There is an increasing recognition of the value and use of archaeological collections housed in museums and repositories to answer important research questions (Childs Reference Childs, Agnew and Bridgeland2006; Goetze and Mills Reference Goetze and Mills1991; King Reference King2016; MacFarland and Vokes Reference MacFarland and Vokes2016; Rothschild and Cantwell Reference Rothschild and Cantwell1981), and this is likely to increase in the future (Surovell et al. Reference Surovell, Toohey, Myers, LaBelle, Ahern and Reisig2017). Collections-based research uses existing archaeological collections rather than undertaking new excavations and/or surveys. These collections are housed in museums that both hold collections and have public outreach/education missions and in repositories that lack a public education/outreach mission (Archaeological Collections Consortium 2016). Despite the unparalleled potential of these collections, most researchers are unfamiliar with the basic organizational principles used by the curators/archivists/museum directors/collections managers (i.e., collections professionals) who care for and safeguard archaeological archives and collections. This article is designed to serve as a guide for researchers who are venturing into collections-based research for the first time and parallels recent discussions on the use of archival material (Kirakosian and Bauer-Clapp Reference Kirakosian and Bauer-Clapp2017).
Although some researchers have experience as collections professionals and a large segment of collections professionals have current or past research experience, these two groups often think about collections differently. Both groups care about the collections and the research conducted on them but also have different primary concerns and work under different constraints. People on both sides of collections (those charged with their care and those wishing to study them) have made considerable advances in ethics, theory, and methodology (Childs Reference Childs2004, Reference Childs, Agnew and Bridgeland2006; Lindsay and Williams-Dean Reference Lindsay and Williams-Dean1980), but these advances do not always line up seamlessly. Additionally, because the advances are often published in different venues, scholars from both perspectives are not always aware of these differences. As a result, it can be difficult for researchers looking at collections for the first time to understand these differences and work productively in the collections world.
In presenting a guide for researchers working on existing collections, I have several goals. The first is to clarify the differences in the way researchers and collections professionals think about collections. All collections professionals share a set of ethics, theory, and method centered on balancing the needs and care of the collections, research on the collections, and the needs and wishes of descendant populations, but institutions have differences in their missions, stakeholders, and the constraints within which they operate. I follow this discussion with a practical guide for setting up a collections-based research project, actually conducting the research, and citing the institutions that house the collections (note: I use the term collections to include both the material culture and field notes from archaeological projects in this article unless otherwise stated).
MUSEUMS, REPOSITORIES, AND COLLECTIONS PROFESSIONALS
Archaeological collections are housed in a variety of different facilities ranging from federal and state repositories housing collections from either a large region or a particular government bureau (Bureau of Land Management, National Park Service, Forest Service, etc.) to large private and public museums to tribal museums to small regional museums. All of these institutions have different missions, priorities, stakeholders, and constraints. Although all welcome and encourage research on their collections, their ability to accommodate outside researchers differs due to differing priorities as well as shortages in budget, space, and/or staff (Barker Reference Barker2010; Bustard Reference Bustard2000; Keene Reference Keene2006; Lindsay and Williams-Dean Reference Lindsay and Williams-Dean1980; Rothschild and Cantwell Reference Rothschild and Cantwell1981; Silverman and Parezo Reference Silverman and Parezo1992). Specifically, federal and state repositories have been set up expressly to house archaeological collections as part of the cultural resource management directive of public lands. Although there is variability within this group, in general, their missions are dominated by the preservation and stewardship of the cultural resources under their care and the facilitation of research on these collections. As such, they may have dedicated work space for visiting researchers and may be able to dedicate staff to assist researchers in pulling collections from storage, photographing specific materials, and photocopying field notes if given sufficient warning of a researcher's visit and approval of the research project (see below). This can be contrasted with small regional museums that have public education as their primary mission. Although collections professionals in these settings take their responsibilities of preservation and stewardship of the cultural resources just as seriously as their colleagues in repositories, they often lack the space and time to help researchers. For example, in a small museum, the same individual may have primary responsibility for fund-raising, exhibit construction, conservation, legal compliance, and public tours (Keene Reference Keene2006; Lindsay and Williams-Dean Reference Lindsay and Williams-Dean1980). As such, there are considerable constraints on the time and space they may be able to make available to visiting researchers, and it is incumbent upon the researcher to understand and work within such constraints.
