State Records Authority of New South Wales | Annual Report 2008 – 2009 – 2008 Report Annual | Wales South New of Authority Records State

State Records Authority of New South Wales

Annual Report 2008 – 2009

PO Box 516 Kingswood NSW 2747 T 02 9673 1788 F 02 9833 4518 www.records.nsw.gov.au Accessing our services

Addresses and hours

On the internet Website www.records.nsw.gov.au Email [email protected]

Western Sydney Records Centre (including Public Reading Room) 143 O’Connell Street KINGSWOOD

Sydney Records Centre (including Public Reading Room) 2 Globe Street THE ROCKS

Telephone and facsimile Telephone (02) 9673 1788 Facsimile (02) 9833 4518

Hours of opening Monday – Friday 9am – 5pm Saturday 10am – 4pm Sunday and public holidays CLOSED

Postal address PO Box 516 KINGSWOOD NSW 2747

Reading rooms and public facilities are wheelchair accessible. Contents

Overview 03 Our charter, direction and services 04

Director’s review 06

Message from the Chairperson 08

Performance summary 10 Performance and outlook 15 Efficient retention of public sector records 18

Quality recordkeeping across the public sector 28 Sensitive public sector information appropriately protected 37

People and Government use and benefit from the State archives collection 40

Trends 61 Use of the State archives collection 62 State of public sector recordkeeping 65 Governance and accountability 70 Board and management 71

Strategic planning and reporting 76 Client and stakeholder relationships 78

Managing risks 81

Managing our people 83

Managing our information and records 89 Managing our physical assets and finances 94

Audited financial statements 98 Index back page Accessing our services inside back cover Annual report 2008-09 ISSN 0545-3593 State Records Authority of New South Wales PO Box 516 Kingswood NSW 2747

Published 2009 Written, edited and designed in-house. Total external costs for publication (printing only) $3,587.00 + GST Printed on 100% recycled paper Available in pdf format at www.records.nsw.gov.au © State of New South Wales through the State Records Authority of New South Wales, 2009. You may copy, distribute, display, download and otherwise freely deal with this work for any purpose provided that you attribute the State Records Authority as the owner. However, you must obtain permission if you wish to (1) charge others for access to the work (other than at cost), (2) include the work in advertising or a product for sale or (3) modify the work. Images with a Digital ID number are available to order online and through Photo Investigator. Overview Overview

Overview 2008-09

Our charter, direction and services

Director’s review

Message from the Chair

Performance summary

3 Annual Report 2008-09 State Records NSW 3 Overview Overview

Our charter, direction and services

Our charter – who we are, why we exist Our direction – where we are heading, how we work

Who we are Legislation and >1821 Vision Aims Values Colonial Secretary and The State Records Authority of functions That people and Government in We aim to: We are committed to: Registrar of the Records New South Wales (State We are a statutory body NSW have ready access to  Ensure that the business of  the highest possible appointed Records) is the NSW constituted by the State records which illuminate history, the NSW public sector is professional standards Government’s archives and Records Act 1998 to: enrich the life of the community properly documented and  our customers and their >1879 records management and support good and that official records are needs in our decision-  develop and promote Keeper of Archives position authority. We manage the accountable government. managed efficiently and making and business efficient and effective proposed but not established NSW State archives collection effectively to support directions methods, procedures and and we set the rules and frontline service delivery,  integrity and accountability systems for the creation, >1887 provide guidance on the good governance and in our dealings with management, storage, Archivist appointed to management of official accountability. stakeholders, customers disposal, preservation and transcribe records for History records. Our off-budget  Develop, document, and the records use of State records of New South Wales from the Government Records preserve and make  innovation, creativity and  provide for the storage, Records Repository (GRR) provides available the State archives openness to ideas in our preservation, records storage services to the collection as a cultural and work management and >1910 public sector. information resource in  respect for our customers provision of access to any Trustees of Public Library order to enrich the people and their diverse State Records is aligned with records in our possession prepare report on neglect of Harrington and Globe Streets, The and communities of NSW. backgrounds and interests, the Government Chief  advise on and foster the government records Rocks (NSW), n.d. From NRS 4481 and respect for each other. Information Office within the preservation of the Government Printing Office Glass NSW Department of archival resources of the >1911 Negatives Commerce. State, whether public or Departments advised to Digital ID: 4481_a_026_000152 private transfer historical records to We administer the State  document and describe the Mitchell Library Records Act. State archives in their functional and >1953 Our services – what we do, clients and stakeholders administrative context, Archives Department and established within Public  such other functions as Library of NSW What we do >The people of NSW are conferred or imposed >Communities with particular needs, including on the Authority by or >1955  Set records and archives strategy for the the Indigenous community, culturally and under this Act or any Government Records NSW Government and broader public sector. linguistically diverse communities, and people other law. Repository established  Regulate, guide and promote recordkeeping in regional NSW across the public sector (includes setting and >researchers around Australia and the world >1960 monitoring standards, identifying records to >Australian governments Archive Act 1960 passed be kept as State archives, authorising >Australian and New Zealand public records disposal of records, training records authorities >1961 management practitioners). >governments and private companies around Archives Authority of NSW and  Store non-current records for the public the world Archives Office established sector, and provide file retrieval and secure records destruction services. >1976  Document, store and preserve the State >central agencies Records Management Office archives collection (includes accessioning >departments, agencies, and statutory bodies established records, cataloguing, producing guides to the >Ministers’ offices collection, conservation, digitisation). >State owned corporations >1998  Support regional repositories and community >local councils State Records Act 1998 assed access points through grants and training. >the public health system  Provide reference services and promote the >the universities >1999 collection and its use (includes operating >the Governor Cumberland Place, The Rocks (NSW), n.d. State Records Authority and its reading rooms, online access, enquiry and >the Houses of Parliament From NRS 4481 Government Printing Office Glass Board established copying services, exhibitions, publications, >courts and tribunals Negatives talks and tours). Digital ID: 4481_a_026_00023

4 Annual Report 2008-09 State Records NSW 4 Overview Overview

Our charter, direction and services

Our charter – who we are, why we exist Our direction – where we are heading, how we work

5 Annual Report 2008-09 State Records NSW 5 Overview Overview

Director’s review

Like most agencies, State Records NSW had a Funds from the Government Records Repository rooms. As it is clear that funding for such of volunteers continued to provide sterling very challenging year in 2008-09 mainly continue to support a variety of essential projects is limited, State Records will be seeking service throughout the year with many because of the Global Financial Crisis and the programs but especially the tour of State to expand the range and quantity of archives important indexing projects completed. The general economic downturn. Though many Records’ most successful exhibition ‘In Living available to the public through other value of these projects cannot be overstated as significant milestones and achievements were Memory’ which continues to highlight the agreements with commercial genealogical they make the archives easier to use and reached some were not. Among those not archives of the Aboriginal Welfare Board around service providers. provide greater access via the internet. achieved was State Records’ business case for a NSW. The tour of In Living Memory to regional The launch of GRRWeb was well received by whole of government digital archiving solution, centres continued in 2008/09 and was a focal I would once again like to express my heartfelt clients of the Government Records Repository or Digital State Archive (DSA). This proposal point for Aboriginal communities throughout thanks to all the staff, volunteers and to the who can now query the database relating to was not successful in securing funding, New South Wales. During the year In Living Board at State Records for their continuing their holdings. This gives greater control of non nevertheless, work has commenced on a pilot Memory visited Moree, Walgett, Brewarrina, dedication and service to the State in what has current records to agencies and allows them to project to test hardware and software to Qurindi, Armidale, Ballina, Kempsey and been a difficult year. manage their records far more effectively. prepare for the possibility of funding in Penrith. 2009/2010. The importance of this project to In line with our mandate to ensure good Work on comprehensive retention and disposal State Records and to the NSW government recordkeeping in the NSW Public Sector, in authority coverage continued during the year cannot be overstated, increasingly agencies are 2008/09 there were 391 participants in 31 with the achievement of 80% coverage for demanding that State Records accept archival records management short courses run by State agencies, local government, area health digital data and at present State Records is not Records, this continuing initiative is essential to services and universities. This work will continue able to do this because the infrastructure and a deepening understanding of the importance of ALAN VENTRESS during 2009-10 with the aim of 100% coverage trained staff are not in place. The danger of record keeping in NSW public sector. Director by the end of 2010. important digital data being lost is very high During the year 1,096 items were treated by without a system to capture digital archives and In addition State Records continued to reduce our paper conservators, this represents a 250% make them available to the general public and agency storage costs through the increase over the previous year. However, with to the research community, not to mention their implementation of its strategy for the such a large collection of over 8 million intrinsic importance to any government in New destruction of time expired records or their individual items conservation work must be South Wales. During 2009/10 the business case transfer as State archives. During the year approached at the macro level in the provision for the DSA will be refreshed and resubmitted 6,079 linear metres of archives and 617 plans of good storage conditions for the collection for funding. In addition the Standard on Digital were transferred to State Records as State rather than at the micro level of individual Recordkeeping was developed and approved archives. This is an all time record and treatments. during the year. Increasingly NSW public sector surpasses the previous record of 2,644 metres organisations are reliant on digital records such transferred in 2004/05. The transfer of non Increasingly State Records web site is the first as emails, web pages, word documents, current records identified as archives to archival point of call for those requiring information digitised paper documents and others which are storage removes the burden and cost of storage about the archives collection, the Government made in the conduct of government business from the agency to State Records as the Records Repository or record keeping in the and kept for legal, business and accountability perpetual responsibility for the archives belongs wider public sector. During the year there were related reasons. The standard sets out minimum to State Records. over 1.5 million unique visitors to the web site requirements for NSW public offices for digital and State Records was consistently ranked During the year 15,800 linear metres of time recordkeeping system functionality and the between 27 to 33 in popularity of a total of 660 expired non current records were destroyed creation and management of recordkeeping NSW government web sites. creating considerable savings for agencies. metadata for digital records. State Records continued to successfully In total there were 637,557 different activities The Government Records Repository (GRR) had experiment with Web 2 applications most managed through the GRR’s electronic inventory another exceptionally good financial result with particularly with You Tube and with Flickr, this system which represents a significant increase an overall operating surplus of $4.1 million has enabled State Records to provide a from 2007-08. which equates to growth for the year of 4.6%. meaningful message to younger users of the This allowed State Records to pay off the During 2008/09 an agreement was entered into State’s archives in a medium that is familiar to Treasury Corporation loan for the construction with The Generations Network (Ancestry.com) this demographic and more easily understood of Stage 6 at Kingswood, more quickly than to have the non exclusive right to digitise and by them. A presentation about family history by anticipated and has consequently saved funds make available a large set of State archives the Manager, Public Access, Christine Yeats has which have been channelled into priority already widely available on microfilm. Free proved particularly popular, with over 3,500 projects, such as the continuing retrospective access to these digital records will be available views. photographic digitisation program. to users at the City and Kingswood reading State Records’ small but very productive band

6 Annual Report 2008-09 State Records NSW 6 Overview Overview

Director’s review

7 Annual Report 2008-09 State Records NSW 7 Overview Overview

Message from the Chairperson

a strong year with a surplus of over $4.1 Public interest, mineral exploration reports with It gives me great pleasure to write my third Innovation, Dr Shirley Fitzgerald, City million and overall growth for the year of 4.6%. considerable monetary value to the State and annual message as Chair of the Board. I begin Historian, City of Sydney, Professor A.R. Buck, This has allowed State Records to pay off the many others. by acknowledging the other Board members and Co-Director, Centre for Comparative Law, Treasury Corporation loan for the construction conveying my appreciation for their History and Governance, Associate Professor of Stage 6 at Kingswood more quickly than Regrettably the business case presented by commitment to fulfilling their responsibilities Helen Irving, Sydney Law School, University of anticipated. State Records for the establishment of a digital under the NSW State Records Act. Effective Sydney, Emeritus Professor Bruce Kercher, state archive is yet to secure funding. The Funds from the GRR continue to support a decision-making in relation to the disposal and/ Macquarie University, Associate Professor importance of this project to the NSW variety of essential programs, including the or retention of government records is extremely Melanie Oppenheimer, School of Humanities and government cannot be overstated, tour of State Records’ successful exhibition ‘In serious business. By identifying records to be Languages, University of Western Sydney, Dr increasingly agencies are demanding that State Living Memory’ which continues to highlight the retained as State Archives, the members of the Anne Junor, Industrial Relations Research Records accept archival digital data and at archives of the Aboriginal Welfare Board Board ensure that current and future Centre and Dr Ian Hampson, School of present State Records is unable to do this. The around NSW. The tour of In Living Memory to generations have a capacity to learn about Organisation and Management, both of the danger of important digital data being lost is regional centres continued in 2008/09 and was government processes and procedures as these University of NSW for volunteering to review very high without a system in place to capture a focal point for Aboriginal communities evolve over time. Not only is this critical to the and make recommendations on the content of digital archives and make them available to the throughout NSW. maintenance of good governance but also of appraisal reports. All these people have greatly general public and research community. democracy itself. helped the Board in its deliberations. Work on comprehensive retention and disposal Great strides were made in conserving the authority coverage continued with over 80% Accordingly, I would like to thank Stephen On behalf of the Board I would also like to existing collection. During the year 1,096 items coverage for agencies, local government, area Davies (Director Heritage, Urbis jhd), Zoe thank State Records’ volunteers who continue to of the collection of over 8 million were treated, health services and universities. During the DeSaram (Director, Climate Change Policy, make a significant contribution to the indexing representing a 250% increase over the previous year 6,079 linear metres of archives and 617 Department of Environment Climate Change archival materials. Without their assistance year. plans were transferred to State Records as and Water), Robyn Foster (General Manager, many of the state’s archives would remain State Archives. This is an all time record. The I commend the State Archives staff and its Internal Customer Services, NSW Police), The inaccessible. The time given by the volunteers is transfer of non current records to archives Director, Alan Ventress for continuing to provide Honorable Don Harwin MLC, John O’Hearn greatly appreciated by the staff. State Records’ removes the cost of storage from the agency. an exemplary service to the Government and (General Manager, Strategy and Volunteers Coordinator, Annette Finch, During the year 15,800 linear metres of non people of NSW. Communication, Hunter Water Corporation) His organised outings and lectures for volunteers current records were destroyed creating Honour Justice Henric Nicholas (Supreme Court throughout the year, however, the best was considerable savings for agencies. In total of NSW) and Darriea Turley (Manager saved until last. Paul Brunton, Senior Curator, there were 637,557 different activities Community Engagement, Population Health, State Library of NSW spoke at the end of year managed through the GRR’s electronic Planning and Performance Directorate, Greater party about the vicissitudes of the manuscript inventory system which represents a significant Western Area Health Service). I would like to and pictorial original materials collection at the increase from 2007-08. express particular gratitude to Ms Turley, whose Library and entertained the group with a string second term on the Board came to an end on 31 of highly amusing stories. Work has commenced on a pilot project to test December 2008, and to welcome Karen hardware and software in preparation for a McKeown who was appointed to replace Ms In 2000, Mark Lyons and Susan Hocking whole of government digital archiving solution. Turley as the local government representative referred to those who volunteer more than 300 The Government’s digital records requiring ASSOCIATE PROFESSOR on the Board. Ms McKeown is a Councillor on hours per year as ‘highly committed volunteers’. indefinite retention as archives include official LUCY TAKSA, PhD Penrith City Council and has also recently been From my reading of the Volunteers newsletter, records of government business in the form of Chairperson of the Board appointed by the Minister for Local Government 23 State Records volunteers fit this category. emails, digital images, word processed as a member of the Local Government The number who contributed this number of documents, database records and web pages. Ministerial Working Party – Increasing the hours almost doubled from 12 in December Currently, the NSW Government has no representation of Women in Local Government. 2007. I am heartened to find that State Records dedicated facility for managing and preserving volunteers have developed long-lasting ties with these digital records. State Records only has During the past year the Board examined and the organisation, which reflects well on State facilities to store State Archives in paper form approved 25 appraisal and retention reports. Records. and other analogue formats. In short, State The Board sought the assistance of external Records is unable to meet its legislative experts on various occasions. The volunteers have added 9,175 items to the obligations to preserve and provide access to on-line indexes and 6,831 items to archives the State’s digital archives. I would particularly like to thank Professor investigator. I was delighted to discover that Corinne Mulley, Chair in Public Transport and Significant collections of digital records the glass plate negative project was recently Director of Public Transport Programs, Institute requiring archival preservation are potentially completed by the conservation volunteers. of Transport and Logistics Studies, University of at risk, including the records of Royal Sydney, Barbara Reed Director, Recordkeeping Commissions of Inquiry which are of great The Government Records Repository (GRR) had

8 Annual Report 2008-09 State Records NSW 8 Overview Overview

Message from the Chairperson

9 Annual Report 2008-09 State Records NSW 9 Overview Overview

Performance summary

Efficient retention of public sector records Quality recordkeeping across the public sector

Goals and objectives Government agencies by retention and disposal Goals and objectives information management framework and State Records aims to: authorities (by 2009-10). We expect this  Increase awareness, commitment and ensuring an integrated approach to records skills of CEOs and public sector officials in  Improve records retention policy coverage strategy to continue to impact on State Records management and information management the creation and management of official across the public sector. resources and priorities as we assist agencies strategies across the sector. working towards developing and implementing records.  Store non-current records efficiently on We also developed and issued a number of new disposal policies. Additional demands on our  Encourage public offices to put in place behalf of the public sector, and with digital recordkeeping products including the resources are also expected from agencies effective records management programs, minimal impact on the environment. Standard on digital recordkeeping, practical needing to review existing functional retention systems and practices.  Improve the implementation of records guidance on implementing the standard and policies to ensure they are current and  Implement our Chief executive strategy, retention policies by organisations across the guideline Managing digital records. providing information to new CEOs on the public sector. appropriate. There will also be demands on our resources as we develop further general records management obligations. Outlook Achievements retention policies and review existing general  Implement our Better skills strategy, We will continue to work on raising the We estimate that 81.25% of public offices have retention policies. We also expect that the providing records management training to awareness and commitment of CEOs to comprehensive functional records retention increased disposal coverage will lead to public officials. improving official recordkeeping and increasing policies. We further estimate that 63% of NSW additional demand to transfer State archives to  Implement ‘Future Proof’ our digital the skills of public sector officials in the creation government agencies (which make up an our care. However, overall it is expected that records and information management and management of official records. estimated 52% of the pool of public offices) continued improvements in disposal policy strategy, to help public offices to make have comprehensive retention policies in place. coverage and implementation across agencies and keep authentic and accessible digital ‘Future Proof’ our digital records and This compares favourably to the initial 2005-06 will result in more efficient management and records. information management strategy, will baseline figure of 36%. This result is largely cost effective storage of records. due to our strategy to achieve comprehensive In 2008-09 we sought improvements in public continue as a central focal point in 2009-10. Work will continue to develop digital disposal coverage of NSW Government agencies We expect that demand for our records storage sector recordkeeping and records management recordkeeping tools, guidance and training. We by retention and disposal policies (also known and associated services will continue to be systems and practices. We continued to will also continue to work closely with the as disposal authorities). We approved 19 strong in the coming year. However we implement our Chief Executives Strategy, Government Chief Information Office on the functional policies submitted by public offices. anticipate a lower rate of net growth in 2009-10 providing information to new CEOs on records whole of government information management In addition 4 general policies were developed as we continue to work pro-actively with clients management obligations. We also continued strategy and on assisting public offices to by State Records. to schedule their non-current records in the our Better skills strategy, providing records procure and implement suitable and GRR so that more can be destroyed or management training to public officials. Finally, cost-effective Information Asset Management We accessioned over 33,500 linear metres of transferred into the State archives collection. we continued to seek improvements in digital non-current records into the Government recordkeeping in the public sector through the Systems. Records Repository, bringing the total holdings implementation of our Digital records and to 413,000 metres. Net growth in holdings was information management strategy. just under 18,000 linear metres. The 15,800 Achievements metres difference between incoming records As we became aware of new public sector CEOs and growth in net holdings reflects the large we sent them information about recordkeeping quantities of records destroyed, transferred to obligations and assistance available. During the State Archives or permanently recalled by 2008-09 25 information packs were sent to clients during the year. new CEOs. We performed 327,122 file retrieval operations We offered 31 courses attended by 391 public at the request of clients, which is above our officials in our annual records management estimate. Efficiency in file retrieval, transport training program. This was achieved in and other operational areas continues to be partnership with private sector training boosted by the roll-out of further enhancements providers. A further 947 NSW public officials to our electronic inventory system, RS-SQL. In attended presentations on recordkeeping and total, 637,557 different activities were managed records management, including forums and through RS-SQL during the year, compared briefings on particular products. with 616,644 activities in 2007-08. We worked closely with others on digital Outlook recordkeeping and archiving strategy and tools. Over the next year State Records will continue This included working closely with the implementing the Strategy to achieve Department of Commerce’s Government Chief comprehensive disposal coverage of NSW Information Office (GCIO) on the overall

10 Annual Report 2008-09 State Records NSW 10 Overview Overview

Performance summary

Efficient retention of public sector records Quality recordkeeping across the public sector

11 Annual Report 2008-09 State Records NSW 11 Overview Overview

People and Government use and benefit from the State archives collection

Sensitive public sector information Goals and objectives State Records aims to: appropriately protected relation to the existence of Trust Funds resources to the community.  Catalogue, document and preserve the administered by the Board is made Most information kept by the public sector for As a result of increased public demand, we expect State archives collection (in all formats accessible to the ATFRS for considering more than 30 years should be accessible to the that our online services will continue to grow. We and multiple locations). claims. public, as sensitivities in the records diminish over will also continue to provide services through our  Provide community and government time. Some information in records, two reading rooms and other traditional service access to the collection through a variety The index to the records was completed in however, must be protected from disclosure over channels. of channels. September 2008. On completion the team longer periods of time. The people of NSW expect  Promote awareness of, and educate had indexed 21 series of AWB records (319 their personal information, where it people about, the State archives collection boxes/volumes) resulting in 127,463 legitimately continues to be held by Government so that it is used and valued. entries in the database. The AWB Indexing for more than 30 years, to remain  Improve protection of State archives held Project has assisted greatly in locating appropriately protected from public disclosure. Indicators, targets and results by public offices. records, previously inaccessible, for the Records may also be withheld from public  Prepare ourselves to preserve and make ATFRS and will be a long term resource to access for security reasons or to protect available born-digital State archives. assist members of the Stolen Generations Indicator Result Target ongoing commercial confidentiality. 2008-09  Catalogue 30,000 record items. in tracing family members and be a  Increase the number of catalogued record resource for all family history. No. of participants in 1,338 900 Goals and objectives records management State Records aims to: items discoverable online to 270,000. program events  Improve online services. The touring version of the In Living Percent of public offices 41% 41%  Encourage public offices to make access Memory exhibition of photographs from with comprehensive directions (decisions about public access) for Achievements the records of the Aborigines Welfare access directions all records over 30 years old. Board continued its 17-venue tour of NSW We worked closely with agencies (particularly Percent of public offices 81.25% 90%  Protect sensitive information through the communities, travelling to Moree, with comprehensive Lands) to transfer into our custody a record records retention policies application of appropriate closure Brewarrina, Quirindi, Armidale, Ballina, quantity (6,079 metres) of significant archives. protocols. Kempsey and Penrith. No. of records retention 23 25 Modest numbers of record items were policies approved Achievements catalogued (29,682) bringing the total Outlook Metres of non-current 413,320 410,000 discoverable through our online catalogue to Under ‘Future Proof’, State Records’ digital records in storage Access directions continued to be made by public 269,832). records and information management 33,630 25,000 offices, with 41% of public offices now having Metres of non-current strategy we will be continuing to seek records accessioned comprehensive access directions in place. Our online ordering and payment service for funding through a business case for a No. of file retrieval 327,122 320,000 Outlook copies of State archives continued to prove very whole of government digital archiving operations We will continue to face challenges in encouraging popular. We added 97,030 entries (including solution, with the aim of commencing Metres of standard format 65,919 62,342 records in archival custody public offices to make access directions for all names) to online indexes, another popular design and piloting in 2009-10. their records over 30 years old. This year all service. Enhancements to Archives Investigator Metres of records 6,079 2,500 transferred to archival public offices without comprehensive access went live on 14 May. These involved the We will continue to focus on accessioning custody directions will be contacted and sets of access and cataloguing substantial quantities of integration of a shopping cart system to allow No. of catalogued record 269,832 270,000 directions and explanatory information provided. users to order copies of records and pre-order paper-based State archives which we items discoverable online expect to be transferred in coming years. After the previous success of targeting the local records for their visit to the WSRC. No. of record items 29,956 30,000 government sector there will be a focus on the We hope to be able to achieve similar catalogued university sector. Public outreach events which we ran or cataloguing results from our volunteer No. of tied grants to 7 6 participated in were attended by 5,083 people. program. regional repositories No. of archives 42 42 State Records undertook a project to finalise The In Living Memory NSW tour continues information access points the indexing of all the known records of the to provide opportunities for State Records No. of website visits 1,598,503 1,100,000 former Aborigines Protection Board (APB) and to strengthen partnerships with Indigenous No. of original record items 26,831 28,000 the Aborigines Welfare Board (AWB) for the communities. As the tour continues, the used by readers Exhibition Team will have the opportunity NSW Aboriginal Trust Fund Repayment Scheme No. of public program 5,083 3,600 (ATFRS). The project, established through a to capture Aboriginal personal and participants Memorandum of Understanding (MOU) between community knowledge into the archives for Note re quality recordkeeping: State Records is the Department of Premier and Cabinet, State future generations and promote the reviewing how it measures performance against archives collection and Indigenous Records NSW and the Department of Aboriginal this outcome. Records Management Survey reports Affairs, ensured that all relevant evidence in from 1996 to 2004 can be used as a guide to the previous impact of our services in this area.

