Carnegie-Vincent Library

Contents

Acknowledgments
Mission statement of the Lincoln Memorial University
Mission statement of the Carnegie-Vincent Library
Mission Statement of the University Archives and Special Collections
Scope of Collection
Types of Collections
Use of Collections
Access to Collections
Responsibilities
Collection Goals
Acquisition procedure
Deaccession procedure
Guidelines, documentation, care of collections
Statement of Non-Agreement
Ethics

Acknowledgments

The University Archives and Special Collections acknowledge and thank the following museums and libraries who shared their policies and forms to assist in the development of this procedures manual. Each will find portions of their policies and forms incorporated into this document. Their professionalism is a testament to their commitment to their respective professions.

The Frank H McClung Museum
The University of Arizona Special Collections and Library
The Ohio State University Archives
The Abraham Lincoln Library and Museum
A Glossary of Archival and Records Terminology, by Richard Pearce-Moses
Cal Poly, Robert E Kennedy Library, Special Collections
The Society of American Archivists
The American Library Association

Mission Statements
The Lincoln Memorial University Mission Statement:
Lincoln Memorial University is a values-based learning community dedicated to providing educational experiences in the liberal arts and professional studies. The University strives to give students a foundation for a more productive life by upholding the principles of Abraham Lincoln’s life: a dedication to individual liberty, responsibility, and improvement; a respect for citizenship; recognition of the intrinsic value of high moral and ethical standards; and a belief in a personal God.
The University is committed to teaching, research, and service. The University’s curriculum and commitment to quality instruction at every level are based on the beliefs that graduates must be able to communicate clearly and effectively in an era of rapidly and continuously expanding communication technology, must have an appreciable depth of learning in a field of knowledge, must appreciate and understand the various ways by which we come to know ourselves and the world around us, and must be able to exercise informed judgments.
The University believes that one of the major cornerstones of meaningful existence is service to humanity. By making educational and research opportunities available to students where they live and through various recreational and cultural events open to the community, Lincoln Memorial University seeks to advance life in the Cumberland Gap area and throughout the region through its teaching, research, and service mission.
(Reaffirmed by the Board of Trustees 5 May 2006)

The Carnegie-Vincent Library Mission Statement:
In keeping with Lincoln Memorial University’s mission, the Carnegie-Vincent Library’s mission is to provide the services, collections, staff and facilities to meet the information and research needs of the faculty, staff, and students; to provide a setting conducive to research and study, and to provide library patrons the opportunity to develop the research skills necessary for information literacy.
The University Archives and Special Collections Mission Statement:
The University Archives and Special Collections (UASC) are dedicated to identifying, preserving, and making available the Collections held within the UASC. These collections include, but are not limited to, university records, and the bibliographic, photographic, and manuscript collections of enduring cultural and historical legacy of Lincoln Memorial University. The UASC serves the Mission of the Carnegie-Vincent Library in a collaboration of archival preservation, conservation, cataloging, digitization, collection development, and the provision of access and support for reference and research. The UASC promotes public awareness and appreciation of Lincoln Memorial University’s historical legacy of resources relating to the university and regional Appalachian history. The UASC supports the research needs of LMU faculty, staff, students as well as the community and general researchers.
The UASC recognize that it holds its collections in trust for the University and the public. The UASC is committed to maintaining the professional and ethical standards as set forth by the Society of American Archivists and the American Library Association. The UASC recognizes its responsibility to ensure the growth, development, use, and care of the collections in its custody. The UASC further recognizes its responsibility to prevent the loss of collections by deterioration, mismanagement, or indiscriminate dispersal.

Scope of the Collections
For the purposes of clarity this section is divided into 2 separate entities: the University Archives (UA) and Special Collections (SC). Both the UA and the SC are a single department of the Carnegie-Vincent Library and of the Lincoln Memorial University. As such, the collections are designed to support the library and institutional mission as reflected in the UASC Mission Statement.
University Archives scope of collections:
The University Archive holds the paper collections of people important to the University. This includes, but is not limited to, University Presidents, faculty, staff, and students. The Archives also hold University records such as catalogs, yearbooks, school newspapers, building blueprints, and board of trustee meeting minutes. The UA maintains a large photograph collection that works in tandem with the paper collections. In addition to institution specific materials the UA also collects materials relating to the history of the region including, but not limited to, the towns of Harrogate, Middlesboro, Cumberland Gap, and Tazewell.
Special Collections scope of collections:
The Special Collections is a collection of books designed to support the research activities of the Lincoln Memorial University faculty, students, and the community at large. The collection is primarily humanities based, focusing on local and regional Appalachian writers. The collection also functions as a support arm to the UA collections. To this end the UA seeks to collection books written by or about Lincoln Memorial University faculty, staff, and students. The UA also collects books dealing with the history of the families in the area (for genealogical research) and general history books focusing on the region.

