Workplace health and safety

Workplace health and safety

Order Description

Answer all questions. Using Northern Territory legislations

ONLINE
Assessments
INDEX
(Please note the assessments are hyperlinked to the relevant page in this Word document. Right click on code and then select ‘0pen Hyperlink’ and this will take you to

the relevant page in the document (or just above it). Some PCs give you a short cut – click on the code and press control and click again and this will open to the

relevant page)

Assessment 1    Legislation/WHSMS
Assessment 2    Consultation/Contractors
Assessment 3    Hazard/Controls
Assessment 4    Emergency Procedures
Assessment 5      Responding to Incidents

GENERAL ITEMS
WHS/OHS
Please note that where assessment tasks reference OHS, this abbreviation is now also acceptably referred to as WHS/OHS (Work Health and Safety).

Workers/Employees
Please note that under the WHS/OHS Act 2011, an employee is known as a ‘worker’.

Employers/PCBUs
Please note that under the WHS/OHS Act 2011, an employer is known as a Person Conducting a Business or Undertaking (‘PCBU’).

Assessment-only Pathway
Please note that this is an assessment-only pathway. There are no classes, no trainers and no live support associated with your completion of this unit. The CBD

College Certificate IV WHS Online materials have been custom made for this program and contain all relevant content and support materials.

Support
For questions regarding:    Email address
•    Administration
•    Email address to email when you have submitted your file to the student portal    whsonline@cbdcollege.edu.au
Cert IV WHS assessment tasks

N.B. Your email requesting help will be acknowledged and actioned within 2 business days. Please note, this support will only be granted once students have worked

through student workbooks in their entirety and have accessed all prescribed online learning resources found on their student portals.    whshelp@cbdcollege.edu.au

Level of Performance Expected in Assessment Tasks
This is a Cert IV course and the standard of performance expected is high.
You will not qualify for your Certificate IV WHS until all assessment tasks are completed and uploaded to your student portal and you have been deemed competent in all

of them. Please note that your enrolment with CBD College will cease after 12 months and any assessments still being processed beyond this point will incur an

enrolment fee of $400.

Due Date
As your enrolment with CBD College will cease after 12 months, you need to have submitted your assessments, had them assessed and be deemed as competent within that

time.

These assessments are to be submitted in one file and uploaded into your CBD College Student Portal.
Please do not submit your file unless every assessment activity is complete. Please name your file BSB41412 Assessment tasks – your name.
Please send an email to whsonline@cbdcollege.edu.au to advise us that the file has been uploaded
Marking of Assessments
Assessment tasks will be marked by your trainer or another qualified assessor. We will endeavour to mark these assessments within two weeks of submission. You may be

required to re-submit assessment tasks and will be notified in writing via email if this is the case. You have 2 weeks to re-submit your assessment task. Candidates

who submit assessment tasks after this period will be deemed not competent unless there is a special need that CBD College is made aware of during this period.
Requirements for Competency
To be deemed competent, you will need to provide evidence that shows competency against all the performance criteria.
Assessment Outcomes
If you are assessed as Not Yet Satisfactory (NYS) in any of the assessments, then the outcome on your checklist will be ‘further evidence required’ and you will be

advised what evidence remains to be submitted.
Resubmissions
After the initial assessment, CBD College will allow a further two resubmissions before a $199 fee will be charged each time a student wishes to be given a further

chance to resubmit their work.
Literacy and numeracy
Candidates will need to have sufficient numeracy and literacy skills to read and comprehend instruction for referencing legislation, preparing reports, completing

assessments and searching the internet.
Please discuss any language, literacy or numeracy issues with us prior to attending. This will enable the instructor to organise appropriate support facilities, for

example we can arrange to conduct assessments orally rather than in the written form, or extra tuition, as appropriate.
Health Issues
Please discuss any health issues which may affect your training and assessment with the instructor prior to attending.
Access and Equity
We do not discriminate against any individual on the basis of race, colour, sex, or religion. All students are treated equally. Our instructors will assist and support

students where appropriate, especially those students with language, literacy, or physical disabilities; as long as the nature of the disability does not preclude them

from completing the training and assessment.  We do not tolerate discriminatory behaviour from students in any of our classes.
Complaints and Appeals procedure
CBD College undertakes to deal with complaints and appeals promptly. There are a number of stages involved in resolving complaints and appeals these are outlined in

the Student Handbook.
Feedback
Your trainer is always available to provide feedback during your studies at whshelp@cbdcollege.edu.au Please allow 48hrs for a response through this portal.
Feedback will also be provided when your final assessment is submitted and returned to you after marking.
You will be asked to fill in a feedback form at the end of the course. We encourage constructive and honest feedback. Names are not required to be put on feedback

forms. CBD College warrants that the content of feedback forms will have absolutely no bearing on the marking of your assessment.
Plagiarism
Please do not copy and paste from the internet on short answer questions as we have software to detect plagiarism. We are interested in answers that are in your own

words.  Please also ensure that your answers are comprehensive. Remember that this is a Cert IV course and one-word answers will not be accepted.
Continuous Improvement
Towards the end of the course, each participant will be asked to complete an evaluation/feedback form that looks at their level of satisfaction and ways of improving

our service. Please take some time to complete this form accurately so that we can improve our training for future participants.

IMPORTANT NOTE
Please read the “Study Plan” before starting this assessment for guidance on how to proceed with your online studies.

You will use this scenario throughout the course.
ABC STEEL ENGINEERING
ABC Steel Engineering is a steel fabricating company located on the edge of the city. They specialise in fabrication of steel products for the agricultural,

construction and mining sectors as well as for the housing industry. They also make made-to-order pieces of equipment and machinery. They operate from a very large

purpose-built facility with three factory workshops and employ about 100 employees.
ABC processes include:
* Design
* Plate rolling & machining
* Hole punching, cropping & drilling
* Guillotining
* Marking & saw cutting
* Plasma cutting
* MIG, TIG and arc welding
* Structural fabrication
* Industrial metalwork
* Stainless steelwork
* Light fabrication
* Abrasive blast cleaning & priming
* Finishing services (galvanising, electroplating, powder coating & paint)

They work with all forms of metal products including beams, columns & lintels, angles, squares & rounds, pipes, SHS (square hollow sections) & RHS (rectangular hollow

sections), flat bars & plates, grating & mesh produced from mild steel, stainless steel, and aluminium and are adept at producing high quality products including large

projects (such as, hoppers and silos, gantries, platforms) or smaller projects (such as, security grills, handrails, brackets, ladders and gates).
The majority of plant and equipment in use at ABC Steel engineering is adequate although some pieces are in need of maintenance. Examples of plant and equipment in use

included:
* Crane with 25 tonne lifting capacity
* Guillotine, punches, profile cutters, milling machines
* Folder
* 150 tonne press
* Heavy duty rollers
* Bandsaw
* All other equipment needed for steel fabrication

At times the company travels to off-site projects and take their own equipment with them which can include:
* Mobile workshop
* Scaffolding
* Forklift
* Mobile crane 11 tonne
* Elevated work platform (EWP)
* Lifting equipment and rigging equipment
* Container for storage

ABC Steel has been in business for about ten years and in that time, they have seen their company grow both professionally and financially. They have a good rapport

with most workers and a lot of them are long standing employees. They have just taken on 10 immigrant workers who are new to the country. These workers tend to stick

to themselves and do not speak much English although their job skills are good and they are quick to learn by watching others.

One area of the business that needs attention is work health and safety. ABC Steel has had their share of incidents both minor and serious over the years and given the

nature and hazards associated with the work it is surprising that injury rates have not been higher.
You have been employed as a WHS assistant to help assist with the establishment of a WHS management system for the company and to evaluate the overall needs in

relation to workplace health and safety.
At this point in time there is a lack of understanding of WHS legislation. A WHS policy is in place but has not been integrated into work practices, workplace safe

operational procedures are few and far between and injuries and incidents are only recorded if there is a compensation claim made.
As well as helping to rectify the problems outlined above, you will also be required to; assist with effective WHS management of contractors; collect and evaluate

workplace hazardous conditions; investigate causative events and file reports on any serious incidents that may occur as well as develop a workplace safety alert.

As WHS assistant, your duties also include help with producing comprehensive action plans, reports that outline major areas of concerns as well as your recommendations

to help get ABC Steel back on track with its health and safety obligations.
On the following page is an organisational chart of ABC Steel’s major stakeholders with position titles.

For an interactive overview of a typical metal fabrication facility click on the link below
http://www.worksafeform.com/mf-guidance/mf-guidance.html

ABC STEEL ORGANISATIONAL CHART

Assessment 1 – Legislation/WHSMS
Units covered in this assessment activity
This is an integrated assessment that covers these units;
BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements
BSBWHS402A Assist with Compliance with WHS Laws
BSBWHS405A Contribute to Implementing and maintaining WHS management Systems
BSBWHS403A Contribute to implementing and maintaining WHS Consultation and Participation
BSBWHS404A Contribute to WHS hazard identification, risk assessment and risk control
BSBWHS406A Assist with responding to incidents
BSBWHS410A Contribute to work related health and safety measures
BSBWHS505A investigate WHS incidents
PUAWER002B Ensure Workplace emergency prevention procedures, systems and processes are implemented
BSBWHS408A  Assist with effective WHS management of contractors
Reading
CBD College Course E – Book
Chapter 1 Health and Safety Legislation Pages 2 -58 and
Chapter 3 A Systematic Approach To Managing Health And Safety pages 102 – 120
Student workbook pages 7 – 24
Instructions to candidates
This assessment is about workplace health and safety compliance and deals with government legislation. Assessment 1 contains 24questions.
Both parts involve the main scenario – ABC Steel Fabricators (on page 5/6)
Written Questions
N.B. Your answers should be at least a paragraph long to show that you have adequately considered these questions. Answers that are only a sentence long are not

acceptable.

Assessment 1
Scenario – Additional information
There has been a workplace incident at ABC Steel where an employee has collapsed due to exposure to inhaling toxic fumes from the pickling chemical that are used in

finishing stainless steel products. A supervisor had insisted that the work be performed as fast as possible and so the employee has rushed the job and not bothered to

wear the correct PPE. The employee became dizzy and then unconscious and was attended to by a fellow employee until emergency services arrived. The employee was then

rushed to hospital and will be away from work, rehabilitating for some time. Obviously this has shaken management and workers and all are concerned that it doesn’t

happen again. The company has decided to update their OHS/WHS knowledge and have asked you to investigate which legislation is relevant to this situation, and how they

can comply in the future.
Fill in the chart provided below (1.1). And then answer the questions (1.2 to 1.24) with a detailed written response.

1.1     Research Activity
Management at ABC Steel has asked you to research relevant legislation that surrounds the work environment in regards to the incident described above. You are required

to record full names of all pieces of legislation, organisation where they can be found and a web address for each.
LEGISLATION TYPE    LEGISLATION NAME    WHERE AVAILABLE /WEB ADDRESS
Act – WHS/OHS

Acts – Others

Regulation – WHS/OHS
Regulations – Others
Standard

Code of Practice

Guidance material

1.2     What are internal & external sources of information that may assist in managing OHS/WHS matters within the work environment?
INTERNAL INFORMATION    EXTERNAL INFORMATION

1.3     From a legal perspective, what are the major differences between the Act/Regulations & Codes of Practice?

1.4     What areas of the OHS/WHS Act need to be taken into consideration with regards to this incident?

1.5 What areas of the OHS/WHS Regulations need to be taken into consideration with regards to this incident?

1.6      What is the Employer’s/PCBU’s legal obligation to apply safe work place practices within their organisation?

1.7     What is the Employee’s/Workers legal obligation to apply safe work place practices within their organisation?

1.8     How could workers apply the WHS legislation to identify “duty holders” relevant to their own work areas and job roles?

1.9     What are the functions and powers of the Health and Safety Regulator in your State & how they are exercised?

1.10    Workers were concerned that it was only a matter of time before this incident occurred. With reference to the WHS/OHS legislation, how could they establish

lines of communication to raise safety concerns in the future?

1.11      Workers must be trained in health and safety measures. What are the requirements for training under your State’s Health and Safety legislation?

1.12    With reference to the PROWELD PICKLING GEL material safety data sheet, inform the workers about the safety and health requirements, by completing table below

with the relevant information.

REQUIREMENTS FOR PROWELD PICKLING GEL

PPE TO BE WORN

STORAGE

FIRE FIGHTING

SPILLAGES

FIRST AID

1.13     Complete the Safety Alert below, regarding the exposure of the worker to the pickling agent, by providing the following:
– A title
– An overview of the incident
– An investigation (the causes of the incident)
– Recommendations (so that this type of incident does not occur again – refer to the codes, standards or guidance material)

SAFETY ALERT!!!
*TITLE*
INCIDENT –

INVESTIGATION –

RECOMMENDATIONS –

DATE ISSUED:

Scenario – Additional information
ABC Steel has decided that the company needs to develop a WHS/OHS program based around the Australian Standard AS 4804 management system after the workplace incident

surrounding the employee who collapsed due to exposure to toxic fumes. This will help the company to show compliance and also give guidance when introducing workplace

health and safety practices so further incidents can be avoided. As they have very limited knowledge in this area, they have asked you to help clarify some areas by

answering the questions below.

1.14      What are the advantages of having a WHS/OHS management system?

1.15      What are the 5 typical components of an Australian Standard 4804 OHS management system? Give a brief description of each component.

COMPONENT    DESCRIPTION
Component 1 –

Component 2 –

Component 3 –

Component 4 –

Component 5 –

OCCUPATIONAL HEALTH & SAFETY POLICY

OUR VISION
To foster a workplace culture across ABC Steel operations where workplace health and safety is considered a core value, safe behaviour is encouraged and respected and

continual improvement is considered to be part of normal business practice.
OUR GOAL
To eliminate work related injury and ill health, to provide work environments that do not compromise the safety of any individual and to ensure that occupational

health and safety is proactively managed throughout our operations.
This goal will be realised through these objectives:
1.    Ensuring occupational health and safety issues are considered an integral part of the way we do business.
2.    Encourage appropriate consultation with all relevant stakeholders on health and safety policies and standards, and ensuring that these are communicated and

observed.
3.    Establishing appropriate objectives and targets and continuously monitoring and benchmarking these to identify opportunities for continual improvement.
4.    Implementing risk management systems to identify, assess, monitor and control workplace risks and hazards.
5.    Maintaining a program of education and training to enhance the skill levels and safety awareness of all staff.
6.    Complying with all applicable work health and safety laws, regulations, statutory obligations, client, and industry requirements.

General Manager:  Name: Alan Steel      Signature:   Alan Steel     Dated: 20/01/2014
Policy review date:  20th July 2014     Signature: Alan Steel

Management at ABC Steel has just implemented a WHS/OHS policy (see above).
1.16      Why is it important for an organisation to have a WHS/OHS policy?

1.17     How can the objectives of the WHS/OHS policy be appropriately integrated into to ABC Steel?
1
2
3
4
5
6

1.18     How could ABC Steel personnel support the development, and promote the WHS/OHS policy?

1.19     How could the WHS policy, the planning process, the roles & responsibilities of staff, the review and improvement of the OHSMS be communicated to

stakeholders?

THIS ACTION PLAN WAS COMPLETED BY            TODAY’S DATE

Action to be taken    Current Status    Improvements needed    Priority (Critical, major, minor)    Objectives, Targets, PPI    Resources    Responsible

person to track progress    Timeline for Completion
1.     Establish WHS Policy
none present    WHS policy is embedded into OHSMS    major    1 WHS Policy Written
2 signed by CEO
3. added to   induction booklet and website    Health and Safety legislation,
Policy Template,
Legal Advice    Human Resources  Manager    completed by 12/3/2015
2.

3.

4.

5.

1.20    Using the Action Plan below as a guide, add actions that you have identified that are needed to implement the WHS/OHS policy at ABC Steel.

1.21     How could workers implement the action plan, with regard to their work area?

1.22     Management has realised that they have omitted the return to work procedures.
List actions that can be added to the OHSMS plan, that will help facilitate the integration of the return to work of injured workers, & the injury management

procedures.

