Student Reference Resource

BSBWHS501
Ensure a safe workplace
 Table of Contents

Unit of Competency and its Application..........................................................................................................................4

Communicate WHS..................................................................................................................................................................... 6
Commitment............................................................................................................................................................................ 6
Communication Planning......................................................................................................................................................... 7
Implementation........................................................................................................................................................................ 7
Measurement and Evaluation.................................................................................................................................................. 7
Review and Improvement........................................................................................................................................................ 8
Sources of Information............................................................................................................................................................. 8
Current WHS Legislation......................................................................................................................................................... 9
Regulations............................................................................................................................................................................ 10
Codes of Practice.................................................................................................................................................................. 10
Identify Duty Holders and Define WHS Responsibilities...........................................................................................................11
The Worker............................................................................................................................................................................ 11
The PCBU.............................................................................................................................................................................. 12
Multiple PCBUs...................................................................................................................................................................... 13
PCBU Duty to Consult........................................................................................................................................................... 13
The Officer............................................................................................................................................................................. 13
Duties of Others..................................................................................................................................................................... 14
Managing Hazards................................................................................................................................................................. 14
Health and Safety Representatives....................................................................................................................................... 15
Health and Safety Committees.............................................................................................................................................. 15
Other Duty Holders................................................................................................................................................................ 16
Financial and Human Resources Required by the WHS Management System (WHSMS)......................................................16
Identifying Resources Needed............................................................................................................................................... 16
Human Resources................................................................................................................................................................. 16
Funding WHS Initiatives........................................................................................................................................................ 17
Approving WHS Expenditure................................................................................................................................................. 17
Topic 2 - Manage WHS in a Work Area........................................................................................................................18
Participation Arrangements for Relevant WHS Legislation.......................................................................................................18
Participative Arrangements.................................................................................................................................................... 18
Benefits of Establishing Participative Arrangements.............................................................................................................18
Mechanisms........................................................................................................................................................................... 19
Providing Feedback to PCBUs.............................................................................................................................................. 19
Providing Information to Workers.......................................................................................................................................... 19
Problems with Participative Arrangements............................................................................................................................ 20
Resolve Issues Raised Through Participation...........................................................................................................................20
Identify The WHS Hazards or Issues That Need to be Dealt With........................................................................................20
Determine Appropriate Action................................................................................................................................................ 20
Specify Objectives or Performance Measures.......................................................................................................................21
Monitor the Program.............................................................................................................................................................. 21
Evaluate and Review............................................................................................................................................................. 21
Provide Information on Outcomes of Participation and Consultation........................................................................................22
Consultation........................................................................................................................................................................... 22
 Requirements to Consult with Workers................................................................................................................................. 22
Communicating Appropriately................................................................................................................................................ 23
Ensuring Accessibility of Information..................................................................................................................................... 23
Communication in a Timely Manner...................................................................................................................................... 24
Topic 3 - Procedures for Identifying Hazards, Assessing and Controlling Risks in a Work Area...........................25
Procedures for Ongoing Hazard Identification, Assessment and Control.................................................................................25
Dangerous Occurrences........................................................................................................................................................ 25
Identifying Hazards................................................................................................................................................................ 25
Developing Procedures for Identifying and Reporting Hazards.............................................................................................26
Preparing an Overview of the Work Environment..................................................................................................................26
Conducting Formal Workplace Inspections...........................................................................................................................27
Managing Hazards................................................................................................................................................................. 27
Risk Analysis......................................................................................................................................................................... 28
Assessing Risk...................................................................................................................................................................... 28
The Hierarchy of Risk Control................................................................................................................................................ 28
Hazard Identification at the Planning, Design and Evaluation Stages.......................................................................................29
Planning, Designing and Evaluating Changes....................................................................................................................... 29
Selecting and Implementing Risk Controls............................................................................................................................29
Hierarchy of Risk Control....................................................................................................................................................... 29
Types of Controls................................................................................................................................................................... 30
Inadequacies in Existing Risk Controls...................................................................................................................................... 31
Identify Requirements for WHS Advice..................................................................................................................................... 31
Using WHS Experts............................................................................................................................................................... 31
Topic 4 - Evaluate and Maintain a WHS Management System...................................................................................32
WHS Induction and Training Program....................................................................................................................................... 32
Providing Workplace Induction.............................................................................................................................................. 32
Ongoing Training................................................................................................................................................................... 32
Use a System for WHS Recordkeeping..................................................................................................................................... 33
Measure and Evaluate the WHSMS...................................................................................................................................... 34
Measuring Performance........................................................................................................................................................ 34
Improvements to the WHSMS............................................................................................................................................... 35
Proactive Response............................................................................................................................................................... 35
Action Plans........................................................................................................................................................................... 36
Compliance with the WHS Legislative Framework....................................................................................................................36
Conducting Regular Audits.................................................................................................................................................... 36
References.........................................................................................................................................................................38
 Unit of Competency and its Application
Element
Elements describe the essential
outcomes.
Establish a WHS
management system in a
work area
Establish and maintain
effective and compliant
participation arrangements
for managing WHS in a
work area
Establish and maintain
procedures for effectively
identifying hazards, and
assessing and controlling
risks in a work area
Evaluate and maintain a
work area WHS
management system
Required Skills Evidence
Evidence of the ability to:
• Establish, implement, maintain and evaluate a work health and safety (WHS) management system for
a work area of an organisation in accordance with WHS legislation including policies, procedures and
record keeping
• Ensure organisational WHS compliance
Performance Criteria
Performance criteria describe the performance needed to demonstrate achievement of the
element.
1.1 Locate, adapt, adopt and communicate WHS policies that clearly define
the organisation’s commitment to complying with WHS legislation
1.2 Identify duty holders and define WHS responsibilities for all workplace
personnel in the work area according to WHS legislation, policies,
procedures and programs
1.3 Identify and approve financial and human resources required by the
WHS management system (WHSMS)
2.1 Work with workers and their representatives to set up and maintain
participation arrangements according to relevant WHS legislation
2.2 Appropriately resolve issues raised through participation and
consultation arrangements according to relevant WHS legislation
2.3 Promptly provide information about the outcomes of participation and
consultation to workers and ensure it is easy for them to access and
understand
3.1 Develop procedures for ongoing hazard identification, and assessment
and control of associated risks
3.2 Include hazard identification at the planning, design and evaluation
stages of any change in the workplace to ensure that new hazards are
not created by the proposed changes and existing hazards are controlled
3.3 Develop and maintain procedures for selecting and implementing risk
controls according to the hierarchy of control and WHS legislative
requirements
3.4 Identify inadequacies in existing risk controls according to the hierarchy
of control and WHS legislative requirements, and promptly provide
resources to enable implementation of new measures
3.5 Identify requirements for expert WHS advice, and request this advice as
required
4.1 Develop and provide a WHS induction and training program for all
workers in a work area as part of the organisation’s training program
4.2 Use a system for WHS record keeping to allow identification of patterns
of occupational injury and disease in the organisation, and to maintain a
record of WHS decisions made, including reasons for the decision
4.3 Measure and evaluate the WHSMS in line with the organisation’s quality
systems framework
4.4 Develop and implement improvements to the WHSMS to achieve
organisational WHS objectives
4.5 Ensure compliance with the WHS legislative framework to achieve, as a
minimum, WHS legal requirements

