Why Transfer Records?
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Policy
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Policy on Retention of University Records (32 KB PDF) |
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Posterity
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The work your office does is important. Transferring your
office's records to the Archives ensures that your contributions to CWRU's
development is remembered. Without records from all offices, important information
is lost.
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Practicalities
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You can save physical and digital space by transferring
seldom used records to the Archives.
By transferring the seldom used records, you are no longer responsible for
caring for them and searching them when necessary. The information you need
will always be available; there is even a bonus: by combining the resources
of the many departments that transfer records, a full and accurate research
service can be provided. |
What Records to Transfer?
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The Archives collects the records of University administrative offices,
academic schools and departments. The Archives will not keep every document, photograph, publication, etc. that is created by an office.
Through accessioning and appraisal
decisions we create the leanest documentary record of ÐÓ°ÉÊÓƵ
University.
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Wanted Items
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What the Archives wants from your office or department are the inactive
records which document its purpose and functions. There are two main
types of functions to be documented: core program activities and oversight/coordination
activities.
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Core program activities
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Core program activities include work directly related to the primary
programs and services which are the responsibility of your office.
Examples of core activities are:
- planning a new degree program or a new major
- monitoring compliance with affirmative action guidelines
- evaluating the effectiveness of a staff training program
- contracting for demolition of a building
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Oversight and coordination activities
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Oversight and coordination activities include work necessary to keep
all the separate programs and services working as a coherent whole.
Examples of coordination activities are:
- convening a task force to recommend requirements for a new student
center
- planning and coordinating the University accreditation effort
- reporting progress to supervisors
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Examples of document types produced in the administration of these functions
include:
- contracts
- correspondence (letters, memoranda, e-mail)
- minutes (of faculty, staff, and student groups)
- organizational charts
- photographs of University people, places, events (if identified)
- policies and procedures
- publications, such as annual reports, directories, financial reports,
handbooks, newsletters
- reports
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Unwanted Items
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Routine support activities
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There are some functions which are necessary to support core activities,
but that are not the purpose of your office. These are called routine
support activities (or housekeeping activities).
Examples of routine support activities are:
- purchasing office supplies
- making travel arrangements
- submitting work orders
- replying to routine requests ("Here's a copy of the report you
requested.")
Examples of document types produced in the administration of these functions
include:
- letters of transmittal (cover letters, memoranda, e-mail)
- work orders
- confirmations
- itineraries
- acknowledgments
- monthly budget statements
- reservations
- receipts
- salary distribution reports
Do not send these to the Archives.
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Reference copies
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Your office will also have documents which were not produced by your
office but distributed throughout the University. These are what is known
as reference copies or convenience
copies. We already receive the record
copy from the office of origin.
Examples of these document types include:
- President's Annual Report
- CWRU General Bulletin
- Benelect package
- Annual statement regarding Affirmative Action/Equal Opportunity
Do not send these to the Archives unless you are the office of origin.
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External publications
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You will oftentimes have publications or brochures from institutions
external to the University. They are often kept for reference purposes.
Examples of these document types include:
- annual reports from foundations, such as the Cleveland Foundation
- brochures from civic groups or professional groups, such as the Greater
Cleveland Growth Association and the Society of American Archivists
- IRS codes regarding the tax status of foreign visitors
- reprints or photocopies of journal articles
Do not send these to the Archives.
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Blanks and Objects
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Examples include:
- blank forms
- blank stationery
- blank envelopes
- artifacts (e.g. plaques, mugs, clothing, jewelry)
Do not send these to the Archives.
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Advice
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These guidelines must be administered thoughtfully. What is a routine
support activity in one office might be a core activity in another office.
For example, purchasing procedures are a routine support activity for the History Department; they are a core
activity for Procurement and Distribution Services.
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How to Transfer Records?
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These instructions are for paper records transferred
to the Archives. If your office is considering transferring electronic records,
please contact the Archives.
Your cooperation with these procedures will enable the Archives to preserve
and service your office's records more efficiently. Records improperly
transferred to the Archives will be subject to immediate return at your
office's expense.
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Preparation of folders
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•Records should be in folders with legible labels securely attached
to the folders
•The folder label should reflect the contents of the folder
For example:
You are the department assistant in the President's Office and have
a folder full of president's annual reports; a correct folder label
would be: President's Annual Reports, 1987-1999; an incorrect folder
label would be: Agnar Pytte
•All obsolete folder labels should be removed or scratched out
•Pendaflex folders should not be used; they break open the boxes.
Re-folder the items in manila-type file folders
•Folders should be packed in the order they were kept by your office
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Preparation of boxlist
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•A list of folder titles (called a box
list) should be made for each box and placed in box 1. Do not use Social Security Numbers in this list. You should
keep a copy for your records.
•A digital box list should be prepared and sent, either in the body
of an e-mail message, or as an attachment, to: Archives@case.edu.
If it is sent as an attachment, the document should be a text file (e.g.
ASCII or RTF), Word or Excel; no PDFs
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Preparation of boxes
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•Sturdy boxes with a double-bottom, 12" wide x 15" deep x 10" high, or
smaller, should be used; larger boxes will not fit on our shelves and
present a safety hazard for staff
•Boxes should have lift-off lids, not attached lids. Do not tape
lids to boxes
•If the box lid does not fit properly, you may have to repack some
of the items
For example:
A large binder can be removed and the documents put in a file folder
properly labeled
•Boxes should be labeled on the outside with your name, office
name, and number of boxes
For example:
John Doe, President's Office, 1 of 3
John Doe, President's Office, 2 of 3
John Doe, President's Office, 3 of 3
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Notifications
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•Contact
the University Archives so that we may expect your records
•Contact the University Movers to transport the boxes from your office
to the Archives. The Archives address to be used for the University Movers
is: University Archives, 20 University West, 7229
•If you wish to deliver the boxes yourself, call us to arrange a time
•If you are transferring records from a non-university facility, you
can either deliver the records yourself or send them by a reliable carrier
(e.g. United States Postal Service, United Parcel Service).
| The Archives mailing address is: |
The Archives delivery address is: |
| ÐÓ°ÉÊÓƵ Archives |
ÐÓ°ÉÊÓƵ Archives |
| 20 University West |
20 University West |
| 10900 Euclid Avenue |
11000 Cedar Avenue |
| Cleveland, Ohio 44106-7229 |
Cleveland, Ohio 44106-7229 |
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When to Transfer Records?
