Form NSF 1563 NSF 1563 Archaeological, Anthropological, and Ethnographic Collec

National Science and Technology Council (NSTC)

Committee on Science (COS)

Interagency Working Group on Scientific Collections (IWGSC)

Archaeological, Anthropological, and Ethnographic Collections Survey

Dear Participant,

The FY 2007 Research and Development Budget Priorities Memorandum established Federal scientific collections as one of two areas requiring special attention by the National Science and Technology Council (NSTC). Arguing that object-based scientific collections provide the fundamental infrastructure for contemporary and future research, the NSTC Committee on Science (COS) formed the Interagency Working Group on Scientific Collections (IWGSC) to address the scientific, environmental, societal, and national security needs for such collections, including an assessment of current collection resources.

The survey that follows will establish for the first time the scope and breadth of federally held object-based scientific collections. The survey results will provide a snapshot of the current condition of object-based scientific collections held or supported by federal agencies. The information collected will enable the NSTC to assess the priorities for and stewardship of scientific collections.

On behalf of the NSTC/COS Interagency Working Group on Scientific Collections, we thank you for your participation in this survey.

Signed:

David Evans, The Smithsonian Institution

Phyllis Johnson, US Department of Agriculture

INSTRUCTIONS

In the pages that follow, we ask that you provide information regarding the object-based scientific collection and any associated ancillary collections that are part of your Agency’s holdings or for which your Agency has permanent responsibility.

ONLINE INSTRUCTIONS

The Survey is divided into 11 short sections which must be completed sequentially. The on-line version does not allow you to return to a previous section once you have started the next section. Upon completing each section, you will be given the option of:

Saving your responses and continuing to the next section

OR

Saving your responses and continuing the survey at a later time.

Reminder: Once you start a section, even if you only view it, you must complete that section because the survey does not allow you to return to a section that you have already viewed. For example, if section C is the last section you were working on, and you choose to save and continue later, when you open the document you will be directed to section D even if you have not completed section C.

For your convenience in completing the on-line survey, we suggest that you print out a copy of the survey and review all the sections prior to completing the on-line version.

FOR FURTHER INFORMATION

If you have any questions about this survey, please contact William Tompkins [[email protected]], 202-357-3125.

DEADLINE

In order for us to include your response with those of all other participating agencies, we ask that you complete this survey no later than [DATE].

COLLECTIONS INCLUDED IN THIS SURVEY

This survey includes only object-based scientific collections maintained or financially supported by the Federal government, and any ancillary materials directly related to the object-based scientific collections. The survey is designed to allow you to report on up to 6 separate collections.

“Object-based scientific collections” are defined as collections primarily acquired, maintained and used for scientific research, such as natural and physical science specimens, living animals and plants, archaeological and ethnographic objects, or technological objects of current or contemporary design.

“Ancillary collections” include important materials that are associated with an object-based scientific collection, but only if the material is directly used for scientific research, such as archival and library materials, audio and visual media, and data that might reside in databases.

COLLECTIONS EXCLUDED FROM THIS SURVEY

Historic and artistic collections that do not function as scientific collections are excluded from the survey. For example, a collection of wreckage from an aircraft accident would fall outside the scope of the survey if it were part of a current investigation, maintained for historical purposes only, or otherwise closed to access. However, this same collection would be within the scope of the survey if it were being maintained for the use of researchers who are researching metal fatigue, fire dynamics, failure propagation, or other related phenomena.

Library collections are also excluded unless the collection is in support of the research objects themselves.

Collections of data (both analog and digital) or databases containing such data are excluded from this survey unless those data collections are associated with an object-based scientific collection and are used directly to support the conduct of scientific research, in which case they may be treated as ancillary collections. (See “Ancillary collections” definition above).

Independent, non-object based collections of data are not included in this survey as the NSTC/COS plans a separate study of those collections.

INFORMATION TO BE PROVIDED BY SECTION

1. Reporting Unit Information

2. Description of the Reporting Unit

3. Purpose and Use of the Collection

4. Scope and Size of the Collection

5. Condition of the Collection

6. Care and Preservation of the Collection

7. Collection Documentation and Accessibility

8. Collection Funding

9. Policies and Procedures

10. Collection Staffing

11. Additional Questions

A. Reporting Unit Information

In this section, we ask that you provide the name of your reporting unit, parent organization, and the name of the individual completing the survey complete with contact information.

A-1.

