whs records handling guidelines

7/25/2019 WHS RECORDS HANDLING GUIDELINES

1/13

WHS RECORDS HANDLING GUIDELINES

CONTENTS

1

Purpose ...................................................................................................................................................... 2

2 Scope ......................................................................................................................................................... 2 3 Definitions ................................................................................................................................................... 2 4 Responsibilities ........................................................................................................................................... 2

4.1 Manager Workplace Health & Safety .................................................................................................. 2 4.2 Health and Safety Advisor ................................................................................................................... 2 4.3 Deans and Directors ........................................................................................................................... 2 4.4 Heads of School and Managers of Units ............................................................................................ 3

5 WHS Records and Data ............................................................................................................................. 3 5.1 Identification and Traceability .............................................................................................................. 3 5.2 Collection, Indexing and Filing ............................................................................................................ 3 5.3 Storage and Maintenance ................................................................................................................... 3 5.4 Privacy, Confidentiality and Access .................................................................................................... 4 5.5 Document Protection ........................................................................................................................... 4 5.6 Retrieval .............................................................................................................................................. 4 5.7 Retention and Disposal ....................................................................................................................... 4 5.8 Electronic Data .................................................................................................................................... 4 5.9 Master WHS Record Index ................................................................................................................. 4 5.10 Local WHS Record Index ................................................................................................................ 5

6 R l d D 5


2/13

6 R l d D 5

WHS Records Handling Guidelines

1 PurposeThese guidelines outline the process for record and data keeping requirements for records produced by the

Universitys WHS Management System.

This includes the processes for the identification, collection, indexing, filing, maintenance, storage anddisposal of WHS records produced by the Universitys WHSMS. Such records provide evidence ofimplementation of the University WHS management system as well as being a legislative requirement.

2 ScopeThis guideline applies to all records created as part of the Universitys WHSMS. This includes any recordproduced through the implementation of the Universitys WHSMS.

3 DefinitionsWHSMS Documentation Plans, policies, procedures, guidelines, forms and any other document which

forms part of the WHSMS. These documents are designed and created by

the WHS Unit.

Local Documentation Local WHS documents are those which are created by a faculty or divisionto meet the local area needs e.g. Library Building Warden Procedure.

Verification Confirmation by examination and provision of objective evidence that thespecified requirements of the audit criteria have been met.

Indexing Process of establishing access points to facilitate retrieval of records and/or

i f ti


3/13


the implementation of any faculty generated WHS documentation is created via according to theseguidelines.

Faculty produced WHS records are indexed, collected, filed, stored, maintained and disposed ofaccording to these guidelines.

4.4 Heads of School and Managers of UnitsHeads of School and Managers of Units are responsible for ensuring that:

the implementation of any school/unit generated WHS documentation is created via according tothese guidelines;

School/Unit produced WHS records are indexed, collected, filed, stored, maintained and disposed ofaccording to these guidelines.

5 WHS Records and DataWHS records and data include but are not limited to completed copies of forms, checklists, risk assessmentscontained in the WHS management system. Additionally, WHS records may include externally produceddocumentation such as but not limited to material safety data sheets, external WHS audit reports, healthsurveillance records or workplace monitoring reports.

5.1 Identification and Traceabilit yWhether a record is stored locally or centrally in electronic or hardcopy form, the records shall be traceable.The record is required to be assigned a unique identifier, for example, Oracle Universal RecordsManagement system assigned sequential numeric number, in accordance with the Records HandlingGuidelines . Traceability of a record will come from identification methods, e.g. alpha numerics, sequentialnumbering, computer generated and managed record management.

WHS records and associated requirements shall be identified according to the Appendix 1: Master WHS

R d I d d L l WHS R d I d
https://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.html


4/13


5.4 Privacy, Confidentiality and Access All data and information contained with WHS records shall observe the UOW Privacy Policy . Any WHSrecords which require the collection of private or confidential information shall be identified on the Appendix

1: Master WHS Records Index and Local WHS Records Index where appropriate to do so.

