08 Risk Management Records Retention Schedule University of Portsmouth 2018

Transcription

1 08 Risk Management Records Retention Schedule University of Portsmouth 2018 University of Portsmouth Retention Schedule Contents 8.1. Risk Management Declarations of Interest Disclosure and Barring DBS Administration Criminal Conviction Information (Staff & Students) Litigation Legal Cases Documented legal advice provided for the University relating to Complaints Health & Safety General Health & Safety Monitoring Display Screens Accidents and First Aid Fire Safety Out of Hours Risk Students Field Trips Student Placements Staff and Contractors Asbestos Hazardous Substances Lead Noise Ionising Radiation Ionising Radiation (cont ) Risk Management Records Version Page 1 of 15

2 8.1. Risk Management The risk register forms part of the Audit and Quality committee papers. See Retention Schedule 03 Committee Records > Board of Governors Committees 8.2. Declarations of Interest DIRECTORATE Declarations of Interest made by staff Electronic End of academic year 6 years Delete Access database, in EDM system Declarations of Interest made by governors Paper Termination of appointment 6 years Destroy ; JISC recommendation Paper file in DCG office 8.3. Disclosure and Barring DBS Administration From February 2015 our counter-signatory is Atlantic Data. List of users of disclosure information who are not registered counter signatories DIRECTORATE When superseded 1 year Destroy In case of queries concerning previous users of information Stacey Langford is the super user for the University and then each area has an ID manager and ID users. Atlantic Data System (as access permissions) Audits and reports Completion of next audit / report Destroy Atlantic Data System 08 Risk Management Records Version Page 2 of 15

3 Criminal Conviction Information (Staff & Students) Formerly Criminal Records Bureau records. Under Disclosure and Barring the University no longer receives disclosure forms. Results of checks can be viewed via the Atlantic Data system by appropriate users. If depts still wish applicants to let them have sight of the disclosure form, it must be remembered that the form itself cannot be retained by the University and must be returned to the applicant. Criminal Conviction records must be managed in accordance with the DBS Code of Practice. Information relating to admissions of students or recruitment of staff with a criminal record Information provided by candidates who are not shortlisted, or who are shortlisted but not appointed Information relating to students with a criminal record who are not admitted to the University Summary records (to be kept separately from staff or student file) Anonymised guide to precedents set by previous decisions HR DEPT RETENTIO N ACADEMIC REGISTRY RETENTIO N Decision 6 months 2 years Electronic Electronic Post filled and appointee started End of academic year Graduation / Withdrawal or Termination of Employment 6 months E Permanent FACULTIES & DEPTS RETENTIO N Summarise* & Destroy Delete unopened 2 years Destroy DBS template policy 2012 In case the student re-applies 6 years 6 years Destroy To ensure panel decision consistency over time * See summary records (below) Includes: Unique DBS reference number; date of issue of disclosure; name of subject; staff/student number; type of disclosure; course/position for which it was requested; summary of decision taken; summary of disputes over accuracy Includes: date and offence, was the course professional or not, panel decision BE HR Dedicated account Registry K:drive & HR Dedicated account Registry K:drive Clear checks - Atlantic data Criminal Conviction Panel spreadsheet K:drive?? Convictions which occur during period of employment / study with the University Decision 6 months 2 years Summarise* & Destroy * See summary records (above) 08 Risk Management Records Version Page 3 of 15

4 8.4. Litigation Legal Cases Records concerning litigation between the University and third parties, where precedents are set Records concerning litigation between the University and third parties, where precedents are not set Records concerning claims by or against the University that do not proceed to litigation or settlement by agreement DIRECTORATE DEPT REQUESTING ADVICE Permanent JISC recommendation Settlement of case 6 years Destroy Settlement or withdrawal of case Documented legal advice provided for the University relating to Legislation affecting the University's legal framework, governance, responsibilities and operation Relationships with government bodies and HE regulators 6 years Destroy DIRECTORATE DEPT REQUESTING ADVICE JISC recommendation; JISC recommendation; & K:drive & K:drive & K:drive Permanent Permanent JISC recommendation Various Permanent Permanent JISC recommendation Various Industrial related issues Permanent Permanent JISC recommendation Various Health and safety Permanent Permanent JISC recommendation Various Environmental issues Permanent Permanent JISC recommendation Various All other matters When superseded 6 years 6 years Stored in various locations depending on which department commissions the advice Review by Uni Solicitor* * Records should be referred to the University Solicitor to ensure that the relevant limitation period has expired prior to disposal. Various 08 Risk Management Records Version Page 4 of 15

