1. Introduction
1.1 Purpose
As the NSW Government rapidly transforms to digital business operations, the challenge for public offices is to manage the legacy of paper and physical records until these older paper records are time-expired and can be destroyed or transferred as State archives.
The purpose of this standard is to establish minimum requirements for the storage of physical State records and to guide decisions for storing records. All public offices should ensure that:
- storage for records is cost-effective and efficient
- all records are secure, protected, and accessible for as long as they are required, to meet business and accountability needs, and that
- all records identified as required as State archives are stored in the best conditions possible.
1.2 Authority
This standard is issued under section 13(1) of the State Records Act 1998 which enables NSW State Archives and Records to ‘approve standards and codes of best practice for records management by public offices.’
1.3 Who should use this standard
This standard applies to all public offices as defined in section 3 of the State Records Act, to which Part 2 of the Act applies.
The standard applies to records created and maintained by contractors and service providers on behalf of public offices in the course of outsourced government business.
The requirements of the standard are applicable to all storage areas and facilities which are controlled and managed by the public office. Public offices engaging commercial storage services should ensure that the storage area/facility and services to be provided under a contractual arrangement meet the requirements of the standard.
1.4 Scope of this standard
This standard covers records in the control of the public office which have a physical format. It covers:
- paper files and documents
- volumes and registers
- maps, plans, charts and drawings
- photographic media including photographic prints and negatives, film, microforms, and x-rays
- magnetic media such as digital tape, video and audio cassettes,
- optical media such as CDs and DVDs, and
- digital records stored on tapes, disks, or portable hard drives.
USB memory sticks should not be used for the short or long term storage of records.
This standard does not cover:
- active records, as these are likely to be created on a digital format and stored in network servers or data centres, or the cloud
- storage of digital records on network servers, in data centres, or in the cloud, or the
- storage of State archives.
Records identified as required as State archives in retention and disposal authorities are to be stored in the best conditions practically possible while the records are still under the control of the public office. This includes records that are subject to still in use determinations under section 28 of the State Records Act 1998. At the very minimum, records required as State archives, should be kept according to the requirements in this standard. The storage of State archives in the custody of a public office or other body under a distributed management agreement, made under section 30 of the Act, is governed by the terms of the agreement rather than this standard.
The standard covers the following:
- short term storage of records (records required to be retained for up to 10 years);
- medium term storage of records (records required to be retained 10-30 years); and
- long term storage of records (records which have long retention periods of more than 30 years) and those that potentially may be required as State archives.
This standard is supported by a range of guidance available from www.records.nsw.gov.au/recordkeeping.
1.5 Background
Section 11 of the State Records Act 1998 requires each public office to ‘…ensure the safe custody and proper preservation of the State’s records that it has control of’.
To assist public offices in understanding and implementing this obligation, NSW State Archives and Records has previously issued Standard on the physical storage of State records (Standard No. 3, 2000) and the Standard on the physical storage of State records (Standard No. 11, 2012). Each standard was accompanied by a range of guidance to assist public offices in implementing the standard. Following consultation with public offices, the 2012 standard has been revised.
1.6 Structure
This standard sets out six principles for managing the storage of semi-active State records. Under each principle there is a brief explanation of the principle, and identified compliance requirements.
1.7 Definitions
For the purposes of this standard the following definitions apply. Terms that have not been referenced are taken from NSW State Archives and Records’ sources. All other sources are provided in brackets after the definition.
Integrated pest management
A program of good housekeeping and cleaning, regular inspections and monitoring for pests. (ed. Jackie Bettington, Kim Eberhard, Rowena Loo, and Clive Smith, Keeping Archives, 3rd edition, Australian Society of Archivists, 2008, p. 86)
Integrated pest management also includes response strategies such as spraying and appropriate treatments.
Records
Record means any document or other source of information compiled, recorded or stored in written form or on film, or by electronic process, or in any other manner or by any other means (State Records Act 1998, Part 1, Preliminary, Section 3(1), Definitions).