1.23     What methods could ABC Steel use to evaluate its WHS/OHS performance?

1.24     How does the risk management process fit into ABC Steel’s OHSMS?

Assessment 2 – Consultation/Contractors
Units covered in this integrated assessment activity
This is an integrated assessment that covers these units;
BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements
BSBWHS402A Assist with compliance with WHS laws
BSBWHS405A Contribute to Implementing and maintaining WHS management Systems
BSBWHS403A Contribute to implementing and maintaining WHS Consultation and Participation
BSBWHS404A Contribute to WHS hazard identification, risk assessment and risk control
BSBWHS406A Assist with responding to incidents
BSBWHS410A Contribute to work related health and safety measures
BSBWHS505A investigate WHS incidents
PUAWER002B Ensure workplace emergency prevention procedures, systems and processes are implemented
BSBWHS408A  Assist with effective WHS management of contractors
Reading
CBD College Course E – Book Chapter 2 Consultation Pages 59 – 101 and
Chapter 4 Assist With Contractor Arrangements Pages 121 – 141
Student workbook pages 25 -36
Instructions to Candidates
You will be asked to think about how the WHS Consultation process works and to apply it to your workplace.
The assessment involves the scenario – ABC Steel (on page 5/6)
Part 1 involves a role play – You are required to hold a WHS tool box meeting with workers of ABC Steel and take minutes from that meeting.
Part 2 involves identifying potential contractors, relevant contractual documentation and improvements that can be made with regards to WHS/OHS coverage for

contractors including additional training requirements.
Assessment 2 contains 23 questions.
N.B. Your answers should be at least a paragraph long to show that you have adequately considered these questions. Answers that are only a sentence long are not

acceptable.
Assessment 2 Part 1 Consultation
Scenario – Additional information
ABC Steel now have a better understanding of their legal requirements thanks to the insight you have offered with regards to compliance and the implementation of an

OHSMS. Part of compliance requires the organisation to consult with their workers about workplace safety. You have been given the task of finding out as much

information to do with concerns for safety in the workplace from workers as possible and to relate this information back to management. You are required to take part

in a workplace meeting and then write a memo reporting your findings from the consultation process.

NOTE: As a distance based learner you are also required to provide evidence for the key skills of Certificate IV in WHS by completing the “Work-based Assessment –

Skills and Knowledge” section located at the end of this assessment. [Click Here]

Meeting
Re-read the main scenario on page 5
You are to imagine that you have been involved in a tool box meeting with workers of ABC Steel. The workers have raised a number of work place health and safety issues

that they have listed in the first column of the meeting minute template below.

You are required complete the meeting minute template provided and:
•    List any concerns associated with WHS issues listed
•    List the decisions made as a result of those issues
•    Give a name or position title for the appropriate person responsible for actioning the decision
•    Set a completion date for actioning

.
2.1a TOOLBOX MEETING ABC Steel
MINUTES COMPLETED BY        TODAYS DATE
Describe WHS/OHS issue    List any WHS/OHS concerns    List any decisions made    Person responsible to action decision/s    Date completed and outcome
e.g. welding silos     Working at heights, confined space entry, manual handling, flash, burns     Working at heights/confined space licenses, manual handling

training, correct PPE, signage     Health safety manager
Human Resources Manager     (an actual date)
12.3.15
No health monitoring Hazardous Chemicals
No wellbeing program

Lack of training

Lack of hazard identification

Integrating Immigrant
Workers

2.2      Who are the official stakeholder groups that need to be consulted at ABC Steel?  What is the importance of effective consultation mechanisms in controlling

work health and safety risks in the workplace?

2.3     What would be the most appropriate consultation techniques for apprentices and trades people, at ABC Steel?

2.4     It’s noted that ABC Steel has just recruited 10 immigrant workers (& they do not speak much English).  Also, unskilled workers operate there.   What do you

need to consider about the way you communicate with these workers?

2.5     There are legislative requirements with regard to choosing how to consult with personnel of ABC Steel. How can we meet compliance with these requirements?

2.6    The Work Health and Safety Committee, and Work Health and Safety Representatives, have specific roles and responsibilities towards consultation agreements.

What are they?

2.7     How would you conduct informal communication with workers to aid the exchanging of WHS/OHS information (which includes raising safety concerns)?

2.8    How can workers become involved in the consultation process at ABC Steel?

2.9     How can you review, and improve, the consultation process?

2.10     What are potential barriers of implementing effective consultation processes?    What strategies would be employed to correct them?

2.11       What are the training requirements for individuals, and parties, necessary for effective OHS/WHS     consultation and participation?

Assessment 2 Part 2 Contractors/Training
ABC Steel has a staffing problem.
A few members of staff from factory one are due for holidays, away on workers rehabilitation or have rostered days off.  The factory is also due to have maintenance

carried out on its plant and machinery.
This will mean we have to increase staffing levels with contract workers in factory 1 to cover any shortfalls.
You have been asked by the Safety Manager to;
•    Clarify OHS/WHS legislative requirements surrounding contractors
•    Access relevant documentation surrounding contractor/maintenance work and schedules
•    Identify any areas where contractors may be applicable
•    Check contract for any areas for improvements to OHS/ WHS arrangements
•    Create a training matrix for contractor training requirements
•    Assist in researching preferred training providers for contractors
•    Coach and mentor the new induction trainer for the induction session of contract workers
•    Recognise and supply coaching and mentoring where applicable
To help complete this part of the assessment, you will need to access all relevant documents surrounding contract work including ABC Contractor Contract, ABC Steel Pre

Start Agreement, ABC Steel OHS Policy, ABC Steel Factory 1 Work Schedule, ABC Procedure Induction and ABC Steel Casual Roles from the Part 2 Resources folder on job

ready site.

2.12     Where is there coverage for contract workers within your State’s legislation?

2.13      With reference to the Factory 1 Work Schedule.doc, complete the email below to send to management, of what contractors you need next week, & explain why.

From:    WHSassistant@abcsteel.com
To:    factorymanager1@abcsteel.com
CC:    hrmanager@absteel.com
Subject    Contractors for Factory 1

2.14     Research suitable organisations that deliver two of the requested contracting services that were mentioned in your email.  List their Name, Web Address and

Contact Details into the Approved Contractor list below.
ABC STEEL APPROVED CONTRACTOR LIST
Service Provided
Name of Company
Address/Contact
Website

Service Provided
Name of Company
Address
Website

2.15     Read the contractor documents that are in your Part 2 Resources file. Describe where they cover OHS/WHS requirements of contractors.

.

2.16     With reference to the contractor documents provided in your Part 2 Resources file, describe      areas where OHS/WHS requirements may be improved.

2.17     Management has asked you to help with rewriting the ABC Contractors-contract.doc.
It has been noted that requirements for health and safety obligations are insufficient. Give suggestions for inclusion in section 5 of the contract – including

contractor requirements for OHS/WHS – and any required tickets, licences or permits.
Refer to your State’s WHS/OHS Act, Codes of Practise, guidance material & ABC Steel’s documentation to complete this part of the contract.

2.18     Read the ABC Steel CasualRoles.doc, which outlines the roles and responsibilities of casual contract workers.
Complete the training matrix below.  Identify the training obligations that ABC Steel has when they engage contractors, plus the training requirements the contractors

need to have completed (prior to employment
ABC TRAINING MATRIX – STEEL FABRICATORS

ATTENDEES

GENERAL MANAGER           FACTORY MANAGER      CUTTERS      DRIVERS      MACHINISTS       SPRAY PAINTERS      WELDERS       GENERAL HANDS

CONTRACTORS    TIME FOR TRAINING    COST PER PERSON
$    INTERNAL
or
EXTERNAL
TRAINING

TRAINING DESCRIPTION
INDUCTION
X    X    X    X    X    X    X    X        1hr    N/A    Internal
FIRST AID
X    X     X     X    X    X    X    X        4hr    100    Internal with first aid trainer
FIRE WARDEN    X    X            X                    4hr    50    External with the fire brigade
WORKING AT HEIGHTS
X    X        4hr    200    External with National Safety Council of Australia (NSCA)
CONFINED SPACE
X    X        8hr    250    Internal with External specialists
HAZARDOUS SUBSTANCES
X    X    X    X    X        8hr    300    External with Chem watch
MANUAL HANDLING
X    X    X    X    X    X    X        4hr    N/A    Internal
PPE COMPLIANCE        X    X    X    X    X    X    X        2hr    N/A    Internal
OHS AUDITING

X    X                                6 Days    2500    External with National Safety Council of Australia (NSCA)
FORKLIFT         X        X                X        4hrs    150    Internal with external specialist
LEGEND     X    Training current and completed    X    Training required -not current or completed        Training not required    T = Ticket to be provided by

contractor

2.19     What would be the financial cost to ABC Steel, for the required training of the contract workers? Explain your reasoning.

2.20     Contractors need to know if ABC Steel has any preferred training providers that they would     recommend – for two of the mandatory permits, licences or

tickets required – before starting work.     Research external training providers that contractors may use, & list their details below
License, Ticket, Permit Required
Name of Provider
Address
Website
Cost per person

License, Ticket, Permit Required
Name of Provider
Address
Website
Cost per person

2.21     Coaching and Mentoring
You have been asked to coach & mentor the induction trainer with regard to the induction session for the contractors and maintenance staff, so that expected outcomes

are met.
Using the ABC Procedure Induction.doc as a guide, explain to the trainer of how this session would be delivered.  Include any specific techniques or training aids that

could be used.

2.22     The maintenance contract crews who will work in factory 1 next week are not clear on the PPE     that must be worn, whilst carrying out their jobs.  What

coaching techniques would you administer to assist these crews?

2.23     One of the contract labourers has worked at ABC Steel on many occasions. He would like to work on a full time basis and has asked you for advice. How would you

apply mentoring techniques to help this person with their endeavours?

Assessment 3 – Hazard/Controls
Units covered in this assessment activity
This is an integrated assessment that covers these units;
BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements
BSBWHS402A Assist with Compliance with WHS Laws
BSBWHS405A Contribute to Implementing and maintaining WHS management Systems
BSBWHS403A Contribute to implementing and maintaining WHS Consultation and Participation
BSBWHS404A Contribute to WHS hazard identification, risk assessment and risk control
BSBWHS406A Assist with responding to incidents
BSBWHS410A Contribute to work related health and safety measures
BSBWHS505A investigate WHS incidents
PUAWER002B Ensure Workplace emergency prevention procedures, systems and processes are implemented
BSBWHS408A  Assist with effective WHS management of contractors
Reading
CBD College Course E – Book Chapter 5 Contribute to Hazard Identification and Risk Assessment Pages 142 – 177 and
Chapter 6 Work-Related Health And Safety Measures And Initiatives Pages 178 – 196
Student workbook pages 37 – 48
Instructions to Candidates
There is one part to Assessment 4.
Assessment 3 is a written task involving the completion of 22 questions. One question involves a Hazard and Risk Register.
This assessment is about investigating incidents, identifying hazards and assessing and controlling risk.
The assessment involves the scenario – ABC Steel (on page 5/6)
N.B. Your answers should be at least a paragraph long to show that you have adequately considered these questions. Answers that are only a sentence long are not

acceptable.

Assessment 3 – Hazard Identification
3.1    Choose four hazards associated with working at ABC Steel. (A physical, chemical, wellbeing and biological hazard).Then explain how the risk associated with the

hazard reacts upon the body to cause harm. Then list typical control measures for each.
Category Hazard    Hazard    Risks of this hazard    Effects on Body    Accepted Levels of Exposure    Health Monitoring Control
e.g PHYSICAL    prolonged exposure
to cold -25c    hypothermia, frost bit, death    Freezing to exposed flesh within 1 Minute of exposure to -25c reduction of body’s core temperature until internal

organs start to shut down reducing capacity to circulate blood, control breathing and cognitive behaviour, resulting in loss of consciousness and eventually death.

If full PPE worn exposure time of 15 min with a 15 min break in warm temp    Measure exposure times by safety manager
Measure of exposure temperatures by occupational hygienist
PHYSICAL

CHEMICAL

WELLBEING

BIOLOGICAL

3.2 Hazard Identification and Risk Register
Name of organisation: ABC Steel         Date:                                                                                      Compiled by:
Category of staff effected    Work activities    Hazards    Risks    Initial risk rating no controls    Control plan – list controls measures to be implemented    Responsible

person    Risk rating after controls    Comments
L    C    R        L    C    R
Example:
all stakeholders    Finishing of stainless steel     Exposure to chemical     Toxic inhalation, skin contact    A    4    VH    Isolate – booth
engineering – extraction fans
admin – signs, training
PPE – mask correct filters, gloves, boots…    HS Manager    D    4    M    Increased supervision needed

3.2    Use the Hazard Identification and Risk Register template provided below to list hazards that you have identified at ABC Steel.
Identify the hazard, assign associated risks then follow this by recommending control measures using the principles of the hierarchy of control.

Safety Workshop

Scenario – Additional information
You have just had an informal meeting with some of the workers at ABC Steel and they are concerned that one area was overlooked during the initial hazard

identification. They have brought to your attention that workers are storing finished grills and small items on a mezzanine level of the building. To access this

floor, they use a 2.5m ladder or the forks of the forklift with a pallet as a platform. All products are handled and stored manually wherever there is room. The floor

is made of wooden boards some of which are cracked, splintered, and slippery and have nails protruding. There are no safety barriers or gates around edge of mezzanine

floor. So far there have been no incidents but workers are worried it is only a matter of time.
An emergency “safety workshop” is called and all stakeholders are required to brainstorm and offer innovative safer solutions to this situation. You have access to all

relevant legislation as well as SafeWork Australia’s code of practice Managing the Risk of Falls at Workplaces.doc and guidance material WorkSafe – Prevention of

Falls– Mezzanines.pdf.
After the meeting, you are required to fill out the additional hazard identification register and consider control measures to be put in place. This will include

researching what safety options are available. Once a solution has been decided upon, you will need to inform the workplace of changes to workplace procedures.
3.3
SAFETY WORKSHOP
ABC Steel

Time:  ____:____am/pm       Location: ___________________________
IDENTIFIED ISSUE    POTENTIAL SOLUTION

Additional Suggestions

3.3      Hazard Identification/Risk Register
Name of organisation: ABC Steel
Activity: General work on mezzanine level        Date:
Compiled by:
Reviewed by: CBD College
Work Activity    Hazards    Risks    Initial Risk rating no controls    Control Plan – List controls measures to be implemented    Responsible person    Risk rating after

controls           Comments
L    C    R        L    C    R

Working on mezzanine level

EMAIL
To:    ABC
From:    [Click here and type name]
CC:    [Click here and type name]
Date:    15-Jan-15
Re:    Mezzanine Improvements
Recommendations
Workers at ABC Steel will need to know about any work place changes to the mezzanine work area that is to be implemented.
3.4     Recommend communication strategies to address stakeholder concerns about these changes.

3.5     How will you explain the effectiveness of new risk controls and any new hazards introduced as a result of controls?

Staff Newsletter
Scenario – additional information
A lot of good work has been completed in regards to identifying hazards, assessing risks, analysing risks and controlling risks. Unfortunately at ABC Steel, there are

a lot of workers who still don’t understand the concept of hazard identification and risk control. You have been asked to present this information in the form of a

company newsletter using the format given below.

ABC STEEL BULLETIN
New improved Health and safety measures – Now in place!
All your questions answered regarding our new system

3.6
What part do WHS specialists and technical advisors play in our company?    Hint of things to include: Describe WHS specialists/technical advisors and

their roles and what they will be doing at ABC Steel  from now on

3.7    Explain the major components of the risk management process
Hint of things to include: The different steps involved in the risk management process that lead to effective identifying, analysing and controlling hazards

3.8    What is a hazard? What is a risk?

Hint of things to include: Give a suitable definition of what we mean by the term “Hazard” and the term “Risk”

 

3.9    How can we identify hazards within ABC Steel?    Hint of things to include: Explain the different tools and techniques that can be used to help identify hazards

within the work place.

3.10    We have new control measures!    Hint of things to include: Describe the various control measures that will be introduced at ABC Steel

Controlling Risks – Written Questions
3.11      How did you identify the options to control risk and select the best options to treat those risks?

3.12      How can the Hierarchy of Controls help in the risk management process?

3.13      How does each level in the hierarchy of control relate to the ABC Steel Hazard Identification     registers?

3.14      How can we monitor and review the effectiveness of risk controls in eliminating or minimising exposure to hazards?

HEALTH MONITORING
3.15     An Action Plan will need to be developed for health monitoring of workers at ABC Steel. You will first have to create a questionnaire that workers can fill out

that identifies areas of wellbeing that may need to be targeted. (These can include but are not limited to stress, bullying, harassment, equal opportunity)
HEALTH MONITORING – WELLBEING QUESTIONNAIRE
Q1.

Q2.

Q3.

3.16     You will now have to create a questionnaire that workers can fill out that identifies areas of mandatory health exposure that may need to be targeted. (The

areas of mandatory health monitoring are described in your state’s WHS/OHS Regulations.)
HEALTH MONITORING – QUESTIONNAIRE
Q1.

Q2.

Q3.

HEALTH MONITORING RESEARCH REPORT
3.17    You will need to research and describe a suitable mandatory health monitoring program and also a suitable voluntary wellbeing initiative that can be

implemented into ABC Steel. Provide details in the template below that can be communicated to stakeholders

MANDATORY HEALTH MONITORING PROGRAM    WELLBEING Initiative
NAME/DETAILS OF PROGRAM
(including company name, address, website,

SOURCES OF INFORMATION RELEVANT TO THIS PROGRAM
(reference any that may be useful and /or applicable)
•     industry bodies and groups , unions
•    relevant Australian and international standards
•    relevant websites, journals and newsletters
•    work health and wellbeing specialists
•    workers’ compensation insurance agents

COSTS OF THE PROGRAM
(include per person cost, typical ongoing costs in time and resources)
BENEFITS OF PROGRAM

LEGISLATIVE REQUIREMENTS
WHS Acts, regulations, codes of practice, guidance material, and other information issued by WHS regulators

3.18     Devise an Action Plan for ABC Steel using the template below of all perceived areas in need of improvement based on Mandatory and Wellbeing Monitoring at

ABC Steel factory that have been identified.
The Action plan should contain:
•    the action to be taken
•    current status of objective
•    improvements needed
•    priority of action
•    objectives or target set against best practice
•    what resources will be needed
•    who are the responsible stakeholders involved and
•    what is the expected timeline for completion
Action to be taken    Current Status    Improvements needed    Priority (Critical, major, minor)    Objectives, Targets, KPI    Resources    Responsible

person to track progress    Timeline
1.