5 8.5. Complaints Directorate relates specifically to complaints handled by the Complaints team. Where complaints are not handled by that team, records should be retained by the department dealing with the case. NB: For complaints relating to the Nursery, see Retention Schedule 09 Service and Student Support Records > Nursery DIRECTORATE DEPTS Complaints database Spreadsheet End of academic year 10 years Destroy TNA recommendation Complaints handled under the informal stage of the complaints procedure Last action on case 3 years 3 years Destroy JISC recommendation Includes letters, s, details of action taken and outcome Formal complaints Last action on case 6 years 6 years Destroy JISC recommendation Includes letter of complaint / completed complaint form, report, details of action taken and outcome, related letters and s Complaints: review by the Director of requested, but not accepted Notification sent to complainant that case will not be reviewed 6 years Destroy JISC recommendation; Complaints: reviewed by the Director of Last action on case 6 years Destroy JISC recommendation; Whether upheld or not Complaints: referred to OIAHE Last action on case 6 years Destroy JISC recommendation; Complaints: withdrawn at informal stage Withdrawal or last action on case 3 years 3 years Destroy JISC recommendation Complaints: withdrawn during formal stages Withdrawal or last action on case 6 years 6 years Destroy JISC recommendation; Correspondence with OIAHE Date of correspondence 10 years Destroy Includes fees notification and invoices, annual letters and annual reports 08 Risk Management Records Version Page 5 of 15

6 8.6. Health & Safety General Health & Safety Monitoring H&S DEPT ESTATES OTHER DEPTS H&S inspections of the University s land & buildings When superseded JISC Recommendation NB: includes conduct, results, and action taken to address issues raised K:drive H&S inspections of the University s internal facilities (labs etc) When superseded JISC Recommendation NB: includes conduct, results, and action taken to address issues raised H&S audits Completion JISC Recommendation NB: includes conduct, results, and action taken to address issues raised Generic risk assessments When superseded 5 years 5 years Display Screens Assessments of the risks to health created by using workstations and records documenting the provision of information, instruction and training for employees using workstations H&S DEPT When superseded JISC Recommendation Regulation 2, 6 and 7 of the Display Screen Equipment Regulations SI 1992/2792; NB: For specific risk assessments, see schedules below (Retention is the responsibility of the completing department) NB: includes conduct, review and revision of workplace assessments, elearning and assessments & Planon Records of training completed are held on HR system K:drive 08 Risk Management Records Version Page 6 of 15

7 Accidents and First Aid H&S DEPT Records of the appointment of first aiders Termination of appointment Destroy Lists of first aiders Update Central list, constantly updated Website & Building notices Records of the provision of approved training for first aiders When superseded 3 years Destroy Regulation 3 of the First Aid Regulations SI 1981/917; Records of training completed are held on HR system Records of the provision of information about first aid arrangements to employees When superseded 3 years Destroy Regulation 4 of the First Aid Regulations SI 1981/917; Website Website, newsletters & Building notices Assessments of requirements for first aid facilities, equipment and trained personnel When superseded 3 years Destroy Regulation 3 of the First Aid Regulations SI 1981/917; NB: includes conduct, review and revision of assessments For example: Accident report forms (HS1) and records of treatment provided (first aid assessment tool) Records of accidents and incidents - adults Records of accidents and incidents - children Date of incident 6 years Destroy Date of birth of child 25 years* Destroy Recommended by RMS Retention Guidelines for Schools Early Years Provision (section ) The Day Care and Child Minding (National Standards) Regulations 2003; The Childcare (Voluntary Registration) Regulations 2007 NB: For staff, PhD students and UPDA students, Occ Health also follow up on all accidents and incidents. These records will be kept on the individual s Occ Health file and retained accordingly. For example: Accident report forms (HS1) and records of treatment provided NB: Applies mainly to the Nursery Accident books Accident books * Note on the Limitation Act: If the incident/accident involves children under the age of 18, records should be retained until the youngest child involved is deemed to have reached 25 yrs of age. Where the age of the youngest child cannot reliably calculated, the assumption must be that the youngest child was a new-born at the time of the incident/accident. 08 Risk Management Records Version Page 7 of 15

