Business, Accounting and Finance

BSBWHS401 Implement and monitor WHS policies,

procedures and programs to meet legislative requirements

Learner Materials and Assessment Tasks

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Level 1, 398 Lonsdale Street, Melbourne, Victoria, 3000 Australia
Tel: (61 3) 9670-0915, Fax: (61 3) 9670-0918
Table of Contents

About BSBWHS401 Implement and monitor WHS policies, procedures and programs to meet
legislative requirements............................................................................................................................................
4
Accurately explain to the work team relevant provisions of WHS Acts, regulations and codes
of
practice .........................................................................................................................................................................
9
Provide information about the organisation’s WHS policies, procedures and programs, and
ensure
it is readily accessible to, and understandable by the work team
.............................................................. 17
Regularly provide and clearly explain to the work team information about identified hazards
and
the outcomes of risk assessment and control
.................................................................................................. 20 Activity 1
...................................................................................................................................................................... 23
Communicate to workplace parties the importance of effective consultation mechanisms in
managing health and safety risks in the workplace
....................................................................................... 25
Apply consultation procedures to facilitate participation of the work team in managing work
area
hazards ........................................................................................................................................................................
28
Promptly deal with issues raised through consultation, according to organisational
consultation
procedures and WHS legislative and regulatory requirements
.................................................................. 31
Promptly record and communicate to the work team the outcomes of consultation over WHS
issues ...........................................................................................................................................................................
33 Activity 2
..................................................................................................................................................................... 34
Identify WHS training needs according to organisational requirements and WHS legislative
and
regulatory requirements ........................................................................................................................................
37
Make arrangements to meet WHS training needs of team members in consultation with
relevant
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individuals ...................................................................................................................................................................
41
Provide workplace learning opportunities and coaching and mentoring assistance to facilitate
team and individual achievement of identified WHS training needs
........................................................44
Identify and report to management the costs associated with providing training for work
team, for
inclusion in financial and management plans
.................................................................................................. 46 Activity 3
..................................................................................................................................................................... 47
Identify and report on hazards in work area according to WHS policies and procedures and
WHS
legislative and regulatory requirements ............................................................................................................
49
Promptly action team member hazard reports according to organisational procedures and
WHS
legislative and regulatory requirements ............................................................................................................
53
Implement procedures to control risks using the hierarchy of control, according to
organisational
and WHS legislative requirements ......................................................................................................................
56
Identify and report inadequacies in existing risk controls according to hierarchy of control
and
WHS legislative requirements ...............................................................................................................................
59
Monitor outcomes of reports on inadequacies, where appropriate, to ensure a prompt
organisational response .........................................................................................................................................
61 Activity 4
..................................................................................................................................................................... 62
Accurately complete and maintain WHS records of incidents of occupational injury and disease
in work area, according to WHS policies, procedures and legislative
requirements................................. 65

Use aggregate information and data from work area records to identify hazards and monitor
risk
control procedures in work area .........................................................................................................................
68 Activity 5
..................................................................................................................................................................... 70

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ASSESSMENT.............................................................................................................................................................
71
Assessment Outcome record ..............................................................................................................................
111

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About BSBWHS401 Implement and monitor WHS policies,
procedures and programs to meet legislative requirements
Application

This unit describes the skills and knowledge required to implement and monitor an
organisation’s work health and safety (WHS) policies, procedures and programs in the
relevant work area in order to meet legislative requirements.

It applies to individuals with supervisory responsibilities for implementing and monitoring

the organisation’s WHS policies, procedures and programs in a work area. These individuals
have a broad knowledge of WHS policies and contribute well developed skills in creating
solutions to unpredictable problems through analysis and evaluation of information from a
variety of sources. They provide supervision and guidance to others and have limited
responsibility for the output of others.

NOTE: The terms 'occupational health and safety' (OHS) and 'work health and safety' (WHS)
are equivalent and generally either can be used in the workplace. In jurisdictions where the
Model WHS Legislation has not been implemented RTOs are advised to contextualise the
unit of competency by referring to the existing State/Territory OHS legislative requirements.

No licensing, legislative or certification requirements apply to this unit at the time of

publication.

Unit Sector

Regulation, Licensing and Risk – Work Health and Safety

Elements and Performance Criteria

ELEMENT PERFORMANCE CRITERIA
Elements describe the Performance criteria describe the performance needed to
essential outcomes. demonstrate achievement of the element.
1. Provide information to 1.1 Accurately explain to the work team relevant provisions of
the work team about WHS
WHS policies and Acts, regulations and codes of practice
procedures
1.2 Provide information about the organisation’s WHS policies,
procedures and programs, and ensure it is readily accessible to,
and understandable by the work team

1.3 Regularly provide and clearly explain to the work team

information about identified hazards and the outcomes of risk
assessment and control
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2. Implement and 2.1 Communicate to workplace parties the importance of
monitor participation effective consultation mechanisms in managing health and safety
arrangements for risks in the

managing WHS workplace

2.2 Apply consultation procedures to facilitate participation of the

work team in managing work area hazards

2.3 Promptly deal with issues raised through consultation,

according to organisational consultation procedures and WHS
legislative and regulatory requirements

2.4 Promptly record and communicate to the work team the

outcomes of consultation over WHS issues
3. Implement and 3.1 Identify WHS training needs according to organisational
monitor organisational requirements and WHS legislative and regulatory requirements
procedures for providing
WHS training 3.2 Make arrangements to meet WHS training needs of team
members in consultation with relevant individuals

3.3 Provide workplace learning opportunities and coaching and

mentoring assistance to facilitate team and individual
achievement of identified WHS training needs

3.4 Identify and report to management the costs associated with

providing training for work team, for inclusion in financial and
management plans
4. Implement and 4.1 Identify and report on hazards in work area according to WHS
monitor organisational policies and procedures and WHS legislative and regulatory
procedures and legal requirements
requirements for
4.2 Promptly action team member hazard reports according to
identifying hazards and
organisational procedures and WHS legislative and regulatory
assessing and controlling
requirements
risks
4.3 Implement procedures to control risks using the hierarchy of
control, according to organisational and WHS legislative
requirements

4.4 Identify and report inadequacies in existing risk controls

according to hierarchy of control and WHS legislative
requirements

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 4.5 Monitor outcomes of reports on inadequacies, where
appropriate, to ensure a prompt organisational response

5. Implement and
monitor organisational
procedures for
maintaining WHS records
for the team
Foundation Skills
5.1 Accurately complete and maintain WHS records of incidents
of occupational injury and disease in work area, according to
WHS policies, procedures and legislative requirements
5.2 Use aggregate information and data from work area records
to identify hazards and monitor risk control procedures in work
area

This section describes language, literacy, numeracy and employment skills incorporated in the
performance criteria that are required for competent performance.
Skill Performance Description

Criteria
Reading 1.1-1.3, 5.2 • Interprets and analyses complex WHS legislative
and organisational texts

Writing 1.1-1.3, 2.3, 2.4, 3.1, • Documents WHS legislative and organisational
3.2, 3.4, 4.1, 4.4, 5.1 information using structure, layout and language
suitable for audience
• Records WHS issues and actions taken according
to reporting requirements
• Prepares and maintains required records using
appropriate structure and vocabulary

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Oral 1.1-1.3, 2.1, 2.4, 3.2, • Provides WHS legislative and organisational
communication 3.3, 4.1, 4.4 information and advice using structure and
language suitable for audience

Numeracy 3.4, 5.2 • Extracts, interprets and comprehends

mathematical information in relation to training
costs and risk management data

Navigate the 1.1,1.2, 2.3, 3.1, 4.1- • Takes responsibility for adherence to legal and
world of work 4.5, 5.1 regulatory responsibilities and organisational
policies and procedures in relation to WHS
• Keeps up to date on changes to WHS legislation
or regulations and organisational policies and
procedures

Interact with 2.2, 3.2, 3.3 • Selects and uses appropriate conventions and
others protocols to facilitate consultation or provide
feedback
• Initiates and contributes to facilitating
consultative role, responding, explaining,
clarifying and expanding on ideas and
information as required
• Collaborates with others to achieve individual
and team outcomes
Get the work 2.2, 3.2, 3.3, 4.1-4.5, • Uses combination of formal, logical planning
done 5.1 and intuitive understanding of context to
identify relevant information and risks, and
identify and evaluate alternative strategies
• Uses formal decision-making processes, setting
or clarifying goals, gathering information and
identifying and evaluating choices against a set
of criteria
• Recognises and takes responsibility for
reporting
WHS risk control inadequacies
• Uses formal and informal processes to monitor
implementations of WHS solutions and reflect
on outcomes

Unit Mapping Information

Code and title Code and title Comments Equivalence status
current version previous version

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BSBWHS401 BSBWHS401A Updated to meet Equivalent unit
Implement and Implement and Standards for Training
monitor WHS monitor WHS policies, Packages
policies, procedures procedures and
and programs to programs to meet Minor edits to clarify
meet legislative intent of performance
legislative requirements criteria
requirements
Assessment requirements

Modification History
Release Comments
Release 1 This version first released with BSB Business Services Training
Package Version 1.0.
Performance Evidence

Evidence of the ability to:

• explain clearly and accurately to work team the relevant work health and safety
(WHS) information including:

• WHS legislative and organisational requirements

• identified hazards and outcomes of risk assessment and control

• ensure that the team has access to information about WHS policies, procedures and
programs in appropriate structure and language
• implement and monitor procedures according to organisational and legislative WHS
requirements including:

• consultation and communications to enable team members to participate in

managing WHS risks and hazards
• identifying WHS training needs and providing learning opportunities, coaching and
mentoring as appropriate to needs
• identifying, reporting and taking action on WHS hazards and risks
• identifying and reporting inadequacies in existing risk controls and monitoring
outcomes to ensure a prompt organisational response
• reporting on the cost of WHS training
• keeping WHS records
• analysing aggregate WHS data to identify hazards and monitor risk control
procedures in work area.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least
once.

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Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

• outline the legal responsibilities and duties of managers, supervisors, persons

conducting businesses or undertakings (PCBUs) and workers in relation to WHS risk
management in the workplace
• identify key provisions of relevant WHS Acts, regulations and codes of practice that
apply to the business and outline how they apply in the work area
• explain organisational policies and procedures relating to hazard identification, risk
management, fire, emergency and evacuation, incident investigation and reporting
• explain the importance of effective consultation mechanisms in managing health and
safety risks in the workplace
• explain how the hierarchy of control applies in the work area.

Accurately explain to the work team relevant provisions of WHS Acts,

regulations and codes of practice1
Nobody likes to see others get hurt at the workplace, even less so to be the person who gets
hurt. However, the reality is that our workplaces are dangerous places, where accidents can
happen. Even workplaces which don’t seem dangerous can be, with many office workers
suffering from things like repetitive motion disorders, which can cause considerable pain and
even incapacitate valuable workers.

Protecting workers is not only a legal responsibility; it’s a moral responsibility as well. Not
only that, it makes good business sense. People who know that their employer cares for
them are much more likely to be good employees, working hard for the company. In
addition, those employees are valuable assets. Your company has already invested
considerable time, effort and money into training them. Losing them to workplace injuries
means having to pay that expense again for their replacement.

Here in Australia, acts (laws), regulations, codes of practice and standards are created at the
federal, state and local levels. While compliance is only mandatory for the acts and
regulations, other levels of compliance can protect your business from costly injuries which
take employees out of the workplace.

1
Source: Fortress Learning, as at http://students.fortresslearning.com.au/bsbohs407a-monitor-a-safeworkplace/,
as on 30th January, 2016.

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At times, WHS and the other regulatory agencies may seem to you as the enemy, but they
are not. Their purpose in existing is to ensure that your work team isn’t injured on the job.
Ultimately, everything that is mandated by these organizations is beneficial to your company
and the people who work there.

As an employer, your company has “duty of care responsibilities” towards all employees. This
essentially means that the company has a responsibility to insure that they provide a safe
workplace, do what they can to remove risks, provide personal protection equipment and
provide adequate training for all personnel working in company facilities. The exact actions
to be taken will vary from workplace to workplace, and depend upon the type of work that is
being conducted and the risks associated with that type of work.

As a front-line supervisor, you are your company’s and your employees’ first line of defense
for any workplace hazards. While nobody is expecting you to be an expert on WHS (Work
Health and Safety) acts and regulations, they are expecting you to be conversant enough to
be able to watch out for workplace hazards, evaluate risks and train employees on how to
prevent accidents and injury.

Your company probably has an expert in WHS and workplace safety working in the Human
Resources department. Consider this individual a resource for you, to advise you and provide
you with the information you need to do your job correctly. If you are unsure about
necessary actions, personal safety equipment or reporting procedures, ask them, that’s their
job.

Providing accurate and complete information about safety issues, policies and procedures is
an important way of avoiding workplace accidents. In the lamentable condition where an
accident does happen, it is important for all workers to know what emergency procedures to
put into place.

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As a front-line supervisor, it is your responsibility to communicate this information to your
workgroup and insure that they are conversant with the parts that they need to know.
Additionally, you should have copies of the appropriate procedures available for members of
your workgroup to use and review.

WHS requirements are outlined in:

• State and Territory legislation, Regulations and Codes of practice.

• Policies and procedures in the workplace.

• It is imperative that these requirements are communicated to all relevant parties.

WHS Legislation
Legislation provides guidelines that inform both organisational processes and employee
conduct. Failure to comply with legislation may result in individuals or organisations facing
penalties and/or fines.

Legislation relating to health and safety is subject to change therefore it is important that
you conduct your own research. Legislative requirements will include areas such as:

• Common law duties to meet general duty of care requirements.

• Regulations and approved codes of practice relating to hazards in the work area.

• Requirements for establishment of consultative arrangements including those for

health and safety representatives, and health and safety committees.

• Requirements for effective management of hazards.

• Requirements for provision of information and training including training in safe

operating procedures, procedures for workplace hazards, hazard identification,
risk assessment and risk control, and emergency and evacuation procedures.

