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Audits and Evaluations

Condition of Archival Records in Federal Institutions (CARFI)
Annex G

CARFI Survey Questions and Results

Section I Recordkeeping

1. Is your institution able to apply the Records Disposition Authority (RDA) for the identification and transfer of archival records to LAC?
Responses Freq Percent
Yes 82 84
No 16 16
Total 98 100
If No, Terms and Conditions do not clearly identify which records are archival 0  
No Application Guide exists 3  
Other 14  
2. What percentage of the archival records included in the RDA has retention periods assigned?
Responses Freq Percent
0-20% 8 8
21-40% 0 0
41-60% 4 4
61-80% 5 5
Over 80% 81 83
Total 98 100
3. Does the institution have a centralized records management program that determines policy and work procedures to ensure consistency in recordkeeping practice?
Responses Freq Percent
Yes 95 97
No 3 3
Total 98 100
4. Do the institution's regional operations have separate recordkeeping policies and procedures?
Responses Freq Percent
Yes 18 18
No 53 54
No Regional operations 27 28
Total 98 100
5. If there are regional recordkeeping operations, do the regions apply the institution's Records Disposition Authorities to identify archival records for transfer to Library and Archives Canada?
Responses Freq Percent
Yes 54 76
No 17 24
Total 71 100
6. What percentage of the archival records included in this Records Disposition Authority is captured:
Responses Freq Percent1
in a single records management system that is standard in the institution (e.g. iRims, Foremost) NA 59
in multiple records management systems NA 20
Not captured in any system NA 21
Total NA 100
7. What percentage of the archival records included in this Records Disposition Authority is organized:
Responses Freq Percent
under a single classification scheme that is standard in the institution NA 68
under multiple classification schemes NA 20
Not organized under any classification scheme NA 12
Total NA 100
8. What percentage of archival records covered by this RDA is under the custody and control of your institution's records management program?
Responses Freq Percent
0-20% 19 20
21-40% 5 5
41-60% 16 16
61-80% 10 10
Over 80% 48 49
Total 98 100

1. Answers for questions 6, 7 and 9 represent the average of responses for each category adjusted so the totals add to 100 percent.

9. What percentage of archival records created electronically is:
Responses Percent
filed electronically as the official corporate record 28
printed to paper for filing as the official corporate record 72
Total 100
10. Can the institution's records management staff identify, locate and retrieve the archival records?
Responses Freq Percent
Yes 83 84
No 16 16
Total 99 100
If No, Location of records not known (e.g., loss of corporate memory due to staff leaving; records moved without documentation) 12  
No listing exists for these records 7  
No procedures for retrieving records from off-site locations 2  
Other 8  
11. What percentage of record containers is clearly labelled to identify contents?
Responses Freq Percent
0-20% 9 9
21-40% 2 2
41-60% 7 7
61-80% 8 8
Over 80% 72 74
Total 98 100
12. Does the institution have up-to-date documented guidelines for the physical handling and storage of its archival records?
Responses Freq Percent
Yes 64 65
No - no documented guidelines 13 13
No - documentation is outdated, does not reflect current practice 22 22
Total 98 100
13. What percentage of personnel (including contractors, temporary help, etc.) who access the archival records is trained in the institutional guidelines for handling and storage of archival records:
  Records management personnel Other personnel
Responses Freq Percent Freq Percent
0-20% 29 30 56 60
21-40% 3 3 2 2
41-60% 4 4 12 13
61-80% 5 5 3 3
Over 80% 57 58 21 22
Total 98 100 94 100
14. Are there procedures in place for tracking the archival records when they are removed from a storage location that is under the control of the institution's records management program?
Responses Freq Percent
Yes 92 93
No 7 7
Total 99 100

Section II
(Location 1: normally where largest amount of records are stored)

