Appendix A. Current SAA Policies and Procedures

Annual Meeting Audio and Video Recording Policy

The following are criteria considered for the selection of annual meeting sessions to be taped. These criteria are applied by the Executive Director in consultation with the Program Committee:

  1. Session Attendance: The higher the projected attendance, the more likely the session content will be in demand and therefore recorded. Anticipated attendance is projected by the Program Committee and staff based on past experience and is measured through the Annual Meeting attendance sheets. 
  2. Session Topic: The broader the topic appeal the more likely it contains widespread appeal and therefore will be recorded.
  3. Special Session: The presentation by a prominent speaker and/or of a special topic.
  4. Accommodate Attendees with Disabilities: The recording of sessions by attendees with disabilities is considered to be a reasonable accommodation. A session presenter makes oral presentations in various formats and for attendees who find it difficult to handwrite notes or make notations in a personal laptop computer, recording of oral or visual presentations is an allowable reasonable alternative.
  5. Presenter Permission: All sessions for which unanimous presenter permission exists will be recorded. SAA will present notices to all session chairs and speakers stating that their participation in the session implies consent to be recorded.  The notice will contain an “opt-out” form with which any chair or presenter can notify SAA that s/he does not wish to be recorded.  SAA will not record any chair or presenter who has opted out.

 

Approved by the Council: June 14, 1996
Revised: February 2008; May 2016

Childcare Services for Registrants at SAA Annual Meetings

Upon request, SAA will put Annual Meeting registrants in contact with child care sevice providers. SAA will subsidize the cost for child care and will plan an appropriate amount in each year's Annual Meeting budget.

[For more information or to discuss support for child care, contact SAA Executive Director Nancy Beaumont at nbeaumont[at]archivists.org or 866-722-7858, ext. 212.]

The meeting registration material should clearly indicate that a small portion of each registration fee is used to cover the costs of childcare services, pursuant to actions of the 1984 business meeting and January 1985 and 1993 Council meetings.

Adopted by the Council: January 1993
Revised: February 2008 

Equal Opportunity/Non-Discrimination Policy

The Society of American Archivists is a professional organization established to serve the educational and informational needs of its members. SAA promotes cooperation, research, standards, public awareness, and relations with allied professions and thereby advances the identification, preservation, and use of records of enduring value. Because discrimination and unequal treatment are inimical to the Society's goals, SAA hereby declares that discrimination on the grounds of age, color, political and religious beliefs, ability, family relationship, gender identity/expression, individual life style, marital status, national origin, race, religion, sex, sexual orientation, or veteran status is prohibited within the Society. SAA will vigorously pursue a policy of non-discrimination and equal opportunity through its programs, activities, services, operations, employment, and business contracts.

Adopted by the SAA Council in January 1992; updated February 2009; reviewed and reaffirmed in February 2010 and January 2011, 2012, and 2013; updated in May 2016, July 2019, May 2020. The Council agreed to review every three years this document, SAA's Statement on Diversity (January 2014), and SAA's Code of Conduct (July 2014). Last Reviewed: May 2020.

Guidelines and Procedures for SAA Fundraising and Grant Proposals

SAA members and groups often develop worthy initiatives which deserve, but due to limited financial resources cannot receive, Society funding. As a result, members may periodically wish to approach outside funding sources. On these occasions the Society will work closely and in a collaborative manner with membership to develop strong, well-constructed proposals for submission to granting agencies, foundations or corporate sponsors.

It is important to the success of the Society and the proposal that members, in turn, work closely with SAA leadership to secure appropriate financial and legal review of proposals. On some occasions a formal proposal may not be necessary, but members should always involve the Executive Director before initial approach to funders. To assist members, the SAA has established the following guidelines for formal grant submissions.

  1. Please discuss ideas for grant proposals with the Executive Director early in the planning process, then submit a brief written summary to the Executive Director. Opening the dialogue early in the process will enable members to address any initial major concerns and will forestall any surprises. The summary should include but is not limited to the following:
    • how the proposed plan of work addresses and reflects the major goals of the strategic plan;
    • a brief description of the project purpose, scope, duration, expected outcomes;
    • potential funding sources and, if possible, names of contacts. Although the central office is unable to research potential funders, staff will be able to work with proposers and help direct efforts toward appropriate research sources;
    • a draft budget and budget summary, including fiscal duration, staff involvement, direct and indirect costs, post-project commitments, if any. The Executive Director will be happy to assist in developing the budget.
  2. The Executive Director will work with proposers to address questions or considerations that may arise from the Executive Committee, Council, funding source, or central office. To insure that the proposal incorporates and reflects the full range of substantive knowledge within the Society, the Executive Director will consult with individuals with expertise in the field. Their review will help shape the proposal into the best form for pre-submission review by funding sources. Pre-submission review is common practice in fundraising and substantially increases the likelihood of the proposal's ultimate success.
  3. After concluding the above set of consultations, members should then submit a draft of the full proposal and budget to the SAA office in both paper form and on a floppy disk.
  4. Please note that before the grant can be submitted to the agency or corporate sponsor, the proposal will be reviewed by at least two Council members with knowledge of the technical or subject area of the grant. The Executive Committee will additionally review the proposal for its financial implications. Therefore, once the draft proposal is complete and submitted to SAA, members must schedule at least four weeks for internal review and revisions before the proposal can be submitted to the funding source.
  5. Once these reviews and revisions are incorporated into the final draft, the Executive Director will submit the proposal on behalf of the Society to the granting agency, corporate sponsor, or foundation.

It is the Executive Director's responsibility to keep Council and officers fully informed about grant proposals in development, and will provide Council with a summary of these activities at the Spring and Fall meeting.

