​Evaluation of the Analog Component of the Preservation Program From 2013-2014 to 2017-2018

Summary

Introduction

This report presents the findings and recommendations of the evaluation of the analog component of Library and Archives Canada's (LAC's) Preservation Program, hereinafter referred to as "the component." As this is a targeted evaluation, the evaluation questions were limited to assessing the effectiveness, that is, examining progress made in achieving short- and medium-term outcomes, and efficiency.

Component overview

To ensure the long-term accessibility and preservation of the analog collection, a number of actions are carried out under two main activities:

1. physical management of the collection
2. preservation and conservation of the collection

For the physical management of the collection, several tasks are performed on a daily basis to ensure circulation, physical control of LAC collections and management of spaces reserved for holdings. Activities take place in several special-purpose buildings under LAC's control to prevent the deterioration of documents and ensure their physical integrity, authenticity and long-term availability.

Regarding the preservation and conservation of the collection, the conservation laboratories are responsible for the conservation and treatment of books, maps, manuscripts, prints, drawings, paintings and photographs that are part of the LAC collection. Conservation treatments follow a risk- and priority-based approach.

Evaluation approach and methodology

Various methods of data collection, both qualitative and quantitative, were used in this evaluation: a document review; interviews with managers; on-site visits to three LAC buildings; and a survey of LAC managers and employees. An evaluation matrix was prepared to guide the evaluation process.

Findings and conclusion

The circulation of items from LAC's analog collection works well despite a high volume of items in transit. Boxes are picked up, handled and placed on shelves in LAC warehouses every day.

The evaluation team's visits to LAC buildings revealed that the collection is being stored under appropriate conditions. Temperature and humidity control instruments are present throughout the buildings visited. Traps are installed at all doors to control pests.^endnote1 Buildings are clean and well maintained.

Management of the analog component,^endnote2 hereinafter referred to as "management," should assess the condition of the analog collection on a regular basis, as the evaluation team noted that follow-ups on the status of the collection were not always done. Moreover, management does not regularly collect data to detect any potential degradation of items in the LAC collection. According to survey respondents, there is a deadline for processing items in the LAC collection.

Interview respondents agreed that the organization is doing what is needed to ensure the integrity, authenticity and accessibility of the LAC collection. However, coordinating activities within the analog component is difficult because the roles of the different divisions are unclear and not well understood. Moreover, priorities and work plans should be better communicated with managers and employees so they have a better understanding of where to focus their efforts.

Recommendations

• Recommendation 1: Management should establish a monitoring plan so that there is regular monitoring to ensure that LAC's analog collection is preserved in the medium and long term.
• Recommendation 2: Management should develop a mechanism to document the results of monitoring and ensure that enough information is collected to support informed decision-making regarding the condition of items in the LAC collection.

Management response and action plan

Management's response to the recommendations is included in the action plan presented in Appendix A of this report.

Introduction

This report presents the findings and recommendations of the evaluation of the analog component of Library and Archives Canada's (LAC's) Preservation Program, hereinafter referred to as "the component." Since April 1, 2018, LAC has adopted a new departmental results framework that includes the Preservation Program.^endnote3 The program has two main components: analog preservation, which is the focus of this evaluation, and digital preservation, which is excluded from the evaluation. Analog preservation for access is also excluded from this evaluation, as it was addressed in the evaluation of the Access to Documentary Heritage Program.^endnote4

As this is a targeted evaluation, evaluation questions were limited to effectiveness, that is, examining progress made in achieving short and medium-term outcomes, and efficiency. The methodology meets the requirements of the Treasury Board (TB) Policy on Results^endnote5 approved in 2016. Section 2.3 lists the five evaluation questions that were addressed.

1. Overview of Library and Archives Canada and the analog preservation component

1.1 Brief description of LAC

LAC is a federal institution that is responsible for acquiring, preserving and providing access to Canada's documentary heritage. LAC was created in 2004 with the merger of the National Archives and the National Library of Canada. The Library and Archives of Canada Act^endnote6 came into force the same year. The following elements are found in the preamble:

• to preserve Canada's documentary heritage for the benefit of present and future generations;
• to be a source of enduring knowledge accessible to all, contributing to the cultural, social and economic advancement of Canada as a free and democratic society;
• to facilitate in Canada cooperation among the communities involved in the acquisition, preservation and diffusion of knowledge; and
• to serve as the continuing memory of the Government of Canada and its institutions.