2.

3.

4.

3.19.     You will need to review and evaluate work-related health and safety measures and initiatives.
How can you do this?

3.20. The review and evaluation outcomes will need to be explained to individuals and parties.
How could you assist with preparing reports and communicating these outcomes?

3.21     Explain how the characteristics and composition of the workforce impact on the WHS/OHS risks that are outlined below.  Also, how would you manage each of these

risks?
•    lack of communication skills/ language, literacy and numeracy levels of the workforce
•    cultural background and diversity
•    labour market changes for example part time, casual and contract workers
•    structure and organisation of the workforce such as shift rosters, geographical location
•    workers with specific needs and limitations
•    workplace culture towards alcohol and other drug use

Assessment 4 – Emergency Procedures
Units covered in this assessment activity
This is an integrated assessment that covers these units;
BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements
BSBWHS402A Assist with Compliance with WHS Laws
BSBWHS405A Contribute to Implementing and maintaining WHS management Systems
BSBWHS403A Contribute to implementing and maintaining WHS Consultation and Participation
BSBWHS404A Contribute to WHS hazard identification, risk assessment and risk control
BSBWHS406A Assist with responding to incidents
BSBWHS410A Contribute to work related health and safety measures
BSBWHS505A investigate WHS incidents
PUAWER002B Ensure Workplace emergency prevention procedures, systems and processes are implemented
BSBWHS408A  Assist with effective WHS management of contractors
Reading
CBD College Course E – Book Chapter 7 Preparing for Emergencies Pages 197– 218
Student Workbook pages 49 – 56
Instructions to Candidates
There is one part to Assessment 4.  It involves 14 questions including a Hazard and Risk Register.
This assessment deals with emergency control.  You will role play that you are the person within ABC Steel that is responsible for emergency control.
The assessment involves the scenario – ABC Steel  (on page 5)
N.B. Your answers should be at least a paragraph long to show that you have adequately considered these questions. Answers that are only a sentence long are not

acceptable.

Assessment 4

Scenario – Additional information
To demonstrate its adherence to compliance, ABC Steel has decided to develop emergency procedures. In the previous units, you identified hazards and assessed risks and

you contributed to the implementation of strategies to control risk. You should now understand the reasons why legislation needs to be complied with.

Based on the identified hazards and utilising the Act, Regulations, the guidance note for preparing for emergency evacuation at the workplace and the Australian

Standard AS 3745-2010 (planning for emergencies in facilities) and any other supporting documentation you think is necessary, develop your company’s emergency

procedures for  ABC Steel .

Management has asked you in an urgent email to consider the following questions to enlighten them on emergency procedures

4.1      Complete the emergency prevention inspection register over the page.
You will need to identify areas for potential emergencies at ABC Steel and fill the register with their details.
Details need to include identifying work activities, emergency situations associated with that activity and corrective or preventative measures that can be

put in place
You may review previous workplace hazard analyses that have been carried out already in this assessment to help identify any potential emergency situations to

include on the register.
4.1 Emergency Prevention Inspection Register at ABC Steel
Name of organisation: ABC Steel
Activity: General work    Date:
Compiled by:                                                                                       Reviewed by: CBD College
Work Activities    Potential Emergency    Preventative Measures    Responsible Person Implement Controls
E.g. smoking inside work facility    Fire    No smoking policy, consultation, training, designated smoking area, bins for butts,    HSR, HSE manager, supervisor

4.2     With regards to the potential emergency situations that could arise at ABC Steel, what can be put in place to prevent each scenario, which equipment is needed

to control each emergency, what are the limitations of emergency prevention, and any associated training requirements.
EMERGENCY
CATEGORY    PREVENTATIVE SYSTEM    CONTROL EQUIPMENT NEEDED    LIMITATIONS    TRAINING NEEDS

Fire and Smoke

Building evacuation

Internal Emergency

Medical Emergency

Bomb and Substance threats

External Emergency

Personal threat

4.3     How can you make sure that routine emergency prevention and hazard analysis are implemented into ABC Work areas?

4.4    Create an emergency response procedure for fire at ABC using AS3745 as a guide.

Include in your procedure:
•    Responsibilities and duties of the ECO and actions they are to take during an emergency
•    Responsibilities of ABC stakeholders and actions they are to take in an emergency
•    Arrangement for emergency preparedness
•    Arrangements for emergency response (including reporting procedures)
•    Arrangements for evacuating ABC Steel facilities
•    Monitor and review details
•    Emergency contact details

4.5     How could your emergency identification processes be reviewed?

4.6     Describe the workplace procedures that you would implement to ensure that employees comply with emergency prevention processes.

4.7    How would you make sure that workplace practices do not interfere with the area’s emergency preventative, control and evacuation systems and ensure problems or

deficiencies are reported?

4.8     How do we communicate people’s roles and responsibilities in the event of the emergency occurring?

4.9      When deciding who will take roles within the Emergency Control Organisation, how will you determine how to delegate roles, taking into consideration the levels

of responsibility?

4.10     Who may need to be notified if an emergency occurs at ABC Steel?

4.11     Identify four emergency hazard situations that exist within YOUR place of work, or residence.  Describe how they could occur, and what preventative measures

that you would administer accordingly.

HOW THIS CAN HAPPEN    PREVENTION MEASURE

EMERGENCY 1 –

EMERGENCY 2 –

EMERGENCY 3 –

EMERGENCY 4 –

Assessment 5 – Responding to Incidents

Units covered in this assessment activity
This is an integrated assessment that covers these units;
BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements
BSBWHS402A Assist with Compliance with WHS Laws
BSBWHS405A Contribute to Implementing and maintaining WHS management Systems
BSBWHS403A Contribute to implementing and maintaining WHS Consultation and Participation
BSBWHS404A Contribute to WHS hazard identification, risk assessment and risk control
BSBWHS406A Assist with responding to incidents
BSBWHS410A Contribute to work related health and safety measures
BSBWHS505A investigate WHS incidents
PUAWER002B Ensure Workplace emergency prevention procedures, systems and processes are implemented
BSBWHS408A  Assist with effective WHS management of contractors
Reading/Resources
CBD College Course E – Book Chapter 8 Investigating Incidents Pages 219 – 263
Student Workbook pages 57 – 67
Instructions to candidates
There is one part to Assessment 5.
Assessment 5 is a written task involving the completion of 19 questions. One question involves the writing of a major Investigation Report.
This assessment is about participating in the planning, conduct and reporting of investigations of incidents which have resulted in, or have a potential to result in,

injury or damage. Situations may range from relatively minor through to major incidents.
The assessment involves the scenario – ABC Company (page5/6)
N.B. Unless otherwise noted, your answers should be at least a paragraph long to show that you have adequately considered these questions. Answers that are only a

sentence long are not acceptable.

Assessment 5 – Participate in the investigation of incidents
The questions in assessment 5 will relate to the additional information given below in the fall from heights scenario
Scenario – Additional information: Fall from Heights at ABC Steel Engineering
You are the health and safety manager at ABC Steel. The company has a large site with three purpose-built buildings on the outskirts of the city. The company’s hours

of operation are from Monday to Friday 7am to 4.30pm and Saturdays 8am to 1pm. There is also scope for overtime when needed usually over the weekend and workers can

work up to 60 hours a week when they are busy. There are approximately 100 staff members. These include machinists, cutters, welders, painters, drivers, as well as

general labourers. There are times where workers are required to operate offsite, delivering and installing finished steel products.
The workplace policy on rest periods states that staff takes fifteen minute morning/afternoon breaks and a 30 minute lunch break. This also forms part of the

organisations fatigue management plan. This is sometimes overlooked by staff as work is fast-paced and busy.
Employees are reasonably well-paid but work hard for long hours and are under stress to finish jobs to strict time schedules.
On Friday 12th July at 6.30pm you were informed that there had been an incident in building 1 and a worker has been taken to Edge Town hospital.
You arrive at the building 1 at 6.45pm. There are about 10 workers who are wandering around. All have stopped work.
Carlos, the forklift driver, leads you to the scene of the incident (next to scaffolding and silo in the middle of building 1 work area) and explains that a welder,

Kelvin Jones (47 years old), has slipped from the top of a silo and knocked himself unconscious and looks like he has hurt his leg. That was at 6.00pm. The welding

equipment and bottles were also damaged in the fall and were secured by Steve at the incident site.
There is a labourer who witnessed the incident, (Steve), who called for the assistant manager, Gino, who is also the first aid officer, who administered first aid and

called an ambulance (6.03pm).
By the time the ambulance arrived (6.15 pm) Kelvin had regained consciousness and the cut on his leg had been treated to stop the bleeding. He was obviously in a lot

of pain, going into shock and then taken to hospital (6.25pm). That is when they called you.
You inspect the work area and notice that fall protection harnesses have not been worn. When you ask Gino why this is so, he states “We didn’t have time to put the

harnesses on as we are too busy and it was only a five minute weld.”
The following day the return to work coordinator has informed you that the injured worker has suffered extensive damage to his head in the fall and will be away from

work for two weeks rehabilitating from the effectives of concussion.
Interview transcripts
Fall from Heights at ABC Steel Engineering incident investigation report Friday 12th July 2012
(Use the transcripts below to help identify potential causes of the fall from height at ABC Steel)
Carlos – Forklift Driver

Steve – Labourer

Gino – Assistant Manager (first aider)

Peter – Factory Supervisor

5.1     Prepare and implement a systematic workplace procedure for incident investigation
The procedure should include:
1.    Purpose
2.    Scope
3.    Procedure
i.    Implementation of procedure
ii.    How to respond to injured person
iii.    How to secure incident site
iv.    Reporting of incidents (internally/externally) including legislative requirements
v.    Establishing an investigation team – Roles and responsibilities
vi.    Investigation techniques
vii.    Process used for identifying direct/root causes
viii.    Record keeping requirements (including internal and external documents)
ix.    Confidentiality
x.    Relevant documentation related to incidents that need to be kept
Type your responses into the template provided below. As you type the text boxes will expand.
INCIDENT INVESTIGATION PROCEDURE
1.    Purpose

2.    Scope

3.    Procedure
i.    Implementation of procedure

ii.    How to respond to injured person
(include the principles of DRSABCD)

iii.    How to secure incident site

iv.    Reporting of incidents (internally/externally) including legislative requirements

v.    Establishing an investigation team – Roles and responsibilities

vi.    Investigation techniques

vii.    Process used for identifying direct/root causes

viii.    Record keeping requirements

ix.    Confidentiality

x.    Relevant documentation related to incidents that need to be kept

5.2    Which internal and external stakeholders of ABC Steel will need to be informed of the incident and how can you achieve this?

5.3     How could you assist investigators and help provide relevant information during investigations?

5.4     What might be some barriers to an effective investigation? How would you address these barriers and what documentation is necessary for this process?

5.5    What resources will you need to carry out your investigation?  (Include internal and external     examples in your response)

5.6    What typical documentation will you need to carry out the investigation? (Include internal and external examples in your response)

5.7     With reference to the working at heights scenario, fill out the injury and disease register below using “AS 1885.1 Workplace injuries and Disease recording”

Australian Standard as a reference.

WORKPLACE INJURY AND DISEASE
RECORDING FORM
Personal details of the injured worker

1. Surname
Given names

2. Sex (M or F)

3. Date of birth Day      Month    Year
/             /
Basis of employment
4. Starting time:
1        0600–1159 hours
2        1200-1559 hours
3        1600-0559 hours
5. Shift arrangement:    1        Fixed, standard or flexible hours
2        Rotating shift
6. Number of hours:    1        8 hours or less
2        more than 8 hours
(excluding overtime)
Job details
7. Description of occupation or job title

8. Main tasks performed

9. Training provided:    1         Induction training
2        Task specific training
3        Both of the above
4        Neither of the above
Details of the injury or disease
Day         Month          Year
/                  /
10. Date injury  occurred
or disease reported
,              ,
11. Time injury occurred
(24 hour clock format)

12. Nature of injury or disease

Code
13. Bodily location of injury or disease

Code

Reference number    77777777

14. Description of occurrence of injury or disease:
•    In which part of the workplace did the injury or disease exposure occur?
(e.g. machine shop, freezer room, No. 2 mine)

•    What was the worker doing at the time?
(e.g. driving a fork lift truck, lifting bags of cement, typing)

•    What happened unexpectedly?
Include the name of any particular chemical, product, process or equipment involved.
(e.g. brakes failed on fork lift truck, slipped on wet floor,
scaffolding collapsed, arm started hurting while typing on a word processor)

•    How exactly was the injury or disease sustained?
Include the name of any chemical, product, process or equipment involved.
(e.g. hit head on cabin of fork lift truck, lacerated knee when
landing on ground, arm hurt after long period of typing)

Code
Mechanism of injury
Breakdown agency
Agency of injury

(See pages 25-28
of the Standard)

Lost-time injury/disease
Additional questions to be answered for cases which result in a fatality or permanent disability, or where there was time lost from work of one or more days/shifts.

These questions should be completed as soon as possible after the injury or disease is reported.

15. Employee’s
preferred language

16. Type of employment:
1        Full-time permanent
2        Full-time casual
3        Part-time permanent
4        Part-time casual
17. Type of employee:

Wage/salary earner:

(Note: most employees will fall into this category)               ?    11        Trainee
12        Outworker
13        Apprentice
14
Pieceworker
(Note: (other than Outworkers)
15        Other
Self-employed:

20         (including contractors
and sub-contractors)
Unpaid worker:    31        Work experience
32        Other

Years    Months

18. Worker’s experience in task  being carried out when injury or disease occurred

1
25% or less
2        26% – 50%
3        51% – 75%
4        76% – 100%
5        Overtime
19. Proportion of shift
worked:

Details of person completing this form
Name
Position
Signature

Date              /            /

Outcome of injury/disease
Questions 20 –24 are about information that is not
available at the time of the report of injury or disease.
These questions should be answered as soon as the
information becomes available. For some
occurrences, such as where there was no time lost,
some of these questions will not be relevant.
20. Rehabilitation:
1        Required
Date of commencement of
rehabilitation program
Day       Month    Year
/              /

2        Not required

21. Was the injury
or disease:

1    Fatal
2     Non-fatal

22. Preventive action proposed or taken:

(Tick one or more boxes as appropriate)

Proposed    Taken
Change to induction training    11
12
Change to ongoing training
21         22
Equipment/machinery modifications
31         32
Change to work procedures
41         42
Change to work environment
51         52
Equipment/machinery maintenance
61         62
Other job redesign
71         72
Other preventive action
81         82
23. Date of resumption of
work on:
Day    Month    Year
Short-term alternative duties               /                /
Permanent alternative duties               /                /
Normal duties               /                /
(Enter each date when applicable)
24. Total number of working days lost

(Should be completed only when the
worker has resumed permanent duties)

5.8     What equipment, plant, and areas of the factory would you inspect to gather evidence?

5.9     What appropriate techniques could you use when participating in workplace investigations?
(Include communication skills and negotiation techniques in your answer.)

5.10     Create a list of employees you would interview, and an appropriate timetable (with starting & finishing times) for each interview.

5.11    Explain how you can ensure that ethical objectivity, confidentiality and legal implications have been taken into account with regards to recording statements,

photographs, measurements and other documentary evidence.
OBJECTIVITY

CONFIDENTALITY

LEGAL IMPLICATIONS

5.12 ABC Steel did not have policies and procedures to meet compliance in this matter. What policies and procedures would need to be created that are relevant to

incident investigations? (Include coverage for all three types of incidents.)

5.13    Create a project management plan for the investigation that includes agreed timelines, objectives, responsibilities, roles, documentation, actions and

outcomes and meets procedural and legislative requirements
TIMELINE    OBJECTIVES    RESPONSIBILTY    DOCUMENTATION    ACTION    OUTCOME
i.e. DAY 1
secure site    WHS Manager    incident report, investigation report,     tape off incident site, switch off any machinery, equipment etc.    secure area, no

disruption of evidence, no further incidents associated with the area, no damage to plant, equipment

CONTRIBUTORY FACTORS –Working at Height Incident
5.14 Start the causative tree analysis below to help establish causative events of the incident.
List any contributory factors that may have contributed to the incident in each of the relevant text boxes

5.15     Using one of the contributory factors from the previous question, construct a 5 Why root cause analysis for the “fall from Heights” scenario.
You will need to start with a “problem statement” based on a causative factor you identified in question 5.14.
Next you are required to compile your 5 Why Questions. Answer each of your 5 why questions in the chart below and potential solutions at each level of the analysis.
Finally you will need to give a root cause for this problem.