Semi-active records
Records required infrequently in the conduct of current business and stored in a secondary storage area or facility.
Senior Responsible Officer (SRO)
The Senior Responsible Officer (SRO) is the individual within the public office who has been delegated strategic and corporate responsibility for records and information management. The SRO is responsible for ensuring that records and information management is in place and operating effectively to support business operations and is usually a senior manager reporting to Chief Executive or to the Chief Information Officer. The role of the SRO is established under the Standard on records management, minimum compliance requirement 1.3.
State record
Any record, made and kept, or received and kept, by any person in the course of the exercise of official functions in a public office, or for any purpose of a public office, or for the use of a public office (State Records Act 1998, s.3(1), Definitions).
Storage area
A room, compactus or space within a storage facility or building whose primary purpose is to store records.
Storage facilities
Any building that houses records, including commercial storage facilities, in-house storage facilities and archival storage facilities.
1.8 Acknowledgements
NSW State Archives and Records acknowledges the use of the National Archives of Australia and the Public Record Office Victoria storage standards and specifications in the development of this standard.
1.9 Further information
For more information on this standard, please contact NSW State Archives and Records.
Back to top2. Principles
Principle 1: Records are stored in appropriate storage areas and facilities and located away from known and unacceptable risk.
Risk assessments should be undertaken of all storage areas and facilities used to store records to identify and mitigate possible risks.
Records should only be stored in storage areas and facilities that are dedicated to the storage of records or library materials.
Records should not be stored in locations that risk exposure to high or fluctuating temperatures or the likelihood of water incursions, such as attics or basements. These areas can only be used for records storage if appropriate measures are undertaken to mitigate risks.
The Senior Responsible Officer for records management (SRO) or delegate, should ensure that all records storage areas and facilities used by the public office, including arrangements with commercial providers, have been inspected to ensure that they are appropriate for the storage of records and approved for use by the public office. Records storage areas and facilities should be regularly inspected to confirm that requirements are being met.
Under section 15 of the State Records Act 1998, NSW State Archives and Records has the authority to inspect storage areas and facilities being used by the public office for the storage of State records.
Location
Records storage areas and facilities should not be located near known natural and man-made hazards such as:
- heavy atmospheric pollution
- hazardous industries
- flood plains, rivers and creeks
- land liable to subsidence
- land liable to flooding in a tsunami event
- strategic installations such as fuel depots or munitions factories, and
- bushfire-prone areas.
If any of these risks are present, they should be included in the public office’s risk register and mitigated through a range of protection measures including the business continuity and counter disaster plans.
Records storage areas within buildings should be isolated from hazards and not co-located with kitchens and toilets, overhead plumbing, drainage pipes, chemical storage areas, flammable materials, electrical plants, machinery or air conditioning units.
Buildings and construction
Buildings chosen as records storage facilities should:
- be suitable and appropriate for the storage of records
- be conveniently located for user needs
- be soundly constructed of appropriate materials so that the records are not in danger of exposure to the elements, including risks of fire or infestation by vermin
- be weatherproof
- have good guttering, drainage and water run-off
- be insulated to assist in controlling temperature and relative humidity in storage areas
- have sufficient floor loading capacity to safely support the weight of fully loaded shelving and racking for the storage of records and any other equipment required in the storage area
- be secure against intruders
- have controlled access, and
- be ’fit for purpose’.
Wherever possible, within the building, walls should divide storage areas from non-storage areas such as work spaces and loading docks. Storage rooms or equipment should be lockable and access controlled. See Principle 6 for further information on security and zones within storage areas/facilities for security classified records.
See Principle 2 for environmental conditions for storage areas and facilities.
New storage facilities built since 2011 to house records, should meet the Building Code of Australia that applied at the time of construction and associated codes and standards.
Storage areas and facilities should have appropriate and comprehensive fire detection and protection systems and equipment.
Counter disaster measures
All records storage areas and facilities, including storage facility and services provided under a commercial contractual arrangement, should have current counter disaster reaction and recovery plans. These plans should be linked to the public office’s business continuity plans. Staff responsible for the management of records in storage areas and facilities should be trained in the counter disaster reaction and recovery plan and procedures for salvaging records.
