Heritage Assets

General

This section establishes policies and procedures to be followed in NOAA to ensure the proper care and handling of heritage assets under its control or jurisdiction. The goal of these policies and procedures is to ensure the proper collection, preservation, security accountability, and educational use of NOAA heritage properties.

Definitions

A heritage asset is any personal property that is retained by NOAA because of its historic, cultural, educational, or artistic value as opposed to its current usefulness to carrying out the mission of the agency.

A significant heritage asset is defined as an item of personal property classified as a heritage asset that has been an intrinsic part of the past history or culture of NOAA as determined by the Head Librarian of the NOAA Central Library.

Steward - Any organization or individual responsible for the welfare of a NOAA heritage asset.

Educational Resource Collection - Replaceable NOAA history-related items that are not in themselves considered significant heritage assets.

Heritage Assets Working Committee - A group of NOAA employees consisting of at least one person from the NOAA Public Affairs Office, two persons from the NOAA Personal Property Office (including the NOAA Property Management Officer), and two persons from the NOAA Central Library including the Head Librarian designated by the Deputy Under Secretary of NOAA to administer the policies and procedures contained in this section.

Designating Personal Property As Heritage Assets

Some items because of their age or obvious historical significance, are inherently historical artifacts. Items will be designated heritage assets that help illustrate the social, educational, and cultural heritage of NOAA and its predecessor agencies (U. S. Coast and Geodetic Survey, U.S. Fish Commission, the Weather Bureau, the Institutes for Environmental Research, the Environmental Science Services Administration, etc.). These include but are not limited to: bells; gyro compasses; brass citations; flags, pennants; chronometers; ship's seals; clocks; compasses; shipbuilders' contract (and other models); personal equipment; clothing; medals and insignia; barometers; rain guages; and any items which represent the uniqueness of the mission of NOAA and its predecessor agencies.

Property may have historical, educational, artistic, or cultural significance because it is associated with an important person, event, or place. Reproductions and dioramas may be considered historically significant, but normally they are not. Most trophies, prizes, and other items of transitory significance or of morale or sentimental value are not generally considered to have historical significance for the NOAA collection. Some, however, are pertinent to the history, lineage, or traditions of NOAA.

Property may become a heritage asset as the result of being created by research, resources management, or exploration, such as field notes and maps from the U.S. Coast and Geodetic Survey. Heritage assets may be identified by the fact that they are likely to increase in value with age or because the item is rare.

The final arbiter of the significance of an asset and its designation as a heritage asset is the NOAA Central Library Head Librarian.

Responsibilities

The NOAA Heritage Assets Working Committee - In carrying out the policies and procedures outlined in this section the NOAA Heritage Assets Working Committee:

• maintains a nationwide inventory of heritage assets, ensuring that they are identified and recorded in the Personal Property Heritage Asset Accountability System (PPHAAS);
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• establishes nationwide NOAA policies, procedures, and standards for the preservation, security, handling, storage, and display of NOAA heritage assets;
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• tracks and updates each loan of NOAA heritage assets, including assigning current values and inventory numbers, and reporting the current condition of heritage assets;
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• determines the feasibility of new loans; and
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• collects heritage assets and properties of historic, cultural, artistic, or educational significance to NOAA.

The NOAA Property Management Officer (PMO):

• issues and maintains nationwide NOAA policies, procedures, and standards for the preservation, security, handling, storage, and display of NOAA heritage assets;
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• serves as the Chairman of the NOAA Heritage Assets Working Committee;
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• approves all accessions to the NOAA Heritage Assets Collection;

• ensures that all heritage assets owned by NOAA are cataloged;
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• approves all loans of significant NOAA heritage assets; and
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• takes a leadership role in resolving heritage asset property issues in any Line or Staff Offices when any proposed action or substantive change could adversely impact NOAA's heritage assets.

The NOAA Central Library Head Librarian:

• oversees the collection of all documents, manuscripts and images;
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• makes the final determination of what shall be classified as significant heritage assets;
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• annually reviews the collection to assess what needs to be retained and what should no longer be retained in the collection; and
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• advises on the use of the NOAA Educational Resource Collection.

The NOAA Public Affairs Office:

• manages and maintains the NOAA Educational Resources Collection.

