The University Archives seeks and accepts transfer of ownership to and provides secure storage for inactive departmental or office records with permanent historical value. It also seeks professional and personal manuscripts of academic and administrative staff and the records of student and faculty organizations. Historical collections and manuscripts accessioned may include memorabilia, records, printed documents, photographic images, maps, graphic materials, and other historically significant materials in other physical forms. All records transferred or donated must be officially accessioned as part of the Archives holdings.
Transferring to the Archives those University departmental or office records that have been appraised and found worthy of archival preservation benefits both the University community and the creating office. Accepting donations also benefits the university community. All these materials aid in documenting the organizational history of the University and of the University System; the Archives provides better access and reference service to these materials; and departments regain valuable office space once used for record storage. Accessioning of the records transferred to the Archives provides a permanent record of the provenance of materials within the Archives holdings, and documents the transfer of physical and legal custody of records from the creating office or the donor to the University Archives.
This policy applies to all University Archives staff and student workers.
4-1. The University Archivist is responsible for establishing and upholding the Archives transfer, donation and accessioning procedures.
4-2. The University Archivist and staff are responsible for appraising any donated materials and records that have exceeded their scheduled retention period or those records that do not have a Retention Disposition. If the records warrant permanent retention, the University Archivist and staff will assist the creating office in completing the Form UM 34A, Transfer of Records to Archives Form, and in arranging for proper storage boxes and labels.
4-3. The University Archives staff and student workers (under staff direction) are responsible for accessioning newly transferred or accepted materials into the Archives holdings.
4-4. The Archives staff will use and complete an MU Archives Accessioning Checklist Form for each new accession to track and document the complex institutional accession procedure.
4-5. The University Archives staff and student workers are responsible for keeping the University Records Management Database up to date by providing Records Management Department staff with accession and collection numbers for collections stored at the Records Center.
4-6. The Reference Archivist is responsible for creating a security copy by periodically photocopying the Accession Register.
4-7. The Archives staff and student workers will arrange for storage of the transferred or donated materials either in the Lewis and Clark storage facilities or the University Records Center, and will record the storage locations in all of the following that apply: the shelf list register, the Transfer of Records to Archives Notebook, the Kardex file, and the Archives Web page.
5-1. Accessioning Checklist - a form used to track and document the complex accession process that is utilized in the University Archives. Each accession is tracked and recorded on one checklist form.
5-2. Accession Number - a unique number assigned to each group of received records. The number begins with the letter A, followed by the last two numerals of the current year, a hyphen, and the next number in sequence from that year's list of accession numbers. The number is usually set within parentheses, e.g., (A98-14).
5-3. Accession Register - the record book which contains a chronological listing of all materials entering the Archives system.
5-4. Accessioning - the process of making a brief, but permanent, record of materials entering the Archives system. The process includes giving the collection of materials a unique identification number and recording the date of arrival into the system, the donor, and a brief description of the material.
5-5. Box List - a finding aid that describes the size and the contents of each box or container in a very generalized way.
5-6. Certificate of Disposition - a form generated by the Records Management Department and sent to originating departments notifying them that listed records at the Records Center have reached their scheduled retention period and are now eligible for destruction or transfer to the campus archives. After departmental approval, copies of the forms listing records that have an archival disposition statement are then sent to the University Archives.
5-7. Shelf List Register - the register that indicates where each record collection is stored within the Archives facility at Lewis and Clark Halls. It is divided into 3 sections: Vault B3A, the single yellow cabinets (numbered 100 to 133), and the double yellow cabinets (numbered 134 to 143).
5-8. UMUW Form 106 - University Archives Control Card, used in the Kardex File system.
5-9. Transfer of Records - the conversion of legal and physical custody of records from University departments, offices, or other entities to the University Archives.
5-10. Transfer of Records to Archives Notebook - A series of notebooks kept in the file cabinet in 723 Lewis Hall that contain both UM Form 34A, Transfer of Records to Archives, and Certificates of Disposition. The notebooks contain the supporting documentation for the Accession Register.
5-11. UM Form 34A - Transfer of Records to Archives Form. The UM 34A is a blue, three part, landscape form obtained from the Records Management Department.
6-1. When a department or office has records it wishes to transfer to the University Archives, the University Archivist or Archives staff will assist the department in identifying those records of permanent historical value and in arranging for the physical and custodial transfer of the records.
