SAMPLE DOCUMENT USE STATEMENT & COPYRIGHT NOTICE

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1 SAMPLE DOCUMENT Type of Document: Collections Management Policy Museum Name: The Navy Museum Date: unknown Type: History Museum Budget Size: $250,000 to $999,000 Budget Year: 2003 Governance Type: Federal Accredited: Yes Notes on strengths or special features: The document contains the following required elements: Acquisitions/Accessioning Access and/or use of collections Care Deaccessioning/Disposal Inventories and/or documentation Loans incoming outgoing Use of proceeds from the sale of deaccessioned collections The document contains the following additional sections: Abandoned Property/Unclaimed Loans Appraisals Authority Categories of Collections Code of Ethics Cultural Property Glossary Housekeeping Other: War Trophies and Prohibited Items References A-W Insurance & Risk Management Laws Mission Statement Objects Found in Collection Objects Left in Custody Photography Review/Revision Rights & Reproduction Scope of Collections USE STATEMENT & COPYRIGHT NOTICE The AAM Information Center has provided this sample document. It serves as an example of how one museum addresses a particular issue. Museums should compose original materials based on their unique circumstances. Any document produced by the recipient should not substantially use the contents of this sample as the basis. Materials in the AAM Information Center are provided "as is," without any guarantee or warranty of any kind, expressed or implied. NOTICE CONCERNING COPYRIGHT RESTRICTIONS Under certain conditions specified in the copyright law of the United States (Title 17, United States Code), libraries and archives may furnish a photocopy or other reproduction. The photocopy or reproduction may not be used for any purpose other than private study, scholarship or research. If a user makes a request for, or later uses, a photocopy or reproduction for purposes in excess of fair use, that user may be liable for copyright infringement.

2 DEPARTMENT OF THE NAVY HERITAGE ASSETS MANAGEMENT POLICY (Collection Management Plan) Authority. This policy is issued as a permanent enclosure to SECNAVINST 5750 and sets forth uniform guidance for the management and accountability of Department of the Navy Heritage Assets. Responsibility for the implementation of this policy is delegated to the Chief of Naval Operations and the Commandant of the Marine Corps for their respective services. Changes to this enclosure will be approved and issued by the Assistant Secretary of the Navy (Installations and Environment). Ref: (a) Public Law , Chief Financial Officers Act of 1990 (b) Title 10 USC Section 2601 et.seq., Convention on Cultural Property (c) Title 10 USC Section 2572, Documents, historical artifacts and condemned or obsolete combat material: loan, gift, or exchange. (d) Title 10 USC Section 1588, Authority to accept certain voluntary services. (e) DoD R, Joint Ethics Regulations (f) SECNAVINST G, Acceptance of Gifts (g) MCOP , Ch. 15, Marine Corps Legal Administration Manual (h) DoD M-1, Defense Demilitarization Manual (i) Title 40 USC Federal Property and Administrative Services Act of 1949, as amended (j) Title 26 USC Internal Revenue Service section 501(c)(3) (k) SECNAVINST , Copyright In Works of Authorship Prepared by DoN Personnel (l) SECNAVINST 5750 Encl 1, DoN Art Program (m) SECNAVINST , Permission to Copy Materials Subject to Copyright (n) Copyright Act of 1976 (o) OPNAVINST A/MCO A, Control and Registration of War Trophies and War Trophy Firearms (p) Title 10 USC Section 2579, War booty: procedures for handling and retaining battlefield objects (q) Title 10 USC Section 7216, Collection, preservation, and display of captured flags (r) OPNAVINST (Series), Department of Navy Physical Security Instruction for Conventional Arms, Ammunition, and Explosives (AA&E) 1

3 (s) OPNAVINST , Small Arms/Weapons Management (t) MCO C Marine Corps Serialized Control of Small Arms Systems (u) Title 26 USC Section 5861, National Firearms Act (NFA) (v) 32 CFR 736.5, Disposition of Property (w) DoD Financial Management Regulation, Vol. 4, Chapter 6 Appn:(1) Disclaimer Form (2) Proffer of Gift Agreement Unconditional Donation to the Department of the Navy (Deed of Gift) (3) Temporary Custody Report (4) Artifact Damage Report (5) Deaccession and Disposal Record (6) Loan Agreement (Non-Government Borrowers) (7) Loan Agreement (Government Borrowers) 1. Purpose. To establish uniform policy, procedures and guidance for the management of heritage asset collections within the Department of the Navy. 2. Definitions. The following definitions are provided to clarify terminology used in this instruction: a. American Association of Museums (AAM). Founded in 1906, the American Association of Museums (AAM) is dedicated to promoting excellence within the museum community. Through advocacy, professional education, information exchange, accreditation, and guidance on current professional standards of performance, AAM assists museum staff, boards, and volunteers across the country to better serve the public. b. Artifact. The term artifact is used throughout this document and is synonymous with relic, object d art, manufactured article, object, work of art, piece, item. c. Copyright. Copyright protects original works of authorship fixed in any tangible medium. It is the legal recognition of special property rights that a creator may have to his/her work. Copyright may also be referred to throughout this enclosure as Intellectual Rights. d. Fair Use. Permits reproduction, adaptation, public display, and distribution for such purposes as 2

