Module 3 Safe custody and proper preservation of recordsSeptember 2012
Explanation
This module assesses whether physical (hard copy) records are stored appropriately and with adequate protection measures. All organisations should ensure that the storage of records is efficient and cost-effective.
For the assessment of the control, custody and management of longer term records (those records will long retention periods (30 years or more) or records which have been identified as State archives), please see Module 6.
Authority
Section 11 (1) of the State Records Act 1998 requires that all public offices ‘ensure the safe custody and proper preservation of the State records’ it controls. To assist public offices with these obligations, State Records has issued the following standards, procedures and guidance:
- Standard on the physical storage of State records (No. 11)
- Standard on counter disaster strategies for records and recordkeeping systems (No. 6)
We recommend consulting these resources before commencing your assessment.
Making your assessment
This module assesses:
- the maturity of conformity with requirements, and
- performance above minimum requirements.
You will need to assess the organisation against each criteria and determine whether your organisation has met the criteria. We have provided information about the type of evidence that you would require in order to demonstrate conformity.
Included in the module are performance criteria. These appear in the shaded boxes. Performance criteria establish if the organisation has achieved a higher degree of maturity and capability in the topic by working beyond the minimum compliance requirements set in records management standards and the State Records Act 1998.
When undertaking the assessment, if your organisation cannot demonstrate evidence of achievement of a performance criteria, this should not be considered a failure of conformity with the State Records Act. However, your organisation should consider implementing activities which will enable it to perform at the higher level and to achieve the business benefits that accompany good performance.
Compliance rating
To assist you in determining how well your organisation is conforming with requirements, we recommend that you rate your organisation’s compliance.
In each section you will need to rate your organisation according to the following scale:
Full / high compliance
Moderate compliance / minor issues
Low / insufficient compliance
Significant lack of compliance
Determining which of the above ratings you should use will be based upon the following:
Full / high compliance =you have ticked ‘Yes’ for all boxes for the section
Moderate compliance / minor issues= you have ticked ‘Yes’ to at least half the boxes for the section
Low / insufficient compliance =you have ticked ‘Yes’ to less than half of the boxes for the section
Significant lack of compliance = you haven’t ticked ‘Yes’ to any boxes in the section or only ticked ‘Yes’ to one or two boxes for the section
If you rate your organisation as having Low / insufficient compliance or Significant lack of compliance in any sections of the questionnaire, then this will indicate areas where your organisation needs to, as a priority, put more effort into meeting the requirements of the State Records Act and the associated standards.
What to do with your assessment?
Once you have completed your assessment using the questionnaire you should:
- evaluate the results
- identify which areas need improvement
- examine resources (see list below) for suggestions on how to improve
- prioritise improvements and incorporate them into your organisation’s planning processes, and
- prepare a report for senior management on your findings.
Remember to keep a record your assessment!
You do not need to forward copies of your assessments to State Records. However it is possible that State Records or other organisations interested in good records management may ask in the future to see documentation of your monitoring activities and any corrective actions undertaken as a result.
Resources for this module
State Records has produced a wide range of materials to assist public offices build their records management framework. These resources are available from
Counter disaster
Counter disaster strategies for records and recordkeeping systems (Guideline 5), 2002.
Storage
Solutions for storage: Guidelines on the physical storage of State records (Guideline 11), revised 2012.
Handle with care (Recordkeeping in Brief 14), 2012.
Outsourcing records storage (Recordkeeping in Brief 31), 2004.
Records in transit(Recordkeeping in Brief 15), 2012.
Introducing the revised Standard on the physical storage of State records (Recordkeeping in Brief 60), 2012.
Storage of State records with service providers outside NSW (Recordkeeping in Brief 54), 2009.
State Records Authority of New South Wales1
Module 3 Safe custody and proper preservation of recordsSeptember 2012
Risks to records and records storage locationsCriteria / Evidence / Your assessment / Comments & actions to be taken
1 / Are risks to recordsand records storage locationsidentified?
Source: Counter disaster standard, compliance requirement 1.1; Storage standard, compliance requirement 2.1 /
- Risk assessment undertaken to identify and mitigate possible risks to records and records storage locations (facilities and/or storage areas). This assessment may be included in the organisation’s risk register or business continuity risk assessment processes.
- Organisational risk management plan or management framework includes risks affecting records and records storage locations (facilities and/or storage areas).
- Register of risks to records and records storage location (facilities and/or storage areas).
2 / Are treatments undertaken to modify and minimise risk to records and records storage locations?
Source: Counter disaster standard, compliance requirement 1.1 /
- Treatment plans for minimising risk are established. This may be included in risk mitigation plans or the organisational risk management/mitigation plan.
- Treatment plans are implemented, with regular reports on implementation
Using your responses to questions 1 - 2 how would you rate your organisation’s compliance for managing risks to records and records storage locations?
