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 Records Management Policy and Guidelines Guideline supports Responsible Organisational Unit Work Health and Safety Human Resources Work Health Safety Record Management Guidelines (October, 2014) Page 1
1 Executive Summary These guidelines have been developed to support the effective management, identification, maintenance and disposition of Work Health and Safety (WHS) s 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: health.safety@utas.edu.au 3 University Records Management s WHS s are managed in accordance with: Records Management Policy; and Records Management Guidelines. Their purpose is to ensure that all University s 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/s/home Email: RMU.Staff@utas.edu.au 4 WHS Legislative Requirements Statutory requirements for work health and safety keeping are set down in the: Work Health and Safety Act 2012; and Work Health and Safety Regulations 2012. A summary of the 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. Work Health Safety Record Management Guidelines (October, 2014) Page 2
The Tasmanian Archive and Heritage Office (TAHO) sets guidelines for the creation, maintenance, use and disposal of these s. s WHS s are to be managed in accordance with: Tasmanian Archive & Heritage Office Records Retention & Disposal Schedule For Functional s 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/govtkeeping/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/govtkeeping/services/retentiondisposal Further advice and support on retention and disposal schedules for work health and safety s is available from LINC Tasmania at http://www.linc.tas.gov.au/global/govtkeeping/services/retentiondisposal 6 Application of Legislative Requirements Where more than one legislative requirement applies to a, the University will apply whichever retention period is the greater. 7 WHS Standards WHS s 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 ed. 8 Responsibilities Records Management Unit (RMU) The RMU is responsible for the application of sound s management practices across the University, including implementation of the Records Management Policy and Guidelines. Work Health Safety Record Management Guidelines (October, 2014) Page 3
Work Health and Safety (WHS) Unit Organisational Units (OUs) The WHS Unit is responsible for supporting the effective management, identification, maintenance and disposition of Work Health and Safety (WHS) s in accordance with legislative requirements and applicable standards. 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 Organisational Unit Records Management TRIM Tasmanian Archive and Heritage Office Definition College, Faculty, School, Centre, University Institute, other University Entity, Division, Section or University Business Enterprise. The field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of s, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of s s Electronic Document and Records Management System (EDRMS). Regulates the preservation and eventual destruction or retention of s 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. Work Health Safety Record Management Guidelines (October, 2014) Page 4
11 Appendix 1: Work Health and Safety Document and Record Retention Work Health and Safety Act 2012 S.4 Definitions document includes ; employee, in relation to an employee, has the same meaning as it has in the Privacy Act 1988 of the Commonwealth; Section Action by Document Notifiable incidents S.38 Duty to notify of notifiable incidents A of each notifiable incident At least 5 years from the day that notice of the incident is given to the regulator under this section. 1) DA2157/11.01.02 Work Health and Safety Regulations 2012 Section Action by Document Airborne contaminants S.50 Monitoring airborne contaminant levels The results of air monitoring carried out are ed 30 years after the date the is made DA2157/11.07.02 Confined Spaces S.76 Information, training and instruction for workers A of all training provided to a worker under 2 years DA2398/27.02.01 Work Health Safety Record Management Guidelines (October, 2014) Page 5
Section Action by Document the confined spaces regulation S.77 Confined space entry permit and risk assessment must be kept the work to which the confined space assessment or permit relates Electrical work on energised electrical equipment S.162 Record keeping confined space risk assessment and confined space entry permit The copy of the confined space assessment or permit (as applicable) energised electrical equipment risk assessment energised electrical equipment safe work 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 At least 2 years after the incident occurs At least 28 days after the work to which it relates is completed; and Until the work to which it relates is completed Work Health Safety Record Management Guidelines DA2157/11.16.01 2) DA2157/11.01.02 DA2157/11.16.01 DA2157/11.04.01 Work Health Safety Record Management Guidelines (October, 2014) Page 6
