CHAPTER 04 ‑ Office OF ARCHIVES AND HISTORY
SUBCHAPTER 04M – Division of archives and records
SECTION .0100 ‑ STATE ARCHIVES of north carolina: USE
AND SERVICES
07 NCAC 04M .0101 STATEMENT OF PURPOSE OF ARCHIVES AND
RECORDS SECTION
07 NCAC 04M .0102 ARCHIVES SEARCH ROOM HOURS
07 NCAC 04M .0103 ARCHIVES REFERENCE SERVICES
History Note: Authority G.S. 121-4(3); 121-5(d); 143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. April 1, 2001; June 1, 1989, May 3, 1986;
Repealed Eff. June 1, 2014.
07 NCAC 04M .0104 ARCHIVES STACKS
The stacks storing archival collections are not public
spaces.
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0105 public research facilities
Rules governing researchers' use of the Division of Archives
and Records public research facilities are as follows:
(1) Brief cases, attache cases, bags, coats, or other
bulky clothing, notebooks, envelopes, pad folders, privately owned books, maps,
and old manuscripts shall not be taken into the research facilities. Lockers
and coat racks are provided outside the research facilities for such items.
(2) Access to the archival collections shall only be by
presentation of current photo identification, providing accurate name and
address.
(3) Researchers shall request archival records by completing
the call slips or records request form provided by each facility. Information
required to request records includes researcher's name, date, and citation or
records to be requested.
(4) The research facility in Raleigh shall issue
researchers identification cards to be used when requesting archival records.
To receive records in Raleigh, the identification card shall be surrendered to
a member of the research facility staff. Upon leaving the research facility in
Raleigh, the researcher shall surrender his or her identification card to a
member of the research facility staff.
(5) A researcher may request more than one box or
volume of records. However, a researcher may access only one box of loose
records or up to three volumes of records at any one time. When use of the box
or volumes is completed, the researcher shall return the records prior to obtaining
another box or other volumes of records.
(6) Staff shall examine any materials the researcher brings
into or removes from the research facilities.
(7) Researchers shall exercise care in handling
records, manuscripts, books, or other materials. In particular, researchers shall
observe the following:
(a) Manuscripts shall not be marked or otherwise
altered or defaced.
(b) Pens, highlighters, and other writing
instruments that create permanent marks shall not be permitted in research facilities.
(c) No items shall be used as
"pointers" when reading original records.
(d) Tape and other office supplies, such as
correction fluid and gum erasers, shall not be permitted in the research facilities.
Pencils shall be used with great care to ensure no marks or other damages are
made to the materials.
(e) Researchers shall not return books or other
materials to research facility shelves; these shall be replaced by a staff
member.
(f) All manuscripts, volumes, and reference
books from the research facility shelves shall be placed on the tables or
reading stands provided in the research facility; they shall not be held in the
lap or propped against the edge of a table.
(g) Only one folder of loose papers from a box
of loose papers shall be opened at one time in order to avoid mixing of records
or folders.
(h) Papers shall not be rearranged under any
circumstances. If a researcher thinks something is out of order, he or she
shall notify a staff member.
(i) Records from the stacks and reference
materials from the research facility shall not be permitted in the microfilm
reading room.
(8) Smoking, eating, or drinking shall not be permitted
in the research facilities.
(9) A researcher wishing to temporarily leave the
research facility must turn in all pulled archival records and verify his or
her registration when reentering.
(10) Orders for copies placed in person by a researcher
shall not exceed 50 copies per researcher per day. Fees for such orders shall
be paid at the time the copies are made and may not be billed.
(11) Equipment deemed by the Archives Conservator to be
damaging to archival records shall not be used in the research facilities. The
Archives Conservator shall make this determination based upon harm caused by
excessive light exposure, tearing, or otherwise defacing the document. This
shall include the use of equipment that sits on top of or pulls an original
item through it to capture the image or provides light levels that damage the
document.
History Note: Authority G.S. 121-4(3); 121-5(d); 132-6.2;
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without substantive
public interest Eff. July 26, 2015.
07 NCAC 04M .0106 DUPLICATION SERVICES
The Division of Archives and Records shall charge fees
pursuant to G.S. 121-5(d) for duplication services for archival records in its
custody. The following duplication services are available for archival records
in the custody of the Division of Archives and Records:
(1) photocopies of loose documents;
(2) imaging of paper and photographic materials;
(3) paper prints from microfilm;
(4) negative, first-generation or "original"
microfilm of records and manuscripts in the custody of the Division, except
those under restriction by law or donation agreement;
(5) duplicate microfilm of entire rolls of microfilm in
the collections of the Division;
(6) certified photocopies of public records of state
agencies, counties, municipalities, or other political subdivisions of North
Carolina; and
(7) exemplifications prepared for introduction as
evidence in a court of law.
