sat (self audit tool) questions by category

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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 revie

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