Storage, Retrieval, Destruction and Digitisation of Paper and Electronic Records CUAREC2015

Storage

A secure and confidential storage environment for a range of records including but not limited to paper, tapes, videos, compact discs, digital video discs, computer disks, other magnetic media, soil samples, core samples and X-rays for any other written, photographic, machine-readable or recorded information created and received by a customer that documents activities in the conduct of its business.

All records are stored in purpose built storage environments. Each premise has been inspected for security and appropriateness of environment in line with existing record keeping practices.

Collection

Records collected for storage are transported in covered and locked vehicles. Vehicles used to transfer computer tapes, disks, other magnetic media and microforms to storage are air-conditioned.

Lodgement

Contractors collect for storage, the initial and subsequent uptakes of records from any metropolitan location, whether it be the customer’s premises, the premises of another supplier or some other location. Scheduling of lodgements should be agreed with the contractor to occur during the times of 8.30am to 5.00pm on business days.

Contractors charge only one single transportation fee for a one-way event even when the same trip involves both pick-up and delivery of either the same or different records or bins or bags for record disposal.

Contractors track records lodged by customers on their inventory management system recording the following information:

• Customer name
• Customer office location
• Customer contact number
• Customer unique uptake number
• Unique identifier for each record
• Total number of records in each uptake
• Records series title and number
• Retention period of each record
• Security status of records.

Each contractor provides a receipt for all records stored.

Contractors provide each customer with ‘look-up’ or ‘read only’ access to their inventory system. The contractor’s system has the capability to make changes or revisions to any listing as requested by the customer’s Authorised Officer.

Collection and delivery charges

Charges for collection and/or delivery vary between contractors.

Requests for retrieval of any record must be made in writing by the unit in which the record is catalogued and placed in lodgement by the customer i.e. a file or a box or an item other than a box. If files within a box are not catalogued, customers must retrieve the entire box rather than individual files in that box. On receipt of a request for retrieval, contractors will retrieve from storage the records requested and deliver them within their following timelines.

Grace Records Management

The Information Management Group

Iron Mountain

ZircoDATA

Contractors must alert the customer within the times set for retrieval if they are unable to meet the above timeline.

The Public Authority Officer must sign for the receipt of records delivered by contractors.

Contractors provide an online monitoring service that enables customers to track at any time the status of a record requested for retrieval. This includes details regarding whether the records are in transit, being retrieved or are not yet located.

Contractors have an obligation to return records to their original box/case.

Customers can retrieve their records on a permanent basis and no permanent retrieval charges apply. Where this is the case, the customer must notify the contractor that the records are being retrieved permanently. The contractor will make appropriate changes to the automated record keeping system within two days of the customer’s notice and storage costs shall cease to apply upon removal of records. The standard retrieval charges apply for permanent retrievals.

Tape cycle management for media

Contractors collect backup tapes based on a customer’s predetermined schedule and transfer them to climate-controlled vaults for storage.
Contractors provide an audit trail of all tape movements including initial and subsequent uptake.

Access to records

Access to records may be made during:

• normal business hours (8.30am to 5pm Monday to Friday, Perth WA time excluding public holidays)
• after hours (outside normal business hours, including public holidays, each and every day of the year) if required.

Each contractor provides a room at their premises, at no additional charge, where the customer can access their records.

NOTE: Extra charges apply for after-hours access. After-hours access should not be used for day-to-day management of records.

Online cataloguing

Customers must provide an online list of records transferred to storage. Each record should have a disposal date so that the contractors can monitor the status of record holdings.

Storage containers

A range of storage containers including standard storage boxes for A4 paper files, non-standard containers for cheques, maps, plans, computer print-outs, bound volumes, ledgers and core samples, and secure boxes for data tapes and vital materials are available from each contractor. Secure boxes are made of metal or other impervious material that can be secured with straps, padlocks or seals. Customers can provide their own storage containers, as long as they are fit for the purpose of storing records.

Archival records

Customers wishing to store archival records need to notify and gain permission from the Director, State Records Office. This is to ensure an audit trail of archival records is maintained. Storage conditions specified in this contract are unsuited to the long term storage of archives.

Reports to customers

Contractors will provide quarterly reports to customers detailing the following:

• number of records held in storage by the contractor
• number and specifications of all records transferred to the customer during the quarterly period
• number of new records that the contractor has received from the customer
• number and specifications of all authorised destruction of records during the period
• records due for destruction
• percentage of retrievals that did not occur within the specified times set for retrieval
• number of records that could not be located when requested during the quarterly period.

Various reports are available through the contractor’s online customer portals. The above reports should be made available within 20 working days after the end of each quarter.