4 criticism, comment, news reporting, teaching, scholarship or research. e. Historic property. An item (artifact, painting, document, etc.) that documents, records, or interprets the history of the United States Navy and Marine Corps. f. Methods of Acquisition. (1) Gifts: title passes during the life of the donor (2) Bequest: title passes under a will (3) Purchase: direct, action, bargain sale (4) Exchange: trade of secondary holdings to acquire new artifacts (5) Field-collections: artifacts recovered through fieldwork or excavation on land and underwater g. Museum activity. An appropriated fund entity that is a permanent historical activity, possessing a historical collection housed in a building or a part thereof, specifically intended for the exclusive use of the museum, which is open to the military and civilian visitor at regularly scheduled hours and is in the care of a professional staff that performs curatorial functions, training, education, research, and related historical duties full-time. h. Museum Property Committee. Depending on the size of the museum and actively in acquiring new property a museum may designate key professionals who are responsible for the research, review, acceptance and rejection of new acquisitions. i. Transfer. Title passes between elements of the U.S. Government, either intra departmental (within agencies of the Department of the Navy) or interdepartmental (within agencies of the U.S. Government). j. Scope of Collection (SOC) or Collection Plan. Statement that defines the museum s concentrated areas of collecting. k. Self-Insurance Rule. The U.S. Government is considered to be self-insured. The theory behind this rule is that the Government s resources are so vast that it is 3

5 more economical and practical for it to carry its own risks and loss than shift them to private insurers at rates sufficient to bear and survive the loss. One exception relevant to this is commercial insurance for privately owned items temporarily entrusted to the Government. 3. Background. a. Federal law requires U.S. Government agencies to properly preserve and care for the cultural resources in their charge. The Chief Financial Officer s Act of 1990, reference (a), addresses the concern from accountability of all federal property. This collection management policy provides accession and management standards for Navy and Marine Corps museums, hereafter referred to as museum, in accordance with Department of Navy (DON) policies, references (a) through (w), and guidelines established by the American Association of Museums (AAM). b. DON encourages all museums to work toward AAM accreditation. Accreditation through the American Association of Museums signifies and recognizes excellence within the museum community, to governments and outside agencies, and among the American public. This program reflects, reinforces, and promotes the best practices in museums and the strictest accountability to the public museums serve. c. Other topics addressed include documentation requirements, accountability, collection maintenance, insurance, and lending and borrowing artifacts. Additionally, this collection management policy is the primary vehicle for internal control of collection activity. d. This document combines the applicable policies listed in references (a) through (w) and is the primary vehicle for internal control of Heritage Assets. The manual includes sample forms in the appendices, and other useful information related to the documentation, accountability and care of collections. Guidance is provided to responsibly care for museum property. e. This policy does not pertain to educational collections, exhibition props, or other artifacts that are used in a potentially destructive hands-on manner. The 4

6 scope of this policy is related to accessioned museum artifacts only. 4. Mission. As authorized by direction of the Secretary of the Navy, Department of the Navy museums are established to identify, collect, preserve and interpret the history of the United States Navy and United States Marine Corps. The goal is to educate naval personnel and the public in the heritage and traditions of the United States Naval service and its impact on the Nation s history. Museums are the Department of Navy s primary historical activities that provide professional guidance for the accountability, custody, preservation, and interpretation of Heritage Assets. 5. Statement of responsibility and chain of command. The primary operational authority for a museum rests with the Director of the museum, who is responsible for delegating collections-related activities to appropriate staff. The Director, while responsible for enforcing this policy, also has the authority to make exceptions, and to make final decisions related to collection proceedings. The Director has ultimate authority of and responsibility for the collection. Through a central registry of historical properties, the United States Navy stewards the collection and the Curator of the Navy, directed by the Secretary of the Navy, is the designated authority for the accountability of all historic artifacts belonging to the U. S. Navy. The Director of Marine Corps History and Museums Division, as directed by the Commandant of the Marine Corps, is the designated authority for the accountability of all historic artifacts belonging to the U.S. Marine Corps. 6. Operations and Support. Museums are operated and supported by local commands and specific naval communities, in accordance with reference (b). The decentralized operation and funding of Navy museums is designed to validate the requirement for these museums at the local level and to assure that they are responsive to the requirements of their parent commands and communities. 7. Collecting. a. Naval and Marine Corps heritage collections are of national importance and are used in interpretation, 5

