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Occupational Health and Safety Practitioner

Learning Guide

UNIT BSBOHS503B

ASSIST IN THE DESIGN AND DEVELOPMENT OF OHS PARTICIPATIVE

ARRANGEMENTS

January 2009

®

BSBOHS503B ASSIST IN THE DESIGN AND DEVELOPMENT OF OHS PARTICIPATIVE ARRANGEMENTS

Government of Western Australia Department of Commerce

Published by WorkSafe, PO Box 294, WEST PERTH WA 6872. Tel: Toll Free 1300 307 877. Email: [email protected]

Author: Jane Taylor Applic8 Pty Ltd, PO Box 1092 Canning Bridge, Applecross WA 6153.

® www.worksafe.wa.gov.au/institute

The SafetyLine Institute material has been prepared and published as part of Western Australia’s contribution to national OHS skills development.

© 2009 State of Western Australia. All rights reserved. Details of copyright conditions are published at the SafetyLine Institute web site.

Before using this publication, note should be taken of the Disclaimer, which is published at the SafetyLine Institute web site.

JANUARY 2009 SAFETYLINE INSTITUTE PAGE 2

mailto:[email protected]

http://www.worksafe.wa.gov.au/institute



Contents

OVERVIEW.....................................................................................................................5

Assessment............................................................................................................6

Required readings and resources ..........................................................................7

Further information .................................................................................................7

Your feedback ........................................................................................................8

Glossary of terms ...................................................................................................8

INTRODUCTION...........................................................................................................10

ELEMENT 1: IDENTIFY NEED FOR OHS PARTICIPATIVE ARRANGEMENTS .......22

1.1 ..........................23 Review OHS legislation for participative arrangements

1.2 Identify f .........29 actors impacting on design of participative arrangements

1.3 Review o ......................................32 rganisational policies and procedures

1.4 Review e .....................35 ffectiveness of existing workplace arrangements

1.5 Define .................................37 Information and consultation requirements

Case Study 1 .......................................................................................................43

Activity 1 ..............................................................................................................45

ELEMENT 2: DESIGN OF PARTICIPATIVE ARRANGEMENTS................................46

2.1 Design p 47 rocesses for providing OHS information and data.....................

2.2 Design p ..........48 rocess to enable individuals and groups to be consulted

2.3 Identify and document t ......................................................50 raining needs

2.4 .......................52 Review recommendations for participative arrangements

Case Study 2 .......................................................................................................56

Activity 2...............................................................................................................58

ELEMENT 3: DEVELOP PARTICIPATIVE ARRANGEMENTS...................................59

3.1 Develop p ............60 olicies and procedures for participative arrangements

3.2 Identify k .............................62 ey personnel for participative arrangements

3.3 Develop s .........................................65 trategies for the delivery of training

3.4 Identify and document r ............67 esources for participative arrangements

Case Study 3 .......................................................................................................70

Activity 3 ..............................................................................................................72


PAGE 4 SAFETYLINE INSTITUTE JANUARY 2009

ELEMENT 4: IMPLEMENTATION OF PARTICIPATIVE ARRANGEMENTS.............74

4.1 Determine p .............75 riorities for action in consultation with stakeholders

4.2 Deveop a 76 ction plans ................................................................................

4.3 Provide a ..........................................79 dvice and support to key personnel

4.4 Monitor i ...........................................................................82 mplementation

4.5 Make r ...................84 ecommendations for adjustments to implementation

Case Study 4 .......................................................................................................88

Activity 4 ..............................................................................................................91

ELEMENT 5: EVALUATE PARTICIPATIVE ARRANGEMENTS.................................92

5.1 Design the ...........93 evaluation protocol in consultation with stakeholders

5.2 Develop a ..................................97 plan for collecting information and data

5.3 Analyse and evaluate i ............................................99 nformation and data

5.4 Make r .............100 ecommendations for improvement following evaluation

5.5 Provide a r 101 eport on evaluation outcomes and make recommendations

5.6 Seek f ...........................................102 eedback and develop an action plan

Case Study 5 .....................................................................................................106

