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)
Appendix A Information Sheet to Accompany Records Out of Custody
This is a sample form that can be used to accompany any record which temporarily leaves the custody of a public office.
Description and record number: (list description of record and identifier eg file ref.)
This record is a State record, as defined by the State Records Act 1998 (NSW). Under s.11 of the Act, (name of public office) is responsible for the 'safe custody and proper preservation' of this record. As a result, while it is temporarily out of our custody we request that all people storing and handling this record conform to the following instructions.
Storage
Please ensure that records are stored in appropriate conditions when they are not in use. The records should be:
- kept in a temperature and humidity controlled environment that is protected from the elements
- protected from sunlight
- secured against theft and unauthorised access
- shelved and packaged in a way that protects the records, and
- kept clean and in a good state of repair.
Handle with care
Please ensure that records are handled in accordance with the 'Handle with Care' leaflet enclosed. The records should only be handled by the person/s with full authorisation from (name of public office).
Damage to the record
Records should not be damaged in your care. If any damage occurs, you must contact the person listed below immediately.
Return of the record
These records are only available to you on a TEMPORARY basis. You must know the location of the records at all times while these records are in your care. The records are to be returned as soon as possible.
Please return to: (authorised officer)
Penalties
Under Part 3 of the State Records Act, neglect of State records is considered a form of unauthorised disposal. There are fines for each instance of such disposal.
Appendix B Example of access rules
This appendix has been designed so that records managers can distribute it to public users where direct access to original hardcopy records is given. It may require some customisation to suit your organisation's policies and practices.
The records of this organisation are State records, as defined by the State Records Act 1998. These records are required by the Act to be kept in safe custody and properly preserved. As a result, we ask that you read, sign and abide by the access rules listed below and the handling procedures outlined in the Handle with Care leaflet.
Access rules
- No food, drink or smoking is allowed.
- No bags will be taken into the research area.
- Except when completing certain designated forms, researchers must use pencils for all writing or note taking in the research area.
- Records will be issued on receipt of a completed request form. Only one document/bundle or reel will be issued at one time.
- Original records that are so fragile or old that handling will damage them, will not be issued. Copies may be issued in their place if copying does not damage the original.
- In cases where a record has been published or copied, the published item or copy will be issued in place of the original.
- No records will be removed from the research area and material issued may not be transferred to another researcher. All records are to be returned to the designated access officer after use.
- Records must be handled with care at all times in accordance with the Handle with Care leaflet.
- If the researcher is authorised to obtain copies of material, copying will be done by the designated access officer.
- A separate written application must be made for permission to display or publish information contained in these records.
- This organisation retains the right to refuse access to records for legitimate reasons such as confidentiality and copyright.
Declaration
Please fill out this declaration in block letters.
I, (name) of (address)
agree to abide by the access rules printed on this sheet. I understand that any infringement of these rules may result in my right to direct access to original records being withdrawn.
Signed:
Date:
Signature of parent or guardian if under 18 years.
Signed:
Date:
Appendix C Commercial storage facilities
1. In house storage or a commercial provider?
Public offices who do not wish to store their own semi-active records may choose to store with commercial storage providers.
Decisions to store with commercial providers should be based upon a sound analysis of the requirements and the costs and the benefits to the organisation.
2. Selecting the right provider
Factors which may influence the selection of a records storage facility include:
- whether it meets the requirements of the Standard on the physical storage of State records
- the type and level of services offered, for example, the immediacy and frequency of retrievals
- systems and procedures, for example methods of delivery
- building maintenance and security
- integrated pest management for the facility
- location
- fire protection measures
- counter disaster planning for the facility
- secure destruction services
- cost, and
- adaptability to the organisation’s needs.
The process of selecting an external storage provider should commence with the formation of a team which may include:
- the Senior Responsible Officer for records management or delegate who will be responsible for inspecting and authorising the records storage facility
- Records Manager
- a representative from the organisation who is experienced in negotiating contracts
- a representative of records users, and
- a financial representative.
The tender documentation should identify all of the services which the contractor will supply and the service standards. Particular decisions which will need to be made at the outset are whether the contractor will assist with:
- identifying materials required for retrieval at the document or file level
- boxing, listing or indexing services
- box/container supply
- transport and delivery of records
- digitisation on demand
- sentencing
- process/inspection facilities onsite
- destruction, and
- the type and frequency of reporting.
These services may substantially add to the costs.
The outcome of the selection process should be based on:
- written submission
- presentation by the facility
- inspection of the provider's premises
- references from other clients, and
- due diligence check.
Simply accepting the lowest quote or price can often be disastrous. Every attempt should be made to identify hidden costs which may include:
- ‘palletising': a charge for removing items from the shelves in preparation for destruction
- high storages fees which apply after a “honeymoon period”. This is where the first one or two years fees may be at an advantageous rate but a higher fee structure applies for successive years of a contract.
- early withdrawal: Some storage firms commit their clients to retaining records for the full period decided when the records are deposited. Therefore, if the disposal period is reduced or the organisation recalls them to the office permanently the original storage rate will be charged
- collection charges: the cost for collection of record transfers
- urgent retrieval surcharges, and
- termination charges: charges for terminating the contract.
3. The contract
Service contracts must state the obligations and responsibilities of the owners and the commercial storage provider. Appendix C of AS/NZS 1015:2011, Records management – physical storage, includes a list of Common Components of Records Storage Services Contract.
There should be a mechanism for continual monitoring of the service and for periodic complete review.
Published 2000 / Revised 2004, 2012, 2015, 2019