The South Australian Mining and Quarrying Occupational Health and Safety

Committee

Promoting Work Health and Safety in the Workplace

This workplace industry safety resource is developed and fully funded by the Mining and Quarrying
Occupational Health and Safety Committee (MAQOHSC).

Disclaimer

IMPORTANT: The information in this guide is of a general nature, and should not be relied upon as
individual professional advice. If necessary, legal advice should be obtained from a legal practitioner
with expertise in the field of Work Health and Safety law (SA).

Although every effort has been made to ensure that the information in this guide is complete, current
and accurate, the Mining and Quarrying Occupational Health and Safety Committee, any agent, author,
contributor or the South Australian Government, does not guarantee that it is so, and the Committee
accepts no responsibility for any loss, damage or personal injury that may result from the use of any
material which is not complete, current and accurate.

Users should always verify historical material by making and relying upon their own separate inquiries
prior to making any important decisions or taking any action on the basis of this information.

Creative Commons

This work is licenced under

Creative Commons Attribution – Non Commercial 4.0 International Licence.
The licence is available to view at http://creativecommons.org/licenses/by-nc/4.0/

This creative commons licence allows you to copy, communicate and or adapt our work for non-
commercial purposes only, as long as you attribute the work to Mining and Quarrying Occupational
Health and Safety Committee and abide by all the other licence terms therein.

ISBN 978-1-925361-73-5

Contact information

Mining and Quarrying Occupational Health and Safety Committee (MAQOHSC)

World Park A Building
Level 4, 33 Richmond Road
Keswick SA 5035
Phone: (08) 8204 9842
Email: [email protected]
Website: www.maqohsc.sa.gov.au

May 2017
Instructions
It is important that you completely review this tool prior to use and ensure that where required
changes in terminology, titles, etc. are made to ensure that this document will accurately reflect
your organisation’s structure.

1. Remove all “(insert company name)” sections and replace with registered business
name
2. Remove all “(insert name of quarry/mine)” sections and replace with quarry/mine pit
name.
3. Remove all “(insert senior management position e.g. site manager)” and replace with
relevant position
4. Remove all “(insert location)” sections and replace with identified site location
5. Delete cover page, back page, forward and instruction section above once document is
completed
6. Delete all MAQOHSC wording on headers and footers and replace with own business
name
7. Delete all “Note” sections from document
8. Ensure that the page numbers in the footer align with the correct page in the document.
Document and Records Management Procedure Template

Document and Records

Management Procedure
Template

(Insert Company Name and Company

Logo or Site Photo)

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Contents

1. AIM........................................................................................................................................ 3
2. Purpose................................................................................................................................. 3
3. Scope.................................................................................................................................... 3
4. Definitions............................................................................................................................. 3
5. References............................................................................................................................ 4
6. Responsibilities..................................................................................................................... 4
6.1. Managing Director (most senior person)............................................................................4
6.2. Document Controller..........................................................................................................4
6.3. Workers............................................................................................................................. 4
7. Procedure.............................................................................................................................. 5
7.1. Document Creation............................................................................................................5
7.2. Document Format.............................................................................................................. 5
7.2.1. Policies........................................................................................................................... 5
7.2.2. Work Health and Safety Procedures..............................................................................6
7.2.3. Safe Operating Procedures...........................................................................................6
7.2.4. Document Properties.....................................................................................................6
7.3. Consultation and Communication......................................................................................7
7.4. Document Approval........................................................................................................... 7
7.5. Document Review.............................................................................................................. 7
7.6. Obsolete Documents......................................................................................................... 7
7.7. Document Control Register...............................................................................................8
7.8. Records Management.......................................................................................................8
7.9. Records Retention.............................................................................................................9
7.10. Records Storage............................................................................................................ 9
FURTHER ASSISTANCE........................................................................................................... 10
ADDITIONAL INFORMATION.....................................................................................................10
Appendix A: Retention Schedule of Records..............................................................................11
8. Revision.............................................................................................................................. 16

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 Document and Records Management Procedure Template

1. AIM

The aim of this Guidance Material is to provide Persons Conducting a Business or Undertaking
(PCBUs) with practical guidance on how develop and implement an effective Document and
Records Management process.

2. Purpose

The purpose of the (insert company name) Document and Records Management Procedure is
to ensure that documents and records are appropriately created, captured, accessed, managed
and stored in a manner that reflects business, corporate and regulatory compliance requirements.

