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S24 - Record Keeping

Having a good process for holding and storing health and safety documentation is not only good practice but in some instances is a legal requirement.

When a government inspector or an internal/third party auditor arrives on site it is beneficial to have documentation held in a structured format.

This procedure gives guidance on a good system for record keeping. It indicates what records need to be held and suggests a period of retention.

What is this?

This is a written procedure that outlines what health and safety records need to be kept and the period of retention that is appropriate. A PDF of the procedure is available to download (see attached).

Why have a procedure for record keeping?

It is good practice to have an effective method of record keeping on-site. Not only does it assist with successful health and safety management, it is also useful when undertaking audits both internally and externally and when external organisations such as the HSE visit the site.

There are two main objectives of this procedure:

  • To formalise how documents are held on a site, and
  • To show the retention period for each record.

Formalising how documents are held

There should be one area in which records are located; this will usually be in the responsible manager’s office and it could be a filing cabinet. It is suggested that a suspension file is utilised for each separate topic/heading. Within the suspension file, the records should either be present or there should be a clear indication of where the records can be found.

Note: It is at the discretion of the responsible manager to decide if plant inspection records are retained within his office or within the workshop environment.

Retention periods

Access and egress
Document title - Plant access survey
Period of retention - Current

Accidents, incidents and near hit reporting
Document title - Accident investigation report    
Period of retention - Five years

Document title - Incident inquiry report
Period of retention - Five years

Document title - HSE RIDDOR reports
Period of retention - Five years

Document title - Near hit reports
Period of retention - Three years

Alcohol and drugs
Document title - Alcohol and drugs policy   
Period of retention - Current

Asbestos
Document title - Asbestos risk assessment
Period of retention - Current

Auditing
Document title - Site audit reports
Period of retention - Three years

Confined spaces
Document title - Confined space checklist
Period of retention - Current

Control and management of contractors
Document title - Contractor pre-induction questionnaire
Period of retention - Three years

Document title - Contractor health and safety induction
Period of retention - Three years

Document title - Contractor on-site checklist
Period of retention - Three years

Document title - Contractor low risk permit 
Period of retention - Three years

Document title - CDM notification
Period of retention - Current

Document title - Pre-construction plan
Period of retention - Current

Document title - Health and safety file    
Period of retention - For the life of the plant

COSHH
Document title - COSHH: employee/substance matrix    
Period of retention - Current

Document title - Site specific COSHH assessment    
Period of retention - Current

Document title - Personal dust monitoring results    
Period of retention - 20 years

Document title - Local exhaust ventilation examination and test records
Period of retention - Three years

Dangerous substances
Document title - Dangerous substances HSE site notification
Period of retention - Current

Display screen equipment (DSE)
Document title - DSE assessment
Period of retention - Three years

Duties, responsibilities and structure
Document title - Site health and safety organisation and responsibility structure
Period of retention - Current

Document title - Managing director appointment
Period of retention - Current

Document title - Responsible director appointment
Period of retention - Current

Document title - Senior manager appointment
Period of retention - Current

Document title - Responsible manager appointment
Period of retention - Current

Document title - Relief person in charge appointment
Period of retention - Current

Document title - Employee appointment/authorisation
Period of retention - Current

Electricity
Document title - Electrical maintenance and test reports
Period of retention - Three years

Emergency procedures
Document title - Emergency preparedness checklist and plan
Period of retention - Current

Explosives
Document title - Appointment of the explosives supervisor
Period of retention - Current

Document title - Appointment of the shotfirer
Period of retention - Current

Document title - Appointment of the trainee shotfirer
Period of retention - Current

Document title - Appointment of the explosives storekeeper    
Period of retention - Current

Document title - Authorisation to handle explosives    
Period of retention - Current

Document title - Appointment of sentries    
Period of retention - Current

Document title - Blast specification summary sheet    
Period of retention - One year

Document title - Blast specification loading diagram    
Period of retention - One year

Document title - Blast specification shothole layout    
Period of retention - One year

Document title - Driller’s hole layout and log sheet    
Period of retention - One year

Document title - Quarry face profile    
Period of retention - One year

Document title - Record of explosives used    
Period of retention - Five years

Document title - Manager’s blasting operation checklist    
Period of retention - One year

Document title - Explosives store licence    
Period of retention - Current

Document title - Licence to acquire and keep explosives    
Period of retention - Current

Document title - Recipient competent authority transfer document    
Period of retention - Current

Document title - Anfo mixing licence    
Period of retention - Current

Fire safety
Document title - Fire safety risk assessment    
Period of retention - Current

First aid
Document title - List of first aiders
Period of retention - Current

Geotechnical
Document title - Commencement of a notifiable excavation or tip    
Period of retention - Five years

Document title - Solid tip and earthwork appraisal form    
Period of retention - Five years

Document title - Excavation appraisal form    
Period of retention - Five years

Document title - Lagoon and open bodies of water appraisal form    
Period of retention - Five years

Document title - Repeat appraisal form    
Period of retention - Five years

Document title - Solid tip and earthwork inspection form    
Period of retention - Three years

Document title - Excavation inspection form
Period of retention - Three years

Document title - Lagoon and open bodies of water inspection form    
Period of retention - Three years

