13 TAC §§29.2 - 29.4, 29.6 - 29.9
The Texas Historical Commission (hereafter referred to as
the Commission) proposes amendments to §29.2 and new §§29.3,
29.4, and 29.6 - 29.9, relating to the management and care of artifacts collected
under the jurisdiction of Texas Government Code Chapter 442 and the Antiquities
Code of Texas (Title 9, Chapter 191, of the Texas Natural Resources Code).
These amendments and new sections are needed in a continuing effort by
the Commission to assist and encourage curatorial facilities to upgrade their
care of state associated collections that are gathered under the jurisdiction
of the Antiquities Code of Texas.
F. Lawerence Oaks, Executive Director, has determined that for the first
five-year period the rules are in effect, there may be fiscal implications
for state and local governments as a result of administering these rules.
Curatorial facilities that voluntarily choose to become certified may have
additional costs for curating state-associated collections. These costs would
likely be passed on to state and local governmental entities required to curate
collections at certified facilities. Due to the fact that certification is
a voluntary process and any additional costs would be subject to the discretion
of the individual curatorial facility, it is not possible to estimate the
exact costs.
Mr. Oaks has also determined that for each year of the first five-year
period the rules are in effect the public benefit anticipated as a result
of the implementation of these rules will be improved inventory and accountability
for state-owned collections, better care for artifacts, and increased security
for collections. There may be economic effects on small businesses or micro-businesses,
and members of the public who are required to comply with the rules as proposed,
but these costs cannot be estimated.
Comments on the proposal may be submitted to F. Lawerence Oaks, Executive
Director, Texas Historical Commission, P. O. Box 12276, Austin, Texas 78711.
Comments will be accepted for 30 days after publication in the
Texas Register
.
These sections are proposed under both §442.005(q), Title
4 of the Texas Government Code and §191.052, Title 9, Chapter 191 of
the Texas Natural Resources Code, which provides the Commission with the authority
to promulgate rules and conditions to reasonably effect the purposes of this
chapter.
No other statutes, articles or codes are affected by these rules.
§29.2.Purpose.
The purpose of this
chapter
[
policy
] is to provide
a method to select appropriate facilities through an orderly, objective certification
process
and for the management of state held-in-trust collections that
are within the legal authority of the Commission.
§29.3.Scope.
(a)
Pursuant to Texas Natural Resources Code, Sections 191.091-092,
all antiquities found on land or under waters belonging to the State of Texas
or any political subdivision of the State belong to the State of Texas. The
Commission is charged with the administration of the Antiquities Code and
exercises the authority of the State in matters related to these state-associated
collections. Under Texas Government Code, Section 442.007(d)(7), the Commission,
through the authority of the State Archeologist, may preserve the historic
and archeological heritage of the State.
(b)
Pursuant to Texas Government Code, Section 442.0145, the
Commission has the authority to acquire historical documents, records, or
historical artifacts for the State of Texas to ensure their protection and
use by the people of Texas.
(c)
State-associated collections generally are placed in curatorial
facilities in Texas. The relationship between the Commission and the curatorial
facility is an express trust. Ownership of these collections is not transferred
but the Commission has the authority to transfer stewardship of the collections
through a held-in-trust agreement with the designated curatorial facility.
(d)
All state-associated collections held in curatorial facilities
are subject to the statutory authority of the Commission, and these rules
supercede the collections management policy of the curatorial facility to
the extent of any conflict.
§29.4.Definitions.
The following words and terms, when used in this chapter and the Antiquities
Code of Texas, shall have the following meanings unless the context clearly
indicates otherwise.
(1)
Accession--means the formal acceptance of a collection
and it's recording into the holdings of a curatorial facility and generally
includes a transfer of title. For held-in-trust collections, stewardship but
not title is transferred to the curatorial facility.
(2)
Antiquities--means the tangible aspects of the past, which
relate to human life and culture. Some examples include objects, written histories,
architectural significance, cultural traditions and patterns, art forms, and
technologies.
(3)
Artifact--means an object that has been removed from an
archeological site.
(4)
Baseline inventory--means the most basic inventory done
by summary count within general categories (also known as an entry or accessions
inventory).
(5)
Certification--means a process through which a curatorial
facility establishes that it has achieved certain standards and follows acceptable
practices with respect to its collections.
