2015/2016 Annual Report 2015-16 ISSN 0545-3593 State Records Authority of New South Wales PO Box 516 Kingswood NSW 2747 Published 2016 Images from digitisation in 2015-16 Cover: Town Hall luncheon for returned soldiers, Anzac Day 1916. From NRS 4481, ST5793 Total external costs for publication (printing only) $500.00 including 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, 2016. 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 throughout this report are of items in the State archives digitised during 2015-16. Images with a Digital ID number are available to order online and through Photo Investigator.

As at 30 June 2016 the State Records Authority of New South Wales is a related entity of the Department of Finance, Services and Innovation (DFSI). Where a reference is made to a current policy or related document released under the previous title of the Department of Finance and Services (DFS) and the Office of Finance and Services (OFS) that name is still used in the text. The Hon Dominic Perrottet MP Minister for Finance, Services and Property GPO Box 5341 SYDNEY NSW 2001

31 October 2016

Dear Minister,

On behalf of the State Records Authority of New South Wales I take pleasure in forwarding the Annual Report and Financial Statements of the Authority for the year ended 30 June 2016.

The report has been prepared in accordance with the requirements of the Annual Report (Statutory Bodies) Act 1984, the Public Finance and Audit Act 1983 and regulations under those Acts.

Yours sincerely,

Geoff Hinchcliffe Director State Records Authority of New South Wales

A related entity of the Department of Finance, Services & Innovation FIGURE 1: Mr Hughes’ meeting, Sydney Town Hall. Dated: January 1917. Digital ID: NRS4481_ST5972P. Series: NRS 4481 Government Printing Office glass plate negatives. This was digitised as part of State Records NSW Centenary of ANZAC commemorations.

04 STATE RECORDS AUTHORITY OF NEW SOUTH WALES CONTENTS PAGE

Director’s Report ...... 06 Message from the Chairperson ...... 10 Overview ...... 11 Our Vision ...... 12 Our Stakeholders ...... 12 Who We Are ...... 12 What We Do ...... 12 Our History ...... 13 How We Do This ...... 13 Important Facts ...... 14 Legislation ...... 14 State of Public Sector Recordkeeping ...... 15 Key Achievements ...... 17 Performance ...... 19 Performance Summary ...... 20 Services for the Public ...... 22 Whole-of-Government Services ...... 44 Commercial Services ...... 57 State Archives Collection ...... 60 Information Management ...... 71 Corporate Overview ...... 73 State Records Board ...... 74 Client and Stakeholder Relationships ...... 77 Organisation Structure ...... 80 Internal Committees ...... 83 Representation on External Committees ...... 84 Governance and Accountability ...... 87 Strategic Planning and Reporting ...... 88 Managing Risks...... 89 Internal Audit and Risk Management Attestation Statement ...... 91 Managing our People ...... 93 Public Interest Disclosures (PID) Act 1994 ...... 98 Government Information (Public Access) Act (GIPA) 2009 ...... 99 Digital Information Security Annual Attestation Statement ...... 102 Managing our Physical Assets ...... 103 Managing our Finances...... 105 Financial Report 2015-2016 ...... 109 Independent Auditor’s Report ...... 106 Financial Statements ...... 111 Accessing our Services ...... 141

ANNUAL REPORT 2015/2016 05 DIRECTOR’S REPORT

DIRECTOR’S REPORT

I am pleased to report sector and local government respectively. that the State Records Mr John Hubby was appointed shortly after Authority of New South as a department representative. During this Wales (State Records) has time the Board farewelled Mr Anthony Lean had another outstanding and Mr Scott Nash who made valuable year with many fine contributions during their time on the Board. achievements recorded. • The investigation of long term funding This is only possible due to the dedication and hard issues affecting the State archives statutory work of the State Records functions resulted in the development team, an enthusiastic Board and the support and submission of a new funding model of State Records’ parent department, the to Treasury to support the State archives. Department of Finance, Services and Innovation It is pleasing to report that as a result of this (DFSI). work, $1.5 million in additional funding has been secured for 2016-17 allowing partial On 1 July 2015 the former Office of Finance resolution of the issue. More work is planned and Services was replaced with DFSI and this to be done in the next financial year to further signalled a new energy and focus as the new address the Authority’s statutory functions Department quickly realigned to better service funding shortfall. the public. • In July 2015, the sale of 8 hectares of surplus Internally within DFSI, State Records moved land adjacent to the Kingswood site was from the Better Regulation Division to the finalised providing the Authority with a much Government and Corporate Services division needed $9.5 million in capital to fund State led by Deputy Secretary John Hubby. archive related capital projects. Many significant achievements and activities • State Records commercial records were undertaken throughout the year with the management business, the Government following worthy of highlighting: Records Repository (GRR), had a very • Obtaining the Ministers support to establish successful year in 2015-16 resulting in an a 1 year project to commence the Emergency increase in revenue returning 22% as a Digitisation of At-Risk Archives (EmDARA). surplus which will support archival activities This project resulted in the timely conversion in the next financial year. of highly at-risk archival material to a digital form before permanent damage occurred. • The transfer of records of continuing value by The $3.52 million invested in this project public offices to the State archives, increased enabled the digitisation of at-risk collection the value of the State archives collection items guaranteeing long term access in a by $17.5 million. The new value of the State digital form for future generations. archives collection at year end has been confirmed to be c.$922 million. • Significant change occurred on the State Records Board with the appointment of • The completion of the second year of 3 new Board members and the reappointment operations for the Digital Archives team of the Hon. Justice Robert Macfarlan delivered many successes, not least of which, and the Chair of the Board, Ms Anne was the ability of the Digital State Archive Henderson AM. Mr Rodney Wallis and platform to accept large quantities of digital Ms Veronica Lee were appointed to the objects created as part of the EmDARA Board in February to represent the private project and preserve them indefinitely.

06 STATE RECORDS AUTHORITY OF NEW SOUTH WALES • The hosting of three Record Managers • Finalising the State Records new strategic plan Forums was again popular and well will set the strategic priorities and direction attended. These forums continue to provide for the future. This is near completion and opportunities to showcase and share is on track to be presented to the Board for innovative ways of managing business records approval in August 2016. and information in a digital environment. • The re-submission of business cases seeking • The review of functional disposal compliance long term funding for the establishment across the 217 NSW government agencies of an archives digitisation program and which commenced in 2014-15 continued re-establishment of the Collection throughout the year. The project team Documentation Backlog Project from continues to work collaboratively with agencies 2014-15 remains a priority. With only 12% found to be deficient in coverage to ensure of the 12.1 million items in the State archives Government records are appropriately managed documented and only 1.5 million items and sentenced. digitised, access to the State archives • High demand of the State Records’ archives online will remain restricted until these and records experts continued throughout the important projects are funded and established year with many staff presenting at functions as core activities of State Records. and events across the State. The strategic review of the State Records’ • The Western Sydney Records Centre (WSRC) commercial storage business, the Government has a total storage capacity of 474,000 linear Records Repository, which the Hon. Dominic metres. This is supplemented by additional Perrottet MP announced in October 2014, off-site storage locally. As at 30 June 2016 a will continue into the 2016-17 financial year. total of 683,663 linear metres (683.7 KMs) of Government is correctly taking time to consider State records are in the care and management all options for the future, to ensure correct of the Authority which includes c. 79 KMs of decisions are made for the long-term benefit of State archives held in the WSRC. the State. • A visit to Broken Hill showcasing the “Carrington Albums” sparked great interest from the local community and local media. This was the final touring event for the Carrington albums. While the Authority can look back on 2015-16 as a very successful year, there are a number of activities which will carry over to the next financial year. • The first phase in upgrading air conditioning and security systems throughout the Western Sydney Records Centre storage facility at Kingswood is on track to complete in 2016-17. • Similarly, the replacement of State Records’ FIGURE 2: ‘Les trois administrateurs’ photograph of past and present Directors of State Records. From left, Mr David Roberts, end of life BOS with a new Integrated Mr Alan Ventress and Mr Geoff Hinchcliffe. Collection Management System is continuing and is expected to complete in 2016-17.

ANNUAL REPORT 2015/2016 07 DIRECTOR’S REPORT

The additional projects State Records is seeking I am pleased to report that with appropriate funding to commence next financial year are funding and continued support from DFSI, State focused on enabling State Records to better Records is well positioned to continue to play meet its statutory obligations under the Act and a leading role in assisting NSW public offices to better serve the public through expanded transition to digital business. access to the State archives, onsite, online and In closing I would especially like to acknowledge across regional NSW. the strong support provided throughout the year With Governments accelerated move to by the new DFSI Secretary Mr Martin Hoffman; digital business, the role of the State Records the Minister for Finance, Services and Property Authority of New South Wales has never been the Hon. Dominic Perrottet MP; the State more important than it is today. The expectation Records Board led by Ms Anne Henderson; remains that sound recordkeeping practices the State Records Executive team and lastly continue for digital records and information as the wonderful staff at State Records for the they do for paper based records. This is both a enthusiasm, passion for their job and continued challenge and an opportunity for State Records support. to provide a long term digital preservation capability for NSW that protects important digital records and assures the accountability of public offices and Government is maintained in a more digital world. To date, State Records has made great progress in meeting the challenges posed by digital GEOFF HINCHCLIFFE and born digital records in particular. Further Director, work is always required and will be undertaken State Records Authority of New South Wales as digital systems evolve in the future.

FIGURE 3: Geoff Hinchcliffe with Mr Xie Bo from the Jiangsu Province Archives Bureau of China, Dec 2015.

08 STATE RECORDS AUTHORITY OF NEW SOUTH WALES FIGURE 4: Garden Palace, Mines Department exhibit, 1879, Government Printing Office glass plate negatives, NRS4481 SH1588.

ANNUAL REPORT 2015/2016 09 MESSAGE FROM THE CHAIRPERSON

chance to tap some rich philanthropist on the MESSAGE FROM shoulder for contributions or ways to be part of THE CHAIRPERSON an intellectual ambience, and so forth. One piece of advice all archives should note came from Tony Ageh – formerly of the BBC – Archives and Records who warned that going electronic/digital has collections hold untold its traps. He offered the example of how the opportunities not only BBC lost a whole footprint of school kids’ for research and across Great Britain on a “Doomsday” project custodianship of national when it was moved to electronic archives and stories and legacies but, the originals destroyed. Software is now no globally, also illustrate longer available to access archives of the project a variety of ways to and they have lost the lot. Never get rid of the manage and present originals, Ageh says. collections and to exploit At the National Archives in Kew, London, the personalities and natural advantages of I met with Jeff James, Chief Executive and situation and resources in a climate of austerity and financial challenges. Keeper, and Patricia Humphries who looks after the Advisory Council. The special take away During 2016, I was able to visit a number of moment here – apart from a comprehensive tour other archives and records collections in the of that wonderful facility on the Thames (with USA and UK. All I visited reflected very much the its swans and moat and shutters to keep out SRA’s own battles to keep ahead of demand, IRA incendiary devices!) – was in the discussion keep up with rapid changes in technology while with Jeff James. Jeff has been aware for some exploiting any opportunities for extra income. time that the bean counters in the government Physical presence I discovered is also key. have their eyes on the valuable real estate the In Washington, I met with National Archives National Archives occupy. It is something he and Records’ David Ferriero – Tenth “Archivist wonders about – at what stage will he be advised of the United States” (first librarian to hold the that the government could use the money from job!). The Archives are in a wonderful building sale of the site when National Archives could do on Pennsylvania Avenue (running to the Mall). just as well in a paddock out of Manchester… These National Archives are a showcase of how Take nothing for granted. location and physical presence can enhance a The archives at Kew Gardens are boutique by collection and its influence. The building offers wonderful opportunities for corporate and public comparison to Britain’s National Archives, and events. The National Archives, as a result, has very specialist. But new life does spring eternal a well oiled operation making financial gain from in the shelves under the care of archivists. its building. Exhibitions attract large crowds Kew Gardens has just been able to germinate daily. For all that, David Ferriero finds there is a some seeds from a file related to a ship from constant need to remind the powers that be that nearly two centuries back. The seeds were the Archives needs increased resources in the planted in the Kew Gardens nursery and have perennial battle for adequate funding. come to life as some sort of wheat used in making beer. Extraordinary. At the New York Public Library I met with Tony Marx (President & CEO), Mary Lee Kennedy (Chief We must never forget the importance of Library Officer) and Tony Ageh (Chief Digital preserving our national and community story in Officer). Again, these archivists and librarians all its aspects. At the NSW SRA, the challenges work out of a marvellous building offering continue but there are many avenues to note as opportunities for exhibitions and events. But the my global visits confirmed. natural opportunity here was in the personality of its CEO Tony Marx – a very about town sort ANNE HENDERSON of chap whom I suspect makes the most of any Chairperson of the Board

10 STATE RECORDS AUTHORITY OF NEW SOUTH WALES OVERVIEW + OUR VISION + OUR STAKEHOLDERS + WHO WE ARE + WHAT WE DO + OUR HISTORY + HOW WE DO THIS + IMPORTANT FACTS + LEGISLATION + STATE OF PUBLIC SECTOR RECORDKEEPING + KEY ACHIEVEMENTS

ANNUAL REPORT 2015/2016 11 OVERVIEW

ORGANISATION SNAPSHOT Our vision (c) to advise on and foster the preservation of the archival resources of the State, whether public or private, That the people and Government of NSW have ready access to records which illuminate history, (d) to document and describe State archives in enrich the life of the community and support their functional and administrative context. good governance and accountability. State Records is a non-Budget dependent agency within the Department of Finance Services and

Our stakeholders Innovation and a statutory body under Schedule 2 of the Public Finance and Audit Act 1983. The people of NSW Our core regulatory, archival collection and service delivery functions are Budget-funded through We manage the State archives as custodians for a grant from the Department of Finance Services the people of NSW. and Innovation. The Government Records While people in NSW are the principal clients of Repository (GRR) operates off-Budget to provide our public-oriented services, our users also come records storage services to the sector. from around Australia and across the world. State Records is committed to the following principles, which inform its service delivery The Government of NSW strategies: We service the Government of NSW and • Maintaining and enhancing services to individual NSW public sector bodies. Government and the public; Government departments and agencies, • Maintaining essential services in an State owned corporations, local government, environment of fiscal constraint; the public health system and universities are • Maximising the value obtained from available covered by the State Records Act 1998. resources and focusing effort where the Who we are greatest impact can be made; • Developing partnerships and sharing The State Records Authority of New South resources; and Wales (State Records) is the NSW Government’s • Protecting privacy. archives and records management authority. We are a statutory authority under the State What we do Records Act 1998 which sets public offices’ obligations in relations to their records and governs Our responsibilities include: public access to records more than 30 years old. • setting and monitoring standards for the Our principal functions under the Act include: creation, management and disposal of State (a) to develop and promote efficient and records in any format effective methods, procedures and systems for • providing practical advice, guidance and the creation, management, storage, disposal, training to the NSW public sector on digital preservation and use of State records, recordkeeping and all aspects of records (b) to provide for the storage, preservation, management management and provision of access to any • providing cost effective storage, retrieval and records in the Authority’s possession under consultancy services for semi active records this Act, of public sector bodies

12 STATE RECORDS AUTHORITY OF NEW SOUTH WALES ORGANISATION SNAPSHOT

• identifying records of enduring value to be following year. The Archives Authority was retained as State archives and authorising the made responsible for the management of disposal of temporary value records the Government Records Repository and the Records Management Office of New South • preserving State archives in secure purpose- Wales. built environments and ensuring that archives stored elsewhere are managed to In 1976 the Archives Office became the necessary standards administratively separate from the Public Library of New South Wales. In 1978 it moved, with the • documenting and cataloguing the State Records Management Office to a new purpose archives collection to provide context and built archives building at The Rocks. accessibility In 1998 in response to concerns expressed in • providing access to the State archives Parliament around accountability and confidence collection in Government, the new State Records Authority • providing a digital State Archive for the long was created with a strengthened role under the term preservation and access to born digital State Records Act. archives The State Records Act 1998 expanded the • providing access to and preserving online scope of the Archives Act 1960 to the full Government publications through the cycle of government records from their OpenGov NSW web site inception to their archiving or destruction. This expansion in scope resulted in the Archives • enabling the transformation to digital Authority becoming the State Records information management through the Data Authority of NSW. NSW website. The State Records Act was reviewed in Our History 2003 with the Amendment passing in 2005. In 2006, the Authority moved from Arts NSW to A Colonial Secretary and Registrar of the become a related entity within the Department Records was first appointed by the colony of of Commerce. NSW in 1821. The Convict Records of Australia held by In 1879, a Keeper of the Archives position was State Records NSW and the Archives Office of proposed but not established. However, an Tasmania were inscribed onto the International Archivist was appointed in 1887 to transcribe UNESCO Memory of the World Register in 2007. records for the History of New South Wales from In 2012, after almost thirty-five years, the Sydney the Records. Records Centre at The Rocks was closed and NSW became a state in 1901 after Australia resources were relocated to the Western was officially declared a nation. In 1910, Sydney Records Centre. A small office was the Trustees of the Public Library of co- located within Land and Property Information NSW prepared a report on the neglect of at Queens Square for city-based staff. government records which included recommendations on the establishment How we do this of an Archives Department. The next year, Departments were advised to transfer historical The operational activities of the Authority can be records to the Mitchell Library. broken down into four key functional areas: Eventually, in 1953 an Archives Department was 1. Government Records Repository (GRR) established within the Public Library of NSW. 2. Archives Control and Management (ACM) In 1955, the Government Records Repository was established and preparatory work began on 3. Government Recordkeeping (GRK) Archives legislation. 4. Public Access (PA) The Archives Act was passed in 1960 and the The Government Records Repository (GRR) Archives Authority of NSW established the provides records storage, retrieval, delivery,

ANNUAL REPORT 2015/2016 13 OVERVIEW

disposal and related services to a range of Legislation clients, including NSW Government agencies, local councils, non-government organisations State Records operates under the State Records and some private clients. Act 1998, which replaced the Archives Act 1960. The remaining three functional areas cover policy, The Act provides for the creation, management administration, archival collection management and protection of the records of public offices of and the provision of public access to the State’s the State and for public access to those records. archives and records. It also established State Records and its Board. The State Records Act commenced on 1 January Important Facts 1999, with the exception of Part 4 (concerned with transfer of archives to State Records’ • State Records hold the largest collection of control), which commenced in July 1999. records relating to the history of the State of NSW and the lives of its people. The records The regulations associated with the Act are date back to the First Fleet in 1788. reviewed every five years. • State Records has arrangements with 6 institutions across the State to enable State archives to be stored and accessed in their local communities. These locations are Armidale, Wagga Wagga, Newcastle (Library and University), Wollongong and Broken Hill. • The Convict records we hold are inscribed in the UNESCO Memory of the World Register. • The Western Sydney Records Centre at Kingswood holds nearly 500 linear kilometres of records in paper formats (maps, plans, volumes and files) of which more than 78 kilometres are State archives kept in perpetuity. • In 2014 State Records built a Digital State Archive which will accept, preserve and make available digital Government records as State archives. This means that any records, irrespective of their format, identified as having continuing value to the memory of the State will be available and useable – now and into the future. • State Records manage OpenGov NSW – a searchable online repository for information published by NSW Government agencies, including Annual Reports and open access information released under the Government Information (Public Access) Act 2009. • State Records supports Data NSW (http:// data.nsw.gov.au), a website that provides FIGURE 5: Official opening of the services building at the public access to NSW Government datasets Western Sydney Records Centre, 18 Dec 1987 by the Hon and facilitates the sharing of data between Bob Carr, Minister for Planning and Environment, Minister agencies. for Heritage.

14 STATE RECORDS AUTHORITY OF NEW SOUTH WALES STATE OF PUBLIC SECTOR RECORDKEEPING

STATE OF PUBLIC SECTOR RECORDKEEPING

State Records’ statutory responsibility to Additionally, we have supported the new promote effective and efficient recordkeeping standard through the development of new across the NSW public sector commenced guidance on decommissioning systems and in 1999 with the State Records Act 1998. metadata requirements. We undertake this responsibility by setting State Records staff have also given several standards, providing guidance, promoting presentations on the standard during 2015-16. good practice, and monitoring public office performance and compliance. Analysis of retention policy coverage State Records started conducting records A total of 419 public offices were analysed for management surveys in 1996 and has the extent of retention policy coverage of their conducted several compliance and information functional records. Of these, 242 public offices surveys since. During 2015-16 we did not (58%) are wholly covered by general retention conduct a formal compliance survey, as we policies. were implementing the new Standard on records management. The requirements of Three ratings were applied to the remaining 177 this new streamlined standard will be the (42%) public offices: basis of future monitoring activities. Green light (77%) – these public offices have comprehensive coverage of their functional records. In this section we: Amber light (9%) – these public offices have • comment on implementing the new some functional records covered. Standard on records management Red light (14%) – these public offices have no or • comment on retention policy coverage few functional records covered. • describe some examples of poor practice. Two public offices obtained comprehensive retention policy coverage during the year, the Mental Health Commission and the former Implementing the new Standard on Lifetime Care and Support Authority. records management: supporting State Records encourages public offices to digital recordkeeping review their retention policies as appropriate. During the year the following public offices The new Standard on records management reviewed their retention policies: was issued in March 2015. State Records has • Health NSW supported the implementation of this standard in a number of ways. • Sydney Water State Records staff have provided advice • Water NSW and guidance to public offices implementing • Arts NSW aspects of the standard. We have also continued • NSW Trustee and Guardian to update the comprehensive Implementation Guide to assist public offices understand the • State Insurance Regulatory Authority, with requirements of the standard, and how the respect to coverage of motor accidents Insurance regulation standard will assist them meet their obligations under the State Records Act. • Transport for NSW, with respect to passenger services ticketing.

ANNUAL REPORT 2015/2016 15 OVERVIEW

Three public offices sought and obtained Risks to Government business from approval for the amendment of their current not making and keeping records retention policies: The main issues raised concern: • Office of State Revenue • making and keeping of notes or minutes of • Public Guardian advice, decisions, actions, or consultation • NSW Fair Trading undertaken These reviews were timely and will ensure the • inappropriate disposal of records policies continue to provide comprehensive • ensuring that appropriate recordkeeping coverage that meets the operational and standards are included in contractual business requirements of the organisations. arrangements with non-government organisations who are delivering services on Targeted review of functional disposal behalf of government. coverage These issues identify the importance of Targeted review of NSW government agencies creating and capturing records documenting with nil or only partial retention and disposal an organisation’s advice, decisions or coverage for their functional records continued communications, or the delivery of services, and throughout the year the need for accountable processes around the disposal of records. Failing to make and keep Though only 2 of the 42 public offices with nil records exposes an organisation to a high level or partial coverage obtained comprehensive of risk or embarrassment, particularly in areas of retention policy coverage during the year, State business which are open to dispute. Records has provided advice and guidance to a number of the outstanding agencies to assist the In high risk and high value areas of business, development of coverage. It is anticipated that a it is important that business processes number of authorities currently in development include appropriate recordkeeping, that all will be finalised during 2016-2017. steps are undertaken to ensure that there is conformity by staff within the organisation Identifying performance issues with recordkeeping requirements, and that the recordkeeping is robust and ‘fit for purpose’. State Records monitors reports published by the Audit Office of New South Wales, NSW Ombudsman and the Independent Commission Against Corruption to identify recordkeeping performance issues. We also take note of media reports and issues raised with us by members of the public. We take action on select instances, usually writing to the public office and following up with a meeting or assessment of recordkeeping systems, as required. Ten new matters were brought to our attention during 2015-2016. These matters concerned poor recordkeeping performance in local government and NSW Government agencies. Of these matters, four resulted in recordkeeping assessment processes. Some of these matters are still underway.

FIGURE 6: Public servants looking diligent in 1913. NRS4481- Public Instruction Offices showing congestion, Department of Education Sydney.

16 STATE RECORDS AUTHORITY OF NEW SOUTH WALES KEY ACHIEVEMENTS

KEY ACHIEVEMENTS

Iconic Collection Digital State Archive • Current collection valuation of • The digital State archive stores over 300 $922 million terabytes of digital State Archives • Accessions of State archives in • Development of New State Archives 2015-2016 increased collection value by Collection search interface to support $17.5 million enhanced discovery • Over 9,000 at-risk State archives • Over 400 publications uploaded to the preserved through digitisation OpenGov site

Quality Recordkeeping Sustainability • Future Proof blog had 17,482 visits • Self-funded 67% of operating budget through GRR • E-Learning site had 6,548 visits • GRR operational revenue surplus 22% of • GRR digitises more than 3.8 million earnings images for clients • 6.0% holdings growth, with $4.1 million operating surplus • Continued success of value-added services • High levels of activity in the health sector

Community Engagement Efficiency • Major contributor to NSW Government • Secure recycling of 326 tonnes of Centenary of WWI activities with: paper through GRR destruction service • WWI-themed exhibitions • Savings in electricity, fuel, water and gas consumption through better facilities • Online galleries and fleet management • Dedicated website • Volunteers worked 3,633 hours adding 2,866 items to online indexes and 3,947 items to the collection catalogue • Continuing growth in social media activity

ANNUAL REPORT 2015/2016 17 OVERVIEW irst Railway Section, Australian Imperial Expeditionary Forces, taken at the Sydney Show Ground prior to departure for France. taken Section, Australian Imperial Expeditionary Forces, irst Railway Series: NRS15905 Nominal Roll of the First Railway Section, Australian Imperial Expeditionary Forces. Railway of the First Series: NRS15905 Nominal Roll Digital ID: 15905_a014_a015000001. FIGURE 7: F

18 STATE RECORDS AUTHORITY OF NEW SOUTH WALES PERFORMANCE

+ PERFORMANCE SUMMARY + SERVICES FOR THE PUBLIC + WHOLE-OF-GOVERNMENT SERVICES + COMMERCIAL SERVICES + STATE ARCHIVES COLLECTION + INFORMATION MANAGEMENT

ANNUAL REPORT 2015/2016 19 PERFORMANCE

PERFORMANCE SUMMARY

1,181,312 website visits

3,954,785 page views online to main website

34,915 unique visits to the Archives Outside blog

17,482 visits to the Future Proof blog

6,548 visits to the e-learning site

26,766 reading room visitors

25,560 original archives issued in the reading room

40 community access points to the State archives collection across NSW

37,539 record items catalogued

1,683,126 records discoverable online

78,707 metres standard format archives in State Records’ custody

2,474 metres standard format archives in regional repositories

81,181 metres standard format archives in archival control

2,001 metres of records transferred to archival control

20 STATE RECORDS AUTHORITY OF NEW SOUTH WALES PERFORMANCE SUMMARY

604,959 metres of non-current records in GRR

45,404 metres of non-current records accessioned in GRR

5,835 metres of records destroyed

36,459 metres net growth

334,003 file retrieval operations in GRR

842,948 total client-facing operations in GRR

583,194 health files sentenced by GRR

1,324 participants in records management program events

2,605 total participants in public access program events

1,299 participants in public program events in regional and rural NSW

792 participants in public program events in Western Sydney

50% public offices with comprehensive access directions

90% public offices with comprehensive records retention policies

11 new records retention policies approved in the year and 4 existing policies updated

ANNUAL REPORT 2015/2016 21 PERFORMANCE

FIGURE 8: Reading Room, Western Sydney Records Centre.

SERVICES FOR THE PUBLIC Sensitive public sector information appropriately protected

Most information kept by the public sector for more than 30 years should be accessible to the Goals: public, as sensitivities in the records diminish • Encourage public offices to make access over time. Some information in records, however, directions (decisions about public access) must be protected from disclosure over longer for all records over 30 years old. periods of time. The people of NSW expect • Protect sensitive information through the their personal information, where it legitimately application of appropriate closure protocols. continues to be held by Government for more than 30 years, to remain protected from public • Promote awareness and use of the disclosure. Records may also be withheld from State’s archives as cultural, historical and public access for security reasons or to protect evidential assets. ongoing commercial confidentiality.

