Compliance Framework
Compliance Driver
Work Health and Safety Act 2011 (NSW)
Classification
Level 1
University-wide concern. Impacts on reputation and funding.
Associated Legislation
Associated Standards
None
Associated Codes
None
Associated Information
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Administrative Information
Administrative Body
SafeWork NSW
Administrative Name
Administrative Address
Mailing Address
Locked Bag 2906
Lisarow NSW
Australia, 2252
Administrative Phone
13 10 50
Administrative Email
contact@safework.nsw.gov.au
Administrative Website
http://www.safework.nsw.gov.au/
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General Introduction
VC Compliance Delegate
Jo Scanlan, Chief Operating Officer
Compliance Coordinator
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Business Units Impacted
Overview
The objects of the work health safety laws are:
- to protect the health and safety of workers
- to improve safety outcomes in workplaces
- to reduce compliance costs for business, and
- to improve efficiency for regulatory agencies.
As a 'person conducting a business or undertaking' (PCBU) the University must meet its obligations, so far as is reasonably practicable, to ensure the health and safety of workers (persons who perform work for a PCBU) and other people like visitors and volunteers. These obligations include:
1. safe systems of work
2. safe use of plant, structures and substances
3. adequate facilities for the welfare of workers
4. notification and recording of workplace incidents
5. adequate information, training, instruction and supervision
6. compliance with requirements under the Work Health and Safety Regulation
7. effective systems for monitoring the health of workers and workplace conditions
8. a safe work environment
9. maintain the premises used for accommodation for workers, if required
A PCBU has further obligations if involved in specific kinds of activities like:
1. the management and control of workplaces, or fixtures, fittings or plant at workplaces
2. the design, manufacture, import or supply of plant, substances or structures
3. installation, construction or commissioning of plant or structures.
PCBUs must also have meaningful and open consultation about work health and safety with workers, health and safety
representatives, and health and safety committees.
As a PCBU the University must also consult, cooperate and coordinate with other PCBUs if duties are shared. Compliance Obligations
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Asbestos Management Plan
Description
Under clause 429 of the Work Health and Safety Regulation 2011 the University must have a written up-to-date asbestos management plan, which is readily accessible to workers, health and safety representatives, businesses undertaking work at the University, as well as WorkCover NSW (see clauses 429(5)).
Impacts
Fines:
- individuals up tp $6,000
- body corporate $30,000
Responsible Manager
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Asbestos Register
Description
Under clause 425 of the Work Health and Safety Regulation 2011 the University must have an up-to-date asbestos register, which is readily accessible to workers, health and safety representatives, businesses undertaking work at the University, as well as SafeWork NSW (see clauses 427).
Under clause 426 the University "must ensure that the register is reviewed and as necessary revised if:
(a) the asbestos management plan is reviewed under clause 430, or
(b) further asbestos or ACM is identified at the workplace, or
(c) asbestos is removed from, or disturbed, sealed or enclosed at, the workplace."
It is mandatory that where work "involves a risk of exposure to airborne asbestos" the University must give a copy of the asbestos register to the person carrying out the work.
Impacts
Fines:
- individuals up tp $3,600
- body corporate $18,000
Responsible Manager
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Compliance with Workers' Compensation (Dust Diseases) Act 1942
Description
Ensure compliance with the Workers' Compensation (Dust Diseases) Act 1942, which is an Act to make provisions regarding the payment of compensation in the case of workers who suffer death or disablement owing to the disease known as silicosis of the lungs, or owing to other diseases of the pulmonary or respiratory organs caused by exposure to silica dust.Compliance with Act
Impacts
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
None
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Consultation
Description
Under section 47 of the Act the University must, so far as is reasonable practicable, consult with its workers who carry out work for the University who are, or likely to be, directly affected by a matter relating to work health and safety. Consultation requires:
(a) that relevant information about the work health and safety matter is shared with workers, and
(b) that workers be given a reasonable opportunity:
(i) to express their views and to raise work health or safety issues in relation to the matter, and
(ii) to contribute to the decision-making process relating to the matter, and
(c) that the views of workers are taken into account by the University, and
(d) that the workers consulted are advised of the outcome of the consultation in a timely manner.