(6)
Certified curatorial facility--means a museum or repository
that has been certified by the Commission for the purposes of curating state-associated
collections.
(7)
Collection--means an associated set of objects, samples,
records, or documents.
(8)
Commission--means the Texas Historical Commission and its
staff.
(9)
Conservation--means scientific laboratory process for cleaning,
stabilizing, restoring, and preserving artifacts.
(10)
Cultural resource--means any building, site, district,
structure, object, pre-twentieth century shipwreck, data, and locations of
historical, archeological, educational, or scientific interest, including,
but not limited to, prehistoric and historic Native American or aboriginal
campsites, dwellings, and habitation sites, archeological sites of every character,
treasure embedded in the earth, sunken or abandoned ships and wrecks of the
sea or any part of the contents thereof, maps, records, documents, books,
artifacts, and implements of culture in any way related to the inhabitants'
prehistory, history, natural history, government, or culture. Examples of
cultural resources include Native American mounds and campgrounds, aboriginal
lithic resource areas, early industrial and engineering sites, rock art, early
cottage, and craft industry sites, bison kill sites, cemeteries, battlegrounds,
all manner of historical structures, local historical records, etc.
(11)
Curatorial facility--means a museum or repository.
(12)
Deaccession--means the permanent removal of an object
or collection from the holdings of a curatorial facility.
(13)
Designated curatorial facility-- means any curatorial
facility that is holding or seeking to hold any state associated collection
on behalf of the Commission.
(14)
Destructive analysis--means destroying all or a portion
of an object or sample to gain specialized information. For purposes of these
rules, it does not include analysis of objects or samples prior to their being
accessioned by a curatorial facility.
(15)
Disposal--means the discard of an object or sample after
being recovered and prior to accession.
(16)
Held-in-trust collection--means those state-associated
collections under the authority of the Texas Historical Commission that are
placed in a curatorial facility for care and management; stewardship is transferred
to that curatorial facility but not ownership.
(17)
Inventory--means a physically-checked, itemized list of
the objects in a curatorial facility's holdings. Itemized refers to having
some sort of categorization, whether it be object-by-object or some type of
grouping. Inventory is usually performed by numerical count, but weight may
be considered in addition to or instead of a count, where it may be appropriate.
(18)
Museum--means a legally organized not-for-profit institution,
essentially educational in nature; having a formally stated mission; with
a professionally trained staff that uses and interprets objects for the public
through regularly scheduled programs and exhibits; with a program of documentation,
care, and use of collection or tangible objects; and having a program of maintenance
and presentation of exhibits.
(19)
Political subdivision--means a local government entity
created and operating under the laws of this state, including a city, county,
school district, or special district created under the Texas Constitution,
Article III, Section 52(b)(1) or (2), or Article XVI, Section 59.
(20)
Preventive conservation--means to maintain the collections
in stable condition through preventive maintenance, condition surveys, environmental
controls, and pest management.
(21)
Public lands--means non-federal public lands that are
owned or controlled by the State of Texas or any of its political subdivisions,
including the tidelands, submerged land, and the bed of the sea within the
jurisdiction of the State of Texas.
(22)
Repository--means a permanent, not-for-profit educational
or research-oriented agency or institution, having a professionally trained
staff, that provides in-perpetuity legal housing and curation of collections.
(23)
Significance--means a trait attributable to sites, buildings,
structures and objects of historical, architectural, and archeological (cultural)
value which are eligible for designation to State Archeological Landmark status
and protection under the Antiquities Code of Texas. Similarly, a trait attributable
to properties included in or determined eligible for inclusion in the National
Register of Historic Places.
(24)
Site--means any place or location containing physical
evidence of human activity. Examples of sites include: the location of prehistoric
or historic occupations or activities, a group or district of buildings or
structures that share a common historical context or period of significance,
and designed landscapes such as parks and gardens.
(25)
State-associated collections--means the collections owned
by the State and under the authority of the Texas Historical Commission. This
includes the following:
(A)
Permitted collections--means collections that are the result
of work governed by the Texas Antiquities Code of Texas on land or under waters
belonging to the State of Texas or any political subdivision of the State
requiring the issuance of a permit by the Commission.
(B)
Non-permitted collections--means collections that are the
result of work governed by the Antiquities Code on land or under waters belonging
to the State of Texas or any political subdivision of the State conducted
by Commission personnel without the issuance of a permit.
