BSBWHS402

Assist with Compliance with WHS Laws

© JJS
 Hyperlinks
This presentation may contain links to web pages.
These are highlighted and underlined in orange.

You are strongly advised to visit the web pages behind each
of these links to enhance your understanding of the issues
being discussed.

Ensure you quote the relevant web page if you use any
material in your assessment tasks.
NOTE: The presentation needs to be in Slideshow mode for hyperlinks to be
active

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 Resources
WHS Policies and Procedures
Available in the Rhodes College Student Files
 VECCI

 Sample WHS Pro Forma Policies and Procedures

 Rhodes College OHS (Practical) Manual

Available via the internet

 RMIT1, Coles1, Woolworths1, BHP1, Bunnings1, Rio Tinto1,

Swinburne1

1. Used for teaching purposes only

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 Objectives
 Know Access current WHS legislation and related
documentation relevant to the organisation’s operations
 Learn how to provide advice on WHS compliance
 Understand how to assist with providing advice on WHS
compliance
 Discover Assist with WHS legislation compliance measures
 Gain the essential skills and knowledge required for this unit

4
Assist with determining the legal
framework for WHS in the workplace
Part 1.1
Access current WHS
legislation and related
documentation relevant to
the organisation’s
operations

3
OHS Legislation aims to:

 Secure the health safety and welfare of employees

 Seeks to eliminate risk at the source
 Ensures that the business activitys of the employer,
self employed does not put any one at risk including
the public
 Through tripartite involvement it seeks to formulate
‘Health, safety and welfare standards.

Ref Occupational Health and Safety Act 2004 Nov 2017

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 Regulators

 WorkSafe
◦ Victoria (Vic)
◦ Western Australia (WA)
◦ Tasmania (Tas)
◦ Australian Capital Territory (ACT)
◦ Northern Territory (NT)

 SafeWork
◦ South Australia (SA)

 WorkCover
◦ New South Wales (NSW)
◦ Queensland (Qld)

Comcare -Commonwealth regulator.

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 Legislation may include:
 Common Law
 Contract Law
 Criminal Law
 Dangerous Goods
 Environmental Protection
 Equal Opportunity and Anti-Discrimination Law
 Industrial Relations Law
 Privacy
 Workers Compensation
 Trade Practices

8
 Duty to Consult
Employers are required to share information and consult with
employees:
 Policies and Procedure updates

 Changes to WHS legislation and how it will impact on

their job role

 Training needs and training being offered

 Issues relevant to the workplace.

 Whilst establishing and agreeing on Issue resolution

procedures, if a procedure exists, must be followed,

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 Accessing Information
Ensure you determine which legislation and guidance material is
relevant to the organisation and…
 identify where the work is taking place,
 understanding what geographical jurisdiction applies;
 consider the activities being undertaken,
 understand the subject matter jurisdictions e.g. construction, manufacturing;
 identify risks that arise from the activities, to understand what specific

legislation and guidance material applies e.g. use of chemicals, manual

handling;
 understand the role/s that the organisation plays e.g. designers,

manufacturer or suppliers of plant; and

 identify employment relationships e.g. contractors, volunteers.

Sometimes information may be difficult to access. You may

need to:
 Obtain permission to access information from another department

 Obtain permission to access personal information from another worker

 Complete appropriate paperwork for access to computer files

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 Assist with determining the legal
framework for WHS in the workplace
Part 1.2
Use knowledge of the
relationship between
WHS Acts, regulations,
codes of practice,
standards and guidance
material to assist with
determining legal
requirements in the
workplace

9
 WHS Act and Regulations
 Requirement of law
 Employers (known as PCBUs in some jurisdictions)

may be fined, sued

or jailed for breach
of the WHS / OHS laws

12
 Codes of Practice
 Not a legal tool
 Can be used to demonstrate

that the organisation followed

their legal requirements
 Can be used to assist workers

in developing their policies

and procedures

13
 Role of Regulators
 Regulators need to work together to monitor
compliance and any actions that would impede the
implementation of the law, regulations, codes of
practice and standards.
 One of the reasons for a harmonised approach to

WHS is the need to consolidate compliance and

minimise confusion or duplication of the law.

