Code of Maine Rules
29 - DEPARTMENT OF THE SECRETARY OF STATE
255 - MAINE STATE ARCHIVES
Chapter 1 - STATE AGENCY RECORDS PROGRAMS
Section 255-1-12 - TRANSFER OF RECORDS

Universal Citation: 29 ME Code Rules ยง 255-1-12

Current through 2024-13, March 27, 2024

A. Transfer of State records to the State Records Center

1. The following procedures govern the transfer of State records to the State Records Center. Such procedures are detailed in Chapter 2: State Records Center Facilities and Services.
a. The Records Center will accept for transfer any records offered by State agencies, subject to the following conditions:
(1) The records are not authorized for immediate disposal and transportation costs are not in excess of the resulting savings;

(2) Facilities for storing and providing reference service on the records are available; and a request for a records retention schedule is submitted prior to the proposed transfer.

b. Priority will be given to the removal of records from office space, from space convertible to office use, from leased space, and from filing equipment which can be reused.

c. Transfers may be initiated by either oral or written request to the Maine State Archives. Requests shall specify the nature and quantity of the records proposed for transfer.

d. Transfers shall be accompanied by appropriate records transmittal forms. Records shall be transferred in archival boxes used by the Records Center.

e. The Records Center will furnish agencies with a receipt acknowledging the transfer of records by returning to the transferring agency a signed copy of the form required by subparagraph d of this subsection. The returned copy will serve as a future aid in requesting reference services.

2. Restrictions lawfully imposed on the use of records will be observed and enforced by the State Records Center. Requests for access to state records in the physical custody of the Records Center shall be denied unless the state agency having legal custody of the records provides written authorization.

3. Records of State agencies stored by the State Records Center will be disposed of in accordance with the agency disposition schedule.

B. Transfer of State records to the Maine State Archives

1. Records which are considered of permanent value and which are on an approved records retention schedule, may be directly transferred to the Maine State Archives.

2. Use of records transferred to Archives

Restrictions lawfully imposed on the use of transferred records will be observed and enforced by the Maine State Archives. The rules, insofar as they concern the use of records in the search room of the Maine State Archives, apply to official use of the records by State agencies as well as to the public. Archives may not be borrowed for use outside the Maine State Archives facility, except in accordance with Maine State Archives rules.

3. Ownership of archival records

All archival state records transferred to the custody of the Maine State Archives in accordance with Title 5 M.R.S.A. Chapter 6 become the property of the Maine State Archives.

4. Public inspection of archival records

In accordance with Title 5 M.R.S.A. Chapter 6 §95, any restrictions or limitations imposed by law on the examination and use of records transferred to the archives (being under the authority of the Maine State Archives, not the creating agency), remain in effect until the records have been in existence for 75 years, at which time these records become available for public inspection.

C. Interagency transfer of State records

No records shall be transferred from one agency to the custody of another without the prior written approval of the Maine State Archives except as provided in paragraph 4 of this subsection.

1. The head of an agency may request the transfer of records to or from his agency. Approval shall be requested by letter addressed to the Maine State Archives, in which are included:
a. A concise description of the records to be transferred, including the volume in cubic feet.

b. A statement of the restrictions imposed on the use of records.

c. A statement of the number of reference requests per month made on the records, with information as to the agencies and persons using the records and the purpose of such use.

d. A statement of the number of persons, if any, assigned to the administration of the records.

e. A statement of the current and proposed physical and organizational locations of the records.

f. information as to why the proposed transfer is in the best interests of the Government.

2. Copies of the concurrence or nonconcurrence in the transfer by the heads of any agencies concerned shall be attached to the agency request.

3. Records of agencies whose functions are terminated or are in process of liquidation shall be transferred to the Maine State Archives in accordance with law.

4. Prior written approval of the Maine State Archives is not required:
a. When records are transferred to the Records Centers or the Archives.

b. When records are loaned for official use.

c. When the transfer of records or functions or both is required by statute, or Legislative or Judicial order, or by specific determinations made thereunder.

