CSU RECORDS MANAGEMENT PROGRAM
RECORDS STORAGE RISK ASSESSMENT TOOL1
INTRODUCTION
Purpose: This tool is designed to identify obvious risks to records stored in local areas and any additional
risks based on local knowledge and previous experiences of local disasters. It is targeted at records
storage areas, including local office areas where records are stored while in use, as well as local storage
rooms used to store archived records.
Responsibilities: The Head of each business unit is responsible for ensuring this Risk Assessment Tool
is completed. This assessment should be completed for all records storage areas used by a business unit
as part of the self-assessment process. The risk assessment must be completed before any location used
for local archival storage can be approved.
STORAGE RISK ASSESSMENT INSTRUCTIONS
Step 1: Complete this coversheet.
Step 2: Respond to the questions in the following sections for the location specified on this coversheet.
This risk assessment tool provides a series of questions with the following responses:
 Yes / No – select YES or NO to indicate whether you believe the identified risk may, or
has, apply to the location being assessed.
 Likelihood – select LOW, MEDIUM or HIGH to indicate whether the risk is likely to occur,
or continue in the future.
Step 3: Your response to a question may indicate that action is required. Remedial action should be fed
into your Records Management Plan. Proposed remedial actions are listed as part of each
question and further advice on suitable actions can also be sought from the University Records
Manager
Step 4: Feed actions arising from this assessment into your business unit’s Records Management Plan.
Step 5: A copy of the completed assessment is to be emailed by the Head of the Business Unit to the
University Records Manager for their information at smcmenamin@csu.edu.au
BUSINESS UNIT DETAILS
Location being assessed
Business Unit of the location
being assessed
Date:
Business Unit:
Faculty (if applicable):
In completing and lodging this assessment, the business unit acknowledges that the assessment
is an accurate reflection of the storage areas within their business unit
Head of Area
Name:
Ext:
Details of person completing
the risk assessment
Name:
Ext:
Email:
Position:
1
Reproduced and adapted for CSU with permission of University of Technology, Sydney
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 1 of 7
Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
1.
Environmental conditions
1.1
Dust:
Over time dust can damage records.
Excessive dust levels, caused through
building works and poor storage areas
etc. should be avoided, particularly for
records kept for a longer period of time.
1.2
Light:
Records can deteriorate if exposed to
too much light, in particular sunlight.
Records should be stored away from
direct sunlight.
1.3
Magnetic fields:
Electronic records on computer disks
and tapes can be affected by magnetic
fields. Magnetic fields may exist in
laboratories and workshops. Metal
storage cabinets may also be
magnetized.
1.4
Mould:
Mould will usually affect areas where
records are stored below ground level
or within internal offices without air
circulation. Mould is a health risk for
staff and can damage records.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
QUESTION
Is this location subjected
to excessive dust levels?
RESPONSE / LIKELIHOOD
Yes
High
No
Medium
POSSIBLE REMEDIAL ACTIONS
-
Move records from storage areas that are
identified as excessively dusty, or, if that is
not practical, store records in boxes to
reduce the direct affect of dust.
-
Implement a regular cleaning regime in dust
prone areas.
-
Move records away from direct sunlight.
-
Relocate computer disks and tapes from
areas considered at risk from magnetic
fields.
-
Ensure storage cabinets are not magnetised.
-
Where mould is identified in your storage
area, move unaffected records to a new
location. You should contact OH&S
representative before undertaking any work
to ensure safe work practices are
implemented.
-
If records are already affected by mould,
contact University Records Manager for
further advice. DO NOT move them to a new
location until advised.
Low
Are records in this
location subjected to
direct sunlight?
Yes
High
No
Medium
If electronic records are
also stored, is this
location subjected to
magnetic fields?
Yes
High
No
Medium
Is this location damp or
moldy?
Yes
High
No
Medium
Low
Low
Low
Page 2 of 7
Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
QUESTION
1.5
Pests - insects:
Is there evidence in this
location of infestation
from pests and insects?
