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TITLE 13CULTURAL RESOURCES
PART 2TEXAS HISTORICAL COMMISSION
CHAPTER 29MANAGEMENT AND CARE OF ARTIFACTS AND COLLECTIONS
RULE §29.6Certification of Curatorial Facilities for State-Associated Held-in-Trust Collections

(a) Establishment of certification program.

  (1) The Commission shall determine through the program established by this subchapter appropriate facilities to house state-associated held-in-trust collections generated or purchased by the Commission, generated through antiquities permits issued under the authority of the Commission as provided by the Texas Natural Resources Code, Chapter 191, donated to the Commission, or placed with the Commission through the order of a court.

  (2) The certification process shall consider the management and care of all state-associated collections at the curatorial facility.

  (3) The requirements of this subchapter related to the placement of state-associated collections in certified curatorial facilities shall apply to the following:

    (A) All collections placed in curatorial facilities by the Commission after December 31, 2005; and,

    (B) All collections generated under antiquities permits on public lands after December 31, 2005.

  (4) Except as provided in paragraph (9) of this subsection, no collection or any component of a collection as described under the jurisdiction of this subchapter may be placed in a curatorial facility that is not certified through the process established by this section.

  (5) This section does not apply to the placement of collections in curatorial facilities prior to the effective date of this requirement as specified in subsection (a)(3), above. It does apply to any subsequent transfer of collections or a component of a collection taking place after the effective date of this requirement as specified in subsection (a)(3)(A) - (B), above.

  (6) This section does not apply to the loan of a collection or a component of a collection to a facility not certified by the Commission.

  (7) Certification shall be effective for a period of ten years, after which time, the curatorial facility must apply for renewal. Renewal will be based upon a review of the standing of the facility in regards to disabling or deficiency factors assigned during the initial certification and the standards for certification in place at the time renewal is requested.

  (8) The certification process shall be implemented upon the effective date of these rules, and the staff of the Commission shall develop procedures to begin the review of applicants at the earliest possible date. The requirement that all new collections shall be placed only in certified curatorial facilities shall be effective as specified in subsection (a)(3)(A) - (B), above.

  (9) A curatorial facility that has submitted the application for certification provided by subsection (b)(1) of this section by the date provided in subsection (a)(3) of this section may continue to accept held-in-trust collections after that date so long as its application is pending and the application process has not been terminated or its application rejected by the commission.

(b) Procedures for Certification.

  (1) Application. A curatorial facility seeking certification from the Commission shall apply to the Commission on a form provided by the Commission.

    (A) The form shall require the applicant to provide essential information and documentation to allow the Commission to determine whether the facility is a curatorial facility within the definition of that term.

    (B) Staff of the Commission shall evaluate the application and make a recommendation to the executive director on whether the facility should be allowed to proceed with the certification process.

    (C) The executive director may determine that the certification review should be terminated at this point in the process. Such termination would be due to a clear failure of the curatorial facility to meet the criteria for certification developed under this subchapter.

  (2) Submission of written materials for certification.

    (A) The form shall require the applicant to provide essential information and documentation to allow the Commission to determine whether the facility is a curatorial facility within the definition of that term.

    (B) The self-evaluation and other materials must be submitted to the Commission within six months after the certification review packet is mailed. A one time extension not to exceed six months may be granted by the Commission staff upon request.

    (C) The completed documentation shall be reviewed by the Commission. If clarification or additional information is requested by the Commission, the facility shall have 30 days to furnish the information required.

    (D) Failure to provide the requested information or inadequacy of the materials provided may lead to the termination of the review process.

    (E) Staff of the Commission shall review the self-evaluation and other written materials provided and make a recommendation to the executive director on whether the facility should be allowed to proceed with the certification process.

    (F) The executive director may determine that the review should be terminated at this point in the process.

  (3) Field review.

    (A) A curatorial facility that has submitted its self-evaluation and other written materials and approved to proceed with the certification process shall be contacted to arrange for a field review.

    (B) At a time to be agreed upon by the Commission staff and the facility, an on-site evaluation of the facility shall be conducted by the Commission.

    (C) Field review of the curatorial facility will be conducted by qualified staff of the Commission. Confidentiality will be maintained within the limits of the Public Information Act.

    (D) An applicant for certification must make their facilities and records freely available to the field reviewers of the Commission in order to be considered for certification.

    (E) Upon completion of the on-site evaluation, the persons performing the evaluation shall complete a written report of the on-site evaluation.

    (F) The written report and recommendation shall be submitted to the executive director for his review. The executive director may approve, disapprove, or amend the recommendation.

    (G) The applicant shall be provided not less than 30 days notice of the Commission meeting when its application will be considered and provided a copy of the executive director's recommendation, the report of the on-site evaluation, and any other relevant documents.

    (H) The applicant shall have the opportunity to present written and oral information in support of its application to the staff and the Commission or committees thereof.

