WH&S Compliance Control Procedure
WORK HEALTH & SAFETY PROCEDURE
WH&S COMPLIANCE CONTROL
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1.0
PURPOSE
The purpose of this procedure is to provide Employer’s Name with guidelines to effectively
manage infringement notices and prosecutions issued by Workplace Heath and Safety
Queensland (WHSQ); whilst ensuring the organisation discharges their duty for work
health & safety.
2.0
SCOPE
This procedure applies to all work conducted or managed by Employer’s Name , including
contractual and volunteer work arrangements, whose workers in the process of conducting
the work are issued with an on-the-spot fine, or an Improvement or Prohibition notice from
an Inspector from WHSQ or any resulting prosecution that may arise.
3.0
REFERENCES
Work Health and Safety Act 2011
Work Health and Safety Regulation 2011
4.0
DEFINITIONS
Improvement Notice is a notice issued by an Inspector from WHSQ, where the Inspector
believes the WH&S legislation has been contravened and this must be rectified by the
specified date indicted on the notice. This applies if an Inspector from WHSQ reasonably
believes that a person:
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is contravening a provision of the WH&S Act; or
has contravened a provision in circumstances that make it likely that the contravention
will continue or be repeated.
The Improvement Notice must state:
- that the Inspector believes the person:
i. is contravening a provision of the Act; or
ii. has contravened a provision in circumstances that make it likely that the
contravention will continue or be repeated; and
- the provision the inspector believes is being, or has been contravened, and
- how the provision is or has been contravened; and
- the day by which the person is required to remedy the contravention or likely
contravention.
The Improvement Notice may include:
- directions concerning the measures to be taken to remedy the contravention or prevent
the likely contravention, or the matters or activities causing the contravention or likely
contravention, to which the notice relates.
- The day stated for compliance with the improvement notice must be reasonable in all
the circumstances.
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2.5.1
WH&S Compliance Control Procedure
Prohibition Notice is a notice issued by an Inspector from WHSQ, if an inspector
reasonably believes that—
(a) an activity is occurring at a workplace that involves or will involve a serious risk to the
health or safety of a person emanating from an immediate or imminent exposure to a
hazard; or
(b) an activity may occur at a workplace that, if it occurs, will involve a serious risk to the
health or safety of a person emanating from an immediate or imminent exposure to a
hazard.
The inspector may give a person who has control over the activity a direction prohibiting
the carrying on of the activity, or the carrying on of the activity in a stated way, until an
inspector is satisfied that the matters that give or will give rise to the risk have been
remedied. The direction may be given orally, but must be confirmed by written notice (a
prohibition notice) issued to the person as soon as practicable.
The Prohibition Notice must state:
- that the inspector believes that grounds for the issue of the prohibition notice exist and
the basis for that belief; and;
- briefly, the activity that the inspector believes involves or will involve the risk and the
matters that give or will give rise to the risk; and
- the provision of this Act that the inspector believes is being, or is likely to be,
contravened by that activity.
The Prohibition Notice may include:
- directions on the measures to be taken to remedy the risk, activities or matters to which
the notice relates, or the contravention or likely contravention.
A prohibition notice that prohibits the carrying on of an activity in a stated way may do so by
specifying 1 or more of the following—
(a) a workplace, or part of a workplace, at which the activity is not to be carried out;
(b) anything that is not to be used in connection with the activity;
(c) any procedure that is not to be followed in connection with the activity.
Non-Distburbance Notice An inspector may issue a non-disturbance notice to the person
with management or control of a workplace if the inspector reasonably believes that it is
necessary to do so to facilitate the exercise of his or her compliance powers.
(1) A non-disturbance notice may require the person to—
(a) preserve the site at which a notifiable incident has occurred for a stated period; or
(b) prevent the disturbance of a particular site (including the operation of plant) in other
circumstances for a stated period that is reasonable in the circumstances.
(2) A non-disturbance notice must state the period (of no more than 7 days) for which it
applies and set out—
(a) the obligations of the person to whom the notice is issued; and
(b) the measures to be taken to preserve a site or prevent disturbance of a site; and
(c) the penalty for contravening the notice.
(3) In subsection (1) a reference to a site includes any plant, substance, structure or thing
associated with the site.
(4) A non-disturbance notice does not prevent any action—
(a) to assist an injured person; or
(b) to remove a deceased person; or
(c) that is essential to make the site safe or to prevent a further incident; or
(d) that is associated with a police investigation; or
(e) for which an inspector has given permission.
Injunction
(1) The regulator may apply to a Magistrates Court for an injunction—
(a) compelling a person to comply with a notice; or
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WH&S Compliance Control Procedure
(b) restraining a person from contravening a notice.
(2) The regulator may do so—
(a) whether or not proceedings have been taken for an offence against this Act in
connection with any matter in relation to which the notice was issued; and
(b) whether any period for compliance with the notice has expired.
