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HSE
P0801
– HSE Document Control and Records
Management Procedure
1. DOCUMENT CONTROL ... 2
2. PURPOSE ... 4
3. SCOPE ... 4
4. DEFINITIONS ... 4
5. ROLES AND RESPONSIBILITIES ... 5
6. PROCESS DETAILS ... 7
6.1 Document Control... 7
6.2 Records Management ... 7
6.3 Creating a New HSE Document ... 7
6.4 Revising an Existing HSE Document ... 8
6.5 HSE Document Templates, Formatting and Numbering ... 9
6.6 Document Approval Process ... 9
6.7 Document Processing and Publication ... 9
6.8 Reviewing an HSE Document ... 10
6.9 HSE Records Identification and Management ... 11
6.10Record Content and Quality ... 11
6.11Record Storage, Maintenance, Access, Reproduction, Security and Protection ... 11
6.12Record Retention and Disposal ... 12
6.13External Documents and Websites ... 12
6.14Documents for Contractors ... 12
7. REFERENCE MATERIALS ... 14
8. ATTACHMENTS ... 15
Appendix A: Creating a New HSE Document Process ... 15
Appendix B Revising an Existing HSE Document Process ... 16
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1. DOCUMENT CONTROL
Document Information
Information
Document ID HSEP0801
Document Administrator WHS & HSE Systems Manager
Document Name HSE Document Control and Records Management Procedure
Issue Date 1 October 2015
Document History
Rev No Date Description Approved by
0 11/07/2012 Document developed as part of HSE Integration project Mgr Sustainability & Safety 1 23/01/2013 Updated section 3.6 to include description about checking out and managing the revision of
documents.
Mgr Sustainability & Safety
2 20/01/2015 Updated as per scheduled review Mgr Business Operations
3 June 2015 HSE Review WHS & HSE Systems Manager
Document Change Summary
Date Section Change Description
11/07/2012 Original Issue
23/01/2013 Updated section 3.6 of original doc to include description about checking out and managing the revision of documents. 20/01/2015 Whole of document Updated to reflect current business structure and process
Document Approvals
Role Name Signature Date
WHS & HSE Systems
Page 3 of 17 Related Documents
Document Name Author
HSEP0802 - Management of Change Procedure Joy Marsh
HT-DA2341 HT Retention & Disposal Schedule Julie Wright
GG-AM-109 - Information Management Records & Data
Management Guideline Unknown
HSEF0801.1 - HSE System Change Variance Request and
Approval Form Joy Marsh
HSEP0803 – HSE Document Numbering Procedure Joy Marsh
HSER0801.1 -HSE Document Register Joy Marsh
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2. PURPOSE
To describe how Hydro Tasmania’s (HT) Health, Safety & Environment (HSE) documents are developed approved, registered, published, and controlled and to ensure the currency and security of records requirements for the effective operation of the HSE Management System (HSEMS) in accordance with OHSAS18001 Health and Safety Standard and ISO14001:2014 Environmental Management System.
3. SCOPE
The HSE Management System Manual and Elements apply to all Business Units across the HT Group. Some HSE Management System documents (with HSE numbers) may be superseded by Business Unit documentation where appropriate e.g. Momentum maintains separate Environmental Management System (EMS) documentation appropriate to their Environmental Management System scope. In such instances, the Business Unit document must state which HSE documentation they are replacing.
4. DEFINITIONS
Term or Acronym Meaning
See HSEREF0801.2 – Work Safe Roles and HSE Glossary
Document Information documented in paper or in electronic or in photographic
format and maintained for reference by Workers.
Note: Documents (excluding records) may be reviewed regularly and are considered as active documents
HSE Health Safety & Environment
HSEMS Health Safety & Environment Management System
HSE Review Team Consists of HSE representative, stakeholders (LG etc. and Subject Matter
Experts)
ISO14001 Australian / NZ standard – Environmental management systems –
Requirements with guidance for use
MOC –
Management of Change
Management of Change is the process used to review all proposed changes to materials, technology, equipment, procedures, personnel, and facility operations before they are implemented to determine their effects on HSE vulnerabilities.