For the analog preservation component, LAC must apply federal legislation and internal policies, regulations and procedures that guide the work of the component, including the following:

• Library and Archives of Canada Act;
• Policy on Holdings Management;
• Loan Guidelines;
• Guidelines for Conservation Treatment of Analogue Holdings;
• Guide for the Preservation and Treatment of the Analog Collection;
• Guidelines on File Formats for Transferring Information Resources of Enduring Value;
• Guidelines for Packing Reserve Collection Material;
• Guidelines for the Use of Transportation Devices;
• Procedures for Collection Storage Space Access;
• Procedures – Circulation, Care of Collection.

1.2 Overview of the analog preservation component

LAC manages a large collection of documents in a wide variety of analog formats. To ensure the long-term accessibility and preservation of the analog collection, a number of actions are carried out under two main activities^endnote7 found in the Logic model in Appendix B:

• physical management of the collection
• preservation and conservation of the collection

Physical management of the collection

Various activities, such as circulation and physical control of the collection, are performed in a number of special-purpose buildings under LAC's control: the Preservation Centre in Gatineau, the Nitrate Film Preservation Facility in Ottawa and the high-density shelving system collection storage facility in Gatineau. These buildings provide the conditions required to prevent the deterioration of documents and ensure their physical integrity, authenticity and long-term availability. There is also the building in downtown Ottawa, 395 Wellington Street, that retains copies for consultation, and a building in Renfrew, Ontario, that holds the political repository, among other things.^endnote8

Finally, a building in Winnipeg maintains the records of military personnel and federal public service employees. Management works closely with Veterans Affairs Canada, National Defence and other government organizations to facilitate the circulation of personnel records for pension and benefit claims and access to information requests. There is ongoing collaboration between these organizations and LAC staff in Winnipeg and those working for access to information and privacy (ATIP) to ensure the protection of access rights. In Winnipeg, management also manages dormant government records of historical value that are stored in that building.

Preservation and conservation of the collection

LAC's five conservation laboratories are mandated to preserve and treat the following:

• books
• maps and manuscripts
• prints and drawings
• photographs
• paintings

Conservation treatments follow a risk and priority-based approach, as stated in the Policy on Holdings Management. The collection is treated and prepared for clients who request in-person access to the collection. The collection is also treated and prepared in collaboration with the Public Services Branch for loans and exhibits by institutions such as museums.

Preservation and conservation managers are responsible for providing a secure environment for the collection while ensuring a secure access to the collection. Management monitors the collection to assess, authorize and prioritize preventive care, digitization, conservation, maintenance and long-term preservation. It is also responsible for emergency preparedness, pest management, physical environment monitoring and preservation programs.

Finally, management contributes to research on best practices nationally and internationally by helping to develop and improve techniques, methodologies and tools to advance the science and art of restoration.

The Policy on Holdings Management supports the preservation of the LAC collection. It includes all documentary heritage under the responsibility of LAC according to the Library and Archives of Canada Act. LAC is responsible for managing its collection effectively and for taking appropriate measures to ensure its integrity and authenticity over time, whether it is in its possession on its premises or elsewhere, for example when an item from LAC is loaned to an external organization.

The objectives of the Guidelines for Conservation Treatment of Analogue Holdings help LAC staff identify the appropriate levels of conservation and restoration treatment for the analog collection. Moreover, the guidelines specify that prevention measures have priority over conservation and restoration treatment. Conservation and restoration treatment deemed necessary is governed by the following criteria:

• the extent and type of treatment is appropriate to the nature, preservation needs and intended use of the holdings;
• treatment is progressive, from minimum to maximum intervention, depending on need;
• maximum intervention is the exception, not the rule.

If preventive care is not sufficient to manage the risks identified for the preservation of holdings, coordinated and cost-effective conservation and restoration treatments are required. In particular, the following collections require such treatment:

• holdings that have intrinsic defects (for example, corrosion of ink, chemical instability)
• holdings that are extremely fragile or damaged
• holdings that will be subject to repeated and/or specific access requests (for example, loans, digitization, exhibits)

Prescribed treatments are intended to respect the integrity of the collections by taking measures to preserve their material composition and quality with only minimal intervention; however, in some cases, more intrusive treatments may be required. Finally, if intervention is required to protect collections, conservation and restoration treatment should be coordinated and cost effective.

1.3 Resources

The financial resources of LAC and the analog component are presented in the tables below. Table 1 shows that LAC's expenditures increased from $100.1 million in 2013-2014 to $127.4 million in 2017-18.

