The standard is structured around six principles which should be taken into account when storing records and archives. Each principle is followed by a statement of its objective and a list of minimum requirements, together with explanations of why these requirements are considered essential, and examples of the risks they mitigate. The principles are:
Requirement 1:
Records must be identified and registered in a system which controls the records and allows efficient retrieval.
(Applies to all records and archives) |
This is a fundamental requirement which supports many of the other requirements in this standard. If records are not registered in a system such as an inventory or database it will be very difficult to manage them effectively. |
- Unable to retrieve or access records.
- Excessive time to retrieve records.
- Inability to control access.
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Requirement 2:
Records must be arranged in an orderly manner, and well managed so that order
is maintained.
(Applies to all records and archives) |
Records must be arranged in a meaningful sequence, so that they can be located and retrieved when necessary. |
- Excessive time to retrieve records.
- Damage to records from excessive handling.
- Inability to control access.
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Requirement 3:
Procedures must be in place for retrieving, handling and reshelving records, and for returning records to off-site storage.
(Applies to all records and archives)
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Proper handling will minimise damage or loss when items are accessed and returned to storage. Staff should be trained in these procedures and the effectiveness of the procedures should be checked regularly. |
- Damage due to inappropriate handling
or packaging.
- Loss of records. Inability to control access or security.
- Inability to trace lost
or missing records.
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Requirement 4:
Inactive records of archival value must be identified so that they can be stored appropriately.
(Applies to inactive records
and archives) |
Some records, such as public archives or protected records of local authorities, must be preserved for long periods. These records should be identified as early as possible so that they can be managed in a way that will ensure their preservation. |
- Deterioration or loss of high value records over time due to inappropriate storage and environmental conditions.
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Requirement 5:
Records that are not in active use must be stored in a dedicated storage area.
(Applies to inactive records and archives) |
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 are normally stored near to work areas.
Records that are not in active use must be stored in a dedicated storage area which is used only for records. This may be a free-standing building, a sole-purpose room within a building, or a designated area within a larger storage space.
The dedicated nature of the area is more important than its size.
If inactive records are not stored in a dedicated storage area it will be more difficult to maintain suitable fire protection, security, and environmental controls. |
- Higher risk of sensitive records/information being easily accessible if stored in high traffic work areas.
- Inactive records stored in work areas may not be accessible to other users requiring access to these records.
- Theft or vandalism.
- Deterioration from exposure to dust, dirt, sunlight, moisture, extremes of temperature and humidity while in an active work area.
- Damage through inappropriate handling.
- Damage or contamination from non-record material or equipment stored nearby.
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Requirement 6:
Storage areas must allow ongoing access to the records by authorised users.
(Applies to inactive records and archives) |
Records are stored in order to preserve them for future access. Records in storage must therefore continue to be accessible to authorised users, either through the physical location of the storage area or through other means, such as digitisation. |
- Inability to access the information in records.
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Requirement 7:
Records must be stored in locations which reflect the characteristics of their format and their retention period.
(Applies to inactive records and archives) |
Different types of records will require different storage equipment and different environmental conditions. Records which have been determined to be of archival value, such as public archives or local authority protected records should be stored in conditions which will minimise their deterioration over time.
Some record formats – such as colour photographs – are less stable than others, and may require specialised storage. If these records are of archival value, they should be transferred to an archive as soon as possible. |
- Deterioration or loss of records over time due to inappropriate storage and environmental conditions.
- Inability to access records recorded on unstable media because of rapid deterioration.
- Inability to access records because equipment to read data is not available.
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Requirement 8:
The building in which records are stored must comply with the New Zealand Building Code that applied at the time of construction and associated codes and standards, and be appropriate
for use in storing records.
(Applies to inactive records and archives) |
If a building does not comply with the Building Code, it may not be a safe place to store records. Even if a building does comply with the Building Code, it may still be inappropriate for storing records – for instance, if the floor loading is not sufficient to carry densely stored paper. Seek advice from a structural engineer or other qualified professional. |
- Damage/destruction of records due to:
- collapse of the building in earthquakes or subsidence
- water damage and contamination from leaks or floods
- humidity and mould growth due to lack of ventilation
- fire risk.
- High floor loadings may result in floors collapsing and damaging records.
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Requirement 9:
The building in which records are stored must have adequate drainage systems to prevent flooding.
(Applies to inactive records and archives) |
If a leak or flood occurs, the drainage system for the building must be able to dispose of the water without causing damage to the records. |
- Water damage due to floods or leaks.
- Humidity and mould growth.
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Requirement 10:
The storage area must be insulated from the climate outside.
(Applies to inactive records and archives) |
The environment within the storage area must be controlled to prevent damage to records from constant changes in temperature and relative humidity. To achieve this, gaps around door-frames, windows and elsewhere should be sealed, and windows should be avoided, or covered. The walls, roof and floor of the storage area should be constructed from materials which insulate the interior from rapid climatic changes. |
- Gradual deterioration due to lack of environmental control.
- Growth of mould in humid conditions.
- Embrittlement of paper due to low humidity.