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 • Requirements for the maintenance and confidentiality of records of occupational
injury and disease.

For current legislative requirements refer to your state or territory using the sources outlined
in the table below:
State/Territory Legislative source

Commonwealth Comcare
Website: www.comcare.gov.au
Telephone: 1300 366 979
Federal Safety Commissioner
Website: www.fsc.gov.au
Telephone: 1800 652 500
Australian Capital WorkSafe ACT
Territory Website: www.worksafe.act.gov.au

State/Territory Legislative source

Email: worksafe@act.gov.au
Telephone: (02) 6207 3000
Northern Territory NT WorkSafe
Website: www.worksafe.nt.gov.au
Email: ntworksafe@nt.gov.au
Telephone: 1800 019 115
Queensland Workplace Health and Safety Queensland, Office of Fair and Safe
Work
Queensland, Department of Justice and Attorney-General
Website: www.worksafe.qld.gov.au
Telephone: 1300 369 915
WorkCover QLD
Website: www.workcoverqld.com.au
Email: info@workcoverqld.com.au
Telephone: 1300 362 128
South Australia SafeWork SA
Website: www.safework.sa.gov.au
Telephone: 1300 365 255
WorkCover SA
Website: www.workcover.com
Telephone: 13 18 55

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Tasmania Workplace Standards Tasmania
Website: www.wst.tas.gov.au
Telephone: 1300 366 322
WorkCover Tasmania
Website: www.workcover.tas.gov.au
Email: wstinfo@justice.tas.gov.au
Telephone: 1300 366 322
New South Wales WorkCover NSW
Website: www.workcover.nsw.gov.au
Telephone: 13 10 50
Victoria WorkSafe Victoria
Website: www.worksafe.vic.gov.au
Email: info@worksafe.vic.gov.au
Telephone: 1800 136 089 or (03) 9641 1444
Western Australia WorkSafe WA
Website: www.worksafe.wa.gov.au
Telephone: 1300 307 877
Part of the WA Department of Commerce
WorkCover WA
Website: www.workcover.wa.gov.au
Telephone: 1300 794 744
WHS Acts
Depending on your state you may be covered by The OHS Act 2004 or the WHS Act 2011.
The terminology Employer and Employee are used in the OHS Act 2004 and in the WHS Act
2011 they’re referred to as Persons Conducting a Business or Undertaking (PCBU) and
worker.

It is important to note in all WHS legislation, regardless of state, there are key responsibilities
placed on everyone in the workplace. The following is a summary of those responsible for
WHS:

PCBUs

PCBU’s have the following WHS responsibilities:

• Ensure the health and safety of workers, customers and visitors by eliminating or
minimising risks at the workplace

• Provide adequate facilities, and access, for the welfare of workers

• Provide information, training, instruction or supervision necessary to protect all

persons from risks to their health and safety arising from work carried out

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 Monitor the health of workers and the conditions at the workplace in order to
prevent illness or injury of workers

• Maintain the work environment

Workers

Workers have the following WHS responsibilities:

• Engage in safe work practices

• Take reasonable care for own health and safety and that of others who may be
affected by their acts or omissions

• Report to supervisor all incidents and injuries, and hazards or WHS issues of
concern

• Seek WHS information or advice from supervisor where necessary, particularly

before carrying out new or unfamiliar work

• Participate in discussions and consultation on the management of WHS risks that

may affect them

• Follow policies and procedures with respect to WHS

• Wear appropriate clothing, footwear and protective equipment for the work
being done and properly use relevant safety devices

• Do not wilfully place at risk the health, safety or wellbeing of others or misuse
safety equipment

• Familiarise themselves with emergency procedures and cooperate with directions

from emergency wardens

WHS Regulations
A regulation is law therefore you must meet your obligations under both the legislation and
the regulations.

Regulations support the general requirements of the legislative Act and provide more detail.

Your state may be covered by either the OHS Regulation (2007) or the WHS Regulation
(2007).
Here are some key covered by health and safety regulations:

• Hierarchy of control measures must be implemented where elimination is not

reasonable practical.
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 • Information, training and instruction must be suitable and adequate in regards to:

o The nature of the work carried out.

o The nature of the risks associated with the work at the time the

information, training or instruction is provided.

o The control measures implemented.

• A workplace must ensure, so far as is reasonably practicable, adequate and

appropriate layout; space; floors and other surfaces; lighting; ventilation; controls
for work in extreme temperatures; and protection from essential services (gas,
electricity
etc.)

• A workplace must ensure, so far as is reasonably practicable, the provision of

adequate facilities for workers, including toilets, drinking water, washing facilities
and eating facilities.

• A workplace must ensure:

o The provision of first aid equipment for the workplace.

o That each worker at the workplace has access to the equipment.

o Access to facilities for the administration of first aid.

• A workplace must ensure that:

o An adequate number of workers are trained to administer first aid at the

workplace; or o Workers have access to an adequate number of other

persons who have been

trained to administer first aid.

• PPE must be provided and follow up conducted to ensure PPE is worn.

WHS Codes of practice

Codes of Practice provide advice on how to meet regulatory requirements. Codes are not
legally enforceable, but they can be used in courts as evidence that legal requirements have
or have not been met.

Codes of practice may relate to issues such as, but not limited to:

• First aid

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 • Confined spaces

• Manual handling

• Asbestos

• Managing risks

• Noise

• Hazardous chemicals

• Consultation

• Electrical risks

An example is provided below of a first aid code of practice.

First Aid in the workplace
1. Consultation when making decisions about what facilities are needed, including
those required for administering first aid should include:

• The number, location and contents of first aid kits and other equipment.
• The type of first aid facilities that may be needed.
• First aid procedures.
• The number of first aiders.
2. Everyone must be able to access a first aid kit. This will require at least one first aid
kit to be provided at the workplace. The contents of first aid kits should be based on a risk
assessment. 3. First aid kits should be kept in a prominent, accessible location and able to
be retrieved promptly.
4. First aid kits should be located close to areas where there is a higher risk of injury
or illness.
5. A first aid room is recommended for:

• Low risk workplaces with 200 workers or more.

• High risk workplaces with 100 workers or more.
6. First aiders should hold nationally recognised Statement/s of Attainment issued by
a Registered Training Organisation (RTO) for the nationally endorsed first aid unit/s of
competency.

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7. First aid in the workplace can be provided in a number of ways:

• Training one or more team members to administer first aid

• Arranging for a person who does not work for the organisation to administer first
aid, provided they have been trained to do so.
8. The following ratios are recommended:

• Low risk workplaces – one first aider for every 50 workers.

• High risk workplaces – one first aider for every 25 workers.
9. A record of any first aid treatment given should be kept by the first aider and
reported to managers on a regular basis to assist reviewing first aid arrangements.
10. First aid treatment records are subject to requirements under Health Records
legislation.

One of the duty of care responsibilities of employers under the WHS Acts is to provide
information to employees about WHS policies and procedures. This responsibility typically
falls to front-line supervisors, as they are the ones who have direct contact with the workers.
This is a normal part of the training for both new employees and as an ongoing part of the
company’s training program.

Before explaining the provisions of the WHS legislation, it is important to be sure that you
have accurate information to present to your work group. Your company probably has this
information available in the Human Resources department. If not, it is available online from
WHS and your local Government Printer or Government Bookshop.

It is important that the information you provide to your work group be as accurate as
possible, seeing that your work group members may not have the capability to check this
information for themselves. Even if they do, they would tend to believe what you tell them
and not look for further information to confirm or deny what you say.

Additionally, you need to take into account the literacy level of your work group. Members
who are functionally illiterate not only are lacking in the ability to seek out this information
for themselves, but may have trouble understanding the government regulations, which are
often complicated to read. As part of explaining these applicable regulations to your work
group members, you need to be sure that you are putting it in language that they will
understand, without losing any of the impact or seriousness of the information.

The WHS legislation that you need to explain to your work group may include:

• Common law duties to meet the general duty of care requirements

• Health and safety representatives and health and safety committees
• Prompt resolution of health and safety issues
• Provision of information, induction and training

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 • Regulations and approved codes of practice relating to hazards present in work area
• Relevant state/territory legislation
• Requirements for the maintenance and confidentiality of records of occupational
injuries and disease

Obviously, you will only need to explain those parts of the legislation which are applicable to
your work group. Some factors, while important in other areas of your company, may not
affect your work group at all.

In addition to explaining WHS legislation, placing posters to remind the work group of
various responsibilities that they have, in order to protect themselves in the workplace is
useful. These reminder posters, about such things as the correct way to lift, dangers of taking
medicines while working, and hazards in the workplace are a useful reminder, to counter the
normal problem of forgetfulness.

Be sure to document any training or discussion sessions you have with your workgroup over
safety issues and WHS legislation requirements. This can help to keep you and your
workgroup out fo trouble in the case of an accident.

Provide information about the organisation’s WHS policies, procedures

and programs, and ensure it is readily accessible to, and understandable
by the work team
Workers as well as supervisors should understand the basic requirements of WHS legislation,
codes of practice and other requirements applicable to the activities, operations, products or
services in the work area and explain relevant obligations to the workgroup. The employer
should have procedures in place to identify legal requirements. This information should be
kept up‐to‐date and made accessible to the workgroup in so far as it affects their roles. The
organisation’s WHS policies, procedures and programs should underpin a clear commitment
to implement WHS legal obligations and other requirements in the enterprise.

In addition to the WHS legislation that you need to make your workgroup aware of, you
must also inform them of your organization’s policies, procedures and programs. While the
legislation provides the framework for what the organization is required to be compliant with
WHS Acts and regulations, each organization needs to determine for itself how they are
going to implement WHS Acts and regulations.

Your organization’s WHS policies and procedures will cover a wide range of areas, which may
include:

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• Consultative arrangements for employees in work areas
• Dangerous goods transport and storage
• Emergency and evacuation procedures
• First aid provision/medical practitioner contact and attention
• Hazard reporting procedures hazardous substance use and storage
• Incident (accident) investigation
• WHS arrangements for on site contractors, visitors and members of public
• WHS audits and safety inspections
• Plant and equipment maintenance and use
• Procedures for hazard identification
• Procedures for risk assessment, selection and implementation of risk control
measures • Purchasing policy and procedures
• Safe operating procedures/instructions
• Site access
• Use and care of personal protective equipment

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You will need to be personally familiar with all of these policies and procedures as a
supervisor. Additionally, you will need to instruct your workgroup in the application of them,
and insure that they not only understand, but also follow these procedures.

Once again, be sure to document all training on these policies and procedures, as a
permanent part of each employee’s personnel file and as part of your workgroup files.

This information should also be readily available to all members in your workgroup.
Depending upon your company’s operations and policies; this could mean having a printed
copy of it at your desk or having it available to employees on the company’s computer
network. Either way, it would need to be in a format that makes it available and accessible to
all company employees.

WHS policies and procedures

Like other legal documents health and safety legislation can be difficult to read and interpret.
To overcome this organisations develop policies and procedures which outline the legislative
areas that are applicable to the operation.

It is important that all employees take the time to learn and fully understand the WHS
policies and procedures of the company and also be fully trained in any operation of
equipment or in the use of hazardous substances.

Common organisational health and safety policies include, but are not limited to:

• Risk management

• First aid

• Emergency response

• Hazard reporting

• Injury and incident reporting

• Health and safety records

Communicating requirements
All policies and procedures relating to health and safety, must be accessible to all employees.
There will also be other individuals and parties that need to understand their contents
including:

• Contractors and subcontractors

• Health and safety committees

• Health and safety representatives

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 • Managers, supervisors and persons conducting businesses or undertakings
(PCBUS) or
their officers

• Unions

• WHS entry permit holders

• WHS inspectors

• WHS regulators
Policies and procedures may be stored in paper or electronic format.

Electronic format

Storing policies and procedures electronically has many benefits including:

• The ability to amend policies and procedures to reflect continuous improvement

or legislative changes.

• Version control allows for outdated policies to be removed ensuring everyone is

accessing up to date information.

• Can be controlled centrally and send a consistent message across all geographical
locations.

Paper based

Having a copy printed can be useful if the organisations intranet cannot be accessed at any
given time. When filing in hard copy it is imperative that someone is responsible for
updating the paper copy when changes are made to the policy. Having version control on
all policies will help to monitor this.

Regularly provide and clearly explain to the work team information about
identified hazards and the outcomes of risk assessment and control
The third area of information which you must supply to your workgroup members is about
risks in the workplace. While the risk assessment may very well be done by others, you will
still be responsible for informing your workgroup about those risks, and what actions they
must undertake to avoid those risks.

Every identified risk should have a plan to mitigate that risk. Whether that plan involves
changes to the company’s processes, equipment changes, or establishing a “safety zone”

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around equipment that can cause risk, every employee has a right to know of the mitigation
plan.

Avoiding risks is everybody’s responsibility. It isn’t enough for your group to blame it on
others, nor for management to blame the risks on any one group; everyone must work
together to avoid risks. That can include everything from keeping a work area clean to avoid
tripping hazards, to using safety devices, to personal protection equipment to insuring that
equipment is working properly.

Most industrial equipment comes with safeguards installed, to prevent the risk of operators
becoming injured while using it. However, using those safety features can be annoying and
make the job harder to do. For this reason, operators are prone to remove or disable those
safeguards. To prevent this from happening, and detect it if someone does remove a
safeguard, it is essential that part of the regular equipment checks includes checking the
safeguards.

Identified hazards and risk assessment results can include:

• Consulting work team members

• Daily informal employee consultation and regular formal employee meetings
• Housekeeping
• Checking equipment before and during work
• Workplace inspections in area of responsibility
• WHS audits and review of audit reports
• Review of health and safety records including hazard reports, hazardous substances
and dangerous goods, registers, injury record

Employee awareness is the greatest tool for preventing employees from becoming statistics.
Many supervisors keep information like audit reports and injury records to themselves, not
allowing workers to know about them. However, making them aware of these reports and
their contents can help move them from being part of the problem to being part of the
solution.

