UTS Fieldwork Guidelines

1. Introduction

The University recognises that in a number of academic disciplines, fieldwork is an essential part of the core teaching, learning and research functions. The University supports the incorporation of fieldwork activities in its teaching, learning and research programs, and requires that the conduct of fieldwork is undertaken in a safe and responsible manner.

These Guidelines have been prepared to ensure that all fieldwork activities are properly planned, managed and coordinated in such a way as to meet the best interests of the University while protecting the safety of staff members, students and the wider community. The Guidelines complement the UTS Environment, Health and Safety Policy and should be read in conjunction with the Policy.

The purpose of these Guidelines is:

• to provide a framework which encourages high quality teaching and research through the pursuit of field activities whilst ensuring the health, safety and welfare of staff members and students
• to provide a clear understanding of the accountabilities, rights and responsibilities of staff members and students and to protect the interests of the University and its members, and
• to document the procedures which should be followed in order to ensure the health, safety and welfare of staff members and students and the protection of the environment.

These Guidelines apply to all staff members and students of UTS and, where the context permits, to all others engaged by UTS (whether as consultants, contractors or otherwise) to provide services to UTS.

2. Relevant legislation

Current legislation, Australian Standards and policies, and Rules of the University set out responsibilities of staff members and students participating in fieldwork activities. These include, but are not limited to:

• the Work Health and Safety Act 2011 (NSW) and the Work Health and Safety Regulation 2011 (NSW): these identify the responsibilities of the employer, managers and supervisors of the employer for the health, safety and welfare of staff members and students. The University is required to identify foreseeable hazards arising from its activities with the potential to harm staff members and others, including students. The University must also assess and either eliminate or control these risks (Clauses 2.9–2.11, Occupational Health and Safety Regulation 2001). This requirement extends to fieldwork activities
• civil and criminal laws
• Australian/New Zealand Standard 2299 Occupational Diving
• UTS Environment, Health and Safety Policy, which commits the University to conformity with legislation about work health and safety
• UTS Rules which are concerned with the student conduct, penalties for student misconduct and appeal procedures.

3. Responsibilities in fieldwork

The safety of the fieldwork party is the responsibility of all persons participating in fieldwork. A person who has been appointed Fieldwork Excursion Leader (for fieldwork involving undergraduate students) has a particular responsibility for ensuring that proper procedures are followed in the planning and execution of fieldwork, and for dealing with any incidents that affect the health, safety and welfare of all members of the fieldwork party in the field. For fieldwork activities without a staff member (for example, involving postgraduate or honours students), whilst a Fieldwork Excursion Leader may not have been formally appointed, it is incumbent upon all participants in the fieldwork excursion to ensure that proper procedures are followed to ensure the health, safety and welfare of all members in the fieldwork party (see also Section 3.3 Academic supervisors).

3.1 Head of school/departmental head/unit leader or director

The head of school/departmental head/unit leader or director is ultimately responsible for the implementation and observance of these Guidelines as they apply to the School's fieldwork activities and must give the final approval for all fieldwork activities on the appropriate Fieldwork Excursion form [104kb PDF] (Appendix 1).

The head of school/departmental head/unit leader or director shall ensure that:

• a Fieldwork Excursion Leader has been appointed for each fieldwork excursion or activity which is a required component of an undergraduate subject
• all staff members involved in fieldwork are suitably qualified (for example, possess any necessary boat licence, first aid qualifications, etc) and that any specialist training required (for example, diving certificates, off-road driving skills) has been undertaken before commencement of any fieldwork activities
• a Fieldwork Excursion form [104kb PDF] (Appendix 1) is completed by the Fieldwork Excursion Leader for all fieldwork activities
• a Fieldwork Risk Assessment form [60kb PDF] (Appendix 2) is completed by the Fieldwork Excursion Leader for all fieldwork activities
• the Fieldwork Excursion Leader has obtained a signed Medical Information form [100kb PDF] (Appendix 3) from each participant in fieldwork involving overnight absences. Copies of the signed forms shall be retained in a fieldwork register in the administration area of the relevant school or department or unit
• for fieldwork activities not involving staff members (for example, postgraduate or honours students), Appendices 1 to 4 inclusive are completed and authorised by the student's supervisor.