Any document listed as having privacy or confidentiality properties shall have its access restricted topersonnel with legitimate business needs. For example, restricted access for hard copy records includesusing a locked filing cabinet, electronic records includes password encryption or restricted access viaelectronic workgroups. Access to records is for persons authorised to access such records, e.g. centralrecords are restricted and may only be retrieved by a member of the WHS Unit.

A person wishing to access a restricted record must make a request in writing which will be considered by

the Manager WHS with reference to the UOW Privacy Policy before the record is released.The appropriate procedure for access to these records shall be identified on the local record index.

5.5 Document ProtectionElectronic records are controlled by levels of security on the specific electronic system. Changes to securitylevels can only be made in accordance with IT Security Policies . Further information on ensuring protectionof records against damage, deterioration and loss is available in the Records Handling Guidelines .

5.6 RetrievalRecords shall be retrieved using the appropriate retrieval process for the record stored. Electronic recordsmay be retrieved using electronic system search and retrieval mechanisms, hardcopy records must beretrieved using a manual process.

Retrieval of records is for persons authorised to access such record, e.g. central records are restricted andmay only be retrieved by a member of the WHS Unit.
http://www.uow.edu.au/about/policy/alphalisting/index.htmlhttp://www.uow.edu.au/about/policy/alphalisting/index.htmlhttp://www.uow.edu.au/about/policy/alphalisting/index.htmlhttps://intranet.uow.edu.au/myit/documents/https://intranet.uow.edu.au/myit/documents/https://intranet.uow.edu.au/myit/documents/https://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/recordsmanagement/policy/index.htmlhttps://intranet.uow.edu.au/myit/documents/http://www.uow.edu.au/about/policy/alphalisting/index.html


5/13


5.10 Local WHS Record Index Any local WHS record created by or within Faculties, Schools, Library, or Units will be recorded on the LocalWHS Record Index . The Local WHS Record Index should reflect those requirements outlined in the Master

WHS Record Index and list any local records created or required at a local level.

The Local WHS Records Index should be regularly reviewed and updated to ensure consistency with localrecord keeping requirements and those set out in the Master WHS Record index. A local record are thoseforms that have been completed, for example risk assessments, safe work procedures, biosafety selfassessment checklist etc. These should be kept on the local record index.

The Local WHS Record Index outlines the requirements for typical WHS records for each local area andincludes the following:

Record Name; Index requirements; Filing and local storage details; Retention period; Records sensitivity classification Any localised procedure for access. Disposal requirements.

An example of a completed Local Records Index is located in Appendix 2: Local WHS Records Index

5.10.1 LicencesThere are activities types that require a licence or qualification e.g. electrician, driving a forklift. Faculties,Schools, Library, or Units are required to collect and maintaining these records consistent with recordkeeping requirements.

The WHS Training Guidelines outlines requirements for demonstrating competency where activity typesrequire a licence or qualification e.g. electrician, driving a forklift.
http://staff.uow.edu.au/ohs/commitment/ohssystem/index.html#2http://staff.uow.edu.au/ohs/commitment/ohssystem/index.html#2http://staff.uow.edu.au/ohs/commitment/ohssystem/index.html#2http://staff.uow.edu.au/ohs/commitment/ohssystem/index.html#2http://staff.uow.edu.au/ohs/training/index.htmlhttp://staff.uow.edu.au/ohs/training/index.htmlhttp://staff.uow.edu.au/ohs/training/index.htmlhttp://staff.uow.edu.au/ohs/commitment/ohssystem/index.html#2http://staff.uow.edu.au/ohs/commitment/ohssystem/index.html#2


6/13


8 Version Control Table

VersionControl

Date Released Appr oved By Amendm ent

1 March 2010 Manager WHS Records handling removed from 138 WHSDocument Control Guidelines into this document.

2 March 2012 Manager WHS Rebrand3 March 2013 Manager WHS Legislative update


7/13


HRD-WHS-GUI-386.3 WHS Records Handling Guidelines 2013 March Page 7 of 13Hardcopies of this document are considered uncontrolled please refer t o UOW website or intranet for latest version