OHSAS18001 British Standards –Health & Safety Management System Standard
Record Document stating results achieved or providing evidence of activities
performed. A record is a type of document that captures the story of
something that has happened. Because it is a historical account, it does not change.
Subject Matter
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5. ROLES AND RESPONSIBILITIES
Work
Requestor Work Planner Work Authoriser Work Supervisor Specialist Worker Roles Workers Advice / Support
HSE Change Requestor Legislation HSE Review Team Subject Matter Experts Document Author Document Approver
Workers HSE Team
Work Requestor
shall:
• request work to be done.
HSE Review Team
shall:
• consider new document creation or revision of existing HSE document requests; • authorise the work to be done;
• assign appropriate Document Author responsibilities for the development and creation of HSE document(s); and
• determine if draft document is final and ready for approval.
Document Author
shall:
• prepare and revise of the HSE document as requested by the HSE Review Team ; and in the correct format as per HSE document preparation guidelines;
• obtain technical content of the document(s) if not a Subject Matter Expert in the relevant field;
• obtain approval of the “final” document;
• invite all concerned for comments and incorporating valid comments, as necessary; and • forward the approved controlled document to the HSE Document Administrator for
publication and communicating to the relevant audience.
Subject Matter Expert
shall:
• validate and approve technical contents of the HSE document(s) and revisions to existing HSE documents as relevant to their field.
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shall:
• approves the changed document;
• authorise the administrative formalities of all HSE documentation for publication; and • ensure all information is compliant with HSE Management System requirements.
HSE Document Administrator
shall:
• process and publish and organise the review(s) of all HSE Management System documents.
Workers
shall:
• comply with HSE requirements as detailed in all HSE documentation
HSE Team
shall:
• coordinate the HSE Risk Assessments;
• maintain and review HSE documentation; and
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6. PROCESS DETAILS
6.1 Document Control
• HSE document identification and creation underpins the HSE Management System, determines Control Measures to reduce Risk and demonstrates compliance with legislation (see Section 6.3 Creating a New HSE Document and Appendix A: Creating a New HSE Document Process);
• document maintenance includes review, revision and version control, removal of obsolete documents, retention and or authorised disposal (see Section 6.4 Revising an HSE Document and Appendix B: Revising an Existing HSE Document Process, and Section 6.8 Reviewing an HSE Document and Appendix C: Reviewing an HSE Document Process;
• document approval follows the approval process outlined in HT’s Policy Framework; and
• document publication and communication is outlined in the HSE Management System Manual and legislative requirements in accordance with OHSAS18001 Health and Safety Standard and ISO14001:2014 Environmental Management System.
6.2 Records Management
• HSE “Business Records” are identified, stored, and maintained based on regulatory and business requirements;
• HSE Records shall be and remain legible, identifiable and traceable throughout their lifecycle;
HT has statutory obligations (as a GBE) under the Archives Act and therefore has established, implemented and regularly maintains a process for the identification, storage, protection, retrieval, and disaster recovery for the HT’s business records; and
HSE Records retention and disposal is managed in accordance with business and statutory requirements (under the Archives Act) or as document authorised by HT-DA2341 HT Retention
& Disposal Schedule
6.3 Creating a New HSE Document
(See Appendix A: Creating a New HSE Document Process)
• When the need for a new document or an identified document gap (i.e. legislative change requirements) is recognised, HSEF0801.1 - HSE System
Change Variance Request and Approval Form must be completed and submitted
to the HT HSE Group;
• the HSE Review Team meets to determine the need for creating a new document or the revision of existing HSE document(s);
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• if a new HSE document is required, an appropriate Document Author or Subject Matter Expert is selected to prepare a draft document;
• upon completion of the draft document, the Document Author submits the document to all relevant parties including additional Subject Matter Experts (if required) for review and comment;
• if changes are required to the draft document, the Document Author revises the document incorporating the relevant comments until all parties deem the draft “final”;
• the Document Author then forwards the final draft to the HSE Review Team for comments, review and Document Authorisation to proceed to the Document Approver;
• the Document Author forwards the document to the Document Approver who determines if the document is final, once approved the document is signed off, dated and returned to the Document Author;
• the Document Author forwards the approved document to the HSE Document Administrator for publication;
• the published document is communicated to the relevant parties and communication channels as identified by the HSE Review Team; and
• the HSE Review Team will be responsible for developing a training plan as required.