 

Adopted by SAA Council: June 1991
Revised: June 1994

Guidelines for Preparation of Briefing Papers on Proposed Constitution and Bylaws Amendments

INTRODUCTION

Amendments to an organization’s constitution and bylaws have a significant potential to alter the organization’s strategic course. Informed decision making by an assembly is important in all matters, but particularly when considering revisions to charter documents. Therefore, Section 11 of SAA’s Bylaws charges the Executive Committee to “review and approve a briefing paper, prepared by the proposer(s) and/or by the Executive Director in accordance with Council guidelines, which shall be presented with the motion(s) at the business meeting or at a special meeting called by the Council.” The purpose of such briefing papers is to assist voting members in understanding the background, rationale, and ramifications of proposed amendments. Briefing papers should present a balanced view of the issue(s) under consideration.

GUIDELINES

Briefing papers on proposed constitutional and bylaws amendments will be attached as exhibits to a motion and will contain supplementary information that facilitates informed deliberation and decision-making.

Authors: The proposer(s) are encouraged to submit a draft briefing paper upon filing a motion with the Executive Director. The executive office will provide information and other assistance as needed, provided that the requisite number of eligible voting members, as specified in the Constitution, have signed on to the motion. If a briefing paper is not submitted or if the briefing paper is incomplete, the Executive Committee will charge the Executive Director to prepare one, in whole or in part. In doing so, the Executive Director will make reasonable efforts to solicit and incorporate input from the proposer(s), who will be entitled to review and submit comments to inform the Executive Committee’s review.

Content: The briefing paper should contain the following sections:

1. Motion: The main motion is the means by which a substantive proposal may be presented to the members for consideration and action. It should be concise, clear, and stated in the affirmative. In the case of constitutional and bylaws amendments, the motion typically is phrased, “THAT the SAA Constitution/Bylaws be amended as follows,” followed by the verbatim language of the revisions, marked with strikethroughs for deletions and underlining for additions.

2. Support Statement: A summary of the findings presented in the Discussion/Analysis section. The support statement briefly articulates the rationale for the motion. Generally the Support Statement “travels with” the adopted motion in minutes and elsewhere and serves to explain the rationale for the action taken.

3. Proposed By: The names of the proposer and seconder. In the case of an amendment proposed by a group of members, primary and secondary contacts should be identified to enable communication among the proposers, the Executive Committee, and the Executive Director. A complete list of petitioners may be attached as an appendix.

4. Background: A brief description of prior events and/or discussions that helps explain why the motion is being presented. What problem will it solve? What issue will it resolve?

5. Discussion/Analysis: A detailed discussion/analysis that presents a fair and balanced review of the “pros” and “cons” of adoption of the motion. If applicable, some or all of the following questions should be addressed:

a. Is the proposal consistent with SAA’s strategic objectives, as articulated in Article II of the Constitution?
b. Is the proposal consistent with SAA’s legal and financial interests?
c. Does the proposal benefit SAA’s members as a whole?
d. Does the proposal correct an error or omission or add clarification to existing policies?

Criteria for Review: The Executive Committee will assess the briefing paper on its clarity and capacity to inform voter deliberation and will provide feedback to the proposer and/or Executive Director.

Approved by the SAA Council: January 2012.
Revised: May 2016 

Guidelines for Use of the SAA Logo

SAA component groups (i.e., boards, committees, subcommittees, task forces, working groups, sections, roundtables, and student chapters) are required to display the approved SAA logo on all materials pertaining to official SAA business, including newsletters, websites, social networks, posters, and other promotional materials. This should be accompanied by an appropriate disclaimer (below) regarding the responsibilities of SAA and other sponsoring institutions or organizations for the opinions and views expressed in the documents and/or events in question.

Disclaimer: Use of the SAA logo by an SAA component group does not necessarily imply SAA endorsement of the groups' statements, positions, or opinions.

Vendors, consultants, and for-profit commercial entities, including institutional members, may not use the SAA logo without obtaining prior written permission from SAA's Executive Director.

The Executive Office is responsible for the design and provision of the SAA logo.

Revised:  February 2010; May 2016

Investment Policy

Background

In 2001, the Society of American Archivists’ independent auditors pointed out the need for a formal investment policy. Both legally and ethically, the SAA Council must provide prudent oversight of the Society’s investments. This written investment policy is intended to address those concerns, and its existence will help protect SAA from liability should the Society’s investments be mismanaged. The guidelines provided in the initial investment policy included the following:

  • Maintain adequate working funds to satisfy fluctuating needs for cash during the year;
  • Provide access to funds to help cover a possible budget deficit in any given year;
  • Provide for real growth of capital: cover inflation rate plus modest increase in capital;
  • Preserve the principal; place an amount equivalent to any federal grant funds in insured funds; and
  • Seek as high a level of current income as is prudent.

Preamble

The SAA Council is responsible for the fiduciary management of the Society. The following investment objectives and directions are to be judged and understood in light of that overall sense of stewardship.

Delegation

The SAA Council has delegated supervisory authority over its financial affairs to the Society's Finance Committee. Among its several tasks, the Finance Committee is responsible for reporting regularly to the Council on the status of SAA's investments. In carrying out its responsibilities, the Finance Committee and its agents will act in accordance with this Investment Policy and all applicable laws and regulations. The SAA Council reserves to itself the exclusive right to revise the Policy.