3.2 Fieldwork Excursion Leader

The Fieldwork Excursion Leader is responsible for the health, safety and welfare of all participating persons for the duration of the fieldwork activity and for ensuring that participants have received any necessary briefing, training or induction prior to the fieldwork. The Fieldwork Excursion Leader is responsible for ensuring that the following forms are completed for all fieldwork activities:

• a Fieldwork Excursion form [104kb PDF] (Appendix 1) (approved by the head of school/departmental head/unit leader or director)
• a Fieldwork Risk Assessment form [60kb PDF] (Appendix 2)
• a Medical Information form [100kb PDF] (Appendix 3) (completed by each member participating in the fieldwork activity/excursion; these must be filed securely within the school/department but copies must be taken to the fieldwork location for use in case of an emergency)
• a Deed of Release signed by a parent or caregiver for any student aged under 18 who is participating in the fieldwork activity/excursion
• a Student Code of Conduct for Fieldwork Excursions form [140kb PDF] (Appendix 4) (completed by each student member participating in the fieldwork activity/excursion).

The Fieldwork Excursion Leader is also responsible for:

• notifying the appropriate emergency services in the event of an emergency situation during fieldwork activities/excursions. The Fieldwork Excursion Leader must notify the school, department or unit of the situation at the first practicable opportunity
• the care and correct use of all University assets and equipment taken on fieldwork excursions.

To assist Fieldwork Excursion Leaders, a Fieldwork procedures checklist [80kb PDF] is provided in Appendix 5 that summarises the various steps to be completed before commencing fieldwork.

3.3 Academic supervisors

Academic supervisors are responsible for ensuring that postgraduate and honours students receive appropriate training and that they are not encouraged to undertake fieldwork in situations where they do not feel sufficiently confident of their safety. Supervisors are responsible for foreseeing and assessing potential risks and for ensuring that their students are adequately equipped and possess the necessary technical and practical skills.

3.4 Persons undertaking solo fieldwork activities

Persons undertaking solo fieldwork activities are also required to ensure that the trip has been properly planned and that the health and safety requirements have been properly addressed. Persons undertaking solo fieldwork excursions must:

• complete all necessary documentation (ie Appendices 1 to 4)
• ensure that the fieldwork excursion is approved by their supervisor and head of school/departmental head/unit leader or director beforehand, and
• ensure that all requirements as listed in Fieldwork procedures checklist [80kb PDF] (Appendix 5) have been met.

3.5 All participants

All participants in fieldwork activities are under the obligation to work and behave appropriately in the field, and to take care to protect their own health, safety and welfare and that of fellow fieldwork participants. All participants are subject to the jurisdiction of the Fieldwork Excursion Leader and delegated officers for the entire duration of the fieldwork activity or excursion and must follow all lawful instructions and advice of that leader. In particular they must strictly follow any instructions or directions that are necessary to ensure the safety, health and welfare of all or any members of the fieldwork party.

Students must read the Student Code of Conduct for Fieldwork Excursions form [140kb PDF] (Appendix 4) and must sign the Acknowledgement and Declaration before participating in any fieldwork activity.

3.6 Fines and penalties

All participants are personally responsible for any fines or penalties incurred by them during fieldwork excursions for prohibited activities including, but not limited to: parking fines, driving fines, boating infringements, and fishing without a licence.

4. Insurance

4.1 UTS staff and students

Staff members and students are insured while they are participating in UTS approved activities, for example, fieldwork excursions. Staff members and students are not covered by UTS insurance when they depart from UTS approved activities, for example if they break the law. While participating in UTS approved activities which are part of field trips, (ie university business):

• staff members and students travelling within a 50km radius of the University and their place of residence are covered by the UTS personal accident and public liability policies
• staff members and students are covered by UTS travel insurance for all travel in excess of a 50km radius of UTS and the insured person's place of residence, and
• staff members are also covered by the University's workers' compensation policy for injuries and illnesses arising out of the course of their employment.

4.2 Non-UTS staff and students

Volunteers who participate in UTS fieldwork excursions must seek the approval of the Fieldwork Excursion Leader in writing before the fieldwork excursion commences. The written approval document should be retained at the faculty/school/unit for insurance purposes. Approved volunteers are covered by the UTS personal accident policy.

