University of New South Wales - Human Resources

Step 1- Project Planning & Research Design
Step 2- Project Risk Assessment & Supervisor/Manager Approval
Step 3 - UNSW Research OHS Clearance
Step 4 - Research Funding - OHS Clearance Requirements
Step 5 - Facility Access & Authorisation Requirements
Step 6 - OHS Consultation with Colleagues and Other Stakeholders

Step 1 - Project Planning & Research Design

Action:

Identify OHS hazards during the planning and design phase; and
Identify and account for risks arising from research design activities.

The purpose is to plan and budget for the elimination or control of OHS hazards well in advance of commencing the proposed research.

Examples:

The table below lists examples of research design activities that should be analysed for OHS risks, along with prompts to aid hazard identification:

Example of Research Design Activity	Prompts to Aid Hazard Identification
planning research involving hazardous materials or processes	Review Material Safety Data Sheet for hazardous substances to identify required safety equipment eg fume cupboard. If not available what will it cost to purchase and maintain? Can the hazardous process be conducted safely in the proposed research facility? Does the facility need to be modified? Budget for and obtain required licence, permit or certification before commencing. Account for potential time delay. What type and quantity of hazardous wastes will be generated and how will the waste be managed?
planning to attend an overseas conference	What travel warnings are relevant to the proposed conference location? Is immunization required prior to travel? Refer to the UNSW Travel Insurance Guidelines to check elegilibility/requirements for obtaining insurance under the UNSW policy.
design of research facilities	The design of new and refurbished facilities must be managed by UNSW Facilities Management. Contact the Client Facility Manager for your Faculty. Do the lab design and fittings suit the intended use of the facility? Design in and budget for safety features such as eye wash, hands-free handwashing, fume cupboard, capacity for storing specimens and records, unimpeded traffic flow to fire escape, etc.
design of plant and equipment	Analyse the equipment design for accessible moving parts, potential pinch/crush points. Include guarding in the design. What are the anticipated waste emissions (eg heat, fumes) and how will they be managed?
design of fieldwork activity	Arrange adequate supervision for research staff and students working in non-UNSW premises. Obtain emergency contact details for each researcher and document the emergency procedures.

Key UNSW OHSMS Elements and Procedures:

OHSMS Element	Procedure
2.2 Design Control	Plant and Equipment Procedure Guidelines for the Management of OHS (Construction) - contact Faculty Client Facility Manager

Tools and Resources:

OHS procedures and guidelines - review documents relating to the specific hazards of your proposed research
Travel related tools - UNSW travel alert, TravelLock Traveller Tracking System
Facilities Management Customer Service - phone ext 55111

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Step 2 - Project Risk Assessment & Supervisor/Manager Approval

Action:

Document a risk assessment for your proposed research activities; and
Have it approved by your supervisor/manager.

The risk assessment should include the following aspects:

List tasks and processes,
Consider the context of the research - eg location and experience of researchers,
Identify reasonably foreseeable hazards - eg intensive computer use is an ergonomic hazard,
Assess and rate the risk - consequences and probability of exposure to each hazard,
Record risk controls that will be implemented in order to reduce the risk rating to lowest possible level,
Identify legislation, standards or codes of practice that apply.

Key UNSW OHSMS Elements and Procedures:

OHSMS Element	Procedure
1.3 OHS Responsibility, Authority and Accountability	OHS Responsibility, Authority and Accountability Procedure
4.1 OHS Risk Management Program	Risk Rating Procedure Risk Assessment and Control Procedure

Tools and Resources:

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Step 3 - UNSW Research OHS Clearance

Action:

In addition to supervisor/manager approval you must obtain specific approval for designated higher risk OHS hazards. The additional clearance measure is necessary to ensure the safety of researchers and others working in the research facility or who may be impacted by the hazards associated with the activity. The purpose is also to meet legislative requirements.

Clearance for higher risk OHS hazards is obtained via:

(a) OHS & Workers Compensation, or

(b) a UNSW research safety committee (biosafety or radiation safety), or

You must not commence the proposed research until you have received written confirmation of the required approval, licence, permit, registration, etc.

Note: Some funding agencies have grant-specific OHS and environment clearance requirements. Refer Step 4.

