Health and Safety retention schedule

Description of Record

Retention Period

Reason for retention period

Notes

Corporate

Papers for Executive Committee (ExCom) or Council

3 ExCom / Council meetings (one academic year)

Departmental preference

Papers would also be kept by relevant secretary.

Health and Safety Group and sub-group papers

Permanent

University policy on publication of papers relating to formal University Committees

Kept by relevant 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Superseded + 50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 e.g. HSE, Local Authority, Fire Service.

Permanent

HASAWA
CMCH

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 Fire Safety 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 Agresso/Unit 4 from 2009 onwards.

General correspondence

5 years then review for archival value

Civil law – Limitations Act

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Superseded + 5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

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 required for health surveillance records may also be 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

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 a copy. Otherwise, Department commissioning report. Copy of survey, when required for health surveillance record, kept by Occupational Health.

Training

Training

• 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.

H&S only keep copies of training records that have been

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 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 other documents are kept as part of the administration duties of the BHGMSG secretary.

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

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

Records may be kept by H&S and Occupational Health

Kept by EMS