This is a generic term for the totality of measures for
maintaining the integrity of documents and the information contained in them. It
includes all the managerial and financial considerations, storage and
accommodation provisions, staffing levels, policies, techniques and methods
involved in safeguarding the holdings of archival institutions (see also definitions
in 21, 22, 24).
2.1.2 Conservation. This denotes the specific policies and practices involved in
preventing, delaying and reversing deterioration of and damage to documents,
including passive and active methods and techniques (21, 22, 24).
2.1.3 Restoration and repair. This embraces a wide range of active conservation
processes aimed at improving the physical condition of a damaged document and
returning it, as far as is practicable to its original state. These processes can range
from the repair of a torn leaf to the re-sewing and re-covering of a book, the
removal of a stain to the deacidification, buffering and re-sizing of a document (21,
22, 24). The restoration of archival documents never includes the replacement of
missing text or other information (see 2.2.1(a) below).
2.1.4 Terminology. Unless otherwise indicated the terminology used in this study
is that of the ICA Dictionary (21) and Glossary (22).
2.2 Principles

2.2.1 Basic principles of restoration and repair. The whole process of restoration
and repair may defeat its own object unless the true nature of archival materials
and the treatments which may be applied to them are fully understood and those
treatments conform to certain basic principles:
a) No process may be used in restoration which would remove, diminish, falsify
(by subtraction, alteration or addition) or obscure in any way the document's value
as evidence. This applies not only to the written text of the document but also to its
physical structure, when that itself has evidential value.
b) No process may be used which would in any way damage or weaken the
document.
2.2.2 From these stem three further principles:
a) As far as possible missing material should be replaced by material of the same
kind, or with compatible, similar materials.
b) The nature and extent of any repair should be left unmistakeably evident.
However, this does not mean that the repair should not be aesthetically similar to
the original.
c) Nothing should be done which cannot be undone without damage to the
document. However, this does not mean that certain treatments, e.g. cleaning and
deacidification, which would never be reversed in practice, should not be used
when they are appropriate. A balance has to be struck between the possible effects
of any treatment and the durability of the document if it is left untreated and this
may justify in appropriate instances the use of irreversible processes, e.g.
copolymerisation.
2.2.3 Documentation. It also follows that a proper record should be kept of all
restoration treatment (53). This should include, as a minimum:
a) information identifying the document;
b) the state of the document before treatment, including information about its
components (e.g. number of sheets);
c) information on any disassembly which is necessary before treatment can start;
d) the sequence of treatment processes and techniques used (during treatment this
should serve as a security control to ensure that documents are not lost or
misplaced);
e) the materials used, including any adhesives, sizes, etc. and the extent to which
original materials have been reused;

f) the identity of the conservator who has undertaken the work;

g) the dates of treatment.
2.2.4 The form which this document should take is a matter for local decision, but
one common form is a combination of a chronological register which gives basic
details and a card file on which full details of the treatment are recorded for each
document, the cards being filed in accordance with the archival arrangement of the
documents. See Appendix D for suggested formats. Alternatively an abbreviated
treatment summary on acid-free paper may be retained with the document. Where
a major restoration of an important document is undertaken, photographs of it
before, during and after treatment should be added to the record.
2.3 Standards
2.3.1 International standards. There are no international standards for archival
preservation and conservation. However, the International Organisation for
Standardization (ISO) has recently established a sub-committee of its technical
committee for information and documentation (ISO/TC 46/SC 10) which is
concerned with the physical characteristics of media for documents and has the
following terms of reference:
a) standardization of physical specifications and handling of any media used in
information and documentation, including non-book materials;
b) conservation practices including environmental specifications, etc;
c) permanence of material specifications;
d) production aspects of documents, including binding, etc.
Its first area of concern will be with the permanence of paper to be used for books
and archives, and other work items are contemplated.
2.3.2 Pending the development of international standards, archivists and
conservators are advised to follow the best practices set out in relevant RAMP
studies (included in Appendix E), in such national standards from other countries
as may exist (6, 27, 28) and in standards of practice and ethics promulgated by
professional conservation and archival bodies.
3. Agents of deterioration and destruction
3.1 Inherent Instability
3.1.1 Oxydation. This is a process of natural decay in air which affects all organic
materials. If such materials are stored in good environmental conditions, the

process is normally slow, but it is accelerated by oxidizing pollutants, such as

ozone (created in electrostatic copying processes), sulphur dioxide, nitrogen
dioxide and cleaning fluids. In paper it results in the breakdown of the cellulose
fibre structure and the weakening of the paper. Its effects are unlikely to be
significant and are not easy to distinguish from those created by acid deterioration,
which is more likely to be the prime cause of decay in archival documents.
Oxidation is most noticeable in cellulose acetate still and motion picture film and
microfilm, where it becomes apparent in the form of 'redox blemishes' or 'red spot'.
3.1.2 Acid deterioration. Cellulose materials are also liable to decay through
contamination by inherent acidic components, by acidic materials used in their
manufacture and by atmospheric pollutants. Papers made from mechanical
groundwood pulp which has a high lignin content, or which have been sized with
alum rosin are especially liable to such deterioration. Deterioration will be
accelerated by certain external factors such as heat, humidity, light or chemical
pollution or by the use of acidic packing materials. The first visible evidence of
such deterioration may be a slight discolouration, which progresses in time through
yellow to brown. At the same time the paper loses its strength and eventually
becomes embrittled to the point where it crumbles when handled. The level of
acidity or alkalinity in a paper is measured by its pH value measured on a
logarithmic scale numbered from 0 to 14 with 7.0 as the neutral point; numbers
higher than 7 denote alkalinity, while numbers lower than 7 denote acidity. pH
may be measured colourmetrically with certain chemical indicators (e.g. Merck
strips) or, more accurately, by potentiometric methods using electrodes.
3.1.3 Fugitive dyes. Certain pigments used in inks, waterbased paints, textile dyes,
photographic dyes, etc. are fugitive and fade or change in time. These changes may
be accelerated by acidity, heat, moisture or light, but for some colour photographic
processes fading occurs even when prints or negatives are kept in the dark. Several
pigments, especially those in fountain pen inks and felt tip colours, are water
soluble and should be fixed prior to any treatments which require wetting.
3.1.4 Other chemical instabilities. A wide range of other chemical instabilities may
be encountered by archivists and conservators, e.g. fading or staining of badly
processed photographs, destructive deterioration of cellulose nitrate bases of old
still and motion picture film, hydrolysis of polyester film.
3.1.5 Electromagnetic deterioration. Most electromagnetic signals, e.g. on audio,
video and computer tape, are subject to gradual loss of strength. They are,
moreover, susceptible to deliberate or accidental deletion, distortion, print-through
and over-recording.
3.2 Environmental Agents

3.2.1 Temperature and humidity. It is important that archival materials should not
be subjected to extremes of temperature or humidity. High temperatures increase
the rate of chemical reactions; when allied to low relative humidity they lead to
embrittlement of paper and the drying out of adhesives; when allied to high relative
humidity they encourage fungal growth, the migration of adhesives, oxidation and
hydrolysis. Changes in temperature or humidity, especially rapid or repeated
changes (cycling) of conditions between day and night or from season to season,
lead to dimensional instability in addition to any other damage which may be done.
3.2.2 Light. High levels of natural or artificial light, especially from the blue end of
the spectrum (ultra-violet light), cause fading in inks and pigments (including dyes
used in colour photography) and through photo-oxidation may accelerate the
degradation of the organic materials used as supports for those inks and pigments
e.g. the breakdown of lignin in paper). Even low levels of light can cause problems
if they are maintained over a long (not necessarily continuous) time.
3.2.3 Pollution. Atmospheric pollution, especially sulphur dioxide and nitrous
oxides, which is produced by the internal combustion engine, furnaces, power
stations and many industrial processes which use fossil fuels (i.e. coal, oil, etc)
may react with the materials of which documents are composed, e.g. to accelerate
acid deterioration in paper or changes to photographic chemicals (14, 54). Similar
effects may be experienced when chemicals (acids, peroxides, sulphates, etc)
migrate from one component of a document to another, e.g. from board used in the
binding of a volume to the paper contents, or from a container to a document, e.g.
from an envelope to a photographic negative within it, or from one type of
document to another, e.g. from a badly processed photograph to the letter with
which it is enclosed, or from building components to documents stored within the
buildings, e.g. from paint or concrete dust.
3.2.4 Dust and dirt. Dust and dirt may become imbedded in paper fibres and cause
disfigurement of documents or even lead to abrasion of the materials of which they
are composed. In addition they may carry with them chemical pollutants or fungal
spores which can attack the documents. Concrete dust may be highly alkaline,
which is as damaging as high acidity.
3.2.5 Fire, flood and tempest. These disasters may arise from meteorological
events or from local or internal factors, such as arson or accidental fires, or burst
pipes or water mains (see section 12.6 below).
3.3 Biological Agents
3.3.1 Fungi (moulds) and micro-organisms. These are always present in the
atmosphere in an inert state and only become active when conditions, e.g. of high
temperature and humidity (a relative humidity of more than 65X will promote
fungal growth), promote their development and growth. They attack, by feeding

on, paper and other organic components of documentary materials, weakening

them and often leaving disfiguring stains, which may obliterate information (67).
3.3.2 Insects. These also feed upon the organic components of documentary
materials: some on cellulose products e.g. paper); others on animal products e.g.
certain adhesives, parchments, leathers). Book lice appear to be especially attracted
to fungal growths and their attack on paper, etc. is a by-product of this.
3.3.3 Other animal pests. Rodents also may damage documents by feeding upon
them, using them as nesting materials or merely fouling them. Birds also may foul
documents. Animal and bird excrement is not only unpleasant and corrosive but
itself provides food for fungi, micro-organisms and insects which may also attack
the documents.
3.4 Human Factors
3.4.1 Unintentional damage. Records may suffer from neglect, improper handling
and careless handling. Frequent use, no matter how careful, can itself lead to or
accelerate damage and deterioration. Photocopying without due care is a major
contributor to damage. A recent international survey of archives and libraries
pointed to use as the most frequent cause of damage to documents and books (10).
Unintentional damage may occur from careless handling in retrieving and reshelving documents, from damage in transit within and between buildings or from
excessive display on exhibition. First-aid treatment of damaged documents by
unqualified persons with unsuitable materials e.g. pressure-sensitive tape
('Scotchtape' or 'Sellotape')) can aggravate that damage.
3.4.2 Vandalism. This may involve tearing or cutting, writing on or marking
individual documents; disordering assemblies; or even arson.
3.4.3 Theft. The deliberate removal of documents, or extracts from documents, for
personal gratification or monetary reward is, unfortunately, by no means unknown.
4. Preservation
4.1 Storage
4.1.1 Buildings. The provision of secure storage areas in which environmental
conditions can be stabilised by inherent construction or artificial means e.g.
heating, dehumidifying or even full air-conditioning), which are well ventilated
with good circulation of air to prevent the growth of fungi, from which pollution
and dust are excluded by air filtration, in which light levels are reduced e.g. by
using blinds to reduce natural light), in which fires can be immediately detected
and suppressed, and where risks of fire, flood and tempest are minimised is the
most effective single measure which the archivist can take to enhance the longevity

of archival materials. So far as possible temperatures should be maintained as low

as practicable in the range 15-22 C and relative humidity as low as practicable
between 35% and 65%, preferably below 55%. Cycling even within these ranges
should be minimised if it cannot be prevented (8, 11, 16, 28, 33, 62, 75). The
weight bearing capacity of the flooring should be sufficiently strong to support a
full load of documents.
4.1.2 Storage equipment. The storage equipment provided should be strong enough
to take the weight of documents; shelving should be of a proper size to support the
documents; racking and shelving should be chemically inert (non-corrodible) and
fire-proof (i.e. metal not wood, baked enamelled surfaces properly and thoroughly
cured not painted). Sufficient space (15 cm) should be left below the bottom
shelving to avoid damage from minor flooding and a similar space above the
contents of the top shelf to permit free circulation of air. The use of mobile
(compactus) shelving should not be considered if ventilation and air circulation is a
problem (28, 33).
4.1.3 Enclosures. The use of acid-free storage boxes and folders for loose papers
and files and of boxes for bound volumes has been shown to extend the life of
documents stored within them and should be seriously considered. They provide a
good level of protection against fire, flood, light, vermin, pollution and cycling of
environmental conditions in the storage area. Where acid-free boxes are not
available, boxing will still provide protection, but documents should be wrapped in
acid-free paper or folders as a protection against acid migration.
4.2 Good Housekeeping
4.2.1 Cleaning. The removal of dust and dirt from documents and their containers
on their reception in the archives, and regular, preferably annual, cleaning
thereafter, will contribute to the maintenance of dust-free storage areas. Chemical
cleaning or bleaching should not be undertaken by non-conservation staff;
materials should always be carefully tested before chemicals are applied to
ascertain that no harm will result as a consequence.
4.2.2 Removal of deleterious components. Corrodible metallic components, such
as staples, pins and paper clips should be removed. Files which are held on 'tags "
lengths of cord with solid ends which thread through the contents of files and
attach them to file covers) should have any tags with corrodible ends replaced by
others with plastic ends; files in pillar (or post) binders with corrodible pillars
should be removed from those binders and placed in new ones with inert pillars.
Chemically active components with archival significance e.g. photographs, acidic
file covers) should be removed and stored separately or placed within inert
polyester sleeves. The removal of pressure-sensitive tape requires the careful use
of solvents and should not be attempted by non-conservation staff.