The NOAA Personal Property Office:

• maintains the NOAA Personal Property Heritage Asset Accountability System;
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• maintains all documentation related to NOAA's heritage assets including Deeds of Gift, Loan Agreements, annual inventory records, etc.; and
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• processes all loans of NOAA heritage assets.

Heads of Line and Staff Offices:

• carry out NOAA policy and procedures outlined in this Manual;
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• encourage and fund a viable and responsible program for the display of NOAA's heritage assets that is consistent with this document and applicable statutes and regulations;
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• designate personnel who know the methods and techniques for managing heritage assets and provide training necessary to implement this program;
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• respond annually to calls for physical inventories and conditions assessment surveys of heritage assets;
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• provide funds and resources for the proper care and handling of heritage assets; and
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• evaluate any risks resulting from improper care or lack of funding to the heritage asset and report any deferred maintenance.

NOAA Heritage Asset Stewards:

• carry out NOAA policy and procedures outlined in this section;
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• properly care for the heritage assets for which they are responsible as outlined in this section including taking temporary actions necessary to reduce deterioration due to environmental conditions, and to limit damage, loss and misuse of heritage assets; and
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• to the maximum extent possible make NOAA heritage assets available to the public for their education and enlightenment and to promote the image of NOAA's culture and history to the public.

Collections Management

Use of the collections - The preservation, management, and loan of NOAA heritage assets is intended to support public education.

• Restrictions on use - No personal property identified as a heritage asset may be used consumptively, i.e., for the purpose for which it was originally intended to be used. Thus, uniforms will not be worn, firearms will not be fired, and recorders will not be used to record. Exceptions to this policy may be granted on a case-by-case basis by the Chairman of the NOAA Heritage Assets Working Committee, generally only for specific occasions and only when they fulfill an educational purpose.
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• Permitted use - Customarily, the heritage asset collection will be used only in the following areas:
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  1. Exhibits that are accessible to the public in the following areas:
     • Federal facilities
     • state facilities
     • public non-profit facilities
     • private non-profit facilities
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  2. Support for official or scholarly research

Acquisitions

Donations:

1. The donation of items to NOAA by individuals and organizations is encouraged and treated as tax deductible gifts.
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3. The NOAA Heritage Assets Working Committee reserves the right to reject those donations which are not considered suitable within the limits of this document.
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5. Each donated item will be given the best available care and attention, but NOAA cannot guarantee that every donated item will be placed for exhibition. The prospective donor must be informed of the unconditional nature of gifts prior to the donation.
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7. A Deed of Gift will be prepared in duplicate. Both the donor and NOAA PMO will sign both copies, and the donor will receive the duplicate. The NOAA Property Office must keep the original Deed of Gift in its possession to complete the legal transfer of title to the item.
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9. Employees of NOAA may accept donations and sign Deeds of Gift for heritage assets with the approval of the NOAA Property Management Officer, who will then ensure that a NOAA accession number is assigned for the item. The signed Deed of Gift must be forwarded to the NOAA Headquarters Property Office.

Designation

A letter or memorandum signed by the PMO or his/her designated representative will document that an item previously classified as general property, plant or equipment has been taken out of service and designated as a heritage asset.

Found

Whether an item is found on site, found in collection, abandoned property, or an archeological find, a memorandum for the record, signed by the PMO, will document this circumstances surrounding the acquisition of the items.

Restrictions

The following restrictions apply to all acquisitions for the NOAA collection:

1. All acquisitions must be approved by the NOAA Property Management Officer.
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3. No restrictive or conditional acquisitions through donation, purchase or transfer may be accepted for the collection, except by direction of the NOAA PMO
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5. All assets identified as heritage assets, when accepted by any representative of NOAA, become the property of NOAA and will be cared for under the guidance of this section.
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7. Trophies, unit awards, presentation plaques and similar items will be accessioned into the collection only if they are of nationwide significance.
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9. Art retained for NOAA's collection must be specifically reflective of the history, traditions, and operations of NOAA or its predecessor agencies. It would not include reproductions, replicas, or prints. Artistic quality is determined by the NOAA Head Librarian, and prior to disposal, at least one art appraiser not employed by the Department of Commerce.
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11. The physical appearance of heritage assets will not in any way be altered.
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13. Under no circumstances will historic firearms be permanently demilitarized.
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15. No personnel of the NOAA Personal Property Office or of NOAA may provide written or verbal appraisals of a donated item to its donor. Donors requiring appraisals of donated items must obtain such appraisals at their own expense using appraisers of their choice. NOAA personnel may not recommend any particular appraiser over another.
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17. Items donated to the heritage asset collection of NOAA cannot be sold for any reason.
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19. NOAA will not accept permanent loans of historical property, except by direction of the PMO.