Building Security

1.1 Identify all building security measures that are in place:
Responses Freq Percent
Security Guards 80 85
Controlled access to the building 91 97
In-house alarm 75 80
Alarm system linked to outside agency or police 54 57
Video cameras 64 68
Key control 79 84
ID tags for staff and visitors 80 85
Sign-in register for visitors 78 83
Separate controlled access to storage areas 72 77
Other 8 9
Total 94 100
1.2. Does the building have a current emergency response plan for document recovery?
Responses Freq Percent
Yes 41 43
No 55 57
Total 96 100
1.3. What percentage of records management personnel is trained in the emergency response plan?
Responses Freq Percent
0-20% 19 46
21-40% 10 25
41-60% 5 12
61-80% 4 10
Over 80% 3 7
Total 41 100
1.4. Has the emergency response plan been tested?
Responses Freq Percent
Yes 22 54
No 19 46
Total 41 100
1.5. In the event of an emergency, are recovery priorities identified among the archival record holdings?
Responses Freq Percent
Yes 30 73
No 11 27
Total 41 100
1.6. Does the local fire department have a copy of the building's emergency response plan and recovery priorities?
Responses Freq Percent
Yes 20 49
No 21 51
Total 41 100
1.7 Have arrangements been made for recovery operations should there be water damage to the records:
  Yes % No % Total %
Drying Space 23 24 71 76 94 100
Disaster supplies 35 37 59 63 94 100
Freezing facilities 24 26 70 74 94 100
Human resources assigned 44 47 50 53 94 100

Facilities

2.1. Does the building have a centralized HVAC (Heating, Ventilation, and Air Conditioning) system?
Responses Freq Percent
Yes 93 99
No 1 1
Total 94 100
2.2. Does the HVAC system run on a 24-hour / 7-day basis?
Responses Freq Percent
Yes 66 70
No 28 30
Total 94 100
2.3. Do the records storage areas have a dedicated HVAC system?
Responses Freq Percent
Yes 28 30
No 66 70
Total 94 100
2.4. Is the HVAC system for the records storage areas regularly monitored and adjusted when required to maintain an appropriate storage environment
Responses Freq Percent
Yes 21 75
No 7 25
Total 28 100
2.5. Are doors and windows in the records storage areas opened to control temperature and ventilation?
Responses Freq Percent
Yes 6 6
No 88 94
Total 94 100
2.6. When maintenance or renovations are undertaken in the building, are measures taken to protect the archival records in the affected areas (e.g., covering or moving the records)?
Responses Freq Percent
Yes 71 79
No 19 21
Total 90 100

Lighting

3.1. Do the records storage areas have exterior windows?
Responses Freq Percent
Yes 48 51
No 46 49
Total 94 100
3.2. If yes, are the windows covered with blinds to prevent damage to archival records from light and heat?
Responses Freq Percent
Yes 43 90
No 5 10
Total 48 100
3.3. How long are the lights in the storage areas on?
Responses Freq Percent
24/7 16 17
Daytime only 56 60
Only when a person enters the storage area 22 23
Total 94 100

Pests and Contaminants

4.1. Describe any pest infestation or contaminants found in the storage areas where archival records are kept
  Yes % No % Total %
Insects 8 9 86 91 94 100
Rodents 10 11 84 89 94 100
Mould 7 7 87 93 94 100
4.2. Are food and beverages banned in the records storage areas?
Responses Freq Percent
Yes 36 40
No 55 60
Total 91 100

Deterioration

5.1. Indicate any damage caused to archival records by natural or artificial agents
  Yes % No % Total %
Water 14 15 80 85 94 100
Fire 1 1 93 99 94 100
Light 0 0 94 100 94 100

Storage

6.1. What percentage of archival records is located in areas protected from flooding, i.e. NOT in basements, top floors of buildings (roof leaks), and rooms with overhead water pipes:
Responses Freq Percent
0-20% 32 34
21-40% 1 1
41-60% 8 8
61-80% 3 3
Over 80% 51 54
Total 95 100
6.2. How often are the records storage areas cleaned?
Responses Freq Percent
Weekly 44 46
Monthly 22 23
Annually 7 7
Less Frequently 23 24
Total 96 100
6.3. Are the storage areas used exclusively to house records, or is the space also used to store other items - e.g. office supplies, cleaning products, computing equipment - that reduce storage space availability and could potentially damage archival records?
Responses Freq Percent
Yes - storage areas are used for records only 72 75
No 24 25
Total 96 100
6.4. Are the archival records separated by media type, e.g. text--paper, audio-video, electronic, maps, etc.?
Responses Freq Percent
Yes - record containers hold only one medium type 68 71
No - record containers hold mixed media 28 29
Total 96 100
6.5. In your archival records storage area, what percentage of shelving units have at least 2 inches of space between the floor and the bottom shelf?
Responses Freq Percent
0-20% 3 3
21-40% 0 0
41-60% 1 1
61-80% 3 3
Over 80% 89 93
Total 96 100
6.6. In your archival records storage area, what percentage of shelving units has at least 500 millimetres (20 inches) of space between the top shelf and the ceiling, including sprinkler system nozzles?
Responses Freq Percent
0-20% 12 13
21-40% 1 1
41-60% 1 1
61-80% 6 6
Over 80% 76 79
Total 96 100
6.7. What percentage of containers holding archival records is stored on the floor in the storage area?
Responses Freq Percent
0-20% 90 95
21-40% 2 2
41-60% 1 1
61-80% 0 0
Over 80% 2 2
Total 95 100
6.8. What percentage of containers holding archival records is stored on top of shelving units?
Responses Freq Percent
0-20% 87 91
21-40% 7 7
41-60% 0 0
61-80% 1 1
Over 80% 1 1
Total 96 100
6.9. What proportion of space in the records storage areas is currently utilized?
Responses Freq Percent
0-80% 30 31
80-100% 51 53
Over 100% 15 16
Total 96 100