Pests and insects (e.g. silverfish) can
damage records over time and infest
other areas when records are moved.
1.6
Pests - vermin:
Mice and other vermin can damage
records. Record areas should be vermin
free.
1.7
Temperature:
Deterioration of records is determined
greatly by environmental conditions
such as high fluctuations in temperature
and humidity.
For records under 30 years retention:
-
paper: 15-27oC and 30-60% RH
-
photo, magnetic and optical: 1921oC and 47.5-52.5% RH
Is there evidence in this
location of mice and/or
other vermin?
RESPONSE / LIKELIHOOD
-
Check records storage areas for infestation
on a regular basis.
-
Where your storage area is infested, lodge a
BEIMS Maintenance Request.
-
Where your records are infested, contact the
University Records Manager for further
advice. DO NOT move infested records to a
new location until advised. This may spread
the infestation.
-
Check records storage areas for infestation
on a regular basis.
Low
-
Where your storage area is infested, lodge a
BEIMS Maintenance Request.
Yes
High
-
Store records in air-conditioned areas.
No
Medium
-
Transfer long term retention and permanent
records to the CSU Archives Centre, South
Campus Wagga Wagga.
Yes
High
No
Medium
Low
Yes
High
No
Medium
For example, chewed
boxes or files, droppings
etc.
Is this location subjected
to fluctuating
temperature / humidity
levels which may fall
outside the specified
requirements?
POSSIBLE REMEDIAL ACTIONS
Low
Standards for retention of records over
30 years are tighter.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 3 of 7
Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
2.
Fire or water
2.1
Fire – combustible film:
Nitrate film and other multimedia
formats can be unstable. In extreme
cases, they may combust.
2.2
Fire – faulty equipment:
Apart from the safety issues with faulty
equipment, they can cause fires and
damage to records can be impossible to
recover from.
2.3
Water – flooding:
Flooding can affect any area as a result
of broken pipes, overflowing sinks or
toilets etc. Flooding can also occur from
an external source affecting areas on
the ground floor or below.
QUESTION
RESPONSE / LIKELIHOOD
Are there any unstable
record formats such as
combustible nitrate film
held in this location?
Yes
High
No
Medium
Are there known cases of
faulty wiring or damaged
equipment kept within
this location?
Yes
No
Is this location subject to
flooding?
Yes
No
POSSIBLE REMEDIAL ACTIONS
-
Discuss storage requirements with the
University Records Manager.
High
-
Discard suspect/damaged equipment.
Medium
-
Lodge a BEIMS Maintenance Request
High
-
Move records from areas prone to flooding.
Medium
-
Move records off the ground by at least
85mm or into filing cabinets, compactus or
shelving of some form.
-
Check records storage areas for leaks on a
regular basis.
-
Relocate records from areas prone or
currently affected by leaks.
-
Where leaks are identified, lodge a BEIMS
Maintenance Request.
Low
Low
Low
Storing records well above floor level
will reduce the affects of localised
flooding. Standards for records storage
recommend a height off the floor of 85150mm.
2.4
Water – leaks:
Leaks in pipes, sprinkler systems etc.,
above or close to records’ storage areas
need to be identified and fixed as water
damage can be difficult and costly to
recover from. If leaks are known to
reoccur, records should be relocated.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Does this location
experience leaks (water
or other) that may, or
have already, affected
records stored there?
Note: includes leaks from
pipes above or within
walls.
Yes
High
No
Medium
Low
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Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
3.
Location of storage area
3.1
Proximity to building work:
Building works directly affecting your
area can cause several risks to records,
including reduced security levels, dust,
increased risk of fire or water damage,
possible loss through staff movements
etc.
QUESTION
Is this location next to or
subject to damage from
building works?
RESPONSE / LIKELIHOOD
Yes
High
No
Medium
Proximity to kitchens and toilets:
It is preferable that records are not
stored in close proximity to kitchens or
toilets as water and fire damage can be
difficult and costly to recover from.