(2) If the workers are represented by a health and safety representative, the consultation must involve that representative.
49 When consultation is required
Consultation is required in relation to the following health and safety matters:
(a) when identifying hazards and assessing risks to health and safety arising from the work carried out or to be carried out by the University,
(b) when making decisions about ways to eliminate or minimise those risks,
(c) when making decisions about the adequacy of facilities for the welfare of workers,
(d) when proposing changes that may affect the health or safety of workers,
(e) when making decisions about the procedures for:
(i) consulting with workers, or
(ii) resolving work health or safety issues at the workplace, or
(iii) monitoring the health of workers, or
(iv) monitoring the conditions at any workplace under the management or control of the University, or
(v) providing information and training for workers, or
In addition, if more than one person has a duty in relation to work, health and safety under the Act, then each person must, so far as is reasonably practicable, consult, co-operate and co-ordinate activities with all other persons who have a duty in relation to the same matter.
Impacts
Maximum penalty:
(a) $20,000 in the case of an individual, or
(b) $100,000 in the case of a body corporate.
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
WHS OP003 -Terms of Reference (Vice-Chancellor approved) - Work Health and Safety (WHS) Committee
WHS OP004 - Terms of Reference (Vice-Chancellor approved) - Work Health and Safety (WHS) Management Group
WHS OP019 Terms of Reference (Vice-Chancellor approved) - Organisational Resilience Planning Committee
Policy
None
Procedure
WHS OP002 - Terms of Reference - Work Health and Safety (WHS) Work Groups
Guideline
None
Other Websites
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Duties of Employees/Workers
Description
Under s28 of the Act all employees/workers must take reasonable care of their own health and safety and the health, safety and wellbeing of others that may be affected by their actions or omissions. Employees/workers must also comply with any reasonable instruction, policy and procedure. This includes:
1. eliminating or reporting all hazards and maintenance issues
2. following safe work procedures
3. not interfering with or removing or misusing anything provided to keep the work place safe (e.g. signs, guards)
4. preventing harrassment, discrimination and bullying.
It is the responsibility of workers to conduct a risk assessment and to manage or escalate any risks by implementing appropriate procedures and using the hierarchy of control (eliminate, isolate, separate, substitute, engineer and safe design, administration controls, and/or protective equipment).
Under section 14 of the Act, a duty cannot be transferred to another person, and under section 15 a person may have more than one duty by virtue of being in more than one class of duty holder.
Impacts
Maximum penalties range from:
(a) $50,000 to $300,000 or 5 years imprisonment or both, in the case of an offence committed by an individual (other than as a person
conducting a business or undertaking or as an officer of a person conducting a business or undertaking), or
(b) $100,000 to $600,000 or 5 years imprisonment or both,in the case of an offence committed by an individual as a person conducting a
business or undertaking or as an officer of a person conducting a business or undertaking, or
(c) $500,000 to $3,000,000 in the case of an offence committed by a body corporate.
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
Prevention of Harassment, Bullying and Discrimination Policy
Procedure
Prevention of Harassment, Bullying and Discrimination Procedure
Guideline
None
Other Websites
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Duties of Other Persons
Description
Under s29 of the Act all students, visitors, delivery people, family and friends, etc, must ensure whilst they are in attendance at a place where UNE work is being carried:
1. take reasonable care for their own health and safety
2. take reasonable care for the health and safety of others
3. comply with reasonable instructions, policies and procedures given by UNE Representatives
It is the responsibility of workers to conduct a risk assessment and to manage or escalate any risks by implementing appropriate controls.
Impacts
Maximum penalties range from:
(a) $50,000 to $300,000 or 5 years imprisonment or both, in the case of an offence committed by an individual (other than as a person
conducting a business or undertaking or as an officer of a person conducting a business or undertaking), or
(b) $100,000 to $600,000 or 5 years imprisonment or both,in the case of an offence committed by an individual as a person conducting a
business or undertaking or as an officer of a person conducting a business or undertaking, or
(c) $500,000 to $3,000,000 in the case of an offence committed by a body corporate.
