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Work Health Safety Record Management Guidelines
Work Health Safety Record Management Guidelines (October, 2014) Page 1
Work Health Safety Record Management Guidelines
October, 2014
Contents
1 Executive Summary ................................................................................................... 2 2 More information ........................................................................................................ 2 3 University Records Management ............................................................................... 2 4 WHS Legislative Requirements ................................................................................. 2 5 Other Acts ................................................................................................................. 2 6 WHS Standards ......................................................................................................... 3 7 Responsibilities .......................................................................................................... 3 8 Glossary .................................................................................................................... 4 9 Versioning ................................................................................................................. 4 10 Appendix 1: Work Health and Safety Document and Record Retention .................... 5
Responsible Officer Executive Director Human Resources
Approved by Executive Director Human Resources
Approved and commenced October, 2014
Review by October, 2017
Relevant Policy or Procedure the Guideline supports
Records Management Policy and Guidelines
Responsible Organisational Unit Work Health and Safety – Human Resources
Work Health Safety Record Management Guidelines
Work Health Safety Record Management Guidelines (October, 2014) Page 2
1 Executive Summary
These guidelines have been developed to support the effective management, identification, maintenance and disposition of Work Health and Safety (WHS) records at the University of Tasmania, including the results of audits and reviews.
2 More information
For further information, contact the Work Health and Safety Unit
Email: [email protected]
3 University Records Management
The University’s WHS records are managed in accordance with:
Records Management Policy; and
Records Management Guidelines.
Their purpose is to ensure that all University records are appropriately created, managed, maintained and disposed of in accordance with legislative requirements, policy, and recognised standards of best practice,
For further information, contact the Records Management Unit (RMU):
http://www.utas.edu.au/it/records/home
Email: [email protected]
4 WHS Legislative Requirements
Statutory requirements for work health and safety record keeping are set down in the:
Work Health and Safety Act 2012; and
Work Health and Safety Regulations 2012.
A summary of the record keeping requirements contained in the Act and Regulations, including retention times is provided in Appendix 1: Work Health and Safety Document and Record Retention.
Penalties apply for failure to comply with these requirements.
5 Other Acts
The following Acts also govern what information must be kept, how that information must be managed and when and how the information may be disposed of:
Archives Act 1983 and Archives Regulations 2004
University of Tasmania Act 1992
Personal Information Protection Act 2004
Right to Information Act 2009
The Archives Act 1983 and the Archives Regulations 2004, provide the legislative background and provisions for dealings with State Records.
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The Tasmanian Archive and Heritage Office (TAHO) sets guidelines for the creation, maintenance, use and disposal of these records.
The University’s WHS records are to be managed in accordance with:
Tasmanian Archive & Heritage Office Records Retention & Disposal Schedule For Functional records of the University of Tasmania - Disposal Authorisation No. 2398, 4 May 2012
27.00.00 Work Health and Safety
http://www.linc.tas.gov.au/global/govtrecordkeeping/services/retentiondisposal
Archives Office of Tasmania Disposal Schedule For Common Administrative Functions - Disposal Authorisation No. 2157, 2005
02.00.00 Compensation
03.00.00 Equipment & Stores
11.00.00 Occupational Health and Safety
12.00.00 Personnel
13.00.00 Property Management
http://www.linc.tas.gov.au/global/govtrecordkeeping/services/retentiondisposal
Further advice and support on retention and disposal schedules for work health and safety records is available from LINC Tasmania at
http://www.linc.tas.gov.au/global/govtrecordkeeping/services/retentiondisposal
6 Application of Legislative Requirements
Where more than one legislative requirement applies to a record, the University will apply whichever retention period is the greater.
7 WHS Standards
WHS records are maintained in conformance with the requirements of Australian Standard AS/NZS 4801 Occupational Health and Safety Management Systems.
Records must:
be legible, identifiable and traceable to the activity or service involved;
be stored electronically (TRIM) and maintained to ensure they are readily retrievable and protected against damage, deterioration or loss; and
have their retention times established and recorded.
8 Responsibilities
Records Management Unit (RMU)
The RMU is responsible for the application of sound records management practices across the University, including implementation of the Records Management Policy and Guidelines.
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Work Health and Safety (WHS) Unit
The WHS Unit is responsible for supporting the effective management, identification, maintenance and disposition of Work Health and Safety (WHS) records in accordance with legislative requirements and applicable standards.
Organisational Units (OUs) OUs are responsible for ensuring WHS related documents are managed, identified, maintained and disposed of in accordance with the University’s Records Management Policy and Guidelines.
9 Glossary
Term/Acronym Definition
Organisational Unit
College, Faculty, School, Centre, University Institute, other University Entity, Division, Section or University Business Enterprise.
Records Management
The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records
TRIM The University’s Electronic Document and Records Management System (EDRMS).