Infringement Notice means an infringement notice under the State Penalties
Enforcement Act 1999. Infringement notices (‘on the spot’ fines) may be issued by
inspectors as an alternative to prosecution for prescribed offences.
An infringement notice can be withdrawn by the person who issued it within 28 days of
issue. The withdrawal of an infringement notice does not prevent other proceedings in
relation to the alleged offence (unless the penalty has already been paid even if refunded).
If the penalty imposed by an infringement notice is paid within the set time, no proceedings
may be taken for the offence and no conviction recorded. A payment can not be taken as
an admission of guilt or liability for any future civil claim. Prosecution may take place if
penalties are not paid.
Remedial action
If a person to whom a prohibition notice is issued fails to take reasonable steps to comply
with the notice, Workplace Health and Safety Queensland may take any remedial action it
believes is reasonable to make the workplace or situation safe. The costs of undertaking
the remedial action will be charged to the PCBU or the owner of the premises; however,
they can only be recovered by Workplace Health and Safety Queensland if a notice has
been given of Workplace Health and Safety Queensland’s intention to take the action and
the PCBU or owner’s liability for the cost of that action.
Enforcable Undertaking
(1) The regulator may accept a written undertaking (a WHS undertaking) given by a
person in connection with a matter relating to a contravention or alleged contravention by
the person of this Act.
(2) A WHS undertaking can not be accepted for a contravention or alleged contravention
that is a category 1 offence.
(3) The giving of a WHS undertaking does not constitute an admission of guilt by the
person giving it in relation to the contravention or alleged contravention to which the
undertaking relates.
Prosecution
Workplace Health and Safety Queensland and inspectors can take legal proceedings for
any offence under the WHS Act. In addition, the Director of Public Prosecutions may also
initiate proceedings for Category 1 offences.
Person Conducting a Business or Undertaking (PCBU) – a person conducting a
business or undertaking alone or with others, whether or not for profit or gain. A PCBU can
be a sole trader (for example a self employed person), a partnership, company,
unincorporated association or government department of public authority (including a
municipal council). An elected member of a municipal council acting in that capacity is not
a PCBU.
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RESPONSIBILITIES
Chief Executive Officer - is responsible for any outcomes from risks associated with the
organisation.
Department Managers - are responsible for ensuring that any warning or notice is acted
upon immediately.
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WH&S Compliance Control Procedure
Supervisors - are responsible to ensure they inform their managers immediately, of any
warning or notice issued by an Inspector from WHSQ and to liaise with the Safety Advisor
to implement actions for correction.
Safety Advisor is responsible for:
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consulting with Managers, Supervisors and employees to identify risks and implement
practical, cost effective control options;
conduct a workplace inspection if able, and advise Managers / Supervisors of the level
of compliance with policies, procedures, work practices etc;
liaise with WHSQ on rectification strategies;
conduct any ongoing training and educational sessions; and
maintaining the master record of compliance notices.
Employees - are to advise their Supervisor immediately on any warning or notice issued by
an Inspector from WHSQ.
6.0 PROCEDURE
Issue of Notice
1. Upon the issue of a warning / notice, the employee must contact the Supervisor immediately,
who in turn must contact the Manager and the Safety Advisor;
2. The Safety Advisor, if able, with the Supervisor, is to investigate the complaint (breach of
legislation) or provide advice to the Supervisor to investigate the complaint immediately;
3. Conduct a risk assessment and identify appropriate control measures, (use the Corrective
Action Plan in WH&S Procedure 1.2.2);
4. The notice and Corrective Action Plan are to be discussed by the Health and Safety
Committee at the next meeting;
5. Following a fatality or serious injury, WHSQ will conduct a ‘Record of Interview’ with the CEO;
6. If a prosecution arises from a ‘Record of Interview’, relevant fines may be placed, or
Employer’s Name may be required to enter an Enforceable Undertaking process;
7. Maintain the master record of compliance notices (Refer to Attachment A); and
8. Staff are to be advised of Compliance Control through conducting a toolbox talk and issuing
the Give Me 5 paper for ‘WH&S Compliance Control’. Staff are required to undertake the
Give Me 5 Quiz, sign the quiz and the records are to be kept for 5 years.
Directive by Authorised Officer Preserved
The Work Health and Safety Act 2011 preserves directives by authorised officers under the
repealed Dangerous Goods Safety Management Act 2001.
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WH&S Compliance Control Procedure
Corrective Actions
Refer to the Corrective Action Plan CAPs for in WH&S procedure 1.2.2.
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ASSOCIATED DOCUMENTATION
Following are forms associated with this procedure:
► Master Record of Compliance form 2.5.2
► Give Me 5 paper for ‘WH&S Compliance Control - Notices’.
► Give Me 5 paper for ‘WH&S Queensland Inspectors’.
8.0
Links
Workplace Health and Safety Queensland http://www.dir.qld.gov.au/workplace/index.html
Revision Table
Revision Date
Revision Details
Revised By
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