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CSU RECORDS MANAGEMENT PROGRAMRECORDS 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 [email protected]

BUSINESS UNIT DETAILS

Location being assessed Date:

Business Unit of the location being assessed

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 of 7Division of Information Technology – Enterprise Architecture

mailto:[email protected]

Records Storage Risk Assessment Tool ENTER SCHOOL/DIVISION NAME

NO. REQUIREMENT QUESTION RESPONSE / LIKELIHOOD POSSIBLE REMEDIAL ACTIONS

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.

Is this location subjected to excessive dust levels?

YesNo

HighMediumLow

- 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.

1.2 Light:Records can deteriorate if exposed to too much light, in particular sunlight. Records should be stored away from direct sunlight.

Are records in this location subjected to direct sunlight?

YesNo

HighMediumLow

- Move records 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.

If electronic records are also stored, is this location subjected to magnetic fields?

YesNo

HighMediumLow

- Relocate computer disks and tapes from areas considered at risk from magnetic fields.

- Ensure storage cabinets are not magnetised.

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.

Is this location damp or moldy?

YesNo

HighMediumLow

- 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.




1.5 Pests - insects:Pests and insects (e.g. silverfish) can damage records over time and infest other areas when records are moved.

Is there evidence in this location of infestation from pests and insects?

YesNo

HighMediumLow

- 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.

1.6 Pests - vermin:Mice and other vermin can damage records. Record areas should be vermin free.

Is there evidence in this location of mice and/or other vermin?For example, chewed boxes or files, droppings etc.

YesNo

HighMediumLow

- Check records storage areas for infestation on a regular basis.

- Where your storage area is infested, lodge a BEIMS Maintenance Request.

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: 19-

21oC and 47.5-52.5% RHStandards for retention of records over 30 years are tighter.

Is this location subjected to fluctuating temperature / humidity levels which may fall outside the specified requirements?

YesNo

HighMediumLow

- Store records in air-conditioned areas.- Transfer long term retention and permanent

records to the CSU Archives Centre, South Campus Wagga Wagga.




2. Fire or water

2.1 Fire – combustible film:Nitrate film and other multimedia formats can be unstable. In extreme cases, they may combust.

Are there any unstable record formats such as combustible nitrate film held in this location?

YesNo

HighMediumLow

- Discuss storage requirements with the University Records Manager.

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.

Are there known cases of faulty wiring or damaged equipment kept within this location?

YesNo

HighMediumLow

- Discard suspect/damaged equipment. - Lodge a BEIMS Maintenance Request

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. Storing records well above floor level will reduce the affects of localised flooding. Standards for records storage recommend a height off the floor of 85-150mm.

Is this location subject to flooding?

YesNo

HighMediumLow

- Move records from areas prone to flooding.- Move records off the ground by at least

85mm or into filing cabinets, compactus or shelving of some form.

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.

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.

YesNo

HighMediumLow

- 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.




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.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.

Is this location next to or subject to damage from building works?

YesNo

HighMediumLow

- 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.

3.2 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.

Is this location next to a kitchen or toilet facilities?

YesNo

HighMediumLow

- 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.




3.3 Proximity to labs and workshops: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).

Is this location next to or within laboratories or workshops?

YesNo

HighMediumLow

- 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.

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).Business units need to consider who has access to this location and whether this access is appropriate.

Is this location accessible by unauthorised persons?

YesNo

HighMediumLow

- 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.




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.

Are storage units within this location damaged or unstable?

YesNo

HighMediumLow

- Replace unsafe storage cabinets/units

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.It is also good practice to organise the destruction of records when they have satisfied CSU business needs and legal retention requirements.

Is this location a “dumping ground” for all types of material and equipment, including records that are not managed appropriately?

YesNo

HighMediumLow

- 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.

4.3 Use of floorsStoring 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. Storing records well above floor level will reduce the affects of localised flooding. Standards for records storage recommend a height off the floor of 85-150mm.

Are records stored on the floor in this location?

YesNo

HighMediumLow

- Transfer records from floor areas to suitable storage cabinets or shelving units.

End of the assessment.


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