Types of Collections
The UASC maintains collections in 4 basic formats:
Fonds collections: These collections are the result of an organic process of administrative, historical, and functional records created in the normal course of activity.
Object collections: These are materials that either stand alone, or as part of another collection. An object is anything that cannot be classified as a 2 dimensional item.
Photograph collections: The photograph collection includes any images including, but not limited to, daguerreotypes, ambrotypes, aerials, and panoramic.
Book collections: The book collection is primarily focused on supporting research; but also includes rare or unique volumes, signed volumes, volumes under threat of vandalism or theft, and brittle or damaged volumes.

Use of Collections
Original research based upon the UASC collection is conducted by Lincoln Memorial University faculty, students, alumni, and visiting scholars. Research is performed by a trained and certified Archivist on behalf of patrons who are unable to come to the repository.
The UASC collections form a basis for the continuing reappraisal of human knowledge of the past and present, offer insights for the future, and serve as a legacy of historical materials of enduring value.
The UASC transmits knowledge about the collections through exhibits, teaching sessions and other appropriate means as a function of the Library and University. The UASC utilizes carefully selected portions of collection and the expertise of historians to disseminate information in an ethical and responsible manner.

Access to Collections
The UASC is available to those with legitimate requests for access. For security reasons the UASC is not an open collection; this means that the materials and books are non-circulating. The collections are available by appointment only; walk-in appointments are available at the discretion of the Archivist. The UASC limits access to appropriate staff and authorized visitors.
Appropriate staff: limited to persons working directly with collections as part of their assigned duties and responsibilities.  The UASC Archivist and Library Director will authorize access based on guidelines set forth below.
Authorized visitors: are individuals or groups who have serious research interests and are qualified to make use of the collections. The Archivist is responsible for arranging for access to the collections. To obtain access researchers will need to contact the Archivist, prepare the appropriate forms (see Appendices A and B), and submit the forms to the Archivist. It is recommended that these steps be done in advance of arrival at the UASC to ensure availability.   Not all materials in the UASC are available for public viewing as set out by the donor agreements, copyright laws, State or Federal Statutes, or by University Policy.
Guidelines for determining need for access to the UASC:
The purpose of these guidelines is for the protection of the collections of the UASC, not to deny access to those with a legitimate need for access. It is the highest priority of the UASC to protect and preserve the collections under its care. It is, therefore, essential that those who are granted access be reliable, responsible, and versed in handling of items in the collections. The following guidelines are utilized by the Archivist when considering requests for access:
–Evaluation of need:
Can the materials or information requested be accessed in a circulating library or a secondary source?
Can the materials or information be accessed by another means (i.e. the internet or microfilm)?
Does the applicant need access to all of a collection or only selected portions of said collection?
Can the applicant work during the normal operating hours of the UASC?
–Evaluation of the individual:
Has the applicant demonstrated the ability to handle materials properly? Is the applicant willing to learn the proper procedure and demonstrate said procedures?
Is there evidence of past unreliability in the UASC or other similar institutions?
Has the applicant demonstrated a legitimate need for the materials requested?
The UASC reserves the right to deny access to researchers based on non-compliance of the guidelines above and any investigation of the applicant as deemed necessary by the Archivist or Library Director.

Responsibilities
It is the responsibility of the Archivist and Library Director, as designated by the Lincoln Memorial University, to administer and implement the Procedures and Policies of the UASC, the Carnegie-Vincent Library, and the Lincoln Memorial University.
It is the responsibility of the applicant to provide truthful and current information on any and all forms associated with the UASC. Failure to do so will result in a denial of access to the collections.
It is the responsibly of the Archivist to ensure that all reasonable inquiries about their holdings are answered courteously and with a spirit of helpfulness, to encourage use of the collections to the greatest extent compatible with institutional policies, preservation of holdings, legal considerations, individual rights, donor agreements, and judicious use of archival resources.