6.4 Revising an Existing HSE Document
(see Appendix B: Revising an Existing HSE Document Process)
• When the need for revision of a document is identified, HSEF0801.1 - HSE
System Change Variance Request and Approval Form may be completed and
submitted to the HSE Group;
• the HSE Review Team considers the request and determines if changes should be made;
• if the HSE Review Team determines there is no requirement for change, the HSE Change Requestor will be notified of the outcome. If a document revision is considered necessary, the HSE Review Team also considers where there are major changes in a document/s and shall initiate HSEP0802 - Management of
Change Procedure;
• an appropriate Document Author or Subject Matter Expert is selected by the HSE Review Team to revise the document;
• the Document Author invites comments from all relevant parties and revises the document incorporating comments received until the document revision is deemed “final”;
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• the Document Author forwards the revised document to the HSE Review Team for comments, review and Document Authorisation to proceed to the Document Approver;
• the Document Author presents the reviewed, revised document to the Document Approver for comments and approval;
• once the document has been approved, the Document Author forwards the revised document to the HSE Document Administrator for processing and publication in the HSE Management System (HSEMS); and
• the published revised HSE document is communicated and or trained through the relevant channels as determined by the HSE Review Team and HSEP0802 -
Management of Change Procedure.
6.5 HSE Document Templates, Formatting and Numbering
For standardisation of format and use of a unique document identifier for HSE Management System documents, refer to the HSE templates (available through “My Collaboration”, Sustainability & Safety, HSE System, Templates and HSER0801.1 HSE
Document Register for next number sequence).
6.6 Document Approval Process
Documents must be approved when a new HSE document is developed (including procedures, work instructions, forms, plans etc. as they apply to the HSE Management System) or when a document is reviewed. A record / signature of the document approval is created and retained. This can be either in the form of a signature on a hard copy or an e-mail approval of an electronic document.
Electronic approvals must be retained for the life of the document. A copy of the approval e-mail titled “Document Approval - Document ID” (number and name) should be e-mailed to the HSE Group. The record should also include the revision / version number and date of approval. The Document Approver must ensure that the e-mail clearly shows that the document is approved.
6.7 Document Processing and Publication
The HSE Document Administrator is responsible for the processing and publication of all HSEMS documents:
• processing includes ensuring the documents are in the correct format, approved, and registered;
• HSE documents are reviewed and updated as necessary and re-approved, only current controlled version of the document is available to view online (printed documents are uncontrolled and therefore cannot be deemed as managed or controlled) and previous revisions superseded and archived. If retained, they
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must be adequately identified with a watermark throughout the document to prevent unintended use;
• documents being reviewed are checked out by the HSE Document Administrator and a working copy saved in Documents in draft or under review folder in the HSE records library – HSE08 Document & Record Management folder. The working copy is circulated to relevant reviewers (HSE Review Team ) and reviewed until finalised and ready for publication;
• documents are published to the relevant SharePoint library. These documents are available to all Workers via MyHydro HSE web portal or External HT website “Contractor HSE”. Working copies in the HSE records library are removed when the revision is published; and
• published document(s) are communicated to the relevant parties and communication channels as identified by the HSE Review Team.
