SWMS Legal Requirements: Sections 299 to 303 Explained
Five sections of the model WHS Regulations set the legal requirements for a SWMS: s.299 (what it must contain), s.300 (work must comply or stop), s.301 (copy to the principal contractor), s.302 (review) and s.303 (record keeping). This guide explains each duty, the on-the-spot fines, how long you must keep a SWMS, and how to check yours is compliant.
Last updated 2026-07-02
The five regulations that set SWMS legal requirements
SWMS duties sit in Part 6.4 of the model WHS Regulations. The same provisions apply in NSW, Queensland, South Australia, Tasmania and the ACT, where they are cited as s.299 and s.291. Western Australia mirrors the same numbering under its WHS (General) Regulations 2022, and the Northern Territory under its WHS (National Uniform Legislation) Regulations 2011, where both are styled as Reg 299 and Reg 291. Victoria runs its own scheme under the OHS Regulations 2017 (Vic): Reg 327 requires the SWMS, Reg 322 defines high risk construction work (19 classes rather than 18), the duty sits on the employer, and WorkSafe Victoria is the regulator.
Everything starts with s.291, which lists the 18 high risk construction work (HRCW) activities that trigger the SWMS duty, from work with a risk of a person falling more than 2 metres through to demolition of load-bearing elements, work in or near confined spaces and work near energised electrical installations. Since 1 July 2026 South Australia's fall threshold matches the national 2 metres. If none of the s.291 activities apply, a SWMS is not legally required. If any apply, the five sections below all bind you.
| Section | What it requires |
|---|---|
| s.291 | Defines the 18 HRCW activities that trigger a SWMS |
| s.299 | SWMS must be prepared before HRCW starts and must contain specific content |
| s.300 | Work must be carried out in accordance with the SWMS; stop work if it is not |
| s.301 | Principal contractor must be given a copy before HRCW starts |
| s.302 | SWMS must be reviewed and revised when circumstances change |
| s.303 | SWMS must be kept until the work is complete, or 2 years after a notifiable incident |
s.299 — what your SWMS must contain
Section 299 sets four content requirements. Miss any one of them and the document does not meet the legal definition of a SWMS, no matter how thick it is.
Section 299(3) adds context requirements. The SWMS must be prepared having regard to the circumstances at the workplace, such as adjacent activities, environmental conditions and underground or overhead hazards. If the work is part of a construction project, it must also take account of the WHS management plan. And it must be readily accessible and understandable to the people who use it, which is why a 40-page generic download that nobody reads is a compliance risk, not an asset.
There is one special rule for fall work under s.291(a). If your SWMS states that the only control measures for a fall risk over 2 metres are administrative controls or PPE, the SWMS must describe all the control measures that were considered, effectively justifying why higher-order controls such as elimination, isolation or engineering controls were not used. A PPE-only fall SWMS with no such justification is non-compliant on its face.
- Identify the work that is high risk construction work (which s.291 activities apply)
- Specify the hazards relating to that work and the risks to health and safety
- Describe the measures to be implemented to control the risks
- Describe how the control measures are to be implemented, monitored and reviewed
s.300 — the work must actually follow the SWMS
Section 300 is where paperwork meets the tools. The PCBU must ensure the high risk construction work is carried out in accordance with the SWMS. If the work is not being done as the SWMS describes, it must stop immediately or as soon as it is safe to do so, and it can only resume in accordance with the statement.
This is the section inspectors test on site. A perfectly written SWMS sitting in the ute while the crew does something different is a breach, and it carries a penalty of 73 penalty units for an individual. The practical fix is simple: brief the crew on the SWMS before work starts, get sign-on, and treat any departure from the documented method as a stop-work trigger, not a judgement call.
s.301 — give the principal contractor a copy before you start
On a construction project, the principal contractor must be given a copy of the SWMS before the high risk construction work starts, not on day two and not after the first site walk. For subcontractors this is usually the gate you cannot get through without a SWMS: most builders will not induct you or let you start until the document is submitted and reviewed.
Send the current version, make sure it names the actual site and scope, and keep evidence that you provided it. If the principal contractor asks for changes and you revise the document, resend the revised version so the copy they hold matches the one your crew is working to.
s.302 — SWMS review requirements
Section 302 requires the SWMS to be reviewed, and revised if necessary, whenever the relevant control measures are revised. In plain terms, the SWMS is a living document: any time the work, the site conditions or the way you control the risks changes, the SWMS has to be checked and updated to match.