4.2.3 Flattening. Folded papers should be opened and held flat by pressing or by
humidification and tying between acid-free boards after interleaving with white
blotting paper, never by the direct application of a domestic laundry iron.
4.2.4 Packing. Any repacking should be in acid-free materials. Boxing, as in 4.1.3
above, is the best means of packing, but where this is not feasible wrapping in
acid-free folders or wrappers tied with undyed broad cotton tape (not string or
cord) may be recommended.
4.2.5 Handling. Procedures for the careful handling of documents by staff and
users should be introduced and enforced. These will include:
a) provision of archival trolleys which support documents adequately and are
manoeuverable;
b) avoiding stacking documents on trolleys, desks, floors, etc;
c) providing adequate working surfaces for staff and users and, where necessary,
properly
constructed book-rests or cradles; and
d) controlling the handling of documents when being photocopied.
4.2.6 Inspection. Storage areas should be inspected regularly to ensure that storage
and environmental conditions are adequate and that there has been no infestation
by fungi, micro-organisms, insects or vermin.
4.3 Pest Control
4.3.1 Treatment of premises. Where fungi, micro-organisms, insects or vermin are
an inherent problem within the storage areas, regular treatment with appropriate
substances is essential (71).
4.3.2 Routine treatment of new accessions. Where fungi, micro-organisms or
insects are an endemic environmental problem, it is desirable to eliminate them
before documents are placed in storage by an appropriate method of disinfestation.
However, this will be ineffective if the area into which they will subsequently be
placed is already infested or provides conditions which encourage a recurrence of
the problem.
4.3.3 Treatment of infestations. Where an infestation of fungi, micro-organisms,
insects or vermin is discovered, immediate steps should be taken to treat the
affected documents by cleaning, disinfestation, etc. to clean and disinfect the area
(aerosol sprays should not be used - they will spread the infestation) and to
eradicate the cause of the infestation, e.g. improving the environment (i.e. lowering

the temperature and relative humidity), repairing broken windows or damaged

screens. Food and drink should never be brought into storage areas (or, ideally,
into the archive). Documents should not be replaced in the area until the source of
the infestation has been eliminated.
4.3.4 Methods of treatment. Considerable uncertainty exists as to the best methods
of disinfestation. Those which have been employed are:
a) fumigation, which requires a special fumigation chamber and appropriate
chemicals; thymol, long a preferred chemical, is now considered to be of limited
effectiveness and ethylene oxide is explosive when mixed with air and requires a
properly designed and maintained vacuum chamber for its use and very careful
handling (33); also its reaction and decomposition produces by-products which are
both toxic and injurious to certain documentary materials;
b) freezing in a modified domestic freezer to -18C will kill insects, their larvae
and their eggs, but not all fungi;
c) radiation has also been tested in the laboratory, but the necessary facilities are
unlikely to be available to most archival institutions (57, 64);
d) environmental conditions which do not encourage fungi and insects are the most
effective single contribution to eliminating them from storage areas.
4.3.5 Health and safety. Effective disinfestation treatments are in general harmful
also to humans and should, therefore, be applied only by properly trained
personnel using proper equipment under conditions prescribed by law or by
manufacturers' recommendations (see also section 10.7 below).
5. Active conservation and restoration: Traditional materials
5.1 Paper
5.1.1 Nature and properties. Paper is an organic material of which the main
component is cellulose. In papers made before the middle of the nineteenth century
this cellulose is mainly derived from cotton and linen, although other vegetable
fibres might be used, and the fibres are long and relatively stable. Such 'rag' paper
may be 'hand-made' or 'mould-made'. From the nineteenth century wood pulp was
increasingly used and paper making became industrialized. The paper thus
produced is usually known as 'machine-made' (it is also possible to obtain
machine-made paper made from cotton pulp). It may have been processed in a
variety of ways and contain varying quantities of lignin. Although it is possible to
make wood pulp paper which is long lasting, the cellulose fibres tend to be shorter
and the paper may be more acidic than paper made in the traditional way and hence
much less permanent. Mechanical groundwood papers e.g. those used for

newsprint) in particular are chemically unstable and rapidly discolour, going

through phases of yellow to dark brown, and become embrittled to the point of
disintegration under the influence of acid deterioration, accelerated by such
environmental influences as light, heat, humidity and atmospheric pollution.
5.1.2 To give paper strength and to enable it to receive writing ink without
feathering the basic cellulose is treated with sizes and fillers. In early papers the
size was usually gelatine, an animal substance which may lose some of its body in
time but does not break down so as to damage the paper. However, in more
modern papers the sizing agent is often alum rosin, which is acidic and will
contribute to the deterioration of an already acidic paper. Fillers are usually derived
from china clay or chalk and are, therefore, often alkaline and tend to counter any
acidity in the paper or atmosphere. Since papers used as supports for manuscript
and typescript inks often have a high filler content, archival papers are often less
seriously affected by acid deterioration than library books, though duplicated and
printed documents, especially newsprint, and even manuscript and typescript
records on inferior paper may be seriously affected.
5.1.3 Deacidification. Traditional paper repair will not of itself remedy the effects
of acid deterioration. This can only be done by neutralising the acid and building in
an alkaline buffer by chemical means (excessive alkalinity may also damage paper
and a pH level of more than 9.0 should not be sought). Deacidification should not
be undertaken before inks and pigments have been tested for fastness in the
substance to be used and, if they are not fast, have been fixed. A number of
techniques of deacidification have been developed:
a) aqueous deacidification, in which affected paper is immersed in (fragile
documents should be supported), or brushed with, an alkaline solution or
suspension (magnesium bicarbonate is generally regarded as the most effective)
until the acidity has been neutralised and the pH value has been raised to between
7.5 and 9.0; after treatment any necessary repair is then undertaken and the paper is
re-sized and pressed; this method is tried and tested, but may not be safe for very
fragile documents; it is also a very slow process;
b) spirit deacidification is similar to aqueous deacidification except that the alkali
is dissolved or suspended in an organic solvent; it can be applied in spray form,
which speeds up the process, though it may not be as effective as immersion;
c) vapour-phase deacidification employs chemicals in gaseous forms to neutralise
the acid; this is potentially easier to use and offers greater productivity than either
of the immersion processes, but unfortunately most of the gases which have been
used are poisonous or otherwise injurious to health and this system is not now
recommended;

d) mass deacidification methods are being developed in a number of countries but

are still in the experimental or developmental stage. All require expensive plant;
some require the use of a vacuum chamber, which may be safe for bound volumes
but not always for loose sheets; others use chemicals which require careful
handling if they are not to be a threat to health and safety. Most are likely to be
cost-effective only where a high volume of work can be foreseen (42).
5.1.4 Traditional paper repair. Where paper has been damaged, traditional repair
techniques (see 5 for a more detailed treatment of these) require the use of a good
quality, new, mould-made paper of equal weight and similar colour to the original.
This paper is used in such a way that its 'grain' runs parallel to the 'grain' in the
original paper. Where it will be abutted on to the old paper, it is 'needled' or scored
to outline the precise shape required and then carefully torn rather than cut as this
enables the fibres of the old and new to interweave. An alternative technique uses
Japanese tissue rather than standard paper. The principle types of repair are:
a) mending, in which tears in the paper are pasted together;
b) infilling, in which pieces of the new paper are carefully made to match holes in
the original, using a light-box to draw the precise shapes in the new paper before
tearing, and are then pasted in place;
c) framing, which is the reverse process in which a frame is made to surround a
sheet of paper which has been damaged at the edges;
d) backing, in which a new sheet is pasted on the reverse of the old sheet; where
holes or damage to the edges exist backing should be used in association with
infilling or framing, otherwise the differing thickness of paper will create a
weakness in the repair; this technique can only be used when there is no text on the
reverse of the original sheet, although when there is only a small amount of text,
backing may be permissible provided that 'windows' are provided to expose that
text or thin, transparent Japanese tissue is used.
5.1.5 Traditionally a vegetable (rice or wheat starch) paste (sometimes with
additives to combat fungal growth and deter pests - these additives should not be
otherwise deleterious to the document) has been used for paper repair, but modern
synthetic pastes are now sometimes used, though they should be used with great
caution and only after careful testing both of their chemical stability and of the
permanence of their adhesive qualities.
5.1.6 Paper repair using the hand-made paper technique is usually undertaken with
the original and repair paper damp; with Japanese tissue it is usually done with the
paper dry. The former method will remove some of the original size and after the
repair has been completed each individual sheet may be re-sized and dried loose on
a frame (pressing will cause the re-sized sheets to stick together). Large documents

may be dried lightly pasted to nylon sheeting on a melamine laminate surface,

which may be a vertical or near-vertical wall board. They will strip away from the
nylon when dry.
5.1.7 Lamination. The earliest, and still the most common, mass treatment system
for repairing paper documents is lamination. This may be undertaken by semiskilled staff after a minimum of training. However, it adds to the bulk of a
document and it contradicts to some extent two of the principles of repair: that like
or compatible materials should be used in repair, and that the repair should be
readily reversible. It may be of two kinds:
a) machine lamination, in which the sheet of paper to be repaired is placed between
two layers of tissue coated with a thermoplastic adhesive (alternatively separate
sheets of the thermoplastic adhesive may be placed between the document and two
sheets of uncoated tissue), and heat and pressure is applied to cause the sandwich
to adhere (thus contradicting another principle of repair: that nothing should be
done which is potentially damaging to the document); the Barrow process is not
recommended as it may damage the documents to which it is applied; certainly
some early examples of this treatment have deteriorated badly, although it appears
that in at least some cases it is untreated inherent acidity of the paper, accelerated
by the treatment, which has led to this deterioration; the basic rule for machine
lamination must be, therefore, always test for acidity first and deacidify if
necessary before lamination; the Postlip-Duplex (or Langwell) process uses lower
heats and pressures and the tissue which it uses is a cellulose fibre and can be
removed if necessary, but sufficient doubt about the life of laminated paper exists
for the process to be recommended only for low value, high use documents (see
Table One after 8.3.2 below); automatic and semiautomatic machines are available,
which increase productivity;
b) manual lamination is a similar process in which heat is not applied, two main
variations are employed:
(i) florentine repair, in which the sandwich is Japanese tissue, a very fine,
translucent paper, and the adhesive is a standard paper repair paste; this type of
repair may also be undertaken with machine lamination; and
(ii) spirit lamination, a process developed at the National Archives of India in
Delhi, but not widely accepted, in which the sandwich is cellulose acetate film and
tissue paper, adhesion being provided from the chemical action of acetone which is
applied evenly over the surface with a non-linting cloth (15).
5.1.8 Encapsulation. As an alternative to lamination which will support a document
without the application of heat, pressure or adhesive, the technique of
encapsulation has been developed. Here the document is encased in an envelope of
inert transparent polyester film e.g. 'Mylar'). As with lamination it is necessary to

deacidify before encapsulation. Ready-made envelopes may be used for less fragile
documents, but for weak and friable items it is necessary to build up the envelope
around the document. Early encapsulation techniques made use of double-sided
adhesive tape, but it was found that there was a potential risk of the document
slipping into the adhesive. Heat sealing also placed the document at risk (though
newer systems used in the USA appear to be safe), but ultrasonic welding appears
to provide a safe sealing system. A cheaper alternative is machine-sewing the
polyester sheets together with a zigzag stitch. Only a minimum of skill and training
is required to undertake this process, which may take longer than lamination and
adds more to the bulk of the document. Another major problem is the tendency for
electrostatic attraction to lift friable or flaking inks and pigments and for these to
adhere to the polyester film; encapsulation should not be used for such materials.
Encapsulation may be used to preserve archival materials other than paper e.g.
photographs, textiles) and to isolate degrading materials interfiled with other
documents.
5.1.9 Leaf-casting. This method of repair employs the technique of making new
paper to fill in holes in the original document. The document is placed over a fine
mesh and immersed in water to which a slurry of cellulose (usually made from
cotton [inters) is added; a vacuum is created below the mesh, drawing off the water
through the holes in the document and leaving the slurry (which dries to form new
paper) held by the mesh and making good the holes. A variety of leaf-casting
equipment is available, ranging from small manual machines to large automatic,
and even continuous, ones. The disadvantage of this process used on its own is that
it wily fill holes, but not repair tears or strengthen weak paper (although resizing
can be accomplished while leaf-casting). Hence, documents may require further
treatment - e.g. lamination or encapsulation - to make them suitable for handling.
Moreover, since it is a wet process, it can only be used with non-water-soluble inks
and pigments. However, it can be used conveniently with aqueous deacidification.
A considerable amount of skill and experience and careful calculation of the extent
of the damage and the quantity of slurry required (these calculations may be done
by sensing equipment or by hand; they are easier to make when book leaves and
documents on paper of the same size are to be repaired) are necessary to achieve
good results (i.e. where the replacement paper is exactly the same thickness as that
of the document), and even with the expensive continuous machines, productivity
is not, therefore, very high.
5.1.10 Paper splitting. The technique of paper splitting is an old one, which has
recently been revived, especially in Eastern Europe. In this treatment weak or
damaged paper sheets which have text upon both sides and which cannot be
backed are split laterally to form two single-sided sheets, between which a
strengthening sheet is inserted. This is a skilled process, which requires training
and experience, and it is not possible, therefore, to achieve high productivity;
though it is quicker than traditional paper repair.

