SUMMARY OF THE
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During the first half of 1998, the Association of Research Libraries, George P. Morse & Associates, and the University of Maryland Libraries collaborated on an organizational security study of the library system. The review addressed security in its broadest sense, including management issues, operational responsibilities, policies and procedures, threat analysis capabilities, program development, and performance evaluation. It also included systems and procedures for personnel and property protection, inventory protection and control, behavior control, access control, electronic monitoring, computer systems security, and fire protection and safety. Dean Charles Lowry ensured that the study accounted for the integration of security matters with all other library operations and that each staff member saw security as his/her responsibility. Because of privacy and security issues, this summary does not, generally, include references to specific individuals or specific recommendations.
The Morse & Associates analysis consisted of interviews, documentation review, and direct observation. The "Report of Assessment of Protection Requirements for the University of Maryland Libraries" contains the identification and analysis of existing conditions which involve risks and hazards to the effective operation of the libraries, evaluation of current protection capabilities, and recommendations intended to enable the libraries to develop a more effective loss prevention management program and individual security responses to identified problems.
The assessment and recommendations are based upon the recognition that loss prevention is a management responsibility which utilizes the organization’s line management structure to anticipate the specific actions or conditions which might result in loss of property and harm to people and to so manage the organization’s resources as to prevent their occurrence. Police forces and other professional or technical personnel will assist management in the fulfillment of this responsibility.
As with most library systems, the primary threats faced by the University of Maryland Libraries include:
- Theft of library materials
- Deliberate destruction of library materials
- Accidental damage to library materials
- Other theft (e.g., personal property)
- Fire
- Assault upon library staff and patrons within the libraries
- Damage to materials from environmental and operational causes
- Accident
- Disruptive or inappropriate behavior (e.g., "peeping," exhibitionism)
Effective loss prevention is accomplished through the following techniques:
- First and foremost, maintenance of a controlled environment whose ambiance is such that failure to observe laws, regulations, or codes of behavior within that environment is out of the question, or at least highly unlikely.
- Policies and procedures which ensure that library and security personnel function in an effective, planned, logical, and consistent manner.
- Communication, through signage and orientation and continuing education programs, of the procedures, rules, regulations, and behavior expected of anyone using the facilities.
- Loss and incident reporting and analysis, through which management and staff are kept aware of the magnitude and location of past and current losses. This information is used to gauge the effectiveness of current efforts and identify areas requiring increased attention.
- Access control, whereby entry to a particular area is limited to those who have a demonstrable, valid purpose to be in that area.
- Alarm and other notification capability through which appropriate authorities and response personnel are notified if and when anyone improperly enters a monitored area, or in the event of a signal indicating distress or an emergency condition.
- Direct observation and response, through which both staff and other users are trained and encouraged to observe activities around them and either report or directly respond to improper behavior.
The Report identifies several issues including establishing a single authority for loss prevention management within the libraries. The libraries must work with other university agencies, such as the University of Maryland Police Department, in the planning, evaluation, and direction within the libraries.
The other primary management issues identified during the review are:
- Philosophy, Attitude, and Image
Every library representative, when performing any security activity, whether in the management structure or at the book detection devices or the various service desks, projects an attitude and image which alerts employees, users, and visitors as to the type and level of security applied within that individual’s area of responsibility.
Top management must define and articulate its loss prevention philosophy and ensure that appropriate policies and procedures are developed which reflect that philosophy and that these polices and procedures support and direct the day-to-day activities of all personnel having responsibility for aspects of the loss prevention program.
- Safety, Fire, and Other Emergency Response Capabilities
The Report identified several issues relating to emergency response and provided guidance concerning development of plans and training programs:
- Assigning a management representative evenings and weekends.
- Establishing an emergency response team.
- Conducting routine fire drills.
- Training staff in emergency procedures.
- Communication of Loss Prevention Requirements
For any loss prevention program, it is critical that all levels of management, staff, users, and visitors understand the program, their responsibilities, and the reasons behind the requirements. Staff memoranda, seminars, and signage can be utilized to inform staff and visitors about acceptable levels of behavior.
- Loss and Incident Reporting and Analysis
The libraries should develop procedures and computerized analyses to report and analyze loss of library materials. The report provided guidance in developing methods and routines to identify and analyze:
- Automated calculation and analysis of annual shrinkage in circulating and research materials
- Circulation and research materials reported as missing
- Materials which were vandalized or otherwise damaged
- Other library property reported as lost, stolen, or damaged
- Personal property reported as lost, stolen, or damaged
George P. Morse & Associates has observed that, for organizations that do not tabulate losses due to theft, waste, abuse, etc., actual loss is usually considerably greater than expected or assumed. Morse & Associates has further observed that virtually every organization experiences moderate to severe vandalism, theft, and other losses. Libraries must have hard data identifying its annual loss, so that they can determine the type, level, and focus of efforts to be expended in the protection of its physical assets. If the losses prove to be low, the library will be justified in eschewing substantially increased asset protection efforts.
