IMLS HHI 2014 Collection Questionnaire Web 2014-09-05

Heritage Preservation in partnership with the Institute of Museum and Library Services.

With support from:

National Endowment for the Humanities

Getty Foundation

Bay Paul Foundations

Peck Stacpoole Foundation

National Endowment for the Arts

Allied Partners

American Alliance of

Museums

American Association for

State and Local History

American Institute for the

Conservation of Historic

and Artistic Works

American Library Association

Association of Art Museum

Directors

Association of Moving Image

Archivists

Association of Research

Libraries

Council on Library and

Information Resources

Council of State Archivists

Federation of State Humanities

Councils

National Assembly of State Arts

Agencies

National Association of

Government Archives and

Records Administrators

National Conference of State

Historic Preservation

Officers

National Preservation

Institute

National Trust for Historic

Preservation

Natural Science Collections

Alliance

Regional Alliance for

Preservation: Association of

Regional Conservation

Centers

Society for Historical

Archaeology

Society for the Preservation

of Natural History

Collections

Society of American

Archivists

Ex Officio

Library of Congress

National Archives and

Records Administration

National Endowment for the

Arts

National Gallery of Art

National Historical

Publications & Records

Commission

Smithsonian Institution

DIRECTOR NAME, TITLE

INSTITUTION NAME

ADDRESS

CITY, STATE, ZIP

Dear NAME,

Your institution has been selected to participate in the Heritage Health Information 2014: A National Collections Care Survey!

Heritage Health Information, a study sponsored by the Institute of Museum and Library Services and conducted by Heritage Preservation, will provide a comprehensive picture of the condition and preservation needs of this country’s collections. This Federal survey is an important opportunity for archives, museums, libraries, historical societies, and scientific research organizations in the United States to document their collections care efforts.

We invite you to complete this Federal survey because:

• The survey results will be used extensively in the years ahead as administrators, policymakers, government agencies, and private funding sources make decisions that affect the preservation of collections.

• The 2014 Heritage Health Information will assess collections in all media, in all formats, in all types of institutions, and in every state. This is also the first and only survey to collect data on digital preservation activities. We need your help to ensure that institutions of your type are accurately represented in the final results.

• In 2004, the first time Heritage Preservation collected similar data through the Heritage Health Index, institutions found it to be a thorough self-assessment, and helped them gather information that was useful for long-range planning and funding requests. It was also used by collecting institutions to measure their own collections care programs in context to peers.

• In appreciation of your time, we’ve estimated approximately one to three hours, we will mail you a final survey report that will be publicized nationwide.

Please complete the questionnaire by October 31, 2014. Login to www.XXXXXXX.org using your unique user id and password provided below.

Username:

Password:

Once logged in you may print the PDF survey document before entering any information. This will allow you time to review the questions and to determine how to best manage obtaining the information for your institution.

The online survey gives you helpful tools, and upon completion you will have instant access to some of the preliminary results. As the data collection agent, Heritage Preservation will follow up with you during the survey period to ensure that the Heritage Health Information achieves a high response. During data collection, staff at Heritage Preservation are available to help as you complete the survey. They can be reached via email or phone ([email protected], 202-233-0800). If you have questions about the Heritage Health Information survey, you can contact Christopher Reich, in the Office of Museum Services at the Institute of Museum and Library Services, at 202-653-4685 or [email protected].

We appreciate the gift of your time and information. Thank you for participating in this important project to document the needs and condition of our nation’s cultural and scientific heritage.

Sincerely,

Lawrence L. Reger President Heritage Preservation www.heritagepreservation.org

Susan H. Hildreth Director Institute of Museum and Library Services www.imls.gov

Your participation is entirely voluntary and your decision whether or not to participate will in no way affect your institution. Your cooperation is extremely valuable in obtaining much needed information to ensure the completeness and accuracy of the data. This survey is being conducted in conformance with the Museum and Library Services Act of 2010, as amended. IMLS and Heritage Preservation intend to make the information provided in response to this survey publicly available; however, information specifically identifying particular institutions or individuals, including names, addresses, and other identifying information, will be protected from public disclosure to the extent permitted by law. The only geographical information for each respondent institution that will be publicly disclosed is the institution’s state and region.

The OMB control number, XXXX-XXXX, expires on XX/XX/XXXX. The Institute of Museum and Library Services may not conduct or sponsor, and a person is not required to respond to, the information collection unless it displays a currently valid OMB control number.

Heritage Health Information 2014 Web Questionnaire, Glossary, and Frequently Asked Questions

A Glossary of terms is appended to the end of the survey.

Defined terms are indicated by (G).

1. Eligibility to respond to the survey

A1. Does your institution collect artifacts, objects, texts, or any other art, historic and/or scientific items? (select one)

1. Yes

2. No

A2. Is your institution 1) a nonprofit, filing as a 501(c)(3) with the Internal Revenue Service (IRS), or 2) part of local, state or federal government? (select one)

1. Yes

2. No

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2. Institutional Type & Governance

B1. Which of the following most closely describes your type of institution? (select one)

1. Archives

2. Public library

3. Academic library

4. Independent research library (includes state libraries & large federal libraries)

5. Special library (includes law, hospital, religious, blind & handicapped libraries)

6. Historical society (includes genealogical societies, historical associations)

7. Historic house/site

8. History museum (includes living history)

9. Art museum (includes art gallery, art center, or arts organization)

10. Children’s/youth museum

11. Natural history museum

12. Science/technology museum

13. General museum (collection represents 2 or more disciplines)

14. Specialized museum (collection represents one discipline)

15. Archaeological repository or research collection

16. Scientific research collection (includes agencies or university departments with scientific specimen/artifacts)

17. Arboretum or botanical garden

18. Aquarium

19. Nature center

20. Planetarium or observatory

21. Zoo

B2. Which additional services or functions does your institution provide? (select all that apply)

1. Archives

2. Library

3. Historical society

4. Historic house/site

5. Museum (includes art galleries, art center, or arts organization)

6. Archaeological repository or research collection

7. Scientific research collection (includes agencies or university departments with scientific specimen/artifacts)

8. Aquarium, Zoo, Arboretum, Botanical garden, Nature center or Planetarium

9. Records center or records management

10. Other: ___________________________________

11. None

B3. Which of the following most closely describes your institution’s governance? (select one)