Name of the reporting unit:

Street Address:

City, State, Zip:

A-2.

Name of parent agency or organization, if applicable:

A-3.

Name of the individual completing this survey:

Title:

Street Address:

City, State, Zip:

Telephone: (ex: 123-456-7890)

Fax: (ex: 123-456-7890)

Email:

Today’s date: (ex: 12/31/2006)

A-4. Which level listed below best describes the level at which you are reporting about your scientific collection? (Mark just one.)

1. Agency director

2. Bureau/division director

3. Program director

4. Collections manager

5. Other, please specify ___________________________________

A-5. May the NSTC Interagency Working Group on Scientific Collections include your reporting unit on a published list of survey participants? (Mark just one.)

1. Yes

2. No

B. Description of the Reporting Unit

In this section, we ask that you provide descriptive information regarding your reporting unit’s governance and primary purpose.

B-1. Which of the following most closely describes your reporting unit’s governance? (Mark just one.)

1. Federal agency

2. Independent federal agency

3. State agency

4. Local (county or municipal) agency

5. Non-profit, non-governmental organization

6. Other, please specify: __________________________________________________

B-2. Which of the following most closely describes your reporting unit’s primary function or service? (Mark just one.)

1. Archaeological repository

2. Bio-repository

3. Medical research center

4. Museum

5. Nature center or zoo

6. Regulatory agency

7. Scientific research organization

8. Other, please specify: __________________________________________________

C. Purpose and Use

In this section, we ask that you list the archaeological, anthropological, and ethnographic collections you will be describing, as well as information on the primary purpose and users of the collections.

C-1. In the space provided, list the scientific collection you will be describing in this survey. You may list up to six collections. This information will be used to guide your responses in sections D, E, F, and G that follow.

Collection 1

Collection 2

Collection 3

Collection 4

Collection 5

Collection 6

C-2. What is the primary purpose of the collection? (Mark all that apply.)

1. Public health

2. Public safety

3. Trade and/or economic development

4. Medical research

5. Homeland security

6. Environmental monitoring

7. Basic research

8. Other, please specify: ________________________________________

C-3. What percentage of the collection is duplicated in other repositories? (Mark just one.)

1. None

2. 1 – 25%

3. 26 – 50%

4. 51 – 75%

5. 76 – 99%

6. 100%

7. Do not know

C-4. Who are the primary users of the collection? (Mark no more than 3.)

1. Reporting unit staff

2. Students

3. Federal agencies

4. State/local agencies

5. Non-profit organizations

6. Academic institutions

7. Regulatory agencies

8. Government / policy administrators

9. Commercial entities

10. National professional researchers / scientists

11. International professional researchers / scientists

12. General public

C-5. In the questions below, estimate the number of individuals and institutions that used the collection(s) themselves or associated ancillary collections in FY2005. (Mark just one per row.)

Individual users

	0	1-100	101-1,000	1,001-10,000	More than 10,000
Individuals that physically accessed the collection(s)	❏	❏	❏	❏	❏
Individuals that electronically accessed the collection(s)	❏	❏	❏	❏	❏
Individuals that physically accessed any ancillary collection(s)	❏	❏	❏	❏	❏
Individuals that electronically accessed any ancillary collection(s)	❏	❏	❏	❏	❏

Institutions

	0	1-100	101-1,000	1,001-10,000	More than 10,000
Institutions that physically accessed the collection(s)	❏	❏	❏	❏	❏
Institutions that electronically accessed the collection(s)	❏	❏	❏	❏	❏
Institutions that physically accessed any ancillary collection(s)	❏	❏	❏	❏	❏
Institutions that electronically accessed any ancillary collection(s)	❏	❏	❏	❏	❏

D. Scope and Size

In this section, we ask that you describe the scope and size of the object-based archaeological, anthropological, and ethnographic collections together with information about changes in the collections size in recent years.

D-1.What is the geographic scope of the objects in the collection? (Mark all that apply.)

1. Worldwide

2. Regional-worldwide

3. National-worldwide

4. United States

5. Regional-United States

6. Local-United States

7. Other, please specify: ________________________________________

D-2. In the boxes provided below, describe the size of your unit’s object-based scientific collection. Estimate the number of objects in the collection using the defined unit of measurement for each category or enter UNK if the number of units is unknown or enter 0 for holding categories that do not apply.

