Chapter 25: Requirements for Hosting Non-affiliates in Laboratories and Central Research Facilities

 

A. Purpose

This chapter establishes the institutional requirements governing access to and work in HKUST laboratories and central facilities by Non-affiliated Individuals (NAIs).  

 

B. Scope

This chapter applies to all NAIs entering any laboratories or central facilities of HKUST. These requirements shall read in conjunction with Chapter 7, General Laboratory Safety, and other hazard-specific requirements contained in this Manual.

 

C. Definitions

  1. Non-affiliated Individual (NAI): A person who is not an HKUST employee or registered student, but who is permitted to enter and/or carry out experimental activities in HKUST laboratories or central facilities under defined conditions and supervision. 

 

  1. Laboratories: Including departmental teaching/research laboratories and makerspaces. 

 

  1. Central facilities: Central research facilities operated and managed centrally by HKUST, including but not limited to: 

  • Aerodynamics and Acoustics Facility (AAF); 

  • Biosciences Central Research Facility (BioCRF); 

  • Geotechnical Centrifuge Facility (GCF); 

  • Laboratory Animal Facility (LAF); 

  • Materials Characterization and Preparation Facility (MCPF); 

  • Dr Tai-chin Lo Nanosystem Fabrication Facility (NFF); and 

  • Ocean Research Facility (OCRF). 

 

  1. Lab tour/Observation: The act of an NAI entering controlled areas under escort for viewing or demonstrations without physical contact with hazardous agents or equipment. 

 

  1. Hands-on work: The act of an NAI performing tasks involving equipment operation, sample handling, or experimental procedures under supervision. 

 

  1. Minor: An individual under 18 years of age. Minors cannot work after office hours. Guardian consent is required for Minors engaging in moderate- or high-risk laboratory activities.

 

D. Roles and Responsibilities

  1. HSEO: 

  • owns the policy framework; 

  • issues guidance; and 

  • advises on risk management, laboratory hazard-specific safety training, and medical surveillance (where applicable). 

 

  1. Host Department/Principal Investigator (PI)/Central Facility is responsible for: 

  • NAI authorization; 

  • completion of required documentation; 

  • training and induction; 

  • supervision; 

  • record keeping; and 

  • ensuring compliance with restrictions applicable to Minors. 

 

  1. NAI: 

  • provides accurate information; 

  • completes required training and acknowledgements; and 

  • complies with HKUST laboratory safety rules. 

 

  1. Guardian:  

   For a Minor NAI: 

  • written consent should be obtained from the Guardian; and 

  • the emergency contact should be provided. 

 

  1. Departmental Safety Officer (DSO) provides departmental oversight and support for implementation of this chapter, including: 

  • verifying that required approvals or documentation are in place; 

  • advising on supervision and access control arrangements; and 

  • liaising with HSEO on risk controls and incident follow-up actions. 

 

E. Compliance Requirements

No NAI may perform hands‑on laboratory work until the Host Department/PI/Central Facility, or a designated Person-in-Charge acting on their behalf has: 

  • secured the required approval from relevant approving authorities in accordance with the applicable risk levels (Section F); 

  • ensured the prescribed authorization and, as required, the activity risk assessment are in place by completing the NAI Lab Work Risk Assessment and Authorization Form (Appendix 25A) for hands-on work; 

  • ensured required training, induction, and (where applicable) medical surveillance have been completed; and 

  • put in place appropriate supervision and personal protective equipment (PPE). 

 

Non-compliance may result in the withdrawal of access rights of NAI by the Host Department/PI/Central Facility and, where applicable, handling under relevant HKUST disciplinary procedures. 

 

F. Engagement Risks and Control Measures

Risk levels are used to determine the minimum approvals, training, supervision, and controls required for NAI’s engaging activities, as outlined in the NAI Engagement Authorization Process (Appendix 25B). 

 

  1. Lab Tour/Observation 

  • Low‑risk laboratory tours or observational visits are brief in duration and involve no hands‑on activities, no operation of laboratory equipment, and no exposure to active laboratory hazards, with visitors escorted at all times. 

  • Safety for these visits shall be managed through appropriate, proportionate controls, such as safety briefing, restriction to designated safe areas, supervision, and provision of PPE only where justified by residual risk. Lab Tour/Observation Safety Checklist (Appendix 25C) is recommended for use as needed. 

 

  1. Hands-on Work 

  • Department Head or Central Facility Director approval and HSEO consultation are required by completing the NAI Lab Work Risk Assessment and Authorization Form (Appendix 25A). The Host Department/Central Facility shall retain the record. 

  • The Host Department/Central Facility is responsible for arranging or verifying training, providing site-specific induction, and ensuring task-specific training before operation. 

  • A supervision ratio of approximately 1:5 is recommended. 

  • For high-risk engagements, additional control measures may be required upon further risk assessment of HSEO; close supervision (typically 1:2) may be required. In accordance with the HKSAR Ordinance, Cap. 303, Minors are prohibited from undertaking work involving ionizing radiation. Other high-risk engagements will be subject to review by HSEO. 

 

G. Incident Reporting and Record Retention

All injuries, exposures, spills, near misses, or unsafe conditions must be reported immediately to the Host Department/Central Facility and HSEO (refer to Section 2E. Reporting of Incidents/Accidents of Chapter 2, Work Planning and Procedures of the HKUST Safety and Environmental Protection Manual). Authorization records, training documentation, induction checklists, and incident reports must be retained by the Host Department/Central Facility in accordance with institutional record retention requirements.

 

H. Insurance and Liability

This section is an administrative requirement outside the HSEO scope and the information provided by the Finance Office (FO) is included in Appendix 25D. For interpretation of coverage and indemnity arrangements, consult FO and, where applicable, the Legal Office. 

 

Appendices

Appendix 25A   Non-affiliated Individual Lab Work Risk Assessment and Authorization Form 

Appendix 25B   Non-affiliated Individual Engagement Authorization Process  

Appendix 25C  Lab Tour/Observation Safety Checklist  

Appendix 25D  Insurance Information from Finance Office