22 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

Access directions cover Objective for 2015-16 all records kept more than • Increase number of public offices with 30 years comprehensive access directions in place. Achievement The State Records Act requires public offices • Over 50% of public offices with to make access directions. Access directions comprehensive access directions in place. either open records to public inspection after 30 years or close them for a longer specified period. There is a presumption that most records will be open to public access after 30 years. Types of PUBLIC ACCESS TO records that may require a longer period closure to protect sensitive information are identified RECORDS AT A GLANCE: in the Attorney-General’s Guidelines for Making Access Directions. + Official records kept 30 years or We maintain a register of access directions on more generally become accessible our website and assist public offices to make to the public. access directions. + Access to records over 30 years Increase in access directions old may be restricted to protect Six public offices made comprehensive access ongoing personal privacy, directions during the year. confidentiality, Indigenous cultural sensitivities, or security. Like records retention policies we rely on public offices to make access directions, providing + Records less than 30 years old assistance to them as required. The main trigger for making access directions remains the transferred into the State archives requirement that all State archives transferred to collection may be publicly State Records be covered by an access direction. accessible. While over 50% of public offices have made comprehensive directions the percentage of records covered is much higher due to most large public offices having made access directions as well as those with a high percentage of records identified as State archives.

Number of public offices making access directions

12/13 13/14 14/15 15/16

Partial coverage 2511

Comprehensive 8 5 19 5 coverage

TABLE 1 - Number of access directions made is not indicative of FIGURE 9: Cleveland St Public School - Commercial Class. the complexity of work or the quantity of the records covered. Dated: c. 31/12/1912. Digital ID: 15051_a047_002957.

ANNUAL REPORT 2015/2016 23 PERFORMANCE

Outlook and capability We continue to face challenges in encouraging public offices to make access directions for all their records over 30 years old. The Government Information (Public Access) Act 2009 continues to contribute to an increase in the amount of records being made available, under that Act, in the closed period (that is records less than 30 years old). This provides an opportunity to increase the records made available under early access authorisations as well as the type of records made subject to open to public access directions. In addition we will continue to investigate other ways to increase access to State archives, including consulting stakeholders on options such as the reduction of the 30 year open access period. We will continue to move for a reduction in the demands placed on public offices by seeking to remove the obligation to renew closed to public access directions every five years.

Use of the State archives Archives reaching collection 2015-16 a broader audience

The purpose of preserving the State archives Many people in the community, other than collection is to make the records available to those who read acknowledgements at the front enrich the lives of people and communities, in of a book or credits of a documentary, never NSW and beyond. Beyond their cultural value, realise that what they are reading or watching archives help people to establish personal or draws on information and evidence contained family identity and entitlements. in the State archives collection or other archival resources. Similarly, document-based Visitors to our reading room and website, and materials included in museum exhibitions are those who visit the regional and rural libraries often from an archival collection. and repositories holding copied parts of the collection and regional archives, use the archives for a variety of personal and professional Literary works research projects. Publications that drew on the State archives These researchers are then catalysts for taking collection included: the personal, community, state and national • Murder at Myall Creek by Mark Tedeschi stories held in the archives to the wider public. • History of Crown Street Women’s Hospital by They do this by passing on family histories, Judith Godden publishing local and community histories, • Under the Colony’s Eye: Gentlemen and writing novels based on historical facts or Convicts on Cockatoo Island 1839-1869 by themes, curating exhibitions, and making films Sue Castrique and documentaries. • Going to the Pictures in Manly, Warringah and Pittwater by Bob Pauling • Sculpture Victorious: Art in an age of Invention 1837-1901 edited by Marina Droth, Jason Edwards and Michael Hatt • Fractured Families: Life on the margins in Colonial New South Wales by Tanya Evans • Every Story Counts: recording Migration Heritage-a Wollongong Case Written by Meredith Walker; edited by John Petersen • Leading from the Front 1884-2015: A history of the Chief Officers and Commissioners of FIGURE 10: Treasury building, Macquarie Street, Sydney, decorated for the Royal Visit 1954 - Digital ID: 4349_a049_000046. Fire and Rescue NSW by David Tai

24 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

Archives serving a variety of purposes State archives borrowed for • Documentary- Howard on Menzies major exhibitions • Who Do You Think you Are? Television program Cultural institutions may borrow original State • Exhibition, ‘Engineering the World Ove Arup archives for temporary display purposes, as and the Philosophy of Total Design’ at the long as they can guarantee security and provide Victoria and Albert Museum, England appropriate environmental conditions. • Documentary on Chinese Market Gardeners Three loans were made during the year, two of these to the State Library of NSW and one to • Kaldor Public Art Project, barrangal dyara (skin the National Portrait Gallery. A total of 365 items and bones), Royal Botanic Gardens were loaned. Details are below: • San Joaquin Historical Society exhibition • National Portrait Gallery Sideshow Alley: (USA) infamy, the macabre & the portrait: 7 gaol • Interpretative Signage at Pyrmont Bridge photographic pages went on exhibition loan • Exhibition at Duart Castle, Scotland to mark • State Library NSW Imagine a City: 200 years the year of Scottish Architecture of public architecture in NSW: 12 government • Sydney Bus Museum, Exhibition on Buses architect plans went on exhibition loan used in World War II • State Library NSW Field of Flowers: tributes • Images used in The Pool - the pavilion from the Martin Place siege: 346 items from representing Australia in the 2016 Venice the Martin Place siege tributes series went on Biennale exhibition loan

FIGURE 11: Gaol photographic description book entry Thomas FIGURE 12: Gaol photographic description book entry William Jones, 1886, NRS1966 [5/1767] Albury Gaol. Carroll, 1902, NRS1998 [3/13074] Bathurst Gaol.

ANNUAL REPORT 2015/2016 25 PERFORMANCE

Social Media Activity 2015-16 2014-15 2015-16 FLICKR All time views 12,199,784 15,427,119

Images uploaded 2,970 3,160

Contacts 1,335 1,423

Images “Favourited” 2,279 2,682

Images commented on 1,802 1,910

Images in Flickr groups 1,355 1,406 TWITTER Number of tweets 4,409 5,002

Followers gained 5,229 6,181 Ranking in Top 50 Oz Gov 34 times 25 times Tweets FACEBOOK Likes 2,809 7,572

FIGURE 13: (above & below) Most visited photos on website – HISTORYPIN Tilly Devine and the Razor Gang Wars 1927-31. Channel Views 10,625 11,530 GOOGLE Circles (now called Followers) 314 326

Views 123,779 145,426 YOUTUBE Subscribers 183 384

Video Views 49,836 124,233 RSS SUBSCRIBERS Archives Outside 383 359

CAARA 57 64

Futureproof 306 350 Now & Then eNewsletter 7,130 7,028 (Mailchimp) For the Record eNewsletter N/A 1250

State Records Events 55 58

State Records News 47 31

TABLE 2: Social media activity 2015-16

26 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

The State archives collection ACCESS TO THE STATE is widely accessible to ARCHIVES AT A GLANCE: people and Government + Our website - access to digital Access to the State archives collection is copies of archives, indexes, possible through our website and 40 physical catalogues, guides, copying community access points located around service. NSW and third party websites. We also provide email and telephone enquiry + Western Sydney Records Centre, services for information about the collection Kingswood – access to copied and how to use it. These services continue to and original records. be popular with researchers with a total of 13,408 enquiries received in 2015-16. + Six regional repositories (in We see online services as the primary channel Wagga Wagga, Newcastle, for providing access to the State archives Armidale, Wollongong, and collection for both the public and government. Broken Hill) - access to regional This is in line with global trends in provision of archives and microfilm copies of archival services and aligns with Government popular archives. priorities for electronic service delivery. It is a challenge keeping up with the demand from + 40 community access points our public clients for web based services. To throughout the State, mostly at this end State Records will continue to work public libraries – access to collaboratively to enhance access to our collection online. microfilm copies of most popular archives. Online photocopy order service

2014-15 2015-16 Website visitors

Orders placed online 4,251 4,254 An estimated 1,181,312 visits and 3,954,785 page views were made to our website during Orders received by mail 1,170 1,071 the year. Copying orders from 5,358 5,325 the public Services available on our website include:

TABLE 3 - Copy orders from the public. • Archive searching (locate information about relevant archives). • Photograph searching (to locate digitised Objectives for 2015-16 photographs). • Enhance services to the public through • Name searching (via indexes of names found online services. in select archives). • Quick search, combining name, archive and Achievements and highlights photograph searching. • 729,387 unique visitors to our website • Ordering copies of selected archives, such as • 13,408 archival research and related railway employment records, convict records, enquiries handled by post, email and probates and immigrant list entries. telephone. • Purchasing publications and copies of photographs.

ANNUAL REPORT 2015/2016 27 PERFORMANCE

• Pre-ordering of records in preparation for a Interests of researchers visit to the Western Sydney Records Centre. Researchers of the State archives collection were • Digital exhibitions. interested, amongst many other topics, in: • Digital copies of select archives. • Appin Massacre of Aboriginal People, 1816 • Applying for a Reader’s Ticket before a reading • 200th Anniversary of the Colonial Architect, room visit. Francis Greenway • RSS Feeds for news, events and our • Attempted assassination of HRH Duke eNewsletter Edinburgh, 1868 • Post World War II temporary housing WEBSITE VISITS UNIQUE PAGEVIEWS • Soldiers court martialled and sent as convicts Main website 1,181,312 729,387 3,954,785 to Norfolk Island

API Search 282,158 239,794 897,897 • History of Ku-ring-gai Chase National Park

Archives Outside • Chinese Market Gardeners 34,915 31,252 96,719 Blog • Aerodrome construction-New Caledonia. Digital Gallery 63,139 53,565 117,623 • Early life of Andrew Banjo Paterson eLearning 6,548 4,889 17,013 • Pentrich Revolution in England, 1817 Future Proof blog 17,482 13,826 31,090

Indexes Online 278,886 163,792 3,349,515 • The King’s Silver Jubilee Medal, 1934-35

Investigator • Mittagong Cottage Homes early 1900s 161,356 100,537 1,419,002 (Archives/Photo) • Earl Beauchamp, Governor of NSW NSW Anzacs 8,528 7,094 21,778 • Railway Clock, Central Railway Station, Opening the 1,268 1,074 1,987 Sydney. Catalogue Soldier Settlement 5,739 4,666 20,568 Archives helping establish personal OpenGov NSW 48,934 21,583 79,836 identity and entitlements, or with

TOTAL TRAFFIC 2,090,265 1,371,459 10,007,813 healing process Archives can provide essential evidence for TABLE 4 - Website Activity 2015-16 establishing a person’s identity or entitlements. Website statistics reporting has changed this year with the They can also be part of a person’s healing introduction of Google Analytics as the web statistics gathering/ process after traumatic events affected them in reporting tool. The use of Google Analytics provides robust and detailed industry standard capture and analysis of web visits their past. State Records assists people to locate and other statistics. The historical statistics for 2014-2015 have details relating to their own lives, or those of been restated to reflect Google Analytics results rather than family, subject to appropriate access procedures. those previously reported using the previous statistics gathering product. Examples include: • Using school admission registers to prove they Reading room services lived in NSW as a child (where their birth may not The Western Sydney Records Centre reading have been formally registered and they now need room continues to be popular with researchers. a passport). Reading room visitors have access to a variety • Investigating the health of their ancestors through of equipment which allows them to make digital hospital and mental health records to ascertain copies of original records, and from microfilm, disease inheritance. microfiche and aperture cards. • Identifying lost family through the records of child removal in the Aborigines Welfare Board records.

28 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

FIGURE 14: Completed Central Railway clock tower, 1920. Digital ID 17420_a014_A014001405.

Enquiry services remain popular State Records’ public enquiry service continued ELECTRONIC SERVICE to be popular. There were 8,662 enquiries DELIVERY AT A GLANCE: received by email and post that were responded to during the year. This is a slight decrease + State archives collection is from 2014-15. This decrease can be attributed accessible via the State Records to popular records in the collection becoming available on third-party provider websites. There website, through finding aids, was a 4% increase in telephone enquiries. Archives and Photo Investigator, Search, guides and publications. Indexes to State archives are one of the most popular resources on our website. For many + A wide range of indexes are people, names of people, places and subjects are the key to locating records relevant to their available covering records research. During the year there were significant relating to convicts, immigrants, additions to online indexes relating to convicts’ the Colonial Secretary’s applications to marry and intestate estate case correspondence, courts (civil and papers while our valued volunteers worked on criminal), gaol inmates, education a range of indexes covering the 1820s through and child welfare, soldier settlers, to the 1960s and topics as diverse as nurses deceased estates, probate, registers to convict assignments. shipping, railway employees There are currently over 1.4 million index entries and divorces. online. + Online enquiry and copy service 2014-15 2015-16 available to the public and

Responses to written 98% 98% remote clients, offering research enquiries in 20 working days advice, guidance and an online Completion of copying 100% 100% payment facility. orders in 20 working days

TABLE 5 - Meeting service guarantees.

ANNUAL REPORT 2015/2016 29 PERFORMANCE

FIGURE 15: State Records’ Western Sydney Records Centre Reading room visitors.

FROM THE PUBLIC 2013/14 2014/15 2015/16 VARIATION(%) FROM LAST YEAR

Written enquires (letter/fax) 1,232 1,176 1,135 -3.5

Written enquiries (electronic) 7,804 7,663 7,527 -1.8

Written enquiries total 9,036 8,839 8,662 -2.0

Telephone enquiries 5,004 4,557 4,746 4.1

TOTAL 14,040 13,396 13,408 0.1

TABLE 6 - Public enquiry service.

Reading room visits Reading room visitors can pre-order original There were 26,766 visits to the Western Sydney records prior to visiting the Western Sydney Records Centre. Records Centre. Original records, other than probate files, are delivered within 30 minutes Access to State archives in the reading room of the request. Probate files are delivered within is free in accordance with government policy. 30 minutes of set times. Original (uncopied) State archives are only The six regional repositories, operated by accessible at the Western Sydney Records local public sector institutions, store and Centre. A Reader’s Ticket is required to use make accessible regional State archives to original archives. 1,148 Readers Tickets (valid local communities. The regional archives they indefinitely) were issued during the year. hold are mostly complemented by holdings of Microfilm and microfiche copies of the most private archives relevant to their region. heavily used archives are held in the reading State Records acknowledges the valuable room. These are on open shelves and usage contribution of these institutions to the delivery figures are not recorded. of archival services to people in regional NSW. There has been a 8.1% increase in the use of original items and a 0.5% increase in the number Temporary recall of State archives of readers (using original records in the Western Public offices may recall individual State Sydney reading room. archives required for official use. State Records

30 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

FROM THE PUBLIC 2011-12 2012-13 2013-14 2014-15 2015-16

Western Sydney 28,133 28,092 29,128 27,812 26,766

TABLE 7 - Reading room visitors.

FROM THE PUBLIC 2014-15 2015-16 %VARIATION

Original archives issued 23,647 25,560 8.1

Readers using original items 5,057 5,030 -0.5

Average number of original items per readers 4.7 5.10 8.5

TABLE 8 - Usage of original archive items by readers at Western Sydney Reading Room. may provide temporary custody of the original record, or supply a copy. In COMMUNITY STAKEHOLDERS 2015-16 3,441 requests were made for archives, with 1,753 items returned or AT A GLANCE: copies supplied to the relevant agencies entitled to recall them. + family historians, community and local historians Kit of copied archives and guides + professional historians and academics facilitates regional and rural access + heritage enthusiasts 40 Community Access Points (CAPs), based in public libraries and regional + high school and university students repositories around the State, hold + seniors microfilm copies of significant and popular archives from our collection in the Archives + Aboriginal people Resources Kit (ARK). State Records also + artists makes individual items of the ARK available through a loan service to libraries + public officials that are not CAPs. + legal professionals

FIGURE 16: Brewarrina Public School, digital ID 15051_a047_001685.

ANNUAL REPORT 2015/2016 31 PERFORMANCE

Total number of images added to This year around 200 images were added to database during 2015-16 Flickr (an average of 4 images a week). We currently have a total of 3,152 images on our State Records’ usual digitisation program was Flickr page and this continues to be added to on largely put on hold in the second half of this a weekly basis. By adding digital images to Flickr financial year with all efforts being concentrated the public are able to interact with and comment on the EmDARA (Emergency Digitisation of At on collection items. Risk Archives) project from late 2015 through to July 2016. 402 maps, plans and documents A total of 1,729 digitised State archives were digitised added to our collection management system. Of these 731 were of photographic material. The During the year, 402 digitised maps, plans remaining 402 images were of non- photographic and documents were added to our collection material such as documents, maps and plans management system. Non-photographic and will be accessible through our website. digitised archives are available online to the public. These additions were from the following 731 photographs digitised. series: During 2015-2016 731 digitised photographs • NRS 13886 Surveyor General sketch books were added to our collection management digitisation continues. 402 maps were system. Digitised photographs are available digitised and uploaded this financial year online to the public. These additions were from bringing the total available online to 2,329. the following series: • NRS 15051 School Photographic collection continued to be digitised and added to (2,951 now available online). This will bring the total number of images available to 15,335. Digital images also featured prominently in State Records social media channels most notably Flickr.

FIGURE 18: Sydney Treasury Buildings. Elevation of building when completed, NRS4335, Plan 994, Item PB25/47.

FIGURE 17: Sydney New offices for the Department of Public Instruction. Copy of elevation to Bridge Street, No. [Number] 9. FIGURE 19: Sydney Public Works and Chief Secretary's Building. NRS4335, Plan 1781, Item PB18/A1960. NRS4335, Plan 1024, Item PB31/A591.

32 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

FIGURE 20: Plan of the Botanic Gardens Sydney, 1921, NRS7953 Letters received [Ministerial (Inspectors) Branch, Department of Lands].

ANNUAL REPORT 2015/2016 33 PERFORMANCE

Increasing access to State archives State Records’ datasets are also available through agreements with third parties through the application programming interface (API) with a Creative Commons Attribution only State Records continued to explore agreements notice. This makes the access and use of the with third parties to increase the diversity of datasets the same as material available on channels by which the people of NSW can OpenGov. access the State archives collection. Third Party Agreements have previously been signed with Ancestry.com and Find My Past. Agreements Outlook and capability with third parties to copy and publish State State Records will continue to make the archives enhance access to State archives, State archives collection accessible to the especially online publication, by providing people of NSW and around the world alternative avenues of access. State archives through our website and network of physical subject to such agreements are already open to access points. public access and already available for public inspection. State Records will continue to work collaboratively with other government Increasing use of material through agencies, third-party providers and Commons Copyright regime stakeholders to the benefit of all users of the collection. State Records Continues to be part of The Commons on Flickr. The Commons provides the public with access to a world photographic archive that allows for tagging, commenting on and reuse of images. To be a member of The Commons State Records posts images without known copyright restrictions to Flickr.

FIGURE 21: Cleveland St Public School - Commercial Class 31/12/1912. Digital ID: 15051_a047_002957 NRS 15051 Schools Photograph Collection.

34 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

FIGURE 22: The Director of State Records, Mr Geoff Hinchcliffe, presenting Carrington Albums to community at Broken Hill Library.

Communities know about Objectives for 2015-16 and value the State archives • Meet continued public demand and collection expectations for an extensive outreach program of talks, tours, group visits and exhibitions. State Records is committed to making the State archives collection known to a diverse Achievements and highlights range of communities and individuals across NSW, beyond our existing clients. • Organised or contributed to 74 outreach events, attended by 2,605 people. To raise awareness of the collection and explain how to tap into it, we organise and participate in an extensive outreach program comprising talks, tours, exhibitions, an online newsletter, education programs, stalls, launches and 2014-15 2015-16 other events. Through our outreach program Onsite 663 397 we have built strong relationships with many Sydney 647 514 of our public stakeholder groups. Western Sydney 148 395

Regional and rural NSW 510 1299

Canberra 100 0

Outside NSW 0 0

Overseas 0 0

TOTAL 2,038 2,605

TABLE 9 - Numbers of public program participants.

FIGURE 23: Gareth Ward MP, Member for Kiama, with Gail Davis and Jenni Stapleton at Kiama family history expo 16 April 2016.

ANNUAL REPORT 2015/2016 35 PERFORMANCE

Centenary of the ANZAC Program State Records NSW is a lead agency in the extensive New South Wales Centenary of Anzac program – a series of events and initiatives that commemorates Australia’s involvement in the First World War. For the Centenary of Anzac, which extends from 2014-2018, State Records NSW is undertaking two key activities: • Producing a series of exhibitions that engage with the State archives to illuminate new perspectives concerning the First World War Figure 25: Image: ‘Group of staff on the lawn’ (detail), exhibition panel, Public Service-War Service. Photo Ian Hobbs, 31 June 2016, • Developing and hosting a dedicated Centenary Government Printing Office, NRS 4481, ST 5626. of Anzac website which highlights records from the State archives relating to key events In June 2016, State Records NSW produced and historical themes associated with NSW a short film about Public Service-War Service. and the First World War. The film was developed to: Exhibitions • document the exhibition at the Western Sydney Records Centre prior to its conclusion; During 2015-16, the exhibition, Public Service- War Service, enjoyed an extended presentation • further illuminate the stories of key people period at the Western Sydney Records Centre. who featured in the exhibition; It brought to light a selection of archives from • give a public presence to the archivists who the State Records collection relating to the First worked behind the scenes to undertake World War and told the story of the role that NSW research for the exhibition; public servants and government employees had • communicate more broadly the unique work as they contributed to Australia’s war effort both of State Records NSW, and develop new overseas and at home. While 66,000 volunteered digital content for State Records NSW’s for service – with 11,000 losing their lives – this social media platforms. In producing the perspective of war service had been largely Public Service-War Service film, State unknown prior to the exhibition. Records NSW also deepened its engagement with the families of veterans featured in the exhibition by incorporating interviews with them in the footage. The Public Service-War Service film focussed on a number of the government employees and public servants featured in the exhibition, including Albert Tuck and Major General William Holmes. Albert Tuck had been a pressman in the machine room of the NSW Government Printing Office when enlisted for service on 17 August 1914 – just two weeks after Britain declared war on Germany. He was killed at Gallipoli on 26 April 1915. Albert Tuck’s niece, Grace Wood, was interviewed for the film. She spoke about her family’s recollections of Albert, and the FIGURE 24: ‘Soldier A. Walker (detail), exhibition panel, Public Service- sadness that his death caused. Her thoughts War Service. Photo Ian Hobbs, 31 June 2016, Government Printing Office, NRS 4481, ST 6111. about Albert’s death – two days into the Gallipoli campaign – “if you’re going to be killed,

36 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

you may as well be killed [on] the second day” – added a great sense of poignancy to the account of Albert Tuck’s war service. Major General William Holmes was the Secretary and Chief Clerk of the NSW Metropolitan Board of Water Supply and Sewerage and he had a military career that ran parallel to his public service. Holmes commanded the Australian Naval and Military Expeditionary Force in the Pacific, and had later had a key role on the withdrawal of troops from Gallipoli. FIGURE 27: Grace Wood, niece of Albert Tuck, Western Sydney On 2 July 1917 Holmes was in France giving Records Centre, 2015. NSW Premier Holman a tour of the front at Messines Ridge when a shell exploded nearby. Holmes received fatal shrapnel wounds. Richard Travers, William Holmes' great grandson, was interviewed for the Public Service-War Service film. Mr Travers relayed how Holmes – “a precise and well turned out man” – rode his horse to work in Sydney. He also spoke about how Holmes habitually wore his bright red general’s hat on the battlefront – a situation that gave the enemy a visible target, and in doing so, caused great consternation amongst his troops.

FIGURE 28: ‘Major General William Holmes’, exhibition panel, Public Service-War Service. Photo Ian Hobbs, 31 June 2016.

FIGURE 26: Sergeant Albert Victor Tuck, late of Press Branch Government Printing Office, killed at Gallipoli 26 Apr 1915, one day after the landing, 1915, Government Printing Office, NRS 4481, ST 5712.

ANNUAL REPORT 2015/2016 37 PERFORMANCE

FIGURE 29: Public Access archivist Coleen Milicevic being filmed as she talks about her role researching the story of Major General William Holmes, one of the public servants featured in Public Service-War Service. Photo Penny Stannard, 26 June 2016.

The inclusion of the memories and voices of Between 1914 and 1919 ‘operators’ – as they people such as Grace Wood and Richard Travers were then called – from the GPO Photographic alongside official records in the research and Branch documented and promoted efforts knowledge-making of history is an approach being made on the home front to mobilise the known as ‘Public History’. This method provides NSW population in support of Australia’s military a dynamic way of engaging communities in the commitment to the British and Allied campaign. work of institutions such as State Records NSW. From advancements in public health to volunteer The Public Service-War Service film has been movements, the organising of recruitment positively received and will have an enduring campaigns and patriotic fundraising events, to presence on State Records NSW’s online the formation of the Red Cross in Australia and platforms. the establishment of soldier support schemes, photographers were on the ground shooting Throughout 2015-16 a new exhibition, Windows the image. One hundred years later, this unique into Wartime: Home front insights through the historical record enables us to reflect upon lens of NSW government photographers, has the upheaval that the War had upon Australian been in development. society. The early 20th century Government This exhibition project, which engages with a Printing Office photographic collection is a series of images from the NSW Government legacy left to us in the form of fragile glass plate Printing Office (GPO) photographic collection – negatives, many of which have been digitised one of the jewels in the crown of the NSW State for the Windows into Wartime exhibition project. archives – is the third in a series of exhibitions that State Records NSW is producing for the Centenary of Anzac.

38 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

Throughout 2015-16 Public Access archivists Rhett Lindsay, Suzanne Upton and Coleen Milicevic undertook foundational research into the State archives to identify and source images for the exhibition project. Curatorial direction and further research has been undertaken by Dr Penny Stannard, who was engaged by State Records NSW as the Managing Curator, Exhibitions, in April 2016. The exhibition will be presented at the Western Sydney Records Centre from 17 October 2016 to 9 September 2017.

FIGURE 30: Bourke St Baby Clinic: exterior view, Darlinghurst, 1914, Government Printing Office, negative, NRS 4481, ST 5636. FIGURE 32: Motor with staff for distributing food to invalids, Balmain, Balmain Town Hall, 1919, Government Printing Office, negative, NRS 4481, ST 6688.

FIGURE 33: Motor with staff for distributing food to invalids, Balmain, Balmain Town Hall, 1919, Government Printing Office, positive, NRS 4481, ST 6688.

FIGURE 31: Bourke St Baby Clinic: exterior view, Darlinghurst, 1914, Government Printing Office, positive, NRS 4481, ST 5636.

ANNUAL REPORT 2015/2016 39 PERFORMANCE

The development of the Windows into Wartime During 2015-16, pages relating to patriotic exhibition project has involved close collaboration fundraising, the first Anzac Day, enemy aliens, with the State Records NSW Regional conscription, soldier riots, community memorials, Repositories in Broken Hill, Wagga, Armidale, and recruitment marches among others were Newcastle and Wollongong. As the project has added to the Anzac Centenary website. evolved, so too has interest in presenting the material in regional NSW. A regional tour of the exhibition is scheduled to take place between November 2016 and November 2017. An online edition of the Windows into Wartime exhibition was also in development during 2015/16.

Website The State Records NSW Centenary of Anzac website features online research guides to help family historians retrieve their First World War stories from government records. The guides

identify research pathways for tracing the stories FIGURE 35: How to vote card, 1916. NRS 905, [5/7441], 16/33387. of NSW soldiers and nurses, and highlight resources from our collection that provide background information to life in New South Wales at the time of the War.

FIGURE 36: ‘The Soul of the Hun’, illustration The Call to Arms, 25/4/1916, p. 13. NRS 12060, [9/4732], B16/1725.

FIGURE 34: Image: Competitive design for war memorial, Annandale (n.d.). NRS 18195.

