Compliant Learning Resources BSBWHS513 Lead WHS Risk Management

SAMPLEGender There are substantial differences in the working lives of women and men, and this affects their Workplace Health and safety. For example, women and men may be exposed to different physical and psychological risks at the workplace as different factors, such as sexual division of labour, biological differences, employment patterns, social roles and social structures, are in play. For example, female couriers or delivery personnel are potentially exposed to more risks, such as sexual assault and rape. Taking a gender-neutral approach in policy and legislation contributes to less attention and fewer resources being directed towards work-related risks to women and their prevention. Gender-sensitive interventions should take a participatory approach, involving the workers concerned and based on an examination of the real work situations. Not all women work in traditionally ‘female’ jobs. The same applies to men. A holistic approach needs to take diversity into account. For example, providing a work-life balance workplace environment takes into account women’s and men’s working schedules and be designed to be attractive to both. See example below: Majority of an organisation’s staff is composed of female workers, while the men are the minority. How this may potentially affect organisational WHS risks: ▪ As the majority of the staff are women and men are the minority, there may be WHS issues and risks that men, as the minority, might be hesitant to raise. If safety issues and risks are not regularly brought to light, these issues and risks might not be properly addressed. ▪ There is also a tendency for men, as the minority, to develop or feel resentment towards their female bosses, and this, in turn, could affect the dynamics in the working environment. This could negatively affect mental and emotional wellbeing, not only for the men but for the women as well, which poses a WHS risk for both. How this may potentially affect organisational WHS risks: ▪ Risk management will not be as effective if men, as the minority, are hesitant to raise safety issues and WHS risks. ▪ In order to be effective, the organisation must ensure that gender groups within the organisation are well represented and continuously encouraged to share their thoughts, opinions and feedback on WHS matters in the workplace. Minorities must feel that they can raise concerns without any fear of repercussions for raising them. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 51

SAMPLE ▪ If men, as the minority, develop resentment towards their female bosses, men might be more resistant to following safety procedures as instructed by female bosses/supervisors. As mentioned earlier, for WHS policies and procedures and risk management to be effective for both women and men in the organisation, gender differences must be carefully considered throughout the development, implementation and evaluation of these policies and procedures. For example, the organisation can make sure both genders are well-represented in WHS consultation, and participation projects and careful analysis of the following is done, and outcomes inform the development of WHS policies and risk management processes: different societal roles the expectations and responsibilities sexual division of labour biological differences, including physical and mental health issues between the genders employment patterns social roles and social structures Learner Guide Version 1.0 Produced 10 April 2020 Page 52 © Compliant Learning Resources

Labour Market Changes Changes in the labour market have significant implications for the management of WHS. Workplaces are now faced with workplaces composed of multiple employers, such as subcontractors and principal contractors. In this instance, responsibilities can become blurred, worker representation can become fragmented, and WHS inspectorates face increasingly complex workplace situations. Organisations may struggle to develop WHSM processes capable of fully and consistently meeting their WHS responsibilities. Considerations must be given to the inclusiveness of all the various workplace labour arrangements and their respective representative parties such as unions. Injuries and ill-health can also pose greater risks derived from poorer training and supervision, lack of familiarity with workplace hazards, pressures to complete tasks more quickly and at a lower cost, inadequacies in subcontractors’ risk assessment processes and other aspects of disorganisation such as fragmented WHSM systems and poor communication. Consideration must be given in consultation and management of WHS regulations and responsibilities to all these. Below are different examples of labour market changes and their potential impact on the organisation’s WHS risks and their management. SAMPLE Characteristics of Impact on WHS risks Impact on WHS risk labour market management changes ▪ Migrant workers may lack understanding and familiarity of ▪ Organisations who employ i. The influx of the Australian work health and migrant workers must ensure migrant safety laws and standards and they have in place WHS employees depending on their cultural onboarding and induction so views and perspectives on risks; that they understand Australian some workers might not be as WHS standards and laws. They vigilant in identifying hazards in can also supplement these the workplace and reporting inductions with regular safety their risks when they become meetings and overall promotion aware of those hazards. of maintaining safety culture within the organisation. ▪ Employees from non-English speaking backgrounds may find ▪ The organisation has to consider it difficult to easily understand its NESB staff in WHS risk workplace policies and management processes. This procedures as well as may include: information and warnings on o Disseminating information Learner Guide in their native languages, © Compliant Learning Resources so they may understand Version 1.0 Produced 10 April 2020 Page 53

hazards and risks in the the processes better, e.g. workplace. how to identify the hazards, how to report hazards. SAMPLE o Embedding inclusive practices into the organisation’s WHS consultation and participation practices. o Information about hazards may also be translated so that they fully understand what these hazards are and how they may cause harm in the workplace. ii. Increasing As it is high-risk construction work, Construction firms who undertake demand for employees who take on this work are high-risk construction work must high-risk exposed to more risks such as risks ensure they have strict construction from working from heights, risks organisational safety protocols and work from hazardous chemicals, procedures for this type of work. employees equipment and plant-related These include but are not limited to injuries, etc. regular inspection of Personal Protective Equipment (PPE), such as safety harnesses (and making sure they meet regulatory standards), establishing a Safe Work Method Statements (SWMS) and Job Safety Analysis Sheet (JSA), ensuring their workers have the current license to undertake high-risk construction work. Learner Guide Version 1.0 Produced 10 April 2020 Page 54 © Compliant Learning Resources

SAMPLELanguage, Literacy, and Numeracy Skills The skill-base of the workplace not only impacts on literacy and ability to access information via written or electronic processes but also impacts on the speed of processing and interpretation of information. Whether the workforce is predominantly ‘blue-collar’, technical or professional will impact on the nature of the consultation and participation processes. The ability to read and write is literacy. Much information in the workplace is communicated via the written word. There are also many variations in people’s literacy. The style and complexity of the language used in workplace documents should consider the literacy level of the people who need the information. If the workforce is unable to communicate clearly, it will have an impact on their understanding of risks and hazards and how to follow the procedures to avoid those. Where workers do not speak or are unable to read the workplace language, the PCBU should find an alternative method of providing information and training. See example below: Majority of the staff of an organisation has high levels of language, literacy, and numeracy skills. How this may potentially affect organisational WHS risks: ▪ If the majority of the organisation’s staff has high LLN levels, majority of the staff has a higher capacity to comprehend, and they can easily understand and digest written safety protocols, procedures as well as written information about hazards and risks. Safety hazards and risks are then easily identified and reported right away. How low levels of LLN among staff can potentially affect organisational WHS risks: ▪ LLN levels of employees are typically related to one’s logical thinking and reasoning strategies in one’s day-to-day work activities, and this includes their comprehension. With a lower capacity to comprehend, employees with lower levels of LLN, they might find it more challenging to easily understand and digest written safety protocols, procedures as well as written information about hazards and risks. If this is the case, the organisation must be inclusive in the implementation of its risk management processes by: o Simplifying language used in documented processes and procedures. o Using images or illustrations to show how work tasks can be safely undertaken. o Avoid using highly technical WHS terminologies when disseminating information about hazards and risks. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 55

How high levels of LLN among staff can potentially affect organisational WHS risks: ▪ High LLN levels of employees are typically related to one’s logical thinking and reasoning strategies in one’s day-to-day work activities, and this includes their comprehension. With a higher capacity to comprehend, they can easily understand and digest written safety protocols, procedures as well as written information about hazards and risks. This can help facilitate the easier implementation of risk management processes. SAMPLE Workforce Structure and Organisation Structural arrangements such as shift work and rostering; part-time, casual and labour-hire workers; as well as contractors; impact on access to information and the opportunity to input to consultation, participation and risk management processes. Workplace communication, consultation and participation are further affected when there is high labour turnover. Whilst Part-time and casual workers may be protected and covered under the organisation's worker’s compensation for accidents and injuries; contractors may be required to have their own coverage under the legislation. Learner Guide Version 1.0 Produced 10 April 2020 Page 56 © Compliant Learning Resources