• Establish, implement, maintain and evaluate effective and compliant participation arrangements for
managing WHS including identifying duty holders, identifying and approving the required resources
 and developing and implementing a training program
• Establish, implement, maintain and evaluate procedures for effectively identifying hazards, and
assessing and controlling risks using the hierarchy of risk control
• Provide information and complete documentation for a WHS management system
• Identify requirements for and request expert WHS advice.
Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.
Required Knowledge Evidence
To complete the unit requirements safely and effectively, the individual must:
• Identify and detail relevant WHS Acts, regulations and codes of practice
• Specify relevant WHS organisational policies, procedures, programs and practices
• Explain hazard identification and risk-management processes
• Describe the hierarchy of risk control and how it is applied in the workplace
• Specify in-house and WHS legislative reporting requirements.
Assessment Conditions
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent
performance of typical activities experienced by individuals carrying out work health and safety duties in the
workplace and include access to:
• Organisational WHS policies and procedures
• WHS legislation, regulations and codes of practice
• Case studies and, where possible, real situations
• Interaction with others.
Assessors must satisfy NVR/AQTF assessor requirements.
 Topic 1 – Establish And Maintain A Whs Management System
In A Work Area

Creating a safe work environment is one of the most important tasks for a manager. A safe workplace
enables the employees to work comfortably without concerns for their own safety. A proactive approach
addresses potential dangers before they become an issue. Get the entire staff involved in workplace safety
issues. Working collectively increases the chances of a safe, productive work environment for all employees.
 Step 1 - Assess the risks specific to the workplace. Each workplace holds its own risks and
dangers based on the nature of the work, so a thorough assessment of the surroundings is key.
 Step 2 - Create safety policies and procedures that address the identified risks for the workplace.
Ensure that all employees receive training and have access to these policies and procedures.
 Step 3 - Conduct background checks on potential employees to check for red flags that could
threaten the safety of other employees.
 Step 4 - Inspect the physical space of the workplace to identify dangers. Ensure that all lighting
and safety equipment remain in good working order. Make necessary repairs to the facilities
immediately.
 Step 5 - Create a plan of action in case of an emergency. Consider the types of emergencies
that may threaten the workplace. Practice the emergency response with the staff to ensure
everyone understands the procedures.
 Step 6 - Establish a procedure for visitors in the workplace. Restricting access without an escort,
checking identification and requiring visitors to sign in are typical procedures.
 Step 7 - Establish an environment that encourages open communication. Initiate a zero-
tolerance policy for violence and discrimination to ensure all employees feel safe and free to
express their opinions.1

Communicate WHS

WHS management is comprised of five principles that, if followed, will enable an organisation to locate,
adapt, adopt and communicate WHS policies. These five general principles are:
 Commitment
 Planning
 Implementation
 Measurement and evaluation
 Review and improvement

Commitment

The leadership and commitment of the organisations management team is an important part of WHS
management and is required to successfully implement a WHS policy.

1
http://smallbusiness.chron.com/ensure-workplace-safety-43152.html
The management team must be willing to participate in an initial review of the organisation’s current WHS
position. They should also be involved in subsequent reviews of WHS. This will help to provide a clear
picture of the organisation’s WHS performance over previous years, including:
 Hot-spots, or areas in the organisation that have a higher incidence of injuries
 Injury trends (for example, stress or hazardous manual tasks)
 Organisational hazards and methods of risk assessment/control
 Identification of gaps in current WHS management systems
 Compliance with legislative requirements

Communication Planning

When planning WHS policies the first step is to assess the results of the WHS review Once assessed,
management should plan realistic and measurable objectives and targets that fulfill the organisation’s
corporate goals and vision. Plans should include:
 Any resources (financial and human) allocated to achieving the objectives and targets
 Strategies for informing workers when the organisation’s WHS policies are implemented or
improved
 Particulars of any risk management or WHS audit systems that are in place or will be
implemented
 The activities necessary to bring the organisation to full compliance with all relevant legislation
 Procedures for regularly reviewing the WHS policies
 Consultation arrangements for developing or varying WHS policies to fully inform workers and
ensure that their views are represented

Implementation

The effectiveness of a WHS policy will depend on how successfully it has been implemented and integrated
into the organisation’s daily business operations.

Communication and consultation strategies should be put in place so that all workers understand their
responsibilities and the necessity of implementing an effective WHS policy. These strategies may include:
 Information meetings
 Preparing brochures or booklets detailing the health and safety workplace arrangements
 Including information on any internal newsletters or information emails circulated to workers
 Placing information on bulletin boards or posting signs in prominent areas of the building
 Consultative forums involving workers, worker representatives and unions

Measurement and Evaluation

Once a WHS policy is put in place; it is necessary to measure and evaluate performance so the organisation
can monitor the effectiveness of it, and make adjustments to ensure a process of continuous improvement.

Procedures for measurement and evaluation of the policy should be developed in the planning stage. These
procedures should provide information on:
 Persons responsible for monitoring and evaluation
 Systems developed for measuring WHS performance
 Testing methods specific to your organisation – firedrills, evacuation drills, etc.
 Audit tools to be used, such as WHS-specific audit tools or internally developed audit methods

Review and Improvement

It is important to regularly review an organisation’s WHS policies. With changes in work systems, legislation,
technology, organisational structure, chemicals, machinery and plant, it is vital that the Person Conducting a
Business or Undertaking (PCBU) remain aware of changes in their work environment and ensure that the
health and safety of workers are not compromised as a result of these changes.

It is easy to become complacent following the introduction of a WHS policy. This is the reason ongoing
review and improvement is so important—to ensure that WHS performance is continuously improved
wherever possible.

Review of WHS policies may be carried out at any stage following integration with your core business
activities, and can take many forms. For example:
 A full annual audit of the effectiveness of the system
 Regular monthly reviews following analysis of objectives, targets and performance indicators
 A review following hazard inspections
 During audit of a particular group, division or branch
 As a feedback mechanism from workers following training
 Following an investigation into an incident or accident
 Any instances of non-compliance with legislative requirements
 Changes necessary as a result of the introduction of new technology, plant, equipment,
chemicals or work practices

Sources of Information

The above gives you a guide to information about WHS.

You could also refer to:
 The Work Health and Safety Act 2011

 Approved codes of practice

 Agency-specific documents which detail appropriate practices and procedures for the effective
management of WHS at the workplace, for example:
  WHS policies, procedures and agreements

 WHS hazard policies and procedures, including prevention strategies aimed at reducing the
incidence of body stressing or manual task injuries
 Publications produced by Comcare which may be relevant to your requirements availble at
www.comcare.gov.au
 Guidance and fact sheets produced by Safe Work Australia which may be relevant to your
requirements available at www. safeworkaustralia.gov.au
 AS/NZS 4801:2001 Occupational Health and Safety Management systems—specification with
guidance for use
 AS/NZS 4804:2001 Occupational Health and Safety Management systems—general
guidelines and principles, systems and supporting techniques
 Your organisation’s WHS Manager and/or Advisor

 Your organisation’s health and safety policies and procedures

"The Management Of Work Health And Safety In The Commonwealth." Web. 21 May. 2015
http://www.comcare.gov.au/__data/assets/pdf_file/0007/109528/The_management_of_w.