Despite these differences, collections professionals share a code of ethics and a body of method and theory regarding the material under their care (Buck and Gilmore Reference Buck and Gilmore2010; Burcaw Reference Burcaw1997; Bustard Reference Bustard2000; Childs Reference Childs2004, Reference Childs, Agnew and Bridgeland2006; Silverman and Parezo Reference Silverman and Parezo1992). Understanding these ethics, theory, and method will help researchers design collections-based research projects. For example, because they have specific questions regarding the archaeological record they are attempting to address, researchers often think of cultural and archaeological context first and then ask what objects, matrices, eco-facts, features, and so on are recovered from those contexts. In contrast, collections professionals generally think of the objects first, specifically their conservation needs, their storage needs, how they fit into the catalog system, and where they are housed (Barker Reference Barker, Zimmerman, Vitelli and Hollowell-Zimmer2003; Buck and Gilmore Reference Buck and Gilmore2010; Bustard Reference Bustard2000; Keene Reference Keene2006; MacFarland and Vokes Reference MacFarland and Vokes2016). Researchers may wish to have all the notes and objects from a single provenience set in front of them, but the material may not be stored together due to differing conservation and storage requirements. As a result, field notes, photos, and electronic data may be housed in an archive room; the organic material (basketry, cloth, sandals, floral and faunal material) may be housed in special environmentally controlled cabinets; and the inorganic material (ceramics and lithics) may be housed on open shelves. Given this variability, how should researchers prepare themselves to fruitfully work with collections?
A GUIDE TO RESEARCH DESIGN FOR COLLECTIONS-BASED RESEARCH
When contemplating research on collections you must set up a research design just as you would for field-based research (Table 1). In constructing your research design, you must determine what type of information is needed—Is it purely object-based, with only broad reference to provenience (e.g., stylistic variability in Tularosa Black-on-white bowls in a large region), or tied to specific locales or times (e.g., differences in food preparation and storage between Hopewell and Mississippian period farming hamlets on the Ohio River)? The first may make use of collections from the late 1800s to today with provenience information of varying quality beyond the site the material was collected from, while the second may require examination of field notes and artifacts investigated with modern excavation techniques.
TABLE 1. Steps of Collections-Based Research.
Locating the Collections
Once you figure out what type of material you need to address your research question, you need to determine where the collections are housed. A search of previous research articles, exhibit catalogs, site reports, permits, and other materials housed at state historic preservation offices and networking with professionals at conferences (including, if possible, the original excavators) will provide an indication of likely museums and repositories. These sources, however, are not always accurate; collections may have been moved to another facility, may have been repatriated, or may have restrictions placed on their use by descendant populations. A formal e-mail of inquiry as to the availability of the collections can help you move to the next step in the research process (see Figure 1 for two examples). In your e-mail inquiry, state what materials you are interested in examining and a general outline of your research questions. By referencing your research questions, collections professionals not only can search for the specific collections you are asking about but may be able to suggest other useful resources in their collections. Then be patient. It may take some time for the collections professionals to track down the information you wish to examine, especially with older collections that are not fully integrated into the electronic catalog system or if you are working with small institutions with limited staff. Remember, although collections professionals genuinely want to help you in your research, they have other constraints and demands on their time.
FIGURE 1. Examples of introductory e-mails used at the beginning of collections-based research projects for (A) stylistic analysis over a large area and (B) an analysis of material from a particular site.