(C)
Purchased collections--means collections that are the result
of the acquisition of significant historical items by the Commission through
Texas Historical Artifacts Acquisition Program or use of other State funds.
(D)
Donated collections--means collections that are the result
of a gift, donation, or bequest to the Commission.
(E)
Court-action collections--means collections that are awarded
to the Commission by a court through confiscation of illegally-obtained archeological
artifacts or any other material that may be awarded to the Commission by a
court of law.
(26)
State Archeological Landmark--means any cultural resource
or site located in, on, or under the surface of any lands belonging to the
State of Texas or any county, city, or other political subdivision of the
state, or a site officially designated as a landmark at an open public hearing
before the Commission.
§29.6.Certification of Curatorial Facilities for State-Associated Held-in-Trust Collections.
(a)
Establishment of certification program.
(1)
The Commission shall determine through the program established
by this subchapter appropriate facilities to house state-associated held-in-trust
collections generated or purchased by the Commission, generated through antiquities
permits issued under the authority of the Commission as provided by the Texas
Natural Resources Code, Chapter 191, donated to the Commission, or placed
with the Commission through the order of a court.
(2)
The certification process shall consider the management
and care of all state-associated collections at the curatorial facility.
(3)
The requirements of this subchapter related to the placement
of state-associated collections in certified curatorial facilities shall apply
to the following:
(A)
All collections placed in curatorial facilities by the
Commission after December 31, 2005; and,
(B)
All collections generated under antiquities permits on
public lands after December 31, 2005.
(4)
No collection or any component of a collection as described
under the jurisdiction of this subchapter may be placed in a curatorial facility
that is not certified through the process established by this section.
(5)
This section does not apply to the placement of collections
in curatorial facilities prior to the effective date of this requirement as
specified in subsection (a)(3), above. It does apply to any subsequent transfer
of collections or a component of a collection taking place after the effective
date of this requirement as specified in subsection (a)(3)(A)-(B), above.
(6)
This section does not apply to the temporary loan of a
collection or a component of a collection.
(7)
Certification shall be effective for a period of ten years,
after which time, the curatorial facility must apply for renewal through the
procedures provided in this subchapter. Renewal will be based upon the standards
for certification in place at the time renewal is requested.
(8)
The certification process shall be implemented upon the
effective date of these rules, and the staff of the Commission shall develop
procedures to begin the review of applicants at the earliest possible date.
The requirement that all new collections shall be placed only in certified
curatorial facilities shall be effective as specified in subsection (a)(3)(A)-(B),
above.
(b)
Procedures for Certification.
(1)
Application. A curatorial facility seeking certification
from the Commission shall apply to the Commission on a form provided by the
Commission.
(A)
The form shall require the applicant to provide essential
information and documentation to allow the Commission to determine whether
the facility is a curatorial facility within the definition of that term.
(B)
Staff of the Commission shall evaluate the application
and make a recommendation to the executive director on whether the facility
should be allowed to proceed with the certification process.
(C)
The executive director may determine that the certification
review should be terminated at this point in the process. Such termination
would be due to a clear failure of the curatorial facility to meet the criteria
for certification developed under this subchapter.
(2)
Submission of written materials for certification.
(A)
A curatorial facility approved for full review will be
sent a certification review packet including a self-evaluation to be performed
by the curatorial facility and other information concerning requirements for
the certification process.
(B)
The self-evaluation and other materials must be submitted
to the Commission within six months after the certification review packet
is mailed.
(C)
The completed documentation shall be reviewed by the Commission.
If clarification or additional information is requested by the Commission,
the facility shall have 30 days to furnish the information required.
(D)
Failure to provide the requested information or inadequacy
of the materials provided may lead to the termination of the review process.
(E)
Staff of the Commission shall review the self-evaluation
and other written materials provided and make a recommendation to the executive
director on whether the facility should be allowed to proceed with the certification
process.
(F)
The executive director may determine that the review should
be terminated at this point in the process.
(3)
Field review.
(A)
A curatorial facility that has submitted its self-evaluation
and other written materials and approved to proceed with the certification
process shall be contacted to arrange for a field review.
(B)
At a time to be agreed upon by the Commission staff and
the facility, an on-site evaluation of the facility shall be conducted by
the Commission.