Working alone or remotely increases the risk of any job. Exposure to violence and poor access to emergency assistance are the main hazards that increase the risk of remote or isolated work. This must be considered in implementing WHS risk management for such workers. Consistent retraining the workforce in WHS risk and assessment is an important part of your role to keep all workers up to date with their duties and responsibilities. Consideration must also be given to the risk associated with shift work such as long hours and impact on employees' health and safety. Appropriate measures must be taken to mitigate those. Below are different characteristics of the workforce in the organisation and their potential impact on WHS risk management: SAMPLE Characteristics of workforce Impact on WHS risk management structure and organisation i. Flat-organisational ▪ Elevates the employees’ level of responsibility and structure accountability in the organisation. In the context of risk management, employees tend to have more level of responsibility and accountability in the organisation’s overall health and safety – ensuring compliance with WHS policies and procedures, ensuring hazards and risks are reported right away, etc. ▪ Any decision making done in relation to risk management planning and implementation are also easier to facilitate with fewer levels of management to review and approve. ii. Having different ▪ Having different departments with specific functions departments help facilitate easier dissemination of information on specialising on work health and safety matters. The heads of specific functions departments act as a conduit for relaying WHS feedback (e.g. sales, HR, from their team members to management. development, etc.) ▪ Some organisations also assign their HODs as safety committee members. In these instances, there is clear ownership and responsibility of action items from risk management planning meetings, e.g. A head of a department can be assigned to monitor their department’s work area for any health and safety hazards and risks. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 57

iii. Having part-time ▪ Part-time workers are recognised as workers in WHS workers as legislation. Therefore they have the same duties, rights, employees. and responsibilities as regular workers in the organisation/workplace’s work health and safety. ▪ For inclusive risk management practices, organisation’s must ensure that part-time employees are also well represented in WHS consultation and participation activities in the organisation, i.e. they are provided with the same opportunity to share their feedback on WHS policies and procedures, report hazards and risks, etc. SAMPLE iv. Having casual and ▪ Casual and contractual workers are recognised as contractual workers workers in WHS legislation. Therefore they have the as employees. same duties, rights, and responsibilities as regular workers in the organisation/workplace’s work health and safety. ▪ As casual and contractual employees do not work the regular shifts, depending on their employment arrangements (e.g. they might not have access to a direct supervisor during their shift, health and safety meetings conducted during their off shift), there is a potential communication issue especially when information about health and safety matters are disseminated or relayed during town hall meetings or company-wide meetings. v. Having shifting There could be potential communication issues, especially schedules rosters during transition or handover from one roster to another, e.g. hazards encountered during one shift must also be reported to the team or workers working the next shift. This is very critical in construction where construction and equipment and plant are used. Any defects found in a piece of equipment or plant must be reported right away so that the next person working on them is aware and will avoid operating that equipment or plant. vi. Having people Employers have the responsibility to provide a healthy and safe working remotely as working environment to all their employees, including those employees. working remotely. There must be measures implemented for employers to inspect the remote workers’ homes and workspaces at home to ensure there are no health and safety hazards present (including ergonomic issues). If there are, proper risk assessment and control must be done to mitigate the risks arising from these hazards. Learner Guide Version 1.0 Produced 10 April 2020 Page 58 © Compliant Learning Resources

Workers with Specific Support Needs and Limitations Some of the workforces may have special needs such as disabilities or cultural requirements or have external pressures and stresses in their lives or pre-existing physical injuries. If a worker that has a disability is required to perform a role, a risk assessment needs to take place to ensure safety for themselves and their co-workers. You must consider such things as: are they able to effectively operate machinery or lift heavy objects? The PCBU should consider the individual needs of each worker. For example, workers with disabilities may require additional protective clothing and equipment for use at work. Workers with disabilities should never be discriminated against. While it is important to ensure that the working environment is safe, workers with disabilities do not suffer from discrimination. Other workers need to be educated on anti-discrimination in the workplace. Return to work refers to helping injured workers with their recovery and getting back to work. Legislation in this area provides for the safe and durable return to work of an injured worker as early as possible, allowing for their injury. The return to work of an injured worker involves the employer and worker—and depending on the legislation in each jurisdiction and the severity of the injury—it may also involve workplace rehabilitation coordinators and providers, medical and other health professionals as well as the insurer. Support for these workers must be provided and be included in the WHS Management plan. Below are examples of workers who may have specific needs and limitations and how this can potentially affect WHS risks and WHS risk management: SAMPLE Workers who may Impact on WHS risks Impact on WHS risk management have additional support needs and limitation i. Elderly staff Elderly staff are at more at risk for When organisations have elderly workplace discrimination due to people employed, they must their age and people’s view on ensure their risk management age, and this poses risks to their processes are inclusive. They can: mental and emotional wellbeing at work. ▪ Analyse risk factors that affect elderly staff as part of Older people, studies show, are the organisation’s risk also at more risk for slips, trips and assessment. falls. ▪ Rigorously implement a discrimination-free and inclusive workplace. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 59

▪ Ensure measures have been taken to reduce/mitigate slip, trip, and fall risks in the workplace. ▪ Ensure that the elderly are well-represented in the organisation’s WHS consultation and participation activities. SAMPLE ii. Persons with PWD staff are at more at risk for When organisations have PWD disabilities workplace discrimination due to staff employed, they must ensure (PWD) their disabilities and people’s their risk management processes views on disabilities. This poses are inclusive. They can: risks to their mental and ▪ Analyse risk factors that emotional wellbeing at work. affect PWD staff as part of the organisation’s risk assessment. ▪ Rigorously implement a discrimination-free and inclusive workplace. ▪ Ensure that PWD staff are well-represented in the organisation’s WHS consultation and participation activities. Learner Guide Version 1.0 Produced 10 April 2020 Page 60 © Compliant Learning Resources

Cultural Attitudes towards Alcohol and Other Drug Use Workplace cultural attitudes Impact on WHS risks Impact on WHS risk management SAMPLE i. Australian drinking As drinking is arguably a big While observing Australian culture part of Australian culture, drinking culture, employers including in workplace social must still have policies in place settings, this could pose to strictly prohibit employees massive risks, especially in high- from working or reporting to risk construction work, rail work under the influence of transport, maritime and mining alcohol. This includes testing occupations. workers for alcohol substances and prohibiting bringing Employees who report to work, alcohol to work except for especially in high-risk workplace social events and construction work, rail normal work operations are transport, maritime and mining paused. work, while under the influence of alcohol could endanger their lives and others. Alcohol impairs coordination and cognitive functions, and if an employee makes mistakes in their work due to this impaired functioning, it could lead to incidents, injuries, damages to properties and even death. ii. Maintaining a strict If measures are strictly taken to To mitigate the risks of drug-free workplace maintain a drug-free workplace, e.g. regular testing employees coming to work for illegal drugs in the system, employers make sure that their under the influence of employees who report to work are not under the influence of drugs/narcotic drugs, any illegal drugs and this should help reduce the risks of drug- employers can put in place related incidents such as injuries, damages to property regular testing for illegal drugs and even death. in their employees and having measures in place for instances when employees do test positive for illegal substances. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 61