Despite some variation, the analog component's financial and human resources also increased between 2013-2014 and 2017-2018. Total financial resources increased from $5.4 million in 2013-2014 to $6.9 million in 2017-2018, an increase of $1.5 million, as shown in Table 2 below.

LAC's human resources have followed this same trend over the last five fiscal years, increasing from 885 full-time equivalents (FTEs) in 2013-2014, to 913 FTEs in 2017-2018.

Table 4 below shows that the total human resources for the analog component increased from 80 FTEs in 2013-2014 to 88 FTEs in 2017-2018, an increase of 8 FTEs. The number of FTEs varied over this period with a plateau of 108.5 FTEs in 2014-2015 and a low of 79.5 FTEs in 2015-2016. During the interviews, respondents mentioned that several positions in the Circulation and Physical Control Division are entry positions. Employees tend to leave them quickly for higher-level positions, resulting in staff turnover.

1.4 Governance of the analog component

The component is under the responsibility of the Digital Operations and Preservation Branch. There are two divisions in the branch that are responsible for analog preservation:

• Collection Services Division

The division carries out a number of actions on a daily basis to ensure the circulation and physical control of LAC collections, management of space reserved for holdings, logistical support for acquisitions and dispositions, collection insurance,^endnote13 management of archival supplies, and the production of related reports.

• Care of Collection Division

This division's mandate is to preserve and process items in the LAC collection. Treatment and preparation is required to prepare the collection for clients who request in-person access to the collection, or for loans and exhibits for institutions such as museums.

1.5 Policy frameworks

The various LAC frameworks concerning acquisition, analog preservation and access show the complexity of the work to be done and the interactions needed to facilitate the execution and coordination of activities among them.

For example, the program acquisition team^endnote14 must comply with the Evaluation and Acquisition Policy Framework by acquiring heritage that is relevant to the Canadian experience, while preservation is governed by the Stewardship Policy Framework. Collection access activities are governed by the Access Policy Framework. Although each of the frameworks mention that the other frameworks need to be taken into consideration, no working group acts as the liaison between these different functions.

1.6 Expected outcomes

According to the Logic model, the expected outcomes of the component are:

Immediate outcomes:

• documentary heritage is stored in an appropriate environment
• documentary heritage is preserved to ensure its integrity, authenticity and long-term accessibility

Intermediate outcome:

• the LAC collection is preserved

Ultimate outcome:

• Canada's continuing memory is documented and accessible for present and future generations

2. Methodology

2.1 Evaluation period

The evaluation examined the five-year period between April 2013 and March 2018.

2.2 Evaluation methods

Various methods of data collection, both qualitative and quantitative, were used in this evaluation. Performance measurement indicators and potential sources of data are presented in Appendix C. An evaluation matrix was prepared to guide the evaluation process.

Document review

The component's administrative and financial documents were reviewed. Performance statistics and other internal documents were also consulted.

Interviews

Twenty-two interviews were conducted with analog component managers and employees and other managers involved in managing and delivering the component, such as internal stakeholders in acquisitions, private archives, published heritage and public services. Open and closed-ended questions were developed for each interview.

On-site visits

The evaluators visited three LAC buildings—the building in Renfrew, Ontario; the building at 395 Wellington Street in Ottawa; and the high-density shelving system collection storage facility in Gatineau, to better understand the conditions under which LAC collection items are stored. There were also informal interviews with individuals in charge during these visits.

Internal survey

An internal survey was conducted with analog component managers and employees in January 2019. Thirty-six respondents (out of a potential 98) took part and answered all of the questions, for a response rate of 36.7%. All the information collected was analyzed and used to answer the evaluation questions.

The use of multiple data-collection methods and data triangulation helped to corroborate the findings. This methodology is consistent with the Treasury Board Policy on Results (2016).

2.3 Evaluation questions and methods

Questions for the evaluation of the analog component focused on effectiveness, that is, examining progress made toward achieving short and medium-term outcomes, and efficiency. The following questions were addressed and are presented along the evaluation methods used.

Effectiveness

• To what extent were analog component activities implemented as planned?
  • Evaluation methods:
    • document review;
    • internal interviews;
    • survey.
• To what extent were analog component outputs achieved as planned?
  • Evaluation methods:
    • document review;
    • internal interviews;
    • on-site visits;
    • survey.
• To what extent have the immediate and intermediate outcomes of the Preservation Program's analog component been achieved?
  • Evaluation methods:
    • document review;
    • internal interviews
    • survey.
• How effective is priority and risk management in the Preservation Program's analog component?
  • Evaluation methods:
    • document review;
    • internal interviews;
    • on-site visits;
    • survey.