6-2. Transferring. Two methods are used to transfer departmental or office records to the University Archives: (1) periodic transfer of departmental or office records housed at the Records Center to Archives custody and (2) physical transfer of records from the originating department or office directly to Archives custody
6-2-1. In August of 2000, the box transmittal number recorded on the Records Center box label and Transfer of Records to Archives Form UM 34A was changed from a sequential numbering system to use of the accession number. The former system was similar to the accession number, also beginning with an "A" and using the last two digits of the current year, but the remaining numbers ran sequentially throughout the year. As of August 2000, the box transmittal number is comprised of the accession number and individual boxes are differentiated by the additional notation of "Box 1," "Box 2," etc.
6-2-2. Automatic transfers are conducted according to records disposition schedules and a quarterly review of records by Archives staff (see Policy # 3, Quarterly Review of Records). Records transferred from departmental custody to the Archives through the Records Center are documented by the Records Management Department's Certificate of Disposition Form. See examples of a University Records Retention Schedule and a Certificate of Disposition at the end of this policy statement.
6-2-3. When departments/offices have physical custody of records they wish to transfer to the Archives, copies of Form UM 34A should be provided, as well as assistance in properly completing them. The department/office should be instructed to notify the Archives when the materials are ready for transfer to the Archives so that pickup and delivery of the materials by Archives staff or by the Records Center van (usually the latter) can be arranged (see Policy #11, Records Center Procedures). The materials and completed Form 34A are delivered to the Archives in Lewis Hall facility for accessioning.
Upon receipt of new records, Archives staff should check the transfer form, UM 34A, for completeness. Department/office name and address, box numbers, description and date of records, contact name, phone number, and the signature of the departmental representative should be present. The records boxes should be briefly examined to ensure that they are labeled and described correctly.
6-2-4. In rare instances when transferred record volumes are very large or backlog problems present space concerns in the Archives, records may be sent directly from the creating office to the Records Center without first being delivered to the Archives. In these cases, UM 34A accompanies the records to the Records Center, and a copy of the form with the location numbers is sent back to the Archives. Location numbers are then noted on the collection's Control Card and on the Web summary. The pickup of these materials from offices and delivery to the Records Center for storage is still coordinated and arranged by the University Archives.
6-3. Accessioning. All records and materials transferred to the University Archives, whether by Records Center transfer or by office transfer, must be recorded in the Accession Register and assigned an accession number.
6-3-1. Each accession entry should include the newly appointed accession number; the date of accessioning; the C or UW designation; an I, S, or A designation to indicate if the finding aid prepared for the collection is an inventory, summary, or the new collection is an addition to an existing collection; the name of the originating department/office or the name of the private donor; a brief description of the items received; the size of the collection in cubic feet; the date of the records; and the classification number assigned to the records. (See Policy #4, Classification of Records)
6-3-2. The accession number and classification number assigned to the collection, as well as the date of accessioning, are added to the upper right-hand portion of the transfer form, UM-34A or the Certificate of Disposition.
6-4. Checklist. All records and materials transferred or donated to the University Archives must have an Accessioning Checklist form which will accompany the materials throughout the accessioning process.
6-5. Kardex Control Cards. A card should be made for the Kardex file for all newly accessioned records. Cards should include as much information from form UM 34A as possible, including accession number and date, collection number, department of origin, volume and description of the material, and storage location. In cases where very little descriptive information has been entered on the transfer form, it may be necessary to briefly examine the box contents to obtain information for a description. (See Policy #6, Description of Archival Records, Section 6-2, for more information on Kardex control cards)
6-6. Records Storage.
6-6-1. Storage at Lewis and Clark. For record storage in the Lewis and Clark storage facility, refer to the Shelf List Register to locate available storage space for the collection. If the collection contains more than one box or item, try to arrange for the boxes or items to be located in close proximity to each other. Records and legal documents of the administration of the University and other records of great historical or legal significance as well as very small collections of memorabilia, personal papers, and odd or oversized records are normally located in Vault B3A. The shelf list is arranged to show the contents of each shelf of each of the hallway cabinets and each shelf of each bay or cabinet within the vaults. A small box in the corner of each shelf description block indicates how much available space remains on that shelf. When a shelf location has been decided upon, pencil in the collection number of the box, the box or item size (1 c.f., 1/3 c.f., 1/6 c.f., or oversized and item number (box 1, pkg. 2)) in the shelf block and change the number in the small box to indicate the remaining space on the shelf.