1. College, university or other academic entity

2. Nonprofit, non-governmental organization or foundation

3. Federal

4. State

5. Local (county or municipal)

6. Tribal

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Section C. Environment

C1. Does your institution use environmental controls to meet temperature specifications (G) for the preservation of collections? (select one)

1. Yes

2. No SKIP TO C2

3. Don’t know SKIP TO C2

C1a. Which best describes where your institution uses environmental controls (G) to meet temperature specification (G) for preservation of collections? (select one)

1. In all areas, including storage and exhibitions spaces

2. Only in storage areas

3. Only in exhibition spaces

4. Don’t know

C2. Does your institution use environmental controls (G) to meet relative humidity specifications (G) for the preservation of collections? (select one)

1. Yes

2. No SKIP TO C3

3. Don’t know SKIP TO C3

C2a. Which best describes where your institution uses environmental controls (G) to meet relative humidity specifications (G) for the preservation of collections? (select one)

1. In all areas, including storage and exhibition spaces

2. Only in storage areas

3. Only in exhibition spaces

4. Don’t know

C3. Does your institution control light levels (G) to meet specifications for the preservation of collections? (select one)

1. Yes

2. No SKIP TO C4

3. Don’t know SKIP TO C4

C3a. Which best describes where your institution controls light levels (G) to meet specifications for the preservation of collections? (select one)

1. In all areas, including storage and exhibition spaces

2. Only in storage areas

3. Only in exhibition spaces

4. Don’t know

C4. Does your institution keep collections in on-site and/or off-site storage? (select one)

1. Yes

2. No SKIP TO D1

3. Don’t know SKIP TO D1

C4a. What percentage of your collections is stored on-site and/or off-site?

1. _____%

2. Don’t know

C4b. What percentage of your collections is currently housed in storage units or equipment (G) large enough to accommodate your collections items?

1. _____%

2. Don’t know

C4c. What percentage of your collections is currently housed in storage units or equipment (G) that allows designated staff or research access to each collections item?

1. _____%

2. Don’t know

C4d. Does your institution need additional storage space for collections not currently on display? (select one)

1. Yes

2. No SKIP TO C6

3. Don’t know SKIP TO C6

C5. Does your institution need to make improvements to its on-site or off-site storage space for collections not currently on display? (select one)

1. Yes

2. No

3. Don’t know

C6. Does your institution need new storage units or equipment (G) for collections not currently on display?

1. Yes

2. No

3. Don’t know

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Section D. Preservation Activities

D1. Does the mission of your institution include preservation of your collections? (select one)

1. Yes

2. No

3. Don’t know

D2. Does your institution have a formal written long-range preservation plan (G) for the care of the collections? (select one)

1. Yes

2. No SKIP TO D3

3. Don’t know SKIP TO D3

D2a. Which best describes your institution’s written preservation plan (G)? (select one)

1. My institution has a preservation plan that has a regularly scheduled update

2. My institution has a preservation plan, but it is updated on an infrequent schedule

3. My institution is developing a preservation plan

4. My institution includes preservation in other planning documents

D3. Has a general condition assessment (G) of your institution’s collection been done? (select one)

1. Yes

2. No SKIP TO D4

3. Don’t know SKIP TO D4

D3a. Which best describes the general condition assessment (G) conducted by your institution? (select one)

1. We completed an assessment of the entire collection and regularly update it every five years

2. We completed an assessment of the entire collection but it is not updated regularly

3. An assessment of only a portion of the collection was completed and is updated regularly every five years

4. An assessment of only a portion of the collection was completed, but it is not updated regularly

D4. Does your institution have a written emergency/disaster plan (G) that includes the collection? (select one)

1. Yes

2. No SKIP TO D5

3. Don’t know SKIP TO D5

D4a. Which best describes your institution’s written emergency/disaster plan (G)? (select one)

1. My institution has an emergency/disaster plan that is regularly updated

2. My institution has an emergency/disaster plan, but it is not updated regularly

3. My institution is developing an emergency/disaster plan

D4b. Is your staff trained to carry out your institution’s written emergency/disaster plan (G)? (select one)

1. Yes

2. No

3. Don’t know

D5. Does your institution have collections records (G) for the items in its collections? (select one)

1. Yes

2. No SKIP TO D6

3. Don’t know SKIP TO D6

D5a. Does your institution store collections records (G) off-site (G)? (select one)

1. Yes

2. No SKIP TO D6

3. Don’t know SKIP TO D6

D5b. What percentage of your collections records (G) is stored off-site (G)? (select one)

1. _____%

2. Don’t know

D6. Does your institution have a security system (G) to help prevent theft or vandalism of collections? (select one)

1. Yes

2. No SKIP TO D7

3. Don’t know SKIP TO D7

D6a. Which best describes where your institution has a security system (G) to help prevent theft or vandalism of collections? (select one)

1. In all areas, including storage and exhibitions spaces

2. Only in storage

3. Only in exhibition spaces

4. Don’t know

D7. Which best describes your current institutional staff (G) for conservation/preservation? (Select all that apply)

1. Paid full-time conservation/preservation staff

2. Paid part-time conservation/preservation staff

3. Volunteer full-time conservation/preservation staff

4. Volunteer part-time conservation/preservation staff

5. Staff from other departments is responsible for conservation/preservation

6. Contracted provider(s) or consultant(s) is responsible for conservation/preservation

7. Don’t know SKIP TO D8

D7a. Please tally the number of paid professional Full Time Equivalent (FTEs) (G) who perform conservation/preservation at your institution. Professional staff includes archivists, conservators, digital curators, digital librarians, digital repository managers, librarians, preservation administrators, and research scientists.

Express the total amount of paid professional staff time spent on conservation/preservation in full-time equivalents (FTEs), based on a 40-hour work week, regardless of the number of people engaged in this activity. For example, two part-time staff who each work 20 hours a week on conservation/preservation activities would be counted as 1.0 FTE. Please round your answer to the nearest tenth (e.g., 1.5 for 60 hours of work per week).

