I No Risk
2.16 REVIEW OF PREVIOUS STUDIES ON PRE S ERV ATION AND ACCESS TO RECORDS AND ARCHIVES WORLDWIDE RECORDS AND ARCHIVES WORLDWIDE
Some previous studies on preservation of, and access to records are dealt with in this section.
The studies that are reviewed include what Walters (1998:161-164) termed major archives preservation studies carried out in the USA, and research studies carried out in other parts of the globe and Africa. The review deals with studies that were done in Africa followed by those conducted in Canada, UK and USA and concludes with studies carried out in more than one region of the world.
While this study does not claim to have been exhaustive in terms of identifying all related studies, it is evident that there is little research activity in the archival field. Pederson (1994) made the same conclusions in a study she did for the Twelfth International Congress on Archives. Pederson (1994) attributed the lack of research activity to the following reasons:
• the short period of time that the discipline has existed;
• the difficulty of access to documentation in archival science; and ...
• the development of applied research funded by archives themselves, to the detriment of basic research.
Perhaps, the number of previous studies on preservation of, and access to records and archives cited in this study is limited because access to documentation in archival science in South Mrica was difficult as was observed by Pederson (1994). The few studies elaborated on in the following pages seem to confirm the view that very little basic research has taken place in the discipline as far as preservation and access to records and archives is concerned.
Indeed a review of , the literature reveals only small pockets of systematic research having been done in preservation management in archives. Examples of such research are five studies reported in Nigeria by Afolabi (1997:47), Amoult (1986), Clements (1987), Conway (1991), Feather and Eden (1997), Hendriks and Kathpalia (1987), Khayundi (1995), Lowell (1986), Mbaye (1995), Matthews (1999), Seton (1984) and Trinkaus-Randall (1990). These research studies are elaborated on in the following pages.
Research is strongly related to reporting the results as the scientific method relies heavily on making advances based on what other workers in the field have previously accomplished. The method is rigorously enforced in the general acceptance and publication of research results (Institution of Electrical Engineers (lEE) 2001). The lack of research in archival preservation partly explains why there is limited reliable information about preservation in archives (Conway 1990:218; Kenney 1990:185).
The paucity of literature on the subject is more pronounced in sub Saharan Africa than in the developed world. For example, in a bibliographical survey by Mcllwaine (1996) of writings relating to African archives, entries on preservation and conservation of archives make a total of 15 (0.93%) out of 1611 entries. The (general) section covering the rest of Africa accounts for six entries, and the remaining nine are equally distributed in East Africa, West Africa and Southern Africa. It is also noteworthy that a perusal of the table of contents of the Restaurator.
International Journal for the Preservation of Library and Archival Material from its inception did not yield any research articles emanating from Africa with the exception of the contribution ofKufa (1998).
Most of the studies on the preservation of archives in sub Saharan Africa are based on theoretical insights, and scarcely grounded in practice or based on empirical research. For instance, Kemoni (1996) discussed the factors that have contributed to ineffective conservation of archive materials in Kenya as lack of adequate resources, lack of trained conservators, inappropriate buildings, absence of disaster control plans and preservation policy without clearly showing the variables that were taken into consideration in order to arrive at such conclusions. Similarly, Chida (1994) gave a theoretical overview of preservation management in Zimbabwe without referring to any methodological framework or underlying
assumptions to qualify the findings. Admittedly, Chida (1994) formulated the model drawing from his experience as an archivist at the National Archives of Zimbabwe. Both authors (Kemoni 1996; Chida 1994) did not pose a question or hypothesis, or collected data to answer a question or support the hypothesis.
Among the few exceptional surveys on preservation management in Africa that were based on empirical research are those of Arnoult (1986), Khayundi (1995), Mbaye (1995) and five studies reported in Nigeria by Afolabi (1997:47). Unfortunately, efforts to get the details of the studies done in Nigeria were unsuccessful. Although the other above-mentioned studies used questionnaires and interview schedules they neither posed a research question nor gave details of the methods used in the study. As will be demonstrated in Chapter Four, describing the methods used by a researcher is very important because it enables replication of the study by other researchers. It is natural that when reading a study the reader:
• wants to be assured that the sample or phenomenon under consideration IS truly representative of the units of analysis;
• wants to know how the descriptive information was obtained (interview, observation, questionnaire); and
• wants to be convinced of the objectivity and validity of the measurement instruments (Meltzoff 1998:85).