Current WHS Legislation

Each State/Territory has a principal WHS/OHS Act, setting out the legal requirements for ensuring
workplaces are safe and healthy places. The key principle in each principal Act is the employer’s
responsibility known as the employer’s “duty of care”. This is the strict legal duty of the employer to
provide a safe and healthy place of work for employees and others.
Further requirements in each principal Act spell out the duties and rights of workers, such as the duty to
take care of one’s own health and safety and that of others, and rights of worker participation in matters of
health and safety via WHS/OHS representatives and WHS/OHS committees. Other groups such as
suppliers and manufacturers also have duties in relation to WHS/OHS.
Each State/Territory may also have smaller, more specialised Acts dealing with specific aspects of
WHS/OHS such as dangerous goods. Acts may contain site‐specific requirements (permit‐to‐operate
regimes) or relate to particular equipment, products or services.
http://www.softwarepublications.com.au/files/Samples/5-55-6%20Sample%20BSBOHS301B%20Apply
%20knowledge%20of%20OHS%20legislation%20in%20the%20workplace%2011%20July%202011-2.pdf

The following is a representative listing of some relevant State WHS/OHS legislation in force at the current
time (this will change with harmonisation). The complete list of Acts applicable to an organisation must be
based on the operations of the organisation and the scope of its activities, products and/or services. Always
check further with your state and commonwealth bodies if you are unsure. It is important to note that the
name of the Act or Regulation coupled with the year it was enacted is the total name of the relevant
document, so you should always include the year date, to ensure that it is the correct one.
 State & Commonwealth WHS - Statutes & Regulations
ACT NSW
Work Health and Safety Act 2011 Work Health and Safety Act 2011
Work Health and Safety Regulation 2011 Work Health and Safety Regulation 2011
TAS QLD
Work Health and Safety Act 2011 Work Health and Safety Act 2011
Work Health and Safety Regulation 2011 Work Health and Safety Regulation 2011

SA
Work Health and Safety Act 2011
Work Health and Safety Regulation 2011
VIC
Occupational Health and Safety Act 2004
Occupational Health and Safety Regulation 2007
WA
Occupational Safety and Health Act 1984
Occupational Safety and Health Regulations 1996
NT
Work Health and Safety Act 2011
Work Health and Safety Regulation 2011

Regulations

General WHS/OHS Regulations contain provisions that are designed to help extract the duties and
responsibilities outlined in the principal State/Territory WHS/OHS Acts. Many Regulations adopt a
performance‐based approach but prescribe specific detailed controls for highly hazardous areas.

Some regulations are activity‐specific such as those covering work in confined spaces. Others may be
compliance regimes for specific hazards such as noise or specific to particular processes. Other regulations
may be specific to particular industries.

Codes of Practice

An Approved Code of Practice is an expert practical guide for achieving the standard of safety required by
WHS/OHS legislation for a particular area of work. A Code of Practice provides further information on the
duties referred to in the Acts and supplementary information on safe work practices, on how employers may
meet safety requirements and fulfil their duty of care to workers. Codes of Practice spell out the duties of
employers and other groups in controlling risks associated with specific hazards.

Workers/supervisors must be familiar with the content of Approved Codes of Practice that are applicable to
their work area and should be able to accurately explain their implications to the workgroup.

Many Codes of Practice have been or are currently being redrafted through Safe Work Australia
http://www.safeworkaustralia.gov.au/sites/SWA as Draft Model Codes of Practice and can be viewed on the
website.

Codes of Practice are not legally enforceable in themselves, but can be used as evidence in court to show
whether or not an employer has satisfied an WHS/OHS Act or Regulation or the employer’s common law
duty of care.

Codes of Practice:
  Provide practical guidance
 Should be followed unless another solution achieves the same or better results
 May be used in support of preventive and controlling measures

Codes of Practice, like Regulations, are written in conjunction with the WHS/OHS legislation (and
Regulations) to support and enable workers to gain an understanding and work instructions that allow them
to recognise the WHS/OHS requirements in a particular area of their work.
Codes of Practice are specific individual work instructions or advice that give clear definitions and
instructions of how an area of work should be treated, managed or performed. Many of these Codes are
written to specific industries where health and safety at work are of special concern, such as the
construction, mining, rural and manufacturing industries. There are, however, also a number of Codes written
which could be considered “generic” because they are used across many or all industries, such as the
Queensland Codes of Practice for First Aid 2004 and Children and Young Workers 2006.

Identify Duty Holders and Define WHS Responsibilities

Duties under the WHS Act are non-transferable. A person may have more than one duty, and more than
one person can have the same duty. However, in that case, each person must discharge the duty to the
extent the person has the capacity to influence and control the matter (or would have that capacity but for
an agreement or arrangement purporting to limit or remove that capacity).
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/.

Duties imposed on a worker to ensure health or safety requires the worker:

 To eliminate risks to health and safety, so far as is reasonably practicable, and
 If it is not reasonably practicable to eliminate risks to health and safety, to minimise those risks
so far as is reasonably practicable

The following section relates to the definitions and responsibilities of duty holders and workplace personnel.
The information below is from the Comcare website and is the Australian Governments definitions of the
Roles and Responsibilities of WHS duty holders.

The Worker
WHS practitioners are workers. The WHS Act adopts a broad definition of ‘worker’ to recognise the
changing nature of work relationships and to ensure health and safety protection is extended to all types of
workers. A worker includes:
 Employees
 Independent contractors
 Sub-contractors
 Outworkers e.g. Home based
 Apprentices
 Work experience students
 Trainees
  Volunteers who work in employment like settings

Volunteer means a person who is acting on a voluntary basis (irrespective of whether they receive out-of-
pocket expenses):
 The WHS Act specifically protects volunteers in their capacity as workers

 Ensures that volunteers are not discouraged from participating in community-based activities

 A ‘volunteer association’ (as defined) is not treated as a business or undertaking

Workers must:
 Take reasonable care of own health and safety

 Take reasonable care that their acts or omissions do not adversely affect the health and
safety of other persons
 Comply, so far as the worker is reasonably able, with any reasonable instruction given by a
person conducting a business or undertaking to allow the person conducting the business or
undertaking to comply with the WHS Act
 Cooperate with any reasonable policy or procedure of the person conducting the business or
undertaking which relates to work health or safety and that has been notified to workers
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/.

The PCBU
The principal duty holder is a ‘person conducting a business or undertaking’ and has replaced the term
‘employer’. PCBUs include the Commonwealth, Commonwealth Authorities, non-Commonwealth
licensees, principal contractors, and will, in some cases, necessitate an analysis to understand who is a
PCBU in a particular factual context under the WHS laws.
The duty of a person conducting a business or undertaking is probably the most significant conceptual
change from the majority of previous OHS Acts. For the public sector, it means that every activity is
captured, both policy and operational.
This change is aimed at ensuring that the WHS Act coverage extends beyond the traditional
employer/employee relationship to include new and evolving work arrangements.
PCBU replaces current duties of:
 Employer (to employees)
 Employer conducting business or undertaking (to others)
 Self-employed person (to others)
 The WHS act also places specific upstream duties on PCBU’s who carry out specific activities:
 Persons with management or control of a workplace/fixtures, fittings and plant
 Designers, manufacturers, importers, suppliers and PCBU’s that install construct or
commission plant or structures
 Duties extend to any PCBU who is contributing to work has a duty of care. This can be more
than one duty in relation to specific activities
 ‘Volunteer association’ (as defined) is not treated as a business or undertaking
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/ .\

Multiple PCBUs
A PCBU retains overall responsibility for workplace health and safety even if they contract out
activities to others under their duty of care obligations. The WHS Act provides that a person can
have more than one duty by virtue of being in more than one class of duty holder and that more
than one person can concurrently owe the same duty.
If more than one person has a duty of care for same matter, then each person:
 Retain responsibility for their duty in relation to the matter

 Must discharge their duty to the extent the matter is within the person’s capacity to
influence or control
 Must consult, cooperate and coordinate activities with all other persons who have a
duty in relation to the same matter
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/.

