Compliant Learning Resources BSBWHS513 Assessment Workbook

SAMPLE ii. Location iii. Notetaker iv. Name of each attendee as well as their title and designation. v. The two organisational policies and two sets of procedures you complied with while communicating the selected risk controls. Explain why you are required to communicate the selected risk controls in compliance with these two policies to each of the following: ▪ Stakeholder 1 ▪ Stakeholder 2 ▪ Stakeholder 3 Have your supervisor sign off on your responses as confirmation. vi. The organisational requirement you complied with while communicating the risk controls selected. Explain why you are required to communicate the selected risk controls in compliance with this organisational requirement to each of the following: ▪ Stakeholder 1 ▪ Stakeholder 2 ▪ Stakeholder 3 Have your supervisor sign off on your responses as confirmation. vii. The legislative requirement you complied with while communicating the risk controls selected. Specify the specific section where this requirement is found in the WHS legislation. Explain why you are required to communicate the selected risk controls in compliance with this legislative requirement to each of the following: ▪ Stakeholder 1 ▪ Stakeholder 2 ▪ Stakeholder 3 Have your supervisor sign off on your responses as confirmation. Document the meeting through a video recording. Limit this video recording to fifteen minutes. This video recording must clearly show you have demonstrated all the skills outlined in Observation Form 3.3. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 180 © Compliant Learning Resources

6. Have your attendees sign next to their names in the Attendees section of the Meeting Minutes template. Their signatures must be handwritten. The Attendees section must record names, title/designation, and signatures of at least three stakeholders. 7. To supplement your communication, send a copy of the minutes to your attendees through email. 8. Save and submit the completed and signed Meeting Minutes. Use the filename: BSBWH513 3.3 Meeting Minutes 9. Save and submit the video recording of the meeting. Use the filename: BSBWHS513 3.3 Meeting 10. Save and submit a copy of the two policies and procedures you complied with in communicating the selected risk controls. Use the filename: BSBWH513 3.3 Organisational Requirement 11. Save and submit a screenshot of the email you sent to your meeting attendees. Use the filename: BSBWH513 3.3 Email Communication SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 181

Meeting Minutes MEETING MINUTES Meeting to communicate outcomes of risk analysis and assessment. Meeting calledSAMPLE Date and time of the meeting Location Notetaker Attendees Attendees of the meeting are to sign after the meeting. To the attendees: By signing below, you are confirming you have attended this meeting and that the information recorded in this meeting minutes is true and accurate. Name Title/designation Signature (must be handwritten) Agenda Item 1 – Risk control options and treatment plan for Risk 1 Selected risk control: Why this risk control option was selected: Based on hierarchy of control Based on strengths and weaknesses Based on its appropriateness to the assessed level of the risk Assessment Workbook Version 1.0 Produced 13 April 2020 Page 182 © Compliant Learning Resources

SAMPLERisk treatment plan Owner (Person or group responsible) Steps to take Timeframes Measures of success Agenda Item 2 – Risk control options and treatment plan for Risk 2 Selected risk control: Why this risk control option was selected: Based on hierarchy of control Based on strengths and weaknesses Based on its appropriateness to the assessed level of the risk Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 183

SAMPLERisk treatment plan Owner (Person or group responsible) Steps to take Timeframes Measures of success Agenda Item 3 – Risk control options and treatment plan for Risk 3 Selected risk control: Why this risk control option was selected: Based on hierarchy of control Based on strengths and weaknesses Based on its appropriateness to the assessed level of the risk Assessment Workbook Version 1.0 Produced 13 April 2020 Page 184 © Compliant Learning Resources

SAMPLERisk treatment plan Owner (Person or group responsible) Steps to take Timeframes Measures of success Agenda Item 4 – Risk control options and treatment plan for Risk 4 Selected risk control: Why this risk control option was selected: Based on hierarchy of control Based on strengths and weaknesses Based on its appropriateness to the assessed level of the risk Risk treatment plan Owner (Person or group responsible) Steps to take Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 185

Timeframes Measures of success To the candidate: The fields below may be completed after the meeting. Organisational Requirement Overview of this organisational requirement you complied with in communicating the selected risk controls. Explain why you need to communicate selected risk controls to Stakeholder 1. SAMPLE Explain why you need to communicate selected risk controls to Stakeholder 2. Explain why you need to communicate selected risk controls to Stakeholder 3. Supervisor’s Sign Off By signing below, I confirm that I have sufficiently observed the candidate comply with the organisational requirement detailed above in communicating selected risk control options. I further confirm that the candidate’s responses above are true and accurate. Supervisor’s signature Name of supervisor Date signed Assessment Workbook Version 1.0 Produced 13 April 2020 Page 186 © Compliant Learning Resources