3. Scope

This procedure applies to all (insert company name) documentation and records.

4. Definitions

Term Definition
Author The actual author of the document.
Any document for which distribution and status are
Controlled Document required to be kept current to ensure authorised users
have the most current version.
Information used to control the process that affects the
Data
final product (e.g. reference values, benchmarks).
The process established in this procedure to define
Document Control controls needed for the management of Work Health and
Safety documentation.
Document Control Form The Form used to create or change a document.
The number assigned to a document when it is entered
into the document register as a controlled document. This
Document Control Number number will always be the next sequential number in the
register. This number is to be recorded on the controlled
document in the (e.g. top left corner of the header).
A list which identifies all (insert company name)
Document Control Register
documents and includes current revision status.
A copy of a controlled document. Uncontrolled documents
Uncontrolled Document
may not be the latest version.

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5. References

Work Health and Safety Act 2012 (SA)

Work Health and Safety Regulations 2012 (SA)

(insert company name) Document Review Form

(insert company name) Document Communique Form

(insert company name) Document Control Register

6. Responsibilities

6.1. Managing Director (most senior person)

The (insert senior management position e.g. site manager), is responsible for:

 Ensuring the effective implementation of the document and records management system;
 Ensuring that appropriate resources are provided for the management of documents and
records;
 Ensuring information, training and instruction is provided on the document and records
management system; and
 The review and final approval of all (insert company name) documentation.

6.2. Document Controller

The Document Controller is responsible for:

 Managing the document control and records management process;

 Checking the quality of documents;
 Ensuring documents are developed using correct styles and format;
 Maintaining the document register;
 Maintaining all (insert company name) records;
 Ensuring that only approved current versions of documents are available for use; and
 Archiving of all obsolete documents and records.

6.3. Workers

Workers are responsible for:

 Obtaining documents from the approved location;

 Not making copies (uncontrolled documents) of documents; and
 Participating in reviews of documents as required.

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7. Procedure

7.1. Document Creation

Any (insert company name) employee or contractor may identify and request the need for a new
document. (insert position title e.g. area manager/supervisor) shall be consulted on the
need for any documentation. (insert position title e.g. area manager/supervisor) shall
then verify if there is a document already existing within the Safety Management System
meeting the requirements of the request. Where no suitable document exists (insert
position title e.g. area manager/supervisor) shall arrange for the document controller to
develop the new document.

The requirement for new or additional documents may be based on, but not limited to:

 Legislative requirements;
 Suggestions from workers;
 Suggestions from the Health and Safety Committee (if in place);
 System failures reported or identified during incident investigations;
 Internal or external audit findings;
 Outcomes of workplace inspections and monitoring;
 Industry or organisational best practice; or
 Changes in business activities and or structure.

The development of all documents shall include consultation and communication with workers
who perform the work to ensure key risks are identified.

All Safe Operating Procedures (SOPs) must have a risk assessment conducted which will usually
be in the form of a Job Safety Analysis (JSA). For Work Health and Safety documents, draft
documents shall be made available through the (Health and Safety Committee if in place, or
through toolbox meetings) and Management Team for consultation prior to being approved and
controlled.

7.2. Document Format

Note: The below formats are an example only. The formats used may need to be modified /
adjusted to suit your operational needs.

7.2.1.Policies

The following standard format shall be used for all Policies:

 Purpose and Scope; and

 Responsibilities.

All (insert company name) policies shall be signed by (senior most person e.g. Chief
Executive Officer, Managing Director) and dated.

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7.2.2.Work Health and Safety Procedures

The following standard format shall be used for all Work Health and Safety Procedures:

 Title;
 Purpose;
 Scope;
 References;
 Definitions;
 Responsibilities;
 Procedure content;
 Performance measures (where applicable);
 Appendices (where applicable); and
 Review.

7.2.3.Safe Operating Procedures

The following standard format shall be used for all Safe Operating Procedures:

 Title;
 Task Description;
 Competencies required;
 Tools and Equipment;
 Chemicals and Substances;
 Isolations required;
 Permits required;
 References;
 Procedural steps;
 Hazards;
 Risk controls; and
 Acknowledgement sign off.

7.2.4.Document Properties

All (insert company name) shall display the following document properties:

 Document control number;

 Version number;
 Issue date;
 Review date;
 Document Owner; and
 Document approver.

