Royal D. Suttkus Fish Collection Use Policies

Policy Statement (1)

Mission:
Collections in Tulane University Biodiversity Research Institute serve as a resource for taxonomic, systematic, ecological and environmental research in the Gulf-South region and beyond.


Acquisition and Accession

1. Scope of Collections: Tulane University Biodiversity Research Institute comprises collections of mammals, birds, amphibians, reptiles, fishes, crustaceans, molluscs, vertebrate fossils, fungi and plants. Specimens in the collection span a period of approximately 150 years, but the vast majority of material was collected in the latter half of the 20th Century. The area of concentration of holdings is the Gulf-South region of the United States, with high representation from areas to the east and west including Mexico, and diminishing representation northward and southward into Central America. Most continents and ocean basins are represented by specimens.

2. Adequacy of resources: It is the policy of the Tulane University Biodiversity Research Institute a) to maintain adequate space, staff and financial resources to properly care for all its collections, b) not to acquire or accession material unless adequate space, staff and financial resources are available, and c) to deaccession and donate to other institutions possessing adequate space, staff and financial resources, material or entire collections if space, staff and financial resources become too limited for its proper upkeep. Exceptions to this policy will only be made in emergency situations (such as when national plans authorize salvaging of abandoned collections by collections designated as national centers). In these cases, acceptance of the material will be temporary, unless or until resources for its proper care is forthcoming.

3. Encumbrances: It is the policy of the Tulane University Biodiversity Research Institute not to accept material with encumbrances, unless the encumbrance is within the long-term interest of the institution. Material donated to the Tulane University Biodiversity Research Institute becomes the property of the Tulane University Biodiversity Research Institute and the Tulane University Biodiversity Research Institute reserves the right to accession and house the material as it sees fit. It is the Policy of the Tulane University Biodiversity Research Institute to retain all records of prior ownership of material. Thus, the Tulane University Biodiversity Research Institute ordinarily accepts terms and conditions for referencing gift material.

4. Permanent Loan: The Tulane University Biodiversity Research Institute accepts material on "permanent loan". However, policies pertaining to material on permanent loan are no different from those pertaining to other material accessioned into the collections.

5. Special collections: Special collections, such as slides, photographs, and hard parts removed from specimens, may be accessioned. The Tulane University Biodiversity Research Institute accepts voucher material from scientific research consistent with its mission.

6. Nonaccessioned collections: Material that is valuable for teaching or future exchange may be accepted and maintained temporarily in the Tulane University Biodiversity Research Institute until it can be gifted to others. This material typically will not be formally accessioned.

7. Modes of acquisition: The usual modes of acquisition of material is by research activity, expedition, gift, exchange, purchase or bequest. Purchases must be approved by the Tulane University Biodiversity Research Institute Director, who is signatory authority on instruments of conveyance involving purchases.

8. Ethics and Laws: All specimens accessioned into the Tulane University Biodiversity Research Institute must be obtained legally and ethically. All local, national and international laws, treaties, regulations, and conventions must be observed and documented. The collectors must be able to assure the Tulane University Biodiversity Research Institute that collections were made with proper respect to historic sites, natural populations, and natural habitats. Copies of collecting permits and other documents establishing legal title to the material, must be provided with the material. An unbroken "chain-of-custody", retraceable back to permits or title documents, must accompany all specimens accessioned into the Tulane University Biodiversity Research Institute.

9. Physical condition: It is the policy of the Tulane University Biodiversity Research Institute to accept only whole, intact specimens that are readily identifiable. However, voucher material associated with anatomical or biochemical studies, or other studies involving dissections, may be accessioned in special circumstances. Material used in doctoral studies, or cited in the literature is presently retained regardless of condition, provided the material is suitably preserved.

10. Data and records: Material accessioned into the collection must be accompanied by adequate records as to provenance, date of collection, field or laboratory preparation, and documentation of title/permits.. Clear descriptions of collection locations are acceptable, but more precise fixes such as latitude and longitude are preferred. Records may be provided in electronic format.

11. Records sharing: Copies of all records pertaining to material accessioned into the Tulane University Biodiversity Research Institute will be provided to all individuals and institutions involved in collecting the material.

