G16: Guide to Best Practise in Physical Storage

 
 

 

_{Version 1.1}

Contents

1. Introduction
2. Why Storage is Important
3. Getting Started
4. Getting Control over your Records
5. Getting Resources to Improve Storage
6. Planning Projects to Improve Storage
7. Shelving and Packaging
8. Environmental Control
9. Security
10. Handling Records
11. Disaster Protection
12. Managing Risk to Records in Storage
13. Ongoing Monitoring and Maintenance of Records and Facilities
14. Contacts and Further Advice
 
Appendix A -Template for a Business Case to Improve Storage
Appendix B -Template for a Disaster Recovery Plan
 

1. Introduction

Purpose

This guide provides best practice advice on improving the storage of physical records. It supports Archives New Zealand’s mandatory S2: Storage Standard, by providing more detailed advice about the storage of physical records and archives.

The Guide to Best Practice in Physical Storage will:

• help organisations improve the storage of their physical records and archives
• enable prioritising and planning for appropriate storage of physical records in a way that reflects their business, cultural and/or archival value
• ensure safe care and custody of physical records for as long as they need to be maintained and preserved.
   

 

Scope

Many aspects of records management impact on storage, for example, classification, indexing, appraisal and disposal. This guide does not cover topics addressed in Archives New Zealand’s existing recordkeeping publications and should be read in conjunction with those publications. For further information see Continuum Recordkeeping Publications.
The guide includes information about the physical storage of digital media, such as, floppy disks, digital tape, CDs, DVDs etc. Storage of the digital objects saved on those media is not covered. Where appropriate, references to further information are provided in Section 14 of the guide.

Definitions

The following terms are used throughout this guide:

Active records: Those records required for the day-to- day functioning of an agency or person. (Also referred to as current records.)

Archives: Those records appraised as having continuing value. Traditionally the term has described records no longer required for current use which have been selected for permanent preservation.

Format: The physical medium in which information is recorded or carried, eg, paper (including files, cards, volumes, maps and plans), photographs (including colour and black and white prints), film (including motion picture, microforms, still photographic negatives and transparencies), magnetic media (including computer disks and tapes, video and audio tapes), optical media (including DVD’s and compact/ mini discs) and artworks on paper.

Inactive records: Those records no longer required for business purposes and which may therefore be transferred to intermediate storage, archival custody or destroyed.

Records of archival value: Those records appraised as having continuing value, but have not yet been transferred to an archive. This includes all records which will become public archives and all local authority protected records.

Storage: The function of storing records for future retrieval and use.

For other definitions, refer to Archives New Zealand’s S2: Storage Standard, or Archives New Zealand’s Glossary of Archives and Recordkeeping Terms
 
Back to top

2. Why Storage is Important

 
Proper storage helps you to manage your records effectively over time. It ensures that records will survive and remain accessible for as long as they are required.
 

The safe care and custody of records from their creation enables the retention of official records which document the actions and decisions of New Zealand’s central and local government. It ensures that those records which are authorised for destruction are managed efficiently, and that records which have significant ongoing value survive, and are preserved as archives.

Records by their nature are unique and irreplaceable. They are important business assets which should be managed carefully.
 
 
Risks of poor storage include:

• being unable to find records when they are required
• records being damaged by poorly designed or maintained facilities
• loss of records in a disaster
• theft or misuse of records which are not stored securely
• gradual damage to records caused by poorly controlled storage conditions, such as, excessive light, dust and dirt, dampness or heat
• substantial costs to repair or reconstruct records which are vital to your business
• potential for damage due to excessive handling.
   

 
Back to top

3. Getting Started

Taking a risk management approach

Storage is essentially about managing risks to records. Your business case for improved storage will stand a better chance of success if you prioritise and direct resources according to the level of risk for the business if those records were lost. The level of risk will depend upon the value of the record to your business.
A record’s value relates to why you created it and what use it is to your organisation, the individuals and groups you interact with, and the wider community. A record might be of value as evidence of a business decision, or provide information about your organisation’s activities. The value of a record may be short or long term, for example administrative records may only be useful to your organisation for a short time, while major strategic records will be of longer term value to you and will also have continuing value outside your organisation.
The benefits of placing a value on the different types of records in your organisation include:
 

• ensuring business critical information is accessible for the conduct of business, dispute resolution, legal challenge or evidential purposes
• meeting legislative and regulatory requirements
• making good business decisions based on accurate information.
   

Ideally, this should be done when the record is created. You can also do this as part of a records survey or when developing a records’ retention and disposal schedule.
 
Information collected about record value enables cost-effective and appropriate decisions about packaging, shelving and storage of records. For example, records that will eventually become archives can be kept in file covers more appropriate for longer term storage, records of short-term value can be stored in a less controlled environment, and vital records can be stored offsite to maximise security.
Active, inactive, and archival records have different storage requirements:
 

• active records are kept in your working environment and are regularly used and added to. For these records, your focus will be on the purchase and location of appropriate storage equipment
• inactive records need to be stored in dedicated storage areas. Projects for inactive records will focus on the selection and management of onsite or offsite storage facilities
• archives, and inactive records known to be of archival value, may require storage conditions that control temperature and humidity levels.
   