7 exhibition, research, and identification of Navy and Marine Corps history. Collections may be improved through the selective addition of new materials. Collecting plans outline collecting strategies and specify collection types that the museum seeks to acquire. By necessity, collecting plans guide the curator, who will seek to balance the need to collect with the mandate to afford responsible care to existing and future collections. b. Collecting initiatives are limited to collecting only what a museum can effectively care for. When an important artifact cannot be responsibly accommodated by a museum, the staff may assist the potential donor in locating international, regional, or local repositories that can accept the artifact. Advice on documentation and care may be passed along to potential donors or potential owners of the artifact as requested. c. The Navy recognizes that acquisitions provide a means of strengthening the collection and enhancing its value for exhibition, educational, and research purposes. Therefore, the Navy defines its acquisitions policies using the following criteria: (1) The artifact is consistent with the museum s collecting plans and goals. (2) The artifact is appropriate for exhibition purposes (present and future) or proves useful as an educational tool. (3) The artifact was owned by, associated with, or created by, a notable or non-notable person associated with the history/field of the Navy; thus, the artifact may have popular appeal. (4) The artifact has significant intrinsic value because it is the best of its type or one of a kind. (5) The artifact will contribute to research and knowledge in disciplines related to the history of the Navy. (6) The artifact represents a technological innovation or invention associated with the history of the Navy. 6

8 8. Professional Ethics. Museums are the object of a public trust whose value to the community is in direct proportion to the quality of service rendered. In the interests of the public as well as the museum community, members of the museum profession should observe the accepted standards and laws, uphold the dignity and honor of their professions, and accept its self-imposed disciplines. They should do their part to safeguard the public against illegal or unethical professional conduct and should use appropriate opportunities to inform and educate the public in the aims, purposes, and aspirations of the profession in order to develop a better public understanding of the purposes and responsibilities of museums and the profession. Staff members should deal with the public efficiently and courteously at all times. DON subscribes to the American Association of Museums (AAM) Code of Ethics which rests upon a widely shared set of values held by museum professionals. a. A professional museum employee is considered to be a person who has received specialized training, or possesses the equivalent practical experience, in any field relevant to the management and operation of a museum. Museum professionals must protect all the artifacts in their care in order to minimize physical deterioration, whether the artifacts are on display, in storage, in transit, used in handling or loan collections or those subject to research or conservation, or on loan to or from the museum. b. Employment by the U.S. Government is a public trust requiring employees to place loyalty to the Constitution, the laws, and ethical principles above private gain. In all activities, Museum employees must act with integrity and in accordance with the most stringent ethical principles as well as the highest standards of objectivity. c. Staff members owe their primary allegiance to the DON and to the Museum and should at all times act in accordance with the approved policies. Service to the public is a fundamental principle of museums. (1) DON staff are responsible for the accuracy of their research, interpretation and the content written descriptions and documentation of the collections under their care, whether prepared by themselves or others. Museum professionals must ensure that museum records 7

9 relating to the collections are accurate and that reasonable access is provided to such records. SECNAVINST 5750 (2) DON staff owe loyalty to the DON and the U.S. Government. Activities that conflict with this loyalty or cause DON employees to favor outside or personal interest over those of their institution must be avoided. Staff members should not abuse their official position or contacts within the museum or historical community, not act so as to impair in any way the performance of their official duties, compete with other museums, or bring discredit or embarrassment to any museum or the profession in any activity, museum-related or not. Staff members will avoid all conflict of interest and the appearance thereof. d. As federal employees, museum personnel are also required to conduct themselves in compliance with reference (e). e. Personal collecting. The DON subscribes to the American Association of Museums (AAM) Code of Ethics for DON staff, including volunteers and non-profit foundation staff and members, regarding personal collecting. (1) Staff members must not compete with DON museums for an object. Museum professionals who collect must offer objects within their museum s collecting scope to the museum first before acquiring for a personal collection. Employees shall not hold financial interests that conflict with the conscientious performance of duty and in no way should staff compete with their museums in any personal collecting activity. If staff have personal collections similar to those of their museum, staff should submit an inventory of their collections to the Registrar and update their inventory as appropriate. (2) At the time of employment museum staff who collect must provide their institution with an inventory of their collection. This inventory must be updated periodically. Collections acquired prior to employment with the DON such as family inheritances and collections outside of the DON or the particular DON museum s fields of interest are exempt from this requirement. Staff who are currently employed by the DON have 90 days from the effective date of this of this instruction to comply with this requirement. Any expense associated with this inventory is borne solely by the employee. 8

