Center for the Study of Ethics in the Professions at IIT

The following Guidelines were first formulated to assist member institutions of New York State Association of Museums in reviewing their policies and practices relative to the acquisition and disposition of collection materials. Guidelines have been modified to fit the special needs of the members of the Association of Systematics Collections.

It is recognized that these Guidelines are not binding on individual institutions without special approval and adoption by their governing authorities. However, they do represent the official position of the Association of Systematics Collections (as approved by the Board of Directors) on the ethics and responsibilities that ought to be followed by ASC member institutions on such matters, It is expected Led that the adoption of these Guidelines by the members of the Association of Systematics Collections will place some responsibility on the operating personnel of the member institutions to observe them in their practices, to the extent that they are not in conflict with the requirements and policy of the member's governing authority.

The Board of Directors of the Association of Systematics Collections strongly urges each member institution to adopt these Guidelines, with the approval of their governing authority. If written standards other than these are adopted by member institutions, they should reflect the principles set forth in the Guidelines, modified or amplified as necessary to meet local conditions.

POLICY AND PROCEDURES

Whereas it is the policy and the practice of the member institutions of the Association of Systematics Collections:

--to acquire, retain, and manage collections for the uses they serve in scientific, research, education, and exhibition, and to preserve the collections for such uses by future generations; and

-- to require their employees to act responsibly, ethically, and legally in acquiring, accepting, and disposing, of natural history specimens, of whatever nature; and

-- to discourage by all practical means unethical, illegal, and destructive practices with respect to collecting, transporting, and trafficking in natural history materials; and

--to obtain and maintain adequate records concerning objects in their collections, including the place and circumstances of their origin, their subsequent history; and

--to rely upon the competence and -the judgment: of their scientific staffs, or other experts acceptable to them, on matters concerning the relevance and scientific usefulness of objects in its collections and of specimens proposed for acquisition or disposition; and

--to observe strictly the mandatory provisions and to make reasonable efforts to follow the conditions of precatory provisions that may be attached to gifts and bequests it accepts, to the extent required by prevailing law and advised by competent legal counsel

Therefore the following shall be observed by, and shall all guide Museum employees in acting in their official capacities, unless and until modified or rescinded by the member institutions of the Association of Systematics Collection

1. Acquisition of Specimens for Museum Collections

1. Specimens should not be accepted or otherwise acquired for museum collections unless the following conditions are met:

1. The specimens are relevant to and consistent with the purposes and activities of the museum

2. The museum can provide for the storage, protection, and preservation of the specimens under conditions that insure their availability for museum (and research) purposes; in keeping with professionally accepted standards.

3. It is intended that the specimens shall have permanency in the collections so as they retain their physical integrity and so long as they remain useful for the purposes of the museum.

2. Members of the Association of Systematics Collections shall not knowingly and willingly accept or acquire any specimen that was illegally imported into the United States or that was collected or recovered under circumstances that would support or encourage irresponsible damage to or destruction of biota, collecting sites, cultural monuments, or human. burial places. However, the members of the Association may accept specimen that have been confiscated and offered to the member by government authorities.

1. Every, employee, of a member of the Association, in a position to accept or, otherwise acquire natural history specimens for. the collections, shall be reasonably assured that the' Museum can acquire valid and legal title to them. In considering gifts or purchases, the circumstances of the transaction, the reputation of the seller or donor, and the available knowledge of the object's 'Provenance' shall-leave no doubt that valid and legal title can be transferred to and obtained by the Museum.

2. In complying with these provisions, employees should consult as widely as necessary and reasonable among their colleagues in their own institution and elsewhere. The degree of consultation advisable in a particular case will vary with the significance of the acquisition and the circumstances of the transaction. In doubtful cases, employees should request the counsel of the institution's legal representative.

3. Title to all specimens acquired for the collections should be obtained free and clear,, without restrictions as to use or future disposition. If specimens are accepted with restrictions or limitations, however, the conditions should be stated clearly in an instrument of conveyance, should be made part of the accession records for the objects, and should be strictly observed by the museum.