_____

D7b. Please tally the number of paid support Full Time Equivalent (FTEs) (G) who perform conservation/preservation at your institution. Support staff includes archives assistants, care assistants, collections librarians, digital repository managers, digital curators, handlers, IT staff, and technical assistants. Include conservation/preservation activities performed by staff, contractors, consultants, and seasonal employees.

Express the total amount of paid support staff time spent on conservation/preservation in full-time equivalents (FTEs), based on a 40-hour work week, regardless of the number of people engaged in this activity. For example, two part-time staff who each work 20 hours a week on conservation/preservation activities would be counted as 1.0 FTE. Please round your answer to the nearest tenth (e.g., 1.5 for 60 hours of work per week).

_____

D7c. Please tally the number of volunteer Full Time Equivalent (FTEs) (G) who help with conservation/preservation at your institution.

Express the total amount of staff time spent on conservation/preservation in full-time equivalents (FTEs) for people who are not compensated monetarily for their work, based on a 40-hour work week, regardless of the number of people engaged in this activity. For example, two part-time staff who each work 20 hours a week on conservation/preservation activities would be counted as 1.0 FTE. Please round your answer to the nearest tenth (e.g., 1.5 for 60 hours of work per week).

_____

D8. Do your institution’s conservation/preservation activities currently include any of the following functions? (select all that apply)

1. Preventive conservation (e.g., housekeeping, holdings maintenance, rehousing, environmental controls)

2. Preservation management (e.g., administration, planning, assessment)

3. Conservation treatment (e.g., repair, mass deacidification, specimen preparation)

4. Preservation reformatting (e.g., preservation photocopying, microfilming)

5. Preservation of audiovisual media and playback equipment (e.g., making preservation copies of media, maintaining equipment)

6. None of the above

7. Don’t know SKIP TO D9

D8a. Are any of the following conservation/preservation activities currently planned at your institution? (select all that apply)

1. Preventive conservation (e.g., housekeeping, holdings maintenance, rehousing, environmental controls)

2. Preservation management (e.g., administration, planning, assessment)

3. Conservation treatment (e.g., repair, mass deacidification, specimen preparation)

4. Preservation reformatting (e.g., preservation photocopying, microfilming)

5. Preservation of audiovisual media and playback equipment (e.g., preservation copies of media, maintaining equipment)

6. None of the above

7. Don’t know

D9. Are any of the following conservation/preservation activities completed by staff in-house at your institution currently? (select all that apply)

1. Preventive conservation (e.g., housekeeping, holdings maintenance, rehousing, environmental controls)

2. Preservation management (e.g., administration, planning, assessment)

3. Conservation treatment (e.g., repair, mass deacidification, specimen preparation)

4. Preservation reformatting (e.g., preservation photocopying, microfilming)

5. Preservation of audiovisual media and playback equipment (e.g., making preservation copies of media, maintaining equipment)

6. None of the above

7. Don’t know SKIP TO D10

D9a. Are any of the following conservation/preservation activities completed by external contractors or consultants (G) currently? (select all that apply)

1. Preventive conservation (e.g., housekeeping, holdings maintenance, rehousing, environmental controls)

2. Preservation management (e.g., administration, planning, assessment)

3. Conservation treatment (e.g., repair, mass deacidification, specimen preparation)

4. Preservation reformatting (e.g., preservation photocopying, microfilming)

5. Preservation of audiovisual media and playback equipment (e.g., preservation copies of media, maintaining equipment)

6. None of the above

7. Don’t know

D10. Does your institution preserve digital collections? (e.g., born-digital collections (G))? (select one)

1. Yes

2. No SKIP TO D11

3. Don’t know SKIP TO D11

D10a. Has your institution conducted a general condition assessment (G) of the digital collections in its care in the last five years? (select one)

1. Yes

2. No

3. Don’t know

D10b. Has your institution developed a preservation plan (G) for the care and management of its digital collections in the last five years? (select one)

1. Yes

2. No

3. Don’t know

D11. Does your institution digitize (G) collections? (select one)

1. Yes

2. No SKIP TO D12

3. Don’t know SKIP TO D12

D11a. For each of the digital curation/preservation functions listed below, please indicate how it is currently conducted. Mark the box that shows the party primarily responsible for the function – institution staff/volunteers, in collaboration with other institutions and/or external contractors. (check all that apply)

	CHECK ALL THAT APPLY CONDUCTED:
	INSTITUTION DOES NOT CONDUCT FUNCTION	By institutional staff (G)	In collaboration with other institution(s)	By external contractors (G)	Don’t Know
1.Digitization (G)
2.Metadata (G)
3.Format migration (G)
4.Tool development (G)
5.Normalization (G)
6.File format identification (G)
7.File format validation (G)
8.Checksums (G)
9. Backups (G)
10.Redundancy (G)
11.Emulation G)
12.Development of plans and policies (G)
13.Education, training and outreach (G)

D11b. Please tally the number of professional, support, and volunteer Full Time Equivalent (FTE) (G) digital curation/preservation staff at your institution. Digital curation/preservation staff includes digital repository managers, digital curators, digital libraries, and IT staff.

Include all workers who perform digital curation/preservation activities whether full-time, part-time, contractor/consultant, seasonal, or volunteer.

Express the total amount of staff time, both paid and unpaid, spent on digital curation/preservation in full-time equivalents (FTEs), based on a 40-hour work week, regardless of the number of people engaged in this activity. For example, two part-time staff who each work 20 hours a week on digital curation or preservation activities would be counted as 1.0 FTE. Please round your answer to the nearest tenth (e.g., 1.5 for 60 hours of work per week).

_____

D11c. Has your institution participated in a digital curation/preservation repository, digital library, digital archive, or network operated by a third party?

