SECTION 29.9. Expectations for Drafting a Collections Management Policy for Managing State-Associated Collections

(a) Acquisition of Collections.

(1) Acquisition of state associated collections is the process of acquiring a collection or historical item owned by the State of Texas through designation of a curatorial facility by the Commission. Collections or historical items usually are acquired through field work or research, donation, bequest, or purchase. Although exchange with or transfer from another curatorial facility normally is not practiced, it is not excluded. Acquisition does not imply accessioning, but is a necessary prerequisite for accessions. Acquired collections or historical items placed at a designated curatorial facility are recommended for accessioning through the process governed by the written Collections Management Policy of the curatorial facility.

(2) Responsibility for the physical safety of the collection or historical item begins with acquisition. While the Commission has oversight, physical safety responsibility is delegated to the permittee during recovery and analysis of permitted collections, and the designated curatorial facility upon receiving a state-associated collection.

(b) Accessions.

(1) Accessioning by the curatorial facility is the procedure that registers state-associated collections as held-in-trust for the State of Texas at the designated curatorial facility.

(A) Title will remain with the State and under the custody of the Commission.

(B) The curatorial facility will execute a held-in-trust agreement for each state-associated collection and forward it to the Commission. Stewardship and held-in-trust status are conferred when the Commission receives the signed held-in-trust agreement.

(C) State-associated collections placed at designated curatorial facilities are not incorporated into the holdings of a designated curatorial facility until they are accessioned by that institution.

(D) Upon accessioning of state-associated collections placed at the curatorial facility, the facility assumes the obligation of proper daily management and protection of those collections. The Commission retains oversight of the placed state-associated collections.

(E) Accessioning provides an inventory of collections and historical items owned by the State of Texas under the authority of the Commission. Accession numbers document curatorial facility stewardship and are an inventory control device.

(2) For collections or historical items placed at a designated curatorial facility, the following requirements apply:

(A) All collections or historical items will be accessioned and accessioned in a timely manner by the designated curatorial facility. Stewardship but not ownership is transferred to the designated curatorial facility.

(B) The curatorial facility will use a consistent accession system that readily identifies or distinguishes an accession of that curatorial facility from accessions of other curatorial facilities holding state-associated collections.

(C) A signed held-in-trust agreement must be executed for each accession with copies retained by the Commission and designated curatorial facility. Each held-in-trust agreement is accompanied by an accessions inventory.

(D) Accession records must be maintained by the designated curatorial facility, including the copy of the signed held-in-trust agreement, accessions inventory, and as appropriate, the housing agreement between the curatorial facility and cultural resource management firm or researcher for permitted collections.

(E) Copies of correspondence and transactions involving state-associated collections donated to or purchased by the Commission will be provided to the designated curatorial facility as part of their accession records.

(c) Deaccession.

(1) The decision to deaccession state-associated held-in-trust objects or collections is ultimately the responsibility of the Commission. Deaccessioning may affect a range of objects from a single object to an entire collection. The curatorial facility will deaccession state-associated collections only in accordance with Commission requirements.

(2) If deaccessioning is for the purpose of transfer or exchange, the State retains title to the object or collection. A new held-in-trust agreement will be executed between the curatorial facility and the Commission. If deaccessioning is due to theft or loss, the State will retain title to the object or collection in case it is ever recovered, but the curatorial facility will no longer be responsible for the object or collection. If deaccessioning is due to deterioration or damage beyond repair or stabilization, the State relinquishes title to the object or collection and the object or collection must be divested in a suitable manner.

(3) Authority to deal with deaccessioning of approved categories of objects and samples from state-associated held-in-trust collections is delegated to a curatorial facility certified by the Commission through an agreement between the Commission and the curatorial facility.

(A) Annual reports will be submitted to the Commission on these deaccessioning actions.

(B) If the Commission determines that the curatorial facility is not in compliance with the agreement and this chapter, the agreement may be terminated. If the agreement is terminated, the Commission will review and decide on all deaccession actions of that curatorial facility concerning state-associated held-in-trust objects and samples. A new agreement may be executed at such time as the Commission determines that the curatorial facility has come into compliance with this chapter. During the period the agreement is terminated, the curatorial facility may not accept new state-associated collections.