Archiving boxes

For records that are identified as State archives in an approved Disposal Authority, the State Records Office of Western Australia provides a list of specialised suppliers that can provide archival boxes to SRO recommended standards.

SRO Contact

Tel: 61 8 9427 3600, 61 8 9427 3601
Email: sro@sro.wa.gov.au
Website: SRO.wa.gov.au

For more information, see the Frequently Asked Questions section.

Contractors undertake the destruction of records held at their premises. The destruction of records must be approved by the Public Authority’s designated Authorised Officer in accordance with approved disposal authorities. No staff member or representative of the contractor can authorise the destruction.

Contractors provide on-site destruction services where each contractor collects bins of confidential records/material and removes these for destruction. Destruction of records is by either shredding or pulping.

Each contractor provides locked 240L bins or sealed bags to support placement of confidential material awaiting destruction. Contractors maintain an auditable trail for the destruction of the contents of each locked bin / sealed bag, authorised for destruction. For each locked bin / sealed bag destroyed, the contractor provides an entry on a Certificate of Destruction to the Public Authority’s Authorised Officer, within ten working days, following the month the contents were destroyed.

Tips for using on-site destruction services:

• Store the secure bins to be collected for confidential destruction separately to all other bins to avoid confusion.
• Use different coloured bins for confidential destruction to distinguish them from all other bins.
• Ensure designated areas are labelled clearly for confidential and non-confidential material.

Contractors provide scanning/imaging services to customers. These services may involve the:

• Retrospective scanning of important documents in storage on a project basis
• Ongoing scanning during the lodgement of documents into storage where a digital copy is mandated
• Retrospective scanning of documents which are regularly retrieved.

More information

Further details can be found on the contractor’s web sites, which also include web systems with a variety of functions designed to enhance service provisions.

• Grace Records Management www.grace.com.au
• The Information Management Group www.timg.com
• Iron Mountain www.ironmtn.com.au
• ZircoDATA www.zircodata.com.au

The following secure vault storage options are available from Category 1 Contractors, with pricing listed in the Price Schedule.

Grace

• Compliant with the Building Codes of Australia.
• The vault is both temperature and humidity controlled.
• Houses an FM300 gaseous Fire Suppression System and an Inception Security System.
• Located within the Grace Records warehouse.

Iron Mountain

• Compliant with the Building Codes of Australia.
• The vault is both temperature and humidity controlled.
• Houses a VESDA Early Warning Fire Suppression System and a Back to Base alarm system.
• An approximate 20,000 storage carton capacity.
• Located within the Iron Mountain Gnangara warehouse.

TIMG

• Compliant with the Building Codes of Australia.
• The vault is both temperature and humidity controlled.
• Houses a VESDA Fire Suppression System and a Back to Base alarm system.
• Located within The Information Management Group warehouse.

ZircoDATA

ZircoDATA offers two secure vault options to CUAREC2015 Customers:

1. Standard Vault:
   • Compliant with the Building Codes of Australia.
   • Limited holding capacity.
   • Monitored by an alarm system that monitors overall facility. Security camera at entry only.
   • Access is limited to approved staff members.
   • Vault is both temperature and humidity controlled.
   • Houses a Honeywell AFP2800 Fire Suppression System.
2. Premium Vault:
   • Zone 3 Classification under the Protective Security Policy Framework (PSPF) Policies 15 and 16 standards for storage of information classified “Protected.”
   • Compliant with the Building Codes of Australia and meets the medium to high security resistance rating required. This includes 12-metre-high reinforced walls, 300mm thick cement ceiling and an angle-iron framed strongroom door.
   • Rated a medium to high graded security structure in line with the Australian Standards for Vaults and Strongrooms.
   • Houses a VESDA Early Detection Fire System and a Proinert gas fire suppression system.
   • Vault is both temperature and humidity controlled.
   • Capacity to hold in excess of 50,000 storage cartons.
   • Access is limited to approved staff members.
   • Alarm system is a separate zone to the overall facility and cameras monitor the entry to the vault, the exit from inside the vault and also the personnel door. 

Agencies are encouraged to contact the panel suppliers for more information on their vault offerings.

For disposal of non-confidential general waste, please use the Waste Disposal and Recycling Services Common Use Arrangement (CUA), contract number 36309.

Buying direct

Prices for this CUA are fixed so buyers can pick and buy the specified products from the contractors without calling quotes or tenders.

Buyers should view the Price Schedule to obtain prices for the items they require. Where more than one contractor is appointed to a category or sub category, buyers can evaluate which contractor represents best value for money for their needs, then contact the contractor to make their purchase.

Orders should be placed directly with contractors by phone, e-mail or fax.

Buyers should check each individual contractor’s details as to which communication method is preferred for placing orders.