Heritage assets to be sought out

The collecting policy of the NOAA Heritage Asset Working Group will be active rather than passive.

Title disputes

Any entity claiming legal ownership of an item that has been cataloged as a NOAA heritage asset must furnish documentation of legal ownership to the NOAA Property Management Officer.

Accessioning

1. Heritage assets will be accessioned within 5 working days of receipt.
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3. Before they are cataloged, incoming items will be tagged with the accession number and kept separate from items that have been cataloged.
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5. All incoming items will be inspected for dirt, infestation, fungus, and mildew. Surface dirt will be cleaned, and infested items will be segregated until treated.
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7. Items of cumbersome size and/or weight will be securely stored in a suitable area until they can be processed into the permanent collection.

Supporting Documentation

An information file will be maintained in the NOAA Personal Property Office for each item and will include any historical references as well as acquisition documentation including the name and address of donors, transferees, or vendors.

Documents, Manuscripts, and Images

All incoming historically significant documents, manuscripts, and images of private or Government origin will be forwarded to the NOAA Central Library, which will retain custody of such items and be responsible for their care and cataloging.

Reproductions

Reproductions are marked and dated in a manner to distinguish them from original historical items and are not cataloged as significant properties. Instead, they are accounted for according to normal personal property procedures along with other property and may also be used as part of the NOAA Educational Resource Collection.

Collection Type Heritage Asset Materiality Worksheet

In accordance with Supplementary Stewardship Reporting, Statement of Federal Financial Accounting Standards 8, issued by the Federal Accounting Standards Advisory Board (FASAB), it is a requirement that every federal agency report in their consolidated financial statement not just the general property, plant and equipment (PP&E) used in the normal course of the agency's business, but also PP&E held in stewardship for the people of the United States.

To determine whether it is necessary to keep track of and record an asset that has been retained not for its usefulness, but for its historic, educational, artistic, cultural or natural importance, it is also necessary to determine if its importance is material. This worksheet may be used to assist in making that determination. NOAA need not report every stewardship asset it manages just because there are laws or administrative rules saying that NOAA is responsible for them. Also, it is permissible to report a stewardship asset even though it is not deemed to be material.

Materiality is defined as the magnitude of omitting or misstating an item in the financial report such that it is probable in light of the surrounding circumstances that the judgment of a reasonable person relying on the information would be changed or influenced by including or correcting the item. Unlike general PP&E, dollar value of the asset is not the determining factor when determining the materiality of stewardship assets.

A reasonable person is defined as a reader of the financial statements who uses the supplementary stewardship information to contribute to an understanding of NOAA's mission, operations and financial condition.

The surrounding circumstances that should be considered when determining whether or not stewardship assets are material are identified in terms of three criteria presented below in the form of focus questions and related subquestions that identify important aspects of the surrounding circumstances that should be considered when determining whether or not stewardship assets are material.

Stewardship assets are material if they are:

1. Important to NOAA's mission
2. Important to the nation
3. Highly visible, vulnerable, or controversial.

If none of these three criteria are met, the item is not material.

In order to assist in making the determination whether or not an item meets one of the above three criteria, an employee should ask him/herself the following questions about the particular item in question. These questions are presented only to assist in making the evaluation of materiality. Answering "yes" to one of the subquestions does not necessarily make an item material. But answering "yes" to one of the three main questions does make the item material.