PROBLEM STATEMENT:

5 WHY QUESTIONS    5 WHY ANSWERS    SOLUTION
1
1    1
2
2    2
3
3    3
4
4    4
5
5    5
ROOT CAUSE:

5.16     You are to compile an objective, ethical and unbiased written Investigation Report from the information provided above. The report should include:
•    Title page
•    Table of contents
•     Introduction –     (including who might be included in the investigative team
appropriate to the level of the investigation and the scope of the investigation)
•    Organisational background – including descriptions of the premise, personnel and
working  conditions
•    Incident details – sequence of events leading up to the incident and the actual
incident
•    Evidence including descriptions of possible:
•    site inspections
•    witnesses’ accounts and interviews
•    photographs
•    sketches
•    samples
•    documentation
•    specialist advice
•    Causative factors including:
•    timeline of events (with recognised intervention points)
•    contributing factors
•    direct causes of the incident
•    root cause of the incident
•    legislative obligations
•    general Observations
•    Conclusion
•    Recommendations (including preventative measures (include hierarchy of controls),
suggested improved safety specific tasks for HSR, supervisor and manager and the most
effective ways to communicate the report to individuals and parties as appropriate)
This must be a comprehensive report as it represents the culmination of all your research of the investigation of the incident at ABC Steel.
Your answers need to be in sentences.
Type your answers into the template provided over. (They will expand as you type.) Alternatively, you can create a separate document in Word and copy and paste it

under the template below so that it forms a part of this assessment file document.

Title page (separate page)

Table of contents (separate page)

Introduction (minimum 150 words)

Organisational background (minimum 150 words)

Incident details (minimum 150 words)

Evidence (minimum 300 words)

Causative factors (minimum 300 words)

Conclusion (minimum 200 words)

Recommendations (separate page)

WHS/OHS ASSISTANT SELF APPRAISAL
Management have asked you to review your performance as a WHS/OHS assistant so far. They have provided you with three questions below which form this part of the

self-appraisal.
5.17     Apply your knowledge of the principles WHSMS/OHSMS and explain how you can contribute to each area.
PRINCIPLES OF WHSMS/OHSMS    HOW CAN YOU IMPROVE IN THIS AREA?
Principle 1 – Commitment

Principle 2 – Planning

Principle 3 – Implementation

Principle 4 – monitor/Measure

Principle 5 – Review

5.18 How do you show effective leadership and decision-making to ensure safety in the workplace?

5.19     How will you stay current with WHS/OHS knowledge?

Work-based Assessment – Skills and Knowledge
Assessment 2 Part 1 Consultation
Skills
You are expected to provide evidence for the key skills listed below to be deemed as competent in this part of your assessment for the BSB41412 Certificate IV in Work

Health and Safety.
•    conduct effective formal and informal meetings
•    demonstrate communication skills to communicate with people from a range of backgrounds and with a range of abilities
•    display interpersonal skills to establish and build relationships at the workplace

Here’s how this part of the assessment works:

Suggested Evidence
The table below outlines examples of evidence you can provide for this part of the assessment. Evidence needs to be submitted at the same time as your submission of

the written tasks. There may be other types of evidence not listed below that you choose to provide. You do not need to provide all items on this list but you will

need multiple pieces of evidence for each of the three skills listed above.
Please tick off from the table below which types of evidence you are  submitting with your written work so that your assessor knows what to look for in your student

portal when assessing your work.

Suggested Evidence    ?
Actual video footage of yourself showing your participation in meetings/ displaying you communicating with people from different backgrounds and with different

abilities/building relationships in the workplace
Actual video footage of interviews with employers, supervisors or peers that can verify your participation in meetings/ displaying you communicating with people from

different backgrounds and with different abilities/building relationships in the workplace
Letters from current or previous supervisors/employers (third party reports) (Please get referees to use template provided below).
Emails, completed documents going to communication techniques/building relationships
Up to date resume/work history
Previous and current job descriptions
Recent performance appraisal
Certified copy of certificates, transcripts and Statements of Attainment (accredited and non-accredited)
Minutes of meetings
Log books, job sheets
Emails, completed documents going to communication techniques/building relationships
Copies of completed documents such as meeting minutes from Health and Safety Committee meetings, toolbox meetings, pre start meetings, general workplace meetings

including candidate’s name.

Third Party Report
Information on completing this report
Thank you for agreeing to provide a third party report. This report is one piece of evidence that will contribute to the candidate’s submission for recognition of

their current competence in some of the skills components of the BSB41412 Certificate IV in Work Health and Safety. Please review the statements below and where you

have directly observed the candidate’s skills and knowledge, tick ‘Yes’. Please use the comments box to support your selection. If you have not directly observed the

candidate’s performance, please tick ‘No’, even if you believe the candidate could perform the task. The candidate will have other opportunities to demonstrate their

competence if you are unable to comment.
Candidate Name

Your Name (person providing report)

Position & working relationship to the candidate (e.g.: supervisor)
Your contact details
A CBD College assessor may contact you.
How long have you known the candidate?

Have you seen the candidate competently do the following?    ? Yes    ? No    Unsure
Demonstrate skills to conduct effective formal and informal meetings

Demonstrate communication skills to communicate with people from a range of backgrounds and with a range of abilities?

Display interpersonal skills to establish and build relationships at the workplace?

Please provide some specific comments and examples to support your responses:

Signature:

Date:

CBD College Office Use only     Date:    Verified:

Assessor comments:

Knowledge
You are expected to provide evidence for the questions listed below to be deemed as competent in this part of your assessment for the BSB41412 Certificate IV in Work

Health and Safety.
(Minimum two paragraph answers required)
2.1b     Describe how you have contributed to setting up and running consultation processes in your past job roles?

2.1c     There may be times when some workers have difficulty in participating in consultation processes. How could you promote, support and include these parties in

consultation processes?

2.1d     Explain how you may have removed any barriers to WHS consultation and participation processes for the types of workers dealt with above?

2.1e     Explain how you have contributed to and participated in consultation processes appropriate to your own job role and work area in the past.

Thanks for completing Cert IV WHS with CBD College.
These assessments are to be submitted in one file and uploaded into your CBD College Student Portal. Please do not submit your file unless every assessment activity is

complete. Please name your file BSB41412 Assessment tasks – your name.
Please send an email to whsonline@cbdcollege.edu.au to advise us that the file has been uploaded
Please ensure
•    all assessment activities are complete, including names/dates and all details on all templates
•    answers are in your own words. Do not copy and paste from the internet when you answer any question. We have software to detect plagiarism.
•    answers are comprehensive. This is a Cert IV level course and one-word answers will not be accepted.

Please do not submit your file until you have ensured that all activities meet these requirements and are complete.

Due Date
As your enrolment with CBD College will cease after 12 months, you need to have submitted your assessments, had them assessed and be deemed as competent within that

time.
This is a strict deadline and extensions will only be considered in exceptional circumstances and if made in writing to Kelly Pitt at the above email addresses.

Exceptional circumstances include a death in the immediate family or sickness lasting for a prolonged period of time (and accompanied by a doctor’s certificate). Work

commitments or overseas travel are NOT considered exceptional circumstances.
Marking procedure
•    We will endeavour to mark your assessment tasks within 2 weeks of submission
•    We will endeavour to post out your WHS Academic Transcript and WHS certificate within 10 business days of being deemed as competent. These will be posted to

the address listed on your JobReady student portal.
Resubmissions
•    You may be required to resubmit certain tasks if your answers are too brief or deficient in some way.
•    You will be notified by email if you need to resubmit your work.
•    After the initial assessment, CBD College will allow a further two resubmissions before a $199 fee will be charged each time a student wishes to be given a

further chance to resubmit their work.
•    Please do not copy and paste from the internet as we have software to detect plagiarism and please ensure that your answers are comprehensive. We are

interested in answers that are in your own words. Remember that this is a Cert IV course and one-word answers will not be accepted.
Do not post in or hand deliver your assessments to our office. This Assessment Tasks BSB41407 file must be uploaded to your student portal and you must notify us by

email when you have done this.
Kind regards, David Gee (david@cbdcollege.edu.au)
CBD College    Ph 1300 616 218

AS/NZS 4804:2001
This document is based on Standards Australia Ltd
Copyrighted material that is distributed by SAI Global Ltd
on Standards Australia Ltd’s behalf. It may be reproduced
in accordance with the terms of SAI Global Ltd’s Licence
1209-c080 to CBD College Pty Ltd
(“the Licensee”). All licensed copies of this document,
must be obtained from the Licensee. Standards Australia’s
copyright material is not for resale, reproduction or distribution
in whole or in part without Written permission from SAI Global:
tel+612 8206 6355 or copyright@saiglobal.com
Australian/New Zealand Standard™
O
ccupational
health and safety
management systems—
General guidelines on principles, systems
and supporting techniques
AS/NZS 4804:2001
This Joint Australian/New Zealand Standard was prepared by Joint Technical
Committee SF-001, Occupation Health and Safety Management. It was approved on
behalf of the Council of Standards Australia on 14 August 2001 and on behalf of
the Council of Standards New Zealand on 31 August 2001. It was published on
15 November 2001.
The following interests are represented on Committee SF-001:
Accident Compensation Corporation, New Zealand
Australian Chamber of Commerce and Industry
Australian Council of Trade Unions
Australian Electrical and Electronic Manufacturers Association
Australian Industry Group
Certification Bodies (Australia)
Construction Policy Steering Committee N.S.W.
Department of Labour, New Zealand
Department of Natural Resources and Mines, Qld.
Electricity Supply Association of Australia
Institution of Engineers Australia
The Institute of Internal Auditors, Australia
Master Builders Australia
National Occupational Health & Safety Commission
National Safety Council of Australia
The New Zealand Chemical Industry Council
New Zealand Engineering Printing and Manufacturing Union
New Zealand Employers & Manufacturers Association
New Zealand Institute of Safety Management
Quality Society of Australasia
Safety Institute of Australia
Telecommunications interests
University of Ballarat
University of New South Wales
Victorian WorkCover Authority
WorkCover New South Wales
WorkSafe Western Australia
Keeping Standards up-to-date
Standards are living documents which reflect progress in science, technology and
systems. To maintain their currency, all Standards are periodically reviewed, and
new editions are published. Between editions, amendments may be issued.
Standards may also be withdrawn. It is important that readers assure themselves
they are using a current Standard, which should include any amendments which
may have been published since the Standard was purchased.
Detailed information about joint Australian/New Zealand Standards can be found by
visiting the Standards Australia web site at www.standards.com.au or Standards
New Zealand web site at www.standards.co.nz and looking up the relevant Standard
in the on-line catalogue.
Alternatively, both organizations publish an annual printed Catalogue with full
details of all current Standards. For more frequent listings or notification of
revisions, amendments and withdrawals, Standards Australia and Standards New
Zealand offer a number of update options. For information about these services,
users should contact their respective national Standards organization.
We also welcome suggestions for improvement in our Standards, and especially
encourage readers to notify us immediately of any apparent inaccuracies or
ambiguities. Please address your comments to the Chief Executive of either
Standards Australia International or Standards New Zealand at the address shown
on the back cover.
This Standard was issued in draft form for comment as DR 00051.
CBD College Pty Ltd – Reproduced Under Copyright Licence 1209-c080
AS/NZS 4804:2001
Australian/New Zealand Standard™
Occupational health and safety
management systems—General
guidelines on principles, systems and
supporting techniques
First published as AS/NZS 4804:1997.
Second edition 2001.
COPYRIGHT
© Standards Australia/Standards New Zealand
All rights are reserved. No part of this work may be reproduced or copied in any form or by any
means, electronic or mechanical, including photocopying, without the written permission of the
publisher.
Jointly published by Standards Australia International Ltd, GPO Box 5420, Sydney, NSW 2001
and Standards New Zealand, Private Bag 2439, Wellington 6020
ISBN 0 7337 4093 6
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AS/NZS 4804:2001
Preface
This Standard was prepared by the Joint Standards
Australia/Standards New Zealand Committee SF-001, Occupational
Health and Safety Management to supersede AS/NZS 4804:1997.
The objective of this Standard is to provide guidance on—
(a)
how such an occupational health and safety management
system (OHSMS) may be set up;
(b)
how it can be continually improved; and
(c)
what resources may be used to do this.
Readers wanting certification for an organization’s OHSMS or an
internal review of their system are referred to AS/NZS 4801,
Occupational health and safety
management systems—
Specification with guidance for use.
The objective of this revision is to align this Standard closely with
AS/NZS 4801:2001 by removing differences in definitions and the
use of technical terms that could confuse readers.
Most notably the terms ‘hazard/risk assessment’ and ‘control of
hazards/risks’ are used to accommodate the different terminology
used in Australia and New Zealand to describe similar elements of
the systematic management of occupational health and safety.
Hazard/risk assessment refers to the process of hazard
assessment in New Zealand, and risk assessment in Australia.
Similarly, control of hazards/risks refers to the processes of control
of hazards in New Zealand, and control of risks in Australia.
It is the intention of Committee SF-001, that the next revision of this
Standard fully revise its content. It is also intended that the next
revision will take place at the same time as the revision of
AS/NZS 4801.
The term ‘informative’ has been used in this Standard to define the
application of the appendix to which it applies. An ‘informative’
appendix is only for information and guidance.
Use of this Standard may not necessarily
meet your OHS legal obligations.
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CONTENTS
FOREWORD……………………………………………………………………….iv
1
SCOPE …………………………………………………………………… 1
2
REFERENCED DOCUMENTS …………………………………… 2
3
DEFINITIONS ………………………………………………………….. 3
4
OHSMS PRINCIPLES AND ELEMENTS ……………………… 6
4.1
Commitment and policy …………………………………………….. 6
4.2
Planning………………………………………………………………… 11
4.3
Implementation ………………………………………………………. 15
4.4
Measurement and evaluation……………………………………. 35
4.5
Review and improvement ………………………………………… 39
APPENDICES
A
COMPARISON BETWEEN THIS STANDARD AND
AS/NZS ISO 14004:1996…………………………………………. 42
B
REHABILITATION ………………………………………………….. 44
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Foreword
The adoption and implementation of a range of effective occupational
health and safety (OHS) management actions in a systematic
manner can contribute to optimal outcomes for all interested parties.
Organizations of all kinds and sizes adopt a systematic approach to
managing OHS and develop OHS management systems (OHSMS)
within the context of:



The general growth of concern from all interested parties about
OHS matters.
Changes to legislation.
Other measures to foster sustained OHS improvement.
There are many reasons why organizations implement an OHSMS
including legal imperatives, ethical concerns, industrial relations
considerations and to improve financial performance. Implementation
of an effective OHSMS should, however, primarily lead to a reduction
of workplace illness and injury, minimizing the costs associated with
workplace accidents. OHSMS are also used by some organizations
to demonstrate, internally and in some cases externally (via selfdeclaration or certification/registration as appropriate), that they are
systematically controlling the risks to all persons affected by the
organization’s activities, products or services.
For organizations wishing to implement, develop, improve, or in
some cases audit an OHSMS, a pair of linked and complementary
Standards is available to provide guidance. This Standard is the
primary Standard relevant to all organizations and provides general
guidance on how to implement, develop and/or improve an OHSMS.
AS/NZS 4801, Occupational health and safety management
systems—Specification with guidance for use establishes an audit
framework principally for use by third party bodies that have been
asked by an organization to conduct an independent audit of the
organization’s OHSMS. The framework can also be used as a
reference point for internal auditing procedures. It is envisaged that
not all users of this primary Standard, AS/NZS 4804, will need to use
AS/NZS 4801 as illustrated below.
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This Standard provides general guidance on:



How to set up an OHSMS.
How to continually improve an OHSMS.
The resources required to set up and continually improve an
OHSMS.
The guidelines in this Standard describe a systematic management
approach that can assist in both meeting legal requirements and
lead to sustained improvement in OHS performance. These
guidelines can assist organizations establish their own OHSMS and
they also apply to any existing OHSMS. The guidelines do not
prescribe the type or format or style of OHSMS that should be
used. Rather, this Standard contains guidance for organizations of
any size or type seeking to develop and implement an OHSMS, or
improve an existing system, so that it will—




be appropriate for that organization;
be integrated with other systems and core functions of the
organization;
improve the organization’s overall performance; and
assist the organization to meet its legal responsibilities.
Injury management is an important element of any system but has
been referred to only peripherally in AS/NZS 4804. The reader is
referred elsewhere, to their respective jurisdictional authorities for
guidance e.g. in Australia, to National Occupational Health and
Safety Commission’s Guidance note for the best practice
rehabilitation management of occupational injuries and disease,
NOHSC:3021 (1995); similarly, in New Zealand, Active and
Working! Managing Acute Low Back Pain in the Workplace: A guide
for employers published by the National Advisory Committee on
Health and Disability, and the Accident Compensation Corporation,
April 2000.
AS/NZS 4801 is a specification Standard that establishes a
framework primarily for enabling independent external audits and
reviews of an organization’s OHSMS, but it can also be used as a
framework for internal audits. Many organizations already
undertake internal audits or reviews to assess the effectiveness of
their OHSMS. Some organizations may also seek independent third
party assurances that an organization they are proposing to do
business with has effective systems in place to control their OHS.
To be effective, and to contribute to ongoing improvements in OHS
performance, independent audits need to be conducted by
competent persons within a structured management system and
integrated with overall management activity. AS/NZS 4801 specifies
the framework against which external auditors will assess an
OHSMS. However, these audits and reviews would not be sufficient
to provide an organization with the assurance that its performance
not only meets, but will continue to meet, its ethical, legal and
policy requirements.
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These linked Standards have been written to be applicable to all
types and sizes of organizations and to be generic enough to
accommodate diverse geographical, cultural and social conditions,
as well as the multiplicity of OHS legal jurisdictions. Thus two
organizations carrying out similar activities but having different
OHSMS and performances may both conform to the requirements
established in AS/NZS 4801. However, any effective OHSMS needs
to reflect OHS issues in the organization in which it is used. The
basis of the approach is shown in Figure 1.
Figure 1 OHS Management System Model
The success of an OHSMS depends on commitment from all levels
and functions within an organization, especially from senior
management. An effective OHSMS can assist an organization to—




set out OHS policy and objectives;
establish, assess and review the effectiveness of procedures
which give effect to OHS policy and objectives;
achieve conformance with OHS policy and objectives of the
organization; and
demonstrate such conformance to others (via self-declaration
or certification/ registration as appropriate).
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The overall aim of these linked Standards is to support the
achievement of the highest levels of OHS performance through
systematic elimination or reduction of risks. Both AS/NZS 4801 and
this Standard are intended to provide organizations with the
elements of an effective OHSMS which can be integrated with other
management requirements, to assist organizations to achieve OHS
as well as other social and economic goals. These Standards are
not intended to be used to create trade barriers nor change an
organization’s legal obligations. They are voluntary, useful tools for
businesses and governments to use as little or as much as they
choose.
Legislation in Australia adopts a risk management approach.
Legislation in New Zealand adopts a hazard management
approach. This legislation may also emphasize a preferred order of
control method (often called a hierarchy of controls) which should
be implemented in the workplace. The various jurisdictions define
this hierarchy in different ways. Readers should note this and will
need to ensure that the Standards are used to suit compliance
requirements in their jurisdictions.
The emphasis in much legislation and in these Standards is for
organizations to develop and implement control actions which,
wherever possible, eliminate hazards or isolate people from the
hazard. Where this is not possible, work activities should be
planned and controlled through administrative means to the extent
necessary to prevent injury and illness. In order to achieve these
objectives an organization should encourage the implementation of
the best practicable methods and technology consistent with the
legal obligations to ensure that workplaces are safe and healthy.
These Standards share common management systems principles
with environmental management systems Standards such as
AS/NZS ISO 14001:1996, Environmental management systems—
Specification with guidance for use and quality systems Standards
like AS/NZS ISO 9001:2000, Quality systems management—
Requirements, and encourage the integration of such management
system standards. However, AS/NZS 4801 and this Standard are
more aligned to risk management philosophies and methods as set
out in AS/NZS 4360:1999, Risk management than are quality
management systems standards.
The requirements set out in AS/NZS 4801 and this Standard do not
need to be implemented independently of existing OHSMS
elements, whether integrated or not. In some cases, existing
OHSMS elements will meet the requirements. An organization may
elect to continue to use any management system framework,
structure or audit tool as required. There may be no need to change
an existing OHSMS program or audit framework. This Standard and
AS/NZS 4801 can be applied to any OHSMS.
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STANDARDS AUSTRALIA/STANDARDS NEW ZEALAND
Australian/New Zealand Standard
Occupational health and safety management
systems—General guidelines on principles,
systems and supporting techniques
1
Scope
This Standard provides guidance on the development and
implementation of occupational health and safety management
systems (OHSMS) and principles, and their integration with other
management systems.
The Guidelines are applicable to any organization, regardless of
size, type, or level of maturity, that is interested in developing,
implementing or improving an OHSMS.
The Guidelines are intended for use as a voluntary, internal
management tool and are not intended for use by OHSMS
certification/registration bodies as a specification standard.
Effective implementation of an OHS management system should
seek to ensure the organization complies with relevant OHS
legislation, standards and codes of practice. However, the
implementation of any of the part of this Standard, does not in any
way assure compliance with legal requirements, or other obligations
placed upon the organization by a statutory body. Hence, the
implementation, either actual or intended, of this Standard, or parts
thereof, would not preclude any action by a statutory body.
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2
Referenced documents
The following documents are referred to in this Standard:
AS
1885
Measurement of occupational health and safety
performance
1885.1
Part 1: Describing and reporting occupational
injuries and disease (known as the
National Standard for workplace injury and
disease recording)
AS/NZS
3931
Risk analysis of
Application guide
technological
systems