1.6 Confirm that Risk Management Scope is Clearly Defined according to Organisational Policies and Procedures While considering the context for risk management, we must consider the context for the process. As discussed in the introduction to this element, factors affecting the context are often considered in terms of what is external and what is internal, and both need to be established. SAMPLE 1.6.1 Establishing the External Context The external environment in which the organisation operates is the external context. Understanding this is important in order to ensure that the objectives and concerns of external stakeholders are considered when developing risk criteria (Standards Australia 2009). The external context can include, but is not limited to: ▪ political, legal, regulatory, financial, technological, social, cultural, economic, natural and competitive environment, whether national, regional, local, or international. ▪ key trends and drivers that are having an impact on objectives to the organisation ▪ relationships with, values and perceptions of stakeholders externally. 1.6.2 Establishing the Internal Context The internal context is anything within the organisation that can influence the way in which risk will be managed. As this should be established due to risk management taking place in the context of the objective to the organisation and its projects (Standards Australia 2009). Risk management processes should be aligned with organisational processes, structure and strategy and, culture(s). The internal context can include, but is not limited to: ▪ governance, organisational, roles, structure and accountabilities ▪ objectives, policies and also the strategies which are in place to achieve them ▪ understood in terms of knowledge and resources, capabilities (e.g. time capital, people, processes, technologies and systems) ▪ perceptions and values of internal stakeholders and their relationship ▪ the organisation's culture ▪ information systems and flow and included are the decision-making processes (informal and formal) ▪ guidelines, standards and models that are adopted by the organisation to a form and extent of contractual relationships. Learner Guide Version 1.0 Produced 10 April 2020 Page 62 © Compliant Learning Resources

Thus, to ensure the risk management process is appropriate, it is necessary to establish: ▪ objectives and goal activities for risk management ▪ where responsibilities lie for and within the risk management process ▪ the scope, as well as the depth and breadth of the risk management activities ▪ the relationships between a particular project, process or activity and other projects ▪ the risk assessment methodologies ▪ the way(s) risk management performance and effectiveness are evaluated ▪ the elements of any OHS management system that govern and guide risk assessment. Activity 1 1. List some of the internal sources of information for WHS. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 63

2. List some of the external sources of information for WHS. 3. List some of the obligations of the PCBU under the legislation. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 64 © Compliant Learning Resources

4. List some of the duties of the PCBU under the legislation. To view the answers to this activity, click here. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 65

1.6.3 Organisational Behaviour and Safety Culture Organisational Behaviour Organisational behaviour is the behaviour of employees in organisational settings. It encompasses the behaviour of individuals (members within the organisation), workgroups or departments, and the organisation as a whole. The ultimate aim of understanding organisational behaviour is to increase job satisfaction, promote innovation, improve job performance, and encourage leadership. Below are examples of how organisational behaviour manifest in various WHS risk management activities. SAMPLE WHS risk management Examples of organisational behaviour found in this activities activity i. WHS hazard E.g. identification and reporting ▪ How proactive employees are in reporting WHS hazards when they become aware of them. ▪ Transparency and communicating these WHS hazards to concerned groups and individuals within the organisation. ▪ Individuals and groups following organisational processes for identifying and reporting hazards as well as completing the required documentation. ii. Consultations on E.g. what risk controls to ▪ Level of participation and engagement of individuals implement and groups within the organisation to participate in these consultations. ▪ The willingness of workers to share experience, knowledge, and ideas that will contribute to choosing the most effective control measures. Learner Guide Version 1.0 Produced 10 April 2020 Page 66 © Compliant Learning Resources

Varying levels of employee WHS participation and engagement in connection to organisational behaviour can affect: SAMPLEoverall work health the work team organisation’s risk and safety of the appetite organisation ▪ Overall work health and safety of the organisation Effects of low levels of employee WHS participation and engagement o Hazards and safety issues go unaddressed or not appropriately addressed. o Organisation’s work health and safety practices do not comply with the legislation o WHS safety policy and procedures do not reflect the organisation’s safety matters and are not updated accordingly Effect of high levels of employee WHS participation and engagement o Hazards and safety issues are raised and addressed in a timely manner. o Organisation’s work health and safety practices comply with WHS legislation and regulations o WHS safety policy and procedures are reflective of the organisation’s current safety matters and are updated accordingly Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 67

SAMPLE▪ The work teams Effects of low levels of employee WHS participation and engagement o Do not have a sense of responsibility, accountability and ownership of their respective work areas and hazards found in these work areas. o They are not aware of safety matters within the organisation. o Feeling of working in a workplace that is ‘unsafe.’ o Duty holders failing to meet their duty of care in accordance with the WHS legislation. Effect of high levels of employee WHS participation and engagement o Employees have a sense of responsibility, accountability and ownership of their respective work areas and hazards found in these work areas. o Kept up to date on safety matters within the organisation. o Duty holders fulfilling their duty of care in accordance with the WHS legislation. ▪ Organisation’s WHS risk appetite Effects of low levels of employee WHS participation and engagement o Risk appetite not clearly defined or does not reflect the organisation’s current WHS processes and capacity, e.g. in the event of an actual emergency or catastrophe, only then the organisation will realise they are not prepared for such an emergency or catastrophe. o Low-risk appetite, i.e. the organisation does not have the capacity and is not prepared to mitigate high probability and high impact risks. Effect of high levels of employee WHS participation and engagement o Risk appetite clearly defined and reflects the organisation’s current WHS processes and capacity, e.g. the organisation is fully prepared in the event of an actual emergency or catastrophe. o The organisation may allow for higher risk appetite as they have the capacity and they are prepared to mitigate high probability and high impact risks. Learner Guide Version 1.0 Produced 10 April 2020 Page 68 © Compliant Learning Resources

Organisational Culture and Safety Culture Organisational culture encompasses an organisation’s values, expectations, experiences, philosophy that guide the behaviour and actions of the people within the organisation. It is manifested in their behaviour and actions, how they interact with others, how they perceive themselves as a member of the organisation, and how the organisation works toward their goals. While safety culture is the culture that employees or members within the organisation have towards health and safety matters, including risks in the workplace. Safety culture includes the collective beliefs, perceptions, and values share in relation to health and safety matters in the organisation. Having a good safety culture across all aspects of the organisation is always best and beneficial for everyone in the workplace. Below are examples of good safety culture in WHS risk management activities. SAMPLE WHS risk management Good safety culture to have for this activity activities Transparency and communicating safety issues as they are. i. WHS hazard Avoid sugarcoating or downplaying hazards or not reporting identification and them at all just for the sake of avoiding sanctions and reporting reprimands or just for the sake of looking good. ii. Implementation of Putting safety first before profit, i.e. viewing safety as an risk controls investment and not expenditure or a cost. For example, if the organisation is intending to use personal protective equipment (PPE) as part of their risk control, they make sure that the PPE they are getting are of quality and meet industry and safety standards. If they put profit first before safety, they run the risk of getting dodgy equipment and therefore putting their workers’ health and safety in more danger. Learning Culture vs. Ignoring Lessons Learnt Adopting a learning culture means acknowledging WHS issues in the organisation as well as going the extra mile in investigating and analysing them. If an incident keeps happening an organisation with a good safety culture would dig deeper and try to understand the reasons why the incident keeps happening. Once underlying issues and reasons are uncovered, they come up with an action plan to address them, as opposed to a culture of ignoring these lessons where issues go unaddressed, and incidents persist in the workplace. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 69