12 Annual Report 2008-09 State Records NSW 12 Overview Overview

People and Government use and benefit from the State archives collection

13 Annual Report 2008-09 State Records NSW 13 Overview Overview

Facts 2008-09 1,598, 503 website visits 54,467 reading room visitors 26,831 original archives used 42 community access points to State archives collection across NSW 413 kilometres of non- current records stored at Western Sydney 65.9 kilometres of standard format archives in custody 269,832 record items discoverable online

George Street, Sydney (NSW), c.1890 From NRS 4481 Government Printing Office Glass Negatives Digital ID: 4481_a026_000126

14 Annual Report 2008-09 State Records NSW 14 Performance and outlook Performance and outlook

Performance and outlook 2008-09

Efficient retention of public sector records Records retention policies cover whole public sector Non-current records stored efficiently

Quality recordkeeping across the public sector CEOs and public officials aware, committed and skilled

Effective records management programs, systems and practices across NSW public sector

Sensitive public sector information appropriately protected

Access directions cover all records kept more than 30 years

People and Government use and benefit from the State archives collection

Public offices protect or transfer archives

The State archives collection is appropriately stored and preserved

The State archives collection is catalogued and documented

The State archives collection is widely accessible to people and Government

Communities know about and value the State archives collection Trends

15 Annual Report 2008-09 State Records NSW 15 Performance and outlook Performance and outlook

Performance and outlook

Results Hierarchy Flowchart from State Records’ 2008-2009 Results and Services Plan Reporting on our performance Making a difference Strategic priorities 2008-09

In this section we report The four key outcomes are To help us achieve our vision on our performance in stepping stones in helping us and key outcomes, our relation to four long term to achieve our vision that strategic priorities for 2008-09 outcomes we work people and government in were to: towards: NSW have ready access to records.  Seek further improvements  Efficient retention of public in the quality of official sector records. Underlying this vision is our recordkeeping, and in belief that official records are:  Quality recordkeeping across records management the public sector.  A cultural and information systems and practices.  Sensitive public sector resource that can enrich  Extend retention and information appropriately communities and the lives disposal policy coverage and protected. of individuals. implementation across NSW  People and Government use  Evidential and information Government agencies. and benefit from the State assets that underpin  Improve the protection of archives collection. efficient frontline service State archives held by public These outcomes were identified delivery and ultimately offices. as intermediate results in our good governance and  Meet continued growth in Results and services plan accountability. demand from the public and 2008-2009. from public offices for We work toward the four archival services. outcomes and our vision in  Improve online services. partnership with NSW public  Preserve and make available offices and many individuals born-digital State archives. and organisations who hold a stake in effective management These priorities were of the public sector’s records implemented in an environment and the State archives of reduced resources. collection.

Looking south on Cambridge Street, The Rocks (NSW), 12/08/1901 From NRS 4481 Government Printing Office Glass Negatives Digital ID: 4481_a_026_000158

16 Annual Report 2008-09 State Records NSW 16 Performance and outlook Performance and outlook

Performance and outlook

Results Hierarchy Flowchart from State Records’ 2008-2009 Results and Services Plan Reporting on our performance Making a difference Strategic priorities 2008-09

Looking south on Cambridge Street, The Rocks (NSW), 12/08/1901 From NRS 4481 Government Printing Office Glass Negatives Digital ID: 4481_a_026_000158

17 Annual Report 2008-09 State Records NSW 17 Performance and outlook Performance and outlook

Efficient retention of public sector records Records retention policies cover whole public sector State Records’ Strategy to achieve comprehensive disposal coverage of NSW Objectives for 2008-09 Official records are kept to support frontline customer service Government agencies by retention and  Increase the percentage of public delivery, facilitate public sector governance and accountability, disposal authorities supports and builds on offices that have comprehensive records and minimise business risk to Government. A small number of key decisions made in 2006 by the Budget retention policies. the total records generated are kept indefinitely as part of the Committee of Cabinet. The primary aim of  Review general retention policies for State archives collection. the Strategy is to ensure that, by 2009-10, administrative records, financial and there are comprehensive retention policies Public sector records cannot generally be destroyed without the accounting records, and for local in place covering the functional records of approval of State Records and its Board. The minimum periods government records. for which the records must be kept are identified in records all NSW Government agencies. retention policies, known in NSW as retention and disposal Records retention policies are fundamental Achievements and highlights authorities. Whilst keeping records for the required period of time to effective and efficient management and  81.25% of public offices have is important, destroying them promptly once they are no longer disposal of official records. By identifying comprehensive records retention needed is of equal importance. how long records need to be kept from a policies. regulatory, business or archival  Reviews completed for general retention Significantly, records retention policies also identify records to be perspective, retention policies underpin policy for local government records. kept as State archives. Routine implementation of the policies records storage and management  Review commenced for general enables the timely transfer of permanently valuable records to strategies. Prompt destruction of records retention policy for local government State Records’ care. that are no longer needed can reduce records.  New general records retention policies, Our off-budget arm, the Government Records Repository (GRR), storage costs and minimise risk exposure. covering records relating to the stores non-current records for NSW Government agencies, State Records approves and issues all management of sporting and hospitals and local Government bodies until they can be records retention policies for the NSW recreational venues and facilities, and destroyed or added to the State archives collection. The records public sector. Where possible, we develop source documents that have been are stored in clean and secure conditions at low cost to general policies that can apply across a migrated approved and issued. Government and are easily retrieved if needed. number of public offices. This has been an Goals: effective strategy for achieving broad More detailed figures regarding records coverage of the public sector. There retention policy coverage are included in our  In partnership with public sector organisations, to put in remain, however, a number of government report on the State of public sector. place records retention policies that systematically cover all departments and agencies that do not official records, and to encourage routine application of have records retention policies. these policies.  To store non-current public sector records efficiently. The following sections report on our performance in relation to On line access to retention policies these two goals. Products developed to assist agencies to We continued to add full text versions of all develop retention policies newly approved general and functional During 2007-08, a number of products to retention policies to our website. As at 30 June support the Strategy to achieve comprehensive 2009 there were over 238 retention policies disposal coverage of NSW Government available on our website (including 19 general agencies by retention and disposal authorities policies). This strategy of having on-line were developed or enhanced. These included Records retention policies at a glance: policies available ensures that public offices developing a short publication Disposal at a  Known in NSW as retention and disposal authorities. and any other interested parties or glance (RIB 48) and continuing to add full text  Retention policies identify whether records are to be destroyed after a specified stakeholders always have access to the current versions of all newly approved general and time or added to the State archives collection. retention policies. functional retention policies to our website. As  There are two types: general policies apply to multiple public offices, functional at 30 June 2008 there were over 230 retention policies apply to a specific public office. policies available on our website (including 17  State Records usually develops general policies in consultation with public general polices). offices.  Functional policies are required to be developed by public offices.  State Records and its Board approve all retention policies before use.

18 Annual Report 2008-09 State Records NSW 18 Performance and outlook Performance and outlook

19 Annual Report 2008-09 State Records NSW 19 Performance and outlook Performance and outlook

Efficient retention of public sector records Efficient retention of public sector records

Existing records retention policy coverage agencies are prohibited from destroying many Retention policies approved a good baseline records. We require records retention policies to We estimate that 81.25% of the current be developed using a methodology based on Result Result Result Result Result Target baseline of 438 NSW public offices monitored standard archival practice in Australia. Records 04/05 05/06 06/07 07/08 08/09 08/09 have all or most of their records covered by or information management skills are required records retention policies. This is a good result to develop them. This can be particularly Whole of agency 13 8 11 17 9 n/a given the size and complexity of the public challenging for small agencies and State sector and the limited resources we are able to Records staff provide a high level of assistance Partial 15 9 14 9 14 n/a allocate to this work. to these organisations. This can involve Many public offices have all of their records assisting with the drafting of the policies as well Total 28 17 25 26 23 25 covered by records retention policies as a result as providing supporting guidance. of our strategy over many years of developing We review the policies developed by each general policies that apply to like organisations. General retention policies reviewed organisation before they are submitted to our sporting and recreational venues and facilities. General policies exist that cover all or most of Board for approval, and then issued. Whilst we During the year four general records retention the records of local councils, health services, aim to do this as efficiently as possible, it is policies were approved and issued. These This retention policy provided whole of agency universities, ministers’ offices, rural lands complex analytical work and often requires authorities will assist NSW public offices to coverage for 5 public offices whose protection boards and catchment management consultation with experts in many areas. The improve records management practices and responsibilities encompass the management of authorities. These organisations account for number of policies approved is not indicative of implement consistent decisions. They include showgrounds or sporting and entertainment approximately 48% of the organisations in the the complexity of work in reviewing them or the substantial revision of the general retention centres or arenas. Policies were also issued to NSW public sector. quantity of records they cover. The number policy for financial accounting records. The establish consistent retention requirements for approved also depends on the number revisions were integrated into the General personal security files of employees or Of the remaining government agencies and submitted by agencies, the quality of the draft Retention and Disposal Authority for contractors in conformity with Commonwealth state owned corporations (which account for policies submitted, and whether the Board Administrative Records (GA28). The changes requirements and to permit the destruction of approximately 52% of the NSW public sector), approves the policies. are reflective of current legislative input or source records used for the migration of general retention policies cover all common requirements and provide more information or records to new or upgraded types of records they create or hold, such as During the year, there was a pleasing increase comprehensive coverage for financial and management systems. This latter policy administrative, financial and personnel records. in retention policies covering records of NSW accounting records commonly created and establishes conditions that must be met before These public offices must develop retention Government agencies and State owned maintained by public offices. public offices are authorised to destroy source policies covering the records of their unique corporations. 23 retention policies (19 records after their migration to new or upgraded functions. At the end of 2008-09, 63% had functional retention policies and 4 general The other general retention policies issued business or information management systems done this. This is an improvement on the figure retention policies) were approved and 14 public during the year included a retention policy for and is a key tool for supporting and assisting for 2007-08, where 56% of these agencies had offices achieved comprehensive disposal records relating to the management of public offices to manage their digital records. comprehensive disposal policies in place. coverage through the issue of either whole of agency disposal policies or partial policies that Increase in retention policies covering taken together with earlier issued policies gave Case government agencies comprehensive coverage. These agencies Department of Corrective Services Study Public offices are encouraged to develop records included several large public offices - such as The first comprehensive functional disposal authorities for NSW retention policies to ensure their records are the Supreme Court of NSW and Department of Department of Corrective Services (DCS), the State Parole Authority and kept long enough to satisfy customer service Planning – as well as smaller agencies such as the Serious Offender Review Council were approved in April 2005. They and operational needs, as well as support good the Office for Transport Safety Investigations, were developed within the scope of an holistic program of works which has governance and accountability. Approved Wild Dog Destruction Board, and Veterinary been influential in addressing agency compliance with the State Records retention policies allow public offices to Practitioners Board. Act 1998. Prior to this the DCS disposal program was limited to general routinely destroy records no longer needed, administrative records and the periodic transfer of thematic series to State with minimal risk, and thereby reduce the costs In addition, the retention policies approved Archives. of storing and managing them. during the year provided additional coverage for a further 3 public offices The development of retention policies requires . Since that time, substantial progress has been made retrieving and resources both on the part of the agency and rationalising non-current offender records; effectively listing and applying State Records. Each agency is required to sentencing to records transferred to non-current storage and transferring develop a retention policy covering its unique series to State Archives. The table on the following page illustrates the records, including digital records. Until their progress made in sentencing stocks of non-current records contrasted to retention policy is approved by State Records, the sentenced stock holding as at 1 January 2008.

20 Annual Report 2008-09 State Records NSW 20 Performance and outlook Performance and outlook

Efficient retention of public sector records Efficient retention of public sector records

21 Annual Report 2008-09 State Records NSW 21 Performance and outlook Performance and outlook

Efficient retention of public sector records Efficient retention of public sector records

DCS Progress on Sentencing and Disposal of DCS Physical Records Disposal Implementation Improvement assist public offices in achieving efficiencies and Case Strategy making savings through the implementation of study STORAGE January 2008 June 2009 State Records’ Strategy to improve retention retention policies, the destruction of records FACILITY cont... Box % Sentenced Box % Sentenced and disposal authority implementation and which no longer are required to be kept and the reduce Government storage costs supports and timely transfer of designated State archives to Government 49,079 0 23,897 0% builds on several key decisions made in 2006 State Records. Records by the Budget Committee of Cabinet. The primary aim of the Strategy is to achieve To raise the level of implementation of disposal DCS 38,000 0 56,000 15% improvements in the implementation of records authorities across agencies and State Owned Corporate retention policies by NSW Government Corporations, State Records required all NSW agencies. The strategy aims to assist agencies Government agencies and State Owned Corporations submitting draft functional Offsite 36,306 0 63,793 94% in: retention and disposal authorities for approval Storage  reducing the costs of records storage; from 1 October 2008 to submit a disposal Vendors (x2)  reducing the time and cost associated implementation plan which would advise State Total 123,385 0 143,690 35.8% with finding specific records when they are Records of plans for implementing the new needed; and functional retention and disposal authority (and  minimising the risks arising from illegal or other general disposal authorities) with current A subset of this work has been the rationalisation of 39,879 boxes of a unmanaged destruction of records and and future records, transferring State archives, series of offender files stored at an offsite storage facility. These boxes from inadvertently keeping records that and reducing accumulations of unsentenced contained both inactive as well as active files, not listed and therefore should be destroyed. records in storage. To date, seven disposal sentenced in any meaningful manner. The resulting delays in discovery and implementation plans have been received. retrieval as well as the unchecked storage costs were unsustainable. Work continued on implementing the strategy State Records is likely to follow up on these with a survey of 10 health organisations to implementations to ensure that disposal These serious problems, borne of sheer volume, were continually identify the nature of storage arrangements, authorities are implemented. compounded by files being returned to offsite storage into new storage the cost of storing non-current paper records boxes rather than those they were originally retrieved from. This increased across the sector, and the level of box volumes and storage charges whilst partially empty boxes remained on implementation of records retention and Outlook and capability shelves charged at the cost of a full box. disposal authorities. This survey was Increasing records retention policy coverage is A project was undertaken to identify the complete series of files, commenced in early 2008 but the analysis and a strategic priority for State Records in coming consolidate the empty and partially empty boxes and concurrently list and reporting occurred in 2008-09. Along with the years. We will continue to focus on encouraging sentence the files. findings of the earlier 2008 survey of NSW inner budget departments and agencies to Government agencies and State Owned develop and implement retention policies to This project took 48 weeks to complete. At the completion of the project, of Corporations, State Records now has baseline achieve the benefits of more efficient and the 39,879 boxes identified, the following statistics show the results of the information on quantities and costs of non- accountable management of records, including consolidation. current records in storage and the level of potential reductions in records storage costs. disposal implementation for these records. We will continue to review general records SEMI % FILE TOTAL EMPTY ARCHIVED ACTIVE DESTROYED CONSOLDATED retention policies to ensure they meet current A more detailed report of the survey of health needs of public offices. 244,525 13,242 398 23,941 2,298 33.21% organisations is available in “State of Public The annual savings implications from this project are as follows. Sector Recordkeeping”. Storage Costs – The findings of the two surveys have assisted State Records in guiding improvements in $43,069 on consolidated boxes disposal implementation. This has included $7,446 on destroyed boxes updating and developing new guidance and advice, including updating Guideline 12 - A total of $50,515 per annum. Implementing a retention and disposal authority and a new guideline on sentencing projects, As a result of this project, not only has there been a reduction in ongoing Guideline 21 - Planning a sentencing project. storage costs, the listing and subsequent sentencing of these series of files has allowed DCS to more easily locate and retrieve the files as well as To ensure that digital records are destroyed identify those due for disposal, that is, transfer to State Archives or correctly, Recordkeeping In Brief 51 Destroying destruction under the DCS Functional Disposal Authority. digital records: When delete is not enough was issued in July. These new publications should

22 Annual Report 2008-09 State Records NSW 22 Performance and outlook Performance and outlook

Efficient retention of public sector records Efficient retention of public sector records

23 Annual Report 2008-09 State Records NSW 23 Performance and outlook Performance and outlook

Efficient retention of public sector records

Non-current records stored efficiently

GRR clients access information about their Repository's revenue and expenditure were both In 2008-09, State Records’ off-budget holdings on-line slightly above target, leading to an operational records storage business, the Government Achievements and highlights surplus of $4.1 million on revenue of $11.3 Records Repository (GRR), had another  4.66% net growth, with $4.1 million This year, the GRR launched a major new million, which is over 36% of earnings and successful year, continuing to grow operating surplus service – GRRWeb. represents an increase of 4.3% in steadily as it provided secure and efficient  Introduction of GRRWeb, allowing clients operational surplus on the previous financial records storage and related services to the to make and track service requests via a GRRWeb is part of the GRR’s electronic year. public sector. web interface. inventory control system, RS-SQL, and allows  Refurbishment of Stage 2 at the Western clients real-time access to information about We aim through the GRR to keep the cost Sydney Records Centre at a cost of $1.6 their records using a web-based interface. With to Government of records storage low, million (self-funded by the GRR). the introduction of GRRWeb, approved users while providing a model of best practice can quickly and easily query the GRR’s RS-SQL for services and facilities. While primarily database via the Internet browser on their own servicing inner-budget agencies, clients PC. Clients can perform many basic account also include local councils, public hospitals management tasks, such as data entry, adding and universities. files and boxes, and initiating requests for Revenue targets and results before contribution service direct to the GRR’s system. This allows File storage and retrieval service demand our clients to have control over their own Result Target met The number of file retrieval operations 2008-09 2008-09 records, even though they are stored off-site. $’000 $’000 The GRR accessioned 33,630 linear metres of (comprising mainly pulling files requested from non-current records during the year compared storage and returning files after use) increased With GRRWeb, GRR clients can easily order Revenue 11,311 11,125 to 34,983 in 2007-08. This brought the total 4.2% on the previous year to 327,122. This is storage services, schedule pickups and Expenditure holdings to around 413,000 linear metres of above our estimate of 320,000 operations, deliveries, place requests for jobs such as 7,212 6,894 public sector records. There are now over although file retrieval operations are not reboxing, or purchase supplies either by raising 2,000,000 individual boxes of files in storage. something we can control easily since they their own work order or by using the simple Surplus 4,099 4,231 Although we accessioned more records than our reflect levels of client activity. Shopping Cart feature. Clients can check on the estimate of 25,000 linear metres, this was status of their own work orders and service offset by the destruction, transfer and requests at any time by logging on to GRRWeb. permanent recall of 15,787 linear metres. This File retrieval operations Users can also define and update item compares to the 13,243 linear metres removed descriptions in selected records; and get from storage in 2007-08 and indicates our round-the-clock access to reports on their 2007-08 2008-09 Variation ongoing commitment to assisting clients to account activities, printable from their desktop. make savings through the implementation of (%) retention policies, the destruction of records No. of files 187,548 186,030 -0.8 GRRWeb is proving to be a highly popular which are no longer required and the transfer of requested service and in great demand by GRR clients. designated State archives to State Records. No. of files 116,301 128,602 10.6 However, because user account access is returned managed individually, and because of the Of the records removed from storage in Total file 313,920 327,122 4.2 intensive and personalised training the GRR is 2008-09, 9,667 linear metres of records were retrieval providing to its clients, the GRR is providing pulped and recycled, compared to 4,385 linear operations access to GRRWeb one client at a time and metres in 2007-08. there is a waiting list for this service. Clients Total includes adding files to boxes and attaching documents who are successfully using GRRWeb include the to files. Each of the actions involves staff referring to a box of Departments of Commerce, Education and records which has the same labour input. No charge is made for the return of items to storage. Training, and Lands; Blue Mountains and Holroyd City Councils; NSW Medical Board; Net growth of holdings Office of State Revenue; and Sydney Catchment Authority.