1. Yes Please specify: ________________________________________

2. No

3. Don’t know

D12. To which of the following conservation/preservation activities does your institution need improvement: (select all that apply)

1. Findings aids, inventorying and/or cataloguing of collections

2. General condition assessments (G)

3. Staff training

4. Security systems (G)

5. Environmental controls (G)

6. Reduction in light exposure to collections

7. Conservation treatment (include specimen preparation)

8. Preservation of digitized collections

9. Preservation of born-digital collections (G)

10. Integrated pest management (G)

11. None of the above SKIP TO D13

D12a. To which of the following conservation/preservation activities does your institution need improvement in the next three years: (select all that apply)

1. Findings aids, inventorying and/or cataloguing of collections

2. General condition assessments (G)

3. Staff training

4. Security systems (G)

5. Environmental controls (G)

6. Reduction in light exposure to collections

7. Conservation treatment (include specimen preparation)

8. Preservation of digitized collections

9. Preservation of born-digital collections (G)

10. Integrated pest management (G)

11. None of the above

D13. Over the past two years, has your institution experienced any damage or loss to collections?

1. Yes

2. No SKIP TO D14

3. Don’t know SKIP TO D14

D13a. Please indicate the causes of damage or loss to collections: (select all that apply)

1. Handling (e.g., by researchers, staff, in shipping)

2. Water or moisture (including mold, stains, warping)

3. Light (including fading and discoloration)

4. Airborne particulates or pollutants (e.g., dust, soot)

5. Fire

6. Improper storage or enclosure (e.g., bent, creased, or adhered together storage)

7. Pests

8. Vandalism

9. Physical or chemical deterioration (G)

10. Obsolescence of playback equipment, hardware, or software

11. Prior conservation treatment(s) or restoration

12. Natural disaster (e.g., hurricane, tornado, earthquake, flooding)

D13b. Please indicate the causes of significant damage or loss (G) to collections: (select all that apply)

1. Handling (e.g., by researchers, staff, in shipping)

2. Water or moisture (including mold, stains, warping)

3. Light (including fading and discoloration)

4. Airborne particulates or pollutants (e.g., dust, soot)

5. Fire

6. Improper storage or enclosure (e.g., bent, creased, or adhered together storage)

7. Pests

8. Vandalism

9. Physical or chemical deterioration (G)

10. Obsolescence of playback equipment, hardware, or software

11. Prior conservation treatment(s) or restoration

12. Natural disaster (e.g., hurricane, tornado, earthquake, flooding)

13. None of the above

D14. Does your institution currently educate donors and/or trustees or members’ groups about preservation activities? (e.g., in tours, demonstrations) (select one)

1. Yes SKIP TO D15

2. No

3. Don’t know

D14a. Over the next two years, does your institution plan to educate donors and/or trustees or members’ groups about preservation activities? (e.g., in tours, demonstrations, annual meetings) (select one)

1. Yes

2. No

3. Don’t know

D15. Does your institution currently highlight its preservation activities in exhibitions or other public programming? (select one)

1. Yes SKIP TO D16

2. No

3. Don’t know

D15a. Over the next two years, does your institution plan to highlight its preservation activities in exhibitions or other public programming? (select one)

1. Yes

2. No

3. Don’t know

D16. Does your institution currently serve as a source for preservation information to the public? (e.g., responding to queries) (select one)

1. Yes SKIP TO D17

2. No

3. Don’t know

D16a. Over the next two years, does your institution plan to serve as a source for preservation information to the public? (e.g., responding to queries) (select one)

1. Yes

2. No

3. Don’t know

D17. Does your institution currently use its conservation/preservation activities to raise revenue? (e.g., selling archivally safe materials in shop, providing conservation on a fee-for-service basis) (select one)

1. Yes SKIP TO D18

2. No

3. Don’t know

D17a. Over the next two years, does your institution plan to use its conservation/preservation activities to earn income? (e.g., selling archivally safe materials in shop, providing conservation on a fee-for-service basis) (select one)

1. Yes

2. No

3. Don’t know

D18. Does your institution currently feature its conservation/preservation activities on its website? (select one)

1. Yes SKIP TO E1

2. No

3. Don’t know

D18a. Over the next two years. does your institution plan to feature its conservation/preservation activities on its website? (select one)

1. Yes

2. No

3. Don’t know

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Section E. Expenditures and Funding

E1. What is the total annual operating budget of your institution for the most recently completed fiscal year?

If your institution has a parent institution or organization, please provide only the operating budget for your institution.

$____________

Please select the completed fiscal year FY 2011 FY2012 FY2013

E2. Does your institution fund conservation/preservation activities in your annual budget? (select one)

1. Yes

2. No SKIP TO E3

3. Don’t know SKIP TO E3

E2a. Are conservation/preservation activities a specific line item in your annual budget? (select one)

1. Yes

2. No

3. Don’t know

E3. Are conservation/preservation activities supported with other funds? (select one)

1. Yes

2. No

3. Don’t know

E4. What is the annual budget for conservation/preservation activities at your institution for the most recently completed fiscal year?

Please do not include capital expenditures in the total.

$____________

Please select the completed fiscal year FY 2011 FY2012 FY2013

E5. Does your institution have endowed funds (select one)?

1. Yes

2. No SKIP TO E6

3. Don’t know SKIP TO E6

E5a. In the last three years, have any of your conservation/preservation expenditures been from endowment income? (select one)

1. Yes

2. No

3. Don’t know

E6. From which of the following external sources has your institution received external funding to support conservation/preservation activities? (select all that apply)

1. Federal

2. State

3. Municipal (city or county)

4. Corporation or company

5. Foundation

6. Individual donor or private philanthropist (includes friends’ groups or members)

7. None of the above

E7. Has your institution applied for grant funding to support conservation/preservation activities in the last three years? Please include all successful and unsuccessful applications. (select one)

1. Yes SKIP TO F1

2. No

3. Don’t know SKIP TO F1

E7a. If no, what factors influenced your institution not to apply for grant funding to support conservation/preservation activities? (select all that apply)

1. Not aware of appropriate funding sources

2. Lack of staff time or staff expertise

3. Additional project planning or preparation was necessary before applying

4. Conservation/preservation activities are not an institutional priority

5. Funding for conservation/preservation activities is sufficient

6. Applications for external funding for conservation/preservation support were unsuccessful

7. Other, please specify:____________________

8. Don’t know

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Section F. Collections and Holdings

F1. What percentage of your collections is catalogued?