Records in storage areas and facilities should be insured for recovery and restoration in the event of a disaster. Additionally, the public office should ensure that NSW State Archives and Records is notified if there is damage or loss to records as a result of a natural disaster, storm, flooding, fire, contamination or technology disruption. This official notification should be made as soon as practically possible after the event has occurred.
Minimum compliance requirements |
Examples of how a public office can demonstrate compliance with the requirement |
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1. The location of each records storage area and facility has been subject to risk assessment to identify and mitigate possible risks to records. |
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2. The Senior Responsible Officer or appropriate agency representative has approved all records storage areas and facilities. |
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3. The storage facilities have been assessed as being suitable for the storage of records. |
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4. Records storage facilities built since 2011 are compliant with the Building Code of Australia and associated codes at the time of construction. |
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5. Storage areas and facilities are weatherproof and have good drainage. |
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6. Storage areas and facilities are dedicated to either records or records/library materials storage. |
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7. 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. |
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8. Each storage area and facility has a current disaster reaction and recovery plan which is regularly revised and equipment / supplies to assist in the recovery of records after a disaster. |
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9. Insurance for the recovery and restoration of records in the event of a disaster. |
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Principle 2: Records are stored in environmental conditions appropriate to their format and retention period.
Environmental conditions within storage areas and facilities have a major impact on the preservation or deterioration of physical records and particular formats (e.g. magnetic tape and photographic media). Poor storage and environmental conditions will result in the deterioration of records and their potential loss, or the necessity of undertaking conservation work at considerable cost to the public office.
All records should be sentenced for disposal using the appropriate retention and disposal authorities before the records are transferred to a storage area or facility. Understanding how long a record is required to be kept before it can be disposed of or transferred to NSW State Archives and Records will assist in ensuring that records are stored in the correct type of storage with appropriate environmental storage conditions.
NSW State Archives and Records recognises that many public offices have difficulties in implementing and maintaining appropriate storage environment conditions. We recommend that public offices implement the storage environment conditions and housing requirements as practically and sustainably as possible, and prioritise/implement the best storage environment conditions possible for those long term records and State archives in their control.
Short and medium term records, i.e. records that are only to be retained for 30 years or less, should be stored in good storage conditions until they are authorised for destruction. Conditions for short term records are not as exacting as the conditions for long term records/archival storage. See Table A - Storage environment conditions and housing requirements for short and medium term temporary records.*
Long term records, i.e. records that are retained for 30 years or longer or those records required to be transferred as State archives, should be stored in the best environmental conditions possible. See Table B - Storage environment conditions and housing requirements for long term temporary records and State archives.*
* These requirements are based on temperature and humidity controls defined in international or Australian standards.
Temperature and humidity
The records storage area or facility should provide a stable environment, without major fluctuations in temperature or Relative Humidity. Fluctuations in temperature and Relative Humidity will cause deterioration. Increases in temperature lead to increased rates of change and deterioration, while increased moisture and humidity will lead to the growth of mould in storage areas.
There should be regular monitoring of temperature and humidity levels in storage areas and facilities. Action and mitigation strategies should be taken to address any fluctuations in temperature or humidity levels.
A stable storage environment can be achieved through building design and construction, insulation from the external climate, and a suitable location for the storage area/facility, rather than dependence on air conditioning.
Where possible the storage environment should be based on the requirements of the format of the records. High sensitivity items require more stringent environmental controls and should be separated from other records so that their special requirements can be met in an isolated storage facility, e.g. photographic media (black and white, or colour), magnetic media, optical media and mixed media items, should be stored separate to paper-based records and require more rigorous temperature and humidity controls.
Records identified as long term temporary or as State archives should be removed from short term temporary records storage and placed in environmentally controlled storage and maintained at temperature and humidity levels as described in Table B. Records subject to ‘still in use’ determinations that are of archival value and should be stored according to Table B.