History Note: Authority G.S. 121-4(3); 121-4(14); 121-5(d);
132-6.2; 143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0107 OUTER BANKS HISTORY CENTER GALLERY
REGULATIONS
(a) Eating, drinking, and smoking are not permitted in the
Gallery.
(b) Visitors may not touch artifacts, art works, or
graphics.
(c) Children under 12 years old must be accompanied by an
adult over 18 years old.
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a; 143B-62(2)d;
Eff. June 1, 2014.
SECTION .0200 - LISTING OF PROFESSIONAL RESEARCHERS
07 NCAC 04M .0201 ARCHIVES MAY MAINTAIN LIST OF
RESEARCHERS
As a service, the State Archives may maintain a list of
professional researchers who are willing and able to undertake research service
in the State Archives for a fee. This list is informational only and no
endorsement is given or implied.
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. April 1, 2001;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0202 PROCEDURE FOR LISTING
(a) A person wishing to have his or her name listed as
professional researcher shall make application in writing to: Director, Division
of Archives and Records, 4614 Mail Service Center, Raleigh, North Carolina
27699-4614.
(b) The application shall include a brief resume of the
applicant's experience that demonstrates his or her qualifications and aids in
establishing his or her credentials. No special form is required for the
application. The application must be accompanied by three letters of
recommendation from persons who have engaged the applicant in the capacity of a
paid researcher.
(c) Letters of recommendation shall be from persons who have
a professional relationship with the applicant related to the subject matter of
the application. The letters of recommendation shall not be from a relative of
the applicant.
(d) The letters of recommendation shall:
(1) outline the nature and extent of the
research that the applicant undertook for pay; and
(2) attest the satisfaction of the reference
with the services rendered.
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0203 APPROVAL OF REQUESTS
The Director of the Division of Archives and Records shall
review applications submitted for inclusion in the list of professional
researchers. If determined that the applicant satisfies the procedures for
listing as set forth in Rule .0202 of this Section, then the name of the
researcher shall be placed on the list of available researchers as published by
the State Archives of North Carolina. The list of professional researchers
shall be made available on the Division website at www.ncdcr.gov.archives and upon request in research
facilities.
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0204 REMOVAL OF NAMES FROM THE LIST
(a) The Director of the Division of Archives and Records may
for good cause remove any person from the list of professional researchers.
(b) The term "good cause" as used in this Rule
shall mean:
(1) misrepresentation of credentials or
services to be provided; or
(2) more than three complaints in a one-year
period from patrons about the work of the researcher.
History Note: Authority G.S. 121-4(3); 121-5(d); 143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0205 DEFINITION OF GOOD CAUSE
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. April 1, 2001;
Repealed Eff. June 1, 2014.
SECTION .0300 ‑ ACCESSIONING PROCEDURES OF OTHER THAN
PUBLIC RECORDS
07 NCAC 04M .0301 ACCEPTANCE OF NON-GOVERNMENT PAPERS
(a) Original materials of historical and cultural
significance may be accepted for custody in the State Archives of North
Carolina as a gift, subject to the approval of the Director of the Division of
Archives and Records, or a designated representative from within the Division.
Prior to acceptance, the Division shall provide a contract of gift for the
donor(s) to execute. The contract of gift shall be maintained in the
Division's permanent files.
(b) Materials that may be accepted include:
(1) private manuscripts;
(2) audio visual materials;
(3) records of private, professional, or civic
organizations;
(4) copies of pre-1913 family Bible pages
listing genealogical data; and
(5) student academic and financial aid records
from defunct post-secondary schools and colleges having a campus in North
Carolina.
History Note: Authority G.S. 121-4(1); 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0302 VALUATION
07 NCAC 04M .0303 ORGANIZATIONAL RECORDS
07 NCAC 04M .0304 BIBLE RECORDS
History Note: Authority G.S. 121-4(3); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. April 1, 2001; June 1, 1989;
Repealed Eff. June 1, 2014.
section .0400 – DEACCESSIONING OF RECORDS
07 NCAC 04M .0401 REVIEW
(a) The Director of the Division of Archives and Records
shall review any accessioned records in the State Archives of North Carolina
when records are:
(1) duplicates;
(2) not in keeping with the Division collection
policies available on the Division website and upon request; or
(3) no longer have permanent historical value.
(b) Each record series of the subject records shall be inventoried.
The inventory shall be forwarded to the Director of the Office of Archives and
History.