Financial viability remains strong Result Result Target The GRR has operated as an off-budget service The GRR’s web-based user interface, GRR Web, 2007-08 2008-09 2008-09 unit since 1 July 1990, relying primarily on proves popular with clients 5.9% 4.6 5.0 storage fees to generate its operating revenue. In 2008-09 the Government Records

24 Annual Report 2008-09 State Records NSW 24 Performance and outlook Performance and outlook

Efficient retention of public sector records

Non-current records stored efficiently

25 Annual Report 2008-09 State Records NSW 25 Performance and outlook Performance and outlook

Efficient retention of public sector records Efficient retention of public sector records

on behalf of the Department of Community Community Services, Jennifer Mason, was also GRR Consultancy results in substantial Services, with an agreement that it was not future destruction. The NSW Attorney at the event as a signatory to the official savings in agencies to be retrieved without a release form signed General’s Department has also used a project handover of the painting to the Museum. Non-current records stored in the Government by two former girls' home residents. of this nature to prioritise their archival records Records Repository remain the responsibility of program. the public office that owns them. Mindful of The Director-General of the Department of State Records’ regulatory role, we encourage Records are only destroyed with appropriate public offices to destroy records promptly or authority from the responsible public office. transfer them into the State archives collection, at the right time and subject to appropriate Case Sentencing of patient files for Westmead Hospital records retention policies. The GRR assists Handover of Namatjira painting to the Study clients to identify records suitable for culling or One of the biggest problems facing public hospital Medical Records National Museum of Australia. destruction and prepares records for transfer Administrators is how to legally destroy accumulations of patient files. into the State archives collection as a fee-based Under GDA 17 the General Records Disposal Authority – Public Health In June 2009 the GRR hosted a ceremony for Services: Patient/Client records each file must be individually appraised service. In 2008-09 the GRR destroyed 9,667 representatives of the Cootamundra Girls' metres of records on behalf of clients and also against a range of record classes describing differing medical activities. Home, who presented a painting by renowned Furthermore, files detailing treatment of persons under 18 may need to be assisted clients to remove another 6,118 metres Aboriginal artist Albert Namatjira to the of records from storage for culling and other kept for longer time periods than those of other patients, irrespective of National Museum of Australia in Canberra. The the activity. projects. painting, Arreyonga Paddock, James Range, Many clients prefer to obtain an overview of the was officially handed over to the museum by This year the GRR has undertaken a major project for Westmead Hospital scope and size of their GRR holdings prior to former Cootamundra girls Lola Edwards, Kathy using this sentencing software. The GRR’s Customer Service Manager has commencement of a sentencing and culling Boreham and Jean Begg on 6 June 2009 at the worked closely with the Hospital’s medical records team to integrate the project. Consequently our desk-top appraisal Western Sydney Records Centre in Kingswood. resulting file data with the Hospital’s own systems and has carried out service continues to be one of our most popular. At the ceremony Lola spoke movingly to those extensive training with both GRR and Hospital staff. The first stage of the Here our Consulting Archivists comprehensively present of her experiences as a young girl at project has resulted in 200,000 patient files being sentenced by GRR review clients’ holding based on their box the home, including her memories of the personnel who individually appraised each file in accordance with the contents listings and the contents of each box Namatjira visit. provisions of GDA17, with a recommendation to the Hospital that 88,000 are appraised in accordance with the provision are eligible for immediate disposal. In the second stage of the project it is Namatjira visited the Cootamundra Girls' Home of approved Disposal Authorities. Those records anticipated that sentencing will commence on older files already in storage, in 1956 and a year later presented the girls clearly eligible for immediate or future which should produce an ever higher proportion of files which can be with the painting, which then hung in the main destruction are flagged. More importantly, those destroyed. records which need closer inspection, or where dormitory for many years. Following the files require individual appraisal and sentencing, closure of the Home, the painting was held in are identified. the head office of the Department of Community Services before being handed over This year a desk-top appraisal project has to the former Cootamundra girls in 1998 by allowed the Office of State Revenue to identify then Minister for Community Services Faye Lo Outlook and capability nearly 10,000 boxes currently eligible for Po. Since that time the painting has been Following a review of the GRR's governance arrangements, the Director General of the immediate destruction, and a further 11,500 for stored at the Government Records Repository Department of Commerce decided that the role of the GRR was integral to the activities of the State Records Authority. In line with this approach, the GRR is developing a new strategic Business Plan for 2009-14.

We project that we will have sufficient storage space for the next three years, without the need for further large-scale capital investment in new buildings. The Western Sydney Records Centre has total storage space of 485,000 linear metres for non-current records and archives, with an additional 42,000 linear metres in five leased satellite repositories. It is intended to lease additional storage space in 2009-10 however the completion of the refurbishment of the Stage 2 building means we have no plans for any large capital investments in the coming financial year.

We are aiming for 3% net growth in our holdings during 2009-10, requiring us to accession into storage a greater quantity of records than are destroyed or permanently removed. This figure reflects the continued emphasis we and our clients are placing on the destruction, culling and Records storage and retrieval service at a glance: transfer to archives of previously unsentenced records.  527 linear kilometres of secure, clean, storage available in western Sydney.  Efficient and reliable same day delivery of files in secure, unmarked vehicles. Further enhancements to the RS-SQL inventory control system are proposed to support our  Guaranteed express delivery (within 90 minutes) for an additional fee. billing process, and transport and courier service.  After hours file retrieval possible. File listing, boxing and culling services available.

26 Annual Report 2008-09 State Records NSW 26 Performance and outlook Performance and outlook

Efficient retention of public sector records Efficient retention of public sector records

27 Annual Report 2008-09 State Records NSW 27 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector CEOs and public officials aware, committed and skilled

State Records sets and promotes standards for the creation and State Records has limited powers to management of official records across the NSW public sector, and compel NSW public offices to provides assistance to public offices implementing quality implement quality recordkeeping. We Objectives for 2008-09 recordkeeping. We believe quality recordkeeping underpins prefer to encourage good practice by  Continue Chief executives strategy, efficient government frontline service delivery to the community, raising awareness of records management particularly sending information on standards and obligations, and by and supports good governance and accountability. Quality recordkeeping obligations to new public providing records management training sector CEOs. recordkeeping is an integral part of effective and efficient public and educational opportunities for public  Continue records management short administration. officials. Our annual training program is course training program, in partnership Our success in this area depends on all public sector officials, well known and continues to meet demand with private sector providers. chief executives and their staff being aware of how records across the State. Promoting good should be managed, having appropriate knowledge and skills, recordkeeping across the NSW public Achievements and highlights and implementing good practices. sector, and getting chief executives to  1,338 participants in records management commit to it, is the greater challenge for events, including 391 records Goals: us. management practitioners trained across  To increase awareness, commitment and skills of CEOs and NSW. public sector officials in the creation and management of Demand for records management training  Advised 25 new chief executives of official records. continues recordkeeping obligations.  To encourage public offices to put in place effective records In collaboration with our training partners, 31 management programs, systems and practices applicable to short courses were delivered to a total of 391 their business. participants, indicating there is still strong Our commitment to improving the level of re-  To help public offices to make and keep authentic and demand for records management training. cords management skills across the NSW public accessible digital records. Courses were held at locations around NSW: 23 sector is long standing: we have provided short in the Sydney CBD or Western Sydney and 8 in Our report on the state of public sector recordkeeping as at 30 course training for over 25 years. Thanks are regional centres (Albury, Coffs Harbour, June 2009 is contained elsewhere in this annual report. due to our training partners: Recordkeeping In- Cooma, Dubbo, Parkes and Port Macquarie). novation, Siller Systems While demand for training continued during Administration, State Library of NSW, and 2008-09, there were a number of course Synercon Management Consulting. cancellations due to insufficient a numbers. Our training partners require a minimum number of enrolments to run a course. Course numbers in regional centres still continue to be low in comparison to Sydney courses. Overall the lower demand reflects the tighter financial environment. Training course participants Some of our training partners have taken the initiative to arrange and deliver in-house Result Result Result Result Result courses for particular public offices, and these 04/05 05/06 06/07 07/08 08/09 have included conducting tailored courses on 3 occasions for 2 clients. 361 321 463 597 391 Minor revisions were made to training courses during the year in order to ensure that up-to-date information was delivered during training sessions. With revisions to State Records’ advice on implementing retention and disposal authorities, the Implementing a Retention and Disposal Authority training course was reviewed and updated in 2008-09.

28 Annual Report 2008-09 State Records NSW 28 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector CEOs and public officials aware, committed and skilled

29 Annual Report 2008-09 State Records NSW 29 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector

Effective records management programs, systems and Increasing CEO awareness and Recordkeeping events improve awareness practices across NSW public sector commitment to recordkeeping and skills Our success in improving records management Quality recordkeeping depends on State Records undertakes a number of initiatives across the NSW public sector relies on our public offices having effective programs, aimed at raising recordkeeping awareness and ability to make CEOs aware of the benefits of systems and practices in place so that Objectives for 2008-09 the skills of public officials and ultimately good recordkeeping and persuading them to public officials know what records to  Meet continued demand for expert advice building a strong recordkeeping culture within commit to implementing standard practices. create, what to file and where records are on recordkeeping from public officials. the NSW public sector. During the year: Despite anecdotal evidence indicating we are kept. Business information is an essential  Obtain intelligence on current digital making a difference, this continues to be a  230 NSW public officials attended our asset in a knowledge economy. Failures to recordkeeping practices and extent of challenge for us. quarterly Records Managers Forums (three document decisions, failures to make challenges facing the NSW Government. in Sydney and one in Orange); accurate records, or failures to locate  Develop new standard and guidance to State Records last conducted research among  140 attended a joint State Records and information can cost the NSW Government assist public offices to manage digital CEOs on their awareness and commitment to Government Chief Information office forum financially or can cause embarrassment records. recordkeeping in 2002. This showed areas where on records management and information and result in loss of public trust. State State Records could improve and led to technology working together; Records believes that effective records Achievements and highlights development of our on-going Chief executives  163 attended briefings specifically on local management programs, systems and  Standard on Digital Recordkeeping strategy. We have not had the resources to government matters including practices ultimately support good developed and issued. repeat the research to ascertain whether our presentations on disaster management, the outcomes for the community as well as  Participation on committees overseeing strategy is achieving the desired effects. ‘Future Proof’ strategy and managing minimising business risk across the public implementation of electronic document During 2008-09 we promoted good archives at the Records Management sector. and records management systems. recordkeeping to CEOs through: Association of Australasia’s Local  Six new guidelines on recordkeeping Government Chapter meetings in Sydney, State Records aims to influence how developed.  Sending 25 information packs to new Maitland and Wagga Wagga; records are managed in hundreds of NSW CEOs.  70 attended a presentation on web public sector organisations and across  Issuing Future Proof newsletter to all CEOs. recordkeeping at the Local Government thousands of workplaces. We have direct Web Network meeting: and contact with, and provide advice to, about 500 organisations, a high proportion of  344 attended presentations and talks which are in regional and rural NSW. We given to specific public offices or at records expect parent departments to take a Highway at Somersby. The assistance was management events. leadership role with those branches and requested as State Records had the appropriate units we do not have regular contact with. expertise to undertake the inspection and Monitoring public sector performance and assessment of the Council’s records compliance is a challenge for us. management system. A report of the Government Recordkeeping Showcase, assessment was forwarded to the review McKell Building (3 September, 2009) personnel and State Records’ report was State Records provides expert assistance incorporated into the final report presented to In October 2008, State Records was asked to the Minister of Local Government. Separately, provide assistance to the Minister of Local State Records conducted its own assessment of Government’s review of Gosford City Council as recordkeeping issues which were highlighted at a result of recommendations made by the the Coronial inquest. Coronial Inquiry into the collapse of the Pacific

Outlook and capability State Records will continue to promote the benefits of good recordkeeping to chief executives of Records management standards and guidance at a glance: NSW public sector organisations. Promotion will focus on strategic areas such as improving digital  Online Government recordkeeping manual provides one place to go for all recordkeeping and developing and implementing records retention policies. We will continue to provide, with the support of training partners, a range of short course records management standards, policies and guidance. training to records practitioners around NSW. Training courses will also focus on strategic areas.  Seven mandatory records management standards currently issued. During 2009-10, we will seek to raise awareness and understanding of digital recordkeeping  Over 55 separate guidelines on all aspects of recordkeeping and records requirements and tools amongst ICT professionals, to enable better cooperation with management. recordkeeping professionals in the design of compliant systems that support business.  Surveys of public sector records management practice and compliance conducted from 1996 to 2009.

30 Annual Report 2008-09 State Records NSW 30 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector

31 Annual Report 2008-09 State Records NSW 31 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector Quality recordkeeping across the public sector

Instances where we followed up on reports of Digital recordkeeping standards recordkeeping failure are described in our After a formal consultation process, State report on the ‘State of public sector Records issued an exposure draft of a new recordkeeping’. records management standard, the draft  as a member of Standards Australia IT/21 Advice and guidance provided in response Standard on digital recordkeeping in June 2008. to demand Designed to replace two existing records  subcommittees IT21/5 Recordkeeping management standards, the draft standard State Records provided an advisory contains nine requirements relating to digital service to public offices on a range of records  Compliance, IT21/7 Recordkeeping recordkeeping systems, recordkeeping management issues via mail, email and Metadata, IT21/9 Records Classification, Digital records and information metadata and recordkeeping metadata telephone. As well as a new Standard on Digital IT21/10 Records Storage and IT21/11 management strategy management. Recordkeeping, six new guidelines were added Integration of Digitisation. to our manual for records management ‘Future Proof’ is State Records’ continuing Guidance was issued to support implementation practitioners. The guidelines addressed specific strategy for ensuring that, by 2014: of the standard and briefings were held in the Digital recordkeeping guidance and tools issues facing public offices, providing guidance Sydney CBD and Western Sydney in September  the New South Wales public sector is In September 2008 we launched the Future on issues such as implementing the standard on 2008. A compliance timetable accompanies the making, keeping and using digital records Proof website to enhance understanding in the digital recordkeeping etc. In addition, guidance standard. Adherence to the requirements that document high risk government NSW public sector of digital recordkeeping and on knowledge management and recordkeeping, outlined in the timetable will be monitored by business processes; the long term preservation of digital records, implementing a retention and disposal State Records. this interactive site features: authority, and recovery of estrays were  the State’s digital State archives are substantially revised. protected and preserved; and On May 19 2009 the Premier issued a  a blog on topical digital recordkeeping Memorandum to government agencies on the  digital records of NSW government issues, We continued to communicate regularly with NSW Standard on digital recordkeeping, business are available and usable to records management contacts and others in M2009-11 NSW Standard on digital government and the public where access  a podcast series designed to enable those public offices via our online newsletter For the recordkeeping. The Memorandum directs restrictions permit. unable to attend forums or briefings to Record. It is produced six times a year and agencies to the Standard for minimum have access to specific information, provides updates on developments and requirements in relation to digital recordkeeping products and, from time to time, guidance on and includes the timetable phasing in the  news announcements, and particular issues. Standard's requirements as an attachment. In the Memorandum, the Premier stresses the  links to State Records and Government Keyword thesaurus products still selling importance of making and keeping trustworthy Chief Information Office resources and State Records has offered keyword thesaurus digital records, noting that this is "in keeping publications. products for over 20 years and has good with my commitment to fostering openness and market penetration in Australia, both in the accountability in New South Wales by improving Since its launch in September 2008, there have public and private sector. The products are access to information about the activities of been over 4,700 visits to the site. designed to be adapted by organisations for use NSW Government.” in classifying and indexing their records. Our In 2008-09 our suite of digital recordkeeping two records management thesaurus products Industry Involvement publications grew, with the following titles continued to sell well, particularly outside the State Records participates in industry research added: NSW public sector, where they are widely used. and standards-setting where the outcomes have direct relevance to recordkeeping in the NSW  Guideline 22 Managing digital records public sector. During 2008-09 we participated in the following ways:  Guideline 23 Short guide to implementing Keyword licenses sold and revenue View of the web page the Standard on digital recordkeeping  as a member of the Standards Australia IT/21 Records Management Committee  Guideline 24 Records management and Result Result Result Result Result web 2.0 04/05 05/06 06/07 07/08 08/09

Keyword AAA 25 19 23 11 21 Outlook and capability Keyword for 30 27 18 25 17 State Records will continue to develop and provide records management advice, guidance and Councils tools to assist public offices. We will continue to work with stakeholders, industry partners and Revenue $50,533 $38,663 $33,085 $22,860 $30,970 others to ensure that we provide the most relevant advice and the right tools.

32 Annual Report 2008-09 State Records NSW 32 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector Quality recordkeeping across the public sector

33 Annual Report 2008-09 State Records NSW 33 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector Quality recordkeeping across the public sector

Targeted monitoring undertaken updated and submissions from public offices, On November 13 a joint State Records and the Digital Records Advisory Group State Records monitors public office outlining how a digital State archives facility Government Chief Information Office Forum, In order to ensure that the Future Proof recordkeeping performance and compliance was important for them, were gathered in ‘Changing attitudes and working together’ was strategy takes account of current issues and through surveys and by reviewing reports of support of the proposal. State Records will held by at the Australian Museum. It was the needs of the public sector, a Digital the Audit Office, Ombudsman and ICAC. In continue to promote the business case for this attended by over 140 records, information Records Advisory Group was established in addition, we respond to recordkeeping project in 2009-10. In the interim, we have management and ICT professionals, and August 2007. The Group: performance issues raised by the public and the continued to prepare for digital archiving by featured case study presentations from media. promoting the Policy on digital records agencies as well as presentations from experts  advises State Records on real world preservation, testing long term preservation on topics including information security and examples of digital records issues and A general survey of records management solutions and building internal capacity to move using a service oriented architecture based challenges; compliance was not conducted during 2008-09. into our new role as a repository for ‘born approach to solving recordkeeping problems.  provides feedback on products developed Two surveys on storage arrangements, storage digital’ State archives. as part of the digital records and archives costs, and implementation of retention and strategy; and disposal authorities were undertaken in 2008. Marketing digital recordkeeping  will be invited to test digital records and The surveys were targeted at NSW Government The Future Proof strategy was formally archives solutions. agencies and State Owned Corporations, and launched at the Sydney Records Centre on The Government Chief Information Office and the public health system. September 18 2008, by the Government Chief State Records are both represented on the The findings of the survey of NSW Government Information Officer, Emmanuel Rodriguez. The committee. agencies and State Owned Corporations were event was attended by a wide cross section of The Digital Records Advisory Group is currently reported on in last year’s annual report. industry leaders and professionals from the comprised of representatives from: digital records and information management In response to the agency survey findings, we discipline, including practitioners from NSW  City of Sydney followed up with 12 NSW Government agencies Government agencies, local government  Department of Commerce and State Owned Corporations that had Councils, universities and the health sector,  Department of Corrective Services significant accumulations of unsentenced software industry representatives and  Department of Premier and Cabinet records. We will continue to monitor these representatives of the archives/records  Government Chief Information Office organisations to ensure that progress is made community.  Hunter New England Area Health Service to reduce accumulations.  Ministry of Transport In response to our survey findings of health (L-R) State Records’ Director Alan Ventress and  NSW Ambulance Service organisations, the NSW Department of Health Senior Project Officer, Government  ServiceFirst issued H09-5094-2 to Chief Executives of Recordkeeping, Cassie Findlay with Colin Griffith  Transgrid health organisations in February 2009 and Kate Harrington from the Government Chief  The University of Sydney requesting that they undertake a review of Information Office at the joint Forum ‘Changing records stored in secondary storage and an Attitudes and Working Together’ at the Australasian Digital Recordkeeping assessment of economic viability to sentence Australian Museum on November 13. Initiative (ADRI) partnership records, and develop a 5 year strategy to We worked closely with others on digital sentence accumulations of unsentenced Over the course of the year we also gave talks recordkeeping and archiving strategy and records. and presentations on a range of digital tools. Australian Digital Recordkeeping recordkeeping topics for the Local Government Initiative (ADRI) is an undertaking of the In 2010 we will undertake a targeted follow-up and Shires Associations’ (LGSA) Local Council of Australasian Archives and Records survey of a range of organisations to determine Government Web Network, ARK Group Authorities, the peak body of government if progress is being made in reducing conferences and the Parramatta Heritage archives and records institutions in Australia accumulations of unsentenced records held in (L-R) Former Director of State Records David Centre. and New Zealand. The primary objective of storage. Roberts, Government Chief Information Officer ADRI is to pool resources and expertise to find Emmanuel Rodriguez and Director Alan Ventress In 2009-10 we will be testing and rolling out better ways to ensure that digital records are Digital archiving solution training for public offices on managing digital preserved and made accessible for the future. In 2008-09 State Records resubmitted the busi- records and holding a three day intensive Digital recordkeeping awareness, In 2008-09 State Records took a lead role on ness case for a whole of government digital ar- course on digital records preservation for State knowledge and skills two ADRI projects; the development of a public chiving solution but was not successful in Records staff. statement on the costs of storing unstructured securing funding for the project. In June 2009 During 2008-09, we conducted or participated data, and the exploration of the feasibility of a financial information in the business case was in a number of events to raised awareness and understanding of digital recordkeeping common standard for an XML schema for the challenges and solutions. development of disposal authorities by ADRI members.

34 Annual Report 2008-09 State Records NSW 34 Performance and outlook Performance and outlook

Quality recordkeeping across the public sector Quality recordkeeping across the public sector

35 Annual Report 2008-09 State Records NSW 35 Performance and outlook Performance and outlook

Case study Digital records bring significant benefits to Housing NSW Sensitive public sector information In June 2009, Housing NSW replaced its paper client records systems with TRIM, a digital records system. The new system has improved appropriately protected recordkeeping practices as well as reduced paper use and minimised storage costs. Housing NSW uses over 80 different forms to manage housing applications and tenancies and around 65 offices across the state Most information kept by the public sector for more than 30 receive over 30,000 pages of documentation each day from clients. years should be accessible to the public, as sensitivities in the By going digital, there are significant business benefits including cost records diminish over time. Some information in records, savings, environmental benefits, and efficiencies in client services. however, must be protected from disclosure over longer periods of time. The people of NSW expect their personal information, The new digital records system means a client’s documents can be where it legitimately continues to be held by Government for scanned into TRIM and returned to the client on the spot. If more than 30 years, to remain protected from public disclosure. documents are received by post they are scanned and destroyed. All Records may also be withheld from public access for security offices have been equipped with high quality scanners which can scan reasons or to protect ongoing commercial confidentiality. large quantities of paper quickly. Paper files have been closed and existing files are scanned as required. Goals:  Encourage public offices to make access directions Staff are now creating over 4,000 digital client documents per day. (decisions about public access) for all records over 30 years Benefits of the new system include: old.  Storage space for over 30,000 pages a day is no longer  Protect sensitive information through the application of required. appropriate closure protocols.  Paper files no longer restrict where business is done. Applications can be assessed where client service and business efficiency is best served.  Files can be instantly retrieved when speaking to a client on the phone.  There is no need to transport client documents between offices, saving on mail and courier costs. There are no delays in retrieving files. The GRR provides specialised storage for non-standard  Sensitive documents can be accessed digitally with appropriate records formats. access controls.  Record storage processes and record movement can be monitored and managed more easily.  There is better security as digital recordkeeping leaves comprehensive audit trails. Documents cannot be damaged, removed or lost. The Housing Appeals Committee has gone digital and records are now available to members via a secure website. Housing NSW will complete the introduction of digital records across the organisation by June 2011.

Outlook and capability 2009-10 will be another crucial year for the Future Proof strategy. The requirements of the new Standard on digital recordkeeping are being progressively phased in with the first deadline having already occurred (June 30, 2009). Monitoring of public offices’ compliance with the requirements of the compliance timetable will commence in 2010. We will continue to develop tools, training and guidance and will work closely with the Government Chief Information Office on ensuring that we offer an integrated approach to digital recordkeeping and information management across the sector. It is critical that our efforts to secure funding for the Whole of Government Digital Archiving Solution are maintained. Without a facility to accept, preserve and make available State archives in digital formats, New South Wales faces the prospect of a ‘digital dark age’, with the loss of important digital records. Such a loss of official records would adversely affect citizens’ rights and entitlements, government efficiency and our ability to reconstruct our past.

