TLIF4064 Manage fatigue management
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TLIF4064FATIGUEMGTLearnerGuideV2.1.pdf
Learner Guide: TLIF4064
Manage fatigue management
policy and procedures
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Version control
Version No. Date Dept. Change
1.0 17/06/2016 Training Original
2.0 21/11/2016 Training Moodle Updates
2.1 22/08/2018 Training Update of formatting
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Contents TLIF4064 Unit Description ............................................................................................................... 5
Application of Unit .......................................................................................................................... 5
Element and Performance Criteria ................................................................................................. 5
Performance Evidence .................................................................................................................... 7
Knowledge Evidence ....................................................................................................................... 7
Introduction to this Unit ................................................................................................................. 8
Safety Legislation ............................................................................................................................ 8
What are policies and procedures? ................................................................................................ 9
Policy definition .............................................................................................................................. 9
Procedure definition ....................................................................................................................... 9
Workplace Communication ............................................................................................................ 9
Employers / PCBU safety responsibilities ..................................................................................... 10
What are Reasonable Steps in Legislation? .................................................................................. 10
How can I show I have taken reasonable steps? .......................................................................... 11
What is fatigue? ............................................................................................................................ 12
Why is fatigue a problem? ............................................................................................................ 12
How can you tell if someone is fatigued? ..................................................................................... 12
Who has health and safety duties in relation to managing the risks of fatigue? ......................... 13
Health and safety duties in relation to managing the risks of fatigue ............................................. 13
Who .................................................................................................................................................. 13
Duties ................................................................................................................................................ 13
How can the risks of fatigue be managed at the workplace? ....................................................... 13
CONSULTING WORKERS ................................................................................................................ 14
Consulting, Co-Operating and Co-Ordinating Activities with Other Duty Holders ....................... 14
How to Manage Risks Associated with Fatigue ............................................................................ 15
Factors that may contribute to and increase the risk of fatigue .................................................. 15
Work Schedules – Shift Work, Night Work, Hours of Work, Breaks ............................................. 15
Job Demands ................................................................................................................................. 15
Sleep – Length of Sleep Time, Quality of Sleep and Time Since Sleep ......................................... 16
Environmental Conditions ............................................................................................................ 16
Non-Work Related Factors ............................................................................................................ 16
How to identify factors that may contribute to or increase the risk of fatigue ............................ 16
Workers at High Risk of Fatigue .................................................................................................... 18
Safety Critical Tasks ....................................................................................................................... 18
Assessing the risks ......................................................................................................................... 18
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Controlling the risks ...................................................................................................................... 19
Work Scheduling ........................................................................................................................... 19
Shift Work and Rosters ................................................................................................................. 20
Job Demands ................................................................................................................................. 20
Environmental Conditions ............................................................................................................ 21
Non-Work Related Factors ............................................................................................................ 21
Workplace Fatigue Policy .............................................................................................................. 22
Information, instruction, training and supervision ....................................................................... 22
Managers and Supervisors ............................................................................................................ 22
Monitoring and reviewing ............................................................................................................. 23
Fatigue Management – A Worker’s Guide .................................................................................... 23
What is fatigue? ............................................................................................................................ 23
What causes fatigue? .................................................................................................................... 23
The body clock .............................................................................................................................. 23
Why is fatigue a problem in the workplace? ................................................................................ 24
Your responsibility as a worker ..................................................................................................... 24
Fatigue Management .................................................................................................................... 24
Signs of fatigue .............................................................................................................................. 25
Fatigue Management Legislation .................................................................................................. 25
Fatigue Management Standards ................................................................................................... 26
Standard Hours – Fatigue Management (SFM) ............................................................................ 26
Basic Fatigue Management (BFM) ................................................................................................ 26
Advanced Fatigue Management (AFM) ........................................................................................ 27
Workplace Documentation ........................................................................................................... 27
Fatigue........................................................................................................................................... 28
Chain of Responsibilities Penalties ............................................................................................... 28
What might be involved in a COR investigation? .......................................................................... 29
Penalties and Infringements ......................................................................................................... 29
Types of Penalties Established Under the HVNL ........................................................................... 29
Infringe able Offences ................................................................................................................... 29
Court Imposed Penalties ............................................................................................................... 30
Demerit Points .............................................................................................................................. 30
Indexation of Penalties ................................................................................................................. 30
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TLIF4064 Unit Description
Application of Unit
This unit involves the skills and knowledge required to manage suppliers in various contexts within the transport and logistics industry.
It includes assessing and building productive relationships with suppliers, and evaluating the delivery of goods/services against agreements. It also includes negotiating arrangements, resolving disagreements with suppliers and reviewing supplier performance.
The unit generally applies to those who lead individuals or teams.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Element and Performance Criteria
1. Identify or confirm fatigue management legal requirements and responsibilities
1.1 Current legal requirements, liabilities and responsibilities for effective fatigue management within the organisation are identified and interpreted
1.2 Existing fatigue management plans, policies and procedures are obtained and reviewed
1.3 Internal risks concerning the potential effects of fatigue are identified or confirmed and reviewed
1.4 External risks within the organisational services and/or products supply chain concerning the potential effects of fatigue are identified or confirmed and reviewed in accordance with fatigue management regulations and the related chain of responsibility
