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HRD-WHS-GUI-386.6 WHS Records Handling Guidelines 2016 July Page 1 of 15
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UOW WHS Unit
WHS
RECORDS
HANDLING
GUIDELINES
WHS Records Handling Guidelines
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HRD-WHS-GUI-386.6 WHS Records Handling Guidelines 2016 July Page 2 of 15
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CONTENTS
1 Purpose .......................................................................................................................................... 3
2 Scope ............................................................................................................................................. 3
3 Definitions ..................................................................................................................................... 3
4 Responsibilities ............................................................................................................................. 4
4.1 Manager Workplace Health & Safety ..................................................................................... 4
4.2 Workplace Health and Safety Advisor ................................................................................... 4
4.3 Executive Deans and Directors ............................................................................................... 4
4.4 Heads of School and Managers of Units ................................................................................ 4
5 WHS Records and Data ................................................................................................................. 4
5.1 Identification and Traceability ................................................................................................ 4
5.2 Collection, Indexing and Filing .............................................................................................. 5
5.3 Storage and Maintenance ........................................................................................................ 5
5.4 Privacy, Confidentiality and Access ....................................................................................... 5
5.5 Document Protection .............................................................................................................. 5
5.6 Retrieval .................................................................................................................................. 6
5.7 Retention and Disposal ........................................................................................................... 6
5.8 Electronic Data ....................................................................................................................... 6
5.9 Master WHS Record Index ..................................................................................................... 6
5.10 Local WHS Record Index ................................................................................................... 6
5.11 Licences ............................................................................................................................... 7
6 Related Documents........................................................................................................................ 7
7 Reference Documents.................................................................................................................... 7
8 Review and Evaluation .................................................................................................................. 7
9 Version Control Table ................................................................................................................... 8
10 Appendix 1: Master WHS Records Index.................................................................................. 9
11 Appendix 2: Local WHS Records Index .................................................................................. 15
WHS Records Handling Guidelines
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1 Purpose
These guidelines outline the University’s program for the information and data keeping
requirements for records produced by the University’s WHS Management System.
This includes the processes for the identification, collection, indexing, filing, maintenance, storage
and disposal of WHS records produced by the University’s WHSMS. Such records provide
evidence of implementation of the University WHS management system as well as being a
legislative requirement.
2 Scope
This guideline applies to all records created as part of the University’s WHSMS and should be read
in conjunction with the UOW Records Management Policy and associated documents.
3 Definitions
WHSMS
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 division
to meet the local area needs e.g. Library Building Warden Procedure.
Verification
Confirmation by examination and provision of objective evidence that the
specified requirements of the audit criteria have been met.
Indexing
Process of establishing access points to facilitate retrieval of records and/or
information
Records
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
Records management
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
Tracking
Creating, capturing and maintaining information about the movement and
use of records
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4 Responsibilities
4.1 Manager Workplace Health & Safety
The Manager WHS has the responsibility for the development of record keeping requirements for
the WHSMS.
4.2 Workplace Health and Safety Advisor
The Workplace Health and Safety (WHS) Advisor has the responsibility for the creation,
modification and review of central WHS documentation. As well providing advice to local
document controllers on the requirements of any locally produced documents.
4.3 Executive Deans and Directors
Executive Deans and Directors (or equivalent) are responsible for ensuring that:
the implementation of any faculty generated WHS documentation is created via according
to these guidelines
faculty produced WHS records are indexed, collected, filed, stored, maintained and
disposed of according to these guidelines.
4.4 Heads of School and Managers of Units
Heads of School and Managers of Units are responsible for ensuring that:
the implementation of any school/unit generated WHS documentation is created via
according to these guidelines
school/unit produced WHS records are indexed, collected, filed, stored, maintained and
disposed of according to these guidelines.
5 WHS Records and Data
WHS records and data include but are not limited to completed copies of forms, checklists, risk
assessments contained in the WHS management system. Additionally, WHS records may include
externally produced documentation such as but not limited to material safety data sheets, external
WHS audit reports, health surveillance records or workplace monitoring reports.
5.1 Identification and Traceability
Whether 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
Records Management system assigned sequential numeric number, in accordance with the UOW
Records Management Guideline. Traceability of a record will come from identification methods,
e.g. alpha numeric, sequential numbering, computer generated and managed record management.
WHS records and associated requirements shall be identified according to the Appendix 1: Master
WHS Records Index and Local WHS Records Index.
WHS Records Handling Guidelines
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5.2 Collection, Indexing and Filing
WHS records and associated requirements listed on the Appendix 1: Master WHS Records Index
and Local WHS Records Index is required to be collected as and when the documents are generated
in preparation for indexing and filing.