36 Annual Report 2008-09 State Records NSW 36 Performance and outlook Performance and outlook

37 Annual Report 2008-09 State Records NSW 37 Performance and outlook Performance and outlook

Sensitive public sector information appropriately protected

Access directions cover all records kept more than 30 years

The State Records Act requires public offices to make access directions. Access Aborigines Welfare Board indexing project directions either open records to public Objective for 2008-09 Case study A project to index the records of the Aborigines Welfare inspection after 30 years or close them for  41% of public offices have comprehensive Board was undertaken by State Records as part of the a longer specified period. There is a access directions in place. Aboriginal Trust Fund Repayment Scheme. Funded by the presumption that most records will be open Department of Premier and Cabinet the project was to public access after 30 years. Types of Achievement similar to the previous indexing project of Aborigines records that may require a longer period  41% of public offices have comprehensive Welfare Board records contained within the Chief closure to protect sensitive information are access directions in place. Secretary’s correspondence. The project included 292 identified in the Attorney General’s boxes of correspondence files, 1949-69, currently closed Guidelines for Making Access Directions. reflects the ending of the strategy encouraging to the public for 100 years to protect sensitive personal We maintain a register of access directions councils to make directions. information. While some of these records contain very on our website and assist public offices to sensitive personal information many contain non-sensitive Like records retention policies we rely on public make access directions. information. The project to index the records allowed the offices to make access directions providing opportunity to inspect records at an item level for assistance to them as required. The main Increase in access directions sensitivities. State Records adapted access procedures Eleven public offices made comprehensive trigger for making access directions remains the and a system of sensitivity labels developed for the Chief access directions during the year, bringing the requirement that all State archives transferred Secretary’s records for this larger project aimed at percentage of public offices with coverage for all to State Records to be covered by an access opening previously closed records. Sensitivity records over 30 years old to 41% (of a current direction. There continues to be an increase in recommendations made by the indexers can now be used total of 417 public offices that do not include public offices making comprehensive access to inform the allocation of access directions and so while Ministers’ offices). This met our target. The directions as they transfer records under newly ensuring sensitive information is appropriately protected smaller amount of public offices making access approved retention policies. also allowing for greater public access to records that directions compared to the last three years document the functions and workings of the Board.

Number of public offices making access directions

03/04 04/05 05/06 06/07 07/08 08/09 Number of access Partial 13 12 7 3 - 2 directions made not coverage indicative of complexity of work or Comprehensive 9 10 29 78 quantity of records 22 11 coverage covered.

Number of public offices making access directions 2008-09 – Partial coverage access directions = 2 public offices 2008-09 – Comprehensive coverage access directions = 11 public offices

Outlook and capability We continue to face challenges in encouraging public offices to make access directions for all Public access to records at a glance: their records over 30 years old. Following the success of the strategy for local councils we will  Official records kept 30 years or more generally become accessible to the public. continue developing similar strategies that target individual public offices and promoting general  Access to records over 30 years old may be restricted to protect ongoing personal model directions for particular functions across government. This year we will target the privacy, confidentiality, Indigenous cultural sensitivities, or security. university sector. In addition our program to increase the coverage of public offices by  Records less than 30 years old transferred into the State archives collection may comprehensive retention policies by 2010 is expected to increase transfers of records as State be publicly accessible. archives resulting in an increase in public offices making access directions.

38 Annual Report 2008-09 State Records NSW 38 Performance and outlook Performance and outlook

Sensitive public sector information appropriately protected

Access directions cover all records kept more than 30 years

Number of public offices making access directions

Number of public offices making access directions 2008-09 – Partial coverage access directions = 2 public offices 2008-09 – Comprehensive coverage access directions = 11 public offices

39 Annual Report 2008-09 State Records NSW 39 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection Public offices protect or transfer archives

Public offices are responsible for protecting that part of the State’s archival State Records develops and preserves the State archives heritage which is under their control. Many Objectives for 2008-09 collection so that it is available to the people of NSW now and in public offices hold records of archival  Encourage public offices to transfer their the future. The State’s archives are also the corporate memory of value which they no longer use. State archival value records to our custody. the NSW Government and broader public sector and therefore Records encourages public offices to have value to public officials. As our collection comprises the transfer these records to us, to ensure Achievements and highlights earliest government records in Australia, dating from the arrival their ongoing preservation. We can also  6,079 linear metres of archives plus 617 of the first Europeans, it is also used by people around Australia make the archives accessible through our plans transferred as State archives. and the world. public reading rooms and online services. Records to be added to the collection are identified in records Archives not transferred to our custody, or retention policies. We encourage public offices to transfer these to one of the six regional repositories, are Good progress was made on the records to our custody when they no longer need them. There at greater risk of loss or accidental documentation front with many of State has been an encouraging increase in transfer activity in recent destruction or damage. State Records can Records’ distributed management clients. years, but many valuable public sector archives remain in public also make agreements with public offices Draft registrations are in place for several key offices, often in less than ideal conditions. to preserve and make accessible their own series of Police Special Branch records, and Most of the current State archives are in their original form archives, where it is logical for them to do work on registering Lands records at Charles (paper and other media) and remain uncopied, which poses so and they can meet important Sturt University Regional Archives is challenges in their ongoing preservation and making them widely conditions. proceeding well. The University of accessible. A major challenge is to catalogue and document the Wollongong has also made considerable collection, particularly individual items. Continuing interest from agencies in inroads into its arrangement and description work with Local Government Records, while Increasingly, records of government business are ‘born digital’. managing their own archives Newcastle Region Library registered a range State Records has developed a policy on the preservation of While there is a strong desire amongst of education and Water Board records. To digital records which establishes a conceptual basis for our councils and universities to retain custody of, assist with the development of future approach to keeping digital State archives indefinitely. We are and manage their archives, few agencies strategies for documenting local government seeking support from the Government to put in place the (particularly local councils) are adequately archives, a preliminary survey of holdings of necessary staff, technology and guidance to make digital resourced to meet the essential conditions for these records in the South-East Zone of NSW archiving operational. managing and making accessible their part of was conducted using a range of secondary the State archives collection. The State’s State Records provides access to the State archives through two sources. archives can only be managed outside State reading rooms, our website and 40 community access points Records’ custody by agreement, which places across regional NSW. We are committed to maintaining a range a number of obligations on the public office. In of access points. We are also committed to promoting the State effect, control over the archives still passes to archives collection as a rich cultural and information resource. State Records. This involves us in presenting an extensive public program of talks, tours, exhibitions and other events. Goals:  To have public offices transfer their archival records, including digital archives, to our custody or a regional repository once Archives management at a glance: they are no longer in current use, unless it is appropriate for  The State archives collection is distributed, being located in Western Sydney and them to manage their own archives.  To ensure the State archives collection, in all of its locations five regional centres. and formats, is appropriately stored and preserved.  State Records has purpose-built storage for archives.  To catalogue and document the State archives collection so  Public offices can transfer records that are identified as State archives in a that it is accessible to the people of NSW and Government, and records retention policy, are covered by access directions and meet other to facilitate its management. conditions.  To provide a diversity of channels by which the people of NSW  Public offices can manage their archives as part of the distributed State archives can access the State archives collection. collection, by agreement with State Records.  State Records is seeking government support to implement a whole of government digital archiving solution for ‘born-digital’ State archives.

40 Annual Report 2008-09 State Records NSW 40 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection Public offices protect or transfer archives

41 Annual Report 2008-09 State Records NSW 41 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

Support for regional repository Wollongong and Wagga Wagga to assist with network documentation projects. Record quantity of State Archives the other major series transferred) are being Support for the six regional repositories transferred digitised, thus allowing the original records to continued, focussing on grant funding, training State Records has developed a new blog State Records encourages public offices to be ‘retired’ to archival storage. Other transfers and advice on preservation, documentation and "Archives Outside", which has the dual aims of transfer their archives to our custody. Quantities of note included patient records from Royal transfer matters. There was an increase showcasing the Regional Repository Network of archives proposed for transfer fluctuate from North Shore, and a number of consignments of in contacts from agencies interested in and regional archive collections generally, as year to year, and are largely outside our control. Parliamentary archives transferred to the care transferring State archives to regional well as providing basic guidance and support on The potential scale of these fluctuations is clearly of State Records under an agreement with the repositories. This was especially gratifying as topics related to archives management for the illustrated by the record quantity of records two Houses of Parliament. the enquiries were from agencies geographically many people and community organisations received as State archives during 2008-2009. dispersed across the State, and involved 5 out Archival transfer activity is currently being across the State caring for archives without of the 6 regional repositories. Two direct 137 transfers covering more than 200 series were managed within the constraints of reduced ready access to expertise. received; with standard format State archives staffing levels, resulting in unavoidable delays transfers to regional repositories were finalised totalling 6,079 metres (an all-time record, and in providing advice to agencies and in in 2008-2009, and a number of additional Offers of State archives gratefully more than double the previous highest figure of approving documentation and collecting the transfers are anticipated in the coming year. acknowledged 2,644 metres in 2004-05). The most significant records. Some official records have in the past strayed State Records continued to build relationships from the public office that created or held them. contributor to this figure was the Department of with each regional repository. The Director Lands; with the series of Old Form Torrens Title State Records relies on the generosity of the visited the regional repository in Broken Hill public to return those records which would Bound registers making up the bulk of the records (July 2008) and together with the Senior Project transferred. The primary impetus for this large make a valuable addition to the State archives Officer visited Wagga Wagga (20 August 2008) collection. scale transfer was the move to digital modes of and Armidale (21 November 2008), and was business within the Department, as both the joined by the Manager Archives Control in a visit State Records gratefully acknowledges the Torrens title records and the Crown plans (one of to Wollongong (22 May 2009). The Senior following people and organisations for their Project officer made additional visits to donations: Donations of records Metres of standard format records transferred as archives

Donor Records donated Result 05/06 Result 06/07 Result 07/08 Result 08/09

NSW Schoolhouse Museum of Department of Education: Tender register Archives transferred to State 554 849 1,326 6,079 Public Education Records’ custody Cornstalk Bookshop Volume of trainees’ salaries and wages

Ms S Johnston Papers of Frank Halstead Brewster Number of non standard format items transferred as archives Mr Stone Lidcombe Hospital surgical registers Result 05/06 Result 06/07 Result 07/08 Result 08/09 Richard Shadrack Maps and plans 3,542 17,146 171,937 617 Copy of a Sydney Harbour Bridge Plan Main Span and General Elevation Ms Glenda Valais This category only includes larger-format maps and plans and a small number of documents Various registers from the Grubben, Flowerdale, Termeil and counted individually. The majority of Crown plans received during the year were transferred in Tottenham schools dating from 1933. boxes, and counted as part of the main transfer statistics (calculated in linear metres). Casino and District Historical Society A set of plans and specifications for the construction of Casino Public School

Carole Rollans Two registers relating to patient admissions from the Rydalmere Hospital for the Insane, covering the period 1905 - 1909 and 1931 - 1948

42 Annual Report 2008-09 State Records NSW 42 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

Donor Records donated Result 05/06 Result 06/07 Result 07/08 Result 08/09

Carole Rollans Two registers relating to patient admissions from the Rydalmere Hospital for the Insane, covering the period 1905 - 1909 and 1931 - 1948

43 Annual Report 2008-09 State Records NSW 43 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

The State archives collection is appropriately stored and An anonymous donation of a substantial preserved collection of glass plate negatives chiefly comprising images of a variety of vessels in Sydney Harbour during the period c. 1910 - State Records manages an extensive 1950 created by the Maritime Services Board government archive collection, comprising Objectives for 2008-09 and its predecessors was also received. The items of varying formats, across seven  Preserve born-digital State archives. making of this donation was facilitated by locations. The increase in number of public  Undertake conservation treatment on Graeme Andrews OAM, a maritime historian offices subject to the State Records Act in priority items. and researcher. 1999, increased the potential amount of State archives by 50%. Achievements and highlights  Digital archives pilot project commenced. Archives require clean,  Priority items received conservation environmentally-controlled storage treatment. conditions to help ensure their preservation over many years. Non standard format archives, such as film, require purpose-built cool storage. Archives in digital format require a The State archives collection continues to different storage and preservation regime. grow

We are committed to providing the best The State archives collection increased by a available storage conditions for all of the record quantity of 6,079 metres of standard State’s archives. Whilst this slows further format archives (plus 617 maps and plans) deterioration to the archives, a major during the year, bringing the total collection to challenge is dealing with archives that almost 66 kilometres and more than 340,000 require conservation treatment. maps and plans. Standard format archives include files and volumes stored on shelves, and all other records counted in linear metres (including Record items of non standard format in microfilm reels, film and audio visual items). archival custody Maps and plans cover all records of this type Ocean Wave Hotel, corner of Gloucester Street other than those counted in linear or cubic and Little Essex Street, The Rocks (NSW), n.d. Result Result metres. From NRS 4481 Government Printing Office 07/08 08/09 Glass Negatives In State Records’ 336,675 337,330 Digital Digital ID: 4481_a_026_00062 custody Metres of standard format records in archival custody In regional 8,588 8,588 repositories Outlook and capability Total non-standard 345,233 345,918 Result Result format in archival 07/08 08/09 State Records anticipates that significant quantities of archives will be transferred to our custody custody Archives in State 53,961 60,033 over the next five to ten years, as the bulk of paper-based records become inactive and as Records’ custody agencies with responsibility for vital infrastructure implement major copying projects. Larger Figures include a small quantity of large-sized individual sized maps and plans in particular will have a major impact on our storage facilities and documents stored in the same way as maps and plans. Records to be appraised 3,509 3,524 equipment. Increased demand for the transfer of State archives in digital form is expected, but An additional 114.45m3 of non standard format items in State Records’ custody are not shown in totals. we continue to be hampered by the lack of an appropriately resourced digital archives facility. Total in State Records’ 57,470 63,547 Whilst transferring archives into our custody is important to us, we will also continue to support a custody distributed State archives collection. To this end we aim to put more distributed management agreements in place with regional repositories and those public offices that have the capacity to Archives in regional 2,372 2,372 manage archives in accordance with the conditions that ensure they are properly preserved, repositories documented and accessible to the community. Total in archival custody 59,842 65,919

44 Annual Report 2008-09 State Records NSW 44 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

45 Annual Report 2008-09 State Records NSW 45 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

The State archives collection is catalogued and documented Planning for digital archives preservation Visits and tours at our conservation facilities at In 2008-09 State Records resubmitted the Cataloguing and documenting the State Objectives for 2008-09 Kingswood are given for agency staff and archives collection is essential for making business case for a whole of government digital  Catalogue 30,000 records items and reach members of the public (there were 41 such archiving solution but was not successful in it accessible to the public and Government, more than 270,000 record items visits during the year), and we occasionally and for managing the collection. While securing funding for the project. State Records discoverable online. take short and longer term work experience much of the collection is documented well will continue to promote the business case for  Improve documentation and cataloguing placements. at a broad level, extensive work is this project in 2009-10. In the interim, we have of the Colonial Secretary’s required to catalogue individual record continued to prepare for digital archiving by correspondence. Items receive conservation promoting the Policy on digital records items so that they are discoverable treatment  Improve documentation of regional State preservation, interim testing of long term through our online catalogue. Individual With a large collection (including many records archives by distributing grant funding for preservation solutions and building internal items include files, volumes/registers, in fragile condition), there is considerable Archives in the Bush. skills and capacity to move into our new role as plans, and demand for items to be treated to allow for a repository for ‘born digital’ State archives. photographs. access, copying or display. 1,096 items were Achievements and highlights Preservation advice provided to agencies treated during 2008-2009, a 250% increase on In addition to cataloguing, we publish  29,682 record items catalogued, bringing As the level of transfer activity has increased, the previous year. The largest category was guides to the collection to help total discoverable online to 269,832 and more agencies are undertaking large-scale agency retrieval (845 items), in particular files researchers better understand and locate record items. digitisation projects, there is a need to provide recalled by the Department of Community archives on a particular theme or from a  Population of database commenced for expert preservation advice before records are Services. Records were also treated for particular period. Colonial Secretary’s correspondence. actually transferred as State archives. State researcher access or copying purposes (86  $60,000 distributed as grant funding to Records has an ongoing relationship with the items, including 50 mould-affected records), regional repositories for documentation Department of Lands in relation to the and for exhibition loans (42 items). projects. preservation and documentation of several The pressures of ‘on-demand’ conservation major projects, and we also visited a number of work left limited time for other work, so modest other agencies during the year, particularly Colonial Secretary’s correspondence progress only could be made on a number of Environment and Climate Change (National planned projects, such as a survey of The Colonial Secretary’s correspondence dating Parks and Wildlife). photographic, film and other audiovisual format from 1826 to 1856 is part of the State archives State Records seeks to ensure that records of records. collection that we consider to be at significant archival significance are being properly stored risk. This is because it remains uncopied and As funds permit, we are continuing to copy and managed while still in agency custody, and insufficiently catalogued at a detailed level selected cinematographic films from the to provide guidance on appropriate handling, which makes it vulnerable to damage and loss collection, giving priority to titles in poor packaging and transportation for records to be through continued use. In 2002 we condition. Preservation and reference copies of transferred. We also assist agencies to identify commenced a long-term project to catalogue a further 12 titles were made during the year. seriously damaged records, and advise on and copy these valuable archives, commencing We also commenced negotiations with the essential remedial conservation work that may with the letters dating from 1826 to 1832. National Film and Sound Archive (Sydney be necessary before they can be accepted into Office) with a view to publishing excerpts from our custody. More general advice (by telephone During the year we: selected films through the new website or email) is also given to regional repositories, australianscreen.com.au.  Improved access to the 1826-1827 local libraries and councils, as well as to in-letters which have been relocated Government agencies.  Continued populating the prototype database that will assist with locating individual letters  Continued with the microfilming of the Harrington and Globe Streets, The Rocks 1826 papers (NSW), n.d. From NRS 4481 Government  Commenced preparing a number of Outlook and capability Printing Office Glass Negatives Special bundles relating to convicts for State Records will continue to implement its Future proof strategy, with a particular focus on Digital Digital ID: 4481_a_026_000152 filming building capability for digital archiving and digital preservation. Specialised facilities (cool and  Added to existing Special Bundles, cold storage) are also required for audiovisual records and some photographic formats. including four newly discovered Monitoring and treatment of records will continue in order to minimise their deterioration. Commissioner of Crown Lands Itineraries Conservation staff will continue to provide advice to agencies to assist in the preservation of 1839-44; and Pardons, 1829-41 records of long-term and archival value.  Created a number of new Special bundles relating to convict and shipping matters

46 Annual Report 2008-09 State Records NSW 46 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

47 Annual Report 2008-09 State Records NSW 47 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

Steady progress with item cataloguing 2008-09 has been a challenging year for completed, we are now in the process of At 30 June 2009, 269,832 entries relating to archival documentation work. Series redirecting our limited resources to the core record items were available through our online cataloguing is an inherently labour-intensive task of series documentation. catalogue Archives Investigator, an increase of task, and we are currently able to deploy only 29,682 items over the year. This was limited resources to deal with substantial fractionally below the target figure but we were numbers of new series being transferred and a able to add an additional 7,507 record items large inherited backlog. The key position separately to the website. These consist of lists Series and context documented responsible for documentation continues to be of significant files (‘Special bundles’) from filled on a part-time acting basis only, and we various NSW agencies that have not yet been have had a 30% reduction (from 4.6 to 3.2 included in Archives Investigator, but are linked FTE) in professional staff available for this work. to the relevant series entry. 2008-09 Total at 30 June 2009 However, progress has been made in a number Some of the more significant listings added to Series in State Records’ 34 605 of areas, including the registration of historical custody (new system) Archives Investigator were those for Ministry of and current agencies under the Department of Transport Correspondence files, 1932-60 (NRS Series in State Records’ - 13,571 Premier and Cabinet, improved documentation 10623), and Lands (Land and Property custody (from old sys- of the many Mining Warden’s Courts and Information) Strata plans, 1961- (NRS 18222). tem) Offices, a review of selected Police station Series in regional/ 33 691 agency registrations, and the expanding and distributed custody (new updating of existing registrations for Courts of system) Petty Sessions and Local Courts. A major - 74 Number of record items catalogued and Series in regional/ review of Person registrations for 124 judges distributed custody (from number of catalogued record items begun as part of the Concise Guide Transfer old system) discoverable online Project is nearing completion. Agencies 36 3,206 Result Target Documentation of changes at the ministry and 08/09 08/09 Persons - 83 portfolio level was completed. In light of a Record items 29,956 30,000 planned re-organisation of NSW agencies, we catalogued in Portfolios 10 249 documented existing administrative year arrangements as at 30 June 2009, and drafted Catalogued items *269,832 270,000 Ministries 1 92 registrations for the 13 proposed new super discoverable agencies. online Organisations 1 62 * Does not include record items available separately Several series of cinematographic films have on the website (currently 7,507 items). Not all items Activities 31 181 been registered in association with an ongoing W. P. Fitzgerald Grocery, 146—150 Cumberland catalogued are discoverable online. preservation and copying project. A full review Street, The Rocks (NSW), c. 1901 Functions - 14 was undertaken of all (400+) hyperlinks in From NRS 4481 Government Printing Documentation re-focus on series BOS/Archives Investigator following the Office Glass Negatives cataloguing transfer of the website to a new content Digital Digital ID: 4481_a_026_000112 Documentation is an essential part of accepting Remarks management system. Special bundles series in records into the State archives collection. The 59 registrations for judges are currently Archives Investigator were also linked to documentation methodology we have used revised. listings added to the website. A number of since 1994 is known as the ‘series system’ and regional series and related agency registrations is common to many Australian archival Note: ‘Old system’ refers to series recorded in our previous were also approved. institutions. This involves historical research primary catalogue, the Concise Guide. This guide is now which results in registrations of archival series superseded as a management tool and finding aid, and all (groups of related items) and registrations of series have been transferred to the new system (Business the bodies that created or were responsible for Operations System or BOS). The majority appear as interim them (agencies, persons). Broader contextual approved information is also captured about how the registrations, which will be selectively converted to full reg- NSW government has functioned and been istrations over time. organised since 1788. ‘New system’ refers to any series that were registered for With the catalogue consolidation project being the first time in our current catalogue/database (BOS), i.e. not previously recorded in the Concise Guide.