Section Action by Document method statement the work to which the energised electrical equipment assessment or statement relates, Diving Work S.182 Diving work keeping the work to which the assessment or dive plan relates Control measures for certain plant S.226 Plant with presence-sensing safeguarding system s Where the University has management or control of plant with a presencesensing safeguarding system at a The energised electrical equipment assessment or statement (as applicable) diving risk assessment dive plan The assessment or dive plan (as applicable) A of safety integrity tests, inspections, maintenance, commissioning, decommissioni At least 2 years after the incident occurs At least 28 days after the work to which it relates is completed and until the dive work to which it relates is completed At least 2 years after the incident occurs 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 Work Health Safety Record Management Guidelines DA2157/11.01.02 DA2157/11.16.01 DA2157/11.04.01 DA2157/11.01.02 DA2157/03.12.02 Destroy 7 years after the plant has been scrapped OR transfer to new owner when ownership of the plant is transferred. Work Health Safety Record Management Guidelines (October, 2014) Page 7
Section Action by Document workplace the ng, University must dismantling keep 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 high risk construction work to which the safe work method statement relates Excavation work S. 304 Excavation work underground essential services information the excavation work to which the information relates Where the University has control or management of the workplace, the University high risk construction work safe work method statement The statement The underground essential services information is available for inspection The underground essential services information Until the high risk construction work to which it relates is completed At least 2 years after the incident occurs. Until the excavation work is completed At least 2 years after the incident occurs DA2157/11.04.01 DA2157/11.01.02 DA2157/11.04.01 DA2157/11.01.02 Work Health Safety Record Management Guidelines (October, 2014) Page 8
Section Action by Document Additional Duties of Principal Contractor S.313 Copy of WHS management plan must be kept the construction project to which the statement relates, Where the University is the principal contractor for a construction project the University must ensure that Prohibited and restricted carcinogens S.340 Supply of prohibited and restricted carcinogens A supplier prohibited and restricted carcinogens Hazardous chemicals - Health monitoring S.378 Health monitoring s that WHS management plan for the project is kept The WHS management plan A of the name of the person supplied and the name and quantity of the substance supplied. Health monitoring reports in relation to a worker Until the project to which management plan for the project relates is completed. At least 2 years after the incident occurs. 5 years after the substance was last supplied to the person At least 30 years after the is made DA2157/11.09.01 Destroy 7 years after plan is superseded DA2157/11.01.02 DA2157/11.04.01 DA2157/12.11.03 Destroy when the employee reaches 75 years of age or 7 years after separation, whichever is the later. Work Health Safety Record Management Guidelines (October, 2014) Page 9
Section Action by Document carrying out work for the University are kept as a confidential and identified as a 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 Lead - Health monitoring A 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 Work Health Safety Record Management Guidelines 30 years after the authorisation ends DA2157/13.18.04 Destroy 30 years after action completed Work Health Safety Record Management Guidelines (October, 2014) Page 10
Section Action by Document that S.418 Health monitoring s Asbestos - Health monitoring S.444 Health monitoring s Asbestos - Training S.445 Duty to train workers about asbestos that that Health monitoring reports in relation to a worker carrying out work for the University are kept as a confidential and identified as a in relation to the worker Health monitoring reports in relation to a worker carrying out work for the University are kept as a confidential and identified as a in relation to the worker A is kept of the training undertaken by At least 30 years after the is made. At least 40 years after the is made. 5 years after the day the worker ceases working for the University. DA2157/12.11.03 Destroy when the employee reaches 75 years of age or 7 years after separation, whichever is the later. DA2157/12.11.03 Destroy when the employee reaches 75 years of age or 7 years after separation, whichever is the later. DA2398/27.02.01 Work Health Safety Record Management Guidelines (October, 2014) Page 11
Section Action by Document the worker while the worker is carrying out the work Asbestos Removal Work S.461 Licensed asbestos removalist training s S.465 Asbestos removal control plan to be kept and available the asbestos removal work to which the asbestos removal control plan relates, A licensed asbestos removalist must keep A licensed asbestos removalist must ensure that The licensed asbestos removalist must keep A of the training undertaken by a worker carrying out licensed asbestos removal work asbestos removal control plan The asbestos removal control plan 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. Until the asbestos removal work to which it relates is completed At least 2 years after the incident occurs. DA2398/27.02.01 DA2157/13.18.03 Destroy 7 years after the demolition of the building Accidents/incidents that result in serious injury or death DA2157/11.01.02 3) Accidents/incidents that do not result in serious injury or death Destroy 7 years after the action completed provided the person Work Health Safety Record Management Guidelines (October, 2014) Page 12