Archives and Special Collections
Deaccessioning and Disposal Policy
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Return to depositor or donor
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Recording of deaccessioning process
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Future Developments
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Document Control |
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Archives and Special Collections Deaccessioning and Disposal Policy |
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Original Author(s) |
Head of Archives and Special Collections |
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Current Revision Author(s) |
Archives and Special Collections Manager |
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Status |
Approved by Collections and Cultural Affairs Task Group 19 December 2022. |
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Distribution |
BU Digital Services |
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Authority |
Archives and Special Collections |
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Version |
Date |
Author(s) |
Notes on Revisions |
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0.1 |
March 2016 |
Head of Archives and Special Collections |
Approved June 2016 |
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0.2 |
June 2018 |
Archives and Special Collections Manager |
Changed point 4.d. to clarify level of authorisation needed to deaccession |
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0.3 |
June 2019 |
Archives and Special Collections Manager |
Reviewed - no changes made |
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0.4 |
November 2022 |
Archives and Special Collections Manager |
Reviewed – slight change made to wording of point 4 g and addition of point 9 |
Review date : November 2025
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Archival material and printed items are acquired with the intention that they shall be preserved permanently but the Archives and Special Collections reserves the right to retrospectively review its holdings against relevant selection procedures and dispose of any archives not deemed to be worthy of permanent preservation at the time of deposit or later. Such material may be returned to the depositor, transferred elsewhere or destroyed confidentially dependent upon the agreement made at the time of deposit.
The Archives and Special Collections accepts the principle that there should be a strong presumption against the disposal by sale of any documents in their ownership.
The Archives and Special Collections aims to maintain the archival integrity of collections. Where it is considered appropriate to split a collection and transfer part to another repository permission of the depositor will be sought.
Appraisal is the process of determining whether records and other materials have permanent (archival) value.
In the past, collections received by the Archives and Special Collections were not appraised nor accessioned, hence the need for retrospective appraisal or re-appraisal of some collections held by the service.
The current practice is to appraise the content of collections near or on arrival and decide what material is worthy of retention before formally accessioning the collection. See “Accessioning Procedures”.
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Deaccessioning is the formal, documented removal of a collection or item from the accession register or custody of the archive service. It is a rare occurrence within the Archives and Special Collection because of the enduring value of our records, but is sometimes regarded necessary as a result of historical practices within the service.
Financial constraints or the need to save physical space are not the main drivers for deaccessioning and disposal. The Collection Policy is the primary reference point for decision-making.
Deaccessioning is a formal process and will always involve assessment by an archive professional, and will be based upon archival principles.
In making disposal decisions the Archives and Special Collections will consider the following:
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How disposal decisions impact on the reputation of ϲʹ.
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The institution’s responsibilities, e.g. to the institution, to its community.
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All ethical options for disposal
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How to advise the users and stakeholders of the disposal decisions and manage any publicity surrounding this.
The “Terms and Conditions of Deposit” describe our procedures for disposal and should be the primary guide to procedures for enacting disposals. However, many collections, received prior to 2016, lack detailed deposit agreements, and any existing correspondence or paperwork fails to show information of ownership. In such cases, the Archives and Special Collections will act carefully and seek legal advice and refrain from disposal without additional information.
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The Archives and Special Collections seeks to retain items and collections worthy of preservation and does not dispose of items without careful consideration. However, it does not seek to prevent the weeding of collections to remove ephemera or duplicates which are not integral to the collection.
In disposing of archival material the Archives and Special Collections is guided by “Deaccessioning and disposal : guidance for archive services”, 2015 of the National Archives.
Disposal covers a range of disposal destination options, from transfer to return to depositor.
