Submitting a safety case

Find information below on how to submit your safety case to us, and what processes will be followed once we receive your submission.

Our current guidance on submissions is found in section 1.7 of the Safety Case Good Practice Guidelines

Safety case progress update

[image] Pie chart showing safety case progress as of 1 June 2018.

What operators may expect following safety case submission

Safety case arrives at WorkSafe

We check that the submitted safety case and related documentation is correct, that we have two copies and a searchable electronic copy. 

We will send you a letter confirming that your safety case has arrived.

We check that the safety case is complete. This is known as a “concordance check”

The assigned inspector checks the safety case to see that it is complete and that there is no missing information that is required by the Regulations.  We use the concordance checklist and Schedule 7 of the MHF Regulations(external link) for this.

If your safety case is found to be incomplete we will send you a missing information request letter explaining what is missing.

It is intended that you will only receive one request of this nature per safety case. There is no regulatory timeframe around this process, but we will request that the missing information is provided within a reasonable timeframe.

Safety case is complete and its assessment is scheduled

The safety case is formally received as complete and ready for assessment once we have checked that there is no missing information. 

Note that the assessment cannot begin until we have received the fee, in accordance with Regulation 48(external link).

You will be sent a letter to confirm that the safety case is formally received and an indication of the planned timing of the assessment

For existing facilities, the letter will advise you if the assessment of your safety case is scheduled to start in the near future. This will be in broad terms e.g. by quarter. Alternatively, the letter will state that your safety case is not scheduled to be assessed yet, and that we will be in touch again when it has been scheduled.

For proposed facilities, the letter will advise you that assessment will begin immediately.

If you have not paid the fee for the safety case assessment you will need to do this before the assessment begins.

Before safety case assessment for an existing facility is due to start 

(Note that this applies only to existing facilities covered by the transitional provisions in schedule 1(external link). Assessment of safety cases for proposed facilities starts immediately so this is not relevant)

We want to make sure that we have an up to date safety case before the assessment starts.

If the assessment starts a significant period of time after it was initially submitted you may have made some changes to your safety case in the time between submission and when the assessment process starts. For example, feedback from the assessment of the safety case for one facility, may provide information about how the safety case for a second facility you operate can be improved; there may have been a substantial change to the facility; or you may have identified an issue that may prevent acceptance of the safety case that needs addressing.

In these circumstances you may provide an update to your safety case which you have already submitted. This will not be classed as a revised safety case and no extra fee will be payable.

It is your responsibility to submit an updated safety case before the beginning of the assessment.

One month before the beginning of assessment, we will send you a letter confirming the start date for assessment of your safety case.

If you decide to resubmit an updated safety case you must be clear which section is being revised, and what actually forms the safety case that is being submitted for assessment. We will return any documentation that is out of date to you.

Note: we will need to start assessment on the planned date so will not be able to wait for changes to the safety case you cannot get to us by the planned start date. We must receive any updated information at least 1 week before the assessment is due to start.

Safety case is assessed

Once assessment starts we will assess it in line with the timeframes in the Regulations.

It is likely that we will need more information on certain matters to make a decision.

In some cases the safety case is initially rejected.  

 You may receive a letter requesting further information made under Regulation 47(external link), setting out the information we need to make a decision.

See Dealing with requests for further information

If the safety case is initially rejected you will be informed of this and the reasons for it. You will be required to resubmit an amended safety case.

See Dealing with an initial rejection

Amended safety case arrives at WorkSafe (when safety case was initially rejected)

We check that the submitted safety case and related documentation is correct, that we have two copies and a searchable electronic copy.

We then continue through the same process of concordance checking, assessment, requests for further information and final decision making described here. 

We will send you a letter confirming that your amended safety case has arrived.

If your amended safety case is found to be incomplete we will send you a missing information request letter explaining what is missing.

You will be sent a letter to confirm that the amended safety case is formally received. Assessment will begin immediately.

You may receive requests for further information.

Final decision made

We will make a final decision to accept or reject the safety case using the criteria in Regulation 49(external link).

Conditions may be placed on the safety case using Regulation 50(external link).

If the decision is to finally reject the safety case you can no longer operate the upper tier MHF - see Regulation 51(external link).

You will be sent a letter with the decision and the reasons for this.

If we place conditions on the safety case we will discuss these with you before you receive this letter.

If your safety case is accepted, this letter will contain the due date for the first 5 yearly revision of the safety case.

If your safety case is finally rejected we will discuss this decision with you before you receive this letter. You can apply for a review of the decision under Regulation 60(external link).

Dealing with requests for further information

A request for further information will lay out what information is being sought and why; a time period to respond will be specified, this period cannot be less than 30 days. If the period proposed presents a problem to the operator they will need to approach us to see if an alternative timeframe can be negotiated.

RFI are only issued in relation to the matters specified in Schedule 7 of the MHF regulations(external link) (Information required in safety case). Operators should be aware that there are other criteria for acceptance of a safety case listed in regulation 49. Assessors may choose to seek additional information from operators on any of those matters that they think are deficient to support a safety case decision. These requests will not be formal RFI under Regulation 47(external link), but we intend to take any responses to these requests into account when making decisions about safety case acceptance.

Dealing with an initial rejection

If a safety case is initially rejected, the operator will be informed of what the deficiencies were, and will be allowed a reasonable period of time to amend their safety case and resubmit.

Safety cases can be submitted to two locations:

Auckland

PO Box

WorkSafe New Zealand
High Hazard Unit
Major Hazard Facilities
PO Box 105-146
Auckland City

Street address

WorkSafe New Zealand
High Hazard Unit
Major Hazard Facilities
Level 9
280 Queen Street
Auckland 1143

Email

hhu.mhf@worksafe.govt.nz

Attention

Beth Sacayan

 

New Plymouth

PO Box

WorkSafe New Zealand
High Hazard Unit
Major Hazard Facilities
PO Box 342
New Plymouth 4340

Street address

WorkSafe New Zealand
High Hazard Unit
Major Hazard Facilities
Level 2
214 Devon Street East
New Plymouth 4340

Email

hhu.mhf@worksafe.govt.nz

Attention

Charmaine Lykles

Operators should provide two hard copies of their safety cases as well as an electronic version. Operators may wish to provide the electronic version by sending in a USB stick, or through online files sharing systems such as Dropbox. We can download unencrypted safety cases on request.

Many email systems have file size limits, we don’t currently have any file transfer capability for large documents.

Operators should ensure that they submit a completed concordance document with their safety case. This can be found on the MHF forms and tools page