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 Regulatory Compliance
 Aims to ensure that organisations and public bodies
are aware of the law and take steps to follow them.

15
 WHS Regulations
 Provide employers with the steps to develop
their Work Health and Safety policies and
procedures under the Act. They are a
legislative requirement.
 Failure to follow a regulation is a breach of

legislative requirements and you may be

prosecuted under the law.

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 Compliance codes and Codes of
practice
 Compliance codes and Codes of
practice provide practical guidance to
those who have duties or obligations
under occupational health and safety,
dangerous goods and workers
compensation legislation.
 If you comply with a code, you are

deemed to comply with the Act or

Regulation duty covered by the code.
However, codes are not mandatory and
duty holders may choose to use some
other way to achieve compliance.

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 Current Codes of Practice
 Confined spaces
 Hazardous Manual Tasks

 How to Safely Remove Asbestos

 How to Manage and Control Asbestos in the Workplace

 Labelling of Workplace Hazardous Chemicals

 Managing Noise and Preventing Hearing Loss at Work

 Managing the risk of falls at workplaces

 Managing the Work Environment and Facilities

 Preparation of Safety Data Sheets for Hazardous Chemicals

 Work Health and Safety Consultation, Cooperation and Coordination.

There are other codes in development e.g. Bullying

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 Staying up to date ….
 Occupational Health and Safety (OHS) compliance codes
  Compliance code: Communicating occupational health and safety across languages [PDF, 1MB] *
  Compliance code: Confined spaces [PDF, 1.2MB] *
  Compliance code: First aid in the workplace [PDF, 1MB] *
  Compliance code: Workplace amenities and work environment [PDF, 965kB] *
  Compliance code: Managing asbestos in workplaces [PDF, 1.8MB] *
  Compliance code: Removing asbestos in workplaces [PDF, 3.3MB] *
  Compliance code: Foundries [PDF, 1.7MB] *
  Compliance code: Prevention of falls in general construction [PDF, 3.2MB] *

On 18 June 2017 the Occupational Health and Safety Regulations 2007 were
*
repealed and replaced by the Occupational Health and Safety Regulations 2017.
Complying with a compliance code made in relation to the old regulations may
not necessarily mean compliance with a duty under the new regulations.
 These compliance codes continues to be available as a source of practical

guidance, and will contribute to industry state of knowledge, to assist those

who must comply with health and safety laws.

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 Australian Standards
Standards are designed to:
 Protect Australia in ensuring that expected standards are

met consistently
 Support Australian innovation by acting as a platform for

new ideas
 Boost Australian production and productivity by saving

money for business by helping to ensure that production

costs are cut
 Stimulate business competition by giving business a

competitive edge over those that do not meet expected

standards
 ISO and AS/NZ standards

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 Exposure Standards
 Aim to ensure that individual exposure to chemicals in the
workplace are kept to a minimum so that workers are not
impaired or in any discomfort on the job.

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 Guidance Notes
Guidance material assists in identifying risks that arise
from the activities, the material will also assist you to
understand what specific legislation applies
e.g. use of chemicals, manual handling;

If you ever require any help with legislation,

regulations, standards and codes of
practice/compliance codes, you should read the
guidance notes relating to the topic.

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 Industry Standards
 Workplace policies and procedures may also
incorporate industry developed standards
 Industry standards ensure that industry is consistent

and current.
 Standards are usually performance

based and in alignment with

internationally adopted standards

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 International Standards
 Is a global organisation that develops standards upon
which processes and procedures are developed.
 This is done so that industry has a chance to ensure

consensus arises from not only industry, but all of its

stakeholders.
 Is also a bridge between the public and private

sectors and takes into consideration the needs of

society.

24
 Safe Work Australia (SWA)
SafeWork Australia are an inclusive, tripartite body
SWA -work in partnership with governments, employers
and employees—to drive national policy development on
WHS and workers’ compensation matters.
SafeWork Australia
 develop and evaluate national policy and strategies
 develop and evaluate the model WHS legislative

framework
 undertake research, and
 collect, analyse and report data.