The SAA Council and its Finance Committee are authorized to retain one or more Financial Consultant(s) to assume the investment management of funds and assets owned or administered by SAA. In discharging this authority, the Finance Committee can act in the place of Council and may receive reports from, pay compensation to, and enter into agreements with such Financial Consultant(s). The Council may also grant exceptions to the Investment Policy when appropriate. The Finance Committee will maintain regular contact with teh Financial Consultant(s) and any investment brokers primarily through the Director of Finance and Administration, the Executive Director, or the Treasurer, all of whom are members of the Committee.

The SAA Council has established the Finance Committee to, among other responsibilities, provide oversight of SAA’s investment program, including reviewing specific quantified income needs that are adequate to cover projected fund expenses, investment administrative fees, management performance, a three-year review schedule for the SAA Investment Policy and program, and all other areas that are related and appropriate to SAA investments. The Finance Committee will receive copies of all periodic financial reports. (See Finance Committee.)

Objectives

The Society’s primary investment objective is to earn a positive total return on its investments that meets or exceeds the S&P 500. The computed total return considers dividends, interest, and realized and unrealized capital gains and it factors in capital losses and investment expenses. The Investment Policy and portfolio is reviewed by the Finance Committee and Financial Consultant(s) every three years to ensure its compliance with SAA's risk tolerance, liquidity needs, and investment objectives. This review cycle will begin in FY 2010.

Asset Mix

To accomplish the Society's investment objectives, the Financial Consultant(s) are authorized to utilize portfolios of equity securities (common stocks and convertible securities), fixed-income securities, and short-term (cash) investments. As a guide to accomplishing these objectives, the Financial Consultants shall remain within the following ranges:

Operating Expenses: SAA's operating funds will be managed for liquidity and preservation of principle. No more than 50% of SAA's operating funds are to be invested in fixed-income securities (such as U.S. and corporate funds or prime rate funds), with the remaining funds kept in cash and equivalents (such as money market funds and CDs).

Long-Term Investments: SAA's endowment and reserve funds (including the Awards Funds, Endowment Funds, Publications Funds and Deferred Income Fund) are to be managed with a longer time horizon in mind (between three to five years). Thus, 40% to 60% of these funds should be invested in equity securities (such as stocks or stock mutual funds), 25% to 50% should be invested in fixed-income securities or bond mutual funds, and 5% to 20% should be invested in cash and equivalents.

The Finance Committee can modify these ranges from time to time with the Council's approval. The actual investment targets shall be set within those limits by the Financial Consultant(s) in conjunction with SAA's designated financial officer.

Asset Standards

Common stocks: The Financial Consultant(s) responsible for managing the funds for SAA's endowed and reserve funds may invest in any unrestricted, publicly traded common stock that is listed on a major exchange or a national, over-the-counter market that is appropriate for the portfolio objectives, asset class, and/or investment style defined in this policy. This investment can be in the form of direct investment in the stock market, or indirect investment via mutual funds. Mutual funds should be considered where they offer additional portfolio diversification; lower purchase, maintenance, and sale costs; and good potential gain.

Convertible preferred stock and convertible bonds: The Financial Consultant(s) may use convertible preferred stocks and bonds as equity investments. The quality rating of convertible preferred stock and convertible bonds generally should be BBB or better (as rated by Standard & Poor's) or Baa or better (as rated by Moody's). The common stock into which both may be converted must satisfy the standard specified for common stocks.

Fixed-income securities: The quality rating of bonds and notes must be investment grade (BBB or better, as rated by Standard & Poor's or Moody's). Bonds and notes within a bond mutual fund must, on average, be investment grade (BBB or better, as rated by Standard & Poor's or Moody's). The portfolio may consist of only traditional principal and interest obligations (no derivatives) with maturities of seven years or less, or bond funds with average maturities of seven years or less.

Prime rate funds: Any investments in prime rate funds should include a 90-day liquidity.

Cash/cash equivalents: The quality rating of commercial paper must be A-1 (as rated by Standard & Poor's), P-1 (as rated by Moody's), or better. The assets of any money market mutual funds must comply with this standard and/or the quality provisions for fixed-income securities.

Asset Diversification

As a general policy, the Financial Consultant(s) will maintain a reasonable diversification at all times. The Financial Consultant(s) responsible for long-term investments may not allow the investments in the equity securities of any one company to exceed 5% of the portfolio nor the total securities position (debt and equity) in any one company to exceed 10% of the portfolio. The Financial Consultant(s) shall also maintain reasonable sector allocations and diversification. In that regard, no more than 25% of the entire portfolio may be invested in the securities of any one sector.

Custody and Securities Brokerage

The Finance Committee will establish such custodial and brokerage relationships as are necessary for the efficient management of the Society's funds. Whenever the Finance Committee has not designated a brokerage relationship, then the Financial Consultants shall execute transactions wherever they can obtain best price and execution.

Transactions

All purchases of securities will be for cash and there will be no margin transactions, short selling, or commodity transactions.

Reporting Requirements

Monthly: The Financial Consultant(s) will provide the Finance Committee with a monthly written statement containing all pertinent transaction details for SAA's investment portfolio, including:

  • The name and quantity of each security purchased or sold, with the price and transaction date;
  • An analysis for each security of its description, percentage of total portfolio, purchase date, quantity, average cost basis, current market value, unrealized gain or loss, and indicated annual income and yield (%) at market; and
  • An analysis for the entire portfolio of the current asset allocation by investment category (equities, fixed-income securities, and cash reserves).

Periodically: The Financial Consultants shall provide the Finance Committee with detailed information about (1) asset allocation, (2) investment performance, (3) future investment strategies, and (4) any other matters of interest to the finance Committee.