Nobody wants to get hurt on the job, so an WHS audit that points out discrepancies in your
workgroup’s area can be a way of waking up your workgroup to the necessity of actively
participating in accident prevention. Way too many think that accidents can’t happen to
them, or that what they do really isn’t dangerous. Well, if nothing is done to dissuade those
thoughts, they will continue thinking that way. On the other hand, making them aware of
other personnel in the company, who felt the same way that they do, yet have been injured,
may change their minds.

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Workplace safety is everyone’s responsibility. When we leave that responsibility for others to
take care of, we are in essence saying that we don’t care if the workplace is safe. On one
hand, that can be taken as one doesn’t care about their co-workers, and on the other hand,
they think it’s the responsibility of “others” to take care of them.

Those “others” are tricky people. You can’t really count on them, especially if they don’t know
that they can count on you. When we leave things for others to do, we essentially ensure that
nobody is going to do anything. Getting everyone involved requires leadership by example.

Being participative about something means that you “take part in it.” Not that you have to
take everyone’s responsibility upon your own shoulders, but that you just take your own
part. At the same time, because you are in a leadership position, within your company, you
help others realize their need to participate as well; empowering them to do their part.

Communication
Methods used to communicate policies and legislation:

• Induction

• Health and Safety workshops

• Regular newsletters

• Speak informally to each employee

• Regular employee briefings

• Online learning platforms

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It is important to ensure that legislation/policies and procedures are communicated regularly
at team meetings, particularly whenever any changes are made. Best practice suggests each
team meeting should focus on a different policy and procedure giving the team an
opportunity to refresh their understanding and practice their ability to meet the policy
expectations.

To ensure the information relating to policies and legislation is understood by the work team
you can:

• Ask them to sign and date policies that they have read to say they’ve understood
them

• Conduct assessments to check their knowledge

Benefits

Communication regarding WHS can impact greatly on the organisations WHS culture.

The benefits that arise from well communicated Legislation/ Policies and procedures include:

• Improved employee relations within the operation

• WHS commitment from the workforce

• Improved image through the demonstrated commitment to proactively

managing
WHS issues

• Improved relations with contractors, subcontractors, consultants, suppliers and

unions

• Reduced workers injuries, compensation claims and WHS disputes

• Continuous improvement of WHS within the operation

• Competitive advantage

• Compliance with WHS law and regulations

Managers and supervisors need to be mindful at all times of their responsibilities to

communicate the relevant safety information to the workers. Some of the WHS
responsibilities of management include:

• Ensuring that the workers adhere to WHS policies and procedures at all times

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 • Ensuring the safety of all workers

• Maintaining safety compliance

• Establishing and maintaining safety reports

• Regular consultation with the work group, WHS committee members, other
management and relevant stakeholders
Developing WHS plans, performing risk assessments

Activity 1

Think carefully about your workplace or a workplace you are familiar with. Do they provide

Activity 1

information to the work team about WHS policies and procedures? Briefly describe the steps
that they take/could take to do this. (If you do not work in an organisation, briefly describe
the steps that you could take to do this).

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Activity 1

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Communicate to workplace parties the importance of effective
consultation mechanisms in managing health and safety risks in the
workplace
Participative agreements refer to the way in which management consults with and allows
employees to participate in matters relating to health and safety. It is important to note that
organisations have a legal obligation to consult with employees in relation to health and
safety.

There are many benefits to establishing and maintaining participative agreements including:

• Improved understanding of issues by both employers and employees

• Employees increase their knowledge of health and safety in the workplace

• Increased ownership for health and safety

• Ensures a co-operative resolution to health and safety issues

• Provide opportunities to review processes, address issues, and make suggestions

Some organisations have a safety incentive program in place to encourage staff members to
be safe and report any findings relating to WHS. Companies that promote the positives when
it comes to safety will have an upper hand in ensuring workplaces are safe.

When we talk about consultative mechanisms in managing health and safety risks, we must
start by asking the question, “Who should we consult?” While that is a multi-faceted
question, I believe the answer really boils down to three groups of people:
• Experts, who function as consultants
• Supervisors, who function as coordinators
• Workers, who function as the eyes and ears

While it is clear that everybody can’t be an expert on health and safety issues within the
workplace, most companies of any size have at least one person who is their in-house expert.
This person normally works in the Human Resources department, tracking safety, on-the-job
injuries, does internal safety inspections, and is responsible for insuring the necessary WHS
documentation is maintained.

This in-house expert has one other important function; one that isn’t talked about very much.
That is, to act as a consultant on safety for the various front-line supervisors and others
within the company.

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While most front-line supervisors look at that person as a nuisance who comes around to
cause them problems, that’s really not their goal. Their goal is to help insure workplace
safety, so that the front-line supervisor doesn’t have bigger problems to deal with.

I remember a safety coordinator we had at a manufacturing plant where I worked as a

manufacturing engineer. One of the things that he had a habit of doing was checking
extension cords as he walked around the plant. If he saw one where the insulation had been
damaged, he’d take a pair of diagonal cutters, and cut the extension cord in two, often
accompanied by sparks and a tripped circuit breaker.

While the production supervisors used to get furious about this, I can understand what he
was doing. First of all, we weren’t supposed to have extension cords on the floor, because
they became a tripping hazard. Not only was it a tripping hazard, but extension cords on the
floor invariably got run over by forklifts, which is how the insulation usually got damaged.
Secondly, a cord with damaged insulation was dangerous, because it could shock an
individual or cause a fire (there were a fair amount of flammable substances in the factory).
Thirdly, he was trying to make a point that damaged extension cords needed to be fixed.
Well, with them cut like that, they had to be fixed. Had they just wrapped the damaged
section with electrical tape, he wouldn’t have cut it.

Instead of waiting for someone to come along like that, cutting a cord, there’s no reason you
can’t ask them to come into your department’s work area and inspect it for risks. At the same
time, you can utilize this person as a trainer for your workgroup.

While your workers are the ones that is most likely to try and put the onus of workplace safety
on that famous group of “others,” they are also the ones who have the most possibility of
making the workplace safe or dangerous.

The second group of people I mentioned was the front-line supervisors. No matter what,
they are the ones who are going to be most directly involved in insuring that your company’s
policies and procedures for WHS are put into effect and followed. These people coordinate
their workgroups in making sure that the necessary policies and procedures become part of
the work ethic in the company.

The third group of people I mentioned are the workers themselves. While this group is the
one that is most likely to try and put the onus of workplace safety on that famous group of
“others,” they are also the ones who have the most possibility of making the workplace safe
or dangerous. Every one of them has eyes and ears, and they all have brains connected to
those eyes and ears (whether they want to use them or not is another issue).

This is the group that has the greatest possibility of encountering workplace hazards; and
also the greatest possibility of doing something about them. Let’s look at both sides of that.

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As the eyes and ears, the workers see things every day, in their own work station, that aren’t
safe. While their supervisors may be in that station every day, they don’t spend the whole
day there. So, they don’t have as much possibility of seeing that potential hazard. On top of
that, the workers are the ones who are doing the actual job, so if there is something about
the job itself that is hazardous; they’re the one who will know about it.

The other advantage the workers have is that they are the ones who can rectify the situation
the easiest. A few paragraphs ago, I mentioned the safety coordinator who would go around
cutting up extension cords. It wasn’t the supervisor who was running those extension cords
across the floor, nor was it the supervisor who was rolling the extension cord up at the end
of the day; it was the workers.

So, it was the workers who could correct that minor safety issue, not the front-line supervisor.
They were the ones who would encounter the damage, and had the necessary electrical tape
to fix it (or knew who did). They were also the ones who could run the extension cords in a
way that they would not be on the floor, but hung in the overhead. Finally, they were the
ones who were choosing to use an electrical tool, instead of an air driven one.

————————————————–

Okay, now let’s talk about the necessity of effective communication between these three
groups of people. All too often, whichever group has the information keeps it to themselves,
instead of communicating it to other. That doesn’t help anyone, it only insures that the
problem perpetuates.

The front-line supervisor, as the coordinator, is the one who needs to instruct his workgroup
in both the importance of communicating these hazards and the mechanism for
communicating them. Since this isn’t something that they are naturally thinking about, it will
probably require many repetitions, before it becomes part of the workers normal way of
looking at their job. However, with repetition, it should become part of your work culture.

By explaining the importance of communicating workplace risks, you are also showing your
workgroup that you (and by extension, the company) are concerned about their safety. They
will eventually gain the understanding that quantity of work, at the cost of safety, isn’t
considered acceptable.

Encourage your workgroup to ask questions about safety, especially about risks in the
workplace, and what the company is doing about them. In the long run, it is much cheaper
to the company to have workers questioning their actions, than to have to pay for a
workplace accident. In addition to encouraging them to ask about risks, encourage them to
ask about solutions.

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This is where you can bring the company’s safety coordinator into the picture, allowing him
to be your department’s consultant on safety. When your people start asking questions, then
they are much more likely to listen to the answers. Instead of looking at him as an
interruption, they’ll start to look at him as someone who is there to protect them.

Apply consultation procedures to facilitate participation of the work team

in managing work area hazards
While you, as a front-line supervisor, are the main coordinator of safety activities and safety
communication between your workgroup and whatever consultants that you have, don’t let
it stop there. As much as you can, within existing company policies and procedures,
encourage your workgroup to communicate directly with your consultants, especially those
within the company.

I mentioned the company’s safety coordinator in the last section; but he isn’t the only in-
house consultant that you have for safety issues. Depending on the type of company you
have, you may also have:

• Manufacturing engineering
• Facilities maintenance
• Equipment maintenance
• Materials handling engineering

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While not really “safety specialists,” each of these groups will be safety experts in their own
area. Manufacturing engineering can help with the design of guards and safety interlocks for
equipment, equipment maintenance for equipment that is spilling oil or whose guards and
interlocks don’t work properly. Each has their own area of expertise, which is available to
your workgroup.

Remember, you are the coordinator, not the worker. There is nothing wrong with your
workers contacting these people directly. In fact, you want to encourage them to do so, so
that you aren’t burdened with being the liaison.

On your part, you should make it a regular part of your work week to consult with the
various people who can have an impact on your workgroup safety; starting with your own
workgroup. Ask them what they’ve seen around their work station or around your
workgroup’s area that could be considered a safety hazard. Ask what they’ve done about
consulting with the appropriate experts. Empower them to take action.

Although not ordinarily implemented in the workplace, a buddy system is a great way of
improving safety awareness. In a buddy system, you can have your workers team up in
subgroups of two or three, where they are making a specific effort to watch out for each
other’s safety. This is especially effective if they work near each other, or share tasks in some
way.

Have them examine each other’s work practices and work stations, looking for safety risks.
Often, we become so accustomed to seeing something, that we don’t see it any more.
Having another set of eyes looking over our work or our work station can bring something to
light, which we have so accepted as “part of the landscape” that we don’t even notice it. If
you have poisonous snakes in your work area long enough, you won’t notice them either.

As part of monitoring this worker management of work area hazards, you need to be
checking on those who are doing the checking. Let their eyes do the work, but you check
that they’ve actually looked. Keep records of what they find, so that you can see and
demonstrate the progress your workgroup has made.

I remember a boss I had in my first job, before I was in engineering. I realize this is ancient
history, but it’s still a valuable lesson. I was a teenager working in an electronics store. The
store manager wanted to teach us to open our eyes, and really see what was going on in the
store; whether the merchandise was in order, if something has been stolen, if a customer had
put something back in the wrong place, or even if something was dirty. So, he took several of
our product identification tags (these were hung behind the product, with part number and
ordering information) and wrote on them “whoever finds this gets a free Coke.”

Well, it didn’t take long before all the employees were hunting those tags. If he caught
someone actually hunting it, he would really jump all over them. So, we had to hunt them by
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checking the inventory, organizing stock on the shelves and cleaning the store. That was his
goal, and it worked.
Health and safety committee
Health and safety committees are a good way to establish and maintain participative
arrangements. A Health and Safety Committee involves the meeting of health and safety
representatives and managers. The goal of these meetings is to consult on all health and
safety matters within the workplace.

Typically a health and safety committee will serve to:

• Develop and implement measures to secure the health and safety of everyone
within the organisation.

• Create standards, policies and procedures that must be adhered to with regards
to health and safety.

• Analyse health and safety issues within the workplace including identified
hazards, incidents reported and trends relating to safety data.

• Make recommendations to improve health and safety within the organisation.

• Assess outcomes of health and safety audit results and inspection reports.
As well as having a health and safety committee organisations can also consult on health and
safety via toolbox meetings or suggestion boxes.

Safety audits are a systematic and periodic inspection of the workplace to evaluate the
effectiveness of the organisation's health and safety system. Audits may be conducted by
safety consultants or workplace Health and Safety professionals. Audits generally contain a
written report which is submitted to management, and in turn, this is usually referred to the
organisations Health and Safety committee.

Workplaces should have in place a set of policies and procedures for investigating and
reporting accidents and near misses. These policies and procedures are designed to identify
hazards which may have contributed to the incident. Accidents that involve ‘lost time’
should be reported to the state authority. Details of reporting requirements are provided on
the Accident Report form which is available from all WorkCover offices.

Because workers are generally more closely associated with the potential hazard in the
workplace than management, they often have a greater awareness of them, and can provide
valuable information as to how they can be eliminated or controlled. Through consultation
with their employees, management can improve the assessment process as well as
improving cooperation with control measures to be implemented.

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Promptly deal with issues raised through consultation, according to
organisational consultation procedures and WHS legislative and
regulatory requirements

Whatever hazards are brought to your attention through consultation with your workgroup
or inhouse experts needs to be acted upon. While your organization probably has specific
procedures for this, there are some generalities which should always be applied.

