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.
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 organisation’s health and safety policy are documented, are appropriate to the organisation’s 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 organisation’s 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 Manager’s KPTs.
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 organisation’s 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 organisation’s health and safety management system.
There are sufficient qualified and competent persons to implement the organisation’s 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 UNSW’s 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 UNSW’s WHS management system.
9. 3.2.1/1 Senior management understand the organisation’s legal obligations for health and safety and can demonstrate how they fulfil them.
Can senior management demonstrate an understanding of UNSW’s 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.
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 area’s 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.
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)
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.
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 organisation’s 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 UNSW’s HS320 WHS Training & Induction Procedure are used as a guide
Training needs analysis Training records
Ensure WHS refresher training is identified & undertaken as required.
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 organisation’s 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
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 organisation’s 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.
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 organisation’s 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
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.
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 organisation’s 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.
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 organisation’s 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 organisation’s methodology.
Have all persons who undertake HS329 Risk Management
Training attendance records Ensure all persons who undertake risk management
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.
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
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.
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.
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?
SWP’s 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.
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.
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.
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.
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,
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.
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 organisation’s 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.
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
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 manufacturer’s 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 implementation of the Radiation Safety Procedures?
The role of Radiation safety supervisor has been allocated in the local area and responsibilities documented.
TLD badges are in use and being managed
Identify a Radiation safety supervisor document responsibilities which includes
97. UNSW Is a purchasing procedure for the
purchase of radioactive isotopes implemented to avoid the need for long term storage of radiation waste?
Purchasing for radioactive isotopes is screened as per local area purchasing system.
Implement a purchasing procedure for the purchase of radioactive isotopes.
98. UNSW Are all staff licensed who are using
ionising radiation and who need licensing?
Records show that all staff who work with radioactive substances or radiation devices are licensed.
Require all staff using ionising radiation who need licensing to be appropriately licensed.
99. UNSW Are licence exemption procedures
in place for students? Evidence that students are working
under supervisor’s licence. Ensure licence exemption
procedures are implemented by supervisors of students.
SAT_Tool_Questions Based on NAT v3 35 of 35
No. Crit No./
Category Audit Criteria
Examples of Evidence
Rating C/NC/O
Corrective Action Required
100. UNSW Are all projects involving radiation
approved by the UNSW Radiation Safety Committee?
Completed Project/Program Approval Forms for radiation work received from UNSW Radiation Safety Committee.
Ensure all projects involving radiation are approved by the UNSW Radiation Safety Committee.
101. UNSW Is all radiation waste requiring
storage adequately labelled and stored in an appropriate location?
Physical evidence – labels on containers, evidence of waste transfer to radiation store.
All radiation waste requiring storage is adequately labelled and stored in an appropriate location.
102. UNSW Are all laboratories (premises)
using unsealed radioactive materials exceeding prescribed limits registered?
Laboratories using licensable quantities of unsealed radioactive materials are registered through the RECS unit.
Ensure laboratories (premises) using unsealed radioactive materials exceeding prescribed limits are registered.