Section III
(Location 1: normally where largest amount of records are stored)

1. Paper

1.1. What is the normal temperature in the storage areas where paper archival records are kept?
Responses Freq Percent
Below 18°C 1 4
18 - 24°C 22 78
Above 24°C 1 4
Don't know - temperature not measured/monitored 4 14
Total 28 100
1.2. What is the normal relative humidity in the storage areas where paper archival records are kept?
Responses Freq Percent
Less than 40% 8 29
40 - 50% 7 25
More than 50% 2 7
Don't know - humidity not measured/monitored 11 39
Total 28 100
1.3. What proportion of the archival records is printed on permanent paper (i.e., low-acid paper that became generally available in the Government of Canada post-1990)?
Responses Freq Percent
0-20% 13 45
21-40% 2 7
41-60% 5 17
61-80% 0 0
Over 80% 9 31
Total 29 100
1.4. What percentage of the archival records is stored in file folders?
Responses Freq Percent
0-20% 0 0
21-40% 2 7
41-60% 2 7
61-80% 4 14
Over 80% 21 72
Total 29 100
1.5. Are the file folders containing paper archival records properly filled, i.e.:
  Yes % No % Total %
folders are no more than 1½ inches thick 25 89 3 11 28 100
enclosed items are the proper size 26 93 2 7 28 100
enclosed items are secured on spikes 25 89 3 11 28 100
1.5.(continued) If 'No' to any of above, what % of file folders are improperly filled/
Responses Freq Percent
0-20% 2 40
21-40% 0 0
41-60% 2 40
61-80% 0 0
Over 80% 1 20
Total 5 100
1.6. What percentage of the folders containing archival records is stored on shelves in boxes?
Responses Freq Percent
0-20% 14 50
21-40% 1 4
41-60% 4 14
61-80% 1 4
Over 80% 8 28
Total 28 100
1.7. What percentage of the boxes containing archival records is properly filled:
Responses Freq Percent
0-20% 8 28
21-40% 1 4
41-60% 0 0
61-80% 3 11
Over 80% 16 57
Total 28 100
1.8. What percentage of oversized material is stored in appropriately sized containers?
Responses Freq Percent
0-20% 11 39
21-40% 1 4
41-60% 1 4
61-80% 0 0
Over 80% 15 53
Total 28 100
1.9. What percentage of paper archival records has been copied to support other uses (e.g. access, security)?
Responses Freq Percent
0-20% 22 78
21-40% 1 4
41-60% 3 10
61-80% 1 4
Over 80% 1 4
Total 28 100
1.10. Which method(s) does the institution use to copy paper archival records? (Please check all that apply:)
Responses Freq Percent
Microfilm or microfiche 6 21
Digitization 8 29
Photocopying 24 86
Other 5 18
Total 28 100