Annually: The Financial Consultant(s) shall provide to the SAA Council an annual summary of all transactions in each fiscal year, together with a report of investment performance for the year and a "snapshot" listing of current investments.

Cash Flow Requirements

SAA will be responsible for advising the Financial Consultant(s) in a timely manner of the Society's cash distribution requirements from any managed account. The Financial Consultant(s) are responsible for providing adequate liquidity to meet SAA's cash flow requirements in accordance with Council's policy.

Adopted by the SAA Council: August 2002; revised August 10, 2009

Liquor Liability Policy

Due to stringent liquor liability laws, no SAA group may provide alcoholic beverages at a Society or group function unless it is served by a contracted facility or caterer that maintains liquor liability insurance. Failure to abide by this policy places SAA at great legal risk.

Approved by Council: June 14, 1996.

Operating Reserve Policy

I. PURPOSE

The purpose of this Operating Reserve Policy is to ensure that SAA builds and maintains an adequate level of unrestricted net assets to support the organization’s day-to-day operations in the event of unforeseen shortfalls. The reserve may also be used for one-time, nonrecurring expenses that will build long-term capacity, such as research and development, staff development, or investment in infrastructure. Operating reserves are not intended to replace a permanent loss of funds or eliminate an ongoing budget gap. SAA intends for the operating reserves to be used and replenished within a reasonable period of time. This Operating Reserve Policy will be implemented in conjunction with the other financial policies of the organization (see SAA Governance Manual, Appendix A. Current SAA Policies and Procedures), and is intended to support the goals and strategies outlined in those related policies and in strategic and operational plans.

II. DEFINITIONS AND GOALS

SAA’s reserves will be held in two discreet funds: 1) the Operating Reserve Fund and 2) the Projects Fund. Both will be funded by retained earnings from SAA operations.

The Operating Reserve Fund is established to provide sufficient funds to maintain ongoing operations and programs for a period of six months. The target minimum to be held in this reserve fund is equal to a rolling six-month average of recurring operating costs for the immediate prior period in which the SAA annual meeting occurred.

The Projects Fund may be used to fund specific strategic or organizational goals, beyond what might be considered “ongoing operations.” (This fund serves a purpose much like the Technology Fund, which was established in 2001 and superseded by this Projects Fund.) This fund will not be subject to a target minimum.

III. ACCOUNTING FOR RESERVES

 The Operating Reserve Fund and the Projects Fund will be recorded in the accounting and financial statements as Council-designated funds. Both will be funded by and available in cash or cash equivalents and/or conservative long-term bond investments. Operating and Projects reserves will be commingled with the general cash and investment accounts of the organization.

IV. FUNDING OF RESERVES

 The Operating Reserve Fund and the Projects Fund will be funded with surplus unrestricted operating funds. The SAA Council may, from time to time, direct that a specific source of revenue be set aside for either fund. Examples may include one-time gifts or bequests, special grants, or special appeals.

V. AUTHORITY TO USE THE OPERATING RESERVE FUND

The Executive Director and Director of Finance/Administration will identify the need for access to the Operating Reserve Fund, confirm that the use is consistent with the purpose of the reserves as described in this Operating Reserve Policy, notify the Finance Committee, and make a recommendation for approval to the Executive Committee. Determination of need requires analysis of 1) the sufficiency of the current level of reserve funds, 2) the availability of any other sources of funds before using reserves, and 3) the time period during which the funds will be required and replenished. Should the Executive Committee determine that replenishment would likely take more than twelve months from the date of notification, it will seek approval from the full Council.

Upon funding approval, authority to implement use of the Operating Reserve Fund is delegated to the Executive Director and the Director of Finance/Administration in consultation with the Treasurer and the Finance Committee. Disbursement of Operating Reserve Fund reserves will be reported to the SAA Council at its next scheduled meeting, with a description of the rationale for the use of funds and plans for replenishing the Operating Reserve Fund to the target minimum amount (or other such level as determined by the SAA Council).

The Operating Reserve Fund will be reviewed annually by the Finance Committee and target levels adjusted as internal and external changes require.

VI. AUTHORITY TO USE THE PROJECTS FUND

The SAA Council will identify the need for access to the Projects Fund and confirm that the use is consistent with the purpose of the reserves as described in this Operating Reserve Policy. Authorization for the use of funds from the Projects Fund will require a Council resolution identifying the purpose and duration of the financial support and its relation to the SAA Strategic Plan.

Authority to implement use of the Projects Fund is delegated to the Executive Director and the Director of Finance/Administration in consultation with the Treasurer and the Finance Committee, as appropriate. Use of the Projects Fund will be reported to the Finance Committee and the Council according to the routine financial reporting schedule.

VII. REPORTING AND MONITORING

The Executive Director and Director of Finance/Administration are responsible for ensuring that the Operating Reserve Fund and the Projects Fund are maintained and used only as described in this Policy. The Executive Director and Director of Finance/Administration will maintain records of the use of funds and the plan for replenishment, and will provide regular reports to the Finance Committee and the Council.

Each year, the Executive Director and Director of Finance/Administration will discuss with the Finance Committee and the Council what additional risk factors might be considered for the organization, the impact of budgeting on operating reserve levels, and any requirements with funders.

VIII. REVIEW OF POLICY

This Policy will be reviewed by the Finance Committee every year, or sooner if warranted by internal or external events or changes. Changes to the Policy will be recommended by the Finance Committee to the SAA Council. This policy, upon every revision hereof, must be distributed by the Director of Finance/Administration to the following: the SAA Council, the SAA Foundation Board of Directors, SAA staff directors, and SAA’s audit partner.

 

Approved by the SAA Council, October 2019. 