1. Is the asset important to NOAA's mission?
   • Given NOAA's responsibilities, would a reasonable reader of the financial statement expect to find information on the asset in the Supplementary Stewardship Report in the financial statement?
   • Does NOAA have significant operations, programs or activities related to the management of the asset. That is, is it housed in a museum or a special display?
   • Is safeguarding the asset central to NOAA's mission?
   • Is reporting the asset important to a reader's understanding of NOAA's operations?
   • Is the asset significant to NOAA's history or culture?
2. Is the asset important to the nation?
   • Does the asset have value, characteristics, or qualities that are of widespread public interest?
   • Is the sheer size or large quantity of items in the stewardship asset category or collection of significant interest to readers?
   • Is the asset unique, especially important, and of exceptional interest to readers?
   • In the opinion of the informed preparer of the supplementary stewardship report, is information about the asset needed by readers?
3. Is the asset a highly visible, vulnerable, or controversial item for which accountability must be demonstrated?
   • Is there widespread public interest in safeguarding the asset?
   • Has the asset been subject to media attention or public controversy?
   • Have audit opinions on NOAA's financial statements or NOAA's Federal Managers' Financial Integrity Act (FMFIA) reports identified internal control weaknesses related to the asset?

Cataloging

The NOAA Property Management Officer has the responsibility for ensuring that all heritage assets owned by NOAA are cataloged in such a way that these assets can be immediately located and reported in accordance with standard cataloging practices pertaining to items of historic, cultural, artistic, or educational value. All cataloging schemes must be approved by the NOAA Personal Property Management Officer.

1. Each item will be recorded in the appropriate catalog within 30 days of receipt.
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3. The catalog constitutes the primary record of all heritage assets owned by NOAA. Therefore, accuracy and thoroughness are required; unambiguous and consistent terminology will be used in accordance with standard museum nomenclature practices.
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5. With rare exception, an image of the item will be maintained as part of the catalog in order to identify the item properly in the even of loss, theft, or damage, and to accurately record its likeness in case of dispute over its authenticity.
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7. When a decommissioned vessel or aircraft is retained as a heritage asset, the historically significant artifacts or properties attached thereto shall be separately cataloged. The steward of the vessel or aircraft must annually submit an inventory and condition report of all such historically significant artifacts and properties.

Numbering System

NOAA uses a simple serial number to identify an item in the Heritage Assets Collection beginning with HA00000001. Any item unique enough to be identified as a stand-alone item will receive its own unique serial number. Thus, a collection of 10 identical items would get one serial number, but a collection of 10 paintings would get 10 separate serial numbers.

NOAA Collection of Heritage Assets

This collection is divided into five categories:

• Art - A creation over time in any media produced for the enjoyment of the artist and/or the observer; for example: paintings and sculptures
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• Picture - An imprint of an optical image, i.e., photographs, motion pictures, and video tapes
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• Model - A three-dimensional creation depicting another physical object.
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• Artifact - An item of personal property. For example: instruments, clothing equipment, furniture, aircraft and vessels.
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• Document - An item containing text. For example: books, certificates, maps, logs, and manuscripts.

Valuation

NOAA heritage assets will not be assigned monetary value. This is in accordance with the recommendations of the Federal Accounting Standards Advisory Board. These items are being retained for posterity. They are to be considered priceless. (Of course, appraisals may be undertaken by entities to whom items are loaned for purposes of securing insurance protection).

Accountability

The NOAA PMO ensures accountability for all heritage assets on hand or on loan and ensures that the records show that NOAA has approved all loans or donations or other disposition of heritage assets and the date of action. NOAA stewards of heritage assets are required to inventory these assets every year. Special inventories may be required by the NOAA PMO at any time. Stewards will send a copy of their current inventory with an explanation of shortages or damages to the NOAA PMO by July 31 of every year.

The NOAA PMO will review all existing NOAA loans annually and the steward of each asset will be required to complete an annual loan renewal application for all renewable loans. Extreme care will be taken to prevent the damage, loss, or destruction of heritage assets. Upon the damage, loss, or destruction of such items, the NOAA PMO will be notified within 24 hours. The staff of any NOAA office in direct custody of NOAA heritage asset collections may not privately collect historical artifacts, artwork, and rare books or manuscripts pertaining to the history of NOAA and its predecessor agencies.