(4) Curatorial facilities not certified by the Commission shall submit written deaccession requests of objects and samples from held-in-trust collections to the Commission.

(5) Requests to deaccession a state-associated collection in its entirety must be submitted to the Commission.

(6) Under no circumstances will state-associated collections be deaccessioned through sale.

(d) Inventory.

(1) Purpose of inventories.

(A) An inventory is an important practice for the curatorial facility.

(B) Inventories will be conducted to provide a measure of accountability.

(C) An inventory updates collection records and documentation; gives the opportunity to check the condition of the collections; and aids in maintaining the security of the collections.

(D) Inventories allow the curatorial facilities to examine, evaluate, and provide appropriate conditions for the state-associated collections.

(E) The curatorial facility fulfills, in part, its legal and ethical responsibilities by conducting inventories that account for the objects, samples, documentation, or historical items within state-associated collections.

(2) Inventories by a Curatorial Facility. For collections or historical items placed at a designated curatorial facility, the following requirements apply. Inventories for state-associated collections include the following:

(A) An accessions inventory is conducted at the time of accessioning when a collection or historical item is placed at the designated curatorial facility. This baseline inventory is comprised of the categories represented in the collection, quantities, and linear feet of documentation as appropriate.

(B) A spot-check inventory is conducted to monitor collection activity, check the accuracy of records, and assess the condition of the most valuable or significant material in a collection. This type of inventory should be conducted on a periodic basis according to the collections management policy of the designated curatorial facility.

(C) A relocation inventory is conducted at any time an object, collection, or historical item experiences movement. This movement may occur in the form of incoming or outgoing loans, in-house research, exhibit installation, conservation, or deaccessions.

(3) The Director of the curatorial facility is responsible for maintaining the inventory of the state-associated held-in-trust collections and for seeing that appropriate and timely inventories are conducted. The types and frequency of inventories must be outlined in the curatorial facility's collections management policy. Accessions inventories must be conducted and included as part of the held-in-trust agreement. A relocation inventory must be conducted and included as part of the loan agreement of state-associated held-in-trust collections. Spot check inventory must be conducted as a part of collection management activities. Other types of inventories should be conducted to provide tracking and security information as necessary.

(4) An accurate listing of all state associated held-in-trust collections and the sites they represent, must be conducted and updated and a copy sent to the Commission.

(5) Authority to deal with missing and stolen objects, samples, documentation, and historical items of approved categories from state-associated collections is delegated to a curatorial facility certified by the Commission through an agreement between the Commission and the curatorial facility.

(A) Annual reports will be submitted to the Commission on these inventory and security actions. Suspected stolen material must be reported to appropriate law enforcement agencies with notification to other curatorial facilities and appropriate organizations.

(B) If the Commission determines that the curatorial facility is not in compliance with the agreement and this chapter, the agreement may be terminated. A new agreement may be executed at such time as the Commission determines that the curatorial facility has come into compliance with this chapter. During the period the agreement is terminated, the curatorial facility may not accept new state-associated collections.

(6) Curatorial facilities not certified by the Commission shall submit a written plan for conducting an inventory of state-associated held-in-trust collections.

(7) Missing or stolen objects, samples, documentation, and historical items from state-associated held-in-trust collections must be reported to the Commission in writing immediately upon discovery with a determination of whether misplaced or stolen. Suspected stolen material must be reported to appropriate law enforcement agencies with notification to curatorial facilities and appropriate organizations.

(e) Loans.

(1) For collections or historical items placed at a certified curatorial facility, the following requirements apply:

(A) Decisions regarding the loan of state-associated collections are the legal responsibility of the Commission but the responsibility for the loan is delegated to the curatorial facility.

(B) The Director of the curatorial facility is responsible for all loan transactions of state-associated collections and for assuring that appropriate and timely administration of loans is conducted. Relocation inventories must be conducted and included as part of the written loan agreement. Other loan conditions must be addressed in the Collections Management Policy of the curatorial facility.

