Chapter 4 Conditions of Access and Use Elements

4.1 Conditions Governing Access (Required)

Purpose and Scope

This element provides information about access restrictions due to the nature of the information in the materials being described, such as those imposed by the donor, by the repository, or by statutory/regulatory requirements.

Commentary: In many cases it will be necessary or desirable to provide a very succinct statement regarding access restrictions rather than a lengthy explanation. This would particularly be the case for a MARC 21 record when restrictions are complex or likely to change over time.

Exclusions

4.1.1 Record any physical conditions affecting the use of the materials being described in the Physical Access Element (4.2).

4.1.2 Record any technical requirements affecting the use of the materials being described in the Technical Access Element (4.3).

4.1.3 Record any restrictions governing reproduction, publication, or other uses after access is given in the Conditions Governing Reproduction and Use Element (4.4).

Sources of Information

4.1.4 Derive the information from a reliable source, such as donor agreements, statutes, and regulations and repository policies.

General Rules

4.1.5 Give information about any restrictions on access to the unit being described (or parts thereof) as a result of the nature of the information therein or statutory/contractual requirements. As appropriate, specify the details of the restriction, including the length of the period of closure or the date when it will be lifted; the authority that imposed and enforces the conditions governing access; contact information for the person or office to whom the restriction may be appealed; authorized users; and so on. If there are no restrictions, state that fact.

The collection is open for research use.

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Records are closed, per agreement with the creating office, for fifteen years after the date of their creation unless otherwise stated.

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Researchers must receive prior written permission to use the collection from the Trustees of the Kenneth Winslow Charitable Remainder Unitrust. The collection is partially processed. Please contact Special Collections for more information.

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The records of the president contain personnel and student academic records that are restricted in accordance with university policy and applicable law. Restrictions, where applicable, are noted at the series, subseries, or file levels. In addition, this record group has the following unique restrictions:

  • Files of a president, while still in office, are restricted.
  • Once a president has left office, files more than ten years old are open to researchers; those less than ten years old are restricted.

For records of the president added to the record group after
1 January 2001, the restriction is twenty years from the date of accession in accordance with the University’s policy on the records of executive officers, deans, directors, and their support offices. Records in this category are identified with an “ER restricted” note.

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Only electronic records more than five years old may be used by researchers.

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All student records in this series are subject to Family Educational Rights and Privacy Act (FERPA) restrictions of seventy-five years from the date of creation of the record.

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Access to files containing information on University personnel matters is restricted for fifty years from the latest date of the materials in those files. Access to student records is restricted for seventy-five years from the latest date of the records in those files. Restrictions are noted at the file level.

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Access to correspondence in this file is restricted until 2020.

4.1.6 Alternatively, simply indicate the fact of restriction.

Access is restricted; consult repository for details.

4.2 Physical Access (Added Value)

Purpose and Scope

This element provides information about access restrictions due to any physical characteristics or storage locations that limit, restrict, delay, or otherwise affect access to the materials being described. Such restrictions may include:

  • Location (e.g., offsite, cold storage)
  • Physical condition of the material that limits use
  • Requirement to use copies instead of originals for preservation reasons

Exclusions

4.2.1 Record any access restrictions due to the nature of the information in the Conditions Governing Access Element (4.1).

4.2.2 Record any technical requirements affecting the use of the materials being described in the Technical Access Element (4.3).

4.2.3 Record any restrictions governing reproduction, publication, or other uses after access is given in the Conditions Governing Reproduction and Use Element (4.4).

Sources of Information

4.2.4 Derive the information from the materials themselves and repository policy.

General Rules

4.2.5 Provide information about the physical characteristics or condition of the unit being described that limit access to it or restrict its use.

Records are heavily foxed.

Some of the letters in this series are illegible due to water damage.

The majority of the materials in this file are torn along edges and folds.

Emulsion flaking.

Recorded with a constant audible hum.

4.2.6 Provide information about the location of the unit being described, if that location affects access to it.

The audio cassettes are located in cold vault storage and must be acclimated before delivery to the research room.