5.1.11 Paper strengthening. Experiments are being made with systems for
strengthening weak papers by impregnating them with monomers and bombarding
them with weak gamma-rays to create polymers which are chemically attached to
the paper. None of these systems of copolymerisation has yet been proved or
developed beyond the prototype stage (74).
5.2 Bindings
5.2.1 Restoration of bindings. The repair or replacement of bindings is rarely costeffective unless the original binding has historical, aesthetic or other intrinsic value
and interest or the document which it encases is of high value and interest. Where
the repair or replacement of a binding appears justified on such grounds, the old
binding should be disassembled only so far as is necessary to repair any damage to
its contents, and restored in exactly the same style and materials as the original.
Such work requires high levels of skill and experience, far beyond those of the
standard library bindery. It also takes considerable time and cannot be rushed.
5.2.2 Binding. The traditional method of securing loose papers to make them easier
to handle and to protect them against theft or misplacement is to bind them into
volumes. Since such papers rarely come in identical sizes and in neat gatherings
like the sheets of printed books, here also a level of skills and experience higher
than those of the standard library bindery is required. Special techniques, such as
packing to make up for smaller sized sheets and to assist the volume to open
properly, have to be learned. Cropping pages to provide neat edges should never
take place. This work is time consuming and labour intensive. Where adequate
margins have not been left, especially on the reverse sides, the text may disappear
into the gutter and be difficult to read. An alternative method of perfect binding
using modern adhesives and standard cases has been employed in some archives.
This can be semi-mechanical and does not require highly skilled operators. It is,
however, doubtful whether the volumes so created will stand up to the test of time
or frequent handling for consultation and copying. In China and Japan a style of
binding is pratised in which writing is on one side of each sheet of paper; this is
then folded back and volumes are made up by threading through the margins of the
doubled sheets.
5.2.3 Guarding and filing. This technique makes use of guards, or paper strips, of
the same weight as the individual papers which constitute the assembly. Each
paper is pasted by means of a slight overlap to its guard and the guards are then
aligned, drilled and laced between pre-cut boards. Special care has to be taken to
balance smaller sized papers to give an even thickness to the finished file.
Alternatively a guard may be attached in machine-lamination processes by abutting
it to the paper and overlapping the laminating tissue on to the guard. Guarding and
filing, except in the laminating process, requires some skill and experience and is
labour intensive, though less time-consuming than binding proper. It has the

advantages over binding of enabling the pages to open completely clear of the
gutter and of permitting the volume to be taken apart easily again if necessary.
5.2.4 Pillar binding. When documents are encapsulated, an adequate margin of
polyester may be left which can be drilled and the encapsulated documents made
up into assemblies within pillar (post) bindings.
5.3 Parchment and Vellum
5.3.1 Nature and properties. Parchment is made from the skin of animals (usually
sheep or goats) prepared in a special way so that it can be written on with ink. It is
found extensively among the medieval archives of Western Europe, but it occurs at
later dates and more widespread geographically for the recording of especially
formal and solemn documents. Parchment has a 'grain', arising from the
rearrangement of the natural fibres as a result of tension applied during processing,
and the 'hair' and 'flesh' sides have differing characteristics. Some parchments are
split in the interest of economy or suppleness. Vellum (originally calf skin - there
is no separate word in many languages) is of a heavier weight and was used for
important manuscripts and documents and for bindings and other types of cover.
5.3.2 Traditional parchment repair. The techniques of repairing damaged
parchment documents are similar to those for paper described in 5.1.4 above. New
parchment of a similar thickness and colour, with a similar 'grain' and with 'hair'
and 'flesh' sides matching should be used to repair damaged documents. The main
differences from repairing paper documents are that parchment has to be cut, not
torn, and the edges on the flesh side carefully pared to provide a slight overlap, and
that the repair is performed with the parchment dry (though it may be necessary to
rehumidify to 55% RH before treatment if the parchment has become too dry). The
skills and experience required are equal to those needed for traditional paper repair
and the process is labour intensive and time consuming.
5.3.3 Strengthening parchment documents. Where parchment documents need to
be strengthened, they may be backed with new parchment, if the reverse contains
no text. Where it does contain text a traditional strengthening material has been
fine silk gauze (an animal product) which is pasted over the parchment. Substantial
loss of legibility may occur as a consequence. An alternative traditional substance
is goldbeaters' skin (a fish swim bladder product). A newer technique uses a
covering of reconstituted collagen (another animal product, mainly used to make
sausage skins). This is cheaper than goldbeaters' skin and blends better with the
parchment than silk and causes less loss of legibility.
5.4 Other Traditional Support Materials
In addition to paper and parchment many other materials have been used at
different times and by different societies as a support for written information.

These include papyrus, birch bark, palm leaves, wood, ivory, clay and stone. The
conservation of such materials is as highly specialised as is that of paper,
parchment and bindings, and should not be attempted without proper training and
experience. Advice on the conservation of traditional materials is likely to exist
still within their country of origin, often within the museum service, if not more
generally.
5.5 Seals
The use of seals to authenticate documents is common to many periods and
societies. They vary in form (pendant - double or single sided, applied, stamped)
and materials (lead, wax, shellac, ink). The repair of pendant and applied seals is
highly skilled work, not to be undertaken by the inexperienced. Where the
necessary skills are not available, the best treatment is to pack the seals carefully in
cellulose wadding to prevent further damage and to restrict further handling,
though care should be taken to avoid detaching them from the documents. Stamped
seals may often use inks or pigments which are water-soluble and special care
should be taken, therefore, when subjecting the documents on which they occur to
treatments which involve wetting.

6. Preservation and conservation of non-textual materials

6.1 Still Photographs
6.1.1 Nature and properties. Although photography has been around for almost a
century and a half, it is only recently that, outside a few specialist photographic
collections, concern has been shown for the preservation of photographs,
especially those which occur among archives (2, 25, 29). Photographs present
special problems because they are complex objects, which have in common only
that each is composed of two or more elements, including a support or base (which
may be of many different substances), a chemically active ingredient (usually
metallic silver in the case of black and white photographs) which reacts to light to
form the image and a binder to bind the two together (except in collotypes and
daguerrotypes). Each of these elements may react differently not only to
environmental conditions, chemical pollution or handling but also to attempts at
their conservation. Active conservation is, therefore, a highly skilled operation
which should only be undertaken by those trained and experienced both in
recognising the specific photographic processes involved and in their respective
treatments. In general the safest treatment for photographic records is to pack them
individually in chemically inert wrappers (not only acid-free but also sulphur- and
peroxide-free - glassine envelopes are not now recommended) or encapsulate them
in polyester film, and preserve them in the dark in optimum environmental

conditions (the lower the temperature the better; relative humidity should be
between 30% and 50%).
6.1.2 Photographic negatives. These may be on a variety of transparent supports,
the chief of which are glass, cellulose acetate and polyester (poly(ethyleneterephthalate)). These supports are of varying stability (see 3.1.1 and 3.1.4 above).
Damage to photographic negatives is most likely to occur from breakage in the
case of glass negatives; from damage to or distortion of the emulsion layer arising
from the differing responses of support and emulsion to dimensional changes
resulting from cycling of environmental conditions, which can cause the emulsion
and image to crack or even to separate from the support; or from chemical damage
to the image as a result of poor initial processing, subsequent chemical pollution
from the environment, or migration from wrappers or other substances with which
they have been in contact or to which they have been close in storage. Still
photographic negatives on a cellulose nitrate base (which is chemically unstable
and highly inflammable) are less common than motion pictures on such a base.
Photographic negatives on a paper support may also be found. Active conservation
treatment of photographic negatives, such as chemical re-processing or floating
emulsion and image from a damaged support to a new one, should only be
attempted by those who are professionally competent to do so.
6.1.3 Photographic positives. These are most likely to use paper as their support,
but a variety of other supports may be found, such as metal in several early
processes, and glass for lantern slides. As with photographic negatives damage is
most likely to occur from damage to or distortion of the emulsion and image, or
from chemical damage to the image, often caused by poor processing, atmospheric
pollution or impurities either in the paper support or, more commonly, in mounts
or photographic albums, or by other materials (e.g. newsprint) stored in association
with them or enclosures (envelopes, boxes, etc) of poor quality materials. Removal
from mounts and albums, where this is possible without risk of damage to the
photographs or loss of evidential value, and separation from associated materials
may arrest, though it cannot reverse (but see 2), chemical deterioration. (It is
axiomatic that where photographs are physically removed from associated
materials which themselves form part of the record, the intellectual links between
the two must be retained by means of cross-references in lists or inventories.)
Active treatment should be undertaken only when skilled photographic
conservators are available.
6.1.4 Colour photographs. These come in the form of negatives, positive prints
made from them, 'direct' positive transparencies/slides, and 'direct' positive prints
('Polaroid'). The light sensitive dyes which record the image are much less stable
than the silver salts used in black and white photographs and it is crucial that they
be stored in a stable environment, ideally at a low temperature of not more than 5
C with a stable relative humidity in the range 30-50%. Active conservation
treatment of damaged or deteriorating colour photographs is generally virtually

impossible and duplication may be the only option for rapidly deteriorating
examples.
6.1.5 Microforms. These are a version of still photographs in which a series of
images is held on a transparent support (cellulose acetate or polyester - see 3.1.1
and 3.1.4 above for stability problems) in roll (microfilm) or sheet (microfiche)
form. Some early microfilm may be on motion picture cellulose nitrate stock, from
which it should be copied and the original disposed of (see 6.2.1 below). The
image in all early microforms and in modern archival microforms is formed in a
silver-gelatin emulsion, which is liable to the same kinds of damage or
deterioration as other silver-salt photographs. Diazo, vesicular and
electrophotographic ('erasable') microforms are now common as duplicates; they
tend to react adversely to high levels of light and are not recommended for longterm preservation. Treatment of microforms is usually confined to the replacement
of metallic spools or poor quality, unstable containers by inert ones, followed by
storage in the recommended environmental conditions (26) and apart from paper
based materials which may give off peroxide fumes. Careful washing of dirty or
sticky microforms may also be undertaken, but chemical treatment is not
recommended.
6.1.6 Office copies. There have been many and varied processes for producing
office copies either direct from the originals or by printing from microform copies.
Of these the earliest was the mimeograph, characterised by the very poor quality of
the paper supports and the fugitive dyes in the inks. The earliest copy process was
the 'photostat' (a term often used loosely and incorrectly for all photocopying
processes), which was produced by a photographic process and, if properly
processed and stored, created a reasonably permanent copy. Unfortunately most
were not properly processed. The latest, the electrostatic or xerographic copy
(sometimes known by the trade name 'Xerox'), can also be virtually permanent if
the machine in which it has been created was properly serviced, the toner was
correctly formulated and fused and the paper is of permanent quality. However,
between the two there have been a vast number of other processes, e.g. thermofax,
verifax, which have produced copies which are very short lived because the quality
of the materials is poor, image fixing is poor and the coated paper used is sensitive
to light or heat. The only way of preserving the texts of such copies is to recopy
them by a process which produces a more permanent copy (69). Office copiers
which reproduce colour have recently been introduced. The archival permanence
of their products is uncertain.
6.2 Moving Images
6.2.1 Motion pictures. Motion pictures (also called movies or cinematograph films)
present all the problems encountered with still photographs, to which should be
added, from the 1930s onwards, those created by soundtracks. Black and white 35
mm motion pictures made before 1951 are likely to be on a cellulose nitrate base

and, therefore, highly inflammable or even explosive. They require special vaults
for their storage and the only effective treatment is to copy them on to safety stock
and dispose of the originals. Later 35 mm films on cellulose acetate ('safety') stock
and all 16 mm films (on 'safety' stock) present fewer problems. Early colour film
('Technicolor') is reasonably stable, but new colour processes extensively used
between 1950 and 1970 are less permanent, and require special low temperature
storage. Physical conservation treatment of motion pictures is impractical in all but
a few rare and important cases. The only solution to damage or deterioration is
proper handling and storage to arrest it or, if it has gone too far, copying (35, 45).
6.2.2 Video recordings. These are a new form of moving image, with sound,
created by recording electrical charges on a magnetic tape. They are mainly at risk
from wear, from damage in inadequately maintained machinery or from unsuitable
environmental conditions which may cause the separation of the electromagnetic
recording medium, the polyester base and the proprietary binder (usually polyester
urethane, which becomes sticky at high temperatures and relative humidities)
which holds them together. There is also some evidence that the electromagnetic
signals fade over time and may be affected by external electromagnetic
interference. Preservation in a proper environment and careful handling are
essential, failing which the only preservation measure is copying, though this can
present problems if the original recording equipment is obsolete and unavailable.
6.3 Sound Recordings
6.3.1 Audio discs. Early sound recordings are to be found on wax or shellac drums,
wax and metal discs (pressing masters) also may sometimes find their way to the
archives; but the most usual form of sound recording until very recently was the
disc, originally in fragile shellac but since the 1950s more often in plastic, which is
less fragile, but liable to scratch and warp. Sizes, playing speeds and methods of
recording (acoustic and electrical) vary but the basic technology is generally the
same. The materials are generally very stable (though 'leaking' of the plasticizer in
discs is not uncommon), but physical damage from careless handling (scratching or
breakage), poor quality or damaged pickups, excessive playing (wear or
scratching) or bad storage (warping) is common. Copying is the only practicable
preservation measure if the machinery is still available to 'play' the original (35).
6.3.2 Audio tapes. These are polyester tapes carrying a magnetizeable coating held
together by a proprietary binder. The magnetic layer receives and holds an
electrical charge which can be read back to re-create the sound. Variations are to
be found in the number of tracks per tape and in the recording/playback speeds.
The problems are the same as for video recordings (see 6.2.2) and copying, where
equipment is still available, is the only practicable preservation measure.
6.4 Machine-Readable Records

6.4.1 Magnetic media. The well established means of recording computer data is a
magnetic medium, which may be in tape or disc form, with characteristics which
are similar to those of video recordings (see 6.2.2) and audio tape (see 6.3.2). The
preservation of such media requires proper storage, careful handling and, if all else
fails, regular copying.
6.4.2 Optical discs. A more recent development is in the use of lasers to write and
read to specially prepared discs to record digitally encoded data whether those be
computer records, video pictures or audio sounds. The process is still at the
development stage and there are no standards for recording and replaying devices,
but it is a highly compact medium which may at least provide a longer-term
storage medium for digitally encoded data than magnetic video, audio or computer
tape or magnetic disc.
7. Substitution copying
7.1 Purpose
7.1 1 Alternative to conservation treatment. The substitution of a copy (or .
surrogate) for an original record which is damaged or decayed or which will
predictably deteriorate may be the only solution when restoration treatment has a
low priority or is impractical on account of cost, lack of technical expertise or
absence of a suitable treatment. The original thereafter can be:
(a) enclosed carefully in neutral wrappings and placed in secure storage in
optimum environmental conditions until a cost-effective treatment is available: this
is most appropriate for damaged documents but may also be appropriate for
deteriorating documents which are not yet at the stage of complete decay and
where the rate of deterioration can be arrested or reduced by proper storage;
(b) left to continue its deterioration, but with the hope that a cost-effective
treatment may be developed before it decays completely; or
(c) destroyed - this is not an option which an archivist will readily adopt, but it may
sometimes be the only sensible course; in many cases it will be the unavoidable
outcome of option (b).
7.1.2 After conservation treatment. In other cases it may be necessary both to treat
the original record and to provide a substitute copy for reference use. This may be
because either:
(a) the record has a high intrinsic value and merits conservation treatment - in this
case the purpose of the substitute is to provide a copy for consultation, thus
preventing further or renewed damage or deterioration of the repaired original; or

(b) the record has a high informational value but is so badly damaged that a copy
cannot be made until at least some repair treatment has been undertaken.
7.1.3 To prevent damage requiring conservation treatment. Here the substitution is
a preventive measure to remove the risk of damage to records which may be fragile
but not deteriorating, in a sound condition but likely to be heavily used and
handled or of very high intrinsic value. In such cases the originals should be
retained and stored in proper environmental conditions.
7.2 Types of Substitutes
7.2.1 Facsimiles. For an individual record with a high intrinsic value (e.g. an early
illuminated manuscript, the national constitution or a holograph letter from a
famous historical personage) a good quality facsimile is the best substitute.
However, such facsimiles require a good, if not a special, camera and facilities for
producing high quality colour photographs or even, if multiple copies are to be
produced, for colour printing. They are, therefore, usually expensive and often
require the document to be taken to a photographic studio where environmental
conditions and document handling techniques will need to be monitored carefully.
If the original is a bound volume, it may be necessary to disbind the volume and
separate the sheets, even where that is not essential for the conservation treatment,
to obtain the best results. Any negatives or printing masters should be kept in
optimum environmental conditions to ensure that the copying once done will never
have to be repeated.
7.2.2 Photographs. Where the expense of a full-colour facsimile is not justified, a
good black and white photograph may be sufficient, especially as a means of
providing reference copies of photographs. The print need not be actual size where
the original is still being preserved and the purpose of the print is to save damage
or deterioration from handling. Colour transparencies may be a suitable means of
producing reference copies of records in which colour is an important element,
such as maps and plans, posters, topographical sketches. It is important that the
negatives or other masters be carefully preserved and catalogued to prevent
unnecessary recopying.
7.2.3 Electrostatic Copies. This is a cheaper method of providing black and white
same-size copies than photography. It is the best way of replacing deteriorating
non-permanent copies or other individual items in modern files. Continuous print
from microfilm can be filed (in the sense of 5.2.3) between boards to produce
substitute volumes. Where direct copies are required, 'permanent' paper should be
used, the machine should be properly maintained and clean, and the toner should
be of the kind, and be used as, recommended by the manufacturer (69). It is
important to instruct staff carefully in the careful handling of documents during
copying. In general copying of bound volumes should be avoided since the
application of pressure is likely to result in damage to both binding and paper.

