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Assessment QuestionList of documents/additional informationDocument Submitted: Y/NComments - institutional / hard copy only / electronic / integrated into the database
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yellow = institutional; blue = collection/s level; green - may be institutional or collection/s level; red = hard copy documents - not to be submitted but will be checked on site.
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Code of Conduct1.9 Is there a Code of Conduct for institution staff that covers work in collections (e.g. ethical sampling and use of collections, conflicts of interest, ownership of specimens, images and data, responsibility for collections)?
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DFFE Registration1.10 Is the institution registered with DFFE as a scientific institution?DFFE registration document
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DALRRD Animal Disease Control Registration
1.11 If appropriate, is the institution registered with DALRRD for Animal Disease Control (all collections of animals, including invertebrates, and microbes)?DALRRD Section 20 certificate / registration
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Document Register2.1 Is there a document register (a list of all documents, a numbering and versioning system, with date of approval and updates, location) for the collection/s?Document register
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Collection Description Document2.2 Is there a document describing the collection that contains the following? History
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Purpose
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Size
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Taxonomic/geographic focus
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Layout
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Specimen numbering method / system
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Overall condition
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Preservation methods
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Storage system
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Expansion plans / strategy
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Annual/3-year work plan2.3 Is there an annual and / or 3-year work plan for the collection that identifies what needs to be done in the collection and who will do it with targets / deliverables and deadlines?Collection management / curation plan
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Standards2.6 Are the following standards included and described in the collection documentation (note that standards are the specifications - what it must be and not the “how to” for each aspect)Storage environment (temperature, humidity, light, structure (e.g. doors, windows), ventilation, fire detection and suppression systems) - standards
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Storage equipment and consumables (cabinets, shelving, drawers, containers (bottles, vials, boxes), materials (labelling materials, linings, preservatives, insect pins, glues / adhesives) - standards
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Organisation system of the collection (systematic according to which authority / system, alphabetically at what level, numerically at what level, unidentified specimens, different types of collections - wet, dry, tissue and how these are arranged, numbering / barcoding system used, numbering system for rooms, cabinets / shelves, drawers, labelling of cabinets, shelves, drawers)
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Numbering system used for specimens (what makes up the formal catalogue numbers? Are derivatives of one specimen linked by numbers? If specimens from the same sampling event are split what numbers are assigned (e.g. lectotype designated from syntypes or mixed samples later sorted)?
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Labelling / marking standards (print type, font, size, information included and whether this is verbatim as received or with corrections / additions / formatting changes e.g. collection date, collector name) and relabelling (what happens to old labels) / updating labels (adding or changing information
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Visiting researchers - facilities and equipment to be provided
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Data standards
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Imaging standards
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Storage of archival documents - standards
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Policy Documents2.7 Are there policy documents for the following? (one or multiple documents)Collection care policy
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Collection access policy (including loans, visitors, supply of samples) and associated data and other digital assets
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Data management policy
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Data publication policy
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Acquisitions policy
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Deaccession policy
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Disaster and risk management policy
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Health and safety policy
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Research policy
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Intellectual property policy
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Ethical conduct policy (research and collections)
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Repatriation policy
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Permits policy
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2.8 Do you have any other policy documents (not listed above)? If yes, list them here.
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Registers2.9 Are the following registers in place?Hard copy collection register/inventory (=catalogue book / accessions register)
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Hard copy acquisition register - all material coming into the institution including specimens for identification, returned loans, incoming loans, donations, collections of internal researchers)
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Conservation interventions register (any relabelling, moving, rebottling, inspections, preservative level checks that have been carried out)
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Data improvements/updates register (record of any projects/initiatives to update, clean, or georeference specimen records)
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Loans register
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Destructive sampling register
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Data/image requests register
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Disaster event register
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Hard copy visitors register
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Register of Threatened or Protected Species - specimens held in collections with their marking (accession / catalogue number / barcode), new specimens added, sent on loan, donated, deaccessioned
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Register of CITES listed species - specimens held in collections with their marking (accession / catalogue / barcode), new specimens added, sent on loan, donated, deaccessioned
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Permits register/filing system
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Forms/Agreement templates2.10 Are the following forms / agreement templates in place ?Donation forms
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Specimen tracking forms for new acquisitions / incoming specimens / collections
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Loan agreement
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Access request forms
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Field data collection forms
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Object movement slip for use when a specimen is removed from the collection
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Deaccession order form
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Material transfer agreement (for donation of specimens / tissue samples/ DNA extracts)
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Data / image sharing form / agreement
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Incident report forms for health and safety
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Salvage forms for use after a disaster
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Damage assessment form for collections / objects
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Rules for visitors2.11 Is there a Rules for Visitors document?
