THE UNIVERSITY OF NORTH CAROLINA AT ASHEVILLE
POLICIES AND PROCEDURES MANUAL
No. 5.1
Date 7-1-77 Page of 12
Approved
Subject: Policies and Procedures for Administration of University
Records
POLICIES
The University Archives comprises the official records of UNC Asheville. The
policies and procedures governing the administration of the Archives are
formulated by the Librarian. Materials of historical interest, such as Bluets,
The Summit, etc., are a part of the collection of the Southern Highlands
Research Center, located in the same facility in the basement of the Library.
Arrangement
An effort will be made to keep the records of a particular office within the
same area. This will be accomplished by means of a numbering system for the
boxes and the bins. See Form One and File Number One.
Use
All records are to be considered as being available for consultation by any
individual authorized by the Department Head or official whose records are
being consulted. Only staff members and officials of the University may
remove documents from the Archives. Prospective users of the Archives will
be requested to present proper identification to the Archives attendant,
providing the user is not a personal acquaintance of the attendant. Facilities,
such as a table and chair, will be provided within the Archives where the
records may be consulted. Users will be encouraged to make use of the
records within the room. Those officials wishing to remove records from the
Archives will be requested to sign Form Five
Copying of Records
Before a copy may be made of any record by an individual other than a
University staff member, permission must be obtained in writing from the
Department Head or official whose records are involved.
Disposition of Records
The directive for the Disposition of Records is provided for in Policy
Statement No. 5 from the office of the Vice Chancellor for Finance. As new
groups of records are added to the collection, the Vice Chancellor will
formulate the disposition statement. The Archivist must obtain the written
permission of the official concerned and the supervisory official before any
records may be eliminated. Form Three - Permission to Withdraw will be used
for this purpose. The record of this transaction will be retained permanently.
Microfilming
In order to conserve space it shall be the policy that as many records as
possible will be placed on microfilm and the original records be withdrawn.
When the microfilm reels are returned from the processing firm the Archivist
will check the film very carefully in order to determine that a high quality of
reproduction has been maintained. Before disposing of any records the
Archivist will comply with the Disposition Policy. One copy of the film will be
retained in the Archives. For reasons of security, a duplicate set will be placed
in UNCA's safe deposit box at the Northwestern Bank.
STAFF AND HOURS OF SERVICE
The Librarian is designated as the Archivist of the University. The head of the
Public Services Department is designated as the supervisor. An effort will be
made to have some member of the staff or a student assistant on duty for at
least three hours a day, Monday through Friday. When an attendant is not on
duty in the Archives, the attendant in the Southern Highlands Research Center
will assist the users of the Archives Collection. Providing the Archivist
attendant is unable to assist the patrons in the use of the collection, he shall call
for assistance from the assistant in charge of the Periodical Room. If
necessary, the head of the Public Services Department will be requested to
assist.
PROCEDURES
Receipt of Documents:
When boxes are received from the officials, the Archivist or his assistant will
proceed as follows:
Step One: Fill out Form One- Records Received and Their Disposition.
Step Two: Fill out Form Two - yearly Disposition Record.
Note: This form will not be completed for records that are to
be retained permanently.
Step Three: Request the Archivist to check to determine that all the
procedures have been followed.
Step Four: Shelve the boxes in the proper bins. Place the completed forms
in the proper places.
Number One Files
Folders will be made for each group of records received, such as:
Alumni Association Business Office etc.
These files will contain ALL copies of Form One and will be retained
permanently.
Depositors:
In some instances it is best to refer to an office, such as the Business Office. In
other instances the file should be listed in the name of the official, such as Dr.
Bushey, Dr. Kaempfer, Dr. Highsmith, etc.
Box Numbers:
The box numbers will be coded to the office or the individual:
R 1- etc. Registrar
A 1- etc. Alumni Office
H 1- etc. Dr. Highsmith
Box numbers will be recorded on Form One and on the front of each box.
Bin Numbers:
The bins where the boxes are stored will be numbered.
One area will provide for boxes that may be stored close together because no
more boxes will be added to the file; for example, those for Dr. Bushey.
In other areas, such as for the Business Office files, space will be provided for
the shelving of additional boxes.
Filing of Form One:
In the various folders the latest form completed will be filed ON TOP in order
that the box numbers may be assigned in proper sequence.
There will be two divisions of each file, active and inactive.
The active division will contain Form One for the boxes that are remaining in
storage.
