BSBWHS412
Assist with workplace compliance with WHS laws
Core Security Training
BSBWHS412: Assist with workplace compliance with WHS laws
Contents
Section 1: Learning support material........................................................................................7
Assist with determining the legal framework for WHS in the workplace..............................7
Access current WHS legislation and related documentation relevant to the organisation’s
operations ......................................................................................................................... 7
Use knowledge of the relationship between WHS Acts, regulations, codes of practice,
standards and guidance material to assist with determining legal requirements in the
workplace ....................................................................................................................... 12
Assist with identifying and confirming the duties, rights and obligations of individuals and
parties as specified in legislation ..................................................................................... 15
Assist with seeking advice from legal advisers where necessary ...................................... 18
Assist with providing advice on WHS compliance ...............................................................19
Assist with providing advice to individuals and parties about their legal duties, rights and
obligations, and the location of relevant information in WHS legislation ......................... 19
Assist with providing advice to individuals and parties about the functions and powers of
the WHS regulator and how they are exercised, and the objectives and principles
underpinning WHS .......................................................................................................... 21
Assist with WHS legislation compliance measures .............................................................24
Assist with assessing how the workplace complies with relevant WHS legislation ............ 24
Assist with determining the WHS training needs of individuals and parties, and with
providing training to meet legal and other requirements................................................. 27
Assist with developing and implementing changes to workplace policies, procedures,
processes and systems that will achieve compliance ....................................................... 35
References ...................................................................................................................... 45
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BSBWHS412: Assist with workplace compliance with WHS laws
Section 1: Learning support material
Assist with determining the legal framework for WHS in
the workplace
This section addresses the following performance criteria:

Access current WHS legislation and related documentation relevant to the organisation’s
operations

Use knowledge of the relationship between WHS Acts, regulations, codes of practice,
standards and guidance material to assist with determining legal requirements in the
workplace

Assist with identifying and confirming the duties, rights and obligations of individuals and
parties as specified in legislation

