Health and Safety Advisory Service retention schedule

This schedule covers all records kept by staff in Health & Safety and local records kept by Departments / Sections. It does not cover Occupational Health records.

What the schedule covers

All records – paper, electronic and email – are covered by this schedule. Retention is based on the content of the record, not its format.

Destroying records

Confidential records should always be destroyed securely. Paper records should be shredded. Care should be taken to ensure electronic records are deleted from all areas. Please see the sharing information safely note.

Abbreviations used in this schedule

T of R = termination of relationship. (When a student graduates, permanently withdraws or otherwise leaves, or when a staff member leaves)
CAY = Current academic year (August to July)
CFY = current financial year (April to March)
CCY = current calendar year (January to December)

A plus sign and a number shows how many years after an event a record should be kept, e.g. T of R +6 means a document is kept for 6 more years after termination of relationship

Health and Safety abbreviations

HASAWA = Health and Safety at Work Act
MHSWR = Management of Health and Safety at Work Regulations
COSHH = Control of Substances Hazardous to Health Regulations
CoNAW = Control of Noise at Work Regulations
CoVAW = Control of Vibration at Work Regulations
PUWER = Provision and Use of Work Equipment Regulations
RIDDOR = Reporting Injuries, Diseases and Dangerous Occurrences Regulation
CMCH = Corporate Manslaughter and Corporate Homicide Act

JISC – Joint Information Systems Committee has a skeleton retention schedule and Business Classification Scheme which have formed the basis for the University of Essex retention schedules.

If you have any questions about this schedule please contact the Information Assurance Manager.

