Section .0100 ‑ State Archives Of North Carolina: Use And Services

Link to law: http://reports.oah.state.nc.us/ncac/title 07 - cultural resources/chapter 04 - archives and history/subchapter m/subchapter m rules.html
Published: 2015

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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Repealed Eff.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.