Document Control and Record Handling (Health and Safety)

Document Control and Record Handling (Health and Safety)

SUMMARY

The Document Control and Record Handling (Health and Safety) Procedure establishes the process for the creation, maintenance and management of Health and Safety documentation at Macquarie University; as well as the record keeping requirements for records produced by the WHS Management System (WHSMS).

PROCEDURE

Purpose

To detail the process for the creation, maintenance and management of Health and Safety documentation at Macquarie University; as well as the record keeping requirements for records produced by the WHS Management System (WHSMS).

Procedure

This procedure applies to all documents and records created as part of the University’s WHSMS. This includes policies, procedures, guidelines, schedules, manuals, forms, instructional documents, checklists and fact sheets created by the Health and Safety Unit or by Health and Safety Representatives or Individual Work Groups.

Health and Safety records can be defined as completed copies of forms, checklists, and risk assessments contained in the Health and Safety management system. It can also include externally produced documentation such as material safety data sheets, external Health and Safety audit reports, health surveillance records or workplace monitoring reports.

This procedure requires actions by the following: This procedure covers the steps involved in:
  • Document creation
  • Consultation and communication
  • Document design
  • Document properties
  • Location of Health and Safety documents
  • Document review
  • Approval of documentation
  • Documentation verification
  • Non-conformance
  • Document retention
  • Obsolete documents
  • Disposal of documents
  • Master document control and index register
  • Indexing and filing
  • Privacy and confidentiality
Manager, Health and Safety

The Manager, Health and Safety has the overall responsibility for the development of documentation and record keeping requirements for the WHSMS.

The Manager, Health and Safety will:
  • Review Health and Safety policies, procedures, guidelines and schedules and see that they are approved in accordance with Macquarie University Policy.
  • Review and approve all Health and Safety forms and fact sheets.
  • Review and approve locally created Health and Safety documents ensuring that they are compliant with the procedures set out below.

Health and  Safety Unit; and Health and Safety Representatives or Individual Work Groups

Document creation
Where necessary, Health and Safety Representatives or Individual Work Groups, may create procedures, schedules, and guidelines in liaison with the Health and Safety Unit. Follow the Policy Framework Policy and Procedure for developing and reviewing Health and Safety procedures, schedules and guidelines, and comply with the requirements under the Work Health and Safety Act 2011. Note that all Health and Safety policies, procedures, schedules and guidelines are listed as emanating from the Health and Safety Unit.

Procedures, schedules and guidelines must be forwarded to the Manager Health and Safety for review and recommendation.

Policies related to Health and Safety can only be created by the Health and Safety Unit.

Other related Health and Safety documents (ie manuals, instructional documents, checklists, forms, brochures, posters and fact sheets) can be developed in local areas where necessary. Consultation with the Health and Safety Unit is necessary when developing these documents to ensure that they are consistent with University Health and Safety requirements and style sheets.

Prior to printing or using these documents, approval for the document is to be sought from the Manager, Health and Safety.

Consultation and communication
Consult with the relevant stakeholders when developing Health and Safety documents.

Document evidence of consultation through meeting minutes, memorandums or emails.

When a document is ready to be released, liaise with the Health and Safety Unit, to develop a marketing plan. Consider the means by which the document can be effectively communicated to people.

Document design
Create Health and Safety documentation in the relevant Macquarie University style guidelines/templates to ensure consistency with regards to style, format and document control properties.

The only exceptions include:
  • evacuation and first aid posters
  • safety posters
  • brochures etc.
Document properties
All Health and Safety documentation must have the following document properties:
  • document identifier or name
  • document number (issued by the Health and Safety Unit)
  • current version
  • creation date
  • last review date
  • next review date.

Location of Health and Safety documents
Liaise with the Policy Unit so that Health and Safety policies, procedures, schedules and guidelines are placed on the Policy Central web site.

Liaise with the Health and Safety Unit so that Health and Safety forms, brochures, posters and fact sheets are placed on the Health and Safety Unit website. No forms should be located on faculty web sites.

Document review
Review all documents at a minimum every 3 years or where there is a need due to changes in legislation, practices or due to continuous improvement.

Approval of documentation
Obtain approval of Health and Safety documents in the following manner:
  • All policies, procedures and guidelines must be approved in accordance with Macquarie University Policy. See “Policy Framework” Policy
  • All forms, fact sheets, and brochures must be approved by the Manager, Health and Safety.
  • All locally created Health and Safety documents must be forwarded to the Manager, Health and Safety to ensure that it is compliant with these procedures and for approval.

Manager, Health and Safety; and Health and Safety Unit

Documentation verification
Conduct regular verification audits to ensure compliance with document control requirements. These audits maintain the integrity of the Health and Safety system by ensuring current documents and records are suitable and appropriate to the needs of those using them; and in assisting the University achieve the objectives of its Health and Safety Policy.

Non-conformance
Review all existing Health and Safety documents to determine that they conform to the set out procedures contained here within. Amend any non-conforming Health and Safety documents to ensure compliance.

Document retention
Keep all versions of documents maintained in accordance with the University Records Policy and the State Records Act 1998 – Rules for General Retention and Destruction.  A listing of record keeping requirements derived from the State Records Act pertaining to Health and Safety information.

Obsolete documents
Remove obsolete Health and Safety documentation from relevant web pages.  Provide the Health and Safety Unit with a hard copy of the obsoleted document. Record all documents on the Master Document Control and Index Register.

Disposal of documents
Dispose of documents following the prescribed methods in the University’s Records Management Policy and are in accordance with the State Records Act 1998 – Rules for General Retention and Destruction.

Master document control and index register
Record all documents created as part of the WHSMS on the Health and Safety Document Control Register.

The register will include the following information as a minimum:
  • record name
  • document number
  • current version
  • document title
  • creation date
  • last review date
  • next review date
  • index requirements
  • filing and storage details
  • retention period
  • records sensitivity classification
  • disposal requirements.

Indexing and filing
Index and file all records in accordance with the University Records Management Policy.

Privacy and confidentiality
Observe and apply Macquarie University’s Privacy Management Policy and all legal requirements related to data and information contained in Health and Safety records.

Identify records which require the collection of private or confidential information and store in a manner consistent with Principle 4 of the National Privacy Principles and in accordance with the Health Records and Information Privacy Act 2002.

Restrict the access of any document listed as having privacy or confidentiality properties to personnel with legitimate business needs. Requests for access to these documents are to be made in writing to the Manager, Health and Safety.

Record the appropriate procedure for access to these records on the record index.

Procedure Information

Contact OfficerManager, Health and Safety
Date Approved24 February 2013
Approval AuthorityDirector, Human Resources
Date of Commencement24 February 2013
Amendment Historyn/a
Date for Next ReviewFebruary 2016
Related Documents

Health and Safety Policy
Policy Framework Policy / Procedure

University Records Policy

AS/NZS 4801:2001 - Occupational health and safety management systems - Specification with guidance for use
Health Records and Information Privacy Act 2002
State Records Act 1998 (NSW)
Work Health and Safety Act 2011
Work Health and Safety Regulations 2011
KeywordsWHS Document Control, Records Handling
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