Where this is so, strategies should be in
place to ensure the records are
protected through appropriate storage.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Is this location next to a
kitchen or toilet
facilities?
-
Workmen working directly within records
storage areas must be made aware to report
any incidents that may affect records
immediately.
-
Areas must be aware of building works in
locations adjacent to record storage areas
and monitor any affects on records during
the works.
-
Move records directly affected by building
works to a temporary location.
-
Relocate records to areas not directly
adjacent to kitchens or toilets, or, if not
practical, ensure records are stored in
suitable cabinets to minimise any damage if
a disaster occurs.
Low
Building works indirectly affecting your
areas may also cause risks to records,
however, an individual area may be less
likely to mitigate against the risks or be
aware of them.
3.2
POSSIBLE REMEDIAL ACTIONS
Yes
High
No
Medium
Low
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Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
QUESTION
3.3
Proximity to labs and workshops:
Is this location next to or
within laboratories or
workshops?
Yes
High
No
Medium
Is this location
accessible by
unauthorised persons?
Yes
High
No
Medium
Laboratories and workshops can
experience overflowing sinks, fires and
chemical spills. To minimise risks
associated with possible damage to
records, they should not be stored in or
adjacent to laboratories or workshops. If
storage in these areas is necessary,
appropriate strategies should be in
place to ensure records are protected
through storing them in appropriate
storage cabinets (e.g. if there is the
possibility of fire within a laboratory,
more so than in any other areas, a
fireproof cabinet should be used).
3.4
Security of the location:
Records should not be kept in areas
that are accessible by unauthorised
persons (i.e. people not authorised to
access the records).
RESPONSE / LIKELIHOOD
POSSIBLE REMEDIAL ACTIONS
-
Relocate records to areas not directly within
or adjacent to laboratories and workshops
where there is an identified risk of fire,
flooding or chemical spills, or, if not practical,
ensure records are stored in suitable
cabinets to minimise any damage if a
disaster occurs.
-
Identify who has access to your storage
areas.
-
Limit access to storerooms to authorised
staff only, or, if not possible, keep records in
lockable cabinets.
Low
Low
Business units need to consider who
has access to this location and whether
this access is appropriate.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 6 of 7
Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME
NO.
REQUIREMENT
4.
Method of storage
4.1
Storage units:
Rusty or damaged storage cabinets can
result in damage to records and may
also be a safety issue for staff.
4.2
Use as dumping grounds:
Dumping records or other items into the
records’ storage area without proper
management and appropriate disposal
practices in place can lead to other risk
factors, such as infestation and vermin,
and may increase the effect of water or
fire-based disasters.
QUESTION
RESPONSE / LIKELIHOOD
Are storage units within
this location damaged or
unstable?
Yes
High
No
Medium
Is this location a
“dumping ground” for all
types of material and
equipment, including
records that are not
managed appropriately?
Yes
High
No
Medium
POSSIBLE REMEDIAL ACTIONS
-
Replace unsafe storage cabinets/units
-
Implement a regular records’ disposal
program.
-
Delegate the management of records’
storage areas to staff and where possible
limit access and the use of storage areas as
“dumping grounds”.
-
Box and/or list all records held within
records’ storage areas.
-
Transfer records from floor areas to suitable
storage cabinets or shelving units.
Low
Low
It is also good practice to organise the
destruction of records when they have
satisfied CSU business needs and legal
retention requirements.
4.3
Use of floors
Storing records or boxes of records on
the floor puts them at risk from flooding
or water build-up. It is also a safety
issue for staff.
Are records stored on
the floor in this location?
Yes
High
No
Medium
Low
Storing records well above floor level
will reduce the affects of localised
flooding. Standards for records storage
recommend a height off the floor of 85150mm.
End of the assessment.
University Records and Compliance 2015
Division of Information Technology – Enterprise Architecture
Page 7 of 7