Risk Management | Requirements for Active Records | Requirements for Inactive Records | Requirements for Archives

3. Overview of Requirements

3.1 Risk Management

The overall framework for this standard is the management of risks to records in storage. These risks include events which may prevent access to records or allow unauthorised access to records, as well as events which may damage or destroy them. These risks should be managed in a way which is consistent with Australian/New Zealand Standard AS/NZS 4360:2004 Risk Management. Risk management will usually involve the following activities:

• Communication and consultation.
• Establishing the context. For records in storage, this will include identification of vital records and determination of retention periods.
• Assessing risks by identifying them, analysing their consequences and likelihood, and evaluating priorities for treatment. Indicative risks have been identified within each requirement.
• Treating or mitigating risks.
• Monitoring and review.

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3.2 Requirements for Active Records

Active records are those records which are required for the day-to-day functioning of an organisation. Storage of these records must take account of the fact that these records are being used and added to regularly, in a variety of working environments.

The requirements which apply to active records are:

• Active records must be identified and controlled, so that they are able to be identified and retrieved easily (see requirements 1, 2,).
• There must be procedures in place for retrieving and handling records (see requirement 3).
• Active records with restricted access must be identified and protected (see requirement 17).
• Active records must be protected from sunlight; and from magnetic fields, if they are recorded on magnetic media (see requirements 22, 23).
• Active records must be protected against disaster (see requirements 13-16).

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3.3 Requirements for Inactive Records

Inactive records are those records which are no longer required for the conduct of business, and therefore, do not need to be kept in work areas. Storage of these records must be appropriate to ensure that the records survive in a useable form.

Requirements which apply to inactive records are:

• Inactive records must be identified and controlled, so that they are able to be identified and retrieved easily (see requirements 1, 2).
• There must be procedures in place for retrieving and handling records, and for returning records to off-site storage (see requirement 3).
• Inactive records with restricted access must be identified and protected (see requirement 17).
• Inactive records must be packaged and shelved appropriately (see requirements 20, 21).
• Inactive records must be appraised to determine their retention periods, and stored in a way which reflects their format and their retention period (see requirements 4, 25).
• Inactive records must be stored in a dedicated storage area. A dedicated storage area is an area designated for storage of records. It may be a free-standing building, a sole-purpose room within a building, or a designated area within a larger storage space (see requirement 5).
• The dedicated storage area for inactive records must allow ongoing access, have adequate drainage, be insulated from the climate outside, and be free of internal hazards. It must be in a building which complies with the building code and has a building maintenance programme (see requirements 5-12).
• The dedicated storage area for inactive records must keep records secure against theft, vandalism, misuse, or inadvertent release (see requirements 17-19).
• The dedicated storage area for inactive records must be clean, and protect the records from light. Records on magnetic media must be protected from magnetic fields (see requirements 22-24).
• Inactive records must be protected against disaster (see requirements 13-16).

3.3.1 Requirements for Inactive Records of Archival Value

Records of archival value are those inactive records which have been appraised and identified as having continuing value. This includes all records which will become public archives and all local authority protected records. Storage of these records must ensure that the records are preserved for future use.

All requirements for inactive records also apply to those of archival value. However, there are some additional requirements which apply to inactive records of archival value. These are:

• Inactive records of archival value must be identified and be stored in conditions which will preserve them. This means they must be stored in conditions where the relative humidity is between 30% and 60%, and the temperature below 25 degrees centigrade. Environmental conditions for these records must be monitored, and records of this monitoring must be kept (see requirements 4, 7, 26, 27, 30).

Note that it is expected that inactive records of archival value will be transferred to an archival repository as soon as is practical.

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3.4 Requirements for Archives

For the purposes of this standard, archives are those records which have been appraised as having continuing value, and have been transferred to an archival repository. Under the Public Records Act 2005, transfer to an archive is generally required when records are 25 years old. Therefore this category includes all records over 25 years old, unless they have been determined not to be of archival value. Storage of these records must focus on preserving the records, particularly by ensuring a stable environment, and on providing archival access.

All requirements in this standard apply to archives. The additional requirements which apply only to archives are:

• Archives must be kept in a stable environment, where the temperature and humidity fluctuate as little as possible (see requirements 28-30).