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Appendix B
Selected List of Current SAA Policies and Procedures:
Policies Regarding Function Space and SAA Staff Support for Groups that Meet at the SAA Annual Meeting (March 2007)
Guidelines for the Establishment of Listservs by Organizational Units of the Society of American Archivists
(March 2007)
Guidelines for SAA Web sites (March 2007)
SAA Policy on Unit Directories (March 2007)
Investment Policy (2002)
Guidelines for the Manager of the Archives & Archivists
Listserv (1998)
SAA Fundraising Policy (June 1996)
Liquor Liability Policy (June 1996)
Annual Meeting Taping Policy (June 1996)
Childcare Services Resolution (January 1993)
Equal Opportunity / Non-Discrimination Policy (January
1992)
Guidelines and Procedures for SAA Grant Proposals
(June 1991)
Policy on Choosing Annual Meeting Sites (June
1991)
SAA Liaisons with other Professional Groups (February
1991)
Investment Policy
Background
In 1992, SAA Treasurer Bill Maher proposed that SAA explore options
for increasing its yield on investments for long-term reserve funds
by investing in stocks. SAA Council approved the concept of hiring a
professional money manager to handle SAA’s long-term reserve investments.
Maher and Executive Director Anne Diffendal filled out a questionnaire
that helped identify SAA’s investment goals and risk tolerance
and interviewed two money managers recommended by Merrill Lynch (SAA's
investment broker and advisor). With Council’s approval, they chose
Rittenhouse Capitol Management of Radnor, Pennsylvania to act as SAA’s
money manager for long-term investments. Merrill Lynch ontinued to be
retained to advise SAA on their operating funds.
At the time, some general investing principles were outlined for SAA's
entire investment portfolio, including investment goals and priorities,
and amounts available to invest. The guidelines provided to Merrill
Lynch included:
- 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.
Based on this input, and on the investor profile determined by SAA’s
answers to Merrill Lynch’s questionnaire, SAA’s investment
portfolio has been managed in a balanced way between fixed income and
equity securities.
While the groundwork laid in 1992 has resulted in an improved yield
on SAA’s investments, much more guidance can and should be given
to SAA's advisors and money managers regarding the Society’s investments.
In 2001, SAA’s Auditors pointed out the need for a formal investment
policy. Legally and ethically, SAA’s Council must provide prudent
oversight of its investments. This written investment policy is meant
to address those concerns, and will help protect SAA from liability
should the Society’s investments be mismanaged.
Preamble
SAA Council is responsible for the fiduciary management of the Society.
Even SAA’s legally unrestricted funds are held by the Council as
a steward for the sake of carrying out SAA’s mission and purposes.
The following investment objectives and directions are to be judged
and understood in light of that overall sense of stewardship.
Delegation
SAA’s Council has delegated supervisory authority over its financial
affairs to the Society's Treasurer, Executive Director and Director
of Finance, hereafter collectively referred to as the finance group.
The finance group is responsible for regularly reporting on investments
to Council. In carrying out its responsibilities, the finance group
and its agents will act in accordance with this Investment Policy and
all applicable laws and regulations. Council reserves to itself the
exclusive right to revise the Policy.
Council and its finance group are authorized to retain one or more Financial
Consultants to assume the investment management of funds and assets
owned or administered by SAA. In discharging this authority, the finance
group can act in the place of Council and may receive reports from,
pay compensation to, and enter into agreements with such Financial Consultants.
Council may also grant exceptions to the Investment Policy when appropriate.
Objectives
The primary investment objective of the Organization is to earn a total
return on its investments (defined as dividends and interest, plus capital
gains or minus capital losses, minus expenses) appropriate to the Society's
time horizon, liquidity needs and risk tolerance. The finance group
will review these factors with the Financial Consultants at least once
every five years, starting in Fiscal Year 2003.
Asset Mix
To accomplish the Society's investment objectives, the Financial Consultants
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). As such, between 50% to 80% should
be invested in equity securities (such as stocks or mutual funds),
15% to 50% should be invested in fixed-income securities, and 5% to
20% should be invested in cash and equivalents.
The finance group can modify these ranges from time to time with approval
by the Council. The actual investment targets shall be set within those
limits by the Financial Consultants in conjunction with SAA's designated
financial officer.