12. Appraisals: Tulane University Biodiversity Research Institute staff are forbidden from providing estimates of the value of material to be donated or accessioned.

13. Complementarity: The focus of collections in the Tulane University Biodiversity Research Institute is the Gulf South region of the United States. Curators of collections are expected to keep this focus and the Tulane University Biodiversity Research Institute's complementarity with other collections in mind when considering material for accession. Material from other regions of the U.S. and other parts of the world is accepted mainly for comparative purposes.

14. Violations of policy: If it is determined that material is acquired in violation of policy, especially legal and ethic aspects, the material is to be returned to it's legal owner or the appropriate governmental authority. Authority for this action rests with Curators-in-Charge of the various collections and or the Director.

15. Authorizations: Acquisitions involving areas outside of the Tulane University Biodiversity Research Institute's focus area, or those requiring special maintenance or security, must be approved by the Director.

16. Handling of endangered species: The Tulane University Biodiversity Research Institute is registered with the U.S. Fish and Wildlife Service, Office of Management Authority (permit no. 739958) and is in compliance with stipulations of the Endangered Species Act and the Convention on International Trade in Endangered Species (CITES) regarding interstate and foreign transport of museum specimens for non-commercial loan, donation or exchange. Specimens of rare, endangered and threatened species in the collection are handled in similar ways to type material with similar provisions for storage, loans and acquisition.

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Management and Care of Collections

Tulane University Biodiversity Research Institute has adopted the Society for the Preservation of Natural History Collections' Guidelines for the Care of Natural History Collections (Collection Forum 10(1):32-40) as its general rules for collection care and management. This policy statement outlines other general rules and requirements that apply to all collections. In addition, individual collections have policies for care and management based on the nature of the collections and the attending conservation requirements. These policies are based on guidelines developed within the various collection communities and usually available in published form through professional societies. Guidelines for the various collections have also been adopted as general rules for care and management in collections where they are available.

A basic premise of collection care, and the policy of the Tulane University Biodiversity Research Institute, is that a collection will have a curator in place who is trained in caring for, and managing activities of the collection. The Curator-in-Charge of a collection may be a person with a half-time, adjunct or emeritus status. In cases where collections have adjunct curators, or collections are temporarily without curators, the Director and one or more of the permanent staff will serve as advocates for the collections. Advocates are expected to apprise themselves of the kinds of care required for each collection involved and to administer that care as needed to conserve the collections.

It is the policy of the Tulane University Biodiversity Research Institute to engage in preventive conservation, to minimize deterioration of specimens and other supporting objects. In its most general form, this policy involves maintenance of constant temperature and humidity in Tulane University Biodiversity Research Institute buildings, control of exposure of specimens to light, and integrated pest management. Other details of preventive conservation vary with individual collections and are the responsibility of the Curators-in-Charge. Oversight for this policy rests with the Director. Compliance with this policy will be measured with metering devices (temperature/humidity fluctuations) and semiannual inspections of collections.

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Access and On-Site Use

1. Authority: Authority for granting access to collections rests with the Curator-in-Charge, who is charged with the responsibility of balancing the needs of use with the needs of conservation.

2. Criteria: Users of collections are required to provide a written request explaining what is needed, and how and for what purpose material in the collection is to be used. This information will be used to document the value of the collection to society. Users are required to demonstrate competence in the handling of specimens and willingness to comply with security precautions or other restrictions.

3. Categories of use: Five categories of users are recognized based on the kinds of uses of material permitted and the amount of supervision required: a) professional scientists at properly equipped institutions; b) students and scientists not tied to institutions; c) educators; d) commercial users or users that require extraordinary assistance from collection staff (fees may be charged to this category of users); e) the general public. In general, professional scientists at research institutions are granted the greatest range of uses of material and require the least amount of supervision, whereas members of the general public have the narrowest range and require the greatest supervision.

4. Exclusive use: Material in the collection may be held out for periods of up to five (5) years for the exclusive use of researchers affiliated with the collection. These periods may be extended beyond this time period if progress in completing the investigation is satisfactory and other requests for use of the material are not pending.