Legislative Requirement Overview of this legislative requirement: Reference: Explain why you need to communicate selected risk controls to Stakeholder 1, in accordance with this legislative requirement. SAMPLE Explain why you need to communicate selected risk controls to Stakeholder 2, in accordance with this legislative requirement. Explain why you need to communicate selected risk controls to Stakeholder 3, in accordance with this legislative requirement. Supervisor’s Sign Off By signing below, I confirm that I have sufficiently observed the candidate comply with the legislative requirement detailed above in communicating the selected risk controls I further confirm that the candidate’s responses above are true and accurate. Supervisor’s signature Name of supervisor Date signed End of Meeting Minutes Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 187

Observation Form 3.3 (For Assessor’s Use Only) OBSERVATION FORM 3.3 (FOR ASSESSOR’S USE ONLY) Candidate Date when assessor completed this form SAMPLE Did the candidate demonstrate the YES/NO Comments following during the meeting? YES  NO  1. Demonstrate active listening to clarify YES  NO  the understanding of the attendees in the meeting. YES  NO  Criteria: This is demonstrated through building trust and establishing rapport with stakeholders, paraphrasing to show understanding, nonverbal cues which show understanding such as nodding, eye contact, and leaning forward, etc. 2. Use effective questioning to clarify the understanding of the attendees in the meeting. Criteria: This includes being able to come up with and use follow-up questions to the stakeholders as well as listening attentively to responses being provided by stakeholders to questions being raised. 3. Present information with varying level of technical vocabulary to suit audience. Criteria: This is demonstrated through use of industry accepted WHS terminologies when speaking to other safety personnel, and explaining WHS terminologies in layman terms when speaking to regular staff or non-safety staff, etc. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 188 © Compliant Learning Resources

Assessor’s Declaration By signing below, I confirm that I have sufficiently observed the candidate (through their video recording submission) demonstrate the skill requirements outlined above. I further confirm that my responses in this Observation Form are above are true and accurate about the candidate’s performance during the meeting I have observed. Assessor’s signature Name of assessor Date signed End of Observation Form 3.3 SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 189

SAMPLE3.4 Implementation of Risk Controls This task requires you to implement two of the four risk treatment plans outlined in your WHS Risk Assessment Sheet in accordance with organisational policies and procedures. Read the instructions carefully before proceeding. Steps to take: 1. Access the WHS Risk Assessment Sheet you partially completed in Task 2.2 and 3.2. In this task, you will complete Part E of your WHS Risk Assessment Sheet. Review the instructions here and Part E of your WHS Risk Assessment Sheet before starting so you can prepare for this task. 2. Consult with your supervisor regarding opportunities for you to implement two of four of the risk treatment plans outlined in your WHS Risk Assessment Sheet. Although, you may not necessarily be identified as the owner or person responsible for these risk treatment plans, you may satisfactorily complete this task through organising the implementation of the risk treatment plan or coordinating with the owner or person responsible of the risk treatment plan. 3. Access and review one policies and one set of procedures relevant to implementation of risk controls for each risk treatment plan you are to implement. For this assessment task, you must access and review two policies and two sets of procedures in total. Organisational policies and procedures you access may include: ▪ WHS Policies and Procedures ▪ Risk Management Policies and Procedures ▪ Hazard and Risk Control Policies and Procedures You will be required to comply with these policies and procedures as you implement your risk control plans in Step 4. Secure copies of these two policies and procedures as you will be required to submit them as part of this assessment. 4. Lead the implementation of two of the four risk treatment plans. How they will be implemented will depend on the plan outlined for each. Video record the implementation of the two risk treatment plans as evidence. Limit each video recording to 15 minutes. After completing this task, you should have two video recordings, one for each risk treatment plan implemented. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 190 © Compliant Learning Resources

SAMPLE5. Complete Part E of your WHS Risk Assessment Sheet by following the instructions below. For each risk treatment plan implemented: i. Indicate date, time, and location of implementation. ii. Specify the risk control you implemented. iii. Outline the steps you taken to implement the risk treatment plan. iv. Analyse and assess the risk again after implementing the risk treatment and record in the sheet: a. Revised likelihood b. Revised impact c. Revised risk rating d. Revised priority level. Revised rating must be represented numerically or in numbers. Have your supervisor sign off on your responses as confirmation that you have implemented the risk treatment plan. Their signature must be handwritten. v. Provide the relevant policy and set of procedures you complied with to implement this risk treatment plan. Describe how you complied with this policy and procedures. Provide a step-by-step description. At the end of this task, you must have complied with two different policies and two sets of procedures. Have your supervisor sign off on your responses as confirmation that you have complied with this policy and procedures while implementing the risk treatment plan. Their signature must be handwritten. 6. Save and submit the video recordings from your two risk treatment implementations. Use the filenames: BSBWHS513 3.4 Risk Treatment 1 BSBWHS513 3.4 Risk Treatment 2 Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 191

