• Section 1 - Governing Policy
• Section 2 - Scope
• Section 3 - Background
• Section 4 - Roles and Responsibilities
• Section 5 - Types of Records to be Maintained
• Section 6 - Developing and Managing Records Registers
• WHSMS Records Registers Managed by Organisational Units
• ACU WHSMS Records Register
• Section 7 - Apply the Naming Convention
• Section 8 - Store Records within Authorised Business Systems
• Section 9 - Access Current Documents
• Apply Version Control Practices within Work Areas
• Publish Hyperlinks to Access Current Versions of WHSMS Documents
• Maintain External Records
• Section 10 - Manage Access and Preserve Confidentiality
• Section 11 - General Requirements, Including Disposal and Archiving Processes
• Section 12 - Revisions made to this Procedure
• Section 13 - Further Assistance
• Section 14 - Associated Information

Section 1 - Governing Policy

(1) This Procedure is governed by the Work, Health, Safety and Wellbeing Policy.

Section 2 - Scope

(2) This Procedure applies to all staff, staff representatives, students, visitors, volunteers and contractors, and the activities that the University manages and influences.

Section 3 - Background

(3) This Procedure is a core requirement of International Standard ISO 45001 which outlines the requirements of Work Health and Safety Management Systems. This Procedure and complementary University policies and procedures also support the University to implement and continuously improve its Work Health and Safety Management System (WHSMS or framework) and comply with its governance obligations that are associated with managing records.

(4) Robust records management practices also support the University to retain knowledge, improve efficiencies and decision making and demonstrate compliance with legal and other requirements. Effective record management practices also provide evidence to auditors the WHSMS is being implemented and continuously improved within portfolios and organisational units.

(5) The Procedure also supports organisational units to quickly and easily retrieve WHSMS records.

Section 4 - Roles and Responsibilities

Table 1: A high-level overview of staff members’ responsibilities for managing WHSMS documents and records

Section 5 - Types of Records to be Maintained

(6) The types of WHSMS records that should be managed by organisational units is informed by an assessment of their own record keeping needs and WHSMS Records Register - Appendix A (refer to last column of ACU WHSMS Records Register). The University’s WHSMS Records Register mirrors the requirements of International Standard ISO 45001, for WHSMS, and determinations made by the University about what records it requires to maintain and continuously improve its framework.

Section 6 - Developing and Managing Records Registers

(7) WHSMS Records Registers should be reflective of the types of records that are managed by organisational units and the University. These registers should be regularly reviewed and updated to ensure consistency with local record keeping requirements and the WHSMS Records Register.

WHSMS Records Registers Managed by Organisational Units

(8) Local WHSMS Records Registers, managed by organisational units, should include a comprehensive list of the categories of records managed by these work areas. These requirements are informed by WHSMS Records Register - Appendix A and work areas’ assessments of their own needs.

Table 2: Headings for a local WHSMS Records Register and sample entries.

(9) Executive staff or their nominees, within relevant organisational units, should assign responsibility to relevant functional units or staff for maintaining their register and all staff are responsible for maintaining adequate and accurate records. Whenever staff are unsure about record management practices, they should discuss this with their Nominated Supervisors or Manager about these requirements and how they contribute to the WHSMS.

ACU WHSMS Records Register

(10) The types of records retained by the University will change as the University’s WHSMS evolves and is continuously improved. Regular reviews of the framework will inform the types of records that are maintained.

(11) The index, within the register, includes the following information:

1. Types of records that should be kept by the University and organisational units;
2. File path or medium e.g. Riskware (stored on an Approved Business System);
3. The responsible staff member;
4. Retention period;
5. Any confidentiality and privacy requirements; and
6. Disposal and archiving requirements, including method(s).

(12) The register is maintained by People and Capability staff and a review of the types of records captured will be conducted whenever the WHSMS is reviewed by the University. See WHSMS Records Register - Appendix A.

Section 7 - Apply the Naming Convention

(13) Every organisational unit should title folders, records and documents in a meaningful, unique and consistent way so that they can be quickly and easily retrieved during a document search.

