Overview

All finding aids require a collection-level access note in the Conditions Governing Access and Conditions Governing Use fields in ArchivesSpace, even when the collection is open for use. There are additional requirements for materials that are restricted, which are detailed further below.

Conditions Governing Access

Conditions Governing Access notes are required at the collection level, and then the lowest level to which the restrictions apply. All of these notes consist of two parts: 1) a statement about location and 2) a statement about access.

Statement about the collection's location

All collections have statements indicating location. Regardless of location, we indicate that advance notice may be required to access the collection.

Standard location statements:

• This collection is housed off-site and requires 48-hours' notice for retrieval. Contact Special Collections for more information. (Used for collections housed at LSC.)
• This collection is located at the George Peabody Library and may require a special appointment to access it. Contact Special Collections for more information.
• This collection is located at the Evergreen House and may require a special appointment to access it. Contact Special Collections for more information.
• This collection is located at the Garrett Library and may require a special appointment to access it. Contact Special Collections for more information.
• This collection requires advanced notice to access. Contact Special Collections for more information. (Used for collections housed onsite.)

For collections with digital materials, specific information on access copies is covered in the Existence and Location of Copies note.

Statement about restrictions on the collection, even if there are none

Restrictions are recorded at the collection level in two places in ArchivesSpace:

1. All notes require a statement reflecting if a collection is restricted and why. See Restriction statements tab for standard restriction statements.
2. Restricted collections also require the use of as many of the machine-actionable restriction fields as known. These fields are the Local Access Restriction Type (required), and the Restriction Begin and Restriction End fields (when known). Examples of restrictions:
   • University records dating from 1989-1995 are restricted for 25 years from point of creation. Restriction Type: Institutional policy imposed; Begin date: 1995; End Date: 2020.
   • University records are restricted for 25 years from the point of creation, but the exact dates of creation are unknown. Restriction type: Institutional policy imposed; other fields left blank until investigated.
   • A manuscript collection with a living donor is restricted until the donor’s death. Restriction type: Deed of gift imposed; other fields left blank because the death date cannot be known.
   • University records consisting of student records dating from 1978. Restriction type: Institutional policy imposed; Begin date: 1978; End Date: 2058.

Figure 1. Required fields in ArchivesSpace for restrictions in Conditions Governing Access note

Local access restriction types

Special Collections has defined the use of four restriction types for use in the restriction note:

1. Deed of gift imposed: A restriction included in the Deed of Gift. Examples include restricted until donor’s death, restricted until a certain year, or no photocopying or digitization. This restriction is most common for manuscript collections.
2. Institutional policy imposed: A restriction based on University Archives policy. These restrictions include university-based restrictions, such as those collections only open to the office of origin for a certain time, but also include legal restrictions, such as those under Family Educational Rights and Privacy Act (FERPA). This restriction is most common for UA materials.
3. Restricted in-process: Meant to limit the usage of materials that are sent to Conservation, Digitization, in the midst of being processed or reprocessed, or otherwise unavailable for a long period of time.
4. Other: Catch-all option to be used in special circumstances not covered elsewhere.

Level of description

Conditions Governing Access notes are required at the collection level, and then the lowest level to which the restrictions apply.

Examples:

• If a collection consists entirely of student records and has no container list, the Access note only appears at the collection-level.
• If there is a single subseries that is restricted but lacks a container list, the Access note appears at both the collection-level and the subseries-level.
• If there is a single folder that is restricted in a subseries, the Access note appears at the file-level and the collection-level. The note does NOT appear at every level in-between.

Conditions Governing Use

This note is meant to record any restrictions on the intellectual use (as opposed to physical use which is recorded in the Physical Characteristics and Technical Requirements note) of the information contained within a collection. This note always consists of the following text, with very few exceptions:

• Single copies may be made for research purposes. Researchers are responsible for determining any copyright questions. It is not necessary to seek our permission as the owner of the physical work to publish or otherwise use public domain materials that we have made available for use, unless Johns Hopkins University holds the copyright.

Examples of exceptions:

• MS.GAR.019: Permission to publish from this collection must be requested in writing from the Evergreen Foundation at: The Evergreen House Foundation, Inc. 4545 North Charles Street Baltimore, MD 21210
• MS.0056: Single copies may be made for research purposes. Researchers are responsible for determining any copyright questions. Permission to publish from this collection must be obtained from the estate of Ethel White: The literary rights to Edward Lucas White's unpublished papers were retained by White's sister Ethel White (1868-1955). In her will (1949) Miss White left any royalties owed to her from the publication of Edward Lucas White's manuscripts to the Woodstock Theological Center in Washington, D.C. A copy of Miss White's will was deposited in the Woodstock College Archives located at Georgetown University. As of March 31, 1999, The Ethel White Estate was turned over to the Jesuit Seminary/Mission Bureau, which was later called the Ignatian Apostolic Partnerships Office located in Baltimore, MD.