The inactive division will contain Form One for the records that have been
destroyed, to which Form Three - Permission to Withdraw has been attached.
An example of Form One follows:
UNCA University Archives
FORM ONE - Receipt and Disposition
Box
number
Depositor, Official or Office
Bin
number
(in pencil)
Contents:
Disposition:
Retain Permanently: Yes No
Microfilm: Yes No
If yes, date the microfilming was completed:
Reel Number
Microfilmed by
Original may be withdrawn:
Year
Form Three - Permission to Withdraw
Completed and attached hereto:
Date
Original Records Withdrawn and Destroyed:
Date
Archivist Signature Number Two Files
Yearly Disposition of Records
These files will be maintained by years: 1978, 1979, etc.
The file will contain duplicate copies of Form One filed alphabetically by the
name of the depositor. This duplicate form will be placed in the yearly files at
the time the records are received.
To prepare these forms the archivist will cross out the word "ONE" and
substitute the word "TWO;" i.e., Form One becomes Form Two. He will add
the words "Yearly Disposition .
Year
This form and this file are to be used only as a matter of convenience. When
the disposition procedures are completed, this form and the yearly file may be
discarded.
When the archivist is prepared to withdraw a group of records the procedure
for disposition will be followed.
An example of Form Two is given on the following page.
University Archives
TWO
FORM ONE - Receipt and Disposition - Yearly Disposition: 1980
Box number
Depositor, Official or Office
Bin number
(in
pencil)
Contents:
Disposition:
Retain Permanently: Yes No
Microfilm: Yes No
If yes, date the microfilming was completed:
Reel Number
Microfilmed by
Original may be withdrawn:
Year
Form Three - Permission to Withdraw
Completed and attached hereto:
Date
Original Records Withdrawn and Destroyed:
Date
Archivist Signature
Disposition of Records
When the archivist wishes to withdraw a group of records.
Form Three - Permission to Withdraw is prepared and forwarded to the official
concerned and the supervisory official for permission.
When Form Three is returned the material may be withdrawn.
Form Three is attached to Form One and both together are filed in the Inactive
Section of the Number One Files, where they are retained permanently.
An example of Form Three follows:
UNCA University Archives
FORM THREE - PERMISSION TO WITHDRAW
Depositor
Contents:
Microfilm copy has been made: Yes No
If yes, Microfilm Reel Number
Disposition:
Permission is hereby granted to withdraw the original documents
Signature - Official Concerned
Date
X X X X X
Signature - Supervisory Official
Date
Microfilming Procedures
In order to provide a permanent record, some documents will be placed on
microfilm. Before records are filmed the Archivist should discuss with the
Depositor the desirability of having the records placed on microfilm.
File Four and Form Four:
A record will be kept on Form Four listing reels by number 1 to 99, etc., and
will indicate what documents are recorded on each reel. This record will be
kept in close proximity to the reel storage cabinet.
When the reel has been processed and approved a note will be added to Forms
One, Two and Three indicating the number of the reel.
The same regulations for use apply to microfilm as those governing the use of
the regular collection.
When a patron wishes to consult the microfilm copy the attendant should
accompany the patron to the Technical Services office and assist him in using
the microfilm reader. For nonstaff members a charge of five cents will be made
for each duplication printed. This money will be turned in to the attendant in
the Periodical Room.
An example of Form Four appears on the following page.
UNCA University Archives
FORM FOUR
Microfilm Record
Depositor:
Contents:
Filming completed by:
Date mailed for processing:
Date returned:
Quality approved by:
X X X X X
Officials Responsible for Decisions to Microfilm and/or to Withdraw Records
Alumni Records Director of Alumni
Affairs; Chancellor
Business Records Vice Chancellor for
Finance
Chancellor's Records Chancellor
Deans, Non-academic Offices, Department Heads Chancellor
Grade Sheets or Cards Registrar; Assistant to the
Chancellor
Use
Refer to Policy Statement governing Use.
When materials are loaned, Form Five - Use Record will be completed.
See next page for example of this form.UNCA University Archives
FORM FIVE
Use Record
Contents:
Box number: Or Reel number:
To be used by:
Received by:
Date loaned:
Date returned:
If required:
Permission is granted for this loan:
Authorized Supervisory Official appearing on Page 11
Permission is granted for the borrower to copy the records listed
above:
Authorized Supervisory Official appearing on Page 11
Return to the UNCA Policies and Procedures page
Last modified: 03 December 1999
Comments to: arthomas@unca.edu