Activity 5 ............................................................................................................108

ON-LINE UNIT TEST QUESTIONS............................................................................109

INTEGRATED PROJECT ...........................................................................................110

ASSESSMENT............................................................................................................111

Assessment portfolio from learning guide..........................................................111

Project review checklist .....................................................................................113

Third party (manager/mentor) report .................................................................114

Skills checklist....................................................................................................120

Interview questions ............................................................................................122



OVERVIEW

Welcome to the Unit of Competence BSBOHS503B Assist in the design and development of OHS participative arrangements. “OHS” and “health and safety” are used in this guide even though relevant legislation and guidance material in some jurisdictions uses “OSH” and “safety and health”. This unit specifies the outcomes required to design, develop, implement, monitor and review workplace arrangements for the consultation with and participation of employees and others in OHS activity and decision-making. The outcomes are designed to ensure participative arrangements are an integral part of the organisation’s system for managing OHS, and that participative arrangements are clearly linked to an action planning and continuous improvement approach to OHS. This unit takes into account the responsibilities for managing OHS. It covers the actions required to participate in the design, development, implementation and review of effective participative arrangements as an integral part of implementing a systematic approach to managing OHS, including formal and informal participative processes. Participative arrangements include consultation and communication processes within an organisation or business unit. The actions required to influence others from an OHS perspective are also covered. This unit may be completed in an integrated approach together with BSBOHS501 Participate in the coordination and maintenance of a systematic approach to managing OHS. The Unit of Competence consists of five elements and 24 performance criteria, which are reflected in the format of this learning guide. Each section covers a competency element and each sub-section covers a required performance criterion. You can access a copy of the actual competency unit from the National Training Information Service at: www.ntis.gov.au

http://www.ntis.gov.au/



It is important that you read the Course Guide before commencing this learning guide, as it contains important information about learning and assessment. It is particularly important to read it if you feel you may already be able to provide evidence that you meet the performance criteria for this unit. You can access the guide at: www.worksafe.wa.gov.au/institute

Assessment Assessment is the process of checking your competence to perform to the standard detailed in each element’s performance criteria. At the end of each element of the learning guide are activities designed to enable you to collect evidence for assessment. They are also listed in the assessment section at the back of the guide. Note that to gain achievement in this unit of competence you have to provide at least three examples of the design and development of OHS participative arrangements. While there should be some access to a workplace and actual activities associated with a systems approach to managing OHS participative arrangements, part of the assessment may be through simulated project activity, scenarios, case studies or role plays. While the case studies in this learning guide give examples of how to assist in the design and development of OHS participative arrangements, where possible you should have an OHS practitioner as a mentor or coach to assist you in developing the practical skills to apply your knowledge. When you have completed this learning guide you should contact a participating training provider (see www.worksafe.wa.gov.au/institute) who will, for a fee, be able to have your competency in this unit assessed by a qualified assessor and subject expert. This unit may be assessed alone or as part of an integrated assessment activity involving related units, such as BSBOHS501 Participate in the coordination and maintenance of a systematic approach to managing OHS.





When collecting material for your assessment portfolio, please ensure that you protect the confidentiality of colleagues, workers and other people, and block out any sensitive information. If you have any doubts about confidentiality issues, contact the organisation concerned.

Required readings and resources The on-line Readings and Resources at the Safetyline Institute web site provides additional material to help you understand and complete the activities in this learning guide.

Further information Each OHS jurisdiction in Australia has an Internet site to allow easy access to relevant OHS legislation and information. In some jurisdictions, mining and petroleum safety is administered by a separate government authority, which would have its own web site. WorkSafe’s web site has links to many of these jurisdictions: www.worksafe.wa.gov.au Other web sites that may be of interest are:

www.comcare.gov.au – responsible for workplace safety, rehabilitation and compensation in the Commonwealth jurisdiction;

www.amsa.gov.au – maritime safety;

www.arpansa.gov.au – nuclear and radiation safety;

www.atsb.gov.au – air safety;

www.nopsa.gov.au – national oil and gas safety;

www.seacare.gov.au – Australian seafarer’s occupational health and safety;

www.austlii.edu.au – for Commonwealth, state and territory occupational health and safety acts and regulations; and

www.standards.com.au – the Australian standards organisation.