10 (3) DON staff may not trade objects from their personal collection for objects in any DON museum collection. (4) DON staff may not store personal collections on DON museum property for research or conserve their personal collections using government resources without express permission from the Curator of the Navy. (5) DON staff may not personally engage in any business transaction with a dealer with whom the staff member also does business on behalf of the museum. However, such dealings, if they do occur must be approved in advance by the Curator of the Navy. (6) DON staff may not act as an artifacts dealer, be employed by an artifacts dealer, or retain an interest in an artifacts dealership. f. Gifts, Favors, Discounts, and Dispensations. All DON staff must act in accordance with the requirements of references (e), (f), and (g) with regard to acceptance of gifts, favors, and discounts. g. Appraisals. Museum professionals may not make appraisals (statements as to monetary value) of artifacts of the types collected by museums for parties external to the museum. In-house valuations for purposes such as insurance for loans are permitted. h. Authentications. As a public service, staff may attempt to attribute, identify, or authenticate items brought to the museum by the public. Such attributions, identifications and/or authentications shall be for the sole use of the inquiring individual. All possible claims based on any theory of misrepresentation, disparagement, or defamation by the individual to whom the authentication was provided, must be considered prior to providing such services, since authentications frequently amount to expressions of opinions of an individual s conclusions. Appendix 1, a Disclaimer Form, must be provided to the owner of the property prior to the authentication. i. Areas of collecting. Museums collect artifacts that reflect the history, technology, and social impact of the Navy and Marine Corps, both nationally and internationally. 9

11 Special care must be taken to build collections that fairly represent the many peoples, cultures, and ethnic groups associated with the Navy and Marine Corps. Museums have the authority to define areas of collecting. Each museum will collect in accordance with its collection plan. Other considerations and/or requirements to consider regarding DON collections are: (1) The rarity, historic, aesthetic or display value of the object that justifies the cost of its acquisition, conservation, and upkeep. (2) The object or collection augments, rather than unnecessarily duplicates existing DON holdings. (3) The object or collection is not encumbered by donor, copyright, patent, trademark or trade name restrictions. (4) The conditions accompanying the collection or object will not give rise to commercial exploitation, conflict of interest, or give the appearance of any impropriety. (5) Museums shall not collect artifacts that are by nature obscene, defamatory, potentially an invasion of privacy, or physically hazardous. Museum Directors may make exceptions to this general rule. Museums who acquire ordnance and other potentially explosive materials (including applicable weapon delivery systems) must have certification from the office of Explosive Ordnance Disposal (EOD) in accordance with reference (h) that all material is rendered safe and inert. j. Ownership of Scholarly Material. DON staff members, as part of their duties, are often required to conduct research. All scholarly material which is the result of such research, and if that research is within the scope of employment and funded by the DON or other U.S. Government agency, is the property of the DON. 9. Managing the Collections. a. Importance of documentation. A museum collection includes artifacts and related documentation, also referred to as the intellectual collection. Accurate, complete, and timely documentation increases research opportunities 10

12 and improves access and collections care. Museum collection records must be accurate and complete. This requires close coordination and cooperation between the registrar and the curatorial staff. Artifacts with incomplete provenance should be researched to determine their origin, context, and history. An inadequate provenance may give rise to doubt as to the innate quality of an artifact. (1) Generally, registrar records continue to grow to include new historical findings and operational data (condition reports, photographs, loan records, and similar documents about artifacts) generated by collections management activities. All collections activities have documentation components, and some documents, such as loan agreements (appendices 6 and 7), and deeds of gifts, that have legal significance. (2) The Registrar is responsible for maintaining and approving changes to the required formal and legal documentation, namely the accession system, associated with collections. This documentation exists separate and distinct from any curatorial or archival records. Access must be controlled in a manner that ensures the security of the registrar records, but still providing availability to research and collections management staffs. (3) At a minimum, authorized staff acquiring artifacts for collections should supply the following documentation: (a) Accession worksheet (b) Proof of legal ownership (c) Existing correspondence between the donor and museum concerning the offer and acceptance (d) Transportation and shipping documents (e) Photographs of the artifacts (4) The original copies of official documents must reside in the museums and be safeguarded. Museums must duplicate files of records available at a secondary site and input such information into an automated collections management system. 10. Heritage Assets Life Cycle. Artifacts, as historical property, are important assets of the DON. Life cycle 11