Tasmanian Archive and Heritage Office
Regulates the preservation and eventual destruction or retention of records in Tasmania
10 Versioning
Current Version
Version 1 Work Health Safety Record Management (current document); Approved October, 2014. Amended in December 2016 to incorporate Colleges.
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11 Appendix 1: Work Health and Safety Document and Record Retention
Work Health and Safety Act 2012
S.4 Definitions
document includes record;
employee record, in relation to an employee, has the same meaning as it has in the Privacy Act 1988 of the Commonwealth;
Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
Notifiable incidents
S.38 Duty to notify of
notifiable incidents
The University
must keep
A record of
each notifiable
incident
At least 5 years from
the day that notice of
the incident is given to
the regulator under this
section.
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
1) DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Work Health and Safety Regulations 2012
Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
Airborne contaminants
S.50 Monitoring airborne
contaminant levels
The University
must ensure
The results of
air monitoring
carried out are
recorded
30 years after the date
the record is made
DA2157/11.07.02
TEMPORARY
Destroy 7 years after action completed
Confined Spaces
S.76 Information, training
and instruction for
workers
The University
must ensure
A record of all
training
provided to a
worker under
2 years DA2398/27.02.01
TEMPORARY
Destroy 7 years after action completed
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Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
the confined
spaces
regulation
S.77 Confined space
entry permit and risk
assessment must be kept
The University
must keep
A copy of the
confined
space risk
assessment
and
A copy of the
confined
space entry
permit
At least 28 days after
the work to which the
confined space risk
assessment it relates is
completed
Until the work to which
the confined space entry
permit relates is
completed
DA2157/11.16.01
TEMPORARY
Destroy 7 years after action completed
If a notifiable incident
occurs in connection with
the work to which the
confined space
assessment or permit
relates
The University
must keep
The copy of
the confined
space
assessment or
permit (as
applicable)
At least 2 years after the
incident occurs
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
2) DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Electrical work on energised electrical equipment
S.162 Record keeping The University
must keep
A copy of the
energised
electrical
equipment risk
assessment
At least 28 days after
the work to which it
relates is completed;
and
DA2157/11.16.01
TEMPORARY
Destroy 7 years after action completed
The University
must keep
A copy of the
energised
electrical
equipment
safe work
Until the work to which it
relates is completed
DA2157/11.04.01
TEMPORARY
Destroy 7 years after action completed
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Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
method
statement
If a notifiable incident
occurs in connection with
the work to which the
energised electrical
equipment assessment or
statement relates,
The University
must keep
The energised
electrical
equipment
assessment or
statement (as
applicable)
At least 2 years after the
incident occurs
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Diving Work
S.182 Diving work record
keeping
The University
must keep
A copy of the
diving risk
assessment
At least 28 days after
the work to which it
relates is completed and
DA2157/11.16.01
TEMPORARY
Destroy 7 years after action completed
The University
must keep
A copy of the
dive plan
until the dive work to
which it relates is
completed
DA2157/11.04.01
TEMPORARY
Destroy 7 years after action completed
If a notifiable incident
occurs in connection with
the work to which the
assessment or dive plan
relates
The University
must keep
The
assessment or
dive plan (as
applicable)
At least 2 years after the
incident occurs
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Control measures for certain plant
S.226 Plant with
presence-sensing
safeguarding system –
records
Where the
University has
management or
control of plant
with a presence-
sensing
safeguarding
system at a
A record of
safety integrity
tests,
inspections,
maintenance,
commissioning
,
decommissioni
5 years or the life of the
plant or until the
University relinquishes
control of the plant if the
plant is registered plant
or has been altered
DA2157/03.12.02
TEMPORARY
Destroy 7 years after the plant has been scrapped OR transfer to
new owner when ownership of the plant is transferred.
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Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
workplace the
University must
keep
ng,
dismantling
and alterations
of the plant
High risk construction work – safe work method statements
S.303 S High risk
construction work safe
work method statement
must be kept
The University
must keep
A copy of the
high risk
construction
work safe work
method
statement
Until the high risk
construction work to
which it relates is
completed
DA2157/11.04.01
TEMPORARY
Destroy 7 years after action completed
If a notifiable incident
occurs in connection with
the high risk construction
work to which the safe
work method statement
relates
The University
must keep
The statement At least 2 years after the
incident occurs.
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Excavation work
S. 304 Excavation work –
underground essential
services information
Where the
University has
control or
management of
the workplace,
the University
must ensure
The
underground
essential
services
information is
available for
inspection
Until the excavation
work is completed
DA2157/11.04.01
TEMPORARY
Destroy 7 years after action completed
If a notifiable incident
occurs in connection with
the excavation work to
which the information
relates
The University
must keep
The
underground
essential
services
information
At least 2 years after the
incident occurs
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
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Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Additional Duties of Principal Contractor
S.313 Copy of WHS
management plan must
be kept
Where the
University is the
principal
contractor for a
construction
project the
University must
ensure that
A copy of the
WHS
management
plan for the
project is kept
Until the project to which
management plan for
the project relates is
completed.
