Review on General Management Arrangements

REVIEW ITEMS YES/ NO REFERENCE/ GUIDANCE NOTES
Departmental Safety Policy   Management Guide
1. Is there a written health and safety policy statement?   Audit Guide

2. Does the health and safety policy statement communicate the following messages?

  • The committment to health and safety by the Head of Department (HOD)
  • Health and safety is a core management function
  • The need to comply with applicable legal requiremnets
  • Necessary resources should be provided for achieving the health and safety goals
  • Performance of staff in health and safety will be measured
  

Audit Guide

Examples for Safety Policy Statement
3. Is the policy statement signed by the HOD?    
4. Are there adequate means for promulgating the health and policy statement to all levels of staff in the department?   Audit Guide
5. Are there adequate means for promulgating the health and policy statement to all levels of staff in the department?   Audit Guide
Organizing Staff for Health and Safety   Management Guide
Assigning Safety Responsibilities  

Management Guide
6. Are responsibilities for health and safety assigned successively through a management structure?  

Audit Guide
HKUST Safety Manual
7. Are the assignments made in writing?   Audit Guide
8. Are the assignments adequately promulgated to all concerned staff members?   Audit Guide
9. Is there appropriate means for measuring the performance of staff regarding their health and safety responsibilities?   Audit Guide
10. Has a senior staff member been appointed to serve as the Departmental Safety Officer (DSO) for the department?   Audit Guide
11. Are there sufficient staff members appointed to assist the Departmental Safety Officer to effectively implement the departmental safety management system?   Audit Guide
12. Have the authority and responsibilities of DSO and his/her assistants been specified.   Audit Guide
13. Is the authority of the DSO and his/her assistants adequate in performing their duties?   Audit Guide
14. Are the DSO and his/her assistants aware of their specified authority and responsibilities for the assignment?   Audit Guide
15. Have the authority and responsibilities of DSO and his assistants made known to other staff members in the department?   Audit Guide
Safety Committee and Means for Communicating Safety  

Management Guide
16. Is there a safety committee or other appropriate setup (e.g. management meeting) for discussing safety matters regularly?   Audit Guide
17. Are there effective means for communicating safety messages to staff (safety bulletin boards, emails, webpages, newsletters, staff meetings, etc.)?    
Safety Training   Management Guide
18. Is there arrangement for management to be aware of the safety training needs of the respective staff members   Audit Guide
19. Are there adequate arrangements to ensure that respective staff members will receive necessary safety training in a timely manner   Audit Guide
20. Is there a record on safety training for staff that can be used for monitoring purpose?   Audit Guide
21. Are there arrangements for monitoring and reviewing whether the training for staff members is adequate?   Audit Guide
Safety Planning and Control    
Risk Assessment and Safety Plans   Management Guide
22. Are there requirements and arrangements for appropriate risk assessments to be conducted and safety plans developed for higher risk operations/ activities? If yes, are the requirements and arrangements aware by all concerned staff/ students?   Audit Guide
23. Are there requirements and arrangements for the above risk assessments and safety plans to be evaluated by appropriate persons (HOD, DSO, HSEO, etc.)?   Audit Guide
24. Are risk assessments adequately conducted and safety plans properly developed for prevention of accidents?   Audit Guide
25. Are there effective arrangements for safety rules, procedures and precautions developed in the work plans to be promulgated to staff and students affected by the operations?   Audit Guide
26. Are responsibilities of managers, supervisors, etc. for ensuring implementation of the control measures clearly specified?    Audit Guide
27. Are there adequate arrangements for ensuring compliance of the safety rules, procedures, precautions, etc. mentioned above?   Audit Guide

28. Are the staff and students aware of the established safety and health procedures in HKUST?

29. Are staff and students aware of the emergency procedures in place?

30. Are the established procedures in HKUST being complied with?

   Audit Guide
Legal Compliance    
31. Are management and staff aware oft he relevant legal requirements applicable to the operations and activities in the Department?   Audit Guide
32. Are all legal requirements applicable to the operations and activities in the Department being complied with?   Audit Guide
Measuring and Monitoring Safety Performance    
Safety Inspections   Management Guide
33. Are there requirements and arrangements for staff responsible for workplaces to conduct safety inspections and follow up with safety deficiencies?   Audit Guide
34. If yes, are the inspections properly conducted and documented?   Audit Guide
35. Are there requirements for management of the department and HSEO to conduct announced and unannounced safety inspections?   Audit Guide
36. Are there adequate means to communicated safety deficiencies identified in safety inspections for appropriate remedial actions by appropriate personnel?   Audit Guide
37. Are safety deficiencies pointed out in the inspections followed up properly and in a timely manner?   Audit Guide
Accident/ Incident Investigation   Management Guide
38. Are there requirements for supervisors and appropriate personnel to investigate accidents and incidents, and recommend follow-up actions?   Audit Guide
39. If yes, are the investigations properly conducted and documented?   Audit Guide
40. Are recommendations given in the investigation reports followed up properly and in a timely manner?    
41. Are there arrangements for case studies by conducted on significant accident/ incident cases?   Audit Guide
Communication of Hazards    

42. Are there effective means for staff and students to report hazards?

If yes, are the means aware by all staff and students concerned?

   Audit Guide
Reviewing Safety Performance   Management Guide
43. Is there a requirement for periodic safety audits to be conducted, internally, by HSEO or other independent parties?   Audit Guide