Efficiency

• To what extent have resources dedicated to the analog component been used in the best way possible?
  • Evaluation methods:
    • document review;
    • internal interviews.

2.4 Limitations of the evaluation

With limited performance data^endnote15 to assess results from the analog component, the evaluation team used other data sources such as interviews, the internal survey and documentation to mitigate this limitation and better support the analyses.

2.5 Coding of findings

The evaluation findings were colour-coded to highlight aspects of the analog preservation component that require special attention.

•  Green: no improvement required
•  Yellow: potential area for improvement
•  Red: improvements required

3. Findings —Performance

3.1 Activities

Under the logic model, the component aims to carry out two main activities: the physical management of heritage documents, and the preservation and conservation of heritage documents. The evaluators examined whether management had set priorities or put an operational or work plan in place for each fiscal year, and whether it had implemented that plan.

With respect to analog preservation, LAC has committed to the following priorities in recent years:

• In 2014 and 2015, LAC committed to moving analog documentary resources to a new high-density shelving system collection storage facility in Gatineau. This priority was met. The building groups together documentary resources in a single state-of-the-art facility. The entire national collection of newspapers is stored there, in addition to the records of veterans of the 2nd World War.^endnote16
• For fiscal years 2015-2016, 2016-2017, and 2017-2018,^endnote17 LAC committed to continuing to develop and implement the long-term infrastructure plan to meet the institution's future needs for preservation spaces, including the addition of a new facility dedicated to preserving archives. Some warehouses were closed, while others were transferred to LAC's custody to optimize the spaces dedicated to storing the analog collection. LAC is still following its infrastructure plan with planning for the construction of the archives preservation building, designated as Gatineau 2, which will be operational in 2022.^endnote18
• In 2015-2016, LAC was going to intensify its efforts to restore and preserve the collection in analog format, which was achieved by processing numerous items to make them available for loans and exhibits. The conservation team also provided expertise and support to national and international communities through training and advice. In 2017-2018, in its performance report, LAC again highlighted efforts to restore a wide variety of documents such as photographs, maps and manuscripts, and a significant number of hours were spent working on documents intended for display in museums or other public places.^endnote19
• Finally, in 2016, in its departmental plan (formerly called the Report on Plans and Priorities), LAC committed to continuing to renew all stewardship policies. A review of all policies, procedures and guidelines found that none have been updated since 2013.

Management also updates its operational plan and quarterly plans annually. In those plans, it reports its collection care, conservation and collection services activities, such as circulation and physical control. It reports its results in a quarterly report and a dashboard, which are two internal documents.

During the interviews, respondents indicated that the priorities focused mainly on preparing items to be digitized for access and for loans and exhibits. Respondents noted a significant number of activities that they consider important to preservation, but that they do not do. They said that the time allocated to preservation activities is insufficient to do everything.

According to the employee and manager survey, more than a third of them are not at all familiar with operational priorities (38.9%) or work plans (41.7%), as indicated in Table 5 above. Information on priorities and work plans is not well communicated to employees and managers, so not all of them are aware of the priorities they should be focusing on.

3.2 Outputs

3.2 Outputs

Collection space management

On-site visits by the evaluation team to the warehouses^endnote21 revealed that they are well maintained and clean, and that items are placed in boxes in good condition or on shelves. The evaluators were able to see^endnote22 that there is still room in the warehouses for other items. In all of the buildings visited, some shelves were empty.

According to interview respondents, the closure of several LAC warehouses between 2010 and 2015 makes it more difficult to acquire large volumes of items because there is not enough suitable space. For example, LAC received 80,000 maps and plans from Natural Resources Canada. These documents were stored in the Renfrew, Ontario, building. Due to a lack of adequate space, the maps and plans were rolled and placed in boxes, which were then placed on filing cabinets. Some maps were rolled in tubes stored along the walls. For proper storage, these items should have been unrolled and placed flat in specialized filing cabinets designed for this type of material. But all of the specialized filing cabinets in the Renfrew building were already filled to capacity.

Another example is the Dominion Bridge holdings items recently acquired by LAC. These items are being stored on an unloading dock at the Renfrew building due to lack of space because these items were contaminated upon arrival at LAC and cannot be moved until they are treated.

