Collection Management Policy
Revised Draft, March 15, 2009 View/Print this document as a pdf.
INTRODUCTION back to top
Mission Statement back to top
The Center of Southwest Studies at Fort Lewis College connects individuals and communities with opportunities to explore, study, and experience the Southwest's dynamic heritage.
The Center of Southwest Studies (hereafter referred to as "the Center"), a program of Fort Lewis College (Hereafter referred to as "the College"), collects artifacts, documents and other items that illustrate the natural and cultural heritage of the Greater Southwest from prehistoric through contemporary times. The collection supports the Center’s mission through its use in interpretive and educational exhibits, programs, and research opportunities to promote a better understanding of the dynamic environment and heritage of the Southwest.
Collections Management Policy for Permanent Collections and Collections Loans back to top
This Collections Management Policy establishes the policies and procedures that govern acquisition, care, management, preservation, use, and disposition of the Center’s collections. The Center holds collections for the College and the Fort Lewis College Foundation (hereafter referred to as "the Foundation") through several distinct processes. These include a Deed of Gift process that transfer ownership from an outside donor to the College Foundation or College, an interdepartmental transfer, and purchase. Collections held by the Center for the College or Foundation is recorded in the Center’s comprehensive collections database, Center archives, and records of the College and Foundation.
Other collections held by the College are not subject to this policy, except under circumstances where other collections may be formally placed in the care or custody of the Center through a loan process or curation agreement. In the case of a loan or curation agreement, the terms of the individual agreement will indicate which provisions of this policy may or may not apply for the duration of the specified loan or curation agreement.
This Collections Management Policy supersedes the Center’s Special Collections Policy, which also governed College Records. The Management of College records held by the Center will be covered by the Center’s College Records Management Policy.
This policy also defines the ethical guidelines that govern all staff, trustees, and volunteers in any activity relating to the Center’s collections and programs. To ensure currency and conformity with professional Center standards, this policy will be reviewed every five years, and will be revised as needed to reflect changes within the Center or in policies and standards of the profession.
ACQUISITIONS AND ACCESSIONING back to top
Permanent collections or collections items are often referred to as "acquisitions" or as having been "accessioned" into the Center’s collections. The term "item" is used as a generic reference to individual artifacts, documents, images, books, etc.
The Center subscribes to a policy of selective acquisition. The significant costs of cataloging, storing, and preserving collections or collections items require that the Center be judicious in acquiring items. Each potential acquisition is evaluated with care, taking into consideration its value to the collection as well as its probable impact on the Center’s resources.
Criteria for Acquisition back to top
Acquisition to the Center’s permanent collections, whether by purchase, donation, or other means, shall be in accordance with the following guidelines:
• Items must be relevant to and consistent with the Center’s mission.
• All items must have cultural, historic, scientific, research, interpretive or aesthetic value.
• All moral, legal, and ethical implications of the acquisition must be considered.
• The Center will not knowingly or willfully acquire items that have been collected contrary to international, national, state, or local laws and regulations, treaties, and/or international conventions.
• When items of cultural or spiritual significance to ethnic groups or religious communities are considered for acquisition, the Center will make informed judgments as to appropriateness for acquisition, with sensitivity to subsequent care and/or exhibition of such items.
• The Center will comply with and support the tenets of NAGPRA, the federal Native American Graves Protection and Repatriation Act, and will work in concert with the College NAGPRA committee to improve its ability to provide tribes with pertinent information about its NAGPRA and NAGPRA related collections.
• The Center does not accept or collect human remains.
• The Center will draw on the expertise of other individuals for the evaluation of potential acquisitions when items fall outside the expertise of Center collections staff.
• Whenever possible, items will be documented or documentable, including, but not limited to, provenance, artist/maker, date, use, and intellectual property rights (copyright, trademark, etc.). The appropriate collections staff must ascertain whether such intellectual property rights limit the use of an object.
• The Center does not guarantee the exhibition of any item.
• All donated items are accepted as free and unrestricted gifts, to be used at the Center’s discretion. Exceptions to this policy must be approved by the Center Director.
• The Center must be capable of providing for the storage, protection, and preservation of items under conditions that ensure access and meet professional Center standards.
• No item will be collected which constitutes a potential hazard to personnel, environment, facilities, or collections.