8 Fire Safety H&S DEPT ESTATES Fire risk assessments When superseded Article 9 of the Regulatory Reform Fire NB: includes conduct, review and revision of assessments Records of fire safety arrangements When superseded Article 11 of the Regulatory Reform Fire Records of the nomination and appointment of competent persons (e.g. fire wardens) to implement fire-fighting measures Records documenting the provision of role-specific training for competent persons to implement firefighting measures in University premises Electronic Termination of competent person status Staff member leaves the University s employ Destroy 6 years Delete Articles 13 and 18 of the Regulatory Reform Fire Article 13 of the Regulatory Reform Fire Central list, constantly updated Deviates from JISC recommendation as held on HR system HR System Website HR System Assessments of requirements for fire-fighting equipment and for fire detectors and alarms Review of assessment 5 years Article 13 of the Regulatory Reform Fire NB: includes conduct, review and revision of assessments EDM system Records of the maintenance of premises, facilities and equipment End of academic year Article 17 of the Regulatory Reform Fire Planon Maximo Fire safety drills Paper When superseded 5 years Article 15 of the Regulatory Reform Fire NB: includes conduct and review of drills (Security fire logbook boxes) Fire log books & Planon Records of arrangements with external emergency services for the provision of first aid, emergency medical care, firefighting and rescue services Records of the maintenance of premises, facilities and equipment provided for the use by, or the protection of, fire-fighters Records of the provision of fire safety training to employees When superseded Electronic End of academic year Staff member leaves the University s employ 6 years Destroy Article 16 of the Regulatory Reform Fire Article 38 of the Regulatory Reform Fire Article 21 of the Regulatory Reform Fire NB: includes the provision of information on the University s emergency procedures and arrangements E.g. Fire-fighting lifts, smoke vents etc Deviates from Article 21 as held on HR system Website Planon Maximo elearning Package Records of training completed are held on HR system 08 Risk Management Records Version Page 8 of 15

9 Out of Hours Risk DEPT ESTATES Assessments of the risks of using buildings out of hours?? 6 years Destroy University policy Use of buildings log?? 6 years Destroy List of people using buildings out of hours Swipe Card system Students Field Trips ACADEMIC DEPTS Risk assessments Completion of field trip 6 years Destroy Students medical declarations End of academic year Destroy If there is an incident, the relevant declaration(s) should be included in the incident file and managed accordingly. See above Student Placements ACADEMIC DEPTS Employer s Health and Safety questionnaire Completion of placement/training 6 years Destroy ; Policy for Placement Learning Includes accompanying letters Student induction checklists Completion of placement/training 6 years Destroy ; Policy for Placement Learning Letters of approval Completion of placement/training 6 years Destroy ; Policy for Placement Learning 08 Risk Management Records Version Page 9 of 15

10 Staff and Contractors Permits to work issued by Estates Permits to work issued by departments for laboratories P Completion of work Completion of work ESTATES FINANCE DEPTS 3 years Destroy 3 years Destroy In case of an incident leading to injury claim In case of an incident leading to injury claim If there is an incident, the relevant permit(s) should be included in the incident file and managed accordingly. See above If there is an incident, the relevant permit(s) should be included in the incident file and managed accordingly. See above Secure physical folder Risk assessments for overseas travel: no incident, accident, illness, or dispute Date staff member returns 3 years Destroy (Insurance Records) FileStore Risk assessments for overseas travel: where there has been an incident, accident, illness, or dispute Last action on case 6 years Destroy (Insurance Records) FileStore 08 Risk Management Records Version Page 10 of 15