Assist with seeking advice from legal advisers where necessary
Access current WHS legislation and related documentation
relevant to the organisation’s operations
All accidents are preventable. While accidents have a wide number of causes most can be
generally grouped into three categories: the equipment and machinery at work, the working
environment and the work methods used.
The introduction of health and safety legislation has contributed to a significant change in
attitudes to health and safety in the workplace. The objective of the legislation is to eliminate,
or at least reduce, illness and accidents from the workplace. The high cost of accidents, deaths,
injuries and the many near misses should ensure that health and safety is viewed as an
important issue for all organisations at all times.
All states and territories have passed legislation that affects the way an organisation conducts
its operations. All organisations need to ensure that, in carrying out the organisation’s
operations, employees are safe. There are real pay offs in understanding and complying with
health and safety legislation. For instance, organisations can reduce costs by improving their
health and safety performance because it is estimated that industrial accidents alone
represent 2.6% of an organisation’s labour costs.
To ensure that the aims of health and safety legislation are met, it is necessary to access and
read copies of health and safety Acts and regulations. It is necessary to know where to source
health and safety information—both internal (policies, records, procedures) and external
(legislation and requirements). It will also be necessary to know how to check both sources
and information for validity, reliability, consistency and currency and how to use information
management systems to record, store and disseminate information effectively.
Health and safety legislation imposes specific requirements on both employers and employees
that can be enforced by fines or prison sentences. For this reason, employers, managers,
supervisors and employees need to understand the legislation. They all need to have access to
current legislation and related documentation.
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BSBWHS412: Assist with workplace compliance with WHS laws
It should be noted that, under current legislation, employers are referred to as a person
conducting a business or undertaking (PCBU) under health and safety legislation. The term
person is used to refer to an organisation or an individual. An individual is a person who
operates as a sole trader or a person who is self-employed. The term person can also be used
to refer to a body corporate (company), unincorporated body or association, a partnership,
and government departments and agencies. It does not refer to an employee of an
organisation. A person is considered to be conducting a business or undertaking whether it is
conducted alone or together with others, and whether or not it is conducted for profit or gain.
(Safe Work Australia 2011)
When a new worker commences their employment, the induction program and health and
safety training should cover the legislative requirements for workers, and detailed information
about regulations, code of practice, workplace policies and procedures.
Health and safety representatives (HSRs) are generally provided with a comprehensive list of
sources of health and safety information during training for the role. They also tend to develop
a good network of sources they can contact to acquire and discuss health and safety
information.
Legislative information can also access information from websites such as: Safe Work Australia,
WorkCover, Australasian Legal Information Institute (Austlii) or ComLaw. By accessing these
websites, it is possible to read the Acts and regulations in full and gain a comprehensive
knowledge of the relevant legislation/ regulations.
Copies of Acts and their amendments are also available from government printing services.
Amendments are printed in the latest copy of the Act, or might be obtained as separate
documentation.
However, one of the most reliable sources of external information about regulations,
requirements and legislation is the relevant workplace legislative body in the state or territory
the PCBU operates in (for example, the relevant Department of Industrial Relations). These
bodies can provide information about the Acts pertinent to their state and industry, and of
their applications.
Some of these sources can provide legislative and regulatory advice. Many of them offer
health and safety training and support materials. They might also offer interactive online
learning for managers and employees. The websites will lead to other relevant health and
safety links.
Health and safety information specific to the workplace and to the processes or operations
within the workplace will also be needed. This can come from either formal or informal
sources. Some organisations are more open with their information than others. The sources of
available information might, therefore, vary from one organisation to another.
Information particular to an industry or occupation can be gathered from external sources.
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Health and safety information can be obtained from:
Formal sources
Internal
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External
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Informal sources
annual and company reports
business documents
accident, injury and illness reports,
records and statistics
environmental monitoring
workplace hazard and risk
assessments
absentee and attrition reports
lectures/ training workshops and
seminars
meetings, surveys and audits
policy and procedures documents
health and safety representatives
incident investigation reports
first aid records
risk management documents
workplace inspection reports
audits
manufacturers’ manuals, Safety
Data Sheets (SDS) and registers
professional journals, Acts and
regulations
industry bodies
unions
lectures/ training workshops and
seminars
demographic information on
accidents and trends in the local
area
health/ environment monitoring
hazardous material reports/ advice
instruction manuals
the internet
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workplace conversations at lunch
or during breaks
meetings
observation of work practice and
environmental conditions
observation of current and new
work practices
social contacts with co-workers
and others
the internet
television
radio
newspapers
magazines etc
Health and safety information that is gathered should be verified. Prior to sharing information
ensure its integrity. It is also necessary to be aware that legislation is subject to change and it
will be necessary to ensure that any information that is provided is current. Old, wrong,
distorted or incomplete information is not useful.
Become familiar with sources. Use a variety of sources to correlate, compare and match
information to determine consistency and validity. Familiarity with sources will help to assess
reliability, providing checks and balances, and pointing to contradictory or unusual
information. However, do not rely on particular sources of information due only to force of
habit. Use the sources that are genuinely believed to be the best.
When identifying sources of health and safety information, consider whether:
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the source is likely to be accurate
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the information is occupation or site specific
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the source has relevant or personal knowledge of workers or sites
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BSBWHS412: Assist with workplace compliance with WHS laws
Using the internet
The internet holds a wealth of information about health and safety legislation and
requirements, but it is necessary to be confident that the sources used on the internet are
likely to be accurate.
When carrying out internet research to find information relating to health and safety
legislation ask:
1. What types of information are needed?
2. What is the purpose of the search?
3. How soon is the information needed?
4. Has any previous research already been done?
5. Are there any particular sources of information that would be useful?
6. Are there any boundaries, any legislation, state-wide or national that might prevent the
capture of information?
To search for information on the internet a search engine will be used. It is necessary to type in
keywords and phrases into the search engine so the search program knows what to look for.
The more specifically the words relate to the information needed, the quicker the search will
be.
Begin by analysing the topic. Be aware that geographical names can be spelt in different ways
and there are English spelling variations, for example, colour and color. It might be necessary
to include both spellings to maximise search results. Choose a few words, and/or a meaningful
phrase that are most closely related to the topic and write them down.
If information about health and safety practices in Australia is required, include the word
‘Australia’ in keywords and phrases. Similarly, if information relating to legislation in a state or
territory is needed the name of that state/ territory should be specified. If this is not done,
search results will include data that does not relate to Australian or state/ territory
information.
The more specific the keywords and phrases are, the more relevant the results will be.
Advanced searches are a way to limit the number of matches the search engine returns by
improving the quality of the search. They add further refinement, such as date, region,
language, file type, and so on.
Google provides advanced search facilities by clicking the ‘advanced search’ link on Google’s
home page.
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BSBWHS412: Assist with workplace compliance with WHS laws
Google advanced search:
Refer to activity 1.
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BSBWHS412: Assist with workplace compliance with WHS laws
Use knowledge of the relationship between WHS Acts,
regulations, codes of practice, standards and guidance material
to assist with determining legal requirements in the workplace
The regulatory framework for health and safety matters is made up of Acts, regulations, codes
of practice, standards and guidance material. They should be followed by PCBUs to ensure that
they meet their legal obligations. A PCBU might need assistance to identify legal requirements.
There is a difference between health and safety Acts, regulations and codes:
1. Health and safety Acts are laws enacted by the Parliament of Australia.
2. Regulations are legally enforceable under Acts.
3. Codes of practice provide advice on how to meet regulatory requirements; codes are not
legally enforceable, but they can be used in courts as evidence that legal requirements
have or have not been met.
Act
Mandatory requirements
Regulations
Approved Codes of
Practice
Guidelines and other guidance
material
Australian Standards
Evidentiary status
Health and safety legislation in Australia is state based; each jurisdiction is responsible for its
own laws and regulations. However, health and safety Acts and regulations are fundamentally
the same throughout Australia, albeit with slight variations.
Acts
Acts set out the general requirements for protecting the health and safety of all personnel
involved in Australian workplaces. They also define the specific health and safety roles and
responsibilities of each person/ group in the workforce, the compliance requirements and the
consequences of non-compliance.
Health and safety Acts lay the foundation for providing a safe and healthy workplace and
require:
1. Every PCBU to consult with employees regarding workplace safety regardless of the size of
the business.
2. All PCBUs to implement a systematic risk management process.
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This legislation includes the requirement that the health and safety system keeps up with
changes in technology and it lists the absolute duties of a PCBU as:
1. Ensuring any premises controlled by the PCBU are safe and without risks to health.
2. Ensuring that any plant or substance is safe from risks when properly used.
3. Ensuring that systems of work and the working environment are safe and without risks to
health.
4. Providing such information, training and supervision as might be necessary.
5. Not exposing people to health risks.
6. Not contracting out responsibilities.
PCBUs must consult with employees regarding risk assessment and control, to enable
employees to contribute to decisions regarding their health, safety and welfare at work. PCBUs
are also required, through consultation with employees, to examine work practices or systems
of work and to identify all risks associated with each particular work process, in order to
identify risks and either eliminate or control them.
Regulations
Regulations are made under health and safety Acts and set out specific legal requirements.
They give details on how certain sections of an Act are to be implemented. Regulations are
mandatory and failure to observe a regulation is an offence and can result in prosecution and a
fine.
Approved codes of practice
The term Approved Code of Practice has a particular meaning under health and safety
legislation. It provides minimum standards of health and safety and is intended to be used in
addition to legislation. A code of practice provides practical guidance on how a particular
standard of health and safety can be achieved using the preferred methods or courses of
action.
Codes of practice can be used as evidence of whether or not a PCBU has met the requirements
of health and safety legislation. However, because there are a variety of ways of achieving
health and safety objectives compliance with codes of practice is not mandatory. Approved
codes of practice allow the flexibility to use alternative methods for achieving health and
safety outcomes, provided they show that an equivalent or better standard of health and
safety is achieved. An approved code of practice is therefore different from a regulation where
the organisation must meet the requirements specified in the regulation.
There are other codes of practice developed by Safe Work Australia as national standards.
There is joint ministerial agreement that the states and territories will adopt national
standards as a means to develop national uniformity across jurisdictions.
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BSBWHS412: Assist with workplace compliance with WHS laws
Standards
Standards are advisory or technical documents which describe the minimum acceptable levels
of performance or quality in relation to a specific hazard, work process, industry or product.
Standards do not have legislative force unless they are called up in legislation, that is, they can
become enforceable if they are made into legislation on the grounds of need.
There are a number of Australian Standards covering an extremely broad range of topics. In
the health and safety regulatory framework, standards are used in a diversity of ways. For
instance, they are sometimes referred to in a regulation, for example, ‘Portable fire
extinguishers must be provided and installed in accordance with…’ In these circumstances, the
Australian Standard becomes part of the regulation and the employer or occupier must comply
with the Australian Standard.
An Australian Standard could be approved by the relevant state/ territory minister and
gazetted as an approved code of practice. The effect of making the standard form part of the
code, that is, part of the guidance on how to comply with the provisions of the Act or
regulations to which the code is giving practical guidance. The manner of incorporation will
determine which of the standard’s requirements and recommendations form part of the code
and, therefore, would have evidentiary status.
An Australian Standard that is relevant to any safety and is not an approved code of practice or
mentioned in the regulations, cannot be ignored. It is incumbent that they be referred to
where relevant.
Guidance material
Guidance material is advisory material that provides detailed information for use by unions,
PCBUs, management, health and safety committees (HSCs), health and safety representatives
(HSRs), safety officers, manufacturers etc. These materials can assist in achieving greater
understanding of specific issues or in complying with particular regulations by providing a
series of alternative solutions. Guidance material advises on what to do and how to do it.
Refer to activity 2.
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BSBWHS412: Assist with workplace compliance with WHS laws
Assist with identifying and confirming the duties, rights and
obligations of individuals and parties as specified in legislation
Under health and safety legislation duty holders are identified. They have duties, rights and
obligations specified in legislation. It will be necessary to help these individuals to identify their
duties, rights and obligations and to take steps to ensure that they understand them.
The first duty holder is the PCBU. A business or undertaking is operated by people, who
through their decisions influence the behaviours or activities that determine the effectiveness
of health and safety initiatives and compliance by the PCBU in relation to health and safety
legislation. The model Act describes these people as officers and places a requirement of due
diligence upon them.
An officer can be:
1. A director or secretary of the corporation.
2. A person:
a. Who makes, or participates in making decisions that affect the whole or a substantial
part, of the business of the corporation.
b. Who has the capacity to affect significantly the corporation’s financial standing.
c. In accordance with whose instructions or wishes the directors of the corporation are