Asset Standards
Common stocks: The Financial Consultant responsible for managing the
funds for SAA's endowment 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.
Convertible preferred stock and convertible bonds: The Financial Consultants
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 "A" 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.
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 Consultants will maintain a reasonable
diversification at all times. The Financial Consultant responsible for
long-term investments may not allow the investments in the equity securities
of any one company to exceed 5 percent of the portfolio nor the total
securities position (debt and equity) in any one company to exceed 10
percent of the portfolio. The Financial Consultant shall also maintain
reasonable sector allocations and diversification. In that regard, no
more than 25 percent of the entire portfolio may be invested in the
securities of any one sector.
Custody and Securities Brokerage
The finance group will establish such custodial and brokerage relationships
as are necessary for the efficient management of the Society's funds.
Whenever the finance group 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 Consultants will provide the finance group 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 group
detailed information about (1) asset allocation, (2) investment performance,
(3) future investment strategies, and (4) any other matters of interest
to the finance group.
Annually: The Financial Consultants shall provide an annual summary
of all transactions in each fiscal year, together with a report of investment
performance for the year, to Council. Council will also receive a "snapshot"
listing of current investments.
Cash Flow Requirements
SAA will be responsible for advising the Financial Consultants in a
timely manner of the Society's cash distribution requirements from any
managed account. The Financial Consultants are responsible for providing
adequate liquidity to meet SAA's cash flow requirements in accordance
with Council's policy.
Adopted by SAA Council: August 2002
SAA Liaisons with Other Professional Groups
The Society of American Archivists receives requests to appoint Society
members to act as liaisons with other organizations in the information
science and research professions. In the interest of clarifying the roles
of SAA members in this connection, the SAA Council makes the following
statement:
- SAA expects that its members will participate in the affairs of other
organizations. The continuing professional development of archivists
depends in part on their willingness to participate in the work of other
groups which relate to the larger archival mission beyond the particular
interests of individual repositories.
- SAA will appoint formal representatives to a limited number of bodies
outside the Society, as specified in Section XI of the Council Handbook.
Council expresses its philosophy that, while a certain number of formal
representatives are appropriate, the number of formal relationships
ought to be limited to those which are strictly necessary. At its discretion,
the SAA Council shall establish additional representatives in specific
cases.
- Any formal commitments to work on particular projects or ongoing programs
with other organizations must be made by the officers and Council. The
establishment of less formal liaisons for informational purposes, however,
is encouraged.
- SAA members participate in the activities of other professional organizations
as individuals. As such, they do not represent the Society in any way
and cannot commit the Society to projects or other specific activities.
Their participation is largely for informational purposes, keeping other
groups aware of SAA activities and vice versa. Any formal commitments
to work on particular projects or ongoing programs with other organizations
must be made by the officers and Council.
- SAA members participating in the work of other groups should inform
the Society of their activities through the officers, the appropriate
Council committee, and/or the appropriate committee, section, or roundtable
of the Society.
Adopted by SAA Council: February 1991
Policy on Choosing Annual Meeting Sites
Planning SAA Annual Meetings is a year-round process. At any one time,
five or six annual meetings are in various stages of development.
Recognizing the importance of a successful Annual Meeting to the Society,
Council has established the following guidelines to assist the staff in
identifying potential host cities and hotels:
Geography is a principle factor in choosing potential cities. With a
national membership, it is important for SAA to move systematically around
the country, from region to region.
A city needs to have these characteristics in order to host an SAA Annual
Meeting:
- at least one major hotel with sufficient meeting space and sleeping
rooms to accommodate member expectations for an Annual Meeting, preferably
in a downtown location;
- a variety of cultural, educational, and recreational opportunities
for archivists; and
- a sufficient number of SAA members to serve on the Host Committee.
To maintain consistency on scheduling, the Annual Meeting will take place
during the month of September, avoiding Jewish holidays, but setting the
exact dates in order to secure the most favorable hotel rates and airfares.
The Society will attempt to schedule its Annual Meetings at least five
years ahead for its own planning and to avoid conflicts with other associations
that meet in the fall.
Within general guidelines, the staff is allowed great flexibility in
negotiating with hotels. Council will be kept informed about the process
and will, generally by accepting staff recommendations, approve the selection
of the city and a hotel for a particular Annual Meeting.
