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SAT_Tool_Questions Based on NAT v3 1 of 35 SAT (Self Audit Tool) QUESTIONS by Category No. Crit No./ Category Audit Criteria Examples of Evidence Rating C/NC/O Corrective Action Required 1. 1.1.2/1 The health and safety policy is available to other interested parties, including regulatory authorities, suppliers, contractors, and those visiting the workplace. Is the UNSW WHS Policy obtainable by anyone interested and displayed in a prominent position in the workplace? Interested parties can obtain through the following An electronic copy of policy is on WHS Unit website Policy included in induction material Policy included in tender documentation (ie. communication to contractors) Policy is displayed in reception/visitor areas Ensure UNSW WHS Policy is obtainable as described in the examples of evidence. 2. 2.1.3/1 Relevant personnel in the organisation are advised of, and have ready access to, current relevant health and safety legislation, standards, codes of practice, agreements and guidelines. Do relevant people have ready access to current HS legislation and standards? Relevant people are able to access to legislation under “Legislation and Web Links” on the WHS Unit website Ensure relevant people have access to the HS legislation and standards. 3. 2.1.1/1 The organisation identifies and monitors the content of all health and safety legislation, standards, codes of practice, agreements and guidelines relevant to its operation. Is there a mechanism to communicate changes to legislation, standards and University procedures to relevant people? HS Committee Reps receive monthly Health and Safety newsletter HS Committee meeting minutes discuss changes Email notification of changes HS635 Consultation Committee - L3 Agenda Template Ensure mechanism is in place to communicate changes to legislation, standards and University procedures to relevant people.
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SAT (Self Audit Tool) QUESTIONS by Category

Feb 14, 2017

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  • SAT_Tool_Questions Based on NAT v3 1 of 35

    SAT (Self Audit Tool) QUESTIONS by Category

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    1. 1.1.2/1 The health and safety policy is available to other interested parties, including regulatory authorities, suppliers, contractors, and those visiting the workplace.

    Is the UNSW WHS Policy obtainable by anyone interested and displayed in a prominent position in the workplace?

    Interested parties can obtain through the following

    An electronic copy of policy is on WHS Unit website

    Policy included in induction material

    Policy included in tender documentation (ie. communication to contractors)

    Policy is displayed in reception/visitor areas

    Ensure UNSW WHS Policy is obtainable as described in the examples of evidence.

    2. 2.1.3/1

    Relevant personnel in the organisation are advised of, and have ready access to, current relevant health and safety legislation, standards, codes of practice, agreements and guidelines.

    Do relevant people have ready access to current HS legislation and standards?

    Relevant people are able to access to legislation under Legislation and Web Links on the WHS Unit website

    Ensure relevant people have access to the HS legislation and standards.

    3. 2.1.1/1

    The organisation identifies and monitors the content of all health and safety legislation, standards, codes of practice, agreements and guidelines relevant to its operation.

    Is there a mechanism to communicate changes to legislation, standards and University procedures to relevant people?

    HS Committee Reps receive monthly Health and Safety newsletter

    HS Committee meeting minutes discuss changes

    Email notification of changes HS635 Consultation Committee -

    L3 Agenda Template

    Ensure mechanism is in place to communicate changes to legislation, standards and University procedures to relevant people.

    http://www.safety.unsw.edu.au/sites/default/files/documents/UNSW_Policy_Statement_2013.pdfhttp://www.safety.unsw.edu.au/%3Cfront%3E/legislation

  • SAT_Tool_Questions Based on NAT v3 2 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    4. 2.1.5/1 Changes to health and safety legislation, standards, codes of practice, agreements and guidelines generate a review of existing procedures.

    Does notification of changes to legislation or standards prompt a review of relevant risk management forms/protocols/safe work procedures?

    Reviewed risk management forms/Safe Work Procedures (SWPs)

    reviewed/new local area protocols HS Committee meeting minutes Emails

    Ensure that following any changes in legislation or standards, that safe work procedures or risks assessments are revised to reflect changes.

    5. 2.2.1/1 Health and safety objectives and targets consistent with the organisations health and safety policy are documented, are appropriate to the organisations activities and consider:

    a. legal requirements; b. standards, codes and guidelines; c. health and safety hazards and risks d. past health and safety performance (as defined by the organisations system requirements) e. technological developments f. leadership and worker participation.

    Are you aware of any health and safety targets and objectives set by UNSW Level 1 HS committee

    UNSW KPTs for Managers L1 & L2 WHS Committee minutes HS635 Consultation Committee -

    L3 Agenda Template

    Ensure health and safety targets and objectives set by Level 1 HS Committee are communicated to workers.

    6. 2.2.2/1

    2.2.3/1

    Specific health and safety objectives and measurable targets have been assigned to all relevant functions and levels within the organisation.

    The organisation sets health and safety performance indicators that are consistent with its objectives and targets.

    Is HS assigned as key performance targets for senior managers (e.g. Head of School/Dept)?

    Senior Managers have HS objectives assigned in their KPTs / Performance Development

    Ensure WHS objectives are assigned in Senior Managers KPTs.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS635_Consultation_Committee_-_L3_Agenda_Template.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS635_Consultation_Committee_-_L3_Agenda_Template.doc

  • SAT_Tool_Questions Based on NAT v3 3 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    7. 2.2.3 /1

    2.3.3/1

    3.6.4/1

    3.5.2/2

    The organisation sets health and safety performance indicators that are consistent with its objectives and targets.

    The organisation shall ensure health and safety management plans are kept up-to-date by reviewing the plan(s):

    a. on a regular basis b. when there are changes to the organisations activities, processes, products or services.

    Regular, timely reports on health and safety performance, including reports against health and safety objectives, targets and management plans are produced and distributed within the organisation. The organisation regularly communicates to workers about the progress towards the resolution of health and safety disputes.

    Are there tools/mechanisms in place for regularly monitoring and communicating progress towards H&S objectives, targets & management plans in your work area & the resolution of HS issues & corrective actions?

    Quarterly review of HS statistics at HS Committee meetings, including for example: % of workers who have completed

    WHS awareness training % of corrective actions closed Injury statistics Completion of Self Audit Tool (SAT)

    by local area annually Online hazard & incident reporting

    system Emails Minutes from WHS Committee

    meetings Correspondence or other records

    of communication between UNSW &/or the workplace & relevant authorities

    Ensure the School/Unit reviews and communicates health and safety performance indicators/HS objectives & targets & completion of corrective actions.

  • SAT_Tool_Questions Based on NAT v3 4 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    8. 3.1.1/1

    3.1.2/1

    Financial and physical resources have been identified, allocated and are periodically reviewed, to enable the effective implementation and improvement of the organisations health and safety management system.

    There are sufficient qualified and competent persons to implement the organisations health and safety management system as identified through documented review.

    Have financial and physical resources been identified, and allocated, including having sufficient competent persons, to enable the effective implementation of UNSWs health and safety management system?

    Budget provided for HS Budget to allow risks to be

    controlled by engineering means Funding to allow equipment to be

    upgraded/replaced as required Competent persons identified and

    resources allocated to ensure implementation of system e.g. worker to provide training on equipment, maintain HS documentation, HS Reps.

    HS meeting minutes documenting discussion of requirements

    Ensure financial and physical resources are identified and allocated, to enable the effective implementation of UNSWs WHS management system.

    9. 3.2.1/1 Senior management understand the organisations legal obligations for health and safety and can demonstrate how they fulfil them.

    Can senior management demonstrate an understanding of UNSWs legal obligations for health and safety and demonstrate how they fulfil them? E.g. Attendance at Due Diligence or H&S for Supervisors training?

    Record(s) of Head of School/Department Manager attendance at H&S for Supervisors training

    Senior management attend HS for Supervisors training.

    10. 3.2.3/1

    The specific health and safety responsibilities (including legislative obligations), authority to act and reporting relationships in the organisation. have been defined, documented and communicated.