13 management and planning is a critical aspect of DON property policy. Acquisition, custody, accountability, preservation/conservation, distribution, and disposal actions will be consistent with overall DON/DOD property policy, procedure, and reporting requirements. a. Acquisition and documentation. Responsibility for initiating acquisition of artifacts for collections rests with each museum. Responsibility for documenting acquisitions is usually shared between the curatorial and the registrar departments. Accurate, complete, and timely documentation increases study and research opportunities and improves access and the value of historic collections. Only artifacts that fit the Scope of Collection (SOC) Statement of the museum shall be approved for acquisition, i.e.: transfer, exchange, field collection, donation, purchase, etc. Acquisition records must contain to the greatest extent possible accession information, historic findings, and operational data to include condition reports, photographs, loan records, and related data. (1) Generally, museums acquire artifacts through gift, bequest, transfer, trade, barter, or purchase in accordance with applicable laws, rules and regulations. An artifact is deemed accepted only when there is a good faith intention to accession it or when it will be used for exhibit or loan purposes only. (2) DON personnel are prohibited from soliciting donations of Heritage Assets per references (f) and (g) unless specifically authorized by the Secretary of the Navy for a specific purpose. (3) All acquisitions from non-government sources, whether single items or collections, shall proceed in accordance with references (f) and (g). (4) Deeds of gift and transfer forms are used for compliance with tax regulations. Only the museum director and curator are authorized to negotiate for and accept acquisitions. Other staff shall work with or through the curator in all acquisition activities. In accordance with reference (f), all acquisitions (single items and/or collections), other than field collections made by museum personnel, that have a fair market value reasonably 12

14 expected to be in excess of $5,000, will require approval of the Secretary of the Navy prior to acceptance by the museum. (5) Waiver of any consideration of acceptance requires the express written approval of the director prior to committing the museum to acceptance of the artifacts. Museum personnel or other personnel operating on the museum s behalf can not commit the museum to acceptance of any artifact(s) not in consonance with the intent and spirit of these considerations without first obtaining the written approval of the director. (6) Museums may not acquire artifacts that have been stolen, unscientifically gathered or excavated, or unethically procured in any other manner. Museum Directors shall reasonably ascertain that newly acquired artifacts have not been stolen or wrongfully converted and are not illegally present in the United States. (7) Museums may only accept unrestricted collections. The deed of gift (Appendix 2), purchase order, or other transfer document formalizes the passage of associated rights and ensures clear complete title to the museum. If necessary, museums shall obtain in writing the transfer of complete copyright, trademark, and other associated rights and privileges from the owner to the museum before the item enters the collections. Artifact copyright, trademark, and other associated rights that are to be retained by the donor or another party must be clearly stated at the time of acquisition and so noted on the accession worksheet and deed of gift. (8) When a proposed acquisition is considered very desirable but includes restrictions, the Director may approve the restricted donation and must provide a clear written record of the restrictions in the official accession file. In cases where a museum is unable to obtain the full transfer of all rights, obtain written permission from the holder of those rights for reproduction or any other use of the artifact that has not been transferred to the museum. (9) Museums have ownership of the copyright and associated rights of all works of art and other materials that are created by museum professionals and active duty military personnel as part of their job or created under 13

15 museum contract, unless otherwise specified by said contract. If a contract limits the transfer of rights, the appropriate museum must obtain the applicable permissions for use. The acquisition of items that duplicate those already in the collection should be avoided unless (1) the duplicate is for specific approved use, (2) the duplicate is for installation in an artifact, or (3) the duplicate is rare or scarce. (10) On occasion, it may be necessary to accept an entire collection of artifacts to acquire some subset of artifacts appropriate for a museum s collections. The entire collection can be approved for transfer if adequate provisions can be made for the useful disposition of those items that would not be accessioned. The museum should make clear to the prospective donor in advance and in writing that the entire collection under consideration will not be accessioned and that parts of it will be disposed of responsibly. It is clearly desirable for the museum to work with the prospective donor so that only those items needed for the collection are actually donated. (11) Items may be donated or loaned under the authority contained in reference (i), Federal Property and Administrative Services Act. (a) Schools such as maritime academies or military, naval, Air Force or Coast Guard preparatory schools, designated by the Secretary of Defense as educational activities of special interest to the armed services. (b) Accredited schools, colleges and universities and educational institutions that have been exempted from taxation under section 501(c)(3) of the Internal Revenue Code, reference (j) and State Departments of Education for use by tax exempt educational institutions. (c) State, Territories, Commonwealths, or possessions of the United States and political subdivisions, municipal, corporations, veterans associations, solders monument associations, State museums, and non-profit educational museums, subject in certain cases to the approval of the Curator for the Navy and to the objections by a concurrent resolution of the Congress. 14

