Document Control and Record Management - Intranet

1 WHS PROCEDURE Document Control & Record Management Procedure, , March 2021 Safety & Wellbeing Team Page 1 of 15 Disclaimer: Hardcopies of this Document are considered uncontrolled. Please refer to the Safety & Wellbeing website for the latest version. Document Control & Record Management Purpose Definitions Roles and Responsibilities Procedure for Document Control & Record Management 1. Electronic Format 2. Document Creation 3. Document Review 4. Obsolete Documents 5. Document Format 6. Document Properties 7.

2 Consultation & Communication 8. Document Approval Process 9. Document Control Register 10. Record Management References Further Assistance Purpose The purpose of this procedure is to outline the process for Work Health and Safety (WHS) Document Control and Record Management at the University in accordance with WHS and other related legislative and university business system requirements. This procedure describes: the methodology for ensuring that University safety Management system documentation is current and suitable for use by Research Institutes, Academic and Central Units.

3 This methodology includes: o Document creation o Document review o modification and update of documents (where necessary) that ensures the relevant competent personnel or parties are consulted and given a genuine opportunity to provide input prior to approval o identification of documents to ensure the most current versions are identifiable, legible and available at points of use o the prevention of unintended use of obsolete documents o Document approval prior to issue o communication of approved new or modified documents to relevant personnel. the process for managing WHS and Injury Management (IM) records that form part of the safety Management system and are generated as part of University business.

4 WHS & IM records shall be maintained, archived and disposed of in accordance with legislative requirements such as the State Records Act and General Disposal Schedule Definitions WHS Documentation is important for the success of the University safety Management system, allowing for consistency and uniformity in applying health and safety in the workplace. Typical documents include plans, policies, procedures , guidelines and forms that define the system. A controlled Document or Record is any Document for which distribution and status are required to be kept current by the issuer to ensure that authorised holders or users have the most up to date version available.

5 Document Control is the process established in this procedure to define controls needed for the Management of WHS&IM documentation. WHS PROCEDURE Document Control & Record Management Procedure, , March 2021 Safety & Wellbeing Team Page 2 of 15 Disclaimer: Hardcopies of this Document are considered uncontrolled. Please refer to the Safety & Wellbeing website for the latest version. Records are information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business (AS ISO Australian Standard Records Management Part 1: General).

6 Records of WHS & IM activity are generated as part of University business and reflect what was communicated or decided or what action was taken. Records Management is the efficient and systematic Control of the creation, receipt, maintenance, use and disposal of records, including processes for capturing and maintaining evidence of and information about business activities and transactions in the form of records (AS ISO Australian Standard Records Management Part 1: General). Retention Period is a specified period for which a Record must be kept before it may be destroyed.

7 Roles and Responsibilities Manager: Work Health and Safety is responsible for: The custodianship of the University safety Management system-controlled documentation The process of developing, approving and reviewing system documentation and ensuring the currency of such documentation is maintained and accessible on the Safety & Wellbeing website Establishing an effective system of communicating requirements outlined in this procedure to University personnel Ensuring effective systems are provided to assist the process of maintaining records. Executive Deans, Directors and General Managers are responsible for: Ensuring the requirements of this procedure are implemented at the local level and in accordance with managing records as part of implementing the WHS Local Action Plan Allocating sufficient resources by appointing a person (custodian) within the workplace to establish and maintain controlled documentation for use at the local level and keeping records of health and safety-related business activities in accordance with this procedure.

8 Appointed Person (Custodian) is responsible for: Ensuring WHS system documents for local use are current and accessed from the Safety & Wellbeing website Ensuring WHS system documents created or modified for local use are controlled and maintained in accordance with this procedure Ensuring workplace records that are generated are managed so that they properly and adequately Record evidence of the WHS & IM-related business activities of the work functions for the area of responsibility. Employees are responsible for: Complying with this procedure and related advice in the use of system documentation and records generated as part of WHS & IM-related business activities in the workplace.

9 Procedure 1. Electronic Format All documentation that is used or introduced to the Safety & Wellbeing website forms part of the University safety Management system. This documentation is maintained in a controlled electronic format and only current versions of documentation are made available on the website. Where workplaces have established local websites/SharePoint team sites, the Safety & Wellbeing website link shall be provided for local employees to ensure accessibility to current and reliable system documentation. 2. Document Creation The requirement or need for new or additional documentation to be introduced to the safety Management system may be initiated by the Enterprise Leadership Team (ELT), Manager: Work WHS PROCEDURE Document Control & Record Management Procedure, , March 2021 Safety & Wellbeing Team Page 3 of 15 Disclaimer: Hardcopies of this Document are considered uncontrolled.

10 Please refer to the Safety & Wellbeing website for the latest version. Health and Safety or by recommendation of the University Safety & Wellbeing Committee (note: this list is not exhaustive). The requirement or need may be based on, but not limited to: Legislation changes or updates RTWSA Code of Conduct and Performance Standards for Self Insurers Identified system failures reported or identified during incident investigations Internal/external evaluation findings Outcome of system reviews Suggestions from employees or consultative arrangements Changes to university business activities and/or structure Industry or organisational best practice initiatives.