http://www.worksafe.wa.gov.au/

http://www.comcare.gov.au/

http://www.amsa.gov.au/

http://www.arpansa.gov.au/

http://www.atsb.gov.au/

http://www.nopsa.gov.au/

http://www.seacare.gov.au/

http://www.austlii.edu.au/

http://www.standards.com.au/



Your feedback We are committed to continuous improvement. If you take the time to complete the on-line Feedback Form at the SafetyLine Institute web site you will help us to maintain and improve our high standards. You can provide feedback at any time while you are completing this learning guide.

Glossary of terms Some terms relevant to this unit are defined below. Make sure that you are familiar with the Glossary of terms before going any further. When they are first used, glossary terms are indicated in the learning guide with an asterisk (*).

Participative Arrangements

Arrangements that ensure a range of individuals and groups participate in OHS decision-making in the workplace. For example, OHS committees, OHS representatives, special OHS project groups, employee and supervisor involvement in OHS inspections, audits, hazard reporting, team-based risk assessments.

Employer An employer is a person who employs an employee under a contract of employment or as an apprentice or trainee.

OHS Representatives

Provisions for OHS representatives are set out in OHS legislation under each jurisdiction.

OHS Committees

Provisions for OHS committees are set out in OHS legislation under each jurisdiction. Workplaces may also design their own arrangements for committees, once legal requirements have been met.



Systematic approach

Comprehensive processes that are combined in a methodical and ordered manner to minimise the risk of injury or ill health in the workplace. A process of design and planning, implementation, monitoring, review and evaluation for ongoing improvement.

OHS Legislative Framework

OHS legislation – acts, regulations, codes of practice, guidance notes (may include A/NZ Standards referenced in regulations or codes of practice).

Duty of Care The term “duty of care” or “general duties” describes fairly broad responsibilities for a wide range of parties associated with the work environment and is set out in OHS acts.

OHS policies and procedures

Documents underpinning the OHS plan and action plans that describe how, for example, tasks, inspections, jobs and processes are to be undertaken.



INTRODUCTION

Required knowledge and understanding

This unit of competency covers the skills required to participate in the design, development, implementation and review of participative processes as an integral part of a systemic or systematic approach* to OHS. It reflects modern OHS legislation’s focus on the control or management of risk through consultation and identification and assessment of OHS hazards and control of OHS risks. The Activities at the end of each element will guide you to achieve the performance criteria. However, you will also need to acquire and demonstrate the necessary knowledge and understanding. Therefore, you should include relevant notes and supporting evidence in your assessment portfolio and ensure that you can explain:

what is meant by a systematic approach to managing OHS;

the concept of duty of care*;

OHS legislative requirements for consultation, communication, information and data;

roles and responsibilities of key personnel for the design, development, implementation and review of OHS participative processes (eg, OHS committees*, OHS representatives*, line management and employees);

role and rights of OHS inspectors;

sources of OHS information and data;

how the structure and the characteristics/composition of the workforce (eg, part-time, casual and contract employment arrangements, shift rosters), geographical and physical location and the culture of organisations should influence design and development of participative processes in order for those processes to be effective;

formal and informal participative processes and key personnel;



policies and procedures for OHS participative processes; and

how to influence others in an organisation, such as line management, in the context of managing OHS and achieving an effective OHS culture.

As you work through the Activities, also include in your assessment portfolio any reports and memos for which you have been asked. You should also have evidence of the relevant documents accessed or downloads collected. This may be through a resource file including electronic copies of the documents accessed.

Required skills and abilities You will also need to show you have the necessary skills and abilities for this unit. To do this, you should include in your assessment portfolio as much evidence as possible to show you can:

participate in the design and development of OHS participative processes;

communicate effectively with personnel at all levels of the organisation and with OHS specialists;

provide advice to others in the workplace and explain OHS specialist information and data for the purposes of effective participation;

undertake basic research to access relevant OHS information and data;

conduct formal and informal meetings;

employ project management skills to achieve change;

prepare written materials and reports for a range of target groups including OHS committees, OHS representatives, managers and supervisors; and

employ consultation and negotiation skills, particularly in relation to developing plans and implementing and monitoring designated actions.