DA2157/11.09.01
TEMPORARY
Destroy 7 years after plan is superseded
If a notifiable incident
occurs in connection with
the construction project to
which the statement
relates,
The University
must keep
The WHS
management
plan
At least 2 years after the
incident occurs.
DA2157/11.01.01
Accidents/incidents that result in serious injury or death
PERMANENT
DA2157/11.01.02
Accidents/incidents that do not result in serious injury or death
TEMPORARY
Destroy 7 years after the action completed provided the person
has reached the age of 25 years
Prohibited and restricted carcinogens
S.340 Supply of
prohibited and restricted
carcinogens
A supplier
prohibited and
restricted
carcinogens
must keep
A record of the
name of the
person
supplied and
the name and
quantity of the
substance
supplied.
5 years after the substance was last
supplied to the person
DA2157/11.04.01
TEMPORARY
Destroy 7 years after action completed
Hazardous chemicals - Health monitoring
S.378 Health monitoring
records
The University
must ensure
that
Health
monitoring
reports in
relation to a
worker
At least 30 years after the record is
made
DA2157/12.11.03
TEMPORARY
Destroy when the employee reaches 75 years of
age or 7 years after separation, whichever is the
later.
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Work Health Safety Record Management Guidelines (October, 2014) Page 10
Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
carrying out
work for the
University are
kept as a
confidential
record
and identified
as a record in
relation to the
worker.
Hazardous Chemicals - Prohibition, authorisation and restricted use
S.388 Records to be kept Where the
University is
authorised to
use, handle or
store a
prohibited
carcinogen or
restricted
carcinogen at
the workplace
the University
must keep
A record of the
full name, date
of birth and
address of
each worker
likely to be
exposed to the
prohibited
carcinogen or
restricted
carcinogen
during the
period of
authorisation;
and
A copy of each
authorisation
given to the
person
including any
conditions
imposed on
the
authorisation
30 years after the authorisation ends DA2157/13.18.04
TEMPORARY
Destroy 30 years after action completed
Lead - Health monitoring
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Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
S.418 Health monitoring
records
The University
must ensure
that
Health
monitoring
reports in
relation to a
worker
carrying out
work for the
University are
kept as a
confidential
record and
identified as a
record in
relation to the
worker
At least 30 years after the record is
made.
DA2157/12.11.03
TEMPORARY
Destroy when the employee reaches 75 years of
age or 7 years after separation, whichever is the
later.
Asbestos - Health monitoring
S.444 Health monitoring
records
The University
must ensure
that
Health
monitoring
reports in
relation to a
worker
carrying out
work for the
University are
kept as a
confidential
record
and identified
as a record in
relation to the
worker
At least 40 years after the record is
made.
DA2157/12.11.03
TEMPORARY
Destroy when the employee reaches 75 years of
age or 7 years after separation, whichever is the
later.
Asbestos - Training
S.445 Duty to train
workers about asbestos
The University
must ensure
that
A record is
kept of the
training
undertaken by
5 years after the day the worker
ceases working for the University.
DA2398/27.02.01
TEMPORARY
Destroy 7 years after action completed
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Section Action by Document
record
To be kept for Applicable Disposal Class and Retention period
the
worker while
the worker is
carrying out
the work
Asbestos Removal Work
S.461 Licensed asbestos
removalist must keep
training records
A licensed
asbestos
removalist must
keep
A record of the
training
undertaken by
a worker
carrying out
licensed
asbestos
removal work
While the worker is carrying out
licensed asbestos removal work and
For 5 years after the day the worker
stopped carrying out licensed
asbestos removal work for the
removalist.
DA2398/27.02.01
TEMPORARY
Destroy 7 years after action completed
S.465 Asbestos removal
control plan to be kept
and available
A licensed
asbestos
removalist must
ensure that
A copy of the
asbestos
removal
control plan
Until the asbestos removal work to
which it relates is completed
DA2157/13.18.03
TEMPORARY
Destroy 7 years after the demolition of the building
If a notifiable incident
occurs in connection with
the asbestos removal
work to which the
asbestos removal control
plan relates,
The licensed
asbestos
removalist must
keep
The asbestos
removal
control plan
At least 2 years after the incident
occurs.
DA2157/11.01.01
Accidents/incidents that result in serious injury or
death
PERMANENT
DA2157/11.01.02
3) Accidents/incidents that do not result in serious
injury or death
TEMPORARY
Destroy 7 years after the action completed provided
the person has reached the age of 25 years