Health and Safety Records UK

Description of Business Function

The function of managing the impact of the organisation’s operations on the health and safety of its staff and others while on its premises and in other places where they may be affected by its operations, and of ensuring compliance with legislation on health and safety matters.

Basis of Retention and Disposition

Many records would be kept indefinitely, with a minimum period of 6 years before review in other cases. Based on the need to keep health surveillance and associated risk assessment and incident records available for long periods of time, certainly for a minimum of the stated retention periods within legislation such as COSHH, PUWER, RIDDOR, Control of Lead at Work Regulations 2002, Ionising Radiations Regulations 1999 and the Control of Asbestos Regulations 2006 etc.

Where there is no specific legislative requirement, a 6 year default is assumed as the minimum period to provide evidence in the event of any potential legal action within the Limitation Act 1980.

Retention Rules Per Record Type

Record Type Minimum Retention Period Rationale
Policy Indefinite Based on meeting obligations of Health and Safety at Work Act 1974 s. 2(3) and supports need to keep medical records for lengthy periods of time
Consultations Consultation End + 6 years As required by the Safety Representatives and Safety Committees Regulations 1977, and the Health and Safety Consultation with Employees Regulations 1996, however determined by Limitation of legal action as no retention period is stated within the regulations
Risk Assessments Further assessment has taken place which renders the previous one obsolete + 6 years Evidence and limitation of legal action – Implied by:

COSHH Reg. 6(4) The Management of Health and Safety at Work Regulations 1999 Reg. 3(6) The Provision and Use of Work Equipment Regulations 1998 Reg. 6(3)

Equipment Monitoring for Health & Safety Life of Equipment + 6 years Based on COSHH and limitation of legal action

Exceeds 5 years from date created in Control of Substances Hazardous to Health Regulations 2002 Reg. 9(4) The Provision and Use of Work Equipment Regulations 1998, states to keep inspection and test reports until superseded, 6(3), or for power presses for 2 years after it was made s. 35 The Lifting Operations and Lifting Equipment Regulations 1998 reg. 11(1)(b) states to keep until the next such record is made

Health & Safety Training, including Instruction and training records, Material Safety Data Sheets, Safety Bulletins Material Superseded + 6 years Based on Limitation of legal action – No retention period stated within COSHH, Based on Limitation Act, 1980, c 58 s 5
Accidents and Incidents, including Accident Books, Form BI S10 Indefinite Aligns to keeping of Occupational Health records; Exceeds 3 years from the date of last entry within:

Social Security (Claims and Payments) Regulations 1979, Reg. 25(3) Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995, Reg. 7

Asbestos Inspections and Work Indefinite Based on Limitation of legal action – Supports need to keep medical records for lengthy periods of time

Exceeds 40 years in Control of Asbestos at Work Regulations 2002

Fire Risk Further assessment has taken place which renders previous one obsolete + 6 years Based on Limitation of legal action and Regulatory – Meets risk assessment obligations of Regulatory Reform (Fire Safety Order) 2005, although no retention period stated
Construction Site H&S File Longest of Life of site or subsequent asset Based on the Construction (Design and Management) Regulations 2007 s. 17 (3) & (4)
Emergency Planning CSuperseded + 6 years Based on tLimitation of legal action – no period stated in Control of Major Accident Hazards (COMAH) Regulations 1999 as amended 2005

Citations

Limitation Act 1980, s. 5, Time limit for actions founded on simple contract, “An action founded on simple contract shall not be brought after the expiration of six years from the date on which the cause of action accrued”.

Limitation Act 1980, s.2, Actions founded on tort, “An action founded on tort shall not be brought after the expiration of six years from the date on which the cause of action accrued”

Health and Safety at Work etc Act 1974 s.2 (3) General duties of employers to their employees, “Except in such cases as may be prescribed, it shall be the duty of every employer to prepare and as often as may be appropriate revise a written statement of his general policy with respect to the health and safety at work of his employees and the organisation and arrangements for the time being in force for carrying out that policy”

Safety Representatives and Safety Committees Regulations 1977 http://www.hse.gov.uk/involvement/1977.htm and S. 7 Inspection of documents and provision of information

Health and Safety Consultation with Employees Regulations 1996 http://www.hse.gov.uk/involvement/1996.htm and S. 5 Duty of employer to provide information

Control of Substances Hazardous to Health Regulations 2002 Reg. 6(4) Assessment of the risk to health created by work involving substances hazardous to health, “(4) Where the employer employs 5 or more employees, he shall record— (a)the significant findings of the risk assessment as soon as is practicable after the risk assessment is made; and (b)the steps which he has taken to meet the requirements of regulation 7 [Prevention or control of exposure to substances hazardous to health].”

Management of Health & Safety at Work Regulations 1999 s.3 (6) Risk Assessment, “(6) Where the employer employs five or more employees, he shall record— (a)the significant findings of the assessment; and (b)any group of his employees identified by it as being especially at risk.”