Your company’s organizational consultation procedures may include:

• Attendance of health and safety representatives at management and WHS planning

meetings
• Counseling or disciplinary processes for personnel who are not obeying policies and
procedures
• Early response to employee suggestions, requests, reports and concerns put forward
to management
• Election of health and safety representative in accordance with legislative
requirements
• Formal and informal meetings
• Health and safety committees
• Other committees; such as planning and purchasing

The first action that should be done is a risk assessment. While a more thorough risk
assessment will probably be done by others, you should probably do a preliminary one; if
nothing else than to determine how high a priority you should ask for, when asking for
corrective action. Any risk assessment consists of two basic things:

• The likelihood or probability of the hazard causing injury, illness or damage to

property
• The likely seriousness of said injury, illness or damage to property

Since you can’t see into the future, what we’re dealing with here is likelihood. In your mind,
or in consultation with others, you need to determine what the likelihood for those two
areas. It is possible that there will be more than one likely consequence, with more than one
likelihood. For example, there may be a very high likelihood that someone will sustain a
minor injury. At the same time, there might be a very low likelihood that someone will die
from that risk.

While there are several ways of rating these risks, the best is with a risk assessment matrix:

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In this matrix, items with a 4 rating are the highest risk, while those with a 1 rating are the
lowest risk. Therefore, these high risk items are the most important items to deal with.

It is not necessarily your responsibility to resolve the risk, unless the risk is caused by the
actions of people in your workgroup. Basically, that means that you are only responsible for
those risks that can be resolved by corrective action for things that are done incorrectly in
your workgroup.

For everything that does not fall within your sphere of responsibility, you need to find the
appropriate department or individual and turn the problem over to them. Depending upon
the type and organization of your company, the responsible party could be a number of
different departments or individuals. This should be spelled out in your company’s WHS
policies and procedures.

In the case of high risk hazards that require the implementation of changes which are
outside of your purview, you may need to implement some sort of temporary safety
measures to avoid the hazard. These might include such things as instituting a roped off
safety zone where people aren’t allowed to enter, because of the risk of being struck by an
object flying out of a machine; suspending certain types of work, or providing workers with
temporary equipment to use, while the problem is being fixed.

Health and safety issues raised during the participative process need to be resolved in
order to prevent incidents and demonstrate a commitment to health and safety in the
workplace.

Health and Safety issues identified should be dealt with as a priority and any agreed actions
followed up within the agreed timeframe. The resolution of the issue will take into account
factors including:

• Whether the issue can be isolated

• The number and locations of employees affected by the issue

• Whether appropriate interim measures are possible or desirable

• The time that may elapse before the issue is permanently corrected.
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 • Who is responsible for performing and overseeing the removal of the issue?
If an issue is not resolved, someone may be injured and this in turn could lead to loss of
confidence in the health and safety process.

One of the responsibilities of employers is the identification of workplace hazards. This needs
to be done in consultation with their workers. The employer should establish what the
workers view as potential threats to their health and safety. Workers can provide a valuable
contribution by telling their manager or supervisor about their potential health and safety
concerns.

Matters such as trip hazards, unsafe electrical equipment, or any unsafe situation or work
practice, or anything else they think might be a health or safety issue should all be noted and
brought to the attention of their supervisor according to workplace procedure. Supervisors
should take action to rectify the problem.

If the problem is not resolved, workers may need to report the matter to the workplace
health and safety committee or the health and safety representative. If the matter is still not
resolved, workers could ask for advice from the state’s WHS/OHS authority, which in all
states and territory is SafeWork Australia/ Victoria is WorkSafe.

Management need to investigate all accidents and near misses to ascertain what could have
been done to prevent them. Workers should co-operate fully in these investigations,
reporting incidents according to workplace procedures.

Promptly record and communicate to the work team the outcomes of

consultation over WHS issues
There are many communication methods that may be adopted to feedback to the team the
outcome of discussions and issue resolution. These include but are not limited to:

• Presentation

• Meeting

• Memo

• Newsletter

• Informal small group information meeting

• Intranet

• Report

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When deciding on the most appropriate communication method the following should be
taken into account:
• The groups/individuals current understanding of health and safety

• The groups/individuals level of involvement in the health and safety matter

• Likely responses upon hearing about the outcome of discussions and issue
resolution

• The groups/individuals preferred communication method

• How to ensure the change health and safety issue is fully understood

Activity 2

When implementing and monitoring participation arrangements for managing WHS industry,
there are four things you need to ensure you do. List them in the table below, then give a
brief description of what they involve.

Task Brief description

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Activity 2

Since the safety concerns which you forward to other departments or individuals are of
concern to your workgroup, you want to be sure to relay to them any and all communication

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and feedback you receive on the issue. This will help them feel like they are part of the
process, and encourage their continued involvement in being a part of WHS management in
your organization.

Because these issues are so major, it is important to maintain some sort of records of all
safety issues your workgroup encounters, actions you’ve taken and referrals you’ve made to
others. You should also include any consultations over WHS issues, and communications that
you receive on these issues.

Let’s say that you find a piece of defective equipment that is critical to the operation of your
workgroup. The equipment works fine, but the safety guard becomes broken. If you shut
down that piece of equipment, you eliminate the risk. At the same time, you eliminate the
ability of your workgroup to be productive, because all your productivity is based upon that
one piece of equipment.

Obviously, shutting down your operations would be a problem for your company, one for
which you’d probably receive an immediate heated verbal communication from
management. While your concern for your worker’s safety is commendable, you action in
shutting down that piece of equipment may not be considered wise by all parties.

The question then becomes, “What alternatives do you have?” While I am sure that your
company is concerned about workplace safety, I am also sure that they are concerned about
profits.

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Clearly, your first action must be to inform the appropriate department or personnel, who are
responsible for repairing that piece of equipment. That contact should be documented, filed
and conveyed to your workgroup. Once you’ve done that, you should determine if there is a
way to use the equipment, without creating undue risk to your workers. Maybe a temporary
fix could be made to the safety mechanism, in order to use the equipment without risk. Or,
perhaps a buddy system can be put into place, where one worker is protecting another.

Whatever you do, insure that it is going to be safe. If you can’t do something that is safe, you
are better off shutting down your operation, and declaring that your repair work order is the
highest possible priority, telling your management that your operations are shut down
without that piece of equipment.

Once again; communicate all these steps to your workgroup, so that they become part of the
process. They need to know that you are concerned about their safety, and they also need to
know that you are concerned about making them part of the safety team.

Because of the complexity of WHS issues, it is unreasonable to expect anyone to

automatically understand what to do, in order to have a safe workplace. WHS Acts requires
employers to provide training of their employees on safety hazards, issues and practices.

Since employees have a mandated responsibility in being part of maintaining their own
safety in the workplace by use of personal protective equipment, it is important that they are
trained on the use of that equipment. This includes training them on the circumstances in
which the use of that equipment is necessary or required. Additionally, there may be special
training needed to ensure that employees know how to do certain jobs safely.

Whatever your company’s policy is on this training, it much be implemented and

documented. Most jobs that contain high risk elements require training in safety procedures,
before the person is allowed on the job. This is simple prudence, to reduce the possibility of
workplace accidents.

Identify WHS training needs according to organisational requirements

and WHS legislative and regulatory requirements
It is important to ensure that all employees are fully trained in health and safety to ensure
that they understand:

• Their responsibilities with regards to health and safety in the workplace

• The hazards associated with their role in the organisation and how to notify their

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 Health and Safety Representative when hazards are identified

• The consultative arrangements associated with health and safety

• How to follow health and safety policies and procedures

Identify training needs

Health and safety training may be required when:

• Workplace injury/hazard reports are on the increase

• New equipment or machinery is being installed

• There is a change in employee’s roles in the workplace

• Inducting new employees

• Change in legislation or policy or procedure

• Feedback from employees of identified issues

It is important to conduct a training needs analysis to ensure the training provided meets an
actual skill gap rather than a perceived one. There are three steps in conducting a training
needs analysis.

Step one:
Step two: Step three:
Outline the
Undertake a Complete a
competencies
skills audit gap analysis
required

Step one: Outline the competencies required

The first step of a training needs analysis identifies what skills, knowledge and attitudes are
required. This information may be derived from:

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 • WHS Legislation

• WHS Policies and procedures

• WHS Meetings

• Incident reports

• Equipment manuals

• Consultation with the team

Step two: Undertake a skills audit

A skills audit is completed in order to ascertain the current competency level of individual
employees. The following methods can be used to establish an employee’s current skill,
knowledge and attitude.
• Consulting with Management, WHS Representative, workers, workplace trainer,
Union and Government workplace safety bodies relevant to your state/territory

• Reviewing samples of work

• Analysis of incidents

• Carrying out observations

• Reviewing completion of paperwork

• The employee conducting a self-assessment tool

• Reviewing existing training undertaken

• Testing the employee’s knowledge and skills

It is imperative that this step is not rushed. An inaccurate audit can be very costly to the
organisation as it can mean unnecessary training is undertaken. It could also lead to an
organisation wrongly believing they have skills to meet WHS legislative requirements.

Step three: Complete a gap analysis

A gap analysis is a comparison of the competency requirements against the skills audit. The
gap analysis should look to conclude:

• The extent of training that is required

• The importance of the training being carried out

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 • The level of urgency required for the training to take place

These conclusions will be based on the level of importance assigned to the competency (the
amount in which the skill/knowledge is used within the individual’s role) and the level of
knowledge/skill they have.

To determine the necessary WHS training for members of your workgroup, you have to start
with your organization’s WHS policy and procedure manual. WHS does not specify which
jobs require which types of training, because there are too many possible combinations for
them to properly address. Each company is responsible for creating their own WHS training
policy, based upon that company’s particular needs.

Your WHS policy and procedure manual should contain a section about WHS training. In it,
you should be able to find the training requirements of every category of work within your
company. While there will be some things that are common to all personnel in your
company, there will be other things which are specific to a particular workgroup, workplace
or particular type of work.

For example, in a manufacturing operation, all personnel would probably be required to use
hearing and eye protection. This would even include office personnel, if they have reason to
enter or pass through the manufacturing floor in the course of their duties or en route to
their work station. However, only the welders would be required to use welding helmets,
gloves and leathers to protect them from flying sparks. So, all personnel would have to be
trained in the use of hearing and eye protection, but only those who work in the welding
department would have to be trained in the use of the other personal protection equipment.
In addition to the use of personal protection equipment, there will probably be a number of
other training classes that your workgroup will be required to take. Even people who work in
offices are exposed to some risks, even some risks that workers in industrial plants are not
exposed.

Once you know all of the training that your workgroup needs, it is time to search their
individual records, in order to determine what training they have already received. The basic
rule of thumb is that if it isn’t documented, they haven’t received the training. It doesn’t
matter if they know it or not, if you can’t find some sort of documentation that they’ve been
trained, you’d better schedule it.

Why am I being such a stickler on this point? It’s simple; if the worker gets injured on the job,
and there’s no documentation that they’ve been trained on safety procedures, then the
company is totally liable for their injury. On the other hand, if you can show documentation
where they have been trained in proper WHS procedures, then the question comes down to
whether or not they obeyed those procedures.

Your goal here really isn’t to protect the company from the employees, but to protect the
employees from any workplace risks. As a result of that, you are also protecting the company
from any negative consequences of not providing adequate training.
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Make arrangements to meet WHS training needs of team members in
consultation with relevant individuals
Once you are clear on the training that needs to be conducted the next step is to provide the
training.

Health and safety training typically includes areas such as:

• Health and safety responsibilities and the roles within the organisation e.g. health
and safety representative, first aid officer

• Hazard & risk identification and reporting expectations • Worker’s

Compensation requirements

• Safety policies and procedures review of and access to

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 • Awareness of the consequences of poor safety with regards to legislative action,
team morale and organisational impact
• Safe work practices, including standard operating procedures

• Health and safety legislation

• Emergency procedure including evacuation protocol, exits, fire equipment

• First aid and other emergency contacts

• Workplace bullying and occupational violence

• Personal protective equipment

• Chemical safety

• Equipment safety and maintenance

• Manual handling and ergonomics

The organisation could opt for formal training, such as:

• Vocational qualifications e.g. BSB41412 Certificate IV in Work Health and Safety

• Workplace organised structured training sessions e.g. Company Induction

• Short courses – that improve a skill relating to a given role e.g. Risk Management

Videos can be useful training aids. Many government WHS/OHS authorities such as
WorkCover NSW have produced videos which are available for sale or loan. The National
Occupational Health and Safety Commission has a large collection of health and safety
videos for loan, as do a number of private companies which are listed in the Yellow Pages
under Training Films and Videos.

Some Australian health and safety journals and newsletters which are useful sources of OHS
information are:

• Australian Safety News (from the National Safety Council)

• The Journal of Occupational Health and Safety—Australia and New Zealand (from
CCH Australia)

• Occupational Health Newsletter (from Newsletter Information Services)

• Worksafe News (from the National Occupational Health and Safety Commission)

• WorkCover News (from WorkCover NSW)

• Research and emerging issues from Safe Work Australia:

http://www.safeworkaustralia.gov.au/swa/HealthSafety/EmergingIssues/

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 • WorkCover: A magazine for the workplace on prevention, compensation and
injury management
Informal training is also an option, this may include both coaching and mentoring.
Now that you have identified which individuals in your workgroup need WHS training, it’s
time to do something about it. As a front-line supervisor, you are also your workgroup’s
training coordinator (don’t you love wearing so many hats?).

How you actually go about arranging this training depends a lot on your company’s
organization. Your company might:

• Have a training department which prepares materials and provides training

• Have a training coordinator in the Human Resources department, who can
connect your with resources for training
• Use outside contracted training organizations to provide training
• Have video training resources, which are available for you to use
• Expect you to do the training, possibly providing you with resources you can use

Regardless of the norm within your company, WHS training is a critical part of managing
your workgroup. Personnel who are absent from work, due to illness or injury, are not an
asset to your workgroup or your company. Ideally, you want to be able to keep your incident
rate as close to zero as possible, so that your workgroup stays intact. Proper WHS training is
part of that.