The NSW Anzac Centenary website explores three key themes: • In Service – enlistment and the response of the Government and people of NSW • On the Home Front – what day-to-day life was like for people in Sydney and NSW during the war years • In Remembrance – how the war was commemorated across NSW, in particular through war memorials.

FIGURE 37: Australian Red Cross Tobacco for Wounded Soldiers Collecting Sheet. NRS 905, [5/7481], 16/57824, p. 3.

40 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

History Week events Continuing the very popular viewings in regional The theme for this year’s history week (5-13 NSW during 2014-15, a special viewing of the September 2015) was War, Nationalism and Carrington albums was held at the Broken Hill Identity. State Records’ program at the Western City Library on 28 July 2015. State Records Sydney Records Centre included Treasures from thanks Councillor Dave Gallagher and Cheryl the Great War, a talk covering the role of the NSW Smith for hosting this regional viewing. Director Government in the Great War, an insight into life Geoff Hinchcliffe spoke on Lord Carrington and in NSW during the war as well as the military his times. Conservator Dominique Moussou horse census. A tour of the Western Sydney shared her observations and insights into the Records Centre was also offered to participants. volumes, gleaned from her documentation and preservation work as they were accepted into the collection. This special regional viewing Carrington albums on display at also created a great deal of local media interest, regional repositories including radio and television interviews and A total of 22 Presentation Albums were originally stories in print and online newspapers. given to Lord Carrington (1843-1928), during his tenure as Governor of New South Wales from Carrington albums on display in the 1885 to 1890. They contain original photographs, reading room illustrations and well-wishes from residents, towns and various associations across the state. The exhibition of Carrington albums in the The volumes were gifted to the people of NSW Western Sydney Reading Room continued until by the descendants of Lord Carrington and August 2015. The albums were displayed in state- are now part of the State archives collection. of-the-art conservation standard showcases and monitored closely by our Conservation staff.

FIGURE 38: Series: NRS20455 - Addresses Presented to Lord FIGURE 39: Carrington Album publicity photograph (from Left) Carrington Governor of New South Wales. Senior Conservator Dominque Moussou, Director Geoff Hinchcliffe Title: Addresses Presented to Lord Carrington Governor of and Manager Archives Control Wendy Gallagher. New South Wales No.14, page 11 Address from the Magistrates of the Orange Bench. Dated: October 1890. Digital ID: NRS20455_1_13_page12.

ANNUAL REPORT 2015/2016 41 PERFORMANCE

Serving the Indigenous Community State Records continued to provide services for the Indigenous Community and support OCHRE the NSW Government plan for Aboriginal affairs. State Records hosted two seminars by Dr Michael Bennet during NAIDOC week in July 2015 focusing on NSW State archives that provide support for native title research: • Pathfinders: Aboriginal Trackers in NSW, 1862-1973 • Faces in time: the use of gaol photographs in native title research State Records took part in the following events: • Brick Mansions Family History Fair- Sources for Aboriginal Family History at State Records • Western Sydney University – Bachelor of Community and Social Development Indigenous students – Researching Aboriginal Family History.

There continues to be regular requests from communities across NSW to display 'suitcase' versions of State Records' previous exhibition, In Living Memory which highlighted photographs from the records of the NSW Aborigines Welfare Board.

FIGURE 40: AW B photograph of community at Pilliga Mission, 1933; Reproduced with permission of members of the Pilliga community, including David Nichols, Noel Hames & Lionel Adams, photographed by Mervyn Bishop at Pilliga Local Aboriginal Land Council, 2006.

42 STATE RECORDS AUTHORITY OF NEW SOUTH WALES SERVICES FOR THE PUBLIC

CASE STUDY During the year, a significant archival estray was recovered and now forms part of the State archives collection.

In the first half of 2016, former State Records Board member, Peter Tinslay advised State Records of the existence of a possible estray listed in an auction catalogue. The document was examined and verified. Subsequently, we were able to reach agreement with the vendor for the document to be return to State Records. The document relates to the convict ship Blenheim and is one of the ‘Irish Indents’. Between 1822 and 1840, a record was created for each ship carrying convicts from Ireland, an ‘Irish Indent’. This comprised a parchment document that transferred from the Lord Lieutenant of Ireland to the Governor of New South Wales, authority over, and the service of, the convicts listed. It included a list of the convicts showing their names, ages, crime, sentence and date and place of trial. The ‘Irish Indent’ estray relates to the convict ship Blenheim which departed Ireland in July 1834 with 200 male convicts and arrived in Sydney in November of the same year. It is a valuable addition to the State archives collection and is another piece in our convict past. FIGURE 41: Convict Indent Blenheim, 1834.

Outreach Public access staff presented an Outlook and capability extensive outreach program to more State Records will continue its efforts to reach out than 1,700 attendees of various and promote awareness and use of the State archives societies, libraries and groups collection to a diverse range of people and communities around the Sydney area and farther across NSW. Particular focus will be given to reaching afield throughout the State. Talks those communities – the culturally and linguistically were presented on a range of topics diverse, Indigenous people – who are not regular users showcasing records in the State of our services or who may not realise we hold records archives collection. relevant to their lives and interests.

ANNUAL REPORT 2015/2016 43 PERFORMANCE

FIGURE 42: State Records’ city office is located in the Land and Property Information building at Queens Square. View across Queen Square – photographs of Public Buildings in NSW Series Digital ID: 4346_a020_a020000207. WHOLE-OF-GOVERNMENT SERVICES Efficient retention of public sector records

Official records are kept to support frontline information and records need to be kept from customer service delivery, facilitate public sector a regulatory, business or archival perspective, governance and accountability, and minimise retention policies underpin sound digital business risk to Government. A small number of information and records management. Prompt the total records generated are kept indefinitely destruction of records that are no longer needed as part of the State archives collection. will reduce storage costs, assist agencies to manage growth in data and information and Public sector records cannot generally be minimise risk exposure. destroyed without the approval of State Records and its Board. The minimum periods for which the records must be kept are identified in records retention policies, known in NSW as retention Goals: and disposal authorities. Significantly, records In partnership with public sector organisations: retention policies also identify records to be • to put in place records retention policies kept as State archives. Routine implementation that systematically cover all official records; of the policies enables the timely transfer of permanently valuable records to State Records’ • to encourage routine application of these care. policies by public offices; and Records retention policies are fundamental to • to ensure that public offices apply these effective and efficient management and disposal policies effectively to digital information of official records. By identifying how long and records.

44 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WHOLE-OF-GOVERNMENT SERVICES

Records retention policies Increase in retention policies covering cover whole public sector government agencies Public offices are encouraged to develop records retention policies to ensure their records are kept long enough to satisfy customer service Objectives for 2015-16 and operational needs, as well as support good • Ensure that public offices have governance and accountability. We review the comprehensive records retention policies policies developed by each agency before they in place and ensure public offices keep are submitted to our Board for approval, and them under review. then issued. • Ensure that agencies responsibly plan During the year eleven new retention policies for the retention and disposal of digital were approved with two additional public offices records and destroy time expired digital (the Mental Health Commission and the Lifetime information and records to reduce Care Authority) achieving comprehensive accumulation and manage risk. disposal coverage through the issue of these policies. Six public offices maintained Achievements and highlights comprehensive disposal coverage through the issue of five of these policies. These included • 90% of public offices have comprehensive Sydney Water and Water NSW (both agencies records retention policies. adopted the one policy), NSW Trustee and Guardian, Arts NSW, Transport for NSW and the Records retention policy coverage State Insurance Regulatory Authority. across the NSW Public Sector Four of the policies approved permitted the transfer of ownership or possession of certain Many public offices have all of their records records as a result of the transfer or privatisation covered by records retention policies as a result of government assets or businesses. of our strategy of developing general policies that apply to like organisations. General policies Five of the records retention policies approved exist that cover all or most of the records of during the year were reviews of existing policies. local councils, health services, universities, This included a comprehensive review of the ministers’ offices and other agencies. These policies for Sydney Water, Water NSW, Arts organisations account for approximately 58% of NSW, the NSW Trustee and Guardian, Transport the organisations in the NSW public sector. for NSW (passenger services ticketing) and the State Insurance Regulatory Authority. Of the remaining government agencies and State owned corporations (which account for During the year amendments to four existing approximately 42% of the NSW public sector), policies were also approved to incorporate general retention policies cover all common identified changes to requirements for records types of records they create or hold, such as and to ensure the policies continued to provide administrative, financial and personnel records. comprehensive coverage. This included an These public offices must develop retention update of the general policy covering common policies covering the records of their unique administrative records and amendments to functions. At the end of 2015-16 approximately policies covering the Office of State Revenue, 77% had done this. NSW Fair Trading and the Public Guardian.

RESULT RESULT RESULT RESULT RESULT 11/12 12/13 13/14 14/15 15/16

Whole of agency 11 7784

Partial 7 7 12 6 3

TOTAL 18 14 19 14 7

TABLE 10 - Retention policies approved.

ANNUAL REPORT 2015/2016 45 PERFORMANCE

CASE STUDY Strategic approach to retention and disposal authorities

One of the new retention policies approved during the year was a policy for records relating to the provision of water supply and wastewater management services. This authority was approved for use by both Sydney Water, responsible for the supply of water and wastewater services in Sydney, and Water NSW, responsible for managing water supply across the State. Development of the authority was initiated by Sydney Water as part of a review of its retention policy which had been approved over 10 years ago. The review process provided Sydney Water with the opportunity to streamline the policy and rationalise retention periods and disposal outcomes. For Water NSW, established 2015, development of the authority was timely. It provided them the opportunity to transition from the use of 2 separately developed retention policies issued to predecessor organisations, which posed a risk of inconsistent application of retention requirements or disposal outcomes, to a single policy. Water NSW assessed the revised Sydney Water policy, confirmed that it met their requirements and sought approval from State Records for the authority to be issued for use by them. The development and approval of retention policies for use by organisations performing similar functions and activities is part of State Records’ strategic approach to improving and maintaining comprehensive retention policy coverage across the NSW public sector. This approach avoids the need for organisations performing similar functions having to independently develop or review and seek approval for separate retention policies. It also facilitates State Records’ review and approval processes by supporting consistency in retention policy outcomes across organisations performing similar functions and activities.

Outlook and capability Increasing records retention policy coverage is a strategic priority for State Records. We will continue to work with agencies to: • identify strategies to assist the development of coverage, for example through the development of general authorities, amendment and extension of the application of existing authorities or by providing targeted assistance to smaller agencies. • review existing retention policies to ensure their currency and applicability to records, irrespective of format.

FIGURE 43: On the top of Burrinjuck Dam, Visit of State Governors to Burrinjuck Dam, Burrinjuck NSW, 22/04/1915. Digital ID: NRS4481_MS3365P.

46 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WHOLE-OF-GOVERNMENT SERVICES

Quality recordkeeping Objectives for 2015-16 and effective records • Meet continued demand for expert advice management across the on recordkeeping from public officials. NSW public sector • Implement new standard through provision of supporting guidance and communication of this new requirement. State Records sets and promotes standards for the creation and management of official records Achievements and highlights across the NSW public sector, and provides • Effective use of the Future Proof blog and assistance to public offices implementing quality twitter account to communicate widely recordkeeping. We believe quality recordkeeping (including 17,482 unique visitors to the underpins efficient government frontline service Future Proof blog). delivery to the community, supports good governance and is an integral part of efficient • New advice on Decommissioning of public administration. digital systems and minimum metadata for authoritative records. Quality recordkeeping depends on public offices having effective strategies, systems and • Responded to 1,172 enquirers. practices in place so that the right information is created, managed and accessible for as long as it is required. Failures to document Keeping standards under review decisions, failures to keep reliable evidence of One of the roles of State Records is to approve government actions, failures to manage records standards and codes of best practice for all or failures to locate information can cost the aspects of records management in NSW NSW Government financially or can cause public offices. While the previous period had embarrassment and result in loss of public trust. involved significant work reviewing and revoking State Records aims to influence how records standards, the 2015-2016 period focused are managed in hundreds of NSW public on the implementation of the new standard. sector organisations and across thousands No standards were reviewed or revoked during of workplaces. This includes government this period. departments, statutory bodies, state owned corporations, local councils, universities and the public health sector. Our success in this area depends on all public sector officials, chief executives and their staff being aware of how records should be managed, having appropriate knowledge and skills, having access to appropriate guidance and advice, and implementing good practices.

2011-12 2012-13 2013-14 2014-15 2015-16

Keyword AAA 13 9842

Keyword for Councils 15 7 4 2 12

Revenue $24,324 $14,040 $11,330 $5,205 $6,573

TABLE 11 - Keyword licenses sold and revenue.

ANNUAL REPORT 2015/2016 47 PERFORMANCE

Keyword thesaurus products Digital Recordkeeping State Records’ keyword thesaurus products State Records has a strategy to provide guidance have good market penetration in Australia, both and advice that will ensure that the New South in the public and private sector. The products are Wales government documents its business via designed to be adapted by organisations for use the creation of robust, useable and trustworthy in classifying and indexing their records. The digital records. products can also be used for a wide range of Improved government service delivery is information management purposes. contingent on access to good, accurate and Our two records management thesaurus accountable business information. During products continued to sell, particularly outside 2015-16 a main focus of digital recordkeeping the NSW public sector and overseas. During was developing and refining advice to support 2015-2016 2 Keyword AAA licences sold (St the implementation of the Standard on records Vincent’s Health and Aged Care, Zoos Victoria) management. This included new advice on and 12 Keyword for Councils licences sold decommissioning business systems and revised (Wingecarribee Shire Council, Mitchell Shire advice on metadata for records and information. Council, CouncilBiz NT, Rous County Council, Information and records management advice was West Arnhem Regional Council NT, Lockhart provided to several agencies undertaking major Shire Council, Shire of Cuballing WA, Shire of digital projects. Advice included interpretation Katanning WA, Shire of Manjimup WA, Shire of and explanation of guidance and standards, Dundas WA, Town of Mosman Park WA, City of connecting project managers with leading Bunbury WA). practitioners in other agencies or departments, and bringing together diverse organisations with Collaboration with government and similar challenges. industry • State Records regularly participates in cross- Future Proof blog agency initiatives and working groups. The blog continues to attract a strong following During 2015-16 this involved: within the NSW Public Sector as well as more • Participation in the Department of Family broadly in the industry. 42 blog posts were Community Services’ OneTRIM steering published in 2015-16, covering a wide range of committee and Technical Advisory Group. topics. In this period there were 17,482 visits to the Future Proof blog. • Participation in several NSW ICT Strategy working groups – including the Enabling We used the blog to promote new guidance Information Sharing Working Group, published on our website and other organisational Information Management Community of initiatives, and to provide summaries of advice Expertise, Digital Information Security given about emerging issues in the sector. Community of Practice group. Topics covered included corporate social network systems, managing information in cloud • Participation in the Department of Finance, systems, managing organisational change, Services and Innovation’s Information & managing information in a mobile working Records Management Network. environment and managing privacy in digital State Records participates in industry research systems. The informal mechanism of the blog and standards-setting where the outcomes have provides an opportunity to share ideas which direct relevance to recordkeeping in the NSW may not yet be formal guidance, but which are public sector. During 2015-16 we participated in emerging as important issues. the following ways: • as a member of the Standards Australia IT/21 Digital Records Advisory Group Records Management Committee; and The Digital Records Advisory Group was established in 2007. Members of the Group: • as a member of Standards Australia IT/21 subcommittee IT21/5 Management systems • advise State Records on real world examples for records. of digital records issues and challenges

48 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WHOLE-OF-GOVERNMENT SERVICES

• provide feedback on products developed as communities of the relationship between AS/ part of digital records and archives strategy NZS 5478 and jurisdiction-specific metadata standards. • are invited to test digital records and archives solutions. This group meets quarterly and in 2015-16 Outlook and capability comprised representatives from: State Records will continue to promote • City of Sydney the benefits of good recordkeeping to • Clinical Excellence Commission chief executives of NSW public sector organisations. We will continue to provide a • Department of Education range of short course records management • Department of Family and Community Services training to NSW records practitioners. We will seek to raise awareness and understanding • Department of Finance, Services and of digital recordkeeping requirements and Innovation strategies amongst ICT professionals, in • Department of Premier and Cabinet order to better support business. In addition, we will seek to use other opportunities and • Sydney Water partnerships to improve skills across the • Transport for NSW sector. • The University of Sydney State Records will continue to develop and provide recordkeeping and records Australasian Digital Recordkeeping management advice, guidance and tools Initiative (ADRI) partnership to assist public offices. We will continue to work with stakeholders, industry partners We worked closely with others on digital and others to ensure that we provide the recordkeeping and archiving strategy and tools. most relevant advice and the right tools. The Australian Digital Recordkeeping Initiative We will seek to disseminate information (ADRI) is an undertaking of the Council of and communicate through social media and Australasian Archives and Records Authorities, other platforms as appropriate. the peak body of government archives and records institutions in Australia and New Zealand. The primary objective of ADRI is to pool resources and expertise to find better ways to ensure that digital records are preserved and made accessible for the future. During 2015-16 State Records coordinated a national project for ADRI on management approaches for cloud-based email. This project aimed to identify minimum best-practice requirements to help government organisations ensure that high-value / high risk email records are managed in cloud environments and remain accessible during future system and service transitions. During 2015-16 State Records also participated in a project to develop implementation guidance for the new standard on recordkeeping metadata, AS/NZS 5478. This project aims to support the adoption of AS/NZS 5478 in ADRI member jurisdictions by developing practical products that support its implementation and FIGURE 44: Catherine Robinson and Geoff Hinchcliffe presenting ensure clarity amongst vendor and agency at the Records Manager’s Forum 2016.

ANNUAL REPORT 2015/2016 49 PERFORMANCE

CASE STUDY Partnership with Information and Privacy Commission to promote information governance

To celebrate Information Awareness Month in May, State Records partnered with the Information and Privacy Commission (IPC) to highlight the importance of managing information assets across an entire organisation to support its business outcomes. State Records published a series of Q&As on the Future Proof blog with colleagues from the IPC to explore how privacy, access to information and recordkeeping considerations combine to establish effective information governance frameworks. To date the posts published as part of this series have been viewed 283 times.

CEOs and public officials Providing records management aware committed and skilled guidance and advice State Records provides online guidance and resources on a range of records management State Records works with NSW public offices topics via our website. We also produce a to implement quality recordkeeping. State newsletter For the Record, issued 6 times a Records prefer to encourage good practice year, which is aimed at providing updates and by raising awareness of records management advice to records management staff within standards and obligations, and by providing the NSW public sector. In 2015-16, State records management training and educational Records responded to 1,172 enquires about opportunities for public officials. Our annual recordkeeping and records management from training program is well known and continues a range of people working within the NSW to meet demand across the State. Our online public sector, non-government organisations, training modules have been popular and provide private individuals and organisations, and from a useful way for us to reach a geographical other jurisdictions. These enquiries were of diverse audience. varying levels of complexity.

Increasing CEO awareness and Demand for records management commitment to recordkeeping training continues State Records' success in improving records Our wide range of training options continues management across the NSW public sector to be popular with public offices with a total of relies on our ability to make CEOs aware of the 537 participants attending our short courses, benefits of good recordkeeping and persuading EDRMS Implementers Discussion Group, or them to commit to implementing standard the Managing Recordkeeping Risk in Business practices. Systems workshops. During 2015-16 we sent 6 information packs to In collaboration with our training partners, 26 new CEOs to advise them of their recordkeeping short courses were delivered to a total of 287 obligations and promote awareness of the participants. Courses were held at locations benefits of good recordkeeping. around NSW: including the Sydney CBD or Western Sydney and courses in 4 regional centres (Port Macquarie, Cowra, Wagga Wagga, Coffs Harbour).

50 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WHOLE-OF-GOVERNMENT SERVICES

Some of our training partners have taken the initiative to arrange and deliver in-house courses Objectives for 2015-16 for particular public offices, and these have • Continue to provide expert advice on included conducting tailored courses on 10 recordkeeping to public offices across occasions for clients in Sydney. NSW. Our commitment to improving the level of • Understand and respond to emerging records management skills across the NSW risk, concerns and issues affecting public sector is long standing: we have provided recordkeeping in the NSW public sector. short course training for 30 years. Thanks are • Provide up to date information on due to our training partners: Recordkeeping recordkeeping obligations to new public Innovation and Siller Systems Administration. sector CEOs. • Provide records management short Recordkeeping events improve course training program, in partnership awareness and skills with private sector providers. State Records undertakes a number of initiatives aimed at raising recordkeeping awareness Achievements and highlights and the skills of public officials and ultimately • 1,324 participants in records management building a strong recordkeeping culture within events. the NSW public sector. During the year 787 • Advised 6 new Chief Executives of public officials attended various recordkeeping recordkeeping obligations. events and presentations. Key events were: • 6,548 visits to the e-learning site. • 312 NSW public officials attended our Records Managers Forums (three held in Goals Sydney) • To increase awareness, commitment and skills of CEOs and public sector officials • 90 attended Presentation on Records in the creation and management of official Storage to Treasury Managed Fund Risk and records. Claims Managers • To encourage public offices to put in • 40 attended a presentation to RIMPA Local place effective records management Government Chapter Meeting in Bathurst programs, systems and practices on Digital Disposal and recordkeeping and applicable to their business. Local government amalgamations • To help public offices to make and keep • 40 attended the State Records’ information trustworthy and accessible digital records. stand at World Statistics Day event organised by the Australian Bureau of Statistics • 52 attended a presentation on Cloud Services in Local government at an Akolade conference on Records Management and the Cloud. Our Training Resource Centre and suite of e-learning modules continue to be well received. During 2015-16, we had 6,548 visits to the e-learning site, and 17,013 page views.

RESULT 11/12 RESULT 12/13 RESULT 13/14 RESULT 14/15 RESULT 15/16

485 381 389 275 287

TABLE 12 - Training course participants.

ANNUAL REPORT 2015/2016 51 PERFORMANCE

FIGURE 45: Pitt Street near Market Street, Sydney, [no date], Government Printing Office glass plate negatives, NRS4481 MS2766P. CASE STUDY Managing Recordkeeping Risk: Workshop For Public Sector Staff

The Managing Recordkeeping Risk in Business Systems workshop is a free course delivered by State Records. The course looks at the broad range of environments in which digital information is created and managed. It provides an opportunity for public sector participants to develop practical solutions to address the risks to information in their specific organisations, as well as value-adding strategies. Government organisations have shown a strong demand for the recordkeeping risk course, with 42 participants at the 4 workshops in 2015-16. The participants have been from a diverse range of organisations and roles. Along with the records and information management focused individuals who have traditionally come along to the course, a number of attendees with broad responsibility for risk across their organisations attended, and a number of people in senior management roles. The course is constantly benefiting from the insights of the participants. Examples of successful initiatives discussed by attendees are frequently used to reinforce the case studies in the course.

52 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WHOLE-OF-GOVERNMENT SERVICES

Digital State Archive Outlook and Capability The priorities for the Digital State Archive State Records has developed a state-of-the- going forward are: art digital archiving solution, the Digital State Archive. This system enables, for the first time, • the commencement of new migration the long-term preservation and provision of projects for digital records at risk. access to the State’s valuable digital records as • further enhancement of search facilities State archives. for the Digital State Archive, including Rather than being about the digitization of older the provision of a ‘one stop shop’ that paper material, this initiative is about ensuring spans digital government information the integrity and longevity of key government stored in the Digital State Archive, records in databases, file systems and the wide OpenGov NSW and Data NSW, and the array of formats that characterise the digital development of a secure remote working environment today. access facility for public offices to use migrated records that are closed to With the vast majority of contemporary official public access. records being created and kept exclusively in digital form, it is vital that State Records extends its preservation and access delivery services into the ‘born digital’ environment. Achievements The systems, tools, services and processes that Achievements over the last year include: have been developed as part of the Digital State • Continuing to work with NSW agencies Archive project will have broader application in and public offices to initiate new the NSW public sector to assist with a range of migration projects. digital continuity issues for all NSW public office digital records; including migrating records • Undertaking migration projects with the forward through technology change, building former WorkCover Authority, better recordkeeping systems and conforming Campbelltown Council, the NSW to standards for ease of information sharing. Electoral omission, Destination NSW, the Department of Premier and The Digital State Archive was established Cabinet, Macquarie Generation and as a project in 2011. In June 2014 it entered Transgrid. an operational phase when the Minister for Finance, Services and Property, the Hon. • Ingesting digital State archives in Dominic Perrottet MP, announced a further four custody (the digital backlog) into the years of continuation funding. Digital State Archive system. This includes the records of Premier Carr and the records of the Chelmsford Inquiry. • Supporting emergency digital preservation work being carried out as part of the EmDARA project which will greatly reduce the digital backlog. • Piloting new types of digital transfers from electronic document management systems. • Redesigning the State Archives Collection search interface to support enhanced discovery of digital State archives.

FIGURE 46: Digital State Archive.

ANNUAL REPORT 2015/2016 53 PERFORMANCE

FIGURE 47: Avoiding a digital dark age – the move to digital records.

OpenGov NSW

OpenGov NSW is a searchable online repository During 2015-2016, over 400 new publications for NSW Government publications such as were published on OpenGov NSW. annual reports, strategic plans, guides and policy documents, as well as information More information released by agencies under the Government More information on OpenGov is Information (Public Access) Act 2009 (GIPA). Its available in a set of FAQs on the site: role is to increase access to NSW government www.opengov.nsw.gov.au/faq information and to simplify the publishing process for government agencies. NSW Government agencies, local government councils, NSW universities and State owned corporations can use OpenGov NSW to publish current as well as legacy publications and Government Information (PublicAccess) Act 2009 (GIPA) released information. Agencies are obliged to publish each year’s Annual Report on OpenGov NSW under Ministerial Memorandum M2013-09: Production Costs of Annual Reports. By publishing on OpenGov, agencies can ensure that important government information remains available to government and the public without having to maintain it all on their own websites. By using the state of the art preservation technologies of State Records’ Digital State Archive, the contents of OpenGov are assured of

remaining accessible and secure into the future. FIGURE 48: Digital State Archives team.

54 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WHOLE-OF-GOVERNMENT SERVICES

FIGURE 49: OpenGov NSW website.

Data NSW initiatives

In August 2014, State Records undertook responsibility for maintaining and supporting the Data NSW website (http://data.nsw.gov. au). The Open Data initiative is a priority of the NSW Government ICT Strategy and Data NSW is a key platform for that initiative. Data NSW provides a searchable interface to NSW government datasets. The site also houses the Information Asset Register which is a closed-access subsite to support the sharing of data between agencies. By supporting Data NSW alongside OpenGov NSW and the Digital State Archive, State Records makes full use of the technical capabilities and infrastructure provided by the Digital Archives team. This involvement also opens up significant opportunities to link these three digital repositories with possibilities for creating integrated channels for NSW public offices seeking to transfer digital information and cross-site searching for NSW citizens seeking to access government digital information. FIGURE 50: Data NSW website.

ANNUAL REPORT 2015/2016 55 PERFORMANCE

State Records staff are working closely with CASE STUDY records management and digital information and security professionals in government Future proofing the digital agencies to ensure digital records identified for preservation make a secure transition to the record new repository.