SAMPLEBelow how these two contrasting cultures affect the overall WHS of the organisation, the work team, and the organisation’s risk appetite. ▪ Overall work health and safety of the organisation Having a learning culture o Risks arising from similar hazards or hazards previously encountered are managed effectively. o Better reporting of health and safety hazards and issues. o Hazards and safety issues are raised and addressed in a timely manner. o WHS safety policy and procedures are updated accordingly and reflective of the organisation’s current safety matters. o Chances of WHS incidents and emergencies occurring are reduced. ‘Ignoring lessons learnt’ culture o Hazards and safety issues go unaddressed or not appropriately addressed. o Chances of WHS incidents and emergencies occurring remain the same. o WHS safety policy and procedures are outdated and do not reflect the organisation’s safety matters. ▪ The work teams Having a learning culture o Kept up to date on safety matters within the organisation. o Duty holders fulfilling their duty of care in accordance with the WHS legislation. o Staff are sufficiently trained on safety matters; HSRs undergo their regulatory HSR training. ‘Ignoring lessons learnt’ culture o They are not aware of safety matters within the organisation. o Feeling of working in a workplace that is ‘unsafe’ as incidents still keep happening. o Duty holders failing to meet their duty of care in accordance with the WHS legislation. o Lack of confidence from staff as they have not been sufficiently trained. Learner Guide Version 1.0 Produced 10 April 2020 Page 70 © Compliant Learning Resources

▪ Organisation’s WHS risk appetite Having a learning culture o Risk appetite clearly defined and reflects the organisation’s current WHS processes and capacity, e.g. the organisation is fully prepared in the event of an actual emergency or catastrophe. o The organisation may allow for higher risk appetite as they have the capacity and they are prepared to mitigate high probability and high impact risks. ‘Ignoring lessons learnt’ culture o Hazards and safety issues are raised and addressed in a timely manner. o Risk appetite clearly defined and reflects the organisation’s current WHS processes and capacity, e.g. the organisation is fully prepared in the event of an actual emergency or catastrophe. o The organisation may allow for higher risk appetite as they have the capacity and they are prepared to mitigate high probability and high impact risks. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 71

II. Lead Risk Assessment A range of factors both in the workplace and outside will influence the management of risk; from the decision to establish a risk management program to the response, the scope, the approach to specific risks and the risk control measures adopted. These factors are often considered in terms of what is external and what is internal. The external context is determined by factors outside the organisation. It is the cultural, social, political, legal, regulatory, financial, technological, economic, natural and competitive environment, locally, regionally, nationally and internationally. It includes factors that impact on the objectives of the organisation as well as relationships with and perceptions and values of external stakeholders (Standards Australia 2009). The internal context is determined by factors inside the organisation and can include governance, structure and the roles and accountabilities of officers. It is influenced by policies, objectives, and the strategies that are in place to achieve them. It is also influenced by the resources (e.g. capital, time, people, processes, systems and technologies), the manner in which informed decisions are made and how the information flows (informal and formal), guidelines, standards, and models adopted by the organization and the form and extent of contractual relationships. Less easy to identify are factors such as relationships and perceptions and values of internal stakeholders, the organisation's culture. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 72 © Compliant Learning Resources

SAMPLE2.1 Lead Hazard Identification Process According to Organisational Policies and Procedures Advice regarding hazards and the harms they may cause needs to be tailored to meet the needs of the individuals and parties for it to be effective. For example, you are unlikely to present information on hazards in the same way to workers as you would to an officer (as defined by the WHS legislation) or a supplier. Information provided to external parties such as suppliers of plant or chemicals is likely to include details such as information on your work environment and workplace organisational factors such as demographics of the workforce, shift work arrangements etc. This will enable your organisation to work with the supplier to identify the best way to manage hazards in the workplace. For example, if purchasing machinery that may present a noise hazard, using the information on the design of the workplace may assist an organisation to work with a supplier to identify how to manage noise issues (assuming a less noisy piece of machinery isn’t a reasonably practicable option). When communicating with health and safety committees and health safety representatives, you may have a training role, describing the hazard energy model and requirements of risk management for your organisation. This may be best done through presentations, referring them to guidance material or provision of formal training. Your role in advising senior management (officers/PCBUs) will probably involve advising them of their duties under the legislation and how best they can meet their duties given the organisational context and what would be ‘reasonably practicable’. You should ensure that you provide them with clear advice on critical matters such as the hierarchy of control and the need for them to proactively manage WHS risk within the organisation. In a practical sense, you may have a role in providing advice through: ▪ developing tools/report templates to gather and communicate information (examples of these will be discussed later in this element) ▪ collecting information through applying these tools ▪ providing reports of WHS compliance. When providing advice to workers on WHS hazards, communication may be formal training, toolbox talk presentations, emails or publications such as newsletters. It is important to remember that providing advice to workers on hazards should not be relied on as a risk control measures (refer back to the hierarchy of controls), but it can be useful to raise awareness of workers regarding hazards of the environment, and what risk controls are in place to manage them. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 73

SAMPLEAt this level, you are not expected to develop your own hazard identification tools, but you can assist your organisation in identifying appropriate tools for your workplace Commonly used tools for identifying hazards include: ▪ informal ‘walkthroughs.’ ▪ interviews or questionnaires ▪ checklists for workplace inspections ▪ safe work method statements ▪ audits ▪ ergonomic tools such as task analysis checklists and body mapping ▪ job and work system analysis (JSA). Consultation is always required as part of the hazard identification process. You will need to ensure that the input of managers, health and safety representatives, health and safety committee and others are considered through consultative processes and recorded in minutes of meetings. These tools and techniques may be: ▪ internally or externally developed ▪ customised to the particular industry and workplace ▪ scheduled or unscheduled ▪ undertaken by individuals or small groups. When using tools and techniques, make sure that they are appropriate for your organisation and the hazards you are dealing with. Ensure that they: are relevant to your industry or type of work suit your workplace address all the required areas or items are usable by the people in your workplace. We are learning more about workplace hazards and their action all the time. All hazard identification tools and techniques should be reviewed on an ongoing basis to ensure they allow for emerging issues and that they reflect current industry knowledge and practice. Learner Guide Version 1.0 Produced 10 April 2020 Page 74 © Compliant Learning Resources

SAMPLEThere are other sources of information or processes which can assist in the hazard identification process, as well as tools. These may include: ▪ Hazard reporting systems – have hazards been reported directly by workers? Customers? Anybody else? An organisation will need a process by which people can raise WHS issues they have observed, which is easy to use and accessible. ▪ Compensation claim information/incident investigation reports – these provide valuable ways to consider what could go wrong in the future, as it has already happened before. Consider reviewing claim statistics/information for your industry as well as internal claims data. Similarly, for incidents/investigations, you can assist your management by taking note of incidents reported in the media or through regulator newsletters, etc. and considering if any of the hazards identified are relevant for your workplace. ▪ Safety data sheets and other safety documentation provided by suppliers of chemicals and/or plant can assist you in identifying hazards associated with that product. Firstly, identify the purpose of the inspection. Is it a general housekeeping type inspection or is there a particular target such as ergonomic assessment of workstations, or to test compliance with particular procedures, or to implement a hazard identification tool developed from a code of practice? Unless you are experienced, you will not want to start with a blank sheet. You may already have a workplace inspection checklist in your workplace, or you may check your resource file for contacts such as your WHS regulator, industry bodies, similar workplaces or WHS advisors for sample checklists. Even if you have checklists in your workplace, it is important to regularly ‘benchmark’ and check if there are better or more useful checklists available. A sample blank workplace inspection checklist in supplied in the online Readings and Resources for this unit to assist you. 2.1.1 ‘Housekeeping’ Inspections One of the most commonly used and useful hazard identification tools is the ‘housekeeping’ type of workplace inspection. However, it is also a much ‘misused’ tool. Does the following situation sound familiar? Joe went to a safety training day. They said that inspections were important. So the boss said to Joe ‘I sent you to the course, you’re now the safety guy, off you go’. There is now a pile of checklists that Joe completes monthly with things ticked and crossed, some of the items do not to relate to their work and the same things are crossed each month, so not a lot has changed. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 75

