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.
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 formal retention disposition. If the records warrant permanent retention, the University Archivist and staff will assist the creating office in transferring those records to the Archives, using appropriate storage boxes and labels.
4-3. The University Archives staff is responsible for accessioning newly transferred or accepted materials into the Archives holdings.
4-4. The University Archives staff and student workers are responsible for keeping the University Records Management database up to date by providing Records Management information on each transfer form, including accession and collection numbers for those collections stored at the Records Center.
4-5. The Archives staff and student workers will arrange for storage of the transferred or donated materials either in Ellis Library, the University of Missouri Library Depository, or the University Records Center, and will record the storage locations in all of the following that apply: the shelf list register, the Archives web site, and either the paper or electronic Kardex-type files.
5-1. 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).
5-2. Accession Register - the record book or electronic file which contains a chronological listing of all materials entering the Archives system.
5-3. 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 office of origin or donor, and a brief description of the material.
5-4. Box List - a finding aid that describes the size and the contents of each box or container in a very generalized way.
5-5. 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. [No longer used for new accessions.] After departmental approval, copies of the forms listing records that have an archival disposition statement are then sent to the University Archives.
5-6. Shelf List Register - the register that indicates where each record collection is stored within the Archives facility Ellis Library.
5-7. UMUW Form 106 - University Archives Control Card, used in the Kardex File system. [No longer used for new accessions.]
5-8. Transfer of Records - the conversion of legal and physical custody of records from University departments, offices, or other entities to the University Archives.
5-9. Transfer of Records to Archives Forms - Collected in C:20/6/5 and consisting of both UM Form 34A, Transfer of Records to Archives, and Certificates of Disposition.
5-10. UM Form 34A - Transfer of Records to Archives Form. The UM 34A was a blue, three part, landscape form obtained from the Records Management Department. [No longer in used for new accessions and has been superceded by a Archives-specific electronic UM34 form]
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. As of 2018, the UM34A form shifted to an electronic format and submission process to Records Management for adding to boxes to Records Center storage.
6-2-2. Automatic transfers are conducted according to records disposition schedules and an annual review of records by Archives staff (see the Annual Review of Records policy). For many years, records transferred from departmental custody to the Archives through the Records Center were documented by a paper 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.
Though the form has been retained, it is now in electronic format only.6-2-3. When departments/offices have physical custody of records they wish to transfer to the Archives, a record of the transfer should be documented by correspondence or, if requested by an originating office, with a Form UM 34A . 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 can be arranged (see the UM-System Records Center Procedures policy). The materials and any completed Form 34A are delivered to the Archives for accessioning.
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 S or A designation to indicate if the finding aid prepared for the collection is a 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 the Classification of Records policy)
6-4. Kardex Control Cards. An electronic Kardex Card should be made for all newly accessioned records. Cards should include as much information about the records as possible, including accession number and date, collection number, department of origin, volume and description of the material, and storage location. It may be necessary to briefly examine the box contents to obtain information for a description. (See the Description of Archival Records policy, Section 6-1, for more information on Kardex control cards)
For additions to existing collections, the Kardex Card (either electronic or paper) should be updated to reflect the new accession.6-5. Records Storage.
6-5-1. Storage in Ellis Library. For record storage in Ellis Library, refer to the electronic 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. The shelf list is arranged to show the contents of each shelf of each shelving unit. When a shelf location has been decided upon, enter 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 register.
6-5-1-1. When the items have been correctly placed in their storage space, add the locations on the collection's Kardex card.
6-5-1-2. 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. The donor's correspondence accompanying the items and the signed donation form, if completed, are placed in the Donor Correspondence File and the materials are accessioned in the same manner as other collections.
6-5-2. Storage at Records Center
6-5-2-1. Each container description noted on the electronic UM-34 form needs to have the Collection Number and the Accession Number written on each line where the description of a separate box begins. This notation is added for each new box on the UM-34, so that the information gets entered into the Records Management Division's database for each box transferred to the Records Center for storage.
6-5-2-2. The Archives' copy of the transfer form, UM-34, should be filed on the appropriate Archives' server or current electronic storage system.
6-5-2-3. 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 new location number. These location numbers must be recorded on the Kardex card and on the Web finding aid. After the location numbers have been recorded, this the transfer form is to be filed on the appropriate Archives' server or current electronic storage option.
6-6. Web Finding Aid. All new collections accessioned by the Archives must have a presence on the Archives web site. (See the Description of Archival Records and Archival Finding Aids policies, for more information on the creation of archival finding aids)
6-7. Finding Aids. Box content lists should be generated for each new accession, excepting collection where documents can easily be enumerated in the web finding aid descriptions or they make up a simple records series. Box lists should be linked electronically to the Series descriptions on the web finding aid.
6-8. Records Center Location Translation. [Obsolete, of historical interest only.] The LeMone Boulevard Records Center's original 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 administrative office of the Archives. 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.
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Revised: April 2024
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