Archivists are playing a critical role in Transfers include emails, office documents, ensuring all government records are digital photographs, audio-visual files, whole preserved in a secure accessible way. databases and scanned documents. They are managed with metadata that helps identify Article by Carolyn Rance, Sydney Morning their relationships to other records and the Herald (12 March, 2016). business they concern. Early adopters of digital technology know how Lehane says the switch from generating often and fast software and storage media records on paper to early digital formats was have changed since the arrival of desktop and a disruptive change for many public sector personal computers. employees. During – and since – that transition, State Records staff have provided guidance and training to ensure rules on the management of government records are understood. The digital era has brought opportunities and challenges. Lehane says records that are “born digital” are easily accessible and usable but can be easier to copy and manipulate. He undertook master’s level studies in archives and records management in Liverpool, England, after completing a PhD in history and writing his thesis on the links between FIGURE 51: Richard Lehane with some of his Digital Archives Victorian England and its colonies with a focus Team. on the life of British Lieutenant General Sir One of the key challenges of our era is how to Edward Hutton, the man responsible for the ensure that records and information generated post-federation merger of six state forces into or stored in one format are preserved for years a single Australian army. to come. “I had enjoyed working in archives while I was Across the world, governments that value researching my PhD and decided to take my continuity of the historical record and regard career in that direction. When I came back to information as a vital strategic asset and Australia I joined State Records and worked economic resource have made decisions on a project to index records for the Aboriginal about which paper records should be digitised Trust Fund Repayment Scheme which was set and how they should be preserved. up to repay back money owed to Aboriginal people from the former Aborigines Protection Now they are finding ways to preserve early Board and Aborigines Welfare Board.” Lehane, and current digital records in ways that who is NSW branch secretary of the Australian meet requirements for security, privacy and Society of Archivists, says archivists form a accessibility to future generations. small industry, working in a variety of settings At the State Records Authority of New South that include schools, universities, religious Wales a digital archives team managed by institutions, libraries, museums and businesses Dr Richard Lehane is in the process of moving as well as government positions. government records created in sometimes Those employed in the public sector know already obsolete formats to a new digital their work is not just about preserving state archive. history, it is also “part of maintaining the link It is a job that calls for high level digital and between good recordkeeping and government technical skills as well as archival training. accountability and transparency.”

56 STATE RECORDS AUTHORITY OF NEW SOUTH WALES COMMERCIAL SERVICES

COMMERCIAL SERVICES Non-current records stored efficiently

In 2015-16 State Records’ off-budget records storage business, the Government Records Achievements and highlights Repository (GRR) continued to provide secure • 6.0% holdings growth and efficient records storage and related • $4.1 million operating surplus services to the public sector. The GRR had a strong year with a solid result. • Large scale digitization projects The GRR aims to keep Government records • Large records ingestion projects storage costs low, while providing a model of best practice for services and facilities. The GRR primarily services inner-budget agencies, 2015-16 saw the GRR holdings break though the but clients also include local councils, public 600km level to 604,959 linear metres of public hospitals and universities. sector records. While demand for storage and retrieval of physical File retrieval operations are specifically the records continues to grow, the GRR has been activities of pulling files from storage to return working hard to meet client needs in terms of to clients, and re-filing them when they return digital services, including digitization, consulting to storage. In 2015-16, the GRR performed and hosting. The GRR is continuing to develop 304,000 file retrieval operations, representing a and offer value-added services to allow clients 9% increase. The ratio of file retrieval operations to focus on their core business, and provide an to holdings continues to slowly decline (in 2015- income stream in the face of an anticipated future 16 the ratio was approximately 1 operation per decline in paper storage requirements. 2 linear metres of holdings, falling 2% from the previous year), as the high use short term records The work of the GRR also gives State Records are now commonly held in electronic systems significant insight into the challenges and trends maintained by clients. Records held by the GRR that the sector is experiencing. The GRR works generally have long retention periods and lower closely with agencies to help them efficiently retrieval requirements than in the past. However, control, manage and legally dispose (including holdings growth is ensuring that retrieval (for use transfer to the archival collection) of their records by the client) quantities are remaining steady. in a timely fashion. This assists State Records NSW in achieving its strategic objectives by leveraging industry experience. RESULT 2014-15 RESULT 2015-16 TARGET 2015-16 6.6% 6.0% 5% File storage and retrieval service demand met TABLE 13 - Net growth of holdings The GRR accessioned 45,404 linear metres of incoming records during the year compared File retrieval operations to 47,238 in 2014-15. With 8,945 linear metres We are not able to influence demand for file of records being destroyed, transferred or retrieval operations, as these are based totally permanently recalled, net growth of 36,459 on client requirements. A downward trend in file linear metres was achieved. This was just retrieval has been forecast for some time due to 629 linear metres less than the record result of the impact of electronic record- keeping systems 2014-15. within agencies; however this is being offset by the growth in health records and the active life of these records.

ANNUAL REPORT 2015/2016 57 PERFORMANCE

10,000’S accuracy in a shorter time-frame – customised on 75 a per client basis. This has become an especially well respected and trusted service recognised to be accurate, cost-effective and efficient. 55 There was a continued high level of activity in health information sentencing over the 2015-16

35 year, with several major hospitals now contracting JAN MAR MAY JULY SEPT NOV the GRR to routinely remove and sentence their 2009 2010 2011 2012 2013 2014 2015 2016 client information records on an annual basis. The GRR’s team of experienced health information FIGURE 52 - File retrieval operations. sentencers processed 583,194 files in 2015-16. Also mandated in the Business Plan and delivered For several years the GRR has tracked its overall by the GRR are digital services, most notably; client-facing operations. These include file retrieval activities, but also activities such as items • Imaging – 6.9% of retrievals are now provided transferred into storage, items removed from via “scan on demand” imaging, and this storage, and boxes transferred and destroyed. figure is growing (from 5% in 2014-15) as our The figure also includes boxes processed by our clients progressively obtain the capacity both data entry teams for cataloguing and sentencing technically and financially to operate digitally. services, although the figure does not include The GRR also undertakes large scale “back the quantities of individual files which have been scanning” projects of client records. handled through these latter activities. • EDRMS Management – The GRR hosts electronic records for our clients both YEAR OPERATIONS % INCREASE passively (e.g. through our web system for 2011-12 883,019 5% delivery of imaged records) and actively (e.g. the “CommSERV” database hosted for 2012-13 898,200 2% Community Services) 2013-14 875,420 -3% We are pleased to report that in the 2015-16 year, 2014-15 746,346 -15% Fees & Consultancy revenue was $3.03 million. 2015-16 824,948 11% This was related to four major factors:

TABLE 14 - GRR Client-facing operations • Continuing high usage of the GRR’s specialised health file sentencing service, Value-added services discussed above; The GRR continues to deliver against the 2010- • Continuing popularity of professional archival 15 Business Plan, whilst the new SRA Strategic services, most importantly the appraisal of Plan is in development. The GRR has identified records; the public health sector as a major market in • Large scale digitizing work undertaken for a which it can offer additional services. The GRR number of clients; continues to work with Local Health Networks to reduce their records accumulations and dispose • Continued high usage of the GRR’s of records that otherwise cannot legally be consultancy services in cataloguing, indexing destroyed. and data entry work, with 271,261 files indexed and the imaging of 3,838,662 frames The GRR provides a highly specialized patient file sentencing service to a number of public hospitals. The GRR’s automated health patient Financial viability remains strong records sentencing application (Government The GRR has operated as an off-budget service Records Repository Health Information System- unit since 1 July 1990, relying primarily on paper- GRRHIS), performs destroy date calculations based records storage fees to generate its automatically, allowing sentencing of patient operating revenue. In 2015-16 the Government files to be carried out with a greater degree of Records Repository’s result was a record for both

58 STATE RECORDS AUTHORITY OF NEW SOUTH WALES COMMERCIAL SERVICES

revenue and surplus. A surplus of $4.1 million Services for Police NSW was generated from a revenue of $19.48 million. As part of a review of internal operations in the This equates to a 22% return on earnings. Police NSW, records management services were examined. At the time Police operated a cluster Environmental impact lessened of internal repositories that partially met the Our records storage and retrieval business has needs of the agency. After a review of standards limited impact on the environment. Nevertheless, of storage achieved and cost considerations, we are vigilant to ensure we reduce our impact a decision to close the repositories was made. where possible. The GRR was selected to provide the records management services the agency required. The We undertake constant monitoring of our fleet to relocation project was commenced in March ensure that it remains appropriate to our needs and finished in June 2016, 4 months ahead of and that we meet our agreed greenhouse gas deadline in October 2016. A total of 11,676 linear reduction targets. In 2015-16 the fleet kilometres metres of records were relocated into the GRR. fell by 33,502 kilometres to 540,076 kilometres as a result of continued review and optimization of the transport section. Outlook and capability Following an increase in linear metres of client The Western Sydney Records Centre (WSRC) authorised destruction for 2015-16, the GRR has total storage space of 474,000 linear securely recycled over 326,000 kilograms of metres for non-current records and archives, with the GRR now utilising an additional paper through its destruction service. 216,000 linear metres in leased satellite repositories in the Penrith area. RESULT 2015-16 TARGET 2015-16 $’000 $’000 As foreshadowed in the Business Plan the GRR has continued to lease and equip off-site Revenue 19,476 15,177 warehousing to maintain its business. This Expenditure 15,379 13,062 approach has allowed the GRR to match its capacity closely to demand from clients. The Surplus 4,097 2,115 GRR will be closely monitoring its storage requirements into future. TABLE 15 - GRR Revenue targets and results before contribution The GRR’s holdings grew by 36 kilometres in Value Added Services for Family and the 2015-16. Community Services We expect that demand for our records storage and associated services will continue The GRR is often called on to provide bespoke to be strong in the coming year with 5% services to clients. An excellent example of this net growth of holdings. High demand for is the Historical Records Digitization Project our professional and value-added services (HRDP). Commencing in mid-October 2014, will remain as clients continue to deal with it originated from the ongoing relationship accumulations of unsentenced records both between the Government Records Repository within the GRR and on their own premises. (GRR) and Family and Community Services The GRR has experienced strong growth in (FACS) and is a response to increased demands its digital services, and in particular digitising on FACS to supply client information to Clients, of records held by GRR and State Archives. the Royal Commission into Institutional Underpinning this growth has been a refresh Responses to Child Sexual Abuse and other of our facilities with a dedicated, well legal proceedings. The project comprised of designed space now supporting our digitising digitisation activities, where the GRR completed group. This will continue to be a focus as 1,889,211 frames. Importantly, this was our clients progressively obtain the capacity followed with harvesting of metadata where both technically and financially to operate 1,175,259 names were indexed. digitally. The GRR will also expand into “bureau” type digitising of records that are The GRR has a strong reputation for its ability to not held in storage by SRA or GRR, giving the provide top quality services in complex projects organisation another revenue stream. where a high level of detail and skill are required.

ANNUAL REPORT 2015/2016 59 PERFORMANCE

FIGURE 53: Interior archway of concourse in Central Railway Station 1906, digital ID17420 a014 a014000289.

THE STATE ARCHIVES COLLECTION

State Records manages and preserves the State Most of the current paper State archives are in archives collection so that it is available to the their original form and remain uncopied, which people of NSW. The State archives are also the poses challenges in their ongoing preservation corporate memory of the NSW Government and and in making them widely accessible. A major broader public sector and therefore have value challenge is to describe and document the to public officials. As our collection includes the collection, particularly individual State archives. earliest government records in Australia, dating State Records is committed to maintaining a from the arrival of the first Europeans, it is also range of access points. We provide access to used by people around Australia and the world. the State archives through our reading room, Records to be added to the collection are our website and 40 community access points identified in records retention policies. We across regional NSW including six regional encourage public offices to transfer these repositories. We are also committed to records to our custody when they no longer promoting the State archives collection as a rich need them. There continues to be a high level of cultural and information resource. This involves transfer activity, but many records of continuing us in presenting an extensive public program of value remain in public offices, often in less than talks, tours, exhibitions and other events. ideal conditions.

60 STATE RECORDS AUTHORITY OF NEW SOUTH WALES THE STATE ARCHIVES COLLECTION

Goals: Objectives for 2015-16 • To have public offices transfer their archival • Encourage public offices to transfer their records, including digital archives, to our archival value records to our custody. custody or a regional repository once they • Digitise at-risk State archives. are no longer in current use, unless it is appropriate for them to manage their own archives. Achievements and highlights • 2,001 linear metres plus 8,193 plans • To ensure the State archives collection, transferred as State archives. in all of its locations and formats, is appropriately stored and preserved. • Over 9,000 at – risk State archives digitised • To describe and document the State archives collection so that it is accessible However, discussions were held with Penrith to the people of NSW and Government, Council and Historic Houses Trust regarding and to facilitate its management. distributed management. • To provide a diversity of channels by which the people of NSW can access the State Distributed Management archives collection. States archives can only be managed outside State Records’ custody by agreement. This involves control over the archives passing to State Records and places a number of Public offices protect or obligations on the public office holding the State transfer archives archives. There are currently six distributed management agreements in place. There are full agreements covering three of the regional Public offices are responsible for protecting repositories (at Wagga Wagga, Armidale and that part of the State’s archival heritage which University of Newcastle), plus the University is under their control. Many public offices hold of Western Sydney; while partial agreements records of archival value which they no longer (covering selected records only) are in place for use. State Records encourages public offices the Powerhouse Museum and Wingecarribee to transfer these records to us, to ensure their Shire Council. ongoing preservation. We can also make the archives accessible through our public reading Public offices continue to transfer room and online services. State archives Archives not transferred to our custody, or to one Quantities of archives proposed for transfer of the six regional repositories, are at greater risk can fluctuate from year to year and is driven by of loss or accidental destruction or damage. State public office demand. Records can also make distributed management agreements with public offices to preserve and 30 consignments from 93 series were received make accessible their own archives, where it at the Western Sydney Records Centre. The is logical for them to do so and they can meet Land and Property Information (LPI) of the important conditions. Department of Finance, Services and Innovation was again the most active public office, with the series NRS 19513 General Register of Deeds Continuing interest from agencies in making up the bulk of the records transferred. managing their own archives The primary impetus for these continuing There is a strong desire amongst councils and large-scale transfers has been the move to universities to retain custody of, and manage digital modes of business within LPI. Very their archives. Few agencies (particularly local large series such as the General Register councils) are adequately resourced to meet the of Deeds are being digitised, thus allowing essential conditions for managing and making the original records to be ‘retired’ to archival accessible State archives. storage and access to be provided digitally.

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63.18 metres of Parliamentary archives were also received for storage and preservation under the terms of an agreement with the NSW Parliament. Regional repositories received several transfers of State archives totalling 380 volumes from local councils.

RESULT RESULT RESULT RESULT 12/13 13/14 14/15 15/16 State Archives transferred to State 3,067 1,129 2,347 1,982 Records’ custody

State archives transferred/added to 727219 regional repositories

State archives transferred/added to 0000 other distributed collections

TOTAL 3,074 1,156 2,349 2,001

TABLE 16 - Metres of standard format records transferred as State archives.

RESULT RESULT RESULT RESULT 12/13 13/14 14/15 15/16

Maps and plans 2,395 4,773 3,412 8,193

Maps and plans (to regional repositories) 0000

TOTAL 2,395 4,773 3,412 8,193

TABLE 17 - Number of non standard format items transferred as State archives.

Support for regional repository network ARCHIVES MANAGEMENT Support for the six regional repositories through AT A GLANCE: Archives in the Bush grant funding was possible this financial year. Grants were made for + The State archives collection professional development, documentation and is distributed, being located in improved housing for State archives. Western Sydney and six regional The Director, Manager Archives Control and a centres. Conservator visited the Outback Archives Broken Hill during the year for an event to showcase + State Records has purpose-built the Carrington Albums. They were also able to storage for archives. inspect of State archives and discuss current and future activities and projects. We also provided + Public offices can transfer records advice and guidance to a number of community that are identified as State archives archives organisations. in a records retention policy, are covered by access directions and meet other conditions. + Public offices can manage their archives as part of the distributed State archives collection, by agreement with State Records.

62 STATE RECORDS AUTHORITY OF NEW SOUTH WALES THE STATE ARCHIVES COLLECTION

REPOSITORY PROJECT GRANT

University Of Newcastle Rehousing of approximately 7,000 university photographs $6,310

University of New England and Regional Archives Acquisition and deployment of 600mm deep shelving $10,894

Newcastle Region Library Documentation of Maitland Land Board Archives $5,758

Charles Sturt University Regional Archives Documentation of local government archives $13,640

TOTAL $36,602

TABLE 18 - Grants to regional repositories 2015-16

Outlook and capability State Records anticipates that significant quantities of archives will continue to be transferred to our control over the next five to ten years, as the bulk of paper-based records become inactive and as agencies with responsibility for vital infrastructure implement major copying projects. However, the large number of series being transferred continues to place pressure on our limited archival and clerical support staff resources. It is gratifying that many public offices are fulfilling their obligations under the State Records Act by transferring inactive records of continuing value as State archives. Unfortunately the volume of material transferred is such that we are unable to fully check all consignments, and a large backlog has built up, delaying final approval of many transfers, and the registration of consignments and uploading and publication of item lists. The 2014-15 Collection Documentation Backlog Project demonstrated what is possible if resources are available to carry out the work. Whilst transferring archives into our custody is important to us, we will also continue to support a 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 manage archives in accordance with the conditions that ensure they are properly preserved, documented and accessible to the community.

FIGURE 54: Boys eating from same piece of fruit, "bite for bite", FIGURE 55: Tour of our WSRC, presentation of some pieces of 1914, Government Printing Office glass plate negatives, our Iconic Archive Collection, John Cann. NRS4481 MS2865.

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"Recovery of Estrayed records" Return of government records

Some official records have in the past strayed from the public office that created or held them. State Records relies on the generosity of the public to return those records which would make a valuable addition to the State archives collection. State Records gratefully acknowledges the following people and organisations for their donations:

DONOR RECORDS DONATED

Records of the Institute of Dietitians, 1944 to 1994, including membership lists, minutes of Dr Beverley Wood meetings, and training material., 1878

Braidwood Museum & Historical Araluen Public School Admission registers, 1895 to 1968. Society

Colin Randall Photographs and slides from the Mining Division of the Joint Coal Board, c.1890 to c.1980.

Dharug & Lower Hawkesbury Observation, visitors and punishment books from the Central and Upper Macdonald Schools, Historical Society 1908 to 1975

Australian Railway Historical Railway By Laws,1867 to 1879, and microfilm of tramway plans,1890 to 1910 Society

Metropolitan & Coast District Court District Court papers, 1865

Bathurst District Hospital Hospital Patient Register, 1908 - 1911

Bunnerong Power Station Operating Manuals, 1961

TABLE 19 - Donations

State Records recovered an original Convict Indent for the convict transport ship Blenheim. The indent is a manuscript list of 200 convicts transferred from Dublin Castle Prison to the Blenheim under the signature of Marquess Wellesley, Lord Lieutenant of Ireland. The Blenheim departed Cork on 27 July 1834 and reached Port Jackson on 14 November 1834.

FIGURE 56: Photograph returned to State Records by Colin Randall - FIGURE 57: Newcastle coal loader - These photographs were Mining Division of the Joint Coal Board, c.1890 to c.1980. JOINT COAL accepted into the State Records’ Regional Repository at BOARD 1890’S TO 1980’S (15/0851). Newcastle City Library.

64 STATE RECORDS AUTHORITY OF NEW SOUTH WALES THE STATE ARCHIVES COLLECTION

FIGURE 58: State Records Conservation staff in the Western Sydney Records Centre laboratory, from left Clara Cesarone, Dominique Moussou, Carol Marsh.

The State archives collection is appropriately stored and preserved

State Records manages an extensive government archive collection, comprising items of varying Objectives for 2015-16 formats, across ten locations. Archives require • Prepare 49,000 pages of Gaol Photograph clean, environmentally-controlled storage Description Books for digitisation conditions to help ensure their preservation in • Undertake conservation treatment on perpetuity. Non-standard format archives, such priority items. as film, require purpose-built cool storage. Archives in digital format require a different storage and preservation regime. Achievements and highlights • 29,719 pages of Gaol Photograph We are committed to providing the best available Description Books prepared for storage conditions for all States archives. Where digitisation. appropriate storage is available it slows further deterioration of the archives. • Motion picture films surveyed. • Priority items received conservation treatment

ANNUAL REPORT 2015/2016 65 PERFORMANCE

The State archives collection our control. Conservation advice was requested continues to grow by public offices, a range of private individuals and groups and regional repositories on 17 The State archives collection increased by 2,001 occasions. metres of standard format archives during the year, bringing the total collection to more than In addition to the usual advice provided to 81.1 kilometres. agencies through normal transfer and liaison arrangements, State Records staff participated Standard format archives include files, volumes, in an initiative introduced by the Treasury microfilm reels, films, audio visual items and all Managed Fund to improve the knowledge of other archives stored on shelves and counted in Risk Managers throughout government about linear metres. good records management practices that would RESULT RESULT reduce the need for disaster remediation of 14/15 15/16 records.

Archives in State 73,187 75,188 During the year, many groups of public office Records’ custody staff, tertiary and school students and family Records to be appraised 3,519 3,519 historians took the opportunity to visit the in State Records’ custody conservation laboratory, highlighting the role Total in State Records’ custody 76,706 78,707 State Records has in the long term preservation of State archives. Archives in regional repositories 2,455 2,474

TOTAL IN ARCHIVAL CUSTODY 79,161 81,181 Macro-preservation challenges TABLE 20 - Metres of standard format State archives in State Constant monitoring of the environment and Records control. Note: These figures do not include the 686 storage areas is part of the routine of managing metres of Parliamentary archives held by agreement with the potential mould and pest threats. A database NSW Parliament. to document the results of pest trapping is being used to improve our knowledge about Preservation advice provided to pest movements and possible infestations. This agencies is designed to allow intervention in real time. As the level of transfer activity has increased, Regular formal meetings of Archives Control and more agencies are undertaking large-scale staff and the Facilities Manager has aided the digitisation projects, there is a need to provide integration of pest management across State expert preservation advice before records are Records’ facilities. actually transferred as State archives. State Records has an ongoing relationship with Land Items receive conservation treatment and Property Information (LPI) in relation to During 2015-16, 183 fragile items received several major digitisation and transfer projects. treatment to enable access for a range of We also assisted a number of other agencies activities. during the year including Ausgrid and Sydney Water. They both required advice regarding the Agency retrieval saw 751 State archives receiving preservation and rehousing of unusual formats, treatment prior to despatch, the majority being such as acetate film and glass plate negative for the Department of Family and Community collections. Services. State Records seeks to ensure that records of The growth of digitisation projects has seen archival significance are being properly stored conservation increasingly involved in the and managed while still in agency custody, and assessment of items, their preparation and/or to provide guidance on appropriate handling, treatment for copying. Agencies are engaging packaging and transportation for records to be the GRR to digitise State archives and all transferred. We also assist agencies to identify State archives series copied are inspected and seriously damaged records, and advise on assessed first. A Conservation Assessment essential remedial conservation work that may Request for Digitisation form on State be necessary before they can be accepted into Records intranet was introduced in March 2014.

66 STATE RECORDS AUTHORITY OF NEW SOUTH WALES THE STATE ARCHIVES COLLECTION

Each request can have up to 8 items, or runs of boxes. This has assisted in tracking these requests. 110 requests were received during the year. As part of the continuing digitisation project by Land and Property Information (LPI), the 5,500 Crown Plans held by State Records are being assessed and treated by State Records. This year 472 plans have been assessed and treated if required. FIGURE 59: Damaged acetate Film negatives received by State Records. Conservation input has been required for a variety of in-house displays, external exhibitions, and digital galleries on the State records website The EmDARA Project including the NSW Anzac Centenary Gallery After failing to receive funding for the ten year (website), Carrington albums in the Reading DAPRA (Digitisation of Archives for Preservation Room and preparation for digitisation for the third and Regional Access) project State Records State Records Anzac Centenary exhibition due focussed on the most urgent need. This is, to open in October 2016. 66 items were treated State archives that are at-risk of loss because of for these purposes. Preparation for the loan of chemical degradation of the physical medium 346 items for the State Library NSW exhibition and/or technical obsolescence. Technological Field of Flowers: tribute from the Martin Place obsolescence occurs when the equipment siege required considerable consultation as the needed to read the format is becoming outdated proposed display technique was unusual. and increasingly hard to access. Both chemical The valuable contribution of our volunteer degradation and technical obsolescence program has seen progress in the completion create a limited time frame in which to capture of 7 more boxes of Deceased Estates files and the content of these formats. The Minister 10 volumes of Colonial Secretary’s In-letters for Finance, Services and Property the Hon. being cleaned and rehoused for easier access. Dominic Perrottet MP approved State Records This work is very time consuming and was using cash at bank to commence digitisation impacted this year by the EmDARA project, as of these archives. The project called EmDARA, space requirements meant the suspension of which stands for Emergency Digitisation of At volunteer work Risk Archives, commenced in December 2015. The formats targeted by EmDARA are largely audio visual formats that are at risk due to one Outlook and capability of both of the above criteria. This focus created We anticipate an increasing involvement with a feasible scope and supported a decision assessing, preparing and treating items to concentrate on those formats that State required for online gallery and digitisation Records had no capacity to digitise in-house. projects, thus making available a wider range Most of the formats in scope for the EmDARA of State archives to a growing user base. project require specialist machines to read Monitoring and treatment of State archives and copy the material into a digital format. The will continue in order to minimise their two exceptions to this are the series of Gaol deterioration. Photographic Description Books and the Martin Place Siege material. Conservation staff will continue to provide advice to public offices to assist in the Gaol Photographic Description Books were preservation of records of long- term and included in EmDARA because they are a fragile archival. set of series that are heavily accessed by the public. State Records already had an online index allowing users to search by the name of the prisoner providing an obvious delivery mechanism. The Martin Place Siege material

ANNUAL REPORT 2015/2016 67 PERFORMANCE

consists of the items that were left in Martin EmDARA includes items from approximately Place after the Lindt Café siege. This material 149 series and is broken into streams by format. was included in EmDARA because it had For each item a preservation digital copy and an recently been received and contained material access digital copy was created. It is intended that State Records has (until now) not had to that the preservation copies are ingested into the deal with such as stuffed toys, scented candles, Digital State Archive for permanent preservation. chocolates and home-made posters and cards. The table below details the formats included in The EmDARA project allowed a conservation the project and work done to date. survey to be carried out to determine the unique storage requirements for this material.

NO ITEMS TARGETED FOR PREDICTED DIGITAL STORAGE FORMAT ACCESS COPY PRESERVATION COPY DIGITISATION REQUIRED

Cassettes 1754 MP3 Broadcast Wave Format 5TB (WAV)

Computer media 890 Multiple file types Imaged file 2TB

DVCPro 2294 H.64 Encoded MP4 DVC-PRO 80TB

Film 2160 H.64 Encoded MP4 Lossless JPEG 2000 (2K 74TB resolution)

Video 2274 H.64 Encoded MP4 JPEG 2000 62TB

Magnetic audio reels 1628 MP3 Broadcast Wave Format 6TB (WAV)

Gaol Books 47,200 JPEG Tiff (uncompressed) 5TB

TABLE 21 - Details of the EmDARA State archives

Documenting and cataloguing the State archives collection

Documenting and describing the State archives functioned and been organised since 1788. collection is essential for making it accessible to Documenting and describing the State archives the public and Government, and for managing is a research based activity requiring professional the collection. staff. It remains a significant challenge to utilise our resources to document new series being While much of the collection is documented transferred, as well as a large backlog. well at a broad level, extensive work is required to document individual items so that they are discoverable through our online catalogue. Progress with documentation of Individual items include files, volumes, plans, context and photographs. Two new ministries were formed during 2014-15 The documentation methodology we have of the 96th (Baird-Grant [I]) Ministry in October used since the 1990s is known as the ‘series 2014 and the 97th (Baird-Grant [II]) Ministry system’ and is common to many Australian in April 2015. Both ministries were registered archival institutions. This involves research, but little other higher level contextual registration which results in registrations of archival series was possible. Context - related work this year (groups of related items) and of the bodies that included registration of a number of recent created or were responsible for them (agencies, government agencies. persons). Broader contextual information is also captured about how the NSW government has

68 STATE RECORDS AUTHORITY OF NEW SOUTH WALES THE STATE ARCHIVES COLLECTION

APPROVED ACM TOTAL AT Objectives for 2015-16 PROGRAM 2015-16 30 JUNE 2016 • Improve documentation of series Series in State 950 14,803 transferred and held as State archives. Records’ custody • Document 30,000 items and reach more Series in regional/ 37 1,887 distributed custody than 1,675,587 items discoverable online. Total series approved* 132 16,690

Achievements and highlights Agencies 184 4,165

• 132 series and 184 agencies were Persons 0 188 approved in 2015-16. Portfolios 6 302 • 37,539 items documented, bringing total discoverable online to 1,683,126 items. Ministries 0 97 Organisations 1 21

Activities 0 182

Functions 0 14

TABLE 22 - Series and context documented * Includes split series held at Western Sydney and Mitchell Library; or Western Sydney and regional repositories. Series approvals include series which were previously Concise Guide registrations and have now been fully registered, in addition to ‘new’ approvals.