7. Save and submit the completed WHS Risk Assessment Sheet. All parts A – E must be completed. Use the filename: BSBWHS513 3.4 WHS Risk Assessment Sheet 8. Save and submit copies of the two policies and their corresponding procedures which you complied with while implementing your risk treatment plans in this task. Use the filenames: BSBWHS513 3.4 Policy and Procedures 1 BSBWHS513 3.4 Policy and Procedures 2 SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 Page 192 © Compliant Learning Resources

SAMPLEPart 4 – Evaluation of WHS Risk Management Processes 4.1 Evaluation of Risk Management This task requires you to evaluate the effectiveness of your risk control implementation in Part 3. Specifically, you will need to: ▪ Establish the nature and scope of your evaluation for the risk control implementation. ▪ Establish the key performance indicators (KPI) for the risk control implementation. ▪ Review effectiveness of the for the risk control implementation in accordance with your organisation’s WHSMS and WHS legislative requirements. Read the instructions carefully before proceeding. Steps to take: 1. Locate the WHS Risk Management Evaluation Report template in the following pages. The WHS Risk Management Evaluation Report template outlines the information you need to gather and document to evaluate the effectiveness of your risk control implementation in Part 3. You are to complete one report for each of the two risk controls you implemented in Part 3. At the end of this task you should have two completed and signed WHS Risk Management Evaluation Reports. 2. Access and review your organisation’s Work Health and Safety Management System (WHSMS) to determine: i. The nature of the evaluation that you need to conduct on your risk control implementation. ii. The scope of the evaluation that you need to conduct on your risk control implementation. iii. The key performance indicators (KPI) for the risk control implementation You may access your organisation’s WHSMS Plan, WHS policies and procedures, Risk Management Process Documents, WHS Risk Registers, to help you determine the above. Save a copy of the documents you access as you will be required to submit these as part of this document. You may submit one document provided that they contain information on the nature, scope, and KPIs that you will use in your evaluation for this task. Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 193

SAMPLE3. Access and review relevant WHS legislative requirements for evaluation of risk management processes. You will be required to comply with this WHS legislative requirement when you evaluate your risk control implementation in this task. 4. Complete one WHS Risk Management Evaluation Report for each of the two risk controls you implemented in Part 3. Follow the instructions below. i. Indicate your full name. ii. Indicate your title/designation within the organisation, e.g. Safety Manager, Safety Officer. iii. Indicate the work area in which the risk assessment will be conducted, e.g. e.g. construction site, excavation site, admin office, etc. This must be consistent with the work areas where hazard identification and risk assessment were conducted in Task 2.1 and 2.2. iv. Explain the nature of the evaluation of your risk control implementation. This must be consistent with your organisation’s WHSMS. Nature of evaluation relates to the aspects, attributes, or features of the risk control implementation that will be evaluated. v. Explain the scope of the evaluation of your risk control implementation. This must be consistent with your organisation’s WHSMS. Scope of evaluation relates to extent of the risk control implementation in which the evaluation will be done. vi. Indicate the risk control implemented which will be evaluated. vii. Outline at least one key performance indicator (KPI) applicable to this risk control implementation. Key performance indicators (KPIs) include but are not limited to measures of success, metrics that will be used to assess the risk control implementation. E.g. Reduction in the risk rating, impact, likelihood, or the risk priority level, etc. viii. Indicate whether the risk control implementation has achieved the KPI requirement. Tick YES if it has achieved the KPI requirement, and NO if otherwise. ix. Provide an explanation for your assessment. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 194 © Compliant Learning Resources

SAMPLE x. Provide your evaluation of the risk control implementation. Your evaluation must be based on the nature and scope you have established in accordance with your organisation’s WHSMS. xi. Base on your evaluation, outline one modification to the risk control implementation. xii. Provide an overview of the legislative requirement you complied with in the evaluation of this risk control implementation. Indicate the specific section in the legislation where this requirement is found. xiii. Explain how you complied with this legislative in your risk management evaluation. xiv. Have your supervisor review and sign off on your responses. Their signature must be handwritten. 5. Save and submit the two WHS Risk Management Evaluation Reports you completed. Use the filenames: BSBWHS513 4.1 WHS Risk Management Evaluation 1 BSBWHS513 4.1 WHS Risk Management Evaluation 2 6. Save and submit copy of the document(s) from your organisation’s WHSMS which contains information on the nature, scope, and KPIs for your evaluation in this task. Use the filename: BSBWHS513 4.1 WHSMS Document If you are submitting more than one document, use the filenames: BSBWHS513 4.1 WHSMS Document 1 BSBWHS513 4.1 WHSMS Document 2 Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 195