    Have H&S responsibilities been assigned and communicated to all staff? E.g. Maintaining registers, closing corrective actions, training,

    H&S responsibilities may be included in: Position descriptions HS658 Responsibility Matrix Laboratory Manuals

    Ensure H&S responsibilities are assigned and communicated to staff.

    https://www.gs.unsw.edu.au/policy/documents/HS336.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS336.pdf

  • SAT_Tool_Questions Based on NAT v3 5 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    and inspection and testing of equipment, keeping records.

    Performance Development Scheme (PDS)

    11. 3.2.5/1 Workers are held accountable for health and safety performance in accordance with their defined responsibilities.

    Is H&S performance included in worker performance reviews?

    If H&S tasks have been assigned, the completion of such tasks are monitored through the annual performance appraisal conducted by the supervisor or other mechanisms e.g. Monthly meetings

    Ensure H&S performance is included in worker performance reviews.

    12. 2.1.4/1

    The organisation and/or individual satisfies legal requirements to undertake specific activities, perform work or operate equipment, including any:

    a. licence b. certificate of competency c. notification d. registration e. approval or exemption f. other relevant requirements.

    If applicable, A. are there legal requirements

    for specific activities and/ or equipment including:

    Any licences or approvals required? eg asbestos removal, use of carcinogens, use of radioactive sources and lead, research involving GMOs or biosecurity imports;

    SafeWork NSW High-risk

    Radiation users licence Forklift licence Crane licence Dogging, rigging, scaffolding

    licence. Hoist licence Pressure equipment licence Reach stacker licence Annual pressure vessel

    certification Quarantine-approved premises WorkCover approval for prohibited

    Ensure the work area has satisfied legal requirements to undertake specific activities, perform work or operate equipment, including any:

    Licence Certificate of competency Notification to a regulator Registration of specific plant Approval/exemption

    requirements

  • SAT_Tool_Questions Based on NAT v3 6 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    work licence

    Any Certificate of competency required?

    Is notification to a regulator required?

    B. Is registration of equipment

    required? Are approvals, exemption requirements in place?

    or notifiable carcinogens GTR Committee assessment or

    OGTR approval for gene technology research is in place

    13.

    If applicable, does the work area or premises satisfy legal requirements for the work to be undertaken? A. Any facility registration,

    certification or some other notification to a regulator required? e.g. radiation, OGTR, biosecurity, SSBA, Biosecurity?

    B. Are there approval or exemption requirements?

    Quarantine-approved premises PC1, PC2 or PC3 certification for

    laboratories working with genetically modified organisms

    SSBA & Radiation facility registrations

    Ensure the work area or

    premises have satisfied legal requirements to undertake specific, including any:

    Notification to a regulator Registration of specific premises Approval/exemption

    requirements

    14. 3.4.3/2

    Those who represent workers on health and safety matters: a. are provided time and resources to effectively undertake this role b. meet regularly with management about health and safety issues and the minutes of their meetings are available to all workers.

    Are HS representatives (committee members)

    provided with time and resources to effectively undertake this role

    meeting regularly with management about H&S issues

    Making H&S committee

    HS representatives participation in:- WHS training attendance records, prepare for & attend WHS

    meetings (eg calendar entries, meeting minutes showing attendance)

    conduct workplace inspections, attend incident investigations

    Ensure HS Representatives are provided with adequate time and resources to undertake their role and to meet regularly with management about H&S issues. Minutes are available of their representation meetings.

  • SAT_Tool_Questions Based on NAT v3 7 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    meeting minutes available to the workers?

    Minutes distributed.

    15. 3.4.2/2

    The organisation has:

    a. in consultation with workers, determined the number of worker representatives required to effectively represent all work groups b. made arrangements to allow the workers to select those who will represent them on health and safety matters consistent with legislative requirements c. communicated the consultative arrangements to workers, including names of their worker and employer representatives for health and safety matters.

    Has the work area, in consultation with workers,

    determined the number of worker representatives required to effectively represent all work groups?

    allowed workers to select those who will represent them

    Communicated the consultative arrangements to workers including the identities of the representative for each work group?

    HS634 WHS Committee Constitution document has been completed and is up to date

    Minutes of meetings that record discussion regarding appropriate number of workers vs work reps

    Emails requesting nominations for WHS Reps & notification of nominated representatives

    Minutes of WHS Committee meetings showing list of attendees including reps

    Local area website

    Ensure HS634 WHS Committee Constitution document has been completed and is up to date.

    Ensure workers are involved in the selection of their worker representatives.

    Ensure the names and identities of the work areas worker WHS representative are communicated to all workers

    16. 3.3.9/2 Those representing the employer and the workers on health and safety matters, including representatives on consultative committee(s), receive appropriate training to enable them to undertake their representative roles effectively.

    Have all WHS Reps. and members of WHS committees received WHS consultation training to enable them to undertake their representative roles excluding management reps)?

    Records of attendance at WHS Consultation training

    Ensure all WHS Reps and members of WHS Committee have completed the required WHS Consultation training.

    http://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-forms

  • SAT_Tool_Questions Based on NAT v3 8 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    17. 3.4.1/2 There are procedures agreed to by workers outlining their involvement and consultation in:

    a. health and safety matters b. health and safety issues c. any proposed changes to the work environment, processes, practices or purchasing decisions that impact on their health and safety.

    Have workers agreed to procedures that outline their involvement & consultation related to decisions that impact on their WHS such as :

    WHS matters & issues

    Any proposed changes to the work environment, processes, practices or purchasing decisions?

    Documented consultation procedure & committee constitution

    HS634 HS L3 Committee Constitution template

    Issue resolution procedure relevant to all work groups

    Committee minutes Work meeting minutes recording

    discussions on proposed workplace changes

    emails

    Ensure workers are involved in decisions related to changes to their work processes and/or environment through documented consultation processes.

    18. 3.3.8/2 Management has received training in health and safety management principles and practices appropriate to their role and responsibilities within the organisation, and the relevant health and safety legislation.

    Have all supervisors and managers completed WHS for supervisors training?

    Training needs analysis & subsequent attendance records

    Ensure all supervisors and managers complete WHS for Supervisors training

    19. 3.7.2/2 Specific instructions and safe work procedures associated with particular products, processes, projects or sites have been developed where appropriate.

    Have safe work procedures been developed to address specific risks? (e.g. hazardous substances, biological hazards, radioactive substances etc)

    Completed Safe Work Procedures for tasks/ projects/activities that pose WHS risks including work with chemicals, biological or infectious materials, radiation devices /radioactive substances, manual handling tasks, plant and

    Ensure safe work procedures are developed to address specific risks (e.g. hazardous substances, biological hazards, radioactive substances etc)

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS634_HS_L3_Committee_Constitution_template.DOChttp://www.safety.unsw.edu.au/sites/default/files/documents/HS634_HS_L3_Committee_Constitution_template.DOC

  • SAT_Tool_Questions Based on NAT v3 9 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    equipment etc.

    20. 3.10.7/2 Hazard identification, risk assessment and the development of control measures are undertaken during the design stage of plant, products, buildings or processes, or when the design is modified.

    Have risks been identified and assessed before and during equipment or building modification, refurbishment or in the design phase?

    Completed risk management forms

    Evidence that health & safety considerations are examined for the design or modification of plant & equipment eg minutes of design meetings, drawings.

    Ensure that risks have been assessed before and during equipment or building modification, refurbishment or design.

    21. 3.10.8/2 Competent persons verify that designs and modifications meet specified health and safety requirements.

    Are competent persons involved in verifying that the designs and modifications to plant & equipment or buildings meet specified health and safety requirements?

    Evidence that competent people have been involved in the designs and modifications to plant & equipment or buildings e.g. relevant licences or accreditation etc.

    Ensure that competent persons are involved in verifying that the designs and/or modifications to plant & equipment or buildings meet specified health and safety requirements.

    22. 3.3.7/2 The health and safety requirements of tasks are identified, applied to the recruitment and placement of workers, and tasks are allocated according to their capability and level of training.