48 Annual Report 2008-09 State Records NSW 48 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

49 Annual Report 2008-09 State Records NSW 49 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

The State archives collection is widely accessible to people and Government

Access to the State archives collection is ‘Snow at New England’ the Armidale possible through our website and 42 Objectives for 2008-09 regional archives repository (Image physical sites located around NSW.  Enhance services to the public through our courtesy Bill Oates Armidale regional website. archives repository). We also provide email and telephone enquiry services for information about the Achievements and highlights collection and how to use it.  97,030 entries added to online indexes We are committed to all of these access  1,598,503 unique visitors to our website points. However, we see our website  Online ordering and payment for copies of increasingly as the primary channel for State archives increased by 7.8% providing services to the public. This is in  11,699 archival research and related line with global trends in provision of enquiries handled by post, email and archival services and aligns with telephone. Regional archives being documented Government priorities for electronic  During 2008-09, State Records website Phase two of Archives in the Bush (State Grants to regional repositories service delivery. It is a challenge keeping ranked consistently between 27 and 33 in Records’ grant funding program for regional up with the demand from our public the Top 50 NSW Government Websites repositories) continued for another year. The Repository Project Grant clients for web based services. major priority for funding continued to be $31,561 documentation projects to enhance the University of New Documentation of England and estrays and Lands accessibility of regional archives, and $52,893 Online copy order service continues to Regional records grow was distributed in three grants. Archives in the Archives Bush grants have made a major contribution to Online requests and payment for copies of the cataloguing of regional State archives since Charles Sturt Documentation of $15,000 records was introduced to better meet the funding commenced in 2001, with more than University Lands needs of our public clients. In the past year we 1,300 series registered by staff in regional Regional records have enhanced the service with the addition of Archives repositories. more records that may be copied. Newcastle Region Documentation of $6,332 Copy orders from the public Funds could not be spread more widely across Library Newcastle Education the network, as the overall budget was limited, records 2007-08 2008-09 Variation and several repositories were still in the process University of Conservation $5,884 Orders placed online 3,473 2,829 - 18.4% of completing projects funded in previous years. Newcastle program Smaller grants (in cash and ‘in kind’) to the Orders received by mail 711 748 + 5.2% Multiple Conservation $1,408 value of $7,292 were also made for repositories (3) supplies Copying orders from the 4,184 3,577 - 14% conservation purposes. Total $60,185 public

Note: The University of Newcastle grant-funded project for the arrangement and description of Hunter District Water Board records is pending due to staff resource constraints. Access to the State archives at a glance:  Our website - access to digital copies of archives, indexes, catalogues, guides, copying service. Outlook and capability  A major challenge for State Records is to increase the number of record items discoverable Western Sydney Records Centre, Kingswood – access to original records. through our online catalogue, while keeping up with cataloguing and documenting new archives  Sydney Records Centre, The Rocks – access to all copied records. as they are transferred to our custody. We also need to address a substantial backlog of  Six regional repositories (in Wagga Wagga, Newcastle, Armidale, Wollongong, and uncatalogued archives. Our volunteers are crucial to our success in this area. We would like to Broken Hill) - access to regional archives. develop the capacity to support a more active volunteer program.  34 access points (APs) in regional and rural NSW, mostly at public libraries – access to microfilm copies of most popular archives. Improving the capacity of the regional repositories to document the regional archives they hold will continue to be a goal for State Records, particularly given their limited resources, and the challenges they face in finding, training and retaining suitably qualified archival staff.

50 Annual Report 2008-09 State Records NSW 50 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

The State archives collection is widely accessible to people and Government

51 Annual Report 2008-09 State Records NSW 51 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

The current focus is on images of railway Satisfaction with access services among Advice and assistance is also provided in  Purchasing publications and copies of stations with the aim of creating a Flickr map of visitors response to enquiries from public offices. photographs in Photo Investigator (operates stations around New South Wales. Our annual survey of archive users was through the Government online shopping conducted from 20 October to 17 November facility, shop.nsw). In addition, a number of new presentations and 97,030 names added to our website 2008 . The survey is used to gauge the  A shopping cart system to allow the purchase videos have been posted on YouTube, and State indexes satisfaction of visitors with our services and to of copies of records discovered in Archives Records maintains two blogs, one in Indexes to State archives are one of the most assist us with planning and improving services. Investigator, and the pre-ordering of records association with the Future Proof website, and popular resources on our website. For many discovered in Archives Investigator in Archives Outside, a new blog launched in May people, names of people, places and subjects Website visitors increase as electronic preparation for a visit to the Western Sydney 2009 as a meeting place for people who are the key to locating records relevant to their services grow Records Centre. manage archival collections around New South research. A total of 55,620 name index entries An estimated 1,598,503 unique visits were made  Online payment of supplementary fees for Wales. were added to our own online indexes. In to our website during the year. This figure copying ordered in the reading room. Enquiry services remain popular addition 41,410 colonial passenger lists were represents an increase over the previous year.  Digital exhibitions. added to the Mariners and Ships in Australian State Records’ public enquiry service continued Genealogists are one of our major client groups.  Applying for a Reader’s Ticket before a Waters website which State Records hosts. to be popular. 4,387 enquiries by email and In 2008-09 the webpage dedicated to providing reading room visit. New indexes added to our website 2008-09 post were received and responded to during the research tips and advice to family historians  RSS Feeds for news, events and our included: year, an overall decrease of 14.6% on last year. proved to be one of the most visited sections of eNewsletter.  Book a place at talks and events. Telephone enquiries increased by 56%.  Bankruptcy the website.  Closer Settlement Promotion Files Researchers can read about starting family Early in the year, the decision was made to Entries were added to existing indexes covering history and download worksheets for adopt the open source web content management Meeting service guarantees convict records, criminal depositions, shipping researching: system Plone. Following a period of content 2007-08 2008-09 arrivals, intestate estates, deceased estate migration, system configuration and website  Asylum records Responses to written 99.5% 99% records, bankruptcy, soldier settlement and re-design and development, State Records’ new  Convicts enquiries in 15 days gaol photographs. There are currently 937,112 site went live in February 2009. Significant index entries online.  Immigration Completion of copying 95% 97%  Railway employee records and the General improvements were achieved by moving to Plone, which is a cross platform application, from orders in 15 working Strike of 1917 days  Births deaths and marriages, and Windows to the Linux environment.  Women in the records. State Records is committed to ensuring its website meets accessibility standards. The new Public enquiry service In addition there are links to other relevant Variation (%) site substantially conforms to the 2006-07 2007-08 2008-09 pages on our website and to other useful family requirements of government web style from last year history websites. directives. From the public Services available on our website include: Archives Investigator was also enhanced during Written enquires 756 952 1,011 +6.2% the year with the integration of a shopping cart (letter/fax)  Archive searching (locate information about system which went live in May. Customers can Written enquiries 4,984 5,370 4,387 -18.3% relevant archives). order copies of material from Probate packets (electronic)  Photograph searching (locate digitised (NRS 13660) and Divorce and matrimonial cause Written enquiries 5,740 6,322 5,398 -14.6% photographs). case papers (NRS 13495). The system also total  Name searching (via indexes of names found allows customers to pre-order uncopied items for Telephone enquiries 5,188 5,377 5,407 +.56% in select archives). use in the Western Sydney reading room. Total 10,928 11,699 10,805 -7.64%  Quick search, combining name, archive and photograph searching. State Records continues to participate on Flickr,  Ordering copies of selected archives, such as the online image management and sharing Electronic service delivery at a glance: railway employment records and convict and facility. We are progressively adding images  State archives collection is accessible via the State Records website, through finding aids, immigrant list entries. from Photo Investigator to our Flickr Archives and Photo Investigator, guides and publications. photostream. State Records is in the process of  59 indexes are available covering records relating to convicts, immigrants, the Colonial “geotagging” photographs held in Flickr. Secretary’s correspondence, courts (civil and criminal), gaol inmates, education and child welfare, Geotagging is the process of assigning soldier settlers, deceased estates, probate, shipping, railway employees and firms. coordinates (location information) to an image  Online enquiry and copy service available to the public and remote clients, offering research advice, so that it can be plotted on to a map. guidance and an online payment facility.

52 Annual Report 2008-09 State Records NSW 52 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

53 Annual Report 2008-09 State Records NSW 53 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

Visitor satisfaction

Service Helpfulness and competence of staff Over Indexing Chief Secretary’s records Kit of copied archives and guides facilitates 80% State Records completed a project to identify, regional and rural access Knowledge and politeness of staff 90% digitise and index records relating to Aboriginal One of the outcomes following survey 40 Community Access Points (CAPs), based in Affairs, 1938–49, from a previously unknown Guides to the collection Over comments was the continuation of the public libraries and regional repositories around sequence of records in the correspondence of the 90% Archives Investigator seminars for the the State, hold microfilm copies of significant former Chief Secretary. The project, funded by Microfilm reader/printers Nearly public and the development of further and popular archives from our collection in the the Department of Premier and Cabinet, 100% searching tips in Archives Investigator. Archives Resources kit (ARK). Retrieval of original items 95% supports the work of the Aboriginal Trust Fund Repayment Scheme by helping to provide access A total of 91 responses were received. State Records continued to support the network Copy service Over to all available evidence when considering claims by: 80% for unpaid monies. Website — useful for preparing for 90% Providing copies of guides to the collection. Charles Sturt University Regional Archives visit Training in using the ARK. has strong demand Centre. A Reader’s Ticket is required to use Demand in 2008-09 for regional State archives State Records also makes individual items of the Entries were added to existing indexes covering original archives. 1,352 Readers Tickets (valid continues to be highest in Wagga Wagga at the ARK available through a loan service to libraries convict records, court records, criminal indefinitely) were issued during the year. Charles Sturt University Regional Archives. In that are not CAPs. depositions, divorce records, shipping arrivals, the year under review there were 1,864 reader Microfilm and microfiche copies of the most 516 photographs added to online deceased estate records and gaol photographs. visits and 379 issues of original (uncopied) heavily used archives are held in both reading database There are currently 840,082 index entries records at the centre. rooms. These are on open shelves and usage We were able to add 516 digitised photographs online. figures are not recorded. The six regional repositories, operated by from the collection to our online database Photo local public sector institutions, store and make investigator, bringing the number of There has been a slight increase (4.9%) in the Reading room visitors accessible regional State archives to local photographs available at 30 June 2009 to 6,843. use of original items. This is balanced against a There were 54,467 visits to our two reading communities. The regional archives they hold are The most significant addition was a selection of small decrease in the number of readers rooms during the year: 24,663 at the Sydney mostly complemented by holdings of private Government Printing Office Glass Negatives, (1.6%) using original records in the Western Records Centre and 29,804 at the Western archives relevant to their region. State Records covering a variety of subjects: street scenes Sydney reading room. Sydney Records Centre. acknowledges the valuable contribution of these (particularly around The Rocks), Gladesville Hospital, Randwick Racecourse, and the training Access to State archives in the reading rooms is Reading room visitors can pre-order original institutions to the delivery of archival services to ship N.S.S. Sobraon. Other images added free in accordance with government policy. records prior to visiting the Western Sydney people in regional NSW. included a selection of photographs of doctors, Original (uncopied) State archives are only Records Centre. Original records, other than and State Rail Authority Glass plate negatives accessible at the Western Sydney Records probate files, are delivered within 30 minutes of Temporary recall of State archives the request. Probate files are delivered within Public offices may recall individual State archives showing landmarks and streetscapes of the 30 minutes of set times. required for official use. State Records may North Shore of Sydney (including early images of Newport, Turramurra, Chatswood, Milsons Point, Reading room visitors provide temporary custody of the original record, or supply a copy. 2,281 requests were made for Hunters Hill and areas in the Lane Cove National archives, 2,091 with items returned to the Park). 2004-05 2005-06 2006-07 2007-08 2008-09 relevant agencies entitled to recall them. Western 36,156 30,289 30,396 30,321 29,804 Sydney Sydney 26,097 27,326 31,009 25,627 24,663 Total 62,253 57,615 61,405 55,948 54,467 Community stakeholders at a glance:  family historians, community and local historians  heritage enthusiasts Usage of original archive items by readers at Western Sydney Reading Room  professional historians and academics 2007-08 2008-09 %Variation  high school and university students  seniors WSRR  Aboriginal people Original archives issued 25,554 26,831 +4.9%  women Readers using original items 5,602 5510 -1.65%  artists  Average number of original 4.6 4.9 +6.5% public officials items per readers

54 Annual Report 2008-09 State Records NSW 54 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

Visitor satisfaction

55 Annual Report 2008-09 State Records NSW 55 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

Microfilming of projects continue From January 2009, a policy of charging for Extensive sorting and cataloguing work has exhibition loans was introduced, in line with Communities know about and value the State archives been carried out over a number of years on the similar policies in comparable cultural collection Colonial Secretary’s Papers, 1826+, as an institutions. essential task prior to copying. Four boxes of Increasing access to State archives correspondence have been microfilmed as at 30 The State archives collection is a rich, through agreements with third parties June 2009. cultural and information resource, but The State Records Act was amended to clarify struggles to compete for attention with Objectives for 2008-09 Work also continued on the long term project to our authority to delegate the function of higher profile library and museum  Meet continued public demand and copy the Gaol Photograph description books for providing access to copies of State archives to collections. State Records is committed to expectations for an extensive outreach NSW prisons, 1870-1930. The records for third parties. The Statute Law (Miscellaneous making the State archives collection known program of talks, tours, group visits, Goulburn Gaol (one of the largest Provisions) Act 2008 No 62 commenced on the to a diverse range of communities and exhibitions and a flagship magazine. non-metropolitan gaols) were indexed and 1 July 2008. Schedule 1 of the Act, Minor individuals across NSW, beyond our microfilmed during the year. amendments, includes the amendment to the existing clients. Achievements and highlights State Records Act allowing State Records to  Organised or contributed to 110 outreach State archives borrowed for major enter agreements with third parties. To raise awareness of the collection and events, attended by 5,083 people. exhibitions explain how to tap into it, we organise and  Launch of In Living Memory NSW tour. Cultural institutions may borrow original State Agreements with third parties will increase the participate in an extensive outreach archives for temporary display purposes, as diversity of channels by which the people of program comprising talks, tours, long as they can guarantee security and provide NSW can access the State archives collection. exhibitions, an online newsletter, appropriate environmental conditions. Agreements with third parties to copy and educational programs, stalls, launches and publish State archives will also enhance access In 2008-09 was a particularly busy year, with a other events. Through our outreach to State archives, especially online publication, total of 46 original items placed on loan to the program we have built strong by providing alternative avenues of access. following institutions: relationships with many of our public State archives subject to such agreements will stakeholder groups. Historic Houses Trust (Justice and Police already be open to public access and already Museum) – Femme Fatale available for public inspection. Historic Houses Trust (Museum of Sydney) – We have entered our first agreement with The Extensive public program achieved information as listed in Archives Investigator, Tails of the City: Sydney’s passion for pets Generations Network (TGN). The agreement In 2008-09, 5,083 people attended a total of photos featuring women and children and a Historic Houses Trust (Museum of Sydney) – grants TGN the right to digitise a set of State 110 events. Just over 35% of participants number of examples from the State archives Visionaries archives already publicly available on microfilm. attended events in regional New South Wales.' collection. Historic Houses Trust (Museum of Sydney) – The agreement also allows TGN to create Onsite activities are held at the Sydney Records Shooting Through: Sydney by Tram indexes to the records. The digital copies and Centre and the Western Sydney Records Centre. Completion of the Indexing Project Museums and Galleries NSW (travelling In addition to our programmed events, we also index are available on its Ancestry.com The project was completed by State Records in exhibition) – Great Collections accept invitations to address family and local website. September 2008. The team indexed 21 series of Parramatta Heritage Centre and National history societies. Group research visits to the AWB records (319 boxes/volumes) resulting in Archives of Australia – Women transported: Western Sydney Reading Room are increasing in 127,463 entries in the database. The project life in Australia’s convict female factories popularity, with 23 groups visiting the Sydney included checking of previous indexing. Canberra Museum and Gallery – An Act of Records Centre and 379 groups visiting Surrender Kingswood.

Supporting women’s history Numbers of public program participants State Records is also actively involved in by location supporting women’s history as part of its contribution to the NSW Government’s Action 2007–08 2008–09 Plan for Women. We participated in Women’s History Month by co-hosting a seminar, together Sydney 1,640 1,439 with the City of Sydney, which explored the Western Sydney 732 1,413 Outlook and capability theme of women in parliament. In kind support State Records will continue to make the State archives collection accessible to the people of NSW was also provided to the Australian Women’s Regional and rural 2,142 1,811 and around the world through our website and network of physical access points. Increasing Archives Project. NSW Canberra - 70 expectations by the public for online indexes and services will determine our priorities in this The website was also updated with a new page area. titled ‘Women in the records’. The new page Outside NSW 140 170 highlights several areas, or 'gateways', for State Records will continue to work collaboratively with other government agencies, third-party Overseas 25 180 providers and stakeholders to the benefit of all users of the collection. researching on women in the State archives. There are links to detailed agency and record series Total 4,679 5,083

56 Annual Report 2008-09 State Records NSW 56 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

57 Annual Report 2008-09 State Records NSW 57 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

Indexing of Aborigines Welfare Board Ballina, Kempsey and Penrith, attracting members of local communities to engage with records recordbreaking attendances at some venues within the NSW Government with special reference to the Department of Aboriginal the exhibition. Over 1,000 people have The Aboriginal Trust Fund Repayment Scheme and continuing to build both community and Affairs and the Department of Commerce. They gathered at openings of the exhibition to date (ATFRS) became concerned about the number media interest in regional New South Wales and were finalised after public exposure and as it has travelled the State. This has of record searches where no records relating to the city. Plans are underway for the next stage consultation with LinkUp NSW. included: the claimant were found. As a result, in July of the tour to Newcastle, Moruya, Bega, Wagga Wagga, Cootamundra, Dubbo and Broken Hill. 2007 the Department of Premier and Cabinet The Protocols for staff working with Indigenous  50 members of the Moree community agreed to finalise and complete the indexing of The two versions of the exhibition continue to People are dynamic and will change over time attending the tour opening at the Dhiiyaan all the known records of the former AWB. This depend on widespread consultation between to ensure their ongoing relevance to State Indigenous Centre, Moree Community was done to ensure all relevant evidence in the exhibition team and Elders, families and Records into the future. Library relation to the existence of trust funds communities. The team includes Kirsten State Records is committed to providing  50 members of the Walgett community at administered by the Board is available to the Thorpe, Archivist — Aboriginal Liaison; Sue services for the Indigenous Community in line the Dharriwaa Elders Group Centre ATFRS in considering claims. Newman — Project Officer—Aboriginal Liaison; with Two Ways Together, the NSW  120 members of the Brewarrina and Benefits of the Indexing Project Rose Bishop, Research Officer, Aboriginal Government’s Aboriginal Plan, 2003-2012. The surrounding communities at the Brewarrina Liaison; Susan Charlton, Creative Producer; and In Living Memory exhibition continued to Aboriginal & Cultural Museum The completion of the project allows accurate photographer Mervyn Bishop. Members of the respond to requests for information on State  95 members of the Quirindi community at checking of the surviving records as part of the Indigenous Exhibition Advisory Group have also archives from the Indigenous community. the Social & Emotional Wellbeing Centre, process of researching claims. It will also be a provided essential guidance throughout the Quirindi resource to assist members of the Stolen year. Specific events held or participated in, included:  150 members of the Armidale community Generations in tracing family members and be a attending the opening at the Armidale resource for family history research. Digitisation The exhibition creates an important opportunity In Living Memory exhibition: State Records Aboriginal Cultural Centre & Keeping Place of all AWB records from microfilm and the for the community to share its knowledge of Gallery, The Rocks  100 members of the Ballina and documentation of the AWB Correspondence files people and places recorded in the photographs of the Aborigines Welfare Board and for State surrounding communities at the Northern was also carried out.  A total of 303 visitors from 12 group visits, Rivers Community Gallery, Ballina Records to provide copies of the archival photos including groups from Sarah Redfern High In Living Memory exhibition  120 members of the Kempsey community to add to personal family collections. There is a School, Minto; Yatunga Gordon Mudgin-Gal The In Living Memory exhibition of photographs at the Kempsey Shire Library great deal of interest in what might happen to Women’s' Group, Chippendale; Hornsby from the Aborigines Welfare Board has become  350 members of the Western Sydney the two versions of the exhibition when they TAFE; Tranby Aboriginal College, Glebe; and a vital resource for the Indigenous and wider community attending the opening at the are due to close at the end of 2010. State NSW Department of Community Services communities. The exhibition continues to attract Penrith Regional Gallery & The Lewers Records will rely on consultation and advice annual conference of city managers. visitors and small group tours to State Records Bequest from the community to help make those very  710 visitor signatures in the State Gallery in The Rocks, where it first opened in A total of 1,072 exhibition visitors have also important decisions. Records Gallery Guest Book for the year. September 2006. A touring version is also signed the tour Visitors Book leaving travelling to 17 venues in New South Wales over messages about the important contribution Serving the Indigenous Community In Living Memory NSW tour a period of two and a half years. that the exhibition has made to reconciliation State Records has finalised the Protocols for Elders Previews and opening events for the In staff working with Indigenous People. The use and an understanding of Aboriginal history in The exhibition and tour are co-presented by Living Memory NSW tour have attracted NSW. State Records and the NSW Department of of the protocols has already informed and had Aboriginal Affairs, with initial support from the direct impact on the success of the In Living Aboriginal Trust Fund Repayment Scheme and a Memory exhibition. They establish a strong Case study Case Study: In Living Memory grant from the Australia Council for the ongoing foundation for meaningful relationships to be Partnerships involvement of senior Indigenous photographer established with Aboriginal people and Partnerships have been a key feature of the development and life of Mervyn Bishop, whose contemporary communities in NSW. the In Living Memory exhibition and tour. The core exhibition team of photographs of communities are an important The protocols are intended to assist and guide Kirsten Thorpe, Archivist — Aboriginal Liaison, Sue Newman, Project element of the exhibition. State Records staff when working with Officer — Aboriginal Liaison, and Creative Producer Susan Charlton Indigenous people and in handling State have combined to make links with Indigenous communities to create During 2008-09 the exhibition was on display in records that document Indigenous people or and tour the exhibition. Moree, Walgett, Brewarrina, Quirindi, Armidale, have Indigenous content. The draft protocols The team has also worked closely with photographer Mervyn Bishop, were subject to a broad consultation process whose contemporary photographs of Indigenous Elders and families are an important element of the exhibition, and Richard Aldridge, Archives Officer at the NSW Department of Aboriginal Affairs (DAA). The exhibition and tour are co-presented by State Records and DAA, with support from the ATFRS and a grant from the Australia Council for the ongoing involvement of Mervyn Bishop.

58 Annual Report 2008-09 State Records NSW 58 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection People and Government use and benefit from the State archives collection

59 Annual Report 2008-09 State Records NSW 59 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

Trends

Addressing the needs of culturally diverse Indicator 2004/05 2005/06 2006/07 2007/08 2008/09 American and Russian fleets who were the first communities to arrive as rescuers to the ruined city. State Records’ Ethnic affairs priority statement Metres of non- 336,000 348,000 373,737 395,477 413,320 2008-09 identified objectives for delivering our State Records and the Royal Australian current records services to linguistically and culturally diverse Historical Society co-hosted a seminar on 28 in storage communities. May about the history of Maltese migration and settlement in NSW that was attended by the Metres of 57,096 57,667 58,516 59,842 65,919 State Records together with the Co.As.It NSW Maltese Consul General. To coincide with the standard format Italian Family History Group held a seminar on seminar, State Records produced an Archives in records in 10 December 2008 to mark the 100th Brief on the subject. The event was part of archival custody anniversary of the Messina-Calabria Information Awareness Month, held in May each earthquake, which occurred on 28 December year aimed at raising awareness about the No. of catalogued 142,862 174,242 205,460 239,876 269,832 1908. This was Italy's most destructive and breadth of the information industry. record items deadly recorded earthquake, which killed close discoverable to 125,000 people, and involved an online international rescue operation of Russian, No. of archives 42 42 42 42 42 British and American ships. The seminar was information attended by the Italian Consul, a representative access points from the American Consulate and members of the Italian community. Metres of non- 29,000 30,000 32,470 34,983 33,630 current records In conjunction with the seminar State Records accessioned hosted an exhibition commemorating the No. of file 291,000 305,000 321,216 313,920 327,122 anniversary. The display featured family retrieval photographs and documents relating to some of operations the victims of the earthquake. Also on display were commemorative medals awarded by the Activity program with Kingswood Public No. of disposal 28 17 25 26 23 Italian Government to mariners of the British, School policies approved Metres of records 2,644 554 849 1,326 6,079 transferred to Case Study: Activity program with Kingswood Public School archival custody Case study State Records conducted an archives program for 30 sixth grade No. of record 34,516 31,380 31,218 34,416 29,682 students (gifted and talented) from Kingswood Public School on 30, items catalogued 31 March and 1 April 2009. Introductory sessions were conducted on No. of original 26,867 26,480 25,640 25,640 26,831 30 and 31 March. On 1 April 2009 the students returned to undertake record items their assignments. They were required to answer a series of used by readers questions using the various guides and finding aides and selected No. of website 1,376,324 1,513,126 976,382 1,553,894 1,598,503 records including NSW Government Gazettes, Parish maps, convicts visits indents and the convict musters. Feedback from the sessions indicated a high level of understanding and skill in the use of archival sources.