Depending on the particular workgroup that you are supervising, scheduling WHS training
may require temporary personnel taking the place of regular workers, or in the case of
training that the whole group needs, receiving permission to schedule that training on
overtime. Support departments have more flexible schedules, making it much easier to
schedule training sessions during normal business hours; however, manufacturing and
materials handling departments will probably require overtime for training.

Before scheduling any training sessions, be sure to consult with the relevant individuals
about how and when you are planning on scheduling these training activities. Their input
may be invaluable in insuring that your training is effective and in agreement with company
policy. These individuals may include:

• Your manager
• Training department supervisor
• Training coordinator
• Human resources department
• Departments which might be affected by your department not being available
during that training time
• Your workgroup (mostly for availability)

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If at all possible, it is more cost effective for your company to have everyone receive the
same training at the same time. While this might require scheduling overtime, it won’t
require the use of the training resources for multiple sessions. The extra cost of paying
overtime may be more than the direct cost of those training resources, but when you include
indirect costs, will probably be lower.

Once you schedule training activities, be sure that all relevant personnel are aware of the
schedule and that it is posted in your work area, so that your workgroup members don’t
forget.

When the training is actually completed, be sure to document who was in the training, when
it occurred and what material was covered. Your workgroup members should sign this
documentation, whether it is on a roster, or individual forms. Be sure that a copy of this is
provided to Human Resources for inclusion in each employee’s records, in addition to your
own copy in your WHS file.

Provide workplace learning opportunities and coaching and mentoring

assistance to facilitate team and individual achievement of identified WHS
training needs
Coaching
Coaching involves supporting team members to overcome difficulties in meeting health and
safety requirements. Coaching is the key to ensuring that team members regularly and
consistently exceed health and safety standards. Coaching may be given to develop:

• Skills - Ability to physically carry out a health and safety

• Knowledge - Ability to understand health and safety requirements • Attitude -

Feelings regarding health and safety

On the job coaching provides direction and improves performance. Coaching can take many
forms. One popular method of coaching on the job is the GROW method.
G Goal At the goal stage the health and safety standards are defined.

R Reality This stage acknowledges how far from the health and safety
standards the team member is.

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O Obstacles Here all barriers to achieving the health and safety standards are
acknowledged.
There may be many reasons why a team member cannot reach the
health and safety standards including lack of time, knowledge and
resources.
It is important that these are discussed and if possible removed.
W Way The final step is to agree on the process that will be adopted in order
forward to achieve the health and safety standards.
Mentoring
Mentoring may also be used to overcome difficulties in meeting health and safety standards.
Whereas coaching is more task specific; mentoring is more concerned with supporting.

Mentors may provide:

• Personal support

• Acceptance

• Advice

• Knowledge development
Mentors tend to act as role models they may take on a formal mentoring role or an informal
one. Organisations sometimes refer to them as ‘buddies’. The mentor/buddy will provide
guidance and advice on how to overcome difficulties in meeting health and safety standards.

Not all WHS training requires “classroom time” some can be completed as on the job
training. In some cases, trying to complete these training tasks in a classroom would be
counterproductive, as they can be done much faster and easier in the work area. Examples of
this would include:

• Use of personal protection equipment

• Safe operation of specific pieces of equipment
• Emergency exit procedures and routes
• Safety exclusion zones (areas around equipment where no one is to walk)

In these types of cases, coaching and mentoring are much more efficient and effective ways
of training. This training can be conducted personally by you or by an experienced worker in
your group, such as a lead man. Either way, the idea is for the person being trained to be
able to receive from the mentor’s knowledge.

Obviously, if you are going to select somebody besides yourself to provide this training, you
want to be careful about who you select. The last thing you need is someone training others
on the wrong way to do things. Neither would it be a good idea to have your departmental
joker be a mentor, as they will probably think it great fun to teach their students how to do
something that will either be dangerous or make you mad.

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In some cases, this training can be accomplished in a group setting, such as your
departmental or group meetings. This is an especially good venue for short training
“nuggets” on easily forgotten concepts and new information, such as new policies or safety
procedures on new departmental equipment.

Regardless of whether it is official company policy or not, it would be a good idea to have
one person in your workgroup designated as your group “expert” on WHS issues. This
person could then be available for those quick coaching and mentoring needs or to answer
questions about WHS issues for other members of the group.

Just as you did with any WHS training which was accomplished in a formal training session,
this one-on-one or small group training should be documented. While it might be a little bit
impractical to provide this information to Human Resources, every time you have a training
session, this information can be accumulated in your WHS file, to be summarized and
provided to Human Resources on a periodic basis for inclusion in employee files.

Identify and report to management the costs associated with providing

training for work team, for inclusion in financial and management plans
Training costs
One of the deciding factors when selecting the training provided is the costs involved.

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You need to both identify and report to management the costs associated with the training
in order to gain approval. You may choose to do this in a meeting or via email. Either way
you must include both the costs associated with the training and the benefits of conducting
the training.

A cost-benefit analysis will determine whether the training is viable. The table below
highlights example costs and benefits:
Costs Benefits

Cost of training analysis. Improved compliance

Cost of material. Reduced incidents
Cost of time/trainer. Improved morale
Cost of loss of productivity. Reduced fines for none compliance

Total: $ Total: $

The cost benefit analysis will provide the following outcomes:

• If the total costs are greater than the total benefits then the organisation would
most likely decide not to conduct the training or look for another alternative

• If the total costs and the total benefits are near equal the organisation may
choose to carry out further analysis of the costs and benefits

• If the total benefits are greater than the total costs then the organisation would
most likely conduct the training
A cost benefit analysis is an accurate way to determine whether the training is worthwhile.

Activity 3

Please Tick True False

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 It is important to ensure that all employees are fully trained in health
and safety to ensure that they understand:
• Their responsibilities with regards to health and safety in the
workplace
• The hazards associated with their role in the organisation and
how to notify their Health and Safety Representative when
hazards are identified
• The consultative arrangements associated with health and safety
• How to follow health and safety policies and procedures
An inaccurate audit is not costly to the organisation.

Health and safety training typically includes areas such as:

• Health and safety responsibilities and the roles within the
organisation e.g. health and safety representative, first aid
officer

• Hazard & risk identification and reporting expectations

• Worker’s Compensation requirements

Activity 3

Videos are not useful training aids.

Coaching involves supporting team members to overcome difficulties in

meeting health and safety requirements.
Mentors never act as role models.

Costs are not one of the deciding factors when selecting the training
provided.
A cost benefit analysis is an accurate way to determine whether the
training is worthwhile.

All training costs something. Even if there are no resources involved, no vendors and no
personnel from outside your department, there is still a cost. At a minimum, you have the
cost of your group’s time in the training sessions.

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These costs must be accounted for in some way or other. It isn’t fair to you, as a supervisor,
for them to be considered part of your workgroup’s direct labour time. Instead, they need to
be logged as indirect training hours or costs. To do that will require developing a cost for the
training and insuring that it is turned in.

You will probably need to turn these costs in twice. The first one will be as part of your
budget for the next year. Budgets are estimates of what your actual costs will be. Depending
upon your organization’s policies, you may not actually have a separate budget for your
workgroup. Some companies group budgets and costs at the managerial level, to make
things easier on the accounting department.

Regardless, of your company’s policy, you can still create your own budget and turn it in to
your manager. Why would you want to do that, if accounting is tracing things at his level and
not yours? Basically, to insure that your manager knows what you are planning on doing.
That way, he can include it in his budget that he turns in to the company. This insures that
there is money available for the costs that you are going to incur. Remember, this money
won’t be available until the next year.

You will also need t provide cost estimates for each planned training activity. Let’s say that a
particular training activity requires bringing in an outside WHS training expert and will
require the purchase of materials to be used in the training session. In that case, your budget
for that activity will include:

• The cost of the training expert

• The cost of the materials you are going to use
• The cost of your workgroup’s hours attending the training session

When you provide this cost information, reference it to the budget that you’ve already
turned in. That way, your manager knows that this is a planned expense that has already
been approved. As such, there really shouldn’t be any problems getting it approved.

Don’t schedule your training activity until you have received approval for the expenditure.
Many companies have very strict policies about who is permitted to commit the company to
pay for different types of costs. If you proceed, without approval, you might have problems.
In really extreme cases, you might end up paying for that training time out of your own
pocket.

We talked about risk assessment briefly in section 2.3. Your company probably has formal
procedures in place, as part of its WHS policies and procedures, for accomplishing risk
assessments. This procedure probably details the actual responsibility of conducting risk
assessments to a specialist, who is much more familiar with them than you are. However, that
doesn’t mean that you have no part in the risk assessment procedure, because you do.

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While that specialist is probably very good at creating the risk assessments, once the risks are
identified, he or she probably doesn’t know enough about your company’s operations to be
able to properly identify all the hazards in the workplace. Oh, he’ll be able to identify some,
especially ones which are common to your industry or common to a particular type of work,
but that won’t be all of them. He’ll need your help in identifying those that are in your work
area.

Identify and report on hazards in work area according to WHS policies

and procedures and WHS legislative and regulatory requirements
Part of effective risk management is developing an awareness of existing hazards. Most of us
can walk past the same potential hazard day after day, without noticing it. That hazard has
become part of the scenery to us, and we are unaware of it.

This is essentially the same way that a skilled trapper works in the wilderness. They don’t
always put the whole trap in place at one time. Typically, they’ll add it piece by piece, adding
another piece every day. That way, the animals get used to seeing the various pieces, and
don’t pay them much attention. When the final piece is in place and the trap is set, the
animals will walk right into it, knowing that it isn’t dangerous.

Hopefully, you and I are smarter than those animals. Since we’re smarter, we should be able
to see those hazards forming, and not be ignorant to what they are. Take a problem with the
casual storage of a stack of some heavy, boxed item as an example. As we walk by that stack,
day by day, we should be able to see how the lower boxes are starting to crush and the stack
is beginning to lean to the side. Our mind should give us a warning of “danger” that we
should be able to hear, loud and clear.

Hearing that warning within our mind, we should take action on it, whether or not somebody
tells us to. That’s what separates us as members of management, from the hourly workers,
who don’t take any initiative. Recognizing the danger should trigger in us the realization that
we need to do something about it.

While the stack of boxes is fairly easy to rectify, all it takes is moving them and restacking,
many of our hazards in the workplace are more complicated, requiring the special assistance
of in-house experts, changes to equipment or storage racks, purchasing safety equipment or
redesigning work flows. Since those tasks are beyond the purview of a front-line supervisor,
the major action that you need to take is to pass that problem on to the appropriate party or
parties, insuring that the appropriate documentation is completed.

Your company should have a hazard reporting system as part of their WHS policies and
procedures. While you need to be familiar with all aspects of the WHS policies and
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procedures, this is one area in which you want to be ready to act. Be sure you are aware of
the requirements for reporting and if you need to have special forms or access to forms on
the company computer system that you have that access.

Regardless of whether your company’s forms are carbonless, providing you, as the originator
with a copy, you want to make sure that you keep a copy for your records. This copy is your
protection, should there be a hazard inspection. It will act as your proof that you are taking
due duty of care. It will also serve as a reminder to you to check on the status of any action
being done on that item.

If you use a tickler file, to remind you of events and due dates, makes sure that you put a
note in your tickler file, to remind you when you need to check on the status of that hazard
report. Where you put it in your tickler file will largely depend upon the severity of the risk,
based upon your initial risk assessment. A high risk item might be filed to be checked on in
one week, while a low risk one should be checked on in one month.

Don’t forget to acknowledge when the problem is resolved. The same system which is used
to report the hazard probably has a way of acknowledging resolution. In addition, mark your
copy of the hazard report with a notation that the hazard has been resolved.

Remember, in some cases, the resolution to the hazard may be to decide that the hazard is
slight enough or the likelihood is sufficiently rare, that there is no resolution necessary. In
those cases, you should still receive some sort of notice from the company that the decision
has been made to accept that risk. If you receive that, file it together with your original
hazard report. Once again, having that documented protects you, showing that you have
taken the necessary action, in the case of a hazard inspection.

Organisations should have policies and procedures relating to hazard identification and risk
management. These procedures should be implemented and monitored in line with legal
requirements.

Identifying hazards
A hazard is something that has the potential to cause harm. Hazards can fall under several
categories including:
Category Example

Mechanical Equipment can be hazardous as it can cut, rip, tear, crush or

penetrate. Electrocution may also occur.
Chemical Chemicals can be toxic, cause disease and explode.

Psychological Physiological hazards include work-related stress, bullying,

workplace violence and fatigue.

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Biological Bacteria and viruses can be hazardous.

Ergonomic Hazards that relate to repetition of movement.

Physical Physical hazards may relate to noise, slips and trips.

There are a number of methods adopted by organisations to identify hazards in the

workplace. These include:

• External audits – external audits may be carried out by a third party. External
audits are useful as they will highlight areas that may have otherwise been missed
by the internal team that have become accustomed to their workplace
surroundings

• Observation – Internal observational checks should form part of a daily routine.

Many organisations use some form of hazard checklist this allows for trend
analysis

• Reports from employees – Incident reports, verbal communication highlighting a

hazardous situation can be a good way to highlight a hazard quickly

• Formal inspections – Formal inspections may be carried out by internal personnel

such as health and safety office or by external governing body such as WorkSafe.
Formal inspections are good to ensure all areas of the organisation are
thoroughly reviewed
• Consultation with employees – Regular consultation with employees allows for
feedback on hazardous situations that management may not otherwise be aware
of

• Statistics review – Reviewing statistics from worker’s compensation, incident

reports, accident reports and inspections can highlight reoccurrences and trends

• Testing – Testing hazards such as noise and equipment can serve to identify
issues before they become too dangerous
There is also a great deal of information available that can serve to bring potential hazards to
the attention of the organisation such as insights from:

• Government publications and websites

• Industry Associations and unions

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 • Manufacturers and suppliers

• Material Safety Data Sheets

• Workers’ compensation insurance agents

• Health and safety specialists

Hazard reporting
Identified hazards should be reported. This can be done by:

• Submitting a completed safety audit checklist

• Writing a report summarising the results of hazard reports

• Advising management

• Reporting to WHS committee to put on the agenda

An example of a hazard report form:

Location: __________________________________________________ Date: ________________________________________________

Name: ______________________________________________________ Reported to: ________________________________________

DESCRIPTION OF HAZARD:

CORRECTIVE ACTION: Taken Required

ACTION TAKEN:

Discussed at staff meeting / WHS committee Date: ___________________________

Discussed at staff meeting / WHS committee Date:

FURTHER ACTION REQUIRED:

Employer ........................................................................................................................................Date
........................................................

