University of Pennsylvania Museum Acquisitions Policy & Procedures October 2002
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University of Pennsylvania Museum Acquisitions Policy and Procedures
I. ACQUISITIONS POLICY
A. Introduction
In the spirit of the April 1, 1970 decision of the University Museum of the University of
Pennsylvania, entitled "Regarding the Illicit Trade in Art Objects," the University of Pennsylvania
Museum of Archaeology and Anthropology wishes to reiterate its support for the subsequent
November 1970 "UNESCO Convention on the Means of Prohibiting and Preventing the Illicit
Import, Export and Transfer of Ownership of Cultural Property," and its compliance with the January
1983 "Convention on Cultural Property Implementation Act" (Public Law 97-446) of the United
States Congress. All objects that are considered for acquisition will be reviewed in the light of the
1970 UNESCO Convention. Objects offered to the Museum and imported into the United States
prior to the adoption of the UNESCO convention of 1970, will be considered in the light of the laws
in place in their countries of origin at the time of their documented appearance in the United States.
Countries of origin will be considered to be the geo-political entity that existed at the time of export.
The Board of Overseers, Director, Curators, and Staff of the University of Pennsylvania Museum
reaffirm that they will not knowingly acquire, by gift, bequest, exchange, or purchase, any materials
known or suspected to have been exported from their countries of origin since 1970 in contradiction
to the UNESCO Convention, to which the Museum fully subscribes. They will actively discourage
the collection and the exhibition of such material in the University of Pennsylvania Museum. In
addition, the Museum will adhere to pertinent U.S. laws (including, but not limited to, Fish and Wild
Life laws), U.S. guidelines concerning the unlawful appropriation of objects during war times, and
international/bilateral treaties regarding cultural properties.
In the interests of conserving archaeological sites, gaining scientific information, and preserving our
own prehistoric past, the Museum further affirms that it will not knowingly in the future acquire
materials unscientifically or illegally excavated in the United States in compliance with the
Antiquities Law of 1906, the Archaeological Resources Protection Act of 1979, and related
legislation.
The University of Pennsylvania Museum also states that it will not knowingly acquire ethnographic
specimens exported from those countries which have established laws prohibiting the export of such
materials. It will not knowingly acquire ethnographic materials which were improperly removed
from their original places, or materials known to be currently used for religious or ceremonial
purposes, without the permission of the specific groups or individuals who have jurisdiction over the
services relevant to these materials, to the original producers, their heirs, or other properly
constituted legal representatives.
The University of Pennsylvania Museum will, as of November 16, 1990, collect Native American
human remains only in accordance with the provisions of Public Law 101-601. Human remains,
regardless of origin, will be accepted and accessioned into the collections only after a case-specific
legal and ethical review is presented and accepted by the Director and the Collections Committee.
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B. Collections Scope and Goals
The University of Pennsylvania Museum collects documented archaeological and ethnological
materials from the five inhabited continents for the express purposes of preservation, research,
exhibition, and public education.
Within this scope, specific collecting goals are to be developed and updated by curatorial sections
every five years. These goals shall be reviewed and approved by the Museum and be used for
enhancing the collections of the Museum.
C. Collections Committee
A Collections Committee shall be maintained by the Museum to review proposed acquisitions and
deaccessions and make recommendations for the Director. The Collections Committee may also
propose to the Museum Exhibitions Committee newly acquired artifacts to be exhibited in the New
Acquisitions Case.
The Committee will be appointed by the Director with representatives from the Board of Overseers,
Curators, Keepers, Development Office, Registrar’s Office, Conservation, and Education
Department.
D. Types of Collections
The University of Pennsylvania Museum has formed and is responsible for the following collections:
1.
Accessioned Collections: documented archaeological and ethnographic materials primarily
for research, exhibition and preservation purposes. They are under the care of the respective
curatorial sections.
2.
Archival Collections: records of expeditions, researches, exhibitions, or administration either
in words, visual images, or in photographic format. They are under the care of the Museum
Archives.
