The core health and safety documents for a small firm are the policy, risk assessments, training records, accident and RIDDOR records, the employers' liability certificate and equipment examination reports. Retention periods vary. Accident and RIDDOR records must be kept for at least three years and health surveillance records for 40 years. Many documents have no fixed period in law.
On this page
- Which documents the law requires in writing
- Health and safety documents and how long to keep them
- Where there is no fixed period: how to decide
- How long to keep training records
- Employers' liability certificates: the 40-year question
- How to organise health and safety records
- Keeping documents in SafetyPro360
Which documents the law requires in writing
Less than most people expect, and the number five matters. An employer with five or more employees must have a written health and safety policy, must record the significant findings of their risk assessments and must record their health and safety arrangements. With fewer than five, those things still have to exist, but the law does not insist they are written down.
Other records are required whatever your size, because they are tied to a hazard or an event and not to headcount: a record of a reportable injury, a report on the examination of a lift truck, a health record for someone exposed to a hazardous substance.
The tables below separate three things: what the law requires you to hold, how long the law says to keep it, and where the law is silent. Where it says "no fixed period", that is the true position, not a gap in our research.
Health and safety documents and how long to keep them
Core documents
| Document | Is it a legal requirement? | How long to keep it |
|---|---|---|
| Health and safety policy | Yes, in writing, with five or more employees (Health and Safety at Work etc. Act 1974, section 2(3)) | No fixed period. Hold the current signed version and revise it as often as appropriate |
| Risk assessments | The significant findings must be recorded with five or more employees (Management Regulations, regulation 3) | No fixed period. The assessment must be reviewed if it may no longer be valid or the work has changed |
| Health and safety arrangements | Must be recorded with five or more employees (Management Regulations, regulation 5). Usually part of the policy | No fixed period |
| COSHH assessments | The significant findings must be recorded with five or more employees (COSHH, regulation 6) | No fixed period |
| Fire risk assessment | Yes. In England and Wales it must be recorded whatever your size (Fire Safety Order, article 9) | No fixed period. It must be reviewed regularly |
| Employers' liability insurance certificate | Yes. The current certificate must be displayed, or made available electronically, where employees can read it | No legal period for expired certificates since 1 October 2008. HSE strongly advises keeping all of them (see below) |
| Health and safety law poster or leaflet | Yes. Display the approved poster or give each employee the leaflet | For as long as you employ anyone |
| Training records | The duty is to train. There is no general duty to keep a record, though HSE says keeping one helps you decide when refresher training is needed | No fixed period (see below) |
Accidents and health
| Record | Is it a legal requirement? | How long to keep it |
|---|---|---|
| Accident book entries | Yes, where ten or more people are normally employed at the same time on or about the same premises, and in factories, mines and quarries | At least 3 years from the date of the entry |
| RIDDOR records: reportable incidents, reportable diseases and over-three-day injuries | Yes, for every employer (RIDDOR, regulation 12) | At least 3 years from the date the record was made |
| Health records from health surveillance under COSHH | Yes, for each employee under health surveillance (COSHH, regulation 11) | At least 40 years from the date of the last entry |
| Health records for work with asbestos | Yes, for licensable work and for notifiable non-licensed work (Control of Asbestos Regulations 2012, regulation 22) | At least 40 years from the date of the last entry |
| Health records for noise or vibration | Yes, where health surveillance is required | The regulations set no period. HSE says to keep them at least for as long as you employ the worker |
| Exposure monitoring records under COSHH | Yes, where monitoring is required (COSHH, regulation 10) | At least 40 years if they show the personal exposure of identifiable employees. Otherwise at least 5 years |
| Near miss reports and investigation notes | No | No fixed period |
| First aid needs assessment | The assessment is required. HSE says you do not have to write it down | No fixed period |
Equipment and premises
| Record | Is it a legal requirement? | How long to keep it |
|---|---|---|
| Thorough examination reports for lifting equipment | Yes (LOLER, regulations 9 to 11) | Periodic reports: until the next report is made or for 2 years, whichever is later. The report made before first use: until you stop using the equipment, or for 2 years if it is a lifting accessory |
| Declaration of conformity for lifting equipment | Yes, if you received one | For as long as you operate the equipment |
| Inspection records for work equipment | Yes, where PUWER regulation 6 requires an inspection | Until the next inspection is recorded |
| Machinery maintenance log | Not required. If a machine has one, it must be kept up to date (PUWER, regulation 5) | No fixed period |
| Examination and test records for local exhaust ventilation | Yes. For most plant the examination is due at least every 14 months (COSHH, regulation 9) | At least 5 years from the date the record was made |
| Inspection reports for scaffolds and other working platforms used in construction, where a person could fall 2 metres or more | Yes (Work at Height Regulations 2005, regulation 12) | On site until the construction work is finished, then at your office for 3 months |
| Pressure systems: written scheme of examination and examination reports | Yes, where the Pressure Systems Safety Regulations 2000 apply to the system | The last report, and any earlier report that helps to show the system is safe to operate |
| Asbestos assessment and management plan | Only for non-domestic premises, and only for the dutyholder: whoever has a maintenance or repair obligation under a contract or tenancy, or, where there is none, whoever controls the premises. The dutyholder must have an assessment made of whether asbestos is or is liable to be present, and record its conclusions. A written management plan is needed only if the assessment shows asbestos is or is liable to be present (Control of Asbestos Regulations 2012, regulation 4) | No fixed period. The assessment must be reviewed if it may no longer be valid, and a plan reviewed at regular intervals |
| Portable appliance test records | No. HSE says there is no legal requirement to keep records or to label equipment | No fixed period |
| Workplace inspection checklists and toolbox talk records | No | No fixed period |
Some trades have further records of their own. Check HSE's guidance for your industry.