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duties of the University
Description
The University is a 'person conducting a business or undertaking' (PCBU) - the legal term under WHS laws for individuals, businesses or organisations that are conducting business. Under s19, as a PCBU the University must meet its obligations, so far as is reasonably practicable, to ensure the health and safety of workers and other people (e.g. visitors and volunteers).
These obligations include:
1. safe systems of work
2. safe use of plant, structures and substances
3. adequate facilities for the welfare of workers
4. notification and recording of workplace incidents
5. adequate information, training, instruction and supervision
6. compliance with requirements under the Work Health and Safety Regulation
7. effective systems for monitoring the health of workers and workplace conditions
8. a safe work environment
Impacts
Maximum penalties range from:
(a) $50,000 to $300,000 or 5 years imprisonment or both, in the case of an offence committed by an individual (other than as a person
conducting a business or undertaking or as an officer of a person conducting a business or undertaking), or
(b) $100,000 to $600,000 or 5 years imprisonment or both,in the case of an offence committed by an individual as a person conducting a
business or undertaking or as an officer of a person conducting a business or undertaking, or
(c) $500,000 to $3,000,000 in the case of an offence committed by a body corporate.
Responsible Manager
Jo Scanlan, Chief Operating Officer
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Duty of Officers - Due Diligence
Description
Under s252 of the Act an 'Officer of public authority' (the University is a public authority) is a "person who makes, or participates in making, decisions that affect the whole, or a substantial part, of the business or undertaking of a public authority". At UNE an 'officer' includes, but is not limited to:
1. Members of the University Council;
2. Members of the Senior Executive;
3. Head's of Schools; and
4. Director's of business units.
Under s27 it is a duty of 'officers' to "exercise due diligence to ensure that the person conducting the business or undertaking complies with" duties and obligations under the Act.
Due diligence "includes taking reasonable steps:
(a) to acquire and keep up-to-date knowledge of work health and safety matters, and
(b) to gain an understanding of the nature of the operations of the business or undertaking of the person conducting the business or undertaking and generally of the hazards and risks associated with those operations, and
(c) to ensure that the person conducting the business or undertaking has available for use, and uses, appropriate resources and processes to eliminate or minimise risks to health and safety from work carried out as part of the conduct of the business or undertaking, and
(d) to ensure that the person conducting the business or undertaking has appropriate processes for receiving and considering information regarding incidents, hazards and risks and responding in a timely way to that information, and
(e) to ensure that the person conducting the business or undertaking has, and implements, processes for complying with any duty or obligation of the person conducting the business or undertaking under this Act, and
For the purposes of paragraph (e), the duties or obligations under this Act of a person conducting a business or undertaking may include:
• reporting notifiable incidents,
• consulting with workers,
• ensuring compliance with notices issued under this Act,
• ensuring that health and safety representatives receive their entitlements to training.
(f) to verify the provision and use of the resources and processes referred to in paragraphs (c)â€"(e)."
Under section 14 of the Act, a duty cannot be transferred to another person, and under section 15 a person may have more than one duty by virtue of being in more than one class of duty holder.
Impacts
Maximum penalties range from:
(a) $50,000 to $300,000 or 5 years imprisonment or both, in the case of an offence committed by an individual (other than as a person
conducting a business or undertaking or as an officer of a person conducting a business or undertaking), or
(b) $100,000 to $600,000 or 5 years imprisonment or both,in the case of an offence committed by an individual as a person conducting a
business or undertaking or as an officer of a person conducting a business or undertaking, or
(c) $500,000 to $3,000,000 in the case of an offence committed by a body corporate.
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Hazardous Chemicals Register
Description
Under clause 346 of the Work Health and Safety Regulation 2011 the University must have an up-to-date hazardous chemicals register, which is readily accessible to workers.