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Active Records
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Active records should
not be sent to the University Archives. Records are active when the work
to which they relate is ongoing or when they are frequently consulted for
routine business.
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Inactive Records
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The University Archives only accepts inactive
records. Being inactive does not mean records are useless. It means
that their primary job is finished. Records are considered inactive when:
•The job they were created to do is finished
For example:
The event you organized is over, and all the bills have
been reconciled, and all the acknowledgments have been sent, and all
the follow-ups have been made.
•The process and outcome of the activity the records document are
not likely to be challenged
For example:
The Campaign for CWRU is over, and the books have been audited, and
the campaign has been evaluated.
•They are not needed as an example for a repeating activity
For example:
You work in the Development Office and run the Annual Fund fiscal
year. You use the end of the fiscal year as a cut-off date and transfer
the records 3 years after the close of each Annual Fund year.
As a rule of thumb, if the records have not been referred to in 3 years,
they are inactive.
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| Records can be categorized in several ways. |
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Project Files
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It is important to keep the documentation of a project or
event together. For example, the planning, construction, and occupation
of the Kelvin Smith Library took place over 6 years. You would not pull
out the first 3 years of the project and transfer them. Keep all the records
together until the project is completed and transfer them as a whole.
Another example might be: you work for the University Alumni Affairs Office
and plan Reunion Weekend every year. You may wish to keep the most recent
2 years of reunion records to refer to, but not need anything older. You
find this is true for all the alumni events you plan and coordinate. You
then decide to transfer 3-year old event files annually (e.g. 1999 homecoming,
reunion, and other event files are transferred in 2002; 2000 files are transferred
in 2003, etc.). |
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Case Files
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Case files document a fixed set of transactions executed
across a defined population, generally using standardized forms to conduct
and record those transactions. Each file contains the same kinds of records
that result from the same set of activities. The files are differentiated
from one another by the distinct cases they document. For example, dean's
office student files document the progression of students from the date
they matriculate until their commencement or withdrawal. There is one file
for each student.
Case files should not be transferred until they are at least 5 years past
their close date. For example, dean's office student files for students
who graduated or withdrew in 2002 can be transferred in 2007. |
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Subject Files
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There is no set time period for transferring these type of files. These
are files which are organized by topics, and do not readily fall into
the other categories. They contain documents concerning a wide variety
of functions and activities. (They are also called topical files.) These
activities are often ongoing, i.e. there is no end date.
For example, your office has all documents regarding dormitories and
room and board in a file called "Housing." You put such documents
in here until the folder is full, and then you can label its span dates
(e.g. 1995-2000). You then create a new folder with the same folder title
and consecutive span dates (e.g. Housing, 2001- ) and fill in the end
date when full.
For example:
•Housing, 1995-2000
•Housing, 2001-
Another example might include a heading with folder titles. You administer
in some manner endowed professorships. You have a general folder with
procedural and establishment information which you call "Endowed
Professorships." You then need separate folders for the several chairs
you have.
For example:
•Endowed Professorships, 1979-1990
•Endowed Professorships. Elmer Lincoln Lindseth Professorship,
1982-1987
•Endowed Professorships. Jesse Hauk Shera Assistant Professorship,
1984-1987
•Endowed Professorships. Joseph T. Wearn University Professorship,
1986-1990
When a file is closed (e.g. Housing, 1985-1990), and no longer active,
then it could be transferred.
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Frequency of Transfer
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As with most maintenance activities, transferring records on a regular
schedule can minimize the pain and inconvenience and improve your efficiency.
We recommend reviewing your office's records annually. Some offices incorporate
it as part of end of fiscal year activities and preparation of annual
report.
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Volume
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Do not worry if you only send 1 box a year. Volume does not matter.
In this case, quality of the records is what counts!
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What Happens to the Transferred Records?
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are transferred to the University Archives, they are accessioned. |
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1. We assign an accession number that uniquely identifies
this set of records. |
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2. We compare the contents of the boxes to the box list you
prepared and note corrections if needed. |
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3. We record information about the records, their creators,
and their transfer. |
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4. We send the information recorded in step 3 to you in a
Records Release. |
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5. You sign 1 copy of the Records Release and return it to
the Archives. Keep the other copy with your copy of the box list as a permanent
record of what your office has transferred
to the Archives. |
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6. The records are stored, exactly as received, in a secure,
climate controlled facility, until they are processed. |
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7. In the fullness of time, we process the records you transferred.
Non-permanent documents are removed (duplicates, convenience copies, etc.).
Permanent documents are integrated with other records transferred by your
office. Damaged or deteriorating documents are repaired or copied. Finding
aids are created to simplify retrieval of information and documents. |
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8. We notify you that an accession has been processed and
that the original box list has been superseded. |
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9. We use the information contained in the records to answer
reference requests. |
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Until records are processed, you may request their temporary or permanent
return by contacting the Archives.
Processed records are not loaned. The information is always available,
and copies can be made; but once the item has been deemed of permanent
value, it never circulates again.
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