PCBU Duty to Consult

A PCBU, through its officers, has a duty under the WHS Act to consult with workers at all levels of
the business. Senior leaders and managers should promote and foster open lines of
communication and consultation with workers. This can be achieved by:
 Creating and nurturing joint partnerships with:

 Workplace work groups

 HSRs and employee representatives

 Other involved PCBUs

 Ensuring effective consultation processes are built into the business through its
systems, policies and procedures
 Engage with workers by being visible and open to feedback and ideas
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/

The Officer
An officer is a senior executive who makes, or participates in making, decisions that affect the
whole, or a substantial part, of a business or undertaking. Officers have a duty to be proactive and
continuously ensure that the business or undertaking complies with relevant duties and obligations.
The scope of an officers’ duty is directly related to the influential nature of their position. A high
standard requires persistent examination and care to ensure that the resources and systems of the
business or undertaking are adequate to comply with the duty of care required under the WHS Act.
This also requires officers to ensure that delegations are working effectively. Where the officer
relies on the expertise of a manager or other person, that expertise must be verified, and the
reliance must be reasonable.
The intention of the officers’ duty is to ensure engagement and leadership by officers in WHS
management, better providing for sustainability and improvement in WHS performance.
 Officers of PCBUs that have a duty or obligation under the WHS Act must exercise ‘due diligence’
to ensure that the person conducting a business or undertaking complies with that duty or
obligation.
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/

Duties of Others
All other persons at a workplace, such as visitors or customers, have health and safety duties. They
include:
 Taking reasonable care of their own health and safety at the workplace, and ensuring
that their acts or omissions do not adversely affect the health and safety of others at the
workplace.
 Complying, so far as they are reasonably able to, with any reasonable instruction that is
given by the PCBU to allow the PCBU to comply with the WHS laws.
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/

Managing Hazards

Workplace hazards exist in all workplaces and organisations. The WHS Act and regulations require PCBUs
to implement risk management practices, including systems to identify hazards, and then assess and
eliminate or control the risks arising from these hazards.

A hazard is an object or situation that has the potential to cause harm, resulting in injury, illness or damage
to property. A risk is the likelihood that a hazard may cause harm. Everyone has responsibility for reporting
hazards they identify at work, and this is critical for maintaining a healthy and safe workplace.

It may be your responsibility to implement and monitor procedures for identifying hazards and assessing
risks. Every organisation will have procedures in place to identify and monitor its workplace hazards and
risks. It is very important that you adhere to these organisational procedures. This will help to ensure
procedures for hazard identification and risk control are known and complied with within your workplace

Non-compliance may result in harm or permanent injury to workers or visitors to the workplace. For example,
carpet or lino that has come unstuck may cause someone to trip; chemical spills that remain on a factory
floor may cause a fall; or a poorly maintained air-conditioner may result in a polluted environment that
causes an asthma attack.

Hazards and risks can be avoided with:

 A comprehensive maintenance program
 An effective overall WHS management system
 Regular safety audits
 Purchasing and using equipment and machinery that meets recognised safety standards
  A system to evaluate and review risk management practices
 An effective process that enables all workers to report hazards as they are identified in the
workplace

Health and Safety Representatives

The role of health and safety representatives (HSRs) is to consult with workers through informal and formal
discussions at worker meetings and via surveys to identify WHS issues that need to be resolved. HSRs
provide information to managers, supervisors and workers. They usually represent workers in relation to
WHS issues and may have authority in some cases. HSRs need to have a wide range of WHS knowledge,
including:
 The organisation's current requirements and obligations in accordance with legislation,
regulation and codes of practice
 How to conduct WHS induction
 The types of incidents that are notifiable
 Requirements for consultation in the workplace
 How to advise on safe work practices
 The process for WHS audits and accident investigations

All organisations are required to ensure that WHS issues are dealt with promptly and in accordance with the
law. The legislation does not require all organisations to have an HSR, however, an HSR must be appointed
if requested.

Health and Safety Committees

Health and safety committees (HSCs) bring together management and workers to focus on WHS issues.
Under the Work Health and Safety Act 2011 (Cth), an HSC must be set up within two months of being
requested to do so by an HSR or five or more workers in the workplace.

This legislation also requires an HSC to meet every three months and at any reasonable time if requested by
at least half of the committee members. PCBUs must allow each committee member to attend a scheduled
meeting.
 HSCS play an important role in an organisation by:
 Facilitating cooperation between the PCBU and workers on health and safety
 Discussing identified WHS problems
 Consulting with workers and making recommendations aimed at improving health and safety in
the workplace
 Assisting in developing health and safety standards, rules and procedures
 Monitoring and reporting on WHS performance (including compliance with legislation and
workplace policies and procedures)
Other Duty Holders

Other duty holders could include but not limited to:

 Management
 Health and Safety Inspectors
 Safety Officer
 Fire Warden
 Security Officers

Financial and Human Resources Required by the WHS Management

System (WHSMS)

To ensure that you are compliant with WHS legislation and regulations, a planned, systematic and well-
documented WHS management system must be in place. The system must be appropriate for the business
and its activities and must enable relevant workplace information and data to be examined to identify
hazards and assess and control risks.

Identifying Resources Needed

As a health and safety officer, you will need to consult with your team and other stakeholders to determine
their priorities for resources.

Human Resources

People are the most important resource for any WHS action, after all, WHS is about maintaining the safety of
people in the workplace. Implementing WHS initiatives and systems requires both financial support and
human resources. Some of the WHS human resources that may be required in an organisation will include:
 The health and safety committee (with regard to WHS legislation and regulations)
 Specialist health and safety representatives
 Emergency wardens
 First-aid officers
 Compliance officers or auditors
 Managers, supervisors and workers
Funding WHS Initiatives

To implement a WHS system can be implemented and maintained without adequate financial support. For
example, finances are needed for the employment and salary of a health and safety officer, to fund training
courses, to purchase physical WHS resources (such as personal protective equipment) or for upgrading
equipment.

Sufficient money must be allocated to allow for these ongoing costs, as well as an allowance for unforeseen
WHS events during the budget period.

Approving WHS Expenditure

Depending on the organisation, most resourcing decisions require the approval of a person with the authority
to approval financial expenditure. An approval generally requires you to present a detailed cost breakdown of
exactly what the program entails and the expected outcomes of implementation.

When determining whether or not to approve an initiative, you will need to consider the following:
 Will this initiative assist the organisation in meeting statutory requirements?
 Will this initiative assist the organisation in meeting its strategic WHS objectives?
 Are all the costs associated with planning, implementing and evaluating accounted for?
 What benefits will the organisation gain from this initiative?
 Topic 2 - Manage WHS in a Work Area

Participation Arrangements for Relevant WHS Legislation

Work health and safety laws require PCBUs to consult with workers regarding health, safety and welfare
issues at work. Workers also have a right to be involved in health and safety matters and may elect to be
represented by a health and safety representative (HSR) for their work group. Consultation is vital and is
required by law on any matters of WHS in any organisation.

Participative Arrangements

Developing and implementing health and safety policies and procedures requires the support of workers.
You will be more likely to have workers participate in implementing any new initiatives if they have been
consulted and feel their opinion has been valued.

When identifying health and safety issues workers are very important. The become aware of potential
hazards because they are performing these tasks every day. Effective participation from all workes can bring
potential hazards and solutions for these to the attention of management

Benefits of Establishing Participative Arrangements

A healthier work environment and improved morale and productivity can be achieved when the PCBU and
workers collaborate on health and safety issues. A strong health and safety culture is one where workers
believe their leaders are committed to health and safety and that any input workers have into the
development or review of systems, policies and procedures is valued and followed. participative
arrangements benefits WHS/OHS in many ways.