6.8 Reviewing an HSE Document
(see Appendix C: Reviewing an HSE Document Process)
• Reviews of controlled documents are performed as per the review period set for respective documents and no longer than a 3 yearly cycle. Alternately reviews may be triggered by events such as a change to operations, Incident, audit recommendations or legislative change;
• the HSE Document Administrator is responsible for organising the periodic review of HSE documents. This consists of organising a meeting for the Review Team, with the review document packs prepared and presented at the meeting; • the HSE Review Team is responsible for managing the review process and
activities from HSEP0802 - Management of Change Procedure if required as a result of review;
• if there is no change required to a document, the Document Revision Table is updated and the document sent to the Document Approver for re-approval;
Note: A revision upgrade should be made where the content has changed at a level where a Worker will be impacted. A revision upgrade is not required where the document was amended only to correct a typing or format error
• if change is required to a document then the HSE Review Team also considers whether:
• there are major changes in a document(s); • operational change;
• Incident investigation; • audit recommendations;
• business structure change; and / or • legislative change;
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• if any of these conditions apply, the Review Team shall invoke HSEP0802 -
Management of Change Procedure;
• an appropriate Document Author or Subject Matter Expert is selected by the HSE Review Team to revise the document(s);
• the Document Author invites comments from all relevant parties and revises the document incorporating comments received until the document revision is deemed “final”;
• the Document Author forwards the revised document to the HSE Review Team for comments, review and Document Authorisation to proceed to the Document Approver;
• the Document Author presents the reviewed, revised document to the Document Approver for comments and approval;
• once the document has been approved, the Document Author forwards the revised document to the HSE Document Administrator for processing and publication in the HSE Management System (HSEMS). (see Section 6.7 Document Processing and Publication); and
• the published revised HSE document is communicated and trained (if required) through the relevant channels as determined by the HSE Review Team and
HSEP0802 - Management of Change Procedure.
6.9 HSE Records Identification and Management
HT shall identify, establish and manage records as necessary to demonstrate conformity to the requirements of the HSE Management System, legislative requirements, and compliance with OHSAS18001 Health and Safety Standard and ISO14001:2014 Environmental Management System.
Business records that represent a policy, standard, work instruction, or register etc. shall be produced using standard templates, including consistent formats and style and saved into the HSE Systems Library
6.10 Record Content and Quality
“Quality “business records are sources of detailed information and evidence that can be relied on and used to support current activities. They are records that have been created and managed in ways to ensure that they can be reused and understood in the future. This can be for current business purposes, as evidence in legal proceedings, for accountability to internal or external stakeholders, or for future historical research.
6.11 Record Storage, Maintenance, Access, Reproduction, Security and Protection
Recordkeeping systems and storage facilities are designed and implemented to protect records from unauthorised access, alteration, deletion or loss.
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HT has statutory obligations (as a GBE) under the Archives Act and therefore incorporates the guidelines and advice contained within the following document into the day to day management of its information:
GG-AM-109 Information Management – Records and Data Management Guideline - HT DA2341 Disposal Schedule
Where this schedule does not identify a record type, these records need to be permanently retained.
6.12 Record Retention and Disposal
Records need to be retained to ensure legal compliance, due diligence and demonstrate conformity to the requirements of the HSE Management System.
The HT Business Classification Scheme (BCS) provides a structure under which all business records shall be identified, secured and indexed in accordance with
HT-DA2341 HT Retention & Disposal Schedule.
In accordance with company and statutory requirements (under the Archives Act) records are archived and or disposed of under the management of HT’s Information Management Team.
6.13 External Documents and Websites
• Externally created documents relevant to HT’s HSE Management System, will be controlled and managed in a custodian role, ensuring their continued currency and applicability to the HT requirements, in line with this procedure.
• External documents may include, but are not limited to, regulations, Permits, reports, and instructions from external third parties.
• Tasmanian legislation and regulations are to be accessed through the Tasmanian Legislation Website.
• Australian Standards are to be accessed from the Standards Australia website (link takes you to the HT subscription page in MyHydro).
• EnviroLaw and SafetyLaw are online information services that summarise, in plain English, Environmental and Safety Legal Obligations, the subscription page is accessible from the HSE internal web portal
6.14 Documents for Contractors
In addition to the document control requirements specified in this procedure, the versions of documents that are critical to the HSE Compliance of Contractors must be
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monitored in the HT external web portal, to ensure that Contractors have accessibility to the most up to date version of the HSE document(s).