    Has a job safety analysis been completed to identify jobs which require the incumbent to have specific skills/ competencies and/or specific medical requirements to perform that job safely? Have these requirements been included in job descriptions and job ads?

    Pre-employment health screening is conducted where required e.g. animal work, noise, laser, lead, RG3 biological agents, asbestos, diving, schedule 14 chemicals.

    Job ads specify licence or certification requirements if applicable e.g. Electrician or forklift operator

    Job descriptions identify specific

    Ensure job descriptions and/or job ads identify the specific skills/competencies , or specific medical requirements that are required to perform the job safely. Use these requirements when selecting best fit candidate for the job.

    Ensure tasks are allocated to match the skills, training and

  • SAT_Tool_Questions Based on NAT v3 10 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Are tasks allocated to match the skills, training and capabilities of employees?

    skills/competencies or specific medical requirements that are required to perform the job safely

    Evidence that job application addresses the selection criteria in the job advertisement

    Competency to perform specific tasks is assessed before allocation of tasks

    capabilities of employees

    23. 3.3.1/2 3.3.2/2

    The organisation has a procedure for identifying and defining the health and safety training needs of employees, contractors, labour hire employees or visitors, where relevant. The organisation consults with employees to identify their training needs in relation to performing their work activities safely.

    Has the training needs of workers (incl. visitors & contractors as relevant) been identified in consultation & according to the work they will be doing, location of the work, previous training and competency e.g. general WHS awareness, work with infectious materials, chemicals, radiation, ergonomic, manual handling etc.

    Generic Training needs are identified as per HS 320 WHS Training and Induction procedure, including Table 1 and 2 for mandatory WHS training required to satisfy certain competencies

    Local training needs analysis identifies competencies to operate pieces of equipment

    Evidence that staff have been trained & are competent in SWPs for equipment

    Local induction records HS006 Health & Safety Induction

    Form HS049 Laboratory Induction and

    Authorisation Form HS094 Training needs analysis HS092 Training plan template Performance reviews

    Ensure the training needs of workers (and all other as relevant) have been identified in accordance with local training needs analysis.

    https://www.gs.unsw.edu.au/policy/documents/HS320.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS320.pdfhttp://www.safety.unsw.edu.au/sites/default/files/HS006_Induction_Form_-_HS.docxhttp://www.safety.unsw.edu.au/sites/default/files/HS006_Induction_Form_-_HS.docxhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS049_Induction_Form_-_Laboratory.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS049_Induction_Form_-_Laboratory.dochttp://safety.unsw.edu.au/sites/default/files/HS094_Training_needs_analysis.XLSXhttp://safety.unsw.edu.au/sites/default/files/documents/HS092_Training_plan_template.doc

  • SAT_Tool_Questions Based on NAT v3 11 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    24. 3.3.5/2 The organisation has an induction program for all workers including management, which is based on their likely risk exposure, and provides relevant instruction in the organisations health and safety policy and procedures.

    Are all persons appropriately inducted into the workplace according to their level of risk exposure?

    Completed inductions for workers, contractors, visiting workers.

    HS630 Visitor Induction Form

    Ensure all persons have received an appropriate WHS induction.

    25. 3.3.4/2 The organisation trains workers (as appropriate) to perform their work safely, and verifies their understanding of that training.

    After workers (including contractors and labour hire) have completed training, does the work area verify their understanding of the training?

    Training records Training content Training assessment/test after

    completing training courses Training in an SWP with

    demonstrated ability that it can be followed accurately.(e.g. checklist)

    competency assessments

    Ensure any worker (including contractors or labour hire) who complete training, have an assessment to determine that they can apply the knowledge/skills learnt during training, in order to perform the job safely.

    26. 3.3.6/2 Training and assessment is delivered by competent persons with appropriate knowledge, skills and experience.

    Is training and assessment delivered by a competent person with appropriate knowledge, skills and experience?

    Local training is delivered by competent persons as identified on the SWP

    Ensure training and assessment is delivered by persons with appropriate knowledge, skills and experience.

    27. 3.3.10/2 Refresher training (as identified by the training needs) is provided to all workers to enable them to perform their tasks safely.

    Is WHS refresher training undertaken as required

    Training plan includes provision for refresher training

    The nominal refresher period identified in UNSWs HS320 WHS Training & Induction Procedure are used as a guide

    Training needs analysis Training records

    Ensure WHS refresher training is identified & undertaken as required.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS630_Induction_Form_-_Visitors.dochttps://www.gs.unsw.edu.au/policy/documents/HS320.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS320.pdf

  • SAT_Tool_Questions Based on NAT v3 12 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    28. 3.3.11/2 The training program is reviewed on a regular basis, and when there are changes in the workplace that impact on the health and safety of workers, to ensure that the skills and competencies of workers remain relevant.

    Is the training provided by the local area reviewed on a regular basis, and when there are changes in the workplace that impact on workers?

    Evidence that training materials & programs are reviewed and updated

    Changes in training following changes in plant & processes

    Ensure the training provided by the local area is reviewed on a regular basis, and when there are changes in plant or processes in the workplace.

    29. 3.2.4/3

    Where contractors are utilised in the organisation, the health and safety responsibilities and accountabilities of the organisation and the contractor(s) have been clearly defined, allocated and communicated within the organisation and to the contractor(s) and their workers.

    Does your area engage contractors directly? (i.e. not via Facilities Management) NOTE: If the answer is NO then there is no need to complete Qs 30, 31 & 32.

    30. Where contractors are engaged, are the WHS responsibilities for both the contractor and the University clearly defined, allocated and communicated to the contractor?

    Documented (eg position description) WHS responsibilities for both parties e.g. position descriptions, information on the allocation of responsibilities

    Signed contracts which define responsibilities for safety actions and activities

    Ensure the WHS responsibilities

    and accountabilities for both the contractor and University are documented and communicated.

    31. 3.10.3/3 The ability to meet health and safety requirements is assessed in the selection of contractors and labour hire employees.

    Before engaging a contractor, is an assessment conducted of the ability of a contractor to meet health and safety requirements?

    Assessment is conducted for UNSW preferred suppliers

    Health & safety requirements such as evidence of workers

    Ensure an assessment is conducted of the ability of the contractor to meet health and safety requirements prior to

  • SAT_Tool_Questions Based on NAT v3 13 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    compensation and public liability insurance

    HS803 Contractor Evaluation Checklist completed

    engaging the contractor.

    32. 3.10.4/3 Contractor health and safety performance is monitored and reviewed to ensure continued adherence to the organisations health and safety requirements or specifications.

    Is contractor health and safety performance monitored and reviewed to ensure continued adherence to UNSW health and safety requirements or specifications?

    Periodic audits are conducted Progress meetings with contractor

    include WHS issues Records of observation of

    contractor performance (e.g. Diary entries)

    Correspondence with contractors about issues of non-compliance

    Ensure contractor health and safety performance is monitored and reviewed to ensure continued adherence to UNSW health and safety requirements or specifications.

    33. 3.2.4/3

    3.5.3/2

    Where contractors are utilised in the organisation, the health and safety responsibilities and accountabilities of the organisation and the contractor(s) have been clearly defined, allocated and communicated within the organisation and to the contractor(s) and their workers.

    There are procedures for the exchange of relevant health and safety information with external parties, including customers, suppliers, contractors and relevant public authorities.

    Is a WHS Induction provided and is relevant health and safety information exchanged between the local area and external parties including customers, suppliers, contractors and relevant public authorities?

    WHS induction for contractors/visitors

    HS630 Visitor Induction Form HS805 Contractor induction

    checklist Minutes of meetings with

    contractor, suppliers, authorities etc which record discussion of WHS issues

    Equipment manuals from suppliers WHS issues relating to Purchasing

    are documented and issues settled before/for receipt

    Safety Data Sheets for any

    Ensure relevant WHS information is exchanged between local area and external parties including customers, suppliers, contractors and relevant public authorities. Ensure all contractors are inducted to the local area BEFORE work starts

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS803_Contractor_Evaluation_Checklist_0.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS803_Contractor_Evaluation_Checklist_0.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS630_Induction_Form_-_Visitors.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS805_Contractor_induction_checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS805_Contractor_induction_checklist.doc

  • SAT_Tool_Questions Based on NAT v3 14 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    chemical used by contractors

    34. 3.7.1/3 The organisations health and safety policy, plans and procedures are documented in a planned and organised manner.