4360
Risk management
4801
Occupational health and safety management
systems—Specification with guidance for use
AS/NZS ISO
14004
Environmental management systems—General
guidelines on principles, systems and supporting
techniques
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3
Definitions
For the purpose of this Standard, the definitions below apply.
3.1
Audit
A systematic examination against defined criteria to determine
whether activities and related results conform to planned
arrangements and whether these arrangements are implemented
effectively and are suitable to achieve the organization’s policy and
objectives.
3.2
Competent person
A person who has acquired, through training, qualification, or
experience, or a combination of these, the knowledge and skills,
including OHS knowledge and skills, qualifying that person to
perform the task required by this Standard.
3.3
Continual improvement
Process of enhancing the OHSMS, to achieve improvements in
overall OHS performances, in line with the organization’s OHS
policy.
NOTE:
The process need not take place in all areas of activity simultaneously.
3.4
Control of hazards/risks
In Australia, the term ‘control of risks’ is used, to mean the process
of elimination or minimization of risks.
In New Zealand, the term ‘control of hazards’ is used to mean the
process of elimination, isolation or minimization of significant
hazards.
3.5
Hazard
A source or a situation with a potential for harm in terms of human
injury or ill-health, damage to property, damage to the environment,
or a combination of these.
3.6
Hazard identification
The process of recognizing that a hazard exists and defining its
characteristics.
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3.7
Hazard/risk assessment
In Australia, the term ‘risk assessment’ is used to mean the overall
process of estimating the magnitude of risk and deciding what
actions will be taken.
In New Zealand, the term ‘hazard assessment’ is used to mean the
overall process of determining whether a hazard is significant.
3.8
Health surveillance
Monitoring of individuals for the purpose of identifying changes in
health status that may be due to occupational exposure to a
hazard.
3.9
Incident
Any unplanned event resulting in, or having a potential for injury, illhealth, damage or other loss.
3.10 Interested parties
Individuals or group concerned with, or affected by the OHS
performance of an organization.
3.11 Occupational health and safety management system
(OHSMS)
That part of the overall management system which includes
organizational structure, planning activities, responsibilities,
practices, procedures, processes and resources for developing,
implementing, achieving, reviewing and maintaining the OHS
policy, and so managing the risks associated with the business of
the organization.
3.12 Occupational health and safety objectives
Overall OHS goal in terms of OHS performance, arising from the
occupational health and safety policy that an organization sets itself
to achieve, and which are quantified where practicable.
3.13 Occupational health and safety performance
The measurable results of the OHSMS, related to the organization’s
control of health and safety risks, based on its OHS policy,
objectives and targets. Performance measurement includes
measurement of OHS management activities and results.
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3.14 Occupational health and safety policy
Statement by the organization of its commitment, intentions and
principles in relation to its overall occupational health and safety
performance which provides a framework for action and for the
setting of its occupational health and safety objectives and targets.
3.15 Occupational health and safety professional
A person with expertise and qualifications in the identification,
assessment, evaluation or control of occupational hazards and
risks, and hazards associated with occupational ill-health.
3.16 Occupational health and safety target
A detailed performance requirement, quantified wherever
practicable and pertaining to the organization, that arises from the
health and safety objectives, and that needs to be met in order to
achieve those objectives.
3.17 Organization
A company, corporation, firm, enterprise or institution, or other legal
entity or part thereof, whether incorporated or not, public or private,
that has its own function(s) and administration.
3.18 Risk
(In relation to any potential injury or harm.) The likelihood and
consequence of that injury or harm occurring.
NOTE:
Wherever the term ‘risk’ occurs in this Standard this should be
taken to mean ‘occupational health and safety risk’.
3.19 Safety
A state in which the risk of harm (to persons) or damage is limited
to an acceptable level.
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4
OHSMS principles and elements
The OHSMS model incorporates the following principles within an
upward spiral of continual improvement as part of the organization’s
overall management system. (See Figure 1 in the Foreword.)
Principle 1 Commitment and policy
An organization should define
commitment to its OHSMS.
its
OHS
policy and
ensure
Principle 2 Planning
An organization should plan to fulfil its OHS policy, objectives and
targets.
Principle 3 Implementation
For effective implementation, an organization should develop the
capabilities and support mechanisms necessary to achieve its OHS
policy, objectives and targets.
Principle 4 Measurement and evaluation
An organization should measure, monitor and evaluate its OHS
performance, and take preventive and corrective action.
Principle 5 Review and improvement
An organization should regularly review and continually improve its
OHSMS, with the objective of improving its OHS performance.
With these principles in mind, the OHSMS is best viewed as an
organizing framework able to provide effective direction for an
organization’s OHS activities in response to changing internal and
external factors.
As the organization grows in experience, procedures, programs and
technologies can be put in place to further improve OHS
performance. As the OHSMS matures, OHS considerations should
be integrated into all business decisions.
4.1
Commitment and policy
Principle 1 Commitment and policy
An organization should define its OHS policy and ensure
commitment to its OHSMS.
4.1.1
General
To be effective, an OHSMS requires the participation and support
of all parts of the organization. Gaining this commitment from
people requires senior management to demonstrate a corporate
commitment through leadership and the allocation of resources.
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4.1.2
Leadership and commitment
Successful change can be accomplished by effective leadership
and commitment in the areas of—
(a)
determining the organization’s current position on OHS;
(b)
resource allocation including setting budgets, responsibilities,
authority and accountability;
(c)
coordinated management planning and agreed delegations;
(d)
decisions followed through and performance assessed;
(e)
communication of the values and policies unambiguously
throughout the organization; and
(f)
management demonstrating their commitment by their own
actions.
Regular review of OHS at senior management level reinforces its
importance to the organization’s success in meeting its commercial
objectives and legal obligations.
Everyone in the organization should be aware of the influence that
their actions and inaction can have on the effectiveness of the
system. They should also participate in the establishment and
maintenance of the OHS controls, as well as assisting in OHS
planning.
4.1.3
Initial OHS review
The current position of an organization with regard to OHS should
be established by means of an initial review of its current OHS
arrangements to—
(a)
identify hazards associated with the organization’s activities;
(b)
identify the OHS, legislative and other
applicable to its particular workplace activities;
(c)
assess compliance with the identified legislative and other
requirements;
(d)
review past experience with incidents and results of any
previous assessments, compensation experience, and
disruption associated with OHS;
(e)
assess efficiency and effectiveness of existing resources
devoted to OHS management; and
(f)
identify gaps between any existing systems in place and
these guidelines.
requirements
This information will guide the organization in the planning of the
progressive implementation of the elements of the system.
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Practical help: Initial OHS review
1 Elements to be considered
Every organization will find that it has elements of an OHSMS in
place. What is less common is the linking of these elements into a
coordinated overall system to improve the OHS performance.
A useful starting point is to compare the basic intent of each
element in these Guidelines with management practices and
procedures which are currently being used in the organization.
Obsolete practices might be in place. Organizations need to
compare these Guidelines with what actually occurs in order to
obtain a realistic assessment of what needs to be done to
implement the Guidelines.
Core elements which could be examined are—
(a)
clearly
defined
management
accountability for OHS;
(b)
identification of
management;
risks
and
their
(c)
documentation of procedures associated
management of hazardous activities;
with
the
(d)
OHS inspections of hazardous plant; and
(e)
training.
hazards,
responsibility
associated
and
Other elements can be progressively implemented in accordance
with organizational needs and priorities.
2 Methods of review
Some common techniques for initial review include:
(a)
Questionnaires.
(b)
Interviews.
(c)
Checklists.
(d)
Inspection and measurement.
(e)
Assessments, internal and external, including audits. Review
of records.
(g)
Comparisons with similar organizations.
3 Sources of help
Sources of information include:
(a)
Disease, incident and first aid records kept by the
organization or by industry associations and governments.
(b)
Workers’ compensation experience. Insurance companies
are able to provide feedback on an organization’s claims
experience and the breakdown of the components of the
insurance premium and how these compare within an
industry group.
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(c)
Other data an organization holds on absenteeism, sick leave
and industrial disputation should provide indirect pointers to
areas of poor OHS management.
Other sources which should be able to assist include:
(i)
Government agencies in relation to laws and permits.
(ii)
Local or regional libraries or databases.
(iii)
Other organizations for exchange of information.
(iv)
Industry and employer associations.
(v)
Employee associations or unions.
(vi)
Larger customer organizations.
(vii)
Suppliers of equipment.
(viii) OHS professionals.
4.1.4
OHS policy
There should be an occupational health and safety policy
authorized by the organization’s top management, that clearly
states overall OHS objectives and demonstrates a commitment to
improving OHS performance.
The policy should —
(a)
be appropriate to the nature and scale of the organization’s
risks;
(b)
include the commitment to establish measurable objectives
and targets to ensure continued improvement aimed at
elimination of work-related injury and illness;
(c)
include a commitment to comply with relevant OHS legislation
and with other requirements placed upon the organization or
to which the organization subscribes;
(d)
be documented, implemented, maintained and communicated
to all employees;
(e)
be available to interested parties; and
(f)
be reviewed periodically to ensure it remains relevant and
appropriate to the organization.
The policy is intended to clearly inform employees, suppliers,
customers and other interested parties that OHS is an integral part
of all operations. This commitment is further reinforced by
management being actively involved in the review and continual
improvement of OHS performance.
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Practical help: OHS Policy
The following questions can aid in establishing or rewriting an
organization’s OHS policy:
(a)
Commitment,
integration and
relevance
Does the policy express a commitment
to OHS management?
Is the policy integral and relevant to the
organization’s —
(b)
(c)
Compliance
Accountability
(i)
mission statement, vision, core
values and beliefs;
(ii)
overall
and
(iii)
activities,
services?
management
products
system;
and
Does the policy express a commitment
to legislative compliance and —
(i)
other criteria that may not
always be legally binding but
have evidentiary status such as
State/Territory/Comcare/NZ
approved codes of practice
(which should call upon NOHSC
Codes
of
Practice
and
Australian and New Zealand
Standards); and
(ii)
industry or internal company
performance standards?
Does
the
OHS
policy
accountability in terms of —
address
(i)
capacity to assign/delegate,
deliver, and review the Policy’s
commitments;
(ii)
including OHS accountability in
all position descriptions;
(iii)
establishing a framework for
setting of objectives and targets
to minimize work-related injury
and illness; and
(iv)
allocating adequate resources
to fulfil the aims of the policy?
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(d)
(e)
4.2
Consultation
Prevention
Does the policy promote consultation
with —
(i)
employees
and
representatives;
their
(ii)
line managers;
(iii)
OHS committees;
(iv)
contractors and subcontractors;
(v)
suppliers;
(vi)
clients; and
(vii)
independent experts?
Has the policy adopted a preventive
approach?
Planning
Principle 2 Planning
An organization should plan to fulfil its OHS policy, objectives and
targets.
4.2.1
General
The successful implementation and operation of an OHSMS
requires an effective planning process with well defined and
measurable outcomes. Planning is essential for both the initial
implementation of an overall management system and for specific
elements that make up the system. The initial review (Clause 4.1.3)
of the organization’s position provides a planning framework for the
implementation of an OHSMS. Objectives, targets and performance
indicators should be established and plans made to achieve them.
The planning process should address the regular identification of
hazards, hazard/risk assessment and control of hazards/risks
associated with the activities of the organization as well as any
related legal requirements.
Practical help: Planning
Planning is undertaken in consultation with the relevant work
areas affected by the process.
Planning needs to address schedules, resources and
responsibilities for achieving the organization’s OHS objectives
and targets. Such planning (and resulting plans) can cover a
number of areas. For example:
(a)
Planning undertaken to establish or to improve an OHSMS.
(b)
Specific OHS plans for the control of hazards/risks in the
workplace.
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(c)
Contingency plans to meet foreseeable emergencies (e.g.
first aid, evacuation, and clean up).
(d)
Plans for taking corrective action following incidents or
following the breakdown of system requirements.
The level and complexity of planning should be commensurate
with the size, complexity and nature of the organization and its
associated hazards or risks. Consequently, in smaller
organizations many of these types of plans may be combined.
4.2.2
Planning identification of hazards, hazard/risk
assessment and control of hazards/risks
The organization should establish, implement and maintain
documented procedures for hazard identification, hazard/risk
assessment and control of hazards/risks of activities, products and
services over which an organization has control or influence,
including activities, relevant relationships with contractors or
suppliers.
The organization should develop its methodology for hazard
identification, hazard/risk assessment and control of hazards/risks
based on its operational experience and its commitment to
eliminate workplace illness and injury. The methodology should be
kept up-to-date.
The specific application of hazard identification and hazard/risk
assessment and control procedures should be likewise part of the
ongoing planning process.
4.2.3
Legal and other requirements
The organization should establish, implement, and maintain
procedures to identify and have access to all legal and other
requirements, that are directly attributable to the OHS issues
related to its activities, products or services including relevant
relationships with contractors or suppliers.
The organization should keep this information up-to-date. It should
communicate relevant information on legal and other requirements
to its employees.
Practical help: Legal and other requirements
In maintaining regulatory compliance, the organization should
identify and understand regulatory requirements applicable to its
activities, products or services. Regulations cover several aspects
including—
(a)
those specific
regulations);
to
an
activity
(e.g.
(b)
those specific to the organization’s products or services;
(c)
those specific to the organization’s industry;
(d)
general OHS laws; and
(e)
authorizations, licences and permits.
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Several sources can be used to identify OHS regulations and
ongoing changes, including—
(i)
all levels of government;
(ii)
industry and employer associations;
(iii)
employee associations and unions;
(iv)
commercial databases; and
(v)
professional services.
To facilitate keeping track of legal requirements, an organization
can establish and maintain a list of all laws and regulations
pertaining to its activities, products or services.
4.2.4
Objectives and targets
The organization should establish, implement and maintain
documented OHS objectives and targets to meet the organization’s
OHS policy. These objectives are the overall goals for OHS
performance identified in the OHS policy, and provide the
organization with the means to evaluate its OHS performance.
Objectives and targets can apply broadly across an organization or
more narrowly to site-specific or individual activities. Appropriate
levels of management should define the objectives and targets.
The initial review provides users with information concerning the
current status of their OHSMS. This information can then be used
to identify those work areas, practices or activities at all levels
within the organization where OHS performance is less than
optimal. Objectives and targets, consistent with the organization’s
OHS policy, should then be set based on improving OHS
performance in these work areas, practices or activities.
Objectives should be aimed at improvements in OHS performance
and supported by targets which are clear, quantifiable, realistic and
time bound.
Objectives
based on
personnel,
persons or
4.2.5
and targets should be regularly reviewed and revised
past performance and in consultation with workplace
OHS professionals, insurers and other appropriate
groups.
Performance indicators
When the objectives and targets are set, the organization should
consider establishing measurable OHS performance indicators.
Performance indicators provide information on what is happening.
They can be outcome based, in reflecting system or operational
performance, (e.g. rate of injury) or input based (e.g. number of
audits performed, number of inspections conducted or percentage
of job descriptions made to include OHS requirements). The latter
example may also be called a positive or leading performance
indicator as it relates to actions taken to prevent injury and illness.
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Practical help: Objectives, targets and performance
indicators
Objectives state what is intended to be accomplished and targets
define a performance level time frame.
Performance indicators are the means by which we measure
whether objectives are met. They are measures such as rates,
ratios or indices which reflect how well the OHSMS or its
elements are performing.
An example of an ‘outcome’(operational)/performance indicator
would be as follows:
(a)
Objective
Eliminate injuries associated with fork lift trucks.
(b)
Target
Zero injuries in a financial year.
(c)
Indicator
Percentage of injuries associated with fork lift trucks.
An example of an ‘input’ (management) performance indicator in
use would be the following:
(i)
Objective
Provide OHS induction training for all new employees.
(ii)
Target
Training to be provided in first week of employment.
(iii)
Indicator
Percentage of new employees given OHS induction training
in first week.
4.2.6
OHS management plans
The successful initial implementation of an OHSMS requires plans
to be developed that clearly set out how the objectives and targets
for the introduction of a management system will be achieved by—
(a)
designating responsibility for achievement of objectives and
targets at relevant functions and levels of the organization;
and
(b)
outlining the means and timeframe by which objectives and
targets are to be achieved.
In addition to the initial planning phase, procedures should be
established to ensure planning is undertaken in the ongoing
operations of the organization. Operational plans to address
specific OHS issues in an organization’s operations need to be
developed and implemented. (These are sometimes described as
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annual operational plans or as the OHS program). Where there are
changes to the activities, products or services of the organization
(e.g. introduction of new products) or significant changes in
operating conditions (e.g. change of location), procedures need to
be established to ensure current plans are amended to address
such changes.
4.3
Implementation
Principle 3 Implementation
For effective implementation, an organization should develop the
capabilities and support mechanisms necessary to achieve its
OHS policy, objectives and targets.
4.3.1
General
To achieve its OHS objectives an organization should involve its
people as well as focus and align its systems, strategy, resources
and structure.
4.3.2
4.3.2.1
Ensuring capability
Resources—Human, physical, and financial
The appropriate human, physical (e.g. facilities, equipment), and
financial resources essential to the implementation of an
organization’s OHS policies and the achievement of its objectives
should be defined and made available. In allocating resources,
organizations can develop procedures to track the benefits as well
as the costs of their activities, products or services, incidents,
rehabilitation and the like.
In organizing the implementation and effective management of its
OHS policy, an organization needs to be aware of the following:
(a)
Allocate adequate resources commensurate with its size and
nature.
(b)
Identify the competencies required, at all levels within the
organization, and organize any necessary training.
(c)
Make arrangements for the effective communication of OHS
information.
(d)
Make effective arrangements for the provision of specialist
advice and services.
(e)
Make effective arrangements for employee consultation and
active involvement.
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Practical help: Human, physical and financial resources
The resource base, structure, and size of organizations may
impose constraints on implementation. In order to overcome these
constraints external OHS resources may be utilized. Such
resources might include—
(a)
shared technology and experience from
organizations;
(b)
cooperative approaches to develop
guidance material and strategies;
(c)
support from industry and employer
principal contractors and owners;
(d)
assistance
from
organizations;
(e)
the use of consultants and the collective engagement of
consultants;
(f)
provision of advice and training from suppliers;
(g)
assistance provided by workers’ compensation insurance
agents;
(h)
attendance at health and safety seminars; and
(i)
mutually beneficial support from universities and other
research centres.
government
larger
industry
client
specific
associations
health
and
or
safety
Organizations should focus on utilizing cooperative strategies to
implement and maintain an effective OHSMS.
4.3.2.2
Integration
An organization which has an existing documented and
implemented management system may find it convenient to extend
the system to address and integrate an OHSMS. Other
organizations may prefer to introduce a separately documented
system.
Management system elements that can benefit from integration
include—
(a)
organization policies;
(b)
resource allocation;
(c)
operational controls and documentation;
(d)
information and support systems;
(e)
training and development;
(f)
organization and accountability structure;
(g)
reward and appraisal systems;
(h)
measuring and monitoring systems; and
(i)
communication and reporting.
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4.3.2.3
Accountability and responsibility
In order to ensure effective development and implementation of an
OHSMS it is necessary for the organization to define the areas of
accountability and responsibility of those personnel involved in the
OHSMS operation.
While ultimate accountability for OHS rests with the employer, the
organization should—
4.3.2.4
(a)
define, designate, document and communicate OHS
responsibilities and accountabilities, authority to act and
reporting relationships for all managers, supervisors,
employees, contractors, subcontractors and visitors e.g. job
descriptions should use industry and enterprise competency
standards
which
contain
OHS
competencies
(see
Clause 4.3.2.5);
(b)
have a process in place that monitors and communicates any
changes in designated responsibilities and accountabilities
should these be impacted on by changes in the OHSMS or
processes;
(c)
be able to respond in a timely and effective manner to
changing or unusual circumstances or events;
(d)
assign a person at the most senior management level
particular responsibility for ensuring that the OHSMS is
implemented and performs to expectations, in all locations
and spheres of operation within the organization;
(e)
ensure operational managers are responsible and
accountable for effective implementation of the OHSMS and
OHS performance; and
(f)
hold accountable, within the scope of their responsibilities,
employees at all levels for OHS performance in support of the
overall OHSMS.
Consultation, motivation and awareness
Improving an organization’s OHS performance requires the
cooperation of all employees and the development of a supportive
organizational culture. An organization needs to recognize that
knowledge and experience throughout the workforce is a valuable
resource and employees should be encouraged to participate in the
development and implementation of an organization’s OHSMS
through consultation and involvement in the setting of objectives
and targets.
People are more likely to embrace change if it is not imposed upon
them. Involving employees in decisions about changes, and
responding to people’s concerns, helps to establish common goals
between managers and employees.
The objectives and targets should be understood and supported by
the organization’s employees and they should be encouraged to
accept the importance of their achievement both in terms of the
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organization’s OHS performance and the benefits this brings to the