Circulation of the collection

LAC implemented circulation procedures in July 2009. Circulation procedures define how work processes are to be conducted. They detail the roles and responsibilities of the staff involved in the circulation of items in the collection. They state how circulation should be handled for:

• documents kept in vaults or refrigerated vaults
• documents with restricted access
• documents with nitrate film

LAC also has procedures for:

• documents that will be returned to lac by clients after a loan
• sorting and shelving
• improperly classified or damaged containers

As shown in Table 6 below, thousands of boxes are circulated each year between LAC's various warehouses and 395 Wellington Street in Ottawa, a site dedicated to client consultations, or at the Place de la Cité building in Gatineau, where LAC archivists conduct their consultations and update the documents.

Based on the available data, internal and external box circulation increased significantly between 2013-2014 and 2014-2015, then decreased from 2015-2016 to 2016-2017, and stabilized over the past year. According to quarterly data obtained by management, 100% of box circulation in the fourth quarter of 2017-2018 was carried out in accordance with the standards.

According to interview respondents, employees are well trained and follow all procedures, and circulation of the LAC collection works effectively. They also mentioned that the processes are clear and that the circulation team is meeting its performance objectives with respect to its service standards,^endnote23 despite the volume of items moving from one LAC building to another every day. Moreover, the respondents stated that items in the collection are not lost or damaged while in transit. In addition to planned transits, respondents noted that the Circulation Division receives ad hoc requests to circulate collection items that add an additional burden to resources.

All of the testimony gathered indicates that the quality of services provided by the Collection Circulation Division is excellent. The employees are very professional and handle collection items with care.

Acquisition logistical support

Among the analog component activities, the logistical support provided to holdings acquisition teams, whether for government records, documentary heritage or private archives, works well, although, according to interview respondents, there is room for improvement. In fact, analog component management and employees indicated that acquisitions staff do not always consult with them, or do so as a last resort. As a result, the component's logistical support staff cannot influence acquisition decisions. For example, respondents noted that the organization's preservation capacity is not given sufficient consideration in acquisition decisions.

In particular, the Dominion Bridge holdings were in a poor state of preservation at the time of acquisition. Initially, the holdings had to be isolated in an unloading dock until the items in this collection could be treated. This strategic acquisition decision had a direct impact on analog preservation management, the consequences of which, according to interview respondents, are still being felt.

According to interview respondents, the current budget to manage the component is insufficient to meet service requests following acquisitions, such as collecting donations and purchasing new specialized supplies. To inform acquisition groups, the logistical support group developed an average cost grid and procedures for estimating the costs of treatment and supplies for storing items to be acquired. Component respondents indicated that they recover costs when there are budget overruns during the year.

Disposition of documents

The Policy on Holdings Management states under "Preservation activities" that analog management may dispose "of any redundant, unusable, unsustainable or unsuitable holdings in accordance with policies, best practices and any required authorization."

Based on data provided by management, 1,999^endnote24 boxes were disposed of in 2017-2018. The percentage of boxes disposed of according to standards was 13% in the third quarter of 2017-2018, and 20% in the fourth quarter of 2017-2018.^endnote25 For the destruction of documents, management uses the services of an organization located at Tunney's Pasture in Ottawa, which has a limited capacity. Private-sector suppliers are also needed to meet the demand for document destruction.

In consulting the procedures for the removal of government records from LAC's custody (November 2009), the evaluation team found that they did not include instructions on the interactions between the various parties involved in the disposition of the records, given that management of the analog component is responsible for destroying LAC items. Interviews revealed that the procedures for completing a disposition form, from decision to destruction if required, are very long and require regular interactions between the two groups. Interview respondents noted that some thought needs to be put into how to make disposition processes more efficient to ensure that only those documents that need to be destroyed are destroyed, thereby avoiding errors that have been made in the past.

As stated by the various respondents during the interviews, these situations should be clearly communicated. It was noted during the interviews that more communication between the program acquisition, disposal and logistical support groups could lead to solutions that satisfy the different groups.

Conservation and treatment services

Conservation and treatment activities are carried out more when collection items need to be digitized or loaned for an exhibit, either internally or externally. While the preservation for access priority is important, a proportion of preservation activities are also devoted to circulation, storage and treatment (see Table 7 below). According to survey respondents:

• 30.6% of them spend 26-50% of their time on preservation activities to support access
• 19.4% spend 76-100% of their time on circulation and storage
• 27.8% of respondents spend more than 51-75% of their time on treatment-related activities.