6-6-1-1. When the items have been correctly placed in their storage space, pencil in the locations on the collection's Control Card for the Kardex file. If the location is in a yellow cabinet, a simple notation of the cabinet and shelf number will suffice, i.e., 114, 4. If the location is in one of the vaults, indicate the vault number, the cabinet, bay, cubby, or pallet within the vault, and the shelf number of the cabinet or bay, e.g., B3A, B4, 2.
6-6-1-2. When records stay at the Lewis and Clark location, one copy of the form UM 34A is placed in the Transfer of Records to Archives Notebook in the second drawer of the filing cabinet in Room 725 and one copy is returned to the originating office.
6-6-1-3. When a small number of items are sent to the Archives as a donation and retained in the Archives, rarely is it deemed necessary to complete a transfer form, UM 34A. The donor's letter accompanying the items, noting the donation and the donor, and the signed donation form is placed in the Donor Correspondence File and the materials are accessioned in the same manner as other collections.
6-6-2. Storage at Records Center
6-6-2-1. Each container description noted on the UM-34A form needs to have the Collection Number and the Accession Number written on each line where the description of a separate box begins. This may be added to a form already prepared by a department by typing the numbers above the Box Number and Record Description Location lines for each new box. This notation is added for each new box on the UM-34A, so that the information gets entered into the Records Management Division's database for each box transferred to the Records Center for storage.
6-6-2-2. The last page (copy 3 of 3) of the transfer form, UM-34A, should be placed in the front of the Current Transfer of Records to Archives Notebook. The first two copies of the form UM 34A are then placed with the boxes that have been sealed with tape and deposited next to the door in 723 for pickup by the Records Center. (See Policy #11, UM-System Records Center Procedures, for instructions on notifying the Records Center about new boxes for pickup and storage)
6-6-2-3. When the Records Center has found storage locations for the boxes, they will return a copy of the transfer form to the Archives with the location number of each box written on the form. These location numbers must be recorded on the control card and on the Web finding aid. After the location numbers have been recorded, this copy of the transfer form is filed in the Transfer of Records to Archives Notebook, replacing the previously retained copy of the form, which is then returned by campus mail to the originating unit (this 3rd copy does not include the final location codes).
6-7. Web Finding Aid. All new collections accessioned by the Archives must have a presence on the Archives Web site. (See Policy #6, Description of Archival Records, and Policy #8, Archival Finding Aids, for more information on the creation of archival finding aids)
6-8. Paper Finding Aids. After the Kardex Control Card has been completed a box list should be created. This list includes the classification number and titles for the classification, the dates of the collection, and the number of boxes or packages and their size. Across from each box or package should be entered a brief description of what each contains, such as the number of file folders in each, or other suitable description. The purpose of a box list is to provide some rudimentary information about how materials are divided between boxes. This container information allows the archivist to select and call back from the Records Center the most likely box(s) of material for research when a collection has not been processed or inventoried.
6-9. Accession Register Security. A photocopy of the Accession Register is made periodically by the Reference Archivist. A security photocopy of the Accession Register is maintained in Vault B-23.
6-10. Records Center Location Translation. The Records Center's previous numbering system utilized an A as a prefix to the location numbers. Most of the Archives records have been updated to the new system, although occasionally a number from the old system will surface and translation is required. More often, University departmental records will reflect the old system, and they too need to be updated in order to be accessed. A notebook labeled Records Center Location Numbers Conversion is located in the second drawer of the file cabinet located in 725 Lewis Hall. This notebook lists the old A number, the corresponding new location number, and a description of the box it has been assigned to. Translation is a quick and easy process.
Return to the Table of Contents
7. APPENDICES:
7-1. University Records Retention Guide.
7-2. University Certificate of Disposition form completed.
7-3. University Transfer of Records To Archives, Form UM 34A, completed.
7-4. MU Archives Box List.
(Revised: 31 July 2002)
Copyright © Curators of the University of Missouri 1997-2005
Published by: University Archives muarchives.missouri.edu/
URL: http://muarchives.missouri.edu/man-p2.html