All records require procedures for their control, handling and access.
 
Back to top

4. Getting Control over your Records

It is important to get control over your records before planning storage improvements. This means knowing what records you have, where they are stored, which of them are worth keeping, how long you need to keep them, and how to keep them organised. Methods for gaining control over your records are described below.

Basic identification and control of records

Before you can move records from one storage location to another, you need to know at any given time what records you have and where they are normally located. You also need to know other basic details about them, such as whether they are ready to be moved, what type of storage environment they need to be moved to and for how long.
 
To help you control your records, you need:

• a completed records survey so you know what media types you have
• a register, list or index of all your records
• a method of classifying / arranging your records
• a process to record the location of each record, including changes in location
• a process to identify the value of a record and how long it should be kept
• a listing of the formats of records you hold. This will help you to determine the type of storage they require, long term.
   

Systems for capturing all this information about a record range from simple spreadsheets to expensive repository management systems. Whatever system is appropriate for your organisation, it is preferable to capture and manage the information by setting up index fields for each paper file, item or container.
If you are developing or reviewing a classification system for your records, it may be useful to align this with your retention periods and disposal actions for different types of records. This enables you to link the classification with storage and disposal requirements. It is easier to do this when your classification system reflects your organisation’s functions and business activities.
 

Your filing system should include the following information:

• file classification / file name
• opening (and closing) dates for the file
• retention and disposal information
• business group responsible
• usual or home location
• any access / security restrictions (eg, personnel files)
• file movements, particularly into other onsite or offsite storage areas.
   

Conducting a records survey

A records survey is a comprehensive inventory or census of an organisation’s records and records systems. It gives you an objective picture of your organisation’s record collections and their uses, and helps you to assess the overall level of knowledge of records management in your organisation. Conducting a records survey will also assist in assessing the type of formats you hold and therefore the type of storage you will require. 
It should include all the different kinds of records held by the organisation, including:

• paper and electronic files in a filing system
• unfiled papers or working files
• plans
• photographs
• microforms
• magnetic and optical media, eg, CDs, DVDs, videos 

Further information:
 

Reference	Why is this worth Reading?
State Records Authority of New South Wales. (2004). Guideline No. 18: How to take control of your records	Guidelines and practical tips on control of records. Especially useful for small offices
G15: Guide to Completing a Survey of Physical Records, Archives New Zealand (2009)	Practical step by step approach

 

Appraisal and Disposal

Appraisal and Disposal is the process by which you determine which records (or types of records) should be kept, how long you need to keep them, and how they will eventually be disposed of. Most records are not of long-term value and can be destroyed when they are no longer required. Only a very small percentage of the average organisation’s records will be of archival value, and should eventually be transferred to an archival repository, such as Archives New Zealand, or a local authority archive in the case of local authority protected records.
 
Records created throughout the state services and in local government are subject to the appraisal and disposal requirements of the Public Records Act 2005.
 
A records appraisal and disposal programme enables you to identify and destroy records no longer of any value, while focusing your resources on storing those records you need to keep.
 
You should first check to see if you have a valid authority to dispose of your records.

If you are a public office, check the following:

• any disposal authorities created specifically for your organisation. Copies of all current disposal authorities are available online as part of Archives New Zealand’s Archway system
• general disposal authorities covering common records across the state sector, including human resources and personnel, financial and accounting, and administration and corporate services records
• general disposal authorities for specific parts of the state sector, including schools, district health boards and universities.

If you are a local authority, the Local Government Schedule (LG) will apply. This specifies which types of local authority records must be kept permanently.
For records not covered by an existing disposal authority, you should develop a retention and disposal schedule for your organisation or carry out a one-off appraisal. For further information see the Archives New Zealand’s G9: Beginners Guide to Appraisal.
 
 
Back to top

5. Getting Resources to Improve Storage

Even when you have good control over your records and know their value in terms of storage requirements, your project for improved storage may still be competing with other projects for funding, space, staff time and resources. To get money or other resources to improve storage, you may need to persuade people that the improvements add value, mitigate risk and are cost effective.
The people you need to convince may be senior managers, trustees, members of the board of directors, or a grant committee. This can be done through the development of a business case. The purpose of a business case is to convince the audience there is a problem, and that your solution is the best option to solve the problem.
Before writing your business case, find a sponsor for your project
who can help you understand what decision-makers are looking for, and supports what you are trying to achieve. Your audience is unlikely to include experts in records storage needs and requirements.
 
A good business case will:

• be written in clear and simple language, using examples
• clearly define the problem
• examine different options, including using existing resources, or doing nothing
• analyse the costs and benefits of each option
• justify its recommendations using credible facts and figures
• explain how the recommendations support the core business of the organisation.

It is useful to get someone who knows nothing about the topic to review the business case before you submit it to ensure that the document can be understood by non-records management experts.

A template for a business case to improve storage can be found in Appendix A of this guide.

Improvements to an organisation’s records storage will normally be funded internally. However, funding for improving storage of community archives may be available from other sources.
 