Commonwealth, state and territory legislation Under Australia’s federal political structure, OHS is the responsibility of the states and territories with commonwealth law covering only the OHS of Commonwealth employees and certain other types of workers (eg, certain maritime and petroleum industry workers). OHS law in some states and territories is divided so that separate legislation applies to mines and petroleum facilities. In most states and territories there is also separate legislation to regulate dangerous goods and major hazard facilities. Other important areas covered by legislation also relate and/or overlap with OHS legislation, for example, electrical safety, radiation protection, health, rail and maritime safety. In addition, equal opportunity and industrial relations legislation sometimes impacts on OHS (eg, concerning issues such as working hours and shift work, harassment and bullying and certain work carried out while pregnant or breast feeding). Workers’ compensation legislation also impacts on OHS information, and statistics and national injury trends are composed from workers’ compensation statistics that must be reported under that legislation. Clearly such data is very useful for obtaining a picture of OHS injury patterns and trends overall, but it has some real limitations in terms of OHS analysis and must be interpreted with caution. Workers’ compensation data should never be relied on alone to inform decisions on OHS priorities for an organisation or industry.



National coordination Australia is working to achieve a nationally consistent approach to the regulation of OHS in the states and territories through Safe Work Australia (SWA). SWA is not a regulatory authority and so it does not make or enforce laws. SWA provides a forum for achieving a national approach through, for example:

producing key national standards as a model for laws in each Australian jurisdiction to help achieve nationally consistent regulation;

providing OHS statistics;

providing a central point for access to practical guidance on solving OHS problems; and

setting the national OHS research agenda.

Safe Work Australia’s objectives are achieved through implementing a National OHS Strategy 2002-2012 and through coordinating a national forum that operates through meetings and its committees. Safe Work Australia works to:

provide national leadership to implement and further develop the National Strategy effectively;

improve the prevention of occupational death, injury and disease across Australia; and

provide a national forum for the cooperative improvement of OHS prevention efforts.



Modern OHS legislation Modern OHS legislation is generally described as performance-based legislation where the focus in on the outcomes to be achieved through the participation of all the parties in the workplace, rather than setting out mandatory detail or prescribing detailed processes. OHS legislation has been developed with the following factors in mind:

no two workplaces are completely alike;

workplaces themselves are changing from moment to moment (eg, with shift changes, maintenance work, deliveries, unexpected events such as weather or plant break downs); and

workplaces often function in complex dynamic environments, often with rapidly changing technology.

As a result, OHS legislation has to be flexible enough to allow for these factors while providing clear standards and guidance. This is why modern legislation has a focus on problem solving and outcomes rather than relying totally on mandatory detail, which may not suit all workplaces or situations, may take a long time to develop and codify in legislation and may be out-of-date very quickly.

OHS legislative framework The OHS legislative framework* consists of a principal Act supported by regulations − both of which have the force of law and contain significant penalties − and advisory codes of practice and guidance notes, which are not compulsory. Safe Work Australia is currently attempting to achieve nationally consistent legislation. The Act provides for the administration and enforcement of OHS and places broad duties on a range of parties in the workplace including employers*, employees, self-employed people, designers, manufacturers, importers and suppliers.



The Act also provides for what can be covered in Regulations. Regulations must give effect to the purposes of the Act − they must deal with the purposes of the Act and cannot go beyond those purposes. Regulations set out detailed requirements and also have the force of law. Regulations may cover matters such as notification of commencement of certain activities, approvals, inspections and certificates, and general requirements such as personal protection clothing, confined spaces and safety signs. Codes of practice are generally approved under the Act by the relevant Minister to give:

practical advice on ways (strategies) to prevent people being exposed to harm in the workplace; and

a practical way to achieve any standard, rule, provision or specification required by OHS Acts or Regulations.