Outlook and capability State Records will continue its efforts to reach out and promote awareness and use of the State archives collection to a diverse range of people and communities across NSW. Particular focus will be given to reaching those communities - the culturally and linguistically diverse, Indigenous people – who are not regular users of our services or who may not realise we hold records relevant to their lives and interests.

60 Annual Report 2008-09 State Records NSW 60 Performance and outlook Performance and outlook

People and Government use and benefit from the State archives collection

Trends

61 Annual Report 2008-09 State Records NSW 61 Use of the State archives collection Use of the State archives collection

Use of the State archives collection 2008-09

The purpose of preserving the State archives collection is to make the records available to enrich the lives of people and communities, in NSW and beyond. Beyond their cultural value, archives help people to establish personal or family identity and entitlements. Visitors to our reading rooms and website, and those who visit the regional and rural libraries and repositories holding copied parts of the collection and regional archives, use the archives for a variety of personal and professional research projects. These researchers are then catalysts for taking the personal, community, state and national stories held in the archives to the wider public. They do this by passing on family histories, publishing local and community histories, writing novels based on historical facts or themes, curating exhibitions, and making films and documentaries.

State Records encourages research into, and use of, the State archives collection and or other original sources of archives, through sponsorship of the Archival Research Fellowship, which was inaugurated in 2009. This Fellowship is to be offered annually by Government to assist a person living in NSW to complete a research project that makes substantial use of the records collection of State Records.

State Records NSW 62 62 Annual Report 2008-09 Use of the State archives collection Use of the State archives collection

Researcher interests Archives reaching a broader audience

Topics of interest Archives helping establish personal identity Many people in the community, other than and entitlements, or with the healing process those who read acknowledgements at the Researchers of the State archives collection front of a book or credits of a documentary, Archives can provide essential evidence for Like the first Australia series it will feature six were interested, amongst many other topics, never realise that what they are reading or establishing a person's identity or entitlements. well known Australian celebrities. The State in: watching draws on information and They can also be part of a person’s healing Records’ collection was used in a number of the evidence contained in the State archives process after traumatic events affected them in episodes and a segment was filmed at the  Clergy in 19th century NSW collection or other archival resources. their past. State Records assists people to Sydney Records Centre. Similarly document-based materials locate details relating to their own lives, or  Australian Colonial Observatories included in museum exhibitions are often those of family, subject to appropriate access Exhibitions from an archival collection. procedures. Exhibitions that used material from the State  Harold Park archives included: Examples include: Literary works  Religious education in NSW schools  Great White Fleet, Customs House  Using school admission registers to prove Publications that drew on the State archives  Shooting Through: Sydney by Tram, they lived in NSW as a child (where their collection included:  Fort Wellington/Raffles Bay Historic Houses Trust (Museum of Sydney) birth may not have been formally registered  Randwick by Pauline Curby  Femme Fatale: The female criminal, and they now need a passport)  A History of Sydney's Darling Harbour by  Comparative study of prisons in Historic Houses Trust (Justice and Police  Investigating the health of their ancestors Wayne Johnson and Roger Parris Pennsylvania and NSW Museum) through hospital and mental health  Maitland, City on the Hunter: Fighting  Australian Democracy: More than 200  The Great Depression records to ascertain disease inheritance floods or living with them by Charles Keys years in the making, Old Parliament House,  Identifying lost family through the records of  The Goondah-Burrinjuck Railway by John R Canberra child removal in the Aborigines Welfare Newland  Caught in the ACT, Canberra Museum and Board records  The Library Book by The State Library of Gallery Queensland The ATFRS, which is making extensive use of  ACT of Surrender, Canberra Museum and  Northmead: Between Two Councils by Pat records of the Aborigines Welfare Board in the Gallery Trimmer State archives collection, is a good example of  Tails of the City :Sydney’s passion for pets the use of archives to establish people’s Historic Houses Trust (Museum of Sydney) entitlements on a larger scale. Archives serving a variety of purposes  Visionaries Historic Houses Trust (Museum  Documentary, Stories from the Harbour of Sydney) (Network 10)  Great Collections Museums and Galleries  Program on the Great White Fleet on the NSW (travelling exhibition) History Channel  Women transported: life in Australia’s  DVD and Monograph on the Sentimental convict female factories Parramatta Bloke (The National Film and Sound Heritage Centre and National Archives Archive)  Maitland Gaol Administration, Museum  Documentary on Rats and Rat Poison for a display Maitland Gaol Records possible ABC docu-drama Glass negatives of paintings in the Art Gallery taken c.1900 used to compare the Researchers in the reading current condition of the paintings with that room at Western Sydney when the images were taken  Interpretive Panel, Auburn Hospital  The Friends of Trial Bay Gaol Arakoon State Conservation Area, Gaol Photographs Trial Bay on CD

TV Series Who do you think you are? The second Australian series of the popular British Television series Who do you think you Gail Davis (Senior Archivist, Research and are? is expected to go to air in September 2009. publications) hosting the Information Stall at the Family History Fair at Port Macquarie in June 2009

State Records NSW 63 63 Annual Report 2008-09 Use of the State archives collection Use of the State archives collection

Researcher interests Archives reaching a broader audience

State Records NSW 64 64 Annual Report 2008-09 State of public sector recordkeeping State of public sector recordkeeping

State of public sector recordkeeping 2008-09

State Records’ statutory responsibility to promote effective and efficient recordkeeping across the NSW public sector commenced in 1999 with the State Records Act 1998. We undertake this responsibility by setting standards, providing guidance, promoting good practice, and monitoring public office performance and compliance. The state of public sector recordkeeping is an indicator of our performance, although it is mostly outside our direct control. We have limited power to enforce compliance, preferring to promote and encourage the benefits of good recordkeeping. State Records started conducting records management surveys in 1996. Our last survey, which looked at public sector compliance with core records management obligations, was conducted in late 2004 and is reported in our Annual report 2004-05. We conducted two targeted surveys last year on records storage, records storage costs, and implementation of retention and disposal authorities. The first survey was conducted with 166 NSW Government agencies and State Owned Corporations and was reported on in last year’s annual report, the second with 10 public health organisations was finalised in 2008-09. A detailed report on the findings of the survey of public health organisations is available below. We also gathered information from NSW public offices on those interested in transferring digital images to State Records and we surveyed public offices on their digital recordkeeping training needs. In this report we:  describe some key issues in managing digital records, including transferring digital archives and training needs for digital recordkeeping.  comment on the number of public offices with comprehensive records retention policies.  discuss the results of the 2008 Storage and Disposal Survey of public health organisations.  look at some case studies of good practice.  describe how we identify cases of less than good practice, and note some cases that were addressed.

65 Annual Report 2008-09 State Records NSW 65 State of public sector recordkeeping State of public sector recordkeeping

Digital recordkeeping training needs in the Records retention policies NSW public sector

In April/May 2009 State Records conducted a training needs survey across the NSW State Records analysed records retention policy coverage of the public sector during the public sector. The on-line survey was voluntary and we invited participation via our year. The analysis was undertaken to determine whether each public office was ready, newsletter For the Record and through the information management contacts of the through coverage of its records by retention policies, to proceed with its records Government Chief Information Office. The purpose of the survey was to (a) gauge the management systems and practices. level of interest in a training course or courses to be developed by State Records on managing digital records and (b) to ascertain the content that respondents would expect Analysis of retention policy coverage  Department of Commerce (Procurement and to find in such a course or courses. A total of 438 public offices were analysed State Fleet) for the extent of the disposal coverage of State Records encourages public offices to review There were 113 respondents, the majority of whom expressed support for State Records their functional records. Of these, 213 public developing some form of training in digital recordkeeping. Records managers and their retention policies as appropriate. During the offices (48%) are covered by general year 1 organisation already classified as having records assistants, followed by information technology specialists where the most retention policies. comprehensive coverage, the Legal Aid interested in such a course. Commission, sought and obtained approval for a Three ratings were applied to the remaining  compliance with the Standard on digital include common formats such as word full review of its retention policies. 225 (52%) public offices: recordkeeping; processed documents, web content and emails.  best practice in the creation of digital Digital records in less common formats are also  Green light (63%) – these public 2008 Storage and Disposal Survey of Health records at risk, being highly vulnerable to technology offices have comprehensive coverage of organisations  managing email; and obsolescence and changing proprietary control. their functional records. The survey of 10 health organisations was  managing web records.  Amber light (9%) – these public offices conducted to identify storage arrangements, cost There were a number of particular challenges There are many specific examples of digital have some functional records covered. of storing non-current paper records, and the level identified by respondents including Web 2.0 records requiring preservation as State  Red light (28%) – these public offices of implementation of records retention and records and how to manage them as records; archives, including: have no or few functional records disposal authorities. There was a 100% response convincing staff or management of the covered. rate to the survey. The survey found that health importance of digital recordkeeping; and  records maintained in specialist The following public offices obtained organisations store a total of 596,068 boxes of preservation of long term digital records. proprietary software systems such as the comprehensive retention policy coverage non-current paper records (including 147,895 digital records of the Waterfall, Acute Care during the year: boxes of administrative records). The estimated The survey responses clearly showed that there Services and Thredbo Landslip  Office of Transport Safety cost of storage is $2.7 million per annum. Health are two main levels of need: (a) those requiring Commissions of Inquiry which are Investigations organisations spend 25% of this cost on the fundamental information on digital controlled by legal case management  Wild Dog Destruction Board storage of administrative records and 75% on the recordkeeping concepts and practices and (b) systems  World Youth Day Co-ordination storage of patient/medical records. Only 32% of those requiring more advanced and technical  digital photographs documenting Authority non-current records are stored in office type instruction on issues including designing and significant events and projects  Supreme Court of NSW accommodation, while the bulk of non-current implementing recordkeeping systems,  records of major infrastructure projects  Department of Planning (including records are stored at commercial storage facilities. implementing metadata schemas and the maintained in specialist project Heritage Council of NSW) Health organisations have been authorised to use recordkeeping aspects of migration. management software  Veterinary Practitioners Board general retention and disposal authorities for the  key business systems keeping digital  NSW Architects Registration Board disposal of records. Using these establishes a The survey was instructive as it provided a firm records relating to activities such as fire  NSW Board of Vocational Education and disposal date for the physical destruction of a indication of the need of the sector for specific investigation and major incidents Training record or for its transfer to the archives. Without training/advice on aspects of digital  patient admission and discharge records  NSW Vocational Education and Training such triggers, records remain in storage for recordkeeping. State Records is intending to and obstetric records documenting birth Accreditation Board unlimited periods of time. 69% of administrative develop two one day courses to meet the needs episodes maintained by Area Health  Parramatta Stadium Trust non-current records in storage have not been of these audiences. Services  State Sports Centre Trust sentenced, whereas 42% of patient/medical  digital mineral exploration reports, and  Wollongong Sportsground Trust records in storage have not been sentenced. It is Agencies would like to transfer digital  modelling and analysis of transport and  Wentworth Park Sporting Complex estimated that most records in storage could be State archives geographically based data sets which form Trust sentenced immediately. This low level of State Records is aware that there are agencies the basis of long term transport planning  Hunter Region Sporting Venues sentencing has a potential to impact on storage ready to transfer digital State archives. strategies. Authority costs for health organisations. Information has been gathered through Without a Digital State Archives Facility, State In addition, the following organisations contacts and requests received from agencies Records cannot take these records into custody. achieved additional partial coverage: The survey findings show that there are potential which show this is an important issue. Digital  Roads and Traffic Authority gains to be made by health organisations. These records urgently requiring preservation as State  Office of the Board of Studies can be achieved by organisations taking a archives exist across the NSW public sector and (Australian Music Examinations Board proactive and planned approach to managing the NSW) retention and disposal of records.

66 Annual Report 2008-09 State Records NSW 66 State of public sector recordkeeping State of public sector recordkeeping

Digital recordkeeping training needs in the Records retention policies NSW public sector

67 Annual Report 2008-09 State Records NSW 67 State of public sector recordkeeping State of public sector recordkeeping

Records management programs, systems and practices

Examples of Good practice Identifying performance issues

There are many examples of NSW public offices making real improvements in the management of State Records monitors reports published by found that two public sector organisations failed their official records. The key to real improvements is often based on the sound analysis of the the NSW Audit Office, Ombudsman and to make and keep records of their business and business of the organisation, the identification of the information needs of the organisation and Independent Commission Against Corruption to that this had provided opportunities for corruption sound investment in the right information management systems. A case study is presented below. identify recordkeeping performance issues. We in high risk business areas such as procurement also take note of media reports and issues and planning and development approvals. In raised with us by members of the public. We each case, this was a breach of the State Records take action on select instances, usually writing Act 1998, section 12(1) requiring all public offices NSW Fire Brigades Information Asset to the public office and following up with a to ‘make and keep full and accurate records’. The Case study Management System implementation meeting or assessment of recordkeeping importance of creating and capturing records of NSW Fire Brigades wanted to update its recordkeeping systems. meetings and decisions is also addressed in the system to effectively manage digital records and Standard on Full and Accurate Records, issued We acted on six instances of reported poor improve information access throughout the under the State Records Act. In both cases, State performance. One of the cases is described organisation. Records contacted the public sector organisation below. NSW Fire Brigades had a records management system seeking information on action taken to address that had been in use for over ten years. As a very Making and keeping full and accurate the issue of failing to create and capture records. large organisation with over 7,000 staff spread across records the State and as an organisation that performs a high During the year we also followed up with the risk and critically important role, Fire Brigades had a State Records investigated a possible Department of Community Services on significant business need to make its digital recordkeeping issue at a local government recordkeeping issues identified in the Report of information more accessible to all its staff. authority after recommendations were made in the Special Commission of Inquiry into Child Identifying performanceTo achieve issuesthis objective, Fire Brigades began by a Coronial Inquiry into the collapse of a road in Protection Services in NSW and with the NSW looking at its business needs. Its key driver was 2007. Briefly, some records were not captured Department of Health on recordkeeping issues information accessibility, but it also wanted the ability into the records management system from raised in the Final Report of the Special to secure certain records such as those dealing with 2002 to 2004. State Records assessed the Commission of Inquiry on Acute Care Services in personnel issues or fire risk assessments against practices and guidance provided to all Council NSW Public Hospitals. inappropriate access. Given the large volume of staff during the period of 2002 and 2004 as this records created daily in the organisation, it also pertained to the issues of records creation and wanted the ability to apply records management capture highlighted by the Deputy State controls to greatly facilitate the management of these Coroner. records. Fire Brigades also needed a system that was In its report to the Council, State Records made very simple and intuitive for end users to use. six recommendations seeking improvements to To find a system that met these needs, Fire Brigades strengthen the framework of rules, training and used the panel contract 2602: GSAS Information Asset monitoring of records management at the Management Systems (IAMS) Software Council. The Council’s response to the report of Applications. They selected the software application the assessment indicated that action was being from this list that best met their needs. undertaken to improve and strengthen records Fire Brigades then tackled the task of assessing how management. The Council is continuing to their records were currently managed and how make regular progress reports on these information was created, processed and used across improvements to State Records. the organisation. This assessment identified a number of information bottlenecks that they redesigned and State Records has followed up on recordkeeping resolved as part of the implementation of their new issues identified in recent Independent system. In doing so they ensured compliance with the Commission Against Corruption (ICAC) reports requirements of the Standard on digital recordkeeping on NSW Fire Brigades and Wollongong City (2008). Council.

Other action taken In reviewing recent Independent Commission Against Corruption (ICAC) reports, a common recordkeeping issue was brought to our attention. In two investigations, the ICAC

68 Annual Report 2008-09 State Records NSW 68 State of public sector recordkeeping State of public sector recordkeeping

Records management programs, systems and practices

Examples of Good practice Identifying performance issues

Other action taken In reviewing recent Independent Commission Against Corruption (ICAC) reports, a common recordkeeping issue was brought to our attention. In two investigations, the ICAC

69 Annual Report 2008-09 State Records NSW 69 Governance and accountability Governance and accountability

Governance and accountability 2008-09

Board and management

Strategic planning and reporting

Client and stakeholder relationships

Managing risks

Managing our people

Managing our information and records

Managing our physical assets and finances

Audited financial statements

Budgets

State Records NSW 70 70 Annual Report 2008-09 Governance and accountability Governance and accountability

Board and management

Board members The Board Board members Ms Darriea Turley Board members 2008-09 Mr John Lee State Records has a nine Director-General of NSW GradDipSocSc, BA member Board with the Deputy Chairperson Mr Stephen Davies Department of Commerce statutory functions of Manager Community BA, DipEd, DipT&CP, First term: 11/4/2008- determining our policies Engagement, Population DipConsStudies 1/12/10 and strategic plans, Health, Planning and Director, Heritage Resigned: 3/9/08 approving records Performance Directorate First Term: 1/1/06-31/12/08 Nominated by the Minister who management standards Second Term: 1/1/09- administers Public Greater Western Area Health and approving the 31/12/11 Sector Employment and Service disposal of records. Nominated by Minister Management Act 2002 to First term: 1/1/03-31/12/05 administering State Records Act represent departments. Second term: 1/1/06- Seven members are to represent private sector Ms Karen McMKeown 31/12/08 nominated by various Councillor, Penrith City Nominated by Minister Ministers to represent Ms Zoe DeSaram administering State Records Act Council State law enforcement Director of Climate Change, to represent local First Term: 25/03/09- agencies, local Air and Noise, Department of government 31/12/11 government, the private Environment and Climate Nominated by Minister sector, the history Change administering State Records profession, departments First term: 2/4/08-31/12/10 Act to represent local and State owned Nominated by Minister who government corporations. One administers the Public Sector member is nominated Employment and Management jointly by the President of Act 2002 to represent departments the Legislative Council and the Speaker of the Ms Robyn Foster Legislative Assembly, and General Manager, Internal one is to be a judge of a Customer Services, NSW court of the State Police Force Board attendance nominated by the Chief Hon. Justice Henric First term: 2/4/08-31/12/10 Justice of New South Nicholas Member Attended Eligible Nominated by Minister Judge of the Supreme Court Wales. administering State Records Act Mr Stephen Davies 5 6 of NSW to represent State law First term: 2/4/08-31/12/10 Board members are enforcement agencies, after Ms Zoe DeSaram 2 6 Nominated by the Chief Justice appointed for a maximum consultation with the of New South Wales Ms Robyn Foster 4 6 of two consecutive terms, Ministers responsible for those each not exceeding three agencies. Hon. Don Harwin, MLC 3 6 years. Hon. Don Harwin Mr John O’Hearn 6 6 BEc (Hons) MLC First term: 7/2/07-31/12/09 Mr John Lee 0 1 Nominated jointly by the Mr John O’Hearn President of the Legislative BComm, FCPA, GAICD Ms Karen McKeown 1 1 Council and the Speaker of the General Manager, Legislative Assembly Business Strategy and Hon Henric Nicholas 5 6 Communications, Hunter Water Corporation Associate Professor 6 6 First term: 25/1/06- 31/12/06 Lucy Taksa Second term: 7/1/07-31/12/09 Ms Darriea Turley 3 3 Nominated by the Minister who administers the State Owned Corporations Act 1989, to represent State owned corporations

State Records NSW 71 71 Annual Report 2008-09 Governance and accountability Governance and accountability

Board and management

State Records NSW 72 72 Annual Report 2008-09 Governance and accountability Governance and accountability

Board and management

Oversight by Minister Ms Jennifer Stapleton, BA, DipArchAdmin, Board meetings Manager, Government Records Associate Professor Lucy State Records is subject to the direction and Repository Taksa The Board meets every control of the Minister responsible for the State BA (Hons), PhD two months, six times a Records Act 1998, except in relation to Ms Christine Yeats, BA, Chairperson year. approving the disposal of records. Our Minister is DipLib, DipArchAdmin, Associate Professor, School the Deputy Premier, Minister for Climate Change Manager, Public Access of Organisation and The Director attended 5 and the Environment and Minister for Management and Director, meetings, the Deputy Commerce. Industrial Relations Director (as Acting Research Centre, Australian Secretary) attended 2 School of Business, meetings and as Director Strategic committees University of NSW 1 meeting. Managers First term: 7/2/07-31/12/09 attended meetings for Executive Team Nominated by Minister agenda items related administering State Records Act specifically to their areas The Executive meets each week to maintain a to represent history of responsibility. strategic view of operations, monitor progress profession towards corporate goals across programs, and Board Finance and review and approve major policies and Audit Committee initiatives. The Executive consisted of the Director, Deputy Director and Manager GRR. The Board’s Audit, NSW Premiers History Prize evening 27 Finance and Risk Senior staff October 2008 Committee comprises (L to R) Hugo Leschen, the Hon Virginia Director two Board members, the Judge MP and Alan Ventress Director, and the Deputy Mr Alan Ventress, BA, DipLib, Director. It assists the Board in relation to Deputy Director financial performance, risk management, Mr John Burke, BA, DipLib, DipArchAdmin, auditing accounting and Associate Director, Western Sydney reporting practices of State Records. Senior managers

Board members on the Mr Michael Allen, BA, DipLib, Committee were John Chief Information Officer O’Hearn (Chairperson since 15/2/06) and Ms Amanda Barber, BA, DipArchAdmin, Stephen Davies (since Manager, Government Recordkeeping 21/6/06). The Committee met three times. Mr Richard Gore, BA, DipLib, Manager, Archives Control and Management

Mrs Christine Shergold, BA, DipLib, DipArchAdmin, Manager, Special Projects

State Records NSW 73 73 Annual Report 2008-09 Governance and accountability Governance and accountability

Board and management

Mrs Christine Shergold, BA, DipLib, DipArchAdmin, Manager, Special Projects

State Records NSW 74 74 Annual Report 2008-09 Governance and accountability Governance and accountability

Board and management Strategic planning and reporting

Occupational Health and Safety Committee State Records’ strategic focus during the year was on consolidating long standing goals The Occupational Health and Safety Committee Management Committee and meeting continued demand for our services from the public and the public sector. comprised staff representatives from our two The Management Committee meets every month locations, the OH&S Officer, and two to set operational policy, assess strategic management representatives. Factors affecting strategic management Corporate planning directions and ensure a coordinated approach to the provision of services across the organisation. Changes to legislation Strategic plan Future Proof Strategy Steering Committee The committee consisted of the Director, Deputy The State Records Act 1998 was amended in In September 2008 State Records held a Director and Managers. The Executive Officer is The role of the Committee is to guide and make December 2006 to provide that the position on Strategic Planning day, attended by the the secretary to the Committee. key decisions for the Digital Records and the Board representing declared authorities Executive team and managers, and facilitated by Information Management Strategy, including would now be a second representative for Ida Vincent. At the Strategic Planning day a new Information Management and Technology acting as Project Board for the Whole of departments. Strategic Plan for the period 2008-2011 was Steering Committee Government Digital Archiving Solution project. developed. The Information Management and Technology The committee comprises the Director, Deputy (IM&T) Steering Committee assesses strategic Director (Chair), the Manager, Government The Strategic Plan 2008-2011 was based on five directions in ICT, oversees the development and Recordkeeping, the Manager, Archives Control, Key Result Areas (KRAs). Each KRA is linked to a deployment of information technology across the the Chief Information Officer, the Senior Project number of outcomes, and supported by key organisation and reviews proposals for Officer, Government Recordkeeping and the initiatives. technology-based projects. The committee Project Officer, Digital Strategy (as secretary). comprises the Director, Deputy Director, Chief Results and Services Plan Information Officer, Business Manager GRR and Pending completion of a new corporate plan, our Manager GRR Systems Control. objectives for the year were set by our Results and services plan 2008-09 which shows how what we do aims to make a difference to the people and communities of NSW in accordance with the State Plan. State Records Authority of New south Wales Total Asset Management Plan June 2008 An important component of our strategic management is ensuring we maintain and improve our physical assets and infrastructure to

Director-General Key help us achieve positive outcomes for our clients Department of Commerce and Government. Management of our properties, Executive Managers ICT infrastructure, plant and accommodation are Government covered by our Total asset management plan Chief Board Information RSP Service Support which is revised annually. Officer Groups services ICT Strategic Plan ICT priorities that support our corporate goals Director are identified in our ICT Strategic Plan 2008-11. During the year, State Records revised its ICT Strategic Plan to align it with current government policies and priorities such as the General Manager Deputy Director Government State Plan and People First, the NSW Executive Unit Records Repository Government’s ICT Strategy. NRS 15051 Department of School Education, Social responsibility plans Chief Manager Manager Manager Manager Information Government Public Access Special Projects Archives Control Photographic collection [Eton-Harrow State Records supports the Government’s social Officer Recordkeeping Travelling School c.1908] responsibility commitments in relation to culturally and linguistically diverse Regulation, Documenting, Corporate Reference guidance & Corporate storing, Storing non- communities, people with disabilities, women information & services & promoting best resources and preserving the current records communications outreach practice facilities archives and Indigenous people. Broadly speaking, our plans and strategies are now aligned with the Department of Commerce which assists us in these areas.