Forty-eight hours’ advance notice is required for access because materials are stored offsite.

4.2.7 If the original materials may not be used at all for preservation reasons, provide information about the reasons and the availability of reproductions.

As a preservation measure, researchers must view the reference set of color slide reproductions of the posters in this collection rather than the originals.

Originals not available due to fragility. Use microfilm copy.

This film reel has shrunk and may not be viewed.

4.3 Technical Access (Added Value)

Purpose and Scope

This element provides information about access restrictions due to any technical requirements that restrict or otherwise affect access to the materials being described, such as equipment or specific hardware/software required for use.

Exclusions

4.3.1 Record any access restrictions due to the nature of the information in the Conditions Governing Access Element (4.1).

4.3.2 Record any physical conditions affecting the use of the materials being described in the Physical Access Element (4.2).

4.3.3 Record any restrictions governing reproduction, publication, or other uses after access is given in the Conditions Governing Reproduction and Use Element (4.4).

Sources of Information

4.3.4 Derive the information from the materials themselves and repository policy.

General Rules

Commentary: Special equipment may be required to view or access some material, particularly audiovisual materials and records in electronic form. In some cases the equipment required may be obvious from the Extent Element, as in “forty-two slides” or “thirty audio cassettes.” In other cases, however, the type of equipment required should be indicated in the Physical Access Element; for example, the playing speed of audio discs (e.g., 45 or 78 rpm), a video’s recording mode (e.g., Betamax, D2, VHS, Video 8, etc.), or broadcast format (e.g., NTSC, PAL, SECAM, HDTV, etc.), the gauge (width) of the film (e.g., 16 or 35 mm), and so on.

4.3.5 Provide information about any special equipment required to view or access the unit being described, if it is not clear from the Extent Element (2.5).

Parade recorded on Super8 film.

Membership files are in an Access database.

4.3.6 Record information about the technical requirements for access to records in electronic form. Give the following characteristics in any appropriate order: make and model of the computer(s) on which the records are designed to run, amount of memory required, name of the operating system, software requirements, and kind and characteristics of any required or recommended peripherals.

The Personnel Master File contains fourteen rectangular flat files stored in standard label EBCDIC. The files contain numeric and character data. The files are stored on fourteen reels of tape at 6250 bpi. The data can be manipulated using a common statistical package. Tape copies are in standard label EBCDIC format. Floppy disk copies are in ASCII format.

System requirements: 48K RAM; Apple Disk II with controller; color monitor required to view this file.

4.4 Conditions Governing Reproduction and Use (Added Value)

Purpose and Scope

This element identifies any restrictions on reproduction due to copyright or other reasons, as well as restrictions on further use of the materials being described, such as publication, after access has been provided.

Commentary: In many cases it will be necessary or desirable to provide a very succinct statement regarding reproduction and use (see Rule 4.4.7 and the first example under Rule 4.4.11), particularly when restrictions are complex or likely to change over time.

Exclusions

4.4.1 Record any access restrictions due to the nature of the information in the materials being described in the Conditions Governing Access Element (4.1).

4.4.2 Record any physical conditions affecting the use of the materials being described in the Physical Access Element (4.2).

4.4.3 Record any technical requirements affecting the use of the materials being described in the Technical Access Element (4.3).

Sources of Information

4.4.4 Derive the information from a reliable source, such as a donor agreement, statutes and regulations, or repository policies.

General Rules

4.4.5 Give information about copyright status and any other conditions governing the reproduction, publication, and further use (e.g., display, public screening, broadcast, etc.) of the unit being described after access has been provided.

4.4.6 Where possible and appropriate, combine the statements pertaining to copyright status, reproduction, publication, or use in the most efficient way.

Unpublished manuscripts are protected by copyright. Permission to publish, quote, or reproduce must be secured from the repository and the copyright holder.