environment in which they work.
Employees need to be made aware of exposure to possible harm in
their work environment including physical, chemical, biological and
psychological hazards. They should have an understanding of
these hazards and their controls as they relate to their work
environment and be able to recognize and take action to avoid work
practices or activities likely to lead to incidents.
Employees should —
(a)
be involved in the development, implementation and review of
policies and procedures for hazard identification, hazard/risk
assessment and control of hazards/risks;
(b)
be consulted where there are any changes that affect
workplace OHS;
(c)
select those who will represent them on OHS matters; and
(d)
be informed as
representative(s)
representative(s).
to
who
and
is/are their
specified
employee OHS
management
There should be documented procedures, agreed to by employees,
for employee involvement and consultation in OHS issues.
Information regarding the arrangements should be made available
to interested parties.
Those representing the employees and employer should receive
appropriate training to undertake effectively their involvement in the
development, implementation and review of OHS arrangements.
4.3.2.5
Training and competency
The organization in consultation with employees should identify
training needs in relation to performing work activities competently,
including OHS training.
Procedures should be in place to ensure that OHS competencies
are developed and maintained.
Personnel should be assessed as competent, on the basis of skills
achieved through education, training or experience, to perform
assigned tasks taking into account the OHS obligations, hazards
and risks associated with the work activities.
Procedures should be developed for providing OHS training. These
procedures should take into account—
(a)
the characteristics and composition of the workforce which
impact on occupational health and safety management; and
(b)
responsibilities, hazards and risks.
The organization should ensure that all personnel (including
contractors and visitors) have undertaken training appropriate to
the identified needs.
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Training should be carried out by persons with appropriate
knowledge, skills and experience in OHS and training.
The effective implementation and maintenance of an OHSMS is
dependent on the competency of an organization’s people. Training
is one important means of ensuring that the appropriate
competencies to achieve OHS objectives are met.
Management training is an important component in ensuring that
senior managers and operational managers are knowledgeable
about their legislative obligations, what needs to be done to
implement control of hazards/risks and their collective
responsibilities. Specific training which is commensurate to the
hazards or risks and specific to the available controls and the
OHSMS should be provided to managers.
Employees should be competent to handle the task to which they
are assigned, especially where there may be a significant hazard or
significant degree of risk present in performing the task as a normal
duty as well as during shut-down procedures and unplanned or
emergency situations.
OHS competency standards can be developed by—
(a)
using existing industry competency standards;
(b)
examining job or position descriptions;
(c)
analysing work tasks;
(d)
analysing results of inspection and audits; and
(e)
reviewing incident reports.
A training program should be developed after completing an
assessment of current capability against the required competency
profile.
Procedures should be established to document and record training
provided and to evaluate its effectiveness. OHS competencies
should be integrated into the organization’s skill base including
through recruitment, selection, performance appraisal and training.
Practical help: Training and competency
Generally a health and safety training program should cover—
(a)
the OHS policy of the organization;
(b)
how health and safety are organized in the workplace;
(c)
hazard identification, hazard/risk assessment and control of
hazards/risks;
(d)
specific hazards, health effects of exposure and control
methods;
(e)
OHS legislation; and
(f)
emergency procedures.
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Training programs may address a number of target groups
including—
(i)
senior management;
(ii)
line managers/supervisors;
(iii)
employees;
(iv)
those with specific responsibilities (such as first aiders, fire
wardens, health and safety representatives);
(v)
contractors and subcontractors; and
(vi)
operators who require certificates under legislation
Training records should normally include—
(A)
who has been trained;
(B)
what the training course covered;
(C)
when and for how long the training took place;
(D)
what competencies were achieved, qualifications or skills
obtained, i.e. assessment of comprehension for each
trainee; and
(E)
the identification and competency of the trainer.
OHS training is typically provided at certain key times in an
operational cycle including—
4.3.2.6
(1)
at induction for employees;
(2)
as ongoing/refresher training;
(3)
on transfer of employees to new jobs;
(4)
on movement into managerial or supervisory positions; and
(5)
when new work processes, machinery, technology,
materials and substances are being introduced.
Supplying goods and services
Where an organization intends to supply goods or provide services
including maintenance to customers, it should have procedures
covering hazard identification, hazard/risk assessment and control
of hazards/risks both to its employees and its customers. Provision
should also be made to identify how amendments to these
procedures will be made and communicated to all involved. The
procedures should be available regardless of the nature of the
agreement with the customer, whether verbal, an order, a contract
or other arrangement.
Before submitting a tender or accepting a contract or order, the
organization should carry out a review to ensure that the
requirements of the customer are adequately defined, that any
differences between a tender, order or contract are resolved and
that the organization has the capability to meet all conditions of the
proposed arrangement.
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The contractor should also seek information from the principal as to
what hazards the contractor may be exposed while at the
customer’s place of work.
Practical help: Supplying goods and services
The supplier/contractor should make sure all of the customer’s
OHS requirements are understood and can be met (see also
Clause 4.3.4.7).
‘Contracts’ may vary in form and may be, for example, a written
order, verbal agreement, telephone order or a formally signed
document. Regardless of the form there needs to be a review
process.
The purpose in reviewing contracts is to ensure that the
customer’s requirements including OHS are understood and that
the organization is capable of supplying the goods and services in
the agreed time frame, as well as the OHS requirements of the
customer.
It is beneficial to carry out reviews of varying levels of complexity.
For a simple one-off order, a review of ability to supply safely and
on time may be all that is needed. In the case of a formal contract
it may be necessary to carry out a number of steps and keep
records of these reviews, including the following examples:
(a)
Review invitation to bid and carry out hazard identification
and hazard/risk assessment and any additional resource
needs.
(b)
Compare your tender with the invitation to make sure that
all parts have been addressed including OHS requirements.
(c)
Upon winning, compare your tender with the proposed
contract to resolve any differences, including OHS
arrangements.
There should also be a method defined to accept amendments to
contracts and orders and also for amendments to any hazard
identification, as well as hazard/risk assessment and control of
hazards/risks.
4.3.3
4.3.3.1
Support action
Communication
Effective two-way communication together with timely reporting are
essential elements of an OHSMS.
The provision of appropriate information to the organization’s
employees, their representatives and other interested parties
serves to motivate employees and encourage public understanding
and acceptance of the organization’s efforts to improve its OHS
performance.
An organization should have procedures for ensuring that pertinent
OHS information is communicated to all the people in the
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organization who need it. This requires arrangements to determine
information needs and ensure that these needs are met by—
(a)
communicating the results from management systems,
monitoring, audit and management reviews to those within
the organization who are responsible for and have a stake in
the organization’s performance;
(b)
identifying and receiving relevant OHS information from
outside the organization; and
(c)
ensuring that relevant information is communicated to people
outside the organization who require it.
Practical help: Communication
Commonly used methods of internal communication include:
(a)
Meetings.
(b)
Team briefings.
(c)
Hard copy or electronic mail.
(d)
Videos.
(e)
Bulletins
(f)
Noticeboards.
(g)
Newsletters.
(h)
Signage.
Commonly used methods of external communication include:
4.3.3.2
(i)
Annual reports.
(ii)
Publications.
(iii)
Inserts in industry publications.
(iv)
Paid advertising.
(v)
Telephone inquiry services.
(vi)
Submissions to government on changes to legislation.
Reporting
Procedures for relevant and timely reporting of information need to
be established to ensure the OHSMS is monitored and performance
improved (see Clause 4.4.4).
Internal reporting procedures need to be established to cover—
(a)
health and safety performance reporting;
(b)
nonconformance (with procedures) reporting;
(c)
incident/occurrence
AS 1885.1); and
(d)
hazard identification reporting.
reporting
(including
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hits)
(see
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External reporting procedures need to be established to cover—
(i)
statutory reporting requirements; and
(ii)
stakeholder reporting.
Practical help: Reporting
Traditionally, reporting has focused on lost-time injuries and not
the management system established to implement control of
hazards/risks.
Effective reporting should cover the positive steps the
organization is taking for hazard identification, hazard/risk
assessment and control of hazards/risks and can include—
4.3.3.3
(a)
reports of levels of conformance with procedures;
(b)
reports on performance against targets;
(c)
reports on improvements made;
(d)
reports on investigation of the underlying reasons for
incident occurrences; and
(e)
reports on health monitoring.
Documentation
Documentation is a key part of any management system and should
be tailored to the needs of the organization. The organization
should establish, implement and maintain information in a suitable
medium, such as in print or electronic form, to —
(a)
describe the core elements of the management system and
their interaction; and
(b)
provide direction to related documentation.
The range and detail of procedures that form part of the OHSMS
would be dependent upon the complexity of the work, the methods
used, and the skills and training needed by personnel involved in
carrying out the activity.
Operational processes and procedures should be defined and
appropriately documented and updated as necessary. The
organization should clearly define the various types of documents
which establish and specify effective operational procedures and
control.
The existence of OHSMS documentation supports employee
awareness of what is required to achieve the organization’s OHS
objectives and enables the evaluation of the system and OHS
performance.
The degree and quality of the documentation will vary depending on
the size and complexity of the organization. Where elements of the
OHSMS are integrated with an organization’s overall management
system, the OHS documentation should be integrated into existing
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documentation. The organization should consider organizing and
maintaining a summary of the documentation to—
(i)
collate the OHS policy, objectives and targets;
(ii)
describe the means of achieving OHS objectives and targets;
(iii)
document the key roles, responsibilities and procedures;
(iv)
provide direction to related documentation and describe other
elements of the organization’s management system, where
appropriate; and
(v)
demonstrate that the OHSMS elements appropriate for the
organization are implemented.
Such a summary document can serve as a reference to the
implementation and maintenance of the organization’s OHSMS.
4.3.3.4
Document control
Because OHS documents communicate standards and regulate
action, they should be current, comprehensive and issued by an
authoritative source.
The organization should ensure that—
(a)
documents can be readily located;
(b)
documents are periodically reviewed, revised as necessary
and approved for adequacy by competent and responsible
personnel prior to issue;
(c)
the current versions of relevant documents are available at all
locations where operations essential to the effective
functioning of the OHSMS are performed;
(d)
obsolete documents and data are promptly removed from all
points of issue and points of use or otherwise assured
against unintended use; and
(e)
archival documents and data retained for legal or knowledge
preservation purposes or both are suitably identified.
Documents can be in any medium as long as they are accessible,
useful and easily understood.
4.3.3.5
Records and information management
Records are a means by which the organization can demonstrate
compliance with the ongoing OHSMS and should cover—
(a)
external (e.g. legal) and internal (i.e. OHS performance)
requirements;
(b)
permits to work;
(c)
hazard identification and hazard/risk assessments;
(d)
OHS training activity;
(e)
inspection, calibration and maintenance activity;
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(f)
monitoring data;
(g)
details of incidents (cf. Clause 4.3.3.2), complaints and
follow-up action;
(h)
product identification, including composition;
(i)
supplier and contractor information; and
(j)
OHS audits and reviews.
A complex range of information can result. The effective
management of these records is essential to the successful
implementation of the OHSMS. The key features of good OHS
information management include means of identification, collection,
indexing, filing, storage, maintenance, retrieval, retention
disposition and access of pertinent OHSMS documentation and
records.
4.3.4
4.3.4.1
Hazard identification, hazard/risk assessment and
control of hazards/risks
General
All hazards should be identified, hazard/risk assessment conducted
then control of hazards/risks should take place. These steps are
repeated as part of an ongoing process, especially when there are
changes in the workplace, e.g. through the use of new substances
or new machinery, or the effectiveness of the control method is
being evaluated, (see Figure 2), or there is new knowledge on
hazards or changes in legislation.
4.3.4.2
Hazard identification
Hazard identification is the process of finding all items, activities
and situations, products and services, that could give rise to injury
or illness.
This would generally involve consideration of—
(a)
the type of injury or illness that is possible;
(b)
the situations or events, or combination of circumstances,
that could give rise to injury or illness; and
(c)
the way work is organized and managed.
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Figure 2 Hazard identification, hazard/risk assessment
and control of hazards/risks
Practical help: Hazard identification
Tools used to assist in the identification of hazards include:
(a)
Consultation
People with experience in the job can indicate aspects that
they believe are hazardous and incidents in the past that
signal hazardous situations.
(b)
Inspection
A physical inspection of the work environment.
(c)
Records
Records and investigation of past incidents involving injury
and illness highlight sources of potential harm.
(d)
Information/specialist advice
The identification of some hazards will require specialist
advice, research and information.
(e)
Task analysis
By breaking a task down into its individual elements,
hazards associated with the task can be identified.
(f)
Formal hazard analysis methods (see AS/NZS 3931).
(g)
Informal hazard analysis, asking ‘what if . . . ?’
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4.3.4.3
Hazard/risk assessment
In Australia, risk assessment is the process used to determine the
level of risk of injury or illness associated with each identified
hazard, for the purpose of control. The priority for control increases
as the established level of risk increases.
Hazard assessment is a process used in New Zealand to determine
whether or not an identified hazard is significant. The processes of
‘hazard identification’, followed by ‘hazard assessment’ are
described in NZ legislation.
Practical help: Hazard/risk assessment
(a)
Risk assessment (Australia only)
One of the ways risk assessment is carried out is given below.
In order for risk assessment to be carried out, the level of risk is
first determined. Some legislation requires certain control action to
be adopted, regardless of whether the risk has been determined.
Establishing the level of a risk requires clear specification of the
actual components of the risk being considered, i.e. the specific
scenario of sequence of events including the nature of
consequences to be considered, the exposure to the chosen
hazard, and finally the probability or likelihood of that scenario
taking place. In assessing and determining both the exposure and
the probability, the existing controls are considered.
Any scenario involving a particular hazard can lead to different
consequences depending on the sequence of exposure events.
Hence any risk level needs to be assessed separately for each
chosen sequence of events.
To combine the three components of any risk in assessing its level,
carry out the following:
(i)
Choose a specific consequence or outcome severity for one
possible sequence of events involving the hazard under
consideration. Other possible sequences with different
possible consequences need to be assessed separately. The
number of persons harmed and the nature of their
injuries/illness affects the estimation of the consequence or
outcome severity.
(ii)
Determine the exposure for the chosen sequence, i.e. how
often (frequency); how long (duration) and to what extent the
affected persons are exposed to the particular hazard (for a
toxic hazard this would include any time-weighted average or
ceiling exposure).
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(iii)
Estimate the probability, likelihood or chance that the chosen
scenario will lead to the specific consequences being
considered. Every scenario considered for any particular
hazard has its own specific risk level. The integrity and
effectiveness of any existing risk control measures will need
to be included in estimating probability.
RISK =
LEVEL
CONSEQUENCE ×
EXPOSURE × PROBABILITY
The outcome severity
(injury/illness) of one
scenario
Frequency and
duration of
exposure of
persons to the
chosen hazard
Likelihood or
chance that
the chosen
sequence and
consequence
will occur
The risk level should then be used to prioritize risk control
measures — see, for example, AS/NZS 4360.
(b)
Hazard assessment (New Zealand only)
Hazard assessment is the process of determining whether an
identified hazard is significant. Significant hazards, as defined in
New Zealand OHS legislation, must be controlled. The highest
priority should be given to the most significant hazards.
4.3.4.4
Control of hazards/risks—General
Unless a particular hazard is removed, the risk associated with
such a hazard can never be completely eliminated.
Organizations should plan the management and control of those
activities, products or services that can or may pose a significant
risk to the health and safety of employees. This can be achieved by
documenting and implementing policies and standards for
workplace plant and materials design, as well as procedures and
work instructions to manage and control such activities, products
and services.
The approach most commonly used, and
legislation for control of hazards/risks, employs
control methods (commonly referred to as
preferred (elimination), to the least desirable as
(a)
Elimination
(b)
Substitution.
(c)
Engineering controls.
(d)
Administrative (procedural) controls.
(e)
Personal protective equipment.
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often adopted in
a preferred order of
a hierarchy) from
follows:
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NOTE
NZ legislation, HSE Act 1992 specifies a required order of control:
(a)
Elimination
(b)
Isolation
(c)
Minimization and employees protected.
In order to ensure the effectiveness of these controls, organizations
should implement a system of monitoring and checking appropriate
to their needs. Typical components of such a system should include
the following activities:
(i)
Self checking
The operator should act at nominated points in the work
process to ensure that safety equipment is working properly
before work is commenced, and that work surfaces are clear
of obstructions.
(ii)
Inspection and testing
The operator’s supervisor or team leader should ensure that
the operator is complying with the requirements of the
organization’s OHS policy, work procedures and instructions
as they relate to their work and that their workplace is as safe
and healthy a place as defined in the organization’s OHS
policy in which to perform the specified operations.
Compliance should be verified through the conduct of regular
documented inspections.
(iii)
Independent inspections
This formally documented independent inspection process is
intended to ensure that the organization’s policies, work
procedures and instructions are being followed, that adequate
resources are being provided to ensure that all areas of the
working environment conform to OHS standards and that a
process exists to identify new hazards to employees and
institute control measures prior to start of work. This element
of the process is documented elsewhere (see Clause 4.4.2).
Practical help: Control of hazards/risks
Elimination is a permanent solution and should be attempted in
the first instance. The hazard is eliminated altogether. For
example, the elimination of a hazardous process or substance.
Substitution involves replacing the hazard by one that presents a
lower risk. This could involve the substitution of a toxic substance
with a less toxic substance.
Engineering controls involve some structural change to the work
environment or work process to place a barrier to, or interrupt the
transmission path between, the worker and the hazard. This may
include machine guards, isolation or enclosure of hazards, the
use of extraction ventilation and manual handling devices.
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Administrative (procedural) controls reduce or eliminate exposure
to a hazard by adherence to procedures or instructions.
Documentation should emphasize all the steps to be taken and
the controls to be used in carrying out a task safely.
Administrative controls are dependent on appropriate human
behaviour for success. Examples include safe working procedures
and permits to work.
Personal protective equipment is worn by people as a barrier
between themselves and the hazard. The success of this control
is dependent on the protective equipment being chosen correctly,
as well as fitted correctly and worn at all times when required.
Attempts should be made to select control measures from the top
end of the hierarchy where possible. These controls may be most
easily accommodated at the planning/design stages of a project.
However, it may be necessary to use a combination of measures
to achieve the desired level of control.
4.3.4.5
Design, fabrication, installation and commissioning
Health and safety should be considered at the initial
planning/design phase to build in the control of hazards/risks at this
point. The intended use, as well as maintenance, of facilities,
equipment and systems, should be considered. If a process,
product or workplace is designed and built with health and safety in
mind the number of reactive add-on procedures required to manage
hazards will be minimized.
Each stage of the design cycle (planning, development, review,
verification, validation and change) should incorporate hazard
identification, hazard/risk assessment and control of hazards/risks
procedures. Appropriately competent people should be allocated
clear responsibilities to ensure health and safety requirements are
satisfied.
It may not be feasible to anticipate or identify all possible hazards
at the design stage. A process, or workplace will usually need
modification at some time after commissioning, where a periodic
hazard/risk assessment has identified such a need or because of
technological or other changes. The same design principles should
be used for such modifications.
Where the newly evaluated hazard cannot be eliminated or
substituted for a less significant one or one that presents a lower
risk, engineering controls need to be adopted (see also
Clause 4.3.4.4). When the product, process or workplace is
redesigned this experience should be considered in the design
process.
Practical help:
commissioning
Design,
fabrication,
installation
and
Hazards should be identified at the design stage in consultation
with, for example, end-users, maintenance personnel, as well as
engineers, architects, doctors or health and safety professionals.
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Control of hazards/risks should be carried out by:
(a)
(b)
(c)
4.3.4.6
Appropriate
including—
design, siting
and
selection
foreseeable
uses
of
premises
(i)
proposed use,
maintenance;
(ii)
construction in a manner incorporating best health
and safety practices; and
(iii)
checking compliance to
legislation and standards.
contract
and
future
specifications,
Appropriate design and selection of plant including—
(i)
the compilation of technical standards as well as
human
factors
relating
to
installation,
use,
maintenance, decommissioning and dismantling and
disposal (including ongoing waste disposal); and
(ii)
any relevant OHS experience gained by users of plant
in similar circumstances.
Appropriate design of work systems including documented
work procedures and appropriate people management
practices (see Clause 4.3.4.6).
Administrative (procedural) control
Documented procedures and work instructions should be
established where the absence of such procedures could adversely
affect health and safety.
They should—
(a)
be written for work to be done in the simplest and most
efficient manner having regard to health and safety of the
operator and others at each step; and
(b)
be integrated with any existing quality or environmental
management system.
The design and review of such procedures should be developed by
competent people together with involvement from those required to
perform the task(s).