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 Worker ...........................................................................................................................................Date
........................................................

When hazard reports are received your role may require you to:

• Examine the information and data received within the report.

• Carry out inspections of the work site to highlight any contributing factors to the
hazard

• Conduct interviews with personnel on site

• Create a timeline of actions and events leading up to the hazard being identified

• Contact responsible persons and relevant authorities when required. This may
include investigative bodies or regulators, external consultants or Internal WHS
specialists

Promptly action team member hazard reports according to organisational

procedures and WHS legislative and regulatory requirements
In the case of hazard reports created by your team members, your actions will be similar. The
major difference is that instead of being the initiator of the report, you are part of the
communications chain.
Your first action should always be to do a preliminary risk assessment on the hazard, to
determine the priority of resolution. This priority will probably need to be placed somewhere
on the hazard report. Once you’ve done that, determine if you are capable of providing the
solution to the hazard at your level. It may be that the problem need not go any farther than
you, but can be resolved at your level. Even if the final resolution can’t be resolved at your
level, look to see if you can provide a temporary solution, while you are waiting for others to
provide a final resolution to the risk.

Whether or not it is provided as part of the hazard report, you should endorse your team
member’s hazard report. Endorsing essentially means adding your agreement and your
signature.
Depending upon the particular politics of your organization, this may or may not be valuable.
Some organizations tend to place less emphasis on “complaints” that originate with workers,
than they do with those which originate with supervisors. Your signature could move that
hazard report from the bottom of the pile, to a place that’s at least half way up the pile.

If you take some sort of action to provide a temporary fix to the hazard, be sure to note that
on your endorsement. If that fix can only last a certain amount of time, be sure to note it.
57 | P a g e
You want to be sure that the document you pass on, is as complete as possible, to insure
that it is acted upon.

While I’m mentioning that let me say, from the viewpoint of one who has had to respond to
requests for action and requests for help, that the more complete any request is, the more
likely it is to be acted upon and acted upon soon. Whether we are talking about a hazard
report or any other sort of request for assistance, when you provide complete information,
you are showing that you are serious about the problem. You also make it easier for the
person receiving that report to take action. Often, they will know what needs to be done, just
by reading your request. However, if you provide an incomplete form, they’ll move it to the
bottom of the pile, seeing that the first thing they have to do is to try and find out what the
problem is.

Getting back on track; you want to be sure that you don’t become part of the problem in
receiving resolution to that hazard report. Make sure that it moves off of your desk, to the
person or department which must take action on it, as fast as possible, preferably the same
day. However, before passing it on, just like the hazard reports that you generate, be sure to
make a copy for your file.

Since your team members won’t have the same capability for checking on the status of their
hazard report that you do, be sure to add it to your tickler file, so that you can check on it for
them. Whatever information you receive, you should pass on to them, motivating them to
maintain an interest in workplace safety.

Your organization’s requirements for your handling of these hazard reports will probably be
the same as for those reports that you generate yourself. However, check the procedure
manual, just to be sure.

While your company probably has a number of people involved in risk management,
workplace safety and WHS policy, as a front-line supervisor, you have the prime
responsibility for WHS policy implementation and monitoring. While this may seem like just
one more task in a long list of tasks for which you are responsible, it is an important one.

Realistically, your company can’t hire enough people to have things like workplace safety
totally monitored by specialists who do nothing else. Even if they could, these people would
not be able to look at the workplace through the eyes of those who are doing the job, only
through the eyes of regulations and policy. That will prevent them from effectively
understanding what is going on in the workplace and how your regular activities can create
risk.

All you can expect out of these specialists is support, not that they do the job for you.
However, your interest in workplace safety is an important part of leadership as well,
showing your workgroup that they are important and that you care about their well being.
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Risk assessment
A risk is the likelihood that harm will occur as a result of a hazard. For each hazard identified
the organisation needs to assign a numeric value to both the:

• Likelihood of it occurring

• The impact it will have if it does occur

By using a numeric value the organisation is able to compare risks as well as give them a
score (likelihood X impact). A risk matrix may be used similar to this:

Likelihood Severity / consequence

Insignificant Minor Moderate Major Catastrophic

Almost certain High High Extreme Extreme Extreme

Likely Medium High High Extreme Extreme

Possible Low Medium Medium Extreme Extreme

Unlikely Low Low Medium High Extreme

The risk matrix may be tailored to the organisation and they, within the confines of the law,
will decide what an acceptable risk score is. Here is a generic example of how they may use
the matrix to inform decisions:

• Low risk = acceptable, no further action

• Medium risk = conditional acceptability, further control measures to be

considered
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 • High risk = unacceptable risk, control and measures must be developed •

Extreme risk = unacceptable risk, controls must be immediate

If the assessment outcome is high or extreme it is recommended that expert health and
safety advice is sought to ensure the best possible risk measure is taken. Intervention may
also be required if there is a lack of time or skill. Expert advice may include:

• Federal, state and local government authorities

• Private consultants that specialise in the risk

Implement procedures to control risks using the hierarchy of control,

according to organisational and WHS legislative requirements
Once the hazard is identified and an assessment carried out the final step is to apply the
hierarchy of controls. The hierarchy of controls helps to select and implement the most
appropriate risk control measure for each hazard. Hierarchy of hazard control is a system
used in industry to minimize or eliminate exposure to hazards. It is a widely accepted system
promoted by numerous safety organizations. This concept is taught to managers in industry,
to be promoted as standard practice in the workplace. Various illustrations are used to depict
this system, most commonly a triangle.

The hazard controls in the hierarchy are, in order of decreasing effectiveness:

• Elimination

• Substitution

• Isolation

• Engineering

• Administration

• Personal protective equipment

Control Explanation Example

Control Explanation Example

Elimination Completely eliminate the risk Removal of a piece of equipment.

from the workplace.
Discontinuing a product or service.

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Substitution Replace equipment or work Using a safer piece of equipment.
methods with safer
Changing the chemical that is used.
alternatives.

Separation/ Separate the hazard from Placing guards on equipment.

employees.
Isolation Locking dangerous materials away.

Redesign/ Redesign the task so the Use of higher benches to limit bending.
hazard is removed or better
Engineering Mechanical aids to help with lifting.
controlled.

Administration Management controls to Training.

ensure that procedures are
Observational checks carried out.
being followed.
Hazard information posters/signs.

Personal Incorporating the use of Wearing protective clothing such as:

Protective equipment to remove or
Equipment reduce the level of risk. • Gloves
• Eye goggles
• Brightly coloured clothing

As risks are identified, analyzed, and solutions are sought, there are always a number of
possible approaches to any risk. These range from elimination of the risk, to deciding to
accept the risk, with a wide variety of options in between.

This variety of possible options is typically expressed through a “Hierarchy of Control”

showing the various possible options to deal with each risk. Ideally, you want to apply the
highest level of control commensurate with the risk level. If you can’t apply that level of
control in a timely manner, lower value controls can be utilized as a stop-gap measure until
those long-term controls are implemented.

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In this Hierarchy of Control, the various controls possible refer to:

• Elimination – Eliminate the risk by finding ways that the cause of the risk does not
have to exist in your operation. This can include outsourcing, facility layout changes,
ventilation of hazardous fumes, and changes to designs, processes and materials.
• Substitution – Find a replacement for the equipment, material or process being used,
which doesn’t contain the same inherit risk. This can include replacing a manual
process with an automated one, purchasing of safer tooling, or materials changes.
• Isolation – Create a barrier between the risk and the worker. Barriers, guards and
exclusion zones are all common ways of doing this.

• Modification – Engineering changes to process, product or materials that remove the

risk.
• Administrative – Implementing policies, procedures and training for people to follow
when working with a particular hazard. It can also include job rotations, so that the
people on a particular job aren’t tired or bored.
• Behavioral – Training employees in new ways of working, to reduce the risk of injury.
Teaching to “lift with the legs and not the back” is a common way of doing this.

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 • Personal Protective Equipment – Provide workers with safety glasses, gloves,
footwear, hearing protection, respirators, hard hats, lifting belts or outerwear that
protects them from hazards.

As you can see from the diagram, the higher priority is to utilize items at the top of the chart,
such as elimination and substitution. In cases where those options are not possible or
practical, lower methodologies can be implemented. However, the higher level options also
provide for increased effectiveness and sustainability, while the lower options require
increased time on the part of the worker and increased supervision to insure that they are
implementing those changes.

When creating procedures to control these risks, take the following into account:

• Consultation with employees and their representatives

• Job/process/workplace re-design. For example, introducing mechanical handling
equipment, rearrange material flow/timing/scheduling, raise/lower work platforms
• Removing the cause of a risk at its source (eliminating the hazard). Such as, removing
stored goods permanently from emergency exit passageways
• Selecting control measures in accordance with the hierarchy, working from most
effective to least effective control

Identify and report inadequacies in existing risk controls according to

hierarchy of control and WHS legislative requirements
While the Hierarchy of Controls is a great tool for use when determining what
methodologies to use for dealing with new risks, it is also a useful tool for examining existing
risks and solutions, with the goal of determining whether adequate risk controls have been
put into place.

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Keep in mind that not everyone in your company is going to have the same interest in
providing a risk free workplace as you do. Often times, the personnel who have to take
action on hazard reports are somewhat removed from the hazard, making it less grave in
their eyes. Additionally, just as WHS policies and procedures are an additional duty for you,
so are they for these people who have to come up with answers to your hazard reports. Due
to other obligations and responsibilities, there may be times when they are unable to put
enough time into the evaluation of a hazard report and come up with the best possible
solution.

You always have the option of putting in another hazard report, if you feel that the resolution
provided isn’t adequate for your workgroup’s needs. Let’s say that you encounter and report
a hazard, created by the necessity of lifting heavy objects. In your mind, you need some sort
of powered lifting device, as a solution to that problem. But, what you receive as a response
to your hazard report is the direction to provide your employees with lifting belts and
training on the correct way to lift.

Remember, the idea is to work through the chart from the top to the bottom, seeking the
answer that fulfills the highest possible risk control measure. In this case, the solution
selected is from the lowest two risk controls on the hierarchy. Therefore, you have adequate
reason to dispute it, sending your hazard report back for reconsideration.

It is your responsibility as a front-line supervisor and representative of your company, to be

concerned about the welfare of your work team. The person who responded to your hazard
report may not see things the same way, especially if they don’t have any direct WHS

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responsibility. You may have to push at times, to get support staff to provide you with the
solutions that you feel you need for your workplace hazards.

Your justification is always based upon your company’s WHS policy and the Hierarchy of
Controls. If you end up sending a hazard report back through the system for reconsideration,
use those tools to justify your actions and put pressure on support staff to provide you with
a better solution to that risk.

At the same time in which you are reporting the inadequate response to your hazard report
or an existing hazard in your department, be sure to copy that report to your manager. Just
as your signature carries more weight than that of your team members, so too your
manager’s signature carries more weight than yours. He is concerned about workplace
accidents, because they affect the ability of his department to function smoothly and
efficiently. Use his clout for your benefit.

Control measures that have been implemented must be reviewed, and if necessary, revised
to make sure they work as planned.

There are certain situations where you must review your control measures, including:
• When the control measure is not effective in controlling the risk e.g. When an
incident occurs

• Before a change at the workplace that is likely to give rise to a new or different
health and safety risk that the control measure may not effectively control

• If a new hazard or risk is identified

• If the results of consultation indicate that a review is necessary

• If a health and safety representative requests a review

Control measures may be reviewed using the same methods as the initial hazard
identification step.

If, during the review process, any inadequacies are uncovered then these must be both
reported to the relevant personnel and procedures put in place to correct them. This could
include:

• A revised, or completely new, standard operating procedure to eliminate or

reduce the risk

• Engineering controls to be implemented

• Additional training for relevant personnel

• Discussion with external suppliers to provide the required additional information

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Monitor outcomes of reports on inadequacies, where appropriate, to
ensure a prompt organisational response
Once the hierarchy of control measures have been implemented it is important to review
them to ensure:

• They are effective in reducing either the likelihood or the impact of the risk

• The risk control measures are being followed

• No other hazards are identified as a result of the control measure

• Have been clearly communicated and understood by all of the team

• That they meet legislative requirements

This review will follow the same process, namely:

• Hazard identification

• Risk assessment

• Application of the hierarchy of controls

It is a legal requirement that records of injuries and illness be kept and are easily accessible
in the workplace. Some workplaces also choose to generate reports and statistics based on
workers' compensation claims. Analysis of workplace statistics can demonstrate the presence
of hazards in the workplace.

Health and environmental monitoring

Monitoring may be performed by health and safety consultants or health and safety
representatives to provide technical advice relating to suspected problems. Monitoring may
reveal that a particular process, substance or piece of equipment is a hazardous and indicate
the degree of its severity. A workplace hazard may be brought to the attention of
management outside the routine investigating and reporting systems.

Activity 4

Think carefully about your workplace or a workplace you are familiar with. Do they Implement
and monitor organisational procedures and legal requirements for identifying hazards and
assessing and controlling risks? Briefly describe how they go about doing this/could go about
doing this. (If you do not work in an organisation, briefly describe how you could go about
doing this).