Where there is no fixed period: how to decide
Most of the rows above say "no fixed period". That leaves the decision to you, and three things should shape it.
- Whether it is still in use. A current risk assessment or policy is kept because you are working to it. When you replace it, keep the old version for a time, so that you can show what was in force on a given date.
- How long a claim can take to arrive. In England and Wales a personal injury claim can normally be brought up to three years from the accident, or three years from when the person first knew of the injury if that is later. For conditions that develop slowly, such as hearing loss or lung disease, that knowledge can come decades after the exposure. Records that show what someone was exposed to, and what you did about it, are the ones worth keeping longest.
- Data protection. Records about named people are personal data. The UK GDPR says personal data should be kept no longer than is necessary for the purpose. That does not mean destroying things early. It means you should be able to say why you are keeping them and for how long.
The practical answer is a short retention list: each kind of record, how long you keep it, and why. Ask your employers' liability insurer what it expects, because it is the insurer who will be defending the claim.
How long to keep training records
No regulation sets a period. The law requires the training, and HSE's guidance says that keeping training records will help you decide when refresher training is needed.
While someone works for you, their records are in daily use: they are how you know a ticket is in date. After they leave, the records become evidence. If a former employee is injured elsewhere or brings a claim, the question will be what training you gave them and when. So do not delete a leaver's training history with their payroll record. Decide a period with your insurer and write it down.
The length of time a certificate stays valid is a different question. Our guide to how long training certificates last covers that.
Employers' liability certificates: the 40-year question
Until 2008 the law required employers to keep every employers' liability certificate for 40 years. The Employers' Liability (Compulsory Insurance) (Amendment) Regulations 2008 removed that requirement from 1 October 2008.
HSE's guidance has not changed in spirit. It says there is no longer a legal requirement to keep out-of-date certificates, but that employers are "strongly advised" to keep a complete record of their employers' liability insurance, because some diseases appear decades after exposure and an employer who cannot show who insured them risks meeting the cost of a claim themselves.
So: no legal period, and a strong reason to keep every certificate indefinitely. A scanned copy of each year's certificate takes up no space.
The two periods people mix up. Three years is the minimum for accident book and RIDDOR records. Forty years is the minimum for health surveillance records under COSHH. They are different records. See our guides to the accident book and RIDDOR reporting.
How to organise health and safety records
An inspector, an insurer or a customer's auditor will not ask whether you have a document. They will ask to see it. The test of your filing is how long that takes.
- Make one list. Every document you should hold, whether or not you have it yet. The gaps are as useful as the entries.
- Give each document an owner. A name, not a department.
- Put two dates on each. When it expires, if it does: an insurance certificate, an examination report. And when it is due a review: a policy, a risk assessment.
- Keep one current version. Move superseded versions to an archive so that nobody works from last year's.
- Decide who can see what. Policies and risk assessments should be easy for everyone to reach. Accident and health records hold personal details and should be restricted.
- Know where the originals are. RIDDOR records must be kept where the work is carried on or at your usual place of business. HSE says lifting examination records need not be on paper, but you must be able to produce a written copy when asked.
- Look at the list on a fixed day each month. Anything expiring in the next two months gets booked.