2. Establish and improve fatigue management policy and procedures
2.1 Organisational fatigue risk management system implementation plan is developed or reviewed and improved
2.2 Organisational fatigue risk management policy and procedures are developed or reviewed and improved in conjunction with relevant personnel
2.3 Feedback is obtained on the implementation plan and related policies and procedures from key stakeholders internal and external to the organisation
2.4 Appropriate adjustments are made to the plan, policies and procedures based on the feedback received
2.5 Managerial approval for the fatigue risk management system implementation plan and related policies and procedures is obtained in accordance with organisational procedures
2.6 Fatigue risk management system implementation plan and the related policies and procedures are distributed and presented to relevant organisational personnel for implementation
3. Act upon reports on the implementation of fatigue management policy
3.1 Reports from designated personnel on the implementation of the organisational fatigue risk management system implementation plan and related policies and procedures are received and interpreted
3.2 Accidents and safety incidents are reviewed and/or investigated and analysed to identify the extent to which fatigue might have been a contributing factor
3.3 Information provided in the reports indicating that fatigue management policy and procedures are not being correctly implemented is analysed and an appropriate managerial response and related action is initiated
3.4 Opportunities for improvements to the organisational fatigue risk management system implementation plan and related policies and procedures are identified and appropriate action is taken to make the necessary adjustments
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4. Act upon identified fatigue management regulations breaches
4.1 Identified or reported fatigue management policy breaches are investigated in accordance with organisational procedures and regulatory requirements
4.2 Action is taken to ensure internal and/or external personnel who may have contributed to any breach of fatigue management policy are provided with appropriate feedback and information to avoid recurrence of the breakdown in planned fatigue management processes
4.3 Where organisational procedures or culture is found to have contributed to a breach in fatigue management policy, appropriate action is taken to improve procedures or to address the culture in ways that aim to avoid a recurrence of the breakdown in planned fatigue management processes
4.4 Report on breaches of fatigue management policy is prepared and submitted to designated personnel with details of action taken to prevent a recurrence, in accordance with organisational procedures
5. Ensure that operations systems are compliant with fatigue management regulations and policy
5.1 All operations systems and standard operating procedures are reviewed in terms of their compliance with the organisational fatigue management regulations and policy
5.2 Where necessary, changes are made to operations systems and standard operating procedures to ensure that they are compliant
5.3 In accordance with the chain of responsibility principles, appropriate discussions are held with relevant personnel in supplier or subcontractor companies in the organisational supply chain to ensure their operational systems and standard operating procedures are compliant with the fatigue management regulations and policy
6. Plan and organise adequate resources and operational systems
6.1 Organisational budgets and resource allocation strategies are planned to provide adequate resources for the implementation of the organisational fatigue risk management system
6.2 Periodic reviews are undertaken of budgetary and resource allocation arrangements as they relate to implementing the organisational fatigue risk management systems and appropriate improvements are made as required
7. Facilitate the training and assessment of staff on fatigue management policy and procedures
7.1 Organisational training systems are planned to provide competency-based on-the- job and off-the-job training and assessment opportunities as detailed in the organisational strategic plan
7.2 Team leaders, supervisory and training staff are provided with adequate opportunities to develop the required expertise to contribute to the organisational fatigue management training and assessment activities
7.3Periodic reviews are undertaken of fatigue management training systems and appropriate improvements are made as required
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Performance Evidence
Evidence required demonstrating competence in this unit must be relevant to and satisfying all of the requirements of the elements and performance criteria on at least one occasion and including:
➢ Adapting to changes in legislation and regulations as they relate to fatigue management ➢ Applying relevant legislation and workplace procedures ➢ Communicating and working effectively with others when implementing the organisational fatigue
risk management system ➢ Facilitating systems that assist employees to identify their own learning needs about fatigue
management ➢ Modifying activities and taking appropriate initiative to manage the implementation of an
organisational fatigue risk management system depending on differing contexts, risk situations and environments
➢ Organising audits and reviews of an organisation’s fatigue risk management system ➢ Planning and organising budgetary requirements and resource allocation for implementing an
organisational fatigue risk management system ➢ Reading and interpreting documentation on fatigue management legislation and the organisational
fatigue risk management system and applying them to management activities ➢ Recognising breaches of fatigue management strategies and regulations and taking appropriate action
in accordance with the organisational fatigue risk management system.
Knowledge Evidence
To complete the unit requirements safely and effectively, the individual must: ➢ Action required when possible breaches of the chain of responsibility are identified ➢ Consequences of non-compliance with the chain of responsibility ➢ Roles including
o Duties within the individual’s own role o Duties performed by others under the individual’s supervision o Duties that influence or direct other parties in the chain of responsibility
➢ Methods and requirements to ensure management of fatigue, speed, load restraint, mass and dimension
➢ Parties in the chain of responsibility including o Consignors and consignees o Driver’s/owner drivers o Employers, prime contractors and operators o Loaders o Loading managers o Packers o Parties in the extended liability provisions of the HVNL and regulations or applicable
state/territory law and regulations o Schedulers
➢ Principal obligations relating to chain of responsibility in the HVNL and regulations or applicable state/territory law and regulations including
o Consideration of traffic conditions in managing speed and fatigue o Extended liability o Fatigue, work and rest times o Securing loads o Vehicle dimension and load limits
➢ What constitutes a duty, a reasonable step, a breach and a penalty to chain of responsibility regulations as they apply to a range of job roles
➢ Where to locate current chain of responsibility information ➢ Workplace policies and procedures around chain of responsibility for own job role and the range of
job roles for which own job role is responsible.
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Introduction to this Unit
This unit involves the skills and knowledge required to manage organisational fatigue management policy and procedures in accordance with relevant legislation and regulations.
It includes identifying legal requirements, liabilities and responsibilities for establishing and/or improving fatigue management implementation plans, policies and procedures. It also includes acting appropriately on reports and identified breaches of fatigue management regulations.
It also includes ensuring operational systems are compliant with fatigue management regulations and policy; planning and organising adequate resources and operational systems; and facilitating the training and assessment of staff on their responsibilities and fatigue management techniques.
Work is performed under minimum supervision generally as a manager.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Safety Legislation
Maintaining workplace health and safety (WHS) or occupational health and safety (OHS) is an essential part of any workplace and the planning requirement of any organisation. Today, many organisations are broadening their management of WHS / OHS to include all aspects of their employees’ health, not just preventing short-term illness and injury. Some States Workplace Health and Safety (WHS), at its most basic level, involves protecting the health, safety and welfare of employees and others affected by the work organisations undertake. This includes customers, suppliers, subcontractors and members of the public.
Many organisations now include the management of the environment as part of the Safety Officers area or responsibility. To function at its best, WHS should be systematic and should operate as part of the larger system and culture of the organisation.
The days of WHS being an afterthought, an unwanted add-on, are long gone. WHS must be an essential part of the organisation and the way WHS is managed should reflect the overall philosophy and practice of the
organisation. Consequently, considerations now go beyond minimum compliance, harm minimisation and a primary concern with keeping costs down.
Government has changed their focus from concentrating on an individual to the senior management levels of the company. Their focus is to go for the money person or the Directors as this strategy can get a more rapid outcome, larger penalty and a change in safety attitude or workplace culture.
The current safety legislation in most States and Territories is the WHS Act 2011 and WHS Regulations 2011. In addition to this safety legislation each State or Territory has their own Traffic Acts to cover all aspects of transportation. This legislation should include obligations to cover fatigue, chain or responsibility, speeding and mass management. In addition to this there are
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multiple Codes of Conduct and Advisory Standards.
On 10 February 2014 the Heavy Vehicle National Law 2012 (HVNL) commenced, replacing existing laws governing the operation of all vehicles over 4.5 tonnes gross vehicle mass in Queensland, New South Wales, Victoria, South Australia, the Australian Capital Territory and Tasmania. This legislation was a national initiative to make heavy vehicle compliance uniform across Australia.