Records will be indexed or otherwise sorted, using a method appropriate to their type and security
classification as defined in Appendix 1: Master WHS Records Index. Electronic WHS central
records are assigned metadata in accordance with UOW Records Management Guideline, WHS
Network Drive Procedure and WHS Document Control Guidelines.
The records shall be filed and arrange in convenient order for storage or reference. Filing or records
is based on file type such as hard copy or electronic media and must be filed in a state which is
secured to prevent unauthorised access. Files must be indexed to minimise loss and enable easy
retrieval. Records located locally shall be filed in accordance with the Local WHS Records Index
to ensure the index/sorting method adopted for that type of record and security level for subsequent
ease of retrieval.
5.3 Storage and Maintenance
Where possible the storage and maintenance of all WHS records shall be in accordance with
the UOW Records Management Policy and UOW Records Management Guideline as well as any
requirements specified on the Appendix 1: Master WHS Records Index or Local WHS Records
Index.
All externally generated records, e.g. audit report, improvement notices, will be stored in the
University’s Records Management System by the WHS Unit.
5.4 Privacy, Confidentiality and Access
All data and information contained with WHS records shall observe the UOW Privacy Policy. Any
WHS records 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
to personnel with legitimate business needs. For example, restricted access for hard copy records
includes using a locked filing cabinet, electronic records includes password encryption or restricted
access via electronic workgroups. Access to records is for persons authorised to access such
records, e.g. central records 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 Protection
Electronic records are controlled by levels of security on the specific electronic system. Changes to
security levels can only be made in accordance with IT Security Policies. Further information on
ensuring protection of records against damage, deterioration and loss is available in the UOW
Records Management Guideline.
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5.6 Retrieval
Records shall be retrieved using the appropriate retrieval process for the record stored. Electronic
records may be retrieved using electronic system search and retrieval mechanisms, hardcopy
records must be retrieved using a manual process.
Retrieval of records is for persons authorised to access such record, e.g. central records are
restricted and may only be retrieved by a member of the WHS Unit.
5.7 Retention and Disposal
WHS records are to be retained in accordance with the General Disposal Authority (GDA) as well
as any requirements specified on the Master or Local WHS Records Index.
Methods of disposal for documents shall be prescribed in the Master and Local Records Index.
5.8 Electronic Data
Electronic records shall be managed in accordance with the UOW Records Management Guideline.
5.9 Master WHS Record Index
Updating (addition, modification, removal) of records contained on the Master WHS Record Index
occurs as and when the requirements of the WHSMS change (as per WHS Document Control
Guidelines).
The Master WHS Record Index is a list of records required to be kept as per the WHSMS. The
index details:
the system component requiring the record;
the type of record
the location of the storage
the custodian or responsible officer
confidential and privacy requirements
time period for keep the document, and
how to dispose of the document.
The Master WHS Record Index is contained in Appendix 1: Master WHS Records Index
5.10 Local WHS Record Index
Any local WHS record created by or within Faculties, Schools, Library, or Units will be recorded
on the Local WHS Records Index. The Local WHS Records 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 local record keeping requirements and those set out in the Master WHS Record index. Local
records are those forms that have been completed, for example risk assessments, safe work
procedures, biosafety self-assessment checklist etc. These should be kept on the local record index.
The Local WHS Records Index outlines the requirements for typical WHS records for each local
area and includes the following:
record Name
index requirements
filing and local storage details
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retention period
records sensitivity classification
any localised procedure for access, and
disposal requirements.
An example of a completed Local WHS Records Index is located in Appendix 2: Local WHS
Records Index.
5.11 Licences
There 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 record keeping requirements.
The WHS Training Guidelines outlines requirements for demonstrating competency where activity
types require a licence or qualification e.g. electrician, driving a forklift.
6 Related Documents
UOW Records Management Policy
UOW Records Management Guideline
WHS Document Control Guidelines
UOW Privacy Policy
7 Reference Documents
NSW Government State Records website
8 Review and Evaluation
In order to ensure that these guidelines continue to be effective and applicable to the University, the
program will be reviewed triennially. However, more frequent reviews may be required as per
legislative changes, corrective actions or continuous improvement.
Following completion of any review, these guidelines will be revised in order to correct any
deficiencies. Any changes will be consulted via the WHS Committee.
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9 Version Control Table
Version
Control
Date Released Approved By Amendment
1
March 2010
Manager WHS
Records handling removed from 138 WHS
Document Control Guidelines into this
document.
2
March 2012
Manager WHS
Rebrand.
3
March 2013
Manager WHS
Legislative update.
4
April 2015
Manager WHS
Update of Appendix 1 and other minor
amendments.
5
June 2016
Manager WHS
Updated broken hyperlinks.
6
July 2016
Manager WHS
Rebrand