• No judgments as to appraisal or valuation of donations or potential donations will be provided by the Center other than for internal use.
• Accessioned items will have permanency in the collections as long as they retain their physical integrity, identity and authenticity, and remain consistent with the Center’s purpose. (See also DEACCESSIONING section.)
Permanent Collections Acquisitions Procedure
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Authority
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A Collections Committee appointed by the Center Director will govern all acquisitions and deaccessions (see also section on DEACCESSIONING) of the Center. This committee will be comprised of the Center’s professional collections staff (Center Director, Curator, Archives Manager, Librarian), Board Chair, Foundation Director, and at least four at-large members selected by the Center Director.
The Committee will be convened or consulted at the discretion of the Director to address potential acquisitions of high monetary value or impact, or involving other significant implications.
For practical purposes, collections staff may accept items on behalf of the Center and Collections Committee, in accordance with acquisition criteria.
Categories of Acquisition
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Acquisition by Purchase
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Purchase of items for the collections must be pre-approved by the Director if the value exceeds $500.00; and additionally by the Collections Committee if the value exceeds $5,000, and additionally by the Center’s Board if the value exceeds $10,000. Exceptions to this purchase approval process, except over the $5,000 level, are purchases made from pre-defined acquisition accounts set up specifically for collections purchases, such as the Durango Collection endowment fund. These acquisition accounts may be subject to other collections acquisitions guidelines.
For collections or items acquired by purchase, the purchase order or receipt will serve as the initial permanent record of acquisition. The purchase transaction will be recorded as an accession by purchase in the Center’s Collection’s Management database.
Acquisition by Transfer (Only for College or Foundation acquisitions)
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Collections or collections items may be acquired by transfer from other College departments, programs or entities, or the Foundation. The transfer must be documented by a written acknowledgement from appropriate Center staff to the relevant College or Foundation personnel, agreeing to accept the item or items into the permanent collections. Examples of items typically transferred from other College entities are band and sport uniforms of the College, trophies, awards, posters and signage.
Should the transfer be intended for a finite period only, this activity is not considered "acquisition", and would fall under "loans" (See also LOANS section).
College Records are not part of the Center’s permanent collections and therefore not subject to the conditions of the Center’s Collections Management Policy, but managed under a separate College Records Management Policy which provides guidelines and procedures for College Records acquisitions, transfers and disposition.
Acquisition by Donation
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Acquisitions by donation may be from one or more individuals, organizations or other entities outside the College or Foundation.
• All donated items must be accompanied by a signed Deed of Gift Form, which transfers legal title to the Foundation. The donor signature on this document serves as assurance that the donor owns the collection or collections item, or has legal authority to act on behalf of the owner, and has clear title to the property being conveyed.
• The Deed of Gift Form acknowledges the transfer of ownership to the Center as of the date that both the donor and Center staff have signed the document, regardless of which entity signed first.
Any "transfers" from individuals or institutions outside the College or Foundation shall be subject to the process for acquisitions by donation and the Deed of Gift process, rather than the Donation by Transfer process. This clarification is made because many deaccession policies indicate that institutions may "transfer" items to another institution. This "transfer" process from entities outside of the College or Foundation must still follow the Acquisition by Donation process.
Processing Acquisitions
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Detailed procedures for processing collections are also referred to in other Center collections policies and procedures. Only general guidelines are indicated here.
Donated items
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• For items acquired by donation, the appropriate collections staff member will complete a Deed of Gift Form. This establishes an immediate record of the acquisition and provides the information necessary for completion of the acquisition process. The Deed of Gift will include a list the donated items(s) and be signed by the donor or personal representative of the donor and the appropriate collections staff.
• The Deed of Gift will then be forwarded by the appropriate collections staff to the Fort Lewis College Foundation for their additional signature. The Deed represents transfer of clear, legal, and unrestricted title to the donated items.
• The donor will receive a copy of the Deed at the time of the transaction or as soon thereafter as possible; the Foundation maintains the processes for formally acknowledging the gift on behalf of the College, and for assisting the donor with additional paperwork that may be required by the IRS.
General guidelines for processing permanent collections
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• Acquisitions designated for the Center permanent collections will be promptly accessioned, i.e., a permanent record created immediately upon receipt of an object, and an accession number assigned by the appropriate collections staff or designee and attached to the collection or collections items. The accession record will include the accession number, date and nature of acquisition (e.g., donation, purchase), source, and a brief identification and description.
