4.1.5 transparency in restrictions

[mfeustle]

Principle 2. Users are the fundamental reason for archival description.

4.1.5 does not currently require spelling out particular reasons for restrictions. For users, the stated reasons for restrictions themselves can be quite enlightening by themselves even if the materials are not accessible. It seems like it would be relatively rare that an institution could not say at all why a collection is restricted, even in general terms (donor agreement, required by law, etc.).

I expect that this will require a Major change to DACS, depending on how strongly the change may be recommended in a revised version.

4.1 Conditions Governing Access

[meau]

By way of support, the ICA's statement of principles on access to archives explicitly requires this that archivists state the reason for materials being restricted:

"Archivists provide as much information as possible about restricted material, including the reason for the restriction and the date the materials will be reviewed or become available for access, so long as the description does not disclose the information that is the reason for the restriction or violate a binding law or regulation."

[michelsd]

Very simple example of how this can be easily done: "At the direction of the donor, this collection is closed until Blanche Wiesen Cook's death."

[regineheberlein]

Another example that links to the collecting policy:

Materials in this collection are subject to the terms of the University Archives Access Policy. Faculty and Professional Staff Files, which are the official records transferred from the Office of the Dean of the Faculty, are closed until 100 years after the person's year of birth or 5 years after the person's year of death, whichever is longer.

[DonnellyW]

example for a literary collection: There are no special restrictions placed on access to the Jeani Thompson papers, although literary and copyrights to her published and unpublished writings have not been granted to the W.S. Hoole Special Collections Library and remain the property of the author and her heirs. While all materials are available for research, the materials collected for her "view book" may be used (i.e. viewed or copied) only with the author's permission.

[regineheberlein]

This material is closed until 2054 based on a departmental practice of restricting medical records until 50 years after death.

[regineheberlein]

This collection is currently undergoing conservation review and digitization efforts. Some materials may be temporarily unavailable. Please consult staff if you have questions about the status of any material.

[DonnellyW]

On-site access is restricted. Please see digital versions of materials here: https://digitalcollections.libraries.ua.edu/digital/collection/u0003_0003618. Please note that some digital versions information may be redacted for privacy.

[regineheberlein]

Due to the fragility of Fitzgerald’s original manuscripts and scrapbooks, researchers must use surrogates of these materials. Digital copies of the manuscript of The Great Gatsby, the Trimalchio galleys, This Side of Paradise, and the scrapbooks are available. Facsimile editions of the The Great Gatsby holograph (Microcard Editions Books, 1973; Editions des Saints Pères, 2017) and of Fitzgerald’s other manuscripts (Bruccoli, ed., Garland Books, 1970), as well as microfilm and photocopies of the manuscripts and scrapbooks are available in the Department of Rare Books and Special Collections reading room.

[kbogan]

Proposed updated language (if accepted, 4.1.6 would be removed):

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. 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 role or office to whom the restriction may be appealed;
• reasons for the restriction

If there are no restrictions, state that fact.

[regineheberlein]

This looks great, thanks! I would propose one small tweak: instead of saying "person", can we say "contact information for the role or office to whom the restriction may be appealed" so we keep individual staff members' names out of this requirement, since that information might go stale very quickly.

[DonnellyW]

Proposed updated examples:

Per the State University records release policy, Board of Trustees Records are restricted for a minimum of fifty years. Once open, selected items may be restricted to protect the privacy rights of individuals or for other legal reasons. Duplicate material is stored in off-site storage. Contact the University Archivist for more information.

Access to Series 23 is restricted for privacy reasons until 2028, per the donor agreement. Otherwise, there are no restrictions on access to the papers. Please contact the Head of Archives and Special Collections for more information.

Access to portions of the Pratt Health Cottage and College Physician Records is restricted in accordance with HIPPA regulations. Individual student health information is restricted until 50 years after the death of the student. Partial or redacted access to the records may be granted at the discretion of Archives and Special Collections staff. Restrictions are noted at the file level.

There are no restrictions on access to the collection.

[regineheberlein]

FERPA example:

"Materials in this collection are subject to the terms of the University Archives Access Policy. Student Academic Files are restricted during the lifetime of the student."