If you are using a contractor for the first time please notify them that you are a CUA user.

If you are from an agency with a record / corporate information branch please contact an officer there before opening a new account.

State agencies should be aware of the following requirements under Western Australian Procurement Rules as they apply to purchases from this CUA.  The below table is a summary of the requirements, and State agencies are encouraged to review the WA Procurement Rules.

Finance is responsible for processing and approving all requests from State agencies seeking exemption from using a mandatory CUA. Requests for an exemption are considered on a case-by-case basis, and a requesting agency must be able to demonstrate that a business need cannot be adequately met by the relevant CUA.

Exemption requests should be directed to the Assistant Director Procurement Frameworks through an email to the contract manager in the first instance. Requests for exemption may be received by posted letter or email, but must be in writing and provide sufficient explanation and background to enable the request to be considered. The requesting officer should be the Accountable Authority or delegate of the agency.

For guidelines on what to include in an exemption request, please refer to the Purchase from a CUA or my Agency’s Panel Arrangements Guideline.

As part of the tender process, contractors on this arrangement have provided details of, and have been evaluated on, their corporate social and environmental responsibility, and the initiatives they have in place to support this.

When engaging a contractor you can ask them about the sustainability practices that they currently have in place within their organisation.
 

A choice of contractors for you to select from

The matrix below lists all contractors on the CUA and the goods/services they have been contracted to provide. Please refer to the What’s on offer? section for categories.

Pricing

All prices listed in this Buyers Guide are fixed for yearly periods. Prices may rise and fall, in line with Perth CPI (All Groups) index each year.

You can view pricing in the Price Schedule.

Payment

Contractors will provide a consolidated monthly invoice to the customer. Payments must be made within 30 calendar days upon receipt of an invoice, either by cheque or by corporate credit card, quoting the contract number.

Payment by Purchasing Card

The government Purchasing Card offers a quick and convenient method of payment allowing many goods and services to be efficiently purchased.
Always remember to inform the supplier that you will be paying by Government Purchasing Card, at the time of ordering the product or service, and ensure they clearly understand that they must send the tax invoice directly to you, the cardholder.

Buying tips

• The CUA introduces a mechanism whereby a customer's newly chosen records storage service provider will absorb costs of transitioning records from the outgoing records storage service provider
• Consolidate your records and reduce ongoing storage costs by destroying records due for destruction
• Consider digitising records to enhance accessibility and reduce storage costs
• For ease of purchase, you can pick and buy directly from contractors without calling for tenders
• Use the contractors' on-line systems whenever possible to increase the accuracy and efficiency of service provisions
• If you require technical or legislative advice related to records management, please contact the State Records Office.

Step by step buying process

Prices for this CUA are fixed so buyers can pick and buy the specified products from the contractors without calling quotes or tenders.

View the Price Schedule to obtain prices for the items you require. Where more than one contractor is appointed to a category or sub category, evaluate which contractor represents best value for money for your needs, then contact the contractor to make your purchase.

Orders should be placed directly with contractors.

If you are from an agency with a record / corporate information branch please contact an officer there before opening a new account.
 

Active contract management pays off

• Check invoices against pricing schedule rates for accuracy before authorising payment.
• Monitor delivery times/pick up times to ensure compliance.
• Document any issues as they arise even if they are resolved. This will assist in ongoing supplier performance management.
• No price increases are payable unless advised by the Department of Finance. Please report any non-CUA pricing variations to the contract manager.
• Consider internal processes to consolidate deliveries and lodgements where possible to minimise costs. Liaise with your account manager and/or the contract manager.
• Consider a total cost of ownership model (inclusive of storage, retrieval, delivery, lodgement, destruction, etc) when comparing contractor pricing.
• If you are unable to resolve issues please contact the CUA contract manager.
   

Will I receive assistance to change contractors? This includes moving from one CUA contractor to another CUA contractor?

The CUA storage providers are offering to:

• absorb or amortise the transition costs including retrieval, delivery/collection and lodgement. See Summary of absorption/amortisation of transition costs for further details
• negotiate and schedule the transition with the outgoing contractor
• facilitate and finalise the physical migration of records
• minimise disruption to retrieval capabilities for items in transit.

The CUA Contract Manager is able to provide support for:

• customer-led liaison with outgoing and incoming contractors in relation to establishing transition timeframes, responsibilities, milestones and costs

CUA Users are advised to contact the CUAREC2015 storage providers and/or the Contract Managers to discuss a solution to their individual storage and records management requirements.

What should the cost quotations be to transition out of one storage provider and into a new one?

Whilst this will vary depending on the contractors, it is essential to check cost quotations against the Price Schedule as these represent the maximum allowable prices.