Further information:

Reference	Why is this worth Visiting
Lottery Grants Board http://www.communitymatters.govt.nz	The Lottery Grants Board funds projects which conserve and preserve New Zealand’s cultural heritage
The Funding Information Service http://www.fis.org.nz/index.php	This is a central source about funding information
Funding Guide for Community Archives http://www.archives.govt.nz/community-archives-funding-guide	This is a central source about funding information

 
Back to top

6. Planning Projects to Improve Storage

Requirements for accessibility need to be balanced with requirements for preservation and security when planning where records are to be stored. When a new records storage facility is planned, conservation professionals and professional literature should be consulted, and protective measures incorporated into the design.

Active records

Records that are in active use generally need to be stored where they are readily accessible to their creators and users. For this reason they will usually be stored near to work areas. When they are not in active use at an individual’s work space, records in the office should be stored together in a corporate storage area.
For active records storage areas, consider:
 

• How much storage space you will need for your current and future requirements. Records should not be left to pile up on the floor around people’s desks. If you have to combine storage of active and inactive records, you should look at options for dedicated storage areas.
• How close the proposed storage spaces will be to windows or other light sources. Records should be kept away from direct sunlight to minimise fading.
   

Inactive records

Records no longer needed for current work (not being added to) become inactive and are generally moved out of work areas into storage. Inactive records need to be stored in a dedicated storage area which is used only for records. This might be a file room, cupboard, shelf, a records storage building, or a commercial records storage facility.
 
For inactive records storage areas, consider:
 

• the value of the records you will be storing in the area. Records of archival value should be stored in an environment where the temperature and humidity is controlled. Identification of archival records at an early stage may enable you to consider other options, such as storing them separately, or transferring them to an archive
   
• how long you will be storing the records. Records to be kept for a long time should be stored in a dedicated area that complies with the S2: Storage Standard
  
  
• how much access people will need to the records. Relevant issues include ease of location and entry, how long it will take to retrieve records, and whether retrieval will damage the records
   
• the suitability of the building for storing records. It should comply with the New Zealand Building code. The floor should be strong enough to support the weight of the records, and have adequate drainage to prevent flooding
   
• the stability of the storage area environment. It should be insulated from the external climate and should not get unduly hot or cold. The humidity and temperature should be monitored to detect problems. Lighting should be minimal to prevent fading
   
• exposure to internal hazards such as overhead pipes, chemicals or electrical plants
   
• the building maintenance programme. It should include a process for regular cleaning, and detecting and fixing problems including clearing gutters and pest control.

 

Archival records

Records appraised as having continuing value, which will eventually be transferred to an archival repository, need to be stored in a way that will ensure their long-term preservation.
In addition to the above factors you must consider the following for inactive records storage areas:
 

• how temperature and humidity in the storage area will be controlled and monitored. If your storage facility is not suitable, you may want to consider using a commercial storage facility for records of archival value
• transferring the records to an archival repository at the earliest possible stage, especially if your organisation no longer consults with the records frequently.
   

Commercial records storage

If your organisation does not have the facilities or resources for a dedicated storage area, commercial records storage is an option.
Factors to consider when selecting a commercial storage facility include: 

• compliance with the S2: Storage Standard and other appropriate quality standards
• the standard and location of the facility. It may not be purpose-built for storage. If a location is distant from your organisation, this may affect retrieval times and costs
• suitability for storing records in all formats used by your organisation
• records retrieval options and pricing structures
• management options for the stored records. Many providers offer web-based access to order records and manage your holdings.
• If possible, you should inspect the facility before selecting your provider and talk to other agencies who currently use commercial records storage.
   

If possible, you should inspect the facility before selecting your provider and talk to other agencies who currently use commercial records storage.
 
Further information:
 

Reference	Why is this worth Reading?
Australian Archives, Environmental Conditions table, Appendix C	Specific guidelines on storage conditions for different formats.
Australian Standard AS/NZS10151, Records Management Physical Storage	Specific guidelines on storage conditions for different formats.
British Standard, BS 5454:2000 Recommendations for the storage and exhibition of archival documents	Useful recommendations on both the long and short term storage of documents from the British Standards Institute
Guide to the interpretation of BS 5454:2000 Recommendations for the storage and exhibition of archival documents	Delves further into the practicalities of implementing the Standard. Valuable examples of how the standard can be interpreted.

 
Back to top

7. Shelving and Packaging

Suitable shelving and packaging enhance safe access to records, while providing overall support to items and protecting them from damage.

Shelving and other types of storage equipment

All equipment should be suitable for purpose, safe, clean and in good condition. Records may be stored on shelves or racks, or in cabinets or drawers. Other storage equipment may range from stools and ladders to lifting machinery.
Appropriate shelving and equipment should take into account:
 

Appropriate shelving and equipment should take into account: 

• the characteristics of the records, eg, size, format, access restrictions
• how long they will be stored
• prevention of damage to the records
• safe access to the records.