RESULT TARGET 2015/16 2015/16

State archives added to 37,539 30,000 online catalogue

Total State archives in 1,683,126 1,675,587 online catalogue at end of 2015-16 FIGURE 60: A frame from "Pageant of Nationhood" one of the films digitised as part of the EmDARA project. TABLE 23 - State archives added to online catalogue at end of 2015-16 * Does not include record items available separately on the website. Not all items documented are discoverable online.

Valuation of the NSW State archives In 2012-13 the State archives collection was valued for the first time at $824 million, using a fair value as defined in the Treasury Policy TPP07-1- Accounting Policy: Valuation of Physical Non-Current Assets at Fair Value. Between full valuations a set of rates supplied by a professional valuer is used to applied values to transfers of new State archives.

FIGURE 61: Goal photograph digitised as part of the EmDARA project.

ANNUAL REPORT 2015/2016 69 PERFORMANCE

The value of the incoming State archives in Colonial Secretary’s correspondence 2015-16 was $17.5 million bringing the value of The Colonial Secretary’s correspondence dating the State archives collection to $922 million. from 1826 to 1856 is a part of the State archives The State archives valued are made up of the collection that we consider to be at significant following: risk. This is because it remains uncopied and insufficiently documented at a detailed level Type of archive Quantity which makes it vulnerable to damage and loss through continued use. In 2002 we commenced Volumes 226,448 a long-term project to document and copy these valuable archives, commencing with the letters Boxes 325,897 dating from 1826 to 1832. Due to resourcing issues this project was suspended in 2013 and Maps/plans 1,477,950 has not been reactivated.

Images 931,887

Non paper formats 26,890

Objects 140

TABLE 24 - Breakdown of the State archives (not capital Archives)

Outlook and capability Project funds in 2014-15 (Collection Documentation Backlog project) and 2015-16 (Emergency Digitisation of At Risk Archives project) have allowed State Records to achieve great progress in two significant areas – collection documentation and preservation of State archives. The success of both projects has been based on the dedicated and well qualified staff. Despite the success vacant positions in the ACM program and the inability to back fill some positions while their occupants were undertaking higher duties restricted progress in all areas. To build on the progress we have achieved and to reduce our long-term backlogs and better preserve the State archives, funding over a number of years is required. This will need to be prioritised as one of the key objectives of our future plan.

FIGURE 62: Some of the formats targeted for digitisation by the FIGURE 63: Quality assurance work EmDARA project. EmDARA project.

70 STATE RECORDS AUTHORITY OF NEW SOUTH WALES INFORMATION MANAGEMENT

INFORMATION MANAGEMENT

State Records recognises the value of its Major infrastructure achievements have included: information, records and knowledge as corporate • New Website. Migration from the old locally assets. These assets include: hosted PLONE based website continued • Information and records about the State through the year. The first phase of this was archives collection and non-current records in completed in June 2016 with the release of the our custody; new State Records website using the DRUPAL open source content management platform. • Staff knowledge about NSW public sector This site is hosted within a fully managed records and archives; environment which meets sector and cluster • An extensive database and information about standards. Some functions remain on the old the administration of the NSW public sector, website and are scheduled for migration in and its recordkeeping practices, from 1788 to late 2016. the current day; and • Integrated Collection Management System • A library of Government legislation and (ICMS) project. Selection of a replacement publications, and works on the history of NSW, product was approved based on procurement for staff and clients to better understand the of a commercial-Off-The–Shelf (COTS) system. context of the State archives collection. Evaluation continued based work previously State Records continued to address audit carried out by the State Library of NSW. Due to recommendations within its ICT environment. the extended nature of the evaluation, approval The final reports for the IT Audit Follow-up was received from Treasury for the project to review and Digital Archives Security Assessment be extended into 2016-17. Follow-up reviews were received in September. • The annual Local Business Continuity Plan These reviews consolidated and updated the (LBCP) desktop exercise retest was conducted recommendations from previous audits. The in May 2016. This exercise involved major remaining outstanding items are in the process storm and hail damage to the WSRC. Given of being addressed and expect to be completed the more “real-world” nature of the event, the by early 2017. Other audits completed during the exercise generated considerable discussion year were: which prevented the exercise from being • Adobe Licensing Software Asset Management completed. As a result, the exercise has been (SAM) scheduled for continuation in August 2016. • Microsoft Licensing Software Asset • Telstra data networking links were successfully Management (SAM) provisioned for the Queens Square and Dunheved Road offices. This greatly improved • DFSI cluster ICT Strategy and Governance the reliability and effectiveness of network audit access from these locations. • DFSI cluster PCI-DSS Compliance audit • TRIM Recordkeeping review. The review of recordkeeping processes, systems and functional thesaurus was completed in late 2015. This provided recommendations for the upgrade of TRIM to HP Records Manager 8 (RM8). These were implemented in a pilot RM8 installation currently under testing. The pilot environment will is expected to transition into live operations in late 2016.

ANNUAL REPORT 2015/2016 71 PERFORMANCE

• GovDC High Speed connection. GovConnect The Information Management team: were engaged to investigate provisioning • Continued indexing of Deceased Estates files of a 10Gbps high-speed connection into which brought total entries to almost 245,000 GovDC Silverwater. This is a critical enabler for and growing; transition of ICT infrastructure and services into GovDC as required by the Single Government • Web analytics were migrated to Google Data Centre Policy. The available options Analytics across all websites in July 2015. for this link have been limited by the lack of This provides much more robust and detailed telecommunications infrastructure within the industry standard capture and analysis of web local area. visits and other statistics; Other Information management activities have • Provided consistently popular content on included: multiple social media channels, averaging over 20,000 views daily and consistent rankings • Working with DFSI on cluster ICT initiatives within the top 50 list of the Great Oz Gov including: Tweets. • Digital Services and Collaboration. This • The Information Management team will includes interconnects between DFSI continue to focus on improving information agencies to support collaborative initiatives security, business continuity and disaster • ICT Enterprise Architecture & Strategy. recovery initiatives. These will work to Developing a cluster-wide ICT enterprise ensure State Records meets and exceeds all architecture and strategy in keeping with requirements of the environment in which it the NSW ICT Strategy operates. • Expansion of virtualisation and storage infrastructure to support increased services requirements and continuing virtualisation of physical ICT infrastructure.

FIGURE 64: photograph album of Eveleigh workshops during the 1917 railway strike ANZAC Day Digital ID: 15309_a015_000044.

72 STATE RECORDS AUTHORITY OF NEW SOUTH WALES CORPORATE OVERVIEW

+ STATE RECORDS BOARD + CLIENT AND STAKEHOLDER RELATIONSHIPS + ORGANISATION STRUCTURE + INTERNAL COMMITTEES + REPRESENTATION ON EXTERNAL COMMITTEES

ANNUAL REPORT 2015/2016 73 CORPORATE OVERVIEW

FIGURE 65: Board visit to the Western Sydney Records Centre May 2016.

STATE RECORDS BOARD

State Records has a nine member Board with the statutory functions of determining our policies and strategic plans, approving records management standards and approving the disposal of records. Seven members are nominated by various Ministers to represent State law enforcement agencies, local government, the private sector, the history profession, departments and State owned corporations. One member is nominated jointly by the President of the Legislative Council and the Speaker of the Legislative Assembly, and one is to be a judge of a court of the State nominated by the Chief Justice of New South Wales. Board members are appointed for a maximum of two consecutive terms, each not exceeding FIGURE 66: Board visit to the Western Sydney Records Centre, three years. Kingswood, Mr John Hubby.

74 STATE RECORDS AUTHORITY OF NEW SOUTH WALES STATE RECORDS BOARD

Members of the Board as at 30 June 2016

Ms Anne Henderson AM Mr John Hubby Chairperson from February Deputy Secretary, Government 2013 and Corporate Services, Deputy Chair, Sydney Institute Department of Finance Services and Innovation First Term: 19/12/12 - 18/12/15 First term: 29/06/16 - 28/06/19 Second Term: 24/2/16 - 23/2/19 Nominated by the Minister Nominated by Minister who administers the Public administering State Records Act 1998 to Sector Management Act 2002 to represent represent the history profession. departments.

Ms Fiona Cushing Ms Veronica Lee Chief Financial Officer, Hunter The General Manager of Water Corporation Mosman Council First Term: 5/3/2014 - 4/3/2017 First term: 16/03/2016 - 15/03/19 Nominated by the Minister Nominated by the Minister who administers the State administering the State Records Owned Corporations Act 1989, Act 1998 to represent local to represent State owned government. corporations. Mr Rodney Wallis Dr Rachna Gandhi Executive Director, Utilities & Chief Executive Officer, Service Infrastructure, ANZ International NSW, Department of Finance & Institutional Bank - ANZ Services and Innovation Banking Group First term: 5/3/2014 - 4/3/2017 First term: 24/02/2016 - 23/02/19 Nominated by Minister who Nominated by Minister administers the Public Sector administering State Records Act Employment and Management 1998 to represent private sector. Act 2002 to represent departments. Hon. Justice Robert Macfarlan Mr Jeffrey Greenwood Judge of the Supreme Court of Manager, Process and Records NSW Services NSW Police Force First term: 1/1/11 - 30/12/13 First term: 5/3/2014 - 4/3/2017 Second term: 31/12/13 - 31/12/16 Nominated by Minister Nominated by the Chief Justice administering State Records of New South Wales. Act 1998 to represent State law enforcement The Hon. Dr Peter Phelps MLC agencies after consultation with the Ministers Member of the Legislative responsible for those agencies. Council Member of the Liberal Party First term: 14/11/12 - 13/11/15 Second term: 15/12/15 - 14/12/18 Nominated jointly by the President of the Legislative Council and the Speaker of the Legislative Assembly.

ANNUAL REPORT 2015/2016 75 CORPORATE OVERVIEW

Board meetings Office of Finance and Services Audit and Risk Committee The Board meets every two months. Six State Records is a member of the Office of meetings were held in 2015-16. Finance and Services Audit and Risk Committee. Geoff Hinchcliffe attended six Board meetings. Managers attended meetings for agenda items Oversight by Minister related specifically to their areas of State Records is subject to the direction and responsibility. control of the Minister responsible for the State Records Act 1998, except in relation to approving MEMBER ATTENDED ELIGIBLE the disposal of records. The responsible Minister is Minister for Finance, Services and Property Ms Fiona Cushing 5 6 the Hon. Dominic Perrottet MP.

Dr Rachna Gandhi 3 6

Mr Jeff Greenwood 6 6

Ms Anne Henderson 6 6

Mr Anthony Lean 3 3

Ms Veronica Lee 2 2

Hon Robert Macfarlan 4 6

Mr Scott Nash 1 1

Hon Dr Peter Phelps MLC 6 6

Mr Rodney Wallis 3 3

TABLE 25 - Board attendance. FIGURE 67: The State Records Board Chair, Ms Anne Henderson AM, (centre) one of her many visits to the Western Sydney Records Centre, with Jenni Stapleton, Brian Astruc and Robert Dooley.

FIGURE 68: Arrival of “Waratahs”, Mr Holman under umbrella, 17/12/1915 - Digital ID: NRS4481_MS3658P. Series: NRS 4481 Government Printing Office glass plate negatives. This was digitised as part of State Records NSW Centenary of ANZAC commemorations.

76 STATE RECORDS AUTHORITY OF NEW SOUTH WALES CLIENT AND STAKEHOLDER RELATIONSHIPS

State Records values ongoing, respectful • Sonya Sherman, Principal Policy Officer relationships with our clients and stakeholders, Information, ICT Policy, Office of Finance and and their diverse backgrounds and interests. Services We consider the needs of our clients and • Stephen Smith, Records Manager stakeholders in decision-making and in setting Information Services, Office of Finance and business directions. We provide information to Services clients and stakeholders about our services and activities, and any changes to these, and seek • Robert Sparshott, Information Services advice, suggestions and feedback. Leader, Sydney Water • Jonathan Summers, Manager Information Advisory committees Communications and Technology, Public Works, Office of Finance and Services State Records convenes two standing advisory • Catherine Sykes, Records Manager, committees. The committees comprise Transport of NSW representatives from our public sector and public clients and stakeholders. Community Advisory Digital Records Advisory Group Committee This committee held two meetings in 2015-16. Members during year: The Community Advisory Committee did • Mitya Antoncic, Business Manager, not meet in 2015-16 due to the absence of a EDRM, Department of Premier and Cabinet Manager for the Public Access Program. The • Abdalla Eissa, Leader Records and position was rotated through a number of State Information Management, Department of Records senior staff during the period prior to the Education and Communities sign-off on a new structure for State Records which will be finalised in 2016-17. As at 30 June • Paul Elliott, Chief Archivist, Transport for 2015, the Community Advisory Committee NSW Members were: • Susan Fletcher, Manager Business • John Bayliss, Director, Macquarie Regional Documentation, City of Sydney Library • David Griffiths, ICT Risk, Policies and • Dr Michael Bennett, Professional Historians Standards Officer, Office of Finance and Association (NSW & ACT) Services • Dr David Carment, Australian Historical • André Jenkins, Director Information Association Management, Clinical Excellence • Heather Garnsey, Society of Australian Commission Genealogists • Peter Konstantin, Manager Information • Paul Kiem, History Teachers Association Management Centre, Sydney Water • Carol Liston, Associate Professor, School • Tim Robinson, Manager Archives and of Cultural Histories and Futures, Western Records Management Services, University of Sydney University Sydney • Craig Mackey, railway historian

ANNUAL REPORT 2015/2016 77 CORPORATE OVERVIEW

• Virginia Macleod, professional historian • Dr Perry McIntyre, professional genealogist ADVISORY COMMITTEES and historian AT A GLANCE: • Dr David Roberts, Editor, Journal of Australian Colonial History, University of New + State Records convenes two England standing advisory committees • Richard Shapter, Heritage Office, NSW representing our public sector and Department of Planning public clients and stakeholders. • Christine Yeats, Senior Vice President, Royal Australian Historical Society + Digital Records Advisory Group Meetings are held quarterly and Community Advisory Committee meetings twice a year. Stakeholder groups

State Records takes a consultative approach Handling complaints and suggestions to developing new products for NSW public State Records provides a suggestion box and offices. accepts feedback on its services as part of our Participation on client and stakeholder guarantee for public oriented services. Feedback can be provided directly to reading room staff, committees or by post or email. State Records’ staff are actively involved with client and stakeholder organisations Publication of information for the public through participation on governing bodies and State Records provides extensive information committees. Full details of staff participation to the public through our website www.records. on client and stakeholder committees can be nsw.gov.au and print publications. Most of our found in the Activity Report 2015-16, which publications are guides and indexes aimed at is accessible via the State Records’ website helping the public understand and use the State (www.records.nsw.gov.au). archives collection.

FIGURE 69: Group portrait of those attending the Interstate conference of fire insurance companies. No names recorded. Dated: 1900 Digital ID: NRS15454_4_43 X5070_17. Series: NRS 15454 Photographs of fire brigade staff, Board members and Sydney fire scenes.

78 STATE RECORDS AUTHORITY OF NEW SOUTH WALES CLIENT AND STAKEHOLDER RELATIONSHIPS

Publications relating to our functions and activities cover: • where to access State archives, and rights of access and publication; • contact details and addresses; • services (handling enquiries, copying) and service guarantees; • reading room procedures and rules; • becoming a volunteer; • making donations and bequests; and • our activities program.

Hosted websites In addition to its own websites, State Records hosts sites on behalf of other parties. The website of the Council of Australasian Archives and Records Authorities (CAARA), of which the Director is currently the Chairman, has been hosted since 2001. Since 2009, State Records has been hosting a site to support the Soldier Settlement Project. This undertaking is an ARC Linkage Project involving Monash University, the University of New England, the Department of Veterans’ Affairs and State Records.

GUARANTEES OF SERVICE:

+ Provision of assistance relating to + Respond to enquiries within 20 physical disabilities and language working days. needs when visiting our reading rooms. + Completion of requests to copy original material in reading rooms + Provision of expert and professional within 30 minutes (less than 20 advice on research. pages) or 3 days (over 20 pages). + Delivery of original records (except + Completion of requests to copy large probate packets) within 30 minutes format material in reading room of request. within 5 days. + Delivery of probate packets within 30 + Completion of requests for minutes of set delivery times. digitisation of materials within 20 days (up to 20 pages). + Assistance with identifying sources and availability of archival material. + Completion of requests for copies ordered online within 20 working + Assistance with validating days. personal information for rights and entitlements. + Completion of requests to purchase publications within 20 days. + Assistance with confirming correct citations when publishing State + Provision of accurate and timely archives. information on our website

ANNUAL REPORT 2015/2016 79 CORPORATE OVERVIEW

FIGURE 70: Visitors at the entrance gates, Taronga Zoological Park, Government Printing Office glass plate negatives, NRS4481 ST5936P.

ORGANISATION STRUCTURE

Senior staff (as at 30 June 2016)

Director Managers Mr Geoff Hinchliffe, MBA, BSc. Comp Science Ms Wendy Gallagher, BSc (Hons), (Hons) GradDipArch (Lib&InfoSc), A/Manager, Archives Control Deputy Director Ms Catherine Robinson, BA (Hons), Dip Ms Jennifer Stapleton, BA, DipArchAdmin, Arch.Admin, MIM (Records&Archives), DipManagement. Acting Manager Government A/Manager, GRR Recordkeeping Mr Ben Alexander Mr David Thornell, Manager, Information and Communications Finance Manager Dr Richard Lehane, BA (Hons), MARM, Mr Brian Astruc, CPA, Australia; BBus, Ph.D. (History), Manager, Digital Archives Accounting; BCom, Marketing; Training and Assessment Cert IV Ms Sally Irvine-Smith, BA (Hons), MA IKM, GradDip IM, GradDip, BCom, Manager, Executive Officer Systems Control Ms Anna Bartosiak Ms Patricia Proctor, Manager, Customer Service Executive Project Officer Mr. Mathew Thompson, A/Operations Manager GRR Ms Kerrianne Dimitrievski

80 STATE RECORDS AUTHORITY OF NEW SOUTH WALES ORGANISATION STRUCTURE

Department of Finance, Services Board and Innovation

Executive Director Unit

Manager Manager Manager Deputy Government Information and Finance Director Records Communications Repository

Manager Manager Manager Manager Project Manager Manager Manager Digital Government Archives Systems Manager Public Access Customer Service Operations Archives Recordkeeping Control Control

Regulation, Documenting, Digital Reference Guidance & Storing, Archives Services & Storing Non-Current Records Promoting Preserving the Project Outreach Best Practice archives

Corporate Corporate Finance Information & Resources and Communications Facilities Key

RSP Support Executive Managers Service Project Services Groups

State Records Authority of New South Wales Organisation Chart

ANNUAL REPORT 2015/2016 81 CORPORATE OVERVIEW

FIGURE 71: Believed to be NSW volunteers Easter Encampment at Windsor April 1884 - Soldier and family in front of tent. Dated: April 1884. Digital ID: NRS4481[4-8664]_1607.

82 STATE RECORDS AUTHORITY OF NEW SOUTH WALES INTERNAL COMMITTEES

INTERNAL COMMITTEES

Executive Committee Work Health and Safety

The Executive meets each week to maintain a Committee strategic view of operations, monitor progress The Work Health and Safety Committee towards corporate goals across programs, and comprised staff representatives from our review and approve major policies and initiatives. two locations, the WHS Coordinator, and two The Executive consists of the Director, Deputy management representatives. Director, Manager GRR and Finance Manager.

Management Committee Program Governance Board The Program Governance Board meets every The Management Committee meets every two weeks to review progress with the month to set operational policy, assess strategic implementation of identified projects, such as directions and ensure a coordinated approach to the Asset Renewal Program. The Board consists the provision of services across the organisation. of the Director, Deputy Director and relevant The committee consisted of the Director, Deputy Managers. The Executive Project Officer Director and Managers. The Executive Officer provides secretarial support. provides secretarial support.

Information Communications Emergency Planning and Technology (ICT) Committee Steering Committee The Emergency Planning Committee meets every month to review operational activities, The ICT Steering Committee provides strategic assess strategic directions, monitor risks and oversight of corporate level ICT strategies and ensure a coordinated approach to the provision plans to ensure the cost effective application of security services, emergency planning and and management of ICT systems and resources control across the organisation. The committee throughout State Records. It also monitors and consists of the Deputy Director, the Manager evaluates ICT projects and achievements against ACM, the Facilities Manager and the Work both the ICT Strategic Plan and approved key Health and Safety Coordinator. result areas. The committee comprises the Director, Manager Information and Communications, Manager GRR, Manager Archives Control and Manager Digital Archives. The CIO of the Office of Finance, Services and Innovation has a standing invitation to attend meetings.

ANNUAL REPORT 2015/2016 83 CORPORATE OVERVIEW

REPRESENTATION ON EXTERNAL COMMITTEES

Geoff Hinchcliffe Angela McGing • Department of Finance, Services and Innovation • Australian Society of Archivists, Professional (DFSI) – Related Entities, Audit and Risk Committee Membership Committee – Member • Council of Australasian Archives and Records • Australian Society of Archivists – Membership Officer Authorities (CAARA) – Chairman • OFS, Human Capital Management System, Steering Janette Pelosi Committee – Member • CAARA, Public Access working group – Convenor • Centenary of ANZAC Commemoration Program • Centenary of ANZAC Commemoration program Interdepartmental Committee – Member Inter-Departmental Committee – Member • Galleries, Archives, Libraries and Museums (GLAM), • Society of Australian Genealogists – Director Digital Access Working Group – Member • Society of Australian Genealogists, Croker Prize • Family and Community Services – OneTRIM Project Committee – Convenor Amanda Barber • Society of Australian Genealogists, Diploma and Certificate Committee – Member • Standards Australia IT/21 Records Management Committee – Member Catherine Robinson • NSW Government Enabling Information Sharing • Standards Australia IT21/05 sub-committee on Working group – Member Management Systems for Records – Member Peter Bisley • Australian Society of Archivists – representative on Blue Shield Australia • NSW Government Information Management Community of Expertise – Member • Australian Society of Archivists – Convenor of Government Special Interest Group • CAARA – Australasian Digital Recordkeeping Initiative (ADRI) – Member • Australian Society of Archivists 2016 Conference Committee Emma Harris Jenni Stapleton • NSW Government Information Management Community of Expertise – Member • NSW Government Enabling Information Sharing Working group – Member Warwick Hunter • History Council of New South Wales – Member, • CAARA Public Access working group – Member General Council

Sally Irvine-Smith David Thornell • Department of Family and Community Services, • DFSI Information and Records Management oneTRIM Business Advisory Group – Member Network – Member • Office of Finance, Services and Innovation, Business • DFSI Business Continuity Management Working Continuity Management Working Group – Member Group – Member • NSW Government Information Security Community Dr Richard Lehane of Practice – Member • Australian Society of Archivists – NSW Branch • NSW Government Enterprise Architect Community Secretary of Practice – Member • Australian Society of Archivists, Archives and • NSW Government Community of Change Manuscripts Editorial Board – Assistant Editor Professionals – Member and Member

84 STATE RECORDS AUTHORITY OF NEW SOUTH WALES PLACEMENTS AND VISITS

FIGURE 72: Dayangku Horiah from Sarawak State Library & State Archives in Malaysia with State Records staff.

PLACEMENTS AND VISITS

State Records offer placements and visits to tertiary students and volunteers from museums receiving skills development grants from Museums & Galleries NSW to host occasional visits from Archives from other jurisdictions. During 2015-2016, State Records hosted a number of international visitors: • Ms Dayangku Horiah from the Sarawak State Library & State Archives in Malaysia visited State Records from 26 October to 11 December 2015 in order to gain an understanding of the operations of State Records. During her visit, Ms Horiah spent time with the Public Access, Archives Control and Government Recordkeeping teams learning about the work of each team. • Mr Joel Perez from the Office of Management and Budget in the Republic of the Philippines visited State Records in June 2016. This was an academic placement organised by the Graduate School of Government at the University of Sydney. Mr Perez was hosted by the Government Recordkeeping team and the placement focused on discussions on the importance of good records management for accountability and open government.

ANNUAL REPORT 2015/2016 85 CORPORATE OVERVIEW

FIGURE 73: Pitt Street near Market Street, Sydney, [no date], Government Printing Office glass plate negatives, NRS4481 MS2766P.

FIGURE 74: Pitt Street, near Central Railway,[no date], Government Printing Office glass plate negatives, NRS4481 Neg 051654.

86 STATE RECORDS AUTHORITY OF NEW SOUTH WALES GOVERNANCE & ACCOUNTABILITY

+ STRATEGIC PLANNING AND REPORTING + MANAGING RISKS + INTERNAL AUDIT AND RISK MANAGEMENT ATTESTATION STATEMENT + MANAGING OUR PEOPLE + PUBLIC INTEREST DISCLOSURES (PID) ACT 1994 + GOVERNMENT INFORMATION (PUBLIC ACCESS) ACT 2009 + DIGITAL INFORMATION SECURITY ATTESTATION STATEMENT + MANAGING OUR PHYSICAL ASSETS + INDEPENDENT AUDITOR’S REPORT + MANAGING OUR FINANCES

ANNUAL REPORT 2015/2016 87 GOVERNANCE & ACCOUNTABILITY

STRATEGIC PLANNING AND REPORTING

State Records’ strategic focus during the year Social responsibility plans was on consolidating long standing goals and State Records supports the Government’s meeting continued demand for our services social responsibility commitments in relation to from the public and the public sector. culturally diverse communities, people with disabilities, women and Indigenous people. Strategic plan Broadly speaking, our plans and strategies are State Records Strategic Plan 2011-2014 was now aligned with those of the Department of based around five Key Results Areas (KRAs). In Finance, Services and Innovation. 2015 State Records has commenced a ‘back to basics’ review to assist with the development of Multicultural Department Policies and a new strategic plan for the coming 5 years. Services Program This review is looking to the core functions set State Records supports the Government’s out in the State Records Act, as delineated in social responsibility commitments in relation to the second reading of the Act in Parliament, to culturally and linguistically diverse communities. guide our essential activities and shape how we State Records will continue to update and meet our obligations to the Government, people expand our suite of Archives in Brief relating to and communities of New South Wales. the many national and cultural groups that have made NSW home. Total Asset Management Plan An important component of our strategic Program action plans management is ensuring we maintain and Program areas develop action plans which improve our physical assets and infrastructure identify operational targets and assign to help us achieve positive outcomes for our responsibilities for projects and ongoing work. clients and Government. Management of our properties, ICT infrastructure, plant and accommodation are covered by our Total asset Annual reporting management plan which is revised annually. Our annual report is the primary mechanism by which we account for the past year to Parliament, ICT Strategic Plan central agencies and stakeholders. The ICT Strategic Plan 2012-2015 provides a high We have aimed to focus more on performance level strategic view of ICT core directions across and less on activities. A separate Activity Report eight broad strategies. The Plan focuses on ICT is published on our website. service delivery to support the business, a strong This annual report complies with: ICT governance framework, effective information management and the use of consistent, whole of • Public Finance and Audit Act 1983 and government standards and processes. Regulation 2015 Work commenced in late 2015 on updating • Annual Reports (Statutory Bodies) Act 1984 the Plan. Completion of the updated Plan is and Regulation 2015 dependent on approval of the new State Records • Government Information (Public Access) Strategic Plan 2015-2020, and the DFSI ICT Act 2009 Strategy. Both of these documents are expected to be approved in mid-2016. • Treasury Circulars and Treasurer’s Directions Development and progress of the Plan is reviewed • Premier’s memoranda. and updated by the ICT Steering Committee.