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7.3. Consultation and Communication

Consultation on new or revised documents is required prior to approval. The key method for
consultation is through the established (Health and Safety Committee if in place, or through
toolbox meetings).

Evidence of consultation shall be documented through meeting minutes, memorandums or emails

and records maintained. Feedback shall be reviewed and incorporated into draft documents,
where relevant, and a final draft prepared by the Document Controller for approval.

7.4. Document Approval

New or revised final draft documents shall be approved by the (insert senior management
position e.g. site manager).

Once approved, the final controlled document shall be released by the Document Controller via
the (insert how e.g. Company intranet, site notice board, company electronic server, etc.)
and communicating requirements to relevant personnel to allow implementation.

7.5. Document Review

All documentation that forms part of (insert company name) Safety Management System shall
be formally reviewed at least once every three years in order to ensure it is still up to date.
Reviews may be scheduled or unscheduled.

The review shall ensure that the following is considered:

 The continuing suitability and relevance of the documentation;

 The accuracy and clarity of the documentation;
 Compliance with current legislative requirements;
 The effectiveness of the document in achieving desired outcomes;
 Identified areas requiring improvement;
 The creating of any new documents and removal of obsolete documents; and
 The status / currency of any attachments / references included in the documents.

7.6. Obsolete Documents

Obsolete controlled documents are those which are no longer required, replaced or superseded
as determined by the needs of the Safety Management System. Obsolete documents may be
identified as part of the review process and shall be removed from the website and appropriately
archived to prevent unintended use. Archived documents must be retained and accessible for
system evaluation and legal purposes.

All documentation identified as obsolete shall be removed from points of issue by the Document
Controller, archived electronically (if applicable) or in hard copy and retained for system
evaluation purposes and legal requirements (where relevant).

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7.7. Document Control Register

A Document Control Register shall be maintained by the Document Controller for all (insert
company name) documentation created or modified.

The Document Control Register shall include the following information:

 Document number;
 Document type;
 Document title;
 Issue date;
 Revision number;
 Description;
 Review date; and
 Owner.

7.8. Records Management

The purpose of Record Management is to ensure that business activity records of evidential
quality are created, managed and disposed of in accordance with legal requirements.

Records can include, but are not limited to, the following:

 Work health and safety local action plans;

 Internal evaluation reports;
 Hazard and other registers;
 Corrective actions registers;
 Workplace inspections;
 Risk assessments;
 Training needs analysis and plans;
 Incident / Hazard reports;
 First Aid treatment;
 Licensing and certification;
 Registrations;
 Health and Safety Committee meeting agendas and minutes;
 Training and induction checklists;
 Performance management plans;
 Emergency evacuation reports;
 Maintenance, inspections and testing;
 Health monitoring reports and testing;
 Research approvals / authorisations; and
 Claims management and Rehabilitation case records.

Note: The above list is an example and shall need to be modified to suit your operation.

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7.9. Records Retention

Records shall be retained in accordance with the retention schedule set out in Appendix A of this
procedure.

Business Critical Company Email or Company Email received by and issued from the
organisation shall be retained in the (insert location) if they carry information or evidence that is
required for legal or other purposes, (e.g. Issue and receipt of a report to stakeholders or
regulatory bodies, and / or evidence of when a particular stakeholder or regulatory request was
received).

It is unnecessary to retain email of a temporary nature.

7.10. Records Storage

All controlled documents are to be stored within the appropriate document libraries in / on the
(insert location e.g. Company server) and made available to all workers via the (insert how
e.g. Company intranet, site notice board, company electronic server, etc.). These files are
stored on an electronic server system which is regularly backed up and archived.

A library of external documents shall be maintained in / on the (insert location e.g. Company
server) for access by workers. This may include:

 Legislation (Acts and Regulations);

 Approved Codes of Practice;
 Australian Standards;
 Guidelines;
 Industry Codes; and
 Any other external document referenced in the Work Health and Safety Documentation.

Records may also include externally produced documentation, such as external consultancy
reports, statutory compliance notices or safety data sheets used as part of a work health and
safety activity.

Records generated may be in the form of hardcopy or electronic media. Records must be stored
in an orderly manner, be easily identifiable to facilitate their efficient and effective retrieval /
replacement by any authorised person for purposes such as:

 Analysis / investigation;
 Internal / external evaluation;
 Evidence of legal compliance;
 Evaluation and review; and
 Training needs.