Common triggers include a change in the scope or method of work, a new hazard appearing on site, a control measure that is not working as intended, an incident or near miss, issues raised through worker consultation, and any stop-work under s.300. Failing to review attracts an on-the-spot fine of $432 for an individual or $2,160 for a body corporate. Record each review in a review log with the date, what changed and who reviewed it, and re-brief workers on any revision before they continue.
s.303 — how long to keep a SWMS and record keeping
Section 303 answers the how long do I keep a SWMS question directly. The SWMS must be kept until the high risk construction work it covers is completed. If a notifiable incident occurs in connection with the work, the SWMS must be kept for at least 2 years after the incident. A notifiable incident means a death, serious injury or illness, or a dangerous incident that must be reported to the regulator.
While the work is running, the SWMS must also be readily accessible, so a copy needs to be available at the workplace for the workers using it and for inspection. Failure to keep the SWMS attracts the same on-the-spot fines as a review failure: $432 for an individual and $2,160 for a body corporate. Keep signed, dated, version-numbered copies, and if anything reportable happens, archive the exact version in force at the time along with sign-on sheets and the review log.
Penalties and a quick compliance check
The penalty framework for the SWMS-specific duties is set out below. Serious breaches can also be prosecuted under the general duties of the WHS Act, where penalties are far higher.
To check whether your SWMS is compliant, test it against the law rather than against how it looks. It should identify which s.291 activities apply, specify the hazards and risks, describe the control measures, and describe how those controls are implemented, monitored and reviewed. It should reflect the actual site, be understandable to the crew, show evidence of consultation and sign-on, include a review log, and for fall work relying on administrative controls or PPE alone, document all the controls that were considered. If you are starting from scratch, GSR sells 753 editable Word safety documents across 22 trades and 7 document types, with SWMS from $79.95; every document cites the relevant WHS provisions and AS/NZS standards so the legal references above are already built in.
| Offence | Individual | Body corporate |
|---|---|---|
| s.300 — Non-compliance with SWMS | 73 penalty units | N/A |
| s.302 — Failure to review | $432 on-the-spot | $2,160 on-the-spot |
| s.303 — Failure to keep SWMS | $432 on-the-spot | $2,160 on-the-spot |
Frequently asked questions
How long do you need to keep a SWMS?
Until the high risk construction work it covers is completed, under WHS Regulations s.303. If a notifiable incident occurs in connection with the work, you must keep the SWMS for at least 2 years after the incident. While the work is under way, a copy must also be readily accessible at the workplace. Failure to keep a SWMS attracts an on-the-spot fine of $432 for an individual or $2,160 for a body corporate.
When must a SWMS be reviewed?
A SWMS must be reviewed, and revised if necessary, whenever the relevant control measures change, under WHS Regulations s.302. Practical triggers include a change in the work or how it is done, a new hazard on site, a control that is not working, an incident or near miss, and issues raised through worker consultation. Record each review in the review log and re-brief workers on any changes before work continues.
How do I know if my SWMS is compliant?
Check it against s.299: it must identify which of the 18 high risk construction work activities apply, specify the hazards and risks, describe the control measures, and describe how they are implemented, monitored and reviewed. It must also reflect the actual site conditions, be understandable to the workers using it, and, for fall work controlled only by administrative measures or PPE, describe all the controls that were considered.
Who must be given a copy of the SWMS?
On a construction project, the principal contractor must be given a copy before the high risk construction work starts, under WHS Regulations s.301. In practice most builders will not let a subcontractor begin until the SWMS is submitted. The workers carrying out the work also need ready access to it on site, so keep a current copy at the workplace, not just in the office.
Does a generic template SWMS meet the legal requirements?
Only once it is made site-specific. Section 299(3) requires the SWMS to be prepared having regard to the circumstances at the workplace, such as adjacent activities and overhead or underground hazards, and to be understandable to the people using it. A template is a legitimate starting point, but you must edit it to match the actual site, scope and crew, and consult the workers involved before work starts.
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Related guides
This guide is general information about work health and safety legislation, not legal advice. Requirements vary by state and by the specifics of your work — check with your regulator or a qualified professional before relying on it. Documents are templates and must be reviewed and adapted to your specific site conditions.