2. Electronic

2.1. On which of the following physical formats does your institution store archival electronic records (please check all that apply
Responses Freq Percent
Server (including Web host servers) 17 85
Magnetic tape (including diskettes, reel-to-reel tape, cartridges, etc.) 12 60
Optical Disk (DVD, CD ROM) 7 35
Other 0 0
Total 20 NA
2.2. What methods are used to back up your archival electronic records? Please check all that apply:
Responses Freq Percent
Server 17 85
Tangible electronic formats (diskettes, tapes, cartridges, CD, etc.) 14 70
Microforms (e.g., fiche) 2 10
Print-to-Paper 5 25
Other 0 0
Total 20 NA
2.3 Are the backups of archival electronic records stored off-site?
Responses Freq Percent
Yes 16 80
No 4 20
Total 20 100
2.4 Are the backups of archival electronic records in the same physical format as the original records?
Responses Freq Percent
Yes 15 75
No 5 25
Total 20 100
2.5 Are the backup copies of archival electronic records compressed?
Responses Freq Percent
Yes 7 35
No 13 65
Total 20 100
2.6 Are procedures in place to refresh and migrate electronic archival electronic records to ensure that they continue to be readable?
Responses Freq Percent
Yes 5 25
No 15 75
Total 20 100
2.7 What percentage of archival electronic records can still be read?
Responses Freq Percent
0-20% 0 0
21-40% 0 0
41-60% 1 5
61-80% 1 5
Over 80% 18 90
Total 20 100
2.8 What is the normal temperature in the storage areas where electronic archival records are kept?
Responses Freq Percent
Below 18°C 0 0
18 - 24°C 15 75
Above 24°C 0 0
Don't know - temperature not measured/monitored 5 25
Total 20 100
2.9 What is the normal relative humidity in the storage areas where electronic archival records are kept?
Responses Freq Percent
Less than 40% 3 15
40 - 50% 5 25
More than 50% 0 0
Don't know - humidity not measured/monitored 12 60
Total 20 100
2.10 What proportion of archival electronic records stored on tangible formats (e.g., discs, tapes) are in appropriate protective containers?
Responses Freq Percent
0-20% 5 25
21-40% 1 5
41-60% 2 10
61-80% 1 5
Over 80% 11 55
Total 20 100
2.11 Does the institution have an Electronic Records/Document Management System (ERDMS)?
Responses Freq Percent
Yes 13 65
No 7 35
Total 20 100
2.12 If the institution has an ERDMS, do the staff who create records "e-file" their electronic archival records on a regular basis?
Responses Freq Percent
Yes - 100% of electronic archival records are in the ERDMS 3 23
No 10 77
Total 13 100
2.12 (continued) If 'No' above, what proportion of electronic archival records are in the ERDMS
Responses Freq Percent
0-25% 5 50
26-50% 3 30
51-75% 1 10
Over 75% 1 10
Total 10 100
2.13 In cases where paper archival documents have been converted to electronic form and the originals are destroyed after conversion, do the institution's electronic systems meet the Canadian General Standards Board standards for imaging / EDRMS-type systems?
Responses Freq Percent
Yes 6 35
No 11 65
Total 17 100
2.14 Is metadata normally preserved along with the corresponding archival electronic records?
Responses Freq Percent
Yes 17 85
No 3 15
Total 20 100
2.15 For this Records Disposition Authority, what is the size of the institution's collection of archival electronic records (in gigabytes):
Responses Freq Percent
Less than 10 7 39
10-99 5 28
100 or more 6 33
Total 18 100

3. Microform

3.1. What is the normal temperature in the storage areas where archival microform records are kept?
Responses Freq Percent
Below 18°C 2 29
18 - 24°C 3 42
Above 24°C 0 0
Don't know - temperature not measured/monitored 2 29
Total 7 100
3.2. What is the normal relative humidity in the storage areas where archival microform records are kept?
Responses Freq Percent
Less than 40% 3 42
40 - 50% 0 0
More than 50% 0 0
Don't know - humidity not measured/monitored 4 58
Total 7 100
3.3 What percentage of archival microform records is stored in appropriate protective containers?
Responses Freq Percent
0-20% 1 11
21-40% 0 0
41-60% 1 11
61-80% 0 0
Over 80% 7 78
Total 9 100
3.4 Does your institution have equipment for viewing microforms?
Responses Freq Percent
Yes 8 89
No 1 11
Total 9 100
3.5 Is viewing equipment regularly cleaned and maintained?
Responses Freq Percent
Yes 3 37
No 5 63
Total 8 100
3.6 How frequently are the archival microform records handled for access (i.e. mounted and viewed)?
Responses Freq Percent
Rarely 4 45
Occasionally (once per month or less) 2 22
Frequently (more than once per month) 3 33
Total 9 100
3.7 Does the institution have multiple copies of archival micoform records (please check all that apply):
  Yes % No % Total %
Master (preservation copy only) 5 71 2 29 7 100
Print master (to make copies) 3 42 4 58 7 100
Reference copy (for consultation) 4 58 3 42 7 100
Other 1 13 7 87 8 100