BSBWHS513 4.1 WHSMS Document 3 7. SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 Page 196 © Compliant Learning Resources

SAMPLEWHS Risk Management Evaluation Instructions to the candidate: You must submit two completed and signed WHS Risk Management Evaluation. One for each of the two risk controls you will be evaluating. WHS RISK MANAGEMENT EVALUATION Candidate name Title/designation Date completed Work area Nature & Scope of the Evaluation Nature of the evaluation (This must align with organisation’s WHSMS) Scope of the evaluation (This must align with organisation’s WHSMS) Evaluation of Risk Control Implemented Risk control implemented Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 197

Key Performance Indicator Achieved? Explanation (KPI)  YES  NO Your evaluation on the effectiveness of this risk controlSAMPLE (Your evaluation must be consistent with the nature and scope of the evaluation) Base on your evaluation, outline below one modification to the risk control implementation. Legislative Requirement Overview of this legislative requirement: Reference: Explain how you complied with this legislative requirement in their risk management evaluation. Supervisor’s Sign Off By signing below, I confirm that I have sufficiently observed the candidate comply with the legislative requirement detailed above in evaluating the risk management process. I further confirm that the candidate’s responses above are true and accurate. Supervisor’s signature Name of supervisor Date signed End of Evaluation of Risk Management Assessment Workbook Version 1.0 Produced 13 April 2020 Page 198 © Compliant Learning Resources

SAMPLE4.2 Communication of Evaluation Findings This task requires you to communicate your evaluation findings to at least three stakeholders in accordance with your organisation’s requirements for communicating of risk management evaluation findings. These three stakeholders must be organisational personnel whom you are required to report the selected risk controls to, as per organisational policies and procedures. Stakeholders you meet with in 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 in Task 2.1 and Task 2.2. Read the instructions carefully before proceeding. Steps to take: 1. Locate the Meeting Minutes template in the following pages. The Meeting Minutes outlines discussion items that need to be covered and addressed during the meeting. 2. Locate the Observation Form 4.2 template found in the following pages. Observation Form 4.2 outlines all the skills you need to demonstrate during your meeting. This form will be completed by your assessor. Review the instructions here and the contents of Observation Form 4.2 so you can prepare before the meeting. 3. Consult with your supervisor regarding opportunities for you to communicate the outcomes of your risk analysis and risk assessment to at least three relevant stakeholders. These three stakeholders must be organisational personnel whom you are required to report the outcomes of your risk analysis and outcomes, as per organisational and legislative requirements. Stakeholders you meet with in 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 in Task 2.1 and Task 2.2. Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 199

SAMPLE4. Access and review two organisational requirements that identify the three stakeholders listed above as ‘required personnel.’ I.e. they are organisational personnel whom you are required to report the selected risk controls to in accordance with your organisational policies and procedures. Organisational policies and procedures you access may include: ▪ WHS Policies and Procedures ▪ Risk Management Policies and Procedures ▪ WHS Consultation and Participation Policies and Procedures Secure copies of these organisational requirements as you will submit them as part of this assessment task. You may submit excerpts of policies and procedures or process documents where these requirements are found. 5. Conduct the meeting with the three stakeholders. During the meeting with these stakeholders, using the information recorded in the two WHS Risk Management Evaluation Reports you completed in Task 4.1: i. Discuss the risk control you evaluated. ii. Discuss the nature of the evaluation you conducted on the risk control implementation. iii. Discuss the scope of the evaluation you conducted on the risk control implementation. iv. Discuss the key performance indicator (KPI) you used for your evaluation. v. Discuss whether the risk control implementation has achieved the KPI requirement. vi. Discuss your evaluation of the risk control implementation. vii. Discuss the modification that will be implemented in the risk control implementation. Record the meeting details in Meeting Minutes template, including: i. Date and time of the meeting ii. Location iii. Notetaker iv. Name of each attendee as well as their title and designation. v. The two organisational requirements you complied with while communicating your risk management evaluation findings. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 200 © Compliant Learning Resources

SAMPLE Explain why you are required to communicate your evaluation findings in compliance with these two organisational to each of the following: ▪ Stakeholder 1 ▪ Stakeholder 2 ▪ Stakeholder 3 Have your supervisor sign off on your responses as confirmation. Document the meeting through a video recording. Limit this video recording to fifteen minutes. This video recording must clearly show you have demonstrated all the skills outlined in Observation Form 4.2. 6. Have your attendees sign next to their names in the Attendees section of the Meeting Minutes template. Their signatures must be handwritten. The Attendees section must record names, title/designation, and signatures of at least three stakeholders. 7. To supplement your communication, send a copy of the minutes to your attendees through email. 8. Save and submit the video recording of the meeting. Use the filename: BSBWHS513 4.2 Meeting 9. Save and submit the completed and signed Meeting Minutes. Use the filename: BSBWH513 4.2 Meeting Minutes 10. Save and submit a copy of the two organisational requirements you complied with in communicating your evaluation findings. Use the filename: BSBWH513 4.2 Organisational Requirement 1 BSBWH513 4.2 Organisational Requirement 2 11. Save and submit a screenshot of the email you sent. Use the filename: BSBWH513 4.2 Email Communication Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 201