5. Accident/incident reporting

Incidents or accidents must be reported to the head of school/head of department/unit leader or director as soon as reasonably possible and not later than upon return to campus. Notification of incidents and accidents using the Hazard and Incident Reporting Online (HIRO) system must be completed by the Fieldwork Excursion Leader at this time.

6. Size and composition of a fieldwork party

The minimum size of a fieldwork party should be determined by risk assessment and under normal circumstances should be at least two. However, while it is preferable that staff members or students do not work alone in remote locations, this may be permitted by the head of school/departmental head/unit leader or director if he or she judges that it is reasonable in all the circumstances. For staff members, research degree students, honours students and postgraduate students, the necessary documentation (ie Appendices 1 to 4) must be completed. The fieldwork must be discussed with and authorised by their supervisor and approved by the head of school/departmental head/unit leader or director.

Fieldwork involving undergraduate students must have an acceptable student to staff member ratio depending on: the prior training and experience of the students; the nature of and risks involved in the fieldwork; and logistics (for example, transport). As a guide, a ratio of 15 students per staff member is suggested as a maximum.

7. Fieldwork activities

7.1 Diving

Diving is considered to be a high-risk fieldwork activity and is regulated by Australian/New Zealand Standard 2299 Occupational Diving. All diving work must be carried out under the supervision of experienced and qualified divers. All staff members, students and volunteers involved in diving as part of fieldwork must have specific approval to dive and must comply with the UTS Scientific Diving Procedures [249kb PDF] (see Appendix 6), including completing the specified risk assessments. No diving shall occur without appropriate supervision as detailed in the procedures, or in the absence of a buddy diver.

7.2 Boating

Fieldwork Excursion Leaders must check with the NSW Maritime (telephone 13 12 56) to ensure that the requirements regarding the registration of vessels and the licensing of boat drivers are met and, where applicable, that the vessels are in survey suitable for charter. For excursions/activities outside New South Wales, it is the responsibility of Fieldwork Excursion Leaders to ensure that boating field trips comply with the requirements of the maritime legislation in that State, in particular in relation to licences and boat registration. Any regulations must be followed, including load and speed limits.

Police, National Parks and Wildlife Service rangers and certain other government department officers are authorised, where appropriate, to give on-the-spot fines for breaches of boating regulations.

Staff members, or qualified persons who are engaged for the purpose, are the only authorised drivers of watercraft used for fieldwork purposes. Students may only drive watercraft in an emergency, such as for urgent medical assistance when it is not reasonable or possible for a staff member or other qualified person to undertake this task.

7.3 Driving

Fieldwork may involve driving vehicles on sealed or dirt roads and bush tracks. Vehicles may be used for a variety of activities and may carry varying combinations of passengers, equipment and foodstuffs.

University-owned vehicles may only be driven by staff members who are licensed, qualified, trained, authorised and insured to do so. All drivers of vehicles must have a current vehicle licence that covers the vehicle being used for the fieldwork.

Students may only drive University-owned vehicles in an emergency, such as for urgent medical assistance, when it is not possible or reasonable for a staff member to undertake this task.

Students using their own private vehicles as transport to a fieldwork location should park the vehicle according to instructions given by staff members. The vehicle normally will not be used during the excursion without the permission of the Fieldwork Excursion Leaders, who have the right to restrict its use, or to give specific directions as to route, speed, and number of passengers.

7.3.1 Recommended limits on driving

It is recommended that:

• drivers travelling alone should not exceed more than two hours of continuous driving without a break away from the vehicle of at least 10 minutes
• when driving is shared, drivers change over every two hours
• cumulative driving time for any one driver should not exceed 10 hours in a 24-hour period
• log books are used for any journey of more than four hours' continuous duration.

7.3.2 Restrictions on use of University vehicles for fieldwork activities

Alcohol and drugs must not be consumed within eight hours of the commencement of the fieldwork excursion by any person undertaking driving duties or within eight hours of driving during an excursion. This includes medically prescribed drugs which may impair the operation of equipment, motor vehicles or boats.

A person who is physically or mentally impaired shall not undertake driving duties. The Fieldwork Excursion Leader shall ensure that trips are planned to allow for sufficient rest and recuperation. A person with a disability which requires the provision of a modified vehicle shall not operate a vehicle which is not appropriately modified.