(C)
Field review of the curatorial facility will be conducted
by qualified staff of the Commission.
(D)
An applicant for certification must make their facilities
and records freely available to the field reviewers of the Commission in order
to be considered for certification.
(E)
Upon completion of the on-site evaluation, the persons
performing the evaluation shall complete a written report of the on-site evaluation.
(F)
The written report and recommendation shall be submitted
to the executive director for his review. The executive director may approve,
disapprove, or amend the recommendation.
(G)
The applicant shall be provided notice of the Commission
meeting when its application will be considered and provided a copy of the
executive director's recommendation.
(4)
Consideration by the Commission.
(A)
The Commission may direct that this matter be considered
in a committee of the Commission prior to consideration by the full Commission.
(B)
The Commission shall consider the recommendations of the
staff and/or executive director and all other matters submitted or prepared
in connection with the application and shall make a decision on the certification
of the curatorial facility. The decision of the Commission shall be provided
in writing to the curatorial facility. If certification is denied, the Commission
shall provide reasons for the denial to the curatorial facility.
(C)
The decision of the Commission shall be based on the matters
properly submitted in the certification process, and the decision shall measure
the qualifications, stated objectives, and resources of the curatorial facility
against the standards for certification established by the Commission.
(i)
The Commission shall consider the evaluation of the curatorial
facility and determine which, if any, disabling and deficiency factors may
be present in the curatorial facility.
(ii)
The Commission shall grant certification of the curatorial
facility based on the disabling and deficiency factors by the following standards:
(I)
Four or more disabling factors, certification denied;
(II)
Three or fewer disabling factors and no more than four
deficiency factors, certification granted;
(III)
Three or fewer disabling factors and five or six deficiency
factors, provisional status granted; or
(IV)
Three or fewer disabling factors and seven or more deficiency
factors, certification denied.
(D)
If a curatorial facility is certified with existing disabling
factors or deficiencies, a monitoring process will assure that these problems
are rectified before subsequent certification can take place. If these factors
have not been addressed by the end of its certification period, then the curatorial
facility will be decertified at the end of the certification period. The curatorial
facility must wait two years before reapplying for certification, at which
time it will be certified only if it has corrected all prior deficiency and
disabling factors.
(E)
Provisional status.
(i)
If the Commission determines that the curatorial facility
does not meet all of the qualifications for certification, but should be granted
provisional status, the curatorial facility must submit a plan and schedule
for correcting the problems to the Commission within 90 days of the approval
of provisional status. The Commission shall consider the plan and schedule
and either approve it or return it to the curatorial facility with suggested
revisions. The curatorial facility shall resubmit the plan and schedule until
approved by the Commission. If such problems are corrected and appropriate
evidence of such correction is presented to the Commission, the Commission
may grant certification to the curatorial facility at the next succeeding
quarterly meeting of the Commission.
(ii)
A curatorial facility that is granted provisional status
shall be considered as a certified curatorial facility unless it subsequently
fails to correct the disabling and deficiency factors within the time allotted,
at which time the Commission may vote to deny certification.
(iii)
Provisional status shall initially be granted for a period
of three years. The period may be extended for up to three one-year increments
by the Commission if the curatorial facility is determined to be making progress
in remedying the disabling and deficiency factors. Provisional status may
not be extended beyond the six-year limit. Each extension will require justification
and a vote of the Commission.
(F)
Except as provided by this subchapter, a curatorial facility
that is denied certification by the Commission may not reapply for certification
within one year of the denial of its application.
(c)
Appeal.
(1)
If the executive director has determined that the review
of an application for certification of a curatorial facility should be terminated
prior to field review, the curatorial facility may appeal that decision to
the Commission by requesting in writing a review of the decision at the next
succeeding quarterly Commission meeting, provided that such request must be
received not less than 30 days prior to the meeting. The curatorial facility
and the executive director may submit arguments in writing to the Commission
concerning the appeal.
(2)
If the executive director and/or staff recommend against
certification of a curatorial facility, the facility may respond in writing
to such recommendation. If the curatorial facility determines that it needs
additional time to respond to the staff and/or executive director's recommendation,
it may request that the consideration of the certification be delayed until
the next succeeding quarterly meeting, and shall submit its response not less
than 30 days prior to the next succeeding quarterly meeting. Only one such
delay in the consideration of certification shall be granted, except on vote
of the Commission.