These include:
 It helps PCBUs to become more aware of hazards and health and safety issues experienced by
workers
 It improves management decisions regarding health and safety
 It enables workers to provide suggestions about how to address health and safety problems and
contribute to determining how the work can be done safely
 It may result in greater PCBU and worker commitment to health and safety and increased
ownership of work outcomes
 It promotes increased openness, respect and trust between management and workers through
developing an understanding of each other's points of view
 It may help reduce injury and disease because of timely intervention
Mechanisms

Health and safety consultation is a two-way process. Workers need a provide feedback regarding health and
safety matters, and they need to have the tools and methods in which to do this. You must ensure you
provide health and safety updates to workers at all times and within acceptable timeframes. For consultation
to be truly participative, you need to consider each of the following points:
 The worker location and how they can contribute to health and safety issues; for example,
whether they are on site, in a remote location or working from a home office
 The nature of the work; for example, whether it is flexible, inflexible or systematic
 The times workers are available; for example, during business hours, on shift work or rosters
 The diversity of workers; for example, intellectual and physical capabilities, or domestic
responsibilities

You will need to establish monitor systems to ensure you monitor consultative arrangements to see how they
may be improved; this is vital to continuous improvement in your organisation. You can achieve this by
asking workers for feedback and discussing the ways in which the arrangements can be improved. You may
also seek advice from a health and safety specialist to determine whether your arrangements are as effective
as possible.

Providing Feedback to PCBUs

Workers need to provide feedback to PCBU’s on health and safety matters and below is an example of the
types of issues and how they can be reported.
 Identify or assess hazards or risks - Tell the HSR
 Make suggestions about how to control risks - Tell the health and safety officer
 Provide suggestions for resolving health and safety issues - Include the issue on the agenda for
the next health and safety meeting
 Write a complaint or raise an issue and place it in the suggestion box - Discuss the issue at a
staff meeting
 Propose changes to the workplace to improve their health and safety - Arrange a toolbox
meeting

Providing Information to Workers

Establishing and maintaining communication between management, HSRs, health and safety officers,
committees and workers is crucial. Below are some of the methods that can be used to provide workers with
information:
 Regular meetings with HSRs and HSC members
 Regular workplace inspections and safety audits
 Hazard identification and risk assessments
 Health and safety issues on the agenda for every staff meeting
  Regular consultation with the health and safety officer
 Intranet notification system for WHS issues
 Suggestion box
 Health and safety signage and notices throughout workplace
 Formal health and safety issue resolution processes

Problems with Participative Arrangements

Just because your organisation has put in place health and safety participative arrangements, it does not
mean they will be effective. The common failures of participative arrangements include:
 A strong legislative focus without consideration for workplace circumstances and culture
 A lack of PCBU commitment to health and safety consultation
 Insufficient management capacity to adopt and support appropriate participative arrangements
 A lack of integration with other systems in the organisation

Resolve Issues Raised Through Participation

Once the health and safety issues have been raised through the use of participative arrangements and
consultations you will need to appropriately resolve them. These resolutions must be done according to
relevant WHS legislations. In this section we will go through the steps that will need to be take in order to
resolve any issues.

Identify The WHS Hazards or Issues That Need to be Dealt With

The hazards or issues need to be established and clearly defined. They should be considered in the
following terms:
 Potential outcomes for harm
 The context of the workplace (ie people, plant, substances, the systems or work activities in
place etc)
 Current processes in place
 Technology and resources available

Determine Appropriate Action

Consider what needs to be done in order to manage the identified issues. This could include:
 Changes to the work system, processes or methods
 Information and training
 Risk management strategies, e.g., Manual handling, noise, hazardous substances
 Resources to be provided
 Researching new technology
 The role and responsibilities of involved parties
  Supervising and reviewing the program

Specify Objectives or Performance Measures

WHS/OHS programs should specify objectives in order to determine their success. Objectives should be
specific, measurable and achievable. They should also make reference to time, cost and quality
requirements where applicable.

Monitor the Program

Programs should be reviewed at the end of the stated time frame, however it is usually necessary to monitor
the program on an ongoing basis to enable problems to be dealt with as they arise, or modifications to be
made if required. For example, additional resources may need to be allocated, a certain type of training may
be required, new information or legislation may affect current actions, etc.

Mechanisms should be established to enable employees and supervisors to express their concerns about
any aspect of the program. The WHS committee and/or WHS representative should be involved in this
process to strengthen consultation and commitment.

Evaluate and Review

Programs must be flexible. Once in place they must be reviewed to ensure their objectives are being met in
effectively promoting health and safety in the workplace.

The WHS committee representative should have a role in the process of review and evaluation. They can
then make recommendations to management about what should be done in the future to enable continual
improvement or take corrective action. This should be done with direct reference to the stated program
objectives or performance measures.

One method of evaluating the program could be for the WHS committee representative to survey employees
and supervisors about the effectiveness of the program at the end of a designated period.

If the program is successful and a decision is made to continue with it on a permanent basis, periodic review
is important. Changes in technology, legislation and work systems may result in improved prevention and
control strategies.

In order for your organisation and yourself to establish a suitable Health and Safety management system, it
is important that you and your staff are fully aware of the requirements for Occupation Health and Safety,
Industry Code of Practice and the Standard Operating Procedures which are set by your organisation and by
the government in general.
Provide Information on Outcomes of Participation and Consultation

Consultation 

Consultation is defined in the Workplace Health and Safety Act/Occupational Health and Safety Act as the
sharing of relevant information on occupational health and safety where employees are given the opportunity
to express their views and contribute in a timely fashion to resolution of workplace health and safety issues.

Consultation means that employees’ views are valued and taken into account by the business.
Consultation needs to be a two-way communication that allows for employees to contribute to the
decision-making which affects their health, safety and welfare. Consultation is not the same as
negotiation.
Employers must consult with their employees in the following situations:
 When determining how the consultation process will take place

 In the assessment of risks and the review of risk assessments previously conducted

 When making decisions on the control of WHS/OHS risks in the workplace

 during the introduction or change of procedures used for monitoring risks, for example, health
surveillance
 When making decisions about the adequacy of welfare facilities

 When proposed changes are made to premises, work methods, plant or substances which
may affect the health, safety or welfare of employees at work
 When making decisions about consultation procedures

 As prescribed by the regulations from time to time

"Managing workplace hazards, and consultation in the workplace." Web. 21 May. 2015
http://www.det.nsw.edu.au/vetinschools/documents/OHS/Unit2/Unit2OHS.doc

Consultation provides an opportunity to share with other workers information and participate in meaningful
discussion on work health and safety matters. Using all staff members and their skills and knowledge makes
for a safer and healthier workplaces, as well as better decision-making.

Requirements to Consult with Workers

There are certain circumstances in which you must consult with workers on all occasions including when:
 Undertaking risk management activities
 Proposing changes that may affect workers
 Making decisions about any work health and safety procedures
 The adequacy of facilities for the welfare of workers
 
The Act lists a variety of circumstances in which you MUST consult. Under the Act it states that:
A person conducting a business or undertaking must consult with workers when:
 Identifying hazards and assessing risks arising from the work carried out or to be carried out

 Making decisions about ways to eliminate or minimise those risks

 Making decisions about the adequacy of facilities for the welfare of workers proposing
changes that may affect the health or safety of your workers, and
 Making decisions about procedures for consulting with workers; resolving health or safety
issues; monitoring health of your workers; monitoring the conditions at the workplace and
providing information and training for your workers
However, it may be useful to also consult workers about matters that are not listed above, for example
when conducting investigations into incidents or ‘near misses’.
Regular consultation is better than consulting on a case-by-case basis only as issues arise because it
allows you to identify and fix potential problems early.
“Requirements To Consult With Workers.” Web. 21/05/2015
http://www.safeworkaustralia.gov.au/sites/SWA/about/Publications/Documents/624/Work_Health_and_Saf
ety_Consultation_Cooperation_and_Coordination.doc

Communicating Appropriately

When communicating the outcomes of health and safety consultation, consider the specific needs of
individuals and groups within the workplace. Before you communicate health and safety information, ask the
following questions:
 What is the purpose of the communication?
 What outcome am I trying to achieve with the communication?
 What are the information requirements of the audience (for example, what do they already know
and what do they need to know)?
 What format will be best received by the audience?
 What diversity exists in the area? Do I need to consider providing communication in a language
other than English? Do I need to provide the communication verbally and in written form, or use
diagrams and pictures?
 Does the communication need to be supported by appropriate workplace signage or warning
signs?