Impacts
Fines:
- individuals up tp $6000
- body corporate $30,000
Responsible Manager
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Health and Safety Committee
Description
Under section 75 the University must establish a health and safety committee for the business or undertaking or part of the business or undertaking:
(a) within 2 months after being requested to do so by:
(i) a health and safety representative for a work group of workers carrying out work at that workplace, or
(ii) 5 or more workers at that workplace, or
(b) if required by the regulations to do so, within the time prescribed by the
Impacts
Maximum penalty of $25,000
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Health and Safety Representatives - PCBU Obligations
Description
Under s70 the University should provide support for the Health and Safety Representatives (HSR) and must:
1. allow the HSR adequate time at normal pay to carry out their role
2. consult and confer with the HSR on work health and safety issues (eg when proposing measures to eliminate or minimise risks)
3. allow the HSR access to information about hazards and risks at the workplace as well as information relating to the health and safety of workers at the workplace (excluding workers' personal or medical information without the workers' consent)
4. allow the HSR to be present at an interview relating to work health and safety issues if a worker consents
5. provide the resources, facilities and assistance that are reasonably necessary for them to perform their functions
6. allow any person assisting the HSR, access to the workplace as necessary
7. permit the HSR to accompany an inspector on an inspection
8. grant five days initial training for the HSR, if requested, with a training provider approved by SafeWork NSW and, grant a one day annual refresher training if requested (s72).
In addition, under s74 the University:
1. must notify SafeWork NSW of ourHSRs and any deputy HSRs, and
2. print a list of our current HSRs and deputy HSRs and their related work groups for display at our principal place of business and any other workplaces related to the work groups.
Impacts
Maximum penalties:
(a) $10,000 in the case of an individual, or
(b)$50,000 in the case of a body corporate.
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
None
Management Tools
Rule
None
Policy
None
Procedure
None
Guideline
None
Other Websites
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Incident Notification
Description
Under Part 3 of the Act, a notifiable incident means:
(a) the death of a person, or
(b) a serious injury or illess of a person, or
(c) a dangerous incident.
The University must ensure that the regulator (SafeWork NSW) is notified immediately (by the fastest possible means) after becoming aware that a notifiable incident arising out of the conduct of the University has occurred. Where notice is given by telephone, then a written notice must also be given within 48 hours.
In addition, the University must keep a record of each notifiable incident for at least 5 years from the day that notice of the incident is given to the regulator.
SERIOUS INJURY includes an injury or illness requiring the person to have:
(a) immediate treatment as an in-patient in a hospital, or
(b) immediate treatment for:
(i) the amputation of any part of his or her body, or
(ii) a serious head injury, or
(iii) a serious eye injury, or
(iv) a serious burn, or
(v) the separation of his or her skin from an underlying tissue (such as degloving or scalping), or
(vi) a spinal injury, or
(vii) the loss of a bodily function, or
(viii) serious lacerations, or
(c) medical treatment within 48 hours of exposure to a substance.
DANGEROUS INCIDENT includes an incident in relation to a workplace that exposes a worker or any other person to a serious risk to a person’s health or safety emanating from an immediate or imminent exposure to:
(a) an uncontrolled escape, spillage or leakage of a substance, or
(b) an uncontrolled implosion, explosion or fire, or
(c) an uncontrolled escape of gas or steam, or
(d) an uncontrolled escape of a pressurised substance, or
(e) electric shock, or
(f) the fall or release from a height of any plant, substance or thing, or
(g) the collapse, overturning, failure or malfunction of, or damage to, any plant that is required to be authorised for use in accordance with the regulations, or
(h) the collapse or partial collapse of a structure, or
(i) the collapse or failure of an excavation or of any shoring supporting an excavation, or
(j) the inrush of water, mud or gas in workings, in an underground excavation or tunnel, or
(k) the interruption of the main system of ventilation in an underground excavation or tunnel.
Impacts
Maximum penalties range from:
(a) $5,000 to $10,000 in the case of an individual, or
(b) $25,000 to $50,000 in the case of a body corporate.
Responsible Manager
Kirsten Clayton, Director People and Culture
Coordinating Officer
Diana Chambers, Senior Manager, Health Safety and Wellbeing
Coordinating Unit
People and Culture
Oversight Committee/Group
None
Business Units Impacted
Obligation Framework
Associated Legislation
Associated Standard
None
Associated Code
None
Associated Information
Management Tools
Rule
Records Management Rule
Work Health and Safety (WHS) Rule
Policy
None
Procedure
None
Guideline
None
Other Websites
Compliance Overview