S24 - Record Keeping

Attachment	Size
Record Keeping (revised Sept 2012)	1.15 MB

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