- Cost of maintaining a stable environment without sealing or insulation.
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Requirement 11:
Storage areas must be protected against internal hazards.
(Applies to inactive records and archives) |
Internal hazards may include flammable finishes or furnishings, chemicals, electrical plants, overhead pipes (other than fire suppression systems) and other unnecessary plumbing. If storage areas contain such hazards this places records at increased risk. |
- Fire risk.
- Floods due to burst or blocked pipes, or storage below flood line.
- Contamination from chemicals or sewerage.
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Requirement 12:
A building maintenance programme must be in place.
(Applies to inactive records and archives) |
A building maintenance programme will ensure regular inspection for risks and prompt repairs when problems are identified. |
- Failure of equipment and facilities.
- Floods from blocked pipes or gutters.
- Gradual damage from slow leaks.
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Requirement 13:
Records are located as far as possible from natural and man-made hazards.
(Applies to all records and archives) |
Much of New Zealand is vulnerable to disasters such as floods, earthquakes, rural fires, and volcanic eruptions. Disasters for records can also include less dramatic incidents which are just as damaging, such
as leaks, spills or insect infestations.
Records storage facilities should be located as far as possible from natural and man-made hazards. Because in New Zealand it is often not possible to store records away from natural hazards, provision must be made to minimise the associated risks. |
- Physical damage from earthquakes, subsidence, or volcanic eruptions.
- Water damage from floods, leaks
and tsunamis.
- Fires and explosions in adjacent sites.
- Places or buildings which attract rodents, insects, and other pests.
- Plants, installations, or geothermal areas emitting harmful gases, smoke, or dust.
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Requirement 14:
A disaster management plan and procedures must be in place, kept current, and known to staff.
(Applies to all records and archives) |
A disaster management plan and procedures specify how records will be protected from disaster. The plan will include information about disaster prevention, preparedness, hazard identification, response and recovery.
To be useful, the plan must be tested and reviewed at regular intervals to keep it up
to date.
Staff should be familiar with the plan, so
that they are able to follow it. |
- Loss of records due to delayed response or preventable risk.
- Damage to records from inappropriate response or recovery activity.
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Requirement 15:
Staff who are responsible for records must be trained in emergency procedures to protect and salvage the records.
(Applies to all records and archives) |
Training in emergency procedures will ensure that records are not damaged by delays,
or by the salvage process itself. |
- Loss of records due to delayed response.
- Damage to records from inappropriate response or recovery activity.
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Requirement 16:
There must be a comprehensive fire protection system and equipment for the building, in compliance with the New Zealand Building Code.
(Applies to all records and archives) |
Minimising the risk of fire is essential to ensure the survival of records. Comprehensive fire detection and suppression systems, such as sprinklers, alarms, heat and smoke detection and extinguishing equipment, should be provided in accordance with the provisions of the New Zealand Building Code and the compliance documents produced
by the Department of Building and Housing. |
- Loss of records in a fire.
- Damage to records from exposure
to heat and smoke.
- Extensive water damage.
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Requirement 17:
Records which contain sensitive or classified information must be identified and protected.
(Applies to all records and archives) |
Records may contain information which is private, of commercial, political, or cultural sensitivity, or security classified. There must be procedures in place for identifying these records and ensuring they are protected.
More information on identification and appropriate management of sensitive records will be available in the accompanying Guide to Best Practice in Storage (forthcoming).
General advice on security is available from the Security in the Government Sector website at http://www.security.govt.nz/. The physical security section of the New Zealand Security Intelligence Service is also available for consultation on protective security matters. |
- Unauthorised or inappropriate release of classified information.
- Inability to protect private or sensitive material.
- Inappropriate use of culturally sensitive material.
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Requirement 18:
Access to records storage areas must be controlled and restricted to authorised staff.
(Applies to inactive records and archives) |
All records require a basic level of security
to ensure their authenticity and integrity, and to prevent misuse. Security is a requirement of the Privacy Act 1993, which requires personal information to be secure against access, modification, or misuse. In many cases normal building security measures that prevent public access to administration areas will be sufficient.
Controls should also be applied when records are stored by third parties such as commercial storage providers. |
- Theft, vandalism or misuse of records.
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Requirement 19:
Storage areas must be intruder resistant and have an intruder alarm system.
(Applies to inactive records and archives) |
To minimise the risk of theft or vandalism, storage areas should be intruder resistant.
Where the storage area is a free-standing building, this means that the number of entrances should be minimised, the perimeter should be well lit, and there should be no windows.
Where there are existing windows, these should be covered. There should be a monitored intruder alarm system, and the building should ideally have 24 hour physical or electronic surveillance. Where the storage area is a room or space within a larger building, security measures for the whole building may satisfy this requirement. |
- Theft, vandalism or misuse of records.
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Requirement 20:
Records must be stored using shelving or equipment appropriate to the format and size
of the items.
(Applies to all records and archives) |
Records should not be stored on the floor, as this increases the risk of damage from floods, leaks, and dampness. Suitable shelving or storage equipment enhance safe access to records, while providing overall support to items and protecting them from physical, chemical
and mechanical damage. |
- Mould or water damage due to flooding or rising damp.