88 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING RISKS

FIGURE 75: NSW Scottish Regiment of the 30th Battalion and the Eighth Infantry Brigade of the First Division preparing for battle manoeuvres near Campbelltown. Dated: November 1936. Digital ID: 17420_a014_a014001339.

MANAGING RISKS

State Records is committed to the maintenance ICT risks identified and rated of a robust risk management regime as part of its strategic operating environment. The Internal Audit Unit (IAU) undertook two Through regular and ongoing application of follow up audits during the year. These were risk management methodologies, comprising the Digital Archives Security Assessment and risk identification, analysis and assessment, the IT Audit Follow-up review. Both reviews we seek to minimise our exposure to were to determine the extent to which unacceptable risks. Management of risks is recommendations raised in earlier IAB audits the responsibility of the executive team and had been implemented. senior managers in conjunction with the Audit and Risk Committee of the Office of Finance The Digital Archives Security Assessment audit and Services. noted that 10 of the 13 recommendations contained in the 2013 Digital Archives Security Assistance is provided by our auditors and Assessment Report had been actioned. The specialist risk assessors. Risk management remaining three recommendations were in the requires the cooperation of all supervisors process of being implemented and evidence and staff. was observed to this effect.

ANNUAL REPORT 2015/2016 89 GOVERNANCE & ACCOUNTABILITY

The IT Audit Follow-up review noted that 21 Insurance premiums and of the 34 recommendations contained in the July 2014 Follow-Up IT Internal Audit Report claims had been actioned and completed. One item was no longer applicable and the remaining 12 State Records pays premiums to the NSW recommendations were in the process of being Treasury Managed Fund for all insurance cover. implemented and evidence to this effect was Premiums are subject to a five year hindsight observer in most cases. adjustment process. State Records has carefully State Records was also included in several minor assessed major risk areas and believes that its audits during the year including: insurance coverage is adequate. • Adobe Licensing Software Asset Ethical conduct Management (SAM) • Microsoft Licensing Software Asset As a government entity, State Records is Management (SAM) potentially exposed to the risk of unethical and corrupt conduct by staff in relation to use • DFSI cluster ICT Strategy and Governance of government information. State Records audit utilises the Department of Finance, Services • DFSI cluster PCI-DSS Compliance audit and Innovation Code of Ethics and Conduct but with an appendix covering matters distinctive to our responsibilities. All new staff are required to read and sign the Code of Ethics Internal Audit and Risk and Conduct. Management Statement A link on our website directs members of the public and staff to the Office of Finance and The Director signed the Internal Audit and Risk Services’ Business Ethics statement. Professional Management Statement on 14 September 2016 archivists working for State Records who are (see pages 91 and 92). The Internal Audit and members of the Australian Society of Archivists Risk Management Statement attests to the fact are also subject to the Society’s Code of Ethics. that the State Records Authority of NSW has complied with core policy requirements in the All State Records Board members are required preceding year. to sign a code of conduct and declaration of interests. State Records adheres to the DFSI Fraud and Corruption Internal Reporting Policy. As required by the policy, the State Records Authority has submitted an Attestation Statement outlining compliance with policy to Treasury.

CATEGORY 2010-11 2011-12 2012-13 2013-14 2014-15 2015-16

Workers’ compensation 180,565 203,415 185,970 151,765 158,078 155,148

Motor Vehicles 16,170 17,650 34,040 34,130 23,811 28,000

Property 38,950 38,490 38,960 45,920 61,990 83,690

Public Liability 1,590 1,330 1,140 1,100 1,100 1,100

Other 670 760 840 900 590 560

TOTAL 237,945 261,645 260,950 233,815 245,569 268,498

TABLE 26 - Insurance premiums paid to Treasury Managed Fund (excl. GST).

90 STATE RECORDS AUTHORITY OF NEW SOUTH WALES INTERNAL AUDIT AND RISK MANAGEMENT ATTESTATION STATEMENT

INTERNAL AUDIT AND RISK MANAGEMENT ATTESTATION STATEMENT

ANNUAL REPORT 2015/2016 91 GOVERNANCE & ACCOUNTABILITY

As required by the policy, the State Records Authority has submitted an Attestation Statement outlining compliance with policy to Treasury.

92 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING OUR PEOPLE

FIGURE 76: Voluntary workers at Soldiers Settlement, Long Bay, [no date], Government Printing Office glass plate negatives, NRS4481 MS5504.

MANAGING OUR PEOPLE

State Records NSW is a business unit of During 2015/16, there were five ongoing NSW Department of Finance, Services and recruitment actions completed. Innovation (DFSI). An average of 114.7 fulltime 7 permanent staff terminated their employment equivalent (FTE) staff were employed at with State Records. 2 were due to retirement, State Records NSW over the year. State 3 to resignation and 2 accepted transfers to Records also engaged 44 volunteers and other NSW Government Departments. some short term contract staff. In addition State Records employed agency Workforce profile staff under the Contingent Workforce contract for various projects. At 30 June 2016 (census date), the number of staff employed at State Records NSW was 125 (or 112.3 FTE). Employment Statistics for State Records (FTE) Overall, there has been a 3.0% decrease in the number of fulltime equivalent employees over 2013 1,2 2014 1,2 2015 1,2 2016 1,2 the last 12 months and a 6.5% decrease over the last 3 years. 120.1 119.6 115.7 112.3

TABLE 27 - Employment Statistics for State Records (FTE). Achievements and highlights Note 1: Full time equivalent staff (excludes chairpersons, casuals, contractor/agency staff, statutory appointments, trustees, council • 46 volunteers worked approximately committee members, staff on secondment to other agencies and 3,633 hours repairing and rehousing staff on long term leave without pay). records; adding 2,866 items to online Note 2: Statistics are based on Workforce Profile census data as at indexes and 3,947 items to Archives 20 June 2013, 19 June 2014, 18 June 2015 and 30 June 2016. Investigator.

ANNUAL REPORT 2015/2016 93 GOVERNANCE & ACCOUNTABILITY

Personnel policies and practices • People and people with different ethnic State Records manages its Departmental backgrounds; employees in accordance with government • Fostering ethical conduct and individual human resource policies. We are progressively performance; implementing policies from the Department of • Enabling staff to develop their skills, Finance, Services and Innovation, including: knowledge and careers; • Equity in employment opportunities; • Providing flexibility in working hours to • Ensuring health and safety at work, return to support work/life balance; and work programs, and providing confidential • Supporting study leave for staff undertaking counselling and advice services; relevant courses. • Embracing diversity and gender balance: for women, people with disabilities, Aboriginal

Workplace Diversity State Records is committed to equity in all aspects of employment.

BENCHMARK 2014 2015 2016 OR TARGET

Women 58.9% 58.6% 57.6% 50%

Aboriginal people and Torres Strait Islanders 0.8% 0.8% 0.8% 2.6%

People whose first language was not English 13.3% 11.8% 12.2% 19.0%

People with a disability 8.6% 9.5% 9.7% N/A

People with a disability requiring work-related adjustment 3.1% 3.1% 3.2% 1.5%

TABLE 28 - Trends in the representation of Workforce Diversity groups.

BENCHMARK 2014 2015 2016 OR TARGET

Women 108 110 110 100

Aboriginal people and Torres Strait Islanders N/A N/A N/A 100

People whose first language was not English N/A N/A N/A 100

People with a disability N/A N/A N/A 100

People with a disability requiring work – related adjustment N/A N/A N/A 100

TABLE 29 - Trends in the distribution of Workforce Diversity Groups.

Note 1: A Distribution Index of 100 indicates that the centre of the distribution of the Workforce Diversity group across salary levels is equivalent to that of other staff. Values less than 100 mean that the Workforce Diversity group tends to be more concentrated at lower salary levels than is the case for other staff. The more pronounced this tendency is, the lower the index will be. In some cases the index may be more than 100, indicating that the Workforce Diversity group is less concentrated at lower salary levels. Note 2: The Distribution Index is not calculated where Workforce Diversity group or non-Workforce Diversity group numbers are less than 20.

94 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING OUR PEOPLE

Diversity and Inclusion Policies and There were no prosecutions under the Work Services Health and Safety Act 2011 in the reporting period. State Records maintained existing strategies All employee nominated members of the HSC for ensuring positive outcomes for staff from have attended training for Health and Safety linguistically and culturally diverse backgrounds, Representatives (HSR’s). staff with a disability and female staff. These included: Healthy Workplace Activities • Monitoring personnel policies and practices The WHS Coordinator actively coordinates to ensure they do not discriminate. activities in the workplace to inform staff about relevant health issues such as Men’s Health, • Ensuring career development opportunities Women’s Health and the promotion of healthy are available for all staff. lifestyle choices. • Provision of a “quiet room” for the purposes of prayer, meditation and breast feeding. Skin Cancer checks State Records is covered by the Department As part of the Cancer Councils Australia’s of Finance, Services and Innovation’s Biggest Morning Tea in May 2016 State Records diversity and inclusion policies and services staff were offered the opportunity to attend a including the Diversity and Inclusion Strategy free skin cancer check organised by an external 2015-2019. This strategy brings together corporate health provider Healthworks. items previously reported under Multicultural The onsite mobile skin cancer clinic performed Policies and Services, Program Plan, Disability skin cancer checks by a doctor trained in the Plan and Action Plan for Women. State Records diagnosis and management of skin cancers. strives to implement key outcomes contained If required a written referral to a GP or Skin Cancer within the Strategy. Clinic was provided to staff. A comprehensive As part of the recognition of our multicultural Corporate Report was provided which gave workforce staff celebrated with a Harmony Day invaluable information pertaining to the overall lunch in March 2016. Staff organised a delicious health status of our staff. lunch with food from all parts of the world. Mental Health First Aid (MHFA) training State Records became one of the first NSW Government agencies to establish a formal Mental Health First Aid programme. State Records has been accredited as a Bronze Skilled Workplace and are listed on the Recognised Workplaces on the webpage of the MHFA Australia website. During March 2016 twelve State Records staff attended onsite training in MHFA. The trainer FIGURE 77: State Records Celebrated Harmony Day 2016 with was an accredited Mental Health First Aid trainer traditional dress and banquet of food. with extensive experience in the field of mental health. The training was well received and all Work Health and Safety (WHS) participants passed the online exam and are State Records is committed to providing staff, now accredited MHFA Officers. contractors, visitors and volunteers with a safe To keep the impetus of the training going the and healthy working environment in order to MHFA Officers meet regularly to discuss ways prevent occupational injuries and illness. State they can highlight the awareness and roles of Records complies with the Work Health and MHFA at State Records. A MHFA launch was Safety Act 2011, the Work Health and Safety organised with a BBQ at WSRC on Tuesday Regulation 2011 and its Codes of Practice. 12 April 2016.

ANNUAL REPORT 2015/2016 95 GOVERNANCE & ACCOUNTABILITY

The MHFA Officers are well aware of the Industrial relations absolute necessity to keep any discussions State Records has an Institutional Consultative with staff confidential and no record is kept of Committee that comprises of Public Service any conversations. MHFA Officers will only give Association (PSA) delegates and management feedback on the number of people who have representatives. approached them for support. Overseas travel During 2015-16 there were no occasions of overseas travel by State Records staff.

Management/staff Communication Senior management communicates to staff about strategic directions, issues affecting the organisation, activities and news through general staff meetings, program area meetings, email, memoranda, and publication of reports on the Intranet. Staff have the opportunity to ask questions and provide feedback at staff meetings or to their supervisor or manager at FIGURE 78: Mental Health First Aid Officer launch BBQ. any time.

Bowel Cancer Awareness Volunteers Program June is Bowel Cancer Awareness Month and as State Records’ had 44 volunteers throughout part of this campaign State Records celebrated the year who provided valuable assistance Red Apple Day on 22 June. Red apples were to help make the State archives collection given out to staff with important information more accessible. They worked on indexing, about the symptoms and signs of bowel cancer conservation and Archives Investigator projects. and the benefit of regular screening. Volunteers are offered a social and educational program of events. They receive recognition Health and Safety Committee for their years and hours of service. Volunteers The Health and Safety Committee (HSC) receive WHS training to minimize workplace comprised staff representatives from our injury. two locations, the WHS Coordinator, and two management representatives. Professional Staff Development The HSC continues to function effectively in Approximately 25% of staff are qualified accordance with its Constitution, role and archivists or have related qualification such as responsibilities. The HSC provides a consultative librarianship. State Records as an organisation, framework so that decision making on health and its professional staff, are active participants and safety reflects the concerns of the whole in the Australian and international recordkeeping workplace. community. State Records is an organisational member of the Australian Society of Archivists, Work Health and Safety Report Records and Information Management Professionals Australasia, and the International 2015-16 Council on Archives. Within available resources, State Records supports professional staff Incidents reported 39 attending and speaking at conferences and New claims 3 seminars, holding positions on councils and committees, and writing for journals. 3 staff TABLE 30 - Occupational health and safety report. were granted study leave to study courses at a tertiary level.

96 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING OUR PEOPLE

Senior Executives

2015 2016 SENIOR EXECUTIVE BAND 1,2 % REPRESENTED BY % REPRESENTED BY FEMALE MALE TOTAL FEMALE MALE TOTAL WOMEN WOMEN

Band 4 (Secretary) - - -

Band 3 (Deputy Secretary) - - -

Band 2 (Executive Director) - - -

Band 1 (Director) 1 2 3 33% 1 1 2 50%

TOTAL 1 2 3 33% 1 1 2 50%

TABLE 31 – 50% of Department senior staff were female in 2016.

2015 2016 SENIOR EXECUTIVE BAND 1,2 RANGE AVERAGE REMUNERATION RANGE AVERAGE REMUNERATION

Band 4 (Secretary) 430,451 – 497,300 - 441,201 – 509,750

Band 3 (Deputy Secretary) 305,401 – 430,450 - 313,051 – 441,200

Band 2 (Executive Director) 242,801 – 305,400 - 248,851 – 313,050

Band 1 (Director) 170,250 – 242,800 165,240 174,500 – 248,850 205,326

TABLE 32 – In 2016, 4.3% of the Department’s employee related expenditure was related to senior executives, compared to 5.73% in 2015 Note 1: Senior Executive statistics exclude casuals, contractor/agency staff, statutory appointments, staff on secondment to other agencies and staff on long term leave without pay. Note 2: Statistics are based on Workforce Profile census data as at 18 June 2015 and 30 June 2016. Note 3: Salary ranges effective at the Workforce Profile census dates of 18 June 2015 and 30 June 2016.

FIGURE 79: State Records Senior Leaders at the Public Interest Disclosures Training day.

ANNUAL REPORT 2015/2016 97 GOVERNANCE & ACCOUNTABILITY

PUBLIC INTEREST DISCLOSURES (PID) ACT 1994

As required under Clause 4(2) of the Public Commentary on PID obligations Interest Disclosures Regulation 2011, State For the period July 2015 to June 2016, no State Records provides the following information in Records Authority of NSW officials made public relation to Public Interest Disclosures (PIDs): interest disclosures. One PID was received with regard to another Statistical information on PIDs Agency and it was referred back to that Agency. JULY 2015- As staff are employees of the Department of JUNE 2016 Finance, Services and Innovation, the State Number of public officials who made PIDs 0 Records Authority of NSW are covered by the Number of PIDs received 1 OFS Fraud and Corruption Internal Reporting Of PIDs received, number primarily about: 0 Policy. Corrupt conduct 0 Staff have undertaken training in the application Maladministration 0 of this Policy. Serious and substantial waste 0 Government information contravention 1 Local government pecuniary 0 interest contravention Number of PIDs finalised 0

TABLE 33 - Statistical information on PIDs.

98 STATE RECORDS AUTHORITY OF NEW SOUTH WALES GOVERNMENT INFORMATION (PUBLIC ACCESS) ACT (GIPA) 2009

GOVERNMENT INFORMATION (PUBLIC ACCESS) ACT (GIPA) 2009

The State Records Authority of NSW complies with the obligations under the Government Information (Public Access) Act 2009 (the GIPA Act or GIPA). The GIPA Act replaced the Freedom of Information Act 1989 on 1 July 2010. Our Right to Information Officer provides advice about what can and cannot be released under the GIPA Act. In 2015-16 we: • received 8 GIPA applications in which 6 were referred to other government departments. • published and updated relevant policies on our website as part of a legislative review. • reviewed our website and updated relevant public access information. No GIPA access applications were refused, either wholly or in part.

Table A: Number of applications by type of applicant and outcome

REFUSE TO ACCESS CONFIRM/ GRANTED ACCESS INFORMATION REFUSE TO DENY WHETHER IN FULL OR REFUSED INFORMATION ALREADY DEAL WITH INFORMATION APPLICATION IN PART IN FULL NOT HELD AVAILABLE APPLICATION IS HELD WITHDRAWN

Media 0 000000

Members of 0000000 Parliament

Private sector 0000000 business

Not for profit 0000000 organisations or community groups

Members of 0020000 the public (application by legal rep)

Members of 1041000 the public (other)

Total 1 061000

* More than one decision can be made in respect of a particular access application. If so, a recording must be made in relation to each such decision.

ANNUAL REPORT 2015/2016 99 GOVERNANCE & ACCOUNTABILITY

Table B: Number of applications by type of application and outcome

REFUSE TO ACCESS CONFIRM/ GRANTED IN ACCESS INFORMATION REFUSE TO DENY WHETHER FULL OR REFUSED INFORMATION ALREADY DEAL WITH INFORMATION APPLICATION IN PART IN FULL NOT HELD AVAILABLE APPLICATION IS HELD WITHDRAWN

Personal 0040000 information applications

Access 1011000 applications (other than personal)

Access 0010000 applications that are partly personal information applications and party other

TOTAL1061000

* A personal information application is an access application for personal information (as defined in clause 4 of Schedule 4 to the Act) about the applicant (the applicant being an individual).

Table C: Invalid applications Table D: Conclusive presumption disclosure: matters listed in Schedule 1 NO OF REASON FOR INVALIDITY APPLICATIONS NUMBER OF TIMES Application does not comply with formal 0 CONSIDERATION USED* requirements (section 41 of the Act) Overriding secrecy laws 0 Application is for excluded information 0 of the agency (section 43 of the Act) Cabinet information 0

Application contravenes restraint order 0 Executive Council information 0 (section 110 of the Act) Contempt 0 Total number of invalid applications 0 received Legal professional privilege 0

Invalid applications that subsequently 0 Excluded information 0 became valid applications Documents affecting law 0 enforcement and public safety

Transport safety 0

Adoption 0

Care and protection of children 0

Ministerial Code of Conduct 0

Aboriginal and environmental 0 heritage

* More than one public interest consideration may apply in relation to a particular access application and, if so, each such consideration is to be recorded (but only once per application).

100 STATE RECORDS AUTHORITY OF NEW SOUTH WALES GOVERNMENT INFORMATION (PUBLIC ACCESS) ACT (GIPA) 2009

Table E: Other public interest Table G: Number of applications considerations against disclosure: matters reviewed under Part 5 of the Act listed in table to section 14 of the Act DECISION DECISION TOTAL NUMBER OF VARIED UPHELD OCCASIONS WHEN Internal review 0 0 0 APPLICATION NOT SUCCESSFUL Review by 000 Information Responsible and effective 0 Commissioner* government Internal review 000 Law enforcement and security 0 following recommendation Individual rights, judicial 0 under section processes and natural justice 93 of Act

Business interests of agencies 0 Review by 000 and other persons Administrative Decisions Tribunal Environment, culture, economy 0 and general matters TOTAL 0 0 0

Secrecy provisions 0 * The Information Commissioner does not have the authority to vary decisions, but can make recommendations to the original Exempt documents under 0 decision-maker. interstate Freedom of Information legislation

Table F: Timeliness Table H: Applications for review under Part 5 of the Act NUMBER OF APPLICATIONS NUMBER OF Decided within the statutory 8 APPLICATIONS timeframe (20 days plus any FOR REVIEW extensions) Applications by access applicants 0 Decided after 35 days (by 0 agreement with applicant) Applications by persons to whom 0 information the subject of access Not decided within time 0 application relates (see section 54 (deemed refusal) of the Act)

TOTAL 8 TOTAL 0

Table I: Applications transferred to other agencies under Division 2 of Part 4 of the Act (by type of transfer)

JULY 2015 - JUNE 2016

Agency-initiated transfers 6

Applicant initiated transfers 0

TOTAL 6

ANNUAL REPORT 2015/2016 101 GOVERNANCE & ACCOUNTABILITY

DIGITAL INFORMATION SECURITY ANNUAL ATTESTATION STATEMENT

Digital Information Security Annual Attestation Statement for the 2015-2016 Financial Year for the State Records Authority of New South Wales

I, Geoff Hinchcliffe am of the opinion that the State Records Authority of New South Wales had an Information Security Management System in place during the 2015- 2016 financial year that is consistent with the Core Requirements set out in the NSW Government Digital Information Security Policy. The controls in place to mitigate identified risks to the digital information and digital information systems of the State Records Authority of New South Wales are adequate. An independent audit carried out during the year identified areas requiring remediation taking into account the increase in DISP requirement criteria since the last review. The audit also provided recommendations to address these areas. Actions to address the recommendations is ongoing with remaining issues to be closed by 30 April 2017. Risks to the digital information and digital information system of the State Records Authority of New South Wales have been assessed with an independent ISMS being developed in accordance with the NSW Government Digital Information Security Policy.

GEOFF HINCHCLIFFE Director, State Records Authority of New South Wales

102 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING OUR PHYSICAL ASSETS

FIGURE 80: The old Western Sydney Records Centre, Government Records Repository transporting boxes for destruction, est 1978.

MANAGING OUR PHYSICAL ASSETS

State Records has net assets worth $987.3 located on 12 hectares of land at Kingswood. million. This includes the State archives The complex includes 474 kilometres of purpose collection and property assets, mainly at built storage space for archival and non-current Kingswood. Additional newly accessioned State records, conservation facilities, offices, training archives recognised in the current year were facilities and a public reading room. State valued at $17.5 million. This means the value Records business unit, the Government Records of the State archives collection increased from Repository (GRR), also leases six off-site storage $904.4 million to $921.9 million during the year. facilities in Western Sydney, totalling 216 linear kilometres of additional capacity. Total Asset Management A capital works allocation from NSW Treasury State Records’ Total asset management plan of $908,000 was granted for projects and the addresses asset and infrastructure maintenance improvement to the ageing buildings at the and disposal, capital investment, and office Kingswood site. In addition to the Treasury accommodation and is aligned to our Strategic allocation, State Records contributed $2.3 Plan. million to the emergency digitisation of at risk archives and $0.5 million towards additional State Records owns the Western Sydney Records minor capital works. Centre repositories and services buildings

ANNUAL REPORT 2015/2016 103 GOVERNANCE & ACCOUNTABILITY

FIGURE 81: New installation of one of the Government Records Repository’s off site repositories.

Land disposal our program to replace older fluorescent light In 2014-15, 8 hectares of land, or nearly half of fittings with new energy efficient LED lights. the State Records’ site at Kingswood, was sold Equipment requiring repair or maintenance under tender by Government Property NSW is updated with energy efficient products, on behalf of the State Government. Proceeds equipment and appliances. from the sale were received in July 2015 at which point $9.5 million was transferred to the Government energy management Authority’s accounts. This has reduced State policy Records’ site from 20 hectares to 12 hectares. State Records continues to aim for reductions in energy consumption to support the National Energy and Sustainability Greenhouse Strategy. The Western Sydney State Records continues to make ongoing Records Centre comprises buildings and savings in energy consumption through focusing equipment of different ages. Energy saving on upgrading our facilities to make them more measures are incorporated when buildings energy efficient. In 2015-16 we continued to and equipment are upgraded. State Records’ focus on ways to lower our gas and electricity electricity supply, provided under the NSW usage by targeted improvements to lighting and Government Electricity Supply Contract, air-conditioning systems. We have continued includes a minimum of 6% Green Power.

2011-12 2012-13 2013-14 2014-15 2015-16

Electricity (kwh) 2,811,488 2,811,488 2,761,584 2,937,637 2,921,112 2,761,584

Green Electricity (kwh) 179,458 179,458 168,148 187,509 186,454

Gas, natural (mj) 7,558,935 7,558,935 6,559,018 7,740,852 7,087,932 6,559,018

TABLE 34 - Energy consumption.

104 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING OUR FINANCES

MANAGING OUR FINANCES

State Records’ financial statements were relocation projects, a fee for service revenue prepared on an accrual accounting basis for generating activity. The corporate cost allocation the year ended 30 June 2016. The financial charged by the Department of Finance Services position of the Government Records Repository and Innovation was $1,253,000 this year. is reported in the ‘Performance and outlook’ section. Consultants Under the guidance of DPC Guideline C2004- Revenue increased 17 “For the purposes of these guidelines a The new State archives for the year have Consultant is a person or organisation engaged been valued to contribute $17,489,000 to under contract on a temporary basis to provide Other Revenue, which is non-cash generating recommendations or high level specialist or revenue. Again this year the revenue raised by professional advice to assist decision-making by State Records through consultancy and storage management. Generally it is the advisory nature services provided by the Government Records of the work that differentiates a Consultant from Repository (GRR) increased. Revenue from other contractors.” Two strategic business cases other services (including product and publication were prepared with expert advice provided sales, and destruction) contributed to this year’s by Hawkless Consulting on capital projects to cash generating revenue. deliver on State Records statutory obligations in future years, costing $50,000. During the year Expenditure categories shows some State Records engaged consultants Deloittes to fluctuation assist with the valuation of the State “archive, costings” $58,269. A strategic review of the Percentage of expenditure under various GRR and its contribution to the State Records categories has remained fairly constant over the was undertaken by Sandwalk Partners past five years. Increases in some costs have amounting to $103,050. An additional $52,449 occurred including contractors by $3,297,000 was spent on other consulting services. engaged to work on data entry and box

Gross revenue raised ($’000)

2011-12 2012-13 2013-14 2014-15 2015-16

Total Consolidated Funds programs* 388 274 628 469 323

Government Records Repository 14,671 15,175 15,822 15,740 19,476 services

TOTAL REVENUE 15,059 15,449 16,450 16,209 19,799

TABLE 35 - Gross Revenue Raised. * Total consolidated funds program gross revenue excludes Recurrent Grants, Crown Assumed Liabilities and Other Revenue

ANNUAL REPORT 2015/2016 105 GOVERNANCE & ACCOUNTABILITY

Expenditure by categories (%) 2011-12 2012-13 2013-14 2014-15 2015-16

Salaries and allowances 65 65 64 60 48

Rental and cleaning 86622

Stores 1 1 - - -

Printing and publications - - - 1 1

Gas and electricity 33332

Other 23 25 24 29 42

Corporate Costs Allocation 00355

TOTAL EXPENDITURE 100 100 100 100 100

TABLE 36 - Expenditure by categories.

Credit card certification Creditor payments and ageing No unexplained irregularities in the use of State Records payment target is to pay at least corporate credit cards have been recorded 90% of accounts by the due date or within less during the year. The Director certifies that credit than thirty days depending on the terms of card use has been in accordance with Premier’s supply. This was achieved within the year. Memoranda and Treasurer’s Directions.

Personnel related costs In 2015-16 the continuation of the Digital State Archive project was self-funded, staffing five employees. The table below includes all personnel costs of State Records and excludes contractors. 2011-12 2012-13 2013-14 2014-15 2015-16

Salaries, wages, national wage 10,664 9,441 8,988 9,256 9,547

Leave on Termination - Provision (648) (284) 189 91 167

Overtime 191 176 157 141 138

Workers’ compensation 203 186 152 158 157

Payroll Tax 580 571 555 563 558

Superannuation 923 778 819 834 852

Fringe Benefits Tax 18 20 18 20 19

TOTAL 11,592 11,931 10,888 11,063 11,438

TABLE 37 - Personnel related cost.