Appendix 1: Master WHS Records Index

WHSElement

WHSMSDocumentation Records Required Location Responsibili ty

PrivacyRequirement

RetainmentPeriod

DisposalMethod

WHS System WHS Management

System Guidelines

Documented health and

safety targets and objectivesto facilitate measurement ofthe WHS system, forexample:

WHS Reports to Counciland AdministrativeCommittee

Meeting minutes Memorandums

ImageReal

ImageRealImageReal

VPA

Manager WHSManager WHS

No

NoNo

20 years

5 years5 years

Secured disposal

Secured disposalSecured disposal

Records of WHS System

review, for example: Meeting minutes Memorandums

ImageRealImageReal

Manager WHSManager WHS

NoNo

5 years5 years

Secured disposalSecured disposal

WHS planningarrangements: University WHS

Management Plan Faculty/Divisional Plans

ImageReal

Image Real orlocal recordssystem

Manager WHS

Dean/Director

No

No

5 years

5 years

Secured disposal

Secured disposal

WHS AuditingGuidelines

WHS Audit Reports andcorrective action plans

ImageReal Manager WHS No 5 years Not applicable

WHSMS proceduresand forms

Examples of WHSdocumentation e.g. Policy,guidelines, forms and



8/13



WHSElement


PrivacyRequirement

RetainmentPeriod

DisposalMethod

checklists

WHS Risk

Management

WHS Risk

ManagementGuidelines

Hazard inspection checklists

or reports

ImageReal or

Local recordssystem

Manager of Unit No 7 years Non secure recycle

SafetyNet Hazard andIncident reports

SafetyNetManagementSystem

Manager of Unit Yes 30 years Secured disposal

Risk Assessments ImageReal orLocal recordssystem

Manager of Unit No 7 years Non securedrecycling if applicabl

Hazard SubstancesGuidelines

Hazardous Substances Risk Assessment

ImageReal orLocal recordssystem


Manual HandlingGuidelines

Manual Handling Risk Assessment


Manager of Unit No 7 years Non securedrecycling ifapplicable

Guidelines on theUse andManagement of

Alcohol in the

Workplace

Alcohol (Events Serving)Risk Assessment



Field ActivityGuidelines

Field Activity Risk Assessment


Manager of Unit No 7 years Non securedrecycling ifapplicable
http://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdf


9/13



WHSElement


PrivacyRequirement

RetainmentPeriod

DisposalMethod

Working Safely Safe WorkProceduresGuidelines

Safe Work Procedures SafetyNetManagementSystem

Manager WHS No 7 years Not applicable

Biosafety Manual Biosafety SelfAssessmentChecklist; PC2 LaboratoryDecommissioning Form


Manager of Unit No 7 years Not applicable

ImmunisationGuidelines

Record of ImmunisationStaff Decline ofImmunisation;

ImageReal(Personnel File)

Manager StaffServices

Yes 7 years afteremployment/studycompleted.

Not applicable

Student Decline ofImmunisation

ImageReal Manager WHS Yes 7 years afteremployment/studycompleted.

Not applicable

ErgonomicEquipment Guidelines

Ergonomic AssessmentChecklist



Fieldwork Guidelines Fieldwork Risk AssessmentFormFieldwork Participant

Acknowledgement


Manager of Unit No 7 years afteremployment

Non securedrecycling if applicabl

Working WithHazardousSubstancesGuidelines

Material Safety Data Sheets(Chem Alert)

Chem AlertManagementSystem


Hazardous Substances Risk Assessments


Manager of Unit No 7 years afteremployment finishes

http://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017002.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017002.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017003.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017003.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017025.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017025.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017025.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017025.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017024.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017003.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017003.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017002.pdfhttp://staff.uow.edu.au/content/groups/public/@web/@ohs/documents/doc/uow017002.pdf