(3)
The staff or the executive director may comment on any
response of the curatorial facility.
(4)
Except as may otherwise be provided by law, the decision
of the Commission on certification of a curatorial facility is final.
(d)
Criteria for Certification.
(1)
The Commission shall develop and adopt objective criteria
for the evaluation of curatorial facilities.
(2)
The criteria shall be in writing and shall be made available
to any person requesting them.
(3)
The evaluation shall focus on the care and management of
all state-associated held-in-trust collections present at the facility.
(4)
The following certification criteria will be used to evaluate
curatorial facilities:
(A)
Governance.
(i)
specific mission statement;
(ii)
institutional organization document; and
(iii)
evidence of not-for-profit status.
(B)
Finance.
(i)
clear fiscal plan;
(ii)
financial reporting system, with an external audit; and
(iii)
continued efforts to raise level of support.
(C)
Policies. Written collections management policies addressing:
(i)
acquisitions;
(ii)
scope of collections;
(iii)
legal title;
(iv)
held-in-trust agreements;
(v)
contract of gift;
(vi)
accessioning;
(vii)
deaccessioning and disposal of collections or collection
items;
(viii)
cataloging;
(ix)
loans;
(x)
destructive loans of held-in-trust collections;
(xi)
inventory;
(xii)
adequate and appropriate insurance;
(xiii)
appraisals;
(xiv)
access to collections;
(xv)
record keeping;
(xvi)
collections care;
(xvii)
conservation;
(xviii)
disaster management;
(xix)
pest management; and
(xx)
security.
(D)
Procedures. Written collections management procedures addressing:
(i)
acquisitions;
(ii)
accessioning;
(iii)
deaccessioning and disposal of collections or collection
items;
(iv)
documentation;
(v)
cataloging;
(vi)
loans;
(vii)
destructive loans of held-in-trust collections;
(viii)
inventory;
(ix)
environmental control (lighting, temperature, relative
humidity, air particulates);
(x)
conservation assessment;
(xi)
housekeeping;
(xii)
cleaning, packaging, and housing of collections;
(xiii)
packing and shipping of collections;
(xiv)
access to collections;
(xv)
written disaster management plan addressing:
(I)
accidents;
(II)
fire;
(III)
flood; and
(IV)
other natural disasters;
(xvi)
written pest management plan; and
(xvii)
written security plan.
(E)
Physical Facilities.
(i)
sound, appropriate structure;
(ii)
adequate and appropriate insurance;
(iii)
security system;
(iv)
fire prevention, detection, and suppression programs;
and
(v)
environmental controls (temperature, relative humidity,
air particulates).
(F)
Staff.
(i)
written code of ethics;
(ii)
written personnel policy;
(iii)
written job descriptions;
(iv)
minimum one full-time staff member trained in collections
care; and
(v)
support for staff training programs in collections care
and memberships to museum-related organizations.
(G)
Visiting scholars and researchers.
(i)
written policy concerning access to collections; and
(ii)
written procedures concerning security, access, and handling
of collections.
(H)
Records management.
(i)
functional accession, catalog, inventory, and photo documentation
system;
(ii)
updated and current list of held-in-trust state-associated
collections; and
(iii)
baseline inventory of held-in-trust state-associated
collections.
(I)
Collections care.
(i)
housing;
(I)
current floor plan;
(II)
appropriate housing units with adequate and appropriate
space; and
(III)
accessible and organized collections;
(ii)
packaging;
(I)
appropriate materials;
(II)
appropriate object spacing; and
(III)
appropriate organization of collections.
(e)
Application of criteria. In making the determination of
certification status, all of the above criteria are considered. In particular,
at the Application stage, the curatorial facility must fit the definition;
have a mission statement, a statement of purpose, and a scope-of-collections
statement; and have a written collections management policy. If the curatorial
facility does not meet these three basic criteria, then certification is denied
and the process goes no further. At the Commission level, disabling factors
could prevent certification. Deficiency factors could result in provisional
status or denial. Where appropriate, the criteria for evaluation for curatorial
facilities to be developed by the commission will contain objective standards
against which disabling and deficiency factors are measured.