5. Security: Visitors to the Tulane University Biodiversity Research Institute have to abide by its security provisions when using collections. Collections in the Tulane University Biodiversity Research Institute are spread over three buildings, each with a separate alarm system. The official policy on use is that all work in the collections is to be performed during normal business hours. However, recognizing that out-of-state and international visitors often come to the Tulane University Biodiversity Research Institute with the intention of spending long hours working in the collections to minimize the length of their stay, it is left to individual curators to decide whether work is be permitted after hours or on weekends, whether supervision is required, and whether visitors are to be assigned keys and security codes. This courtesy will only be extended only to professional scientists on limited visits to the Tulane University Biodiversity Research Institute.

6. Procedures: Guidelines for handling specimens will be established by curators in the various collections and submitted to the Director for approval.

7. Access to records: Access to all records of the collection (catalog, field notes, etc.) by users is controlled by the Curator-in-Charge. Access to records is subject to the same restrictions as access to specimens, with professional users having the most access, and general public access being the most limited.

8. Credits: All users of material in the Tulane University Biodiversity Research Institute are required to acknowledge such in all resulting publications and databases, and to provide the Tulane University Biodiversity Research Institute (through the collection involved) with copies of this documentation.

9. Reproductions: The Tulane University Biodiversity Research Institute and it's specimens are to be acknowledged for all reproductions of material (photographs, illustrations). Fees may be charged for reproductions by commercial users. Photographers of specimens must show proof of knowledge of specimen preservation.

10. Evaluation of requests: Requests for use of specimens will be evaluated by curators of the various collections, in whose hands decisions on use rest. All requests (public or professional) must be made through the curator of the collection involved. In cases of collections without curators, requests should be made to the Director, who may seek the advice of experts before granting the request.

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Loans

Loans are uses of specimens outside the usual confines of the collections which normally house them. Thus, the term "loan" applies to transfers of specimens to individuals in other collections within the Tulane University Biodiversity Research Institute, as well as transfer to individuals outside of the Tulane University Biodiversity Research Institute. The loan recipient has a custodial responsibility to maintain the specimens as if they were in their home collection.

Incoming loans 1. Authority: Loans may be requested by curators of collections, scientists with research appointments, and staff working under the direction of a curator.

2. Laws and Ethics: Members of Tulane University Biodiversity Research Institute staff borrowing material from other institutions/collections must observe all legal and ethical standards pertaining to use of that material.

3. Care and handling: Members of Tulane University Biodiversity Research Institute staff borrowing material must observe all guidelines for care and handling of borrowed material issued by the loaning institution.

4. Alterations: Members of Tulane University Biodiversity Research Institute staff borrowing material must abide by restrictions on ways borrowed material may be altered, minimizing alteration where possible. They must inform the loaning collection in advance of any destructive sampling.

5. Records: Collections receiving loan material must keep records of all incoming loans, and loan transactions.

Outgoing loans Outgoing loans are authorized by a standard agreement that sets forth an itemization of the material loaned, the duration and conditions of the loan, responsibilities of the parties involved, and options for renewal.

1. Borrowers: Four categories of borrowers are recognized based on experience and facilities for housing and working with specimens: a) professional scientists at properly equipped institutions; b) students and junior scientists not tied to institutions; c) educators; and d) commercial users (fees may be charged to this category of users) and the general public. In general, professional scientists at research institutions are granted the greatest access to loans, whereas access to commercial users and the general public is most restricted. Loans to students must be countersigned by their academic advisor. Researchers without permanent institutional affiliations must have associate appointments with museums or be sponsored by individuals with permanent institutional affiliations.

2. Purposes: Ordinarily, loans are made for scientific, educational, and non-commercial purposes.

3. Institutional responsibility: Borrowers must indicate where and under what conditions material will be housed. Borrowers will be held accountable for the material through their institution. Loans may not be transferred from one institution to another, or from one researcher to another, without proper notification and transfer of invoices.