This legislation provided a “one stop” authority to manage heavy vehicles. The National Heavy Vehicle Regulator (NHVR) was established to administer the HVNL and is now the first point of contact for the majority of your heavy vehicle business
Roads Maritime Services (RMS) NSW is the relevant authorities responsible for assessing compliance and enforcement in New South Wales. Similar regulatory authorities exist in the other States and Territories around Australia.
What are policies and procedures?
To comply with legislation every workplace must have policies and procedures to manage their business. Some procedures are broken down into small components to be more specific about a section of a procedure. These are often referred as SOPS or standard operating procedures. The most common types of policies and procedures cover staff induction, safety, health, accounting, sales, plan operation as examples.
Policy definition
Policies and procedures are designed to influence and determine all major decisions and actions, and all activities take place within the boundaries set by them.
Procedure definition
Procedures are the specific methods employed to express policies in action in day-to-day operations of the organisation.
Together, policies and procedures ensure that a point of view held by the governing body of an organisation is translated into steps that result in an outcome compatible with that view.
To comply with heavy vehicle legislation and chain of responsibility (COR) a workplace should have policies and procedures covering Fatigue management
Workplace Communication
As part of providing a safety workplace it is a requirement to discuss changes in how work is to be done or changes in policies and procedures with all workers. As a transport company, there is a duty to communicate the requirements of legislation covering the chain of responsibility Fatigue Management to all clients of the organisation and those likely to use its services.
In non-transport companies, there is a need to make workers and decision makers aware of the requirements of chain or responsibility. Most transport companies will hold meetings with clients and discuss the range of services they offer including their policies, procedures and work instructions.
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During this meeting the transport company will discuss the legislation covering fatigue.
With large distribution companies where many vehicles are operated from the same site, the transport company will offer a person to supervise loading, legislation and other customer service requirements.
Many companies have tool box meetings with workers either daily or weekly to discuss safety issues, new processes and training needs of the workplace. This may include communication
about new plant and equipment to be introduced, new products, new services, changes in employment conditions and the like.
Employers / PCBU safety responsibilities
An employer or Person Controlling a Business or Undertaking (PCBU) must take reasonable steps to ensure the health, safety and welfare at work of all the employees or Workers of the employer. What constitutes reasonable steps will vary according to each workplace or individual’s circumstances. This could include:
➢ Adopting a risk management approach
➢ Becoming aware of the requirements of an accreditation scheme.
➢ Reviewing your business practices.
➢ Changing your commercial arrangements.
A number of risk management standards are available that can assist you in developing business practices to minimise the risks of non-compliance in relation to driver fatigue in your business. The main risk management standard in Australia is AS/NZ 4360:1990 on Risk Management.
There are a variety of audited accreditation and quality schemes already operating in the transport and logistics industries. Using accredited truck operators provides some assurance that your contractors have relevant business systems in place and are managing risks. Appropriate accreditation schemes which address your specific risk exposures may assist you in showing reasonable steps were taken under the chain of responsibility.
In summary this means providing;
➢ A safe workplace
➢ Safe systems of work
➢ Plant and equipment that is safe to use or operate
➢ Training of employees
➢ Consultation with stakeholders when workplace systems change
➢ Penalties can be imposed on the employer / PCBU for a breach of legislation.
What are Reasonable Steps in Legislation?
Reasonable steps covered under legislation are the actions supervisors and managers can take to ensure that heavy vehicle drivers do not drive in contravention of the Heavy Vehicle National Law (HVNL) and comply with current legislation.
A person in the supply chain can claim a ‘reasonable steps’ defence if they can show they did not know or could not reasonably have been expected to know that a breach had occurred. In making a
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‘reasonable steps’ legal claim a person has to prove:
➢ they took all reasonable steps to prevent the breach ➢ there were no reasonable steps they could have taken to
prevent the breach ➢ For a legal defence to be successful, ALL reasonable steps
must have been taken, not just one or some of them. ➢ An operator of a vehicle used in the commission of an offence
against the HVNL may also raise a defence that at the time of the offence the vehicle was being used by:
➢ an employee who was acting outside the scope of his or her employment
➢ an agent (in any capacity) who acted outside the scope of the agency
➢ Another person who was not entitled to use the vehicle.
How can I show I have taken reasonable steps?
There are no restrictions on the ways in which a person can demonstrate that they took reasonable steps and will vary depending on circumstances. Business practices should include methods to identify, assess, control, monitor and review situations that put driver safety at risk. These include:
➢ Risk identification – What could happen?
➢ Risk assessment – What is the likelihood it may happen?
➢ Risk control – What can we do about it, or to prevent it?
➢ Review as required
You should ensure that policies and procedures are understood by all workers and they are trained in their use. The practices should be comprehensive yet flexible enough to allow for changes through regular review, in response to accidents/incidents or at times when things just go wrong.
Some examples of reasonable steps include:
➢ conducting regular audits of work schedules and work records
➢ regularly reviewing business activities, processes, policies and written instructions and
identifying how best to manage outcomes and prevent offences
➢ implementing processes to be used after unexpected delays, or times when things just go
wrong
➢ planning for driver rest breaks with some consideration for unexpected traffic delays when
creating trip timetables
➢ if a breach occurs putting procedures in place to prevent similar breaches or issues from
happening again
➢ establishing a risk management plan
➢ conducting training to develop staff awareness of business policies and procedures and their
obligations with fatigue management.
➢ Ensuring staff are not just aware of their obligations, but are actively engaged in
implementing practices.
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What is fatigue?
Fatigue is more than feeling tired and drowsy. In a work context, fatigue is a state of mental and/or physical exhaustion which reduces a person’s ability to perform work safely and effectively.
It can occur because of prolonged mental or physical activity, sleep loss and/or disruption of the internal body clock.
Fatigue can be caused by factors which may be work related, non-work related or a combination of both and can accumulate over time.
Why is fatigue a problem?
Fatigue can adversely affect safety at the workplace. Fatigue reduces alertness which may lead to errors and an increase in incidents and injuries, particularly when:
➢ operating fixed or mobile plant, including driving vehicles
➢ undertaking critical tasks that require a high level of concentration
➢ Undertaking night or shift work when a person would ordinarily be sleeping.
The effects of fatigue can be short or long term. In the short term a person may show the signs or report the symptoms of fatigue.
The longer-term health effects of fatigue can include:
➢ heart disease
➢ diabetes
➢ high blood pressure
➢ gastrointestinal disorders
➢ lower fertility
➢ anxiety
➢ Depression.
How can you tell if someone is fatigued?