For more information on Physical Characteristics and Technical Requirements note use, see Digital Preservation.

Indicating Restrictions

Some items in an otherwise unrestricted collection may be restricted per the Archives’ University Records Access Policy.  In this case we must both alert Special Collections staff and the public to these restrictions. Note restrictions in the following ways:

1. By physically stamping folders or boxes (when practical) with the red RESTRICTED stamp located in Special Collections or inserting red paper into box or folder. See Housing > Labeling restricted materials for more information on labeling restricted materials.
2. By adding the word RESTRICTED to the folder name in ArchivesSpace and adding the appropriate note at both the level of the restriction and at the collection level.
3. By clicking the Restrictions apply? check box in ArchivesSpace at the appropriate levels (i.e., at the collection level and at the lowest level to which restrictions apply). When the end date of the restriction is known, it is recorded within the Conditions Governing Access note using the Restriction Begin and Restriction End date fields.
4. For digital objects, by marking the digital object as restricted in ArchivesSpace.
5. Optional: You may also leave an internal note for staff in the Repository Processing Note field in ArchivesSpace to indicate important restrictions-related information not noted elsewhere. For example, the Repository Processing Note in the Barbara A. Mikulski papers indicates that staff should check top containers for restricted materials before serving boxes to researchers.

Restriction Statements

Collections should be reviewed to determine the appropriate restriction statement. These statements may be customized depending on unique conditions and should be done in consultation with the University Archivist. Restriction statements are used in both Accessions and Resources in different ways:

• In Accessions, restriction statements appear in the Basic Information > Access Restrictions note. See Accessions > Accession Description for more information.
• In Resources, they appear within the Conditions Governing Access note itself, which is required at the collection level and at the lowest level restrictions apply.

Standard Statements

Standard statement for non-UA accessions without any restricted material

This collection is open for use once processed.

Standard University Archives Restriction

All collections are closed except to office of origin or original owner until processed. University records are closed for 25 years from the point of creation.

University Archives Restriction for Student Records

Access is restricted to education records of living students or former students, as defined by the Family Educational Rights and Privacy Act, unless the student or former student grants access in writing. If it is not possible to verify date of death, the student will be assumed to be deceased 80 years after date of graduation, or date of last attendance.

University Archives Restriction for Personnel Files

All collections are closed except to office of origin or original owner until processed. University records are closed for 25 years from the point of creation. These files contain personnel records, which are subject to further restrictions.

University Archives Restriction for Attorney-Client Privileged Information

All collections are closed except to office of origin or original owner until processed. University records are closed for 25 years from the point of creation. These files contain attorney-client privileged information, which is subject to further restrictions.

Restricted content flag note

This collection may contain restricted materials and therefore must be reviewed by a staff member before access is provided.

For lower levels: This material may contain restricted materials and therefore must be reviewed by a staff member before access is provided.

Standard Language for Open Collections that have been Processed

Collection is open for use.

Standard Language for Open Collections that are Unprocessed

This collection is not processed and therefore has not been prepared for research use. Please contact Special Collections for more information.

Formatting access and use notes for the Digital Access Station

All collections with offline digital materials that require restricted, onsite access via the Digital Access Station in the Special Collections Reading Room should have the following Conditions Governing Access and Conditions Governing Use notes at the collection-level. The note is also required at the relevant Series and Archival Object levels, as well as in the associated Digital Object metadata.

Note type: Conditions Governing Access

Definition: This note is used to explain to researchers that the content has a location-based restriction and how to request access.

Formatting examples: 

The oral history interviews in Series 2 are restricted to access offline using the Digital Access Station in the Special Collections Reading Room. Submit the Access Request Form associated with each interview to select materials and schedule an onsite appointment.

The oral history of David Lehman is restricted to access offline using the Digital Access Station in the Special Collections Reading Room. Submit the Access Request Form associated with each interview to select materials and schedule an onsite appointment.

Note type: Conditions Governing Use

Definition: This note is used to inform researchers of the inability to copy files while using the Reading Room terminal. Some collections may be restricted according to our own policy/decision, such as the Michal Makarovich oral history interviews which lack narrator release forms, while others might have a donor restriction with separate terms for requesting reproduction/publishing rights. Tailor the note according to the specific terms of each collection.

Formatting examples: 

Files accessed on the Reading Room terminal are subject to use restrictions and cannot be reproduced onsite. 

Files accessed on the Reading Room terminal are subject to use restrictions and cannot be reproduced onsite. Authorization to publish, quote, or reproduce content must be obtained from the Donor.