Policies Regarding Function Space and SAA Staff Support for Groups that Meet at the SAA Annual Meeting

Policies That Apply to SAA’s Constituent Bodies:  Sections, Roundtables, Committees, Boards, Task Forces, Representatives

A.  Regular Meetings

Shared or dedicated space (see Section and Roundtable guidelines for details of how space is allocated) for the regular annual meetings of these groups is provided by SAA in or near the conference facility.  This space and time is assigned by the SAA staff according to the general schedule of the conference and information received in response to a call for meeting space requests.

The meetings are listed in the Annual Meeting program.

Room set-ups are arranged by the SAA staff.

Hotel contracts invariably require that all food and beverages consumed in meeting room space must be provided by the hotel.  To do otherwise places the Society in violation of its contract.  SAA does not pay for food or beverage breaks for these group meetings.

Should an SAA body want food service or a coffee break in its meeting, the group should request funding in advance according to the procedure and deadline specified in Sections IX and X of the Governance Manual.

B.  Office Hours in the Exhibit Hall

SAA offers booth space in the Exhibit Hall for “Office Hours” for constituent groups that wish to meet with meeting attendees.

The Society arranges for the set up and pays for any decorator fees and booth fees assessed by the conference facility.

Space and time slots are filled as available on a first-come, first-served basis, as requests are received in the SAA office.

C.  Any Other Function or Activity

The Society is legally and financially responsible for the activities of its constituent bodies.  Any SAA group that wishes to hold a function other than its regular meeting and Office Hours is governed by the following:

  • Because Annual Meetings are scheduled far in advance, requests submitted less than six months before the anticipated event may not be able to be considered.
  • Requests for additional meeting room space will be considered on a first-come, first-served basis after all other requirements for space have been fulfilled and before the date specified in the hotel contract for release of unassigned space.
  • All activities of SAA bodies, whether in the conference facility or off-site, will be fully announced in the Annual Meeting Program.
  • All functions of SAA bodies at the Annual Meeting are open to all meeting registrants.
  • For food functions (such as receptions and meals) the SAA office will enter into all contractual agreements and price the function to cover expenses. Tickets will be sold as part of the meeting registration procedure.
  • For functions held outside the conference facility site, the group desiring such a function will work through the SAA office. The SAA office will enter into all contractual agreements for sites, food, and transportation.  Functions will be priced to cover expenses.
  • The SAA Council does not consider the solicitation of resources to support social events at the Annual Meeting to be a priority activity for SAA groups.  SAA groups will not enter into direct competition with the Society as a whole in soliciting funds or other resources.  SAA groups will follow guidelines regarding seeking outside resources and using the SAA name and logo. 

Policies That Apply to Regional, State, and Metropolitan Archival Associations

A.  Office Hours

The Society offers a limited amount of booth space in the Exhibit Hall for “Office Hours” to regional, state, and metropolitan archival associations that wish to meet with meeting attendees.

The Society arranges for the set up and pays any decorator fees and booth fees assessed by the conference facility.

Space and time slots are filled as available on a first-come, first-served basis, as requests are received in the SAA office.

B.  Other Events

A number of associations traditionally hold social events in conjunction with SAA’s Annual Meeting.  SAA is not able to offer space to hold such events.

Upon request, the Society will note such events as “Other Events” in the final print and online program that is distributed to meeting registrants. 

Policies That Apply to Associations of Archivists Other Than Regional, State, or Metropolitan Associations

A. Complimentary Space

Some SAA Annual Meeting attendees are members of other associations of archivists that wish to use this occasion to hold their own gatherings.  Because of the demands on limited space, SAA is unable to offer complimentary space for meetings or social functions to anyone other than its own constituent bodies and grant-funding agencies or organizations.

B.  Events as Part of the SAA Annual Meeting

Groups that wish to hold a reception or meeting at the conference facility as part of the SAA Annual Meeting may be accommodated as follows:

  • Because Annual Meetings are scheduled far in advance, requests submitted less than six months before the anticipated event may not be able to be considered.
  • Requests for space will be considered on a first-come, first-served basis after all other requirements for space have been fulfilled and before the date specified in the hotel contract for release of unassigned space.
  • All such functions will be planned through the SAA office, announced as part of the Annual Meeting, and be open to all meeting registrants.
  • The SAA office will arrange for food and beverage service with the hotel and invoice the sponsor based on the actual final expense.

C.  Other Events

Other groups are free to make their own arrangements for activities or functions at their own expense.  Upon request, the Society will note such activities as “Other Events” in the final print and online program that is distributed to meeting registrants.

Policies That Apply to Agencies or Organizations That Offer Grant Funding to Archivists or Archival Repositories

A. Office Hours

The Society may offer a limited amount of complimentary booth space in the Exhibit Hall for “Office Hours” to grant-funding agencies.

Space and time slots are filled on a first-come, first-served basis as requests are received in the SAA office.

Such agencies or organizations may choose to secure a separate booth for the entire exhibit time by paying the non-profit rate for exhibitors.

B.  Space for Other Functions

Such agencies or organizations may request complimentary space in meeting rooms. Such requests will be honored on a first-come, first-served basis after all of SAA’s own requirements for meeting space have been fulfilled, provided that the requests are made no less that three months before the conference.

Hotel and convention center contracts invariably require that all food and beverages consumed in meeting room space must be provided by the hotel or conference center. To do otherwise places the Society in violation of its contract.  Should a grant-funding agency wish to provide food or beverage service, the SAA office will provide menus and ordering information.  The organization will be billed directly by the hotel or convention center.