The following signs or symptoms may indicate a worker is fatigued:
➢ excessive yawning or falling asleep at work
➢ short term memory problems and an inability to concentrate
➢ noticeably reduced capacity to engage in effective interpersonal communication
➢ impaired decision-making and judgment
➢ reduced hand-eye coordination or slow reflexes
➢ other changes in behaviour, for example repeatedly arriving late for work
➢ increased rates of unplanned absence.
A fatigued worker may also experience symptoms not obvious to others including:
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➢ feeling drowsy
➢ headaches
➢ dizziness
➢ difficulty concentrating
➢ blurred vision or impaired visual perception
➢ a need for extended sleep during days off work.
Who has health and safety duties in relation to managing the risks of fatigue?
Everyone in the workplace has a work health and safety duty and can help to ensure fatigue does not create a risk to health and safety at work. Fatigue is not only caused by work-related activities – it is affected by all activities carried out when a person is awake.
Health and safety duties in relation to managing the risks of fatigue
Who Duties
Person conducting a business or undertaking
(Section 19)
Has the primary duty to ensure, so far as is reasonably practicable, workers and other persons are not exposed to health and safety risks arising from the business or undertaking. This includes ensuring, so far as is reasonably practicable:
▪ provision and maintenance of a work environment without risks to
health and safety
▪ provision and maintenance of safe systems of work, and
▪ Monitoring the health of workers and the conditions at the workplace
for the purpose of preventing illness or injury of workers arising from
the conduct of the business or undertaking.
The duty on the person conducting the business or undertaking is not removed by a worker’s preference for certain shift patterns for social reasons, their willingness to work extra hours or to come to work when fatigued. The person conducting the business or undertaking should adopt risk management strategies to manage the risks of fatigue in these circumstances.
Officers
(Section 27)
Officers such as company directors, must exercise due diligence to ensure the business or undertaking complies with its work health and safety duties. This includes taking reasonable steps to ensure the business or undertaking has and uses appropriate resources and processes to manage the risks associated with fatigue.
Workers
(Section 28)
Workers must take reasonable care for their own health and safety and must not adversely affect the health and safety of other persons. Workers must also comply with any reasonable instruction and cooperate with any reasonable policy or procedure relating to fatigue at the workplace, such as policies on fitness for work or second jobs.
Workers’ duties in relation to fatigue do not mean they must never work extra hours. However, they should talk to their manager or supervisor to let them know when they are fatigued. They should also avoid working additional hours and undertaking safety critical tasks when they know it is likely they are fatigued.
How can the risks of fatigue be managed at the workplace?
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Measures to manage the risks associated with fatigue will vary from one workplace to the next, depending on the nature of the work, environmental conditions and individual factors.
The risks associated with fatigue can be managed by following a systematic process, which involves:
➢ identifying the factors which may cause fatigue in the workplace
➢ if necessary, assessing the risks of injury from fatigue
➢ controlling risks by implementing the most effective control measures reasonably
practicable in the circumstances, and
➢ reviewing control measures to ensure they are working as planned.
Further guidance on the general risk management process is provided in the Code of Practice:
How to manage work health and safety risks.
CONSULTING WORKERS
Consulting workers at each step of the risk management process encourages everyone to work together to identify fatigue risk factors and implement effective control measures. Consultation also helps to raise awareness about the risks of fatigue.
Section 47
A person conducting a business or undertaking must consult, so far as is reasonably practicable, with workers who carry out work for the business or undertaking who are (or are likely to be) directly affected by a work health and safety matter.
Section 48 If the workers are represented by a health and safety representative, the consultation must involve that representative.
Consultation involves sharing information, giving workers a reasonable opportunity to express views and taking those views into account before making decisions on health and safety matters.
Workers and their health and safety representatives (if any) must be consulted, so far as is reasonably practicable when:
➢ planning and designing work schedules and rosters
➢ making decisions on how to manage the risks of fatigue
➢ proposing changes to working hours, work schedules and procedures
➢ making decisions about providing information and training on fatigue
➢ after an incident or ‘near miss’ where fatigue was a factor.
Consulting, Co-Operating and Co-Ordinating Activities with Other Duty Holders
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Section 46
A person conducting a business or undertaking must consult, co-operate and co-ordinate activities with all other persons who have a work health or safety duty in relation to the same matter, so far as is reasonably practicable.
Sometimes more than one person conducting a business or undertaking may have responsibility for health and safety because they are involved in the same activities or share the same workplace. In these situations, they must communicate with each other to identify and assess health and safety risks associated with fatigue and work together in a co-operative and co-ordinated way so these risks are eliminated or minimised so far as is reasonably practicable.
For example, if a business provides on-hire workers who carry out shift work for a host business, both businesses have a duty of care to the workers. The business owners will need to discuss whether fatigue may be a potential hazard and consider issues such as the mental and physical demands of the job, shift rosters and working hours. The on-hire business will need to take into account the cumulative effect of fatigue arising from all the different workplaces the worker is sent to and agree on arrangements to manage the risks of fatigue with each business.
How to Manage Risks Associated with Fatigue
Factors that may contribute to and increase the risk of fatigue
The first step in the risk management process is to identify all reasonably foreseeable factors which could contribute to and increase the risk of fatigue. There may not be obvious signs of fatigue at the workplace but this does not mean it is not occurring or factors which may increase the risk of fatigue are not present.
Fatigue is often caused by a number of inter-related factors which can be cumulative. The major factors contributing to and increasing the risk of fatigue involve:
Work Schedules – Shift Work, Night Work, Hours of Work, Breaks
Work schedules which limit the time workers can physically and mentally recover from work may cause fatigue, for example early shift start times or late finishes, short breaks between shifts, shifts lengthened by overtime or double shifts and not enough non-sleep rest breaks during a shift.
Working at night when the body is biologically programmed to sleep can interrupt a person’s body clock. The body clock is the body’s natural rhythm repeated every 24 hours. It regulates functions including sleeping patterns, body temperature, hormone levels and digestion. As it is programmed for different levels of wakefulness, people experience different levels of alertness depending on the time of the day.
When a person’s body clock is out of step alertness decreases making them feel fatigued. This increases the risk of making errors and causing incidents and injuries, either in the workplace or outside of work, including on the way to and from work.
Job Demands
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Some types of work, for example concentrating for extended periods of time, performing repetitious or monotonous work and performing work requiring continued physical effort can increase the risk of fatigue.
Workers can be mentally and physically fatigued at the same time. Work which is reactive and performed under high pressure, for example emergency services, may also increase the risk of fatigue.
Sleep – Length of Sleep Time, Quality of Sleep and Time Since Sleep
While tired muscles can recover with rest, the brain can only recover with sleep. The most beneficial sleep is deep undisturbed sleep taken in a single continuous period.
The optimum amount of sleep varies for each person, however, an adult generally requires seven to eight hours of sleep daily.