4. Records: Individuals interesting in borrowing material must submit a written request to the Curator-in-charge of the collection involved. The borrowers must specify how the material is to be used and whether destructive sampling will be involved. Loans will be tracked with forms (invoices) that itemize material borrowed and specify terms of the loan. Receipt of loans and condition of specimens on receipt must be acknowledged by return of a signed copy of the loan invoice.

5. Care: Loan invoices will contain information on preservatives in use, and instructions on the proper care of specimens. It is assumed that specimens will be provided the same conditions of storage as they receive in their home collection. Any changes in the original plan of study involving use of the specimens, especially destructive sampling, must be communicated and approved in advance.

6. Restrictions: All material except primary types, exclusive-use material, and extremely rare specimens is available for loan. Secondary types may be borrowed under special circumstances. Loans of secondary types are permitted if specimens are hand carried and returned by hand. If holdings of secondary types are large (lot-based collections), portions of individual lots may be borrowed or a limited number of secondary type lots may be loaned by special mail carrier. Rarely will all holdings for particular taxa be loaned at once. In cases where limited material is available for loan, a portion of the material may be loaned and the rest retained until the first portion is returned.

7. Duration: Loans are ordinarily made for 6 months or less, but may be extended if requested in writing. Specimens are to be returned promptly upon completion of the study for which the material was borrowed.

8. Priority of loans: In cases where the same material is requested simultaneously by different users, priority of loans will be established first by categories of borrowers, and by date of request within category.

9. Costs and insurance: Loans to qualified researchers are normally made free of charge. However, borrowers may be expected to pay shipping charges in cases of large loans, or loans requiring special handling and insurance.

10. Annotations: Borrowers are required to provide written annotations as to reidentification of specimens, the nature of study (counts, measurements, illustration), and any destructive sampling performed.

11. Credits: All borrowers of material are required to acknowledge the Tulane University Biodiversity Research Institute in all resulting publications and databases, and to provide the Tulane University Biodiversity Research Institute (through the collection involved) with copies of this documentation.

12. Grounds for denial: Individuals who abuse any of the conditions of this policy will lose their borrowing privileges.

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Destructive sampling

1. Intent: Destructive sampling is analysis that destroys or alters all or a portion of a specimen or object. This policy statement establishes guidelines for permitting this important form of use of specimens, while minimizing unnecessary damage to specimens. The intent of this policy is to balance use of specimens in research against the need to conserve specimens for future generations.

2. Framework: This policy is developed within the framework of other collections policies, a number of which include references to destructive sampling. In general, destructive sampling should not be permitted on primary types, specimens of very rare, endangered or extinct species. Exceptions may be granted only in circumstances that have the potential to benefit the species involved or other related species. In such cases, the sampling should be performed with the utmost attention to future specimen quality.

3. Authority: Authority for approving destructive sampling of unrestricted (common, well-represented, non-type) material rests with the Curator-in-Charge. In cases involving restricted material, the matter will be referred to a panel of experts from the collection community, who will be asked to consider the total amount of material available in collections in rendering a decision.

4. Evaluation: In cases where requests for destructive sampling involve limited material, requests will be evaluated on the basis of written information provided by the researcher. Intended uses must have scientific merit. The researcher must demonstrate competence with proposed methods. The methods must be the least intrusive for achieving the intended result. The researcher must have sufficient resources to carry out the method. The research will be required to abide by the institution's operational standards for processing and documentation. Failure to comply with institutional requirements may be grounds for denying future requests.

5. Operational standards: Unused portions of specimens shall be returned to the institution unless otherwise agreed upon in writing. Methods and extent of sampling shall be documented. Resulting analytical data and duplicates of tangible products - e.g., SEM photographs, histology slides, or (in the case of DNA and biochemical sampling) GenBank accession numbers or computer readable copies of sequences - shall be deposited in the Tulane University Biodiversity Research Institute to become part of the specimen's permanent record. The institution shall receive credit for providing samples to the researcher in all publications and databases, and shall receive copies of all publications and notices of databases..

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Use of Data

Data Use Agreement

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1) Patterned after Guidelines for Institutional Policies & Planning in Natural History Collections, 1994, K.E. Hoaglund (Ed.), Association of Systematic Collections.