Transferring Permanent Records to the Archives

General Information

Suppose your office has records that are designated as permanent in the Records Retention Schedule.  What should you do with these records?  The answer -- transfer the records to EKU’s Special Collections and Archives (called the Archives throughout the rest of these instructions).

When should you transfer the records?  The permanent records can be transferred from your office files to the Archives once those records are no longer administratively useful to your office.  As a rule of thumb, records referred to less than once every six (6) months are considered no longer administratively useful. 

What happens to the records in the Archives?  After the records are transferred, the Archives will assume complete physical custody of those records.  The records will be cataloged and maintained under strict security with proper environmental control.  Referencing, retrieval, and copying of these records will be available upon request.  The records will remain permanently within the Archives.

Instructions for Transferring Records

If your records are ready to transfer from your office to the Archives, then follow the instructions presented below.  There are two steps to the process:

1. You need to prepare the records for transfer by putting the records in boxes and then documenting the contents of each box.

2. You need to send a records transmittal form and a list of the contents of the boxes to the Archives.

Preparing the Records for Transfer:  The Boxes

Boxes.  Not any box will do.  You will need to use archive storage boxes designed to hold either letter or legal size records.  Archival storage boxes can be obtained from Central Stores (Catalog # 30-08-03).  One filled archival box equals roughly one-half (1/2) of one file cabinet drawer. 

If the materials do not fit into a letter or legal size box, please call the Archives for advice.  The number is 2-1792.

Next, the records need to be placed in the boxes correctly.

  • Place the records upright in the boxes, one folder behind the other
  • Do not lay the folders flat in the boxes
  • Place the records in the exact order that was maintained in your office (alphabetically, numerically, and so forth).  Tip:  Generally, start with the oldest group of records first.
  • Fill the box completely, but do not overload the box.
  • You can put more than one records retention schedule item or series in a box if space permits.
  • Put the transmitting office (that is, your office) in the upper right hand corner of each box.
  • Number each box consecutively, also placing that information in the upper right hand corner of each box.

Preparing the Records for Transfer:  Documentation of contents

Now that the records are placed in the boxes, you will need to document the contents of each box.

  • Make a list of the contents of each box.  Include in your information the transmitting office, assigned box number, and every individual folder title or record with inclusive dates (earliest to latest dated records in each folder).
  • Make two (2) copies of the list.

Preparing the Records for Transfer:  The Records Transmittal Form

The records are in their boxes and a list of the contents of each box has been prepared.  The next step is to fill out the Records Transmittal Form.  The link to the form is under See Also on the left-hand side of these instructions.  Click on the link for the form.

Follow these steps to fill out the form:

1.  Transmitting Office, Building and Room, Telephone Number.  Fill in your office name, its location (including room number) and your office telephone number.

2.  Transmittal Number & Year.  Record here the number of transmittals sent by your office to the Archives and the calendar year for those transmittals.

3.  Total Boxes. Record the total number of boxes being transferred from your office to the Archives in this shipment.

4.  Box number.  Record the assigned box numbers in numerical order.

5.  Item number as on Schedule (contact the Archives if the item does not appear on the schedule).  Document here the item or series number(s) as the numbers appear on the Records Retention Schedule.  An example would be U0244.  If there is no item number, or if you need further assistance, please contact the Archives (2-1792); the Archives staff will be happy to help you.

6.  Title of Records, exactly as listed on the Retention Schedule.  Record the title(s) corresponding to the item number(s) listed under No. 5.  For example, U0244 is listed under section 5.  For section 6, you would record Ledgers/Journals, which is the title for U0244.

7.  Inclusion Dates of Records on Each Box.  Record here the inclusive dates of the record titles(s) in each box.

8.  Restriction on Records.  If there are no restrictions on the records, check no.  If there are restrictions on any of the records, please attach a memo of justification stating record(s) to be restricted and reason for the retention.

9.  Transmitting Office Representative.  Please have a representative of your office sign this form.  The signature is a requirement.

10.  The last step, archives acknowledgement, will be completed by the Archives staff.

Sending the records transmittal form and a list of the contents of the boxes to the Archives.

1.  Send the Records Transmittal Form and the liast of contents of each box to the Archives for notification of intent to transfer permanent records to the university's archives.

2.  After receiving approval from the Archives to transfer records, the boxes can be moved from your office to the Archives.

Your records about the transferred records

After the Archives has received the records, the transmitting office will receive a copy of the Records Transmittal Form, signed by the Archives, acknowledging receipt of the boxes and assigning the boxes a number representing the location of the records in the Archives. Attach this form to your office’s copy of the list of contents of each box for your future reference.