Annual Meeting Firms or Organizations That Provide Goods and Services for Fees or Sale

Such groups are welcome to meet with conference attendees by becoming exhibitors and paying the appropriate rates.

Any other functions that such groups wish to hold will be arranged entirely by them at their own expense.  SAA does not publish listings for such events, although it will accept paid advertisements for inclusion in the Program.

Adopted by the SAA Council:  January 1992
Revised:  March 2007; May 2016

Policy for Removing a Non-Participating Member from a Council-Appointed Group

Non-participation by a member of a Council-appointed group (i.e., Boards, Committees, Task Forces, and Working Groups) is defined as missing two consecutive group and/or scheduled conference calls; not taking an active part in the work of the group; or not completing tasks within assigned deadlines.

As a first step, the Chair of a Council-appointed group should reach out to the non-participating individual to try to reach a constructive and collegial solution that will result in the member’s full participation.

If, after this first step, the chair of a Council-appointed group finds that a member is unwilling or unable to fulfill his or her obligations to the group, as described above, the chair may ask in writing for that member's voluntary resignation from the group.

The chair also will provide the SAA President and Executive Director with written notification of that action through the group’s Council liaison.

If there is no response to the call for resignation within one month of the date of the written communication, the chair of the group will notify the SAA President through the group’s Council liaison. The President will contact the member by telephone to notify the individual that she or he is about to be replaced on the group, but will allow the individual the opportunity to respond and explain the situation from her or his perspective. The President will then decide whether to remove the person from the group. If the individual is to be removed, the President will inform her or him of this action by letter, with a copy to the group chair. If deemed necessary, the Vice President/President-Elect will name a replacement to complete the group member's term.

In the case that the chair is unable or unwilling to fulfill his or her obligations, the SAA President will contact the chair to discuss replacement.

Adopted by the SAA Council: July 25, 2013
Revised: May 2016 

Records Retention Policy for SAA and SAA Foundation

Introduction: The SAA Archives and SAA’s Records Retention Policy (RRP)

Section VII of the Constitution of the Society of American Archivists [1] states:

"The records of the Society, of the Council, and other units of the Society shall be preserved by the officers, Councilors, the Executive Director, and unit chairs, and shall be promptly turned over by them to their successors. Noncurrent records shall be appraised by direction of the Council upon recommendation of the Society's archivist, those records of continuing value shall be placed for preservation in the Society's official archives, and the Council shall determine a policy of access to these records."

In 2001, the Society of American Archivists (SAA) designated the University of Wisconsin - Milwaukee (UWM) as its official archival home, and named the head of its Archives Department as SAA Archivist. SAA’s archives dating from the Society’s founding in 1936 are described in an online finding aid [2] and open to researchers in the UWM Archives’ reading room. Recognizing that a significant portion of SAA’s current records are now shared via the Society’s website, in 2014 the UWM Archives, with Council’s approval, initiated a web crawling program, still in its early experimental phase, to capture, preserve and provide access to SAA current born-digital permanent records.

SAA’s RRP provides a framework for ensuring the preservation and accessibility of core documentation of the work of the Society’s members, leaders, and staff. It communicates to SAA leaders and members how their records of enduring value will be captured and maintained either by the UWM or by the SAA Office. 

General Policy Statement for Records Retention

Scope: The RRP contains records schedules that identify official SAA records of permanent value and provides direction for their retention and disposition either by the SAA Office or by the SAA Archives. It also identifies non-permanent records that can be kept as long as administratively useful or legally necessary and then destroyed. It applies to records in the existing SAA Archives as well as to current records, and to SAA staff, elected and appointed leaders, component groups, and members.

Retention Period: The RRP in most cases deliberately avoids suggesting specific retention periods for temporary records, as SAA records creators are in the best position to determine how long to keep materials before discarding them. For records scheduled for permanent retention, the SAA Office staff and SAA leaders should work out the best arrangements in collaboration with both the designated records liaison in the SAA Office and the SAA Archivist.

Disposition: The RRP avoids identifying the manner in which records identified for permanent retention will be transferred to the SAA archives. Most permanent records will be harvested by UWM during an annual crawl of the SAA website. In other cases, transfer may be accomplished by shipment of physical records or delivery of electronic records to a file-sharing site, the details of which will be worked out between the SAA Archives and the designated records liaison in the SAA Office.

Revisions, Additions, and Review: The Council delegates to the Executive Committee ongoing authority to review and approve retention and disposition schedules for SAA records on behalf of the Council. Changes to this RRP--discussed by the appropriate SAA leaders, the designated records liaison in the SAA Office, and the SAA Archivist--may be recommended to and approved by the Executive Committee at any time. If ten years have passed from the most recent RRP revision date, or if a determination is made that the general policy statement contained in this RRP requires revision, the Executive Committee will initiate a review of the RRP, to be undertaken, at minimum, by the SAA Archivist, the SAA Office’s designated records liaison, and representative members of the Council.

Roles and Responsibilities

SAA Archivist: Develops records schedules in consultation with the records creators including staff, officers, and component group leaders; works primarily with the SAA Office’s designated records liaison. The responsibilities and authority of the SAA Archivist are defined in the 2001 agreement between SAA and UWM and include appraisal, processing, preservation and outreach.

Designated Records Liaison: A member of the SAA staff who serves as the point person for managing the records of the SAA Office, communicating with the SAA Archivist, referring questions to the Archives, and facilitating transfer of records to the SAA Archives as indicated by the records schedule.