Once discussions with hotels have begun, even before a contract is signed,
verbal commitments have been made by both parties and understandings arrived
at. Such discussions will be terminated only for good reason, and in full
consideration of the Society's ability to secure an acceptable alternate
site and the future effects upon its reputation within the hotel and convention
industry.
Adopted by Council: June 1991
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.
- 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.
- 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.
- 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.
- 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.
- 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
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 race, color, creed, gender, national
origin, age, marital status, family relationship, individual life style,
and disability 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 Council: January 1992
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 hotel. This space and time is assigned by the SAA staff according to the general schedule of the meeting 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 SAA office will send hotel menus and ordering information. An individual member of the group will be billed directly by the hotel.
B. Office Hours in the Exhibit Hall
SAA offers booth space in the Exhibit Hall for up to two hours of “Office Hours” for its own constituent groups who wish to meet with meeting attendees.
The Society arranges for the set up and pays the decorator fees and any booth fees assessed by the conference facility.
Space and time slots are filled as available on a first-come, first-served basis, as Office Hours Request Forms are received in the 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 a year 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 of the 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 off the conference facility site, the group desiring such a function will work through the SAA office, which works with and through the Host Committee in arranging local, off-site activities. 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. Any income generated to support particular activities will become part of the general Annual Meeting revenues.
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 up to two hours of “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 the decorator fees and any booth fee assessed by the hotel.
Space and time slots are filled as available on a first-come, first-served basis, as request are received in the SAA Office.
B. Other Events
A number of associations traditionally hold social events at 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 program that is distributed to meeting registrants. The date, time, and location will appear in print; space will be available on a bulletin board to post further details.
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 upon 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 have a reception or a meal at the conference facility as part of the SAA meeting can be accommodated as follows:
- Because Annual Meetings are scheduled far in advance, requests submitted less than a year 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 the 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, price the event to cover expenses, and sell tickets as part of the meeting registration procedure.
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 program that is distributed to meeting registrants. The date, time, and location will appear in print; space will be available on a bulletin board to post further details.
Policies That Apply to Agencies or Organizations That Offer Grant Funding to Archivists or Archival Repositories
A. Office Hours
The Society offers a limited amount of complimentary booth space in the Exhibit Hall for up to two hours of “Office Hours” to grant-funding agencies.
Space and time slots are filled as available on a first-come, first-served basis, as requests are received in the SAA Office.
Such agencies or organizations may choose to pay the non-profit rate for exhibitors and secure a separate booth for the entire exhibit time.
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 room space have been fulfilled, provided that such requests are made before the date specified in the hotel contract for release of unassigned space.
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. Should a grant-funding agency wish food or beverage service, the SAA office will provide menus and ordering information. The organization will be billed directly by the hotel.
Annual Meeting Firms or Organizations That Provide Goods and Services for Fees or Sale
Such groups are welcome to meet with meeting 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 print listings for such events in the Annual Meeting Program, although it will be happy to accept paid advertisements for the Program.
Adopted by the SAA Council: January 1992
Revised: March 2007
Childcare Services for Registrants at SAA Annual Meetings
SAA will subsidize childcare for registrants at the annual meeting through
a per registrant assessment as originally approved at the 1984 business
meeting and reaffirmed at the January 1985 and January 1993 Council meetings.
The amount of the per registrant assessment should be adjusted annually
to inflation in the Consumer Price Index (CPI).
The SAA office will prepare a budget for childcare services as part of
its annual meeting planning. The budget will summarize projected costs
and income from the indexed per registrant assessment.
Any costs of childcare services not covered by the CPIndexed per registrant
assessment will be charged to parents using the service through a fee
set by the SAA office.
The SAA office should use conservative budget planning in estimating
the likely meeting registration (and thus the income from the assessment)
and in calculating the fee charged to parents.
Appropriate expenses for the childcare services budget include: service
fees for the agency, snacks, and light entertainment (e.g., videotape
player and cassette rental). If there are costs for the room in which
childcare is held, these expenses should be part of the childcare budget.