1. _____%

2. None SKIP TO F4

3. Don’t know SKIP TO F4

F1a. What percentage of your catalog is available to be searched internally at your institution?

1. _____%

2. Don’t know

F2. Does your institution make its catalogued collections available online? (select one)

1. Yes SKIP TO F3

2. No

3. Don’t know

F2a. Over the next two years, does your institution plan to make its catalogued collections available to be searched online by the public? (select one)

1. Yes

2. No SKIP TO F4

3. Don’t know SKIP TO F4

F3. What percentage of your catalogued collections is available to be searched online by the public?

1. _____%

2. Don’t know

F4. If applicable, how does your institution provide access to its digitized or digital collections? (select all that apply)

1. Computer equipment available to users on site

2. Institutional content management system and user interface that is viewable online

3. Links to digital objects through an institutional online catalog

4. Subscription or commercial service(s)

5. Multi-institutional digital library or network

6. Other:_________________________________________________________

7. No digitized or digital collections

F5. ^{In the following chart, please indicate the estimated number for each type of collection you hold.}

• Include only collections that are a permanent part of your holdings or for which you have accepted preservation responsibility.

• For types of collections not listed, record under the appropriate “other” category. If possible, please specify what you have included.

• For each collection, note the estimated percentage that is in need of urgent care (G) of preservation treatment. It is not necessary for your institution to have done a general condition assessment (G) on all or part of your collections to provide this estimate. If you do not know the condition of your materials and cannot provide an estimate, enter 100% in unknown condition (G).

Books and Bound Volumes	Approx. # of units	% in unknown condition (G)	% in urgent need of care (G)
Books/monographs
Serials/newspapers (on paper)
Scrapbooks, albums, pamphlets
Other books and bound volumes (please specify)

Unbound Sheets	Approx. # of units	% in unknown condition	% in urgent need of care
Archival records/manuscripts (record in linear/cubic feet)	Ft
Maps and oversized items (record in linear/cubic feet)	Ft
Ephemera and broadsides (record in items)
Philatelic and numismatic artifacts (record in items)
Other paper artifacts (please specify)

Photographic Collections (record in items)	Approx. # of units	% in unknown condition	% in urgent need of care
Microfilm and Microfiche (record number of units)
Black and white prints, all processes (e.g., albumen, collodion, silver gelatin)
Black and white film negatives, pre-1950 (e.g., cellulose nitrate, cellulose acetate)
Black and white film negatives, post-1950 (e.g., cellulose acetate, polyester)
Color prints, negatives, and positives (including slide and transparencies)
Cased objects (e.g., daguerreotype, ambrotype, tintype)
Glass plate negatives and lantern slides
Other photographic collections (e.g., digital and inject prints) (please specify)

Moving Image Collections (record in items)	Approx. # of units	% in unknown condition (G)	% in urgent need of care (G)
Motion picture film (record in items, e.g., reels, cans)
Magnetic tape (e.g., Beta video, VHS video, digital)
Disc (e.g., laser, CD, DVD, minidisc)
Other moving image collections (please specify)

Recorded Sound Collections (record in items)	Approx. # of units	% in unknown condition	% in urgent need of care
Grooved media (e.g., cylinder, phonodisc)
Magnetic media (e.g., cassette, open reel tape, DAT)
Other recorded sound collections (e.g., wire, dictabelts) (please specify)

Art Objects (record in items)	Approx. # of units	% in unknown condition	% in urgent need of care
Painting (e.g., on canvas, panel, plaster)
Art on paper (e.g., prints, drawings, watercolors)
Sculpture (include carvings, indoor and outdoor sculpture in all media)
Decorative arts (e.g., fine metalwork, jewelry, timepieces, enamels, ivories, lacquer, china, tapestries)
Other art objects (please specify)

Historic and Ethnographic Objects (record in items)	Approx. # of units	% in unknown condition	% in urgent need of care
Textiles (e.g., quilts, flags, rugs, costumes and accessories)
Ceramics and glass artifacts (e.g., stained glass)
Ethnographic and organic collections (e.g., leather, skin, baskets, bark)
Metalwork (e.g., arms and armor, medals, coins)
Furniture
Domestic artifacts (includes frames, household tools/machines, dolls/toys, musical instruments, models, sports artifacts)
Science, technology, agricultural, medical artifacts (include transportation vehicles, globes)
Other historic and ethnographic objects (please specify)

Archaeological Collections, Individually Catalogued (record in items)	Approx. # of units	% in unknown condition	% in urgent need of care
Individually cataloged organic based material (e.g., textile, fiber, wood, bone, shell, feather)
Individually cataloged inorganic based material (e.g., ceramic, glass, metal, plastics, lithics, stone)

Archaeological Collections, Bulk (record in cubic feet)	Approx. # of units	% in unknown condition	% in urgent need of care
Bulk cataloged organic based material (e.g., textile, fiber, wood, bone, shell, feather)	Ft3
Bulk cataloged inorganic based material (e.g., ceramic, glass, metal, plastics, lithics, stone)	Ft3

Natural Science Specimens (record in items)	Approx. # of units	% in unknown condition	% in urgent need of care
Zoological specimens: dry, glass slide and frozen
Zoological specimens: wet preparations
Botanical specimens: dry, glass slide, frozen, culture, and modern palynology materials
Botanical specimens: wet preparations
Geological specimens (e.g., rocks, gems, minerals, and meteorites)
Vertebrate paleontological specimens (include appropriate microfossils and nannofossils)
Paleobotany specimens (include appropriate microfossils, nannofossils, cyanobacteria, and fossil palynology materials)

Digital Material Collections (include all master, duplicate and derivative items)	Total volume (record in items)	Data Measurement Size (check one)	Location(s) of stored digital collections			Condition of digital collections
			% in cloud storage	% on hard disk/ tape	% on your server/ network	% in urgent need of care	% in unknown condition
Images (e.g., JPEG, PNG,TIFF, RAW, GIF, BMP)		GB/TB/PB
Texts		GB/TB/PB
Video (e.g., GIF, WMV, MOV)		GB/TB/PB
Audio (e.g., MPEG, WAV, MP3, WMA)		GB/TB/PB
Web sites		GB/TB/PB
Data sets		GB/TB/PB
Software		GB/TB/PB
Games		GB/TB/PB
Electronic Records		GB/TB/PB
Exhibit media		GB/TB/PB
Geospatial media (e.g., GIS data)		GB/TB/PB
Original catalog records
Other specify: ______________________________		GB/TB/PB
Other specify: ______________________________		GB/TB/PB

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Section G

G1. How many Full Time Equivalent (FTEs) are currently working at your collecting institution?

