Introduction

Many New South Wales public offices have accumulations of inactive official records which may include material of archival value. These records are covered by the provisions of the State Records Act 1998, and responsibility for ensuring their preservation and proper management in compliance with the Act usually rests with the agency's records management staff. Agencies also have responsibilities in relation to identifying, documenting and preserving moveable heritage, and heritage officers or consultants undertaking surveys or other heritage-related projects often encounter records in the course of their work.

These notes aim to provide those working in the heritage field with a brief overview of the framework for managing the official archives of New South Wales, covering the role and responsibilities of public offices, and of State Records NSW, the State's records and archives authority. This guidance should help to ensure that projects involving State archives are carried out in the most efficient manner possible, avoiding duplication of effort, and making the best possible use of scarce resources.

What are State archives?

In the course of day to day work, public offices create and receive extensive quantities of official records ('State records'), in traditional and (increasingly) digital formats. State archives consist of the small proportion of State records that have been authorised to be retained as part of the State archives collection. These records document the rights and entitlements of citizens, record the actions of government and form an essential part of the State's cultural heritage.

The State Records Act 1998 provides a comprehensive framework for the proper management of these records, from creation through active use to incorporation into the State archives collection. The Act contains provisions aimed at ensuring that records of archival significance are properly preserved, adequately documented and eventually publicly accessible. For these outcomes to be achieved, public offices and State Records have a number of important, complementary responsibilities and obligations.

State Records' role in managing State archives

State Records is charged with overall 'control' or responsibility for State archives, regardless of format or custody arrangements. This includes managing the transfer process, and ensuring the long-term preservation, management and accessibility of all State archives. For the vast majority of agencies, transfer to State Records' custody will be the most appropriate strategy, but a small number of agencies (such as universities, large cultural institutions and some local councils) may opt for the 'distributed management' model. By agreement with State Records, some agencies with the capacity to operate an archival program that meets State Records' requirements may seek to retain some or all of their archives 'in-house'.

Traditional formats have been the primary focus until recently, but the major shift to digital recordkeeping across government means that developing strategies for preserving digital State archives will become increasingly important.

Documenting the archives and their administrative and functional context is a key responsibility, and heritage officers should note that State Records' online catalogue Archives investigator includes summary administrative histories of NSW public offices.

Managing records while still in use - agencies' responsibilities

Public offices can only manage records of archival value properly if they know which records fall into this category. This requires agencies to undertake a systematic appraisal of their functions and activities, resulting in the preparation of one or more retention and disposal authorities. These authorities identify the functions and activities which create records that need to be preserved as State archives, as well as those that give rise to records of temporary value (which can eventually be destroyed after appropriate periods of time have elapsed).

All public offices are required to have a functional retention and disposal authority by 2010. All records for which an agency is responsible need to be covered, including 'legacy' records that may be inherited as a result of previous administrative changes. This is particularly important, as such records may be less well known or controlled than current or recent records, and may be at greater risk of neglect, damage or loss.

Agencies are responsible for ensuring the 'safe custody and proper preservation' of all records in their control. This involves ensuring that the records are:

• adequately controlled and documented
• safely and securely stored and housed, with adequate fire protection, appropriate environmental conditions and access controls
• handled and transported safely in ways that minimise the risk of damage or loss
• appropriately conserved or copied, where necessary, during the records' active life.

The aim is to ensure that by the time that the records cease to be in regular official use, they are still in a reasonable state of preservation, and able to be transferred to the control of State Records to be managed as State archives.

Records no longer in regular use - planning for archival management

Agencies need to plan for archival management, and implement plans systematically on a program or project basis as appropriate. Key tasks for agencies implementing archival management include:

• identifying archival series using current retention and disposal authorities
• identifying and separating individual records when series include a mixture of archival and non-archival material
• assessing material for any residual conservation issues that may need to be addressed before transfer, including mould, vermin or insect infestation, or any significant damage from excessive handling or inappropriate past repairs
• ensuring that adequate and appropriate descriptive information and lists are prepared and material boxed in accordance with State Records' requirements
• making appropriate decisions about public access in accordance with Part 6 of the Act, for all records being transferred as archives, and other records more than 30 years old.

Agencies are strongly encouraged to contact State Records before taking any action on conservation or documentation/boxing issues, to avoid the possibility of potentially expensive or time-consuming rectification work prior to a transfer being approved.

How we can help

State Records can provide advice and guidance across all major aspects of records and archives management, including management of current/active records, appraisal and disposal, digital recordkeeping, State archives management/transfer and documentation and preservation/conservation and copying.

Published 2008