Copyright Status

Commentary: The statement of copyright status of a work indicates whether or not it is protected by copyright and, if it is protected, the duration and owner of the copyright. The copyright status is determined by the copyright legislation of the country in which the archives preserving the work is located. Where the term of copyright protection has expired, it is useful to indicate that the work may be used freely for any purpose without the permission of the copyright owner or the payment of royalties. Where the work is still subject to copyright protection, it is useful to indicate the duration of copyright protection and the copyright owner, should the user require permission to use the work for purposes other than private study, scholarship, or research. Copyright laws provide the copyright owner with other rights in addition to copying, including the right to control publication, distribution, broadcast, public performance, and so on. Copyright laws may also permit archives and libraries to copy items in their holdings for limited purposes, such as research or preservation, without the permission of the copyright owner, provided that certain conditions are met.

4.4.7 If the details of the copyright status of the materials being described are unknown, unclear, or complex, make a general statement about possible copyright restrictions.

Copyright restrictions may apply.

4.4.8 If the materials being described are protected by copyright, indicate the copyright owner, when the copyright restrictions will expire, and contact information for the copyright owner or the owner’s agent, if known.

Copyright held by KOCE-TV.

Copyright in the unpublished writings of Clark M. Clifford in these papers and in other collections of papers in the custody of the Library of Congress has been dedicated to the public.

Copyright retained by the donor during her lifetime, at which point it will revert to the Regents of the University of California.

To the extent that she owns copyright, the donor has assigned the copyright in her works to the Archives; however, copyright in some items in this collection may be held by their respective creators. Consult the reference archivist for details.

4.4.9 If the term of copyright has expired, indicate that the material being described is no longer subject to copyright restrictions.

Material in this collection is in the public domain.

Conditions Governing Reproduction

Commentary: Reproduction is defined as the making of copies of all or part of an item in the unit being described. It does not involve other uses, such as publication, public viewing, broadcast, and so on. While copyright legislation may place statutory restrictions on reproduction (as well as other uses), reproduction may be restricted for other reasons, such as the wishes of the donor, physical condition, and so on.

4.4.10 If the conditions governing reproduction are fully expressed in the copyright status statement, do not repeat them in a separate statement.

4.4.11 Give information about any conditions that may restrict the making of copies of all or part of the materials being described. As appropriate, specify the details of the restriction, including the length of the period of closure or the date when it will be lifted; the authority that imposed the restriction(s); and the contact information for the person or office from whom permission to copy may be sought.

All requests for copying of materials must be submitted to the director of archives in writing for approval by the donor. Please consult the reference archivists for further information.

Cartographic material in this series cannot be reproduced without the written permission of the donor. This restriction is in effect until 30 June 2020. Contact the repository for further information.

Conditions Governing Publication and Other Uses

Commentary: Publication means the issuing or distribution of copies of a work to the public. A variety of uses other than reproduction or publication may be subject to certain conditions, including display, public viewing, broadcast, presentation on the World Wide Web, and so on.

4.4.12 If the conditions governing publication and other uses are fully expressed in the copyright status statement, do not repeat them in a separate statement.

4.4.13 Give information about any conditions that may restrict publication or other uses of all or part of the unit being described. As appropriate, specify the details of the condition(s), including the duration of the restriction or the date when it will be lifted; the authority that imposed the condition(s); and the contact information for the person or office from whom permission to publish may be sought.

Authorization to publish, quote, or reproduce must be obtained from Watkinson Library, Trinity College, Hartford, Connecticut 06106.

Donor permission is required for public screening of films in this collection.

Drawings not to be used for construction as they have not been coordinated with engineer’s drawings, which were unavailable.

4.5 Languages and Scripts of the Material (Required)

Purpose and Scope

This element identifies the language(s), script(s), and symbol systems employed in the materials being described, particularly as they may affect its use.

Commentary: While most repositories in the United States will provide descriptions in English, it is frequently the case that some or all of a body of archival material is in other languages.