Shelving should be:

• made of durable, non-combustible coated metal. Powder coated or baked enamel shelving should be used for archival records
• wide enough to fully support the records. Large format items, such as maps and plans, of archival value should be stored flat where possible. Some records may need shelf dividers or racks to ensure they are fully supported
• easily adjustable, but held firmly in place
• lockable if storing restricted access records above floor/ground level.
   

The shelving layout should minimise the risk of damage to the records. Air should be circulating around the shelves. The records should be away from floors, external walls, ceiling lights and sprinklers.

When setting up storage areas: 

• allow for sufficient distance of shelving from floor and ceiling
• allow enough aisle space to enable staff to remove and re-shelve records safely. Ideally, there should also be a separate area for processing records in and out of storage
• ensure moveable shelves can be fixed when working inside a row
• ensure staff are able to exit quickly in an emergency.
   

Packaging

As well as grouping records of an activity together, paper file covers also act as protective packaging. Plastic cases protect items such as CDs, DVDs and tapes. Other types of containers for records include boxes, tubes and envelopes.
 
You should select packaging and containers suitable for the different formats of all your records and durable enough to last for as long as you need to keep them.

Early identification of your archival records enables you to determine how much archival quality packaging you will need. Packaging for archival records should protect the records from deterioration over the long term. Archival quality paper or cardboard is acid-free. Plastic packaging for archival records should use inert plastic, ie, plastic that does not give off chemicals.
 
Containers and protective packaging should be:

• the correct size, shape and material for the format of your records and your shelving. Magnetic media need non-magnetised packaging
• durable enough to protect the records for as long as you need to keep them. Boxes should be neither over-full nor under-full, and the lids should shut properly. Consider how much use the records will have over time
• clearly labelled to avoid too much handling of the record itself.
• When boxing records for storage, the same type of records should be boxed together and the box contents clearly listed. This will assist your appraisal and disposal programme.
   

For guidance on boxing and listing records for transfer contact Archives New Zealand at rkadvice@dia.govt.nz.
Further information about shelving and packaging of particular record formats can be obtained by contacting Archives New Zealand’s Government Recordkeeping Programme at rkadvice@dia.govt.nz.
 

Physical storage of digital media

This guide does not provide comprehensive guidance on the storage of born digital records. The preservation of digital records needs to address a range of factors, including maintaining links between the records and their metadata, and migration to new storage media or systems. However, the section below does provide guidance on storage of the physical formats used to store digital records, for example, computer disks, CD’s and DVD’s.
Digital records may be stored using magnetic media or optical disks. Magnetic media is a storage format that records and retrieves information in the form of a magnetic signal. It includes video, audio and computer tape, and floppy and hard disks. Optical disks are a storage format where the information is read optically, by a laser, for example, CDs and DVDs.

Care is needed when storing records in this way, as even a small deterioration in the physical object may result in a significant data loss. Deterioration can be caused through damage to plastic coatings, unplayed or unwound tapes, surface deposit on optical disks, such as, fingerprints, inks, solvents from labels, scratches, dust and unstable environmental conditions, such as, high or fluctuating temperature and humidity levels.
 
Even records of short-term value require careful handling to preserve them. You should label the cases or jackets rather than the object itself. Any cleaning should be done using appropriate materials, such as CD/DVD cleaning detergent.
 
When planning storage options for all records contained in magnetic media or optical disks, you should ensure:

• appropriate shelving, equipment and well-labelled boxes are used
• all items are stored in their protective cases or jackets
• magnetic media are stored away from magnetic fields
• items are stored away from light or heat sources.
   

Records to be kept for a longer period, or archival records should be:

• stored vertically in inert plastic or other archival quality cases or jackets
• stored in an environment that complies with the S2: Storage Standard (if your organisation is subject to the PRA)
• maintained, along with any equipment needed to read or play them. The equipment should be kept clean, dust free and in good condition.
   

 
Further information:
 

Reference	Why is this worth Visiting
The National Archives, UK http://www.nationalarchives.gov.uk/documents/removable- media-care.pdf	Specific information about environmental conditions for storing digital records

 
Back to top

8. Environmental Control

All records should be stored in areas that are cleaned regularly and are not subject to extremes of temperature and humidity. Dirty, dusty records deteriorate more rapidly and deter staff from accessing them.
 
Records of archival value should be stored in a stable, controlled environment to preserve them intact. If the Public Records Act 2005 applies to your organisation and you have records of archival value which are over 25 years old, they need to be stored under the same conditions as an archival repository. Unless your organisation has or plans to have an archive, you should consider commercial storage for these records, or transferring them to Archives New Zealand.

Protecting records from light

Strong light sources, particularly ultraviolet light, will cause records to deteriorate. Try not to leave the lights on for long periods of time.

All records should be:

• kept away from direct sunlight
• kept away from other light or heat sources
• returned to storage areas as soon as you have finished with them.

In dedicated records storage areas:

• minimise lighting and arrange it so that it does not shine directly on to the records
• if you store archival records, consider low ultraviolet or ultraviolet-filtered fluorescent lighting and timer or motion controlled switches.