ARCHAEOLOGICAL COLLECTIONS

	Organic holdings (e.g., textile, fiber, wood, bone, shell, feather)---Bulk material (Record in cubic feet)	Organic holdings ---Individually catalogued (Record in items)	Inorganic holdings (e.g. ceramic, glass, metal, plastic) ---Bulk material (Record in cubic feet)	Inorganic holdings ---Individually catalogued (Record in items)	Ancillary Collections (Record in items)	Ancillary Collections (Record in cubic feet)	Ancillary Collections (Record in linear Feet)
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

ANTHROPOLOGICAL AND ETHNOGRAPHIC COLLECTIONS

	Anthropological and Ethnographic Objects (Record in items)	Ancillary Collections (Record in items)	Ancillary Collections (Record in cubic feet)	Ancillary Collections (Record in linear feet)
Collection 1	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏

D-3. How has the size of the collection(s) changed since FY2000? (Mark just one per collection.)

	Increased	Decreased	No Change
Collection 1	❏	❏	❏
Collection 2	❏	❏	❏
Collection 3	❏	❏	❏
Collection 4	❏	❏	❏
Collection 5	❏	❏	❏
Collection 6	❏	❏	❏

D-4. FOR THOSE COLLECTIONS THAT INCREASED IN SIZE, estimate the average annual growth in the collection since FY2000. (Mark just one per collection.)

	1-25%	26-50%	51-75%	76-100%	More than 100%
Collection 1	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏

D-5. Was the increase predicted or anticipated? (Mark just one per collection.)

	Yes	No
Collection 1	❏	❏
Collection 2	❏	❏
Collection 3	❏	❏
Collection 4	❏	❏
Collection 5	❏	❏
Collection 6	❏	❏

D-6. What were the primary reasons for this increase? (Mark all that apply.)

	Routine collection activity	Government mandates	Change in reporting unit mission	Reorganization or restructuring	Financial / budgetary changes	Staff changes (number and expertise)	Other
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

D-7. FOR THOSE COLLECTIONS THAT DECREASED IN SIZE, estimate the average annual decrease in the collection(s) since FY2000. (Mark just one per collection.)

	1-25%	26-50%	51-75%	More than 75%
Collection 1	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏

D-8. Was the decrease predicted or anticipated? (Mark just one per collection.)

	Yes	No
Collection 1	❏	❏
Collection 2	❏	❏
Collection 3	❏	❏
Collection 4	❏	❏
Collection 5	❏	❏
Collection 6	❏	❏

D-9. What were the primary reasons for this decrease? (Mark all that apply.)

	Routine collection activity	Government mandates	Change in reporting unit mission	Reorganization or restructuring	Financial / budgetary changes	Staff changes (number and expertise)	Other
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

E. Condition of the Collection

In this section, we ask that you characterize the condition of your object-based archaeological, anthropological, and ethnographic collections.

E-1. How would you characterize the overall condition of the collection? (Mark just one per collection.)

	Very poor	Poor	Fair	Good	Very good
Collection 1	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏

E-2. Has your reporting unit ever completed a condition survey or an assessment of object-based scientific collections? (Mark just one.)

1. Yes, for the entire collection

2. Yes, for a portion of the collection

3. Yes, but not recently

4. No

5. No, but one is planned, please explain:_________________________________________

F. Care and Preservation

In this section, we ask that you address the adequacy of resources for the care and preservation of your object-based archaeological, anthropological, or ethnographic collections.

F-1. What percent of the collection is stored under conditions considered to be adequate for its care and preservation? (Mark just one per collection.)

	None	1-25%	26-50%	51-75%	76-99%	100%	Do not know
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

F-2. For those collections stored under inadequate conditions, indicate areas of MAJOR need. (Mark all that apply.)

	Additional on-site storage	New or additional off-site storage	Renovated storage space (either on-site or off-site)	New or improved storage equipment (e.g., shelving, cabinetry, racks)	New or improved environmental controls (e.g., temperature, humidity, or light)
Collection 1	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏

F-3. Which of the following areas are MOST IMPORTANT to the maintenance of the collection(s)? (Mark all that apply.)

	Acquisition of additional collections	Refinement and disposal of collections	Additional staff for collections	Additional or improved space for collections	Additional or improved equipment and supplies for collections	Cataloguing of collections	Digitization of collection images and information	Improved access to collections by users
Collection 1	❏	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏	❏

G. Collection Documentation and Accessibility

In this section, we ask that you address the documentation and accessibility of your object-based archaeological, anthropological, or ethnographic collections for research and other uses.