Meeting Minutes MEETING MINUTES Meeting called Meeting to communicate evaluation findings Date and time of theSAMPLE meeting Location Notetaker Attendees Attendees of the meeting are to sign after the meeting. To the attendees: By signing below, you are confirming you have attended this meeting and that the information recorded in this meeting minutes is true and accurate. Name Title/designation Signature (must be handwritten) Agenda Item 1 – Evaluation Findings of Risk Control Implementation 1 Risk control implemented: Nature of evaluation: Assessment Workbook Version 1.0 Produced 13 April 2020 Page 202 © Compliant Learning Resources

SAMPLEScope of evaluation: Key Performance Indicator (KPI): Did the risk control implementation achieve this KPI? Evaluation of the risk control implementation: Modification to be implemented in the risk control implementation: Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 203

SAMPLE Agenda Item 2 – Evaluation Findings of Risk Control Implementation 2 Risk control implemented: Nature of evaluation: Scope of evaluation: Key Performance Indicator (KPI): Did the risk control implementation achieve this KPI? Assessment Workbook Version 1.0 Produced 13 April 2020 Page 204 © Compliant Learning Resources

SAMPLEEvaluation of the risk control implementation: Modification to be implemented in the risk control implementation: To the candidate: The fields below may be completed after the meeting. Organisational Requirement 1 Overview of this organisational requirement: Explain why you need to report your evaluation findings to Stakeholder 1. Explain why you need to report your evaluation findings to Stakeholder 2. Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 205

Explain why you need to report your evaluation findings to Stakeholder 3. SAMPLE Supervisor’s Sign Off By signing below, I confirm that I have sufficiently observed the candidate comply with the organisational requirement detailed above in communicating their risk management evaluation findings. I further confirm that the candidate’s responses above are true and accurate. Supervisor’s signature Name of supervisor Date signed Organisational Requirement 2 Overview of this organisational requirement: Explain why you need to report your evaluation findings to Stakeholder 1. Explain why you need to report your evaluation findings to Stakeholder 2. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 206 © Compliant Learning Resources

Explain why you need to report your evaluation findings to Stakeholder 3. SAMPLE Supervisor’s Sign Off By signing below, I confirm that I have sufficiently observed the candidate comply with the organisational requirement detailed above in communicating their risk management evaluation findings. I further confirm that the candidate’s responses above are true and accurate. Supervisor’s signature Name of supervisor Date signed End of Meeting Minutes Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 207

Observation Form 4.2 (For Assessor’s Use Only) OBSERVATION FORM 4.2 (FOR ASSESSOR’S USE ONLY) Candidate Date when assessor completed this form SAMPLE Did the candidate demonstrate the YES/NO Comments following during the meeting? YES  NO  1. Demonstrate active listening to clarify YES  NO  the understanding of the attendees in the meeting. YES  NO  Criteria: This is demonstrated through building trust and establishing rapport with stakeholders, paraphrasing to show understanding, nonverbal cues which show understanding such as nodding, eye contact, and leaning forward, etc. 2. Use effective questioning to clarify the understanding of the attendees in the meeting. Criteria: This includes being able to come up with and use follow-up questions to the stakeholders as well as listening attentively to responses being provided by stakeholders to questions being raised. 3. Present information with varying level of technical vocabulary to suit audience. Criteria: This is demonstrated through use of industry accepted WHS terminologies when speaking to other safety personnel, and explaining WHS terminologies in layman terms when speaking to regular staff or non-safety staff, etc. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 208 © Compliant Learning Resources

Assessor’s Declaration By signing below, I confirm that I have sufficiently observed the candidate (through their video recording submission) demonstrate the skill requirements outlined above. I further confirm that my responses in this Observation Form are above are true and accurate about the candidate’s performance during the meeting I have observed. Assessor’s signature Name of assessor Date signed End of Observation Form 4.2 SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 209