Keeping things clean

All places where records are stored should be kept free from dirt, dust, food scraps and pests. Ensure your buildings, including storage areas, are cleaned regularly.
In dedicated records storage areas:

• maintain a regular cleaning programme, that includes dusting and vacuuming
• do not eat or drink in the storage area. Food scraps can damage the records and attract pests and this would be a disaster for your records
• ensure there is good air circulation, preferably air conditioning
• if you are storing archival records, check your air conditioning to ensure filtering is adequate to filter out air impurities, particularly if your storage area is near a car park or busy road.
   

Pest management programmes

Rats, mice and silverfish are the biggest pest threat to your records. Other insects not harmful in themselves may attract pests that will cause damage.
To prevent infestations:

• ensure your building maintenance programme is adequate and up-to-date
• monitor the climate of your records storage areas, including temperature and relative humidity levels
• inspect records storage areas regularly, especially possible entry sites for pests
• utilise traps and baits
• review your cleaning procedures regularly
• keep sources of dirt, dust and food away from records storage areas
• Pot plants and flowers should not be situated in records storage areas
• examine records entering and leaving records storage areas
• carry out spot checks on stored records.
   

To treat infestations:

• identify the location, size and scope of the problem using traps and bait stations
• seal infected items and move them to a clean area
• clean and remove all debris from the infected site
• take remedial action, eg, sealing off entry routes, eliminating the cause of the problem
• treat the premises. Depending on the volume of records affected and the type of pest, you may need to use a pest control company
• treat the records. You may need to assess the value of the records in relation to the cost of treatment. A wide range of treatments is available for insect damage, including chemical, temperature and biological treatments.
  

If in doubt about the correct treatment, particularly where archival records are affected, contact Archives New Zealand for advice at rkadvice@dia.govt.nz
 
Further information: 

Reference	Why is this worth Visiting
National Archives of Australia, http://www.naa.gov.au/records-management/agency/secure-and-store/secure/business-continuity/pest-management.aspx	A useful introduction to active intervention and prevention of pests

 

Strategies for controlling temperature and humidity

No records should be stored in areas subject to extremes of temperature and humidity.
 
Inactive records of archival value and archives need to be stored in conditions that do not rise above 25 degrees centigrade. The relative humidity (RH) levels should be between 30 percent and 60 percent. The closer the dedicated storage area is to 30 percent RH the better, as humidity increases the risk of mould growth. To find out if your storage area is meeting best practice temperature and humidity levels you should monitor the temperature over a period of one week.
 
To control variations and extremes in temperature and humidity, you could:
 

• minimise lighting, including covering any windows
• regulate access to your records storage area
• check for specific spikes and decreases in temperature, and identify possible causes for the patterns observed
• remove or mitigate the possible causes, and monitor results
• remember that in a closed environment a decrease in temperature will increase the humidity, and vice-versa.
   

For specific advice about improving your storage area, contact the Government Recordkeeping Programme
 Further information:
 

Reference	Why is this worth Visiting/Reading
Australian Archives, Environmental Conditions table, Appendix C Australian Standard AS 4390.6-1996, Records Management – Storage	Specific guidelines on temperatures and humidity levels
National Preservation Office, The National Library of New Zealand http://www.natlib.govt.nz/about-us/contact-details/national-preservation-office	Direct contact with professionals
Te Papa Tongarewa, http://www.tepapa.govt.nz/ResearchAtTePapa/CollectionCareAndAccess/Pages/Collectioncareandaccess.aspx	Direct contact with professionals

 
Back to top

9. Security

The potential for unauthorised access is a significant risk to records, as it may result in alteration, damage, destruction or theft. Tampering with or loss of records, particularly if they are vital, valuable or sensitive, may affect the ability of your organisation to carry out business activities or meet accountability requirements.
 

Dealing with classified and sensitive records

To identify these records, you must first have a good system of recordkeeping. Refer to Section 4: Getting Control over your Records for advice on how to get control of your records.
 
Records may contain information that is:

• private, e.g. personnel files, patient files, customer files or other records containing personal information
• commercially sensitive, eg, tenders
• politically sensitive, eg, Cabinet papers
• security classified, eg, counter-terrorism plans
• culturally sensitive, eg,. information about wahi tapu sites.
   

Culturally sensitive records require consideration of a range of factors as well as security. These factors include; the type of record, where it has originated from and any associated access conditions. Expectations will differ in each case, so communication with all interested parties is vital to ensure appropriate care is taken. One particular approach may be appropriate for one iwi, hapū or whānau and not for another.
 
It is important to note that this guide draws attention to the considerations needed and is not comprehensive. For further advice please contact Archives New Zealand’s Community Archives/Responsiveness to Māori team at rkadvice@dia.govt.nz.
 
Once you have identified sensitive or classified records:

• assign them an appropriate level of protection. This will inform your requirements for secure storage
• mark or label them accordingly and register them in your filing system.
   

The document Security in the Government Sector (SIGS) defines mandatory measures that give an appropriate level of protection to classified material. The document is available at http://www.security.govt.nz
 

Controlling access to storage areas

All records require a basic level of security to ensure their authenticity and integrity, and to prevent misuse. All staff should be aware of the importance of security and understand security procedures. They should be encouraged to report any security breaches and resulting damage to records and storage areas.
 