When individuals get less sleep than they need in a day, they build up a sleep debt which accumulates until they can get enough sleep to overcome the sleep debt. Each extra day without enough sleep increases the debt, and when it becomes large enough fatigue can occur. It may take several days before a person recovers from a sleep debt. Sleep debt is common with night shift workers as they often experience difficulty getting enough undisturbed sleep during the day.
One sleepless night can have similar effects on someone as drinking too much alcohol.
Environmental Conditions
Working in harsh and uncomfortable conditions can contribute to fatigue, for example, exposure to heat, cold, vibration or noisy workplaces can make workers tire quicker and impair performance.
Non-Work Related Factors
Factors occurring outside of work may also contribute to fatigue. A worker’s lifestyle, family responsibilities, health (e.g. insomnia, sleep apnoea, some medication), other work commitments, and extended travel between work and home may all increase the risk of fatigue.
How to identify factors that may contribute to or increase the risk of fatigue
Methods to identify factors which may contribute to or increase the risk of fatigue can include:
➢ Consult with workers, including managers, supervisors and health and safety representatives
(if any) about the impact of workloads and work schedules, including work-related travel
and work outside of normal hours (for example work a person has taken home to complete).
➢ Examine work practices and systems of work, for example
o the degree of choice and control workers have over work hours,
o the pace of work and rest breaks, and
o the type of work culture, for example where there is an accepted practice of working
long hours.
➢ Examine worker records, for example sign in-out sheets, billing sheets and shift changeovers,
to determine working hours and in particular whether excessive hours have been worked or
hours have been worked at times which may have led to body clock disruption.
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➢ Obtain advice and information on fatigue from relevant experts, research, guidance
materials and data published by regulators, industry associations, unions or other sources.
➢ Review workplace incident data, including incidents travelling to and from the workplace,
and ask the following questions:
o What is the likelihood fatigue is contributing to the incidents?
o What time of day do incidents occur?
o When incidents have occurred, how long had the workers involved been working?
For example time since start of shift, number of hours worked that week and in the
preceding three months.
o Do the incidents often happen when a worker’s body clock is slowing the body down
and concentration is poor?
➢ Review human resource data, for example rates of unplanned absenteeism, staff turnover
and workers compensation claims. Those with an injury or illness may be at greater risk of
becoming fatigued.
FATIGUE CHECKLIST
Mental and physical work demands Yes No
Does anyone carry out work for long periods which is physically demanding? (for example, tasks which are especially tiring and repetitive such as bricklaying, process work, moving bags of cement, felling trees)
Does anyone carry out work for long periods which is mentally demanding? (for example, work requiring vigilance, work requiring continuous concentration and minimal stimulation, work performed under pressure, work to tight deadlines, emergency call outs, interacting/dealing with the public)
Work scheduling and planning
Does anyone consistently work or travel between midnight and 6am?
Does the work schedule prevent workers having at least one full day off per week?
Does the roster make it difficult for workers to consistently have at least two consecutive nights sleep per week?
Do work practices include on-call work, call-backs or sleepovers?
Does the roster differ from the hours actually worked?
Does the work roster include rotating shifts?
Does anyone have to travel more than one hour to get to their job?
Work Time
Does anyone work in excess of 12 hours regularly (including overtime)?
Does anyone have less than 10 hours break between each shift? (for example, split shifts, quick shift changeovers)
Is work performed at low body clock times (between 2 am and 6 am)?
Environmental Conditions
Is work carried out in harsh or uncomfortable conditions? (for example, hot, humid or cold temperatures)
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Does anyone work with plant or machinery that vibrates?
Is anyone working with hazardous chemicals?
Non-Work Factors
Are workers arriving at work fatigued?
Workers at High Risk of Fatigue
Some workers are at a higher risk of fatigue because their work typically involves some or all of the factors which contribute to fatigue, for example:
➢ shift workers
➢ night workers
➢ fly-in, fly-out workers (FIFO)
➢ drive in, drive out (DIDO)
➢ seasonal workers
➢ on-call and call-back workers
➢ emergency service workers
➢ medical professionals and other health workers.
Safety Critical Tasks
It is particularly important to identify fatigue risks which might arise when safety critical tasks are being carried out. Safety critical tasks are those where the consequences of a mistake or error in judgment could cause serious injury, for example:
➢ driving a road vehicle, such as a taxi or courier van, or operating a crane or other high risk
plant
➢ working at heights
➢ participating in medical or surgical procedures and settings
➢ working with flammable or explosive substances
➢ other types of work identified as hazardous, for example electrical work.
Assessing the risks
A risk assessment can assist in finding out:
➢ where, which and how many workers (including contractors and subcontractors) are likely to
be at risk of becoming fatigued
➢ how often fatigue is likely to occur
➢ the degree of harm which may result from fatigue
➢ whether existing control measures are effective
➢ what action should be taken to control the risk of fatigue
➢ how urgently action to control the risk needs to be taken.
When assessing risks, contributors to fatigue should not be considered in isolation. For example, job demands, hours of work and environmental conditions may all increase the risk of fatigue in the workplace. The risks of injury from fatigue may increase if workers work long daily hours in a physically or mentally demanding job. This risk of fatigue may increase when new workers begin their job and are adjusting to work demands.
Risk assessment methods are similar to the methods used to identify factors contributing to fatigue
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in section 2.1 therefore these steps can be carried out at the same time.
It is not necessary to conduct a risk assessment in all circumstances.
Controlling the risks
The best way to control the health and safety risks arising from fatigue is to eliminate the factors causing fatigue at the source.
If elimination is not reasonably practicable, the risks must be minimised.
What is reasonably practicable to do to manage the risk of fatigue will vary depending on the type of industry, the structure of an organisation as well as the person carrying out the work.
For example, control measures a small business implements to manage the risk of fatigue may differ from those implemented by a large corporation with 300 shift or night workers, or those implemented by an emergency service organisation when it is operating under emergency response conditions.
Factors contributing to the risk of fatigue are often inter-related. Incorporating a combination of control measures into general workplace systems, as well as control measures specific to the work, can help to minimise more than one contributor to fatigue. For example, increasing the amount of time between shifts and adjusting shift starting times may improve the opportunity for sleep.