Checklists are useful, but it is how they are used that is important. The ‘tick and flick’ approach will result in a pile of paper but little effective hazard identification. Workplace Safety Inspection Checklist An inspection checklist is used in documenting the hazards identified during workplace safety inspections in work areas such as housekeeping, storage of hazardous chemicals. Safety inspection checklists are comprised of items to be ticked off by the inspector per each area inspected. Depending on the items listed in the checklist, the inspector may tick off items as they see them or as they ascertained that the area or equipment pass the criterion on the checklist. E.g. ▪ As with the limitation of workplace inspections, it is not possible to be able to find all the hazards that may exist in a work area. ▪ The actual safety inspection may be limited by the workplace safety inspection checklist, i.e. the inspector is likely to just check for the things listed on the safety inspection checklist. ▪ For a typical building inspection is not possible for an inspection contractor to find every problem or defect that may exist on a property as part of a visual inspection SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 76 © Compliant Learning Resources

2.1.2 Inspection for Hazard Identification Whether hazard-specific or ‘housekeeping’ type, inspections at a workplace should be repeated at regular intervals. You must schedule to notice the items that may not be apparent when scheduled inspections occur. Consider the following: ▪ The purpose of the inspection is to identify hazards and pre-conditions so that preventive action can be taken ▪ Open discussion among team members can enable others to see things from a different perspective and may also lead to an improvement in the inspection checklist. ▪ Observation of work practices and environments can enable you to identify any differences between what is ‘supposed to happen’ and what is actually happening in the workplace. ▪ Don’t omit items that present difficulties to any of those concerned. ▪ Vary the routine of inspection; look beyond the obvious. ▪ Remember that workplace inspections are a constructive process; avoid negativity and criticism. ▪ If you identify anything that is an immediate threat to safety, then bring it quickly to somebody’s attention for action. ▪ Report outcomes of the workplace inspection promptly and make an action plan with delegated responsibilities and timeframes. ▪ Keep in mind that you should be an example of good WHS practice when you are conducting an inspection. Remember to follow the rules and procedures. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 77

2.1.3 Audits Audits are another key tool for identifying hazards in the workplace. Audits are commonly conducted on WHS management systems and are more comprehensive that workplace inspections alone. An audit will generally involve an analysis of documentation such as: ▪ safe work method statements ▪ organisational policies, procedures, processes ▪ records such as training, incident reports and plant maintenance ▪ claims data and incident investigation information ▪ relevant safety information for the workplace, such as safety data sheets for chemicals and operation manuals for the plant. Analysis of documents can provide important information about how an organisation manages safety. Safe work method statements will provide you with information on how senior management and supervisors believe that the work is being performed. Any deviation from the safe work method statements should be noted. It is important to avoid telling workers to ‘just work safely’ as it is often the case that the safe work method statements are not practical in the workplace, or there are competing pressures such as unrealistic timeframes. Consultation and commitment to WHS is the key to effective, safe work method statements. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 78 © Compliant Learning Resources

SAMPLECompensation data and incident reports provide an opportunity for an organisation to learn from previous mistakes and take steps to prevent an incident happening again. Technical material such as safety data sheets, operations manuals and registers of hazardous chemicals enable you to gain specific information about a particular hazard. Once documentation has been analysed, an audit will conduct a workplace inspection (comparing procedures/policies, etc. with what actually happens in the workplace) and a consultation process to gain the views of all levels of workers and management. This is generally reported in the form of an audit report, including indicators of compliance and recommendations for improvement. You will not be expected to complete an audit on your own, as it is a relatively specialised skill. Consider the following: ▪ assist the auditor by identifying key concerns or issues prior to commencing the audit ▪ provide auditors with the context of what the workplace is generally like and the environment in which it operates ▪ make any relevant documentation available to auditors ▪ arrange workplace inspections, consider seasonal work, shift work and peak times ▪ provide meeting rooms and times ▪ provide any follow-up information as required by the auditors 2.1.4 Techniques, Tools and Processes Additional techniques, tools and processes may be used to identify hazards in the workplace, such as: ▪ WHS legislation, codes of practice, standards, guidance material, etc. used to identify what hazards may be in your workplace. ▪ Workplace policies, procedures and systems. Used to identify hazards as they provide an indication of what the senior management believes is happening in the workplace. ▪ Details of incidents and investigations and compensation data. Used to provide details on what has gone wrong previously and provides opportunities for preventing future incidents. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 79

Process Mapping Additionally, not all hazards can be seen at the worksite. At times, they arise from workplace tasks being undertaken. To identify hazards associated with workplace tasks, we use process mapping. It is used in identifying the hazards and what steps in the process are potentially ‘dangerous’ or risky through visually documenting the steps in the process. When doing process mapping, it is essential to identify the hazards within an existing process or how it is currently done, as there is a tendency to map the process as to how it should be or how team members think it might be. Further Reading The link directs you to the Model Code of Practice for Hazardous Manual Tasks. https://www.safeworkaustralia.gov.au/doc/model-code-practice- hazardous-manual-tasks Review the code of practice and determine how hazards are identified in manual tasks. Make sure to check your state/territory’s version of this code of practice too. You can also check other codes of practice that are relevant to your industry and work area and see how hazards are identified in this area. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 80 © Compliant Learning Resources

2.2 Identify and Document Risk Factors as They Apply to Identified Hazards according to Organisational Policies and Procedures In some organisations, risk assessments are treated as an end in themselves, but they should be just part of the three-step process of hazard identification, risk assessment and risk control. The main objective is to control the risk to prevent injury and damage. Risk assessment is just a tool in the process; there is no point in doing a risk assessment just for the sake of it. Thus, risk assessment and development of risk controls should be an integrated process. Factors influencing the risk may be associated with: SAMPLE the organisational physical equipment procedures and management environment environment people and human frequency and number of people error duration of exposed/ involved exposure Most of the hazard-specific legislation requires that risk assessments are documented, and records retained, usually for five years or until a new assessment is conducted. The extent of documentation required depends on the circumstances. Where a preliminary risk analysis is being carried out to eliminate minor risks from detailed consideration, then a note on why the risk was considered to be low is sufficient. Where a more detailed analysis is required, more information is needed to demonstrate due diligence and inform others about the risk. The risk analysis and criteria for any ranking should be recorded in sufficient detail to allow the analysis to be checked or repeated by others and to enable third parties to verify the way the analysis was done. ▪ In what ways do you think risk assessments might be used in a legal context? Generally, at the level required by this unit of competency, documenting the risk assessment will mainly involve recording the: ▪ completed hazard-specific analysis tool obtained from a code of practice or other sources of information ▪ analysis of the reliability of controls, including any assumptions ▪ the rationale behind any prioritisation ▪ people involved in the process. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 81