(1)
Disabling factors are the absence of any of the following:
(A)
written procedures and plans;
(B)
written held-in-trust agreements for state-associated collections;
(C)
list of held-in-trust state-associated collections;
(D)
baseline inventory for each held-in-trust state-associated
collection;
(E)
record keeping system;
(F)
accession system;
(G)
catalog system;
(H)
inventory system;
(I)
environmental controls (temperature, relative humidity,
air particulates);
(J)
fire prevention, detection, or suppression programs;
(K)
full-time employee trained in collections care;
(L)
appropriate physical facilities; and
(M)
appropriate housing or housing conditions.
(2)
Deficiency factors are the following:
(A)
substandard policies;
(B)
substandard procedures and plans;
(C)
incomplete held-in-trust agreements for state-associated
collections;
(D)
incomplete list of held-in-trust state-associated collections;
(E)
incomplete baseline inventory for each held-in-trust state-associated
collection;
(F)
inadequate record keeping system;
(G)
inadequate accession system;
(H)
inadequate catalog system;
(I)
inadequate inventory system;
(J)
substandard environmental controls (temperature, relative
humidity, air particulates);
(K)
substandard fire prevention, detection, or suppression
programs;
(L)
substandard physical facilities;
(M)
substandard housing or housing conditions; and
(N)
substandard packaging.
§29.7.State Associated Collections.
(a)
The Commission has authority over state-associated collections
in five categories based on the way they were generated. They are as follows:
(1)
Permitted-collections that are the result of work governed
by the Antiquities Code on land or under waters belonging to the State of
Texas or a political subdivision of the State necessitating the issuance of
a permit by the Commission. This work can be conducted by an outside researcher,
other state agency, cultural resources management firm or by Commission personnel.
Permitted-collections form the bulk of the Commission's state-associated collections.
(2)
Commission non-permitted collections are the result of
work governed by the Antiquities Code on land or under waters belonging to
the State of Texas or a political subdivision of the State conducted by Commission
personnel without the issuance of a permit.
(3)
Purchased-collections are the result of acquisition of
significant historical items by the Commission through the Texas Historical
Artifacts Acquisition Program or use of other state funds.
(4)
Donated-collections are the result of a material gift transaction
by a private landowner, individual, corporation, organization, or through
a bequest to the Commission. A major component of this category of collections
is the consequence of work conducted by or under the direction of Commission
personnel on private lands in Texas whereby the landowner transfers ownership
of the generated collection through a deed-of-gift or donation form to the
State of Texas and its agent, the Texas Historical Commission.
(5)
Court action-collections are the result of rulings by a
court concerning confiscated, illegally-held archeological or historical materials
from public lands to be given to the Commission for care and protection.
(b)
Any or all of these state-associated collections may be
entrusted to and housed in a designated curatorial facility in the State of
Texas. They are accessioned, documented, and cataloged objects, documents,
and samples of cultural, scientific, or historical significance that are representative
of the diversity within the state. These collections should be given a high
level.
§29.8.Requirements for Curatorial Facilities.
(a)
In recognition of the authority of the Commission over
the state-associated collections, the Commission establishes different levels
of collection management requirements for curatorial facilities holding state-associated
collections and having different capacities and goals.
(b)
Curatorial facilities that are certified to receive state-associated
collections under §29.6 of this chapter must adopt, as a part of the
certification process, a collections management policy that meets or exceeds
the minimum requirements of this subchapter. Curatorial practices evolve over
time, and these rules may be amended to reflect changes in accepted professional
practices. Certified curatorial facilities will be expected to meet the requirements
of such amendments within a reasonable time after their adoption. Limitations
on authority to manage state-associated collections will be determined through
an agreement between the Commission and the certified curatorial facility.
(c)
Curatorial facilities that intend to become certified to
receive state-associated collections under §29.6 of this chapter in the
future should meet or exceed the minimum standards established under this
subchapter while working toward certification.
(d)
Curatorial facilities that do not intend to become certified
under §29.6 of this chapter should nonetheless attempt to provide the
highest possible level of care to state-associated collections maintained
in their facilities. At a minimum, a level of care that prevents deterioration
of, damage to, or loss of items in the collections should be maintained. Within
seven years of the effective date of this section, curatorial facilities should
either submit a plan for Commission approval on the care and management of
the state-associated collections or consider the transfer of state-associated
collections to a curatorial facility certified under §29.6 of this chapter.