Work Scheduling
Control measures for fatigue risks which can be built into a work schedule may include:
➢ designing working hours and rosters to allow for good sleep opportunity and enough
recovery time between work days or shifts for travelling, eating, washing and sleeping
➢ developing a working-hours policy on daily work hours, maximum average weekly hours,
total hours over a three-month period, on-call work and work-related travel
➢ developing procedures to manage and limit excessive working hours, for example requiring
minimum breaks on a regular basis, especially during longer shifts
➢ ensuring workers have and take adequate and regular breaks to rest, eat and rehydrate
➢ scheduling safety critical work outside the low body clock periods between 2am and 6am,
and between 2pm and 4pm
➢ managing workload and work-pace change caused by machinery breakdowns or planned
and unplanned absences
➢ avoiding work arrangements which provide incentives to work excessive hours
➢ managing overtime, shift swapping and on-call duties
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➢ implementing processes to manage accrued leave balances and requests for leave, for
example setting maximum limits of leave accrual to encourage workers to use it
➢ considering future rosters and schedules when approving request for leave or shift swaps,
and ensuring leave is reflected in rosters
➢ having access to on-call workers for unplanned leave, emergencies or where workload
increases
➢ developing plans to deal with workload changes due to absenteeism
➢ filling vacant positions as soon as reasonably practicable and maintaining a relief pool of
staff in high demand areas where fatigue is a risk
➢ Considering alternative options to face-to-face meetings, for example teleconferencing so
workers are not required to spend time travelling to meetings.
Shift Work and Rosters
When planning work schedules and rosters for specific work arrangements, including shift and night work, FIFO, DIDO, seasonal, on-call and emergency services work arrangements, consideration should be given to implementing additional specific control measures.
➢ Specific control measures may include:
➢ structuring shifts and designing work plans so work demands are highest towards the middle
of the shift and decrease towards the end
➢ avoiding morning shifts starting before 6am where possible
➢ avoiding split shifts or if there is no alternative to split shifts consider their timing, for
instance whether they are likely to disrupt sleep
➢ setting shift rosters ahead of time and avoiding last-minute changes, to allow workers to
plan leisure time
➢ allocating shift and night workers consecutive days off to allow for at least two full nights’
sleep including some weekends
➢ aligning shift times with the availability of public transport or if required, provide alternative
transport at the end of a long shift
➢ overlapping consecutive shifts to allow enough time for communication at shift handovers
➢ avoiding overtime allocation after afternoon or night shifts
➢ consider if night work is necessary and rearrange schedules so non-essential work is not
carried out at night
➢ keeping sequential night shifts to a minimum, and
➢ Providing information to shift workers containing tips for them to prevent and manage the
risk of fatigue.
Job Demands Control measures to prevent or minimise the risk of fatigue can include:
➢ ensuring fit-for-purpose plant, machinery and equipment is used at the workplace (for
example, ergonomic furniture, lifting equipment and anti-fatigue matting for repetitive tasks
performed while standing)
➢ encouraging workers to report concerns they may have about work-related fatigue
➢ redesigning the job to limit periods of excessive mental or physical demands
➢ introducing job rotation to limit a build-up of mental and physical fatigue
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➢ developing contingency plans for potential situations where workers may have to
unexpectedly work longer hours, more shifts or a long sequence of shifts, and
➢ planning for expected changes in work flow including anticipated peaks and troughs during
the year.
Environmental Conditions
➢ Avoid working during periods of extreme temperature or minimise exposure time through
job rotation.
➢ Provide a cool area where workers can take a rest break and rehydrate in hot work
environments.
➢ Install ventilation and mechanical cooling devices in hot, small and enclosed spaces such as
truck cabins.
➢ Provide adequate facilities for rest, sleep, meal breaks, onsite accommodation (if
appropriate).
➢ Install adjustable, low-vibration seats in machinery and vehicles and provide low vibration
hand held equipment.
➢ Provide and maintain a workplace which is well lit, safe and secure.
Non-Work Related Factors
Work and lifestyle often impact each other. For example, if a worker leaves their job tired and exhausted they may be less able to perform out-of-work activities or could be a danger to themselves and others when driving home tired. Likewise, if a worker arrives at work fatigued they may be less productive or could be a danger to themselves and others in the workplace.
A person conducting a business or undertaking cannot control what a worker does outside of work. Workers have a duty to take reasonable care for their health and safety and this includes enough sleep so they can arrive at work ready for duty. However, controls can be implemented to avoid potential conflicts between personal and work demands, for example:
➢ develop a fatigue policy for all workers including managers and supervisors,
➢ consult workers about managing fatigue not just when at work, the risks associated with
fatigue and how it relates to their health and safety duties.
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Workplace Fatigue Policy
A fatigue policy is not mandatory but may be an effective way to communicate the organisation’s procedures to workers. Consider including information about:
➢ roles and responsibilities of supervisors and workers
➢ maximum shift length, average weekly hours and total hours over a three-month period
➢ work-related travel
➢ control measures for specific tasks, jobs and operations
➢ self-assessment checklists
➢ procedures for reporting potential hazards and fatigue risks, and
➢ procedures for managing fatigued workers, including what will happen if they are too
fatigued to continue work (e.g. temporary task re-allocation).
A fatigue policy can be included with other work health and safety policies, for example policies on bullying, drugs and alcohol and fitness for work and should be developed in consultation with workers or their health and safety representative.
A risk management chart at Appendix C provides further guidance on identifying, assessing and controlling the risks associated with fatigue.
Information, instruction, training and supervision
Section 19
A person conducting business or undertaking must provide, so far as is reasonably practicable, any information, training, instruction or supervision necessary to protect all persons from risk to their health and safety arising from work carried out as part of business or undertaking.
Providing information and training to workers about the factors that can contribute to fatigue and the risks associated with it will help them to not only do their job but also implement control measures to minimise the risk of fatigue in the workplace.
Training about fatigue and relevant workplace policies should be arranged so it is available to all workers on all shifts. Information and training for workers should include:
➢ the work health and safety responsibilities of everyone in the workplace
➢ the factors that can contribute to fatigue and risks that may be associated with it
➢ symptoms of fatigue
➢ the body clock and how fatigue can affect it
➢ effective control measures for fatigue, for example work scheduling
➢ procedures for reporting fatigue
➢ effects of medication, drugs and alcohol
➢ nutrition, fitness and health issues relating to fatigue
➢ balancing work and personal demands.
Managers and Supervisors
Managers and supervisors should be trained to:
➢ recognise fatigue
➢ understand how fatigue can be managed and how to implement control measures, including
how to design suitable rosters and work schedules in consultation with workers,
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➢ take appropriate action when a worker is displaying fatigue related impairment.
An appropriate level of supervision should be provided (for example a higher level of supervision for safety critical tasks), which may include monitoring work to ensure safe work practices are followed.
Monitoring and reviewing
Once control measures are implemented, they should be monitored and reviewed to ensure they continue to effectively manage fatigue. Consider implementing trial periods for any new work schedules and encouraging workers to provide feedback on their effectiveness.