11 Asbestos ESTATES RETENTIO N H&S / O HEALTH RETENTIO N DEPTS RETENTIO N Assessment of the presence and condition of asbestos Completion of work to which the assessment relates 40 years Destroy Regulations 5 & 19 of the Control of Asbestos at Work Regulations SI 2012/632 Includes monitoring of general exposure of employees Assessments of the risks to health created by exposure to asbestos When superseded 10 years Destroy Regulation 6 of the Control of Asbestos at Work Regulations SI 2012/632 NB: includes conduct, review and revision of assessments Job Description (hazard form) Written plans of work for undertaking work with asbestos Completion of work to which the plan relates 40 years Destroy Regulation 7 of the Control of Asbestos at Work Regulations SI 2012/632 Provided by contractors Notifications to enforcing authorities of proposed work with asbestos Completion of work 10 years Destroy Regulation 9 of the Control of Asbestos at Work Regulations SI 2012/632 Records documenting the provision of information, instruction and training for employees potentially exposed to asbestos Plans and procedures for dealing with accidents, incidents and emergencies involving asbestos Health surveillance records: individual employees (including those potentially exposed to asbestos fibres in an incident) Employer s copies of certificates of medical examinations of identifiable employees Electronic When superseded 10 years 10 years Destroy When superseded 10 years Destroy Last entry on record 40 years 40 years Destroy Date of certificate 4 years Destroy Regulation 10 of the Control of Asbestos at Work Regulations SI 2012/632 Regulation 15 of the Control of Asbestos at Work Regulations SI 2012/632 Regulation 22 of the Control of Asbestos at Work Regulations SI 2012/632 Regulation 22 of the Control of Asbestos at Work Regulations SI 2012/632 H&S provide awareness training to staff Estates provide contractor awareness as part of the contractor induction Asbestos management plan Potential exposure would automatically invoke health surveillance by Occ Health. We do not currently have any employees under surveillance Entire Occ Health file would be retained in line with longest retention period required Only applies to persons working directly with asbestos Records of staff training completed are held on HR system Contractors - Planon System Local staff file (copy to Occ Health EDM System) Occ Health (hardcopy to Occ Health) Occ Health Paper filing Intranet 08 Risk Management Records Version Page 11 of 15

12 Hazardous Substances University does not have any Group 3 or Group 4 biological agents. Should it have them in the future, schedules will be re-instated from retention schedule v3.0 (2015) Records of the maintenance of fixed equipment provided to control exposure to hazardous substances Records of the maintenance of portable equipment provided to control exposure to hazardous substances Records documenting the provision of information, instruction and training for employees exposed to hazardous substances Plans and procedures for dealing with accidents, incidents and emergencies involving hazardous substances Records of responses to accidents, incidents and emergencies involving hazardous substances Date of examination, test or repair Date of examination, test or repair H&S DEPT ESTATES DEPTS When superseded 10 years 10 years Destroy When superseded 10 years 10 years Destroy Electronic Last action on event 10 years Delete Regulation 9 of the Control of Substances Hazardous to Health Regulations SI 2002/2677 Regulation 9 of the Control of Substances Hazardous to Health Regulations SI 2002/2677 Regulation 12 of the Control of Substances Hazardous to Health Regulations SI 2002/2677; Regulation 13 of the Control of Substances Hazardous to Health Regulations SI 2002/2677; Regulation 13 of the Control of Substances Hazardous to Health Regulations SI 2002/2677; Autoclaves etc Dept risk assessment and incident packs should contain this. H&S provide technical guidance only Incident reporting system Planon Records of staff training completed are held on HR system On job training Local filing H&S Maximo Website Health surveillance records: individual employees Monitoring records: General exposure of employees Assessments of the risks to health created by work with hazardous substances Last entry on record 40 years Destroy Last entry on record 5 years 5 years 5 years When superseded 10 years Destroy Regulation 11 of the Control of Substances Hazardous to Health Regulations SI 2002/2677 Regulation 6 of the Control of Substances Hazardous to Health Regulations SI 2002/2677 Entire Occ Health file would be retained in line with longest retention period required Includes both reactive and proactive monitoring Estates monitor legionella only NB: includes conduct, review and revision of assessments (should be included on job description) Local staff file (copy to Occ Health ) H&S EDM system Estates Zetasafe (Churchill system contractor) Job Description (hazard form) (hardcopy to Occ Health) 08 Risk Management Records Version Page 12 of 15