106 STATE RECORDS AUTHORITY OF NEW SOUTH WALES MANAGING OUR FINANCES

Annual Reporting Payment of Accounts CURRENT LESS THAN BETWEEN 61 AND MORE THAN (I.E. WITHIN DUE 30 DAYS OVERDUE 90 DAYS OVERDUE 90 DAYS OVERDUE ALL SUPPLIERS DATE) $’000 $’000 $’000 $’000

September 3,985 174 - -

December 3,054 182 - -

March 3,444 63 - -

June 5,437 1 - -

CURRENT LESS THAN BETWEEN 61 AND MORE THAN (I.E. WITHIN DUE 30 DAYS OVERDUE 90 DAYS OVERDUE 90 DAYS OVERDUE SMALL BUSINESS SUPPLIERS DATE) $’000 $’000 $’000 $’000 September 1 - - -

December ----

March ----

June 1 - - -

TABLE 38 - Aged analysis at the end of each quarter.

Accounts due or paid within each quarter ALL SUPPLIERS JUL-SEP 2015 OCT-DEC 2015 JAN-MAR 2016 APR-JUN 2016

Number of accounts due for payment 907 757 868 1,110

Number of accounts paid on time 879 751 854 1,107

Actual percentage of accounts paid on time 97% 99% 98% 100.0% (based on number of accounts)

Dollar amount of accounts due for payment $’000 4,160 3,236 3,507 5,437

Dollar amount of accounts paid on time (based on $) 3,985 3,054 3,444 5,437

Actual percentage of accounts paid on time 96% 94% 98% 100.0% (based on number of accounts)

Number of payments for interest on overdue accounts ----

Interest paid on overdue accounts ---- SMALL BUSINESS SUPPLIERS

Number of accounts due for payment to small businesses 1 - - 1

Number of accounts due to small businesses paid on time 1 - - 1

Actual percentage of small business accounts paid on time 100% 0% 0% 100% (based on number of accounts) Dollar amount of accounts due for payment to small 1- -1 businesses $’000 Dollar amount of accounts due to small businesses 1 - - 1 paid on time (based on $)

Actual percentage of small business accounts paid on time 100% 0% 0% 100% (based on $)

Number of payments to small business for interest ----

Interest paid to small businesses on overdue accounts ----

TABLE 39 - Aged analysis at the end of each quarter During the year from all the number of accounts due there were no instances leading to penalty interest payments being made on overdue accounts to any small business suppliers.

ANNUAL REPORT 2015/2016 107 FIGURE 82: Third Anniversary of the Declaration of War, 1917, from NRS 12060 [9/4792 letter B18/2430].

Public meetings at local and shire councils were held to confirm support for the war, with the passing of a patriotic resolution to uphold the ‘ideals of Liberty and Justice which are the common and sacred cause of the Allies’. Government offices, trains and trams throughout the State stopped work at 10 am on 5 August commencing 1915, to coincide with the anniversary of the declaration of war in England at midnight on 4 August. For the third anniversary of the commemoration of commencement of war in 1917, a flyer was published in Britain. The flyer included the a pledge to be given across the Empire, as well as a graphic portrayal of St George slaying the dragon, which acted as a symbol of the Allies winning the war.

108 STATE RECORDS AUTHORITY OF NEW SOUTH WALES FINANCIAL REPORT + INDEPENDENT AUDITOR’S REPORT + FINANCIAL STATEMENTS

ANNUAL REPORT 2015/2016 109 FINANCIAL REPORT

110 STATE RECORDS AUTHORITY OF NEW SOUTH WALES INDEPENDENT AUDITOR’S REPORT

ANNUAL REPORT 2015/2016 111 112 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Statement of comprehensive income for the year ended 30 June 2016

Actual Budget Actual 2016 2016 2015 Notes $'000 $'000 $'000

Expenses excluding losses Operating expenses Personnel services expense 2(a) 12,381 12,266 15,023 Other operating expenses 2(b) 10,181 4,977 7,268 Depreciation and amortisation 2(c) 3,263 3,192 3,010

Total Expenses excluding losses 25,825 20,435 25,301

Revenue Sale of goods and services 3(a) 19,799 15,458 16,209 Investment revenue 3(b) 46 - 244 Grants and contributions 3(c), 5 908 3,775 7,537 Other revenue 3(d) 17,489 2,000 25,767

Total Revenue 38,242 21,233 49,757

Gain / (loss) on disposal 4 (8) - 3,556

Net result 12,409 798 28,012

Other comprehensive income Items that will not be reclassified to net result Net increase in property, plant and equipment revaluation surplus 91,000 - -

Total other comprehensive income 1,000 - -

TOTAL COMPREHENSIVE INCOME 13,409 798 28,012

The accompanying notes form part of these financial statements.

ANNUAL REPORT 2015/2016 113 State Records Authority of New South Wales Statement of financial position as at 30 June 2016

Notes Actual Budget Actual 2016 2016 2015 $'000 $'000 $'000

ASSETS

Current Assets Cash and cash equivalents 6 14,890 14,885 10,616 Receivables 7 2,860 2,691 11,633 Inventories 8 19 27 32 Total Current Assets 17,769 17,603 22,281

Non-Current Assets Property, plant and equipment 9, 11 - Land 7,500 6,500 6,500 - Buildings and improvements 36,750 41,138 38,542 - Plant and equipment 1,082 1,195 501 - Shelving 5,992 6,619 6,409 - Computer equipment 1,071 1,183 692 - State archives 921,902 885,527 904,399 Total property, plant and equipment 974,297 942,162 957,043

Intangible assets 10 - Collection 1,248 - - - Software 884 29 424 Total Intangible assets 2,132 29 424

Total Non-Current Assets 976,429 942,191 957,467

Total Assets 994,198 959,794 979,748

LIABILITIES

Current Liabilities Payables 12 6,797 5,643 5,756 Total Current Liabilities 6,797 5,643 5,756

Non-Current Liabilities Provisions 13 96 91 96 Total Non-Current Liabilities 96 91 96

Total Liabilities 6,893 5,734 5,852

Net Assets 987,305 954,060 973,896

EQUITY Reserves 849,643 848,643 848,643 Accumulated funds 137,662 105,417 125,253 Total Equity 987,305 954,060 973,896

The accompanying notes form part of these financial statements.

114 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Statement of changes in equity for the year ended 30 June 2016

Asset Accumulated Revaluation Funds Surplus Total Notes $'000 $'000 $'000

Balance at 1 July 2015 125,253 848,643 973,896

Net result for the year 12,409 - 12,409 Other comprehensive income: Net increase / (decrease) in property, plant 9 and equipment - 1,000 1,000

Total other comprehensive income - 1,000 1,000

Total comprehensive income for the year 12,409 1,000 13,409

Balance at 30 June 2016 137,662 849,643 987,305

Balance at 1 July 2014 97,241 848,643 945,884

Net result for the year 28,012 - 28,012

Other comprehensive income: Net increase / (decrease) in property, plant 9 and equipment - - -

Total other comprehensive income - - -

Total comprehensive income for the year 28,012 - 28,012

Balance at 30 June 2015 125,253 848,643 973,896

The accompanying notes form part of these financial statements.

ANNUAL REPORT 2015/2016 115 State Records Authority of New South Wales Statement of cash flows for the year ended 30 June 2016

Actual Budget Actual 2016 2016 2015 Notes $'000 $'000 $'000 CASH FLOWS FROM OPERATING ACTIVITIES Payments Personnel services expense 12,334 12,266 17,260 Other 8,867 5,148 6,620 Total Payments 21,201 17,414 23,880

Receipts Sale of goods and services 19,510 15,841 19,556 Interest received 163 - 234 Grants and contributions 3(c) 908 3,775 7,537 Total Receipts 20,581 19,616 27,327

NET CASH FLOWS FROM OPERATING ACTIVITIES 16 (620) 2,202 3,447

CASH FLOWS FROM INVESTING ACTIVITIES Proceeds from sale of property, plant and equipment. 8,636 9,500 - Purchases of property, plant and equipment. (1,858) (6,609) (1,589) Purchases of intangibles 10 (1,884) (25) (418) NET CASH FLOWS FROM INVESTING ACTIVITIES 4,894 2,866 (2,007)

NET INCREASE / (DECREASE) IN CASH 4,274 5,068 1,440 Opening cash and cash equivalents 10,616 9,817 9,176 CLOSING CASH AND CASH EQUIVALENTS 6 14,890 14,885 10,616

The accompanying notes form part of these financial statements.

116 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

1. Summary of Significant Accounting Policies

(a) Reporting entity The State Records Authority of New South Wales (Authority) is a statutory body of the NSW State Government established by the State Records Act 1998, and includes the Government Records Repository. The Authority is a not-for-profit entity (as profit is not its principal objective) and has no cash generating units. The Authority is consolidated as part of the NSW Total State Sector Accounts.

These financial statements for the year ended 30 June 2016 have been authorised for issue by the Director of the Authority on 14 September 2016.

(b) Basis of preparation The Authority’s financial statements are general purpose financial statements which have been prepared on an accrual basis and in accordance with: x applicable Australian Accounting Standards (which include Australian Accounting Interpretations) x the requirements of the Public Finance and Audit Act 1983 and Public Finance and Audit Regulation 2015 and x the Financial Reporting Directions published in the Financial Reporting Code for NSW General Government Sector Entities or issued by the Treasurer.

Property, plant and equipment, including State archives, and assets held for sale are measured at fair value. Other financial statement items are prepared in accordance with the historical cost convention except where specified otherwise. State archives collection is measured at fair value using the valuation methodology outlined in Note 1 g(iii)(b).

Judgements, key assumptions and estimations management has made are disclosed in the relevant notes to the financial statements.

All amounts are rounded to the nearest one thousand dollars and are expressed in Australian currency.

(c) Statement of compliance The financial statements and notes comply with Australian Accounting Standards, which include Australian Accounting Interpretations.

(d) Insurance The Authority’s insurance activities are conducted through the NSW Treasury Managed Fund Scheme of self-insurance for Government entities. The expense (premium) is determined by the Fund Manager based on past claim experience.

(e) Accounting for the Goods and Services Tax (GST) Income, expenses and assets are recognised net of the amount of GST, except that the: x amount of GST incurred by the Authority as a purchaser that is not recoverable from the Australian Taxation Office is recognised as part of an asset’s cost of acquisition or as part of an item of expense, and x receivables and payables are stated with the amount of GST included. Cash flows are included in the statement of cash flows on a gross basis. However the GST component of cash flows arising from investing and financing activities which are recoverable from, or payable to, the Australian Taxation Office are classified as operating cash flows.

ANNUAL REPORT 2015/2016 117 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(f) Revenue recognition Revenue is measured at the fair value of the consideration or contribution received or receivable. Additional comments regarding the accounting policies for the recognition of revenue are discussed below:

(i) Sale of goods Revenue from the sale of goods is recognised as revenue when the Authority transfers the significant risks and rewards of ownership of the assets.

(ii) Rendering of services Revenue associated with the sale of services is recognised by reference to the stage of completion of the transaction at the reporting date when the outcome of the transaction involving the rendering of services can be estimated reliably. Services activities include storage of third party records, retrieval of those records, and project work offered as consultancy. Revenue recognition based on contracts to provide services require income to be recognised in stages of completion (based on labour hours incurred to date).

(iii) Investment revenue Interest revenue is recognised using the effective interest method as set out in AASB 139 Financial Instruments: Recognition and Measurement.

(iv) Grants and contributions Grants and contributions are generally recognised as revenue when the Authority obtains control over the assets comprising the grants and contributions. Control over grants and contributions are normally on receipt of assets.

(v) New Archives State archives revenue is non-cash generating. Archives received during the year are recognised for the first time at fair value and included in Other revenue.

(g) Assets (i) Acquisitions of assets Assets acquired are initially recognised at cost. Cost is the amount of cash or cash equivalents paid or the fair value of the other consideration given to acquire the asset at the time of its acquisition or construction or, where applicable, the amount attributed to that asset when initially recognised in accordance with the requirements of other Australian Accounting Standards.

Assets acquired at no cost, or for nominal consideration, are initially recognised at their fair value at the date of acquisition.

Fair value is the price that would be received to sell an asset in an orderly transaction between market participants at measurement date.

Where payment for an asset is deferred beyond normal credit terms, its cost is the cash price equivalent; i.e. deferred payment amount is effectively discounted over the period of credit.

(ii) Capitalisation thresholds Property, plant and equipment and intangible assets costing $5,000 and above individually (or forming part of a network) are capitalised.

(iii) Revaluation of property, plant and equipment

a) Property, plant and equipment excluding State archives

Physical non-current assets are valued in accordance with the ’Valuation of Physical Non-Current Assets at Fair Value’ Policy and Guidelines Paper (TPP 14-01). This policy adopts fair value in accordance with AASB 13 Fair Value Measurement and AASB 116 Property, Plant and Equipment.

118 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

Property, plant and equipment are measured at the highest and best use by market participants that is physically possible, legally permissible and financially feasible. The highest and best use must be available at a period that is not remote and take into account the characteristics of the asset being measured, including any imposed by government. In most cases, after taking into account these considerations, the highest and best use is the existing use. In limited circumstances, the highest and best use may be a feasible alternative use, where there are no restrictions on use or where there is a feasible higher restricted alternative use.

Fair value of property, plant and equipment is based on a market participants’ perspective, using valuation techniques (market approach, cost approach, income approach) that maximises relevant observable inputs and minimise unobservable inputs. Also refer Note 9 and Note 12 for further information regarding fair value.

Revaluations shall be made with sufficient regularity to ensure the carrying amount of each asset in the class does not differ materially from its fair value at reporting date The Authority revalues property, plant and equipment, excluding State archives, at least every three years or with sufficient regularity to ensure that the carrying amount of each asset in the class does not differ materially from its fair value at reporting date. The last comprehensive buildings revaluation was completed on 30 June 2014 and was based on an independent assessment. The last comprehensive land revaluation was completed on 31 March 2016 and was based on an independent assessment.

Non-specialised assets with short useful lives are measured at depreciated historical cost, as an approximation of fair value. The Authority has assessed that any difference between fair value and depreciated historical cost is unlikely to be material.

b) Property, plant and equipment - State archives

The Authority recognises the State archives at fair value. The State archives collection is made up of series of archives. A series is a group of records which results from the same business or recordkeeping activity, relate to a particular subject or function, have a similar format, or have another relationship arising out of their creation, receipt and use. When records are transferred from NSW government organisations to the control of the Authority, they become State archives.

The Authority engaged an independent valuer to value the collection on the basis of Fair Value in accordance with Australian Accounting Standards AASB 116 Property, Plant and Equipment. Additional guidance is given in NSW Treasury’s Policy and Guidelines paper TPP 14-01 - Accounting Policy: Valuation of Physical Non-Current Assets at Fair Value as applicable to heritage and cultural assets.

The “Register of Series”, a complete listing of archive series is used as the basis of the valuation. The valuation process classifies the Register of Series into two categories and those categories are divided into sub-categories. The two categories are: • The Register of Iconic State Archives – this listing contains those archives that have or are expected to have significant monetary value. Every iconic State archive entry is valued individually or as a set. • Non iconic State Archives – this register is split into sub-categories based on type and format and valued according to accepted statistical methods.

The Authority revalues State archives at least every five years or with sufficient regularity to ensure that the carrying amount of each asset in the class does not differ materially from its fair value at reporting date. The last revaluation of State archives was completed on 30 June 2013.

c) Property, plant and equipment – all

When revaluing non-current assets using the cost approach, the gross amount and the related accumulated depreciation are separately restated.

For other assets valued using other valuation techniques, any balances of accumulated depreciation at the revaluation date in respect of those assets are credited to the asset accounts to which they relate. The net asset accounts are then increased or decreased by the revaluation increments or decrements.

ANNUAL REPORT 2015/2016 119 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

Revaluation increments are credited directly to revaluation surplus, except that, to the extent that an increment reverses a revaluation decrement in respect of that class of asset previously recognised as an expense in the net result, the increment is recognised immediately as revenue in the net result.

Revaluation decrements are recognised immediately as expenses in the net result, except that, to the extent that a credit balance exists in the revaluation surplus in respect of the same class of assets, they are debited directly to the revaluation surplus.

As a not for profit entity, revaluation increments and decrements are offset against one another within a class of non-current assets, but not otherwise.

Where an asset that has previously been revalued is disposed of, any balance remaining in the revaluation surplus in respect of that asset is transferred to accumulated funds.

(iv) Impairment of property, plant and equipment As a not-for-profit- entity, with no cash generating units, impairment under AASB 136 Impairment of Assets is unlikely to arise. As property, plant and equipment is carried at fair value or an amount that approximates fair value, impairment can only arise in the rare circumstances where the costs of disposal are material. Specifically, impairment is unlikely for not-for-profits entities given that AASB 136 modifies the recoverable amount test for non-cash generating assets of not-for-profit entities to the higher of fair value less costs of disposal and depreciated replacement cost, where depreciated replacement cost is also fair value.

(v) Depreciation of property plant and equipment Except for Land and State archives, depreciation is provided for on a straight-line basis for all depreciable assets so as to write off the depreciable amount of each asset as it is consumed over its useful life to the Authority.

All material identifiable components of assets are depreciated separately over their useful lives.

Land is not a depreciable asset. Certain heritage assets including original artworks and State archive collections and heritage buildings may not have a limited useful life because appropriate curatorial and preservation policies are adopted. Such assets are not subject to depreciation. The decision not to recognise depreciation for these assets is reviewed annually.

Asset Class New Depreciation Rate Previous Depreciation Rate Buildings & Improvements 2.5% - 13.1% 1.7% - 13.1% Plant and Equipment 14.3% - 15% 14.3% - 15% Shelving 2.5% - 17.6% 2.5% - 17.6% Computer Equipment 25% - 33.3% 25% - 33.3%

(vi) Major inspection costs When each major inspection is performed, the labour cost of performing major inspections for faults is recognised in the carrying amount of an asset as a replacement of a part, if the recognition criteria are satisfied.

(vii) Restoration costs The estimated cost of dismantling and removing an asset and restoring the site is included in the cost of an asset, to the extent it is recognised as a liability.

(viii) Maintenance Day-to-day servicing costs or maintenance are charged as expenses as incurred, except where they relate to the replacement of a part or component of an asset, in which case the costs are capitalised and depreciated.

120 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(ix) Leased assets A distinction is made between finance leases which effectively transfer from the lessor to the lessee substantially all the risks and rewards incidental to ownership of the leased assets, and operating leases under which the lessor does not transfer substantially all the risk and rewards.

Where a non-current asset is acquired by means of a finance lease, at the commencement of the lease term, the asset is recognised at its fair value, or, if lower, the present value of the minimum lease payments at the inception of the lease. The corresponding liability is established at the same amount. Lease payments are allocated between the principal component and the interest expense.

Operating lease payments are recognised as an expense on a straight-line basis over the lease term.

(x) Intangible assets The Authority recognises intangible assets only if it is probable that future economic benefits will flow to the Authority and the cost of the asset can be measured reliably. Intangible assets are measured initially at cost. Where an asset is acquired at no or nominal cost, the cost is its fair value as at the date of acquisition.

All research costs are expensed. Development costs are only capitalised when certain criteria are met.

The useful lives of intangible assets excluding Collection intangible assets are assessed to be finite.

The Collection intangible assets are activities which aim to preserve the State archives and improving user access via online channels. This is achieved through:

(a) Archive Cataloguing - the creation of catalogue records of the State archives, allowing catalogued items and digital images to be linked, searched and accessed online; and (b) Digitisation Conservation - the process which converts physical items into digital objects for online access.

The useful life of Collection intangible asset is not being amortised and shall be reviewed annually to determine whether events and circumstances continue to support an indefinite useful life assessment for that asset.

Intangible assets are subsequently measured at fair value only if there is an active market. As there is no active market for the Authority’s intangible assets, the assets are carried at cost less any accumulated amortisation and impairment losses.

The Authority’s intangible assets are amortised using the straight line method over a period of not more than 4 years for computer software.

Intangible assets are tested for impairment where an indicator of impairment exists. If the recoverable amount is less than its carrying amount, the carrying amount is reduced to recoverable amount and the reduction is recognised as an impairment loss.

(xi) Loans and receivables Loans and receivables are non-derivative financial assets with fixed or determinable payments that are not quoted in an active market. These financial assets are recognised initially at fair value. Subsequent measurement is at amortised cost using the effective interest method, less an allowance for any impairment of receivables. Any changes are recognised in the net result for the year when impaired, derecognised or through the amortisation process.

Short-term receivables with no stated interest rate are measured at the original invoice amount where the effect of discounting is immaterial.

(xii) Inventories Inventories held for distribution are stated at cost, adjusted when applicable, for any loss of service potential. A loss of service potential is identified and measured based on the existence of a current

ANNUAL REPORT 2015/2016 121 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

replacement cost that is lower than the carrying amount. Inventories (other than those held for distribution) are stated at the lower of cost and net realisable value. Cost is calculated using the “first in first out” method.

The cost of inventories acquired at no cost or for nominal consideration is the current replacement cost as at the date of acquisition. Current replacement cost is the cost the Authority would incur to acquire the asset. Net realisable value is the estimated selling price in the ordinary course of business less the estimated costs of completion and the estimated costs necessary to make the sale.

(xiii) Impairment of financial assets All financial assets, except those measured at fair value through profit and loss, are subject to an annual review for impairment. An allowance for impairment is established when there is objective evidence that the entity will not be able to collect all amounts due.

For financial assets carried at amortised cost, the amount of the allowance is the difference between the asset’s carrying amount and the present value of estimated future cash flows, discounted at the effective interest rate. The amount of the impairment loss is recognised in the net result for the year.

When an available-for-sale financial asset is impaired, the amount of the cumulative loss is removed from equity and recognised in the net result for the year, based on the difference between the acquisition cost (net of any principal repayment and amortisation) and current fair value, less any impairment loss previously recognised in the net result for the year.

Any reversals of impairment losses are reversed through the net result for the year, where there is objective evidence. However, reversals of impairment losses on an investment in an equity instrument classified as ‘available-for-sale’ must be made through the revaluation surplus. Reversals of impairment losses of financial assets carried at amortised cost cannot result in a carrying amount that exceeds what the carrying amount would have been had there not been an impairment loss.

(xiv) Non-current assets (or disposal groups) held for sale The Authority classifies non-current assets (or disposal groups) as held for sale, where their carrying amount will be recovered principally through a sale transaction, not through continuing use. Non-current assets (or disposal groups) held for sale are recognised at the lower of carrying amount and fair value less costs of disposal. These assets are not depreciated while they are classified as held for sale.

(h) Liabilities (i) Payables These amounts represent liabilities for goods and services provided to the Authority and other amounts. Payables are recognised initially at fair value. Subsequent measurement is at amortised cost using the effective interest method. Short-term payables with no stated interest rate are measured at the original invoice amount where the effect of discounting is immaterial.

(ii) Personnel services benefits and other payables The Authority receives personnel services from the Department of Finance, Services and Innovation (DFSI). DFSI is not a Special Purpose Service Entity and does not control the Authority under this arrangement.

In accordance with NSW Treasury Circular 15/07 Financial and Annual Reporting Requirements Arising from Personnel Service Arrangements, a liability representing the total amount payable to DFSI is recognised in the Statement of Financial Position.

As the Authority is not an employer, the disclosure requirements of AASB 119 Employee Benefits in respect of employee benefits do not apply. The Authority and DFSI has a Memorandum of Understanding, which sets out the arrangements for employment and payment of staff working at the State Records Authority which are considered employees of DFSI. All payments to personnel and related obligations are done in the DFSI name and ABN and are classified as “Personnel Services” costs in these financial statements.

122 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

Liabilities for personnel services relating to salaries and wages (including non-monetary benefits), recreation leave, long service leave, paid sick leave, payroll tax, superannuation and on-costs which the employees render the service are recognised and measured at undiscounted amounts of the benefits and as invoiced by DFSI.

The outstanding amounts of workers compensation insurance premiums and fringe benefits tax, which are consequential to the provision of personnel services by the DFSI, are recognised as liabilities and expenses where the personnel services to which they relate have been recognised.

(iii) Other Provisions Other provisions exist when: the entity has a present legal or constructive obligation as a result of a past event; it is probable that an outflow of resources will be required to settle the obligation; and a reliable estimate can be made of the amount of the obligation.

Any provisions for restructuring are recognised only when an entity has a detailed formal plan and the entity has raised a valid expectation in those affected by the restructuring that it will carry out the restructuring by starting to implement the plan or announcing its main features to those affected.

(i) Fair value hierarchy A number of the Authority’s accounting policies and disclosures require the measurement of fair values, for both financial and non-financial assets and liabilities. When measuring fair value, the valuation technique used maximises the use of relevant observable inputs and minimises the use of unobservable inputs. Under AASB 13, the entity categorises, for disclosure purposes, the valuation techniques based on the inputs used in the valuation techniques as follows:

x Level 1 - quoted prices in active markets for identical assets / liabilities that the entity can access at the measurement date.

x Level 2 - inputs other than quoted prices included within Level 1 that are observable, either directly or indirectly.

x Level 3 – inputs that are not based on observable market data (unobservable inputs).

The Authority recognises transfers between levels of the fair value hierarchy at the end of the reporting period during which the change has occurred.

Refer Note 9 and Note 11 for further disclosures regarding fair value measurements of financial and non- financial assets.

(j) Equity and reserves (i) Revaluation surplus The revaluation surplus is used to record increments and decrements on the revaluation of non-current assets. This accords with the entity’s policy on the revaluation of property, plant and equipment as discussed in note 1(g)(iii).

(ii) Accumulated funds The category 'Accumulated Funds' includes all current and prior period retained funds.

(iii) Separate reserve accounts are recognised in the financial statements only if such accounts are required by specific legislation or Australian Accounting Standards (e.g. revaluation surplus and foreign currency translation reserve).

(k) Budgeted amounts The budgeted amounts are drawn from the original budgeted financial statements presented to Parliament in respect of the reporting period. Subsequent amendments to the original budget (e.g. adjustments for transfer between entities as a result of Administrative Arrangement Orders) are not reflected in the budgeted amounts. Major variances between the original budgeted amounts and the actual amounts disclosed in the primary financial statements are explained in Note 17.

ANNUAL REPORT 2015/2016 123 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(l) Comparative information Except when an Australian Accounting Standard permits or requires otherwise, comparative information is presented in respect of the previous period for all amounts reported in the financial statements.

(m) Changes in accounting policy, including new or revised Australian Accounting Standards (i) Effective for the first time in 2015-16 The accounting policies applied in 2015-16 are consistent with those of the previous financial year except as a result of the following new or revised Australian Accounting Standards that have been applied for the first time in 2015-16. x AASB 2013-9 (Part C), AASB 2014-1 (Part E) and AASB 2014-8 regarding amendments to AASB 9 Financial Instruments x AASB 2015-3 regarding withdrawal of AASB 1031 Materiality

The standards identified above had no material impact on the Authority’s financial statements.

(ii) Issued but not yet effective NSW public sector entities are not permitted to early adopt new Australian Accounting Standards, unless Treasury determines otherwise.