accustomed to act (excluding advice given by the person in the proper performance of
functions attaching to the person’s professional capacity or their business relationship
with the directors or the corporation).
3. A receiver, or receiver and manager, of the property of the corporation.
4. An administrator of the corporation.
5. An administrator of a deed of company arrangement executed by the corporation.
6. A liquidator of the corporation.
The PCBU has a duty to ensure, so far as is reasonably practicable, the health and safety of
workers engaged by the organisation or workers whose activities are influenced by the
organisation while at work in the business or undertaking. The PCBU also has a responsibility
to ensure others are not put at risk from work carried out as part of the business or
undertaking.
This includes:
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the provision and maintenance of a risk free work environment
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the provision and maintenance of safe plant, structures, and work systems
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the safe use (including transport and storage) of plant, structures, and substances
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the provision of information, training, instruction, and supervision to protect all persons
from risk to health and safety arising from the conduct of the business or undertaking
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the provision of adequate welfare facilities
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the monitoring of worker health and conditions to prevent work-related injury or illness
There are additional duties for a PCBU who manages or controls workplace fixtures, fittings, or
plant; or designs, manufactures, imports, or supplies plant, substances, or structures; or
commissions plant or structures.
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BSBWHS412: Assist with workplace compliance with WHS laws
A PCBU must, so far as is reasonably practicable, consult with workers who carry out work for
their business or undertaking whom are, or are likely to be, directly affected by a health and
safety matter. The duty is not limited to consulting with workers but includes contractors,
subcontractors, labour hire workers, volunteers and any other people working in the business
or undertaking who are, or could be, affected by the matter.
A PCBU must consult with workers when:
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identifying hazards and assessing risks arising from work and making decisions about ways
to eliminate or minimise those risks
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making decisions about the adequacy of facilities for the welfare of workers
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proposing changes that may affect the health or safety of workers
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making decisions about the procedures, including those for:
- consultation with workers
- resolving health or safety issues
- monitoring the health and safety of workers
- monitoring workplace conditions
- providing information and training to workers, and
- when carrying out any other activity prescribed by the regulations
The consultation duty requires that:
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relevant information about the health and safety matter is shared with workers
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workers are given a reasonable opportunity to express their views, raise issues and
contribute to the decision-making process on how to deal with health and safety matters
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the views of workers are taken into account, and
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workers are advised of the outcome of the consultation in a timely manner
The PCBU’s primary duty is to eliminate the risks to health and safety. If this is not possible the
risks must be minimised so far as is reasonably practicable.
The phrase reasonably practicable is used throughout health and safety legislation. It means
what can reasonably be done in the circumstances. Duty holders must satisfy their
responsibilities as far as they are reasonably able to, taking into account the likelihood of an
event occurring, the degree of harm presented by the hazard or risk, what the PCBU knows or
can be reasonably expected to know about the hazard or risk and its elimination or
minimisation, and the availability of ways to eliminate or minimise the risk.
Another often encountered term is due diligence. Due diligence means taking steps to acquire
current knowledge about health and safety, understanding the associated hazards and risks
relating to the business or undertaking, ensuring the business or undertaking has the resources
to meet its health and safety responsibilities, and implements processes for meeting its health
and safety obligations.
Workers are also duty holders under health and safety legislation.
Workers must take reasonable care for their own health and safety while at work. They should
ensure (as far as is reasonably practicable) their actions or omissions do not adversely affect
the health and safety of others.
Workers must also comply with any instruction given by the PCBU in complying with health
and safety legislation and cooperate with any policy or procedure relating to health and safety.
A reasonability clause applies to both these requirements.
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In this case reasonable depends on all relevant factors, including whether the instruction,
policy, or procedure is lawful, complies with legislation; whether it is clear, and whether
affected workers are able to cooperate.
Workers should not:
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behave in such a way that others could be injured (eg throwing tools, acting irresponsibly)
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refuse to follow work practice designed for their protection and the protection of others
(eg refusing to wear hearing protectors in noisy areas)
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intentionally misuse or recklessly interfere with safety and welfare provisions (eg remove a
machinery guard, or move fire extinguishers so they cannot be seen)
They should:
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take reasonable care and precautions with regard to their own safety and that of fellow
workers
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ensure that they understand the use of machinery, equipment and substances
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not knowingly use unsafe equipment
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follow safety instructions and act responsibly in the workplace
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not undertake tasks for which they are not trained (eg repairing computer connections
without electrical training and/or qualifications)
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report any workplace hazards, which they identify, to the appropriate authority
Other persons are known as others and are duty holders. Others, such as visitors, are also
mandated with taking reasonable care for their own health and safety and ensuring their acts
or omissions do not affect the health and safety of others. They must comply with any
reasonable instruction given by the PCBU in meeting its health and safety obligations.
A person may have more than one duty. For example, the working director of a company has
duties as an officer of the company and also as a worker. More than one person can have the
same duty. However, a duty cannot be transferred to another person. If more than one person
has a duty for the same matter each person is required to fulfil their duties. They should
consult and cooperate with each other and coordinate health and safety duties.
Refer to activity 3.
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BSBWHS412: Assist with workplace compliance with WHS laws
Assist with seeking advice from legal advisers where necessary
There will be times when PCBUs, officers and even employees will require specialist legal
advice. Managers and officers will have a lot of responsibilities and they might not have the
time to become familiar with the technical aspects of health and safety legislation. This means
they might need help locating a legal advisor who specialises in health and safety matters.
It will be necessary to provide guidance about when legal advice is needed. Some individuals
involved in their organisation’s health and safety practices will be tempted to try to deal with
legal issues internally only to find themselves using outdated thinking. They will often fail to
handle legal issues correctly due to a lack of legal training and knowledge.
Specialist legal advisors are focused on particular aspects of their field; they have a greater
understanding of current research and laws. They have technical knowledge of methods for
health and safety issue resolution. They can support PCBUs to meet their legal requirements
under health and safety legislation.
Legal advice might be needed:
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on a one-off, or infrequent, basis
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due to the need for information that is above and beyond the PCBU’s normal requirements
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as a means to getting a second opinion
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when an accident or injury occurs and the PCBU is going to be sued
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when non-compliance occurs and the PCBU is going to be prosecuted
When it comes to locating and contacting external legal advice a good understanding of the
issue that requires attention or resolution is needed. This will assist in identifying the legal
advisor with appropriate experience in dealing with similar issues. Once this has been
determined contact with the legal advisor can be made.
Before retaining a legal advisor, questions designed to identify what skills or knowledge is
required should be prepared. Once the questions are finalised, potential advisors can be asked
to answer the questions to determine their suitability.
Questions that might be asked include:
1. Do they possess the appropriate qualifications?
2. Is their experience relevant to the organisation’s needs?
3. Is their experience sufficient?
4. Are they a member of their professional association/s?
5. How do they keep up-to-date?
6. What work have they done on similar issues or for similar organisations?
Once a decision has been made to use the skills of a legal expert, this information can then be
recorded on a register or in a document either electronically or in folders in a central location.
The recorded information should clearly detail the obligations of the legal specialist, their
contact details and a description of their duties.
Information detailing the responsibilities of the legal specialist might also be contained within
a contract for service. The obligations should be clearly set out using plain language so that the
tasks required to be completed by the expert are clear. This will make it less likely that there
will be later disputes about whether or not the expert was responsible for a particular area.
Refer to activity 4.
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Assist with providing advice on WHS compliance
This section addresses the following performance criteria:
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Assist with providing advice to individuals and parties about their legal duties, rights and
obligations, and the location of relevant information in WHS legislation
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Assist with providing advice to individuals and parties about the functions and powers of
the WHS regulator and how they are exercised, and the objectives and principles
underpinning WHS
Assist with providing advice to individuals and parties about
their legal duties, rights and obligations, and the location of
relevant information in WHS legislation
Advice is a recommendation as to an appropriate choice of action. At times, individuals and
parties might need advice about what they are legally required to do. It might be necessary to
clarify responsibilities and requirements for workplace roles in relation to health and safety
compliance. Often, individuals will be aware of the general responsibilities of their role (for
example, serving customers, answering the phone or managing the payroll), but they will not
be aware that they also have certain duties relating to health and safety (for example, wearing
ear muffs when working in noisy areas or cleaning up spills).
Supervisors might understand that they are required to oversee the work of employees to
ensure they are carrying out their job to the correct standard and within designated time
frame but will not realise that they are also responsible for making sure that when workers are
completing these tasks, they do so in a safe way. In particular, the PCBU and officers,
managers, or supervisors need to be aware of their obligations to oversee safe work practices
and their role in enforcing these practices. One way to do this is to extract specific information
about these processes from legislation and guidance material and present it in plain English
with examples of penalties that can be incurred if they do not carry out their duties and
obligations.
Talking to individuals and parties can help to identify lack of awareness about health and
safety responsibilities. Ask them what they understand their obligations to be and make note
of any gaps in understanding. It can be helpful to break down a task into its various steps, and
ask those involved who is responsible for each step. This allows everyone to see who is
responsible, and individuals to take ownership of health and safety issues where required.
Once gaps in understanding or lack of awareness of responsibility have been identified, advice
can be provided as to exactly what each individual and party should be doing.
Sometimes individuals and parties will solicit advice. They will ask for information or guidance
about what they should be doing. At other times, it will be necessary to approach an individual
where it is deemed necessary and tactfully explaining what they are doing wrong or what they
should be doing to meet health and safety duties and obligations.
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BSBWHS412: Assist with workplace compliance with WHS laws
Workers might require support and advice as to their role in resolving health and safety issues.
The advice would include information on their role and responsibilities as outlined in
workplace policies and procedures. PCBUs might require advice on interpreting health and
safety regulations or examples of best practice they could adopt.
Points to consider when making a decision about the type of advice to provide are:
the current level of the individual’s/ party’s understanding
the past experiences of the individual/ party
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the amount of time they have to participate in the delivery of information
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the number of people expected to require advice
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the location of individuals/ parties requiring advice and the relative accessibility of the
advice
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the amount of time it would take to provide the advice
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the delivery method
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Delivery methods must suit the individuals/ parties to ensure the advice is accessible to all
participants in a timely manner. Written support or advice should be accurate, clear and
concise and a copy of the documents should be kept with other records of the issue resolution
process.
When providing advice endeavour to:
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be as accurate as possible with underlying data and facts
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use the most recent data available
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avoid misstating or misinterpreting points or facts
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avoid exaggerating any points
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make it clear what is fact and what is advice/ recommendations
Advice will be based upon the duties and obligations of individuals and parties as specified in
health and safety legislation. Those who want more detail about their rights, duties and
obligations should be directed to the relevant legislation.
Refer to activity 5.
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BSBWHS412: Assist with workplace compliance with WHS laws
Assist with providing advice to individuals and parties about
the functions and powers of the WHS regulator and how they
are exercised, and the objectives and principles underpinning
WHS
Health and safety legislation has been developed in Australia to provide greater workplace
protection and the principles of health and safety are reflected within legislation for each
Australian state and territory.
The main aim of Commonwealth health and safety legislation is to secure the health and safety
of workers and workplaces through the elimination or minimisation of risks, fair and effective
representation, consultation, cooperation and issue resolution, and effective and appropriate
compliance and enforcement measures, among other matters. Regulators act to ensure
workers and others are to be given the highest level of protection from hazards and risks as is
reasonably practicable.
Other principles or objectives of health and safety legislation are to:

encourage unions and employer organisations to take a constructive role in promoting
improvements in health and safety practices

assist PCBUs and workers to achieve a healthier and safer working environment; and

promote the provision of advice, information, education and training in relation to health
and safety

provide effective compliance and enforcement measures

deliver continuous improvement and progressively higher standards of health and safety
Each state, territory and the Commonwealth have their own regulator to administer health
and safety laws in their jurisdiction. Individuals might need advice and information about the
powers of regulators, what they do and how they do it.
Regulators do a range of things; they:

advise and make recommendations to the relevant minister

report on the operation and effectiveness of health and safety legislation

monitor compliance with health and safety legislation and take action to enforce
compliance through enforceable undertakings, legal proceedings and prosecutions

offer advice and information on health and safety to duty holders and the community

encourage, promote and support education and training on health and safety issues

conduct legal proceedings under health and safety legislation

gather, analyse and publish statistics relating to health and safety

promote public awareness and discussion of health and safety matters in the community
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Regulators have the power to require a person who is able provide information, documents or
giving evidence in relation to a possible contravention of health or safety legislation or that will
help them in monitoring compliance with legislation.
They do this by way of a written notice that:
1. Requires a person to provide a signed statement on the required matters within the time
and in the manner specified in the notice.
2. Obliges the person to produce the required documents. However a person may refuse to
produce a document or information that is subject to legal professional privilege.
3. Requires the person to appear before a person appointed by the regulator on a day, and at
a time and place specified in the notice and provide the required information and
documents. This method can only be used when the regulator has taken all reasonable
steps to collect their information or documents in a less intrusive manner. The person is
entitled to have legal representation when they attend such a meeting. It should be noted
that whilst the regulator can make the person answer questions, self-incriminating
answers to questions or information provided cannot be used as evidence against an
individual in civil or criminal proceedings, except when proceedings arise out of the false or
misleading nature of the answer, information or document.
Those who fail to comply with a written notice without a reasonable excuse are committing an
offence. (Safe Work Australia 2011)
Regulators also have all the powers and functions that are conferred on an inspector under
health and safety legislation.
Inspectors play a large role in reducing workplace accidents, injuries, diseases and death; they:

conduct inspections in workplaces, or elsewhere

make enquiries

interview workplace parties and other relevant persons

provide information and advice about how to comply with health and safety laws

enforce compliance with health and safety laws

promote systematic management of health and safety issues

build the ability and willingness of duty holders to comply with health and safety
legislation
Inspections are often carried out when a regulator receives a complaint about workplace
conditions or when a health and safety incident has occurred in the workplace. However,
inspections will also be carried out as part of a program to improve safety practices in
workplaces and industries where the risk of injury, disease or death is high.
When carrying out inspections, duty holders will be advised why the inspection is carried out
and what will be done as part of the inspection. They will be told when the inspector has
entered the work site and of the fact that an inspection is about to occur. The work
environment and relevant work processes and plant in use are observed during an inspection.
The inspector might request and examine relevant documents (for example, incident registers,
health and safety committee minutes, policies and procedures and records of training) to
determine the extent to which health and safety is being managed.
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HSRs can accompany the inspector during an inspection and also have the right to be present
when the inspector interviews people as long as the person consents to the HSR’s presence.
These people will be asked open questions rather than leading questions to ensure the
information that is gathered is accurate and relevant; however, validation and verification of a
person’s statement might be sought.
Consistency is an important aspect of inspections and for this reason inspectors will be
required to adhere to certain policies and procedures. It is expected that the same approach to
inspections will be applied in comparable circumstances.
Inspections are not purely critical in nature. Any positive actions implemented by duty holders
to ensure the health and safety of others and to comply with health and safety legislation will
be acknowledged.
Duty holders will be apprised of the outcomes of the inspection and given specific examples of
ways to comply with the legislation. If they do not agree with the outcomes of an inspection
they have the right to ask for a review of the findings.
Improvement or prohibition notices might be issued. These will be accompanied by guidance
and advice as to how to address non-compliance issues and serious risks. Infringement notices
are issued or other necessary action is taken (with a view to prosecution taking place or
enforceable undertakings being negotiated) when a higher level enforcement response is
considered appropriate. (Heads of Workplace Safety Authorities Australia and New Zealand
2011)
Refer to activity 6.
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Assist with WHS legislation compliance measures
This section addresses the following performance criteria:

Assist with assessing how the workplace complies with relevant WHS legislation

Assist with determining the WHS training needs of individuals and parties, and with
providing training to meet legal and other requirements

Assist with developing and implementing changes to workplace policies, procedures,
processes and systems that will achieve compliance
Assist with assessing how the workplace complies with relevant
WHS legislation
Compliance with health and safety legislation is extremely important and it might be necessary
to explain what happens as a result of non-compliance and what can be done to assess
whether the workplace currently complies with health and safety legislation.
Results of non-compliance include:

unnecessary accidents and illness

high attrition and absenteeism

high levels of employee dissatisfaction

costs attributed to recovery and rehabilitation

costs attributed to hiring and training new workers

down-time while investigations and audits take place

fines, litigation/ personal liability

time spent mediating grievances

industrial action

negative effect on the PCBU and public relations
While legislation gives workers the right to elect health and safety representatives and to
participate on health and safety committees it also gives powers to government health and
safety inspectors to enter workplaces, if so requested by employees or other interested
parties, to investigate health and safety issues. Inspectors can conduct audits and inspections
to determine whether health and safety legislation is being breached.
Inspectors can:
1. Assess a workplace and issue improvement notices if machinery, equipment or work
practices do not meet health and safety standards. Improvement notices must be
complied with. They state what must be fixed and the date by which it must be fixed. If
compliance does not occur, litigation, fines and shutdown orders might follow.
2. Lock down/ out machinery or equipment that is dangerous and order repairs or
replacement to be made before the lock down is lifted.
3. Close a workplace if the health and safety procedures are sufficiently bad and workers or
the public are endangered.
4. Prosecute and/or fine PCBUs who disregard the legislation.
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If an accident occurs in which serious injury or death occurs the health and safety authority will
investigate. The causes will be closely examined and the actions of the PCBU will be
scrutinised.
The PCBU and officers can be fined or prosecuted if it is found that they have:

been negligent in maintaining machinery/ equipment

not provided appropriate induction and training for workers

failed to follow-up to ensure compliant work practices

not given employees the information they need to comply with health and safety
requirements