Management of Health & Safety at Work Regulations 1999 s.5 (2) Health and safety arrangements, “2) Where the employer employs five or more employees, he shall record the arrangements referred to in paragraph (1) [effective planning, organisation, control, monitoring and review of the preventive and protective measures]”

The Provision and Use of Work Equipment Regulations 1998 s.6 (3) Inspection, “(3) Every employer shall ensure that the result of an inspection made under this regulation is recorded and kept until the next inspection under this regulation is recorded.”

The Provision and Use of Work Equipment Regulations 1998 Part 4, 35 Powers Presses, Keeping of information, “35.—(1) Every employer shall ensure that the information in every [examination] report made pursuant to regulation 34(1) is kept available for inspection for 2 years after it is made. (2) Every employer shall ensure that a certificate [for competent persons] under regulation 33(1)(a)(ii) or (2)(b) is kept available for inspection— (a)at or near the power press to which it relates until superseded by a later certificate; and (b)after that, until 6 months have passed since it was signed.”

Control of Substances Hazardous to Health Regulations 2002 Reg. 9 Maintenance, examination and testing of control measures, “2) Where engineering controls are provided to meet the requirements of regulation 7, the employer shall ensure that thorough examination and testing of those controls is carried out— (a)in the case of local exhaust ventilation plant, at least once every 14 months, or for local exhaust ventilation plant used in conjunction with a process specified in Column 1 of Schedule 4, at not more than the interval specified in the corresponding entry in Column 2 of that Schedule; or (b)in any other case, at suitable intervals. (3) Where respiratory protective equipment (other than disposable respiratory protective equipment) is provided to meet the requirements of regulation 7, the employer shall ensure that thorough examination and, where appropriate, testing of that equipment is carried out at suitable intervals. (4) Every employer shall keep a suitable record of the examinations and tests carried out in accordance with paragraphs (2) and (3) and of repairs carried out as a result of those examinations and tests, and that record or a suitable summary thereof shall be kept available for at least 5 years from the date on which it was made.”

Lifting Operations and Lifting Equipment Regulations 1998 S.11 Keeping of information “(2) The employer shall ensure that the information contained in— (a)every report made to him under regulation 10(1)(b) is kept available for inspection— (i)in the case of a thorough examination under paragraph (1) of regulation 9 of lifting equipment [before being put into service] other than an accessory for lifting, until he ceases to use the lifting equipment; (ii)in the case of a thorough examination under paragraph (1) of regulation 9 of an accessory for lifting, for two years after the report is made; (iii)in the case of a thorough examination under paragraph (2) of regulation 9 [safety of lifting equipment depends on the installation conditions], until he ceases to use the lifting equipment at the place it was installed or assembled; (iv)in the case of a thorough examination under paragraph (3) of regulation 9 [exposure to conditions causing deterioration ], until the next report is made under that paragraph or the expiration of two years, whichever is later; (b)every record made under regulation 10(2) [inspection records] is kept available until the next such record is made.”

Social Security (Claims and Payments) Regulations 1979, as amended, Reg. 25 (3) “(b) preserve every such record [of any accident causing personal injury to that person] for the period of at least 3 years from the date of its entry”

Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 Reg. 7 Records, “(1) The responsible person shall keep a record of— (a)any event which is required to be reported under regulation 3, which shall contain the particulars specified in Part I of Schedule 4; (b)any case of disease required to be reported under regulation 5(1), which shall contain the particulars specified in Part II of Schedule 4; and (c)such other particulars as may be approved by the Executive for the purpose of demonstrating that any approved means of reporting under regulations 3 or 5(1) has been complied with. (3) The record referred to in paragraph (1) shall be kept either at the place where the work to which it relates is carried on or at the usual place of business of the responsible person and an entry in such a record shall be kept for at least three years from the date on which it was made.”

Control of Substances Hazardous to Health Regulations 2002 Reg. 10(5(a)) Monitoring exposure at the workplace, “(5) The employer shall ensure that a suitable record of monitoring carried out for the purpose of this regulation is made and maintained and that that record or a suitable summary thereof is kept available— (a)where the record is representative of the personal exposures of identifiable employees, for at least 40 years; or (b)in any other case, for at least 5 years, from the date of the last entry made in it.”

Control of Substances Hazardous to Health Regulations 2002 Reg. 11(3) Health surveillance, “(3) The employer shall ensure that a health record, containing particulars approved by the Executive, in respect of each of his employees to whom paragraph (1) applies, is made and maintained and that that record or a copy thereof is kept available in a suitable form for at least 40 years from the date of the last entry made in it.”

Control of Substances Hazardous to Health Regulations 2002 Sch. 3 para 4 (3) Additional provisions relating to work with biological agents, List of employees exposed to certain biological agents, “(3) The employer shall ensure that the list or a copy thereof is kept available in a suitable form for at least 40 years from the date of the last entry made in it.”

Control of Lead at Work Regulations 2002 Reg. 10(5) Medical surveillance, “(5) The employer shall ensure that an adequate health record in respect of each of his employees to whom paragraph (1) applies is made and maintained and that that record or a copy thereof is kept available in a suitable form for at least 40 years from the date of the last entry made in it.”