State Records NSW 75 75 Annual Report 2008-09 Governance and accountability Governance and accountability

Board and management Strategic planning and reporting

ICT Strategic Plan ICT priorities that support our corporate goals are identified in our ICT Strategic Plan 2008-11. During the year, State Records revised its ICT Strategic Plan to align it with current government policies and priorities such as the State Plan and People First, the NSW Government’s ICT Strategy. NRS 15051 Department of School Education, Social responsibility plans Photographic collection [Eton-Harrow State Records supports the Government’s social Travelling School c.1908] responsibility commitments in relation to culturally and linguistically diverse communities, people with disabilities, women and Indigenous people. Broadly speaking, our plans and strategies are now aligned with the Department of Commerce which assists us in these areas.

State Records NSW 76 76 Annual Report 2008-09 Governance and accountability Governance and accountability

Strategic planning and reporting Client and stakeholder relationships

State Records values ongoing, respectful relationships with our clients and stakeholders, and their diverse backgrounds and interests. We consider the needs of our clients and stakeholders in decision-making and in setting business directions. We provide Corporate reporting information to clients and stakeholders about our services and activities, and any changes to these, and seek advice, suggestions and feedback. Program action plans Program reporting Program areas develop action plans which Program managers report at management Glen Morgan, Manager, Strategic Processes & identify operational targets and assign committee meetings on staffing and operational Advisory committees Systems, NSW Treasury responsibilities for projects and ongoing work. matters. Written reports from program areas are State Records convened two standing advisory Tim Robinson, Manager, Archives and Records submitted to the Board. committees and an exhibition advisory Management Services, University of Sydney committee for our In Living Memory exhibition. Catherine Sykes, Records Manager, Ministry of Annual reporting The committees comprise representatives from Transport Our annual report is the primary mechanism by our public sector and public clients and Kirsten Watson, General Manager Business which we account for the past year to stakeholders. Infrastructure, Department of Commerce Parliament, central agencies and stakeholders. Chris Wilson, Information and Records Manager This year we have aimed to focus more on our A new advisory committee, the Digital Records RailCorp performance and less on activities. A separate Advisory Group, was established in July 2007 Activity Report 2008-09 is published on our with the aim of advising State Records on Digital Community Advisory Committee website. Records and Information Management Strategy Members during year: products. This annual report complies with: Rosemary Annable, professional historian Digital Records Advisory Group Roslyn Burge, Professional Historians  Public Finance and Audit Act 1983 and This committee held three meetings in 2008-09. Association Regulations Members during year: Dr David Carment, Australian Historical  Annual Reports (Statutory Bodies) Act 1984 Lesley Alexander, Information Coordinator, Association and Regulation 2005 Information Services, Department of Commerce Heather Garnsey, Society of Australian  Freedom of Information Act 1989 and Susan Fletcher, Manager, Document Genealogists Regulation 2005 Management, City of Sydney Carol Liston, Associate Professor, School of  Treasury circulars and Treasurer’s directions Mark Goleby, collaborative Government Cultural Histories and Futures, University of  Premier’s memoranda Services Manager, Government Chief Western Sydney  Australian accounting standards. Information Office Craig Mackey, railway historian Colin Griffith, Government Chief Information Perry McIntyre, professional genealogist and Office, Department of Commerce historian Andrew Harrington, Manager, Corporate Mari Metzke, Royal Australian Historical Society Records, Attorney General’s Department John Petersen, NSW Migration Heritage Centre Greg Jackson, Manager, Records, Privacy and (from February 2008) Information Security, Hunter New England Area Jan Richards, Central West Libraries Health Service Dr David Roberts, Editor, Journal of Australian Peter Konstantin, Director, Information Colonial History, University of New England Management, Department of Corrective Services Richard Shapter, Heritage Office, NSW Michael Landsbergen, Head of Corporate Department of Planning (from December 2006) Services, NSW Ambulance Service Tracey Sullivan, History Teachers Association Cris Mauros, Senior Project Officer, Strategic (from February 2008) Projects, Department of Premier and Cabinet State Records thanks both committees for Margaret Miller, Acting Manager Information providing valuable advice during the year. Management & Library Services, RTA

Whitton Road, Chatswood (NSW), c. 31/12/1908 Advisory committees at a glance: From NRS 18526 State Rail Authority  State Records convenes two standing advisory committees representing our public sector Digital ID: 18526_a024_000024 and public clients and stakeholders.  Members are appointed for a maximum of two, two-year terms.  Meetings are held quarterly.

State Records NSW 77 77 Annual Report 2008-09 Governance and accountability Governance and accountability

Strategic planning and reporting Client and stakeholder relationships

State Records NSW 78 78 Annual Report 2008-09 Governance and accountability Governance and accountability

Client and stakeholder relationships Client and stakeholder relationships

In Living Memory touring exhibition Participation on client and stakeholder covered enquiry and copying services, inquests, guideline Managing digital records. Also advisory committee committees bankruptcy and insolvency, probate and mental extensive consultation was undertaken with Members during year: State Records’ staff are actively involved with health facilities patient records. public offices during the review of the general client and stakeholder organisations through Richard Aldridge, Department of Aboriginal retention and disposal authorities for accounting Hosted websites participation on governing bodies and Affairs (July 2008 – March 2009) and financial records and administrative records. committees. Christine Yeats, Manager, Public As a service to the archival and research Mervyn Bishop, exhibition team member Consultation was also undertaken with councils Access, is a member of the Executive of the communities, State Records hosts three Christine Blakeney, representing Bomaderry in relation to the review of the General Retention History Council of NSW. Christine is also a websites. The website of the Council of Aboriginal Children’s Home and Disposal Authority for Local Government member of the Sydney Committee of the Australasian Archives and Records Authorities Cecil Bowden, representing Kinchela Aboriginal Records. Australian Women’s Archives Project. Alan (CAARA), of which the Director is a member, Boy’s Home Ventress is a member of the Geographical Names has been hosted since 2001. The Mariners and Ronald Briggs, State Library NSW Board of NSW, Board member Dictionary of Ships in Australian Waters website was created Lola Edwards, representing Cootamundra Sydney, and member of the NSW Working Party by Mary-Anne Warner and comprises indexes Aboriginal Girl’s Home of the Australian Dictionary of Biography. and digitised records from the State archives Bill Hipkin, representing Bomaderry Aboriginal collection. State Records has hosted this site Children’s Home’ Handling complaints and suggestions since 2003. State Records also hosts the Melissa Jackson, State Library of NSW We have a suggestion box and accept feedback Tabularium website. Tabularium is a freeware Ray Minniecon, representing Kinchela on our services as part of our guarantee for collection management system for archives. The Aboriginal Boy’s Home public oriented services. Feedback can be site provides news and information about the Keith Munro, Museum of Contemporary Art provided directly to reading room staff, or by product (Tabularium) which may also be Glendra Stubbs, Link-Up post or email. One complaint was received downloaded. during the year. It related to the changes to the Stakeholder groups website following the roll out of the new version. State Records takes a consultative approach to The matter was resolved satisfactorily. developing new products for NSW public offices. Publication of information for the public Comments were invited from the State Records provides extensive information to recordkeeping / archives community on drafts of the public through our website the Standard on digital recordkeeping and the www.records.nsw.gov.au and print publications. Most of our publications are guides and indexes Glen Innes Soldiers' Settlement Estate aimed at helping the public understand and use - packing shed, 1921 the State archives collection. Digital ID: 8095_a016_a016000017 Publications relating to our functions and activities cover: Guarantees of service:  where to access State archives, and rights of  Provision of assistance relating to physical disabilities and language needs when access and publication visiting our reading rooms.  contact details and addresses  Provision of expert and professional advice on research.  services (handling enquiries, copying) and  Delivery of original records (except probate packets) within 30 minutes of request. service guarantees  Delivery of probate packets within 30 minutes of set delivery times.  reading room procedures and rules  Assistance with identifying sources and availability of archival material.  becoming a volunteer  Assistance with validating personal information for rights and entitlements.  making donations and bequests  Assistance with confirming correct citations when publishing State archives.  our activities program.  Completion of requests to copy original material in reading rooms within 30 minutes New publications during the year included (less than 20 pages) or 3 days (over 20 pages). Archives in Brief on Coastal Fortifications, Methodist Church, Chatswood (NSW),  Completion of requests to copy large format material at Sydney Reading Room within 5 Researching your house and property, Maltese c. 31/12/1908 days. Migration and Settlement in NSW and Nurses. From NRS 18526 State Rail Authority  Completion of requests for digitisation of materials within 10 days (up to 20 pages). Publications revised during the year Digital ID: 18526_a024_000025  Completion of requests for copies ordered online within 15 days.  Completion of requests to purchase publications within 5 days.  Provision of accurate and timely information on our website.

State Records NSW 79 79 Annual Report 2008-09 Governance and accountability Governance and accountability

Client and stakeholder relationships Client and stakeholder relationships

State Records NSW 80 80 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing risks Managing risks

State Records is committed to the maintenance of a robust risk management regime as Insurance premiums and claims All State Records’ Board members are required part of its strategic operating environment. Through regular and ongoing application of State Records pays premiums to the NSW to sign a code of conduct and declaration of risk management methodologies, comprising risk identification, analysis and Treasury Managed Fund for all insurance cover. interests. assessment, we seek to minimise our exposure to unacceptable risks. Premiums are subject to a five-year hindsight adjustment process. State Records has carefully Management of risks is the responsibility of the executive team and senior managers in assessed major risk areas and believes that its conjunction with the Audit, Finance and Risk Committee of the Board. Assistance is insurance coverage is adequate. provided by our auditors and specialist risk assessors. Risk management requires the cooperation of all supervisors and staff. Ethical conduct State Records is potentially exposed to the risk Business risks identified and rated of unethical and corrupt conduct by staff in Our current approach to risk management is relation to use of government information. State significantly derived from the major risk Achievements and highlights Records’ current Code of conduct is the same as assessment in late 2005 when IAB Services  OHS Management System rebuilt. the Department of Commerce but with an undertook an organisation-wide business risk  The State Records OHS Excellence appendix covering matters distinctive to our assessment for State Records as part of a fresh Award was launched to promote and responsibilities. All new staff are required to approach to the identification and control of risk. recognise excellence and innovation read and sign the Code of conduct. Sixty-nine risk areas were identified. Our overall in OHS within State Records. risk profile was moderate to high. Professional archivists working for State Records who are members of the Australian Society of Our key business risks are: Archivists are also subject to the Society’s Code Information security of Ethics. Barretts' launch at Newport (NSW),  Not having the capability to store and State Records undertook a number of measures c. 31/12/1908 preserve digital archives. during the year to increase the security of its From NRS 18526 State Rail Authority  Natural degradation of paper and film systems and data. Digital ID: 18526_a024_000028 archives, and possible disasters.  Backlogs in cataloguing and conservation of State Records’ Access Control and Network the State archives collection. Management policies were reviewed in May and  Limited ability to enforce recordkeeping June 2009 respectively. improvements across the public sector. Insurance premiums paid to Treasury Managed Fund  Potential reduced demand for fee-based file retrieval service as digital recordkeeping Category 2005-06 2006-07 2007-08 2008-09 grows, and competition from commercial Workers’ compensation 261,360 261,730 156,130 149,730 storage providers.  Dependency on knowledge of key Motor vehicles 21,120 19,900 21,320 25,350 personnel who may retire or leave. Property 45,630 38,850 51,130 39,130  Perceived conflict between regulatory and commercial roles. Public liability 4,100 3,270 2,690 2,250

The adequacy of this risk matrix was reviewed Other 4,990 3,550 780 600 by management in conjunction with the Board’s Audit, Finance and Risk Committee in mid 2007 Total 337,200 327,300 232,050 217,060 and found to be still appropriate. During the year, IAB Services provided our Claims history internal audit function. In 2008-09 four reviews Category 2005-06 2006-07 2007-08 2008-09 were conducted: Workers’ compensation 12 18 18 16  Business Operating System (BOS) Motor vehicles 6 4 5 2  Government Record Repository’s file retrieval process Iza Frances Josephine Coughlin, 12 April Property 0 0 0 0  Public Access program 1893 - one of the first women to Public liability 0 0 0 0  Financial and administrative processes graduate in medicine from the University of Sydney Other 0 0 0 0 Digital ID: 9873_a025_a025000047 Total 18 22 23 18

State Records NSW 81 81 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing risks Managing risks

State Records NSW 82 82 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our people

State Records NSW is a business unit of NSW Department of Commerce. An average of 119.6 fulltime equivalent (FTE) staff were employed at State Records NSW over the year. Distribution of employees by public sector classifications and gradings State Records also engaged 57 volunteers and some short term contract staff. 2007 2007 2008 2008 2009 2009 % % % Achievements and highlights Senior Executive 1 0.8 1 0.8 1 0.8 Service Workforce profile  Volunteers worked 3,485 hours, adding Senior Officer 2 1.6 1 0.8 At 25 June 2009 (census date), the number of 2 1.7 55,620 items to online indexes; Classification staff employed at State Records NSW was 139 rehousing records and listing for Archives Archivists 32.1 25.2 30.6 24.0 30.0 25.1 (or 119.5 FTE). Investigator. Conservators Previously included 1.8 1.4 2 1.7 Overall, there was very little change in the with “Other” figures number of fulltime equivalent employees from Clerks 28 22.0 39.2 30.7 71.9* 60.2* the previous year. Librarian/Library Previously included 1 0.8 1 0.8 Equal Employment Opportunity (EEO) with “Other” figures Recruitment action that was undertaken by State State Records is committed to equity in all Technician Records included 6 permanent appointments: 3 aspects of employment. The Aboriginal Trust Clerical Officers 49.5 39.8 41.4 32.4 0* 0* were new appointees, 2 were long term Fund Repayment Scheme implemented by the Other (Drivers, 14.8 11.6 11.6 9.1 11.6 9.7 temporary staff (made permanent under s.31 of Premiers Department continued using records General the Public Sector Employment and Management from State Records. Assistants) Act) and 1 staff member was promoted. Total 127.4 100 127.6 100 119.5 100

Also in addition to the above, two permanent * On November 13 2008 the Crown Employees (Public Sector – Salaries 2008) was amended whereby the Clerical Officer staff resigned from State Records. classification was transitioned to Clerk classification. As at the reporting date (25 June 09) all clerical officers had been transitioned.

Notes: Previous to 2008 Librarian/Library technician and Conservators were included within the “Other” figures. Figures Distribution of full time equivalent (FTE) employees calculated using census date FTE figures. Classification as per substantive grade. The previous annual report used annual 2007 2007 2008 2008 2009 2009 average FTE figures. These have been recalculated to census date FTE. % % % Managers 13.0 10.2 12.0 9.4 11.0 9.2 Professionals 36.7 28.8 35.4 27.7 37.0 31.0 Personnel policies and practices Technicians 2.0 1.6 2.0 1.6 2.0 1.7 and Trade State Records manages its Departmental Workers employees in accordance with government Community 0.0 0.0 0.0 0.0 0.0 0.0 human resource policies, including: and Personal  equity in employment opportunities Service Workers  ensuring health and safety at work, return to Clerical and 54.6 42.9 56.6 44.4 50.9 42.6 work programs, and providing confidential Administrative counselling and advice services Workers)  embracing diversity and gender balance: for women, people with disabilities, Aboriginal Sales Workers 0.0 0.0 0.0 0.0 0.0 0.0 people and people with different ethnic backgrounds Machinery 12.1 9.5 12.6 9.9 11.6 9.7  fostering ethical conduct and individual Operators and performance Drivers Goat Island — Sydney Harbour, 1844 from  enabling staff to develop their skills, Labourers 9.0 7.1 9.0 7.1 7.0 5.8 Plans showing the location and outline of knowledge and careers public buildings or blocks of land required for Total 127.4 100 127.6 100 119.5 100  providing flexibility in working hours to ordnance purposes, 1842-47(NRS CGS support work/life balance 13863 [X857]) Notes: Figures calculated using census date FTE figures. In 2007 the coding system was changed from ASCO  supporting study leave for staff undertaking to ANZSCO. The figures for previous years have been amended to their nearest ANZSCO equivalent. This may relevant courses. make accurate comparison with previous years difficult. The previous annual report used annual average FTE figures. These have been recalculated to census date FTE.

State Records NSW 83 83 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our people

State Records NSW 84 84 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our people

Ethnic Affairs Priority Statement, Disability Achievements: Plan, Action Plan for Women Table A: Trends in the representation of EEO groups  The rebuilding of State Records OHS State Records maintained existing strategies for Management System has been completed. 2006 2007 2008 2009 Benchmark or ensuring positive outcomes for staff from As part of this process an OHS Target linguistically and culturally diverse backgrounds, Management System document has been Women 58% 59% 63% 61% 50% staff with a disability and female staff. These produced and is now available on the State included: Aboriginal 3.4% 2.1% 2.8% 2.2% 2% Records OHS intranet page. people and  Monitoring personnel policies and practices  The State Records OHS Excellence Award Torres Strait to ensure they do not discriminate. has been launched to promote and Islanders  Ensuring career development opportunities recognise excellence and innovation in OHS People whose 11% 12% 12% 12% 20% are available for all staff. within State Records. first language State Records has a dedicated position of  Successful completion of Certificate IV in was not Occupational Health and Safety by State English Archivist – Aboriginal Liaison, staffed by an Aboriginal person, to strengthen relationships Records OHS Coordinator. People with a 11% 11% 9% 10% 12% with Aboriginal people and communities and disability ensure our services are culturally appropriate. The occurrence of manual handling incidents People with a 4.1% 4.1% 4.1% 4.4% 7% remains a concern for State Records. It is disability State Records is now covered by the Department envisaged a comprehensive training program in requiring of Commerce’s Disability Action Plan and Ethnic conjunction with WorkCover NSW will ensure all work-related staff are aware of current manual handling adjustment Affairs Priorities Statement (EAPS) Plan. Once the NSW Department of Commerce finalise their guidelines. The incidence of soft tissue injuries, EAPS Plan for 2009, State Records will seek to particularly lower back injuries is a direct result implement key ethnic affairs strategies contained of the type of warehouse functions conducted by within the EAPS Plan. State Records, particularly in the GRR, which includes high volume manual handling Table B: Trends in the distribution of EEO groups across salary levels State Records did not enter into any agreements operations. with the Community Relations Commission. There were no prosecutions under the 2006 2007 2008 2009 Benchmark or Occupational Health and Safety (OHS) Occupational Health and Safety Act. Target State Records is committed to providing staff, In the coming year, State Records will continue Women 115 116 116 120 100 contractors, visitors and volunteers with a safe with strategies for minimising injury to staff as a and healthy working environment in order to Aboriginal n/a n/a n/a result of manual handling issues and will n/a 100 prevent occupational injuries and illness. State people and continue with other aspects of the OHS program Records continues to comply with the NSW Torres Strait such as staff training and preparation of safe Islanders Occupational Health and Safety Act 2000 and the working method statements. Our positive Occupational Health and Safety Regulation 2001. People whose n/a n/a n/a n/a 100 achievements in OHS are also expected to first language reduce workers compensation costs. was not State Records OHS Committee continues to English function effectively in accordance with its People with a n/a n/a n/a n/a 100 Constitution, role and responsibilities. The Unfortunately the number of Workers’ disability Committee provides a consultative framework so Compensation claims increased in 2008-09. People with a n/a n/a n/a n/a 100 that decision making on health and safety Most claims were of a minor nature. disability reflects the concerns of the whole workplace. requiring work-related adjustment Occupational health and safety report

Notes: Staff numbers are as at 30 June. Excludes casual staff. A Distribution Index of 100 indicates that the centre of the 2008-09 distribution of the EEO group across salary levels is equivalent to that of other staff. Values less than 100 means that the EEO group tends to be more concentrated at lower salary levels than is the case for other staff. The more pronounced Incidents reported 42 this tendency is, the lower the index will be. In some cases the index may be more than 100, indicating that the EEO group is less concentrated at lower salary levels. The Distribution Index is automatically calculated by the software New claims 15 provided by ODEOPE. The Distribution Index is not calculated where EEO group numbers are less than 20.

