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Page 1 of 17

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

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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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Page 6 of 17 Document Approver

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

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