Health screening and management referral
Document title - Pre-employment health questionnaire    
Period of retention - 20 years

Document title - Pre-employment health assessment
Period of retention - 20 years

Document title - Consent form: Access to Medical Reports Act 1988    
Period of retention - 40 years

Document title - Health screening records    
Period of retention - 40 years

Housekeeping
Document title - Housekeeping checklist    
Period of retention - Current

Induction and training
Document title - Health and safety induction form    
Period of retention - 20 years

Document title - Training matrix and record    
Period of retention - 20 years

Isolation and lock off
Document title - Isolation and lock off policy
Period of retention - Current

Legislation
Document title - Safety and health legislation reference documents    
Period of retention - Current

Lifting equipment
Document title - Schedule of lifting equipment    
Period of retention - Current

Document title - Test certificate of lifting equipment    
Period of retention - For the life of the item

Document title - Inspection of lifting equipment    
Period of retention - Three years

Legionella
Document title - Legionella risk assessment    
Period of retention - Current

Leptospirosis
Document title - Leptospirosis risk assessment    
Period of retention - Current

Lone working
Document title - Lone working risk assessment    
Period of retention - Current

Maintenance and inspection of plant and equipment
Document title - Schedule of maintenance and inspection    
Period of retention - Current

Document title - Plant maintenance records    
Period of retention - For the life of the plant

Document title - Generic inspection checklist: Processing plant    
Period of retention - Three years

Document title - Generic inspection checklist: Coating plant    
Period of retention - Three years

Document title - Generic inspection checklist: Wharves    
Period of retention - Three years

Document title - Generic inspection checklist: Mobile screen    
Period of retention - Three years

Document title - Generic inspection checklist: Front end loader    
Period of retention - Three years

Document title - Generic inspection checklist: Dumper    
Period of retention - Three years

Document title - Generic inspection checklist: Excavator    
Period of retention - Three years

Document title - Generic inspection checklist: Hydraulic breaker
Period of retention - Three years

Document title - Generic inspection checklist: Ancillary vehicles    
Period of retention - Three years

Document title - Generic inspection checklist: Drill rig    
Period of retention - Three years

Document title - Generic inspection checklist: Fork truck
Period of retention - Three years

Management review
Document title - Activity planner    
Period of retention - Current

Document title - Monthly review checklist    
Period of retention - Three years

Document title - Management action plan    
Period of retention - Current

Manual handling
Document title - Manual handling risk assessment    
Period of retention - Three years

Noise
Document title - Site specific noise risk assessment    
Period of retention - Current

Document title - Personal noise monitoring results    
Period of retention - 20 years

Opening and closing a site
Document title - Generic inspection checklist: Closing a site    
Period of retention - Five years

Document title - Generic inspection checklist: Closed site inspection    
Period of retention - Five years

Document title - HSE letter of notification to start or stop a quarry

Permit to work
Document title - Permit to work form
Period of retention - Three years

Document title - Permit to work register   
Period of retention - Current

Personal protective equipment (PPE)
Document title - PPE register    
Period of retention - 20 years

Pressure systems
Document title - Schedule of pressure systems    
Period of retention - Three years

Document title - A scheme of maintenance and inspection    
Period of retention - Current

Document title - Maintenance and inspection reports    
Period of retention - Life of the equipment

Radiation
Document title - Registration and authorisation for the keeping of radioactive substances    
Period of retention - Current

Risk assessment leading to safe systems of work
Document title - Task identification register    
Period of retention - Current

Document title - Risk assessment form    
Period of retention - Three years

Document title - Safe system of work    
Period of retention - Three years

Document title - Employee risk assessment    
Period of retention - Three years

Site hazard plans
Document title - Site hazard plan
Period of retention - Current

Smoke free
Document title - Smoke free policy    
Period of retention - Current

Stress
Document title - Stress policy    
Period of retention - Current

Traffic management
Document title - Site specific traffic management plan    
Period of retention - Current

Vibration
Document title - Personal vibration monitoring results    
Period of retention - 20 years

Visitors
Document title - Visitor induction record    
Period of retention - Three years

Welfare facilities
Document title - Office inspection form    
Period of retention - Three years

Work Related Upper Limb Disorders (WRULD)
Document title - WRULD risk assessment    
Period of retention - Current

Worker participation
Document title - Safety committee minutes    
Period of retention - Five years

Working at height
Document title - Ladder inspection form
Period of retention - Three years

Working near open bodies of water and lagoons
Document title - An appropriate risk assessment    
Period of retention - Current

Workplace rules
Document title - Employee workplace rules
Period of retention - Keep one copy of every version

Document title - Contractor rules    
Period of retention - Keep one copy of every version

Document title - Visitor rules   
Period of retention - Keep one copy of every version

Document title - Haulier rules    
Period of retention - Keep one copy of every version
    
Document title - Excavation and tip rules    
Period of retention - Keep one copy of every version

Document title - Shotfiring rules    
Period of retention - Keep one copy of every version

Document title - Mobile plant rules    
Period of retention - Keep one copy of every version

Workshops
Document title - Generic inspection: workshops   
Period of retention - Three years

This workplace procedure forms part of a Health & Safety Risk Management System for employers in the quarrying industry. The procedures, which cover a wide range of workplace risks and hazards, can be viewed here

 

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