• Acquisitions designated for the Center permanent collections will be catalogued, photographed, processed for intake, cleaned and/or conserved as necessary, and prepared for storage or exhibition in accordance with current professional standards, and within a reasonable timeframe, as Center resources allow.
• Professional staff will provide documentation regarding provenance and other relevant object history to the record file as is known, identified, or made available.
• A permanent record of all collection items will be maintained by professional staff, initially through entry into the Center’s collections management database when appropriate, or into the central library catalog. The record will document method of acquisition and provide description, object information and current location. Auxiliary information, such as appraisal or research notes, will also be maintained as part of this permanent record.
• A permanent collections file will be maintained by appropriate collections staff. Copies of all original and pertinent legal documentation, as well as related notes and correspondence, will be kept in these files. Original Deeds of Gift will be stored in a secure and fireproof location by the Foundation.
• The Center will not be held accountable for unsolicited gifts that have not undergone this procedure.
CARE OF COLLECTIONS
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It is the responsibility of the Center to protect and preserve the integrity of the items in its collections. The goal of the collections care program is to ensure that items are stored, handled, used, and exhibited in such a way that the long-term preservation of the items is not compromised, and that items are cared for according to current professional Center standards.
Professional collections staff (Director, Curator, Archives Manager, Librarian) is responsible for overseeing the care of collections, including the care of Center items on loan to other institutions, as well as the care of items on loan to the Center. The professional collections staff develops and implements policies and procedures which provide guidelines for the care, management and preservation of the collections. Professional collections staff will maintain current knowledge regarding standards and developments in the field of collection care, management and preservation.
Preventative conservation, where by preservation goals are advanced through the control of the item’s environment, including maintaining appropriate temperature and relative humidity, limiting light exposure and facilitating archival storage, is preferred to actual conservation treatment. When treatment is necessary, the goal is to preserve the object through the least intrusive means practicable. In all cases, professional staff will maintain respect for the integrity of the object, the history of the object, and the reversibility of the treatment.
The Center recognizes a special responsibility as steward of items related to or created by indigenous peoples. As a result of consultation with tribal representatives and others, the Center may develop special procedures for these collections to address cultural concerns for care of the items.
The Center is committed to integrated pest management methods of pest control. Professional staff will work with the Physical Plant staff to coordinate and implement the Center’s integrated pest management program, and to maintain the security of collection environments.
USE OF COLLECTIONS
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Internal Use of Collections
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Items from the collections may be used for exhibition, interpretation, research, and education. The appropriate collections staff will determine suitability of an item for use, dependent on condition of the object, availability of like objects, significance of the particular object, inherent risk to the object, or other concerns that may affect the preservation of a specific item. Permanent collection items may not be exhibited in individual offices or other non-public spaces, or used as long-term “decorative” features.
Access to Collections
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The Center makes its collections available for research, exhibition, education, publication, and other appropriate purposes in concert with its mission. The type and conditions of such use must be consistent with the Center’s responsibility for care and preservation of its collections, and may be contingent on staff availability. The appropriate collections staff facilitates access to collections. The primary considerations for access are condition and significance of the object(s) and availability of other sources for information such as duplicates, photographs, and written descriptions.
Guidelines for the Use of Collections
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To provide maximum access to the collections while maintaining appropriate security and preservation standards, the following general procedures govern access. Additional forms, procedures and policies developed by the Center provide additional guidelines for the use of collections.
Physical Access to Collections
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• A request for access form must be completed in advance and submitted to the appropriate collections staff (Director, Curator, Archives Manager, Librarian).
• The appropriate collections staff determines extent of access and supervision.
• Appropriate collections staff will advise proper use and handling of items, and provide appropriate supervision.
• Access may be revoked for the safety of collections; users may be liable for damage.
• Access to certain types of items (e.g. culturally sensitive or student-related), and certain types of information (e.g. donor files, values, and locations) may be restricted based on specific circumstances and criteria, such as legal restrictions on the distribution of student information, confidentiality issues or protection of the collections.
• The appropriate collections staff maintains record of all collections use.
Public Display and Publication
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• Access to and use of the collections and records must be credited in all publications, exhibitions, and other presentations.
• The Center will be given a copy of any publications or other products of research, which result from access to collections, and this will be a condition of use.
