Chapter 8 - Document and record management

On this page 

• Document structure
• Corporate documentation
• Local safety documentation 
• Document control
• Information sources

Document structure

The specific requirements together with appropriate guidance to achieve safe systems of work are set and documented within the corporate safety documentation. At a local level these are reflected in local procedures and work instructions. All published corporate health and safety documentation is subject to periodic review managed by the Director of Safety Services. They are also reviewed specifically as a result of a change, whether an external change e.g. legislation or an internal change e.g. as a result of an incident, outcome of an audit, etc.

Corporate documentation

There are four categories of corporate safety management documentation:

1. Policy - Documents, authorised by the Provost and President, containing statements by the organisation of its intentions, approach and direction in relation to its overall performance. A Policy document provides a framework for action and for the setting of objectives
2. UCL Safety Management System Framework - The framework defines the overarching organisation and arrangements for UCL's Safety Management System. This document is authorised by the Provost and President. Changes to this document are the responsibility of the Director of Safety Services following approval by the Health and Safety Committee or University Management Committee. The document is an accurate record of the current arrangements of UCL for meeting its Safety Policy
3. Safety Standards - Documents, authorised by the Health and Safety Committee, which describe what is required to ensure compliance, by whom, and guidance and tools on how to achieve it. They provide the link between the global policy statements and how these may be achieved in certain risk areas. Standards may contain within them Procedures that describe the methods to be used to achieve an activity and to what criteria. Procedures explain why the activity must be carried out, when, how and where it is to be done, and by whom it is to be carried out. Fire Safety documentation may contain both requirements as well as guidance for particular fire safety topics
4. Guidance - Documents, authorised by the Director of Safety Services, which are advisory in nature giving advice on how to achieve safe systems of work when dealing with particular hazards or classes of hazard. Standards and Guidance will provide the source of reference for the vast majority of end-users

Local safety documentation 

All local safety documentation must be compliant with the relevant corporate documentation where this exists. The documentation at the local level sets out the organisation and arrangements that operate in that area and describe the way in which the Department will meet the corporate requirements where it is not set out specifically in the corporate documentation or where the Department wishes to set a higher standard. Corporate documentation will be of sufficient detail to meet the needs of the business in the majority of cases.

Document control

Health and safety documents are published on the Safety Services website and are managed by UCL Safety Services’ editorial process. The editorial process includes the approval steps for the document and is the responsibility of the Director of Safety Services.

Information sources

• Safety Services website - Managers and staff have ready access to health and safety information through the Safety Services website
• Health and Safety Executive - The HSE website is a source of free health and safety advice and information. It has a wealth of documents that can be saved or printed
• UK Statute Law - All current UK Statute Law
• My Safety Library - Online information services for health and safety-related reference material appropriate to UCL activities
• Contact Safety Services - Members of Safety Services may be contacted to advise and inform by phone, email or personal visit
• Trade Union Health and Safety Representatives have a special interest in their members’ working conditions. They provide an invaluable source of health and safety information