Deaccessioning

No employee of NOAA, the Department of Commerce, or any other Federal agency, can sell, trade, donate, destroy or give to another agency NOAA heritage assets without the written approval of the NOAA PMO. Heritage assets deemed by the NOAA PMO to be excess to the needs of NOAA must be disposed of in accordance with the Federal Property Management Regulations and/or the Federal Management Regulations.

The Head of NOAA's Central Library will review annually the NOAA-wide historical inventory to identify items that, for reason of duplication or unsuitability to the stated collections policy, are excess. The Librarian will prepare an itemized list of the property in question, the list containing identification of each item by nomenclature and catalog/accession number, and condition, suggested method of disposition, and justification for the proposed disposition. The list will be submitted to the NOAA PMO for approval. The item may be transferred to the NOAA Educational Resource Collection, or the item may be declared excess and turned over to the General Services Administration for screening in accordance with FPMR 101-45.

Conservation

All measures laid out below shall be followed by any and all stewards of NOAA's heritage assets, including those entities to whom the property may have been loaned. These measures must be part of any loan agreement.

• General - The purpose of conservation is to extend the life of NOAA's heritage assets. It includes all active and passive measures taken to stabilize, protect, and preserve the assets. It is the policy of NOAA that no asset in its custody be subjected to unnecessary deterioration. The following measures will be implemented to protect all NOAA heritage assets against natural and human agents of deterioration.
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  1. Each steward of NOAA heritage assets will strive to maintain stable display and storage environments to discourage the existence of biological and natural agents of deterioration. A clean, pest-free area with a consistent temperature of 18 - 23 degrees Celsius (64 - 74 degrees F), a relative humidity of 40 - 60 percent, with no exposure to fluorescent light or sunlight will be provided for display and storage.
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  3. Stewards will ensure that there is restricted access to heritage assets and that handling occurs only when necessary.
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  5. Only necessary conservation measures will be employed to stabilize an artifact or to ensure its continued existence.
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  7. No artifact will receive any conservation or preservation treatment that is irreversible. Stabilization will always precede restoration.
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  9. The physical appearance of historically significant properties will not in any way be altered.
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  11. All historical property will be handled with gloves, archival tools, tissue, padding, acid-free boxes, or similar materials.

Storage of Artifacts

In selecting storage areas, consideration will be given to an item's intrinsic value; rarity; liability to theft and vandalism; size; need for environmental stability; and frequency of handling. Appropriate measures will be taken yearly or more frequently to prevent infestation by pests, mold, or mildew.

Physical Security

Limited access is the most important tool of security and accountability for stored artifacts. Access to artifact storage areas will be limited to authorized personnel only. All entrances and exits to the facility will be locked. Keys to collection storage areas will be protected from unauthorized use. Stewards should make frequent visual inspections of asset storage areas as part of the routine care given to these assets. Weapons must receive special, detailed oversight and monitoring. Internal control procedures must be instituted to ensure they are not lost, stolen, or damaged, including daily inspections.

Fire Prevention and Safety

Special precautions must be taken to preserve heritage assets from fire, smoke, and fire-causing conditions. There will be no smoking in buildings which contain historically significant heritage assets. Each collection storage and display area will be equipped with a smoke detector and the appropriate fire extinguisher. In the event of fire, the first priority will be the prevention of loss of life. Personnel will be evacuated from the building immediately, and the fire department will be notified and alarms sounded. Personnel will post themselves near entrances and exits to the building to order to advise and assist fire fighters and to prevent access to historical property by unauthorized personnel during the emergency. All conservation and exhibit work will be performed utilizing property safety equipment. No chemicals or toxic materials will be used except under proper safety standards.

Financial Reporting

All costs incurred by the Government associated with the conservation of NOAA's heritage assets must be identified and reported annually. It is the responsibility of NOAA stewards to collect these costs in a separate account in order to provide this information for end-of-year reporting.

Reorganizations

Offices undergoing reorganization must ensure continuous responsibility for the heritage assets under their control. When the reorganization requires it, the office must ensure a smooth transfer of responsibility of heritage assets to a new steward. If no new steward is immediately available, the NOAA PMO will be notified so that he/she can designate and reassign custodial responsibility. If the heritage assets can no longer be maintained at a location, arrangements must be made to transfer the property to another secure location. If none can immediately be identified, the property must be shipped to the NOAA Warehouse in Capital Heights, Maryland. Packing and shipping costs will be borne by the shipping party.

