WHS Document Review
& Systems Analysis
Expert review of workplace safety procedures, risk assessments, incident investigations and WHS management systems for use in Australian legal proceedings. Plaintiff and defendant instructions accepted.
Document Review Service Overview
A WHS document review examines the written records produced and maintained by a workplace in connection with health and safety. In legal proceedings, these documents provide evidence of what controls were in place, whether they were adequate, whether workers were trained and competent, and whether incidents were investigated and acted on.
The review assesses each document against the applicable legislative requirements, codes of practice and industry standards. It identifies gaps between what the documentation shows and what the law requires, and provides an opinion on whether the documentary record supports or undermines the position of the relevant duty holder.
Document review is a core part of most expert witness engagements. It is also instructed as a standalone service where a solicitor or insurer needs an opinion on the adequacy of a workplace's safety documentation before deciding how to proceed with a claim.
Documents Are the Proof of What Was Done
In WHS proceedings, a duty holder's defence often rests on demonstrating that adequate controls were in place before the incident occurred. The evidence for that defence comes from documents: risk assessments, safe work method statements, training records, inspection logs and procedure manuals. Where those documents are absent, inadequate or inconsistent, the duty holder's position is weakened.
Conversely, for a plaintiff, gaps in the documentary record can be strong evidence that controls were not in place or were not followed. An expert review of the documents gives the court an informed opinion on what the documentary record does and does not show.
Document review findings feed directly into the expert witness report. The review forms the evidentiary foundation on which the broader WHS opinion is built.
Types of Documents Reviewed
The documents reviewed in each matter depend on the incident type, the industry and the questions raised in the letter of instruction. The following document categories are those most commonly reviewed in workers' compensation and public liability proceedings.
Assessment of SWMS prepared for high-risk construction work and other regulated activities, including whether the identified hazards and controls were adequate for the specific work being carried out.
Review of risk assessments prepared for the work activity involved in the incident, including whether hazards were correctly identified, risks were properly assessed and the controls selected were appropriate.
Assessment of whether the incident investigation identified the correct root causes and contributing factors, and whether the corrective actions identified were appropriate and implemented.
Review of training records, induction documentation and competency assessments to determine whether workers performing the relevant task were adequately trained and assessed as competent.
Review of SOPs and work instructions applicable to the task performed at the time of the incident, including whether the procedure was current, adequate and consistent with the applicable code of practice.
Review of the broader WHS management system documentation, including the safety policy, hazard reporting procedures, consultation records and management review processes.
How Each Document Type Is Assessed
Each category of document is assessed against a specific set of criteria drawn from the applicable legislation, regulations and codes of practice. The assessment follows a consistent structure for every matter.
Each SWMS is assessed against the legislative requirements for the type of work, the hazards relevant to the specific task, the adequacy of the controls listed, and whether the document was prepared by a competent person with knowledge of the work being carried out.
Risk assessments are reviewed to determine whether the hazard identification was thorough, whether the risk rating was appropriate, whether the controls selected reflected the hierarchy of controls and whether residual risk was acceptable. Where a code of practice applied, the risk assessment is assessed against the code.
Where a WHS management system was in place, the audit reviews whether the system was adequate for the size and nature of the business, whether it was actually implemented or merely documented, and whether there is evidence of monitoring, review and continual improvement.
Training records are assessed to confirm that the workers involved in the incident received relevant safety training, that the training was current at the time of the incident, and that competency was formally assessed and recorded rather than assumed.
The incident investigation report is assessed to determine whether the investigation was conducted by a competent person, whether root causes were correctly identified, whether corrective actions were appropriate and whether those actions were implemented and closed out before subsequent incidents.
How Findings Are Reported
The findings of the document review are reported in the expert witness report. Each document reviewed is identified, the assessment criteria are stated and the findings are set out clearly for each document category. The report identifies both the adequacy of each document and any gaps or deficiencies that are relevant to the matter.
Where a document is absent that should have been present, the absence itself is noted and its significance to the matter is addressed. Where documents are present but inadequate, the specific deficiencies are identified.
- List of all documents reviewed with source and date
- Assessment criteria applied to each document type
- Findings on adequacy for each document category
- Identification of documents that should exist but are absent
- Opinion on whether documentation supports compliance
- Specific gaps linked to contributing factors in the incident
- Expert declaration confirming independence and duty to court
Document Review Experience
Karim Ali has reviewed safety documentation across a wide range of industries and incident types. His experience as Head of OHS at Origin Energy and as Principal Consultant of SafetyDeeds Pty Ltd gives him direct knowledge of the standards expected in large and small organisations across high-risk industries.
This practical industry experience means the review is grounded in what competent organisations actually do, not just what the legislation requires in theory.
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Can a document review be done without a site inspection?
Yes. Most document reviews are conducted on the basis of the materials provided by the instructing solicitor without a site inspection. A site inspection is only conducted where it adds material value to the opinion, such as where the physical layout of the workplace or the condition of plant or equipment is directly relevant to the assessment.
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What if the employer has not produced all of its documents?
The review is conducted on the documents provided. Where it appears that documents that should exist have not been produced, this can be noted in the report as something that would be expected in a competent workplace for the type of work in question. The absence or non-production of expected documentation is itself relevant to the opinion on adequacy.
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Can the review address documents created after the incident?
Yes. Documents created after the incident, such as revised procedures or updated risk assessments, can be relevant for two reasons. First, they may indicate what controls were absent before the incident. Second, they may be relevant to whether the employer has taken corrective action. The report clearly distinguishes between pre-incident and post-incident documentation.
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Is a document review suitable for small business matters?
Yes. The standards applied in the review are calibrated to the size and nature of the business. A small business is not expected to have the same depth of documentation as a large corporation, but it is still required to identify risks and implement controls. The review assesses what would be expected of a business of that type and size operating in that industry at the time.
Request a Document Review
Contact Karim Ali to discuss the documents available and the scope of review required for your matter.