SAMPLE4.3 Risk Management Process Documentation This task requires you to document the risk treatment plans you implemented in Part 3 in accordance with the requirements of your organisation’s Work Health and Safety Information System (WHSIS). Organisational WHSIS requirements may relate to organisational databases where you need to input the risk treatment plans you implemented, updating your organisation’s WHS Risk Register, completing organisational WHS forms and templates, record-keeping and data storage management requirements, etc. Read the instructions carefully before proceeding. Steps to take: 1. Locate the WHS Risk Management Process Documentation template in the following pages. The WHS Risk Management Process Documentation template outlines information you are required to record as you document the risk treatment plans you implemented in Part 3. You are to complete two WHS Risk Management Process Documentation templates. One for each risk treatment plan you implemented in Part 3. Review the instructions here and the contents of WHS Risk Management Process Documentation so you can prepare for this task. 2. Seek your supervisor’s permission to access and review your organisation’s Work Health and Safety Information System requirements. Organisational WHSIS requirements may relate to organisational databases where you need to input the risk treatment plans you implemented, updating your organisation’s WHS Risk Register, completing organisational WHS forms and templates, record-keeping and data storage management requirements, etc. You will be required to comply with these WHSIS requirements when you complete Step 3. Secure copies of these two organisational WHSIS requirements as you will submit them as part of this assessment task. You may submit excerpts of policies and procedures or process documents where these requirements are found. 3. Following the two WHSIS requirements you have determined in Step 2, document the two risk controls you implemented in Part 3. How you will document the two risk control implementations will depend on your organisation’s WHSIS requirements. Assessment Workbook Version 1.0 Produced 13 April 2020 Page 210 © Compliant Learning Resources

SAMPLE You are to comply with one WHSIS requirement in documenting one risk control you implemented in Part 3. Secure documentation that you have completed Step 3 for each risk control as you will submit them as part of this assessment. E.g. Screenshots showing you have inputted the risk control implementation into your organisation’s databases, updating risk registers, or a copy of WHS forms and templates you completed, etc. 4. Complete one WHS Risk Management Process Documentation for each of the two risk controls you implemented in Part 3. Follow the instructions below. i. Indicate your full name. ii. Indicate your title/designation within the organisation, e.g. Safety Manager, Safety Officer. iii. Indicate the work area in which the risk assessment will be conducted, e.g. e.g. construction site, excavation site, admin office, etc. This must be consistent with the work areas where hazard identification and risk assessment were conducted in Task 2.1 and 2.2. iv. Record the risk control implementation that will be documented. v. Record the WHSIS organisational requirement you complied with to document this risk control implementation. vi. Outline the steps you took to document the risk control implementation. vii. Have your supervisor sign off on your responses. Their signature must be handwritten. Upon completing this step, you should have two WHS Risk Management Process Documentation templates completed. 5. Save and submit the two WHS Risk Management Process Documentation you completed. Use the filenames: BSBWHS513 4.1 WHS Risk Management Process 1 BSBWHS513 4.1 WHS Risk Management Process 2 6. Save and submit documentation of your completion of Step 3. Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 211

BSBWHS513 4.3 Process Documentation Evidence 1 BSBWHS513 4.3 Process Documentation Evidence 2 7. Save and submit copies of the two WHSIS requirements you complied with to complete Step 3. You may submit excerpts of your organisation’s policies and procedures where these requirements are found. BSBWHS513 4.3 WHSIS Requirement 1 BSBWHS513 4.3 WHSIS Requirement 2 8. SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 Page 212 © Compliant Learning Resources

SAMPLEWHS Risk Management Process Documentation WHS RISK MANAGEMENT PROCESS DOCUMENTATION Candidate name Title/designation Date completed Work area Risk Management Process Documentation Risk control implementation documented WHSIS organisational requirement (At least one) Outline the steps you took to document the risk control implementation. (Must be in compliance with the WHSIS organisational requirement you identified above) Supervisor’s Sign Off By signing below, I confirm that I have sufficiently observed the candidate comply with the organisational requirements outlined above to document the risk management process recorded above. I further confirm that the candidate’s responses above are true and accurate. Supervisor’s signature Name of supervisor Date signed End of WHS Risk Management Process Documentation Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 213

SAMPLEAssessment Workbook Checklist When you have completed assessing the assessment workbook, review the candidate’s submission against the checklist below:  The candidate has completed the Knowledge Assessments in this workbook:  Knowledge Assessment  The candidate has completed the Practical Assessments in this workbook and has submitted all the required evidence:  Project Assessment  Task 1.1 Internal WHS Risk Management Information and Data  Task 1.2 External WHS Risk Management Information and Data  Task 1.3 Legislative WHS Risk Management Requirements  Task 1.4 Nature and Scope of the Organisation's Risk Management  Task 1.5 WHS Risk Management Roles and Responsibilities  Task 1.6 Communication of WHS Risk Management Roles and Responsibilities  Task 2.1 WHS Hazard Identification  Task 2.2 WHS Risk Analysis and Assessment  Task 2.3 Communication of Risk Analysis and Assessment Outcomes  Task 3.1 Organisational Risk Control Policies and Procedures  Task 3.2 Selection and Planning of Risk Controls  Task 3.3 Communication of Selected Risk Controls  Task 3.4 Implementation of Risk Controls  Task 4.1 Evaluation of Risk Management  Task 4.2 Communication of Evaluation Findings  Task 4.3 Risk Management Process Documentation  The candidate has submitted the following evidence:  This completed workbook  Assessment Workbook Cover Sheet signed and scanned  BSBWHS513 1.1 Internal WHS Risk Management Information and Data Assessment Workbook Version 1.0 Produced 13 April 2020 Page 214 © Compliant Learning Resources

