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RM: Documentation: Schedules
HERIOT-WATT UNIVERSITY
ARCHIVE, RECORDS MANAGEMENT AND MUSEUM SERVICE
Retention Schedule for Health & Safety
The letter indicates the final disposition of each type of record:
A = 1 copy to be transferred to the University Archive. See Retention Schedule Guidelines for further details.
D = Destroyed.
The number following the letter code indicates the period (in years) after which records may be destroyed, and is the
minimum retention period required by best practice or legislation. It assumes a new file is opened at the start of each
academic year, and the period is always calculated from the date of the last record in the file.
This retention schedule applies to original records. Where copies of originals are kept locally, these can be destroyed
when these are no longer required.
Health & Safety: Managing the impact of the institution’s operations on the health and safety of its staff, students and
others, and ensuring compliance with health and safety legislation, regulations and standards.
Ref. Directory Sub-directory Record series Retention Period
25.1 Strategy Development A (1974 c.37)
25.2 Planning A (1974 c.37)
25.3 developing performance indicators and Performance
measurement mechanisms
measuring, monitoring and analysing Data analysis D2 (1974 c.37)
performance
formal reviews of performance and responding Reports & A (1974 c.37)
to the results, including preparing and Reviews
implementing action plans to address under-
performance or other issues raised; reporting
on performance to statutory authorities and to
internal and external stakeholders.
25.4 Policy A (1974 c.37)
25.5 Procedures D50 (1974 c.37)
25.6 Audits
planning audits A on completion
conducting audit investigations (1974 c.37)
writing and delivering audit reports
reviewing and responding to audit reports,
including drawing up action plans to address
issues raised
25.7 Consultation
notifications of appointments of safety Safety D2 on termination
representatives by trade unions under the Representatives of appointment
Safety Representatives and Safety Committees (SI 1977/500)
Regulations 1977
provision of time off, and other facilities and D6 (SI 1977/500)
assistance, for safety representatives appointed
under the Safety Representatives and Safety
Committees Regulations 1977
consultations and other communications with D50 (SI 1977/500)
safety representatives appointed under the
Safety Representatives and Safety Committees
Regulations 1977
25: Health&Safety v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 January 2013
RM: Documentation: Schedules
HEALTH & SAFETY (continued)
Ref. Directory Sub-directory Record series Retention Period
25.7 Consulation (continued)
formation of a safety committee under the Safety Committee Minutes, Papers A (SI 1977/500)
Safety Representatives and Safety Committees & Reports
Regulations 1977, including documenting the
objectives, role, functions, composition and
administration of the committee
election of members of a safety committee D2 on termination
formed under the Safety Representatives and of appointment
Safety Committees Regulations 1977 (SI 1977/500)
election of representatives of employee safety D2 on termination
under the Health and Safety (Consultation of appointment
with Employees) Regulations 1996 (SI 1996/1513)
consultations and other communications with These should be D50 (SI
representatives of employee safety elected included in the Safety 1996/1513)
under the Health and Safety (Consultation Committee papers
with Employees) Regulations 1996, or with all
employees directly
training (specifically related to their functions D6 (SI 1996/1513)
as representatives) for representatives of
employee safety elected under the Health and
Safety (Consultation with Employees)
Regulations 1996
provision of time off, and other facilities and D6 (SI 1996/1513)
assistance, for safety reps.appointed under the
Health and Safety (Consultation with
Employees) Regulations 1996
25.8 Training
providing information, instruction and training Safety Training D6 (SI 1981/917;
on health and safety matters to staff, students SI 1989/635;
and others who use the institution's facilities SI 1989/682;
SI 1989/1790;
For rôle-specific training for Fire Wardens and SI 1992/2792;
First-Aiders, use HEALTH & SAFETY/Emergency SI 1992/2793;
Planning SI 1992/2932;
SI 1992/2966;
SI 1996/341;
SI 1997/1840;