(C) Authority to deal with loans of state-associated collections is delegated to a curatorial facility certified by the Commission through an agreement between the Commission and the curatorial facility.

(i) Annual reports will be submitted to the Commission on these loan actions.

(ii) If the Commission determines that the curatorial facility is not in compliance with the agreement and this chapter, the agreement may be terminated. Following termination, the Commission will review and decide on all loan actions of that curatorial facility concerning state-associated held-in-trust objects and samples. A new agreement may be executed at such time as the Commission determines that the curatorial facility has come into compliance with this chapter. During the period the agreement is terminated, the curatorial facility may not accept new state-associated collections.

(D) Collections that are not accessioned and cataloged shall not be loaned. Commercial use of loaned collections is prohibited.

(2) Curatorial facilities not certified by the Commission shall submit written loan requests of objects, samples, documentation, or historical items from state-associated collections to the Commission.

(f) Destructive Loans.

(1) For collections or historical items placed at a designated curatorial facility, the following requirements apply:

(A) A written research proposal must be submitted to the curatorial facility stating research goals, specific samples or objects from a state-associated held-in-trust collection to be destroyed, and research credentials in order for the curatorial facility to determine whether the destructive analysis is warranted.

(B) Authority to deal with destructive analysis requests of approved categories of objects and samples from state-associated held-in-trust collections is delegated to a curatorial facility certified by the Commission to hold state-associated collections through a contractural agreement between the curatorial facility and the Commission.

(2) Annual reports will be submitted to the Commission on these destructive analysis actions.

(3) If the Commission determines that the curatorial facility is not in compliance with the agreement and this chapter, the agreement may be terminated. Following termination, the Commission will review and decide on all destructive analysis actions of that curatorial facility concerning state-associated held-in-trust objects and samples. A new agreement may be executed at such time as the Commission determines that the curatorial facility has come into compliance with this chapter. During the period the agreement is terminated, the curatorial facility may not accept new state-associated collections.

(4) Curatorial facilities not certified by the Commission shall submit destructive analysis requests of objects and samples from state-associated collections to the Commission.

(g) Collections Care.

(1) The well-being and safety of the state-associated collections is a management responsibility involving a continuum of obligations and actions. The central purpose is to preserve well-documented and well-maintained state-associated collections for the benefit of the people of Texas and future generations.

(2) Basic collections care involves the following:

(A) archival-quality storage equipment and conditions;

(B) routine preventive maintenance;

(C) preventive conservation; and

(D) appropriate handling and moving of the objects, samples, documentation, and historical items.

(3) The goal of collections care is to limit further deterioration of the state-associated collections due to environmental, human, and inherent factors.

(4) The curatorial facility will address the needs of the variety of materials and sizes within the collections within the available resources of the curatorial facility.

(5) Archival-quality packaging, padding, and housing units within a sound, environmentally-controlled storage area form the foundation for collections stability and long term care and will be used to the extent possible. Appropriate environmental conditions are maintained and monitored in storage areas. Light levels are monitored and kept low. Integrated pest management is employed to prevent the intrusion of insects and vermin into the collection space and eliminate the need for chemicals harmful to the state-associated collections and people.

(6) Careful and appropriate handling and moving of objects, samples, documentation, and historical items minimizes the risk to the collections and ensures their longevity in the designated curatorial facilities and continued benefit for the people and State of Texas.

(7) The curatorial facility's ability to serve its various constituencies in regards to state-associated collections is dependent on the quality and accuracy of available information. An integrated record-keeping system is critical to documentary control of state-associated collections. Records must be maintained on all transactions and collections-related activities involving state-associated collections. Records document the legal status of state-associated collections within the curatorial facility or while on loan and document the movement and care of the objects, samples, documentation, or historical items under the control of the curatorial facility. All state-associated collections will be cataloged.

(8) Records should be made in a timely fashion; housed in secure locations; provide for easy retrieval of information on and location of an object, sample, documentation, or historical item; and be preserved by proper handling and storage. A duplicate copy of appropriate records should be made and stored at a location other than the curatorial facility, as a security precaution.

(9) Insurance is integral to the protection of state-associated collections but is supplemental to sound collection management and risk management practices. Governmental entities that are self insured, may request a waiver from the insurance requirements under this chapter. An insurance waiver does not waive a governmental entity's liability.