3.3 Immediate outcomes

Storage standards and procedures

Management of the analog component has established standards and procedures.^endnote27 The Care of Collection group is responsible for drafting these procedures. According to the group, a portion of the items in the collection are placed in the Preservation Centre vaults according to the criteria established by the collection managers using the appropriate shelving based on the items' condition and their support. Interview respondents noted the importance of respecting these criteria.

According to the respondents, these procedures are followed. The internal survey shows that standards and procedures are moderately or very well known, and that a large proportion of respondents apply them always/all the time (see tables 8 and 9).

Storage conditions

Data collected by management showed a deterioration in the quality of the collection's storage based on archival standards, from 94% in 2014-2015 to 49% in the fourth quarter of 2017-2018. However, the absence of complementary data prevented the evaluation team from analyzing the extent of the degradation or identifying the building in question.

Some concerns were raised during the interviews about the storage environment at the Renfrew Building, at 395 Wellington Street and at the high-density shelving system collection storage facility in Gatineau. The respondents mentioned that they felt that temperature, humidity and pest management in these warehouses were inadequate.

This perception was shared by the component employees and managers who participated in the survey. The evaluation team asked the respondents how they would describe the LAC collection's storage conditions. According to them (see Table 10 below), the buildings that offer the best storage conditions are the Preservation Centre in Gatineau and the Nitrate Film Preservation Facility in Ottawa. The buildings that offer the least favourable storage conditions are 395 Wellington Street in Ottawa, the building in Renfrew, Ontario, 550 Place de la Cité in Gatineau, and the high-density shelving system collection storage facility in Gatineau.

Interview respondents were unanimous that the Preservation Centre in Gatineau, which was built in 1997, was the best place to preserve the LAC collection.

Visits to preservation buildings

The evaluation team visited three LAC buildings: the Renfrew building, the building at 395 Wellington Street and the high-density shelving system collections storage facility in Gatineau. The buildings are very impressive in terms of their size and storage capacity. Thousands of shelves installed over immense areas allowed the evaluation team to grasp the scale of LAC's analog holdings. The visits to these buildings revealed that, in general, the collection is being stored under appropriate conditions. Temperature and humidity control instruments are present throughout the buildings that were visited. Traps are installed at all doors to control pests. Buildings are clean and well maintained. Items are placed in boxes and set on shelves. The organization uses suitable boxes of the correct size to preserve collection items and optimize the space used, with the exception of oversized items that are placed on shelves at the Renfrew building and at 395 Wellington Street.

However, at the Renfrew building, due to a lack of space in the filing cabinet drawers designated for this purpose, thousands of maps and plans are rolled in boxes placed on the filing cabinets or in tubes hung on the wall. According to interview respondents, this is inadequate medium- and long-term preservation.

In the high-density shelving system collection storage facility in Gatineau, water leaks that occurred in the past are now under control thanks to a water recovery system.

There was some water infiltration in November 2018 at the building at 395 Wellington Street, but management reacted promptly to minimize damage to the items stored there. During the evaluation team's visit in January 2019, there was still plastic covering one shelf, while other shelves had been emptied. Some items that were damaged by the water were still undergoing treatment.

Conservation and treatment

According to management, very little preservation work was done in 2017-2018 because nearly all resources were dedicated to digitizing items for access. Contrary to what managers and employees think, in 2016-2017, access activities took up 76% of lab time overall. However, access activities dropped to 44% in 2017-2018. In comparison, the percentage of time spent on typical preservation projects was 24% in 2016-2017 and 56% in 2017-2018. Although interview respondents felt that LAC doesn't spend enough time on analog preservation and conservation activities, 18,740 hours were spent on treatment and conservation activities in 2017-2018.

Table 11 presents the various requests answered by analog component staff in collaboration with other LAC branches. Unfortunately, only the 2017-2018 data was available at the time of the evaluation, so it is impossible to establish a trend over the past three years.^endnote32

In total, analog component staff treated 6,880 boxes of items in 2016-2017, and received 631 requests in 2017-2018 to treat 15,152 boxes. This resulted in 64%^endnote33 of requests being treated (the target was 75%) in 2017-2018.

Interview respondents agreed that the organization is doing what is needed to ensure the integrity, authenticity and accessibility of the collection. However, it was not possible to conclusively measure the achievement of this outcome.^endnote34 The interviews and internal documents examined revealed that, while management can demonstrate its annual achievements, it is more difficult to demonstrate preservation activities carried out over several years. Very little ongoing data was available at the time of the evaluation.