10/13



WHSElement


PrivacyRequirement

RetainmentPeriod

DisposalMethod

Health SurveillanceRecords



Yes 30 years after last dateof entry

Not applicable

Use of CarcinogenicChemicals Guidelines

Work involving Use ofCarcinogenic Substances -Notification Form



Radiation SafetyGuidelines

Project/Program ApprovalForm Use of RadioactiveSubstances/ Radiation

Apparatus



Radiation dosimetry records ImageReal Manager WHS Yes 7 years afteremployment/study

completed

Not applicable

Working with LasersGuidelines

Laser User RegistrationForm;Laser EquipmentRegistration Form



Inspection andTesting

Inspection andTesting Guidelines

Maintenance recordsincluding logbooks, tests, orreports

ImageReal Manager WHS No Retain for 2 years afterworking life ofplant/equipment

Not applicable

Plant registration records ImageReal ManagerMaintenance andEnergy

No Retain for 2 years afterworking life ofplant/equipment

Not applicable

AsbestosManagementGuidelines

Asbestos Register includingtesting and monitoringresults

ImageReal Manager WHS No Retain for 20 years Not applicable
http://www.workcover.nsw.gov.au/http://www.workcover.nsw.gov.au/http://www.workcover.nsw.gov.au/http://www.workcover.nsw.gov.au/http://www.workcover.nsw.gov.au/http://www.workcover.nsw.gov.au/


11/13



WHSElement


PrivacyRequirement

RetainmentPeriod

DisposalMethod

Incidentmanagement

Hazard and IncidentReporting Guidelines

SafetyNet Hazard andIncident reports


Manager WHS Yes 30 years Secure disposal ofany paper records.

Nominated First Aiders

Contact List

Web Content

ManagementSystem

Manager WHS No 7 years Not Applicable

EmergencyPreparednessand Response

EmergencyManagement Plan

Emergency EvacuationDebrief Form

ImageReal Manager WHS No 7 years Not Applicable

Building Warden ContactList

Web ContentManagementsystem

Manager WHS No 7 years Not Applicable

WHSPerformance

WH&S PerformanceMeasurement andReporting Guidelines

WHS Monthly Reports ImageReal Manager WHS No 7 years Not applicable

WHSConsultation

WHS ConsultationRequirement

WHS Committee MeetingMinutes


WAC Meeting Minutes ImageReal orLocal recordssystem

Dean/Director No 20 years Secure disposal

Biannual WAC Survey ImageReal Manager WHS No 7 years Not applicable


12/13



WHSElement


PrivacyRequirement

RetainmentPeriod

DisposalMethod

WHS Training WHS TrainingGuidelines

Training Needs Analysis ImageReal orLocaldocumentsregister


Qualifications, skills,competency, certifications



Yes 70 years from date ofbirth or 7 years afterseparation orresignation, which everis the longer.

Not applicable

Training attendance formsTraining Evaluation forms;

ImageReal Manager PODS No 5 years Not applicable

Induction training records ImageReal(Personnel File)

Manager of Unit No 7 years afteremployment finishes

Not applicable

WHSPurchasing WHS PurchasingGuidelines Purchase order formsdetailing WHS specifications ImageReal orlocal recordssystem

Manager of Unit No Retain until purchaseditem is disposed ofentirely


WHS ContractorGuidelines

Contractor EvaluationChecklist;Contractor InductionChecklist;Contractor SafetyManagement Plan;Contractor Safe workMethod Statements;

WHS Performance Reportfor Contractors.

ImageReal orlocal recordssystem

Manager of Unit No 7 years after contractexpired.



13/13



Appendix 2: Local WHS Records Index

Faculty/Division: EXAMPLE School/Unit: EXAMPLE

WHS RECORD TITLE STORAGE LOCATION RECORD CUSTODIAN PRIVACYREQUIREMENT

RETAINMENTPERIOD

MAINTENANCE/DISPOSAL

WAC minutes Building 1, G20 Fillingcabinet.

Mr J. Citizen No 20 years Secure disposal

whs records handling guidelines

Documents