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Assist with determining the legal
framework for WHS in the workplace
Part 1.3
Assist with identifying
and confirming the
duties, rights and
obligations of individuals
and parties as specified
in legislation

26
 Job description and associated
policies and procedures
If written correctly a job description should clearly
state your role and the responsibilities associated with
the role.
It should include
specific tasks and
reporting responsibilities
in line with policies and
procedures

27
 Personnel and legal obligations
All of the following have legal responsibilities under WHS
legislation.
 Employees

 Employers

 Self employed persons

 Persons in control of workplaces

 Designers, manufacturers, suppliers of plant and substances

 Erectors and installers

 Employees and contractors

 WHS committees

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 Employers or PCBUs
‘Model’ Work Health and Safety (WHS) laws identify employers as PCBUs.

 S21 Duties of employers to their employees include;maintain a working environment

that is safe and without risk to health, including safe plant and systems of work, use
handle store or transport chemicals/plant, maintain the work place, provide adequate
facility’s, provide information instruction training supervision to enable persons to
perform work safely.
 S22 Duty to monitor health and conditions, this includes providing the names of persons
to whom an enquiry or complaint may be made, in such languages as appropriate.
 S23 Employers duties to other persons, that is not to expose others at risk during the
conduct of undertakings of the employer.
 S24 Self-employed persons also have duties not to expose others at risk during the
conduct of their undertaking

Are these laws from the OHS or WHS Act?

29
 Employees
 ‘Model’ Work Health and Safety (WHS) laws
identify employees as workers

 S25 Employees have duties to take care of themselves and

others and to co-operate with employer and assist them in
meeting their duties, if an employee failed to take care,
regard must be had to what they knew about the relevant
circumstances.

 Are these laws from the OHS or WHS Act?

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 Self-employed Persons
 Self-employed persons also have duties not to
expose others at risk during the conduct of their
undertaking
 Reference: Occupational Health and Safety Act 2004 Section 24 Nov 2017

 The self employed person is identified

as ‘Self-employed’ persons under WHS and OHS
however the duties may vary state to state

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 Persons in control of workplaces
Persons conducting a business or undertaking (PCBUs)
are required:
 To maintain control of the workplace, except in the

case of a prescribed person or the occupier of a

residence for conduct of business
 To provide the ability to enter and leave a workplace

as far as reasonably practicable for the purpose of

ensuring the health and safety of others.
Work Health and Safety Act 2011 Section 20 Nov 2017
Duty of persons conducting businesses or undertakings involving
management or control of workplaces

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Designers, Manufacturers, Importers,
Suppliers of Plant and Substances
The designer (Section 22), the manufacturer (Section
23), the importer (Section 24) and the suppliers of
plant (Section 25) must ensure:
 That plant, substance and structure are used or

could reasonably be expected to be used, in the

workplace
 That is, whatever plant or equipment that is supplied

must work as expected

in a safe manner
Work Health and Safety Act 2011 Section 22-25 Nov 2017

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 Employees and Contractors
Under Section 7 of the WHS Act determines the
meaning of a worker, a contractor is considered to be a
contractor or subcontractor when they carry out work
in any capacity for a person conducting a business or
undertaking.
That is, when they are on a
premises, even providing a quote,
they are considered to be working

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 Workers
All workers must:
 Take care of their own health and safety

 Ensure that they do not make errors that

place others at risk

 Comply with reasonable instruction allowing

them to comply with the Act

 Co-operate with reasonable policy and

procedures to ensure health and safety in

the workplace.
 Reference:Work Health and Safety Act 2011 Section 29
Nov 2017

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 WHS Committees

The Health and Safety Committee requirements are included in

WHS and OHS Legislation.

WHS requires a HSC must be established within two months

after being requested to do so by a health and safety
representative for a work group of workers carrying out work in
the workplace, or if five or more workers employed in the
workplace request its formation.

Reference: Work Health and Safety Act 2011 Section 75-79 Health and
safety committees Nov 2017

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 WHS representatives
A WHS representative is elected when
they are a member of the workgroup
They are not eligible if they have been
disqualified (Section 60) by the
Magistrates Courts because they
performed an act for an improper
purpose; or disclosed information that
they should not have provided outside
their role Health and Safety
Representative (Section 65).