CUA customers, if they so choose, can also negotiate rates lower than the published prices

What are the transition charges for storage providers?

Transition charges must be limited to items listed in the CUA Pricing Schedule. Please note that:

• retrieval rates must be based on the non-urgent, per box / container rate as specified in the Pricing Schedule
• palletising costs are only charged if specified by the CUA contractor in the Pricing Schedule and must be based on a per pallet rate
• the above costs will be absorbed by the incoming CUA contractor
• non-standard charges such as project management charges and ad hoc labour charges are not permitted
• please contact the CUA Contract Manager should you wish to confirm the validity of any of these charges

Can the outgoing contractor continue to charge storage for items that have been permanently retrieved but are yet to make their physical move to the new provider?

No. Once permanent retrieval costs have been paid for storage items, ongoing storage costs should cease. If a reasonable time frame must be allowed for the outgoing contractor to retrieve all customer storage items, the customer should only pay permanent retrieval costs as instalments in accordance with the outgoing contractor’s rate of permanent retrieval. This has the effect of gradually reducing to zero the ongoing storage costs whilst ensuring that paid-up, permanently retrieved storage items cease to attract ongoing storage costs.

The customer must therefore ensure the creation of, and adherence to, a transition contract that determines the number of boxes per week that the outgoing contractor will have ready for collection by the new storage provider. The customer would also set up a payment schedule for permanent retrieval items that is in accordance with the rate at which boxes are being readied for migration to the new storage provider. The customer must ensure that this is included in writing as part of the transition agreement. Permanent retrieval costs should only be paid once the transition of records has commenced.

Do I need to change boxes?

All CUA contractors will accept any archive storage boxes that are of suitable quality/condition regardless of branding. Contractors will not require customers to utilise a specific brand.

I have selected a CUAREC2015 provider, but the transition of records is yet to commence, or underway. What should I do with newly created records?

Any new records that require storage should be sent to the CUAREC2015 provider. Additionally, any ad-hoc retrieval of records from the outgoing contractor as part of day-to-day operations should be done on a permanent basis, and then stored with the CUAREC2015 provider.

I currently have boxes with one of the new CUA storage providers but would like to transfer the records to a different storage provider.

It is recommended that customers commence discussions with CUAREC2015 contractors and consider their proposal with regard to service solutions. All CUAREC2015 contractors are keen to provide site visits/facility tours and to present a customised transition cost absorption arrangement.

For a step by step guide on transitioning, please refer to the Transitioning Guidelines below.

I have records with a CUA34504 or CUA 23499 supplier am I required to transition to a CUAREC2015 supplier?

All public authorities in the Perth region are required to migrate their records to a CUAREC2015 supplier.

Transitioning Guidelines

Summary of absorption/amortisation of transition costs

How are intellectual property rights managed under this CUA?

For this CUA, the contractor is the owner of the Intellectual Property (IP) Rights in New Material with the State having a licence to exercise all rights of an IP owner for the purposes of clause 24 of the General Conditions. For further information, please contact the contract manager.

Am I required to use the contractor’s Terms and Conditions?

No. The contractor has agreed to the Department of Finance’s Request Conditions and General Conditions of Contract (August 2012).There is no requirement to sign or agree to any alternative terms and conditions.

Do I have to buy from this contract if I am purchasing from a regional location?

No. This CUA is only mandatory for Public Authorities in the Perth Region. If you are outside this region, you can apply regional purchasing discretion in accordance with the Government’s Buy Local Policy 2022. Details of this policy can be found at  Procurement Act 2020 webpage.

What happens if I need to purchase products/services that are not available on this arrangement?

You can purchase all standard services from this contract. As such it should not be necessary to purchase any additional items. In the instance that the service / product is not available on the CUA then buyers must purchase in accordance with relevant Western Australian Procurement Rules. Details of these policies can be found on  Western Australia Procurement Rules webpage.

What do I do if I am unhappy with the service of a contractor?

Contact the contractor and request a meeting to resolve the matter. Clearly outline the issue, ask the contractor to explain and together resolve the matter. If the problem or issue is not resolved to your satisfaction, please log your complaints to the contract manager. Finance will follow-up the matter with the Contractor.

How does Finance manage the contract?

The contractor at the end of every quarter reports to Finance on a range of fields to enable Finance to monitor the performance of the contract against the key performance indicators and compliance with the terms and conditions of the contract.

Can I receive updates about this contract, including any price changes?

Yes. Click the subscribe button on the top right hand side of this page and fill in your information.

What do I do if I need to purchase standard or archival boxes?

Please refer to State Records Office recommendations in the Storage, Lodgement, Retrieval, Collection & Delivery section.