Employees should be trained why and when such procedures are
required and to be competent in their use.
Procedures should be reviewed regularly, as well as when changes
to equipment, processes or raw material have occurred.
NOTE:
Such documented procedures and work instructions are commonly known
as safe systems of work or standard operating procedures.
A suitable maintenance system (including preventive, not just
remedial maintenance) should be in place for plant and equipment
to ensure continuing operation with minimum risk. Details of
maintenance jobs should be identified and effective planning
carried out to identify hazards and control of hazards/risks during
maintenance work.
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Practical help: Administrative (procedural) control
Operational control measures that could be considered include:
4.3.4.7
(a)
High risk permits—for tasks involving significant hazards or
a high risk, e.g. isolation/lockout, confined space entry, hot
work. These are signed and dated.
(b)
Restricted work areas, e.g. for welding or use of explosivepowered tools.
(c)
Handling, storage, transport of hazardous and dangerous
goods.
(d)
Use of warning signs, clear labelling.
(e)
Rotation of jobs, e.g. to reduce exposure to a specific
hazard such as noise.
Purchasing goods and services
A system for the purchasing of goods and services, including
maintenance, should ensure that purchased goods and services,
i.e. contractors and subcontractors conform to the organization’s
OHS requirements (refer Clause 4.1.4).
When introducing goods and services into the workplace, the
organization should use the identification, assessment and control
approach (refer Clause 4.3.4.1) and involve all those directly
affected, for example senior management, employees, including
those responsible for purchasing, employee representatives,
clients, contractors and suppliers (designers, manufacturers,
installers).
This includes informing contractors of hazards or risks associated
with the organization’s workplace. Notwithstanding the contractor’s
and the supplier’s obligations contained in contract documentation,
the organization remains accountable for safe work practice,
procedures and equipment on the site (see also Clause 4.3.2.6).
Practical help: Purchasing goods and services
(a)
Purchasing documentation
Purchasing documents may vary in form and may be, for example,
an order form, a letter, a verbal agreement, a telephone call or a
formally signed contract. Whatever the form, some review process
is needed.
The purpose in reviewing orders is for the organization to be
satisfied that the supplier or contractor from whom goods or
services are being obtained—
(i)
understands what is required;
(ii)
is capable of supplying what is agreed; and
(iii)
for contractors coming on site,
requirements of the organization.
understands
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It may be desirable to have records available which list
acceptable suppliers of goods and acceptable contractors. It may
also be desirable to regularly evaluate the performance of those
on such a list.
The range and detail of purchasing documentation would depend
on the significance of hazard or the level of risk to be associated
with the tendered service or the proposed use of purchased
goods.
(b)
Contractors
The organization needs to ensure that procedures have been
developed for the employment of contractors who undertake work
at the organization’s premises or assets.
The selection of contractors should be on the basis of their ability
to complete the contracted work in a safe competent manner and
not solely on price.
To assist in the selection of contractors the following check list
may be of assistance:
(i)
Adequacy of contractor’s OHS policy.
(ii)
Competency of contractor’s personnel.
(iii)
Registrations and licences where necessary.
(iv)
Compliance with all organization’s OHS policies and
procedures including site inductions.
(v)
Contractor’s work plans and procedures which ensure that
work methods, materials and equipment conform to OHS
regulations, standards and codes of practice.
(vi)
Adequacy of resources both human and financial to meet
the above requirements.
(vii)
The adequacy of supervisory arrangements.
The above requirements should form part of the formal contract
document.
It is therefore necessary for the organization’s procedures to
provide for adequate checks of the operations to ensure contract
requirements are adhered to. Examples include:
(A)
Undertake workplace audits.
(B)
Audit registration, licences and certificates.
(C)
Maintain control of site inductions, procedures and records.
(D)
Verify supervisory control as adequate.
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4.3.5
4.3.5.1
Contingency preparedness and response
Emergency or disaster plans
While the OHSMS focuses on prevention of illness, injury and
damage to plant or the environment, it needs to be recognized that
some unplanned incidents could happen. With a well-planned and
managed OHSMS such events should be rare. It is therefore,
necessary for the organization to plan for such contingencies in
advance and to periodically test these plans to allow an adequate
response to occur during the actual contingency.
These could involve significant events such as fire, explosion or
natural disasters that threaten the viability of the organization.
Emergency plans and procedures need to be developed and
periodically tested. They should be reviewed by the appropriate
service provider, e.g. fire brigade, police and the like. For large
installations, the emergency plans should coordinate with municipal
or State disaster planning.
Practical help: Emergency or disaster plans
Emergency plans can include—
4.3.5.2
(a)
installation or availability of suitable warning and alarm
systems, tested at regular intervals;
(b)
emergency organization and responsibilities;
(c)
a list of key personnel;
(d)
details of emergency services (e.g. fire brigade, spill cleanup services)
(e)
an internal and external communication plan;
(f)
training plans and testing for effectiveness;
(g)
emergency rescue equipment available and maintained in
good working order; and
(h)
summary of information useful for emergency services.
Incidents involving employees
These could be anything from minor to fatal injuries affecting
employees, contractors and others on site. The organization should
have appropriate procedures to mitigate the effects of such
incidents on those directly suffering injury. These procedures can
include:
(a)
Establishment of appropriate first aid facilities that are
matched to the site hazards and availability of further
assistance.
Sites remote from medical assistance should have first aid
appropriate to stabilize any injury until transported to such
medical assistance.
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(b)
Processes to rehabilitate injured employees by providing for
appropriate rehabilitation as soon as practicable after the
injury occurs, so that recovery from the injury is expedited.
Rehabilitation may be a requirement of State workers’
compensation legislation.
4.3.5.3
Critical incident recovery plan (CIRP)
Organizations should institute a CIRP as part of their
emergency/disaster plans to aid in employee and plant recovery as
soon as possible after the cessation of the event. The CIRP assists
employees who are not injured but who have for example,
witnessed an incident, cope with the trauma as well as minimizing
the time required for the organization to return to normal
operations. Situations where a CIRP is useful include the aftermath
of a workplace fatality, armed hold-up or external physical threat.
Employees who are not physically affected may still suffer
psychological effects that need to be resolved through defusing,
debriefing and counselling.
Only suitably qualified counsellors should be used to assist persons
affected by a traumatic event. These may be contracted from
specialist organizations or retained as part of the emergency plan.
Practical help: Critical incident recovery plan (CIRP)
The CIRP should cover:
4.4
(a)
Responsibilities, including coordination and initiation.
(b)
Defusing, where those involved in the trauma can discuss
the event immediately afterwards in a confidential
atmosphere.
(c)
Debriefing, designed to assist employees and others use
their own abilities to overcome emotional effects of serious
incidents.
(d)
Counselling, where further therapy may be required on an
ongoing basis. Assistance may also have to be provided to
the families of affected personnel.
(e)
Legal and insurance requirements, e.g. interference without
loss adjuster approval can invalidate the insurance policy.
Measurement and evaluation
Principle 4 Measurement and evaluation
An organization should measure, monitor and evaluate its OHS
performance, and take preventive and corrective action.
4.4.1
General
Measuring, monitoring and evaluating are key activities which
ensure that the organization is performing in accordance with its
OHS policy, objectives and targets as well as initial and ongoing
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planning. In some instances inspection and testing are required by
legislation. The results should be analysed and used to determine
areas of success and to identify activities requiring corrective action
and improvement.
There should be a system in place to measure, monitor and
evaluate actual performance, using the performance indicators, as
derived in Clause 4.2.5.
The results should be analysed and used to determine areas of
success and to identify activities requiring corrective action and
improvement.
Appropriate processes should be in place to ensure the reliability of
data, such as the calibration of instruments, test equipment, and
software and hardware sampling (see Clause 4.4.2).
4.4.2
Inspection, testing and monitoring
The organization should establish, implement and maintain
documented procedures for planning and conducting ongoing
inspection, testing and monitoring related to OHS goals and targets
set earlier (see Clause 4.2.4). The frequency of such inspection
and testing should be appropriate to each item inspected, tested or
monitored. In general—
(a)
personnel involved in inspection, testing and monitoring
should have suitable skills and experience;
(b)
records of OHS ongoing inspection, testing and monitoring
(with details of both positive and negative findings) should be
maintained and made available to relevant management,
employees and contractors (see Clause 4.3.3.5); and
(c)
suitable testing equipment and procedures should be used to
ensure OHS standards are maintained.
Practical help: Inspection, testing and monitoring
(a)
Inspection
Examples of independent inspection processes include:
(i)
Inspection of a potentially hazardous process to ensure that
controls have been effective.
(ii)
Inspection of plant such as pressure vessels to conform
with specified, e.g. regulatory requirements.
(iii)
Inspection of a work area to ensure that specific site safety
rules have been followed.
(iv)
Inspection of a work site to ensure that controls are
effective and to reinforce management commitment to the
OHSMS.
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These inspections may be carried out by competent people such
as safety representatives, technicians or managers.
(b)
Testing and monitoring
Monitoring and testing for specific hazards may take the following
forms:
(i)
Environmental, e.g. flammable gases.
(ii)
Personal, e.g. noise dosimetry, personal respirable dust
sampling.
(iii)
Biological, e.g. heavy metals in blood or urine.
Procedures should be in place for action when results do not
conform with exposure standards or limits or show abnormal
trends.
4.4.3
Audits of the OHSMS
Periodic audits of the OHSMS are necessary to determine whether
the system (including the organization’s policy, objectives and
targets, management program, operational controls and audit
program), has been properly implemented and maintained and
whether the organization has met the performance objectives set
within its OHS policy.
Audits should be suitable and effective, performed objectively by
competent personnel independent of the activities being audited,
using a recognized methodology to ensure consistency of the audit
process and its outcome. The audit frequency should be
determined based on the review of past results and the nature of
the hazards evident in the work area, practices or activities.
The results of the audit should be used by senior management in
the management review process (see Clause 4.5.2).
In addition to their internal audit program some organizations also
choose to arrange external audits of their OHSMS. External audits
may be useful in providing a more independent assessment of
performance and may employ expertise not available in-house.
External OHS audits are conducted by a range of organizations
from both the private and public sectors. AS/NZS 4801 is a useful
audit tool for such external audits of the organization.
4.4.4
4.4.4.1
Corrective and preventive action
General
The findings, conclusions, and recommendations reached as a
result of inspection and testing, audits and other reviews of the
OHSMS should be documented, and the necessary corrective and
preventive actions identified.
Corrective action is action taken after the event to correct any
problem and ensure that a repetition will not occur.
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Preventive action is pro-active and involves taking steps before
problems occur. Management should ensure that these corrective
and preventive actions have been implemented and that there is
systematic follow-up to ensure their effectiveness. In addition—
4.4.4.2
(a)
timely corrective action should be taken where inspection,
testing and monitoring reveal a nonconformity with OHS
requirements;
(b)
sufficient investigation should be undertaken to identify both
the immediate and the underlying causes of any
shortcomings; and
(c)
findings should be analysed and reviewed to allow corrective
and preventive action to be planned and implemented (see
also Clause 4.3.3.2).
Incident Investigation
The investigation of incidents provides an opportunity to examine
many aspects of the operation of an organization’s OHSMS,
e.g. training, hazard identification, hazard/risk assessment, control
of hazards/risks and emergency preparedness.
Incident investigations should be commissioned and the incident
investigation team assembled by management as soon as possible
after an incident. The composition of an incident investigation team
depends on the actual or potential incident outcomes.
The key aim of incident investigations is to identify control
measures that will prevent a recurrence of the same incident. The
focus should be on identifying system deficiencies rather than
apportioning blame.
To prevent a recurrence of an incident, change is necessary.
Changes may involve costs that may influence business decisions
on how work is organized and performed. Management should be
involved in the review and implementation of the recommendations
made by the incident investigation team. Management have a
responsibility to authorize, develop and resource any required
actions.
Practical help: Incident investigation
An incident investigation team typically includes—
(a)
the supervisor or manager;
(b)
the individual(s) involved in the incident; and
(c)
employee representatives.
For the investigation of high risk or
consideration should be given to include—
complex
incidents
(i)
a senior member of management;
(ii)
a person with technical knowledge of the work from another
work group or company; and
(iii)
an OHS professional.
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The main stages of an incident investigation are:
4.5
(A)
Gather objective information and establish the facts. Data
collected typically relates to machine, environment and
human factors (i.e. regarding hazard identification,
hazard/risk assessment and controls, sequence of events,
operating procedures, training, induction, supervision,
emergency arrangements).
(B)
Isolate the contributory factors (i.e. incidents may be multicausal and there may be many interactions between causal
factors).
(C)
Determine corrective and preventive actions (the incident
investigation team should propose recommended actions to
eliminate or modify the contributory factors that either led to
the incident or affected the consequence of the incident
outcomes).
(D)
Prepare a report (i.e. the report should contain a proposed
action
plan
for
management
consideration
and
implementation).
Review and improvement
Principle 5 Review and improvement
An organization should regularly review and continually improve
its OHSMS, with the objective of improving its overall OHS
performance.
4.5.1
General
A continual improvement process should be applied to an OHSMS
to achieve overall improvement in OHS performance.
4.5.2
Review of the OHSMS
The organization’s executive management should, at appropriate
intervals, conduct a review of the OHSMS to ensure its continuing
suitability and effectiveness in satisfying the organization’s OHS
policy and objectives.
The review of the OHSMS should be broad enough in scope to
address the OHS implications of all activities, products or services
of the organization, including their impact on the performance of the
organization.
Review of the OHSMS should include—
(a)
an evaluation of the suitability of the OHS policy;
(b)
review of OHS objectives, targets and OHS performance
indicators;
(c)
findings of the OHSMS audits; and
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(d)
an evaluation of the effectiveness of the OHSMS and the
need for changes in the light of—
(i)
changing legislation;
(ii)
changing expectations and requirements of interested
parties;
(iii)
changes in
organization;
(iv)
changes to the structure of the organization;
(v)
advances in
epidemiology;
(vi)
lessons learned from OHS incidents;
(vii)
market preferences;
the
products
science
and
or
activities
technology
of
the
including
(viii) reporting and communication; and
(ix)
feedback (particularly from employees).
Practical help: Review of the OHSMS
Management review is a cornerstone of the management system,
providing an opportunity for senior management to regularly
review the operation of the system and its continuing suitability in
the face of change and to make adjustments to build upon and
improve its effectiveness.
Some organizations prefer to incorporate the review into a regular
senior management meeting to build on the principle that OHS
management should be integrated into line management
activities.
Some organizations, recognizing the importance of employee
involvement in the process, choose to use the mechanism of the
central workplace committee where senior management and
employee representative members conduct the periodic review.
Other organizations may prefer to hold separate management
review meetings, with suitable participants, where no other
business will distract attention from the OHS review process.
Even where employee representatives are directly involved in the
review, it is important to ensure that feedback on OHS
performance is gathered from employees and other relevant
stakeholders.
Equally employees and other stakeholders should be kept
informed of changes and improvements flowing from the review
process.
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4.5.3
Continual improvement
The concept of continual improvement is embodied in the OHSMS.
It is achieved by continually evaluating the performance of the
OHSMS against its OHS policies, objectives and targets for the
purpose of identifying opportunities for improvement (see Figure 1
in the Foreword).
The continual improvement process should—
(a)
identify areas of opportunity for improvement of the OHSMS
which lead to improved OHS performance;
(b)
determine the root cause or causes of nonconformance or
deficiencies;
(c)
develop and implement plans of corrective and preventive
action to address the root causes;
(d)
verify the effectiveness of the corrective and preventive
actions;
(e)
document any changes in procedures resulting from process
improvement; and
(f)
make comparisons with objectives and targets.
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APPENDIX
A
Comparison between this Standard
and AS/NZS ISO 14004:1996
(Informative)
AS/NZS 4804
AS/NZS ISO 14004
4.1
Commitment and policy
4.1.1
General
4.1.1
General
4.1.2
Leadership and commitment
4.1.2
Top management commitment
4.1.3
Initial OHS review
4.1.3
Initial environmental review
4.1.4
OHS policy
4.1.4
Environmental policy
4.2
Planning
4.2.1
General
4.2.1
General
4.2.2
Planning identification of
hazards, hazard/risk
assessment and control of
hazards/risks
4.2.2
Identification of environmental
aspects and evaluation of
associated environmental
impacts
4.2.3
Legal and other requirements
4.2.3
Legal and other requirements
4.2.4
Objectives and targets
4.2.5
Environmental objectives and
targets
4.2.5
Performance indicators
4.2.6
OHS management plans
4.2.6
Environmental management
programme(s)
4.3
Implementation
4.3.1
General
4.3.1
General
4.3.2.1
Resources — Human, physical
and financial
4.3.2.1
Resources — Human, physical
and financial
4.3.2.2
Integration
4.3.2.2
EMS alignment and integration
4.3.2.3
Accountability and
responsibility
4.3.2.3
Accountability and
responsibility
4.3.2.4
Consultation, motivation and
awareness
4.3.2.4
Environmental awareness and
motivation
4.3.2.5
Training and competency
4.3.2.5
Knowledge, skills and training
4.3.2.6
Supplying goods and services
4.3.3.3
Operational control
(continued)
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AS/NZS 4804
4.3.3.1
Communication
4.3.3.2
Reporting
4.3.3.3
Documentation
4.3.3.4
Document control
4.3.3.5
AS/NZS ISO 14004
4.3.3.1
Communication and reporting
4.3.3.2
EMS documentation
Records and information
management
4.4.4
EMS Records and information
management
4.3.4
Hazard identification,
hazard/risk assessment and
control of hazards/risks
4.2.2
Identification of environmental
aspects and evaluation of
associated environmental
impacts
4.3.4.1
General
4.3.4.2
Hazard identification
4.3.4.3
Hazard/risk assessment
4.3.4.4
Control of hazards/risks
4.3.3.3
Operational control
4.3.4.5
Design, fabrication, installation
and commissioning
4.3.4.6
Administrative (procedural)
control
4.3.4.7
Purchasing goods and
services
4.3.5
Emergency preparedness and
response
4.3.3.4
Emergency preparedness and
response
4.4
Measurement and evaluation
4.4.1
General
4.4.1
General
4.4.2
Inspection, testing and
monitoring
4.4.2
Measuring and monitoring
(ongoing performance)
4.4.3
Audits and the OHSMS
4.4.5
Audits and the environmental
management system
4.4.4
Corrective and preventive
action
4.4.3
Corrective and preventive
action
4.5
Review and improvement
4.5.1
General
4.5.1
General
4.5.2
Review of the OHSMS
4.5.2
Review of the EMS
4.5.3
Continual improvement
4.5.3
Continual improvement
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APPENDIX
B
Rehabilitation
(Informative)
NOTE:
This Appendix is an adapted extract from a National Occupational Health
and Safety Commission (NOHSC) publication, Guidance Note for Best
Practice Rehabilitation Management of Occupational Injuries and Disease,
NOHSC:3021 (1995).
B1 Philosophy
In its broadest sense, rehabilitation can be seen as a strategy to
maximize an individual’s potential for restoration to his or her preinjury physical, social, psychological, educational and vocational
status—emphasizing a multidisciplinary approach.
However, within a workers’ compensation system, rehabilitation is
more focused. Emphasis is placed on interventions aimed at
maintaining injured employees within the workplace or returning
them to appropriate employment in a timely and cost-efficient
manner.
Early intervention and a workplace focus for rehabilitation are
recognized as effective in reducing the economic and human costs
associated with work-related injury and disease. Research and
practical experience have demonstrated that employers benefit
from developing systems for early identification, treatment and
management of work-related injury or disease, thereby reducing the
prospects of an injury or disease becoming a long- term worker’s
compensation claim. This approach will typically involve some form
of early reporting of injury and a coordinated response from
management involving all relevant parties. The responsibility for
this role is usually located with the workplace rehabilitation
coordinator or other OHS personnel within the organization.
Close communication and cooperation between all parties is
necessary if successful outcomes are to be achieved.
B2 Aims
Within a workers’ compensation system, the focus is on—
(a)
achievement of optimal physical and mental recovery;
(b)
return to suitable work at the earliest possible time; and
(c)
reduction of the human and economic cost of disability to
employees, employers and the broader community.
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B3 Principles
Irrespective of the compensation and rehabilitation system, there
are essential principles of rehabilitation which can be promoted and
maintained by all concerned. These principles are as follows:
(a)
Maintenance at work, or early and appropriate return to work,
is in the best interests of all employees who have suffered a
work-related injury or disease and should be the prime goal.
(b)
Commitment by all parties to the rehabilitation process is
essential for successful outcomes.
(c)
Recognition that the workplace is usually the most effective
place for rehabilitation to occur.
(d)
Rehabilitation should occur at the earliest possible time
consistent with medical judgement.
(e)
Rehabilitation intervention should ensure that—
(i)
the dignity of employees is retained; and
(ii)
employees participate actively in the process.
(f)
Consultation between the employer and employee (and their
representatives—where appropriate) should occur at all
stages of the rehabilitation process.
(g)
Employers and employees should be informed of their
legislative entitlements and requirements under the relevant
workers’ compensation system.
(h)
Information should be treated confidentially, and with
sensitivity, being used only for the purpose for which it was
supplied.
(i)
All relevant rehabilitation expenses are to be met by the
agent responsible under appropriate legislation.
(j)
Return-to-work programs should aim to return the employee
to work in either:
(i)
same job/same employer;
(ii)
similar job/same employer; or
(iii)
new job/same employer.
These are the first options to be considered when planning and
implementing return to work programs. If these are inappropriate, or
no position is available with the original employer, then the workers’
compensation authorities may seek to place the individual with a
new employer.
(i)
Work assigned through the rehabilitation process should be
meaningful to the employee.
(ii)
Graduated return to full time duties, permanent part-time
work or reduced hours relative to pre-injury hours should be
considered when planning and implementing return-to-work
activities.
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(iii)
No injured employee should suffer financial disadvantage by
participating in a return-to-work program.
(iv)
Rehabilitation is most effective when linked to a workplacebased OHS program.
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