SI 1999/3242;
SI 2002/2675;
SI 2002/2676;
SI 2002/2677)
information and instruction on health and D6 (1957 c.31;
safety matters provided for members of the 1974 c.37;
public and others who have legitimate access SI 1999/3242)
to the premises, and the methods of delivery
25.9 Hazards
identification of general health and safety Identification D6 on elimination
hazards to the institution's employees, and of risk (SI
others on its premises, and the conduct and 1989/1790;
results of risk assessments in relation to plant, SI 1992/2792;
equipment, machinery and processes SI 1999/3242)
health and safety arrangements for the Risk Assessment D6 on completion
planning, organisation, control, monitoring of review (SI
and review of preventive and protective 1999/3242)
measures (as required by the Regulations)
25: Health&Safety v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 January 2013
RM: Documentation: Schedules
HEALTH & SAFETY (continued)
Ref. Directory Sub-directory Record series Retention Period
25.10 Hazardous Substances
controlling the exposure of staff, students and
others to hazardous substances on the institution's
premises or in other places affected by its
operations
documenting hazardous substances present or COSHH D40 on updating
in use (SI 2002/2677)
employees exposed to Group 3 or Group 4 D40 on last entry
biological agents (defined in the Regulations) (SI 2002/2677)
accidents and incidents involving Group 3 or D40 on recording
Group 4 biological agents (defined in the (SI 2002/2677)
Regulations)
conduct and results of risk assessments for D6 on elimination
work involving substances hazardous to of risk (SI
health, as defined in the Regulations cited 2002/2677)
examination, testing and repair of plant and D6 on test/repair
equipment provided to control exposure to (SI 2002/2677)
substances hazardous to health
conduct and results of monitoring of exposure D6 (SI 2002/2677)
of employees to substances hazardous to
health: general exposure
conduct and results of monitoring of exposure D40 from date of
of employees to substances hazardous to monitoring
health: exposure of identifiable individual (SI 2002 2677)
employees
surveillance records of identifiable individual D40 on last entry
employees who are exposed to substances (SI 2002/2677)
hazardous to health
conduct and results of risk assessments of Lead D6 on elimination
work which exposes employees to lead (SI 2002/2676)
examination, testing and repair of plant and D6 from date of
equipment provided to control exposure to test/repair
lead (SI 2002/2676)
air monitoring conducted in accordance with D40 from date of
the requirements of the Regulations: where monitoring
exposure requires individual employees to be (SI 2002/2676)
under medical surveillance under Regulation
10
air monitoring conducted in accordance with D6 from date of
the requirements of the Regulations: in all monitoring
other cases (SI 2002/2676)
surveillance records of identifiable individual D40 on last entry
employees who are exposed to lead (SI 2002/2676)
assessments to determine the presence of Asbestos D6 on elimination
asbestos (SI 2002/2675)
conduct and results of risk assessments of D6 on completion
work which exposes employees to asbestos: of work (SI 2002
where the exposure of employees may exceed 2675)
the action level
conduct and results of risk assessments of D6 on completion
work which exposes employees to asbestos: in SI 2002/2675)
all other cases
written plans of work (as defined in the D6 on completion
Regulations) for undertaking work with (SI 2002/2675)
asbestos
notifications of work with asbestos to the D on completion
enforcing authorities (SI 2002/2675)
25: Health&Safety v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 January 2013
RM: Documentation: Schedules
HEALTH & SAFETY (continued)
Ref. Directory Sub-directory Record series Retention Period
25.10 Hazardous Substances (continued)
examination, testing and repair of plant and D6 from date of
equipment provided to control exposure to test/repair
asbestos (SI 2002/2675)
air monitoring conducted in accordance with D40 from date of
the requirements of the Regulations: where monitoring
exposure requires health records to be kept for (SI 2002/2675)
individual employees under Regulation 21
air monitoring conducted in accordance with D6 from date of
the requirements of the Regulations: in all monitoring
other cases (SI 2002/2675)