G-1. Estimate the percentage of the collection(s) that is catalogued. (Mark just one per collection.)

	None	1-25%	26-50%	51-75%	76-99%	100%	Do not know
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

G-2. What percent of the collection(s) is accessible for scientific research or other uses? (Mark just one per collection.)

	None	1-25%	26-50%	51-75%	76-99%	100%	Do not know
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

G-3. For those collections deemed inaccessible, indicate areas of MAJOR need. (Mark all that apply.)

	Additional on-site storage	New or additional off-site storage	Renovated storage space (either on-site or off-site)	New or improved storage equipment (e.g. shelving, cabinetry, racks)	New or improved environmental controls for temperature, humidity, or light
Collection 1	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏

G-4. Estimate the percentage of the collection that is accessible through an electronic database. (Mark just one per collection.)

	None	1-25%	26-50%	51-75%	76-99%	100%	Do not know
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

G-5. Estimate the percentage of the collection that is accessible via the Web. (Mark just one per collection.)

	None	1-25%	26-50%	51-75%	76-99%	100%	Do not know
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

G-6. Indicate the types of information about the collection that are accessible via the Web. (Mark all that apply.)

	None	Collection-level descriptions	Minimum catalog information of collection	Images of collection	Minimum catalog information and images of collection	Enhanced catalog information of collection	Enhanced catalog information and images of collection
Collection 1	❏	❏	❏	❏	❏	❏	❏
Collection 2	❏	❏	❏	❏	❏	❏	❏
Collection 3	❏	❏	❏	❏	❏	❏	❏
Collection 4	❏	❏	❏	❏	❏	❏	❏
Collection 5	❏	❏	❏	❏	❏	❏	❏
Collection 6	❏	❏	❏	❏	❏	❏	❏

G-7. Does your agency charge user fees? (Mark just one.)

1. Yes

2. No

3. Do not know

H. Funding

In this section, we ask that you describe the funding associated with the management of your object-based archaeological, anthropological, or ethnographic collections.

H-1. Does your agency’s FY06 budget have funds specifically allocated for the care and management of your collection(s)? (Mark just one.)

1. Yes

2. No specific line-item in budget, but other budgeted funds are available

3. No (Go to question H-3)

4. Do not know

H-2. For FY05, what was the agency’s annual budget designated specifically for the care and management of your scientific collections?

Budget in $

H-3. What is the source of your agency’s funds designated for the care and management of scientific collections? (Mark all that apply.)

1. Federal

2. State

3. County or municipal

4. Corporate

5. Foundation

6. Individual donor

H-4. Does your agency rely on external funding sources to support scientific collections-related activities? (Mark just one.)

1. Yes

2. No

I. Policies and Procedures

In this section, we ask that you describe the availability and status of written and approved policies and procedures designed to guide the management of your object-based archaeological, anthropological, or ethnographic collections.

I-1. For which of the following activities does your reporting unit have written, approved policies and procedures for the management of these collections? (Mark all that apply.)

1. None

2. Acquisition

3. Disposal

4. Documentation

5. Preservation

6. Access and use

7. Handling

8. Security

9. Do not know

I-2. Which policies and procedures are current and up-to-date? (Mark all that apply.)

1. None

2. Acquisition

3. Disposal

4. Documentation

5. Preservation

6. Access and use

7. Handling

8. Security

9. Do not know

J. Staffing

In this section, we ask that you provide information about the number and adequacy of current staffing for your object-based archaeological, anthropological, or ethnographic collections.

J-1. In the spaces below, describe the current staffing associated with your object-based scientific collection(s).Number of Full-time paid staff

Number of Part-time paid staff

Number of Full-time unpaid staff

Number of Part-time unpaid staff

J-2. Please characterize recent staffing experiences for this collection. (Mark just one.)

1. Staffing is stable and vacancies are replaced

2. Staff is increasing and new hires have been added

3. Staffing is unstable and declining

K. Additional Questions

K-1. In the space provided, please list one question you wish we would have asked you about your reporting unit’s object-based archaeological, anthropological, or ethnographic collections:

K-2. In the space provided, briefly explain the answer you would give in response to that question. (No more than 25 words.)

If you have any questions about this survey, please contact William Tompkins [[email protected]], 202-357-3125.

FOR OFFICIAL USE ONLY

NSF 1563 (07/2006)

OMB Approval No. 3145-XXXX