History Note: Authority G.S. 121-4(3); 121-4(12); 121-5(d);
143B-62(2)a;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0402 PREPARATION OF LISTS
If the Director of the Office of Archives and History
concurs with the decision to deaccession the identified records series, the
Director of the Office of Archives and History shall ask the staff of the
Division or Archives and Records to prepare a detailed list for each series of
records. The detailed list shall include:
(1) series name;
(2) description of the records;
(3) date(s) and the quantity of records;
(4) statement of rationale for decision to deacession
the records; and
(5) statement of proposed disposition of the records.
Disposition methods include:
(a) destruction;
(b) transfer to another institution; or
(c) return to donor or heirs.
History Note: Authority G.S. 121-4(3); 121-4(12); 121-5(d);
143B-62(2)a,b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0403 APPROVAL BY HISTORICAL COMMISSION
(a) The Director of the Office of Archives and History
shall send the list as set forth in Rule .0402, the rationale for the decision
to deaccession the records, and the proposed disposal of the records to each
member of the North Carolina Historical Commission at least seven days before
the meeting at which the proposal will be considered.
(b) Following approval by the North Carolina Historical
Commission, the complete list of records authorized for deaccessioning will be
entered into the minutes, along with the disposal method as set forth in Rule
.0402(e) of this Section.
(c) Upon receipt of the minutes of the Commission granting
permission for deacessioning, the Director of the Division of Archives and
Records shall proceed as directed by the Commission, retaining records of the
action within the Division's files.
History Note: Authority G.S. 121-4(3); 121-4(12); 121-5(d);
143B-62(2)a,b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
section .0500 – STATE RECORDS CENTER
07 NCAC 04M .0501 TRANSFER OF RECORDS TO STATE RECORDS
CENTER
The State Records Center shall accept for transfer to its
custody the records of state agencies, county agencies, or municipal agencies, provided
the records are scheduled to be transferred to the State Records Center on an
approved records retention and disposition schedule. A records retention and
disposition schedule is approved when signed by the creating agency and the
Department of Cultural Resources.
History Note: Authority G.S. 121-4(2); 121-5(d); 132-8.1;
143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0502 LEGAL CUSTODY OF RECORDS
(a) Public records sent to the State Records Center in
accordance with the provisions of an approved records retention and disposition
schedule, or in accordance with any other agreement between the Department of
Cultural Resources and the originating agency or department, are considered to
remain in the legal and official custody of the agency that created or received
the records and transferred them to the State Records Center. A request for
access to, or inspection of, these records by a person other than an authorized
employee of the legal custodian shall not be honored until the appropriate
official of the agency having legal custody provides written authority for the
request.
(b) Public records transferred to the Division of Archives
and Records for permanent retention may be accessed through the public research
facilities of the Division.
History Note: Authority G.S. 121-4(2); 121-5(d); 132-6(a);
143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0503 PROCEDURES FOR TRANSFER OF RECORDS
(a) A custodian of public records shall initiate the
transfer of records to the State Records Center. A representative of the custodian
shall submit to the State Records Center supervisor a records transfer notice
form including agency name, title of records, reference to schedule, quantity
of records, their inclusive dates, and the name and telephone number of the
representative submitting the request. The custodian shall request from the
Division the records transfer notice form.
(b) For transfer of paper and other physical media:
(1) The State Records Center shall only accept
records packed in State Records Center boxes. Upon request of the transferring
custodian, the Division shall send the agency State Records Center boxes,
labels, paper tape, and instructions on packing and labeling the boxes. The
agency shall pay the Division for the materials and shipping.
(2) The custodian initiating the transfer shall
arrange records in the boxes and label boxes in accordance with instructions. Boxes
that do not comply with instructions shall be returned to the custodian for
correction.
(3) Records that cannot be identified clearly
and completely by the information on the label of the State Records Center box
shall be accompanied by a typewritten index or box list prepared by the custodian
initiating the transfer.
(4) Records transferred from within 10 miles of
Capitol Square, Raleigh, shall be shipped by arrangement with the State Records
Center staff. Records transferred from beyond 10 miles of Capitol Square,
Raleigh, shall be shipped by the custodian concerned and at the custodian's
expense.
(c) For transfer of electronic public records:
(1) Transfers of databases shall be accompanied
by index information required in G.S. 132-6.1.
(2) The custodian shall scan records and find
them to be free of viruses. The State Records Center shall not accept any
electronic public records that contain viruses.
(3) The custodian shall generate a hash
algorithm for each file being transferred. The custodian shall include the
hash algorithm as part of the transfer.
(4) The custodian shall include any metadata
generated at the time of file creation and any subsequent metadata created
during the use of the file in the records transfer.
(5) Upon receipt of the transfer of electronic
records, the State Records Center shall verify that the electronic records
transferred were complete and unaltered by reviewing the hash algorithm and
using antivirus software prior to accepting them for storage by the Division of
Archives and Records.