(10) All-risk insurance is required on all out-going loans of state-associated collections and normally is provided by the borrowing institution. The curatorial facility must provide the Commission with evidence of a policy of insurance in force for the duration of the loan from an insurance company licensed to do business in Texas and/or the location where the collection will be held during the period of the loan, for all risks and in an amount appropriate to the value of the collection.

(11) The curatorial facility will cooperate fully with the Commission in its efforts to monitor the state-associated collections.

(h) Conservation.

(1) Decisions regarding the conservation of state-associated collections are the legal responsibility of the Commission.

(2) Even under the best-managed conditions, deterioration or damage may occur to state-associated collection objects, documentation, and historical items. Conservation is a continuing responsibility and is focused on the object, documentation, or historical item. Conservation is an intervention measure designed to return a deteriorated or damaged object, documentation, or historical item to stability through reversible and minimally intrusive methods.

(3) The curatorial facility must adopt the conservation philosophy of minimal chemical and physical trauma to the object, documentation, or historical item, use of sympathetic materials, the principle of reversibility, and the keeping of complete and accurate records of the conservation process. Conservation survey and monitoring of object, documentation, or historical item condition shall be part of the curatorial facility's management plan for state-associated collections.

(4) Conservation work is to be undertaken within national ethics, principles, and practices by reputable, trained conservators. No work shall commence without Commission approval of the written treatment plan. Objects, documentation, or historical items are not to be treated as experimental pieces in conservation work without written Commission approval. Conservation work with an outside conservator must be conducted under a well-defined, comprehensive agreement with the Commission as a party to the agreement.

(5) Conservation by a designated curatorial facility. For collections or historical items placed at a designated curatorial facility, the following requirements apply:

(A) Authority to deal with the conservation of approved categories of objects, documentation, and historical items from state-associated held-in-trust collections is delegated to a curatorial facility certified by the Commission to hold state-associated collections through a contractual agreement between the curatorial facility and the Commission.

(i) Annual reports will be submitted to the Commission on these conservation actions.

(ii) If the Commission determines that the curatorial facility is not in compliance with the agreement and this chapter, the agreement may be terminated. Following termination, the Commission will review and decide on all conservation actions of that curatorial facility concerning state-associated held-in-trust objects, documentation, and historical items. A new agreement may be executed at such time as the Commission determines that the curatorial facility has come into compliance with this chapter. During the period the agreement is terminated, the curatorial facility may not accept new state-associated collections.

(B) Curatorial facilities not certified by the Commission shall submit written conservation requests for objects, documentation, and historical items from state-associated collections to the Commission.

(C) It is the responsibility of the curatorial facility to monitor the conservation process whether conducted in-house or on loan to an outside conservator, to assure the correct use and safety of the object, documentation, or historical item, and to note the returned stabilized materials in the records.

(i) Collections Access.

(1) The security and safety of state-associated collections is of utmost importance. Controlled access to state-associated collections by employees, researchers, and the public limits the opportunities for theft and destruction to objects, samples, documentation, and historical items. Strict collections access aids in the control of human traffic in storage areas. Storage areas should be in locked, secured locations with restricted access and controlled entry. State-associated collections are not open to the general public on a walk-in basis. The information on the location and nature of archaeological sites on land or under waters belonging to the State of Texas or any political subdivision of the State is not available to the general public.

(2) Research on state-associated collections is for the benefit of the people of Texas and the discipline to which the research is related. Requests for access to state-associated collections should go to the curatorial facility. Research access should be controlled, with research conducted under an approved research design. Access may be denied based on endangerment to the state-associated collection or objects, samples, documentation, or historical items or their unavailability due to not being accessioned or cataloged, out on loan, or inadequate research design. Access may be denied or limited on state-associated collections for a period of time after placement in a curatorial facility.

Source Note: The provisions of this §29.9 adopted to be effective November 18, 2003, 28 TexReg 10203; amended to be effective February 21, 2007, 32 TexReg 620; amended to be effective February 21, 2013, 38 TexReg 823