Ensuring Accessibility of Information

Health and safety information should be in a format that is accessible to all those who need it. You should
ask yourself the following questions in order to determine if all workers have equal access to information:
 Does everyone have access to the Internet or an intranet?
 Can everyone use email?
 Do remote, and home-based workers have special requirements?
  Are there any casual or contract workers who may be affected?
 Do any workers have language barriers or diverse levels of understanding?

Communication in a Timely Manner

You should ensure you provide health and safety information when workers are more likely to absorb the
information and respond appropriately. When a matter requires prompt and immediate action, such as
following a dangerous incident, emergency communications systems should provide information directly to
each affected person. Information of a less urgent nature, such as outcomes of a recent committee meeting
can be communicated to recipients at regular intervals via the organisation's standard reporting procedures.
 Topic 3 - Procedures for Identifying Hazards, Assessing and
Controlling Risks in a Work Area

Procedures for Ongoing Hazard Identification, Assessment and Control

Every industry has specific job-related hazards. For example, there are potential hazards when scuba-diving,
spray painting, working in a mine, working in a hospital, serving food in a restaurant or working in an office.
For this reason, each industry has legally enforceable regulations relating to its particular needs and
hazards. Codes of practice provide advice on how to meet regulations. Many codes of practice are relevant
to all organisations, such as:
 First aid (accessing a first-aid kit and appointing first-aid officers)
 Noise levels in the workplace
 Manual handling
 Storing and handling dangerous goods
 Hazardous substances
 Cash in transit
 Air quality
 Ultraviolet radiation exposure from sunshine

Dangerous Occurrences

The PCBU must report any dangerous occurrence immediately to the health and safety regulator in their
state or territory. A dangerous occurrence, also known as a near-miss, is a situation where there is, or could
have been, an immediate and significant risk to any person in the workplace. There does not need to be any
injury or damage for an event to be considered a dangerous occurrence.

Some examples of near-misses or dangerous occurrences include:

 The collapse or overturn of industrial lifting equipment
 The collapse or partial collapse of a wall, floor, ceiling or building
 An explosion, fire or escape of any hazardous substance such as gas or chemicals
 An electrical short circuit, malfunction or explosion
 A flood, rock fall, or ground collapse2

Identifying Hazards

PCBUs have a legal responsibility to identify and control workplace hazards, either by eliminating the hazard
or, by minimising the hazard's effects. When hazards are identified, you can take steps to minimise any risk
from the hazard, making the workplace safer.

2
http://www0.health.nsw.gov.au/policies/pd/2013/pdf/PD2013_050.pdf
A hazard is defined as anything that may cause harm, injury or ill health to any person in the workplace.
Identifying hazards is the first step in the risk management process. To ensure the process of hazard
identification is accurate and comprehensive, it should be carried out as a single task and not in conjunction
with, other tasks.

It is absolutely vital that you consider hazards that may not be obvious; for example, sitting in the same
position carrying out the same task for an extended period of time can cause occupational overuse
syndrome; bullying in the workplace can cause poor staff morale and illness; and staff illness may be the
sign of poor air quality in the work environment.

Developing Procedures for Identifying and Reporting Hazards

Procedures for identifying and reporting hazards should include details about the processes the PCBU, and
workers should follow. Hazard reporting forms should be available to all workers and should be located in a
place that all workers have access to.

Worker reports are one of the most effective ways to identify hazards. Workers have a legal responsibility to
report any identified hazards to the PCBU who is legally required to take corrective action on those reports.
There are no alternatives to this situation; it is the law, and each worker should play their part in assisting to
maintain a safe work environment. There are also many other ways that you can identify hazards, including:
 Regular workplace inspections
 Results of accident investigations
 Evaluating reasons for poor quality outputs
 Industry information bulletins
 Reports from customers or visitors to the workplace

Preparing an Overview of the Work Environment

If you are responsible for identifying hazards, you become familiar with the work environment. You need a
good overview of the team's duties, work practices and procedures, the equipment they use and the work
environment. You might need to ask the following questions in order to become familiar:
 Which parts of the work environment move?
 What substances are used?
 What equipment is used?
 Is there anything that you or others do that could be hazardous?
 Do work procedure shortcuts follow all safety procedures?
 Could anyone be hurt by modifications that have been made to tools or equipment?
 Does everyone still take as much care with workplace practices and procedures as they did
when they first started in the workplace?
 What happens when cleaning, maintenance or repairs are done?
 Is there anyone inexperienced or untrained working in the team?
Conducting Formal Workplace Inspections

Management, HSRs or members of the HSC may carry out inspections by performing a walk-through survey.
This involves walking through a work site to gather information about the work team and their work practices.

Creating checklists that are tailored to specific work environments can help provide a structure for collecting
detailed information on equipment, processes and work areas for evidence of potential problems. Other
sources of information to aid hazard identification may include:
 Reports and compensation claims - Reports about equipment failure, accidents and dangerous
incident (near miss) reports, as well as compensation claims, may help you to determine
workplace problems such as broken equipment, excessive noise, poor air quality, poor safety
signage or lack of safety instructions.
 Undertaking a job safety analysis - A job safety analysis (JSA) is a comprehensive tool used to
identify each part of a work process to identify potential hazards and evaluate appropriate control
measures. Each task should be separated into its component parts to identify any potential
hazards; for example, a forklift operator drives the forklift across a warehouse, unloads items
from the back of a tray truck and moves them to an overhead storage rack.
 Brainstorming - Brainstorming is the process of conducting group meetings with people who are
familiar with the operation of the area under review. Encourage workers to provide details of any
hazards they are aware of. The process must be non-threatening, with all suggestions listened to
respectfully. Record all information relating to hazards and sort the results into priority order.
 Industry associations - WHS is often raised at industry association meetings or during informal
discussions before or after meetings. You may gain useful information by attending such
meetings. Notes from meetings are often made available to the general public through bulletins
and safety updates.
 Manufacturers' manuals - Manufacturers' instruction books and safety data sheets (SDSs)
provide advice and warnings regarding WHS hazards. It is important to ensure all instructions
are understood and followed by all workers. Manufacturers' information, including SDSs, should
be reviewed to ensure all equipment is the safest available, and there are no hidden hazards.

Managing Hazards

Procedures for managing hazards usually include:

 Setting guidelines for identifying and reporting hazards
 Developing processes for assessing and controlling risks in the workplace
 Providing training for all workers
 Allocating resources to risk assessment and control activities
 Regularly monitoring and reviewing hazard identification and reporting procedures

Risk Analysis
Risk analysis is a key step in the process of managing workplace hazards. Risk analysis enables the
organisation to determine what is needed to control risks.
Risk analysis involves:
 Identifying the source of any identified risks
 Identifying the impact of risks on the workplace environment
 Considering the likelihood of the risk occurring

Estimating the consequences and likelihood of the risk occurring also rely on using information from the work
environment and other appropriate sources; for example, information from an industry association or WHS
specialist.