3.
Educational Materials: objects whose sole use is to facilitate various educational programs,
such as Mobile Guides, teacher’s packages, or children’s workshops. Designated for
touching and handling by school children, these materials are unaccessioned and managed by
the Education Department including the International Classroom. Except where explicitly
specified in this document, the management of educational material will follow a separate
policy and procedures (see Appendix D).
E. Acquisitions Sources and Conditions
The University of Pennsylvania Museum acquires artifacts primarily through field collecting, but
also by gifts, bequests, transfers, exchanges, and purchases.
1.
Field Collections, whether archaeological or ethnographic, shall be made only under strict
compliance with the laws of the country, state, or province in which the field work is carried
out. Ethnographic material, usually purchased in the field, will be systematically collected
and documented as fully as possible.
2.
Gifts, bequests, and transfers will conform to the following conditions:
a.
Objects must meet the legal and moral stipulations set forth in the introductory
section of this acquisitions document
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b.
3.
4.
Objects must be the legal property of the owner/institution/dealer making the offer, or
he/she/it must have legal authority to dispose of said objects. Full title of ownership
must be transferred to the Museum at the time of the transaction (unless special
arrangements have been made for a partial gift).
c.
Objects will be considered if they add significantly to the existing collections or
fulfill specific collecting goals since storage space is limited
d.
Objects should be normally free from major conservation concerns
e.
The Museum normally accepts unrestricted gifts. Only in extraordinary circumstances
will the Museum consider accepting a gift of objects with restrictions or conditions
The Museum occasionally considers exchanges with other museums or educational
institutions which qualify as a public charity under the Internal Revenue Code. Such
exchanges must be justified as serving the best interest of the Museum and meet all the
stipulations as stated in this document. No exchanges will be made with dealers, sales
galleries, or private individuals.
Purchases, including field collections, must conform to all of the stipulations as stated in this
document.
F. Acquisitions Approval
Objects offered through the above sources will become part of the Museum’s Accessioned
Collection or Archival Collection pieces only upon:
1.
Recommendation of the appropriate Curator, or, if there is none, of the Section Keeper in
consultation with the Deputy Director for Curatorial Affairs; recommendation of the
Archivist for Archival Collections, and that of the Associate Director for Programs for
Educational Materials
2.
Review and recommendation of the Collections Committee.
3.
Final approval of the Director.
4.
For purchases above $10,000, the Director may, at his discretion, consult with the Board of
Overseers.
G. Other Stipulations
1.
Objects that were once a part of the Museum's collections and were legally disposed of and
subsequently returned to the Museum will be treated as new acquisitions and will be subject
to the same terms and procedures as all other acquisitions. They will not, however, be
assigned new accession numbers if their original numbers are known.
2.
The University of Pennsylvania Museum will not accept objects for sale, but may
occasionally accept them for scientific analysis, exchanges, or donations to other educational
institutions.
3.
The Museum is not obliged to accept bequeathed items that are not appropriate for its
collections.
4.
If gift or bequest collections, or parts of collections, are acquired with the intent to dispose of
a portion by exchange with other institutions, outright gift, or other means, the donor will be
so informed. If gifts are disposed of prior to being held for two years the donor and the IRS
(Internal Revenue Services) will be informed, as IRS regulations require, of the transaction.
If gift or bequest collections, or parts of collections, are acquired for Educational Materials or
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for scientific analysis, the donor will be so informed.
Additions to the collections of the University of Pennsylvania Museum must be reported to
the University Development Office who will forward the information to the proper offices of
the University of Pennsylvania (see Appendix A).
H. Appraisals
The University of Pennsylvania Museum staff members are not permitted to make monetary
appraisals of objects. Appraisals for gifts or bequests must, by Internal Revenue Service regulation,
be made by an independent person or agency. Donors are responsible for selecting appraisers and the
cost of the appraisals (see Appendix B).
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II. ACQUISITIONS PROCEDURES
A. Procedures for Gifts (including bequests and transfers):
Objects offered through the above sources will become part of the Museum’s Accessioned
Collections, Archival Collections, or Education Materials only by going through the
procedures listed below.