SAMPLE BSBWHS513 1.2 External WHS Risk Management Information and Data  BSBWHS513 1.3 Legislative and Regulatory WHS Risk Management Requirements  BSBWHS513 1.4 Factors Affecting Organisation’s WHS Risk Management  BSBWHS513 1.4 Policy 1  BSBWHS513 1.4 Procedures 1  BSBWHS513 1.4 Policy 2  BSBWHS513 1.4 Procedures 2  BSBWHS513 1.5 WHS Risk Management Stakeholders  BSBWHS513 1.5 Organisational Requirement – Hazard Identification  BSBWHS513 1.5 Organisational Requirement – Risk Assessment  BSBWHS513 1.5 Organisational Requirement – Risk Control  BSBWH513 1.6 Meeting Minutes  BSBWHS513 1.6 Meeting  BSBWH513 1.6 Email Communication  BSBWHS513 2.1 WHS Hazard Identification Form  BSBWHS513 2.1 WHS Identification Form Documentation  BSBWHS513 2.1 Policy 1  BSBWHS513 2.1 Policy 2  BSBWHS513 2.1 Procedures 1  BSBWHS513 2.1 Procedures 2  BSBWHS513 2.2 Consultation  BSBWHS513 2.2 Policy – Identifying and Documenting Risk Factors 1  BSBWHS513 2.2 Policy – Identifying and Documenting Risk Factors 2  BSBWHS513 2.2 Procedures – Identifying and Documenting Risk Factors 1  BSBWHS513 2.2 Procedures – Identifying and Documenting Risk Factors 2  BSBWHS513 2.2 Policy – Documenting Risk Assessment  BSBWHS513 2.2 Procedures – Documenting Risk Assessment  BSBWHS513 2.3 Meeting  BSBWH513 2.3 Meeting Minutes Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 215

SAMPLE BSBWH513 2.3 Organisational Requirement  BSBWH513 2.3 Email Communication  BSBWHS513 3.1 Risk Control Policy 1  BSBWHS513 3. 1 Risk Control Policy 2  BSBWHS513 3.1 Policies and Procedures 1  BSBWHS513 3.1 Policies and Procedures 2  BSBWHS513 3.2 Consultation  BSBWHS513 3.2 Policy 1  BSBWHS513 3.2 Policy 2  BSBWHS513 3.2 Procedures 1  BSBWHS513 3.2 Procedures 2  BSBWHS513 3.2 WHSMS (Excerpt)  BSBWHS513 3.2 WHSIS (Excerpt)  BSBWH513 3.3 Meeting Minutes  BSBWHS513 3.3 Meeting  BSBWH513 3.3 Organisational Requirement  BSBWH513 3.3 Email Communication  BSBWHS513 3.4 Risk Treatment 1  BSBWHS513 3.4 Risk Treatment 2  BSBWHS513 3.4 WHS Risk Assessment Sheet  BSBWHS513 3.4 Policy and Procedures 1  BSBWHS513 3.4 Policy and Procedures 2  BSBWHS513 4.1 WHS Risk Management Evaluation 1  BSBWHS513 4.1 WHS Risk Management Evaluation 2  BSBWHS513 4.1 WHSMS Document  BSBWHS513 4.1 WHSMS Document 1  BSBWHS513 4.1 WHSMS Document 2  BSBWHS513 4.1 WHSMS Document 3  BSBWHS513 4.2 Meeting  BSBWH513 4.2 Meeting Minutes Assessment Workbook Version 1.0 Produced 13 April 2020 Page 216 © Compliant Learning Resources

 BSBWH513 4.2 Organisational Requirement 1  BSBWH513 4.2 Organisational Requirement 2  BSBWH513 4.2 Email Communication  BSBWHS513 4.1 WHS Risk Management Process 1  BSBWHS513 4.1 WHS Risk Management Process 2  BSBWHS513 4.3 Process Documentation Evidence 1  BSBWHS513 4.3 Process Documentation Evidence 2  BSBWHS513 4.3 WHSIS Requirement 1  BSBWHS513 4.3 WHSIS Requirement 2 IMPORTANT REMINDER The candidate must achieve a satisfactory result to ALL assessment tasks to be awarded COMPETENT for the unit(s) relevant to this workbook. To award the candidate competent in the unit(s) relevant to this workbook, the candidate must successfully complete all the requirements listed above according to the prescribed benchmarks. SAMPLE Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 217