16 (12) Once an artifact is approved for acquisition, the museum professional must promptly account for all new artifacts and prepare files to be catalogued and input into the collections management software. This includes the receipt of items being considered for acquisition as well as items actually approved for acquisition. (13) Museums that acquire ordnance (whether or not considered to be inert) and/or potentially explosive materials including the applicable weapons delivery system, must have certification in accordance with reference (o) from the office of Explosive Ordnance Disposal that all material has been rendered safe and inert. (14) If artifact copyright, trademark, or other associated intellectual rights are to be retained by someone other than the DON it must be clearly stated at the time of acquisition and so noted on the deed of gift and other accession documentation. (a) DON may acquire or own intellectual rights through bequest, assignment, or other recognized legal means. Any work prepared or created by DON museum professionals, volunteers, active duty military personnel, as part of their job or official duties is not covered by copyright and are deemed to be in the public domain per reference (k). (b) Intellectual right to works of art produced under the DON Art Program are governed under the requirements of enclosure (1) to reference (l). If transfer of intellectual rights to DON is not included in the contract or agreement then DON activities must obtain required permissions or transfers. (c) In obtaining permission from intellectual rights owners DON museums and related activities must follow the procedures outlined in reference (m). 11. Artifacts Left in Temporary Custody. Museum collections in temporary custody for purposes of attribution, examination, identification, or consideration as a purchase, gift, or loan shall be promptly tagged, recorded and maintained using generally accepted levels of care. 15

17 a. Artifacts to be held in temporary custody shall be reported to the Office of Registrar. Further, a written note shall be made to record the condition of the artifact as received. If the artifact is especially valuable or if the condition of the artifact is poor, arrange for photographs to be taken immediately to document condition upon receipt. b. Store the artifact in the collection management storage area, or some other secure collections storage area, and log the item. The process of examining and returning the artifact to the owner should be completed within 14 days. 12. Accessioning. Only artifacts that fit the Scope of Collection Statement (SOC) shall be approved for accession. a. Accessioning is the first step in the process of establishing accountability for artifacts received into the collection management system. The process of accessioning is the official acceptance of museum artifacts into legal custody, and establishes the basis for legal title (ownership) and possession of the artifacts. Artifacts accepted in the museum property collections must be accessioned. b. An accession refers to a single artifact or a group of artifacts received into the museum property collection from one source, under one type of transaction, usually on one date. For example, if an individual donates several artifacts at one time, the donation is considered one accession transaction. In certain instances, such as an ongoing archeological excavation or a natural history field project, materials (artifacts, visual images, and documents) received in more than one batch and at different times may be considered a single accession. A single accession number may be designated to the processed archeological materials resulting from a given archeological project provided that the project is discrete, has the same funding source, project name, principal investigator, and geographic location, and occurs within the same field season or year. An accession receiving report or equivalent with an accompanying inventory must be completed for each delivery of materials to be added to the museum property collection. 16

18 c. Accessioning begins with receipt of an artifact, completion of the necessary accessioning documentation, establishment of an accession file, and tagging the artifact with an accession number. Originals or copies of all documents pertaining to an acquisition should be marked with the accession number, using archival ink, and then placed in an accession folder. Photocopies should be made on archival bond paper for longevity. d. All artifacts intended to be included in the museum property collection must be accessioned. Artifacts left at a museum to be considered as a possible donation for a short period of time must have a Receipt for Property, an artifact temporary custody receipt, or museum equivalent completed. Artifacts held in temporary custody may also be considered short-term loans. Do not accession artifacts until the designated authority considers a recommendation by the Museum Property Committee or equivalent to include them in the museum property collection. Recommendations concerning museum property, acquisitions, and deaccessions shall be provided by the Museum Property Committee to the Museum Director. e. All accessions must be fully cataloged and input into the collections management software. All donations, purchases, exchanges, transfers, and field collections must fit the museum Scope of Collection (SOC) Statement. The accountable officer should sign all legal documents transferring title and/or custody. 13. Procedures for Receiving Artifacts. The following procedures apply subsequent to approval for accession: a. Upon receipt, unpack and inspect artifacts to ensure that the items correspond to the written documentation transferring ownership and/or custody, or confirming the transaction. The artifacts should be inventoried on the accession receiving report or equivalent if they are not inventoried on another document, such as a deed of gift. b. Upon taking custody of a new artifact, complete an accession receiving report or equivalent. Obtain photographic documentation and other information about the artifact from the source of accession (e.g., donor). Record information about how the artifact came into the possession of the source of accession, use and manufacture, 17

19 and significance. Include the source of accession (an individual or an institution with the name of the responsible individual), address and telephone number and, if applicable, the name of the excavation that generated the artifacts. This information is essential for accurate documentation of the artifacts and for establishing accountability. (1) Record the overall condition of the artifacts and note any damage that may have occurred in shipment. Immediately report damage, in writing, to the owner or donor. If something that the museum accepts responsibility for is already damaged and this fact is not documented, the museum may be held accountable for the damage. (2) Obtain all available information and documentation concerning the transaction at the time of receipt. Obtain as much information as possible from the source of the artifact (e.g., identification, history, people associated with the artifact, previous owners, origin, and use). When possible, obtain this information in writing from the source. Information given by the source provides a critical provenance for artifacts. File legal documents for the transaction in the accession folder. (3) Input all data into the collections management system and accession book. (4) Establish an accession file. (5) Generate an accession folder that contains all pertinent accession documents. Place the folder in the accession file. c. Legal Considerations (1) Ownership. Obtain proof of ownership when receiving a donation, purchase, exchange, or transfer. Obtain a written and signed proof of ownership statement or document indicating clear title from the source of accession. In the case of a donation, include this statement as part of the deed of gift or equivalent. In the case of a purchase, exchange, or transfer, include the statement in the legal document transferring title of the property to the museum. 18