ArnouIt (1986) conducted a survey on the state of preservation and restoration of archives and library materials in Kenya. His survey was limited to major information institutions based in Nairobi, namely, the Kenya National Archives and Documentation Services, University of Nairobi, McMillan City Council Library and the Kenya National Library Services. He concluded that:
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there were no consistent policies on the preservation and conservation of materials;
collections were housed in rooms with leaking roofs, insecure doors, large unprotected windows and were poorly maintained;
most environmental factors (for example, temperature and humidity) were not controlled and monitored in the repositories and stack rooms; and
disaster management plans were conspicuous by their absence (Arnoult 1986).
Hendriks and Kathpalia (1987) did a systems analysis study of the National Archives of Zimbabwe. The two-weeks study was aimed at examining the conservation facilities and conservation expertise and to assist in the development of a conversation programme for the National Archives of Zimbabwe. Data was gathered through scanning organisational documents, discussions with staff and observation (Hendriks & Kathpalia 1987:2). Hendriks and Kathpalia (1987) found out that on the one hand:
• no special equipment existed for continuously monitoring the temperature and relative humidity (RH) in the areas where records were stored (Hendriks & Kathpalia 1987:4);
• the conservation unit was not well equipped (Hendriks & Kathpalia 1987:4); and
• there was lack of coordination of various isolated conservation initiatives (Hendriks &
Kathpalia 1987:10).
On the other hand:
• there was a well developed awareness of conservation needs among seDlor staff members; and
• users were provided with "excellent guidelines" for handling original documents (Hendriks & Kathpalia 1987:10)13.
Hendriks and Kathpalia (1987: 12) recommended:
• that a hygrothermograph, which records temperature continuously on a weekly basis was more effective than using a dry and wet bulb thermometer;
• the employment of a chemist who would help in conducting tests and ensuring that conservation standards are maintained;
• that regular inspections be made for signs of infestation by insects, especially white ants;
• the technique of encapsulation be introduced;
• the technique of solvent lamination be introduced' and ,
• a plan for disaster preparedness be developed:
13 The author of this thesis joined the National Archives in 1988 a year after their mission and worked for the institution for 16 years and is not aware of the existence of such guidelines. Two of those years were directly spent taking care of matters pertaining to the preservation of
and access to records and archives. '
On the other hand, Khayundi (1995) studied the rest of eastern and southern Africa excluding South Africa and Namibia. He sought information on stock, buildings, environmental control, preservation facilities, personnel, handling and budgetary provisions. He concluded that:
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most collections were not housed in purpose-built buildings;
very few countries had environmental control systems;
most archival institutions had preservation facilities such as a bindery, a restoration workshop and photographic laboratory;
there is an acute shortage of trained staff in the field of preservation and conservation;
mishandling of materials was rife;
preservation was given a low budgetary priority;
most countries had no policy documents spelling out preservation policies; and
lack and unavailability of relevant literature denies staff running preservation programmes the opportunity to update their skills and knowledge (Khayundi 1995).
Some of the observations made by Amoult (1986) and Khayundi (1995) where also made by Mbaye (1995) in a study in West Africa. These empirical studies shaded some light on preservation problems in Africa. The importance of empirical research cannot be overemphasised. Empirical research supports decision-making. Its absence can be detrimental to the development of organisations. According to Craig (1996: 1 08), "our institutions are hampered in delivering their best services by not having the useful knowledge that would come from empirical and applied research".
The present study attempts to fill a lacuna in the preservation of archives in Africa in general and South Africa in particular. The gap takes the form of a lack of data and empirical studies on preservation management in archives. Punch (2000:3) noted that although there are many types of research like, theoretical research, analytical research, conceptual-philosophical research and historical research, "empirical research is the main type of research in present day social science". The present study focuses on empirical research.
The fact that both basic research and empirical evaluation of existing archives preservation management practices should be carried out is no longer debatable. Individuals, governments and international organisations alike have done research work on the various aspects of
preservation management. Unfortunately for the sub Saharan African preservation ~formation base most of this research has been confined to developed countries, .