4. Photos

4.1. What is the normal temperature in the storage areas where archival photographs are kept?
Responses Freq Percent
Below 18°C 0 0
18 - 24°C 12 100
Above 24°C 0 0
Don't know - temperature not measured/monitored 0 0
Total 12 100
4.2. What is the normal relative humidity in the storage areas where archival photographs are kept?
Responses Freq Percent
Less than 40% 2 17
40 - 50% 6 50
More than 50% 0 0
Don't know - humidity not measured/monitored 4 33
Total 12 100
4.3 What percentage of archival photographs is stored in protective containers (e.g. sleeves, folders, boxes)?
Responses Freq Percent
0-20% 2 15
21-40% 1 8
41-60% 1 8
61-80% 0 0
Over 80% 9 69
Total 13 100
4.4 What percentage of oversized archival photographs is stored in appropriately sized containers?
Responses Freq Percent
0-20% 4 33
21-40% 1 8
41-60% 0 0
61-80% 0 0
Over 80% 7 59
Total 12 100
4.5 What percentage of the institution's archival photographs is?
Responses Percent
On black and white film 34
On color film 66
Total 100
4.6 What percentage of the institution's archival photographs is on acetate film?
Responses Freq Percent
0% 4 36
1-10% 1 9
More than 10% 6 55
Total 11 100
4.7 What percentage of the institution's archival photographs is on nitrate film?
Responses Freq Percent
0% 8 67
1-10% 1 8
More than 10% 3 25
Total 12 100
4.8 If there are archival photographs on nitrate film, what proportion of these have been segregated from the rest of the archival photograph collection?
Responses Freq Percent
0-20% 2 50
21-40% 0 0
41-60% 1 25
61-80% 0 0
Over 80% 1 25
Total 4 100
4.9 How frequently are the archival photographs handled for access?
Responses Freq Percent
Rarely 8 62
Occasionally (once per month or less) 5 38
Frequently (more than once per month) 0 0
Total 13 100

5. Maps, Plans and Technical Drawings

5.1. What is the normal temperature in the storage areas where archival maps, plans and technical drawings are kept?
Responses Freq Percent
Below 18°C 0 0
18 - 24°C 8 89
Above 24°C 0 0
Don't know - temperature not measured/monitored 1 11
Total 9 100
5.2. What is the normal relative humidity in the storage areas where archival maps, plans and technical drawings are kept?
Responses Freq Percent
Less than 40% 4 45
40 - 50% 2 22
More than 50% 0 0
Don't know - humidity not measured/monitored 3 33
Total 9 100
5.3 What percentage of the archival maps, plans and technical drawing is stored in the following ways:
Responses Percent
Rolled 53
Folded 16
Flat 18
Hanging 13
Total 100
5.4 What percentage of the archival maps, plans and technical drawing is contained in the following:
Responses Percent
Vertical cabinets 17
Horizontal cabinets 26
Open shelving 20
Other 37
Total 100
5.5. Are the archival maps, plans and technical drawings:
  Yes % No % Total %
Supported 6 60 4 40 10 100
Covered 7 70 3 30 10 100
5.6 How frequently are the archival maps, plans and technical drawings handled for access?
Responses Freq Percent
Rarely 6 60
Occasionally (once per month or less) 3 30
Frequently (more than once per month) 1 10
Total 10 100
5.7 Does your institution make photocopies of archival maps, plans and technical drawings?
Responses Freq Percent
Yes 3 30
No 7 70
Total 10 100

6. Audio-Video

6.1. What is the normal temperature in the storage areas where archival audio-video records are kept?
Responses Freq Percent
Below 18°C 0 0
18 - 24°C 11 79
Above 24°C 0 0
Don't know - temperature not measured/monitored 3 21
Total 14 100
6.2. What is the normal relative humidity in the storage areas where archival audio-video records are kept?
Responses Freq Percent
Less than 40% 4 29
40 - 50% 3 21
More than 50% 1 7
Don't know - humidity not measured/monitored 6 43
Total 14 100
6.3 What percentage of archival audio-video records is stored in appropriate protective containers?
Responses Freq Percent
0-20% 3 22
21-40% 0 0
41-60% 0 0
61-80% 2 14
Over 80% 9 64
Total 14 100
6.4 Does the institution have procedures in place to ensure that all archival audio-video records continue to be accessible?
Responses Freq Percent
Yes 10 71
No 4 29
Total 14 100
6.5 Does the institution have playback equipment for all archival audio-video records?
Responses Freq Percent
Yes 9 64
No 5 36
Total 14 100
6.6 Is playback equipment regularly cleaned and maintained?
Responses Freq Percent
Yes 5 56
No 4 44
Total 9 100
6.7 How frequently are archival audio-video records handled for access, i.e. mounted and viewed / listened?
Responses Freq Percent
Rarely 10 72
Occasionally (once per month or less) 2 14
Frequently (more than once per month) 2 14
Total 14 100

7. Art
(Insufficient number of responses)

8. Motion Picture Film
(Insufficient number of responses)

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