not made sure that hazard and risk assessments have been properly conducted

not put risk controls in place
Fines for non-compliance range from $1,000 to $100,000 depending on the nature of the
offence and on the legislation in the various states and territories. Such fines can be applied to
the PCBU. The possibility of personal liability can lead to gaol terms if a PCBU is convicted of
negligence which has resulted in death or serious injury of a worker.
Workers can all contribute to monitoring compliance by ensuring that work is undertaken in a
safe manner in accordance with relevant health and safety legislation, codes, standards and
workplace policies and procedures. They should understand how work can be controlled and
managed to maintain safety. They should participate in audits and in designing and developing
and the risk controls that should be applied to work processes.
Each organisation should have clear processes whereby it is possible to identify and take
appropriate action on non-compliance with health and safety legislation, codes, and standards,
and to develop processes that will result in the achievement of compliance.
Worker concerns regarding hazards, risks, non-compliance or other associated issues should
be promptly communicated to the health and safety committee and/or health and safety
representative; or, where there is no representation, to a supervisor or manager. In the case
where there is formal health and safety representation it is the responsibility of the committee
or representative to assess the issue and to negotiate a resolution, on behalf of and in
consultation with the workers, with management.
To ensure compliance with legislation and to alert employers to the existence of policies and
procedures that can lead to hazards, audits can be carried out internally by adequately
qualified workers or independently by authorities such as Safe Work Australia or WorkCover.
Traditionally, audits are defined pursuant to the legislation as responsibilities designed to
ensure continuous improvement and a systematic approach to managing health and safety.
They can be scheduled annually or more often depending upon the work site, the type of
industry, past history and best practice. Usually, an internal audit will take place prior to an
independent inspection so that all identified non-compliances can be addressed prior to the
risk of fines being imposed. This process also ensures the health and safety of all workers and
shows a commitment to health and safety and participative arrangements.
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When conducting a compliance audit, base audit questions around law and standards. A PCBU
might begin by auditing their documented safety procedures to ensure they are compliant
with legislation. Next, they should check the level of compliance to these safety procedures in
the actual workplace by doing an inspection of the way things are carried out by workers.
Once an audit has been carried out it is time to write an audit report. This report will
document the findings of the audit. The report should outline areas of operation that are
compliant and areas where non-compliance is an issue or a risk.
Having done this it is necessary to develop a plan of action to correct any areas of noncompliance. The action plan should prioritise areas of need and those areas of non-compliance
that pose the greatest risk to the safety of workers and others should be addressed first.
Changes in work practices to make them compliant should be communicated to employees
and they should be given the relevant training to successfully implement those practices.
(Douglas 2012)
Refer to activity 7.
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Assist with determining the WHS training needs of individuals
and parties, and with providing training to meet legal and other
requirements
All staff within organisations require various levels of health and safety training to enable them
to contribute to ensuring sound health and safety practices and PCBUs are legally required to
provide this. This means the PCBU must ensure the provision of any information, training,
instruction or supervision that is necessary to protect all persons from risks to their health and
safety arising from work carried out as part of the conduct of the business or undertaking.
For example, health and safety legislation requires PCBUs to provide managers and supervisors
with the information, instruction and training to ensure workers under their supervision are
safe from injuries and risks to their health.
Workers must be provided with the instruction and training that they need to do their work
safely. This includes induction training and training before workers commence hazardous work
they have not done before. The PCBU should ensure that workers have the qualifications that
are required for their job, for example, licence requirements for forklift drivers.
Health and safety representatives (HSRs) and health and safety committee (HSC) members
need in-depth training to provide them with the skills and knowledge that they need to carry
out their roles as specialist advisors. They should be trained so that they understand their role,
functions and procedures for resolving health and safety issues.
Planning for training includes:

assessing training needs

setting training objectives

developing a training program with short, medium, and long-term time frames

using the best available methods to deliver training

evaluating the results of training
Training needs might include:

how to perform specific work activities safely

health and safety roles and responsibilities

legislative compliance

workplace policies and procedures

hazard and risk identification and reporting procedures

workers’ compensation requirements and applications

issue resolution processes

conflict management and awareness of stress management needs

design of safe workplace procedures

awareness of the consequences of poor safety management
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Training Needs Analysis
A training needs analysis (TNA) is the formal process for determining training needs. A TNA
identifies the gap between the required skill and knowledge level of workers to enable them to
perform their tasks safely and the current skill and knowledge level of workers. The gap
between the required and existing skills/ knowledge is the training the organisation needs to
implement.
A TNA generally consists of five steps:
1. Determining the required competencies by job function or position.
2. Researching the present training programs/ process.
3. Gathering information on training needs of workers.
4. Analysing the results.
5. Preparing training plans—work group and individual.
Prior to conducting a TNA to determine health and safety needs, the PCBU or their
representative must consult with all relevant workers to ensure all staff are informed of the
purpose, process, and intended outcomes of the TNA and uses of the information collected.
PCBUs should avoid creating false expectations among workers that all training needs will be
addressed in the short-term as this might not be financially or practically feasible.
TNAs can be conducted in person, online or be paper-based. PCBUs should provide adequate
time and resources to conduct a TNA.
Useful tools to help identify the required knowledge, skills and standards to perform tasks
include:

industry standards

competency standards

licence requirements

benchmarking

job descriptions

standard operating procedures (SOPs)

legislation

policy and procedure manuals
Methods for establishing the current knowledge and skill levels of workers can include:

feedback from supervisors

formal assessment

examine existing assessment reports

examine employment records

review of incident reports—accident, illness and near miss statistics

conduct worker safety knowledge assessments

use workers’ compensation, attrition and absenteeism statistics to determine patterns
Consultation between supervisors, managers, HSC members, HSRs and workers will help
identify individual and work group training needs.
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In particular, training needs can be identified through:
Observation
Workers’ performance can be evaluated through observation and analysis. This simply means
watching and listening to the worker and evaluating what is observed. Observation enables the
observer to gain personal knowledge and understanding of the job being performed and the
strengths and weaknesses of the relevant worker in relation to health and safety
requirements.
Interviews
Interviews enable workers to discuss their training needs directly with the interviewer. The
interviewer should ask the same predetermined questions to all participants but can explore
their responses in depth. The interviewer can clarify and confirm information to gain a full
understanding of the training needs of the participant. Asking the same questions of all
participants helps to establish if responses are specific to an individual or part of a widespread
situation amongst workers.
Questionnaires
A questionnaire is a research tool consisting of a series of questions and other prompts for the
purpose of gathering specific information from respondents. Workers can complete the
questionnaire when and where they choose. Questionnaires often have standardised answers
that make information comparable and open to analysis; however, some participants might be
frustrated by standardised answers. Consideration must be given to the literacy and linguistic
skills of potential participants when using questionnaires.
The quality of answers that can be expected from interviews or questionnaires is dependent
on the quality of the questions asked. Quality answers are more likely if the purpose of the
interview/ questionnaire is clear.
Prior to conducting interviews or distributing the questionnaire, the proposed questions
should be reviewed by an independent source who should determine that the questions are
relevant, easy to understand, avoid ambiguity, balanced, and asked in a logical order. Simple
questions and answers are easier to analyse. Comments sections throughout questionnaires
also help with analysis of information as they provide respondents with an opportunity to
clarify or expand on their response.
The reviewer should also check that:

potential answers exhaust all options

the answer alternatives are mutually exclusive

the same type of answer scale has been used throughout the questionnaire

there is a combination of open-ended and closed questions

the questions and possible answers are linked
Meetings
Health and safety issues can be discussed at regular team/ workplace meetings and training
needs might be identified from these discussions. Health and safety training needs might also
be discussed at HSC meetings. It is likely that training needs identified in these forums will be
organisational-wide needs as opposed to the training needs of individual workers.
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Performance reviews
Workers should be asked about their training needs during performance reviews. Training
needs differ from worker to worker, and performance reviews allow the PCBU and the worker
to identify improvement opportunities and training solutions.
Whatever the method used to identify training needs, the TNA should be targeted to the skills
and knowledge required for particular roles or tasks. While there is generic health and safety
information that should be provided to all staff, some roles require additional skills and
knowledge. TNAs should also attempt to determine the priority for addressing training needs.
Targeted TNAs can be achieved by creating TNAs for particular roles or by creating sections
within a TNA to be completed by staff in specific roles.
The table provides an example of an extract from a TNA with sections to be completed by staff
in specific roles.
Job role
Required skills/ knowledge
All workers
Worker and PCBU
responsibilities
Role of HSR and HSC
Health and safety policies and
procedures
Fire and emergency evacuation
plans
Incident and accident reporting
First aid arrangements
Managers/ supervisors
Roles and legal responsibilities
Application of health and safety
regulations in the workplace
Consultation process
Sources of health and safety
advice, information, training
and support
HSR
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Competent
Requires
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BSBWHS412: Assist with workplace compliance with WHS laws
Future training needs
Future training needs should also be considered in the TNA process as these might have a
significant impact on the ability to achieve training plans within the training budget.
Future training requirements might be influenced by:

organisational or departmental changes such as mergers or restructures

legislative changes

policy and procedure needs

proposed systems changes, including technical systems
Regular liaison with senior management or key stakeholders assists with monitoring future
training requirements as it is through these conversations that proposed changes that will
require new or upgraded training can be identified. Networking and maintaining contact with
regulatory authorities or industry associations to monitor trends and best practice is also
helpful.
Having identified changes that might influence future training requirements, the PCBU must
identify what competencies workers will need to carry out the work. Competencies can be
defined organisationally or at an individual level and identifying competencies on an
organisational basis provides a means of pinpointing the most critical for organisational
success. The set of competencies that describes the ideal workforce of the future are then
captured within the future workforce profile which can provide management and staff with a
common understanding of the skills and behaviours that are important to the organisation.
Key questions to explore when identifying future competencies include:
1. What new skills are needed for future business and work requirements?
2. What are the critical core organisational competencies that will be required to support the
organisation’s future vision and culture?
3. What new knowledge, skills and abilities do specific positions/ job groups/ work areas
need to perform in the future?
4. What are the key differences in the current and future workforce competencies?
Future training needs must be incorporated into the training plan although they might be
recorded as long-term objectives or lower priorities for training.
Analysing results
When data on training needs has been collected via the appropriate method, and future
training needs have been considered, the next step is to analyse the results.
Analysis is using data to reveal information that is important to making decisions.
If an online survey software program is used to administer the TNA then no further data entry
is necessary because the data is stored in a database online. Many survey software programs
have the capability to perform basic analysis of survey data. For example, they can tabulate
the number and percentage of respondents who clicked each response option.
If paper-based surveys are administered then survey responses will generally need to be tallied
and entered into an electronic database. All data should be compiled so that patterns and
trends in responses can be identified.
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Most TNAs include demographic information that identifies some characteristics of the
respondents while retaining their anonymity. Demographic information includes age range, job
role, gender, length of service, etc. Analysing this information reveals the demographic profile
of survey respondents and can help when drawing inferences from the data.
Analysing data is based on the number of respondents who answered that particular question,
not the total number of people who responded to the TNA—although this can be one and the
same number. Some respondents choose not to answer particular questions if they think the
questionnaire is too long or if they have been instructed not to base on their response to a
previous question.
There are various approaches to data analysis but two basic types that are appropriate to
analyse health and safety TNA data are descriptive statistics and cross-tabulations.
Descriptive statistics describe and summarise the quantitative information from the TNA. They
will show mean, median and frequencies measures. They also enable comparisons between
numbers of responses. For example, they might show that 56% of respondents require
information about the role of the HSR while 12% require information about the role of the
supervisor in health and safety.
Simple cross-tabulations allow comparison of the results of two mutually exclusive groups of
respondents. For example, the responses of workers employed with the organisation for less
than three years, compared to those who have been employed for over 10 years.
Depending on the intent of the question, if the majority of respondents have given similar
responses to the same question, this might indicate a training need, or it might indicate that
workers are confident and competent with that particular aspect of health and safety in the
workplace.
Positive feedback should be noted as strategies used in those areas might be used to improve
training in other aspects of health and safety that did not rate as well. For example, if
respondents indicate that they are competent in completing incident and accident forms, the
training used to familiarise them with this might be adopted for other health and safety
recordkeeping processes.
Responses to questions can also provide feedback on the questions themselves. For example,
if there are comments regarding questions or questions left blank this might indicate that the
questions were not understood by respondents. Rewording might be required before the
survey is used again.
When analysis of health and safety TNA data is completed an organisation has a clear picture
of the training required by the organisation and can begin to plan to address those needs.
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Training programs
An effective training program should plan to address all the health and safety training needs of
the workplace and should consider:

what is to be achieved and within what time frame

recurring and required training

the method of training that will be most effective and efficient

how the effectiveness of the training will be monitored and evaluated

the language and literacy needs of the workforce

the health and safety training budget

the resources (including costs) required to deliver the training
Recurring training needs
Recurring training needs are a set of knowledge, skills, or abilities that an organisation requires
its workers to repeat on a regular basis, usually annually and should be included in a training
plan. This type of training is often mandatory training required by legislation. For example, first
aid training or evacuation procedure training. The purpose of recurring training is to ensure all
workers have the same level of knowledge and ability in that particular topic.
Required training needs
Required training is also a group of competencies that an organisation requires but it is usually
one-off training. For example, if a new product is to be manufactured training might be needed
to safely use the equipment used to manufacture the product.
Types of training
Training can be instructor-led or self-directed. Instructor-led training is delivered by an internal
facilitator or by an external consultant or qualified person. Self-directed learning is where
individuals use online or written material and manage their own learning.
Types of training include:

formal workshops and accreditations

ongoing refresher courses and skills updates

presentations at meetings

coaching, mentoring and buddy systems

online learning

reading documentation
The choice of training will depend on what the PCBU needs the workers to learn and the
number of workers that require training. For example, presentations at meetings are a useful
way of getting a lot of information across to a large audience while coaching enables an
individual to learn specific skills with assistance from their team leader or a more experienced
colleague.
Before training takes place it is important to consider the target audience. Senior executives
might not want to spend much time training or learning. Instead, they may expect information
to be provided quickly, and without any entertainment.
In contrast, workers at ground level might appreciate a longer communication process where
concerns can be discussed and games, icebreakers, and training could be more often expected
and accepted.
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One factor in choosing an instructional method may be the degree to which it allows learners
to draw upon their experiences in the context of what is being learned. Slow methods are best
for allowing and encouraging in-depth thinking, while fast methods are good for idea
generation and attention is best achieved through the use of different speeds.
The choice of training will depend on what the organisation needs the workers to learn and
the number that require training, for example:

seminars are a useful way of getting across a lot of information to a large audience

workshops allow people to practice problem-solving

role playing allows workers to learn by practicing how they would react in specific
situations
When planning and promoting a training program it is important to target specific training
needs. Non-targeted (or inaccurately targeted) training wastes time and money and will not
provide the outcomes required by the organisation. For instance, this means that although it
might seem like a good idea to provide training in safe use of manufacturing equipment for
everyone in the organisation, those skills must be relevant to the work that each person does
and to the level of competence already owned by each worker. A receptionist, for instance,
would not need to know how to safely use equipment on a production line.
Induction
While some industries mandate health and safety training, such as the construction industry,
PCBUs should show due diligence by providing health and safety training as part of worker
induction.
Induction is the process whereby new employees or employees moving from one area/ job to
another are introduced to their jobs, required performance standards and to the other
personnel in the organisation/ section. Health and safety should always form a strong
component of induction. New workers are, in terms of safety, extremely vulnerable. It is
especially important, therefore, that they be given clear instruction in how to operate
machinery, use Personal Protective Equipment (PPE), and manage any other safety aspects
applicable to their jobs.
Training records
Training activities and results should be recorded and stored in the organisation’s information
system. Records should contain the name of the training participant, course attended, date
and duration of the course, location and trainer’s name. Competence results/ assessment
should also be recorded.
Refer to activity 8.
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Assist with developing and implementing changes to workplace
policies, procedures, processes and systems that will achieve
compliance
An organisation’s policies, procedures, processes and systems will need to be examined to
determine whether they achieve compliance with health and safety legislation. An assessment
can be made as to whether the utilisation of policies, procedures and processes is likely to or
already has minimised risk. This is important because the intention of the legislation is to
minimise the risk of physical and/or psychological injury. The organisation can find similarities
between what the legislation or policy states and the situations arising in the workplace. If it is
found that policies, procedures and work processes do not help to achieve compliance, they
will need to be changed.
Inadequacies in policies, procedures and work processes can be identified by:

discussion between managers and HSRs

independent audits

observations and investigations of work sites

feedback from staff

an emerging pattern of injuries
A policy is a statement of agreed intent that clearly and unequivocally describes an
organisation’s views with respect to a particular matter. It describes the principles that provide
the direction for the organisation.
It is a set of principles or rules that provide a definite direction for an organisation and
embraces the general goals and acceptable procedures in its area of influence. Policies assist in
defining what must be done when particular events occur.
Policies are the rules that can be referred to as a means of maintaining order, security,
consistency, or practices for successfully furthering a goal or mission. For example, an
organisation might have a policy in place that deals with suppliers when an error is made on
invoices. Then, each time that situation arose, staff members could refer to the policy rather
than have to make decisions based on the circumstances of the individual cases.
Workplace policies define an organisation’s responsibilities and obligations to its workers and
customers. They also define organisational expectations and standards. Policies are written for
both legal and practical purposes. Some policies explain how the organisation complies with
certain laws and regulations.
Policies are necessary so that people working in the organisation can have a framework for
actions that helps them perform their jobs in the way that is expected by their employer. It
alleviates the problem of people having to discuss and resolve issues each time a situation
arises. The policy provides the decision-making process and the actions that can be applied in
many cases and as a consequence has efficiency benefits.
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BSBWHS412: Assist with workplace compliance with WHS laws
While an organisation can have a broad policy, such as, ‘We will provide a safe working
environment for staff and visitors,’ it can also have policies relating to certain aspects of
health and safety. These policies are at the heart of the health and safety management system.
Requirements that can be addressed by policy can include:

effective injury and claims management

effective return to work of injured workers

effective rehabilitation management of work injuries and disease

membership of employer or industry associations

involvement of regulatory authority in specific cases

relevant sections of relevant Australian Standards and publications

use of health and safety specialists

use of safety management systems tools, standards and guidance
The policy should state the organisation’s health and safety objectives and arrangements for
meeting them. It should identify the functions and levels of responsibility of all workers with a
health and safety role.
The policy can contain:

the organisation’s health and safety objectives

a statement of the organisation’s commitment to effective health and safety management

how the senior management’s acceptance of primary responsibility in health and safety
management is demonstrated

a definition of the role and responsibilities of the PCBU, officers, managers, supervisors,
employees or workers, contractors or subcontractors, and others

an explanation of how people with responsibilities are held accountable

the names or positions of people to whom workers can address concerns

arrangements for consultation

how and when the policy will be reviewed

strategies to include workers who have a non–English speaking background or have a
disability are catered for in the health and safety management system

a commitment to continuous improvement in health and safety matters
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The policy should be similar to:
Statement of intent
<organisation> is committed to the proper management of health and safety and rates it
equally with other operational considerations.
It is the aim of <organisation> to minimise the risk of injury and disease to our workers and
others through the use of a planned and systematic approach to managing health and
safety. We will provide the resources necessary for the implementation of a safety
management system and its continuous improvement.
Objectives
The objectives of this policy are:

all hazards and risks to health are identified, assessed, and controlled

control measures are monitored and evaluated on a regular basis

decisions will be made through consultation with workers in relation to health and
safety matters

all managers, supervisors, and workers will receive the appropriate information,
instruction, and training they need to work safely
Strategies
<organisation> will achieve its health and safety objectives by developing and implementing
policies and procedures that document standards, and guide managers, supervisors, and
workers in meeting their obligations in:

identifying hazards

assessing risks

implementing controls

consultation

identifying and developing information, instruction, and training

monitoring health and safety matters
Responsibilities
PCBU
<organisation> has a duty to ensure, so far as is reasonably practicable, the health and
safety of:

workers engaged, or caused to be engaged by <organisation>

workers whose activities in carrying out work are influenced or directed by
<organisation>, while the workers are at work in the business or undertaking
<organisation> also has a duty to ensure, so far as is reasonably practicable, that the health
and safety of other persons is not put at risk from work carried out as part of the conduct of
<organisation>.
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(Continued)
These duties include requiring <organisation> to ensure, so far as is reasonably practicable:

the provision and maintenance of a work environment that is without risks to health or
safety

the provision and maintenance of safe plant, structures and safe systems of work

the safe use, handling—including transport—and storage of plant, structures and
substances

the provision of any information, training, instruction or supervision that is necessary to
protect all persons from risks to their health and safety arising from work carried out as
part of the conduct of <organisation>

the provision of, and access to, adequate facilities for the welfare of workers at the
workplace

the health of workers and the conditions at the workplace are monitored for the
purpose of preventing work-related illness or injury
The duties to ensure health and safety require <organisation> to eliminate the risks to
health and safety, so far as is reasonably practicable. If this is not possible, <organisation>
must minimise those risks so far as is reasonably practicable.
Officers
Officers of <organisation> must exercise due diligence to ensure that <organisation>
complies with the health and safety duties. The definition of officer under the Corporations
legislation is adopted in health and safety legislation. Under health and safety legislation
special provision is also made for officers of public authorities including government
departments.
In exercising due diligence, an officer must take reasonable steps to:

acquire and keep up-to-date knowledge of health and safety matters

gain an understanding of the hazards and risks associated with the nature of the
operations

ensure that the business or undertaking <organisation> has appropriate resources and
processes to enable risks to health and safety arising from work carried out as part of
the business or undertaking to be eliminated or minimised

ensure that <organisation> has appropriate processes for receiving and considering
information about incidents, hazards and risks and responding in a timely way

ensure that <organisation> implements processes for complying with its duties and
obligations
This casts a positive duty on officers to be proactive and continuously ensure that
<organisation> complies with the relevant duties and obligations under health and safety
legislation.
The scope of the officers’ duty is directly related to the influential nature of their position. A
high standard requires persistent examination and care to ensure that the resources and
systems of <organisation> are adequate to comply with the duty of care required under
health and safety legislation. Where the officer relies on the expertise of a manager or
other person, that expertise must be verified and the reliance must be reasonable.
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(Continued)
Health and safety coordinator
The health and safety coordinator has the responsibility for coordinating <organisation>’s
management of health and safety on behalf of <PCBU>. The health and safety coordinator
does not assume the responsibilities of managers and supervisors.
The health and safety coordinator has a responsibility to:

coordinate the identification, development, implementation and review of health and
safety-related policies and procedures

assist managers and supervisors in the identification, assessment and selection of
measures to control hazards and risks to health and safety

assist managers and supervisors in monitoring and evaluating hazards and risk control
measures

assist managers and supervisors in the identification, development and provision of
appropriate health and safety-related information, instruction and training

assist managers and supervisors to effectively consult with employees and their
representatives

monitor and advise on legislative and technical changes relating to health and safety

monitor and provide regular reports to <PCBU> and the HSC on <organisation>’s health
and safety performance

support workers and HSRs to follow policies and safe work procedures developed
Managers
Managers have a responsibility in their areas of control to ensure:

they carry out their roles and responsibilities as detailed in the relevant health and
safety policies and procedures

relevant health and safety policies and procedures are effectively implemented

all risks to health and safety are identified, assessed and effectively controlled

the effectiveness of risk control measures are regularly monitored and deviations from
standards rectified

supervisors and employees have adequate knowledge and skills to carry out their health
and safety responsibilities

employees and their representatives are consulted on any proposals for, or changes to,
the workplace, work practices, policies or procedures that might affect the health and
safety of employees
Supervisors
Supervisors or persons with supervisory responsibilities have a responsibility to ensure:

they carry out their roles and responsibilities as detailed in the relevant health and
safety policies and procedures

relevant health and safety policies and procedures are implemented in their areas of
control

all risk control measures in their areas of responsibility are implemented, regularly
monitored and maintained

the employees under their control are provided with the necessary information,
instruction and training to effectively and safely carry out their jobs
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(Continued)
Workers
Workers must take reasonable care for their own health and safety while at work and take
reasonable care that their acts or omissions do not adversely affect the health and safety of
other persons. This duty being subject to a consideration of what is reasonable is
necessarily proportionate to the control a worker is able to exercise over their work
activities and work environment.
Employees have a responsibility to:

report any incident or hazards at work to their manager or supervisor

carry out their roles and responsibilities as detailed in the relevant health and safety
policies and procedures

obey reasonable instruction aimed at protecting their health and safety while at work

use any equipment provided to protect their health and safety while at work

assist in the identification of hazards, the assessment of risks and the implementation of
risk control measures; consider and provide feedback on any matters which might
affect their health and safety

ensure they are not affected by alcohol or other drugs as to endanger their own or any
other person’s health and safety
Workers must also:

comply, so far as they are reasonably able, with any reasonable instruction given by
<organisation> that allows it to comply with the health and safety legislation

cooperate with any reasonable policy or procedure of <organisation> that relates to
health or safety that has been notified to workers
Whether an instruction, policy or procedure is reasonable will depend on all relevant
factors, including whether the instruction, policy or procedure is lawful, whether it complies
with the health and safety legislation, whether it is clear and whether affected workers are
able to cooperate.
Health and safety committee
The HSC must meet at least once every three months and at any other reasonable time at
the request of at least half of the HSC members. Other matters regarding the operation of
the HSC are for the members to determine.
The functions of the HSC are:

to facilitate cooperation between <organisation> and workers in instigating, developing
and carrying out measures designed to ensure the workers’ health and safety at work

to assist in developing standards, rules and procedures relating to health and safety
that are to be followed or complied with at the workplace any functions prescribed by
regulations, and any other functions agreed between <organisation> and the HSC
HSC members are entitled to:

spend reasonable paid work time attending meetings and carrying out their functions

have access to information that <organisation> has in relation to hazards, risk
assessments and the health and safety of workers at the workplace
The entitlement to access information in relation to health and safety of workers does not
extend to personal or medical information unless the worker consents. However, consent is
not required if the information does not identify the worker.
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(Continued)
Health and safety representatives
The primary power and function of a HSR is to represent workers in their work group in
relation to health and safety matters at work.
A HSR can also:

monitor the compliance of <organisation>

investigate complaints from work group members about health and safety matters

inquire into anything arising from the conduct of <organisation> that appears to be a
risk to the health or safety of work group members

inspect the workplace, after giving reasonable notice to <organisation>; a HSR can
inspect the workplace without giving notice, in the event of an incident or a situation
involving a serious risk to the health or safety of a person emanating from an immediate
or imminent exposure to a hazard

accompany an inspector during an inspection of the workplace or part of the workplace
at which a work group member works

if they have completed the required training, direct a work group member to cease
unsafe work and issue a Provisional Improvement Notice (PIN)
However, before directing a worker to cease work the HSR must consult with
<organisation> management, unless the risk is so serious and immediate that it is not
reasonable to consult with the person conducting a business or undertaking before giving
the direction and attempting to resolve the issue through consultation. Likewise, a HSR
must not issue a PIN unless they have consulted with the person to whom it is issued.
<organisation> has corresponding obligations to ensure that a HSR can exercise their
powers and perform their functions.
Others
Other persons who are at a workplace, for example visitors, must take reasonable care for
their own health and safety and take reasonable care that their acts or omissions do not
adversely affect the health and safety of others. They must comply with any reasonable
instruction given by <organisation> that allows it to comply with health and safety
legislation.
The example provided uses an organisation as the person conducting a business or
undertaking (PCBU); a PCBU can be:

a person conducts a business or undertaking

a business or undertaking conducted by a person includes a business or undertaking
conducted by a partnership or an unincorporated association

if a business or undertaking is conducted by a partnership (other than an incorporated
partnership), a reference in health and safety legislation to a person conducting the
business or undertaking is to be read as a reference to each partner in the partnership

a person does not conduct a business or undertaking to the extent that the person is
engaged solely as a worker in, or as an officer of, that business or undertaking

an elected member of a local authority does not in that capacity conduct a business or
undertaking

legislation can specify the circumstances in which a person can be taken not to be a
person who conducts a business or undertaking for the purposes of health and safety
legislation
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(Continued)
Reporting
<organisation> will create an annual report containing health and safety information
including work injury and performance relative to health and safety targets.
Review
The health and safety policy will be reviewed every 12 months in consultation with workers.
The review will assess the effectiveness of the health and safety program through:

reviewing health and safety performance

monitoring the effectiveness of policies and procedures
For every policy established an organisation will need to create and document supporting
procedures.
Procedure
A procedure is a clear step-by-step method for implementing an organisation’s policy or
responsibility. A procedure describes a logical sequence of activities or processes that are to be
followed to complete a task or function in a correct and consistent manner. It can be a manner
of proceeding; a way of performing or effecting something or it can be a series of specific steps
to be taken to accomplish a given result or product.
Health and safety and procedures can cover:

employee induction/ training program

hazardous substances handling

workplace safety inspection

incident reporting

first aid treatment

manual handling

breaches of health and safety requirements

emergency response

wearing Personal Protective Equipment (PPE)

armed holdup

bomb threat

housekeeping and hygiene

traffic control

sun protection

inclement weather

safety footwear

noise management

working at heights

working in confined spaces

electrical installation and equipment procedures

using and storage of gas cylinder

waste management

forklift safety
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Procedures can contain:
The purpose of a procedure contains a brief description of the procedure’s reason for
existence. In the case of an investigative procedure it will say something similar to ‘the health
and safety investigation procedure is to guide health and safety investigation personnel
through the process of identifying and reporting underlying cause for a health and safety
incident or near-miss’.
The procedure’s scope identifies to whom the procedure applies. In the case of a health and
safety procedure it can be reasonably expected the procedure applies to all workers and
workplaces.
References include Acts, regulations, codes of practice, Australian Standards and other
material used in creating the procedure, or might be expected to be used in its
implementation.
Definitions are used to define terms used in the procedure to remove ambiguity. For example,
a health and safety procedure can contain definitions for hazard, risk, incident, injury, health
and safety representative, and so on.
Responsibility identifies who is responsible for what under the procedure. For example, a
health and safety procedure can define the responsibility for managers, health and safety
representatives, workers, and contractors in relation to the procedure.
The procedure is the step-by-step process for meeting the procedure’s purpose.
Related documents are usually other procedures, forms, or registers used by the organisation.
Policies and procedures are usually compiled together to form a manual. A Policy and
Procedures Manual is a compilation of the written records of the agreed policies and practices
of an organisation. The manual should be maintained in a loose-leaf file system so that it can
be updated and added to as policies and practices are reviewed and amended. The manual
should be regularly reviewed and each policy and procedure should have a review date. The
manual should readily be available to all staff.
Policy and procedures manuals are considered living documents and are reviewed on a regular
basis so are likely to be modified. Version control is used to identify the latest version of a
document and show the changes that have been made.
In many organisations procedures are controlled documents. Controlled documents are strictly
managed so that only the latest version is available. This is easier to manage if a computer
system, such as an intranet, is used to access the document. If the organisation maintains hard
copy, each document (or set of documents) is marked as a controlled document and someone
has the responsibility of removing all controlled versions and replacing them with an updated
version whenever changes are made.
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Example of workplace procedures for operating a forklift:
Health and safety policies and procedures should be written in a style and format that is easy
to understand. If necessary, it should be translated into different languages or transmitted in
alternative media so that it is easily accessed and understood by workers, including those who
consider English a second language or those with a disability.
Refer to activity 9.
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References
All Business 2012, Questions to Ask When Interviewing a Lawyer, viewed 7 December 2012,
www.allbusiness.com
Douglas, A 2012, How to Conduct a Health and Safety Audit, viewed 7 December 2012,
ohshandbook.com.au
Heads of Workplace Safety Authorities Australia and New Zealand 2011, Framework for a
Common Approach to Inspection Work, viewed 7 December 2012, www.hwsa.org.au
Safe Work Australia 2011, Interpretive Guideline—Model Work Health and Safety Act—The
Meaning of ‘Person Conducting a Business or Undertaking’, viewed 6 December 2012,
www.safeworkaustralia.gov.au
Safe Work Australia 2011, Role of the Regulator in Compliance and Enforcement, viewed 7
December 2012, www.safeworkaustralia.gov.au
Safe Work South Australia 2011, Working Safely in Manufacturing Kit, viewed 7 December
2012, www.safework.sa.gov.au
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