• No commercial or promotional use of the Center’s permanent collections, or information or images resulting from their examination, will be allowed unless specific approval in writing is granted by the appropriate collections staff and the Director.
Photography
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• Photography of items on exhibit is permitted for personal use, using hand-held camera with no flash. Use of tripods, flash, or other specialized equipment requires approval from the appropriate collections staff and a written record of such activity.
• Photography of items not on exhibit requires filing a Request for Access form in advance, and approval and supervision from the appropriate collections staff.
Publication/Copyright
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• Publication or broadcast of an item from the Center’s collections requires written permission from the Director and the appropriate collections staff. This permission is required whether or not the Center is the copyright holder. Permission also may be required from the copyright holder.
Reproduction/Commercial Use
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• The appropriate collections staff and the Director must approve reproduction/replication of items in the collection.
• A reproduction fee is charged for commercial use.
• In arranging for the manufacture and sale of replicas, reproductions, or other commercial items adapted from an object in the Center’s collections, all aspects of the endeavor must be carried out in a manner that is respectful of the original object, and that maintains the integrity of the Center. Oversight must be provided which ensures the accuracy and high quality of the product.
• Any reproduction or replication must be clearly and permanently marked as such.
Fees
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• Access and use of collections may involve fees.
• Fees will be based on staff time and any associated costs for photocopying, reproduction, etc.
• The appropriate collections staff will maintain a current fee schedule.
DEACCESSIONING
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Deaccession, the permanent removal of an object from the collections, is a process that must be undertaken with caution, deliberation, and discretion. The primary purpose of deaccessioning is advancement of the quality and preservation of the collections; any funds generated by deaccessioning are used only for acquisition or direct care of the collections.
Deaccession for repatriation involves considerations unique to that issue and should be addressed through a College NAGPRA Policy.
Criteria for Deaccessioning
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For an object to be considered for deaccession, one or more of the following criteria must be met:
1) The object is not relevant and useful to the objectives and mission of the Center.
2) The object cannot be properly stored, preserved, or used.
3) The object is deteriorated beyond any useful function for exhibition, research, study, or other purpose.
4) The object is unnecessarily duplicated in the collections.
5) Exhibition or use of the object is highly unlikely in the foreseeable future.
6) Transfer of the object to another institution is clearly more appropriate and in the public interest than its retention by the Center.
7) The object is determined to be inappropriate for the permanent collection based on period, place, authenticity, or risk to personnel or collections.
Center staff should also consider ethical implications of a deaccession, and whether there may be sensitive personal, community, or cultural associations with an object.
An object may be deaccessioned and reprocessed as an exhibit prop or educational material if it is determined to be duplicative, deteriorated such that repair would compromise its authenticity, or otherwise inappropriate for the permanent collections.
An object may be deaccessioned and returned to its previous owner upon request, if the object meets one or more of the criteria for deaccession. The Center Director must approve such disposition.
Deaccession Procedure
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The appropriate collections staff may initiate the procedure to deaccession by preparing a recommendation for deaccessioning which includes the following information:
1) Date and circumstances of acquisition
2) Source
3) History of exhibition and use of the object by the Center
4) Reason for deaccessioning
5) Any special conditions or restrictions affecting the accessioning or deaccessioning of the object
6) Current market value or replacement cost of object
7) Proposed method of disposition
Deaccessions of items due to damage or deterioration beyond any useful function, with a value under $25.00 can proceed at the discretion of the appropriate collections staff with written approval from the Center Director.
All other deaccessions will be referred for approval or denial to members of the Collections Committee, and, if necessary, may be referred to the Board and Foundation, or to other expert parties in regards to the specific item or items.
Any items in the permanent collections that were transferred from another College entity will also require a notice of “intent to deaccession” sent to the originating department or its current equivalent, for additional review and advisement.
Consensus of all signatories is required for the deaccession to proceed.
A complete record of all deaccessions, including disposition and date, will be maintained as part of permanent collections records.
Disposal
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When disposing of deaccessioned items, the Center must balance the interests of the Center, the public it serves, the public trust it represents in maintaining the collections, the donor’s intentions in the broadest sense, and the scholarly or cultural communities of which the Center is a part.
• Sale to, or exchange with, another non-profit institution is the preferred method of disposal. Where such sale or exchange is not feasible, or where an overriding financial interest of the Center exists, disposal through public auction is acceptable.