Express the total amount of paid professional staff time spent on conservation/preservation in full-time equivalents (FTEs), based on a 40-hour work week, regardless of the number of people engaged in this activity. For example, two part-time staff who each work 20 hours a week on conservation/preservation activities would be counted as 1.0 FTE. Please round your answer to the nearest tenth (e.g., 1.5 for 60 hours of work per week).

If you have no staff in a category, indicate zero (“0”).

1. Full-time paid staff _____________

2. Part-time paid staff _____________

3. Full-time unpaid staff _____________

4. Part-time unpaid staff _____________

G2. How many visitors or users did you serve last year? Indicate “0” if you had no visitors or users in a category.

1. On site _____________

2. Off site _____________

(e.g., traveling exhibits, bookmobiles, educational programs)

3. Online _____________

(e.g., website visits, listservs, distribution lists, social media followers)

G3. Name of the lead person completing or coordinating the responses to this survey ________________________________________________________________

G4. Title of the lead person _____________________________________

G5. Name of the person with primary responsibility for preservation activity (if applicable) ________________________________________________________________

G6. Phone number ______________________

G7. Email address __________________________________________________

G8. Did more than one person complete this survey?

1. Yes

2. No

Glossary:

Backups: Backups refers to the copying and archiving of computer data so it may be used to restore the original after a data loss event.

Born digital: Born digital items created and managed in digital form.

Checksums: Mathematical values used to validate data and detect errors that may have occurred during its transmission or storage. When data is stored, a value is calculated based on the data and stored with it. To check the integrity of the data, the checksum can be recalculated at any point and compared with the original stored value. If the values match, the data in the digital object is assumed not to be altered or corrupted.

Collections records: Collections records can include inventory, catalog, or insurance policies as documents that contain information about an object. These records can be redundant and/or electronic copies.

Development of plans and policies: Written documents addressing the challenges and steps necessary for digital preservation. Plans and policies can take multiple forms – some that are high level or institutional and others that are lower level or departmental. They address collection, preservation, and continued access to digital collections. Policies typically describe the institution’s responsibility and goals for digital preservation, while plans are used to describe carrying out those policies.

Digital curation/digital preservation: Digital curation/preservation is the active selection, preservation, management, and archiving of digital content over time to ensure ongoing access.

Digitization: The process of replicating a non-digital (analog) item in digital form. This is typically accomplished through the use of scanning equipment and/or digital photography. The process also typically encompasses the creation of administrative, descriptive, and other information (“metadata” -- see below) that accompanies the resulting digital representation, in order to facilitate its preservation and usability. Digitization projects can be ongoing, or ad hoc, depending on the needs of the institution.

Education, training and outreach: The process of expanding or improving workforce expertise in collections care and digital preservation/curation as well as building broader professional and public awareness of the importance of preserving collections and digital information.

Emergency/disaster plan: A comprehensive, systematic, emergency-preparedness plan provides a means for recognizing and preventing risks, and for responding effectively to emergencies.

Emulation: A means of allowing access to digital information after the technology on which it was created becomes obsolete. Emulation aims to overcome hardware and software obsolescence by imitating the obsolete system environment on a current generation of computer, so that users can access digital objects with their original look and feel preserved.

Environmental controls: Environmental controls provide an appropriate climate for collections items depending on their material and types of damage that can affect an item. Environmental controls protect collections whether in storage or on exhibit, including lighting, heating, air conditioning, dehumidifying, and humidifying.

External contractors or consultants: Workers, including volunteers, from outside the entity indicated in B1, or its parent institution(s) that provide conservation/preservation services, such as consultants, vendors, service providers, and workers at another institution or firm.

File format identification: The process of identifying the file format (the internal structure and encoding) of a digital object, usually through the use of a file type identification tool that examines a file’s header section to determine its type.

File format validation: The use of a file format validation tool to read through an entire digital object and confirm that each section fully follows the specifications of the file format in which it is stored.

Format migration: Copying data from one format to another as a means of overcoming technological obsolescence. Format migration is used to ensure continued access to the content of digital objects even as hardware and software change. While format migration does not ensure exact replication of digital objects, it does aim to preserve intellectual content even if some original features and appearance are lost with new generations of technology.

Full time equivalent (FTE): The FTE units, or equivalent employees, working at your institution. The ratio of the total number of hours worked during a period, whether part time, full time, temporary, or contracted, by the number of working hours considered to be full-time employment. To ensure comparability, 40 hours per week has been set as the measure of full-time employment. In other words, one FTE is equivalent to one employee working full-time, equal to 40 hours of work per week. For example, if three employees work part-time at 20 hours of work per week, this is equal to 1.5 FTEs.

General condition assessment: An assessment based on visual inspection of the collection and the areas where it is exhibited or stored.

Institutional staff: Workers at the entity that are responding to the survey as indicated in B1. Include temporary, hourly, and volunteer workers but do not include hired consultants.

Integrated pest management: Integrated pest management strategies encourage ongoing maintenance and housekeeping to insure that pests will not find a hospitable environment in a cultural heritage institution. Activities include building inspection and maintenance; climate control; restriction of food and plants; regular cleaning; proper storage; control over incoming collections to avoid infestation of existing collections; and routine monitoring for pests.

Light levels: Controlling lights levels can include UV protection screens on windows, UV blocking sleeves on tubular fluorescent lights, window shades or covers, storing items in boxes for protection, LED lights in exhibit cases, storing items away from windows, exhibiting items especially prone to damage away from direct light or glazing with UV blocking glass, and turning off the lights in areas that are not occupied.