Tools and Resources:

Higher risk OHS hazards - summary of hazards and clearance requirements
OHS Coordinator (Research/GTR ) - contact for information and advice on research OHS clearance
UNSW Institutional Biosafety Committee (IBC)
UNSW Radiation Safety Committee

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Step 4 - Research Funding - OHS Clearance Requirements

Action:

Conform with UNSW requirements in relation to application for and access to research grant funding;
Determine whether the grant funding agency to which you have applied has any specific OHS and environment compliance or clearance requirements; and
Ensure that OHS clearance requirements are completed in a timely fashion in order to reduce potential delays in obtaining grant funds.

The release of research grant funding, which is managed through UNSW Research Services, is contingent on written confirmation that the OHS aspects of the proposed project have been reviewed and approved. A key document in this clearance process is the RA2 form (Research Account Establishment Form). In order to complete the RA2 form you will need OHS clearance from your Head of School/Centre/Institute and may require specific clearance for higher risk OHS hazards.

Example:

An example of a grant funding agency with specific OHS and environment compliance and clearance requirements is the United States Army Medical Research and Materiel Command - Congressionally Directed Medical Research Program (CDMRP). It is a condition of award that the proposed research is conducted in accordance with the UNSW Facility Safety Plan. If you apply for US Army CDMRP grant funding you will be required to provide written assurance of your compliance with the university's Facility Safety Plan. You will also need to provide an authorised "Certificate of Environmental Compliance" (CEC) for each research site, eg UNSW, POWH.

At UNSW the CEC form will be authorised by the Manager OHS & Workers Compensation in Human Resources on receipt and review of the following documentation:

Signed Principal Investigator Safety Program Assurance form;
Description of the proposed research (ie one-page technical abstract)
For research involving high risk OHS hazards provide the project risk assessment;
List of sites/facilities where research will be performed; and
CEC form with project title and Principal Investigator name.

In the case of higher risk OHS hazards, OHS & Workers Compensation may inspect the proposed university research facilities to identify any OHS and environmental concerns that should be addressed. Allow five working days for processing of the CEC form by OHS & Workers Compensation.

Tools and Resources:

UNSW Research Services - information and advice on grant conditions of award
Research Services RA2 form
UNSW Facility Safety Plan
US Army Congressionally Directed Medical Research Program (CDMRP)
CDMRP clearance forms - Certificate of Environmental Compliance, Principal Investigator Safety Program Assurance

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Step 5 - Facility Access & Authorisation Requirements

Action:

Contact the supervisor/manager of the facility in which you propose to conduct your research. This will facilitate discussion of the OHS risks of your research and potential risks associated with the research facility or research currently in progress within the facility.
Familiarise yourself with the specific requirements of the proposed research facility (eg laboratory manual, access restrictions, induction and training pre-requisites, authorisation process).
Make arrangements for induction, training and adequate supervision of your research staff and students while they are working in premises that are outside your area of control.

Specialist research facilities may be subject to external regulatory requirements relating to certification, registration, licence or permit, eg:

Physical containment facility certified by the Office of the Gene Technology Regulator,
Quarantine Approved Premises certified by the Australian Quarantine Inspection Service (AQIS),
Radiation Premises registered by the Environment Protection Authority in the Dept of Environment & Conservation.

There is generally a requirement to complete training or competency assessment prior to using specialist research facilities.

Tools and Resources:

Contact the manager of the research facility of interest for details on training, authorisation and access requirements or restrictions
OHS Training - eg radiation, biological
Office of the Gene Technology Regulator - application for certification of physical containment facilities
Australian Quarantine Inspection Service - application for Quarantine Approved Premises
Environment Protection Authority - application for registration of radiation premises

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Step 6 - OHS Consultation with Colleagues and Other Stakeholders

Action:

Consult with relevant stakeholders regarding the potential OHS impact of your proposed research on other workplace activities and how other work in progress could impact on your project or the health and safety of your research team.

The list of stakeholders to be consulted may include:

the supervisor/manager of the facility in which you propose to conduct your research (refer to Step 5),
your research colleagues,
your research team (staff and students),
your workplace/school/faculty OHS Committee,
your manager or the Head of School/Centre/Institute (see also Step 3).

Key UNSW OHSMS Element and Procedure:

OHSMS Element	Procedure
3 Consultation	OHS Consultation Procedure

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