• If an object is irreparably damaged, the appropriate method of disposal may be destruction. Two Center staff or one staff member and an additional designee should witness destruction.
• Deaccessioned items may not be acquired by a board member, staff member, or volunteer.
• The proposed method of disposal is submitted as part of the proposal to deaccession, and routed for approval as outlined above. Final disposition is documented in an object’s permanent collection record.
LOANS
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The Center’s loan policy is designed to support a philosophy of accessibility to collections. The Center may borrow from or lend to institutions or similar educational non-profit organizations for purposes of exhibition, education, or research. The purpose of any loan must be consistent with the mission and goals of the Center.
The Center recognizes special ethical obligations toward communities or cultural groups from which items have been acquired, and will make every reasonable effort to honor loan requests from these entities.
Outgoing Loans (Loans from the Center)
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Requests for outgoing loans from the collections must be in writing and must be approved by the appropriate collections staff. Requests will be considered on a case-by-case basis and approval is contingent on considerations such as the condition and conservation needs of the items requested the exhibit or program plans of the Center, and staff time available for processing loan requests.
The following criteria apply to all outgoing loans from the collections of the Center:
• Loans are made only to qualified educational, or research institutions with purposes and objectives similar or related to those of the Center. Loans are not made to individuals. The Director must approve any exceptions to this policy.
• The borrower must demonstrate intention and ability to provide appropriate standards of care in handling, exhibition, security, storage, and transportation. The Center may require completion of a facilities report prior to approval of a loan request.
• The items must be able to withstand the stress of packing, transport, handling, exhibition, and fluctuations in environmental conditions.
• The loan will be for a specified period of time, dependent on the purpose of the loan, but usually for not more than one year. Loan agreements may be reviewed for renewal annually. The Center may request return of an object prior to expiration of the loan agreement; the Center will make every effort to provide reasonable advance notice, and provide assistance in securing a substitute object.
• Items must not be repaired, cleaned, treated, or otherwise altered without the advance written permission of the Center. In an emergency, telephone contact must be made for verbal approval, followed by written permission.
• The borrower will complete a written condition report upon receipt of items, and upon preparation of items for return.
• Damages, whether in transit or on the borrower’s premises, and regardless of who may be responsible, will be reported to the Center immediately. No action is to be undertaken to correct the damage without the Center’s approval.
• The appropriate collections staff and the borrower must sign all loans. A completed Loan Agreement form must be in the possession of the Center before any physical transfer of items may occur.
• The borrower will insure items at the value specified by the Center, to be in effect from the time that the items leave the Center until they are returned. In the case of traveling exhibits, responsibility for insurance coverage will be specified as part of the exhibit contract. A certificate of insurance is required for completion of the Loan Agreement.
• The borrower must agree to follow any guidelines or specific instructions for exhibition of an object provided by the Center.
• When on display, loaned items must be identified with an approved credit line, provided by the Center. Modifications must be approved by the Center.
• Loaned items cannot by transferred to a third party without written consent from the Center. Such transfer will require a new loan agreement between the Center and the third party.
• Material belonging to the Center will not be reproduced in any manner without written permission from the Center.
• Loaned items must be packed and returned in the same manner as received. Any changes in method or materials must be authorized in advance. Borrowers may be billed for the cost of packing materials if items are returned in other than the original container.
• The borrower agrees to pay costs associated with preparing and executing the loan. Such costs will be specifically identified and may include appraisal, conservation, couriering, exhibit preparation, packing, and shipping. An estimate of such costs may be sent to the borrower prior to loan approval. Under certain circumstances, some fees may be waived, upon approval of the Director.
• Additions or deletions to a loan agreement by either the Center or the borrower must be written and agreed to by both parties.
• The Center will not accept indefinite or "permanent" loans. Loans will be for a specified purpose for a specified period of time.
• Prior to receipt of a loan, a Loan Agreement Form will be completed and signed by the lender and the appropriate collections staff, identifying the items and specifying the purpose and the time period of the loan. A loan agreement may be renewed with the approval of both parties.
Incoming Loans (Loans to the Center)
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The Center may request the loan of a specific item or items from an individual, other institution or other entity for the purpose of exhibit, interpretation, identification, evaluation for accession, replication, study or research, or other purpose in concert with the Center’s mission.