Once a hazard is identified and the risk assessed, the information should be added to a risk register. A risk register is a document which documents factors such as: ▪ What is the harm that the hazard could cause? ▪ What is the likelihood that the harm would occur? ▪ What is the level of risk? ▪ How effective are current controls? ▪ What further controls are needed? ▪ Who is responsible for implementing the controls? By when? SAMPLE Learner Guide Further Reading Page 82 A sample risk register is provided in the How to Manage Work Health and Safety Risks Code of Practice, mentioned earlier in this learner guide. www.safeworkaustralia.gov.au/ Version 1.0 Produced 10 April 2020 © Compliant Learning Resources

SAMPLE2.2.1 Risk Assessment Tools and Techniques Below are risk assessment tools and techniques which you can use to identify risk factors associated with a hazard: What-if-analysis in Risk Assessment What-if-analysis is used in identifying the potential risks of hazards. It uses what-if questions to determine what would happen if things do go wrong. It is usually done by people who have knowledge about the work area in question, operations, and processes where the hazardous objects and events are present. What-if-analysis is only helpful in the initial steps of the risk assessment. It only looks at the nature of the hazards (particularly what could go wrong when risks arise). It is more of a qualitative assessment of risk rather than quantitative and could be subjective. Risk Matrix Risk matrix is used during risk assessment. It is used in defining the level of the risk by considering the category of probability or likelihood against the category of consequence severity. One limitation of this is the lack of depth of the tool, should the tool be used as the only method of risk evaluation; the actual hazard could be oversimplified. For this reason, the risk matrix tool should only be used as an overview or preliminary measure in risk assessment and should be used in conjunction with other risk assessment tools. Brainstorming with Relevant WHS Stakeholders Brainstorming meetings are used in generating ideas within a group setting; in this case, ideas for risk controls to be implemented. To run the brainstorming meeting, the facilitator can: ▪ invite workers or relevant stakeholders and present to them the hazards and risks identified prior ▪ and then solicit ideas and suggestions from them on which risk controls can be helpful in managing the risks identified. The meeting attendees can follow a more open format of discussion (one person can suggest a risk control, and another may raise concerns about the suggested risk control) Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 83

SAMPLEBrainstorming meetings are limited in the sense that: ▪ Numerous ideas are generated, but not all are necessarily quality ideas. ▪ The voice of the majority in the meeting may trump independent thinking or may hinder some people in raising their concerns about the suggested risk control options. Meeting Minutes Meeting minutes document is used to record what has been discussed and suggested during the risk control brainstorming session. Meeting minutes template is provided to the minutes taker and the minutes taker will record key points in the discussion into this template. Meeting minutes are limited in the sense that: ▪ If it is not in the agenda items in the meeting minutes, the minutes taker may forego to record an important point in the discussion ▪ How well the discussion points are recorded depend on the minutes taker’s speed and accuracy. Further Reading The link directs you to the Model Code of Practice for Hazardous Manual Tasks. https://www.safeworkaustralia.gov.au/doc/model-code-practice- hazardous-manual-tasks Review the code of practice and determine how risk factors are identified in manual tasks. Make sure to check your state/territory’s version of this code of practice too. You can also check other codes of practice that are relevant to your industry and work area and see how risk factors are identified in manual tasks. Learner Guide Version 1.0 Produced 10 April 2020 Page 84 © Compliant Learning Resources

SAMPLE2.3 Apply Knowledge of WHS Laws, Workplace WHS Information and Data, and Identified Hazards and Risk Factors to Analyse and Assess Risk An important external influence on the motivation for risk management activity, the objectives of it and the processes employed, is legislation. The WHS Act and Regulations require duty holders to ensure health and safety by managing risks. Whilst implying the application of the risk management processes outlined above, the emphasis is very much on the action required to minimise the health and safety risks. Duty holders will include businesses if they (SafeWork Australia 2011): engage workers, or if workers have a direct or if they influence the work carried out the conduct of their business or undertaking may put other people out of work control or manage the workplace or fittings, fixtures or design of plant, import or supply plant, substances, manufacture or structures for use at the workplace construct or commission plant, install or structures at a workplace Officers such as company directors also have duties and must ensure that the business or undertaking complies with the legislation. This includes taking reasonable steps to (SafeWork Australia 2011): hazards and risks, and having an understanding associated with undertaking or operations of business business or undertaking has ensured the appropriate resources and processes to minimise or eliminate the risk of health and safety. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 85

Workers are also duty holders under WHS legislation, although the greatest onus falls upon the business with respect to managing risks. More than one person can have at the same time, the same duty and a person can have more than one duty. In addition to risk management requirements specified in WHS Acts and regulations, there are also requirements under codes of practice (including the Safe Work Australia model Code of Practice: How to Manage Work Health and Safety Risks) and standards. While Codes of Practice are not strictly legislation, they provide detail of what legislative compliance looks like and can be used to assess whether a duty holder has met their obligations. Thus Codes of Practice and standards can be very useful tools in developing approaches to risk management. Further, they often provide guidance on specific hazards. SAMPLE 2.3.1 WHS Laws Below are examples of how you can apply knowledge of WHS laws into your risk analysis and assessment: WHS Legislation According to Part 2, Division 1, Subdivision 2 of the WHS Act 2011, Part 2, Division 1, Subdivision 2, ‘reasonably practicable’ includes taking into account the following in risk analysis and assessment: Likelihood of Degree of harm What we hazard and risk that might result currently know of the hazard from hazard WHS Regulations When performing risk assessment on hazardous manual tasks, Section 60 Managing risks to health and safety of WHS Regulation 2011 states that the following must be taken into account: (a) postures, movements, forces and vibration relating to the hazardous manual task; and (b) the duration and frequency of the hazardous manual task; and (c) workplace environmental conditions that may affect the hazardous manual task or the worker performing it; and (d) the design of the work area; and Learner Guide Version 1.0 Produced 10 April 2020 Page 86 © Compliant Learning Resources

(e) the layout of the workplace; and (f) the systems of work used; and (g) the nature, size, weight or number of persons, animals or things involved in carrying out the hazardous manual task. Code of Practice WHS Codes of Practice on Manual Hazardous Tasks also provides the following guidelines when performing risk assessment: Risk assessment done by reviewing postures, movements, and forces of the task. Examining tasks to determine risk rating and risk priority. Looking for repetitive movements, sustained or awkward postures, repetitive or sustained forces. SAMPLE 2.3.2 Internal WHS Information and Data Below are examples of how organisations incorporate the use of internal/workplace and external information and data into their risk assessment: Using Workplace Information ▪ Following policies and procedures relevant to risk assessment. ▪ Doing the risk assessment in consultation with stakeholders as required by our organisational policies and procedures. ▪ Using summaries of previous incident reports as a reference in this current risk assessment. Using Workplace Data ▪ Checked data from previous risk assessment on hazardous manual tasks and used this as a reference to determine the initial rating and risk priority. ▪ Used similar hazard identification reports, incident reports, risk registers, and previous risk assessment to identify the risks of the hazards identified. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 87

2.3.3 Analysis and Assessment of Risks Risk assessment involves the selection of a suitable approach to assessing these risks, applying the tools, techniques or processes, and recording the results. Risk analysis involves considering what are the causes and sources of risks and considering the following three factors: SAMPLE Consequence • What is the outcome if the event occurred? • What is the severity of the outcome? Likelihood • What are the chances of the event/consequence occurring? • Has this event/occurrence happened before? • How likely is it to happen again? Risk level • What is the combined result of likelihood and consequence? Once you have the risk rating, you can then determine the Priority levels to determine when action is required. The higher the risk rating, the more urgent it is to address the problem and implement controls to eliminate or reduce the risk. Risk Rating Priority Descriptor Action required Level Very High VH or 1 Very High Immediate action required senior management High involvement necessary now. High H or 2 Moderate Action is required in the short term; strategies to Medium M or 3 treat the risk must be identified. Responses need to be identified, and the risks monitored. Low L or 4 Low Monitor by routine procedures. Learner Guide Version 1.0 Produced 10 April 2020 Page 88 © Compliant Learning Resources