4. A legal instrument of conveyance, setting forth an adequate description of the specimens involved and the precise conditions of transfer, should accompany all gifts and purchases and should be kept on file at the museum. In the case of sales and conditional gifts, this document should be signed by the seller or donor and by an authorized Museum representative; in the case of unconditional gifts, it need be signed only by the donor.

5. All specimens- acquired for the collections should be catalogued and documented- in the member's records using standards that are normal to the pertinent scientific discipline. These records. should include, where appropriate, the evidence that has been adhered to established the appropriateness of the acquisition within the context of paragraph B above.

6. To the extent practical, the criteria described in paragraph B above should also be considered in deciding whether or not to accept loans of objects or specimens for research, exhibition or for other purposes. In any case, with respect to such loans., it should be the responsibility of the employee into whose charge the loan is made to obtain-for and to retain in his department adequate records of the terms and conditions governing the loan.

7. Should evidence be presented to the member institution that any object in its possession was acquired, subsequent to the date on which these procedures were approved by the members of the Association, in violation of the principles described in paragraph B above, the member institution will conduct an investigation into the circumstances. If justified by the results of the investigation, the member institution will return the object to its rightful or legal owner, to the extent that it is legally possible and practical to do so.

2. Deaccessioning and Disposing of Specimens for the Collections

1. Specimens in the collections should be retained permanently if they continue to be relevant and useful to the purposes and activities of the member institution and if they can be properly stored, preserved, and used. Deaccessioning of specimens may be considered when these conditions no longer prevail or in the interest of improving the collections for the member's purposes and activities.

2. Specimens in the collections should be deaccessioned only upon the recommendation of the appropriate curator or a reasonable authority approved by the curator, upon the approval of the collection's chief operating officer, and in accordance with policies approved by the institution's governing authority. Governing bodies, e.g. Board of Trustees., are urged to adopt specific policies with respect to such matters, including the conditions under which transactions -must be reported to and approved by the governing authority.

3. In considering various alternatives for the disposition of deaccessioned specimens, institutions should be concerned that:

1. The manner of disposition is in the best interests of the institution, the public it serves,, the public trust it represents in owning the collections, and the scholarly or cultural communities that it represents.

2. Preference should be given to retaining in the State or Nation material that is part of the historical., cultural, or scientific heritage of each institution's State or of the United States, respectively.

3. Consideration should be given to placing the specimens, through gift, exchange, or sale, in another tax-exempt public institution wherein they may serve the purpose for which they were acquired initially by the institution. If specimens are offered for sale elsewhere, preference should be given for sale at advertised public auction or to the public market place in a manner that will best protect the interests, objectives, and legal status of the institution.

4. Specimens should not be given or sold privately to employees of the institution, officers, members of the governing authority, or to their representatives.

4. Before disposing of any objects from the collections, reasonable efforts should be made to ascertain that the institution is free to do so. Where restrictions as to use or disposition of the specimens under question are found to apply, the institution should act as follows:

1. Mandatory restrictions should be observed strictly unless deviation from their terms is authorized by a court of competent jurisdiction.

2. Specimens to which precatory restrictions apply should not be disposed of Until reasonable efforts are made to comply with the restricting conditions. If practical-and reasonable to do so considering the value of-the specimens under question, the institution should notify the donor if it intends to dispose of such objects within ten years of receiving the- Sift or within the donor's lifetime, whichever is less.

3. If there is any question as to the intent or force of restrictions, the ins institution should -seek the advise of its legal counsel.

5. An adequate record of the conditions and circumstances under which objects are deaccessioned. and disposed of should be made, and retained as part -of the institution's permanent collection records.

3. Public Disclosure

1. A written statement of the policy and procedures adopted and followed by institutions with respect to the acquisition and disposition of. collection materials should be prepared and should be made available to donors or other responsible persons on request.

2. In reply to responsible inquiry, institutions should make available the identity and description of collection 'materials acquired or deaccessioned. All other facts pertaining to the circumstances of acquisition, deaccession, and disposal should be adequately documented in the institution's records.