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FURTHER ASSISTANCE

MAQOHSC Work Health and Safety Specialists are available to provide further advice and
assistance on all Work Health and Safety matters.

MAQOHSC Work Health and Safety Specialists are able to be contacted via our website at
www.maqohsc.sa.gov.au or email [email protected].

ADDITIONAL INFORMATION

Work Health and Safety Legislation, Codes of Practice, fact sheets, Health and Safety
Representatives (HSR) information and guides can be found at the following websites:

SafeWork SA – www.safework.sa.gov.au or call 1300 365 255

Safe Work Australia – www.safeworkaustralia.gov.au or call 1300 551 83

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Appendix A: Retention Schedule of Records

Element Document Description Retention Time

Policy Work Health and Safety Policies Life of Mine / Quarry

Archive electronically. Destroy 10 years after
mine closure
Legal and Other Work Health and Safety Legal Life of Mine / Quarry
Requirements Compliance Register Archive electronically. Destroy 10 years after
mine closure
Workers Compensation Records Life of Mine / Quarry
Destroy 30 years after employment ceases
Notifable Incidents 5 years from date of incident then archive
Accidents, Incident Forms and Life of Mine / Quarry
Investigations Destroy 30 years after employment ceases
Incident / Injury Registers Life of Mine / Quarry
Archive electronically after mine closure
Records relating to breaches or Life of Mine / Quarry
failure of the company to meet Archive 2 years after actions complete
compliance requirements
Bonds and Liabilities Life of Mine / Quarry
Archive once legal liabilities have been met
Routine reports to Government Life of Mine / Quarry
Agencies Destroy 10 years after action complete
Records relating to the Life of Mine / Quarry
management of risks associated Archive electronically after equipment
with equipment required under decommissioned
Work Health and Safety
legislation
Statistics submitted to Archive 2 years after action complete
Government Agencies
Routine correspondence, Destroy 10 years after actions complete
including minor complaints and
suggestions
General insurance records Archive policy after superseded and Destroy
after 7 years
Records relating to pest control Destroy 10 years after actions complete

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Registered plant (mobile cranes, 5 years

hoists, boom type elevated work
platforms, gantry cranes >5t)
Asbestos work 40 years from date of last entry
Hazard Records relating to the Life of Mine / Quarry and archive when
Identification and implementation of practices superseded
Risk Management within the Company
Hazard and Risk Register Life of Mine / Quarry
Improvement Records relating to the Life of Mine / Quarry
Planning development and provision of Archive 2 years after action complete
strategic, corporate or business
plans for the organisation
Health Safety Environment …… Life of Mine / Quarry
Management Plans Archive electronically 2 years after actions
completed
Objectives and Targets Life of Mine / Quarry
Archive electronically 2 years after actions
completed
Training Training and competency Place on personnel training files, in (insert
Competency and records, including traineeships, location e.g. Company server)
Awareness apprenticeship records Archive after worker has ceased employment
Supplier and Registers of contractors and 7 years
Contractor suppliers Destroy
Management
Routine Correspondence 2 years
Destroy after actions complete
Records relating to hiring and 7 years
use Destroy after actions complete
Documentation Documents relating to Life of Mine / Quarry
and Document procedures, plans, registers Archive when superseded
Control
Communication Routine correspondence 2 years
and Consultation Destroy 2 years after actions completed
External Committees in which the Archive 2 years after actions complete
Company has significant
involvement
Confirmed minutes, agendas, Life of Mine / Quarry
reports, submissions Archive after actions complete
Records relating to the Life of Mine / Quarry
establishment and training of Archive after actions complete
Work Health and Safety

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Committees
Database of complaints and Life of Mine / Quarry
communications Maintain and archive
Suggestions from personnel 2 years
Destroy 2 years after actions complete
Operational Records relating to the 10 years
Control implementation of Work Health Destroy 10 years after actions complete
and Safety Systems and
Procedures
Master copy of procedure Life of Mine / Quarry
manuals Archive after superseded
Voting materials for Health and Remain on file until next round of elections
Safety Representatives, then destroy
including notices, nomination
forms, ballot papers
Task related training information 5 years from the date of the last entry or a
in relation to provision of worker ceases employment then archive
information, instruction and
training where the work involves
any plant, substances or activity
that is a risk to health or safety.
Test results for supply of hired / So long as the person hires or leases the plant
leased plant to other persons.
Mine Record Life of Mine / Quarry
Archive after 7 years
Management of Change Management Life of Mine / Quarry
Change Archive 2 years after actions complete
Emergency Emergency Management Plans Life of Mine / Quarry
Management Archive after superseded
Emergency drills Life of Mine / Quarry
Maintain in electronic database (insert
location e.g. Company server)
Training of emergency response Life of Mine / Quarry
personnel Maintain in individual files and (insert location
e.g. Company server)