Outside Africa, other studies on the preservation of archives have been carried out in Canada (Canadian ~ouncil of Archives 1989), the United States of America (Council of State Historical Records Coordinators 1993; 1996; 1998; Lowell 1986) and United· Kingdom (Feather and Eden 1997). Their research was applied rather than basic in nature. It was applied in the sense that it aimed at providing information that was immediately usable in the resolution of actual problems (powell 1997:44). Although both types of research contribute to the existing body of knowledge within a field, basic research is concerned with theory construction and hypothesis testing (powell 1997:42). The present study is basic in nature.
Section 4.1 of Chapter Four explicates the two types of research.
In 1985 the National Association of Government Archives and Records Administrators (NAGARA) commissioned Lowell (1986) to study the state of preservation in fifty state archives in the United States of America. Forty-three state archives eventually participated in the survey. Ten state archives were selected for follow-up site visits "to study specific preservation problems and program efforts; to estimate collective resources available and needed; and to define program approaches that might begin to meet state archives preservation requirements' (Lowell 1986:ii).
Lowell (1986) studied state archives' budgets, full time equivalence (FTE) of staff dedicated to preservation activity, the existence of disaster plans, environmental controls, fire detection and suppression systems, security systems, storage of holdings, formats of holdings, and volume of records that had been exposed to conservation processes like encapsulation, lamination, deacidification and microfilming. Using data from a survey questionnaire and site visits Lowell (1986:7) concluded that the United States was facing "a preservation crisis" in the preservation of state archives. He recommended a coordinated nationwide preservation programme among government archives. The problems that led to the preservation crisis were identified as: limited preservation staff, budget, storage space, environmental controls, and lack of disaster contingency measures (Lowell 1986). Three studies of the Council of State Historical Records Coordinators (COSHRC) were done in 1993, 1996 and 1998 to find out the
state of preservation in state archives (COSHRC 1993; 1996; 1998). The three studies used questionnaires to collect data and exposed the similar problems and trends articulated by Lowell in 1986.
The Canadian Council of Archives carried out another similar needs assessment study (Canadian Council of Archives 1989). The purpose of the survey was to determine the state as well as the needs and priorities of Canadian archives (Canadian Council of Archives 1989). A total of 627 archival institutions were surveyed during 1986-1987. Of those institutions surveyed only 9% stated that they had the facilities and equipment to adequately conserve and restore archival textual material, while only 13% indicated that they had trained staff to properly conserve textual material (Canadian Council of Archives 1989:4). The survey report also identified and prioritised both the short- and long-term needs within Canadian archives.
The findings showed that the provinciallterritorial and national priorities were quite similar. In both cases, conservation and physical facilities and equipment were ranked as the second and third highest priorities for Canadian archives just behind the top priority of arranging and describing the ever-increasing backlog of unprocessed archival holdings (Canadian Council of Archives 1989: 19-20). Like Lowell (1986), the survey identified the need for additional conservation education and training opportunities and also advocated for a national conservation strategy.
Feather and Eden (1997) used the same methodology as Lowell (1986) in another study carried out in the United Kingdom (UK). The study was carried out to get "recent and detailed information" about preservation management in archives in UK archives (Feather and Eden 1997:4). The objective of their study was to analyse the existing preservation policies and practices in archives as well as obtain data on preservation policies in archives comparable with that already obtained for libraries (Feather and Eden 1997:4). The study was based on a questionnaire survey of 290 archives and records offices, visits to archives and libraries as well as interviews with archivists and conservators. The aspects of preservation covered by the study were: preservation policies and strategies, environmental control, housekeeping activities, training in the handling of archival materials (patrons and staff), security, disaster
management and access. The study revealed that in order to make better use of scarce resources preservation surveys of nationally important collections were essential.
The study concluded that there was need for a national preservation strategy because the preservation of the documentary materials could no longer be left at the mercy of individual organisations (Feather & Eden 1997:56). It is worth noting that Matthews (1990) had predicted that collaboration in preservation activities was one of the three main areas of significance for the decade ahead.
However, the study investigated the application of international and national standards in the preservation of archives and records in a limited sense. Feather and Eden (1997) were only interested in standards as they pertained to the storage and exhibition of archival documents as provided for in BS5454. For example, the question of capturing information on paper that conforms to international standards of permanent paper was totally ignored.