On-site inspection of the property being transferred will be made whenever possible, especially when the unit or activity is of unusual historical significance to NOAA. The inspection will be conducted by the Head Librarian and at least one other member of the Working Group. Travel costs will be taken from the funds set aside for the reorganization.

Custodial Agreement for Heritage Assets

It is the policy of NOAA to encourage the loan of the heritage assets that it is not able to display in NOAA facilities. All loans of NOAA heritage assets must be processed through the NOAA Headquarters Personal Property Office. All non-NOAA borrowers of NOAA heritage assets must sign a formal NOAA Heritage Asset Loan Agreement. All NOAA Stewards of heritage assets must sign a formal NOAA Heritage Asset Custody Agreement.

All stewards of NOAA heritage assets are required to complete an annual inventory of the assets under their care which will include a condition assessment. NOAA heritage assets cannot be loaned for purposes of profit, commercial promotion, or decoration of private property. NOAA heritage assets will not be loaned for consumptive use. The NOAA Educational Resource Collection will serve all needs involving consumptive use.

NOAA heritage assets will not be loaned to entities which have lost, damaged, destroyed, or otherwise mismanaged assets in the past, unless tangible evidence of a change in management is provided to the NOAA PMO. Non-NOAA stewards of NOAA heritage assets will agree to replace lost, stolen, or destroyed assets, and to pay for professional restoration services if damage has occurred to the asset while in the borrower's custody, including in-transit. Heritage assets designated as significant may only be loaned with the approval of the NOAA PMO.

NOAA maintains the right to inspect heritage assets on loan on-site with as little as 24-hours notice to the steward. Current photographs of the assets may be requested at any time by the NOAA PMO. Photographs must always be submitted when damage has occurred. Any and all loans may be terminated without cause at any time by the NOAA PMO.

Exhibition of Heritage Assets

Every effort will be made to ensure the proper interpretation and educational use of NOAA's heritage assets. Publicly accessible display will take priority over decorative display. Assets will not be displayed solely for the profit of the steward. They will serve an educational purpose and will promote the public awareness of NOAA. All displayed items will have accurate interpretive labeling. The Head Librarian maintains the right to review all interpretive labeling of NOAA heritage assets. Items of a sensitive or controversial nature will not be displayed in isolation, but will be presented within the context of a larger exhibition.

Display Design

Items will be displayed so that no unnecessary stress is placed on the items by light levels, relative humidity, temperature, or other agents of deterioration. A method of display will be chosen that will ensure that the items and their support components are secure and protected from theft and vandalism. Heritage assets will not be used for hands-on activities or presentations. The only exceptions will be vessels and aircraft, the use of which may require the approval of the Head Librarian. Otherwise, the NOAA Educational Resource Collection will serve all needs involving consumptive use.

Exhibit Maintenance

Stewards of NOAA heritage assets will inspect each exhibited item regularly (displayed weapons will be visually inventoried daily) and will immediately report any loss or damage to the NOAA PMO. Corrective action must be taken immediately upon the observation of significant deterioration of a heritage asset. The item will be removed from exhibition, and a report of the deterioration will be submitted to the NOAA PMO.

NOAA Educational Resource Collection

The NOAA Educational Resource Collection is separate and independent of the NOAA Heritage Asset Collection. It is composed of NOAA history-related items that are not in themselves considered historically significant assets as determined by the NOAA Head Librarian.

The Educational Resource Collection is maintained by the NOAA Public Affairs Office and the NOAA Exhibit Center. The items in the Educational Resource Collection include duplicates of heritage assets in the NOAA Heritage Asset Collection, reproductions, and other replaceable items. The purpose of the Educational Resource Collection is to aid in public education in the social and cultural history, and heritage of NOAA and its predecessor agencies, without harming NOAA's irreplaceable heritage assets. Each Administrative Support Center will have in its control one part of the Educational Resource Collection to use as it sees fit for area-wide circulation.

FORMS

NOAA Form 37-41 - NOAA Heritage Assets Data Request

Deed of Gift to the National Oceanic and Atmospheric Administration

Loan Agreement for Heritage Assets

Custody Agreement for Heritage Assets