Measuring and Calibration data, field sheets Life of Mine / Quarry

Monitoring Archive after 2 years if actions complete
Air Monitoring Results 30 years after the date the record was made
then archive
Health Monitoring (noise, dust, 30 years after the date the record was made
lead, dpm) then archive for the life of the Mine / Quarry

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Records relating to remedial Life of Mine / Quarry

actions taken as a result of Archive after 2 years if actions complete
inspections, audits or other
actions
Non Conformance, Records of hazard reports, Life of Mine / Quarry
Incident and Action inspections, audits and Maintain in database (insert location e.g.
Management investigations Company server)

First Aid Registers of injuries and 30 years

treatments Destroy 30 years after employment ceases

Work related injury claims / 30 years

compensations Destroy 30 years after employment ceases
Records relating to accidents to 30 years
members of the public not Destroy after 30 years
resulting in Workers’
Compensation claims

Records of accidents and 7 years

damage occurring to premises Destroy after 7 years
Records relating to illegal entry 7 years
of premises and resulting Destroy after 7 years
damage and / or theft
Records relating to accidents in 30 years
which vehicles maintained or Destroy after 30 years
used by the Company are
involved
Data and Record Administrative records relating to Destroy 7 years after action complete i.e. the
Management the hiring and use of consultants, completion of the contract. Where consultants
including: copies of the have been involved in research and
specifications; quotations; copies development projects these records should be
of the contract; payment / kept for the length of the rest of the project
accounting records; summaries records
of consultant evaluations
Routine installation, maintenance Destroy 5 years after action complete
and repair records, excluding
maintenance / servicing contracts
Attendance records (electronic or Life of Mine / Quarry
paper) Archive 2 years after action complete
Records relating to administrative Destroy 2 years after action complete
matters and material held for
information purposes only,

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including housekeeping and work

area inspections
Records relating to the Destroy 7 years after action complete
acquisition of vehicles through
any means, including purchase
and lease
Records relating to the disposal Destroy 7 years after action complete
of vehicles through any means,
including sale, transfer, auction
Records relating to repairs and At least 5 years or as directed in Codes of
maintenance (excluding Practice
maintenance contracts). Includes
registration records
Test and Tag records Until the next test date then archive until
 Electrical removed from service or decommissioned
 Fire Equipment
 Chains and Slings
Ventilation systems – monitoring 7 years then archive for the life of Mine /
and testing Quarry
Plant risk assessments Life of equipment
Residual Current Devices Until the next scheduled test or permanently
removed from service
Plant with presence-sensing 5 years or the life of the plant or until the
safeguarding system person relinquishes control of the plant or it
has been altered
Working on energised electrical Risk Assessment - 28 days then archive
equipment
Safe Work Method Statements - Until completed then archive
Electrical Work

Performance Records relating to the Life of Mine / Quarry

Assessments implementation of Performance Archive after 2 years
Management at the Company
Records relating to program Life of Mine / Quarry
evaluation Archive 2 years after actions complete
Audits Records relating to external Life of Mine / Quarry
audits Archive 2 years after actions complete
Records relating to internal Life of Mine / Quarry
audits Archive 2 years after actions complete
Records relating to other audits Life of Mine / Quarry

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or functions of the operation Archive 2 years after actions complete

carried out by the Company
Records relating to certification Life of Mine / Quarry
of the Company’s systems by Archive 2 years after actions complete
external organisations
Management Master set of minutes, agendas, Life of Mine / Quarry
Review reports, submissions and other Archive 2 years after actions complete
meeting papers

8. Revision

This Procedure will be revised as required and at no later than two years from the date of last major
revision

Revision Review / Edit Date Reason for Review By whom reviewed

Signed:
(insert senior management position e.g. site manager)

Date:

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