  (4) Consideration by the Commission.

    (A) The Commission may direct that this matter be considered in a committee of the Commission prior to consideration by the full Commission.

    (B) The Commission shall consider the recommendations of the staff and/or executive director and all other matters submitted or prepared in connection with the application and shall make a decision on the certification of the curatorial facility. The decision of the Commission shall be provided in writing to the curatorial facility. If certification is denied, the Commission shall provide reasons for the denial to the curatorial facility.

    (C) The decision of the Commission shall be based on the matters properly submitted in the certification process, and the decision shall measure the qualifications, stated objectives, and resources of the curatorial facility against the standards for certification established by the Commission.

      (i) The Commission shall consider the evaluation of the curatorial facility and determine which, if any, disabling and deficiency factors may be present in the curatorial facility.

      (ii) The Commission shall grant certification of the curatorial facility based on the disabling and deficiency factors by the following standards:

        (I) Four or more disabling factors, certification denied;

        (II) Three or fewer disabling factors and no more than four deficiency factors, certification granted;

        (III) Three or fewer disabling factors and five or six deficiency factors, provisional status granted; or

        (IV) Three or fewer disabling factors and seven or more deficiency factors, certification denied.

    (D) If a curatorial facility is certified with existing disabling factors or deficiencies, these factors must be addressed before subsequent certification can take place. The curatorial facility must submit a plan and schedule for correcting the factors to the Commission within 90 days of the notice of certification. The Commission shall consider the plan and schedule and either approve it or return it to the curatorial facility with suggested revisions. The curatorial facility shall resubmit the plan and schedule until approved by the Commission. If these factors have not been addressed by the end of its certification period, then the curatorial facility will be decertified at the end of the certification period. The curatorial facility must wait two years before reapplying for certification, at which time it will be certified only if it has addressed all prior deficiency and disabling factors.

    (E) Provisional status.

      (i) If the Commission determines that the curatorial facility does not meet all of the qualifications for certification, but should be granted provisional status, the curatorial facility must submit a plan and schedule for correcting the factors to the Commission within 90 days of the approval of provisional status. The Commission shall consider the plan and schedule and either approve it or return it to the curatorial facility with suggested revisions. The curatorial facility shall resubmit the plan and schedule until approved by the Commission. If such factors are addressed and appropriate evidence of such measures is presented to the Commission, the Commission may grant certification to the curatorial facility at the next succeeding quarterly meeting of the Commission.

      (ii) A curatorial facility that is granted provisional status shall be considered as a certified curatorial facility unless it subsequently fails to address the disabling and deficiency factors within the time allotted, at which time the Commission may vote to deny certification.

      (iii) Provisional status shall initially be granted for a period of three years. The period may be extended for up to three one-year increments by the Commission if the curatorial facility is determined to be making progress in remedying the disabling and deficiency factors. Provisional status may not be extended beyond the six-year limit. Each extension will require justification and a vote of the Commission.

    (F) Except as provided by this subchapter, a curatorial facility that is denied certification by the Commission may not reapply for certification within one year of the denial of its application.

(c) Appeal.

  (1) If the executive director has determined that the review of an application for certification of a curatorial facility should be terminated prior to field review, the curatorial facility may appeal that decision to the Commission by requesting in writing a review of the decision at the next succeeding quarterly Commission meeting, provided that such request must be received not less than 30 days prior to the meeting. The curatorial facility and the executive director may submit arguments in writing to the Commission concerning the appeal.

  (2) If the executive director and/or staff recommend against certification of a curatorial facility, the facility may respond in writing to such recommendation. If the curatorial facility determines that it needs additional time to respond to the staff and/or executive director's recommendation, it may request that the consideration of the certification be delayed until the next succeeding quarterly meeting, and shall submit its response not less than 30 days prior to the next succeeding quarterly meeting. Only one such delay in the consideration of certification shall be granted, except on vote of the Commission.

  (3) The staff or the executive director may comment on any response of the curatorial facility.

  (4) Except as may otherwise be provided by law, the decision of the Commission on certification of a curatorial facility is final.

(d) Criteria for Certification. Each applicant for certification must meet the following criteria to be certified.

  (1) The Commission shall develop and adopt objective criteria for the evaluation of curatorial facilities.

  (2) The criteria shall be in writing and shall be made available to any person requesting them.

  (3) The evaluation shall focus on the care and management of all state-associated held-in-trust collections present at the facility.

  (4) The following certification criteria will be used to evaluate curatorial facilities:

    (A) Governance.

      (i) specific mission statement;

      (ii) institutional organization document; and

      (iii) evidence of not-for-profit status.

    (B) Clear Fiscal Plan.

    (C) Policy. Written, integrated collections management policy addressing:

      (i) acquisitions;

      (ii) scope of collections;

      (iii) legal title;

      (iv) held-in-trust agreements;

      (v) contract of gift;

Cont'd...

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