Description of Record	Retention Period	Reason for retention period	Notes
Corporate
Papers for University Steering Group (USG) or Council	3 USG /Council meetings (one academic year)	Departmental preference	Papers would also be kept by relevant committee secretary.
Health and Safety Committees/Groups and sub-committee papers	Permanent	University policy on publication of papers relating to formal University Committees	Kept by committee/group secretary.
Health and Safety Policy	Indefinite	HASAWA IRMS
Consultation records	Consultation End + 6 years	HASAWA IRMS
H&S / departmental policies and procedures	Superseded + 50
Correspondence with enforcers	Permanent	HASAWA CMCH	e.g. HSE, Local Authority, Fire Service. Discussion around investigations etc only. General reminders, circulars etc do not need to be kept. Correspondence documenting audits, reports etc listed elsewhere on this schedule need to be kept as per the relevant section of the schedule.
Fire
Personal Emergency Evacuation Plans (PEEPS)	End of relevance of PEEP +6	Civil law - Limitations Act	Confidential documents/personal data
Fire Risk Assessments (FRAs)	Life of building	Fire Precautions Act 1971 Fire Precautions (Workplace) (Amendment) Regulations 1999 The Regulatory Reform (Fire Safety Order) 2005	All reports of incidents and investigations are retained for FRAs. All policies and general correspondence, including research documents, are retained as evidence for FRAs.
Fire and False Alarm Database	Permanent	University’s Fire Safety Officer’s preference	Provides data for FRAs
Records of arrangements with external service organisations	Review date + 5	JISC
General activities
Health and Safety Budget	CAY +1	JISC	Information is kept on the Agresso system from 2009 onwards
General correspondence	5 years then review for archival value	Civil law – Limitations Act	See JISC guidance on what can be deleted immediately via the University’s Records Management website. Correspondence documenting audits, reports etc listed elsewhere on this schedule need to be kept as per the relevant section of the schedule.
Inspection reports and action plans not listed elsewhere on the schedule	Superseded + 5	Civil law – Limitations Act	Previous report is kept for comparison purposes. Kept by relevant department and H&S.
Health and safety incidents
Records of accidents and incidents (including acts of violence to staff)	Date of recording +5 years	Social Security (Claims and Payments Regulations) 1979 Social Security (Industrial Injuries)(Prescribed Diseases) Regulations 1985 RIDDOR Civil law – Limitations Act	Retention 3 years from 18th birthday if a child under 18. Original incident report and electronic records retained by H&S.
Records of investigations into accidents and incidents	Closure of investigation +40	JISC	There is the potential for long term liability
Notification of reportable accidents and incidents to relevant outside bodies	Date of notification +40	RIDDOR	Part of the investigation record (see above)
Audit
Reports and action plans not listed elsewhere on the schedule.	Completion + 5	HASAWA	Previous report is kept for comparison purposes
Evidence examined as part of audit	Completion + 2 years	MHSWR	Previous report is kept for comparison purposes
Risk assessment and control
Risk Assessments	Further assessment has taken place which renders the previous one obsolete + 6 years	IRMS Civil law: Limitations Act: Also: HASAWA and regulations made under it MHSWR COSHH	Risk assessment records are kept by the relevant Department/Section. Copy of risk assessment, when required, for health surveillance record kept by Occupational Health.
Records documenting H&S arrangements for planning, organisation, control, monitoring and review of preventative and protective measures	Elimination of risk or review of arrangements +5	JISC	Records kept by the relevant Department/Section or H&S (where author is H&S).
Work equipment
Examination and testing records, repair and service records, reports and action plans in relation to plant, equipment, machinery and processes.	Further inspection has taken place which renders the previous one obsolete + 6 years (ISRM) Statutory (minimum): PUWER 1998, states to keep inspection and test reports until superseded, 6(3), or for power presses for 2 years after it was made s. 35.	PUWER 6(3) ISRM Civil law: Limitations Act:	Records are kept by the relevant Department/Section.
Visual inspection of work equipment (eg trolleys, sack barrows, stepladders, kickstools, vehicles, workplace machinery)	Further inspection has taken place which renders the previous one obsolete + 6 years	PUWER ISRM Civil law: Limitations Act:	Records are kept by the relevant Department/Section.
Portable Appliance Test reports	Life of equipment + 3 or Further PAT has taken place which renders the previous one obsolete + 3 years	The Electricity at Work Regulations University PAT Standard University PAT Standard University PAT Standard	Retained by relevant Department/Section. PAT records form part of inspection/audit documentation and should be kept for 3 years after the disposal of the equipment tested.
Lifting equipment	Thorough examination before first use: Lifting equipment – until the employer ceases to use the lifting equipment. Lifting accessories – for 2 years. Thorough examination before use where the safety of the equipment depends on the installation conditions. Until the equipment is no longer in use at the place where it was installed/ assembled. In-service thorough examination. Until the next report is made or 2 years, whichever is the later. In-service inspections/tests. Until the next report is made. (Minimum: Statutory) IRMS recommends life of equipment +6yrs	Lifting Operations and Lifting Equipment Regulations	Records are kept by the relevant Department/Section organising examination, inspection, test.
Noise and vibration surveys (monitoring of working environment and equipment)	Elimination of risk +6 OR Superseded +6	CoNAW CoVAW Civil law – Limitations Act.	Where survey carried out by H&S, H&S will keep copy. Otherwise, Department commissioning report. Copy of survey, when required, for health surveillance record kept by Occupational Health.
Training
Training Central database (ITrent) DSE assessments Sign in sheets Content of training courses	CAY + 5 Superseded + 5	HASAWA and regulations made under it. Civil law – Limitations Act.	Records of training/signature sheets for staff and students, including fire safety, manual handling, DSE, safe working at heights etc. may form evidence in accident investigations
Hazardous substances
Documentation: Hazardous substances present / in use. Reports of monitoring of exposure of employees to substances hazardous to health assessments for work involving substances hazardous to health, where the action level may have been exceeded. Health surveillance records	40 years (statutory)	COSHH Civil law – Limitations Act.	COSHH records and assessments are kept by the relevant Department/Section. Health surveillance records relating to the exposure to hazardous substances will be kept by Occupational Health and a copy kept within the relevant Department.
Local exhaust ventilation examination, test and repair	Minimum 5 years (statutory) Life of Equipment + 6 years (IRMS)	COSHH	Records kept by the Department/Section responsible for arranging examination, test or repair.
Respiratory protective equipment (RPE) examination, test and repair (no disposable)	Minimum 5 years (statutory) Life of Equipment + 6 years (IRMS)	COSHH	Records kept by the relevant Department/Section
Genetically Modified Organisms – risk assessments of activity with GMOs and reviews of assessments Worker registration forms Approved schemes of work BHGMSG minutes	End of activity +10	Genetically Modified Organisms (contained use) Regulations 2014 and amendments	GMOs are covered in general by COSHH legislation – see above. Worker registrations, schemes of work and committee documents are kept by as part of the committee administration duties of the AHSA.
Legionella control records	Minimum 5 years.	COSHH HSE ACOP L8: Legionnaires' disease: The control of legionella bacteria in water systems Legionella Management Policy and Plan.	See list in Legionella Management Policy and Plan for full details. Responsible person (As detailed in LMP&P)
Radiation
Radiation documentation		Ionising Radiation Regulations Environmental Permitting Regulations.	Based on advice from Niall Higbee, Radiation Protection Adviser, May 2009.
Monitoring of designated areas	Minimum 2 years
Testing of monitoring equipment	Minimum 2 years
Summary of dose records from Approved Dosimetry Service	CCY +2
Leak tests of sealed sources	until next record made OR date of disposal +2
Transport documents	4 years
Investigation into overexposure	50 years
Records of incidents of spillages or inadvertent release of material or loss or theft	Indefinitely (permanent archive)
Use of radioactive material in environmental tracer tests
Disposal of low-level waste to landfill for ‘burial at a specified location’
Disposal of long-lived radionuclides to drains (except H-3 and C-14)
Departmental use and disposal of radioactive materials
Departmental use and disposal of radioactive materials
Workers registration forms
Approved schemes of work
Accounting for radioactive substances – general	Until the Agency permits expire (usually after revocation).
Asbestos
Asbestos management records.	Indefinite(Statutory 40 years)	Civil law – Limitations Act Control of Asbestos at Work Regulations	See appendix 1 of Asbestos Policy and Management Plan - Asbestos Managers
Training records	Indefinite (Statutory 40 years)	Civil law – Limitations Act Control of Asbestos at Work Regulations	Records on iTrent
Asbestos incident records	Indefinite (Statutory 40 years)	Civil law – Limitations Act Control of Asbestos at Work Regulations	H&S / Occupational Health
Construction
Construction H&S File	Longest of: Life of site or subsequent asset	Construction (Design and Management) Regulations 2015	Kept by EMS

Valid from: June 2017
Due for review: June 2020
Agreed by: Information Assurance Manager, HSAS team

Freedom of Information Team Information is available on request.

Email: foi@essex.ac.uk

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