If the childcare room is shared by other meeting functions, those other
functions, including general administration, should share in the expenses
of the room. When negotiating with hotels, SAA office staff should endeavor
to obtain free rooms which can serve both the needs of childcare as well
as other meeting functions.
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 Council: January 1993
Guidelines for the Establishment of Listservs by Organizational Units of the Society of American Archivists
The establishment of Internet-accessible open discussion lists can be an effective means for facilitating discussion on specific topics or among professionals working in related areas and facing common issues. These listservs can also be an effective device for fostering dialogue among different professionals regarding mutual concerns.
The SAA office will utilize features of its association management software to support multiple lists and discussion forums for SAA Sections and Roundtables.
- The SAA Leader List (“saaleaderlist”) will be open to all current Section officers and steering committee members and Roundtable conveners.
- Each Section and Roundtable will be supplied with an announcement (or broadcast) list. Section chairs and Roundtable conveners will be eligible to post to the list, and members will be subscribed automatically.
- To reduce administrative tracking by the SAA office, authorized posters to the Section announcement lists will be a subset of those authorized as part of the SAA Leader List (“saaleaderlist”).
- Each Section and Roundtable will be supplied with an electronic discussion list. SAA members will be allowed to subscribe voluntarily to two Section discussion lists and an unlimited number of Roundtable lists as a member benefit.
- Each Section will be supplied with a leaders’ discussion list upon request.
- SAA headquarters staff 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, headquarters staff will report annually on the number of electronic list subscribers, including those subscribers to Roundtable lists who are not members of SAA.
Approved by the SAA Council: June 1995
Revised: March 2007
Annual Taping 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:
- Session Attendance: The higher the projected attendance, the
more likely the session content will be in demand and therefore taped.
Anticipated attendance is measured through the annual meeting attendance
sheets located in the annual meeting program. These projections are
returned with registration fees and give an estimated count of a session's
expected attendance.
- Session Topic: The broader the topic appeal the more likely
it contains widespread appeal and therefore will be taped.
- Special Session: The presentation by a prominent speaker and/or
of a special topic.
- Presenter Permission: All presenters submit a signed consent
form when granting permission for their session to be taped. SAA must
have explicit permission from all presenters before a session can be
taped.
Approved by Council: June 14, 1996
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 at least
ninety (90) days prior to the June Council meeting where the budget
for the following fiscal year is approved. 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 Solicitation/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, 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, and other activity is available only through prior approval
of the SAA Executive Committee.
Approved by Council: June 14, 1996
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.
SAA Policy on Unit Directories
The SAA office will host and maintain membership lists for Sections and Roundtables. Section membership is included in SAA’s online membership directory.
Approved by the SAA Council: August 31, 1996
Revised: March 2007
Guidelines for the Society of American Archivists Websites
Overview
The explosive growth of electronic publishing on the web presents SAA with the opportunity to better serve our members and to communicate with and support our organizational units. SAA establishes these guidelines for websites as a means to encourage their development for disseminating and sharing resources throughout the Society. These guidelines apply both to the central or main website maintained by the Chicago office, and to sites maintained by SAA’s operational units (Sections and Roundtables). The guidelines are intended to strengthen the Society’s identity on the Internet and to ensure the most effective use of the sites.
Definitions
SAA website: The collection of web pages sponsored and maintained by the Society of American Archivists and its subsidiary units.
SAA main website: The central location for the collection of web documents maintained by the SAA offices and resident on its web server(s).
SAA home page: The entry point to the SAA website. The URL (uniform resource locator) of the SAA home page is www.archivists.org.
Guidelines
A. General Guidelines
The SAA home page and subsidiary SAA unit websites are an official publication of the Society of American Archivists.
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.
B. SAA Home Page (www.archivists.org)
All documents placed on the SAA home page must have prior approval from the executive director. All submissions and/or suggestions for additions to the SAA website shall be forwarded for consideration to the executive director or the executive director's designated staff representative.
The executive director or designee is responsible for the overall design, coding, formatting, and maintenance of the contents of the SAA home page. The executive director or designee should follow an appropriate style manual, such as that developed by the Yale Center for Advanced Instructional Media (http://info.med.yale.edu/
computing/
web/publish/).
Links should be made from the SAA home page to SAA organizational units, to other professional associations of archivists or allied professions, and to the local hosts of upcoming SAA Annual Meetings. 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 SAA student chapter websites.