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Activity 4

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Activity 4

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Just as you did with your first hazard report, be sure to maintain copies of any inadequacies
that you report. If anything, you need to keep a closer eye on these, than you do on the
original hazard reports.

It is quite normal for people to be offended when their work is rejected. By returning a
hazard report for reconsideration, you are rejecting somebody’s work. So, be ready when
they are offended by it. That’s okay, if they had dealt with the problem in an adequate way,
the first time around, you wouldn’t have any reason for rejecting their response.

The problem you’re going to have to face in that circumstance is that they may not be all
that quick in jumping back on the problem, in order to provide you with a better risk control
option. Just as you did the first time around, you need to be sure to monitor whatever action
is taken or not taken on your request. Put it in your tickler file, so that you are reminded to
check on progress. When the time comes to check, don’t stall. If you let things sit on the
back burner, others may do exactly the same thing.

While it is always better to try and work with people, there are those times when it’s
impossible. Don’t be afraid to put pressure on whoever is supposed to be providing you with
that support, if that’s what’s required. Obviously, if it seems like they are working on it, don’t
jump up and down on their desk. But, if it looks like they are just sitting on it, you might want
to jump a time or two.

You aren’t being paid to get along with that person; you’re getting paid to work with them.
Ideally, you can do that in an amiable way. However, if not, you still have a responsibility
towards your workgroup, to provide a safe workplace in accordance with WHS policy.

Be sure to keep records of every contact, what their response was, and any due dates that
they give you. Should you need to call in the big guns (your boss), you’ll need to be able to
provide that data. The easiest way to look like a fool in your bosses eyes are to get him
yelling at somebody for not providing proper support, when your information isn’t correct.
Be sure to have it and have it correct; don’t depend upon your memory.

As you’ve probably noticed throughout this course, I’m big on keeping records. I’ve learned
that lesson the hard way; from times that I needed records and didn’t have them. Although I
don’t like doing paperwork any more than the next guy, I’ve learned the value of clear,
accurate records keeping.

When you are dealing with anything that has legal of legislative implications, such as WHS
policies, legislation, regulations and procedures, you need to be sure that you are adequately
documenting everything that you do. These records are necessary to protect you, your
company and even your employees in the case of a workplace accident.

Without accurate records, you have no way of proving that all necessary WHS regulations,
policies and procedures have been fulfilled. In a court of law, the worst sort of evidence is
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testimony, especially when it is the testimony of one person against another. The courts tend
to go with the underdog in those cases, giving the case over to them. Your records could
prevent that from happening.

Accurately complete and maintain WHS records of incidents of

occupational injury and disease in work area, according to WHS policies,
procedures and legislative requirements
All records relating to health and safety in the workplace must be retained by the
organisation.
This is for the following reasons:

• To meet legal requirements

• As a record if investigations or compensation is required

• To prevent further accidents/injuries

• To rectify the cause if possible

• To train staff if necessary

• To identify trends
Many organisations chose to store these electronically. Health and safety records can
include:

• Health and safety policies and procedures

• Standard operating procedures

• Organisational code of conduct

• Training and Induction records

• Register of Injuries

• Workplace Health and Safety Committee meeting minutes

• Equipment records including inspections, maintenance and repair

• Hazard identification and risk assessments

• Workers compensation and rehabilitation

• Safety inspection and audit reports

• Hazardous substances material safety data sheets

• First aid and medical records

• Register of hazardous substances

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 • Safe Work Method Statements

• Copies of completed Incident Reports

There are legal requirements surrounding the records that must be kept. It is important that
managers familiarise themselves with their states legislative expectations. They may include:

• Original copy should be kept in the workers file

• Records should be kept and entered into a database

• Data and forms are to be kept for 7 years

Incident records
Each State or Territory WHS authority has a prescribed form in which all businesses are to
use to report accidents or dangerous occurrences.

Any incident report would provide:

• Identifying Information - Who was involved and their background information.

The exact location of the accident would be given as precisely as possible as well
as dates, times and location.

• What Happened - A step-by-step sequence would be obtained as to what

happened and to any contributing causes to the accident, which may have been
identified. This is a very crucial section to complete. It would outline the nature of
the work, the injury and the ‘mechanism’ of the injury (a fall, in contact with
substances, stress, etc.).

• Cause of Accident - This section should give a reader an understanding of

immediate cause(s) as well as the basic cause(s) of the problem. Use of this
section is made to determine whether an investigation would be needed. As this
is the heart of the investigation report, its accuracy is crucial.
The writer should have some training in identifying basic causes of accidents rather than, as
is common, an approach that tends to blame the injured party.

Copies of the reports are kept as records. These records are used to support, evaluate or
modify any accident prevention programs.

Here is an example of a report form:

Accident / Incident Report Form

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 This form must be completed if you are involved in an accident and/or injury

Worker details
Name:
Current Position Title:
Manager’s Name:
Date:
Accident / Incident Details
Date of injury / incident: Time of injury / incident:
Location where injury / incident occurred:
Description of Event:

Direct cause of injury: (e.g. tear in carpet)

Bodily Location of injury: (e.g. right wrist)
Type of injury / disease: (e.g. open wound, sprain)
Impact of injury / incident: Description of actions:

Witness Details:
Phone Contact:
Details:
Office use only
Name:

Date:

There are a number of things that you are required by WHS regulations, or your own
company’s WHS policies and procedures, to keep records of. This list is rather extensive and
can include:

• WHS audit and inspection reports

• Consultation e.g. meetings of health & safety committees, workgroup meeting
agendas including WHS items and actions
• First aid/medical post records
• Hazardous substances registers
• WHS induction, instruction and training
• Manufacturer’s and supplier’s information including dangerous goods storage
lists
• Plant and equipment maintenance and testing reports
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 • Workers compensation and rehabilitation records
• Workplace environmental monitoring records

In most cases, there are standardized forms available for recording and tracking this
information, along with instructions, included as part of your company’s WHS policies and
procedures manual. If the forms are not included therein, there are a number of web sites
available, which have WHS forms for downloading and printing.

All of your WHS forms and documentation should be kept, neatly organized in an WHS file.
You may need ready access to this information, so it is important that your filing system be
well organized. To prevent anyone from removing something from these files, they should
be stored in a lockable file cabinet.

Depending upon your company’s particular WHS policy, additional copies of some WHS
forms and documentation may need to be filed in other parts of your company. Employee
related documentation, such as for training and injuries sustained in the workplace, should
be included in that particular employee’s file. Hazardous substances need to be filed both in
your work area and in the files of whoever in your company is responsible for hazardous
materials tracking and record keeping.

The most important WHS records are those that deal with disease or injury occurring on the
job. These records are both auditable by WHS and can be requested by the courts in the
case of a law suit against your company.

Use aggregate information and data from work area records to identify
hazards and monitor risk control procedures in work area
Whilst every incident, every hazard that is identified, every risk that is managed is important
and will require its own level of investigation and procedures to limit its effect it is also
essential to aggregate the information over a period of time to identify trends and to look
for patterns.

This information will provide valuable insights into changes that may be needed to hazard
identification and risk control procedures throughout the business.

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These records also have an additional use; that of providing you a database for determining
hidden risks and hazards in your work area. Not all hazards are obvious. Some may be
hidden within particular tasks, and not be visible while your work area or work team is at rest.

As you periodically review your WHS records, keep your eye open for repetitive injuries or
illnesses. I’m not really talking about the same person getting injured over and over again,
but instead, talking about the situation where three different people get hurt the same way,
over a period of 15 months. Should you encounter that, you probably have a hidden hazard
in your work area or inadequate risk controls in place.

In order to encounter these repetitive injuries, it can be helpful to create and maintain a chart
of all work area injuries and illnesses. This would only contain the briefest of information
about each incident, describing when it occurred, who was involved and the scope and
severity of the injury.
Any other information needed can be extracted from the files.

These sorts of repetitive injury situations warrant extra investigation to determine if there is a
common root cause for the incidents. Even in the case of minor injuries, at the first aid level,
three of them in such a short period of time indicate that there is a true risk there. It also
indicates the possibility that a more serious incident may occur.

Encountering the root cause of these injuries may be difficult. The amount of time between
incidents, time since their occurrence and differences between the different incidents all
work against your investigation. However, the similarities that exist between the separate
accidents probably still exist. It could be something as simple as air hoses on the ground, or
spilled hardware, or moveable work platforms without brakes.

To find the common root cause, you have to discover what the separate accidents have in
common. If two of the incidents have the something in common, but the third doesn’t, that
probably isn’t it (although there could be more than one cause). What you’re looking for are
things that all the incidents have in common.

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When you discover the root cause, treat it like any other hazard you find in the workplace,
performing a brief risk analysis and creating a hazard report. Hopefully, you will be able to
keep any other workers from being injured in the same way.

Activity 5

When implementing and monitoring organisational procedures for maintaining WHS records
for the team industry, there are two things you need to ensure you do. List them in the table
below, then give a brief description of what they involve.

Task Brief description

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ASSESSMENT
BSBWHS401 Implement and monitor WHS policies, procedures
and programs to meet legislative requirements

Student Name
Student ID
Unit commenced (Date)
Unit Completed (Date)
I hereby certify that I have undertaken these
assessment tasks utilising my own work without
assistance from any other parties. I have not
knowingly plagiarised any work in completing
these assessment activities.

Student Signature

Knowledge Assessment (Written Tasks)

1. Legislative requirements that you may need to explain to staff members can include
what?

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2. What types of information might you need to pass on to staff members on a regular
basis?

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3. What types of activities would be included as participation in consultation?

4. What steps are involved in organisation training for staff members relating to WHS?

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5. What would you need to do in order to manage hazards in the workplace?

6. What items can be considered health and safety records?

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7. What information would an incident report provide?

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8. What is the purpose of aggregating information relating to WHS?

9. What is a person conducting a business or undertaking?

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10. Does the WHS Act apply to workers who are mobile and/or working from home?

11. Who is a worker under the WHS Act?

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12. What is the meaning of consultation under the WHS Act?

13. Are you required to have a health and safety committee (HSC)?

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14. What is a work group?

15. How is a work group determined?

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16. What is the right of the worker to cease unsafe work?

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17. How can hazards and hazardous jobs be identified?

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18. Discuss the requirements for health and safety training and the obligations on
employers.

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Assessment Outcome
Question Correct ( )
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18

Assessed by _________________________ Assessor Signature_______________ Date _________

Skills Assessment (Practical Tasks)

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ASSESSOR NOTE
These instructions must be followed when assessing the student in this unit. The checklist
on the following page is to be completed for each student. Please refer to separate
mapping
document for specific details relating to alignment of this task to the unit requirements.

This competency is to be assessed using standard and authorised work practices, safety
requirements and environmental constraints.
Assessment of essential underpinning knowledge will usually be conducted in an off-site
context. Assessment is to comply with relevant regulatory or Australian standards'
requirements.
Resource implications for assessment include:
• an induction procedure and requirement
• realistic tasks or simulated tasks covering the mandatory task requirements
• relevant specifications and work instructions
• tools and equipment appropriate to applying safe work practices
• support materials appropriate to activity
• workplace instructions relating to safe work practices and addressing hazards and
emergencies
• material safety data sheets
• research resources, including industry related systems information.

Reasonable adjustments for people with disabilities must be made to assessment processes
where required. This could include access to modified equipment and other physical
resources, and the provision of appropriate assessment support.

What happens if your result is ‘Not Yet Competent’ for one or more assessment tasks?

The assessment process is designed to answer the question “has the participant satisfactorily
demonstrated competence yet?” If the answer is “Not yet”, then we work with you to see how
we can get there.

In the case that one or more of your assessments has been marked ‘NYC’, your Trainer will
provide you with the necessary feedback and guidance, in order for you to resubmit/redo your
assessment task(s).

What if you disagree on the assessment outcome?

You can appeal against a decision made in regards to an assessment of your competency. An
appeal should only be made if you have been assessed as ‘Not Yet Competent’ against specific
competency standards and you feel you have sufficient grounds to believe that you are entitled
to be assessed as competent.

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You must be able to adequately demonstrate that you have the skills and experience to be
able to meet the requirements of the unit you are appealing against the assessment of.

You can request a form to make an appeal and submit it to your Trainer, the Course
Coordinator, or an Administration Officer. The RTO will examine the appeal and you will be
advised of the outcome within 14 days. Any additional information you wish to provide may
be attached to the form.

What if I believe I am already competent before training?

If you believe you already have the knowledge and skills to be able to demonstrate
competence in this unit, speak with your Trainer, as you may be able to apply for Recognition
of Prior Learning (RPL).

Credit Transfer
Credit transfer is recognition for study you have already completed. To receive Credit Transfer,
you must be enrolled in the relevant program. Credit Transfer can be granted if you provide
the RTO with certified copies of your qualifications, a Statement of Attainment or a Statement
of
Results along with Credit Transfer Application Form. (For further information please visit
Credit Transfer Policy)

Task 1 – WHS Policy and Procedure Implementation

Part 1: Investigation- Who is Responsible for WHS?

Using State and Federal government websites and other sources as required, summarise the
WHS legislative responsibilities, duties and obligations of the following people in your
organisation: (no more than 2 pages)
• managers
• supervisors
• persons conducting businesses or undertakings (PCBUs) or their officers
• workers in the workplace

Part 2: WHS Policies and Procedures Meeting

For this task you will need to investigate your organisation’s, and organisation you have
access to or a simulated organisation's policies and procedures and prepare a WHS
Induction Kit for a new employee. You will then present your “kit” at a meeting of colleagues
(minimum 4 attendees at the meeting) and get their feedback on the information you have
prepared. You will need to submit the following documentation for this task:

• Information provided to participants prior to the meeting (including time, date, venue,
purpose)
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• WHS Induction Kit including information about the following topics ( this may be in the
form of fliers, or booklets, or a report):
o Organisational procedures for hazard management o Kinds of hazards/risks that might
be encountered in your workplace o Organisational procedures if there is a fire or another
kind of emergency including evacuation procedures o How WHS incidents are investigated
and reported in the organisation

• Meeting agenda

• Checked and edited meeting minutes

• A brief explanation (2-3 key points) of how your Induction Kit conforms with organisational
policies/procedures including how culturally appropriate language has been used

• Feedback regarding the WHS Induction Kit including 2-3 things that colleagues thought
you did well and 2-3 things that you could improve so that the message regarding WHS is
clearer.

