Essential Record Keeping

Checklist Items

  1. An up to date Employers’ Liability Compulsory Insurance certificate must be displayed. Public Liability Insurance, although not legally required, is strongly advised if you are dealing with the public.
    Employers’ Liability Compulsory Insurance is a legal requirement for all businesses unless you do not employ staff, or you employ only family members or close relations. This insurance is usually renewed annually and you can be fined if you are not displaying an up to date insurance certificate.  http://www.hse.gov.uk/business/elci.htm

  2. You must have a health and safety policy for your business. If you employ five or more staff this must be written down.
    A health and safety policy should show your staff and others your commitment to health and safety. It is unique to your business and should set out what you have put in place for managing health and safety in your business. If you employ five or more staff this must be written down. The policy does not need to be complicated and some really good examples of how this can be recorded can be found at  http://www.hse.gov.uk/business/policy.htm

  3. You must assess and manage health and safety risks in your business. If you employ five or more people this risk assessment must be written down.
    You must carefully assess and manage the risks within your business. You must look at all areas of your work which could harm people. Remember this can include visitors, contractors and members of the public. You must then assess if you have enough precautions in place to reduce the likelihood of this harm happening, and you must tell all people who could be affected. This is called a risk assessment and if you employ five or more staff it must be written down. Useful examples of forms and examples of risk assessments for different types of business can be found at http://www.hse.gov.uk/business/risk.htm

  4. A health and safety law poster must be displayed.
    If you employ anyone you must display a health and safety poster which gives them some basic health and safety information and states who is responsible for health and safety in your business. Small businesses could meet this requirement by providing employees with a leaflet

  5. An accident book must be available to record accidents.
    Some accidents need to be reported but all accidents or near misses in your business should be recorded. (Further details can be found in ERWIN Information Sheet – Accidents at Work [Health and Safety]). 

  6. A copy of your asbestos survey should be kept available for inspection and, if any asbestos-containing materials were found, a copy of your asbestos management plan.
    Persons responsible for non-domestic buildings have a duty to identify any asbestos-containing materials that may be present and, if any are found, draw up a plan showing how that asbestos will be safely managed. 

  7. Records of staff training in health and safety should be kept. 
    You must train your staff adequately in whatever aspects of health and safety they need to work safely in your employment. This may need to be general or very specific but records of all training undertaken should be kept.

  8. Inspection and test certificates from the inspection and test of any plant or equipment requiring periodic inspection (e.g. lifts, lifting equipment, pressure vessels, electrical systems) should be kept available for inspection.
    Some types of plant and equipment must, by law, be subjected to inspection and/or testing at prescribed intervals. For other equipment and systems there is no prescribed period but you should nevertheless ensure that they are inspected occasionally as part of your duty to ‘maintain’ the equipment in a safe condition. Results and certificates from all inspections should be kept at least until the next one is carried out.
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