Full / high compliance
Moderate compliance / minor issues
Low / insufficient compliance
Significant lack of compliance
Performance criteria
The following question does not have compliance ratings as it is designed to assess whether your organisation has achieved a greater level of maturity and capability with the management of risk.
3 / Are risk registers and treatment plans reviewed and updated?
Source: Performance /
- A regular review cycle of risk assessment is implemented to confirm the management of risks, updating of treatment plans, and to ensure new risks are identified.
Counter disaster planning
4 / Has the organisation established a framework for responding to disasters affecting records and records storage locations?
Source: State Records Act, s.11(1); Counter disaster standard, compliance requirement 2.1; Storage standard, compliance requirement 2.6 /
- Responsibility is assigned within the organisation for counter disaster measures which include all records and records storage locations.
- Nominated senior officer for records management or other appropriate officer has overall responsibility for counter disaster operations affecting records and records storage locations. (Organisations with multiple locations will need to assign responsibilities at each location to relevant staff.)
- Relevant staff are aware of their counter disaster responsibilities.
- Contracts for the storage of records offsite include responsibilities for the protection and recovery of records in the event of a disaster.
5 / Has the organisation implemented the counter disaster plan?
Source: Counter disaster standard, compliance requirement 2.1; Storage standard, compliance requirement 2.6 /
- Counter disaster plans for records and all records storage locations (facilities and/or storage areas) have been developed (may be included in the organisation’s business continuity plan) and include disaster prevention, disaster response and recovery and vital records protection and salvage.
- Counter disaster plan has been communicated to relevant staff.
- Relevant staff are aware of the counter disaster plan and their role in the protection and recovery of records.
6 / Is the counter disaster plan regularly reviewed and updated to reflect organisational changes?
Source: Counter disaster standard, compliance requirement 2.2; Storage standard, compliance requirement 2.6 /
- Regular review cycle and updating of counter disaster plan for records and records storage locations.
Using your responses to questions 4-6, how would you rate your organisation’s compliance for planning and implementing counter disaster measures?
Full/high compliance
Moderate compliance / minor issues
Low / insufficient compliance
Significant lack of compliance
Performance criteria
The following question does not have compliance ratings as it is designed to assess whether your organisation has achieved a greater level of maturity and capability with counter disaster planning.
7 / Does the organisation have access to skilled staff to salvage records affected by disaster?
Source: Performance /
- Appropriate staff have received specialised training in salvaging records affected by disaster.
- Arrangements have been made to access specialist knowledge and skills in the event of a disaster.
Vital records
8 / Have vital records been identified?
Source: Counter disaster standard, compliance requirements 3.1 - 3.2 /
- A register or listing of vital records is maintained.
- A listing of vital records with high priority for recovery/salvage efforts and appropriate recovery and restoration procedures, is included in the counter disaster plan.
9 / Are vital records protected?
Source: Counter disaster standard, compliance requirements 3.2 – 3.3 /
- Protective measures for vital records have been assessed and undertaken as appropriate (eg. duplication and dispersal of records, ‘clean desk policy’ for critical functions of the organisation).
10 / Is the listing of vital records regularly reviewed and updated?
Source: Counter disaster standard, compliance requirement 3.3 /
- There is a regular review cycle and updating of the listing of vital records.
Using your responses to questions 8-10, how would you rate your organisation’s compliance for identifying and protecting vital records?
Full/high compliance
Moderate compliance / minor issues
Low / insufficient compliance
Significant lack of compliance
Physical storage of records
11 / Have all records storage areas and facilities been authorised for use?
Source: Storage standard, compliance requirement 1.1 /
- The Nominated Senior Officer or appropriate organisational representative has authorised each records storage area or facilities for use and this is documented. This includes:
- semi active storage areas within office accommodation
- offsite storage, and
- any commercial storage arrangements or leased premises arrangements.
12 / Are all storage areas and facilities suitable for the storage of records and they are assessed as being compliant with the Storage standard?
Source: Storage standard, compliance requirements 1.2, 1.3, 2.2 – 2.4, 2.7, 5.1 /
- All storage areas and facilities are assessed to determine their suitability and conformity with requirements in the Standard on the physical storage of State records. This includes
- semi active storage areas within office accommodation
- offsite storage, and
- any commercial storage or leased premises arrangements.
- Buildings are weatherproof and have good drainage.
- Storage areas and facilities have appropriate and comprehensive fire detection and protection systems and equipment, in compliance with the Building Code of Australia and Australian Standards.
- All storage locations are regularly inspected to ensure their continuing suitability and conformity with requirements in the Standard on the physical storage of State records. This includes
- semi active storage areas within office accommodation
- offsite storage, and
- any commercial storage or leased premises arrangements.