1.
A potential donor shall express in writing his/her intention to donate an object. Such
offers shall be sent to the Registrar's Office or forwarded to the Registrar’s Office if
received by other Museum staff members. The Registrar will check that the donation
conforms to Museum policy and notify the owner of the Museum's procedures on
acquisitions and appraisal. After it is determined that accepting the piece would be in
accordance with the Museum's Acquisitions Policy, the Registrar will open a Proposed
Acquisition file and start the donation process.
2.
Preliminary work will be done, when possible, from photographs. If further
examination of the object is requested by curatorial staff, the Registrar’s Office will
make arrangements with the owner to have the object delivered and issue a receipt.
3.
A memo will be sent to the appropriate Curator or Keeper, with a copy to the Deputy
Director for Curatorial Affairs, asking whether the object should be accepted into the
Accessioned Collections, Archival Collections, Educational Materials, or be
considered for other options.
4.
The Conservation Department will be consulted in order to identify any problems the
object may have, and to recommend any special needs relating to storage, exhibit, or
analysis.
5.
The Curatorial, Archives, Education, and Conservation staff will provide their
recommendations in writing, outlining justification for acceptance or denial.
6.
The potential donor will be notified in writing of the staffs' initial recommendation,
which is subject to the Collections Committee’s review and the Director’s final
decision of acceptance or rejection.
7.
If acceptance is recommended by the staff two Deed of Gift forms will be prepared
and sent to the donor with the initial letter. The donor will be asked to sign and return
both copies to the Registrar and informed that a countersigned copy will be returned
upon final approval.
8.
A meeting of the Collections Committee will be called as needed, at least two times a
year. The Registrar will prepare the agenda and donation reports with object
information and sections' recommendations and present them to the Committee for
review and recommendation.
9.
The Registrar will submit the Committee’s recommendation, along with the Deed f
Gift forms already signed by donors, and the Letters of Acknowledgment, to the
Director for his approval and signatures.
10.
Once officially approved by the Director, an accession number will be assigned to the
object and the Accessions Book filled out. The Museum maintains one countersigned
Deed of Gift form, the other one together with the Letter of Acknowledgement are
then sent to the donor. Copies of the Deed and Letter are kept in the Accessions file
and sent to the Museum's Development Office.
University of Pennsylvania Museum Acquisitions Policy & Procedures October 2002
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If the donor wishes to have the piece appraised, the responsibility of selecting an
appraiser, including its cost, lies completely with the donor. The Registrar's Office
maintains a list of appraisers in the Philadelphia area, which may be shared with
potential donors who request this information. Museum staff cannot make
recommendations or indicate competence or professional reliability of an individual
appraiser.
B. Procedures for Purchases
The procedures listed below accommodate purchases for various purposes or by different
methods, such as the Museum general purchases, purchases in the field, or for Education
Materials.
1. Purchases for General Purposes:
a.
A piece may be offered to the Museum for purchase, either through the
Director, through a staff member, or directly to the Registrar's Office. All
purchases are administered by the Registrar's Office. When an object is
offered for purchase through a staff member, the Registrar's Office should be
apprised of the offer as soon as possible. If the purchase offer is made to the
Director or the Registrar, the Keeper and Curator should be notified as soon as
confirmation of legal export is determined
b.
The Registrar will ask for photographs and history of the object. The Registrar
is responsible for determining that purchase of the object is in accordance with
the Museum's accession policy (i.e. UNESCO, etc.) When the object is
brought to the museum, the Registrar will issue a receipt and place the object
in a holding area. A decision must be made within six months of receipt about
its purchase or return
c.
Once the Director, with the concurrence of the curatorial staff, determines that
an object should be purchased, a memo of recommendation will be written for
the Collections Committee. The memo will be sent to the Registrar's Office
d.
The Collections Committee will make a recommendation on the purchase
e.