    Are local WHS protocols/ procedures etc(e.g. SWPs & Risk Management plans) easily identifiable, accessible and included on a documents register?

    Document control is included on local procedures including SWPs

    Local procedures are available on school/unit website

    Completed WHS document register i.e. HS085 Document Control Register

    Ensure that local WHS procedures (e.g. SWPs etc) are easily identifiable, accessible and included on a documents register.

    35. 3.8.1/3

    3.8.2/3

    The organisation has a system for creating, modifying and approving health and safety documents and data, and notifying relevant persons of any changes. Obsolete documents and data are identified and retained (where required) for legal and/or knowledge preservation purposes and are removed from all points to prevent unintended use. Documents and data critical to health and safety shall be clearly identifiable, duly authorised prior to issue, kept legible and include their issue status.

    Is there a system for creating, modifying and approving local area health and safety documents, notifying relevant persons of any changes and removing obsolete documents from general access?

    Examples of local area procedures Examples of updated versions of

    procedures following review, including version number and review date

    Evidence of archived versions Emails to staff notifying them of

    new/revised WHS procedures Signatures of relevant persons who

    approve documents

    Ensure there is a system for creating, modifying and approving local area health and safety documents, removing obsolete and superceded documents and for notifying relevant persons of any changes.

    36. 3.8.3/3 The organisation provides workers with ready access to relevant health and safety documents and data and advises them of its availability.

    Are health and safety documents readily accessible to users?

    University WHS procedures are available on UNSW WHS website

    Local WHS documents are

    Ensure all users have ready access to health and safety documents.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS085_Document_Control_Register_Template.DOChttp://www.safety.unsw.edu.au/sites/default/files/documents/HS085_Document_Control_Register_Template.DOC

  • SAT_Tool_Questions Based on NAT v3 15 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    available on school/unit website or in hard copy within local area

    37. 3.8.4/3 Documents and data are regularly reviewed by competent persons to ensure their effectiveness, suitability and the currency of the information.

    Are WHS documents reviewed by competent persons to ensure the effectiveness & suitability (including currency of the information)?

    document control procedure describing the review process

    meeting minutes recording document reviews

    draft documents circulated for input from competent persons

    Local WHS documents including risk assessments and SWPs are reviewed and signed off by appropriate and competent Supervisor

    Unsuitable documents are removed from system

    Ensure local WHS documents including risk assessments and SWPs are reviewed and signed off by appropriate and competent Supervisor.

    Remove Unsigned, out of date or superceded documents accessible to workers

    38. 3.10.2/3

    Health and safety requirements are identified, evaluated and incorporated into all purchasing specifications for services.

    Are health and safety requirements documented and incorporated into purchasing specifications for services?

    UNSW preferred suppliers are used

    Where no UNSW preferred supplier exists, the UNSW Tender Procedure for purchases is followed. Local area has evidence that WHS requirements are communicated to the contractor prior to engagement

    Ensure health and safety requirements have been documented and incorporated into purchasing specifications for services.

    39. 3.10.5/3

    The organisation determines its health and safety requirements prior to the purchase of goods, and communicates those specifications to the supplier. Procedures shall be established and implemented for verifying that purchased goods meet health and safety requirements and any discrepancies

  • SAT_Tool_Questions Based on NAT v3 16 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    3.10.6/3 identified are addressed before the goods are put into operational use.

    Are health and safety requirements considered prior to the purchase of goods ( e.g. impact on the workplace, additional training requirements etc) and are purchased goods checked that they meet, health & safety specification and any discrepancies addressed prior to being put into use?

    Completed HS633 Pre/Post Purchasing Checklist

    Documentation associated with returning good eg emails

    HS040 Supplier Health and Safety Declaration

    Ensure health and safety requirements are considered prior to the purchase of goods And purchased goods are checked for health & safety specifications prior to being put into use

    40. 3.11.8/3 The organisation has a procedure(s) to assist workers who are exposed to critical incidents at work.

    Have all workers been informed about the Employee Assistance Program (EAP) for dealing with exposure to critical incidents at work?

    EAP Information included in HR Induction

    EAP info included on local area website

    EAP phone number displayed on noticeboards

    Ensure all workers have been informed about the Employee Assistance Program (EAP) for dealing with exposure to critical incidents at work.

    41. 3.9.5/3

    2.1.2/3

    Risks of identified hazards are assessed in consultation with workers having regard to the likelihood and consequence of injury, illness or incidents occurring, taking into consideration:

    a. legal requirements b. evaluation of available information c. records of incidents, illness and disease d. the potential for emergency situations. The organisations procedures, work instructions and work practices reflect the requirements of current health and safety legislation, standards, codes of practice, agreements and guidelines.

    Do risk management documents e.g. Safe Work Procedures take

    Completed risk management forms & Safe Work Procedures

    Ensure risk assessments & Safe Work Procedures take into

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS633_a_pre_-_purchase_form.pdfhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS633_a_pre_-_purchase_form.pdfhttp://safety.unsw.edu.au/sites/default/files/documents/HS040_Purchasing_-_Supplier_HS_Declaration.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS040_Purchasing_-_Supplier_HS_Declaration.doc

  • SAT_Tool_Questions Based on NAT v3 17 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    into consideration legal requirements or any other available information, past incidents, and potential for emergency situations?

    showing reference to relevant legislation, standards or codes of practice

    Committee meeting minutes Action to be taken in the event of

    an emergency addressed in risk assessment

    consideration legal requirements or any other available information, past incidents, and potential for emergency situations.

    42. 3.11.1/3 Potential emergency situations have been identified and an emergency plan is:

    a. developed for the organisation and its workplaces b. in accordance with legislative requirements c. regularly reviewed.

    Have potential emergency situations been identified and emergency plans documented and regularly reviewed?

    Risk management forms and safe work procedures

    Potential emergencies within local area have been identified

    If required, local site plans have been developed to identify actions to be taken for specific emergencies e.g. isolating a gas valve before evacuation or shutting off heat or ignition sources.

    Ensure potential emergency situations within the local area have been identified and emergency plans documented and regularly reviewed.

    43. 3.11.2/3

    3.11.7/3

    The organisation has allocated overall responsibility for control of emergency situations to specified individuals and communicated this information to all workers.

    The organisation has assessed its first aid requirements and the first aid program is in place.

    Has the area allocated responsibility for control of emergency situations (including appropriate number of First Aid Officers & floor wardens) to

    Documented assessment of the number of first aiders and wardens allocated with respect to numbers and size of work area, risk level, proximity to hospital or UNSW

    Ensure a local area has allocated responsibility of Emergency control to individuals, and has communicated this information to all workers

  • SAT_Tool_Questions Based on NAT v3 18 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    specified individuals and communicated this information to all workers?

    health service etc. i.e. HS906 First Aid Assessment Checklist

    HS658 Responsibility Matrix A documented emergency plan

    with details of responsibilities for Fire Wardens, Emergency Controllers and First Aid Officers

    Induction process that includes introducing workers to local fire wardens etc.

    Training records for attendance at First Aid/Fire Warden training

    Emergency control organisation list containing the names of individuals assigned emergency control responsibilities

    Evidence of check to first aid kits

    44. 3.11.3/3 Workers receive training and practice in the emergency plan appropriate to their allocated emergency response responsibilities.

    Have emergency response personnel received appropriate training for their duties?

    Training records

    Ensure emergency response persons have received appropriate training for their duties.

    45. 3.11.4/3

    Competent persons have periodically assessed the suitability, location and accessibility of emergency equipment, including where changes to layout, equipment or process have occurred.

    Are the following emergency resources available as applicable?

