Students Staff

Health and Safety Advisory Service Retention Schedule

This schedule covers all records kept by all staff in the Health & Safety Advisory Service 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 Managing email good practice note.

There is more information on the University website

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.

IRMS.

Questions

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. Minutes of Health and Safety Group are also posted on the University’s website
Health and Safety Policy Indefinite HASAWA
IRMS
Consultation records Consultation End + 6 years HASAWA
IRMS
HSAS / 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 or HSAS (depending on who is originator).
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 HSAS.
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, 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 HSAS (where author is HSAS).
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
PAT records will form part of inspection/audit documentation and should be kept for 3 years after the disposal of the equipment tested.
Retained by owner department.
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 HSAS, HSAS 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
  • BH&GM committee 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 the Service 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
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 HSAS / 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