The Director will give final approval (or disapproval) for the purchase upon
the Collection Committee's recommendation
f.
As needed, the Director will authorize a fund allocation, with a copy to the
Registrar
g.
The seller will be asked to submit an invoice to the Registrar's Office. The
Registrar will then prepare a Bill of Sale for the seller’s and Director’s
signature
h.
The Registrar will submit the invoice and copy of the Bill of Sale to the
Business Office. Payment will be processed on C-3 (individual) or C-6
(company) forms by the Business Office
2. Purchases in the Field:
a.
A curatorial proposal for field collecting will be submitted to the Director for
approval and fund allocation. Once the Director approves, a copy of the
proposal and the fund allocation information will be sent to the Registrar’s
Office
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The Registrar’s Office will assist with bills and payment if needed
Once objects are brought to the Museum, objects and purchase-related
information should be forwarded to the Registrar’s Office for processing and
filing
d.
The objects will be presented to the next Collections Committee for review
3. Purchases for Educational Materials:
a.
Education Department may initiate the purchase of objects for education use
b.
Funding for the purchases is the responsibility of the Education Department
c.
The objects will be presented to the next Collections Committee for review
b.
c.
C. Procedures for Exchanges
Objects, proposed for exchanges with other museums or qualified institutions, will be treated
as both new acquisitions (in-coming objects) and deaccessions (out-going objects). They will
be subject to the same terms and procedures specified in this document and the Museum’s
Deaccession Policy and Procedures.
D. Procedures for Archaeological Field Collections
1.
To familiarize curatorial staff with import/export and international shipping
procedures, the Registrar’s Office will circulate the “Procedures for International
Shipping to the University of Pennsylvania Museum” in the early summer of each year
(see Appendix E).
2.
If a Project Director anticipates bringing archaeological collections to the Museum,
s/he must notify the Registrar’s Office before going into the field.
3.
The Project Director should provide the Registrar’s Office with a brief description of
the site and/or and excavation synopsis.
4.
A copy of the Excavation and/or Collecting permit should be forwarded to the
Registrar’s Office.
5.
If the situation pertinent to field collecting changes after s/he goes to the field, s/he
should notify the Registrar’s Office as soon as possible.
6.
Before objects are shipped, an itemized list detailing the types of materials to be
imported into the United States and the relevant shipping documentation must be
faxed to the Registrar’s Office. Shipping documentation includes an inventory of the
contents of each crate, value of materials, purpose of shipment, export permit, and
shipping method. Special attention must be given to organic (e.g. animal bones and
plant materials) and soil samples.
7.
The Registrar’s Office will coordinate with the Museum’s designated Customs Broker
for customs clearance and shipment arrival, if needed.
8.
The cost of shipping and customs expenses are the responsibility of the Excavation
Project.
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E. Accession Procedures
The following steps are carried out by the Registrar's Office for all acquisitions except Archival
Collections (for Educational Materials see Appendix D):
1.
An accession file for all basic documentation is created. This file should also include
all correspondence concerning acquisitions.
2.
All objects containing organic materials will be treated for pest control by the Registrar’s
Office upon arrival to the Museum.
3.
A preliminary worksheet is filled out for each object by the curatorial sections, with basic
information on provenience and/or culture, measurements, materials, and description, which
will become the basis for the catalogue cards. The sections will enter this information in
Argus within 6 months of the approval of the new acquisition.
4.
For those sections which do not have a keeper(s) or need assistance to finish the new
accession on time, the Registrar for Record will assist in this regard.
5.
A set of three catalogue cards will be made by the Registrar for Record within two months of
data entry. The original is to be kept in the Registrar’s Office and two copies are to be sent to
the section.
6.
Each object is physically numbered.
7.
A black-and-white record photograph is taken for the Registrar's Office files. Digital images
will also be taken for Argus and, on selected basis, for the Museum web.
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Once processing is completed, objects are transferred to the sections and stored in designated
storage area.
Approved by Jeremy A. Sabloff, The Charles K. Williams II Director, October 21, 2002