Light
All forms of light can damage records. Reducing exposure to direct sunlight and light in storage areas will minimise damage to records.
Direct sunlight should not enter the storage area and all windows should be heavily screened. Lighting in storage areas and facilities should be movement-activated or time-limited, and have zero or very low UV output.
Records should be stored in boxes or containers to assist in reducing their exposure to light.
Air quality
Records should be stored in a ‘clean air’ environment, with minimal industrial or gaseous contamination. This can be achieved through selection of the location (see Principle 1), the choice of building and shelving materials, and filtration systems to exclude dust, pollen and other pollutants.
Good ventilation within storage areas and facilities is important, with intakes of fresh air. Air circulation prevents ‘pockets’ of stagnate air and assists with maintaining constant temperature and humidity. If air does not circulate naturally, then a ventilation system must be used.
Pest management
Records, particularly paper records, are an attractive food source for a range of insects, rodents and other vermin. There should be an integrated pest management in place for all storage areas and facilities. Integrated pest management is a low-toxicity means to control pests and mould. Storage areas and facilities should be monitored for rats, mice, silverfish, and cockroaches.
Magnetic fields
Magnetic fields can distort the data contained in some record formats, such as analogue disks and tapes. Storage areas should be protected from magnetic fields.
Minimum compliance requirements |
Examples of how a public office can demonstrate compliance with the requirement |
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1. Short term records (to be retained for only 10 years or less) are stored in conditions which ensure preservation until they are no longer required. |
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2. Medium term records (to be retained for 10-30 years) are stored in conditions which ensure preservation until they are no longer required. |
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3. Long term records (to be retained for 30 years or longer) and those identified as State archives are stored in conditions which will ensure their preservation. |
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4. Temperature and humidity levels within storage areas and facilities are monitored for stability and action taken to minimise any significant fluctuations. |
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5. Records are stored away from direct light, including sunlight. |
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6. The air in records storage areas circulates freely and there is an intake of fresh air. |
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7. Magnetic media is protected from magnetic fields. |
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8. Records storage areas and facilities have an integrated pest management system. |
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Principle 3: Shelving, equipment and containers used for storing records are secure, accessible and protected from deterioration
Using appropriate shelving and equipment ensures that records are accessible, secure and protected.
Records storage areas, facilities, shelving, containers and equipment should comply with workplace health and safety requirements.
Shelving and equipment
Shelving, racking, cabinets, other storage devices, and handling equipment should facilitate access to and ensure the survival of records for as long as the records are required. They should be:
- suitable for the type of record stored
- clean
- constructed using powder-coated metal
- in a good state of repair, and
- strong enough to support potential weight of records.
Shelving should be:
- raised off the floor by 85-150mm as a flood/disaster precaution
- lockable if the shelving is required to hold security classified records or records containing sensitive information, and
- configured within the storage area to ensure that ventilation is not restricted.
Magnetic media should only be stored on non-magnetisable shelving.
Containers for records
Containers (i.e. boxes and other types of housings) play a critical role in protecting records from light, dust, fluctuations in temperature and humidity, and unauthorised access.
Containers should be:
- appropriate to the record format and retention
- appropriate for the weight and size of the record
- appropriate for the record’s security classification
- made from durable material capable of sustaining expected use
- in good condition, and
- the correct size and shape for the shelving configuration in use.
All records should be sentenced for disposal using authorised retention and disposal authorities before the records are placed in containers and transferred to storage. Understanding the retention period of the records will assist in determining the appropriate container, wrappings, envelopes, boxes or other enclosures needed to promote the survival of the record for as long as it is required.
Minimum compliance requirements |
Examples of how a public office can demonstrate compliance with the requirement |
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1. Shelving and handling equipment is clean, in good condition and appropriate to the format and security requirements of the records. |
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2.Containers are clean, in good condition, and appropriate for the format, retention and security requirements of the records they hold. |
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3.Records storage facilities, shelving, equipment, and containers meet workplace health and safety requirements. |
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Principle 4: A regular maintenance and monitoring program for records storage areas has been implemented.