    First Aid Kits

    Spill kits capable of being able to handle the largest size containers

    First Aid Kits are easily accessible to staff

    Spill kits are available, with appropriate contents to match the needs of the area

    Suitable PPE in the spill kit such as reusable gloves, goggles, respirators and cartridges, gum

    Ensure adequate First Aid Kits and appropriate Spill Kits are available to all staff.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS906_First_aid_assessment_checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS906_First_aid_assessment_checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS658_Local_Area_Responsibility_Matrix_template.DOC

  • SAT_Tool_Questions Based on NAT v3 19 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    boots etc as appropriate

    46. Do competent persons periodically assess the suitability, location and accessibility of emergency equipment that is not being centrally maintained by Facilities? (e.g. First Aid Kits, Spill Kits, Emergency showers)

    Periodic checks of the following Appropriately located Spill kits are

    available with appropriate contents to match the needs of the area

    Checks that emergency showers and/or eyewash stations are operating and maintained

    First aid kits are current & accessible

    Ensure competent persons have

    assessed the suitability, location and accessibility of emergency equipment that is not being centrally maintained by Facilities.

    47. 3.9.1/4 The organisation documents its methodology to reduce health and safety risks through hazard identification, risk assessment and development of risk control measures in accordance with the hierarchy of controls and legal requirements.

    Does the local area follow the procedures in the UNSW Risk Management Procedure for assessing and controlling risks?

    Completed risk assessments that also show that the hierarchy of controls have been considered

    Completion of online hazard and incident reports

    Ensure the local area follows the UNSW Risk Management Procedure for assessing and controlling risks.

    48. 3.9.2 /4

    3.9.4/4

    The organisation has identified the hazards, including public safety hazards that are associated with its activities, processes, products or services; assessed the risks involved; and implemented suitable control measures in accordance with the organisations methodology.

    The organisation documents all identified hazards, risk assessments and risk control plans.

    Has the local area systematically identified and documented its hazards and risks and implemented control measures according to the hierarchy of risk control? Where the activities of the local area include Fieldwork, does the local area follow HS917 Fieldwork

    Local area Hazard & Risk Register HS653 Hazard and Risk Register

    Template - School/Unit or SafeSys Completed risk management

    forms for tasks/ projects/activities that pose WHS risks including work with chemicals, biological or infectious materials, radiation devices /radioactive substances,

    Ensure local area has systematically identified and documented its hazards and risks and implemented control measures according to the hierarchy of risk control.

    https://www.gs.unsw.edu.au/policy/documents/HS917.pdfhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS653_Hazard_and_Risk_Register_Template_-_School_-_Unit.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS653_Hazard_and_Risk_Register_Template_-_School_-_Unit.doc

  • SAT_Tool_Questions Based on NAT v3 20 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    procedure and associated documents?

    manual handling tasks, plant and equipment etc.

    HS406 Fieldwork guideline, HS019 Fieldwork Risk

    Management, HS009 Fieldwork Participant Form, HS010 Volunteer Approval Request

    Form, HS018a Fieldwork Approval

    49. 3.9.2/4 The organisation has identified the hazards, including public safety hazards that are associated with its activities, processes, products or services; assessed the risks involved; and implemented suitable control measures in accordance with the organisations methodology.

    Do risk management forms take into account the risks involved in working after hours and/or working alone?

    Risks involved in working after hours and/or working alone are included in Risk Assessments and Hazard & Risk Register

    HS703 After hours approval form

    Ensure the risks involved in working after hours and/or working alone are included in Risk Assessments and Hazard & Risk Register.

    After hours approval form not signed by supervisor

    50. 3.9.7/4 Risk management methodology and its associated procedures shall be reviewed and revised where necessary to ensure relevance, adequacy and compliance with health and safety management system requirements.

    Are there scheduled reviews of risk assessments and SWPs in line with UNSW Risk Management Procedure & H&S management system requirements

    Completed risk management forms and SWPs have review dates scheduled and the documents are reviewed by this date

    Meeting minutes recording discussion about processes used for particular issues

    Ensure that H&S risk management procedure documents have been reviewed & revised where to be in line with UNSW H&S management system requirements.

    51. 3.9.3/4 The hazard identification, risk assessment and risk control process is undertaken by persons competent in the use of the organisations methodology.

    Have all persons who undertake HS329 Risk Management

    Training attendance records Ensure all persons who undertake risk management

    https://www.gs.unsw.edu.au/policy/documents/HS917.pdfhttp://safety.unsw.edu.au/sites/default/files/documents/HS406_Fieldwork_Guideline.pdfhttp://safety.unsw.edu.au/sites/default/files/HS019_Fieldwork_RA_Checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS019_Fieldwork_RA_Checklist.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS009_Fieldwork_Participant_Form.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS010_Fieldwork_Volunteer_form.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS010_Fieldwork_Volunteer_form.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS018a_Fieldwork_Approval_Form.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS703_after_hours_approval_form.dochttps://www.gs.unsw.edu.au/policy/documents/HS329.pdf

  • SAT_Tool_Questions Based on NAT v3 21 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Procedure hazard identification, assessment and control and who write SWPs completed WHS Awareness training or equivalent?

    activities have completed WHS Awareness training or equivalent.

    52. 3.9.6/4 The level of risk is assessed and used to prioritise the implementation of risk control measures.

    Is the priority of corrective actions done in accordance with the timeframes set for the risk rating?

    Corrective action is completed within timeframes set by risk rating from the myUNSW online reporting system

    Minutes of meetings

    Ensure corrective actions are completed within timeframes set by risk rating from the online reporting system

    53. 3.10.1/4 The organisation determines those areas where access controls are required and ensures effective controls are implemented and maintained.

    Have those areas been identified where access control is required, and are there procedures in place to implement & enforce access requirements?

    Swipe card access Authorised key holders Documented procedures for

    gaining access

    Ensure that those areas where access control is required have been documented and that there are procedures in place to enforce access requirements.

    54. 3.10.9/4 There are procedures to ensure that materials and substances are disposed of in a manner that minimises risk of personal injury and illness.

    Are all hazardous materials and substances disposed of in accordance with UNSW procedures eg HS321 Hazardous Waste Disposal Guideline (E.g. chemical, biological, animal carcass, decayed radioactive waste etc), HS723 Lab & Equipment Decommissioning Procedure.

    Completed waste & equipment request forms

    Review of waste storage facilities Local SWPs for waste handling Completed HS921 Equipment

    decommissioning Certificates Completed HS704 Laboratory

    decommissioning checklist Completed HS726 Cessation of

    laboratory activities checklist

    Ensure materials and substances are disposed of in accordance with UNSW procedures.

    55. 3.10.11/4 The organisation has a program for the safe use, handling, transfer, inventory management and transport of hazardous chemicals.

    https://www.gs.unsw.edu.au/policy/documents/HS329.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS321.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS321.pdfhttp://safety.unsw.edu.au/sites/default/files/HS704_Decommissioning_Checklist_-_Containment_Facility.dochttp://safety.unsw.edu.au/sites/default/files/HS704_Decommissioning_Checklist_-_Containment_Facility.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS726_Cessation_of_Laboratory_Activities_Checklist.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS726_Cessation_of_Laboratory_Activities_Checklist.doc

  • SAT_Tool_Questions Based on NAT v3 22 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Does the local area have a program for the safe handling, transfer and transport of hazardous chemicals, including a managed inventory?

    Completed SWPs are available Chemical register eg SciQuest

    Ensure there are safe work procedures available for the safe handling, transfer and transport of hazardous chemicals and that all hazardous chemicals are registered.

    56. 3.10.12/4 Comprehensive health and safety information on all hazardous chemicals is readily accessible.

    Is comprehensive health and safety information on all hazardous substances readily accessible?

    Access to UNSW WHS website Compliant labels on all containers Access to ChemAlert Safety Data Sheets are available

    Ensure comprehensive health and safety information is available for all hazardous chemicals

    57. 3.10.13/4 The organisation ensures that hazardous chemicals are stored safely and in accordance with legislative requirements.