Control of Asbestos Regulations 2006 Reg. 19(4) Air Monitoring, “3) The employer shall keep a suitable record of— (a)monitoring carried out in accordance with paragraph (1); or (b)where he decides that monitoring is not required because paragraph 2(b) applies, the reason for that decision. (4) The record required by paragraph (3), or a suitable summary thereof, shall be kept— (a)in a case where exposure is such that a health record is required to be kept under regulation 22 for at least 40 years; or (b)in any other case, for at least 5 years, from the date of the last entry made in it”

Control of Asbestos Regulations 2006 Reg. 22(1) Health records and medical surveillance “22.—(1) Subject to regulation 3(2) [exceptions], every employer shall ensure that— (a)a health record, containing particulars approved by the Executive, relating to each of his employees who is exposed to asbestos is maintained; and (b)that record or a copy thereof is kept available in a suitable form for at least 40 years from the date of the last entry made in it.”

Ionising Radiations Regulations 1999 Reg. 21(3) (a) Dose assessment and recording, “(a)to keep the records made and maintained pursuant to the arrangements or a copy thereof until the person to whom the record relates has or would have attained the age of 75 years but in any event for at least 50 years from when they were made”

Ionising Radiations Regulations 1999 Reg. 23(2) (b) Dosimetry for accidents etc., “(b)keep a record of the assessment or a copy thereof until the person to whom the record relates has or would have attained the age of 75 years but in any event for at least 50 years from the date of the relevant accident.”

Ionising Radiations Regulations 1999 Reg. 24(3) Medical surveillance, “(3) The employer shall ensure that a health record, containing the particulars referred to in Schedule 7, in respect of each of his employees to whom this regulation relates is made and maintained and that that record or a copy thereof is kept until the person to whom the record relates has or would have attained the age of 75 years but in any event for at least 50 years from the date of the last entry made in it.”

Ionising Radiations Regulations 1999 Reg. 25(2) Investigation and notification of overexposure, “2) A radiation employer who makes any investigation pursuant to paragraph (1) shall make a report of that investigation and shall— (a)in respect of an immediate investigation, keep that report or a copy thereof for at least 2 years from the date on which it was made; and (b)in respect of an investigation made pursuant to sub-paragraph (c) of paragraph (1), keep that report or a copy thereof until the person to whom the record relates has or would have attained the age of 75 years but in any event for at least 50 years from the date on which it was made.”

Ionising Radiations Regulations 1999 Reg. 27(3) Sealed sources and articles containing or embodying radioactive substances, “(3) Where appropriate, the radiation employer shall ensure that suitable tests are carried out at suitable intervals to detect leakage of radioactive substances from any article to which paragraph (2) applies and the employer shall make a suitable record of each such test and shall retain that record for at least 2 years after the article is disposed of or until a further record is made following a subsequent test to that article.”

Ionising Radiations Regulations 1999 Reg. 30(5) Notification of certain occurrences, “(5) A radiation employer who makes any investigation in accordance with paragraph (4) shall make a report of that investigation and shall, unless the investigation showed that no such occurrence occurred, keep that report or a copy thereof for at least 50 years from the date on which it was made or, in any other case, for at least 2 years from the date on which it was made.”

Ionising Radiations Regulations 1999 Schedule 4 Pt II para 17 Dose limits “17. Where an employer puts into effect a system of dose limitation in pursuance of regulation 11(2), he shall record the reasons for that decision and shall ensure that the record is preserved for a period of 50 years from the date of its making.”

Regulatory Reform (Fire Safety Order) 2005 http://www.legislation.gov.uk/uksi/2005/1541/contents/made

Construction (Design and Management) Regulations 2007 s. 17 (3) & (4) The client’s duty in relation to the health and safety file, “3) The client shall take reasonable steps to ensure that after the construction phase the information in the health and safety file— (a)is kept available for inspection by any person who may need it to comply with the relevant statutory provisions; and (b)is revised as often as may be appropriate to incorporate any relevant new information. (4) It shall be sufficient compliance with paragraph (3)(a) by a client who disposes of his entire interest in the structure if he delivers the health and safety file to the person who acquires his interest in it and ensures that he is aware of the nature and purpose of the file.”

Control of Major Accident Hazards (COMAH) Regulations 1999 as amended 2005 Part 2 General, “Duty to create Major accident prevention policy, Safety Reports, Emergency Plans 5.—(1) Every operator shall prepare and keep a document setting out his policy with respect to the prevention of major accidents (in these Regulations referred to as a “major accident prevention policy document”).”

Control of Major Accident Hazards (COMAH) Regulations 1999 as amended 2005 Part 3 Safety Reports “Sch. 4 Part 1 3. [Safety Report] demonstrating that adequate safety and reliability have been incorporated into the — (a)design and construction, and (b)operation and maintenance, of any installation and equipment and infrastructure connected with its operation which are linked to major accident hazards within the establishment”

Control of Major Accident Hazards (COMAH) Regulations 1999 as amended 2005 Part 4 Emergency Plans “9.—(1) Every operator of an establishment shall prepare an emergency plan (in these Regulations referred to as an “on-site emergency plan”) which shall be adequate for securing the objectives specified in Part 1 of Schedule 5 and shall contain the information specified in Part 2 of that Schedule.”

Last updated bywebfooted