3.4 Intermediate outcomes

Medium- and long-term preservation

According to interview respondents, degradation problems with new acquisitions are sometimes not discovered until later, when they are being described, because they are placed in two vaults at the Preservation Centre in Gatineau when they arrive. To detect degradation problems for items already in the LAC collection, a few inspections are done occasionally or when an item is requested for a consultation, loan or exhibit. The evaluation team noted that there were no regular follow-ups on the status of the collection. Nevertheless, the evaluation team noted examples of actions implemented on an ad hoc basis. For example, if employees find damaged items, action is taken to stabilize the situation by placing the items in a freezer and in a bag if mould has been detected. This shows that the interventions undertaken are more reactive than proactive.

In 2017-2018, management introduced a new indicator in its Performance Information Profile (PIP) to measure the condition of the archival collection on a regular basis.

The lack of ongoing data on the monitoring of the condition of items in the collection doesn't allow analysis of whether the collection is preserved in the medium and long term in all existing buildings. Interview respondents mentioned that the quantity of mould on some items in the collection is beyond what staff are able to treat. In addition, no corrective action is planned or documented for the collection stored in general.

4. Findings — Effectiveness

Priority management and interactions with other sectors

Prior to 2013-2014, a preservation planning committee identified priorities for analog preservation treatments. As this committee no longer exists, it is now up to the collection managers in the Care of Collection Division and curators to negotiate these priorities.

In fact, a number of LAC professionals have to interact in the descion-making process regarding the preservation and conservation of the analog collection, including:

• the records control officer who receives new collection items (acquisition);
• collection managers and curators who appraise new items and stabilize them or make corrections, if necessary (analog component);
• curators who determine whether an item can be loaned or presented (analog component);
• various individuals responsible for circulation and storage (analog component).

Based on the interviews, it would be beneficial to harmonize the interactions between these groups.

The survey also revealed (see Table 12) that there are regular interactions between the component staff and various LAC divisions, but according to the respondents, the effectiveness of these interactions needs improvement.

In fact, the majority of respondents indicated that they did not know if the interactions were effective (see Table 13 below). Based on the interview responses, the role of analog preservation staff is poorly understood.

The interviews revealed that without a formal body, it is difficult for the various groups to reach an agreement, to be able to discuss and find solutions to the problems that can arise, and thus reduce irritants.

Operational risks

Table 14 shows that more than half of survey respondents indicated that they were not or were somewhat involved in identifying or managing risks associated with the collection (55.5% and 50%), while the other half indicated that they were moderately or very involved (44.5% and 41.7%).

According to interview respondents, one of the very important operational risks is related to the physical environment of certain items on loan that do not meet temperature, humidity or lighting standards. It was noted that if a degradation problem is discovered, there will be more pressure on the analog component staff. Another potential risk identified by respondents is destroying the wrong document during the disposition process.

According to management, there will be good opportunities for collaboration with other groups to ensure that everyone is aware of the risks associated with conservation and preservation, if applicable, at the time of acquisition in terms of quarantine, decontamination or treatment.

5. Findings — Efficiency

5. Findings to Efficiency

Interview respondents from the Collection Services Division noted that staff turnover is high (see Table 4 in Section 1.3 Resources) and that training needs are also high. Several positions are acting positions and many of those are entry-level positions, meaning that employees quickly move on to other positions.

It was mentioned during the interviews that materiel management is also a challenge. The need for specialized supplies is significant and costs for boxes, envelopes and acid-free files are increasing. Sometimes there is a shortage of equipment and supplies after the budget has run out.

An interview question asked participants whether they were aware of any innovative initiatives or new approaches put in place between 2013-2014 and 2017-2018 to improve the efficiency of the component. Respondents noted the following:

• job descriptions are more generic and flexible in order to work more globally;
• collection management portfolios are now more general rather than specialized in order to facilitate relations with colleagues in other divisions;
• the high-density shelving system collection storage facility in gatineau was retrofitted with high-density shelving;
• the creation of the generic analog preservation email box and a ticket system for questions and processing requests.

The evaluation revealed that management faces certain challenges that affect the effectiveness and efficiency of the analog component. However, recent data and interviews show that the analog component's performance is good.

