State Records of South Australia MANAGING ELECTRONIC RECORDS ISSUES a discussion paper

The issues (continued)

3.2 Custody or non-custody

There is strong support for the view that, despite the obligations stated under the Act, State Records should promote what is known as the non-custodial management of electronic records. Although there is little practical experience so far, organisations in Australia with similar roles as State Records are adopting this position. As yet, there seems no discussion about outsourcing this custodial activity.

In summary, the non-custodial approach means that electronic records (both permanent and temporary) are not physically transferred to the custody of a government archives body but are kept active in the agency which created them. However, until now both Canada and the United States have opted for custodial models where electronic records are physically transferred to the custody of the their respective national archival authorities. There does not yet appear to be conclusive evidence that the non-custodial approach will both save money and enable the preservation of records. One of the uncertainties is that the very existence of government archives organisations has been prompted by a realisation (through experience) that agencies were unsatisfactory in managing their older records. This means that the non-custodial model is dependent not only on technology but also a shift in values within agencies. Will agencies keep their electronic records, both temporary and permanent, in a way which ensures their integrity over time and their continued accessibility?

As noted above, section 19 of the Act sets out the mandatory transfer of records to State Records. Once records reach 15 years of age State Records and agency staff will need to agree on how to best preserve the records. Traditionally archival organisations have preserved the content, structure, context and authenticity of records by preserving the original media on which they are recorded. In the case of electronic records the technology which retrieves the records changes faster than the physical carrier of the information, so it must remain within a system or regime which ensures it is migrated as the technology changes. In a non-custodial role, State Records and the creators of the records must determine which agency is best able to preserve, manage, and provide access to records over time.

State Records currently acts as a custodian for large quantities, around 70 linear kilometres, of traditional format records. These records are managed through the use of standardised boxes and shelving and represents the traditional role typically conducted by archival authorities. The storage and ongoing preservation of these records is facilitated by their relatively simple format. While tools do exist for the storage of electronic records in large quantities, there are a number of archival issues which need to be addressed.

It could be argued that since State Records has considerable experience in the custodial storage of traditional format records, and that since it has the responsibility of ensuring good records management practice within the South Australian Government, irrespective of record format, it is preferable that the custodial role does not draw a distinction between any record formats. The answer will depend on whether the responsibilities to ensure preservation of records can be discharged adequately under a non-custodial model and whether public access is also properly assured. This latter question is addressed in more detail in the next section.

Issues for consideration

1. To what extent should State Records act (or plan to act) as a custodian for the storage of electronic records?
2. How would State Records meet the obligations of the 15 year transfer period in a non-custodial model?
3. Would it be best for State Records to prepare individual agreements with agency customers, for the custody of electronic records, on a case by case basis?
4. Should State Records accept the electronic records of a defunct agency for whom no clear successor can be identified?
5. In a non-custodial model how would State Records be able to ensure that agencies are meeting the three key elements of content, context and structure?

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