Now that we have determined the levels of risk and therefore their priorities, you need to work out what to do about them. The following table lists the hierarchy of controls in dealing with risks. This table provides a step by step process for controlling risk. It is a system used in the industry to minimise or eliminate exposure to project risks. Hierarchy of Controls As mentioned earlier in this learner guide, the Hierarchy of Hazard Control is the name given to the range of control methods used to eliminate or control hazards in the workplace. The diagram below depicts the Hierarchy, and the six levels, your understanding of those levels is important in the implementation of those: Hazards should be re-assessed after the implementation of control measures, to review if the risk has been reduced enough. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 89

2.4 Document Risk Assessment According to Organisational Policies and Procedures, and Legislative Requirements Not only is risk a highly subjective concept, but also risk terminology may be used differently between organisations and even within the same organisation. For example, the language of risk management in the context of financial risk is likely to differ to that used in the context of WHS risk. In this example, the meaning of “high risk” will be very different, as will the notion of “consequence” of an event. Thus, an organisation should define criteria that will be used to evaluate the significance of the risk. Naturally, these criteria should reflect the organisation's values, objectives, although some criteria can be determined by legal, regulatory and other external requirements. Normally risk criteria will be defined at the beginning of any risk management process, take account of stakeholders views and be continually reviewed. Criteria will, therefore, normally be documented in risk management policies. The WHS practitioner plays a very important part in developing the criteria and ensuring that the language used is appropriate and meaningful. Thus the language used to describe likelihood, consequence and the criteria for the acceptance or rejection of risk must reflect values that are appropriate to the contemporary management of health and safety, WHS legislative and regulatory requirements and organisational objectives and cultural factors. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 90 © Compliant Learning Resources

2.5 Communicate Outcomes of Risk Assessment to Required Personnel According to Organisational and Legislative Requirements All managers, supervisors and other employees have a common law duty of care and duties under WHS legislation as part of their operational duties and functions. This applies irrespective of organisational documentation and processes. To ensure that these responsibilities are clear, accepted and acted upon, the organisation should define, designate, document, and communicate WHS responsibilities and authority to act, and establish accountability and reporting processes. Support processes for training and competency, communication and consultation, and appropriate documentation must also be established. Workers are often aware of information which might indicate a problem but may not pass it on because they are unable to articulate the problem, or they feel that it will not be well- received. It is vital that stakeholders and key personnel are offered the opportunity to provide input in a receptive and safe environment. 2.5.1 Required Personnel Outcomes of risk assessment must be communicated to the following: Stakeholders you meet within this task may include but are not limited duty holders as specified in the WHS legislation (officers, workers, and other persons in the workplace, Health and Safety Representatives (HSRs), Health and Safety Committees (HSCs), a specific department or a team in the organisation that is affected by the hazards and risks you identified SAMPLE Duty holders as specified Health and Safety Health and Safety A specific department or in the WHS legislation Representatives (HSRs) Committees (HSCs) a team in the (officers, workers, and other persons in the organisation that is workplace affected by the hazards and risks you identified 2.5.2 Knowledge of Risk Legislation and common practice support the involvement of those who do the work in hazard identification and risk assessment. While this involvement of those who know the work processes is essential for good risk assessment, knowledge of the job does not equate to understanding the risk. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 91

2.5.3 Establishing Risk Level According to the Hierarchy of Controls The level of risk can be determined based on the Hierarchy of Control Measures (range of control methods used to eliminate or control hazards in the workplace) by evaluating the risk against the hierarchy. It starts by looking at the risk and asking if it can be eliminated, if yes, then the risk is totally eliminated, i.e. there is no existing risk anymore. However, if it cannot be eliminated, we move to the next control, which is the substitution – can the hazard where the risk is coming from being substituted for something that is less hazardous? If yes, then we’ve reduced the risk somehow, and this goes on down the entire hierarchy until the PPE control. If the hazard could not be eliminated, substituted, controlled through engineering adjustments, then it is established that the risk is still there, and the level of risk is still very high. Hazards should be re-assessed after the implementation of control measures, to review if the risk has been reduced enough. The Hierarchy of Control Measures will be discussed further in detail in Section 3.2.3. Activity 2 1. List and explain the four steps of the risk management process. SAMPLE Learner Guide Version 1.0 Produced 10 April 2020 Page 92 © Compliant Learning Resources

2. List which documents are used to report on WHS. SAMPLE3. List and explain in which ways you can communicate outcomes of risk assessment to personnel. Learner Guide To view the answers to this activity, click here. © Compliant Learning Resources Version 1.0 Produced 10 April 2020 Page 93

III. Lead Risk Control The objective of all these activities is to improve safety in the workplace (reduce risk). So there has to be some action. The WHS practitioner may not be in control of the workplace or able to make ‘management’ decisions regarding resources. Rather their role is to encourage and support action and monitor implementation. SAMPLE 3.1 Identify Organisational Risk Control Policies and Procedures Appropriate to Identified Hazards Prior to planning and implementing any risk controls in the organisation, you must be aware of the organisational policies and procedures relevant to the hazards identified. Doing so will help you come up with risk treatment plans that comply with policies and procedures. Without really understanding the organisation’s policies and procedures, we risk implementing risk controls that are not appropriate to the organisation, its processes, and its employees. Take for example, chemical hazards, below are examples of organisational policies and procedures relevant to chemical hazards: ▪ Hazard management policy – chemicals The policy states that workers are dealing, and handling chemicals must comply with safe and correct handling of chemicals, including storage and disposal. They are to refer to the Safety Data Sheets provided in the organisation. Procedures as follows: a) Storage and labels on hazardous chemicals are reviewed regularly. b) When new information about the chemical is known or received, the SDS is to be updated with the current information. Learner Guide Version 1.0 Produced 10 April 2020 Page 94 © Compliant Learning Resources

SAMPLE3.2 Select Suitable Risk Controls According to Assessed Level of Risk, Organisational WHS Hazard and Risk Control Policies and Procedures, and WHS laws Development of effective risk controls requires an understanding of how the hazard behaves, how it causes harm and the factors that contribute to the risk associated with the particular hazard in the specific situation. Thus, risk control relies on effective analysis of the risk, undertaken as part of the risk assessment. Options for risk control should be explored as part of the risk assessment process. 3.2.1 Risk Control There is an important concept in WHS risk control known as the safe place vs safe person. A ‘safe place’ approach focuses on risk controls incorporated in the design of equipment, work environment and processes, whereas the ‘safe person’ approach focuses on the behaviour of the person. The steps detailed there for the control of risk are: 1. Develop options for risk control: ▪ review workplace information ▪ apply knowledge of OHS legislation and standards ▪ apply the hierarchy of control ▪ seek input from stakeholders, and key personnel ▪ obtain specialist advice as required. 2. Evaluate options to select appropriate options for control: ▪ review the outcomes of risk assessments ▪ identify factors that may limit effectiveness ▪ involve stakeholders and key personnel. 3. Contribute to the implementation of controls: ▪ seek appropriate authority and resources ▪ document actions required to achieve change ▪ consult and involve stakeholders to implement change. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 95