7.3.3 Vehicle Licences

Vehicle users are required to hold and present a valid open and unrestricted New South Wales RTA Class C licence or Class LR licence if a light bus is to be driven, or a New South Wales RTA-approved equivalent.

8. Permits

All permits and/or licences that are necessary for particular activities (for example, entry to National Parks, aboriginal sites, fishing) must be obtained in advance of the fieldwork activity by the Fieldwork Excursion Leader.

9. First aid

First aid equipment and facilities must be readily available for use by personnel in the field. One first aid kit per 10 people is recommended as a guideline for fieldwork. For remote fieldwork an extended first aid kit may be necessary.

A qualified first aid officer with current certification is mandatory on fieldwork excursions to any location in which it is reasonable to expect that it would take more than half an hour to get medical aid to an injured or ill person.

The Fieldwork Excursion Leader (or first aid officer where there is one) must ensure that First Aid Kits are restocked as soon as practicable and/or at the completion of each fieldwork excursion.

10. Communication

For all fieldwork activities, agreed communication protocols must be set in place before departure.

• All persons undertaking fieldwork activities must be instructed or trained in the use of the communication equipment and signalling devices to be used on the excursion.
• Regular call-in schedules should be agreed on prior to departure.
• A mobile telephone or satellite phone should be taken and used in areas where this type of communication is suitable.
• Vehicles used for remote fieldwork should be fitted with global positioning systems and a two-way radio, or the fieldwork party must be equipped with another suitable two-way communication system.

11. Equipment

Equipment used for fieldwork must be carefully selected in relation to suitability for purpose. It must comply with all necessary legislative requirements and standards, and should be thoroughly checked and tested prior to use. Fieldwork participants using the equipment should have appropriate levels of training and competence in its use, and where necessary appropriate qualifications or certifications.

12. Breaches of these Guidelines

12.1 Staff members

Staff members are governed by the UTS Code of Conduct — Staff. While on an excursion, all members of staff are under special obligation to consider and protect the health, safety and welfare of all members of the party and to protect the reputation of the University. Any breach of these Guidelines by staff members will be treated as a breach of that Code and will dealt with in accordance with the Code.

12.2 Students

12.2.1 Students are governed by the University Rules. While on an excursion, students must behave at all times during the excursion in a lawful and reasonable manner, taking proper care to ensure the health, safety and welfare of all members of the party and to protect the reputation of the University. In particular, students must comply with all lawful directives and instructions of the Fieldwork Excursion Leader and other members of UTS staff during the whole period of the excursion. Any breach of such instructions or of these Guidelines by students is deemed non-academic misconduct and will be dealt with in accordance with University Rules.

12.2.2 In certain circumstances, misconduct by a student may result in the student being required to return home prior to completion of the fieldwork activity. Where a student is directed by the Fieldwork Excursion Leader or a staff member authorised by that Leader to return home prior to completion of the fieldwork activity due to misconduct, the student must follow that direction promptly and will be responsible for all costs incurred in returning home.

13. Definitions

For the purposes of these Guidelines, the following definitions apply:

Fieldwork means any work, study or research authorised by the University and carried out by staff members and students at sites (generally outdoors and including sites outside Australia) other than the regular campuses of the University and involving overnight stays or longer. It does not include activities such as distance education, student exchange programs, offshore teaching, conferences, visits to other universities or workplaces or work placements or practical classes involving visits to parks and sites during scheduled tutorials.

Staff member means an employee or an honorary appointee of the University, or staff of another university in the case of joint excursions.

Student means any person enrolled in any degree, diploma, course, subject or unit offered by the University whether on a full-time or part-time basis, or at an undergraduate and postgraduate level, or an award or non-award student.

University means the University of Technology, Sydney.

14. Related Policies/Guidelines

Code of Conduct – Staff

Environment, Health and Safety Policy

Rules of the University relating to Student Conduct

15. Related information

Work Health and Safety Act 2011 (NSW)

Work Health and Safety Regulation 2011 (NSW)

Australian/New Zealand Standard 2299 Occupational Diving

Maritime Services Act 1935 (NSW)

Civil and criminal legislation