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.

7.1  Controls

All possible steps should be taken to ensure that records within a storage area or facility can be easily located, and accessed by authorised clients. Decisions regarding the location of the facility, its design and location controls adopted should all be made with accessibility in mind. Documentation should also be of sufficient quality to facilitate quick retrieval.

Physical location

The frequency and urgency of retrievals should be considered when choosing the site of a records storage area or records facility. See Section 4 Location of storage areas and facilities for other considerations.

In semi-active storage environments, large quantities of boxed records are stored in large shelving and compactus configurations. Due to the size of such facilities, planning the location of high usage records is very important to ensure that there is quick and easy access to those records with the highest retrieval rates (i.e. retrieved frequently or with a quick turnaround time required).

Sometimes semi-active records are stored on pallets and wrapped in plastic as part of the process of re-locating records from one storage area to another. It is not acceptable for records to be stored for lengthy periods of time in a ‘palletised’ way as it can have detrimental effects on the containers used to store the records (boxes on the lower levels levels can collapse and be damaged under the weight of the boxes of records stored on top of them). It also restricts the accessibility to the records. In some instances, it may also be considered a workplace health and safety issue.

Storage location controls

All records need to be registered and controlled in a system which allows the records to be identified and linked to a physical location in a storage area or facility. This information assists the organisation in identifying and retrieving records easily, and identifying where records should be returned to after use. Standards for documentation and location control should be implemented. Each records storage area should have a system of location control that includes the following components:

• each container has a unique identifier and is labelled
• all shelving and other storage equipment (e.g. plan cabinets) should be clearly and uniquely identified and labelled
• the shelf location of all boxes of records should be identified in the organisation recordkeeping system and on consignment documentation for the transfer of records to storage
• a separate location index (what records [container number] are stored in which location [shelf/bay number] in the storage area) should be maintained, and
• all location documentation should be kept up to date.

This information will facilitate the rapid location of records and their retrieval. If records cannot be located in the storage area, every effort made to locate them.

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.

7.2  Handling records

Records of all formats will be damaged if they are not handled correctly. The retrieval of records from storage areas or facilities should be subject to controls in order to prevent damage, deterioration, or dissociation.

Organisations should promote to all staff and users the correct handling and use of records to minimise damage and ensure their preservation for as long as they are required.

Policy and procedures for handling records should include the following:

• basic rules such as no food or beverages to be stored or consumed near records and no smoking in storage areas or facilities.
• ensuring that records in transit are transported in enclosed and lockable vehicles, and loaded/unloaded in covered areas under supervision. Records should be secured and protected at all times against weather, light, pollution, unauthorised access, theft and other dangers.  
• procedures for handling particular formats of records. For example, when handling large volumes such as registers, the spine of the volume must be supported. (See Handle with care for more information).
• procedures for handling records with security classifications or containing sensitive information 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 organisation for temporary access, (e.g. records may need to be presented in court, or used on building sites by construction engineers), then the public office should inform the temporary custodian of their responsibilities for records protection and security (Section 11 of the State Records Act requires this). For example, organisations can send an information sheet, similar to that reproduced at Appendix A, with the records.

If any damage is done to the records while they are with the temporary custodian, the public office should be informed and take appropriate action. When the records are delivered back to the public office they should always be inspected before being returned to the storage area.

7.3  Handling long term temporary records or State archives

Records of long term value, including those records identified as State archives in retention and disposal authorities, need to be handled with great care to ensure that they survive for as long as they are needed. Precautions that should be taken include:

• organisational policy for the access and use of long term or archival value records which requires such records to be used in an area designated for research, supervised by staff, and correct handling techniques enforced
• organisational policy that a copy is issued for reference purposes rather than the original
• procedures for all users on the handling of long term records and archives, and
• requiring all users to provide written agreement to the handling and preservation requirements for long term and archival value records.

Handling and preservation requirements for users of long term temporary records and those records identified as State archives should include:

• only pencils can be used around long term or archival value records
• pages should not be bend or folded
• pages should be turned carefully to avoid tears
• pages should not be written on, leaned on, or traced from
• misfiled documents should not be rearranged by clients (misfiled pages should be brought to the attention of records staff)
• damaged documents should not be repaired by clients (damaged pages should be brought to the attention of records staff)
• copies of long term or archival value records should only be made by records staff, and
• staff retain the right to refuse to issue or photocopy fragile documents.

When retrieving records that have been stored in cooler environments, they must be acclimatised before use. For example, photographs taken from a storage environment of <5°C should be slowly accustomed, over a number of hours, to the temperature of the research area to prevent condensation and stress to the record.

See Appendix B for an example of access rules.

In developing the storage plan, the organisation will have identified records which are of long term or archival value in order to store these records appropriately. It is also advisable for the organisation to review the usage of these records and if necessary, take steps to ensure that the records are not being damaged by high rates of usage.

7.4  Conversion of long term temporary records or State archives

The public office should review the use long term temporary records or those identified as State archives, 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. When digitising or converting long term temporary records or State archives, public offices must ensure that the processes undertaken do not damage the original records:

• records are handled carefully in the conversion process (e.g. if volumes are to be scanned, the original should not be damaged by poor handling or pressure exerted on the spine)
• records are transported carefully to and from service providers undertaking the consersion work, and
• not damaged in the conversion process or returned to storage in the incorrect order, as this may create problems and compromise their ability to function as evidence, especially for records of high risk or high value that are being retained after digitisation

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.

7.5  Keeping records about records identification and control

It is important to keep records about records identification and control. Examples of the types of documentation the organisation may have are:

• a storage plan which includes information on the physical and intellectual control of records in storage
• documentation on the systems, standards, and metadata used for the physical and intellectual control of records in storage area/facilities
• information in the recordkeeping system on where records are located and tracks movement of records
• documentation of records stored with commercial service providers including information on the location and movement of records, and appropriate metadata about the records and containers
• procedures which include information on the identification, retrieval, tracking of movement, handling, safe transport of records, and return of records to storage
• inspections logs/ documentation that records and State archives are being retrieved from storage and handled correctly
• documentation on digitisation processes, and
• documentation of notification to NSW State Archives and Records and agreement of proposed digitisation of long term temporary records or State archives.