C. SAA Organizational Unit Websites
SAA organizational units, including both Sections and Roundtables, may create their own websites provided that they follow all SAA policies, register these publications with the SAA office, use the uniform SAA logo, and establish links to the SAA website. Organizational units are encouraged, however, to work with the SAA staff to develop websites hosted by SAA servers in order to maintain an official SAA record.
SAA staff will maintain on the Society’s main website (www.archivists.org) broad information on the goals, leadership, and activities of SAA’s organizational units. Unit leaders are responsible for updating information maintained on the main SAA website (www.archivists.org). SAA will offer to host individual Section and Roundtable websites, the content and design of which shall be the responsibility of these units. Sections and Roundtables may create websites and additional electronic lists on file servers that are not owned by SAA, provided that they follow all SAA policies, register these publications with the SAA office, use the uniform SAA logo, and establish links to the SAA website.
Section and Roundtable leaders should be aware that data maintained outside of the SAA servers cannot be easily archived or validated.
We also encourage SAA organizational units to establish websites for publications whenever such publications enhance a unit’s ability to meet organizational and professional objectives. In order for an SAA unit to mount a website, it must first be registered with the Executive Office. Such registration will be dependent on:
- The unit’s articulation of a clear statement of purpose for the website that is directly germane to the responsibilities and concerns of that unit;
- The unit’s obtaining space on an Internet-linked computer, or the SAA web server, to host its website;
- The unit’s agreement to include and regularly display an appropriate disclaimer provided by SAA regarding the responsibilities of SAA and other sponsoring institutions or organizations for the opinions and views expressed in the documents displayed on the website.
- The unit’s naming a member of the unit as a web liaison and that individual's willingness to conduct responsibilities appropriate to that role;
- The unit’s agreement to follow an appropriate style manual for design of its site;
- A statement on the page that references to commercial interests (such as vendor listings or advertisements) does not imply any endorsement by SAA; and
- A statement on the page that SAA does not assume liability or responsibility for the conduct, content, or currency of any site linked or pointed to from the SAA website.
Once a unit’s website has been registered with the Executive Office, its purpose and address will be published in Archival Outlook, and a link to the site will be made from the SAA home page. Subsidiary governing units of the Society will have primary creative control over the design and content of their websites regardless of where they are hosted, provided that no unit website may conflict with the SAA main website or with SAA policies and practices relating to publication, privacy and confidentiality, and ethical conduct.
We strongly encourage units without the capacity to mount their own websites to submit items for inclusion on the SAA home page, subject to editorial policy.
Adopted by the SAA Council: June 8, 1997; Revised: March 2007
Guidelines for the Manager of the Archives and Archivists Electronic
List
I. Function and Significance
The Archives & Archivists Electronic List was adopted by the Society
in 1998 to disseminate information and news and allow for free discussion
of issues of interest to the archival community. The Society maintains
its guardianship of the list as a service to the profession; it does
not direct nor is it responsible for the content of discussion to the
list except in insuring that discussion is relevant to archival issues.
Participation is open and unlimited. The list is operated by a List
Manager at a host institution that provides computer services to run
the list.
II. Number and Length of Appointments
The List Manager is appointed for a one-year term. The appointment
can be renewed indefinitely.
III. Qualifications
The List Manager must have the technical ability to manage an electronic
mailing list. The List Manager must have access to resources at her/his
host institution, and that institution must allow or agree to hosting
a professional-oriented electronic mailing list.
IV. Duties
The List Manager operates the Archives & Archivists Mailing List
by ensuring its continuous operation, by resolving subscription problems,
and by ensuring that discussion remains relevant to archival issues.
The List Manager works with her/his host institution to establish the
list and its log files, to ensure its continuous operation, to ensure
maintenance of back up files, and to transfer the list to another host
institution when needed. The List Manager maintains log files and ensures
that they are backed up. The List Manager maintains a List Web site
at the server used by the SAA Headquarters or the Host Institution's
server.
V. Reporting Procedures
The List Manager reports to Council when needed. The List Manager submits
a written request to Council before the June Council meeting if any
expenses are anticipated. The List Manager contacts the Executive Director
immediately if any problems occur that might affect service of the list.
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