7.2.4 Microforms. The cheapest method of providing substitutes is microcopying,

in the form of roll microfilm or microfiche. Not only is it the cheapest form of
substitution; it is also cheaper than any form of active conservation. The master
negative, which should be of the silver-gelatin type on polyester film and be
processed in conformity with international processing standards, should be stored
in accordance with international preservation standards and should never be used
as a viewing copy, but only to produce duplicates to serve as intermediate masters
or viewing copies (4, 18). Colour microforms may be used for viewing copies of
coloured materials which would be damaged by excessive handling, but they are
not permanent and should not be relied upon as substitutes for deteriorating
originals.
7.2.5 Electronic image capture. This new technique is based upon a combination of
photo-electric, laser and computer technologies which enables a document to be
scanned as a matrix and the black/white or red/blue/green characteristics of the
very small segments of that matrix ('pixels' = picture elements) to be reduced to an
electronic code, which can be stored on a magnetic medium or optical disc and
viewed on a display screen or printed out. It is also possible, using this technique,
to enhance the quality of faded or incomplete images, and it has been used in this
way to restore deteriorating still and motion pictures and to replace faded or
stained original paper documents.
7.2.6 Information transfer. When it is only the information contained in the original
record and not the original support/carrier of that record which is important, it is
justifiable to transfer that information by copying. When the support is
deteriorating copying may be the only way of preserving the information. To some
extent all the processes described above are forms of information transfer, but they
are means of preserving individual items, or series of items, which have been
found to be damaged or deteriorating or to be at risk of damage or deterioration
from excessive use. Some forms of record are known to have a limited life and
should always be recopied on transfer to the archives. One option is copying on to
the same medium (in which case further copying will be necessary in due course),
especially for audio, video and computer recordings on magnetic tapes, which
should at least be transferred to fresh tapes which have been evaluated and tested
and which are of 'archival' quality (this does not mean 'permanent' in this context).
Transfer to a different version of the same medium tea audio cassettes to open reel
magnetic audio tape, 'floppy discs' to magnetic computer tape, nitrate film to safety
film), or even to a different medium (e.g. to optical disc) should also be
considered. Records in other formats for which the risk of damage is high may also
be copied automatically on transfer to provide a copy for back-up and use (e.g.
gramophone discs to audio tape, glass photographic negatives to film negatives).

Part two: Planning, staffing and equipping a preservation

and conservation service

8. Establishing a preservation and conservation programme

9. Workshop accommodation and services
10. Staffing
11. Equipment and materials
12. Planning and co-ordination

8. Establishing a preservation and conservation programme

8.1 Evaluating Needs
8.1.1 Preservation and conservation surveys. The most effective way of tackling
preservation and conservation problems is to establish a planned conservation
programme based upon a systematic survey of buildings and holdings. Guidance
on the conduct of such a survey is given in a separate RAMP study (13) and will
not be repeated in detail here.
8.1.2 Levels of investigation. The survey should identify preservation and
conservation problems at the following levels:
a) those affecting the building as a whole (e.g. unsatisfactory environmental
conditions);
b) those affecting a specific area of the building (e.g. an insect or mould
infestation);
c) those affecting the whole of a series of records (e.g. acidic deterioration arising
from their component materials);
d) those affecting an individual item (e.g. damage caused by excessive or careless
handling).
It is usually not feasible to conduct an inspection of every item, but each series
should be sampled to identify not only general problems but also any high
incidence of individual problems which would justify an item-by-item inspection.
8.1.3 Continuous assessment. It should not be assumed that the conservation
conditions in an archive will remain static and the survey of the building should be
repeated annually and that of the holdings at intervals of not more than every ten
years, to identify new or recurrent problems and to assess the progress of
deterioration of documents which it has not been feasible to treat in the intervals
between surveys. In addition the conservation condition of each new accession
should be noted and integrated into the programme. Items produced for
consultation should also be inspected as a matter of routine to identify any

conservation problems which are not already recorded or which have become
worse since the last survey.
8.2 Matching Treatment to Needs
8.2.1 Needs of the building. These may range from removal from a completely
unsuitable building to one which provides better conditions, through improvements
to the environment in which the records are stored (e.g. by the introduction of
portable humidifiers/dehumidifiers) and treatment of specific problems (e.g. by
pest control or disinfection), to cleaning and the introduction of good housekeeping
routines.
8.2.2 Needs of the holdings. Here a range of treatment options exist:
a) full traditional conservation treatment;
b) minor repairs;
c) mass treatment;
d) substitution;
e) enclosing or re-enclosing in acid-free boxes, folders, etc;
f) denying access to documents pending future action;
g) doing nothing.
8.2.3 Choosing an option. In choosing an option the archivist should be
guided by three considerations:
a) the value of the series or item, having regard both to its intrinsic value tie any
monetary value or special 'heritage' value) and to its informational value (i.e. the
quantity and quality of the unique information which it records) (in the USA
'intrinsic value' is used to embrace both these kinds of value - see 77);
b) the level of use to which a series or item is subjected or may in future be
subjected (this will to some extent be related to its informational value, but the two
are not necessarily identical);
c) the cost of implementing the various options.
When the archivist has assessed relative value and use, he can select the
appropriate option by reference to Table One. As will be seen, the choice of one
main option does not preclude the choice of a secondary option (e.g. a document
which has been given full traditional restoration treatment might then be

microfilmed and the microfilm used for consultation to prevent recurrence of the
damage which occasioned the repair).
8.3 Establishment of Priorities
8.3.1 The building. In general the treatment of problems which affect the whole of
a building or a specific area of it should be given priority since this will be to the
benefit of all, or a substantial part of, the holdings. Immediate priority should
always be given to any problem which will spread or get worse if not treated
promptly (e.g. leaking roofs, leaking water pipes, infestation by fungi, insects or
animal pests).
8.3.2 The holdings. A systematic programme of conservation treatment should be
established. Treatment of entire series rather than piecemeal treatment of
individual items should be the aim, although exceptions may have to be made for
individual items which have a high intrinsic value or which are in high demand for
use. In assessing priorities to establish such a programme account should be taken
of value and use (or potential use) and also of the urgency of the need for
conservation treatment. Value and use should be assessed by an archivist, and the
urgency of the need for treatment by a conservator. A simple means of establishing
a scale of priorities is for the archivist to give marks out of five for value and out of
five for use and for the conservator to give marks out of ten for urgency of
treatment. The sum of the marks should then be used in association with Table One
to indicate priorities for each of the appropriate treatment options.
Table one: Treatment options
VALUE
USE OR
POTENTIAL
USE

High

Medium

Low

High

Restoration and
substitute for
reference

Minor repairs and

Substitute for
substitute for reference or reference or
encapsulate
laminate

Medium

Restoration

Minor repairs or
encapsulate

Passive
conservation

Low

Minor repairs

Passive conservation

Do nothing
dispose

9. Workshop accommodation and services

9.1 Construction. Whether the accommodation provided for the conservation
workshop is new construction or an adaptation of existing premises, a number of
factors have to be taken into account in determining its suitability.

9.1.1 Floor loading. This should be adequate for the weight of the equipment to be
installed. Special care should be taken to ensure that the floor loading is adequate
for heavy items of equipment and machinery such as presses, guillotines and
fumigation chambers.
9.1.2 Light. Natural light is essential but direct sunlight should be avoided. Hence,
a north facing aspect in the northern hemisphere and a south facing aspect in the
southern are ideal. Where such an orientation is not feasible or in tropical areas
where neither aspect is ideal at all times of the year, external or internal blinds
should be provided. In addition good but glare-free and ultra-violet filtered
artificial lighting (filters will need renewing from time to time) should be provided.
9.1.3 Height. Adequate clearance should be provided between equipment and the
ceiling.
9.1.4 Environment. The workshop should be provided with the same
environmental conditions as those of the storage areas, which should approach as
close as possible to the standards set out in 4.1.1 above. This is necessary to ensure
that any treatment undertaken is not undermined by changes in the environment
when the document is returned to storage. In addition an equable working
environment will be provided for staff. In tropical countries this will require the
installation of an effective ventilation system, dehumidifiers or, ideally, airconditioning. In calculating the specification for this air-conditioning account
should be taken not only of the cubic capacity of the area and of the number of
staff working there, but also of the heat output of the equipment. This latter may be
ascertained from the manufacturers' specifications. A construction and layout
without internal walls will permit the maximum circulation of air. Separate wallmounted air-conditioning units are generally to be preferred to a central airconditioning system on grounds of initial cost and ease of maintenance. The
special requirements of storage areas are dealt with in 9.7 below.
9.2 Size. It is not possible to lay down an ideal size for the accommodation for a
conservation workshop. The size of the accommodation to be provided will depend
upon the number of staff to be employed, the range of processes and equipment,
and the scale of operations. It is prudent to provide for later expansion where
possible (see 9.3 below).
9.2.1 Minimum standards. It is, however, possible to lay down some minimum
standards for the space required (16):
Conservators' workbenches

15 m each

Map and large document table

20 m to 25 m depending upon table size

Other items of equipment or processing areas

15 m each minimum

Document strongroom

10 m minimum

Materials store

20 m minimum

Area for handling chemicals

15 m minimum

Office

20 m minimum

9.2.2 Circulation space. When the space requirements for the individual
components have been totalled, a further 25 per cent should be added for
circulation space. In a self-contained unit provision will also have to be made for
washing and toilet facilities and for first-aid and rest rooms.
9.3 Modular construction. Where it is intended that a conservation workshop
should be developed over a period of time, it may be cost-effective to provide at
each stage of development only such accommodation as is necessary at that stage.
This objective may be achieved by modular planning, which involves the drawing
up of an outline plan for the fully developed workshop and within that plan
providing at each stage of development accommodation which meets immediate
needs and at the same time forms a component of the overall plan.
9.4 Lay-out. There is no ideal lay-out for a conservation workshop. How the
equipment will be positioned will depend upon the range of processes and the scale
of operations. A specimen lay-out is provided at Appendix C for guidance. In
adapting this to specific situations a number of general principles should be
observed.
9.4.1 Work-flow. So far as possible a conservator should be able to carry out an
entire process at or near to his workbench. However, where a range of equipment
and processes are involved these should be set out so as to facilitate the progress of
work between the various items of equipment and processes. This is especially
necessary in respect of the several stages of binding and rebinding. In relating
work-flow to lay-out the objectives should be:
a) to plan space and operations to minimise the movement of the records and to
facilitate handling of records of varying sizes;
b) to make the flow lines as short as possible;
c) to keep flow lines in a horizontal plane;
d) to avoid cross-over of flow lines;
e) to integrate the work-flows of separate processes in such a way that those
relating to a common component run in parallel and others do not cross-over;
f) to give priority in proportion to the projected scale of operations where the flow
lines of the several processes cannot all be of optimum length.

9.4.2 Ergonomic considerations. The positioning of individual items of equipment

should be such that the comfort, convenience and safety of the conservators is
maximised. To some extent the application of work-flow studies, by reducing
lateral movement, will contribute to this. Other considerations involved are:
a) provision of good quality adjustable swivel stools and chairs with supporting
backrests for operations which can be carried out in a seated position;
b) positioning of switches, taps, etc. within easy reach of normal working
positions;
c) placing of equipment which is not self-standing on benches or tables which are
at a convenient height for the mode of working (standing or seated);
d) positioning hazardous machinery well away from the normal working area (e.g.
fumigation chambers, if used, should not be placed within the conservation
workshop).
9.5. Relationship to other archival units. It is generally more efficient for an
archival conservation workshop to be contained within the main archive building
or complex of buildings. Its location within the archives will vary, depending upon
whether its accommodation is part of a planned new archive building incorporating
all component services, a conversion of accommodation within an existing
building or an additional building within an existing archive complex. However,
whatever the situation, its location should, so far as possible, be planned with
regard to the relationship between the conservation workshop and other archival
services. If it is not at ground floor level, a large goods lift will be required for the
movement of equipment and materials.
9.5.1 Location. The optimum location of a conservation workshop may be
established by the same principles of work-flow as those applied to determine the
lay-out within the workshop itself (16). The other units with which there will be
the closest relationship are likely to be:
a) storage areas: for the ease of retrieval and replacement of documents which
require conservation treatment;
b) reading rooms: for ease of transfer to the workshop for first-aid repair of
documents found in use to be damaged or decayed;
c) reprographic department: for convenience in preparing damaged or fragile
documents for copying or for preservation microfilming;
d) loading bay: for the receipt of equipment and materials.