§29.9.Guidelines 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 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 Commission retains title for the State 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 Commission
will retain title for the State 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 Commission relinquishes title for
the State 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 their 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 may 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 site inventory is a listing of all site collections and
historical items held by the curatorial facility. This listing provides an
immediate overview and number of state-associated collections at the curatorial
facility.
(C)
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.
(D)
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 site inventory must be
conducted and updated and a copy sent to the Commission to provide an accurate
listing of all state-associated held-in-trust collections housed at the curatorial
facility. A relocation inventory must be conducted and included as part of
the loan agreement of state-associated held-in-trust collections. Other types
of inventories should be conducted to provide tracking and security information
as necessary.
(4)
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.
(5)
Curatorial facilities not certified by the Commission shall
submit a written plan for the inventory of state-associated held-in-trust
collections. 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 designated
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 administration of the loans 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 are 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.
(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
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.
(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 or Commission
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 accession 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. 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 a Certificate of Insurance.
(10)
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 endorses 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
assessments and monitoring of object, documentation, or historical item condition
are encouraged as 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 the 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
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. 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.
This agency hereby certifies that the proposal has been
reviewed by legal counsel and found to be within the agency's legal authority
to adopt.
Filed with the Office of
the Secretary of State on July 31, 2003.
TRD-200304648
F. Lawrence Oaks
Executive Director
Texas Historical Commission
Earliest possible date of adoption: September 14, 2003
For further information, please call: (512) 463-5711
13 TAC §29.3, §29.5
(Editor's note: The text of the following sections proposed for
repeal will not be published. The sections may be examined in the offices
of the Texas Historical Commission or in the Texas Register office, Room 245,
James Earl Rudder Building, 1019 Brazos Street, Austin.)
The Texas Historical Commission (hereafter referred
to as the Commission) proposes the repeal of §29.3 and §29.5, concerning
the management and care of artifacts collected under the jurisdiction of Texas
Government Code, Chapter 442 and the Antiquities Code of Texas (Title 9, Chapter
191, of the Texas Natural Resources Code). New §§29.3, 29.4, 29.6,
29.7, 29.8, and 29.9 will replace the repealed sections and they are contemporaneously
proposed in this issue of the
Texas Register
.
The amendment to §29.2 is also being proposed in this issue of the Texas Register
.
These repeals are needed in a continuing effort by the Commission to assist
and encourage curatorial facilities to upgrade their care of state associated
collections that are gathered under the jurisdiction of the Antiquities Code
of Texas.
F. Lawerence Oaks, Executive Director, has determined that for the first
five-year period the rules are in effect, there may be fiscal implications
for state and local governments as a result of administering these rules.
Curatorial facilities that voluntarily choose to become certified may have
additional costs for curating state-associated collections. These costs would
likely be passed on to state and local governmental entities required to curate
collections at certified facilities. Due to the fact that certification is
a voluntary process and any additional costs would be subject to the discretion
of the individual curatorial facility, it is not possible to estimate the
exact costs.
Mr. Oaks has also determined that for each year of the first five-year
period the rules are in effect the public benefit anticipated as a result
of the repeal and replacement of the existing rules will be improved inventory
and accountability for state-owned collections, better care for artifacts,
and increased security for collections. There may be economic effects on small
businesses or micro-businesses, and members of the public who are required
to comply with the rules as proposed, but these costs cannot be estimated.
Comments on the proposal may be submitted to F. Lawerence Oaks, Executive
Director, Texas Historical Commission, P. O. Box 12276, Austin, Texas 78711.
Comments will be accepted for 30 days after publication in the
Texas Register
.
The repeals are proposed under §442.005(q), Title 4, of
the Texas Government Code, which provides the Texas Historical Commission
with the authority to promulgate rules and conditions to reasonably effect
the purposes of this chapter.
No other statutes, articles or codes are affected by these rules.
§29.3.Definitions.
§29.5.Certification of Curatorial Facilities for State-Associated Held-in-Trust Collections.
This agency hereby certifies that the proposal has been
reviewed by legal counsel and found to be within the agency's legal authority
to adopt.
Filed with the Office of
the Secretary of State on August 1, 2003.
TRD-200304692
F. Lawrence Oaks
Executive Director
Texas Historical Commission
Earliest possible date of adoption: September 14, 2003
For further information, please call: (512) 463-5711