Language and script information may also be represented as codes for machine processing using the appropriate ISO codes for languages (ISO 639-1 and ISO 639-2: Codes for the representation of names of languages) or scripts (ISO 15924: Codes for the representation of names of scripts).

Sources of Information

4.5.1 Derive the information from the materials themselves.

General Rules

4.5.2 Record the language(s) of the materials being described.

Materials entirely in English.

Collection is predominantly in Vietnamese; materials in English are indicated at the file level.

Most of the material in this series is in Finnish. Some correspondence in English, French, and Swedish.

All records are in Latvian unless otherwise noted.

In Dakota, with partial English translation.

Captions on photographs are in English, French, and Spanish.

Japanese film subtitled in English and dubbed in French.

4.5.3 Record information about any distinctive alphabets, scripts, symbol systems, or abbreviations employed.

Later additions are in a seventeenth-century hand.

Several pamphlets in this series are in German Fraktur.

4.5.4 If there is no language content, record “no linguistic content.”

4.6 Finding Aids (Added Value)

Purpose and Scope

This element identifies any other finding aids to the materials being described, particularly if they are available to the user, and provides information about the form and content of those finding aids.

Commentary: Finding aid is a broad term that covers any type of description or means of reference made or received by an archival repository in the course of establishing administrative or intellectual control over archival materials. The term “finding aid” can include a variety of descriptive tools prepared by an archives (e.g., guides, calendars, inventories, box lists, indexes, etc.) or prepared by the creator of the records (e.g., registers, indexes, transfer lists, classification schemes, etc.). Such tools provide a representation of, or a means of access to, the materials being described that enables users to identify material relating to the subject of their inquiries. An archival repository’s descriptive system will likely consist of various types of finding aids, each serving a particular purpose.

Sources of Information

4.6.1 Derive the information from the other finding aids.

General Rules

4.6.2 Record information about any existing finding aids that provide information relating to the context and contents of the unit being described. As appropriate and available, include information about the type (e.g., list, index, guide, calendar, etc.), medium (e.g., cards, electronic, etc.), and content (e.g., names of correspondents, subjects, etc.) of the finding aid, the number or other identifier of the finding aid (if any), any relevant information about its location or availability, and any other information necessary to assist the user in evaluating its usefulness. Include finding aids prepared by the creator (e.g., registers, indexes, etc.) that are part of the unit being described.

Box list available.

Electronic finding aid available via the Internet in the Online Archive of California; folder level control: http://www.oac.cdlib.org/findaid/ark:/13030/kt8z09p8pd.

An item list, a file of calendar sheets, and indexes by subject, type of author, and (selectively) place written from are available in the repository; filed under M316.

A Marriage Index database of information from these records is maintained by the Ulster County Clerk’s Office Archives.

Register of outgoing correspondence in this series found in the first folder.

An index to the content of the written briefs and presentations is included at the beginning of series 2.

4.6.3 Optionally, provide information on where to obtain a copy of the finding aid(s).

Finding aid available on the Online Archive of California.

4.6.4 Optionally, if the materials have not yet been completely arranged and described by the repository, indicate the existence of any relevant descriptive tools for administrative or intellectual control over the materials that existed at the time the repository acquired the unit being described and that are available for consultation, such as records disposition schedules, transfer lists, and so on.

Contact the archivist for access to transfer lists of box contents for this series.

Unpublished accession inventory for this unprocessed but usable collection is available; please contact the repository.

Published Descriptions

4.6.5 Optionally, where descriptions of the materials or other finding aids (e.g., abstracts, calendars, indexes, etc.) have been published in standard lists or reference works, provide this information in a standard and concise form.

Described in: Library of Congress Acquisitions: Manuscript Division, 1979. Washington, D.C.: Library of Congress, 1981.

Listed in: Ricci. Census, vol.1, p. 857, no. 4.

The entire calendar has been published in twelve volumes from the set of cards held by the University of Illinois. The Mereness Calendar: Federal Documents of the Upper Mississippi Valley 1780-1890 (Boston: G. K. Hall and Co., 1971).