Part 3: Risk Assessment and Action Plan Meeting

For this task you will need to undertake a risk assessment of your workplace, a workplace you
have access to or a simulated workplace, and present your findings at a meeting with work
colleagues (minimum 4 attendees at the meeting). You will need to submit the following
documentation associated with the meeting:

• Information provided to participants prior to the meeting (including time, date, venue,
purpose)

• Support materials including:

o An overview of the Hierarchy of Control as it applies to workplace hazard control
(diagram) o A completed Risk Assessment and Hazard Control Action Plan for you
workplace containing a minimum of 5 potential hazards/risks including:

• Type of hazard/risk
• Level of risk
• Risk management strategy (follow the Hierarchy of Control)
• Responsibility for implementing risk management strategy

• Meeting agenda including: o discussion of risk management strategies o

development of 2-3 strategies for ensuring that all staff are aware of their WHS
responsibilities in an ongoing way

• Checked and edited meeting minutes

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 • A WHS Training Plan for a new staff member to ensure they understand the risks
associated with their job and their responsibilities in the organisation. The Training
Plan should include:
o Procedures for induction (what is covered and how) o Use of
colleagues for coaching/mentoring (what is covered and how) o
Formal training options including associated costs

Observation Checklist
Observation Criteria S NS
Accurately explained to the work team relevant provisions of WHS
Acts, regulations and codes of practice
Provided information about the organisation’s WHS policies,
procedures and programs, and ensure it is readily accessible to, and
understandable by the work team
Provided and clearly explained to the work team information about
identified hazards and the outcomes of risk assessment and control
Communicated to workplace parties the importance of effective
consultation mechanisms in managing health and safety risks in the
workplace
Applied consultation procedures to facilitate participation of the
work team in managing work area hazards
Promptly dealt with issues raised through consultation, according to
organisational consultation procedures and WHS legislative and
regulatory requirements
Promptly recorded and communicate to the work team the
outcomes of consultation over WHS issues
Identified WHS training needs according to organisational
requirements and WHS legislative and regulatory requirements
Made arrangements to meet WHS training needs of team members
in consultation with relevant individuals
Provided workplace learning opportunities and coaching and
mentoring assistance to facilitate team and individual achievement
of identified WHS training needs

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Identified and reported to management the costs associated with
providing training for work team, for inclusion in financial and
management plans
Identified and reported on hazards in work area according to WHS
policies and procedures and WHS legislative and regulatory
requirements
Promptly actioned team member hazard reports according to
organisational procedures and WHS legislative and regulatory
requirements
Implemented procedures to control risks using the hierarchy of
control, according to organisational and WHS legislative
requirements
Identified and reported inadequacies in existing risk controls
according to hierarchy of control and WHS legislative requirements
Monitored outcomes of reports on inadequacies, where appropriate,
to ensure a prompt organisational response
Accurately completed and maintained WHS records of incidents of
occupational injury and disease in work area, according to WHS
policies, procedures and legislative requirements
Used aggregate information and data from work area records to
identify
hazards and monitor risk control procedures in work area

Outcome
 Satisfactory  Unsatisfactory

Comments:

Date ______________________

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Signed _____________________________ (Assessor)

Signed ______________________________(Student)

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Task 2 – WHS Policy and Procedure Case Studies
Case Study 1
A host employer employing 80 people undertakes work where the common hazards are
machinery and chemicals. The injury register shows that the most frequent injuries in the
workplace are lacerations and burns.

While the WHS Regulations still require the provision of first aid equipment, the number of
first aiders, kit numbers and contents will not be mandated as in the current NSW OHS
Regulations.

Further guidance will be provided in the First Aid Code of Practice. Issues to consider:
• What is the size and layout of the workplace?
• Is the workplace in close proximity to medical services or hospitals?
• How many trained first aiders are needed?
• Do any workers work off site?

What First Aid arrangements are likely to be adequate?

What are your responsibilities as a PCBU to your apprentices at this host employer site?

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Case Study 2

A host employer company that assembles car parts for distribution operates from a factory. A
recent review of health and safety by the Field Officer on a monitoring visit indicated that the
lighting levels may not be adequate at this site. The apprentice tells the Field Officer that no
one talks to her about safety and she doesn’t know if there are HSRs on site or not. She has
begun to experience headaches that she thinks may be due to poor lighting.

What are your obligations?

The host employer does have a HSR who becomes involved. In response, the company
upgrades the lighting in the assembly areas but the HSR for that area does not believe that
the problem has been solved and seeks a further review as allowed by the WHS Regulations.

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Issues to consider
• How detailed is the assembly work being undertaken?
• Have there been any reports of problems resulting from lighting levels (e.g. eye strain)?
• Does the lighting level comply with the Building Code recommendations on lighting?

How would this situation be managed and resolved?

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Case Study 3

A manufacturing host workplace begins manufacture of a new product and in the process
fumes are released into the working environment. This is the first time the process has been
carried out.

Two of your apprentices have contacted their Field Officer to report discomfort in that part
of the factory.

Issues to consider
• What is the substance?
• Do the airborne contaminants have a specific exposure standard that must not be
exceeded?
• What is the method for extracting contaminants (e.g. natural ventilation, exhaust system)?
• What are the health effects of exposure?

What actions do you take?

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Should the PCBU carry out air monitoring to establish what the fumes are and whether they
exceed an exposure standard?

Case study 4
A significant change, commencing 1 January 2013, is the use of residual current devices.
Guidance on when residual current devices are required is currently being developed.

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1. What are some common electrical hazards in your workplace or a workplace you are
familiar with?

2. What measures do you currently use to manage the risks of your biggest hazard?

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3. What is the WHS Regulation in regards to Residual Current Devices?

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4. What does the WHS regulation state needs to be done in regards to testing and electrical
equipment?

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5. What is the regulation in regards to the use of Energised Electrical Equipment?

6. What is the responsibility of a PCBU in regards to work around overhead and underground
electric lines?

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Falls
This part outlines specific requirements for the management of risks of falls. However, the
provisions under the WHS Regulations apply to a fall by a person from one level to another
rather than specifically a fall from heights. In managing a risk, a PCBU must ensure, so far as
is reasonably practicable, that work involving the risk of a fall is carried out on the ground or
a solid construction. In the event that the risk cannot be eliminated a PCBU is required to
provide adequate protection to minimise the risk of a fall.
1. What is the expectation of a PCBU in minimising the risk of falls in a workplace?

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2. What are some examples of ways a risk of falls can be eliminated when conducting work
tasks?

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3. In the WHS Regulations what are some examples of fall prevention devices?

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4. What are some examples of a work positioning system?

5. If a fall arrest system is used by a PCBU what procedures need to be in place at the
workplace?

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6. What are some examples of ways a PCBU can ensure a safe system of work is present in a
workplace to prevent falls?

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Noise
The requirements for the duty holder to manage the risk of hearing loss are substantially the
same as currently prescribed under the OHS Regulation. However, a new requirement under
this part is

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the provision for a PCBU to provide audiometric testing for a worker who is frequently
required to wear hearing protection to protect against noise above the exposure standard.

1. What is the maximum nois

2. When should audiometric testing be provided to a worker by a PCBU and how often
should it be conducted?

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3. Under what circumstances would a PCBU be expected to conduct a review of noise
hazards in a workplace?

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Hazardous manual tasks
This part requires PCBUs to manage risks associated with hazardous manual tasks. The PCBU
must determine control measures to manage the risk of injury by taking into account matters
such as the design of the work area, systems of work, and layout of the workplace. The code
of practice provides guidance on managing the risks of manual tasks, including guidance on
identifying, assessing and controlling risks associated with manuals tasks.

1. What is the responsibility of a PCBU in managing musculoskeletal disorders associated

with hazardous manual tasks such as lifting, repetitive movement, awkward postures and
exposure to vibration?

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Case Study 5
A tree feller employed by a timber harvesting company uses a chain saw to fell trees with
work days as long as 10 hours.

The faller has been supplied with hearing protection and uses it in line with instructions.

The chain saw generates noise above the exposure standard set out in the WHS
Regulations Issues to consider
• Has the noise level been checked?
• How long does the worker use the chain saw for on an average day?
• Is the hearing protection appropriate and well maintained?

Should the tree faller have his hearing tested and monitored with audiometric testing?

Case Study 6

An apprentice's job is to replenish stock from the warehouse at the back of the supermarket.
Some of this stock was stored on racking above shoulder height and the boxes were

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between 15 and 20kg in weight. When the boxes were not stacked very high he could reach
and bring down each box to a trolley for moving the stock to the supermarket shelves.

Continual reaching and lifting above his shoulders began to cause pain in his upper arm
and shoulder area.
Issues to consider
• How often does this have to be done?
• Are the products in standard shape packages?
• How deep is the racking and how far does the worker have to reach?

Is this a hazardous manual task and what does the regulation require if it is?

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Case Study 7
A host employer has a warehouse that operates by picking stock off pallets and transporting
them by forklift to the loading bay. The walls are Asbestos Cement (AC) sheeting that has
been sealed and noted in the asbestos register. Several impacts from forklifts on one wall
has left the AC in poor condition.

Issues to consider
• Is it reasonably practicable to remove the AC sheeting?
• Are there other options?
• What other requirements must the PCBU meet?

What should the host employer do to address the risk?

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What should you do to address the risk?

Case Study 8
A company has load shifting equipment that it uses. An apprentice has been placed with this
host and he will be required to operate a forklift. This equipment does not require a high risk
work licence under the new WHS regulations.

Issues to consider
• Does the Act general duty apply?
• Does the Managing Risk section of the WHS regulation apply?
• Is there any guidance on competency for this equipment

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• What is your responsibility for the appropriate training as a PCBU?

Does the PCBU still have to manage this equipment safely? What duties apply?

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Observation Checklist
Observation Criteria S NS
Case study responses demonstrated skills and knowledge to:
Accurately explained to the work team relevant provisions of WHS
Acts, regulations and codes of practice
Provided information about the organisation’s WHS policies,
procedures and programs, and ensure it is readily accessible to, and
understandable by the work team
Provided and clearly explained to the work team information about
identified hazards and the outcomes of risk assessment and control
Communicated to workplace parties the importance of effective
consultation mechanisms in managing health and safety risks in the
workplace
Applied consultation procedures to facilitate participation of the
work team in managing work area hazards
Promptly dealt with issues raised through consultation, according to
organisational consultation procedures and WHS legislative and
regulatory requirements
Promptly recorded and communicate to the work team the
outcomes of consultation over WHS issues
Identified WHS training needs according to organisational
requirements and WHS legislative and regulatory requirements
Made arrangements to meet WHS training needs of team members
in consultation with relevant individuals
Provided workplace learning opportunities and coaching and
mentoring assistance to facilitate team and individual achievement
of identified WHS training needs
Identified and reported to management the costs associated with
providing training for work team, for inclusion in financial and
management plans
Identified and reported on hazards in work area according to WHS
policies and procedures and WHS legislative and regulatory
requirements
Promptly actioned team member hazard reports according to
organisational procedures and WHS legislative and regulatory
requirements
Implemented procedures to control risks using the hierarchy of
control, according to organisational and WHS legislative
requirements

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Identified and reported inadequacies in existing risk controls
according to hierarchy of control and WHS legislative requirements
Monitored outcomes of reports on inadequacies, where appropriate,
to ensure a prompt organisational response
Accurately completed and maintained WHS records of incidents of
occupational injury and disease in work area, according to WHS
policies, procedures and legislative requirements
Used aggregate information and data from work area records to
identify hazards and monitor risk control procedures in work area

Outcome
 Satisfactory  Unsatisfactory

Comments:

Date ______________________

Signed _____________________________ (Assessor)

Signed ______________________________(Student)

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BSBWHS401 Implement and monitor WHS policies, procedures and
programs to meet legislative requirements

Assessment Outcome Record

In order to be deemed competent in this unit, the candidate must answer all written
questions correctly and satisfactorily complete all practical tasks. In order to complete all
practical tasks, all Observation Criteria need to be satisfied, i.e. demonstrated and marked
as an 'S'. The task summary outcome must be noted as satisfactory to note the
demonstration of a satisfactory outcome for each practical task requirement.

Student Name

 Not Yet  Competent

Competent

Comments

Assessor (Name)

Assessor Signature

Date

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 Student Feedback Form
Unit BSBWHS401 Implement and monitor WHS policies, procedures and
programs to meet legislative requirements
Student Name: Date
Assessor Name:
Please provide us some feedback on your assessment process. Information provided on this
form is used for evaluation of our assessment systems and processes.
This information is confidential and is not released to any external parties without your
written consent. There is no need to sign your name as your feedback is confidential.
Strongly Strongly
Agree
Disagree Agree

I received information about the assessment

1 2 3 4 5
requirements prior to undertaking the tasks

The assessment instructions were clear and easy to

1 2 3 4 5
understand

I understood the purpose of the assessment 1 2 3 4 5

The assessment meet your expectation 1 2 3 4 5

My Assessor was organised and well prepared 1 2 3 4 5

The assessment was Fair, Valid, Flexible and Reliable 1 2 3 4 5

My Assessor's conduct was professional 1 2 3 4 5

The assessment was an accurate reflection of the

1 2 3 4 5
unit requirements
I was comfortable with the outcome of the
1 2 3 4 5
assessment

I received feedback about assessments I completed 1 2 3 4 5

Too Great Too

The pace of this unit was:
Slow Pace Fast
Comments:

Please return this completed form to Reception once you have completed this unit of
competency.

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