Documentation Requirements
The Problem
Documentation errors or missing records are one of the most common causes of compliance breaches and health and safety issues on worksites. If it’s not documented, it didn’t happen. Inadequate records can lead to serious consequences during audits, investigations, or incident responses. Today, we’ll focus on the importance of accurate documentation and how to do it properly to ensure compliance and maintain a safe workplace.
Identify the Hazards
Improper or incomplete documentation creates risks such as:
- Compliance Issues: Missing or incomplete records can result in fines or improvement notices during WorkSafe inspections.
- Inaccurate Incident Investigations: Poor records can make it difficult to identify root causes and implement effective corrective actions.
- Delayed Emergency Response: Missing or inadequate documentation may hinder a timely response to hazards or unsafe conditions.
- Loss of Records: Poor storage or failure to back up documentation can result in lost information.
Safety Practices and Preventative Measures
Training Documentation
Maintain records for all training, including:
- Initial employee inductions.
- Refresher courses and toolbox talks.
- Competency assessments. Include:
- Date, location, and trainer’s credentials.
- Training topics and materials covered.
- Signatures from both the trainer and participant.
Inspection Documentation
Daily Checks:
- Complete pre-start checks using approved checklists and forms.
- Record equipment condition, safety concerns, and site observations.
Recording Details:
- Always include date, time, person conducting the check, and specific items reviewed.
- Record any issues and ensure follow-up actions are documented.
Incident Documentation
Immediate Response:
- Record the incident as soon as it occurs, including photos and witness accounts.
Investigation:
- Capture what happened, the likely causes, and how to prevent a recurrence.
Follow-Up:
- Track corrective actions and document resolution dates.
Storage and Maintenance
- Store documents securely, both digitally and physically.
- Ensure records are organised and accessible.
- Back up digital records regularly and retain according to company policy and WorkSafe guidelines.
Using Documentation Systems
- Follow approved procedures for using digital platforms.
- Ensure paper forms are fully completed, legible, and submitted promptly.
- Keep records up to date and version-controlled.
Real-Life Case or Scenario
Recently, a business was issued an improvement notice following a WorkSafe NZ visit because it could not produce records confirming staff had completed safety refresher training. Although the training had taken place, incomplete records meant it couldn’t be verified. This issue could have been avoided with a proper documentation system.
Employee Responsibilities
- Keep accurate, complete records for all assigned documentation tasks.
- Ensure forms are signed, dated, and legible.
- Report any documentation issues or missing records to a supervisor.
Employer Responsibilities
- Provide templates and guidance for documentation.
- Train workers in correct documentation procedures.
- Store records securely and ensure easy access for audits or investigations.
- Conduct periodic reviews to check for missing or outdated documentation.
Discussion & Questions
- What issues do you face when completing health and safety documentation?
- Has accurate documentation helped you or the team resolve an issue?
- What could make our documentation process more effective or user-friendly?
Commitment/Action Plan
Starting today, let’s commit to properly documenting all safety tasks—whether it’s a training session, inspection, or incident report. Take a few minutes to review your current documentation and check that it meets expectations.
Wrap-Up
Accurate documentation protects everyone on-site and ensures compliance with WorkSafe NZ regulations. By documenting everything properly and in a timely manner, we’re helping to prevent incidents, avoid penalties, and build a safer workplace. If in doubt, always ask for guidance on how to document correctly.
Standards Overview
WorkSafe NZ requires that safety documentation is:
- Complete, accurate, and up to date.
- Retained and accessible for auditing or investigation purposes.
- Used to verify compliance with the Health and Safety at Work Act 2015 (HSWA).
Disclaimer
These toolbox talks are provided for informational and educational purposes only and are not a substitute for professional legal, health and safety, or regulatory advice.
The content reflects recognised best practices and general industry standards as at the date of publication. However, it may not be applicable to all workplace environments or specific operational contexts.
It is the responsibility of the Person Conducting a Business or Undertaking (PCBU), as well as officers, workers, and other duty holders under the Health and Safety at Work Act 2015 (HSWA), to ensure compliance with all relevant laws, regulations, and WorkSafe New Zealand guidance.
The authors, presenters, and distributors of this toolbox talk disclaim all liability for any loss, damage, or injury arising from the use or reliance on the information provided. Users should seek advice from a suitably qualified health and safety professional or legal advisor for guidance tailored to their specific circumstances.
Always follow your organisation’s policies, procedures, and safe work practices to manage risks and maintain a safe and healthy workplace.
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