In your work environment:

• lock away active records containing sensitive or classified information in cabinets, locked shelving, safes or locked offices and keep a register of keyholders
• consider a clean desk policy for highly sensitive or classified records
• return restricted inactive records to storage areas as soon as you have finished with them
• ensure your organisation’s office access procedures are followed, including those relating to visitors.

In dedicated records storage areas:

• liaise with building administrators to ensure your key, pass or code system is secure and up-to-date
• assign overall responsibility for access to a designated position, preferably your records manager or other person in charge of the records
• ensure access is restricted to authorised staff whose positions require access to the records. In some cases, only records staff should be authorised to issue and return records from storage areas
• supervise external personnel who need access to storage areas, eg, for routine maintenance.
   

Preventing intruders
All records should be protected in a secure physical environment.
On your work premises:

• liaise with building administrators to ensure work areas and records storage areas are intruder resistant
• ensure your organisation’s building access procedures are followed, including those relating to visitors or other external personnel

For dedicated records storage premises:

• consider site visits from the police, security experts and/or your risk assurance staff to assess the premises and the neighbourhood
• ensure the perimeter of a storage building is well lit
• minimise and/or protect entrances to the premises, such as windows, doors, skylights etc. This may include blocking off some entrances and securing others with bars, grills, security doors etc
• install and regularly test a security alarm system, preferably monitored
• consider 24 hour physical or electronic surveillance, such as security guards, patrols or CCTV.

 
Back to top

10. Handling Records

It is important that processes and assigned responsibilities are in place for the retrieving, handling and returning of records to their proper place – whether that is a commercial storage facility or dedicated storage area in the office. This will ensure the current location of records is known at all times.

You should consider:

• the process as a whole. Document every interaction that occurs, from the initial retrieval to the use and returning of the record
• developing a checklist – this can either be electronic or paper based depending on your needs
• developing a central database to keep track of records that have been retrieved (if not using a commercial storage facility)
• clarifying who has the responsibility for ensuring the processes are followed – this needs to be documented and communicated to your organisation
• Training staff to handle records in a way that minimises the potential damage during the retrieval process.
   

Records in transit

Care should be taken when records are in a transitory state, for example, when a record is being transferred from one branch to another. Processes should be developed to ensure there is sign-off before the record leaves one location and arrives at the next. It is important that records are not left on the side of the road awaiting pick-up and someone is monitoring them at all times.
 
Further information:

Reference	Why is this worth Visiting
F24 - Arranging the Transport of Records for Transfer to Archives New Zealand http://archives.govt.nz/arranging-transport-records-transfer-archives-new-zealand	Practical advice on transporting records to Archives New Zealand
National Archives of Australia, http://www.naa.gov.au/services/family-historians/family-archive/photographs.aspx	Practical advice on the storage, transit and protection of photographic records
National Archives of Australia, http://www.naa.gov.au/records-management/secure-and-store/physical-preservation/faq/index.aspx	Detailed advice on protecting and handling different record formats

 
Back to top

11. Disaster Protection

Analysing exposure to hazards

A thorough survey of potential hazards in the vicinity of your organisation’s records should be completed. This could include:

External

• disasters such as floods, earthquakes, landslides, fires, explosions, tsunamis and volcanic eruptions
• surrounding buildings that could emit gases, smoke, dust or chemicals.

Internal

• flammable finishes or furnishings
• damage due to inappropriate handling or packaging
• leaks, spills, insect and rodent infestations
• structural or building failures such as malfunctioning heating or cooling systems, poor wiring, or leaks.

It is important that any work developed is done in tandem with existing organisational risk management documentation. Any potential risks for the storage of your organisation’s records, should be discussed at management level.

Developing a disaster management plan and procedures

In the event of a disaster it is vital to have an organisational-wide disaster management plan. It should include information such as disaster prevention, preparedness, hazard identification, response and recovery. The plan should be updated and tested regularly to ensure relevance.

For an example of a disaster recovery plan see Appendix B of this guide.

Training staff

All staff should be aware of the disaster management plan and the overall principles. Staff who are responsible for records should be trained in emergency procedures to protect and salvage the records. Training should be interactive and involve hands-on simulations of disaster environments.

Archives New Zealand has developed a list of training providers, including organisations that specialise in disaster protection. See Archives New Zealand’s Training Opportunities Directory for further information.
 
Back to top

12. Managing Risk to Records in Storage

Establishing the context

Risk management for records should occur within a wider context. Before identifying or analysing risk it is important to understand the structure and function of your organisation, and how it fits into the political, business, and regulatory environment. This stage should include establishing retention periods for records in storage, and identifying vital records. Risks which threaten vital or archival records will be more significant. 

Decide where to focus resources

The checklist of minimum requirements (Appendix six) in the S2: Storage Standard can be used as a template for a risk strategy. Look at each requirement and determine whether you currently meet it. If you do not meet the requirement, identify the risks associated. Then outline the steps you will need to undertake to achieve compliance and/or the risk mitigation strategies you already have in place to minimise the risks of not meeting the requirement. Risks within the highest chance of occurring should be given the highest priority for mitigation.