e) lifts, 'paternosters' or stairs: for the transport of documents, equipment and

materials within the building.
9.6 Services. The main services required by a conservation workshop are
electricity and water. Guaranteed standards of supply are desirable and where these
are not met by the normal public service, special arrangements should be made.
9.6.1 Electricity. Adequate power outlets should be provided for all electrical
equipment planned, with several spare outlets to provide flexibility. Consideration
should be given to floor or ceiling mounted outlets so as to avoid long runs of
cabling to workbenches and equipment, which constitute a safety hazard. Where
the local electricity supply is erratic, it may be desirable to install a generator
which can substitute for the local supply when necessary. It is essential to specify
the standard local voltage when ordering from manufacturers or suppliers
equipment which is dependent upon electricity. Equipment for the European and
American markets is manufactured to operate on different voltage standards and
where equipment is manufactured to meet only one of these standards, it may need
to be specially adapted for use with the local voltage. Some equipment tea power
guillotines) may require a 3-phase supply.
9.6.2 Water. An adequate supply of water is essential for many conservation
treatments. Where the quality of the water supply cannot be guaranteed, or does
not meet the required standards, filters should be installed to remove harmful
impurities and to maintain the required level of softness/hardness. For some
processes distilled or deionized water will be required.
9.6.3 Drainage. Large quantities of liquid waste will have to be disposed of. This
will have to be done in accordance with accepted safety and environmental
standards. Where the public drainage facilities are not adequate, separate
arrangements will have to be made.
9.6.4 Chemical waste. Chemical waste in both liquid and gaseous forms will have
to be disposed of. This also will have to be done in accordance with accepted
safety and environmental standards.
9.7 Storage.
9.7.1 Document strongroom. A strongroom in which documents will be kept while
awaiting or undergoing conservation treatment should be provided. This should be
constructed to the same standards as the main storage areas in the archive, for
example:
a) floor loading: at least 2,000 Kg/m ;

b) minimum fire resistance: floors and ceiling - 2 hours; doors - self-closing, no

distortion for one hour; no windows;
c) ceilings to be impervious to water;
d) fire detection and alarm system to be installed; fire extinguishers, hoses or
sprinklers to be sited within the strongroom;
e) environment: temperature - 15-22 C; relative humidity between 35% and 65%,
preferably below 55%; neither temperature nor relative humidity should cycle by
more than 1% C and 5% respectively (see 4.1.1);
f) internal wiring: mineral insulated copper sheathed cable with screwed joints;
g) lighting: fluorescent tubes with diffusers and ultra-violet light filters; external
light switches;
h) shelving: non-combustible materials with non-corrodible, non-toxic, non-acidic
finish; should permit free circulation of air; bottom shelves to be set at 15 cm
above floor level; top shelves to be so that at least 15 cm remains between the top
of the documents and the ceiling;
i) security lock (but openable from within).
9.7.2 Materials store. The store for materials should be sufficiently large to hold at
least two-years normal stocks. It should be fitted with shelves and lockable
cupboards as required. The environment should be controlled to maintain an
equable temperature and relative humidity to prevent deterioration of perishable
stocks (e.g. paste, laminating tissue). A fire detection and alarm system should be
installed, together with hand-held fire extinguishers.
9.7.3 Chemical store. Ideally this should be away from the main building. A sink
and bench with chemical resistant surfaces and a fume hood should be provided for
chemical handling and use. A refrigerator should be provided for chemicals which
require low temperature storage. The store should be well ventilated, with an
extractor fan for venting to the roof any fumes caused by accidental chemical
spillage. A fire detection and alarm system should be installed together with handheld fire extinguishers suitable for fighting chemical fires. First-aid equipment and
protective clothing should be provided.
10. Staffing
10.1 Functions. See Appendix A for job descriptions.
10.1.1 Archival functions. Conservation should be at the forefront of every
archivist's priorities. In addition to specific responsibilities for advising on the

value and use of material which has been identified as in need of conservation
treatment so as to determine priorities, archivists should be seeking in their everyday activities to ensure that documents are handled carefully by staff and public
and that they are not damaged, whether deliberately or accidentally.
10.1.2 Conservation functions. The work of deciding on appropriate conservation
treatment is the joint responsibility of the archivist and the conservator; carrying
out that treatment is the responsibility of the conservator. This requires a wide
range of specialist knowledge of the nature of documents and the best treatment in
specific circumstances, as well as the necessary dexterity and expertise to carry out
that treatment. This means that conservators should be more than just skilled
craftsmen; they should be as professional as archivists, with whom they should
work as equal and respected members of the preservation team.
10.1.3 Sub-professional functions. Some treatments (e.g. lamination,
encapsulation, deacidification) require only limited expertise and may be entrusted
safely to trained technicians working under the direction of conservators. Other
tasks, especially passive conservation activities, such as boxing and reboxing,
cleaning the storage areas, etc. will not require any specific expertise provided that
they are performed conscientiously under proper management.
10.2 Management.
10.2.1 Preservation management. Preservation, as defined in 2.1.1 above, is the
responsibility of the top management of every archival institution. In terms of dayto-day management this responsibility will be delegated to the Preservation
Manager, who should be a member of staff of equal status to the heads of other
departments within the institution. He (or she) should be responsible for preparing
for approval and carrying out a preservation and conservation programme which
includes the physical care of the records and the identification and treatment of any
conservation needs, including making arrangements for the provision of substitutes
where appropriate. Initially management at this level will almost certainly have to
be undertaken by an archivist, who should have a sufficient grasp of the technical
processes to discuss them constructively with conservators but need not be a
conservator himself. In the longer term there is no reason why a suitably
experienced conservator should not be considered for this post. Financial
responsibility will normally be located at this level. There are advantages in
combining the post with that of general responsibility for other technical areas (e.g.
reprographics).
10.2.2 Conservation management. A Senior Conservator should have day-to-day
control of operations and should decide immediate priorities in the light of general
guidelines agreed with the Preservation Manager, to whom he (or she) should be
responsible for:

a) management of conservation staff and allocation of work;

b) the provision of professional conservation advice;
c) quality control;
d) maintenance of equipment;
e) control of supplies.
He should be aware of, and be able to evaluate, new conservation methods and
techniques in order to be in a position to provide up-to-date advice and to improve
standards. He may have delegated financial responsibility within defined limits.
10.2.3 Technical supervision. When a preservation and conservation service has
become so large and complex that the several activities (e.g. conservation
treatment, repository management, substitution microfilming) operate virtually
independently, it may be necessary to appoint other managers or intermediate
supervisors, who will be responsible, under the direction of the Preservation
Manager or Senior Conservator, for the day-to-day management of the staff
engaged in their respective activities.
10.3 Recruitment and Promotion.
10.3.1 Recruitment. In a developing country it will only rarely be possible to
recruit staff with experience in conservation work and it will, therefore, be
necessary to recruit on the basis of potential. This means that a system of
probation, with a maximum period of six months, should be introduced and firmly
enforced. Formal qualifications in conservation are unlikely to be held by
candidates for appointments. The minimum educational qualification should be a
secondary education, preferably with a technical bias. For appointment as Senior
Conservator technical training is essential and the grades obtained should be good
ones; some relevant experience would be an advantage. In addition, candidates
must exhibit manual dexterity and technical awareness. For the Senior Conservator
a proven or potential ability to manage staff and resources is essential.
10.3.2 Promotion. Where appointments are made by internal promotion, they
should be on the basis of proven conservation or management ability and not on
seniority alone.
10.3.3 Recruitment and promotion procedures. The establishment of a formal
board for appointment and promotion, even at the lowest technical levels, may be
required by government service recruitment and promotion regulations; even
where it is not, it is a useful procedure to ensure a fair and unbiased test of
candidates. The members of the board should include the Preservation Manager

and the Senior Conservator, together with an external technical assessor, if one is
available. Where an expatriate expert consultant has been engaged to commission
or develop a conservation workshop, he should be co-opted to the board.
10.4. Training. Training in conservation presents special difficulties, since there
are only limited opportunities for formal instruction. In developing countries it
will, therefore, be necessary to devise a scheme of training which combines
available local and international opportunities.
10.4.1 External training. This may be especially difficult to arrange both because
the opportunities are very limited and because international, bilateral and national
training fellowships and grants are often not available for practical training. Where
funding can be found, it is more likely to be for the Preservation Manager or the
Senior Conservator, and those are the persons who would benefit most from
external training or experience. Only a few formal courses in conservation are
available (e.g. those arranged by Columbia University, New York, Camberwell
School of Arts and Crafts, London, and the National Archives of India).
Secondment for training to an established conservation workshop in a developed
country may sometimes be arranged, although it is questionable whether this
necessarily provides the best value for money, since the conditions (and the
equipment to meet them) are likely to differ considerably from those experienced
by a new service in a developing country. Greater benefit may be obtained by a
series of briefer international visits by the Preservation Manager or Senior
Conservator to several different services in a number of developed and developing
countries, giving a wider overview of available techniques and equipment, and of
organizational and management practices.
10.4.2 Internal training. Training by doing the job is an essential component, since
it is the ability to perform the several relevant treatments efficiently and effectively
which is the hallmark of a good conservator. Such on-the-job training will take a
minimum of two years (three or four if the full range of conservation treatments is
available), and during that period productivity will be lower (but improving) than
the standards in 10.5.3 below. During training it is essential that the Senior
Conservator, or an experienced deputy, provides continuous supervision and
instruction. Where no-one with the necessary experience and ability is available, it
may be necessary to engage an expert consultant to supervise training, perhaps in
addition to a general brief to commission or develop an archive conservation
workshop. It may also be possible from time to time to invite a consultant to
undertake a brief and concentrated on-the-job training course in a particular
treatment or technique. Such training courses will be more cost-effective if they
can be planned as part of a regional series, in which courses are run in a number of
neighbouring countries, thus spreading the travel expenses more widely. Where
more sophisticated equipment is involved, some training may also be available
from the manufacturer or supplier.

10.5 Staffing Levels and Production.

10.5.1 Needs. There is probably no archival institution which can afford or has an
adequate pool of suitable personnel to provide staffing levels which will enable all
its preservation and conservation needs ever to be met. It is, therefore, impossible
to relate staffing numbers to the volume of those needs and a more pragmatic
approach is necessary.
10.5.2 Complement. Consequently it is not possible to lay down firm guidelines for
calculating the necessary complement for a specific archival preservation and
conservation service. However, a minimum of three persons - a conservator and
two sub-professionals - should be the minimum complement of a basic service.
Beyond that it is primarily a matter of adding to numbers as funds and suitable
personnel become available.
10.5.3 Output. It is, therefore, most important to use available staff in ways which
ensure optimum productivity. In this respect the following hierarchy of
conservation activities and treatments, in descending order of productivity (the
figures given are only a rough guide - much depends upon the state of the
documents before treatment), may be useful:
a) keeping the storage areas clean and tidy - unless they are very extensive, one
sub-professional should be capable of doing this, perhaps not even full-time; the
function is often shared by all staff;
b) protecting documents by boxing, reboxing, etc - one sub-professional can box or
rebox 40 shelf feet a day; a limiting factor is more likely to be availability of
boxes, etc. than of personnel;
c) fumigation, this is no more than the full-time job of one sub-professional with
special training in the health and safety aspects; the limiting factor will be the size
of the chamber and the availability of the necessary chemicals; but see 4.3.4 above;
d) cleaning and flattening - here an experienced sub-professional or a trainee
conservator, working under supervision, could handle 200 sheets of paper a day;
e) deacidification - the work rate will depend upon the process: mass
deacidification will have the highest productivity rate, but it is not necessarily costeffective where demand does not match the theoretical levels of throughput; spray
deacidification can be undertaken by sub-professionals or trainee conservators,
working under supervision, with a high rate of productivity; aqueous
deacidification requires levels of skill to be expected only in conservators or
trainees with considerable experience and has a much lower level of productivity
(100-120 double sheets a day);

f) lamination - sub-professionals can achieve a rate of 80 to 100 sheets a day using

solvent lamination techniques, or up to 130 sheets a day using a manual or semiautomatic lamination machine;
g) encapsulation - a sub-professional can achieve a rate of 80-90 sheets per day;
h) guarding and filing - a conservator can guard and file 200 sheets in a day and a
half;
i) binding and rebinding - the time taken will depend upon the nature of the
volume, the type of binding and the extent of any repair of the contents which may
be necessary; anything from half a day to 11/2 years of a skilled conservator's time
may be necessary for a single volume;
j) hand repair - again the time taken will depend upon the size of the document, the
nature of the materials of which it is composed and the extent of the damage;
anything from half an hour to a day may be needed to complete the repair of a
single sheet, or even longer for a large document such as a map.
10.6 Exhibitions. Mounting original archival documents for exhibition is a skilled
task, which should only be undertaken by trained conservators. Where an archival
institution has an active exhibition programme, an adequate provision of
conservation staff time should be made to enable that task to be undertaken without
detriment to other conservation activities. It is important to monitor the condition
of documents while on display (28) and essential that documents should not be
displayed for long periods or repeatedly.
10.7 Health and safety. A number of threats to the health and safety of staff may be
found in any conservation workshop. It is, therefore, necessary to plan to avoid
these risks wherever possible and to deal with the effects of any accidents which
may arise from them.
10.7.1 Prevention. Accidents should be prevented:
a) by encouraging good practices in the handling of sharp equipment such as
knives and needles;
b) by providing and enforcing the use of guards on all guillotines and power
presses;
c) by providing suitable facilities for the handling of chemicals;
d) by providing protective masks, goggles and clothing appropriate for the activity
being undertaken;
e) by establishing and enforcing high standards of tidiness and cleanliness.

10.7.2 First-aid. Staff should be trained in, and given proper facilities for, the firstaid treatment of injuries likely to arise in a conservation workshop, e.g. cuts, burns
and scalds, inhalation or ingestion of chemicals, eye injuries arising from dust,
flying fragments or splashing chemicals, etc.
11. Equipment and materials
11.1 Equipment. See also Appendix C.
11.1.1 Basic tools. The tools required for traditional repair are few and simple: a
selection of knives, scalpels and scissors (and the means of keeping them sharp),
needles and bodkins, brushes and sponges, bowls and other receptacles, a rule and
other measuring devices. The only item requiring any special purchase or
significant expense is a hand guillotine.
11.1.2 Basic furniture and fittings. These are likely to be more expensive than the
tools, but should be readily available everywhere and can be manufactured locally.
They should include:
a) a workbench for each conservator, which should have a hardwood or laminate
surface so that it can be easily cleaned, and a light-box so that documents being
repaired can be lit from beneath;
b) a large table for repairing maps and other large documents, which also should
have a hardwood or laminate surface;
c) a vertical or near-vertical wall-board would be an addition or alternative to the
large table;
d) a drying rack, which should be of a non-corrodible metal or inert plastic;
e) a hand press;
f) at least two sinks;
g) a freezer for the eradication of insect infestations in documents.
The bench, table and sinks should be at a height which is comfortable for a
conservator working in the standing position, although it should also be possible to
work seated if this is preferred (see 9.4.2).
11.1.3 Binding equipment. If Western-style binding is to be undertaken a wider
range of equipment is needed in addition to a wider selection of the basic tools
listed in 11.1.1: a variety of special presses for the various processes of binding,
pressing and backing boards, a card cutter, a backing hammer, a glue pot and
lettering equipment.