surveillance records of identifiable individual D40 on last entry
employees who are exposed to asbestos (SI 2002/2675)
certificates of medical examination of D40 from date of
identifiable individual employees who are certificate
exposed to asbestos (SI 2002/2675)
25.11 Inspection
conducting health and safety inspections of the D6 (1974 c.37;
institution’s premises and operations SI 1999/3242)
25.12 Incidents:
recording of accidents, dangerous occurrences Recording D5 from date of
and outbreaks of notifiable diseases on the recording (SI
institution’s premises 1979/628;
SI 1985/967;
SI 1995/3163)
accidents and incidents involving Group 3 or D40 from date of
Group 4 biological agents (defined in the recording
Regulations) (SI 2002/2677)
notification and reporting of reportable Reporting D4 from date of
accidents, dangerous occurrences and notification
outbreaks of notifiable diseases to enforcing (SI 1995/3163)
authorities
investigation of accidents, dangerous Investigation D40 on closure of
occurrences and outbreaks of notifiable investigation
diseases on the institution’s premises (possible long-term
liability)
25.13 Employee Health Surveillance
monitoring the health of employees who are COSHH D40 on last entry
exposed to identified health risks in the course Lead (1980 c.58;
of their work with/in the institution Asbetsos SI 1999/3242;
SI 2002/2675
SI 2002/2676
SI 2002/2677)
pre-employment health screening of an D40 on termination
employee of employment
(1980 c.58)
25: Health&Safety v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 January 2013
RM: Documentation: Schedules
HEALTH & SAFETY (continued)
Ref. Directory Sub-directory Record series Retention Period
25.14 Emergency Planning
assessing requirements for fire wardens and Fire Wardens D6 on review
first-aiders First Aid (1974 c.37;
SI 1981/917
SI 1997/1840)
appointing and training fire wardens and first- D on termination of
aiders appointment
(1974 c.37;
SI 1981/917
SI 1997/1840;
SI 1999/3242)
assessing requirements for fire-fighting, first D6 on review of
aid and other emergency response equipment assessment
(1974 c.37;
SI 1981/917
SI 1997/1840)
making arrangements with external emergency D6 from review of
service organisations for the provision of first arrangements
aid, emergency medical assistance, fire- (SI 1997/1840;
fighting and rescue services SI 1999/3242)
Cited legislation affecting management of Health & Safety Records
Acts of the UK Parliament
1957 c.31 Occupiers Liability Act 1957
1969 c.57 Employers' Liability (Compulsory Insurance) Act 1969
1974 c.37 Health and Safety at Work etc. Act 1974
1980 c.58 Limitation Act 1980
1995 c.50 Disability Discrimination Act 1995
Statutory Instruments of the UK Parliament
SI 1977 / 500 The Safety Representatives and Safety Committees Regulations 1977
SI 1981 / 917 The Health and Safety (First Aid) Regulations 1981
SI 1989 / 635 The Electricity at Work Regulations 1989
SI 1989 / 682 The Health and Safety Information for Employees Regulations 1989
SI 1989 / 1790 The Noise at Work Regulations 1989
SI 1991 / 2680 The Public Works Contracts Regulations 1991
SI 1992 / 2792 The Health and Safety (Display Screen Equipment) Regulations 1992
SI 1992 / 2793 The Manual Handling Operations Regulations 1992
SI 1992 / 2932 The Provision and Use of Work Equipment Regulations 1992
SI 1992 / 2966 The Personal Protective Equipment at Work Regulations 1992
SI 1993 / 3228 The Public Services Contracts Regulations 1993
SI 1995 / 201 The Public Supply Contracts Regulations 1995
SI 1995 / 3163 The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995
SI 1996 / 341 The Health & Safety (Safety Signs and Signals) Regulations 1996
SI 1996 / 1513 The Health and Safety (Consultation with Employees) Regulations 1996
SI 1997 / 1840 The Fire Precautions (Workplace) Regulations 1997
SI 1998 / 1833 The Working Time Regulations 1998
SI 1998 / 2306 The Provision and Use of Work Equipment Regulations 1998
SI 1998 / 2307 The Lifting Operations and Lifting Equipment Regulations 1998
SI 1998 / 2573 The Employers' Liability (Compulsory Insurance) Regulations 1998
SI 1999 / 3242 The Management of Health & Safety at Work Regulations 1999
SI 2002 / 2675 The Control of Asbestos at Work Regulations 2002
SI 2002 / 2676 The Control of Lead at Work Regulations 2002
SI 2002 / 2677 The Control of Substances Hazardous to Health Regulations 2002
25: Health&Safety v3.0
Brian D.A. Kelvin, Records Manager
Last saved: 22 January 2013