Records storage areas and facilities should be regularly monitored and well maintained to ensure that they continue to provide a stable and suitable environment for records. Planned maintenance programs can prevent many storage problems.
Records should also be regularly monitored to identify if any deterioration is occurring which requires conservation treatment.
Maintenance and monitoring programs
Maintenance and monitoring programs for records storage should be included in the public office’s building maintenance program. Maintenance and monitoring programs involve inspecting and mitigating any issues identified with:
- changes in environmental conditions, including light and pollution levels, temperature and humidity
- potential disaster incidents, e.g. following storm events
- presence of mould and/or pest infestation
- building surrounds and fabric
- physical security of buildings, storage areas, and security zones within storage areas
- internal factors, including electrical equipment and pipes, and structures like shelving
- cleanliness of storage areas, and
- fire detection mechanisms such as alarms, sprinkler systems and extinguishers.
Regular monitoring of records storage areas and facilities also ensures that any new risks are identified and managed as part of the risk register for the records storage area or facility.
If the public office uses a commercial facility, arrangements should be made with the storage provider for reports to be provided on inspections of the storage areas and facility housing State records, and advice on any mitigation actions that have been undertaken to address any issues.
Maintenance and monitoring programs for records involves regularly checking a sample of records and containers across the storage facility for:
- mould or pest infestation, and
- signs of deterioration, such as corrosion.
It is very important that boxes, containers etc. are opened and the physical condition of the records checked.
If mould or pest infestation is identified, NSW State Archives and Records must be notified and the problem must be treated promptly. Repairs to records should be undertaken where necessary and, if they are not likely to damage the records further. Repairs to records should only be carried out under the supervision of a Conservator and in consultation with NSW State Archives and Records.
Staff working in storage areas or facilities should receive training in identifying:
- potential risks to records, and
- records which may require conservation treatments.
Minimum compliance requirements |
Examples of how a public office can demonstrate compliance with the requirement |
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1. Records storage areas and facilities are clean and maintained. |
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2. Regular checks of records and containers in the storage facility to identify any signs of pest infestation, mould, or other deterioration. |
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3. Mould or pest infestation is treated promptly and appropriately. |
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Principle 5: Records are controlled in a system so that they can be identified, located and retrieved.
Records need to be sufficiently identified and described so that they can be easily and promptly retrieved from storage when required. Records may be required for business purposes, legal proceedings, official enquiries or public access.
Mechanisms for improving accessibility to records in storage facilities should be balanced with the need to safeguard and protect records against unauthorised access or theft.
Controls
Standards for documentation and location control should be implemented, e.g. labelling of containers, box lists or databases of what records are stored in which container and location, and numbering systems for boxes and shelf locations.
Individual record items and containers of records should be registered into the public office’s recordkeeping systems, and the public office should be able to track the movement and location of all its records, regardless of location, and identify for how long they need to be stored prior to destruction or transfer as archives.
If the public office uses a commercial facility, then the public office should ensure that the storage provider is capturing appropriate metadata about the records and containers in its care. If the storage provider digitises records for transmission/return to the public office (e.g. a ‘digitisation on demand’ service), the public office should ensure that it has established arrangements with the storage provider about the
- capture of accurate metadata into the service provider’s systems, and
- the retention and disposal of the metadata concerning records and containers once the records are no longer in the care or storage of the provider.
Machinery of government changes, or other business transformation models such as outsourcing or privatisation, may result in changes to which public office has control of records located in a storage facility (see sections 6 and 7 of the State Records Act 1998). If a function of public office is no longer undertaken by the public office, then it is important that control and access of these records in storage is addressed as part of the transfer of functions to the public office that now controls the records. Storage providers should also be informed of any changes to the control of records, so that storage costs, decisions about records and access to records can be correctly administered.
Handling records
Records of all formats will be damaged if they are not handled correctly. Retrieving records from storage areas or facilities should be subject to controls in order to prevent damage, deterioration, or dissociation.