11.1.4 Chemical handling equipment. Chemicals should be handled away from the
workbench, preferably in a fume cupboard in a separate laboratory. If a separate
laboratory cannot be provided, the fume cupboard should be as far from the rest of
the working area as possible and should be well ventilated to the atmosphere. A
bench with a chemical-resistant surface should be provided. Equipment required
will include a balance, measuring vessels, an electric mixer and a pH meter. The
latter is the only item which may not be readily available by local purchase.
11.1.5 Other equipment. As a conservation service develops and funds become
available, other equipment might be added, such as:
a) a lamination machine, either a small hand press or a larger semi-automatic or
automatic model;
b) an industrial sewing machine or an ultra-sonic welder for encapsulation;
c) power presses and guillotines;
d) a leaf-caster.
Only in exceptional circumstances is it likely that plant for mass deacidification or
copolymerisation will be available within an archive's budget and justified on
grounds of cost-effectiveness.
11.1.6 Maintenance. Tools and equipment should always be kept in good working
order. This maintenance can be carried out on a day-to-day basis by conservation
staff. Only for the more sophisticated equipment such as the pH meter and the
items mentioned in 11.1.5 is maintenance likely to require external support. That
support should always be assured before expensive equipment is purchased (see
11.3.3(d)).
11.2 Materials.
11.2.1 Basic materials. Any conservation workshop should have a supply of new
mould-made repair paper of permanent quality in a variety of weights, paste and
size (or their ingredients), pressing (blotting) paper, nylon or polyester sheeting,
acid-free manila in various weights and acid-free board. If parchment documents
are to be repaired skins of parchment, silk goldbeaters' skin or collagen will also be
required. A supply of acid-free boxes, folders and wrapping paper is also essential.
For a more detailed list of materials see Appendix C.
11.2.2 Binding materials. For binding a wider range of weights of acid-free board
will be required, together with cloths and leathers, glue and a variety of tapes and
threads.

11.2.3 Chemicals. Appropriate chemicals for the cleaning and deacidification

processes to be undertaken by conservation staff will need to be purchased. Special
arrangements should be made for their storage so that they are not a threat to health
and safety.
11.2.4 Other materials. These will depend upon the processes to be employed:
a) for lamination processes the appropriate lamination tissue will be required,
together with acetone for solvent lamination or PTFE release papers for machine
lamination;
b)for encapsulation polyester film in various weights will be required, together
with sewing thread if an ultra-sonic welder is not available.
11.2.5 Storage and stock levels. When planning storage for conservation materials,
it should always be borne in mind that the range of materials is extensive and that
some, especially paper and board, are bulky and have to be stored flat. The stocks
of materials held at any one time and the supplies necessary to maintain optimum
levels will vary with the rate of use and the ease with which stocks may be
replenished. As a general guideline the recurrent costs of a conservation workshop
in a developing country where materials have to be specially imported should
provide for the initial purchase of two years' estimated supplies and then for the
maintenance of stocks, in the light of operational experience, at a level which
ensures that they never drop below one year's supply. However, when the supply
and stock of individual items are considered, account will have to be taken of the
shelf-life of materials (an important consideration with chemical products,
adhesives, laminating tissues, etc), of the economies of scale and even of
manufacturers' limits on the minimum quantities which they will supply.
11.2.6 Stock control. It is important that materials should be used efficiently. This
requires the introduction of a sound stock control system to ensure that:
a) materials are properly stored;
b) older stocks are used first;
c) stocks are issued only as required and are used in economical quantities (e.g.
chemicals are made up only where there is sufficient work to justify the full use of
a batch);
d) stocks are not subject to misuse or pilferage;
e) stocks are replenished in good time to prevent them running out.
11.3 Equipment and materials cost factors.

11.3.1 Local purchases. When equipment and materials can be made or supplied
locally, costs will be easy to ascertain and should be relatively low. Where suitable
local equipment or materials of appropriate quality exist, they should be preferred
to imported alternatives.
11.3.2 Imports. However, it may not always be possible to arrange for local supply
and equipment or materials may have to be imported. When this is so, great care
should be taken before ordering to discover precise costs, especially:
a) Are the prices quoted in local currency, in the currency of the country of
manufacture, or in the currency of the country in which the parent company of the
manufacturer or supplier is based?
b) If a local agent is acting as intermediary, is the price he is quoting net or gross of
his commission? What services (e.g. assembly and installation, training) are
covered by his commission?
11.3.3 Additional costs. The cost of imported equipment and materials will include
a number of elements in addition to the selling price quoted by the manufacturer or
supplier:
a) Freight and delivery charges may add considerably to the basic prices, especially
in a country where the distances from the manufacturers of Europe and North
America make such charges especially high. Charges will depend upon the size
and weight of the equipment or materials rather than on its value and upon the
differences between air and surface rates. Although air freight is more expensive,
there may be advantages in paying the extra cost to ensure more speedy delivery
and reduce the risk of deterioration due to adverse environmental conditions in
transit. Delays and deterioration are most likely to be incurred where surface
freight involves transit through a third country. In addition to the basic freight
charges account must be taken of local delivery costs, forwarding agents'
commission, insurance, etc. For purposes of initial cost estimation delivery costs
(air freight) of 20-25% of equipment or materials costs may be used, but a precise
quotation should always be obtained before any firm commitment to purchase is
made.
b) Assembly and installation may have to be undertaken by the manufacturer or his
agent as a condition of warranty for any equipment purchased.
c) Whether duty and taxes have to be paid on imported equipment and materials
will vary from country to country, being dependent upon the nature of the
equipment or materials and the status of the purchaser. Even where equipment or
materials are supplied locally, they may be subject to taxes (e.g. value added tax).
The liability to and incidence and rates of duty and tax vary so much from country

to country that no universal guidelines can be given, except that the local situation
should always be ascertained in advance of any intended purchase.
d) Routine regular maintenance and repair of any equipment is crucial and should
always be provided for. Some maintenance and repair may be undertaken by staff
of the archives, but in other cases it will have to be undertaken by the manufacturer
or supplier, or by his agent, or by a third party. It is normally more cost-effective to
have maintenance and repairs undertaken under a service contract than paid for as
they arise. For purposes of initial cost estimation 10% of relevant equipment costs
should be allowed annually. Where relevant an initial additional cost of 10% for
spare parts should also be made. Failure to provide for maintenance will lead to
expensive equipment laying wastefully idle.
12. Planning and co-ordination
12.1 Preparation. The successful establishment of a new preservation and
conservation service or the extension of an existing one requires careful and
detailed preparation and effective control and co-ordination of every stage of its
implementation. Responsibility should be assigned to a suitable individual, who
should be sufficiently free from other duties to enable priority to be given to the
task, be given a clear brief by senior management, and receive the full support of
senior management while the task is being carried out. For the establishment of the
new service this person should be an archivist with a general awareness of
preservation and conservation matters and of the technical implications of his task.
He will normally be the person earmarked to be the Preservation Manager. If an
existing service is to be extended, the task may be suitable for the Senior
Conservator. The scale of the service to be provided will determine whether the
project leader will need full or part-time assistance.
12.2 Planning. This may be broken down into a number of inter-related stages.
12.2.1 Identifying needs. The range of preservation and conservation problems and
the scale of each will become readily apparent if a conservation survey is first
carried out (see 8.1 above).
12.2.2 Identifying possible solutions. In the light of the conservation survey a
range of preservation and conservation treatment options should be established
(see 8.2 above).
12.2.3 Establishing a preservation and conservation programme. At this stage the
two previous ones are formalised and developed. Detailed consideration should be
given to the needs which have been identified and to the various treatment options.
This will involve:
a) the assigning of priorities to the treatment of each specific need;

b) the quantification of estimated workloads of urgent treatment needs (expressed

over an acceptable timescale);
c) the choice of the preferred treatment options;
d) the scale of provision of accommodation and services, staff and equipment and
materials necessary to meet the forecast workload within a feasible timescale;
e) detailed coatings of that provision.
All these considerations should be brought together in a formal preservation and
conservation programme proposal, which should make recommendations for
implementation or, where there are unresolved options, identify the considerations
for and against each.
12.2.4 Decision making. This involves two inter-related stages: the assessment of
the technical viability of the options set out in the preservation and conservation
programme; and the acceptance by top management and the appropriate authorities
of a case for expenditure and the provision of manpower, accommodation, etc.
This stage should result in an agreement in principle to make available adequate
funds and other resources within an agreed timescale.
12.2.5 Implementation. Having taken a decision in principle it is now necessary to
establish a detailed plan for implementing the programme. The several components
of the implementation stage are dealt with in more detail in 12.5 below.
12.2.6 Evaluation. The implementation of a preservation and conservation
programme and the establishment of a conservation workshop is not the end of the
planning process. After a suitable interval (perhaps one year) a formal evaluation
of the effectiveness of the programme and workshop in terms of value for money
and operational efficiency in respect of previously determined workload standards
should be undertaken and this should be repeated at regular intervals. It should
identify any shortcomings or gaps in the existing programme, any deficiencies in
the planning and provision of facilities in the conservation workshop, any new
needs which have arisen in the interim (see 8.1.3) and any technical advances
which make it feasible to consider other treatment options. Where a modular
approach to the construction of the conservation workshop has been adopted, the
planning of each new module will commence with the reassessment of the existing
programme and workshop.
12.2.7 Further development. Where a need for further development is identified,
the process of planning recommences as at 12.2.1 above.

12.3 Financial provision. The first essential of planning any project is to ensure
that adequate finance is available at the times when it is required. This entails
undertaking a number of tasks.
12.3.1 Cost estimates. It is essential that accurate and detailed cost estimates
should be drawn up early in the planning process and that these should be revised
at each subsequent stage. Estimates should include a forecast of inflation over the
period of the project and a contingency to allow for currency fluctuations or other
extraneous influences on prices.
12.3.2 Identification of sources of funding. This is dealt with in more detail in 12.4
below.
12.3.3 Co-ordination of cash-flow. It is essential that finance should be available at
the several stages of implementation at which payments are due. The phasing of
construction work, ordering of equipment, etc. should be timed to ensure that
payments fall due at times when funds have been budgeted. Where payments are to
be made in foreign currency and exchange restrictions are in force, it will be
necessary to ensure that the required amounts of foreign currency are available at
the appropriate times.
12.3.4 Assurance of continuing funding. It is essential to ensure that funds will
continue to be available for recurrent expenses after the cost of purchasing
equipment and constructing or adapting accommodation has been met. It is a waste
of a valuable resource to allow a conservation workshop to lie idle because
adequate funds have not been provided to purchase the requisite materials or to pay
and train the necessary staff.
12.4 Sources of funding.
12.4.1 International aid. Many international organisations are prepared to provide
aid, especially to enable developing countries to establish their information
infrastructures. Such aid will not normally be available to fund a complete project,
except perhaps as a model which may serve as an example for development
elsewhere. International aid is most likely to be available for:
a) consultants: funds may be provided to hire international experts to undertake
consultant missions for such purposes as producing a preservation and
conservation programme, commissioning a new conservation workshop or training
local staff;
b) training: fellowships or other grants may be available for the training of senior
managerial or technical staff abroad;
c) equipment: grants may be made towards the purchase of equipment.

International aid is not normally available for recurrent costs such as the purchase
of materials or payments to staff, or for capital expenditure on accommodation.
Applications for international aid need the full support of the applicant's national
government and must be made in the proper form and through the proper channels.
Some international funds have been made available to member states in the form of
a set annual sum on which they can draw to meet qualifying projects of their own
choice; other funds are assigned to specific types of project and their allocation
between applicants is reserved to the international organisation. Funds may also be
available on a regional basis for projects located in one country but serving (e.g. by
the provision of training or technical advice) other neighbouring countries.
12.4.2 Bilateral aid. Where a country has a bilateral aid agreement with another,
the purposes for which that aid may be used may be more or less restricted than
international aid. Again the full support of the national government is essential.
12.4.3 National resources. Most archives in developing countries rely directly or
indirectly on the national budget for their continuing funding. Allocations are,
therefore, subject to periodic (normally annual) negotiation with the national
finance ministry and the ministry supervising the archive. In such negotiations
especial care should be taken to ensure the provision of continuity of funding to
meet the recurrent costs of projects which are to be established with outside aid.
12.4.4 Own resources. The extent to which an archive has its own resources and is,
for example, free to determine how its budget allocation or any other source of
funds should be allocated to various expenditure heads will vary from country to
country. Where archives are not directly or indirectly under the national
government, they may have greater freedom of action in raising and using funds.
12.4.5 Cost sharing. The high cost of preservation and conservation services makes
it imperative that facilities should be used to their maximum capacity and should
not be duplicated unnecessarily. Furthermore the scope which they offer for
economies of scale suggests that the unit of operation should be as large as
practicable. Conversely, scarce expertise should be made as widely available as
possible. Consequently, consideration should always be given to the benefits of a
co-operative undertaking in conjunction with other components of the national
information system (e.g. the national library). Even where a fully integrated
preservation and conservation service is not practicable, the coordination of
facilities, bulk buying of equipment and materials and reciprocal utilisation of
scarce expertise may offer opportunities for cost-efficiency.
12.4.6 Commercial sponsorship. It may be possible to obtain from a manufacturer
or supplier a discount on the cost of equipment or materials, or free technical
assistance, for a pilot project which may be seen as a means of attracting other
customers in the country or region. Such sponsorship should be approached with
caution and any contract carefully examined to ensure that there are no hidden

disadvantages to the archive in accepting such assistance (e.g. an open-ended

commitment to meet whatever materials charges are made). Other commercial
sponsors may be prepared to finance specific projects, but in considering proposals
of this nature consideration should be given to whether the project is one to which
the archive would give priority.
12.5 Implementation. Planning a programme or project will have involved the
identification of all the detailed activities which have to be undertaken to
implement the plan and placing them within a forecast timetable. Implementation
of the planned project involves the co-ordination of these activities, monitoring
progress and adapting to meet unforeseen circumstances. The interrelationship of
the several activities will present special problems of co-ordination during the
implementation stage.
12.5.1 Cash-flow. The importance of this has been stressed already in 12.3.3
above.
12.5.2 Accommodation. The construction or conversion and fitting out of
accommodation is likely to be the most difficult activity to forecast accurately and
it is always advisable to plan on a pessimistic rather than an optimistic basis.
12.5.3 Services. The connection of services is entirely dependent on the progress of
the building or adaptation of premises, yet it is crucial for the installation and
testing of certain equipment. Work cannot commence until all services are properly
connected. Careful attention should, therefore, be paid to co-ordination at this
point.
12.5.4 Recruitment and training of staff. Staff may be recruited in anticipation of
commencement of operations but, with the possible exception of the Preservation
Manager or Senior Conservator, training in advance of the provision of workshop
facilities is not feasible. Consequently provision should be made for a training
period and a lengthy learning curve in the first year or so of operations.
12.5.5 Equipment and materials. Delivery times and their relation to payments
should be ascertained from suppliers. Where payment is a pre-condition of any
stage of the purchase of equipment or materials, the cashflow should be carefully
co-ordinated. Allowance should be made for the time which may be required for
equipment and materials to clear customs and for local delivery. This may be
especially crucial if the port or airport of entry is not close to the archive and the
process cannot, therefore, be closely supervised by the archivist. Where customs
dues or agents' fees payable are due before equipment and materials may be
released, cash-flow co-ordination is again essential.