Metadata: A summary of basic information akin to that found in catalog records to facilitate finding, storing, and managing digital objects. Created manually or by automated processes, types of metadata include administrative, descriptive, preservation, rights management, structural, and technical.

Normalization: The process of efficiently organizing data in a digital repository by eliminating unnecessary duplication and ensuring consistency in the way data is structured. Sound normalization practices can reduce storage needs and facilitate retrieval, thereby improving digital preservation.

Off-site: Off-site storage can be physical or cloud storage that contains collections items.

Physical or chemical deterioration: Damage due to temperature, humidity, aging; for example, brittle paper, flaked paint, cracked leather, degradation of electronic media.

Preservation plan: A document that describes a multi-year course of action to meet an institution’s overall preservation needs for its collection.

Redundancy: Producing copies of collection items for safekeeping in locations within and, especially, beyond the physical walls of a single institution in case one of the copies is corrupted or destroyed by fire, power failure, human error, or other incident.

Relative humidity specifications: Depending on the material of the collections item, humidity levels within the environment need to be adjusted to control for deterioration or damage. At times, such as during the summer or winter, less or more humidity might be required to prevent deterioration. Actively monitoring this aspect of storage spaces, and exhibition space is needed to provide a complete picture of your institution’s humidity levels and controls.

Repository (repositories): An organization, archive or system that intends to maintain information for access and use.

Security system: A security system is a wide-ranging task in which a series of mutually complementary measures are suggested to provide a layered approach to risk by reinforcing a collecting institution against intrusion, controlling access and circulation, and protecting its contents. Not all of these measures may be in place at your organization. The recommended process for the best security system would include: 1) physical measures such as quality locks, robust doors and windows to prevent, deter and delay intrusion at the perimeter; 2) electronic systems such as intruder alarms to detect any breaches of the perimeter and facilitate a response; 3) the combined use of physical barriers, access control, CCTV and security officers to maintain safety and protect property while the premises are open to the public, and; 4) the use of physical and electronic systems to ensure the safety of individual exhibits and prevent theft from display casings.

Significant damage or loss: Change(s) in an item’s physical or chemical state necessitating major treatment or reformatting or resulting in total loss of access.

Storage units or equipment: Storage units or equipment are protective enclosures made of chemically stable materials that provide both physical support and chemical protection for objects.

Temperature specifications: Depending on the material of the collections item, temperature levels within the environment need to be adjusted to control for deterioration or damage. At times, such as during the summer or winter, colder or hotter temperatures might be required to prevent deterioration. Actively monitoring this aspect of storage spaces, and exhibition space is needed to provide a complete picture of your institution’s temperature levels and controls.

Tool development: Production or modification of tools that improve searching and presentation of information and help to automate and streamline various procedures in digital preservation, such as file format identification, metadata creation/extraction, file format validation, data management (DAMs), and data transfer and file sharing. Efforts are underway to compile listings or registries of such tools. A selective “showcase” is available via the Library of Congress’s Digital Preservation website.

Urgent Need: Material needs major treatment or reformatting to make it stable enough for use, and/or the material is located in an enclosure or environment that is causing damage or deterioration. For machine-readable collections, deterioration of media and/or obsolescence of play-back equipment or hardware/software threatens loss of content.

Unknown condition: Material has not been recently accessed by staff for visual inspection and/or condition is unknown.

Frequently Asked Questions (FAQ):

1. What do you mean by “collections for which you accept preservation responsibility”?

Not all collections that are important to your institution are meant to be preserved. Some are meant to be used by visitors or patrons and are disposed of or replaced if they are lost or damaged. Others are not accessioned into the collection because they fall outside the institution’s mission or could be replaced if necessary. Some examples of collections for which you do not accept preservation responsibility might be:

• current books, magazines, DVDs, sound recordings of which multiple copies exist at the institution and/or could be replaced if lost or damaged and/or are deemed expendable

• reference books or materials that aid in staff research but are not part of the accessioned collections

• teaching aids or collections (e.g., commonly found specimens, hands-on exhibits)

• replicas of historic objects.

2. Our collecting institution has very few collection items that we take a preservation responsibility for. Should we still complete the questionnaire?

Yes, please complete the questionnaire. We expect that some institutions take preservation responsibility for only a few items. It is important that such institutions are represented in the Heritage Health Information data.

3. Our collecting institution has various types of collections. Should we complete the Heritage Health Information for all of them?

Yes, but only for nonliving collections.

4. If we are a botanical garden, arboretum, zoo, aquarium, or nature center should we complete the Heritage Health Information?

Yes, but only for nonliving collections.

5. If our institution has historic buildings, should we complete the Heritage Health Information?

Yes, but only for your collections, not your historic buildings (even if those buildings are a part of your institution’s preservation responsibility or are accessioned as collections).

6. If we are a public library system with branches, should we complete the Heritage Health Information?

Yes, and you should include collections held at branches for which your system accepts preservation responsibility.

7. If we are a library with an archive, history room, or other collections, should we complete the Heritage Health Information?

Yes, include all collections for which you accept preservation responsibility.

8. If we are a museum or historical society that has an archives or library as part of our institution, should we complete the Heritage Health Information?

Yes, include the archival and/or library materials for which you accept preservation responsibility.

9. Our collecting institution is part of a university. Should we include other campus collections in the survey?

Every college or university is organized differently, but Heritage Preservation has attempted to identify the separate entities on campus that should receive the Heritage Health Information. It is possible that other university collections will receive their own survey.

Some specific examples:

If the entity is “University Natural History Museum,” that entity should complete the survey for all collections under its care, including its library and archival collections. Do not include collections held by other museums, libraries, or archives within the university.

If the entity is “University Main Library,” and this library is only one entity in a system of university libraries, which has centralized many library functions, such as cataloguing, gathering statistics, and preservation activities, then the survey should be completed for all the libraries and archives in the university library system. Do not include any departments or schools that are not included in central operations of this library system.

If the entity is a scientific research collection operated by a specific department, complete the questionnaire just for this collection. Other research collections on campus may receive their own survey.

10. In a few months our collecting institution will begin to address some of the preservation issues brought up in the Heritage Health Information. Should we report what we are currently doing or what we plan to do?

