ARCHIVED - About Us

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)

Table of Contents