PCBUs, health and safety experts and workers should all be involved in the risk analysis and control
process. Consultation is important to establish the context of the risk and determine its potential impact.

A risk management process should be implemented and repeated at regular intervals to ensure all hazards
have been identified, risks have been assessed, and adequate measures have been taken to control those
risks.

Assessing Risk

Assessing the risk of each hazard is the next step in a risk management process. Look at the potential
consequences of exposure to the hazard and the likelihood of the hazard occurring. The combination of
these produces a level of risk.

Before you can control the risk, you must decide on your priorities. Determine what you need to do
immediately, in the short term (within a couple of weeks), in the medium term (within a couple of months) and
in the long term (over the next year). To do this, determine:
 The severity of the risk
 The number of people affected by the risk
 How easily it can be controlled
 Other benefits that may result from controlling the risk; for example, increased productivity
 Your organisation's policies and procedures regarding risk priorities

There are a number of ways to control risks, but the most effective is to apply the hierarchy of risk control.

The Hierarchy of Risk Control

The ways of controlling risks are ranked from the highest level of protection and reliability to the lowest. This
ranking is known as the hierarchy of risk control. The OHS/WHS Regulations require duty holders to work
through this hierarchy when managing risk under the OHS/WHS Regulations. We will go into more detail
later in this resource.

Hazard Identification at the Planning, Design and Evaluation Stages

Changes in the workplace occur frequently. These changes may introduce new hazards, and, therefore,
change the risk level of existing hazards. Workplace changes may include:
 Changes in staffing
 Changes in property
 Changes in work practices

When changes occur, PCBUs have a legal responsibility to consult with workers on the effects these
changes may have on WHS. Any new risks must be assessed and controlled.

Planning, Designing and Evaluating Changes

Before implementing any proposed change, you will need to ensure your risk management processes are in
place for:
 Identifying hazards
 Assessing risks
 Implementing control measures

When hazard identification occurs at an early stage of the planning process, you will be able to invest time
and effort in designing safe work systems, leading to a reduction in hazards when the change is
implemented.

 Selecting and Implementing Risk Controls

Developing and implementing risk controls relies on effective analytical and problem solving skills as you
read through relevant workplace information and data to identify and assess hazards, and then decide what
type of risk control action to take.

Hierarchy of Risk Control

WHS legislation requires ongoing risk management to minimise the impact on workers' health and safety.
PCBUs must develop and maintain procedures that find the most appropriate way of eliminating or reducing
any risks identified.

Control measures can be sorted into categories with the most effective strategies listed at the top and the
least effective at the bottom. This list of categories is collectively known as the hierarchy of risk control.
Select control measures from as high on the hierarchy as possible.
Types of Controls

There are many methods that you can use assist in controlling risks and hazards in the workplace. There are
techniques, tools and processes for identifying and controlling health and safety hazards and risks, which
include:
 Hazard and risk checklists
 Hazard hunts
 Job safety analyses
 Manifests and registers, including for dangerous goods, hazardous chemicals and plant
 Safe work method statements
 Surveys using questionnaires, interviews and other survey techniques
 Workplace inspections and walk-throughs

Control of associated risks may include:

 Administrative as specified in WHS acts, regulations and codes of practice
 Counselling/disciplinary processes, such as those associated with alcohol and other drugs
 Education about alcohol and other drugs work-related issues
 Engineering
 Hazard elimination
 Housekeeping and storage
 Issue resolution
 Personal protective equipment
 Purchasing of supplies and equipment
 Workplace inspections, including plant and equipment
Inadequacies in Existing Risk Controls

You may find that risk control measures that are in place for some hazards may not be adequate, or they
may become ineffective as conditions or circumstances change.

An important part of a PCBU’s responsibilities is to assess the effectiveness of risk controls, identify
inadequacies and report risk control inadequacies according to the organisation's policies and procedures.

It should not be assumed that risk control measures will always be adequate to solve a problem. New or
existing risk controls should always be checked in case they do not effectively protect health and safety.
Newly implemented risk controls should be tested in some way before workers begin using the new system if
this is feasible. In the case of existing controls, changes in work practices may inadvertently introduce new
risks or undermine the efficacy of existing risk controls. Checking the methods chosen to solve WHS
problems is known as ‘monitoring and evaluation of risk controls’.

This can be done using the hazard identification procedures already covered—for example, by asking
workers whether they are aware of on-going risks, making observations and taking relevant measurements.

If deficiencies are found in risk controls, or better ways are found to fix a problem (‘better’ in this sense
means using strategies from further up the hierarchy of risk control), management should promptly provide
sufficient resources to enable the risk to be properly controlled. Risk management is not an optional process
to be carried out when the employer has time—it should be built into routine procedures such as purchasing
and induction.

Identify Requirements for WHS Advice

Using WHS Experts

PCBUs may need to call on specialists for advice. However, it is important to evaluate their expertise and the
relevance of their experience to the particular industry, problem and work context. It is also important to
clarify how the specialist will interact with the work group to obtain the required information. A specialist
working in isolation without any input from workers may result in flawed evaluations and inappropriate
recommendations.
 Topic 4 - Evaluate and Maintain a WHS Management System

WHS Induction and Training Program

All workers must complete WHS induction training and ongoing refresher courses throughout the life.
Preparing new workers for their job roles and ensuring they understand all relevant WHS policies and
procedures and how they can contribute is also a legal responsibility of all PCBUs.

Training programs should ensure workers are equipped to perform their roles in a safe manner with minimal
risks to themselves and others.3

Providing Workplace Induction

New workers should be provided with a full induction and training program.

A WHS induction should include:

 A tour of the facility
 An explanation of the WHS duty of care and implications for workers
 Work instructions and any hazards and risks associated with specific tasks
 Fire and emergency response requirements
 First-aid facilities and procedures
 General health and safety policies and procedures
 Details of the health and safety committee, health and safety representatives (where appointed)
and meetings schedule
 Specific WHS training programs, which may include:
 Safe operation of equipment relevant to their work role
 Personal protective equipment (PPE)
 Risk management
 How to get WHS help when needed
 Maintaining work-life balance
Your organisation should have an induction checklist to ensure all relevant information is given to new
workers during the induction period.

Ongoing Training

Under WHS legislation and regulations, workers must attend mandatory training programs on such topics as:
 WHS compliance requirements
 WHS consultation for HSRs and HSCs

3
http://www.safeworkaustralia.gov.au/sites/swa/about/publications/Documents/645/Worker%20representation%20and%20participation
%20guide.docx.
  WHS duty of care for PCBUs
 WHS risk management for PCBUs and team leaders
 Availability of first-aid officers or fire wardens
 Industry-specific training (for example, working in confined spaces, working with infectious
materials)
 Emergency procedures

Ongoing or refresher training may be required for workers who are involved in specialist activities that require
specific licensing or regulatory requirements; for example, operating mechanical aids such as forklifts, cranes
and other heavy machinery.

Training may be conducted by internal training personnel or a health and safety officer in the workplace. In
some cases, training may need to be provided by an external training provider at an external location or by a
WHS, management specialist.

Use a System for WHS Recordkeeping 

Records are the means by which duty holders can demonstrate compliance with their duties and obligations
under the model WHS Act and model WHS Regulations. Records can be used to assist duty holders to
implement and maintain risk control measures and provide useful information when it comes to reviewing
work health and safety performance.