Society of American Archivists Records Schedules (download all schedules below)

  • Annual Meeting
  • Council-Appointed Component Groups and External Representatives 
  • Member-Affiliation Component Groups 
  • Council, Executive Committee, Elected Officers and Nominating Committee 
  • Education 
  • Executive Director 
  • Finance 
  • General SAA Office 
  • Member Services 
  • Publications and Communications 

Society of American Archivists Foundation Schedule (download all schedules below)

  • SAA Foundation General Records 

[1] http://www2.archivists.org/governance/handbook/section1/constitution

[2] http://digital.library.wisc.edu/1711.dl/wiarchives.uw-mil-uwmmss0172

 

Adopted by the SAA Council: May 2014

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SAA Fundraising Policy

Requesting Funds from Within SAA

Money is allocated for Section/Roundtable activities through the regular SAA budget process. Sections/Roundtables are not authorized to spend any monies or commit any monies to be spent without specific authorization from the SAA Executive Committee through the budget process or through special approval. Funding from within SAA is requested through annual reports which should be submitted by Section/Roundtable chairs by December 31 of each year. The budget for the following fiscal year (July 1 - June 30) is approved by the Council in May. Throughout the year, special approval for funding from within SAA may be obtained by submitting a request in writing to the SAA Executive Director at least sixty (60) days prior to the next Council meeting.

Solicitation of Funds or In-Kind Contributions from Outside Sources

If a Section/Roundtable wishes to seek resources (whether in case or in-kind) from any source outside SAA, Executive Committee approval must be obtained in every instance before approaching the source or before the transaction takes place. When approaching outside sources, the Section/Roundtable should keep in mind that, according to legal counsel, "to the extent that any monies are deducted by donors on their taxes, they are presumably deductible as business deductions and not charitable deductions." This holds true unless that donation is made to a special project fund.

Sections/Roundtables, although within the SAA structure, are not empowered to take action in the name of SAA, or to request money in the name of SAA or of the Section/Roundtable itself, without specific authorization of the Executive Committee. Under no circumstance should a Section/Roundtable maintain a separate bank account. This firm rule is required to protect SAA and its members from potential legal complications.

Use of SAA Name, Logo and Auspices

The use of SAA’s name, logo, and auspices for publications, meetings, mailings, websites, social networks, electronic communications, and other activities is available only through specific provision of the Council and shall conform to Uniform Guidelines for Use of the SAA Logo. Sections/Roundtables, although they are within the SAA structure, are not empowered to take action in the name of SAA, or request money in the name of SAA or the Section/Roundtable itself, without specific prior authorization of the Council. This firm rule is required to protect SAA and its members from potential legal complications.

Approved by Council: June 14, 1996
Revised: February 2010

Uniform Guidelines for SAA Websites and Online Communications

Overview

The explosive and continuing growth of electronic communications technology presents SAA with the opportunity to better serve its members and to enhance collaboration between and among internal and external audiences.  SAA establishes these guidelines as a means to encourage the effective development, dissemination, and sharing of resources throughout the Society, to regularize the functions and operations of SAA's component groups, and to otherwise facilitate the efforts of member leaders.  These guidelines apply to the online information resources sponsored and/or maintained by the SAA office and to all websites, e-mail discussion lists, wikis, blogs, document sharing sites, and social networks sponsored and/or maintained by official SAA component groups.

Definitions

SAA network:  The entire collection of websites, e-mail discussion lists, wikis, blogs, document sharing sites, and social networks sponsored and/or maintained by the Society of American Archivists and its component groups.

SAA main website:  The collection of documents maintained by the SAA office residing on its Web server(s) at http://www.archivists.org (a.k.a. the "Extranet") and http://saa.archivists.org (a.k.a. the "Intranet").

SAA content management system (CMS):  The Web database application maintained by the SAA office and used to administer content published to http://www.archivists.org.

SAA list server:  The server application maintained by the SAA office, residing at http://forums.archivists.org, and hosting officially sponsored e-mail discussion lists.

SAA component group website:  A subdirectory of the main website for use by an official component group.

SAA auxiliary site:  An independently hosted website, e-mail discussion list, wiki, blog, document sharing utility, or social network containing content sponsored and/or maintained by teh SAA office or by an official component group.

Guidelines

A.  General Guidelines

Documents published by the SAA Council, by the SAA office, or by any SAA component group are official publications of the Society, whether they are posted to the main website, to a component group website, or to an auxiliary website. As such, these publications are subject to the records retention provisions outlined in Article VII of SAA’s Constitution. Individual comments regarding publications posted by members at large (and/or members of the public) to any portion of the SAA network do not necessarily represent the views and opinions of the Society and are not regarded as SAA publications.

The content of all pages on the SAA website shall be related to the functions and mission of the Society of American Archivists, namely to serve the education and information needs of our members and provide leadership to help ensure the identification, preservation, and use of the nation’s historic record.

The entire SAA network, as defined above, is subject to the SAA Code of Conduct.

B.  SAA Main Website

All documents published to SAA's main website are subject to the approval of the Executive Director.  All submissions and/or suggestions for additions to the SAA main website shall be forwarded for consideration to the Executive Director or the Executive Director's designated staff representative(s).

The Executive Director or designee is responsible for the overall design, coding, formatting, and maintenance of the contents of the SAA main website.  The Executive Director or designee should follow an appropriate style manual, such as the Chicago Manual of Style.

Links should be made from the main website to component group websites and to other professional associations of archivists or allied professions.  Links to external sites comprising directories of archival websites, non-SAA web publications of archival interest, and such also are desirable.  Links will not be made to websites describing individual archival repositories or their holdings.

SAA will maintain links to all auxiliary SAA student chapter websites.