Identifying the risks

The objective of this step is to identify all possible risks to records in storage. These may include:

• disasters such as floods, earthquakes, landslides, fires, explosions, tsunamis and volcanic eruptions
• less dramatic incidents such as leaks, spills, insect and rodent infestations; structural or building failures such as malfunctioning heating or cooling systems, poor wiring, or leaks
• loss through vandalism or theft
• close proximity to hazardous business, eg, chemicals
• inability to access because record formats have become technologically obsolescent
• damage due to inappropriate handling or packaging
• gradual damage by water, dampness, mould, direct sunlight, heat,
• harmful dusts or gases; and
• gradual deterioration over time through exposure to light, dust, dirt, and fluctuations of temperature and humidity.
   

Analyse the risks

Once your organisation has identified the risks, it needs to analyse the potential consequences and possibility of the event occurring. Evaluation should cover existing controls. All possible risks must be analysed to provide a comprehensive mitigation strategy.

Treat the risks

 
This step involves developing and implementing strategies to mitigate the risks. Treatment options should be selected by considering costs and benefits, effectiveness, legal, social, political and economic situations. Risks should also be treated as part of a wider organisational approach.
 
Further information:
 
 

Reference	Why is this worth reading
Standards New Zealand. (2004). AS/NZS 4360:2004, Risk Management	Australasian standard on risk management
Standards New Zealand. (2004). SAA/SNZ HB 436:2004, Risk Management Guidelines – Companion to AS/NZS 4360:2004	Practical guidelines to accompany the standard. Includes many useful templates and forms

 
Back to top

13. Ongoing Monitoring and Maintenance of Records and Facilities

Keeping records about storage

It is important to keep full and accurate records about your storage and facilities. They will be useful in identifying trends and areas of concern.

Records that should be kept include:

• building inspection reports and certificates
• temperature and humidity data
• hazard and/or risk registers
• disaster recovery plans
• maintenance records
   

Suggestions for ongoing monitoring

The risk management programme should include monitoring and review. Changing circumstances may alter risks and make control measures less effective. The cycle of risk identification, analysis, and treatment should be repeated on a regular basis.
 
Monitoring activities may include:

•  checking bi-annually new neighbouring businesses that may impact
• auditing space requirements for the future
• future proofing for the different types of media that may come to the storage facility.

  Back to top

14. Contacts and Further Advice

 
For further advice, contact Archives New Zealand:
Phone: 04 499 5595
Email: rkadvice@archives.govt.nz
Website: www.archives.govt.nz
The National Preservation Office, National Library of New Zealand
Phone: 04 474 3066
Email: preservation@natlib.govt.nz
Museum of New Zealand Te Papa Tongarewa, Wellington
Phone: 04 381 7000
Email: mail@tepapa.govt.nz
New Zealand Conservators of Cultural Material (NZCCM)
Email: info@conservators.org.nz
 
Back to top

Appendix A – Template for a Business Case to Improve Storage

Executive summary

Summarise the case. This may be the only part of the proposal that gets read. Make sure it is clear and concise. Explain costs, benefits, strategic alignment, and the risk of not proceeding.

Proposal details

Problem definition
What is the problem? Why are you asking for this now? What risks does the proposal address? What outcomes are you expecting? How will you know that you have achieved them?

Justification for the intervention
Why do we have to do this? What would happen if we did nothing? What are the risks of not going ahead? How does this proposal fit with the organisations other business strategies and plans?

Costs and benefits
Explain what the expected benefits are, how these benefits will be realised and how they can be measured. Refer to Part Two where detailed data and information that supports the expected business benefits is set out.
Set out the detailed costs for the proposal, including expected ongoing costs or impacts on baseline funding. Discuss capital and operating costs. Consider attaching detailed supporting information for your costings.

Detailed approach

Outline your project plan. Depending on the size of the project, this could include governance, resources, scope, methodology, timeframe, procurement strategy, capacity and capability analysis, change management, communications strategies, risk analysis, and procedures for project evaluation.

Part 1: Options considered

Overview
Describe the process used to identify, assess and select a recommended option.
Options considered
Identify all options which are realistic, including doing nothing. Make sure you consider disposal of records as a solution – many organisations store records longer than is actually required. Consider outsourcing storage to commercial providers, and investigate whether it is possible to transfer some records to an archival repository.

Make sure you are clear about the technical and operational details. What is required by legislation, especially the Public Records Act, 2005, Official Information Act, Local Government Official Information and Meetings Act, Privacy Act. Are there any other standards or policies which apply?

For each option:
Explain what is proposed. Clarify your assumptions. What is the proposed timeframe? What are the technical and financial facts? Is the proposed solution dependent on other projects?
Explain what is proposed. Clarify your assumptions. What is the proposed timeframe? What are the technical and financial facts? Is the proposed solution dependent on other projects?
 
Discuss the advantages of the option. Could it save money? Could it improve the quality of goods or services? Could it reduce risk?
 