There are legal obligations to keep and maintain some work health and safety-related records for specific
periods. These record-keeping requirements currently vary across jurisdictions. They may cover, for
example, specific record-keeping requirements for risk assessments, risk controls, work health and safety
training, and in relation to monitoring workers’ health. Some regulations also place record-keeping
requirements on upstream duty holders such as designers and manufacturers. 4

To make sure your organisation complies with WHS legislation, you must ensure WHS records are stored
and maintained in a simple and easy-to-read format. It is important to be able to analyse and review WHS
and relevant worker records. The types of records kept by the organisation must meet legislative reporting
requirements and the organisation's needs from a WHS management perspective. Records must be stored
securely and are subject to the same privacy requirements as any other worker records.

Storing and maintaining WHS records enables an organisation to meet its legislative obligations and
effectively review and analyse information about WHS. These records also provide a useful tool for
management decision-making because the records can be analysed to indicate WHS priorities and activities
in the organisation.

WHS record keeping may relate to:

 Audit and inspection reports

4
http://www.comlaw.gov.au/Details/F2011L02664/Explanatory%20Statement/Text
  Consultation, such as:
 Meetings of health and safety committees
 Work team meeting agendas, including WHS items and actions
 First aid/medical post records
 Hazardous chemicals registers
 Induction, instruction and training
 Manufacturer and supplier information, including dangerous goods storage lists
 Plant and equipment maintenance and testing reports
 Workers’ compensation and rehabilitation records
 Workplace environmental monitoring records

Your organisation will have set documentation that must be kept, and it will be your responsibility to ensure
these records and completed, maintained and stored effectively.

Measure and Evaluate the WHSMS

A quality systems framework is the organisational structure, procedures, processes and resources needed to
implement quality management. In a WHS context, the quality systems that must be adopted by an
organisation and addressed in their WHS policies and procedures include the following:
 ISO 9001:2008 Quality management systems is the benchmark for organisations with quality
management systems in place, ensuring all systems, processes and procedures are of the
highest standard and embrace the concept of continuous improvement
 AS/NZS 4801:2001 Occupational Health and Safety (OHS) management systems provides the
specifications for, and application of, best-practice health and safety management systems
 ISO 14001:2004 Environmental management systems details management specifications for
sustainability and environmental impact reduction
 AS/ NZS ISO 31000:2009 Risk management - principles and guidelines provides an overall risk
management approach specification for organisations and industry, beyond (but inclusive of)
WHS systems

When evaluating your WHS system against quality standards, use a mix of proactive and reactive monitoring
systems to evaluate the extent to which relevant policy, procedures and objectives are being met. You will
need well-developed problem-solving skills to identify and practise the required proactive and reactive
monitoring.5

Measuring Performance

To determine whether objectives are being achieved, you can measure performance by using a mixture of
lead and lag indicators.

5
http://whc.unesco.org/uploads/activities/documents/activity-113-2.pdf
  A lead indicator enables an organisation to take pre-emptive actions to improve the chances of
achieving strategic goals.
 Lag indicators, on the other hand, are statistics or information that follows an event that has
already occurred.

Improvements to the WHSMS

All organisations must continually find ways to improve their organisational safety to reduce the risk of worker
injury and illness.

Continuous improvement focuses on preventing problems, corrective action and performance to enhance
health and safety in the workplace.

In a WHS context, continuous improvement is the process of improving the WHS management system to
achieve enhancements in overall performance. This is achieved by regularly reviewing the organisation's
policies, procedures and practices embodied in its WHS action plan.

Proactive Response

Ongoing improvement should be conducted as part of an organisation's WHS processes:

 Prepare an action plan
 Implement the plan
 Monitor and review the actions
 Identify improvements where necessary
 Then prepare an action plan to implement them

Senior management should adopt a proactive response to planned and sustained WHS initiatives. If the
organisation is typically reactive in its response, this can be a sign that the WHS management system is
failing.

Proactive responses include researching new and more effective equipment, systems and work practices,
and consulting with industry or WHS specialists for advice on how to address the new requirements.
Continuous improvement will mean you are continually reviewing your organisations WHS management
system and thereby ensuring you are not reactive in response to issues.

You may review the organisation's WHS system by analysing its ability to meet WHS objectives and
performance targets. Examples of WHS objectives may include the following:
 Ten per cent reduction in lost time incidents for the year
 Reduction in unplanned absences by three days per worker per year
 Improvement in WHS compliance performance by 10 per cent in all areas of the organisation
Action Plans

Action plans are a key tool in continuous improvement processes, and should be used to record actions and
accountability issues and include information on reporting channels and follow-up instructions.

All identified corrective actions as a result of monitoring activity should be:

 Communicated to management through management committees and formal WHS reporting
channels
 Recorded with times for completion, dates for progress reports required and the person
responsible
 Signed off on actual completion date by the relevant authorised person

Consultation is crucial during the improvement process. Consultation with workers may reveal that protective
equipment is unsuitable for the task or the workers involved, and it may be necessary to investigate
alternatives.

Compliance with the WHS Legislative Framework

Reviewing management systems and maintaining compliance with legislation is a requirement of any
organisation. Structured reviews ensure the organisation's policies and procedures are being applied
effectively and comply with current legislative requirements. Structured reviews enable the organisation to
fulfil internal and external reporting requirements. A review of the organisation's compliance with WHS
should include:
 How current WHS legislation, regulations and codes of practice are embedded in the
organisation's policies and procedures
 Whether legislation, regulations and codes of practice have been revised or replaced
 The potential impact of emerging legislation
 New or revised guidance from specialists
 New or amended instructions from suppliers or equipment and/or materials
 Worker compliance with key areas of WHS
 Effectiveness of actions implemented as a result of previous audit outcomes

Conducting Regular Audits

In addition to routine monitoring and reviews, you should also conduct audits to ensure the WHS system
complies with appropriate standards, regulations, Acts and contract criteria. It should then be possible to
judge whether the system is adequate for meeting the organisation's WHS objectives and complies with
statutory guidelines. An effective systems audit:
 Identifies the scope, frequency and methodologies to be used
 Determines whether the WHS system conforms to planned arrangements and complies with
legislation
 Determines whether the WHS system has been properly implemented and maintained
  Uses data from previous audits
 Provides information to management on the results of audits
 Is conducted by workers independent of those who have direct responsibility for activities being
audited
It is important that the purpose of auditing is made clear to all who are involved, to encourage positive
participation in the process and to enable accurate data to be gathered. The purpose of audits is not to find
fault and point a finger of blame at those workers or departments that do not comply. Rather, auditing should
be treated as a useful tool in improving organisational effectiveness and an essential part of an
organisation's continuous improvement process.
 References

"How to Ensure Workplace Safety | Chron.com." n.d. Web. 25 Sep. 2016

http://smallbusiness.chron.com/ensure-workplace-safety-43152.html
"The Management Of Work Health And Safety In The Commonwealth." Web. 21 May. 2015
http://www.comcare.gov.au/__data/assets/pdf_file/0007/109528/The_management_of_w
" WHS duty holders." Web. 21 May. 2015
http://www.comcare.gov.au/promoting/roles_and_responsibilities/WHS_practitioner/
"Managing workplace hazards, and consultation in the workplace." Web. 21 May. 2015
http://www.det.nsw.edu.au/vetinschools/documents/OHS/Unit2/Unit2OHS.doc
“Requirements to Consult With Workers.” Web. 21/05/2015.
http://www.safeworkaustralia.gov.au/sites/SWA/about/Publications/Documents/624/Work_Health_and_Safet
y_Consultation_Cooperation_and_Coordination.doc.