Formal Requests for Access to Collections
Once you have determined where the collections you are interested in reside, it is time to write a full-blown, detailed research design. This action not only keeps your project on track; it helps the collections professionals facilitate your research. Included in the research design should be specific research questions, catalog numbers (if known), sampling procedures, analytic methods, analysis forms, time lines, and probable publication/dissemination outlets. Stewardship of a collection requires the museum/repository to know not only what collection(s) you wish to examine but the potential impact on the material and why and how the data will be used.
Once your research design is written, investigate the policies of the museum/repository you wish to visit regarding access to its collections. The person you initially contacted at the institution may send you a packet including the institution's request form(s) for access to collections when answering your initial inquiry. If not, the forms generally can be found on an institution's website. Take particular note of the method of applying for access, restrictions on the type of analysis allowed (destructive vs. nondestructive), restrictions on the type of information you can collect (photographic, photo copies, measurements), restrictions on when and where the analysis must occur (Can collections be loaned, or must all examination occur at the facility?), and fees that may be charged for use of archived photos and use of the copy machine. For example, some institutions may allow sourcing analysis on sherds but not whole vessels. Additionally, due to the concerns of descendant populations, institutions may prohibit isotope analysis of human bone. These restrictions may require you to adjust your research design.
Once you understand the policies of the institution, fill out the required forms, append your research design and a curriculum vitae, and submit your request. As part of the request, you will be asked when you wish to schedule your visit. In stating your preferred time, keep in mind that other constraints may affect your request and that you may need to be flexible. Staff shortages, closing of collections to facilitate visits and ceremonies by descendant populations, and the time required to process your request (which may require approval by a governing board that only meets quarterly) may impact timing. In most circumstances, you cannot remove collections/archived material from a facility, and collections professionals will need to block out time to both pull the required material from their collections and be available while you are working on the material. Depending on the security protocols of the institution, the latter may require that a staff member be physically in the room while you are examining the material, and that individual must be able to schedule other tasks around your visit. I recommend planning/requesting visits six to eight months in advance to provide sufficient flexibility to allow the collections professionals time to ensure uninterrupted access and adequate time and space for you to conduct your research.
Use of the Data and Citing the Institution
Finally, you must work with the institution to understand restrictions on the use of photographs and copies of the material in publication. For example, there may be restrictions on photographic images of burials, grave goods, and field notes; or the institution may require the use of its own photographic images of objects, and these may incur a cost. Even if no photographs or archived materials are used in the resulting reports or publications, the institution housing the material must be cited, and it may have rules about how this should be done. Many institutions must be able to document publications resulting from research on their collections as part of their yearly reports and budget requests. Therefore, it is imperative that you make sure you work with the collections professionals to appropriately cite the institution and inform them of publication outlets as you move through the publication process. Finally, you should send them the results of your analysis and copies of any thesis, dissertation, and/or publications that result.
CONCLUSIONS
Collections-based research has the potential to address numerous research questions, and its importance in archaeological research will continue to grow through time. Research on collections must be approached with the same care and deliberation as field-based research. Specifically, well-designed research plans must be formalized, and sufficient time must be allocated so that collections professionals can evaluate your request, present it to their research boards if necessary, and pull the collections you need. It is the researchers’ responsibility to understand the differing constraints and missions of the repositories and museums they wish to visit and comply with all restrictions on the use of the collections they may have. I have attempted to provide a framework here for researchers embarking on collections-based analysis for the first time so that the research potential of archaeological collections may be reached.
Acknowledgments
This article was sparked by conversations with a number of individuals (both researchers and collections professionals) interested in archaeological research on existing archaeological collections. Particularly important among those involved was Dr. Cynthia A. Bettison. I thank her for the stimulating conversation. An earlier version of this essay was read by Dr. Tiffany Terneny, who provided helpful comments. I also thank the anonymous reviewers for the thoughtful comments. Any shortcomings, however, remain my fault.
Data Availability Statement
No original data are presented in this essay.