Collection Goals
It is the goal of the Archivist and the UASC to fulfill the following goals to ensure the continued growth of the collections.
It is the long-term goal of the UASC to:
To collect all available materials relating to the history and future of the Lincoln Memorial University
To collect materials relating to the history and evolution of the region
To strengthen the humanities collection of literature
It is the short-term goal of the UASC:
Make all collections available as soon as possible
To ensure that all materials are properly accessioned into the library catalog
To make finding aids available online
Acquisitions Procedure
Acquisition is a term that refers to any gifts, purchases, exchanges, transfers, bequests, or any transaction by which title to any item passes from the owner to the UASC. Acquisitions provide a means of strengthening collections and ensure that the collections continue to remain relevant to the needs of the Community of Users. The UASC defines its acquisition policy to best support and strengthen the collections. The UASC will evaluate each acquisition to determine if it is appropriate for the UASC collections. Materials that do not within the guidelines will either be transferred to the appropriate location or be disposed of as set out by the donor agreement. See appendices E and F for the University and Library donor agreements forms.

The following are general guidelines, but each acquisition will be evaluated individually.
–Does the item fall into one of the following categories?
Historically significant documents or other materials relating to the origins and development of Lincoln Memorial University
Materials documenting the activities and achievements of LMU officers, faculty, staff, students, alumni, or benefactors (also known as the LMU community)
Materials created by a member of the LMU community
Theses or dissertation authored by a member of the LMU community or about LMU or the region
University memorabilia including, but not limited to, t-shirts, scrapbooks, event programs, et al
Historically significant documents or other materials related to the region
Historically significant documents or other materials related to Appalachian culture
Books related to any of the aforementioned categories or the field of the humanities, especially literature.
–Does the item meet any of the following criteria?
The UASC already owns 2 copies of an item then no further copies will be accepted (barring a unique feature such as an autograph)
The item is extremely damaged by overuse or mishandling it cannot be accepted
The item is infested with mold, mildew or anything alive it cannot be accepted due to the danger it presents to the existing collections
If the item size exceeds the storage area it cannot be accepted unless alternate storage can be found
Donors are responsible for furnishing evaluations of gifts to governmental tax agencies. The UASC can recommend qualified appraisers, but cannot legally give an appraisal value for a donation. Any fees associated with the evaluation of an item are borne by the donor.

Deaccession Procedure
Deaccessioning is the process by which the UASC permanently removes accessioned materials from its holdings. The UASC will evaluate each item to determine if it is still appropriate for the UASC collections. Materials that are deaccessioned will either be transferred to an appropriate location or be disposed of as set out by the donor agreement. As the UASC is a repository for institutional and cultural history materials are carefully assessed to determine if deaccessioning is valid. The UASC complies with the guidelines and standards for deaccessioning materials as set out by the American Association of Museums.
The following are general guidelines, but each item selected for deaccessioning will be evaluated individually.
–Does the item fall into one of the following categories?
The UASC has more than 2 copies of the item (barring a unique feature such as an autograph)
The item is damaged beyond repair or usability due to mishandling or overuse
The item is infested with mold, mildew, or pests
The item does not fit into the scope of the collections as set out above
The item exceeds storage size and no alternate storage can be found

Guidelines, Documentation, and Care of Collections
All items acquired for the UASC shall be promptly recorded and documented in the Archives and Library records, conforming to professional Archivist and Librarian standards and practices. All items will be assigned a unique number. Objects will be given accession numbers, papers will be given a unique collection name with corresponding folder numbers, and books will be given a Library of Congress call number.
The Archivist or the Advancement Department shall be responsible for maintaining all source records which document the legal status and ownership history of the items.
Conservation and preservation measures will be carried out for items in the UASC on an ‘as needed’ basis and in accordance with accepted standards and practices as stated by the American Library Association and the Society of American Archivists.

Statement of Non-Agreement
The University Archives and Special Collections as well as the Carnegie-Vincent Library and Lincoln Memorial University are in no way liable for the misuse of information retrieved from the UASC. The views and opinions expressed by those using information from the UASC are those of the individual and do not, in any way, reflect those of the UASC or its parent institutions.