- Shelf collapse in an earthquake
or flood.
- Breaking, tearing, or other physical damage to records.
- Strain, distortion and tearing due
to lack of support.
- Inability to access without causing damage.
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Requirement 21:
Inactive records of archival value must be packaged in containers which are clean, in good condition and appropriate to the format and retention period of the records.
(Applies to inactive records of archival value, and archives) |
Suitable packaging protects records against incidental damage through handling, helps to produce stable environmental conditions, and reduces water and fire damage in cases of disaster. Containers need to be clean and in good condition, designed to fit the records, strong enough to withstand handling, pressure and the weight of the records, and suitable for the records format, value and use. Materials used for storage of records of archival value should be chemically stable over time, and should not initiate any reaction which would affect the records. |
- Water or fire damage. Breaking, tearing, or other damage from incidental handling.
- Gradual physical damage from dust, light, and environmental variation.
- Chemical and physical damage from inappropriate packaging.
- Strain, distortion, or tearing due to lack of support within containers.
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Requirement 22:
Records must be stored away from light.
(Applies to all records and archives) |
All forms of light can damage records, in particular ultraviolet radiation which is present in sunlight. Protecting active records from direct sunlight, and minimising illumination in storage areas, are therefore simple and effective ways to reduce damage. |
- Records are damaged by prolonged exposure to direct sunlight.
- Records cannot be read or used because of fading and ageing.
- Records can no longer be used because of structural damage and embrittlement.
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Requirement 23:
Magnetic media must be stored away from magnetic fields.
(Applies to all records and archives) |
Magnetic media include video, audio and computer tape, floppy and hard disks.
Power supplies, electricity generators, cables and lightening conductors may generate magnetic fields which can distort or erase the data on such media. |
- Erasure of disks or tapes resulting in data loss.
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Requirement 24:
Storage areas must be kept clean.
(Applies to inactive records and archives) |
All records should be stored in an environment which is free of pests, such as insects and rodents. Dirt, dust and food encourage pests, and increase the risks of damage. Records which are dirty and dusty are also less likely to be consulted or cared for. |
- Neglect or abandonment.
- Infestation by rats, mice, or insects.
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Requirement 25:
Records of short-term value must be stored in conditions which ensure preservation until they are no longer required.
(Applies to inactive records) |
Records which are of short-term value may be disposed of after a finite period because they have been appraised not to be of archival value. Storage requirements for these records should be determined based on the format of the record and on how long it must be kept. |
- Damage to records stored in unsuitable conditions.
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Requirement 26:
Inactive records of archival value must be stored in conditions where the relative humidity is never above 60% or below 30%.
(Applies to inactive records of archival value, and archives) |
Dormant mould spores are always present in the environment. Active mould growth is more likely to occur above 60% relative humidity.
Relative humidity below 30% is very dry and causes damage, such as embrittlement and loss of strength in paper records. |
- Mould growth leads to physical weakening, tears, and loss of information from staining.
- Inks running, warping and distortion of records due to high relative humidity.
- Delamination of composite records due to low relative humidity.
- Damage from handling brittle or weakened records.
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Requirement 27:
Inactive records of archival value must be stored in conditions where the temperature is never above 25 degrees centigrade.
(Applies to inactive records of archival value, and archives) |
High temperatures increase the chemical reactions in records that hasten deterioration. |
- Increased physical weakness of records, leading to handling damage, tears and losses.
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Requirement 28:
Archives must be stored in conditions where the relative humidity does not fluctuate by more than 10% in a 24 hour period, or 20% in a year.
(Applies to archives) |
Constant, rapid fluctuations in relative humidity cause records to absorb and release moisture. This places stress on the record, increases the rate of deterioration and shortens the life of the record.
Gradual seasonal variations in relative humidity are not as detrimental as rapid fluctuations, but still need to be controlled to avoid extremes in relative humidity. |
- Increased physical weakness of records, leading to handling damage, tears and losses.
- Reduced record lifetime.
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Requirement 29:
Archives must be stored in conditions where the temperature does not fluctuate by more than 4 degrees centigrade over a 24 hour period, or 10 degrees centigrade over a year.
(Applies to archives) |
Fluctuations in temperature increase the chemical reactions in records that hasten deterioration. Fluctuations in temperature influence fluctuations in relative humidity. |
- Increased physical weakness of records, leading to handling damage, tears and losses.
- Reduced record lifetime.
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Requirement 30:
Environmental conditions for records of archival value must be regularly monitored, and records of monitoring must be kept.
(Applies to inactive records of archival value, and archives) |
Temperature and relative humidity levels must be monitored, so that problems with the storage environment can be identified and managed. Thermohygrographs or data loggers are recommended as relatively simple means to monitor temperature and humidity, but should be operated by trained staff, following the manufacturer’s instructions. Thermohygrographs require regular calibration. |
- Lack of timely identification of unfavourable conditions could result in long periods of exposure of records to inadequate conditions.
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