20 (2) Copyright. Copyright protects original works of authorship fixed in any tangible medium of expression. (a) When receiving a gift, transfer, purchase, or exchange. The Copyright Act of 1976, reference (n) provides copyright protection for "original works of authorship" fixed in tangible form including written documents, and works of art such as sculptures, paintings, and photographs. The law applies to published and unpublished works. Effective January 1,1978, copyright or intellectual property is separate and distinct from physical property and title must be specifically conveyed in writing. Works acquired prior to that time may be assumed to have had the copyright transferred with the works, unless there was a written statement to the contrary. (b) Copyright may be owned by the creator, employer, heir, agency, or individual. Under current U.S. copyright law, donors who offer the museum copyrightable artifacts (i.e., photographs, prints, original fine arts, graphic designs, literary, or musical works) have five rights that constitute a copyright interest to transfer. These include the right to (1) reproduce (including photographs or records), (2) prepare derivative works, (3) distribute or sell copies,(4) perform publicly, and (5) display the copyrighted work. (c) The standard gift form (appendix 2) allows the donor to convey all copyright interests by signing the gift form donating the artifact to the museum. If the donor wishes to retain copyright interests, the museum should obtain a nonexclusive license that allows the artifacts to be used for normal museum purposes. The addition of optional wording concerning the retention of copyright may be included after consultation with the designated official. The following wording is recommended: I/we give permission to use said artifact(s) and/or visual image(s) or other reproductions of it (them) for all standard museum purposes including, but not limited to, exhibition, publicity, outgoing loan, research, and educational endeavors. Figure

21 (d) While exceptions permit the display of a work by the legal owner without permission from the copyright holder, the museum should still obtain the above permission in order to safeguard the museum from possible adverse legal action. Fair use of a copyrighted work permits certain reproductions without infringement based on type of use, nature of the work, percentage of work reproduced, and the effect of reproduction on the commercial value of the work. Library photocopying of single copies may be permitted if the material is not used (directly or indirectly) for profit, if the repository is open to the public, if the work is not a loan (unless permission to copy is included in the loan agreement), and if there is a notice of the copyright included in the copy and there is a notice regarding the use of copyrighted materials posted in the public area. (e) For those works acquired after 1978 without the specific written copyright transfer, the Navy does not own copyright interests. The copyright of work prepared in the course of normal duties by museum professionals is vested in the museum. For work commissioned or "work for hire" by the museum, copyright to the work is presumed to be vested in the museum, unless otherwise noted. To avoid possible confusion, the written agreement with the creator or contractor shall clearly define the copyright to be conveyed to the museum. Generally, per reference (k), work performed by Government employees in the course of Government employment is not copyrightable. (f) Reproduction of Copyrighted Materials. Under certain conditions specified in the law and discussed in reference (m), libraries and archives are authorized to furnish a photocopy or other reproduction. One of these conditions is that the photocopy or other reproduction is not to be used for "any purpose other than private study, scholarship, or research." If a user makes a request for, or later uses a photocopy or other reproduction for purposes in excess of "fair use," that user may be liable for copyright infringement. The museum should reserve the right to refuse to accept a copying order if, in its judgment, fulfillment of the order would violate the law. 14. Special Considerations. 20

22 a. Foreign Property: Captured Enemy Equipment, Documents, and War Trophies. The collection and exploitation of foreign property, primarily a function of the intelligence community, is beneficial to round out the historical record of U.S. Forces in conflicts and events abroad. The objectives of acquiring foreign material are to: (1) Record foreign technical material threats as they affect operational commanders; (2) Record foreign technological capabilities and limitations; (3) Provide a long term holding from which military countermeasures are developed; (4) Provide information which will enable U.S. Armed Forces to use foreign materials and facilities; needs; (5) Exploit new developments for U.S. military (6) Provide historical aspects for operational studies on characteristics, capabilities, and limitations of foreign facilities, installations, and resources. b. War Trophies. War trophies are defined by reference (o). (1) DON War Trophies. USN / USMC operational units and DON museums and historical branches collect war trophies and historical property during operational deployments for inclusion in their respective collections. Artifacts collected for any DON Historical collection are not subject to reference (p). (a) The collection of war trophies will be determined by the Secretary of Defense, theater, joint task force, or unit commanders in accordance with references (p) and (v). DON Field historians and artists on operational deployments have no authority to authorize collection of war trophies for retention by their respective museum. (b) The collection of captured flags, standards, and colors is governed by reference (q). When collected these flags, standards, and colors shall be 21

