Product Overview

Summary: This Documentation and Record Keeping Standard Operating Procedure establishes a consistent, compliant framework for creating, storing, and managing business and WHS records across your organisation. It helps Australian workplaces demonstrate due diligence, support audits and investigations, and protect critical information throughout its lifecycle.

Robust documentation and record keeping are essential for demonstrating compliance, defending decisions, and maintaining continuity in any Australian workplace. This Standard Operating Procedure provides a clear, step‑by‑step framework for how documents and records are to be created, approved, stored, accessed, retained, and disposed of across your business. It covers both operational and WHS-related records, making it easier to show regulators, insurers, and clients that your systems are well-governed and reliable.

The procedure helps you move away from ad-hoc filing and inconsistent practices that expose your organisation to risk. It sets out standard naming conventions, storage locations (digital and physical), version control rules, and access permissions so that critical information can be quickly located when needed—whether for an incident investigation, an internal audit, a regulator inspection, or a client tender. By implementing this SOP, you create a repeatable, organisation-wide approach to documentation that supports legal compliance, improves accountability, and reduces time wasted searching for missing information.

Written for the Australian context, this SOP aligns with WHS due diligence obligations and common regulatory expectations around record retention, privacy, and information security. It is suitable for businesses of all sizes and sectors looking to professionalise their documentation practices without overcomplicating day-to-day operations.

Key Benefits

• Ensure consistent creation, approval, and storage of documents and records across all business units.
• Demonstrate WHS and regulatory due diligence through clear, defensible record keeping practices.
• Streamline audits, inspections, and incident investigations by making key records easy to locate and verify.
• Reduce business risk associated with lost, incomplete, or outdated documentation.
• Support business continuity by preserving critical operational knowledge and decision-making trails.

Who is this for?

• Business Owners
• WHS Managers
• Compliance Managers
• Operations Managers
• HR Managers
• Quality Assurance Managers
• Office Managers
• Project Managers
• Risk and Governance Officers
• Records and Information Management Officers

Included Sections

• 1.0 Purpose and Scope
• 2.0 Definitions and Terminology
• 3.0 Roles and Responsibilities
• 4.0 Types of Documents and Records Covered
• 5.0 Document Creation and Approval Requirements
• 6.0 Version Control and Document Revision Management
• 7.0 Record Capture, Indexing and Classification
• 8.0 Storage and Access Controls (Digital and Physical)
• 9.0 Retention Periods and Archiving Requirements
• 10.0 Disposal and Destruction of Records
• 11.0 Confidentiality, Privacy and Information Security
• 12.0 Audit, Monitoring and Compliance Checks
• 13.0 Training, Communication and Implementation
• 14.0 Review, Continuous Improvement and Change History
• 15.0 Associated Forms, Templates and Registers

Legislation & References

• Work Health and Safety Act 2011 (Cth) and harmonised state and territory WHS Acts
• Work Health and Safety Regulations 2011 (Cth) and equivalent state and territory regulations (record keeping provisions)
• Safe Work Australia – Model Code of Practice: Work Health and Safety Consultation, Cooperation and Coordination (record keeping expectations)
• AS ISO 15489.1:2017 – Information and documentation – Records management
• Privacy Act 1988 (Cth) and Australian Privacy Principles (APPs) – handling of personal information in records