Heritage Preservation understands that preservation is an ongoing process; some questions allow you to indicate that certain activities are being planned but have not yet been completed.

All other questions should be answered for the current situation and condition of your collections unless the work is already in progress. For example, you should report on current preservation staff, not staff you plan to hire or who no longer work with you. The estimate of condition should, again, reflect the current state of your collections unless improvement is in progress (e.g., black and white photographs currently being rehoused in appropriate sleeves and boxes).

11. We often hire paid, part-time student workers to assist with simple preservation tasks; however, they are only temporary workers. Should we include them in our preservation staff?

Yes. Temporary workers should be included in your response to questions D7a, D7b, and D7c. In the case of student workers, they would likely be considered “support conservation/preservation staff.” For example, if you currently have two paid student workers who each work 10 hours a week for 6 months, then the full-time equivalent of your support conservation/preservation staff is .25 (2 workers x 10 hours=20 hours or .5 FTE) (.5 FTE x .5 year = .25 FTE).

Note that 1 FTE = a year-round worker who works an average of 40 hours per week.

If your number of FTE falls between possible responses (e.g., between 1 and 2 FTE or between 5 and 6 FTE), round to the nearest whole number.

12. Our institution is open April to October only, and we have trained some volunteers to do routine housekeeping. Are they preservation staff?

Yes. Any volunteers who assist with the care of collections should be counted. For instance, if two volunteers each work 5 hours a week for 6 months, then the full-time equivalent would be approximately 0.13 (2 workers x 5 hours = 10 hours or .25 FTE) (.25 FTE x .5 year = .13 FTE).

13. Should we report on the operating budget of our entire institution?

You should report on the total annual operating budget for the entire institution. You should not provide the operating budget for a parent institution, if your institution has one. For example, if the entity is “University Natural History Museum,” just the total annual operating budget for the museum should be reported—not the entire university’s budget.

14. Our institution doesn’t have a line item for preservation and conservation, but we do use budgeted funds for staff and supplies. Last year we also received some grant funding for a preservation and conservation project. How should we complete question E4?

Whether or not your institution has a specific budget line-item for preservation and conservation, you should complete question E4. Again, estimates are acceptable. To calculate staff costs, use the figures for preservation/conservation staff that you indicated previously in the survey. Include any portion of your institution’s supply or equipment budget that was used to purchase items relating to preservation and conservation. Include any expenditures made for preservation and conservation activities, whether done internally or by an external provider. You should include any grant funds or other temporary funding used for preservation and conservation. Do not include utilities, security, capital expenditures, or overhead in your response to question E4.

15. Our institution has undertaken a major conservation treatment project this year, and our conservation/preservation budget and staffing levels are higher than usual. Should we record this figure even if it is not typical?

The Heritage Health Information is meant to be a snapshot of current activities, and we expect to capture dips and peaks in staffing and funding levels. While your institution’s project may not be typical, it provides important information about the level of preservation activity nationally. However, note the instructions on question E4, about what should and should not be included in the preservation budget.

16. Some of the categories for question F5 do not match the categories our institution uses in cataloguing. How should we answer the question?

Every institution organizes its collection in a way that is meaningful to them. Therefore, the categories listed for question F5 may not exactly match the system you use. If you have collections that do not fit in the specified categories, please use the appropriate “other” category and briefly indicate the type of collection they are.

17. We have not cataloged some of our collections. How should we go about determining the approximate number of units for question F5?

An estimate is fine so that Heritage Preservation can determine the scope of national preservation needs. Even figures such as “10, 100, 1000, and 5000” are useful. If it is not possible to provide an estimate, check “quantity unknown.”

18. Our institution has object collections organized by subject matter and archives identified by subject or person. Within these collections there are many media and formats, including manuscripts, photographs, ephemera, and art on paper, but we don’t know the exact quantity and condition of these items. How should these collections be recorded in question F5?

Archival records and manuscripts should be recorded in linear feet in the “Unbound Sheets” section. If it is feasible to quantify or estimate other specific formats (e.g., photographs, domestic artifacts) by number of items, please record them in the relevant category and exclude them from the estimate of linear footage. If your thematic collections contain various media, provide estimates and record them in the appropriate categories.

19. We have never done a general condition assessment of our collections. How can we determine the percentages of materials in need of preservation?

Even if you have not undertaken a general condition assessment of all or part of your collections, provide your best estimate in each category, based on your working knowledge of the materials. Make sure that the percentages indicating condition in each line add up to 100 percent. If it is not possible to provide an estimate, indicate that percentage in the “unknown condition” column.

20. Our digital collections include back-up copies and online journal subscriptions. How should these be counted in question F5 “Digital Material Collections”?

You should include all collections for which you accept preservation responsibility. This would include service or back-up copies, since they would need to be maintained (e.g., through migration to another format).

However, you should not include digital materials that your institution makes available through a subscription service, such as electronic journals or databases, unless you or your parent institution maintains master digital files for these resources. In the case of most online or database subscriptions, the service provider would have the responsibility for preserving those materials, not your institution.

For example, if your institution owns original survey maps, purchased CD-ROMs with digital copies of these maps from a vendor, integrated those scanned maps into your online catalog, and subscribes to a database of survey maps from around the country, you would want to complete question F5 to record the original number of maps, number of CDs, and number of online files. You would not record the database subscription.

21. Our digital collections include digital images of some photographs that are in our collection. How should these be counted in question F5 “Digital Material Collections”?

You should consider whether these digital copies are a permanent part of your collection for which you take preservation responsibility. If they are, record the media on which they are stored in the “Digital Materials Collections” section of question F5.

The original photographs should also be recorded under “Photographic Collections” in question F5.

22. There are several questions we cannot answer. Do you still want us to respond to the survey?

In many cases, you have the option of selecting “don’t know” or “unknown.” Please complete the survey to the best of your ability and return it as directed, even if there are questions you cannot answer.

23. If I have additional questions, who can help me?

If you have questions about this survey, you can contact Christopher Reich, in the Office of Museum Services at the Institute of Museum and Library Services, via phone 202-653-4685 or email [email protected].