Equally ignored by Feather and Eden (1997) was the role of formal education in preservation management. The investigation of the level of knowledge and skills of preservation personnel in the UK was not done in spite of the fact that Matthews (1990) had argued earlier that education was one of the three main areas of significance for the decade ahead. Instead, they only looked at training as it pertained to the correct handling of archival materials (Feather &
Eden 1997: 136).
Conway (1991) and Matthews (1999) carried out notable individual studies on preservation management. Conway (1991) completed a quantitative investigation relating to the extent to which there is a relationship between preservation practice and the perceived availability and usefulness of information sources that recommend appropriate preservation actions. Using data from literature, on-site inspection of conservation laboratories, and a mail survey of 320 institutions that enrolled staff in basic preservation workshops offered by the Society of American Archivists he confirmed the impression of preservation experts that the number of staff of a repository and its ability to implement preservation programmes are strongly related.
The analysis also identified a relatively significant positive relationship between prevention planning activities and both renewal and prevention implementation activities. Correlation coefficients for each pair of measures were calculated to examine the strength and significance of the relationships. The correlation coefficients point toward the importance of personalized written and oral sources of information in the development of preservation implementation actions.
Matthews (1999) developed a standard method of surveying library and archive collections in order to provide reliable and comparable data on the nature and scale of the national preservation problem for the National Preservation Office and the Panel of UK Preservation Administrators. At the time of the inception of the project the application of the model was envisaged to provide information essential for the effective implementation of the management of preservation in British libraries and archives. According to Matthews (1999) such survey models are reported to be more common in the United States than elsewhere in the world. Matthews (1999) also identified standard elements to be included in the survey tool.
A national database of results and its management and exploitation was recommended.
As a result of a lack of information about the preservation of library and archives materials in Massachusetts libraries and records repositories, Trinkaus-Randall (1990) carried out a survey to determine the preservation needs of public, academic and special libraries, manuscript repositories, historical societies and town clerks' offices.14 The research can be typified as applied because the aim was to find a solution to an immediate problem at the instigation of the National Endowment for the Humanities Division of Preservation and Access. The distinction between applied research on one hand and basic research on the other is made in section 4.1 of Chapter Four.
Data for the State of Massachusetts survey was collected by means of a questionnaire that was mailed to 1100 institutions (Trinkaus-Randall 1990). Nine hundred and sixty (87%)
14 An .ab~dged version of the report was published as: Massachusetts Board of Library
CommISSioners (MBLC). 1992. Preserve to serve: the Massachusetts preservation agenda.
Boston: MBLC.
147
respondents returned completed surveys. The report presented a description of the survey instrument and analysed the survey results in the following major categories:
• Facility information: brick and/or concrete were the most common materials in most buildings, 50% reported wood as the major component of their buildings and some buildings did not have any security measures in place.
• Environmental controls: 70% of the institutions could not maintain a constant climate throughout the whole year and most respondents knew very little about the effect of the environment on their collections.
• Fire protection: 93% had fire extinguishers, 60% reported having smoke detectors, 44% had heat detectors and 25% had sprinkler systems. Forty six percent of the respondents' fire detection systems were not connected to the local fire department.
• Preservation issues: preservation plans were nonexistent, 21 % of the respondents use microfilm for preservation.
• Disaster preparedness: 7% had a disaster plan in place.
On the international front, ICA, IFLA and UNESCO have commissioned some studies on preservation (Clements 1987; Seton 1984). Seton (1984) surveyed private archives located in a wide variety of repositories in 28 countries in all parts of the world. The population of the study was selected member states of UNESCO. Data for the study were gathered through the use of a 30-item questionnaire sent to 65 institutions, records, offices, libraries and museums
"thought to have holdings of private archives and manuscripts" (Seton 1984:1). Of the 39
institutions that responded 6 were from Africa (that is, two from Kenya and one each from Nigeria, Senegal, Zambia and Zimbabwe) (Seton 1984:1). The study concluded that archivists in developing countries face most of the problems common to their counterparts with longer archival traditions. The problems included inadequate buildings and equipment, lack of an effectively functioning national archival system, lack of trained staff, lack of funds and low morale (Seton 1984:30).
While the results are very useful, the study is silent on the research design. The justification for the choice of the units of analysis is not given. If indeed the questionnaire was sent to institutions "thought to have holdings of private archives and manuscripts", then the basis and