    Are hazardous substances safely stored according to the Safety Data Sheet?

    Compliant dangerous goods storage facilities

    Self-audits of chemical storage Compliant chemical labelling Availability of SDSs HS605 Dangerous Goods Storage

    Checklists

    Ensure Hazardous chemicals are safely stored according to Safety Data Sheet information.

    58. 3.10.14/4 The organisation has permit to work procedures for use when required.

    If applicable, are there Permit to Work procedures for high-risk tasks e.g. confined space, asbestos removal or hot work?

    HS820 Permit To Work Procedure followed

    Asbestos management Plan Completed permits

    Ensure Permit to Work procedures are followed for high-risk tasks.

    59. 3.10.21/4 There are procedures to ensure that materials are transported, handled and stored in a safe manner.

    If applicable, are there procedures to ensure that heavy loads are transported, handled and stored in a safe manner?

    Local area is following HS709 Materials Handling Guideline if applicable

    HS902 Manual Handling Risk

    Local area needs to have procedures to ensure that materials are transported, handled and stored in a safe

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS605_Dangerous_Goods_Storage_Checklists_0.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS605_Dangerous_Goods_Storage_Checklists_0.dochttps://www.gs.unsw.edu.au/policy/documents/HS820.pdfhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS902_Manual_Handling_Risk_Assessment_Checklist.pdf

  • SAT_Tool_Questions Based on NAT v3 23 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Assessment Checklist High-Risk work licences where

    required Safe Work Procedures are

    available if required

    manner.

    60. 3.10.25/4

    All substances in containers and transfer systems are identified and clearly labelled to avoid inadvertent or inappropriate use.

    Do materials and samples provided to workers for testing or diagnostic purposes undergo a documented assessment using the Risk Management Procedure prior to use?

    A Risk Management Form that document procedures and controls that are in place to protect persons receiving or working on materials or samples that are provided for testing or diagnostic purposes

    Develop local procedure which specifies that samples and materials provided for diagnostic or testing purposes, have been assessed for risk & controls implemented prior to use.

    61. Are all substances in containers and transfer systems identified and clearly labelled to avoid inadvertent or inappropriate use?

    Substances are properly labelled according to HS429 Labelling of Hazardous Substances

    ChemAlert labels

    Ensure all substances in

    containers and transfer systems are clearly labelled according to HS429 Labelling of Hazardous Substances

    62.

    3.11.6/4

    The organisation has a system in place to ensure emergency authorities are informed of relevant hazards on-site (including hazardous chemicals) when attending an emergency.

    Is a chemical register available that includes details of all hazardous chemicals present in the workplace?

    Up to date chemical register is in place i.e. HS603 Chemical Register Template or SciQuest

    Ensure up-to-date chemical register is in place, and contains details of all and hazardous chemicals.

    63. If applicable, in the event of an emergency, are you able to supply details of your placard quantities

    of schedule 11 chemicals to the emergency services?

    Completed Building manifest as per HS333 Dangerous Goods Placard & Manifest Procedure

    Ensure hazardous chemical storage areas are included in Schedule 11 manifest for your building.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS902_Manual_Handling_Risk_Assessment_Checklist.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS429.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS429.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS429.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS429.pdfhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS603_Chemical_Register_Blank_Template.XLShttp://www.safety.unsw.edu.au/sites/default/files/documents/HS603_Chemical_Register_Blank_Template.XLShttp://www.legislation.nsw.gov.au/maintop/view/inforce/subordleg+674+2011+cd+0+Nhttps://www.gs.unsw.edu.au/policy/documents/HS333.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS333.pdf

  • SAT_Tool_Questions Based on NAT v3 24 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    64. 3.10.10/4 Facilities and amenities in the workplace conform, as a minimum, to relevant legislation, standards and codes of practice.

    Are facilities and amenities checked to ensure that they are of acceptable standard, are appropriate to the work undertaken & are adequately maintained?

    Completed Workplace Inspections HS048a Workplace HS Inspection

    Checklist Office, HS048b Workplace HS Inspection

    Checklist Specific Laboratory

    Ensure facilities and amenities are checked for appropriateness, standard and maintenance levels.

    65. 3.10.15/4

    Where personal protective equipment is required, it is appropriate for the task, its provision is accompanied by suitable training or instruction, and it is used correctly and maintained in a serviceable condition.

    Is the Personal Protective Equipment (PPE) provided appropriate for the task, is the instruction or training suitable for its use, is it used correctly and is it maintained in a serviceable condition?

    Risk management forms Safe Work Procedures specify any

    relevant PPE that must be used Observations of workers using PPE

    during workplace inspections Manufacturers recommendations

    included in SWPs Maintenance records for specific

    PPE

    Ensure the personal protective equipment provided is: appropriate for the task, people are trained in its use, it is used correctly and maintained in a serviceable condition.

    66. 3.10.20/4

    Safety signs, including regulatory, hazard, emergency information and fire signs, meet relevant standards and codes of practice, and are displayed in accordance with legal and organisational requirements.

    Do safety signs meet relevant standards and are they appropriately displayed?

    Safety signs conform with HS732 Signage Guideline

    Inspection reports that indicate where signage is inadequate (eg GTRC annual OGTR-certified PC2 facility inspections)

    Ensure safety signs meet relevant standards and they are appropriately displayed.

    67. 3.10.22/4 Workers are supervised according to their capabilities and the degree of risk of the task they are undertaking, to ensure that tasks are performed safely and work instructions and procedures are followed.

    http://safety.unsw.edu.au/sites/default/files/documents/HS048a_Workplace_HS_Inspection_Checklist_-_Offices_General_Laboratories_and_Workshops.DOChttp://safety.unsw.edu.au/sites/default/files/documents/HS048a_Workplace_HS_Inspection_Checklist_-_Offices_General_Laboratories_and_Workshops.DOChttp://www.safety.unsw.edu.au/sites/default/files/documents/HS048b_Workplace_HS_Inspection_Checklist_-_Specific_Laboratories.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS048b_Workplace_HS_Inspection_Checklist_-_Specific_Laboratories.dochttps://www.gs.unsw.edu.au/policy/documents/HS732.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS732.pdf

  • SAT_Tool_Questions Based on NAT v3 25 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Are individuals supervised according to their capabilities and the degree of risk of the task?

    SWPs signed by the supervisor & worker specifying the level of supervision required

    Risk assessments indicating level of supervision for tasks

    Training records Documented team roster Log books Individual competency matches

    job competency profile

    Ensure individuals are supervised according to their capabilities and the degree of risk of the task.

    68. Are supervisors monitoring that tasks are performed safely and work instructions and procedures are followed?

    Local organisational charts showing reporting lines

    Completed HS729 Laboratory Review Forms

    Training records for attendance at WHS for Supervisors course

    Performance appraisals for Supervisors

    Documented team roster Log books

    Ensure supervisors are

    monitoring that tasks are performed safely and work instructions and procedures are followed.

    69. 3.6.1/5

    Workplace injuries and illnesses, incidents and health and safety hazards, dangerous occurrences and system failures, are reported and recorded in accordance with relevant procedures.

    Are workers notified about the procedure for reporting hazards and incidents in the workplace?

    WHS Induction records which document that Hazard & Incident reporting procedure is covered during Induction

    Links to the WHS website for reporting hazards & incidents is included on local area website

    Ensure workers are notified about the procedure for Reporting Hazards & Incidents.

    70. 3.9.8/5 The organisation has a program for identifying and managing change that may impact on health and safety.

    http://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-forms

  • SAT_Tool_Questions Based on NAT v3 26 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Does the workplace identify and manage change that may impact on health & safety

    Refurbishment plans identifying health & safety implications & corrective action strategies

    Interim arrangements for managing health & safety risks while changes are being implemented

    Training/meeting minutes recording discussions regarding managing changes

    Risk assessments Contingency plans

    Ensure the local area has a program for identifying & managing change that may impact on health & safety

    71. 3.10.17/5 There is a procedure for unsafe plant and equipment to be identified and quarantined or withdrawn from service.