History Note: Authority G.S. 121-4(2); 121-5(d); 132-2;
132-6.1; 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0504 PHYSICAL TRANSMITTAL OF RECORDS
History Note: Authority G.S. 121‑4(2); 121‑5(d);
143B‑62(2)b;
Eff. February 1, 1985;
Repealed Eff. June 1, 1989.
07 NCAC 04M .0505 RECORDS CENTER REFERENCE SERVICE
History Note: Authority G.S. 121-4(2); 121-5(d); 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 1989;
Repealed Eff. June 1, 2014.
07 NCAC 04M .0506 PERSONAL PICKUP FOR EMERGENCY REFERENCE
Records approved for emergency reference shall not be mailed
or sent by interagency messenger service. The representative sent to retrieve
records must bring identification and written authorization for release signed
by the legal custodian.
History Note: Authority G.S. 121‑4(2); 121‑5(d);
143B‑62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0507 PERSONNEL RECORDS
Any employee or former employee desiring access to personnel
records in the possession of the State Records Center shall make the request
through the personnel office of the agency that retains legal custody of the
records. Upon receipt of request from the appropriate personnel office, the
State Records Center shall forward personnel information to that office.
History Note: Authority G.S. 121-4(2); 121-5(d); 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0508 CERTIFICATION BY AGENCY WITH CUSTODY
(a) The Department of Cultural Resources shall certify only
copies of records that are in its legal custody.
(b) Copies of records that are only in the physical custody
of the State Records Center must be certified by the agency having legal
custody, if such certification is requested.
(c) If records of terminated agencies are in the State
Records Center and are in the legal custody of the Department of Cultural
Resources, copies shall be certified by the Department of Cultural Resources.
History Note: Authority G.S. 121-4(2),(3); 121-5(d);
132-4; 143B-62(2)b,c;
Eff. February 1, 1985;
Amended Eff. June 1, 2014;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0509 DESTRUCTION OF RECORDS IN STATE RECORDS
CENTER
Records transferred to the State Records Center according to
Rule .0501 of this Section shall retain the same records retention and
disposition schedule as when they were transferred. If the disposition of
transferred records is destruction, the records shall not be destroyed until
the agency with legal custody concurs in writing.
History Note: Authority G.S. 121-4(2); 121-5(b),(c),(d);
132-8.1; 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0510 methods OF DESTRUCTION
(a) When used in an approved records retention and
disposition schedule, the provision that paper records are to be destroyed
means that the records shall be:
(1) burned, unless prohibited by local
ordinance;
(2) shredded or torn so as to destroy the
record content of the documents or materials concerned;
(3) placed in acid vats so as to reduce the paper
to pulp and to terminate the existence of the document or materials concerned; or
(4) sold as waste paper, provided that the
purchaser agrees in writing that the documents or materials concerned will not
be resold without pulverizing or shredding the documents so that the
information contained within cannot be practicably read or reconstructed.
(b) When used in an approved records retention and
disposition schedule, the provision that electronic records are to be destroyed
means that the data and metadata are to be overwritten, deleted, and unlinked
so the data and metadata may not be practicably reconstructed.
(c) When used in an approved records retention and
disposition schedule, the provision that confidential records of any format are
to be destroyed means the data, metadata, and physical media are to be
destroyed in such a manner that the information cannot be read or reconstructed
under any means.
History Note: Authority G.S. 121-4(2); 121-4(12); 121-5(b),(c),(d);
132-3; 132-8.1; 132-8.2; 143B-62(1)g; 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0511 DESTRUCTION OF CERTAIN RECORDS
SCHEDULED FOR ARCHIVES
Records scheduled in an approved records retention and
disposition schedule to be transferred to the State Archives, but not yet
accessioned by the State Archives may be destroyed provided:
(1) the records are considered by the Director of the
Division of Archives and History not to have permanent historical value
pursuant to G.S. 121-5(c); or
(2) the records are exact duplicates or copies of other
records in the records series transferred or accessioned.
History Note: Authority G.S. 121-4(2);
121-5(b),(c),(d); 132-8.1; 132-8.2; 143B-62(1)g; 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
07 NCAC 04M .0512 RESTRICTED AREAS IN STATE RECORDS facilities
Access to the facilities controlled by the State Records
Center shall be limited to persons on official business. Visitors shall not be permitted
in the records storage areas or beyond the administrative office without an
escort provided by the State Records Center. All visitors shall sign in when
entering and sign out when leaving the facilities. Requests for access by
visitors not on official business shall be denied.
History Note: Authority G.S. 121-4(2); 132-6; 143B-62(2)b;
Eff. February 1, 1985;
Amended Eff. June 1, 2014; April 1, 2001; June 1, 1989;
Pursuant to G.S. 150B-21.3A, rule is necessary without
substantive public interest Eff. July 26, 2015.