13 Lead Lead is not used and any work on the little remaining lead would be contracted out. If lead is used in future, schedules will be re-instated from retention schedule v3.0 (2015) Plans and procedures for dealing with accidents, incidents and emergencies involving lead H&S DEPT ESTATES DEPTS When superseded 10 years 10 years Destroy Regulation 12 of the Control of Lead at Work Regulations SI 2002/2676; Risk assessments for one-off jobs Records of responses to accidents, incidents and emergencies involving lead Last action on event 10 years Destroy Regulation 12 of the Control of Lead at Work Regulations SI 2002/2676; Incident reporting system Health surveillance records: individuals employees Last entry on record 40 years Destroy Regulation 10 of the Control of Lead at Work Regulations SI 2002/2676 Entire Occ Health file would be retained in line with longest retention period required Local staff file (copy to Occ Health ) (hardcopy to Occ Health) Assessments of the risks to health created by work involving lead When superseded 10 years Destroy Regulation 5 of the Control of Lead at Work Regulations SI 2002/2676; Should be included on job description Job Description (hazard form) Noise DEPTS Records of the maintenance of equipment provided to control exposure to noise Date of examination, test or repair Regulation 8 of the Control of Noise at Work Regulations SI 2005/1643; Records documenting the provision of information, instruction and training for employees exposed to noise Electronic When superseded 10 years Delete Regulation 10 of the Control of Noise at Work Regulations SI 2005/1643; No formal training provide. On the job training only Assessments of the risks to health created by exposure to noise When superseded 10 years Destroy Regulation 5 of the Control of Noise at Work Regulations SI 2005/1643; Should be on the job specification Job Description (hazard form) Records of the provision of personal protective equipment to employees Return of issued equipment 3 years Destroy Regulation 7 of the Control of Noise at Work Regulations SI 2005/1643; Health surveillance records: individual employees Last entry on record 40 years Destroy Regulation 9 of the Control of Noise at Work Regulations SI 2005/1643 Entire Occ Health file would be retained in line with longest retention period required Local staff file (copy to Occ Health EDM System) (hardcopy to Occ Health) 08 Risk Management Records Version Page 13 of 15

14 Ionising Radiation Organisations are obliged to have a radiation protection authorized person. There are no classified persons at present. If there are in future, schedules (including those relating to medical files) will be re-instated from retention schedule v3.0 (2015) H&S DEPT AUTHORISED PERSON Records of maintenance of other equipment provided to control exposure to ionising radiation Physical Date of examination, test or repair Regulation 11 of the ; Info is physically on the equipment Contingency plans to deal with radiation accidents When superseded Destroy Regulation 13 of the ; In Local Rules (at each site and on ) Records relating to the any rooms where radiation has been used Electronic Life of building Transfer to new owner (store in building file) Records documenting the provision of information, instruction and training for employees exposed to ionising radiation Electronic When superseded 10 years 10 years Delete Regulation 15 of the Records of staff training completed are held on HR system On job training In Local Rules Records of the maintenance and testing of equipment for monitoring levels of ionising radiation Date of maintenance or test Regulation 19 of the Summaries of dose records End of academic year 2 years Destroy Regulation 22 of the This is for nonclassified persons only Records of tests to detect leakage from articles containing or embodying radioactive substances Completion of next test or disposal of article Regulation 28 of the Authorised person s filing system Records of quality and location of radioactive substances Disposal of article 2 years Destroy Regulation 29 of the Reports of immediate investigations into possible accidental release or theft of radioactive substances, where no release or theft was found to have occurred Date of report 6 years 6 years Destroy Regulation 30 of the Treat as any other accident - Incident reporting system Reports of immediate investigations into possible accidental release or theft of radioactive substances, or accidental excess dose exceeding 6 msv (effective), 15mSv (equivalent to lens of the eye), 150 msv (skin/extremities), where accidental release or theft was found to have occurred Date of report 30 years 30 years Destroy Regulation 24, 31 of the Treat as any other accident - Incident reporting system 08 Risk Management Records Version Page 14 of 15

15 Ionising Radiation (cont ) H&S DEPT AUTHORISED PERSON Monitoring records: levels of ionising radiation in designated controlled areas Date of monitoring Regulation 20 of the 08 Risk Management Records Version Page 15 of 15