12.5.6 Installation and testing of equipment. This is essential before operations can
commence. Where it is dependent upon a representative of the supplier or an
international consultant being present, its timing is critical.
12.6 Disaster recovery planning. In addition to establishing a preservation and
conservation programme to deal with existing problems and those which arise in
the course of taking in new records, it is essential that the preservation and
conservation service should establish a plan for the control of any disaster which
might occur. Such a plan should include taking steps for the prevention of
disasters, making advance provision of facilities for use in the event of a disaster,
establishing procedures for the control of activities in the event of a disaster and
planning for recovery thereafter (46, 47).
12.6.1 Prevention. Action should be taken:
a) to prevent damage arising from a break-in when the archive is closed;
b) to prevent the outbreak of fire or to minimise the damage to holdings of any
such outbreak by installing systems and procedures for the prompt detection of fire
and its effective suppression or containment;
c) to prevent flood or water penetration or to minimise water damage to holdings
where these occur;
d) to prepare for, and counter, increased risks to holdings during building
operations;
e) to prepare for, and counter, risks incurred during transit, temporary storage or
exhibition of holdings.
12.6.2 Provision of facilities. Arrangements should be made to ensure that
personnel, equipment and other facilities are available in the event of a disaster.
This will involve making arrangements:
a) to form and train a team or teams of staff from all sections of the archive who
would take part in salvage operations during or after a disaster;
b) to identify holdings of high intrinsic or informational value and records which
are particularly vulnerable to water damage (e.g. parchment documents, collodian
photographs) so as to give them priority in salvage operations;
c) to make available basic equipment for use in disaster control, e.g. protective
clothing, mops, squeegees and buckets, polythene sheeting and bags, lamps and
torches, cloths and sponges, blotting paper, boards, crates, trolleys;

d) to identify and make arrangements for necessary back-up facilities (e.g. firms
from which pumps, freezer trucks and cold storage space will be available) with
the minimum of delay;
e) to plan for the detection and handling of emergencies occuring at night, during
holidays, etc;
f) to be informed of and establish contact with other conservation units and
personnel within the national information infrastructure;
g) to ensure that the disaster control plan is fully workable at all times and is kept
up-to-date.
12.6.3 Action in the event of a disaster. In the event of a disaster plans should be
made for the following activities:
a) early detection of emergencies and the immediate raising of the alarm and
calling of emergency services;
b) assembling of disaster recovery teams with the minimum of delay;
c) minimising damage to buildings and holdings and danger to personnel by
turning off the mains water supply, electric current, gas supply, etc. using fire
extinguishing equipment where there is no immediate risk to life and directing
emergency services to those points most affected by the disaster;
d) estimating the extent of salvage operations and back-up facilities needed;
e) ensuring that all members of the disaster recovery team know exactly how to
proceed and for how long they are to work at a time;
f) entering the disaster area with minimum of risk to personnel;
g) removing material from the disaster area with minimum of additional damage,
identifying types of damage and material, listing summarily all material removed
by categories according to extent of damage;
h) setting up a treatment area for air-drying and cleaning slightly damaged
material;
i) packing and freezing heavily damaged material and arranging its transfer to a
cold store pending treatment.
12.6.4 Recovery programme. This will involve:

a) the revision of the institution's preservation and conservation programme to take

account of a need for long-term conservation of material damaged in the disaster;
b) the restoration of the disaster area to normal use as soon as possible;
c) the replacement within the rehabilitated disaster area of slightly damaged
material after cleaning and drying;
d) the long-term conservation of the badly damaged material, including, where
possible, freeze- or vacuum-drying of frozen materials (9).

Part four: Summary guidelines

16. Preservation guidelines
17. Active conservation and restoration guidelines
18. Substitution copying guidelines
19. Planning guidelines
20. Workshop accommodation guidelines
21. Staffing guidelines
22. Equipment and materials guidelines

Internal references are to paragraphs in Parts One and Two.

16. Preservation guidelines
16.1 Storage
16.1.1 Buildings. The most effective single measure which the archivist can take to
increase the life of archival materials is to provide secure storage areas:
- in which environmental conditions can be maintained in the range 15-22C and
relative humidity between 35% and 65%, preferably below 55%;
- which are well ventilated;
- from which pollution and dust are excluded;
- in which light levels are reduced;
- in which fires can be immediately detected and contained;
- where risks of fire, flood and tempest are minimised (4.1.1).

16.1.2 Storage equipment This should be appropriate for its purpose, chemically
inert and fire-proof (4.1.2).
16.1.3 Enclosures. The use of storage boxes and folders for loose papers and files
and of boxes for bound volumes will provide a high level of protection against fire,
flood, light, vermin, pollution and cycling of environmental conditions in the
storage area. Where acid-free boxes are not available a good level of protection can
still be obtained by wrapping documents in acid-free paper or folders and placing
them in ordinary boxes (4.1.3, 4.2.4).
16.1.4 Good housekeeping. Simple passive conservation procedures can help to
extend the life of a document. These should include:
- the removal of dust and dirt from documents (4.2.1);
- removing corrodible metallic components, such as staples, pins and paper clips,
and disassociation from other deleterious components (4.2.2);
- opening and flattening folded papers (4.2.3).
16.1.5 Handling. Procedures for the careful handling of documents by staff and
users should be introduced and enforced (4.2.5).
16.2 Pest Control
16.2.1 Treatment of premises. Where fungi, micro-organisms, insects or vermin are
an inherent problem within the storage areas, regular steps should be taken:
- to clean and disinfect the areas affected;
- to eradicate the cause of the infestation (4;3.1, 4.3.3).
16.2.2 Treatment of affected documents. Fumigation with biocidal chemicals is
now regarded as being of limited effectiveness and dangerous to staff and
documents alike. Preferred options are:
- freezing at -18 C or below as a means of killing insects, their larvae and their
eggs;
- the provision of appropriate environmental conditions which discourage the
growth of fungi and the intrusion of insects (4.3.2, 4.3.4).
17. Active conservation and restoration guidelines
17.1 Principles of Restoration and Repair.

17.1.1 Basic principles. Before restoration and repair is undertaken it is necessary

to understand the true nature of the archival materials concerned and the effects of
the treatments which may be applied. Treatments should conform to the following
basic principles:
- no process may remove, diminish, falsify or obscure the document's value as
evidence;
- no process may be used which would in any way damage or weaken the
document (2.2.1);
- as far as possible missing material should be replaced by material of the same
kind, or with compatible, similar materials;
- the nature and extent of any repair should be left unmistakeably evident;
- nothing should be done which cannot be undone without damage to the
document, although there may be exceptions to this rule (2.2.2).
17.1.2 Documentation. A proper record should be kept of all restoration treatment.
This should include:
- information identifying the document;
- the state of the document before treatment;
- any pre-repair treatment;
- the treatment processes and techniques used;
- the materials used;
- the identity of the conservator who has undertaken the work;
- the dates of treatment;
- where appropriate, a photographic record of the document before, during and
after treatment (2.2.3, 2.2.4).
17.2 Restoration of Traditional Materials
17.2.1 Deacidification. Where paper is deteriorating as a result of acid attack, it is
necessary to neutralise the acid and build in an alkaline buffer by chemical means.
This may be done by:

- aqueous deacidification, preferably by a magnesium bicarbonate solution (watersoluble inks and pigments should be tested and, if necessary, fixed before being
subjected to this or any other process);
- spirit deacidification, which may not be as effective as acqueous deacidification;
- vapour-phase deacidification, which is potentially easy to use and effective but
the gases employed are poisonous or otherwise injurious to health and is not,
therefore, recommended;
- mass deacidification methods, which are still in the experimental or development
stage and are likely to be well beyond the resources of most archives (5.1.3).
17.2.2 Paper repair. Paper should be repaired with good quality, new, mould-made
paper of equal weight and similar colour, or with Japanese tissue, applied in such a
way that the "grains" of original and repair paper run in the same direction and
using a vegetable paste or other suitable and tested adhesive (5.1.4, 5.1.5, 5.1.6).
17.2.3 Lamination. This common, mass treatment system may be undertaken by
semi-skilled staff after a minimum of training. The available processes are:
- machine lamination, which should only be undertaken with alkaline paper (after
deacidification if necessary);
- florentine repair;
- spirit lamination (5.1.7).
17.2.4 Encapsulation. Encapsulation in an envelope of inert transparent polyester
film is an appropriate method of preserving weak and friable paper pages,
photographs and textiles (5.1.8).
17.2.5 Leaf-casting. This method of repair employs the technique of making new
paper to fill in holes in the original document (5.1.9).
17.2.6 Other treatment methods. These include:
- paper splitting (5.1.10);
- paper strengthening (5.1.11).
17.2.7 Bindings. The repair or replacement of bindings is rarely cost-effective
unless the original binding has historical, aesthetic or other intrinsic value and
interest, or the document which it encases is of high value and interest. The
binding or guarding and filing of loose papers to make them easier to handle and to
protect them against theft or misplacement is time-consuming and labour-intensive

and again is recommended only for material of high value and interest. Pillar
binding of encapsulated documents is a cost-effective way of making them up into
assemblies for consultation (5.2.1, 5.2.2, 5.2.3, 5.2.4).
17.2.8 Parchment and other traditional support materials. The conservation of
parchment, papyrus, birchbark, palm leaves, wood, ivory, clay and stone is highly
specialised and should not be attempted without proper training and experience
(5.3.1, 5.3.2, 5.3.3, 5.4).
17.2.9 Seals. The repair of pendant and applied seals is highly skilled work and
where the necessary skills are not available, the best treatment is to pack the seals
carefully in cellulose wadding to prevent further damage. Stamped seals may use
ink or pigments which are water-soluble and special care should be taken when
subjecting documents on which these occur to treatments which involve wetting
(5.5).
17.3 Preservation and Conservation of Non-Textual Materials
17.3.1 Still photographs. The active conservation of photographs is a highly skilled
operation which should only be undertaken by those trained and experienced both
in recognising the specific photographic processes involved and in their respective
treatments. In general the safest treatment for photographic records is to pack them
individually in chemically inert wrappers or encapsulate them in polyester film,
and to preserve them in the dark in optimum environmental conditions (the lower
the temperature the better - certainly not more than 5 C for colour photographs)
(6.1.1., 6.1.2, 6.1.3, 6.1.4).
17.3.2 Microforms. Conservation treatment is usually confined to the replacement
of metallic spools or chemically active containers by inert ones, followed by
storage in the recommended environmental conditions (6.1.5).
17.3.3 Office copies. The only way of preserving the texts of office copies which
are non-permanent is to recopy them by a process which produces a more
permanent copy (6.1.6).
17.3.4 Motion pictures. Black and white motion pictures on a cellulose nitrate base
are highly inflammable and may even be explosive. They require special vaults for
their storage and the only effective treatment is to copy them onto safety stock and
dispose of the originals. The physical preservation treatment of motion pictures is
impractical in all but a few rare and important cases and the only solution to
damage or deterioration is proper handling and storage (low temperature,
especially for colour film) to arrest it or, if it has gone too far, copying (6.2.1).

17.3.5 Video recordings. Preservation in a proper environment and careful

handling are essential, failing which the only conservation treatment is copying
(6.2.2).
17.3.6 Sound recordings. The only practicable conservation treatment for audio
discs and audio tapes is preservation in a proper environment, careful handling
and, if all else fails, copying (6.3.1, 6.3.2).
17.3.7 Machine-readable records. The preservation of such media requires proper
storage, careful handling and, if all else fails, copying, possibly onto optical disks
(6.4.1, 6.4.2).
18. Substitution copying guidelines
18.1 The Purposes of Substitution Copying. Substitution copying may be
undertaken for the following purposes:
- as an alternative to conservation treatment where an original record is damaged or
decayed and expensive restoration treatment has a low priority or is impractical
(7.1.1);
- after conservation treatment where the original has a high intrinsic value and the
substitute will prevent further or renewed damage or deterioration of the repaired
original, or the document is so badly damaged that a copy cannot be made until at
least some repair treatment has been undertaken (7.1.2);
- to prevent damage requiring conservation treatment arising from the heavy use of
documents which are not otherwise in need of treatment (7.1.3).
18.2 Types of Substitutes. Depending upon the nature and intrinsic and
informational value of the original the following types of substitutes may be
appropriate:
- facsimiles, for individual records with high intrinsic value (7.2.1);
- photographs, where the expense of a full-colour facsimile is not justified but a
good quality reproduction is required (7.2.2);
- electrostatic copies, which are suitable for replacing deteriorating non-permanent
photocopies or other individual items in modern files (7.2.3);
- microforms, which are the cheapest and most effective forms of substitutes; they
are also cheaper than active conservation (7.2.4);
- electronic image capture, which is a new technique which may be used to
produce an electronic version of the record for storage on a magnetic medium or

optical disk and viewing on a display screen or printing out; it may also be used to
enhance the quality of faded or incomplete images (7.2.5);
- information transfer, which may be the only way of preserving the information
conveyed by many non-textual forms of record (7.2.6).
19. Planning guidelines
19.1 Establishing a Preservation and Conservation Programme
19.1.1 Preservation and conservation surveys. The most effective way of tackling
preservation and conservation problems is to establish a planned conservation
programme based upon a systematic survey of buildings and holdings. Such a
survey should identify problems affecting:
- the building as a whole;
- specific areas of the building;
- whole series of records;
- individual items.
The survey should be repeated periodically to identify new or recurrent problems
and the conservation condition of new accessions should be noted and any needs
integrated into the programme (8.1.1, 8.1.2, 8.1.3).
19.1.2 Matching treatment to needs. Account should be taken of the needs of the
building and of the holdings. In choosing treatment options the archivist should be
guided by:
- the value of the series or item, having regard both to its intrinsic value and to its
informational value;
- the level of use to which a series or item is subjected or may in future be
subjected (8.2.1, 8.2.2, 8.2.3).
19.1.3 Establishment of priorities. In general the treatment of problems which
affect the whole of the building or a specific area should be given priority.
Immediate priority should always be given to any problem which will spread or get
worse if not treated promptly. In treating the holdings, priority should be given to
entire series rather than to piecemeal treatment of individual items. In assessing
priorities account should be taken of value and use (or potential use) and also of
the urgency of the need for conservation treatment. This requires the cooperation
of the archivist and the conservator (8.3.1, 8.3.2, 12.2.3).