To determine the frequency of monitoring and review consider the level of risk — high-risk hazards need more frequent assessments. Control measures should also be reviewed when:
➢ there is any indication risks are not being controlled
➢ new tasks, equipment, procedures, rosters or schedules are introduced
➢ changes are proposed to the work environment, working hours, schedules and rosters
➢ there is an incident due to fatigue at the workplace
➢ new information regarding fatigue becomes available, and
➢ the results of consultation, including a request from a health and safety representative,
indicate that a review is necessary.
Fatigue Management – A Worker’s Guide
What is fatigue?
Fatigue is more than feeling tired and drowsy. In a work context, fatigue is a state of mental and/or physical exhaustion that reduces a person’s ability to perform work safely and effectively.
It can occur because of prolonged or intense mental or physical activity, sleep loss and/or disruption of the internal body clock.
Signs of fatigue include:
➢ tiredness even after sleep
➢ reduced hand-eye coordination or slow reflexes
➢ short term memory problems and an inability to concentrate
➢ blurred vision or impaired visual perception
➢ a need for extended sleep during days off work.
What causes fatigue?
Fatigue can be caused by work related or non-work related factors or a combination of both.
Work related causes of fatigue include excessively long shifts, not enough time to recover between shifts and blocks of shifts, very strenuous jobs and long commuting times. An example of non-work related fatigue would be poor quality sleep due to street noise or family demands.
The body clock
Most people are day-orientated meaning they are most alert and productive in the daytime and sleep at night. The circadian rhythms (the body clock) cause regular variations in individual body and mental functions repeated approximately every 24 hours. These rhythms regulate sleeping patterns, body temperature, heart rate, hormone levels, digestion and many other functions.
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These rhythms influence job performance and quality of sleep. Most of the body’s basic functions show maximum activity by day and minimum activity by night. The body rhythms affect the behaviour, alertness, reaction times and mental capacity of people to varying degrees.
Why is fatigue a problem in the workplace?
Fatigue may increase the risk of incidents because of a lack of alertness. Fatigue may result in a slower reaction to signals or situations and affect the ability to make good decisions, particularly when:
➢ operating fixed or mobile plant including driving vehicles ➢ undertaking critical tasks that require a high level of concentration ➢ undertaking night or shift work when a person would ordinarily be sleeping.
A person conducting a business or undertaking must ensure, so far as is reasonably practicable, the health and safety of workers while they are at work. This means if fatigue is identified as causing a risk to work health and safety, then suitable control measures should be implemented in consultation with workers to eliminate or minimise the risks.
Your responsibility as a worker
Workers have a duty to take reasonable care for their own safety and health and that their acts or omissions don’t adversely affect the health or safety of others. Workers must also comply with any reasonable instruction and cooperate with any reasonable policy or procedure relating to fatigue at the workplace, for example fitness for work policies and policies regarding second jobs.
To reduce the risk of being involved in a work incident caused by fatigue, you should:
➢ comply with your organisation’s policies and procedures relating to fatigue
➢ understand your sleep, rest and recovery needs and obtain adequate rest and sleep away
from work
➢ seek medical advice and assistance if you have or are concerned about a health condition
that affects your sleep and/or causes fatigue
➢ assess your own fitness for work before commencing work
➢ monitor your level of alertness and concentration while you are at work
➢ look out for signs of fatigue in the people you work with
➢ in consultation with your supervisor, take steps to manage fatigue, for example take a break
or short nap (night shift), maintain hydration (drink water), do some stretching or physical
exercise, adjust the work environment (lighting, temperature)
➢ talk to your supervisor or manager if you foresee or experience being impaired by fatigue
likely to create a health and safety risk e.g. because of a health condition, excessive work
demands or personal circumstances
➢ assess your fatigue levels after work and take suitable commuting and accommodation
options (e.g. avoiding driving if fatigued).
Further information is available in the Guide for managing the risk of fatigue at work.
Fatigue Management
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In Australia each year more than 1500 persons are killed and approximately 22,000 are seriously injured in traffic accidents. The total economic cost exceeds $15 billion annually and the accompanying social costs greatly impact on our communities every day. Whilst many factors contribute to safety on the road, driver health is an important consideration. Drivers must meet certain medical standards to ensure that their health status does not increase the risk of an accident on the road including fatigue.
Fatigue can affect a persons’ health, reduce performance and productivity and can increase the chance of a workplace or road accident. Evidence also suggests that fatigues people are more likely to engage in risk taking behaviour. Importantly, fatigue may affect a persons’ judgement of his or her own state of fatigue. This means that the effective management of fatigue should not be the responsibility of the driver alone.
Employers, employees and all parties in the supply chain have a role in ensuring that any risks associated with fatigue can be eliminated, minimised or controlled through the development and implementation of an effective fatigue management system including policies, procedures and work instructions.
This is a new challenge and one that is now being addressed by management by having all employees undertake regular medicals annually and before commencing work each day, complete a “fitness for duty” self-checklist. This self-check includes the number of hours a person has slept in the last 24 hours, use of alcohol and drugs in the last 24 hours and the time in hours taken to drive to and from work each day.
This is not an invasion of an individual’s privacy but a legislative requirement to provide a safe workplace and safe systems of work. Remember the employee has to be fit for work as part of his or her requirement to legislative obligations.
Signs of fatigue
Everyone working with transport operators must be able to identify the signs of fatigue in an employee, contractor or subcontractor. To ensure compliance, all Schedulers and those working with transport operators must complete a nationally recognised training program.
The signs of fatigue are; ➢ Loss of alertness
➢ Excessive yawning
➢ Itchy eyes
➢ Drowsiness
➢ Nodding heads
➢ Falling asleep at work
➢ Poor Memory
➢ Bad Mood and aggressive
➢ Near misses or errors of judgement
Fatigue Management Legislation
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In Australia we have three levels of government, federal, state and local. Fatigue management is State based legislation passed by each State government to an agreed draft national framework. The initial legislation for fatigue management legislation came into effect on the 28th September 2008. This legislation was revised on 10 February 2014 and a new national authority was formed to manage heavy vehicle [NHVAS] compliance in Australia.
If you are responsible for providing directions about when to drive a vehicle, types of work to be performed and timeframes for rest that will be followed by heavy vehicle drivers, then under the legislation you are considered a “Scheduler”. Training in this process must be provided and documented as part of a risk management strategy.
Owner driver/operators who provide transport services under a larger or national NHVAS accredited operator may also be deemed to be a scheduler if they are managing their own work and rest schedules.
Fatigue Management Standards
There are three national fatigue management Standards in Australia. These Standards have been developed in consultation with employers, employees, unions, government agencies and the wider business community.