C.  SAA Component Group Websites

A complete list of official component groups will be published by the SAA office on the main website. Each component group will also have a homepage on the main website containing key leadership information, including a statement of the group’s charge and/or purpose, goals and/or duties, group bylaws (if applicable), links to official rosters of the group’s leaders and/or members, a link to the group’s official e-mail discussion list, and a link to the component group website, if applicable.

The SAA office will provide all SAA boards, committees, sections, roundtables, and working groups with a component group website that may be administered by authorized group leaders via SAA’s content management system. Group leaders are responsible for updating information maintained on component group websites. Subcommittees and task forces may also request a component group website, provision of which will be subject to approval by the Executive Director and dependent on the group’s articulation of a clear statement of purpose for the site that is directly germane to the responsibilities and concerns of that group.

Content published to component group websites will follow an appropriate style manual, such as the Chicago Manual of Style. Key leadership information published to the main website should not be republished to component group websites. Personal contact information of members and member leaders, including e-mail addresses, may not be published to any site that is accessible to Web crawlers and/or spam harvesters.

Group leaders will have primary creative control over the design and content of their component group websites, provided that no website may conflict with the SAA main website or with SAA policies and practices relating to publication, privacy and confidentiality, and ethical conduct. Groups are strongly encouraged to utilize the main website theme (e.g., header, footer, site search utility, and navigation elements) in order to promote usability and effective document retrieval. Groups that elect to design and display a custom theme must display:

  • The uniform SAA logo, in accordance with the policies articulated in the Guidelines for Use of the SAA Logo;
  • A prominent link to the component group website and/or the main website;
  • An appropriate disclaimer stating that SAA does not assume responsibility for the opinions and views published on the auxiliary site; and
  • If necessary, an appropriate disclaimer stating that references to commercial interests (such as vendor listings or advertisements) does not imply any endorsement by SAA.

D.  E-mail Discussion Lists

The SAA office will provide all SAA boards, committees, sections, roundtables, and working groups with one or more e-mail discussion lists:

  • Boards, committees, subcommittees, task forces, and working groups will be provided with a private list for use by active members of the component group, the Council liaison, and staff liaisons.
  • Sections and roundtables will be provided with a private list for use by the section and roundtable officers/convener, steering committee members, Council liaison, and staff liaisons.
  • Sections will be supplied with a dual-function announcement list and electronic discussion list. Section members will automatically be subscribed to the announcement function, which section leaders may use for broadcasting official news. Section members may voluntarily modify their list subscriptions to participate in open discussions with other members of the section. Section members may unsubscribe.
  • Roundtables will be supplied with an electronic discussion list to which all roundtable members will automatically be subscribed upon joining the group. Roundtable members may unsubscribe.
  • Active members of SAA boards, committees, subcommittees, task forces, working groups, section steering committees, and roundtable steering committees will automatically be subscribed to the SAA Leader List, a moderated announcement list used by the Executive Director to communicate leadership information to the component groups. Submissions are subject to the approval of the Executive Director.
  • The SAA office will be responsible for managing list software, troubleshooting member subscriptions, and working with officers to maintain accurate subscription lists and policy compliance. As subscriptions to electronic lists will be one of several criteria for evaluating the effectiveness of sections and roundtables, SAA staff will report annually on the number of electronic list subscribers, including those subscribers to roundtable lists who are not members of SAA.

E. SAA Component Group Use of Social Media and External Websites (Auxiliary Sites) [Revised July 2012.]

SAA component groups may create accounts on social networks (such as Facebook and Twitter) and use social media tools (such as wikis, blogs and document-sharing sites). When considering establishing a new resource, component groups should be aware of the alternatives available to them and the associated roles and responsibilities.

SAA’s goals in establishing component group microsites within the Drupal content management system were as follows:

  • To provide component groups with a standardized and easily maintained system that would ensure continuity of the record through leadership changes.
  • To provide SAA members with a highly informative, easy-to-use, and comprehensive website for the Society as a whole.

SAA recognizes, however, that component groups may have needs that cannot be met within the Drupal microsite environment. When this is the case, a component group may make use of other social media tools to accomplish its communication objectives.

Component groups wishing to create or populate an external web resource (including a social media account) must adhere to the following guidelines:

  1. Notify the group’s Council liaison of each social media account or external resource that it creates.
  2. Have a clear understanding of the group’s purpose in establishing the resource and develop a plan for how the resource will be used and what types of material will be shared via the resource.
  3. Maintain on the group’s SAA microsite active links to all such external resources used by the group.
  4. On the microsite list of links to external social media and website resources, identify the active group member serving as the administrator of each account.
  5. Ensure that access privileges (user accounts and passwords) are transferred to new leaders in a timely manner.
  6. Be aware that SAA staff cannot provide support (such as maintenance, training, permissions, or archiving) for resources published on a third-party server.
  7. Maintain key governance information (such as bylaws and minutes) on the group’s SAA microsite where it can be maintained and preserved by SAA.
  8. Be aware that content published on external sites or using social media accounts may be subject to the records retention provisions outlined in Article VII of the SAA Constitution.
  9. Display on external sites a prominent link to the component group’s SAA microsite.
  10. Display on external sites an appropriate disclaimer stating that SAA does not assume responsibility for the opinions and views published on the external site or social media account.

Component groups must display the uniform logo on all social media sites and external websites, in accordance with the policies articulated in Guidelines for Use of the SAA Logo.

These guidelines apply to both new and existing social media accounts and external websites. Component groups should review all existing accounts and websites and discuss them with their Council liaisons to ensure that they comply with these guidelines.

Adopted by the SAA Council:  June 8, 1997; Revised:  March 2007, February 2010, July 2012, July 2014; May 2016