19.2 Implementing a Preservation and Conservation Programme

19.2.1 Planning. Planning a programme or project will involve the identification of
all the detailed activities which have to be undertaken to implement that plan and
placing them within a forecast timetable. Implementation of the plan involves the
coordination of these activities, which comprise:
- co-ordinating cash-flow (12.3.3)
- ensuring the construction or conversion and fitting out of any accommodation
which is required for a workshop or other purposes (12.5.4);
- the connection of services, without which work cannot commence (12.5.3);
- the recruitment and training of staff (12.5.4);
- the purchase and delivery of any necessary equipment and materials and the
installation and testing of the equipment (12.5.5, 12.5.6).
19.3 Financial Provision
19.3.1 Cost estimates. It is essential that accurate and detailed cost estimates
should be drawn up early in the planning process and kept up-to-date. They should
include a forecast of inflation and a contingency to allow for currency fluctuations
and other extraneous influences on prices (12.3.1).
19.3.2 Identification of sources of funding. Sources of funding include:
- international aid, which is most likely to be available for consultants, training and
equipment, but not for recurrent costs such as the purchase of materials or
payments to staff, or for capital expenditure on accommodation (12.4.1);
- bilateral aid, which is likely to be subject to the same constraints (12.4.2);
- national resources, including the normal budget of the archival institution
(12.4.3);
- the archive's own resources if it is free to determine its own budget allocation or
has other independent sources of funding (12.4.4);
- cost sharing with other components of the national information system (12.4.5);
- commercial sponsorship (12.4.6).
19.4 Disaster Recovery Planning. In addition to establishing a preservation and
conservation programme to deal with existing problems and those which arise in

the course of taking in new records, it is essential that a plan be established for the
control of any disaster which might occur. Such a plan should include taking steps
for:
- preventing damage arising from a break-in, the outbreak of fire and flood or
water penetration (12.6.1);
- the making of arrangements to ensure that personnel, equipment and other
facilities are available in the event of a disaster (12.6.2);
- planning action in the event of a disaster to minimise damage and to effect the
speedy recovery of affected documents (12.6.3);
- a recovery programme to restore the disaster area to normal use as soon as
possible and to effect the long-term conservation of badly damaged material
(12.6.4).
20. Workshop accommodation guidelines
20.1 Accommodation
20.1.1 Construction. Whether the workshop is newly constructed or an adaptation
of existing premises, the following factors need to be taken into account:
- floor loading should be adequate for the weight of the equipment to be installed
(9.1.1);
- natural light is essential but direct sunlight should be avoided, and supplementary
artificial lighting should be glare-free and ultra-violet filtered (9.1.2);
- adequate clearance should be provided between equipment and the ceiling
(9.1.3);
- environmental conditions should be the same as those of the storage areas in
order to ensure that any treatment undertaken is not undermined by changes in the
environment when documents are returned to storage.
20.1.2 Size. This will depend upon the number of staff employed, the range of
processes and equipment and the scale of operations, but the following minimum
standards should be observed:
- conservators' workbenches - 15 m2 each;
- map and large document table - 20 m2 to 25 m2 depending upon table size;
- other items of equipment or processing areas - 15 m2 each;

- chemical handling area - 15 m2 minimum;

- document strongroom - 10 m2 minimum;
- materials store - 20 m2 minimum;
- office - 20 m2 minimum;
- circulation space - add 25% to the total (9.2.1, 9.2.2).
At each stage of development only such accommodation as is necessary at that
stage need be provided, but this should always be within the context of an overall
modular plan (9.3).
20.1.3 Storage. Storage should be provided for:
- documents awaiting or undergoing conservation treatment this should be
constructed to provide the levels of security and environment appropriate for the
storage of archives (9.7.1);
- materials - the environment of this should be controlled to maintain an equable
temperature and relative humidity to prevent deterioration of perishable stocks
(9.7.2);
- chemicals - this should have a sink and bench with chemical resistant surfaces
and a fume hood for chemical handling and a refrigerator should be provided for
chemicals which require low temperature storage; it should be well ventilated and
be provided with fire extinguishers suitable for fighting chemical fires (9.7.3).
20.1.4 Lay-out. The lay-out of the workshop will depend upon the range of
processes and the scale of operations, but the following general principles should
be observed:
- so far as possible a conservator should be able to carry out an entire process at or
near to his workbench;
- where a range of equipment and processes are involved, these should be set out
so as to facilitate the progress of work between various items of equipment and
processes while minimising the movement of the records (9.4.1);
- the positioning of individual items of equipment should be such that the comfort
and convenience of the conservators is maximised (9.4.2).
20.1.5 Relationship to other archival units. It is generally more efficient for an
archival restoration workshop to be contained within the main archive building or
complex of buildings. There its location should be such that it is in close proximity

to other archival units with which it has close relations and with ready access to the
loading bay and lifts (9.5, 9.5.1).
20.2 Services
20.2.1 Electricity. Adequate power outlets should be provided for all electrical
equipment, with several spare outlets to provide for flexibility. Where the local
electricity supply is erratic, it may be desirable to install a generator. It is essential
to specify the standard local voltage when ordering equipment which is dependent
upon electricity (9.6.1).
20.2.2 Water. An adequate supply of water of suitable quality is essential. For
some processes distilled water will be required (9.6.2).
20.2.3 Waste disposal. Large quantities of chemical and other waste in liquid and
gaseous forms will have to be disposed of. This will have to be done in accordance
with accepted safety and environmental standards. Where public drainage facilities
are not adequate, separate arrangements will have to be made (9.6.3, 9.6.4).
21. Staffing guidelines
21.1 Functions
21.1.1 Archival functions. Conservation should be at the forefront of every
archivist's priorities, and in particular:
- archivists should advise on the value and use of material which has been
identified as in need of conservation treatment;
- archivists should ensure that documents are handled carefully by staff and public
and are not damaged in use (10.1.1).
21.1.2 Conservation functions. The work of deciding on appropriate conservation
treatment is the joint responsibility of the archivist and the conservator; carrying
out that treatment is the role of the conservator, who should possess:
- a wide range of specialist knowledge of the nature of documents;
- an appreciation of the best treatment in specific circumstances;
- the necessary dexterity and expertise to carry out that treatment (10.1.2).
21.1.3 Sub-professional functions. Some treatments require only limited expertise
and may safely be entrusted to trained technicians working under the direction of
conservators. Other tasks will not require any specific expertise provided they are
performed conscientiously under proper supervision (10.1.3).

21.2 Management
21.2.1 Preservation management. Preservation is the responsibility of the top
management of every archival institution, but day-to-day management should be
delegated to a Preservation Manager, who should be responsible for preparing and
carrying out a preservation and conservation programme (10.2.1).
21.2.2 Conservation management. A Senior Conservator should be responsible to
the Preservation Manager for:
- the provision of professional conservation advice;
- management of conservation staff and allocation of work;
- maintenance of equipment;
- control of supplies;
- quality control (10.1.2).
21.2.3 Technical supervision. When a preservation and conservation service
becomes so large and complex that the several activities operate virtually
independently, it may be necessary to appoint other managers or intermediate
supervisors (10.2.3).
21.3 Recruitment and Training
21.3.1 Recruitment. In a developing country it will only rarely be possible to
recruit staff with qualifications or experience in conservation work and it will,
therefore, be necessary to recruit on the basis of potential from those who have
completed a secondary education, preferably with a technical bias, and exhibit
manual dexterity and technical awareness (10.3.1).
21.3.2 Training. Training in conservation presents special difficulties, since there
are only limited opportunities for formal instruction. It will, therefore, be necessary
to devise a scheme of training which combines:
- external training, either on a formal course in conservation (very few are
available) or by secondment to an established conservation workshop (10.4.1);
- in-house training on-the-job under the supervision of an experienced conservator
for a minimum of two years
(10.4.2).
21.4 Staffing Levels and Production

21.4.1 Needs. These are likely to be infinite and it is unlikely that any archival
institution will be able to maintain an adequate pool of suitable personnel to ensure
that all its preservation and conservation needs are ever met (10.5.1),
21.4.2 Complement. Consequently it is not possible to lay down firm guidelines for
the appropriate complement for a specific archival preservation and conservation
service, although three - a conservator and two sub-professionals - should be the
minimum complement of a basic service. Beyond that it is primarily a matter of
adding to numbers as funds and suitable personnel become available (10.5.2).
21.4.3 Output. It is, therefore, most important to ensure that available staff are used
to obtain maximum productivity by concentrating on methods of treatment which
bring greatest results from limited input (10.5.3).
21.5 Exhibitions. Provision should be made for conservation staff time to mount
and monitor documentary exhibitions (10.6).
21.6 Health and Safety. A number of threats to the health and safety of staff may
be found in any conservation workshop and it is necessary both to plan to prevent
accidents happening and to provide first-aid facilities for the treatment of any
injuries which may arise (10.7, 10.7.1, 10.7.2).
22. Equipment and materials guidelines
22.1 Equipment
22.1.1 Basic equipment. This will consist of:
- a few simple tools (11.1.1);
- a workbench for each conservator and other equipment necessary for basic repair;
- a freezer if freezing is to be preferred to fumigation as a method of insect
elimination (11.1.2).
- basic presses and tools for Western-style binding, if this is to be undertaken
(11.1.3);
- chemical handling equipment (11.1.4).
22.1.2 Other equipment. As a conservation service develops and funds become
available, the following might be added:
- an ultra-sonic welder for encapsulation;
- a lamination machine;

- power presses and guillotines;

- a leaf-caster;
- plant for other mass treatment (though this is unlikely to be available within the
budget of any but the largest archive) (11.1.5).
22.1.3 Maintenance. Maintenance support should always be assured before
expensive equipment is purchased. Basic tools and equipment should be kept in
good working order by the conservation staff (11.1.6, 11.3.3(d)).
22.2 Materials
22.2.1 Requirements. Depending upon the types of treatment being undertaken, a
conservation workshop will require an adequate stock of:
- basic hand-repair materials;
- a supply of acid-free boxes, folders and wrapping paper (11.2.1);
- binding materials (11.2.2);
- chemicals (11.2.3);
- lamination tissue and other lamination materials (11.2.4(a));
- polyester film and other encapsulation materials (11.2.4(b)).
22.2.2 Stock levels. The stocks of materials held at any one time and the supplies
necessary to maintain optimum levels will vary with the rate of use and the ease
with which stocks may be replenished, but as a general guideline an initial
purchase of two years' estimated supplies should be made and then stocks should
be maintained at a level which ensures that they never drop below one year's
supply (11.2.6).
22.2.3 Stock control. It is important that materials should be used efficiently and
this requires the introduction of a sound stock control system (11.2.6).
22.3 Cost Factors
22.3.1 Local purchases. Where suitable local equipment or materials of appropriate
quality exist, they should be preferred to imported alternatives. Their costs will be
easy to ascertain and should be relatively low (11.3.1).

22.3.2 Imports. Where equipment or materials have to be imported, great care

should always be taken before ordering to discover precise costs, which may
include:
- the cost of having to purchase in foreign currency (11.3.2(a))
- agent's commission (11.3.2(b));
- freight and delivery charges (11.3.3(a));
- assembly and installation costs (11.3.3(b));
- duty and taxes (11.3.3(c));
- routine regular maintenance and repair of any equipment this will be at least 10%
of the purchase cost of the equipment and a further initial additional cost of 10%
for spare parts may also have to be made (11.3.3(d)).

Appendix C: Basic conservation equipment and materials

NOTE: The following lists do not include furniture, such as tables, chairs, wooden
shelving, cupboards, sinks, drying racks, which can be purchased or constructed
locally. The special requirement of a bench with a light box for traditional paper
conservation can also be met locally.
1. Traditional paper conservation equipment and materials (one conservator)
Equipment
Press (0.6 m X 0.55 m)
24" guillotine (hand operated)
Paper trimmer (hand operated) pH meter
Electric drill
Scales
'Anglepoise' table lamp
Spray gun
Filing frame
Hand tools, etc (e.g. brushes, sponges, bowls, scissors, knives, scalpels, bodkins,
needles)
Perspex (4 ft X 3 ft)
Materials (two years' initial supply)
Repair paper (4 reams)
Terylene sheeting (1 m)
Silk
Pressing paper (1 ream)

Paste, size
Chemicals (deacidification chemicals, fungicides, bactericides, insecticides,
solvents, ink fixers, etc)
2. Binding equipment and materials (one binder)
Equipment
Press (0.6 m X 0.55 m)
Blocking press
Backing press
Finishing press
Sewing frame
Board cutter
Type and type holders
Glue pot (electric)
Hand tools (knives, shears, needles, punches, brushes, etc)
Electric drill
Materials (two years' initial supply)
Board
Binding cloths (rexine, buckram, etc.) (10 rolls)
Leather (5 skins)
End papers (20 sheets)
Tape, thread, headbands
Glue, paste, spynflex
3. Lamination equipment and materials (one operator)
Equipment
Dry mounting press (hand operated)
Paper trimmer (hand operated)
PTFE release cloth (1 m)
Tacking iron
Spray gun
Materials (two years' initial supply)
Area bonded fibre (10 rolls)
Deacidification chemicals