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 Assist with determining the legal
framework for WHS in the workplace
Part 1.4
Assist with seeking advice
from legal advisors where
necessary

38
Keep up to date with changes to WHS

 Safe Work Australia

 Your State/Territory Regulators
 Obtain ongoing email updates

39
 HSR may request assistance
In exercising a power or performing a function,
the health and safety representative may
whenever necessary, request the assistance of
any person.

Note: A health and safety representative also has

a power under Division 6 to direct work to cease
in certain circumstances and under Division 7 to
issue provisional improvement notices
 Reference: Work Health and Safety Act 2011 68  Powers and
functions of health and safety representatives Nov 2017

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 Legal Advisors

Legal advisors may include:

 WHS professional bodies

 WHS specialists

 Regulatory authorities

 Unions

 Employer Groups

 Industry bodies

 Government WHS inspectors

 Referral of issue to regulator for resolution by inspector

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 Issue resolution
The regulator may need to deal with:
◦ A WHS entry permit-holder
◦ The relevant union
◦ The relevant person conducting the business or undertaking;
◦ Any person to whom the WHS entry-holder has exercised rights
of entry
◦ Anyone affected by the WHS entry permit holders right of
entry.

See Work Health and Safety Act 2011 Division 3—Entry to consult and advise
workers for more detail.

42
Assist with providing advice on WHS
compliance
Part 2.1
Assist with providing
advice to individuals and
parties about their legal
duties, rights and
obligations, and where
they are located in WHS
legislation

43
 Codification (1)
 Is the collection and arrangement, usually by subject,
of the laws and the statutory rules, regulations that
govern the area or subject of law of practice.
 Codes are usually arranged for the appropriate

legislation into a plan or system that appropriate

personnel can follow when they perform their
duties.
If contacting the regulator/legal expert ensure you know the
noncompliance - Section/Code Eg Occupational Health and Safety Act
2004 Section 21(1)(e)
Discussion -Look this code up and discuss
the implications and compliance issues.

44
 Codification (2)
 Allows personnel to easily access information such as
their duty of care under the WHS Act.

 The information is accessible, user friendly and easy to

follow.

 Work health and safety legislation is the codification of

the common law duty of care.
◦ This means that all duty holders must do everything that is
“reasonably practicable” to protect the work health and safety
of everyone at the workplace.

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 Codification (3)
Codification affects:
 Employers
 Company Directors
 Managers
 Supervisors
 Employees
 WHS representatives and

committees
 Contractors

46
 Duties and WHS legislation

Further
Further Duties
Duties of
of
persons
persons Duties
Duties of
of
Primary
Primary Duties
Duties of
of Duty
Duty of
of
conducting
conducting aa others
others at the
at the
Duty
Duty of
of Care
Care officers
officers workers
workers
business
business or
or workplace
workplace
Section
Section 19
19 undertaking
undertaking Section
Section 27
27 Section
Section 28
28 Section
Section 29
29
Section
Section 20
20 -
- 26
26

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Example of Codification

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 Employers and Duty of Care
To support the codification of duty of care, employers are
required to provide support for the Work Health and Safety
legislation, regulations and codes of practice by:
 Ensuring that they provide a healthy and safety work

environment for workers and others

 Provide a risk management system

 Providing training, information and education so workers and

others such as health and safety representatives can

contribute and participate in the decision making process
 Providing a systematic approach to managing Work Health

and Safety issues.

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Assist with providing advice on WHS
compliance

Part 2.2
Assist with providing
advice to individuals and
parties about the
functions and powers of
the WHS regulator and
how they are exercised,
and the objectives and
principles underpinning
WHS

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 WHS Inspectors
Inspectors may issues the following
 Prohibition notice
 Improvement notice
 Non disturbance notice

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 Prohibition Notice (1)

Prohibition notices can be issued when a

serious risk to the health and safety of a
person who is exposed to a hazard or an
activity that a person performs that will
involve a serious risk

52
 Prohibition Notice (2)
An inspector can give a prohibition notice to the person
who controls the activity.
Instructions can be either verbally or in writing that
prohibit:

 The activity
 The execution of that activity

53
 Prohibition Notice (3)
The prohibition notice should contain:
 The reason for, or the belief that, the

prohibition notice should exist

 A brief outline of the activity and the

risks involved
 The provision of the Act that the

inspector believes is being contravened.