23 delivered to the President, and under his direction they shall be preserved and displayed in any public place he/she considers to be appropriate. (c) With regard to arms, ammunition, and explosives the DOD is exempt from the registration of firearms in the National Firearms Registration and Transfer Record under reference (r), however all foreign property under this category will be inspected and made inert by qualified Explosive Ordnance Disposal (EOD) personnel prior to movement out of the area of operations. (2) Recovery and collection of war trophies should be coordinated by the theater and component staffs with the appropriate service headquarters historical office. This includes units working to coordinate their historical collecting with the joint staff intelligence component. The Staff Judge Advocate (SJA) should establish policy and procedure to permit collections of foreign historical property. All items collected should be reported to the respective command historical office. The staff logistics component should coordinate the shipment of authorized items to CONUS. c. Prohibited Items. Under the provisions of the UNESCO Convention of 1970, of which the United States is a subscriber, the DON is committed to refuse to accept or acquire materials and objects where there is cause to believe that the circumstances of the collection involved harm to individuals or needless destruction of historic sites, buildings, structures, habitats, districts, and objects. Under this convention there are several categories of items that are not considered to be war trophies and are therefore prohibited, and may not be retained or imported into the United States from any foreign country in accordance with references (o) and (s). Prohibited items include: (1) Any items that are government-owned or privately owned of a household nature, objects of art, articles of value such as silver or gold items, china, furniture, stamps, currency, gems, and/or paintings, with historical value or significance; (2) Objects, to include works of art or science, which were the property of municipalities or institutions 22

24 dedicated to religion, charity, education, arts or sciences; SECNAVINST 5750 (3) Any items which are more valuable to research, training, or military intelligence, historical, or other purposes than as a war trophy; (4) Any weapon, by whatever name called, which propels or expels (toxic) gas, or (toxic) gas producing material, either by means of explosive or compressed air; (5) Any ammunition, explosives, or any other item containing explosives; (6) Name plates removed from any type of equipment or vehicle, except where authorized by the appropriate authority; (7) Firearms, except for DON historical or museum collections, regardless as to the degree of serviceability, as defined by reference (u)national Firearms Act (NFA); (8) Any destructive device. 15. Deaccessioning and Disposition of Artifacts. An artifact is deaccessioned when it is removed from a museum s collections. An artifact or collection of artifacts may be considered for deaccessioning if (1) there are no restrictions to its being deaccessioned and (2) it does not contribute to the museum s mission. A collection proposed for removal is reviewed on the basis of its strengths and weaknesses. For a deaccession and disposal record see appendix 5. The following questions may facilitate the deaccession decision process: Intellectual contribution. Is the artifact relevant or useful to the purpose of the museum? Would removing it strengthen the collection or narrow the collecting area? Cultural Origin. Is the artifact more appropriately returned to the custody of an organization representing a specific culture or people? Research or exhibition potential. Could the artifact be more appropriately placed in some other non-profit organization and still remain in the public domain? 23

25 Provenance. Does the museum hold clear title? Should the donor or some other party be notified? Are there political considerations? Condition, quality, and quantity. Has the artifact deteriorated beyond usefulness? Is the artifact duplicated by other material? Cost of conservation, storage, and maintenance. Can the museum afford to provide timely and responsible care for the artifact? Restrictions of use. Did the donor place any restrictions on the disposition of the artifact? (Although there is generally no legal obligation to notify the donor of a proposed deaccession, an attempt to do so should be undertaken by the curator as a matter of courtesy.) a. Deaccessions must be approved by the Director. The collection committee shall ensure that all departments are given the opportunity to access the pending deaccessioned collection for research or departmental needs and clarify whether the collection should be deaccessioned. Once deaccession approval has been given, compile copies of pertinent information including the accession worksheet and proof of legal ownership, if any, along with a 90-day notice of action. If, after 90 days, the Curator of the Navy has not notified the museum of a need for the item, follow proper protocol to deaccession the artifact to the Defense Revitalization Management Office (DRMO). Additional guidance with regard to deaccessioning can be found in references (c) and (v). General information pertaining to the demilitarization of artifacts prior to deaccessioning can be found in reference (h). b. Only the following methods of disposition are approved for a deaccessioned artifact: (1) Transfer to the donor organization, including transfer to the originating federal agency if such transfer is called for by interagency agreement. (2) Transfer to another Navy collecting unit. (3) Transfer to another non-profit organization for the purpose of exhibition, study, or related activity. 24