    Are workers aware of the procedure to remove/quarantine unsafe plant and equipment?

    Examples of equipment being locked out with danger tags or out of service tag in use.

    Laboratory induction SWP that reference HS327 Plant &

    Equipment Procedure

    Ensure workers have been informed about the procedure for removing/quarantining unsafe plant and equipment.

    72. 3.10.18/5 Controls are implemented to ensure the safety of persons (including members of the public) while plant and equipment is in the process of being cleaned, serviced, repaired or altered.

    Have appropriate controls been implemented to ensure the safety of persons & members of the public who are on or near plant and equipment that is in the process of being cleaned, serviced, repaired or altered?

    Isolation and lockout requirements in HS327 Plant and Equipment Procedure is followed for maintenance or cleaning activities where de-energising is required

    Evidence of completed Out of service or Danger tags that have been used on equipment

    HS700_Laboratory_Clearance_Certificate

    Ensure that all workers re aware of the isolation and lock out procedures for maintenance & cleaning of plant & equipment.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS700_Laboratory_Clearance_Certificate.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS700_Laboratory_Clearance_Certificate.doc

  • SAT_Tool_Questions Based on NAT v3 27 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    HS710 Forklift truck checklist HS909 Amusement Device

    checklist Contractor SWPs that describe the

    controls

    73. 3.10.19/5 Competent persons verify that plant and equipment is safe before being returned to service after repair or alteration.

    Are competent persons verifying that plant and equipment is safe to use before being returned to service after repair or alteration?

    Service records show competent person checks that plant is safe to use after repairs or maintenance

    HS700 Laboratory Clearance Certificate

    Ensure service records confirm checks of plant/equipment by competent persons for safety before it is returned to operation.

    74. 3.6.3/5 Reports on health and safety inspections, testing and monitoring, including recommendations for corrective action, are produced and forwarded to senior management and worker representative(s) as appropriate.

    Are inspection, testing and monitoring reports including corrective actions communicated to Head of School/Work Unit (and committee representatives)?

    Committee minutes table outcomes of workplace inspections/electrical testing & tagging reports etc., where Head of School/Unit (or their nominated representative) is present

    Minutes of meeting reflect that progress of corrective actions is monitored

    Ensure inspection, testing and monitoring reports are communicated to Head of School/Work Unit (and committee representatives).

    75. 3.6.5/5 Reports of audits and reviews of the health and safety management system are produced and distributed within the organisation.

    Are WHS audit reports distributed within your area?

    Email distribution of audit reports Audit report findings

    communicated at WHS Committee meetings

    Ensure WHS Audits are distributed within local area.

    76. 3.10.16/5 Plant and equipment is maintained to ensure safe operational use and a record is kept which includes (but is not limited to) relevant details of inspections, maintenance, repair and alteration of plant.

    http://safety.unsw.edu.au/sites/default/files/documents/HS710_Forklift_truck_checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS909_-_Amusement_Device_Checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS909_-_Amusement_Device_Checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS700_Laboratory_Clearance_Certificate.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS700_Laboratory_Clearance_Certificate.doc

  • SAT_Tool_Questions Based on NAT v3 28 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    Is there a local inspection, testing and monitoring schedule for plant and equipment to ensure safe operational use, and are maintenance records kept?

    HS030 Plant Register and Inspection, Testing and Monitoring Schedule

    HS710 Forklift truck checklist HS909 Amusement Device

    checklist Maintenance records

    Ensure there is a local inspection, testing and monitoring schedule for plant and equipment and maintenance records kept.

    77. Is electrical testing & tagging conducted in the local area at the required frequency based on the risk to ensure safe operational use?

    Electrical testing & tagging records Current tags on equipment New to service tags HS418 Portable Electrical

    Equipment Inspection, Testing and Tagging Guideline followed

    Ensure electrical testing & tagging is conducted within the timeframe required.

    78. 4.1.1/5

    There is a health and safety inspection, testing and monitoring program that incorporates timely and effective corrective action processes.

    Do local area workplace inspections occur at regular intervals using appropriate checklists & do they include timely effective corrective actions?

    Schedule for workplace inspections Records of regular workplace

    inspections HS632 L3 Health & Safety

    Committee Compliance Checklist Completed workplace inspection

    checklists Records of other workplace

    inspections e.g. PC2 inspections, Chemical audit.

    Completed lab/workshop review forms to monitor conformance with SWP and measure effectiveness of risk controls

    Corrective actions reported using H2O

    Corrective actions closed out in the timeframe recommended

    Minutes of meetings discussing

    Ensure local area workplace inspections occur using appropriate checklists.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS030_Inspection_Testing_and_Monitoring_Schedule_Form.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS030_Inspection_Testing_and_Monitoring_Schedule_Form.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS030_Inspection_Testing_and_Monitoring_Schedule_Form.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS710_Forklift_truck_checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS909_-_Amusement_Device_Checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS909_-_Amusement_Device_Checklist.dochttps://www.gs.unsw.edu.au/policy/documents/HS418.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS418.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS418.pdfhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS632_L3_Health_and_Safety_Committee_Compliance_Checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS632_L3_Health_and_Safety_Committee_Compliance_Checklist.doc

  • SAT_Tool_Questions Based on NAT v3 29 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    corrective actions

    79. Are corrective actions identified during workplace inspections added to online corrective actions register through myUNSW?

    Corrective actions arising from inspections are entered into online reporting system

    Information included in L3 meeting minutes

    Ensure all corrective actions

    identified during workplace inspections are added to online corrective actions register.

    80. 4.1.2/5 Inspections seek input and involvement from the workers who are required to undertake the tasks being inspected.

    Do inspections require the involvement of workers in the area being inspected?

    Verbal verification Inspection reports indicating that

    workers were present (not identifying individuals)

    Ensure inspections involve workers in the area being inspected.

    81. 4.1.3/5 Engineering controls, including safety devices, are regularly inspected and tested (where appropriate) to ensure their integrity.

    Are engineering controls, including safety devices, regularly inspected and tested as appropriate to ensure their integrity?

    Plant is inspected as appropriate & in accordance with Inspection, Testing & Monitoring Schedule

    HS030 Plant Register and Inspection, Testing and Monitoring Schedule

    HS710 Forklift truck checklist HS909 Amusement Device

    checklist Maintenance records confirm

    inspection of engineering controls e.g. fixed guards & barriers, emergency stop buttons

    Ensure engineering controls, including safety devices, are regularly inspected and tested to ensure their integrity.

    82. 4.1.4/5 Monitoring of the workplace environment (general and personal) is conducted where appropriate and records of the results are maintained.

    Is monitoring of the workplace environment (general and personal) for fumes, dust, noise,

    Local area is familiar with HS091 Health Monitoring Guideline

    Risk Assessments that identify the

    Ensure monitoring of the workplace environment is conducted where appropriate,

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS030_Inspection_Testing_and_Monitoring_Schedule_Form.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS030_Inspection_Testing_and_Monitoring_Schedule_Form.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS030_Inspection_Testing_and_Monitoring_Schedule_Form.dochttp://safety.unsw.edu.au/sites/default/files/documents/HS710_Forklift_truck_checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS909_-_Amusement_Device_Checklist.dochttp://safety.unsw.edu.au/sites/default/files/HS909_-_Amusement_Device_Checklist.dochttps://www.gs.unsw.edu.au/policy/documents/HS091.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS091.pdf

  • SAT_Tool_Questions Based on NAT v3 30 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    radiation, etc. conducted where appropriate and records of the results maintained?

    need for workplace monitoring for hazards such as noise, fumes, gases, radiation, are available

    HS087 Noise Level Assessment Form

    Records of air monitoring (including radiation swipe tests) are available, if applicable

    Immunisation requirements are identified as in HS435 Immunisation Guideline: Tetanus, HepA, HepB & Q fever, HS427 Immunisation Questionnaire and authorisation form, and HS079 Decline of Immunisation Authorisation form

    and records of the results maintained.