 The directions to be followed to remedy

the risk (Section 195)

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 Prohibition Notice (4)
The notice should cover:
 Across a workplace or part of that workplace, anything not to be used in

connection to the activity

 Any procedure that should be followed in relation to the activity. (Section

196)
 For example, the introduction of a new chemical to
a worksite caused a noxious odour that caused workers
to complain of nausea and illness by the end of the workday.
The safety data sheet stated that the chemical is
environmentally friendly. However, when in contact
with the raw material in the workplace, it would emit
the noxious odour.
 In this case, the worker received a prohibition notice that stated
that the worker could not apply the chemical to the surface as it
placed workers at risk. The worker had to comply to this prohibition
order or notice. (Section 197)

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 Non disturbance notice
A non‑disturbance notice may require the person to:
 preserve the site at which a notifiable incident has

occurred for a specified period; or

 prevent the disturbance of a particular site (including

the operation of plant) in other circumstances for a

specified period that is reasonable in the
circumstances
 Reference: Work Health and Safety Act 2011 Division 3—
Non‑disturbance notices Nov 2017

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 Improvement Notice (1)

Improvement notices are issued by an

inspector when they:
Are a remedy under the WHS Act
Prevent a contravention of the WHS Act
Remedy the things or operations causing
the contravention or likely contravention.
(Section 191)

57
 Improvement Notice (2)
The improvement notice may include directions.
The person who is issued the notice must comply

within the time specified or they can be fined.

(Section 193)
However, the person who was issued the notice can

apply for an extension on the compliance period only if

the compliance period has
not ended (Section 194).

58
 Improvement Notice (3)
Failure to comply with an Improvement notice
may lead to a fine up to and including:

 $50 000 for an individual

 $250 000 for a body corporate.

59
Provisional Improvement Notice (1)

Provisional improvement notices can be

issued by Health and Safety Representatives
(HSR) to personnel in regards to:
 Remedying the contravention
 Preventing a contravention from
happening
 Remedying the operations or thing
causing the contravention.

60
 Provisional Improvement Notice (2)
 This notice should not be issued until the health and safety
representative has
◦ Spoken to the person
◦ Received the appropriate training
◦ Previously completed training for another workgroup
◦ Completed training equal to the training corresponding with WHS law.
 This notice also cannot be issued if an inspector has already
issued a provisional notice or an improvement notice relating
to the same issue. (Section 90)

61
 Provisional Improvement Notice (4)
Notice of the contravention must be in writing and the
provisional improvement notice must state
 What the person is contravening

or
 What has been contravened

or
 What is likely to be contravened

(Section 92)

62
 Provisional Improvement Notice (5)
 To deface a notice during the enforcement of that
notice under Section 97 and
 To contravene the provisional improvement notice

May include a fine up to and including:

o $5 000 for an individual
o $25 000 for a body corporate

63
 Notices
Notices must be displayed
 In a prominent position and must not

be defaced or removed during the

term the notice is in force (Section
210)
 Failure to comply can lead to fines up

to and including:
o $5 000 for an individual
o $25 000 for a body corporate

64
 Non Compliance
Where a person still fails to comply, they may be faced
with an injunction for non-compliance.
 The regulator can apply to the Supreme Court for an

injunction compelling a person to comply or

restraining them from contravening the notice.
 The Regulator can do so irrespective of the offence

and whether compliance with

the notice has expired.
(Section 215)

65
 A Statute

Legislation can be a single law called (a statute) or a

collection of laws. Legislators are members of
parliament that make the laws. All personnel must
comply with the laws that apply to them.

66
 Common Law

Rules are made in the federal and state courts. These

laws are recognised by the courts and are not subject to
statute. Judges play a large role in the shaping of
common law

67
 Negligence and Harm
 Negligence does not arise out of careless acts.
 A person is only liable for harm if there is a

foreseeable consequence of their actions, which is a

failure to demonstrate reasonable care and skill.