Ethics
The University Archives and Special Collections are committed to upholding the standards of professional and ethical excellence in all its activities, and preserving the standards set forth by the Society of American Archivist and the American Library Association.  All UASC employees and volunteers are required to know, understand, and abide by these ethical standards.
Code of Ethics for Archivists

Preamble
The Code of Ethics for Archivists establishes standards for the archival profession. It introduces new members of the profession to those standards, reminds experienced archivists of their professional responsibilities, and serves as a model for institutional policies. It also is intended to inspire public confidence in the profession.
This code provides an ethical framework to guide members of the profession. It does not provide the solution to specific problems.
The term “archivist” as used in this code encompasses all those concerned with the selection, control, care, preservation, and administration of historical and documentary records of enduring value.
I. Purpose
The Society of American Archivists recognizes the importance of educating the profession and general public about archival ethics by codifying ethical principles to guide the work of archivists. This code provides a set of principles to which archivists aspire.
II. Professional Relationships
Archivists select, preserve, and make available historical and documentary records of enduring value. Archivists cooperate, collaborate, and respect each institution and its mission and collecting policy. Respect and cooperation form the basis of all professional relationships with colleagues and users.
III. Judgment
Archivists should exercise professional judgment in acquiring, appraising, and processing historical materials. They should not allow personal beliefs or perspectives to affect their decisions.
IV. Trust
Archivists should not profit or otherwise benefit from their privileged access to and control of historical records and documentary materials.
V. Authenticity and Integrity
Archivists strive to preserve and protect the authenticity of records in their holdings by documenting their creation and use in hard copy and electronic formats. They have a fundamental obligation to preserve the intellectual and physical integrity of those records.
Archivists may not alter, manipulate, or destroy data or records to conceal facts or distort evidence.
VI. Access
Archivists strive to promote open and equitable access to their services and the records in their care without discrimination or preferential treatment, and in accordance with legal requirements, cultural sensitivities, and institutional policies. Archivists recognize their responsibility to promote the use of records as a fundamental purpose of the keeping of archives. Archivists may place restrictions on access for the protection of privacy or confidentiality of information in the records.
VII. Privacy
Archivists protect the privacy rights of donors and individuals or groups who are the subject of records. They respect all users’ right to privacy by maintaining the confidentiality of their research and protecting any personal information collected about them in accordance with the institution’s security procedures.
VIII. Security/Protection
Archivists protect all documentary materials for which they are responsible and guard them against defacement, physical damage, deterioration, and theft. Archivists should cooperate with colleagues and law enforcement agencies to apprehend and prosecute thieves and vandals.
IX. Law
Archivists must uphold all federal, state, and local laws.
Approved by the SAA Council, February 5, 2005.

Code of Ethics of the American Library Association
As members of the American Library Association, we recognize the importance of codifying and making known to the profession and to the general public the ethical principles that guide the work of librarians, other professionals providing information services, library trustees and library staffs.
Ethical dilemmas occur when values are in conflict. The American Library Association Code of Ethics states the values to which we are committed, and embodies the ethical responsibilities of the profession in this changing information environment.
We significantly influence or control the selection, organization, preservation, and dissemination of information. In a political system grounded in an informed citizenry, we are members of a profession explicitly committed to intellectual freedom and the freedom of access to information. We have a special obligation to ensure the free flow of information and ideas to present and future generations.
The principles of this Code are expressed in broad statements to guide ethical decision making. These statements provide a framework; they cannot and do not dictate conduct to cover particular situations.
I.    We provide the highest level of service to all library users through appropriate and usefully organized resources; equitable service policies; equitable access; and accurate, unbiased, and courteous responses to all requests.
II.    We uphold the principles of intellectual freedom and resist all efforts to censor library resources.
III.    We protect each library user’s right to privacy and confidentiality with respect to information sought or received and resources consulted, borrowed, acquired, or transmitted.
IV.    We respect intellectual property rights and advocate balance between the interests of information users and rights holders.
V.    We treat co-workers and other colleagues with respect, fairness, and good faith, and advocate conditions of employment that safeguard the rights and welfare of all employees of our institutions.
VI.    We do not advance private interests at the expense of library users, colleagues, or our employing institutions.
VII.    We distinguish between our personal convictions and professional duties and do not allow our personal beliefs to interfere with fair representation of the aims of our institutions or the provision of access to their information resources.
VIII.    We strive for excellence in the profession by maintaining and enhancing our own knowledge and skills, by encouraging the professional development of co-workers, and by fostering the aspirations of potential members of the profession.
Adopted June 28, 1997, by the ALA Council; amended January 22, 2008.