Te rokiroki me te penapena ōkiko i ngā mōhiohio kua whakamarutia
Physical storage and preservation of protected information
Who is this Instruction for
Protected records are local authority information and records declared by the Chief Archivist under section 40(1) to be protected for the purposes of the Public Records Act 2005 (the Act).
Under section 40(2) of the Act, the Chief Archivist may issue standards or instructions to a local authority for the adequate protection and preservation of protected information and records it holds. This includes protected information and records that are no longer in current use or have been in existence for 25 years or more.
Why was this Instruction issued
On 1 July 2014 the Storage Standard and other mandatory standards issued under the Act were revoked and replaced with the Records Management Standard for the New Zealand Public Sector. The Records Management Standard did not apply to archives managed by local authorities. It was a records management standard rather than an archives management standard. The first version of the Instruction to local authorities (16/Sp3) (hereafter ‘the Instruction’) therefore provided for the continuation of the requirements set out in the Storage Standard beyond the life of that standard.
On 1 July 2016 the Records Management Standard for the New Zealand Public Sector (2014) was revoked and replaced with the Information and records management standard (16/S1). This standard covers the continuum lifecycle of information and records and applies to public offices and local authorities.
The Instruction was reviewed in September 2019 with the intention to make it more future-focussed and format neutral, however, given the rapidly changing nature of digital storage, it was decided to create separate best practice guidance for all public sector organisations on digital storage and preservation.
This version of the Instruction has been updated in line with international standards, in particular:
CSN EN 16893:2018
Conservation of Cultural Heritage: Specifications for location, construction and modification of buildings or rooms intended for the storage or use of heritage collections,
BS 4971:2017 Conservation and care of archive and library collections
ISO 117799:2015 Information and documentation – Document storage requirements for archive and library materials, and
ISO 15489:2016 Information and documentation – Records management: Part 1 – Concepts and principles.
What this Instruction applies to
This instruction applies to:
all local authorities defined in section 4 of the Act.
the physical storage and preservation of protected information and records which are local authority archives.
Local authority archives are local authority information and records that are no longer in current use or that have been in existence for 25 years or more. They include local authority protected records and other information and records the controlling local authority has determined are worth permanent preservation.
Whilst this instruction does not apply to those protected information and records still in active use, local authorities should manage these in accordance with the requirements set out in the Information and records management standard (16/S1).
Requirements
The Chief Archivist instructs local authorities to maintain protected local authority archives (referred to below as ‘archives’) in accordance with the following requirements:
Identification and Accessibility
1. Archives must be identified and registered in a system which controls them and allows efficient retrieval.
2. Archives must be arranged in an orderly manner and be well managed so that order is maintained.
3. Procedures must be in place for retrieving, handling and re-shelving archives.
Facilities
4. Archives must be stored in a dedicated storage area.
5. Storage areas must allow ongoing access to archives by authorised users.
6. Archives must be stored in locations which reflect the characteristics of their format and their retention period.
7. The building in which archives 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 archives.
8. The building in which archives are stored must have adequate drainage systems to prevent flooding.
9. Dedicated storage areas for archives must be insulated from the climate outside.
10. Dedicated storage areas for archives must be protected against internal hazards, for example, vermin or fire caused by an electrical fault.
11. A building maintenance programme must be in place.
Protection and Preservation
12. Archives must be located as far as possible from natural and man-made hazards.
13. A disaster management plan and procedures, as well as a business continuity plan, must be in place, regularly tested and kept current, and known to staff.
14. Staff responsible for archives must be trained in emergency procedures to protect and salvage the information and records.
15. There must be a comprehensive fire protection system and equipment for the building, in compliance with the New Zealand Building Code that applied at the time of construction.
Privacy and Security
16. Archives which contain personal or classified information must be identified and protected.
17. Access to archives storage areas must be controlled and restricted to authorised staff.
18. Dedicated storage areas for archives must be intruder resistant and have an intruder alarm system.
Shelving and Packaging
19. Archives must be stored using shelving or equipment appropriate to the format and size of the items.
20. The minimum height for the lowest shelf must be 150mm off the floor.
21. Archives must be packaged in containers which are clean, in good condition and appropriate to the format of the archives.
Environmental Control
22. Archives must be stored away from sunlight and artificial light.
23. Magnetic media must be stored away from magnetic fields and avoid areas with high temperature and humidity.
NOTE: The term magnetic media is used to describe any record format where analogue or digital information is recorded to and retrieved from a coated matrix that can be magnetised, for example, video and audio tapes. For more information, visit our good practice guidance about audiovisual storage.
24. Dedicated storage areas for archives must be kept clean and free of insects, with no food or drink permitted.
25. Temperature:
The annual average storage temperature or a set point should be less than 18 °C. The temperature may rise 10°C (but not above 25°C) or down as low as necessary while maintaining relative humidity (RH) control.
Archives should be stored in conditions where temperature does not increase or decrease from the annual average or from a set point by more than ±5 degrees Celsius within 7 days. For example, if the annual average or set point is 18 °C, the temperature should not rise above 23 °C or drop below 13 °C over the course of a week.
26. Relative Humidity:
The relative humidity (RH) level for the storage of traditional, mixed archive materials should be no more than 65% and no less than 30%. The RH must keep within ±10% of the annual average or set point in the storage area. This average or set point may be set between 65% and 30%. For example, if the annual average or set point is 45%, relative humidity should not rise above 55% or drop below 35% over a season.
Archives should be stored in conditions where relative humidity does not increase or decrease from the annual average or from a set point by more than ±10% relative humidity within 30 days. For example, if the annual average or set point is 45%, relative humidity should not rise above 55% or drop below 35% over the course of a month.
NOTE: The relative humidity of the air is an indication of how much water vapour is in the air at a particular temperature, compared with how much water vapour the air could actually hold at that temperature.
27. Audio-visual media and photographic materials (including print and plastic-based formats) must be stored in a cool stable environment and avoid high heat, relative humidity or dramatic fluctuations.
28. Environmental conditions for archives must be regularly monitored, and documentation of monitoring must be kept.
Footnote
References for requirements 25 and 26:
ISO 18934:2011 Imaging materials — Multiple media archives — Storage environment
ISO/TR 19815:2018 Information and documentation — Management of the environmental conditions for archive and library collections
BS 4971:2017 Conservation and care of archive and library collections, The British Standards Institution
American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE). 2019. A24 - Museums, galleries, archives, and libraries. In ASHRAE Handbook - HVAC Applications. (SI) ed., 24.1-24.46. Atlanta, GA: ASHRAE
Storage requirements for digital records and archives
This Instruction applies to physical (non-digital) protected records held by local authorities only.
For more information about storing digital and born-digital protected records, refer to our best practice guidance on digital storage and preservation.
Storage requirements for local authority records
This instruction does not apply to local authority information and records still in active use. These should be managed in line with the Information and records management standard.
Refer to our guidance about storage of physical information and records for more information.
Support and guidance
For more information about caring for physical records and archives, refer to our preservation page.
You can also contact us at archivespreservation@dia.govt.nz or rkadvice@dia.govt.nz