D. Alternative institutional placement for local government records

1. Records may be deposited and retained with an alternative institution upon approval from the Maine State Archives. The local government agency shall retain legal custody of these records and ensure they are not alienated from the institution except for placement, with approval of the local government agency, in another approved institution or for authorized destruction. The local government agency may regain possession of records deposited in an authorized institution at any time.

Local government agencies shall enter into a written agreement with the institution ensuring that:

a. Issues of custody, regaining possession, security, preservation, and access are clarified;

b. The institution will, if applicable, comply with policies and directives of the local government agency governing confidentiality and preservation of records in accordance with state and federal law;

c. The institution will provide storage facilities capable of preserving records at least as well as those available to the local government agency.

A copy of this agreement shall be sent to the State Archivist for formal approval before any records are deposited at the alternative institution.

2. To become approved, the institution must meet the following criteria:
a. Provide security to prevent the loss of records both in storage and in reference areas. This shall at a minimum include locks on all doors and windows, plus an intruder alarm system, a fire alarm system and fire suppression system. Minimum security shall also include direct supervision of researchers at all times when records are available for access.

b. Provide storage facilities situated in a physically safe location (i.e., not located in a flood plain; not located next to a hazardous chemical storage area; etc.). These facilities should have heating/ventilation/air conditioning capable of maintaining temperatures between 60 and 70 degrees Fahrenheit, and of holding relative humidity to less than 50 percent.

c. Provide reasonable access to the records as required by the Public Records and Proceedings statute (Title 1, Chapter 13). "Reasonable" should at a minimum mean that the facility is open to the public, by regularly scheduled hours or by appointment, at least two days each week throughout the year. There shall be no charge for retrieving or viewing the records, and any charge for obtaining copies shall be limited to the organization's actual cost to produce such copies. However, if the organization's staff is requested to research the records for the requestor the organization may charge any fee that it would normally require for research services.

d. Show evidence of a capacity to care for the records by providing evidence 1) of a mission statement; and 2) that a person who cares for the records has had basic archival training, such as a workshop approved by the Maine State Archives, formal education, or related experience.

e. Maintain a non-profit corporate status.

f. Notify the State Archivist of any changes in its facilities or policies that relate to the standards described in this section.

h. To accept confidential records, the institution also must show evidence that it has staff capable of maintaining confidentiality in accordance with policies of federal, state and local government agencies.

Maine State Archives staff reserves the right to inspect facilities and/or records before approval is granted, with re-inspection possible at any time after approval. Approval may be revoked by the State Archivist at any time, after notice and opportunity to correct, if standards do not continue to be met.

3. An institution must be approved by the State Archivist as a depository for local government records and/or to accept confidential records before a local government agency may deposit its records with the institution. The State Archivist shall maintain a list of approved institutions.

E. Use of commercial records centers for local government agencies

Local government agencies may use commercial records centers to store their closed records. Before any records are transferred, the commercial records center must be approved in writing by the State Archivist. The following criteria must be met:

1. Security must be provided to prevent the loss of records, both in storage areas and during transfer;

2. Fire suppression must be provided;

3. Stored records may be released only to employees of the local government agency (which shall be responsible for making records available to the public);

4. Only bonded employees of the records center may handle boxes or provide retrieval of records;

5. Access to records must be available within one business day;

6. Emergency reference service must be available within 2 hours or less during normal business hours;

7. Records must be stored in a physically safe facility (i.e., not located in a flood plain; not located next to a hazardous chemical storage area).

Commercial records centers used by local government agencies may be subject to inspection by the Maine State Archives. Local government agencies which use commercial records centers must maintain accurate listings of all records stored.

Commercial records centers used by local government agencies shall be liable for damage, destruction or loss of records, whether in storage at the facility or in transit between the facility and the local government agency's offices.

F. Records of deorganized municipalities

Per MRS Title 30-A, §7302. RECORDS SURRENDERED: Whenever any municipality is deorganized, the municipality shall surrender all its records to the State Archivist.

Disclaimer: These regulations may not be the most recent version. Maine may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.