68
 Negligence and Common Law (1)
Under negligence at common law, there will not be a
breach of duty where injury arises as a result of a
person’s failure to act, except in:
 Doctor and patient
 School authority and student
 Local councils
 Statutory authorities

69
 Negligence and Common Law (2)
Three factors will determine whether the plaintiff was
considered vulnerable:
 Was the defendant in control?
 Did the plaintiff rely on the defendant?
 Was the defendant in a position to be protective of

the plaintiff?

70
 Negligence and Common Law (3)
Economic loss is the financial loss unaccompanied by
physical injury to person or property. There are two
situations where you may recover for economic loss
including:
 Relational interests
 Negligent misrepresentation

71
Negligence and Common Law (4)

Please note that since 2002, salient care has been

used to determine whether a duty of care should be
imposed on the defendant. Laws are continuously
changing. It is important to make sure that you
monitor these changes and how they will impact on
you.

72
 Professional Liability
 Another part of negligence is professional liability.
 Professional liability arises when professionals give

advice that
◦ Is negligent or
◦ Fails to perform their duties under the law.
 If professional advice is given that arises out of
advice obtained from technical or WHS
professionals, they could be found liable of
negligence under the law.

73
Assist with WHS legislation
compliance measures

Part 3.1
Assist with assessing how
the workplace complies
with relevant WHS
legislation

74
 WHS Act 2011
 Ensures that the balanced and nationally consistent
framework to secure the health and safety of
workers and the workplace requires a framework for
continuous improvement and progressive higher
standards of work health and safety. (Section 3 (g)).

75
 Organisational Culture (1)

An organisational culture is:

 Built around the support and

reinforcement of health and safety

 One of the best ways in which to

reinforce a consistent framework.

 Built on health and safety and can

assist in making sure that the

organisation is compliant.

76
 Organisational Culture (2)
An organisational culture will be successful if:
 Management demonstrates support for health and

safety.
◦ Research demonstrates that when management takes a
role in the operations of the organisation, there is an
increase in worker support.

This means that management should be committed to

Work Health and Safety.

77
 Organisational Culture (3)
Management demonstrates commitment by:
 Providing ongoing feedback to workers on their

performance
 Keeping up to date with changes in legislation
 Actively participating in the Work Health and Safety

process.

78
 Maintaining Compliance (1)
A systematic approach to WHS is required to ensure
that compliance is maintained. This means:
 Policies that set the WHS Standards that will apply in the

workplace
 Procedures that aim at meeting the policies

 Safe work procedures developed to ensure that workers and

duty holders have clear instruction on how to perform their

tasks safely
 Procedures to reinforce each party’s duty of care including

incident notification to both employer and State/Territory

Regulators

79
 Maintaining Compliance (2)
 Processes in place to report and record hazards and
risks and the processes followed to ensure that
compliance is achieved.
 Election of health and safety representatives and

committees and procedures developed to support

their power and functions.
 Processes and procedures also need to be monitored

to ensure that continuous improvement is occurring

and that organisations are meeting their objectives in
regards to work health and safety.

80
 Consultation (1)
Consultation requires the participation of all members
of a workgroup.
 Share information
 Provide them with changes to express their views

and opinions
 Employers take into account their views
 Advise them of consultation outcomes.

81
 Consultation (2)
 Other parties that are adversely affected by changes should
also be invited to participate with the consultation process
especially if the process is going to have a direct impact on
them.
 Management should be invited to participate.
 The more that they are committed to work health and safety
and demonstrate that support by acknowledging the
contributions of workgroup members and other stakeholders,
the more that workers will be prepared to take responsibility
for their own work environment.

82
Assist with WHS legislation
compliance measures

Part 3.2
Assist with determining the
WHS training needs of
individuals and parties, and
with providing training to
meet legal and other
requirements

101
 Information, training, instruction or
supervision

A person conducting a business or undertaking must

ensure, so far as is reasonably practicable: “the
provision for any information, training, instruction or
supervision is made available to persons to protect all persons
from risks to their health and safety arising from work carried
out as part of the conduct of the business.”