Policy and procedures for handling records of all formats should be known and communicated to all staff and users. The procedures should also include guidance on transporting records, to ensure that whenever records are in transit they are secured and protected against the weather, light, pollution, unauthorised access, theft, and other dangers. Records should only be transported in enclosed and lockable vehicles, and loaded and unloaded in covered areas under supervision.
Records with security classifications or containing sensitive information should be handled in accordance with NSW Government requirements and the Australian Government Protective Security Policy Framework.
If records are transferred to the custody of another public office or another organisation for temporary access, the public office should inform the temporary custodian of their responsibilities for protecting and ensuring the security of the records.
Records of long term or archival value
Records of long term or archival value need to be handled with great care, to ensure that they survive for as long as they are needed.
The public office should review the use of such records, and if necessary, take steps to ensure that the records are not damaged by heavy usage. It may be appropriate, after consultation with NSW State Archives and Records, that long term or records identified as State archives are converted to other formats, i.e. digitised.
Records should be digitised or converted in accordance with the requirements of the General retention and disposal authority: Original or source records that have been copied (GA 45).
Remember, originals identified as State archives that were created or received prior to January 1, 1980 are not eligible for destruction after copying under General Retention and Disposal Authority: original or source records that have been copied (GA 45).
If a public office digitises records required as State archives, then once these records have been digitised, arrangements should be made to transfer the original records to the State Archives Collection. Please note that NSW State Archives and Records requires a set of the digital copies of any State archives that have been digitised by a public office.
Minimum compliance requirements |
Examples of how a public office can demonstrate compliance with the requirement |
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1. Records are controlled in a system which allows them to be identified, located, retrieved, and returned to storage after use. |
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2. Procedures for the appropriate handling and use of records are defined and communicated to all users. |
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3. Policies and procedures are implemented to ensure that records of long term value and archives are handled with care. |
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| 4. If a public office choses to convert or digitise records, then records are converted or digitised according to recognised standards. |
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Principle 6: Records are protected against theft, misuse, unauthorised access or modification.
All records in all formats require a basic level of security to prevent misuse and unauthorised access and ensure their authenticity and integrity. Records with security classifications (e.g. protected, secret, top secret), or containing sensitive information, should be handled, protected, stored and disposed of according to NSW Government requirements and the Australian Government Protective Security Policy Framework.
Security measures include:
- access controls on storage areas and facilities to prevent intruders
- use of security zones for the storage of security classified or sensitive information
- restricting access to storage areas and facilities to authorised staff
- staff working in storage areas containing security classified or sensitive information have appropriate security clearances
- storing and protecting records according to NSW Government security requirements for the identification, storage and handling of information and the Australian Government Protective Security Policy Framework
- using secure processes for the disposal of records with security classifications or containing sensitive information according to NSW Government security requirements for the identification, storage and handling of information and the Australian Government Protective Security Policy Framework
- security monitoring of storage areas and facilities whereby access is trackable and auditable, and
- ensuring that records are not left unattended or unsecured when in transit.
Serious breaches (including those that may relate to personal information) should be reported to the Senior Responsible Officer and to the public office’s Chief Information Officer, and assessed to ensure rectification action is taken.
Minimum compliance requirements |
Examples of how a public office can demonstrate compliance with the requirement |
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1. Storage areas and facilities are access controlled, restricted to authorised staff, intruder resistant, and monitored. |
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2. Security classified records are stored in appropriate containers and storage zones within the storage area. |
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3.Records in transit are protected. |
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Table A - Storage environment conditions and housing requirements for short and medium term temporary records (records that are only required to be retained for up to 30 years)
Table B - Storage environment conditions and housing requirements for long term temporary records & State archives
Appendix A - Consolidated list of compliance requirements
Compliance Timetable - Physical Storage
Table of Commentary
Implementing the standard
The Implementation Guide includes detailed explanations for each minimum compliance requirement with a mapping to guidance and training. Please also see the revised Solutions for storage: guidance on storing State records for detailed information on requirements in the new standard.
Published February 2019
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