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7. REFERENCE MATERIALS
The following manuals and references are used to provide a safe system of work. These
requirements are a minimum standard and shall not be compromised under any circumstances. • Archives Act
• ISO14001:2014 Environmental Management System
• OHSAS18001 Health and Safety Standard
• EnviroLaw • SafetyLaw
• Standards Australia website • Tasmanian Legislation Website
The following is a list of commonly referenced material used on HT sites. • HSEREF0801.2 – Work Safe Roles and HSE Glossary
• Documents in draft or under review folder in the HSE records library – HSE08 Document & Record Management folder
• External HT website “Contractor HSE”
• GG-AM-109 - Information Management Records & Data Management Guideline
• HSE internal web portal
• HSE Management System Manual
• HSEF0801.1 - HSE System Change Variance Request and Approval Form
• HSEP0301 – Hazard Identification and Operational Risk Management Procedure
• HSEP0802 - Management of Change Procedure
• HSEP0803 – HSE Document Numbering Procedure
• HSER0801.1 - HSE Document Register
• HT external web portal
• HT’s Policy Framework
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8. ATTACHMENTS
Appendix A: Creating a New HSE Document Process
Identify gap / need for new document
Email HSE group of need for new document utilising Form HSEF0801.1
HSE Review Team considers request
Could an existing document be modified to
fill the gap HSE Review Team
nominate document Author for creation of
new document
Modify existing document. Refer to flow chart revising an existing HSE document
Author forwards the authorised document to the HSE Document
Controller for processing
HSE DC reviews document to ensure all required document control information is captured then returns document to Author Author revises document based on
comments HSE Review Team
determines if document is final
Yes No
Creating a New HSE Document
Yes
No
Published HSE document is communicated through relevant communications channels as determined
by HSE Review Team
END
Author sends draft document to all concerned for review and comments
Author revises the document incorporating the relevant comments Author presents the revised final draft
to the HSE Review Team Author prepares draft document and
consults Technical Specialists (if required) for first review of content.
Document is approved, signed off, dated and
returned to Author.
Author sends document to Approver for comments /
approval
Author forwards document to HSE Document Controller for publication
Approved Y/N Y
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Appendix B Revising an Existing HSE Document Process
Need for revision of HSE document is recognised Email HSE group with proposed revision request utilising Form HSEF0801.1
HSE Review Team considers request and determines if changes
should be made
HSE Review Team nominate document Author for revision to
existing document
HSE Review Team discuss with the requestor why the proposed changes will
not be made
Author revises document based on comments
Yes
Revising an Existing HSE Document
Yes
No
Relevant parties provide comments to Author
Author revises the document incorporating the relevant parties comments until document is deemed
“final”
Author presents the revised “final” document to the HSE Review Team
Author presents the revised “final” document to the HSE Review Team
Author invites comments from all relevant parties including Subject
Matter Expert
No
HSE Review Team determines if document is final Will the proposed changes
result in other document revisions or process change? Initiate management of change process Yes No
Published HSE document is communicated through relevant communications channels as determined by HSE Review Team and MOC process
END
Author sends document to Approver for comments / approval
Author forwards document to HSE Document Controller for processing and
publication Document approved,
Y/N N
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Appendix C Reviewing an HSE Document Process
HSE Document Review Period Identified HSE DC notifies HSE Review Team prior to review date
HSE Review Team considers review and determines if changes
required
HSE Review Team nominate document Author to revise
document
HSE Review Team send document to Approver for re-approval. Review date is changed noting reviewed with
no changes.
Author revises document based on comments
Yes
Reviewing a HSE Document
Yes
No
Relevant parties provide comments to Author
Author revises the document incorporating the relevant parties comments until document is deemed
“final”
Author presents the revised “final” document to the HSE Review Team
Author presents the revised “final” document to the HSE Review Team
Author invites comments from all relevant parties including Subject
Matter Expert
No
HSE Review Team determines if document is final Will the proposed changes
result in other document revisions or process
change?
Initiate management of change process (MOC)
Yes No
Published HSE document is communicated through relevant communications channels as determined by HSE Review Team and MOC process
END
Document is approved, signed off, dated and returned to Author or HSE
Review Team.
Document sent to HSE Document Controller for processing and
publication Author sends document
to Approver for comments / approval
Y N