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Risk management documents2.12 Are the following risk management documents in place ?Risk assessment reports for the collections to identify risks related to agents of deterioration / loss (fire, water, light, temperature, humidity, contaminants, security, custodial neglect, physical forces, pests) and analysis for prioritisation of highest risks.
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Risk control / mitigation plans for priority risks identified for collections / collection areas.
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Monitoring reports for checks on risks and implementation of mitigation measures for fire, flooding, security, pests, temperature, humidity, fluid preservative levels.
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Emergency response plans for collections, that cover plans for fire, flooding, theft/unrest, power outages, hazardous material spills and that include contact list, inventory of prioritised collections, list of materials and supplies for emergencies, list of service providers, backup storage and triage areas, procedures for evacuation.
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Floor plan showing location of priority collections, salvage and triage areas
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Salvage plans (what to do with specimens / collections after a disaster)
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Records of training exercises related to disasters (evacuations, fire fighting, salvage)
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Structural integrity report2.13 Is there a recent structural integrity report by an appropriate expert / authority for the building/collection spaces?
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Fire Department assessment report
2.14 Is there a fire department assessment report less than one year old?Report covering collection storage areas
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Health & Safety documentation2.15 Is the following health and safety documentation in place?Health and safety risk assessment specifically for work related to the collections, with precautions for implementation to reduce risks to staff
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List of people responsible for health & safety in the collections (health and safety officers, first aiders, etc)
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Emergency contacts list for health and safety emergencies
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Health and safety protocols for staff and others working in collections
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Air monitoring reports for pesticides / other hazardous chemicals in collection areas and workspaces
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Hazardous substance exposure reports
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Incident reports / register
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Register / list of training needs for health and safety
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Records of training exercises for health and safety (e.g. training on health and safety hazards, dealing with hazardous substances, first aid training, lifting heavy objects, working on ladders, use of PPEs)
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Inventory of hazardous substances & associated material safety datasheets2.16 Is there an inventory of hazardous substances and their associated material safety datasheets for each area within the building where such substances are stored or used?
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Document management workflow
3.1 Is there a document management workflow in place, including steps from draft to finalisation of documents, authorisation, filing and recording in the documents register, review process?
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Acquisitions and deaccessions workflows3.2 Are the following acquisitions and deaccessions workflows in place?Processing new material: steps from intention to donate / receipt from internal researchers, verification of whether in scope; checking permits, etc; handling specimens not permitted, poor condition, or no data; handling out of scope material or bycatch; treatment for pests; handling original datasets/datasheets; specimen curation/preparation/rebottling; data capture; labelling; embargoes, cataloguing; storage/filing; closing out the acquisition record
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Deaccession workflow: steps for identification of collection / specimens for deaccessioning, approvals, disposal, records updating
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Collection care workflows3.3 Are the following collection care workflows in place?Collection inventory: steps for new entries, updates to storage location, taxonomic changes, any changes in condition of specimens, periodic audit processes
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Collection environment monitoring (e.g. temperature, humidity, ventilation): steps for the processes, frequency, recording information, analysis, response / interventions
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Taxonomic updates: steps for making taxonomic updates to specimen labels / containers, movement of specimens, database updates, accessions register / catalogue book updates
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Specimen movement, collection re-organization: steps for recording previous and new storage locations, updating collection documentation when specimens / collections are moved
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Collection monitoring: steps for regular checks on risks to collections (physical state of storeroom, dust / mould, security, evidence of pests), recording results, interventions (linked to risk mitigation plan)
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Rebottling, replacing preservative or relabelling: steps for identifying preservative type, recycling old preservative, ensuring correct preservative used, retaining all labels, see also requirements for movement and re-organization
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Ethanol / fluid preservative monitoring in wet collections: steps for checking and recording levels, checking and recording ethanol percentages (concentration), bottles topping up containers, adjusting percentages, recording actions taken, verification by by collection manager
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Pest monitoring: steps in monitoring process, identification of pests, recording results, analysis
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Pest management: management interventions, evaluating impact of interventions, intervention recording and reporting
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Data and image management workflows3.4 Are the following data and image management workflows in place?Field data collection: steps for recording relevant fields, archiving of original datasheets
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Data capture: steps for data capture, recording verbatim data, quality control
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Born-digital data: steps for quality control, ensuring that data are not captured again manually, archiving of original data files
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Editing/cleaning/updating: steps for ensuring that edits/updates/changes go back into the main database, updating of data quality metrics and collection documentation