The following new Australian Accounting Standards have not been applied and are not yet effective: x AASB 9 and AASB 2014-7 regarding financial instruments x AASB 15, AASB 2014-5 and AASB 2015-8 regarding Revenue from Contracts with Customers x AASB 1057 and AASB 2015-9 Application of Australian Accounting Standards x AASB 2014-4 regarding acceptable methods of depreciation and amortisation x AASB 2015-1 regarding annual improvements to Australian Accounting Standards 2012-2014 cycle x AASB 2015-2 regarding amendments to AASB 101 (disclosure initiative) x AASB 2015-6 Amendments to Australian Accounting Standards – Extending Related Party Disclosures to Not-for-Profit Public Sector Entities x AASB 2015-7 Amendments to Australian Accounting Standards – Fair Value Disclosures of Not- for-Profit Public Sector Entities

NSW Treasury has issued a mandate stating that entities may elect to early adopt AASB 2015-7, Amendments to Australian Accounting Standards – Fair Value Disclosures of Not-for-Profit Public Sector Entities. AASB 2015-7, applicable for reporting periods beginning on or after 1 July 2016, relieves not-for- profit public sector entities from making certain disclosures for Level 3 property, plant and equipment that are held primarily for their current service potential rather than to generate future net cash inflows. As the Authority discloses the sensitivity of the fair value for Level 3 property, plant and equipment in Note 11(b) it has not elected to early adopt AASB 2015-7.

The standards identified above are not expected to have material impact on the Authority’s financial statements.

124 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

2016 2015 $'000 $'000 2. Expenses Excluding Losses

(a) Personnel services expense Salaries and wages (including annual leave) 9,603 9,295 Superannuation - defined benefit plans 91 95 Superannuation - defined contribution plans 762 739 Long service leave 249 193 Workers' compensation insurance 157 158 Payroll tax and fringe benefit tax 577 583 Other contractors* 942 3,960 12,381 15,023

Personnel Services expenses of $0.642 million have been capitalised in Intangibles asset accounts, and therefore excluded from the above (2015: $0.248 million).

*Effective 1 July 2015, a change in the allocation of contractor costs, with contractors working in permanent roles retained in 'Other contractors' under 'Personnel services expense' at Note 2(a). Contractors not working in permanent roles have been reclassified as 'Fee for Service - Contractors' included under 'Other operating expenses' at Note 2(b), with the majority of these contractors required to generate project based revenue. In the prior year all contractors were included as 'Other contractors' under 'Personnel services expense' at Note 2(a). It is impracticable to reclassify the comparative amount for other contractors as the information for prior year was not available. Had this amount been available, personnel services would decrease and other operating expenses below would increase by the same amount. There would be no impact in total expenses and net result for the year.

(b) Other operating expenses include the following: Auditor's remuneration - audit of the financial statements 82 80 Cost of Sales - Boxes 181 175 Cost of Sales - Publications 20 6 Operating lease rental expense - minimum lease payments 1,319 1,267 Maintenance** 489 443 Insurance 101 87 Electricity, Gas, Rates 604 702 Minor stores 110 116 Consultants 264 556 Motor Vehicles 254 300 Postage, Telephone, Printing 264 261 Promotional advertising 43 109 Grant expenses 37 6 Rental expense - records storage (offsite) 183 181 Payroll processing 157 148 Training 57 31 Cleaning 259 231 Fee for Service - Contractors* 3,297 - Corporate Cost Allocation 1,253 1,253 Other 1,207 1,316 10,181 7,268 **Reconciliation - Total maintenance Maintenance expense - contracted labour and other (non-employee related), as above 489 443 Personnel Services related maintenance expense included in Note 2(a) - - Total maintenance expenses included in Note 2(a) + 2(b) 489 443

ANNUAL REPORT 2015/2016 125 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

2016 2015 $'000 $'000 2. Expenses Excluding Losses cont.

(c) Depreciation and amortisation expense Depreciation Buildings and improvements 2,173 2,159 Plant and equipment 153 148 Shelving 417 388 Computer equipment 344 284 3,087 2,979 Amortisation Computer software 176 31

Total Depreciation and amortisation 3,263 3,010

2016 2015 $'000 $'000 3. Revenue

(a) Sale of goods and services Sale of goods Publications 22 8 Boxes 276 288 Rendering of services Storage 12,867 11,709 Retrieval 2,973 1,955 Consultancy 3,034 1,629 Photocopies 130 131 Destruction 299 312 Other 198 177 19,799 16,209

(b) Investment revenue Interest 46 244 46 244

(c) Grants and contributions Capital Grants from NSW Department of Finance, Services and Innovation 908 - Recurrent Grants from NSW Treasury - 6,594 Capital Grants from NSW Treasury - 943 908 7,537

On 1 July 2015, the Administrative Arrangements Order 2015 was issued which established the new Department of Finance, Services and Innovation. As a result, the Authority moved from the Treasury to the new Department of Finance, Services & Innovation (DFSI), and was grant funded by DFSI during 2015-16.

(d) Other revenue State archives revenue 17,489 25,767 17,489 25,767

126 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

2016 2015 4. Gain / (Loss) on Disposal $'000 $'000

(a) Gain/(loss) on disposal of land, building and improvements Proceeds from disposal 9,500 Less GST on disposal (864) Written down value of land, building and improvements - (5,000) Net gain/(loss) on disposal of land, buildings and improvements - 3,636

(b) Gain/(loss) on disposal of plant and equipment Proceed from disposal - - Written down value of assets disposed - (80) Net gain/(loss) on disposal of plant and equipment - (80)

(c) Gain/(loss) on disposal of computer equipment Proceeds from disposal - - Written down value of assets disposed (8) - Net gain/(loss) on disposal of computer equipment (8) -

Total gain/(loss) on disposal (8) 3,556

Proceeds from disposal of land are included in receivables, refer Note 7.

5. Conditions on Contributions

There are no conditions placed on contributions other than to carry out the Programs / Activities of the Authority.

6. Current Assets - Cash and Cash Equivalents

Cash at Bank and on hand 14,890 10,616

For the purposes of the statement of cash flows, cash and cash equivalents include cash at bank and cash on hand.

Cash and cash equivalent assets recognised in the statement of financial position are reconciled at the end of the financial year to the statement of cash flows as follows:

Cash and cash equivalents (per statement of financial position) 14,890 10,616 Closing cash and cash equivalents (per statement of cash flows) 14,890 10,616

Refer to Note 18 for details regarding credit risk, liquidity risk and market risk arising from financial instruments.

7. Current Assets - Receivables

Sale of goods and services 2,331 1,822 Sale of land - 9,500 Prepayments 242 194 Interest Receivable - 117 Net GST Receivable 287 - 2,860 11,633

Details regarding credit risk, liquidity risk and market risk, including financial assets that are either past due or impaired, are disclosed in Note 18.

8. Current Assets - Inventories

Stock on hand - at cost 19 32 19 32

ANNUAL REPORT 2015/2016 127 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

9. Non-Current Assets - Property, Plant and Equipment

Land Buildings and Plant and Shelving Computer State archives Total improvements equipment equipment $'000 $'000 $'000 $'000 $'000 $'000 $'000 At 1 July 2015 - fair value Gross carrying amount 6,500 73,898 992 9,111 1,299 904,399 996,199 Accumulated depreciation and impairment - (35,356) (491) (2,702) (607) - (39,156) Net carrying amount 6,500 38,542 501 6,409 692 904,399 957,043

At 30 June 2016 - fair value Gross carrying amount 7,500 74,279 1,689 9,110 1,630 921,902 1,016,110 Accumulated depreciation and impairment - (37,529) (607) (3,118) (559) - (41,813) Net carrying amount 7,500 36,750 1,082 5,992 1,071 921,902 974,297

Reconciliation A reconciliation of the carrying amount of each class of property, plant, and equipment at the beginning and end of the current reporting period is set out below:

Land Buildings and Plant and Shelving Computer State archives Total Year ended 30 June 2016 improvements equipment equipment $'000 $'000 $'000 $'000 $'000 $'000 $'000 Net carrying amount at start of year 6,500 38,542 501 6,409 692 904,399 957,043 Additions - 381 734 - 731 17,503 19,349 Disposals - -(37) - (401) - (438) Net revaluation increment less revaluation decrements 1,000 - - - - - 1,000 Depreciation expense - (2,173)(153)(417)(344) - (3,087) Depreciation written back on disposals - -37 -393 -430 Other movements ------Net carrying amount at end of year 7,500 36,750 1,082 5,992 1,071 921,902 974,297

Further details regarding the fair value measurement of property, plant and equipment are disclosed in Note 11.

128 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

9. Non-Current Assets - Property, Plant and Equipment cont.

Land Buildings and Plant and Shelving Computer State archives Total improvements equipment equipment $'000 $'000 $'000 $'000 $'000 $'000 $'000 At 1 July 2014 - fair value Gross carrying amount 6,500 73,644 1,140 9,312 1,143 878,632 970,371 Accumulated depreciation and impairment - (33,197) (632) (2,445) (487) - (36,761) Net carrying amount 6,500 40,447 508 6,867 656 878,632 933,610

At 30 June 2015 - fair value Gross carrying amount 6,500 73,898 992 9,111 1,299 904,399 996,199 Accumulated depreciation and impairment - (35,356) (491) (2,702) (607) - (39,156) Net carrying amount 6,500 38,542 501 6,409 692 904,399 957,043

Reconciliation A reconciliation of the carrying amount of each class of property, plant, and equipment at the beginning and end of the prior reporting period is set out below:

Land Buildings and Plant and Shelving Computer State archives Total Year ended 30 June 2015 improvements equipment equipment $'000 $'000 $'000 $'000 $'000 $'000 $'000 Net carrying amount at start of year 6,500 40,447 508 6,867 656 878,632 933,610 Additions - 254 150 1 320 25,767 26,492 Disposals - (298)(202)(164) - (664) Net revaluation increment less revaluation decrements ------Depreciation expense - (2,159)(148)(388)(284) - (2,979) Depreciation written back on disposals - - 289 131 164 - 584 Other movements ------Net carrying amount at end of year 6,500 38,542 501 6,409 692 904,399 957,043

Further details regarding the fair value measurement of property, plant and equipment are disclosed in Note 11.

ANNUAL REPORT 2015/2016 129 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

10. Intangible Assets Collection Software Total $'000 $'000 $'000 At 1 July 2015 Cost (gross carrying amount) - 459 459 Accumulated amortisation and impairment - (35) (35) Net carrying amount - 424 424

At 30 June 2016 Cost (gross carrying amount) 1,248 1,084 2,332 Accumulated amortisation and impairment - (200) (200) Net carrying amount 1,248 884 2,132

Year ended 30 June 2016 Net carrying amount at start of year - 424 424 Additions (acquired separately) 1,248 636 1,884 Amortisation (recognised in - "depreciation and amortisation") - (176) (176) Disposals - (11) (11) Amortisation written back on disposals - 11 11 Net carrying amount at end of year 1,248 884 2,132

Collection Software Total $'000 $'000 $'000 At 1 July 2014 Cost (gross carrying amount) - 91 91 Accumulated amortisation and impairment - (54) (54) Net carrying amount - 37 37

At 30 June 2015 Cost (gross carrying amount) - 459 459 Accumulated amortisation and impairment - (35) (35) Net carrying amount - 424 424

Year ended 30 June 2015 Net carrying amount at start of year - 37 37 Additions (acquired separately) - 418 418 Amortisation (recognised in - "depreciation and amortisation") - (31) (31) Disposals - (50) (50) Amortisation written back on disposals - 50 50 Net carrying amount at end of year - 424 424

130 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

11. Fair value measurement of non-financial assets

(a) Fair value hierarchy

2016 Level 1 Level 2 Level 3 Total fair value $'000 $'000 $'000 $'000 Property, plant and equipment (Note 9) Land - 7,500 - 7,500 Buildings and improvements - - 36,750 36,750 State archives - 921,902 - 921,902 - 929,402 36,750 966,152

2015 Level 1 Level 2 Level 3 Total fair value $'000 $'000 $'000 $'000 Property, plant and equipment (Note 9) Land - 6,500 - 6,500 Buildings and improvements - - 38,542 38,542 State archives - 904,399 - 904,399 - 910,899 38,542 949,441

There were no transfers between Level 1 or 2 during the period.

Plant and equipment, shelving, and computer equipment are carried at depreciated historical cost. Generally for these assets, the carrying amount is unlikely to be materially different from their fair value.

(b) Valuation techniques, inputs and processes

(i) Land is based on observable inputs (Level 2)

The Authority engaged an independent professional valuer to provide an update on the valuation performed in 2015. Land asset has been valued using the market approach with adjustment for condition, location, and comparability. The independent professional valuer assessed that there has been an increase of $1 million in the market value of the land as at 31 March 2016.

(ii) State archives are based on observable inputs (Level 2)

The Authority engaged an independent professional valuer to provide an update on the valuation performed in 2013. Input data for the valuation was derived from values of like or similar material found by research of records of Australian and international sales, purchases and other forms of acquisition, knowledge of prices paid by other institutions, and valuation experience at other major archives.

This data was obtained from the manuscripts section of American Book Prices Current, manuscripts and documents sold through Advance Book Exchange, document dealer's catalogues, the Antique Map Price Record and various other sources.

The independent professional valuer assessed the market for material of the type held by the Authority has not materially changed since last valuation and the value of State archives remains at fair value at 31 March 2016.

ANNUAL REPORT 2015/2016 131 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(b) Valuation techniques, inputs and processes continued.

Buildings and improvements are based on unobservable inputs (Level 3).

The Authority engaged an independent professional valuer to perform the valuation. Where there are natural, legal or financial or other conditions imposed by government on use and disposal of asset such that there is no feasible alternative use in the relatively near future, such asset should be valued at fair (market) value for its existing use. Where the current market buying prices could not be observed, an assets fair value is best measured by its depreciated replacement cost. However when current market buying prices was observed property locality is to be valued having regard to the direct comparison method of valuation having reference to current market transactions of comparable properties in the surrounding. The Western Sydney Records Centre is considered a specialised asset where current market buying prices cannot be observed; therefore, the depreciated replacement cost method of valuation is adopted.

Depreciated Replacement Cost is the current replacement cost of an asset, less, where applicable, accumulated depreciation calculated on the basis of such cost to reflect the already consumed or expired future economic benefits of the asset.

There is a considerable degree of subjectivity involved in establishing the life expectancy or effective life, particularly in relation to specialised asset buildings. The assumptions in this valuation are generally based on adopted life spans used in general commercial practice and for assets owned by various State Government Departments, Local Government and Statutory Authorities.

The unobservable input in relation to the building and improvements is the economic life and remaining life the sensitivity to this would be within 10%.

Management considers it unlikely that any change to the inputs will significantly affect the net result for the year. Instead the impact will be on the asset revaluation reserve and the underlying asset class.

The independent professional valuer assessed that there has been no material change in the depreciation replacement cost of buildings and improvements since last valuation and the value of these assets remains at fair value at 30 June 2016.

(c) Reconciliation of recurring Level 3 fair value measurements

Buildings and Total Recurring improvements Level 3 Fair value 2016 $'000 $'000

Fair value as at 1 July 2015 38,542 38,542 Additions 381 381 Depreciation (2,173) (2,173) Fair Value as at 30 June 2016 36,750 36,750

Buildings and Total Recurring improvements Level 3 Fair value 2015 $'000 $'000

Fair value as at 1 July 2014 40,447 40,447 Additions 254 254 Depreciation (2,159) (2,159) Fair Value as at 30 June 2015 38,542 38,542

132 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

2016 2015 $'000 $'000 12. Current Liabilities - Trade And Other Payables

Creditors 3,801 624 Other 189 1,364 Revenue received in advance 659 1,114 Accrued personnel services expense 2,148 2,085 Net GST payable - 569 6,797 5,756

Details regarding credit risk, liquidity risk and market risk, including a maturity analysis of the above payables are disclosed in Note 18.

13. Non-Current Liabilities - Provisions

Restoration costs 96 96 Total Provisions 96 96

The restoration costs amount, relates to make good cost for the property leases which is expected to be incurred from 2020. The amount is based on an estimated make good amount of $0.13 million in 2016 discounted using the Australian Government 10 year bond rate 2.01% at 30 June 2016 (3.06% at 30 June 2015).

Movements in provisions

Movements in each class of provision during the financial year are set out below:

Restoration Total 2016 $'000 $'000 Carrying amount at the beginning of financial year 96 96 Additional provisions recognised - - Carrying amount at the end of financial year 96 96

ANNUAL REPORT 2015/2016 133 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

14. Commitments for Expenditure 2016 2015 $'000 $'000 (a) Capital Commitments There was no aggregate capital expenditure for acquisitions contracted for at balance date.

Not later than one year 191 - Total (including GST) 191 -

2016 represents fees payable for carpark at Western Sydney Records Centre, Kingswood.

The Authority did not have capital commitments in 2015.

(b) Operating Lease Commitments Future non-cancellable operating lease rentals not provided for and payable:

Not later than one year 1,602 1,585 Later than one year and no later than five years 5,401 5,762 Later than five years 1,388 2,584 Total (including GST) 8,391 9,931

This represents State Fleet car leases and off site storage facilities.

The potential input tax credits recoverable from the Australian Tax Office for the above commitments are $0.763 million ($0.903 million in 2014-15).

15. Contingent Liabilities and Contingent Assets

The Authority is unaware of any contingent assets or contingent liabilities at the date of this report (Nil in 2014-15).

16. Reconciliation of Cash Flows from Operating Activities to Net Result 2016 2015 $'000 $'000

Net cash flows from operating activities (620) 3,447 Depreciation and Amortisation (3,263) (3,010) Other revenue 17,489 25,767 Decrease / (increase) in provisions - (5) Increase / (decrease) in receivables and other assets (148) (529) Decrease / (increase) in payables (1,041) (1,214) Net gain / (loss) on disposal of property, plant and equipment (8) 3,556 Net Result 12,409 28,012

134 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

17. Budget Review

Net result The actual net result was higher than budget by $11.6 million due to the State archives revenue.

Total Revenue was up by $17 million primarily due to state archives received during the year and improved revenue generation from service, offset by reduction in grant funding from DFSI. The Authority used its surplus cash as a funding source in 2015-16, a one-off adjustment as part of the whole-of-government initiative to improve cash management.

Total Operating expenses were over budget by $5.4 million. Other operating expenses were higher due to additional contractor staff engaged to work on fee for service activities and required to support records management projects.

Assets and liabilities Net Assets of the Authority were $33.2 million above budget. The Authority's balance sheet was impacted by additional State archives asset.

Cash flows The Authority's cash flow and liquidity remained strong in 2016. Cash and cash equivalents met budget. Net cash flow from operating activities for the year was $2.8 million below budget due to additional resource expenditure to meet operational requirements.

The net cash flow from investing activities for the year was $2.0 million above budget as the Authority deferred investment in capital project work to provide services which meet the expectations of the Authority in the following year.

ANNUAL REPORT 2015/2016 135 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

18. Financial Instruments

The Authority's principal financial instruments are outlined below. These financial instruments arise directly from the Authority's operations or are required to finance the Authority's operations. The Authority does not enter into or trade financial instruments, including derivative financial instruments, for speculative purposes.

The Authority's main risks arising from financial instruments are outlined below, together with the Authority's objectives, policies and processes for measuring and managing risk. Further quantitative and qualitative disclosures are included throughout these financial statements.

The Director of State Records has overall responsibility for the establishment and oversight of risk management and reviews and agrees policies for managing each of these risks. Risk management policies are established to identify and analyse the risks faced by the Authority, to set risk limits and controls and to monitor risks. Compliance with policies is reviewed by the Authority on a regular basis.

(a) Financial instrument categories

Financial Note Category Carrying Carrying Assets Amount Amount

Class: 2016 2015 $'000 $'000

Cash and cash 6 N/A 14,890 10,616 equivalents

Loans and receivables Receivables1 7 (at amortised cost) 2,119 10,410

Financial Note Category Carrying Carrying Liabilities Amount Amount

Class: 2016 2015 $'000 $'000

Payables2 12 Financial liabilities measured at amortised 5,788 3,823 cost

Notes: 1. Excludes statutory receivables and prepayments (i.e. not within scope of AASB 7). 2. Excludes statutory payables and unearned revenue (i.e. not within scope of AASB 7).

136 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(b) Credit Risk Credit risk arises when there is the possibility of the Authority's debtors defaulting on their contractual obligations, resulting in a financial loss to the Authority. The maximum exposure to credit risk is generally represented by the amount of the financial assets (net any allowance for impairment).

Credit risk arises from the financial assets of the Authority, including cash, receivables, and authority deposits. No collateral is held by the Authority. The Authority has not granted any financial guarantees.

Credit risk associated with the Authority's financial assets, other than receivables, is managed through the selection of counterparties and establishment of minimum credit rating standards.

Cash Cash comprises cash on hand and bank balances within the NSW Treasury Banking System. Interest is earned on daily bank balances.

Receivables - trade debtors All trade debtors are recognised as amounts receivable at balance date. Collectability of trade debtors is reviewed on an ongoing basis. Procedures as established in the Treasurer's Directions are followed to recover outstanding amounts, including letters of demand. Debts which are known to be uncollectible are written off. An allowance for impairment is raised when there is objective evidence that the Authority will not be able to collect all amounts due. This evidence includes past experience, and current and expected changes in economic conditions and debtors credit ratings. No interest is earned on trade debtors. Sales are made on 30 day terms.

The Authority is not materially exposed to concentrations of credit risk to a single trade debtor or group of debtors. Based on past experience, debtors that are not past due (2016:$1.7 million: 2015: $1.4 million) and less than 6 months past due (2016:$0.385 million: 2015:$0.285 million) are not considered impaired. Together, these represent 100% of the total trade debtors. Most of the Authority's debtors are NSW public sector agencies.

The only financial assets that are past due or impaired are 'sales of goods and services' in the recievables' category of the statement of financial position.

$'000 Total 1,2 Past due but not 1,2 Considered 1,2 2016 impaired impaired < 3 months overdue 378 378 - 3 months - 6 months overdue 6 6 - > 6 months overdue - - -

2015 < 3 months overdue 265 265 - 3 months - 6 months overdue 20 20 - > 6 months overdue - - -

Notes: 1. Each column in the table reports 'gross receivables' 2. The ageing analysis excludes statutory receivables as these are not within the scope of AASB 7 and excludes receivables that are not past due and not impaired. Therefore the 'total' will not reconcile to the total receivables recognised in the statement of financial position.

ANNUAL REPORT 2015/2016 137 State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(c) Liquidity risk Liquidity risk is the risk that the Authority will be unable to meet its payment obligations when they fall due. The Authority continuously manages risk through monitoring future cash flows and maturities planning to ensure adequate holding of high quality liquid assets. The objective is to maintain a balance between continuity of funding and flexibility through the use of loans and other advances.

During the current and prior years, there were no defaults on loans payable. No assets have been pledged as collateral. The Authority's exposure to liquidity risk is deemed insignificant based on prior periods' data and current assessment of risk.

The liabilities are recognised for amounts due to be paid in the future for goods or services received, whether or not invoiced. Amounts owing to suppliers (which are unsecured) are settled in accordance with the policy set out in NSW TC 11/12. For small business suppliers, where terms are not specified, payment is made not later than 30 days from date of receipt of a correctly rendered invoice. For other suppliers, if trade terms are not specified, payment is made no later than the end of the month following the month in which an invoice or statement is received. For small business suppliers, where payment is not made within the specified time period, simple interest must be paid automatically unless an existing contract specifies otherwise. For payments to other suppliers, the Director (or a person appointed by the Director) may automatically pay the supplier simple interest.

The table below summarises the maturity profile of the Authority's financial liabilities.

Maturity analysis and interest rate exposure of financial liabilities

$'000 Interest Rate Exposure Maturity Dates

Nominal 1 Fixed Variable Non- < 1 year 1-5 years > 5 years Amount Interest Interest interest 2016 Rate Rate bearing Payables Personnel services payable 2,148 - - 2,148 2,148 - - Creditors 3,640 - - 3,640 3,640 - - 5,788 - - 5,788 5,788 - -

2015 Payables Personnel services payable 2,014 - - 2,014 2,014 - - Creditors 1,809 - - 1,809 1,809 - - 3,823 - - 3,823 3,823 - -

Note: 1. The amount disclosed are the contractual undiscounted cash flows of each class of financial liabilities based on the earliest date on which the Authority can be required to pay. The tables include both interest and principal cashflows and therefore will not reconcile to the statements of financial position.

138 STATE RECORDS AUTHORITY OF NEW SOUTH WALES State Records Authority of New South Wales Notes to the financial statements for the year ended 30 June 2016

(d) Market risk Market risk is the risk that the fair value or future cash flows of a financial instrument will fluctuate because of changes in market prices. The Authority's exposures to market risk are primarily through interest rate risk. The Authority has no exposure to financial instrument or foreign currency risk and does not enter into commodity contracts.

The effect on profit and equity due to a reasonably possible change in risk variable is outlined in the information below, for interest rate risk and other price risk. A reasonably possible change in risk variable has been determined after taking into account the economic environment in which the Authority operates and the time frame for the assessment (i.e. until the end of the next annual reporting period). The sensitivity analysis is based on risk exposures in existence at the statement of financial position date. The analysis is performed on the same basis as for 2015. The analysis assumes that all other variables remain constant.

Interest rate risk

The Authority does not have any borrowing and its exposure to interest rate risk is minimal. The Authority's exposure to interest rate risk is set out below.

$'000

Carrying -1% +1% amount Profit Equity Profit Equity 2016 Financial assets

Cash and cash 14,890 (149) (149) 149 149 equivalents

2015 Financial assets

Cash and cash 10,616 (106) (106) 106 106 equivalents

(e) Fair value measurement

Financial instruments are generally recognised at cost. The amortised costs of financial instruments recognised in the statement of financial position approximates the fair value because of their short term nature.

19. Events after the Reporting Period

The Authority is not aware of any event subsequent to balance date that would impact the financial statements.

End of audited financial statements

ANNUAL REPORT 2015/2016 139 FINANCIAL REPORT

FIGURE 83: To the young men of Australia leaflet NRS12060[9-4705]15-7546_001.

140 STATE RECORDS AUTHORITY OF NEW SOUTH WALES WINDOWS IN TO WARTIME

HOME FRONT INSIGHTS THROUGH THE LENS OF NSW GOVERNMENT NRS 4481 MS 4860 1916. Soldier Settlement, Forest Frenchs , PHOTOGRAPHERS Opening ceremony, Mosman Cottage Opening ceremony, 17 OCTOBER 2016 – 9 SEPTEMBER 2017 STATE RECORDS NSW

NSW Regional Tour Open 9am – 5pm Monday to Friday A new exhibition produced by 10am – 4pm Saturdays Closed Sundays & public holidays State Records NSW for the Centenary Broken Hill Library of Anzac and to commemorate 11 November 2016 – 11 March 2017 State Records NSW the First World War. 161 O’Connell Street, Kingswood University of Newcastle Library 02 9673 1788 [email protected] 3 April – 12 May 2017 Windows into Wartime engages with a series of photographs produced by the NSW Government Charles Sturt University Regional Printing Office during and immediately after the Archives, Wagga Wagga nswanzaccentenary.records.nsw.gov.au First World War. As government photographers 5 June – 30 June 2017 were on the ground shooting the image, they were not only documenting but promoting and shaping University of New England and Regional how NSW mobilised in support of Australia’s war Archives, Armidale effort. Today, this collection of historic images— 31 July – 1 September 2017 reproduced from original glass plate negatives— provides us with a unique insight into the NSW University of Wollongong Library home front during the First World War. 25 September – 24 November 2017 NOTES

WINDOWS IN TO WARTIME

Health workers are gowned, masked and ready for duty

1919. NRS 4481 ST6679 1919. to combat the ‘Spanish’ MR¾YIR^ETERHIQMGXLEXXSSO hold in NSW after the First World War.

Riley St. Depot, Surry Hills, Depot, Riley St.

142 STATE RECORDS AUTHORITY OF NEW SOUTH WALES 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) 161 O’Connell Street, KINGSWOOD

Telephone Telephone: (02) 9673 1788

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

ANNUAL REPORT 2015/2016 141 161 O’Connell Street, KINGSWOOD PO Box 516 KINGSWOOD NSW 2747 T (02) 9673 1788 E [email protected] www.records.nsw.gov.au