The documents that most often turn out to be missing are the ones somebody else produces: the thorough examination report that stayed with the engineer, the fire risk assessment the landlord commissioned, last year's insurance certificate. Ask for copies when the work is done. A yearly health and safety audit is the time to check the whole list.
Keeping documents in SafetyPro360
In SafetyPro360 you upload each document with a title, a category, an expiry date and a review date. Files are private to your account. The document register shows each one as current, due a review, expired or archived. The document matrix is the list described above: the documents your business should hold, each with a review period, showing which are current, due, expired or missing. Training records are held separately against each person, with expiry dates worked out from the length of each course, and the records of people who leave are kept. Risk assessments and COSHH assessments can be uploaded as documents. The product does not write them.
Questions people ask
What health and safety documents are required by law?
With five or more employees: a written health and safety policy, the recorded findings of your risk assessments and a record of your arrangements. For every employer: RIDDOR records, a recorded fire risk assessment in England and Wales, a current employers' liability certificate, the law poster or leaflet, and examination reports for equipment such as lifting gear.
How long should health and safety records be kept?
It depends on the record. Accident book and RIDDOR records: at least three years. COSHH health surveillance records: at least 40 years. Lifting equipment examination reports: until the next report or two years, whichever is later. Many others, including risk assessments and training records, have no fixed legal period.
How long do you have to keep training records?
There is no legal retention period for training records. Keep them for as long as the person works for you, because they show what is in date, and for a period after they leave, because they are evidence if a claim is made. Agree that period with your insurer and write it into your procedures.
How long should risk assessments be kept?
The law sets no period. A risk assessment must be kept up to date and reviewed if it may no longer be valid or the work changes. When you replace one, it is sensible to archive the old version, so that you can show what was in place on a particular date if an accident or claim is looked into later.
Do I have to keep old employers' liability insurance certificates?
Not by law. The requirement to keep them for 40 years was removed on 1 October 2008. HSE still strongly advises employers to keep a complete record, because diseases can appear decades after exposure and you may need to show who insured you at the time.
Can health and safety records be kept electronically?
Generally yes. The accident book regulation allows electronic means, RIDDOR sets no format, and an employers' liability certificate can be displayed electronically if employees have reasonable access to it. HSE says lifting examination records need not be on paper, provided you can produce a written copy when required.
Where this comes from
- Health and Safety at Work etc. Act 1974, section 2 (legislation.gov.uk)
- Management of Health and Safety at Work Regulations 1999, regulation 3 (legislation.gov.uk)
- Management of Health and Safety at Work Regulations 1999, regulation 5 (legislation.gov.uk)
- Control of Substances Hazardous to Health Regulations 2002, regulation 11 (legislation.gov.uk)
- COSHH 2002, regulations 9 and 10: examination and monitoring records (legislation.gov.uk)
- RIDDOR 2013, regulation 12 (legislation.gov.uk)
- Social Security (Claims and Payments) Regulations 1979, regulation 25 (legislation.gov.uk)
- Employers' Liability (Compulsory Insurance) (Amendment) Regulations 2008 (legislation.gov.uk)
- HSE: Employers' Liability (Compulsory Insurance) Act 1969, a brief guide for employers (HSE40)
- Lifting Operations and Lifting Equipment Regulations 1998, regulation 11 (legislation.gov.uk)
- Provision and Use of Work Equipment Regulations 1998, regulation 6 (legislation.gov.uk)
- Work at Height Regulations 2005, regulation 12 (legislation.gov.uk)
- Pressure Systems Safety Regulations 2000, regulation 14 (legislation.gov.uk)
- Control of Asbestos Regulations 2012, regulation 4 (legislation.gov.uk)
- Control of Asbestos Regulations 2012, regulation 22 (legislation.gov.uk)
- Control of Noise at Work Regulations 2005, regulation 9 (legislation.gov.uk)
- Regulatory Reform (Fire Safety) Order 2005, article 9 (legislation.gov.uk)
- Limitation Act 1980, section 11 (legislation.gov.uk)
- UK GDPR, Article 5: principles (legislation.gov.uk)
- HSE: Health surveillance, record keeping
- HSE: Thorough examinations and inspections of lifting equipment
- HSE: Maintaining portable electrical equipment, frequently asked questions
- HSE: Decide what training and information you need
This guide is general information for small employers in Great Britain, checked against the sources above on the date shown. It is not legal advice. If something serious depends on it, check the source or ask a competent adviser.