    83. 4.1.5/5 Inspection, measuring and test equipment related to health and safety monitoring is appropriately identified, calibrated, maintained and stored.

    Is inspection, measuring and test equipment used for health and safety monitoring appropriately identified, calibrated, maintained and stored?

    Records of calibration of equipment

    Records of scheduled maintenance in accordance with the manufacturers specifications

    Ensure inspection, measuring and test equipment used for health and safety monitoring is appropriately identified, calibrated, maintained and stored.

    84. 4.2.1/5 The organisation has identified those situations where workers health surveillance should occur and has procedures to conduct this surveillance. The health of workers exposed to specific hazards is monitored, recorded, reported and action is taken to address any adverse effects.

    Has the area identified those situations where worker health surveillance should occur and is a procedure implemented to conduct this surveillance?

    Local area is familiar with HS091 Health Monitoring Guideline

    Risk assessments/incident reports identify those situations where worker health surveillance is required

    Results of radiation personal dose

    Ensure the area has identified those situations where worker surveillance should occur, and has implemented procedures to conduct this surveillance.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS087_Noise_Level_Assessment_Form.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS087_Noise_Level_Assessment_Form.dochttps://www.gs.unsw.edu.au/policy/documents/HS435.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS435.pdfhttp://safety.unsw.edu.au/sites/default/files/HS427_Immunisation_Questions_Authorisation.dochttp://safety.unsw.edu.au/sites/default/files/HS427_Immunisation_Questions_Authorisation.dochttp://safety.unsw.edu.au/sites/default/files/HS079_Decline_immunisation_Form.dochttp://safety.unsw.edu.au/sites/default/files/HS079_Decline_immunisation_Form.dochttps://www.gs.unsw.edu.au/policy/documents/HS091.pdfhttps://www.gs.unsw.edu.au/policy/documents/HS091.pdf

  • SAT_Tool_Questions Based on NAT v3 31 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    monitors Results of eye examinations for

    exposure to lasers Results of audiometric testing if

    required

    85. 4.3.1/5

    4.3.2/5

    There are procedures (incorporating appropriate methodologies) for investigating and implementing corrective action following injuries, illnesses, incidents and other system failures impacting on health and safety.

    Investigations shall:

    a. be undertaken by a competent person(s) in accordance with the organisations procedure b. identify the factor(s) that led to the injury, illness, incident or other system failure c. review the identified hazards, assessed risks and effectiveness of the control measures d. recommend appropriate control measures and corrective actions.

    Are supervisors involved in incident investigations?

    Training records for HS for supervisors

    WHS307 Hazard and Incident Reporting Procedure is followed

    Online hazard & incident form has been completed, including corrective actions

    HS003 Incident Investigation Guide is followed

    Completed investigation documents which show the supervisor & involvement of line managers in the process

    Interview notes from interviews conducted with line managers

    Emails from line managers

    Supervisors are involved in incident investigations.

  • SAT_Tool_Questions Based on NAT v3 32 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    86.

    4.3.3/5

    Corrective actions are:

    a. determined in consultation with affected workers b. implemented in a timely manner c. assessed for their effectiveness by assigned personnel.

    Have non-conformances and corrective actions identified from WHS audits and inspections been

    determined in consultation with affected workers

    prioritised and progressed until action has been completed

    implemented in a timely manner

    assessed for their effectiveness by assigned personnel

    Corrective Actions registered on the online reporting system

    Corrective actions identified in Investigation report

    Evidence that affected workers have been consulted

    Records of assigning corrective actions to individuals

    Records of review of control effectiveness

    Records & minutes which include priority lists for corrective actions

    Non-conformances have been entered and are tracked in corrective actions register

    Verification that corrective actions have been implemented

    Ensure non-conformances identified during an WHS audit are prioritised and progressed until action has been completed.

    Ensure affected workers are consulted and individuals are identified to implement and review corrective actions arising from investigations in a timely.

    Additional General Questions

    87. UNSW Is the management of your specific hazards being monitored against the relevant systems audit checklist e.g. chemical system audit checklist, bio-safety audit checklist etc.

    Completed audits/checklists for Biological hazards, Chemical Hazards, radiation.

    HS325 Biosafety Audit Checklist HS614 Chemical Audit Checklist HS736 Radiation Audit Checklist

    Ensure hazards specific to your work area are monitored against the relevant systems audit checklist. E.g. Chemical systems audit, Bio-safety audit checklist.

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS325_Biosafety_Audit_Checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS614_Chemical_Audit_Checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS736_Radiation_Audit_Checklist.doc

  • SAT_Tool_Questions Based on NAT v3 33 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    88. UNSW Are ergonomic workstation

    assessments (peer or self-assessments) carried out for office based workers?

    Completed HS114 Workstation Checklist

    Ensure ergonomic workstation assessments (peer or self-assessment) have been carried out for office based workers.

    89. UNSW Is appropriate manual handling

    equipment available where required, and have workers been trained in its use?

    Completed manual handling risk assessments identify the need for manual handling equipment

    HS902 Manual Handling Risk Assessment Checklist

    Visual assessment of equipment

    Ensure appropriate manual handling equipment is available where required, and workers have been trained in its use.

    Specific Questions Relating To Biological And Radiation Hazards

    90. UNSW Is your work unit involved in any activity that poses a biological risk?

    If No go to question 95.

    91. UNSW Are you maintaining a Biological

    Organisms Register? Completed biological organisms

    register using HS075 Biological Organisms template, updated within the last 12 months.

    Maintain an up to date Biological Organisms Register.

    92. UNSW If applicable, is your PC2 or PC3

    containment facility registered using the School containment facility register or the Emergency after-hours register at Security?

    All PC2 containment facilities are included on the HS 078 Containment Facility register and/or registered with Security

    Ensure containment facilities are registered.

    93. UNSW If applicable, is your facility where

    gene technology work occurs certified by the OGTR and monitored to ensure it meets with the Gene Technology Regulations for containment?

    OGTR certificate on outer surface of facility entrance door(s)

    Annual inspections by the GTRC for certified PC2 & PC3 areas

    Other completed inspections by supervisors or WHS committee

    Monitor the location in which gene technology work is occurring for compliance with Gene Technology Regulations for the containment of GMOs.

    94. UNSW Have the selected decontaminants

    used to clean surfaces and clean up biological spills been assessed

    Documented risk management processes which identify the microorganism and the specific

    Document the appropriateness of the selection of the decontaminant chosen and

    http://www.safety.unsw.edu.au/sites/default/files/documents/HS114_Workstation_Checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS114_Workstation_Checklist.dochttp://www.safety.unsw.edu.au/sites/default/files/documents/HS902_Manual_Handling_Risk_Assessment_Checklist.pdfhttp://www.safety.unsw.edu.au/sites/default/files/documents/HS902_Manual_Handling_Risk_Assessment_Checklist.pdfhttp://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-formshttp://www.safety.unsw.edu.au/procedures-forms

  • SAT_Tool_Questions Based on NAT v3 34 of 35

    No. Crit No./

    Category Audit Criteria

    Examples of Evidence

    Rating C/NC/O

    Corrective Action Required

    as appropriate? Have the chemical decontamination methods for tissue culture waste been periodically validated and documented to ensure ongoing efficacy?

    decontaminant type referencing: AS2243.3 appendix F and/or the manufacturers website for the

    list of microorganisms and/or pathogen safety data sheets (for

    human pathogens, Health Canada)

    document the validation of the tissue culture waste decontamination method.

    95. UNSW Are all dealings with genetically

    modified organisms assessed by UNSW GTR committee or the

    OGTR as per HS323 Bio-safety

    Procedure?

    Current records of assessment from the GTRC for all NLRDs

    Current GTRC notice for exempt dealings

    Current OGTR licence for DNIRs

    Ensure that all dealings with genetically modified organisms are being assessed by the GTR committee

    96. UNSW Has a Radiation Safety Supervisor

    and TLD Badge Coordinator been nominated to facilitate communication on radiation safety issues and assist with implement