Standard Hours – Fatigue Management (SFM)
The most common option used by business in the Transport and Distribution Industry under Fatigue Management is the standard hour’s model. This option sets and defines limits for work and rest for a heavy vehicle driver.
All vehicles with a gross vehicle mass of 4.5 tonnes must comply with fatigue management legislation. Drivers must have a work diary to record the work they perform and the period of rest during a work day. The maximum working day for a heavy vehicle driver under SFM is 12 hours.
Basic Fatigue Management (BFM)
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This model offers more flexibility of working hours and retains the ability to work 14-hour shifts. It gives operators a greater say in when they can work and rest providing the risks of working longer hours are properly managed. Operators under Basic Fatigue Management (BFM) will need to be accredited in the National Heavy Vehicle Accreditation Scheme (NHVAS) and comply with six (6) Standards covering scheduling, rostering, fitness for duty, fatigue knowledge and awareness, responsibilities, internal review, records and documentation. Working longer hours and night shift is widely recognised as high-risk work.
Under BFM a driver can work up to 14 hours in 24 hours but must have 7 hours continuous rest break in that period but is able to split the rest break.
Advanced Fatigue Management (AFM)
This system encourages operators to develop and customise an auditable safety management system with controls specific to fatigue risks of a particular business. Limits are set on a case by case basis and are dependent upon the individual circumstances and the counter measures proposed by the operator to manage the higher risk.
To access this system an operator must be NHVAS AFM accredited and comply with ten (10) Standards including scheduling and rostering, operating limits, readiness for duty, health, management practices, work place conditions, fatigue knowledge and awareness, responsibilities, records and documentation and an internal review process. Under this scheme the operator proposes certain working limits that have to be accepted and able to be audited.
The national maximum limit of 16 hours cannot be exceeded in a 24-hour period. This fatigue management system is used by some livestock carriers where it is not practical to stop and rest after 14 hours of driving under BFM as the load (livestock) must be watered and feed.
Workplace Documentation
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As part of monitoring for the chain of responsibility, there is a number of processes that should be followed. The processes will be contained in the workplaces policy, procedures or work instructions.
A compliance manager or supervisor would be responsible for conducting the audit on a published roster or schedule in medium sized and large companies. Audits would also occur when there is an accident or where a person has identified a non-compliance. In small businesses, the owner of the entity or a supervisor and manager would perform the task of auditing and process checking.
Fatigue
Every heavy vehicle driver should have a work schedule and a roster for the week or more. The roster should ensure that the driver has the required hours of restorative sleep in every 24-hour period. The driver knows when he or she is not rostered for work. If the driver works under fatigue management for basic or advanced levels, they are only allowed to drive a set number of hours in a 24-hour period.
The truck scheduler must work out the trips a driver will take, when to have a rest break. The scheduler must ensure that the heavy truck driver is fit for work and does not have medical conditions or under the influence of drugs or alcohol.
Heavy vehicle drivers are required to complete a daily work diary that records start time, rest breaks, locations where the breaks happened and the kilometres travelled. These documents must be checked by the scheduler or manager to ensure that the driver is working to the planned schedule. If there is variation from actual to planned work, then an investigation must happen. The driver may be counselled, retrained, given a warning or dismissed.
Chain of Responsibilities Penalties
Road Transport legislation allows the relevant authority in each State or Territory to employ a systemic and strategic approach to enforcement of Road Transport Laws. Through targeted investigations, the States have used their regulatory powers to ensure the practices of responsible parties in the chain lead to improved compliance, asset protection and safer roads for the people.
Total number of charges laid by the RMA New South Wales as at June 2010 totalled 2,086 charges.
A court imposed order that requires a person found guilty of an applicable road law offence to pay a fine which cannot exceed three times the gross commercial benefit that a person did or could have obtained by committing an offence against road transport law.
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What might be involved in a COR investigation?
Chain of responsibility investigations will be a strategic tool used only when appropriate. They will supplement the transport authority current enforcement practices, not replace them. For example, the transport authority may target a particular industry sector if evidence suggests that their compliance to mass and dimension or load restraint requirements is poor.
A specialist audit and investigations unit will lead COR investigations. Detailed procedures on how the process will be carried out and investigation has been developed, however a COR investigation may involve any of the following elements:
➢ Inspecting and searching appropriate business premises or vehicles. ➢ Requesting compliance related information, documentation records, and names and contact
details of other responsible people in the logistics chain. ➢ Requiring reasonable assistance of relevant parties including for example the interpretation
of data and other information.
Seizing of relevant electronic equipment. It is not the intention of the Compliance and Enforcement legislation to make each offence an automatic COR investigation. These investigations will be pursued when it is considered appropriate. Penalties can be imposed on the employee for a breach of legislation by relevant authorities or law Courts.
Penalties and Infringements
➢ Heavy Vehicle National Law – 2015 Court Imposed and Infringement Penalties (PDF, 988 KB) provides a summary of the penalties and infringements outlined in the Heavy Vehicle National Law (HVNL).
➢ Due to amendments to the HVNL, from 6 July 2016 the following penalties and infringements apply: Heavy Vehicle National Law – 2016 Court Imposed and Infringement Penalties (PDF, 997 KB)
Types of Penalties Established Under the HVNL
The HVNL contains three different types of penalties: ➢ infringe able offences
➢ court imposed penalties
➢ demerit points.
Infringe able Offences
An infringe able offence is one which results in the issue of an infringement notice. The infringement notice sets out the details of an alleged offence, usually a strict liability offence. It gives the person issued the notice the option of either paying the penalty set out in the notice or electing to have the matter dealt with by a court.
The payment level for infringe able offences in the HVNL is set at 10% of the maximum court imposable penalty. This is consistent with the Australian Law Reform Commission recommendation that infringements should be set at 20% or less of the maximum court imposable fine.
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Court Imposed Penalties
Some offences, generally the more serious ones, are not infringe able and must be dealt with by a court. The HVNL sets out the maximum penalty level that the court may apply.
Demerit Points
Demerit points attach to a driver’s licence. As a general rule, demerit points are managed through each state and territories’ road traffic law. There are a total of 330 offences in the HVNL – 144 are infringe able and 186 are not. Eight of the 330 offences impose demerit points.
Indexation of Penalties
A major component of maximum penalties is the deterrence factor they offer in the compliance and enforcement framework. In order to remain relevant, it is necessary that penalties rise in line with other costs of business, and to this end the HVNL contains an in-built indexing mechanism. This mechanism uses Australian Bureau of Statistics figures to provide an indexed amount each year, building on the original maximum penalties. Indexation occurs on 1 July of any given year.
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