Curatorial Agreements
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The Center may also enter into Curatorial Agreements with other entities, either internal or external to the College in order to place collections or collections items on loan to the Center to the benefit of one or both parties. The items residing with the Center and managed through these Curatorial Agreements will retain the status of loans to the Center.
The following conditions apply to all incoming loans to the Center, except in the case of written, negotiated Curatorial Agreements whose terms may supersede those given here as general guidelines:
• The Center will not repair, clean, treat, or otherwise alter loaned items without express permission of the lender.
• The Center will not transfer possession of items it has received on loan without express written permission of the lender.
• Loan items will not be reproduced in any manner without express permission of the owner of the original material.
• The Center will insure incoming loans for exhibit, research and risk management purposes. The Center will not insure loans left for consideration for accession or for identification, unless the lender specifically requests such coverage or the Center activates such coverage.
• In case of change of ownership during the specified loan period, legal title must be established and a new loan agreement signed within one year with the new owner.
• The Center will release loaned material upon reasonable notice (60 days) from the lender.
• The Center reserves the right to give reasonable notice to the owner that it desires to return a loaned object. Failure to withdraw the loan may result in the object being returned to the owner, stored at owner’s risk without insurance coverage, or disposed of.
• Unclaimed loans are handled according to relevant state law. The Center may initiate a claim of ownership by giving a prescribed notice to a lender. If the lender takes no action within seven years the property is deemed a donation to the institution.
• The Center does not accept unsolicited loans; loans which are unaccompanied by information identifying the owner and which are not retrieved after a reasonable length of time may be disposed of or treated as a donation.
Appendix: COLLECTIONS DESIGNATIONS AND DEFINITIONS
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This Collections Management Policy governs activities associated with artifacts, documents and other items acquired into the permanent collections of the Center. Select terms and categories are defined below to distinguish the permanent collections, whose items undergo a designated acquisition/accession process, from other non-permanent (non-accessioned) collections that may reside at the Center and are governed by other policies and/or procedures.
Permanent collections or collections items are often referred to as "acquisitions" or as having been "accessioned" into the Center’s collections. The term "item" is used as a generic reference to individual artifacts, documents, images, books, etc.
Accession: This term refers to the procedure used to establish a collection or collections item into the Center’s permanent collections.
Educational/"hands-on" material: These items may relate to or complement permanent collections. They may be used in public programs, and are considered expendable and are not accessioned. Although items in these categories are expected to eventually deteriorate, Center staff and designee using them make every effort to ensure that the items are properly respected, used effectively, and stored securely. For management and tracking purposes, reproductions may be inventoried in the collections database or other records, but are not accessioned into the permanent collections.
Items for development purposes: These items may be acquired specifically to support operations, collections, and programs of the Center, such as items solicited for silent auction or other fundraising purposes. Approval to acquire such items is granted by the Director; and acquired with a donor’s consent for use for development purposes. For management and tracking purposes, reproductions may be inventoried in the collections database or other records, but are not accessioned into the permanent collections.
Permanent collections: The collective groups of items that have met the criteria for acquisition specified in this policy, and have been formally added to the Center’s holdings. The permanent collections of the Center include but are not limited to historical, archaeological, ethnological, and cultural artifacts; works of art; archival material such as books, documents, images and electronic files; and biological, botanical, and geological specimens relevant to interpreting the cultural and natural heritage of the region, as defined in the Center’s mission.
Props: These items may be acquired specifically for interpretive value or exhibit enhancement. Items in this category are usually common and readily available on the market; may be duplicative of existing collections, may have no regional connection, may have no associated documentation, may be incomplete, may be in a degraded or unstable state or may be fabricated specifically for exhibit or other interpretive purposes. For management and tracking purposes, exhibit props may be inventoried in the collections database or other records, but are not accessioned into the permanent collections.
Reproductions: Reproductions (facsimiles of original items) may be held by the Center when an original item needed for exhibit or interpretation is not part of the collection and original or period pieces are not obtainable, or to protect original pieces (to represent the original on exhibit, while preserving the historic object). Reproductions or other substitutes are used rather than original artifacts whenever possible in high risk exhibit displays. For management and tracking purposes, reproductions may be inventoried in the collections database or other records, but are not accessioned into the permanent collections.
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