- Storage areas and facilities are maintained as part of the organisation’s building maintenance program.
- Storage facilities built since 2011 comply with the Building Code of Australia and associated codes at time of construction.
Not applicable
13 / Are records storage facilities dedicated to the storage of records or records/library materials?
Source: Storage standard, compliance requirement 2.5 /
- Storage areas and facilities are regularly checked to ensure that no inappropriate or hazardous substances are stored in the storage space for records.
14 / Are records stored in appropriate environmental conditions?
Source: Storage standard, compliance requirements 3.1 - 3.8 /
- Environmental conditions in records storage areas and facilities are suitable for the types of records stored in the storage facility and will assist their preservation.
- Temperature and humidity levels in storage areas are monitored for stability and action taken to minimise any significant fluctuations.
- Records storage areas exclude direct sunlight.
- Air in the records storage area circulates freely and there is an intake of fresh air.
- Magnetic media is protected from magnetic fields.
- Storage areas and facilities have an integrated pest management system.
15 / Are records stored appropriately in storage areas and facilities?
Source: Storage standard, compliance requirements 4.1, 4.2, 4.3 /
- Shelving,handling equipment, and item containers used in records storage areas are appropriate to the size and format of the record.
- Item containers are clean, in good condition, and appropriate to the format and retention period of the records they hold.
- Records storage facilities, shelving, equipment, and containers meet workplace health and safety requirements.
16 / Is there a program for monitoring records in storage areas?
Source: Storage standard, compliance requirements 5.2 – 5.4 /
- There is a regular program of checking records and containers in storage areas and facilities to identify any signs of pest infestation, mould or other deterioration.
- Mould or pest infestation is treated promptly and appropriately.
- Appropriate conservation action is undertaken as required.
17 / Can records be easily identified, located and retrieved from storage areas and facilities?
Source: Storage standard, compliance requirements 6.1 /
- All records and their locations are identified in the organisation’s recordkeeping system/s or inventories.
- All records can be located and retrieved from storage, and returned to storage using the recordkeeping system/s or inventories.
18 / Are records storage areas and facilities protected from intruders and unauthorised access?
Source: Storage standard, compliance requirement 7.1 – 7.2 /
- Storage areas and facilities are only accessible to those officers who are authorised to access these spaces.
- Access control systems are in place for storage areas and facilities (this may range from locking the records storage area each night through to a computerised access systems.
- Records identified as critical, sensitive or containing in-confidence material are appropriately protected within the records storage area or facility.
Using your responses to questions 11-18, how would you rate your organisation’s compliance for storing State records appropriately?
Full/high compliance
Moderate compliance / minor issues
Low / insufficient compliance
Significant lack of compliance
Performance criteria
The following question does not have compliance ratings as it is designed to assess whether your organisation has achieved a greater level of maturity and capability with the storage of State records.
19 / Has the organisation developed a storage plan?
Source: Performance /
- A plan and forecast of future storage needs is created and maintained, including:
- growth of quantities of records requiring physical storage
- planning and upgrades required to storage areas/facilities, and
- reduction of storage areas/facilities due to better disposal practices and reduced quantities of records.
Preservation, records handling, and copying
20 / Is the physical condition/state of preservation of long term records and State archives monitored?
Source: Storage standard, compliance requirements 3.2 and 5.2 /
- Longer term and archival hardcopy records are stored in environmentally controlled storage facilities which meet the requirements of the Standard on the physical storage of State records.
- The condition of hardcopy records, including records identified as State archives, is monitored and assessed regularly.
- Guidance and procedures are in place for identifying and documenting damaged hardcopy records requiring preservation treatment.
21 / Are policies and procedures for the handling of records implemented and monitored?
Source: Storage standard, compliance requirements 6.2 – 6.4 /
- Guidance and procedures are implemented and monitored for the safe handling, use and transport of records, including long term and archival records.
22 / Are longer term records and State archives maintained in sound condition?
Source: State Records Act; Storage standard, compliance requirement 5.4 /
- Damaged/vulnerable hardcopy records are identified and treated according to current recognised conservation principles.
- State Records NSW is consulted in relation to any conservation work to be undertaken on any records identified as State archives.
23 / Does the organisation convert or digitise paper records?
Source: Storage standard, compliance requirement 6.5 /
- Records should be converted or digitised according to recognised standards and in conformity with the Guidelines on Managing digitisation programs and projects.
- State Records NSW is consulted in relation to any copying or digitising project to be undertaken for records identified as State archives.
Using your responses to questions 20-23, how would you rate your organisation’s compliance for preserving, handling, and copying State records?
Full/high compliance
Moderate compliance / minor issues
Low / insufficient compliance
Significant lack of compliance
State Records Authority of New South Wales1