Having reappraised or retrospectively appraised the collection and confirmed whether the collections/item is within our Collection Policy the following procedures will be followed :
a. The donor of the item, or their heirs, should be informed of the disposal prior to its being enacted. Record the steps you have taken in contacting the donor or heirs.
b. Carry out any necessary consultation with user/interest groups and other stakeholders in your community.
c. Contact the funder of any externally funded work on the collection/item, for example cataloguing or conservation. The disposal should be discussed with the funder prior to it being undertaken.
d. Review the deaccessioning and disposal destination decisions and then secure formal authorisation at a senior level (Management Team).
e. Record the disposal decision and destination in the accession records.
f. Complete the deaccessioning/disposal record for the item. At a minimum you should record the reference number, disposal destination, date of disposal, authorising officer. If destroyed you should record how the records were destroyed and by whom.
g. Information of the deaccessioning decision and disposal destination should be made available to researchers on request via means appropriate to your service and the collection/item.
h. As well as changing the archive service catalogue, if the collection is listed on Discovery (The National Archives’ catalogue), Archives Hub, the National Register of Archives for Scotland or similar, then these records should be amended to show the change.
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The Archives and Special Collections is aware that the preferable option for disposal is to transfer the collection to an appropriate archive or museum service. The receiving service may have complementary collections or hold another part of the same collection.
The Archives and Special Collections will provide the receiving service with details of the collection, including copies of the deposit/donation paperwork and any agreement and correspondence.
When the transfer has been approved by the receiving service, where possible, the donor/heirs should be informed of the potential transfer.
Once the transfer has been agreed, a letter of transfer should be sent to the receiving archive service and the necessary paperwork completed.
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Return to depositor or donor
The Archives and Special Collections is aware that the return or archives or printed material to a depositor or donor is the next best option for disposal, following transfer.
In such cases, correspondence sent to the depositor or donor will explain how the reappraisal/retrospective appraisal of the collection/item was carried out, highlight the basis for the decision and how the disposal decision was reached. It is important to ensure that due diligence is exercised and that every reasonable step is taken to trace owners. A record of the steps to contact owner will be made.
The Archives and Special Collections does not consider the sale of archives and special collections as ethical unless it is the decision of the depositor, or the items are classed as ephemera or are duplicates.
The sale of items is only considered if the collection or item does not meet the current collections development policy and it has not been possible to transfer the collection/item to another archive service.
If the sale of items is undertaken, the proceeds should be used to maintain and develop existing collections and services within the archive service. Sale should not be used to meet funding shortfalls in the day to day budget of an archive service.
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Destruction
The Archives and Special Collections is aware that the destruction of archives and special collections is an irreversible act and therefore one which should be considered as a last resort. The destruction of archives should be carried out securely, respecting the needs of the depositor/donor and the requirements of legislation such as the Data Protection Act.
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Recording of deaccessioning process
The Manager and Archivist are responsible for keeping a record of the deaccessioning process.
When material is being destroyed, a Deaccessioning form will be completed which is authorised by the Manager of the A&SC and the Library Collections Manager. These forms are stored on Teams (accessible only to the A&SC staff) and a hard copy is made available in the “Deaccessioning” folder in the office.
When material is being transferred an Exit form and a Deaccessioning form will be completed. These forms are stored on Teams (accessible only to the A&SC staff) and a hard copy is made available in the “Deaccessioning” folder in the office.
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Future developments
The Archives and Special Collections will develop a plan for retrospective appraisal/reappraisal.
The plan will include a review of the uncatalogued material and an examination of the material to determine whether it is worthy of permanent retention.
The review should:
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ensure that collections meet with our collecting policy
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ensure that all accessioned material has been properly appraised initially
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reunite collections that may be split with other repositories
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undertake retrospective appraisal on collections/items where evidence of previous appraisal to an approved standard is not apparent
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undertake reappraisal/retrospective appraisal for collections or items which have been previously appraised
The review will require the Archives and Special Collections to develop a knowledge of the material identified for disposal e.g.
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ownership or terms of deposit/donation/purchase
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legislation that applies to the collection/item
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related collections held by the service and others
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accession records and evidence of initial appraisal
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collection descriptions or cataloguing
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funding agreements for any externally funded work on the collection/item, for example cataloguing or conservation
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potential future research needs