These same processes for developing options and providing advice also apply to the control of risk associated with workplace change. The Certificate IV practitioner should be particularly aware of his or her own limitations and the need for accessing technical and specialist OHS advice as part of assessing risk and providing advice on the control of risks associated with change. The higher the potential risk, the greater is the need for expert advice. SAMPLE Further Reading Awesome Landscapes is a simulated landscaping solutions service provider. Access the link below for samples of WHS policies and procedures. Awesome Landscapes: BSBWHS513 Documents (username: newusername password: newpassword) 3.2.2 Risk Control Options When there is generally one best way to control the risk, legislation (including codes of practice) will often specify how to control that risk. In this way, regulations, codes of practice may specify risk control options. Similarly, regulator guidance and standards may provide examples of risk control options. Risk controls for your organisation may also be specified in workplace policies, procedures, processes and systems. For example, your workplace may have procedures for inducting new staff members which includes training on risk management and safe work processes as part of a risk control, or a procurement policy which requires a purchaser to consider WHS issues when purchasing a new plant. Where risk control options are not specified in the legislation/guidance or workplace policies, procedures, processes or systems, you can assist your organisation in identifying risk control options that best suit your situation. The first step in this process of identifying controls for specific hazards would be to conduct a risk assessment to determine the severity of the risk associated with that hazard. Once this is done, a suitable control should be identified in consultation with relevant stakeholders (particularly workers). It is important that consultation is undertaken as workers generally have very good knowledge of the work being undertaken and the associated risks so may have good options for risk controls. Worker involvement in choosing work risk controls will also encourage their commitment to the process. The consultation will generally occur through normal consultation processes (health and safety representatives, health and safety committees, email, noticeboard, etc.) but when working on large of complicated hazards, working groups may be established. Learner Guide Version 1.0 Produced 10 April 2020 Page 96 © Compliant Learning Resources

In addition to consulting with workers, manufacturers and suppliers of plant/substances and industry associations or unions may be useful sources of information. There may sometimes be a requirement to engage an expert on that particular hazard type, such as identifying risk controls for particular hazardous chemicals. To develop specific control measures, you will need to refer to the chain of events that were recorded during the risk assessment. The cost of controlling risk should never be used as a reason for not implementing controls. However, it may be taken into account in determining what is reasonably practicable. You must consider that the greater the likelihood of a hazard occurring could result in greater harm, hence resulting in greater cost if the hazard or risk did occur. You should refer back to the hierarchy of control. Which combines the two concepts of ‘safe place’ and ‘control at source’ and develop options for risk control. SAMPLE 3.2.3 Hierarchy of Controls Hierarchy of Hazard Control is the name given to the range of control methods used to eliminate or control hazards in the workplace. The hierarchy of control measure is a system used in industries and workplaces to minimise or eliminate the risks associated with health and safety hazards. The diagram below depicts the Hierarchy, and its six levels: Elimination Substitution Effectivity Engineering Administrative controls PPPE The hierarchy is best represented with an inverted pyramid to illustrate how effectivity of the control is reduced as you moved down the level. As you move down the hierarchy or the inverted pyramid, the controls become less effective in managing the risk. Learner Guide Version 1.0 Produced 10 April 2020 © Compliant Learning Resources Page 97

SAMPLEThe top-level in the inverted pyramid is the most effective in managing the risk, and the lowest level is the least effective in managing the risk. Each level in the hierarchy and factors limiting their effectivity are explained below: ▪ Elimination This is the best kind of hazard control. Eliminating or removing the hazard completely reduces any risk connected to it. An example of eliminating a hazard would be removing dangerous materials from the site or repairing defective equipment. ▪ Substitution This is where you swap a dangerous work method or situation for one that is less dangerous. An example of this would be to use a group of people to move an item instead of trying to move it on your own (where the item cannot be broken down into smaller loads). ▪ Isolation This is where you isolate the hazard. This might mean fencing off an area or restricting access to the hazard in some other way. ▪ Engineering controls This is where you use an engineering or mechanical method of doing the job. An example would be using a piece of equipment to move a load instead of moving it by hand, installing ventilation. ▪ Administrative control This is where site rules and policies attempt to control a hazard (including safe work practices). It can include working in teams, setting specific break times and frequent rotations for repetitive work or using signage to warn of hazards. ▪ Personal Protective Equipment (PPE) This is your last line of defence and the least effective control – it should be used in conjunction with other hazard control methods. PPE includes any safety equipment worn on your body. Workplaces often have mandatory PPE requirements to go on site. Control Factor limiting the control’s Explanation effectiveness i. Administrative ▪ Organisational behaviour Language Literacy and controls Numeracy of employees is a (following policies and factor that potentially limits procedures) the effectiveness of administrative controls. How Learner Guide Version 1.0 Produced 10 April 2020 Page 98 © Compliant Learning Resources

▪ Language Literacy and well safety instructions, safety Numeracy of employees policies and procedures, job SAMPLE safety analysis are implemented in the job hinges on how well employees can comprehend them. There are employees who don’t speak English as their first language. For this reason, they might find it hard to understand these safety instructions and this could lead to them not being able to execute these instructions correctly. ii. Elimination ▪ The nature of hazard, is it While it is the most effective control measure out there to iii. Engineering a part of something? minimise risks associated with controls hazards, at times, due to their ▪ Not all hazards can be nature or inherent iv. Personal characteristics, e.g. natural protective eliminated (hence the phenomena such as weather equipment other controls in the and storms, it will not be hierarchy of control feasible to eliminate the Learner Guide measures). hazard. © Compliant Learning Resources ▪ Where the hazard will be placed after its removal from the area. ▪ Nature and Even though engineering controls are effective in characteristics of the managing risks, their inherent nature and characteristics can engineering control still lead to mechanical failures and thereby failing to reduce implemented, e.g. the risk initially identified. For example, a ventilation system mechanical failure. which is designed to remove airborne contaminants would ▪ Maintenance issues fail in managing the risk if its fans suddenly stopped. ▪ Reliance on a power source ▪ Quality of the equipment There are many PPE suppliers out there, and the – are they up to industry manufacturing of PPE is not and safety standards regulated. If the PPE is not of quality and defective, it could ▪ The fit of PPE on the user fail or break down during work Version 1.0 Produced 10 April 2020 Page 99

▪ Human error operation. For example, steel ▪ Training on PPE use toe boots need to be really SAMPLE sturdy to ensure it withstands any damages from sharp objects or construction equipment accidentally dropped on the floor. v. Substitution ▪ Characteristics and New development and emerging trends in science and technology associated risks of the oftentimes lead to the discovery of previously unknown dangers or alternative solutions or toxic effects of materials that were previously known to be safe. Even the substitute, e.g. if a substitute material is used, we could never be 100% sure how previously unknown toxic safe it is at present, unless extensive research and trials have effects been done about the material. 3.2.4 Procedural Controls Procedural control is a form of administrative control. Below are two examples of these procedural controls. Examples of procedural controls include: ▪ Job safety analysis (JSA) The role of JSAs is to integrate work health and safety principles and practices into a particular task or job operation. The JSA breaks down a job operation into its steps, identifies the hazards associated in each step, and puts in place correct solutions to manage the risks of these hazards. Factors limiting their effectiveness include: o Organisational behaviour (following policies and procedures) o Language Literacy and Numeracy of employees o The format in which the JSA is printed o Competency of worker in understanding JSAs ▪ Safe work method statements (SWMS) The role of SWMSs is to inform workers of the hazards that may arise from high-risk construction work (HRCW) activities that are carried out within the workplace; as well as inform them the safety measures and procedures that they are to put in place to manage the risks associated with these hazards. Learner Guide Version 1.0 Produced 10 April 2020 Page 100 © Compliant Learning Resources