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Upstream Duties

Designing risk out before it ever reaches a workplace

In short

The HSWA does not only place duties on the business where work happens. It also places “upstream” duties on the PCBUs who design, manufacture, import, supply, install, construct or commission plant, substances and structures. They must ensure, so far as is reasonably practicable, that what they put into the supply chain is without risk to the people who later use, handle, build, store, maintain or repair it — because it is far better to design hazards out than to retrofit fixes later.

Upstreamduties reach back to designers, makers, importers, suppliers and installers.Source: WorkSafe NZ
Design it outit is more effective to design for safety than to retrofit later.Source: WorkSafe NZ
SFAIRPthe duty is to eliminate or minimise risk so far as is reasonably practicable.Source: HSWA 2015
Test & informupstream PCBUs must test as needed and provide safe-use information.Source: WorkSafe NZ

What the upstream duties are

Every PCBU has to think about the health and safety risks of plant, substances or structures at work. The HSWA places specific further duties on those earlier in the supply chain — the upstream duty holders.

WhoTheir duty
DesignersDesign plant, substances or structures so they are without risk to those who use, build or maintain them.
ManufacturersMake them so they are safe when used for their intended purpose, and test where needed.
Importers & suppliersEnsure what they bring in or supply is safe, and pass on safe-use information.
Installers, constructors, commissionersInstall, build or commission so the way it is done does not create a risk.

What they must do

The duty is to eliminate the risk once identified, or if that is not reasonably practicable, to minimise it — so far as is reasonably practicable. That includes carrying out any calculations, testing, analysis or examination needed, and providing adequate information about safe use, handling and maintenance to the people who will rely on it downstream.

Why “upstream” matters

The early stages of a product's life are where there is the most scope to remove hazards and build in controls. A hazard designed out at the drawing board protects everyone who touches the product afterwards, and is far cheaper and more effective than bolting on fixes once it is in use. WorkSafe may follow up design, manufacturing or installation faults with the PCBU that held the upstream duty, especially where there is a pattern of failures or unsafe equipment supplied.

Overlap with other duties

Upstream duties sit alongside the primary duty of care and do not replace it. An upstream PCBU can also be a PCBU with the primary duty, and where duties overlap they must consult, co-operate and co-ordinate. For the businesses receiving the plant or substance, the upstream duty is a reason to ask for design information, safety data and safe-use instructions — and to expect them. See plant & machinery safety and hazardous substances.

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Frequently asked questions

What are upstream duties under the HSWA?

They are duties on the PCBUs who design, manufacture, import, supply, install, construct or commission plant, substances or structures, to ensure these are without risk to the people who use them later, so far as is reasonably practicable.

Who do upstream duties apply to?

Designers, manufacturers, importers and suppliers of plant, substances or structures, and those who install, construct or commission plant or structures.

What does an upstream duty holder have to do?

Eliminate or minimise risk so far as is reasonably practicable, carry out any testing or analysis needed, and provide adequate information about safe use, handling and maintenance.

Why are upstream duties important?

Because it is far more effective and cheaper to design a hazard out early than to retrofit a fix once the product is in use. A hazard removed at design protects everyone who handles it afterwards.

Do upstream duties replace the primary duty of care?

No. They sit alongside it. An upstream PCBU can also hold the primary duty, and where duties overlap the parties must consult, co-operate and co-ordinate.

Sources
  1. Designers, manufacturers, importers and suppliers — WorkSafe New Zealand: worksafe.govt.nz
  2. Health and Safety at Work Act 2015, s36 (primary duty of care) — New Zealand Legislation: legislation.govt.nz