Record of Assessment (Assessor’s Use Only) SAMPLECandidate’s Name RECORD OF ASSESSMENT RTO Name BSBWHS513 – Lead Risk Management (Release 1) RTO Contact Number RTO Email Address Assessor’s Name Unit of Competency Knowledge Assessment S NYS Question 1  Question 2  Question 3  Question 4  Question 5  Question 6  Question 7  Question 8  Question 9  Question 10  Question 11  Question 12  Question 13  Question 14  Question 15  Question 16  Question 17  Assessment Workbook Version 1.0 Produced 13 April 2020 Page 218 © Compliant Learning Resources

SAMPLE Knowledge Assessment S NYS Question 18  Question 19  Question 20  Question 21  Question 22  Question 23  Question 24  Question 25  Question 26  Question 27  Question 28  Question 29  Question 30  Question 31  Question 32  Question 33  Question 34  Question 35  Question 36  Question 37  Question 38  Question 39  Question 40  Question 41  Question 42  Question 43  Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 219

Knowledge Assessment S NYS Question 44   Question 45   Question 46   SAMPLE Practical Assessment S NYS Project Assessment   Task 1.1 Internal WHS Risk Management Information and Data   Task 1.2 External WHS Risk Management Information and Data   Task 1.3 Legislative WHS Risk Management Requirements   Task 1.4 Nature and Scope of the Organisation's Risk Management   Task 1.5 WHS Risk Management Roles and Responsibilities Task 1.6 Communication of WHS Risk Management Roles and   Responsibilities Task 2.1 WHS Hazard Identification   Task 2.2 WHS Risk Analysis and Assessment   Task 2.3 Communication of Risk Analysis and Assessment Outcomes   Task 3.1 Organisational Risk Control Policies and Procedures   Task 3.2 Selection and Planning of Risk Controls   Task 3.3 Communication of Selected Risk Controls   Task 3.4 Implementation of Risk Controls   Task 4.1 Evaluation of Risk Management   Task 4.2 Communication of Evaluation Findings   Task 4.3 Risk Management Process Documentation   Assessment Workbook Version 1.0 Produced 13 April 2020 Page 220 © Compliant Learning Resources

Rules of Evidence S NYS All knowledge and skills evidence submissions are valid  All knowledge and skills evidence submissions are authentic  All knowledge and skills evidence submissions are sufficient  All knowledge and skills evidence submissions are current  SAMPLE Signature Authentication Checklist This checklist will guide you in authenticating the signatures provided by the candidate in their assessment workbook and evidence submissions. Read each checklist item and tick YES only if you confirm that the item is a true and accurate reflection of the signature authentication you have conducted. Checklist Completed I have checked the signature provided by the candidate in the Assessment  Workbook Cover Sheet against the signature they provided to the Training Provider. I confirm the signature provided by the candidate in the Assessment Workbook  Cover Sheet matches the signature they provided to the Training Provider. I confirm ALL signatures provided by the candidate in their evidence submissions  match with the signature they provided to the Training Provider. Third-Party Verification Log Instructions for the Assessor: You are required to contact all third-party personnel involved in the candidate’s assessment to verify the candidate’s performance and evidence submissions and to confirm with them whether the candidate’s evidence submissions are true and accurate. Complete this Third-Party Verification Log to document your completion of this process. When completing this log, provide all of the following required information for each third-party personnel: ▪ Name of third-party personnel contacted ▪ Role in the candidate’s assessment (e.g. workplace supervisor, observer, or candidate) ▪ Contact details (phone number or email address) ▪ Date contacted You must also confirm that third-party personnel have verified the candidate’s evidence submissions are true and accurate. Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 221

Name of Role in the Contact Date Third-Party verifies Third-party Candidate’s Details (Phone contacted evidence submissions Contacted Assessment number or of the candidate are email true and accurate? address) Yes  No  Assessor’s Notes SAMPLE Yes  No  Assessor’s Notes Yes  No  Assessor’s Notes Yes  No  Assessor’s Notes Overall Result for this Workbook S NYS Overall Result  Assessor’s comments/feedback Assessment Workbook Version 1.0 Produced 13 April 2020 Page 222 © Compliant Learning Resources

Assessor Declaration I declare that the results recorded in this Record of Assessment are true and accurate. SAMPLE Assessor’s name Assessor’s signature Date signed End of Record of Assessment (For the Assessor’s Use Only) End of Document Assessment Workbook Version 1.0 Produced 13 April 2020 © Compliant Learning Resources Page 223