 Reference: Work Health and Safety Act 2011 Section 19  Primary duty of care Nov
2017

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 Regulation 39
Regulation 39 of the WHS Act requires
information, training and instruction is suitable
for:
 The nature of the work being performed by the

worker
 The nature of the risks associated with the work that

the worker is performing at the time

 The control measures implemented.

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 Training Needs identified

Sources of information can be:

 Accident report forms
 Comparing current tasks with job performance
 Performance reviews
 Feedback from colleagues
 Feedback from customers / clients
 Manager reports
 Observation
 Incident report forms
 Statistics and figures on incidents and accidents

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 Skills Audit
A skills audit is another tool that can be used to identify the
need for training and ensure licensing requirements are up to
date.
Interviews with staff members and team members
Observation
Supervisor reports
General Q & A session with team member
Suggestions
Formal assessments
Surveys

Employment and personnel files

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Training and Development

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 Licensing (1)
Some activities (e.g. Forklift, Blasting,
pressure equipment, carrying
dangerous goods) will require
licensing.
 Failure to comply may include a

maximum penalty of:

o $20 000 for individuals
o $100 000 for body corporates.
 Refer to your State/Territory Regulator

to determine the licences,

qualifications, registrations, permits
and other requirements that you need
for an industry.

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Assist with WHS legislation
compliance measures
Part 3.3
Assist with developing
and implementing
changes to workplace
policies, procedures,
processes and systems
that will achieve
compliance

101
 Monitoring (1)
Monitoring determines that
standards are maintained and
improved
 It should be an objective of the

organisation to improve the quality

of the health and safety within the
workplace.
 Evidence suggests that complacency

breeds contempt.

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 Monitoring (2)
 This means that if workers become complacent, they
sometimes miss things as they start to do the job
automatically.
 Re-training revises workers and is used to overcome

this problem

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 Gap Analysis (1)
 Similar to a training needs analysis, but is used to
identify gaps in processes, procedures
◦ Evaluation of the information monitored should include an
assessment of the quality and impact of the health and
safety issue that is being monitored
 A gap analysis is a tool that will assist an organisation
in evaluating actual performance and expected
performance.

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 Gap Analysis (2)
In the instance
where there is an
increase in incidents
in the workplace,
you are identifying
that the actual
performance
(increase of
incidents) is not
meeting the
expected
performance (Nil
incidents).

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Developing a training matrix
 A training matrix will include headings such as Section/Dept,
Role/s, Site induction, Supervisor/manager training, Due
diligence, HSR, Fire warden, Evacualtion drill, Cert IV WHS,
Diploma WHS, SWP, Incident notification, First aid, Licencing.

Section Role HSR Warden Incident Licencing Evacuation drill

reportin
g

Workers Team Yes Yes Yes X6 Yes X6

leader X3 X6

Production Yes Yes Yes yes Yes X15

X3 X1 X3 X15

Maintenanc Yes Yes Yes yes

e X2 X1 X2 95
Develop a training record
Name Position Site HSR Warden SWP
induction
Harry Zim Forklift op. yes No no Yes –Start
ups LF
etc

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Samples of training records

97
98
Training log

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Training records - samples

10
0
 Non Compliance (1)
 Is an obstacle in ensuring that an organisation is not
performing its legal obligations under the law, codes,
standards, policies and procedures.
 As a worker, some of these areas will include making

sure that your team or other personnel within the

organisation contribute to achieving compliance.

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 Non Compliance (2)
Failure to comply can lead to heavy financial
penalties
To ensure that you are not faced with litigation
for failure to comply with
the law, you need to
investigate why compliance
is not occurring.

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 Consultation
 Having appropriate personnel and workers
will assist you in identifying why
compliance does not occur. The questions
you may ask include:
o What do you understand about the WHS
laws?
o Did you understand your training? If you
did not understand part of the training,
what part did you not understand? Why?

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 Appropriate action
 Mentoring
 Coaching
 Training
 Facilitation

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 Summary
WHS / OHS is an issue that all employers (including contractors
and self employed persons) need to take seriously.
The protection from harm of fellow workers and yourself should
be a primary aim of all workers.
There are many people who can assist in ensuring WHS
compliance is achieved.
Penalties for non-compliance
are heavy and may cause
a business to cease operating
due to lack of capital.

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