Table 3: Guidance about naming records in a meaningful, unique and consistent way

Section 8 - Store Records within Authorised Business Systems

(14) It is recommended that electronic records and documents should be maintained within relevant (University) Authorised Business Systems. These systems will be regularly reviewed as the University makes ongoing determinations about effective storage systems, requirements associating with using these systems and allocates project resources to ensuring that Authorised Business Systems are adopted across ACU.

Table 4: Authorised Business Systems for WHSMS Records

Section 9 - Access Current Documents

Apply Version Control Practices within Work Areas

(15) WHSMS Records, including local protocols, and documents should be digitally stored and filed in a format that prevents unauthorised access and supports staff and others to access current version of relevant documents. Nominated Supervisors and Managers should engage staff about how to access current versions of the WHSMS policies, procedures, guidelines and forms.

Publish Hyperlinks to Access Current Versions of WHSMS Documents

(16) Staff should only access the current version of WHSMS policies, procedures and other tools from the intranet. Work areas should publish hyperlinks to support staff and others to access current versions of these documents.

(17) These documents are maintained electronically and only current versions of these documents, which are authorised by a Responsible Person, are published on the intranet. The majority of these documents are reviewed by People and Capability staff for currency at least every three years and other policies and procedures, outlined in Table 5, are reviewed more frequently. Older versions of these documents are archived within an Authorised Business System. MS Word versions of tools and forms are also available on the WHS&W website.

Table 5: Documents that are reviewed every six to twelve months

Maintain External Records

(18) All externally generated records, such as administrative letters received from a WHS regulator and feedback about the WHSMS from interested parties (stakeholders), will be filed and controlled by People and Capability.

Section 10 - Manage Access and Preserve Confidentiality

(19) All data and information contained within WHSMS records should be compliant with Privacy legislation and the Privacy Policy.

(20) Sensitive information should only be collected whenever it is necessary for a specific purpose and consent should be obtained, unless there is a legal basis for obtaining these details.

(21) When personal information is collected, the relevant person should be advised about why and how this information will be used, the legal basis for this collection and any consequences of not obtaining this information.

(22) WHSMS records that contain private or confidential information should be identified within the relevant WHSMS Records Register. Electronic access to these records should be restricted to a small number of users who require access for legitimate business purposes. Some confidential records may also be placed in locked cabinets and other high quality storage devices. Confidential records should be stored in higher quality storage devices and superior handling practices should be applied.

(23) A Service Central request should be submitted whenever staff members, with restricted access to these records, require this information for legitimate reasons. Employment Relations and Safety staff will respond to these requests and determine whether they can release these records (and comply with privacy restrictions).

(24) Any local protocols for accessing these records should be communicated to staff and should also be available via local WHSMS Records Registers.

Section 11 - General Requirements, Including Disposal and Archiving Processes

(25) Records should be managed in alignment with the ACU Records and Archive Management Policy and other relevant University policies and procedures.

(26) Some of these requirements, include:

1. Only dispose of hard copy, confidential records in secure bins;
2. The timeframes associated with retaining and disposing of records should be informed by the ACU WHSMS Records Register (see WHSMS Records Register - Appendix A) and the Records Retention and Disposal Schedule; and
3. Nominated Supervisors and Managers ensure the scope of the WHSMS records maintained by their work areas are comprehensive and are accurately and efficiently maintained within their work area.

Section 12 - Revisions made to this Procedure

(27) The University may make changes to this Procedure from time to time to improve its effectiveness. If any staff member wishes to make any comments about this Procedure, they should forward their suggestions to People and Capability.

Section 13 - Further Assistance

(28) Any staff member who requires assistance in understanding this Procedure should first consult their Nominated Supervisor or Manager who is responsible for applying the University’s WHSMS within their work area. Should further information or advice be required staff should visit Service Central.

Section 14 - Associated Information

(29) For related legislation, policies, procedures and guidelines and any supporting resources please refer to the Associated Information tab.