Discuss the disadvantages and key risks of the option. Include opportunity costs - what else could you do if you don’t do this?
Say why the option was discarded or recommended.
 

Part 2: Business benefit data

Set out the supporting data and information (including benchmark data) that demonstrates how business benefits have been assessed. Where possible quantify the benefits expected, and set out how each benefit will be measured.
 
Back to top

Appendix B – Template for a Disaster Recovery Plan

Reproduced with permission from the Accident Compensation Corporation – Vital Records Protection Recovery Plan 2007

Introduction

The protection and preservation of vital physical records is essential to the maintenance of <insert organisation> core business. The most important step <insert organisation> can take to protect these vital records is to develop a Disaster Recovery Plan. The goal being to prevent the loss of information critical to the continuing operation of the organisation and to enable <insert organisation> to resume operations quickly and efficiently after a disaster.
 

Purpose

The purpose of this Disaster Recovery Plan is to provide a record of what records <insert organisation> considers vital and what protection measures have been put in place to protect those records.
 
The Plan is intended to document:
 

• the responsibilities for managing the plan – implementing, auditing, reviewing and updating
• the responsibilities for managing vital records
• procedures for updating the plan.
   

Definition

Outline key definitions here.

Types of Records

Identify what records fall into the categories below:
 
Records which, if not available during an emergency event would impede essential operations or if not available after an emergency would prevent <insert organisation> providing normal service
Those records which are not irreplaceable but can only be reproduced at considerable expense, time and labour, and which if not replaced would result in <insert organisation> providing a lower level of service

Class	Definition	Examples
Vital records	Leases, outstanding debtors and invoices, core business records, contracts
Important records	Work in progress
Useful records	Records which could help to prevent delay or confusion after a disaster and if lost will cause some inconvenience, but which are not essential to effect reconstruction of business activity and that could be readily replaced	OSH Health and Safety Register
Non-essential records	Records not falling into the other three classes; records which in a retention and disposal schedule are listed for routine destruction	Previous years’ closed financial transactions

 

Responsibilities

 

• Ownership of the overall plan resides with the <insert team>
• Each department of <insert organisation> that has responsibilities for managing records is responsible for ensuring that the appropriate protective measures have been carried out
• Each department of <insert organisation> that manages vital records must notify the <insert team> of any changes to the format, content or storage of vital records
• <Insert team> is responsible for updating, auditing and reviewing the Disaster Recovery Plan

 

Assessing Extent and Nature of Damage

Initial Assessment

 
An accurate assessment of the damage must be made before priorities or recovery operation plans are drawn up. Damage assessment will be made by the Disaster Response Coordinator with the assistance of the Disaster Response Team. The focus of the assessment is on damage to the records. If the damage extends beyond records, eg, building structure, other personnel will become part of the assessment process.
 
Damage to the records should be appraised without handling materials whenever possible as further irreparable damage may occur. During the appraisal, all noticeable damage should be documented. The best way to proceed with the assessment is with pencil and pad in hand, making extensive notes about the damage. Photographs should be taken to document the damage for insurance purposes.
 
 

• How many of the records have been affected?
• Is the damage confined to one area, or is it throughout the building?
• What types of records have been damaged?
• Are they items that can easily be replaced, or are they irreplaceable?
• Use the List of Priority Records to decide where to focus recovery efforts.
• Is it water damage?
• If so, is it clean from plumbing leaks or dirty from floods or from fire fighting?
• Is it damage from fire, from soot and smoke, from heat and humidity, or a combination?

 

Prioritising Records for Salvage

 
Priority for salvage and packing should be given to those records that have information needed to establish or continue operations after a disaster, aid the recovery operations, and assist in fulfilling the requirements of the insurance company in order to file a claim.
If some vital records are damaged but have duplicates, then the complete record may be recreated from the duplicates. Therefore the damaged originals may not be high on the list for priority salvage.
In disasters where only a small amount of material has been affected it is possible to review the material item-by-item for recovery or discarding. Usually there is not enough time to do this during a large salvage operation. Once the material is in a stable condition it can be reviewed at a more leisurely pace. It is much better to have some idea ahead of time which records should be recovered first however. The cost of salvage also has to be factored in to the priority decisions.
Prioritisation should not be by item, but by group of materials, for example by file series, or by record types, or by format (such as maps/plans, photos).
Remove documents that have escaped damage from the current environment and move to a new location. This should be listed. 
List of Suppliers for Disaster Recovery
 

• Cool storage provider (for freezing wet records)
• Transport provider (for transporting packed records to storage)
• Photographic reprocessor (to reprocess wet film material)
• Vacuum freeze drier (to dry wet records)
• Computer repairers (to restore damaged computers and servers, and or copying of information on electronic storage media)
• Suppliers of bulk plastic products – bags, sheets, rolls, etc
• Records storage facility (for short-term storage of undamaged records)
• Conservation services

 
Issued: November 2011
Expiry: November 2014
Version 1.1
Version Note: change to publication title from Guide to Best Practice in Storage to Best Practice in Physical Storage , updated contact details and publication references. Minor changes to text to improve clarity 
 
Back to top