State Records NSW 85 85 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our people

State Records NSW 86 86 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our people Managing our people

Industrial relations publication of reports on the Intranet. Staff have Volunteers program Professional staff development State Records has an Institutional Consultative the opportunity to ask questions and State Records’ has 57 volunteers who provide Approximately 25% of staff are qualified Committee that comprises Public Service provide feedback at staff meetings or to their valuable assistance to help make the State archivists, or have related qualifications such as Association (PSA) delegates and management supervisor or manager at any time. archives collection more accessible. During the librarianship. State Records as an organisation, representatives. It meets quarterly. year they worked on indexing, conservation and and professional staff, are active participants in Overseas travel Archives Investigator projects. the Australian and international recordkeeping Management/staff communication In 2008/09, three officers travelled overseas on community. State Records is an organisational Senior management communicates to staff about government business, some at minimal or no Volunteers worked approximately 3,485 hours, member of the Australian Society of Archivists, strategic directions, issues affecting the cost to government (see table below). adding 55,620 items to online indexes; the Records Management Association of organisation, activities and news through rehousing records and listing for Archives Australasia, and the International Council on general staff meetings, program area meetings, Investigator. Archives. Within available resources, State email memoranda, an e-newsletter and Records supports professional staff attending Volunteers are offered a social and educational and speaking at conferences and seminars, program of events. They receive recognition for holding positions on councils and committees, their years of service. Volunteers received OHS and writing for journals. Eight staff were Officer Position Purpose of travel Benefits training to minimise injury from data entry granted study leave to attend information work. systems/management, information services and Kirsten Archivist, Attendance by both officers at Provided an opportunity to Arts courses at a tertiary level. Thorpe and Aboriginal the 16th International Council of demonstrate initiatives of the Liaison Archives (ICA) Congress held at NSW Government in relation to Ann Wright Kuala Lumpur, Malaysia. Indigenous archives and the use Research Kirsten and Ann jointly of official archives in support of Officer, presented a paper entitled Aboriginal programs, notably Aboriginal Indigenous knowledge and the Aboriginal Trust Fund Liaison Archives: Embracing Multiple Repayment Scheme. Ways of Knowing and Keeping at the Congress.

Christine Manager, Public To present a paper entitled Provided an opportunity to Yeats Access Accessible and visible: showcase the initiatives of the Community Access to the State State Records Authority of NSW Archives at the 2008 annual to maximise the accessibility of Conference of the Archives and the NSW State Archives Records Association of New collection through an integrated Zealand (ARANZ) held in range of online and traditional Dunedin, New Zealand. service delivery methods. Christine Manager, Public To present a paper entitled Provided an opportunity to Yeats Access Tracking the evidence of past showcase the initiatives of the Government action: the NSW Government regarding operation of the NSW Trust repayment of money to Fund Repayment Scheme at the Aboriginal people who had Association of Canadian wages or other payments placed Archivists (ACA) Annual into Trust Fund to an Conference held at Calgary, international audience. It also Volunteers Front row (L to R): Jeanette French, Lynnette Alberta, Canada. publicised the contribution made Hitchell, Gail Chapo by State Records to the work of Second row (L to R): Julie Schippers, Elizabeth the Aboriginal Trust Fund Von Brandis-Martini Repayment Scheme and to Back row (L to R): Ailsa Mulry, Judy Porter exchange information about parallel initiatives underway in other countries.

State Records NSW 87 87 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our people Managing our people

State Records NSW 88 88 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our information and records Managing our information and records

State Records recognises the value of its information, records and knowledge as Records management initiatives focused on Management of sensitive information corporate assets. These assets include: sentencing and disposal protects privacy State Records has a records management Most of the information and records created or  Information and records about the State archives collection and non-current records in program in accordance with standards we have held by State Records relating to its functions our custody. set for the NSW public sector. During the year and operations is accessible to the public. Some  Staff knowledge about NSW public sector records and archives. we: information and records are appropriately  An extensive database and information about the administration of the NSW public protected from disclosure (both to staff and the sector, and its recordkeeping practices, from 1788 to the current day.  Completed the process of assigning public) in accordance with personal privacy,  A library of Government legislation and publications, and works on the history of NSW, retention schedules to all files created since security and commercial confidentiality principles for staff and clients to better understand the context of the State archives collection. 1997. and obligations.  Completed the transfer of State Records’ Information systems support service BOS disposal authority module to support the Board papers as State archives in delivery We have a Privacy management plan, that development of retention and disposal accordance with an early access We have three primary electronic information identifies how we comply with the Information authorities in direct collaboration with agencies. authorisation approved in September 2008. systems supporting our services. Protection Principles. It can be viewed on our  Continued the process of progressively Archives Investigator (AI), our online catalogue, website www.records.nsw.gov.au. closing all old files. Newly created files are The inventory system RS-SQL is being is the public face of BOS. It was originally now sentenced at creation against the Infrastructure and telecommunications progressively implemented to support our developed in 2000 through a joint venture with appropriate retention and disposal improved to support information systems records storage and retrieval services. During the City of Sydney Archives. It was schedules. and services the year implementation progressed in relation re-developed in 2007 to achieve performance  Continued the project to dispose of records To substantiate the efficacy of a number of to core processes and a major ancillary system and interface improvements and the partial no longer required by State Records under improvements made to State Records’ network was rolled out (see page 26). integration of a new access directions entity. AI State Records’ retention and disposal infrastructure, Shearwater Solutions was was enhanced during the year with the Our integrated Business Operations System authority, and the various general disposal engaged to undertake an audit of State Records’ integration of a shopping cart system which (BOS) is used to manage archival and public authorities. data network to test that it was performing went live in May 2009. At this stage, customers client functions (cataloguing, location tracking,  Applied a major version upgrade to our optimally and to specification. The improvement can order copies of material from the popular conservation, retrievals to reading room, reader TRIM records management software. works had commenced in the previous year and registration, and client contacts). series Probate packets (NRS 13660) and were completed in July 2008. They included the Divorce and matrimonial cause case papers installation of new network switches, a new During the year the Internal Audit Bureau (IAB) (NRS 13495). The system also allows customers firewall, new data connections for Internet and conducted a review of BOS. The objective of the to pre-order uncopied items for use in the WAN as well as the extension of cabling to review was to assess the adequacy of the Western Sydney reading room. accommodate a new Transport Office. controls for system operation and administrative processes related to the This assignment was carried-out between application. The IAB issued its final report in February and April 2009. In summary, February 2009. The review found that BOS “is a Shearwater’s report concluded that the network well designed, well developed and well was operating well within capacity and that there controlled system”. It made ten was no evidence of network related performance recommendations, most of which represented a issues. low risk rating. These have been agreed and are being implemented as appropriate. Freedom of Information (FOI) Unfortunately, State Records has not had the State Records’ Statement of Affairs, required to resources to incorporate the long planned be published under the Freedom of Information content and workflow functionality into the Act 1989, is on our website and is updated every six months.

Information assets at a glance: De Burghs Bridge, Lane Cove National Park The following is a brief summary of FOI issues  Information and records about the State archives collection and non-current records in (NSW), c. 31/12/1908 pertaining to State Records during the year. our custody. From NRS 18526 State Rail Authority  Staff knowledge about NSW public sector records and archives. Digital ID: 18526_a024_000029 No FOI requests were received in 2008-09.  An extensive database and information about the administration of the NSW public sector, and its recordkeeping practices, from 1788 to the current day.  A library of NSW Government legislation and publications, and works on NSW history for staff and clients to better understand the context of the State archives collection.

State Records NSW 89 89 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our information and records Managing our information and records

State Records NSW 90 90 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our information and records

FOI statistical information is provided in tables A Section C: Ministerial Certificates — to L. Section A: New FOI requests Section J: Days to process Section D: Formal consultations — Personal Other Total Personal Other Total J1 0 — 21 days 0 0 0 A1 New (including 0 0 0 Section E: Amendment of personal records — transferred in) J2 22 — 35 days 0 0 0 A2 Brought forward 0 0 0 Section F: Notation of personal records — J3 Over 35 days 0 0 0 Section G: FOI requests granted in part or A3 Total to be processed 0 0 0 refused J4 Totals 0 0 0 A4 Completed 0 0 0 A5 Transferred out 0 0 0 Personal Other Total A6 Withdrawn 0 0 0 G1 Section 19 (application 0 0 0 Section K: Processing time incomplete, wrongly A7 Total processed 0 0 0 directed) Personal Other Total A8 Unfinished (carried 0 0 0 G2 Section 22 (deposit not 0 0 0 K1 0 — 10 hrs 0 0 0 forward) paid) G3 Section 25(1)(a1) 0 0 0 K2 11 — 20 hrs 0 0 0 (diversion of resources) K3 21 — 40 hrs 0 0 0 G4 Section 25(1)(a) 0 0 0 Section B: Completed FOI requests (exempt) K4 Over 40 hrs 0 0 0 G5 Section 25(1)(b), (c) 0 0 0 (d), (otherwise available) K5 Totals 0 0 0 Personal Other Total G6 Section 28(1)(b) 0 0 0 B1 Granted in full 0 0 0 (documents not held) G7 Section 24(2) - deemed 0 0 0 B2 Granted in part 0 0 0 refused, over 21 days G8 Section 31(4) (released 0 0 0 Section L: Reviews and appeals B3 Refused 0 0 0 to Medical Practitioner) G9 Totals 0 0 0 07/08 08/09 B4 Deferred 0 0 0 L1 Number of internal 2 1 reviews finalised B5 Completed 0 0 0 Section H – Costs and fees of requests L2 Number of 0 1 processed during the period (i.e. those Ombudsman reviews included in lines A4, A5 and A6) L3 Number of 0 0 Administrative Decisions Assessed FOI fees Tribunal appeals costs received finalised All completed 0 0 Details of Internal Review Results — in relation Section I – Discounts allowed – numbers to internal reviews finalised during the period of FOI requests processed during the Personal Other Bases of Internal review period where discounts were allowed 08/09 08/09 Grounds on which internal 0 0 Type of discount Personal Other review requested L4 Access refused 0 1 Public interest 0 0 Nurse in the interior of Coast Hospital L5 Deferred 0 0 horse drawn ambulance Financial hardship 0 0 L6 Exempt matter 0 0 Digital ID: 4481_a026_000262 Financial hardship 0 0 L7 Unreasonable charges 0 0 L8 Charge unreasonably 0 0 Significant 0 0 incurred corrections to L9 Amendment refused 0 0 Totals 0 0 L10 Totals 0 0

State Records NSW 91 91 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our information and records

State Records NSW 92 92 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our physical assets and finances Managing our physical assets and finances

State Records has property assets worth over $55 million, primarily comprising land and Waste reduction and purchasing policy equipment of different ages. Energy saving repository buildings at the Western Sydney Records Centre, Kingswood. Our expenses (WRAPP) measures are incorporated when buildings and for 2008-09 were budgeted at $15.6 million, half of which was self-funded through State Records supports reduction and reuse of equipment are upgraded, such as the Stage 6 provision of records storage and retrieval services to the public sector. waste and the purchase of recycled materials. development in the previous financial year. In the conduct of our operations, we aim to State Records’ electricity supply, provided under avoid creating waste by expanding our online the NSW Government Electricity Supply Asset management services and publishing. All records destroyed Contract, includes a minimum of 6% Green by the GRR are pulped and then recycled. Toner Power. Total Asset Management repository spaces in Western Sydney, totalling cartridges are also recycled and vegetation The refurbishment of the Stage 2 building (built 42 linear kilometres of records storage. waste from landscaping is mulched and reused During the year we reviewed vehicle fleet where possible. We have a Waste Reduction and requirements in accordance with our Fleet 1978, added to 1983) which commenced in In The Rocks, our lease covers 1,152m2 (one Purchasing Policy (WRAPP) plan and report our improvement plan 2005-08. Highlights for the early 2008 was completed in early 2009.The floor of Foreshore House). This lease is for progress to the Department of Environment and year were: total work cost $1,606,000, and was offices, training facilities, exhibition area and a Climate Change. self-funded by the GRR. As well as the public reading room.  Our fleet exceeded the Government’s installation of new external cladding and a new target for environment performance A major component of our business is to advise roof other enhancements included Capital expenditure for 2007-08 was estimated scoring. public sector organisations about management refurbishment of all compactus and a new at $1.6 million, which was to be self-funded  Commenced using E10 fuel and seeking to of their official records, many of which are temperature control system. from the Government Records Repository. achieve 95% compliance. paper files and documents. We encourage public State Records’ Total asset management plan A capital works allocation from NSW Treasury of offices to manage records in digital form, to addresses asset and infrastructure maintenance $345,000 was granted (as per previous years) destroy records using environmentally sound and disposal, capital investment, and office for various minor works including electronic methods, and to use recycled paper when accommodation and is aligned to our results and infrastructure and maintenance. printing records to be kept less than 10 years. services plan. It includes our Asset maintenance plan and an electronic Asset register used to Government energy management policy conduct an annual stocktake. State Records continues to aim for reductions in energy consumption to support the National State Records owns repositories and services Greenhouse Strategy. The Western Sydney buildings located on 20 hectares at the Western Records Centre comprises buildings and Sydney Records Centre. The complex includes 485 kilometres of purpose-built storage space for non-current records and archives, conservation facilities, offices, training facilities and a public reading room. We also lease five View from the north side of Sydney Harbour From NRS 4481 Government Printing Office Glass Negatives Digital ID: 4481_a026_000021

View of Sydney looking north From NRS 4481 Government Printing Office Glass Negatives Digital ID: 4481_a026_000047

Energy consumption 2004-05 2005-06 2006-07 2007-08 2008-09 Electricity (kwh) 2,806,037 3,075,247 3,195,190 3,165,886 3,217,322 Green electricity (kwh) 175,853 176,347 194,996 192,771 197,007 Gas, natural (mj) 10,736,217 6,915,762 7,993,219 8,664,039 9,004,334

State Records NSW 93 93 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our physical assets and finances Managing our physical assets and finances

View of Sydney looking north From NRS 4481 Government Printing Office Glass Negatives Digital ID: 4481_a026_000047

State Records NSW 94 94 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our physical assets and finances Managing our physical assets and finances

Financial management

State Records’ financial statements were An annual contribution from GRR surplus to Payment performance indicators prepared on an accrual accounting basis for the fund archives preservation and accessibility State Records aims to pay all creditors within Consultants year ending 30 June 2009. The financial position (copying, exhibitions) has been in place since their terms. Accounts payable are settled by the Four consultants were engaged at a total cost of of the Government Records Repository is 2001. The allocation for 2008-09 was due date or within thirty days of the due date. $102,988. One of these four consultants was reported in the ‘Performance and outlook’ $1,100,000, although this was exceeded by In the current reporting period State Records an auditor employed by the Internal Audit section. $61,000 during the year. The Board has averaged higher than its performance target for Bureau who was engaged to undertake approved an allocation of $1,150,000 for all quarters except the fourth quarter. During management audits at a cost of $48,028. Revenue increased 2009-10. the year there were no instances leading to This year the revenue raised by State Records penalty interest payments being made on Credit card certification through storage and retrieval services provided Efficient Corporate Services profile overdue accounts. No irregularities in the use of corporate credit by the Government Records Repository fell according to benchmarking cards have been recorded during the year. The Creditors Ageing slightly. Revenue from other services (including State Records was assessed as having one of Director certifies that credit card use has been Performance indicators set for the payment of product and publication sales, copying service) the most efficient corporate services profiles in accordance with Premier’s memoranda and accounts were: increased this year, although this has fluctuated compared against 25 agencies in the 2006 Treasurer’s directions. over the last five years. Corporate Services Reform Program Data  at least 90% of accounts to be paid by the Collection. Based on analysis of data for the due date or within less than thirty days. Expenditure categories show little year ended 30 June 2006, State Records was  no more than 10% of accounts to be more fluctuation benchmarked against small agencies employing than thirty days overdue. Percentage of expenditure under various 100-499 FTE. We spent 5.3% of our budget on categories has remained fairly constant over the corporate services compared to a median of past five years. Of note is the savings on rental 5.9% for our sector. In terms of employees and cleaning costs through reduction of office supported by each corporate services employee, accommodation in The Rocks and reduced State Records achieved a high ratio of 18.8:1 cleaning services. with a sector median of 13.4:1.

Employee related costs

Gross revenue raised ($)

2004-05 2005-06 2006-07 2007-08 2008-09 2004-05 2005-06 2006-07 2007-08 2008-09 Salaries, wages, 7,397,044 7,546,088 7,929,613 8,774,463 9,006,676 Total consolidated Fund programs 1,156,667 904,195 1,162,477 1,289,322 1,100,580 national wage

Government Records Repository services 8,429,552 8,838,946 10,067,722 10,973,661 11,311,178 Leave on 37,707 100,856 46,849 (53,160) (41,593) Termination – Total revenue 9,586,219 9,743,141 11,230,199 12,262,983 12,411,758 Provision Overtime 176,331 165,287 179,401 191,388 172,541 Workers 137,350 261,360 261,730 399,006 151,526 compensation Expenditure by categories (%) Payroll Tax 441,868 450,359 491,633 538,982 500,829 Superannuation 640,351 696,874 741,538 814,772 863,142 2004-05 2005-06 2006-07 2007-08 2008-09 Fringe Benefit 28,937 32,359 24,225 31,264 20,198 Tax Salaries and allowances 59 62 62 65 63 Total 8,860,588 9,253,183 9,674,989 10,696,715 10,673,319 Rental and cleaning 7 5 5 5 5

Stores 1 1 1 2 1

Printing and publications 1 1 1 0 0

Gas and electricity 2 3 3 3 3

Other 30 28 28 25 28 Total 100 100 100 100 100

State Records NSW 95 95 Annual Report 2008-09 Governance and accountability Governance and accountability

Managing our physical assets and finances Managing our physical assets and finances

Financial management

Employee related costs

Gross revenue raised ($)

Stores 1 1 1 2 1

Printing and publications 1 1 1 0 0

Gas and electricity 2 3 3 3 3

Other 30 28 28 25 28 Total 100 100 100 100 100

State Records NSW 96 96 Annual Report 2008-09 Governance and accountability Governance and accountability

Timeliness of account payments

Q1 Q2 Q3 Q4

Target –paid on time (%) 90 90 90 90

Actual—paid on time (%) 100 100 100 100

Value paid on time ($’000) 3,926 5,648 3,637 4,911

Total value of accounts paid ($’000) 3,926 5,648 3,637 4,919

Creditors ageing

3,926 5,648 3,637 Q4

Current i.e. within due date ($’000) 261 136 551 154

< 30 days overdue ($’000) 29 15 - -

> 30 days and < 60 days overdue($’000) - - - 8 > 60 days and < 90 days overdue($’000) - - - - > 90 days overdue ($’000) - - - -

View towards Church Point (NSW), c. 31/12/1908 From NRS 18526 State Rail Authority Digital ID: 18526_a024_000030

State Records NSW 97 97 Annual Report 2008-09 Audited financial statements

98 98 Annual Report 2008-09 State Records NSW 99 99 Annual Report 2008-09 State Records NSW 100 100 Annual Report 2008-09 State Records NSW 101 101 Annual Report 2008-09 State Records NSW 102 102 Annual Report 2008-09 State Records NSW 103 103 Annual Report 2008-09 State Records NSW 104 104 Annual Report 2008-09 State Records NSW STATE RECORDS AUTHORITY OF NEW SOUTH WALES Notes to and forming Part of the Financial Statements 30 June 2009 CONTENTS

Note

1 Summary of Significant Accounting Policies

2 Revenue

3 Expenses

4 Gain / (Loss) on Disposal of Non-Current Assets

5 Conditions on Contributions

6 Current Assets – Cash and Cash Equivalents

7 Current Assets – Trade and Other Receivables

8 Current Assets - Inventories

9 Non-Current Assets – Property, Plant & Equipment

10 Intangible Assets

11 Current Liabilities – Trade and Other Payables

12 Current / Non-Current Liabilities – Borrowings

13 Changes in Equity

14 Commitments for Expenditure

15 Contingent Liabilities

16 Reconciliation of Surplus for the year to Net Cash Flows from Operating Activities

17 Financial Instruments

18 Post Balance Date Events

105 105 Annual Report 2008-09 State Records NSW STATE RECORDS AUTHORITY OF NEW SOUTH WALES Notes to and forming Part of the Financial Statements 30 June 2009 CONTENTS

Note

1 Summary of Significant Accounting Policies

2 Revenue

3 Expenses

4 Gain / (Loss) on Disposal of Non-Current Assets

5 Conditions on Contributions

6 Current Assets – Cash and Cash Equivalents

7 Current Assets – Trade and Other Receivables

8 Current Assets - Inventories

9 Non-Current Assets – Property, Plant & Equipment

10 Intangible Assets

11 Current Liabilities – Trade and Other Payables

12 Current / Non-Current Liabilities – Borrowings

13 Changes in Equity

14 Commitments for Expenditure

15 Contingent Liabilities

16 Reconciliation of Surplus for the year to Net Cash Flows from Operating Activities

17 Financial Instruments

18 Post Balance Date Events

106 106 Annual Report 2008-09 State Records NSW State Records NSW 107 107 Annual Report 2008-09 State Records NSW 108 108 Annual Report 2008-09 State Records NSW 109 109 Annual Report 2008-09 State Records NSW 110 110 Annual Report 2008-09 State Records NSW 111 111 Annual Report 2008-09 State Records NSW 112 112 Annual Report 2008-09 State Records NSW 113 113 Annual Report 2008-09 State Records NSW 114 114 Annual Report 2008-09 State Records NSW 115 115 Annual Report 2008-09 State Records NSW 116 116 Annual Report 2008-09 State Records NSW 117 117 Annual Report 2008-09 State Records NSW 118 118 Annual Report 2008-09 State Records NSW 119 119 Annual Report 2008-09 State Records NSW 120 120 Annual Report 2008-09 State Records NSW 121 121 Annual Report 2008-09 End of Audited Financial Statements.

State Records NSW 122 122 Annual Report 2008-09 End of Audited Financial Statements.

State Records NSW 123 123 Annual Report 2008-09 State Records NSW 124 124 Annual Report 2008-09 State Records NSW 125 125 Annual Report 2008-09 Index

Aboriginal people, services for 58, 59 Insurance 82 Accessing our services inside back cover Legislation administered 4 Aims 5 Legislation, change to 76 Annual report, availability 2 Management structure 75 Annual report, expenditure on 2 Message from Chair 8 Asset management 93 Occupational Health and Safety (OHS) 86 Audit opinion on Financial Statements 99 Organisation chart 75 Board membership 71 Overseas travel 87 Budget 124 Payment of accounts 96 Charter 4 Performance and outlook, detailed review 15 Clients and stakeholders 5, 57, 78 Performance, summary of 10 Committees, client and stakeholder 78 Personnel policies and practices 84 Committees, management 75 Privacy management 90 Consultants 96 Publications for public 80 Credit card certification 96 Records management 89 Culturally and linguistically Risk management 81 diverse communities, services for 60 Services 5 Customer complaints 80 Stakeholders, clients and 5, 57, 78 Director’s review 6 Summary of performance 10 Disability action plan 86 Values 5 Electronic service delivery 52-53 Vision 5 Energy management 94 Waste reduction and purchasing 94 Equal Employment Opportunity (EEO) 84 Women, Action plan for 86 Ethnic Affairs Priority Statement (EAPS) 60, 86 Workforce profile 83, 84 Financial statements (audited) 98 Freedom of Information (FOI) 90 Future Proof 32-35 Guarantees of service 79 Human resource management 83 Indigenous community, services for 59 Industrial relations 87