6. Conclusion and recommendations

The evaluation showed that over the past few years, activities undertaken by management were consistent with organizational priorities. The evaluation of the component also shows that collection items are stored in appropriate locations and that items are circulated according to standards and procedures. According to survey respondents, there is a delay in the treatment of items in the LAC collection. Moreover, the lack of follow-up data on analog collection items does not allow for determining their state.

Finally, the analog component's various divisions play a very important role in preserving items in the LAC collection, both when items circulate internally and when they are loaned for exhibits externally. The evaluation revealed that relations with other sectors are important. Although they perform different tasks, the various fields of expertise come together to ensure that the integrity and autheniticity of items in the collection are preserved in the medium and long term. Strategic decisions made by the other programs have an impact on the analog component's activities. Better communication between the teams involved in preservation, acquisitions, loans and exhibits from the different sectors would help reduce irritants.

Recommendations

The evaluation of the analog component has led to two recommendations and one action for consideration, as follows:

• Recommendation 1: Management should establish a monitoring plan so that there is regular monitoring to ensure that LAC's analog collection is preserved in the medium and long term.
• Recommendation 2: Management should develop a mechanism to document the results of monitoring and ensure that enough information is collected to support informed decision-making regarding the condition of items in the LAC collection.
• Action for consideration: Risk identification and management should be more widely known and shared between component managers and employees.

Appendix A: Management response and action plan

Appendix B: Logic model

The hashed elements of the Logic model were not considered in this evaluation.

Appendix C: Performance measurement strategy

The evaluation considered the data collected during the period covered by the evaluation, namely the indicators identified in the evaluation framework approved in 2015. In addition, new indicators from the Performance Information Profile (PIP) were reviewed if available. These are indicated below in bold.

Appendix D: Bibliography

2015-16 Report on Plans and Priorities, Library and Archives Canada.

2016-17 Departmental Results Report, Library and Archives Canada.

2016-17 Report on Plans and Priorities, Library and Archives Canada.

2017-18 Departmental Results Report, Library and Archives Canada.

Analog Holdings Conservation Treatment Guidelines, Library and Archives Canada, October 2013.

Annual Report, Circulation and Physical Control, 2016-2017, Collection Services Division, Library and Archives Canada, March 2, 2016.

Collection Conservation, Procedures, Circulation, Library and Archives Canada, CCD version 1, July 22, 2009.

Dashboard, 2015-2016, 1st Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2015-2016, 2nd Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2015-2016, 3rd Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2015-2016, 4th Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2016-2017, 1st Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2016-2017, 2nd Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2016-2017, 3rd Quarter, Collection Preservation Branch, Library and Archives Canada.

Dashboard, 2016-2017, 4th Quarter, Digital Operations and Preservation Branch, Library and Archives Canada.

Dashboard, 2017-2018, 1st Quarter, Digital Operations and Preservation Branch, Library and Archives Canada.

Dashboard, 2017-2018, 2nd Quarter, Digital Operations and Preservation Branch, Library and Archives Canada.

Dashboard, 2017-2018, 3rd Quarter, Digital Operations and Preservation Branch, Library and Archives Canada.

Dashboard, 2017-2018, 4th Quarter, Digital Operations and Preservation Branch, Library and Archives Canada.

Departmental Performance Report 2013-2014, Library and Archives Canada.

Departmental Performance Report 2014-2015, Library and Archives Canada.

Departmental Performance Report 2015-2016, Library and Archives Canada.

Departmental Plan 2017-18, Library and Archives Canada.

Directive on Results, Treasury Board of Canada, July 1, 2016.

Evaluation and Acquisition Policy Framework, Library and Archives Canada, April 1, 2016.

Guideline for Conservation Treatment of Analogue Holdings, Library and Archives Canada, October 2013.

Guidelines on File Formats for Transferring Information Resources of Enduring Value, Library and Archives Canada, October 1, 2014

Guidelines for the Use of Transportation Devices, Collection Management Division, Library and Archives Canada, April 2014.

Policy on Holdings Management, Library and Archives Canada, July 28, 2014.

Policy on Results, Treasury Board of Canada, July 1, 2016.

Procedures for accessing the collection holding areas, Library and Archives Canada, March 2, 2010.

RCO Procedures Overview, Library and Archives Canada, May 2018 (English only).

Report on Plans and Priorities 2013-14, Library and Archives Canada.

Report on Plans and Priorities 2014-15, Library and Archives Canada.

Stewardship Policy Framework, Library and Archives Canada, July 12, 2013.