- Access Control
Morse & Associates developed detailed access control systems to effectively and efficiently deal with the many different functions performed within various library buildings. For large libraries, these access controls would limit entry to the buildings and the departments within to those persons with genuine operational responsibilities at various times of the day and night. Smaller or satellite libraries may require much less complex access control plans. It is critical that these systems and procedures be consistent with efficient and convenient movement of staff, users, and visitors.
1. Implementation Plan
The Report included a detailed, step-by-step implementation plan, with descriptions of each of the following steps:
- Assign responsibility for the overall guidance and direction of the loss prevention management function.
- Select an individual or individuals to perform detailed program and documentation development.
- Develop time-phased implementation plan for management actions
- Develop appropriate philosophy, policies, and procedures.
- Develop and initiate a series of loss prevention seminars.
- Develop liaison with other campus security and protection units.
- Finalize specific administrative and operational improvements and implementation plan.
- Finalize the technical recommendations and develop technical implementation plan.
- Initiate implementation plans.
- Present analysis of actual versus planned accomplishments semi-annually.
2. Assignment of Personnel
Final authority and responsibility for loss prevention rests with the Dean of Libraries. This responsibility extends from the Dean through the operational personnel structure to each staff member to so perform their daily duties that the potential for loss is minimized and that an effective response capability is in place. The Dean should designate a staff member who will assume primary responsibility for the loss prevention management program.
3. Development of Philosophy, Policies, and Procedures
It is extremely important that the organization’s philosophy of loss prevention management be clearly delineated, documented, and communicated. This is the underpinning of the entire program, and it is critical that it be associated with the senior management official of the library system, i.e., the Dean of Libraries. The philosophy must present the goal of the program, the way in which the goal shall be achieved, and the basic responsibility of each staff member and user in its achievement.
Policies which clearly delineate the program’s basic tenets and to which management at every level can refer in their decision-making must be developed and promulgated. Specific protection procedures must be improved and developed in cooperation with the University experts in these specialties, and they must meet with the approval of library top management. Morse & Associates provided initial guidance and sample material related to these documents.
As a minimum, the libraries require:
- A statement of loss prevention policy identifying responsibilities, goals, techniques, and management and operational roles.
- A policies and procedures manual, explaining the proper procedures for use of library resources and clearly enunciating appropriate and inappropriate behavior within the libraries. This manual should be short and concise, and the section on library protection should be very prominent.
- Description of staff loss prevention responsibilities to be included in training documentation of all staff.
- Emergency procedures manuals, to be as concise as possible for quick reference in an emergency by trained staff.
- Loss prevention seminars to explain the libraries’ program and what is expected of staff.
4. Physical Inventory Program Techniques
It is not necessarily mandatory to count all materials in a physical inventory. The logical approach would be to select certain subsets of the libraries’ collections, including high-value items, high-usage items, and special collection materials. These inventories can be performed periodically and/or using "continuous inventory" methods. Damaged items and extraneous items misshelved or misplaced will also be identified and tabulated. These numbers can be extrapolated to develop loss estimates for the entire collection. Comparisons of these periodic reports will provide a continuing picture of the level of loss occurring at the various libraries and the semester-by- semester effectiveness of the loss prevention and preservation programs. Morse & Associates also developed recommendations concerning statistics and analysis of loss using loss records, replacements, and incident reports.
5. Individual Operational Recommendations
Additional recommendations concerning specific situations have been developed. Among the most important are:
- Implement a policy that will designate the number of staff members on duty at all times.
- Develop effective signage and training to communicate to all patrons the importance of maintaining and protecting the integrity and quality of the collections.
- Develop loss quantification capabilities.
- Develop a reasonable budgeting capability for the loss prevention program. Budget line items should be created for losses by primary type and for security expenditures. Continuing information on anticipated versus actual losses provides targets and performance measurement.
- Develop emergency response teams for the larger libraries.
- Review current and recommended access control policies, and modify them when necessary.
- Review the University Disaster Plan to ensure complete applicability to the libraries.
- Conduct periodic security tours.
- Consider the practicality of fire drills.
E. Technical Issues and Recommendations
Most of the technical recommendations contained in this Report address the need for physical and electronic security capabilities at each library. In addition to the description of the necessary system requirements, detailed recommendations have been developed for each library. Primary capabilities and approaches include:
- Access control improvements, using card readers, motion detectors, and magnetic switches as necessary to help ensure that only authorized persons are able to enter each library or interior area, as desired.
- Emergency buttons to provide immediate communication of emergency conditions.
- Equipment to provide nighttime protection to secure areas, including certain offices, departments, and special collections areas, utilizing motion and other detectors.
- Close-circuit television and video recording capability to influence the behavior of persons in the area and to record any improper activity.
- Potential approaches for the improvement of control over fire exits.
- Improved methods and equipment for detection of unauthorized removal of library materials.
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Last modified: August 20, 2004