It is not compulsory to follow what is in a code of practice. The directions in a code on how to achieve an OHS standard are not the only acceptable way of achieving that standard. People cannot be prosecuted directly for failure to do what a code says. However, they must meet the standard set by the Act or

Regulations.

General ‘duty of care’ OHS Acts across Australia are based on the concept of a ‘duty of care’. The term “duty of care” or “general duties” describes fairly broad responsibilities for a wide range of parties associated with the work environment. All OHS Acts contain fairly similar duties. Under the Acts, all parties involved with work have responsibilities or duties for safety and health at work. This includes employers, employees, self-employed people and others, such as people who control workplaces, design and construct buildings or manufacture and supply plant. Contractors and their employees, as well as labour hire and other employment arrangements, are also covered by OHS legislation and duties.



The Acts set out broad duties for OHS, for example in Western Australia the Act provides that:

an employer must, as far as practicable, provide a work environment in which employees are not exposed to hazards;

employees must take reasonable care for their own safety and health, and avoid doing anything that might harm the safety or health of others; and

self-employed people must, as far as practicable, ensure the work − or any hazard that arises or is increased by the work or system of work − does not adversely affect the safety and health of others.

Everyone has a role to play in achieving a strong OHS culture

A central principle of modern OHS legislation is the importance of consultation, participation and cooperation. OHS legislation provides a framework for consultation on OHS between employers and employees. The consultation and participation provisions of OHS legislation recognise that the best way to achieve safe and healthy workplaces and a strong OHS culture in an organisation is to make sure the parties in the workplace cooperate and work together to identify and manage OHS issues. To achieve a safe and healthy (as well as a productive workplace) everybody needs to be involved. It makes sense that employers and employees and others participate in identifying hazards and discuss solutions to safety problems. Most OHS legislation places a broad duty on employers to consult and cooperate with their employees regarding OHS. The participation of employees is essential to effective OHS management. Employees often have day-to-day experience of a particular work process and have hands-on experience with what is happening in practice. These employees are a vital source of information and ideas on OHS issues. It is also important to involve employees (and contractors and other parties where appropriate) in the decision-making process because they are more likely to accept and champion actions taken to fix problems where they feel they have been genuinely involved.



Effective OHS consultation and participation occurs where there is a collaborative OHS culture and the consultation is: GENUINE The organisation (senior management and you as

the safety practitioner) really does value and involve key stakeholders and other parties;

PLANNED Consultation takes place early in the decision-

making process; PRO-ACTIVE The organisation (senior management and you as

the safety practitioner) encourage all parties to be pro-active about OHS; and

FOCUSED Can be demonstrated that it achieves real and

measurable OHS outcomes. OHS consultation may be undertaken through, for example:

meetings, workshops, suggestion boxes, surveys on specific OHS issues;

employee participation in OHS activities, such as inspections and audits;

establishing formal OHS consultation processes (eg, electing safety and health representatives and establishing an OHS committee); and

formal involvement in procedures for identifying hazards and assessing risks.



Systematic approach to managing OHS Arrangements for consultation and participation are an essential part of a systematic (or systemic) approach to decision-making about health and safety. Systematically managing OHS ensures a pro-active and planned approach to an organisation’s consultation. A systematic approach to managing OHS involves:

comprehensive processes that are combined in a methodical and ordered manner to minimise the risk of injury or ill health in the workplace; and

a process of planning, allocation of resources, communication and consultation, hazard management, record-keeping and reporting, training and competency, and review and evaluation for ongoing improvement.

This unit of competence is structured around a systemic model of continuous improvement, which makes sure that decisions on participative arrangements* for a workplace are implemented and reviewed so that they are meaningful and working effectively.

Policy

Planning

Implementation & operation

Monitoring & corrective action

Management review

Management Systems ModelManagement Systems Model

AS 9001, AS 14001 & AS 4801

“Control Function”

“Process”



Plan, Talk, Do, Review A more simple business management model also provides you with a systematic approach to managing OHS with the participation of employees and others as a key element: PLAN Think about what may affect employees and others’

safety or health. This step is to identify hazards and assess the risks they pose.

TALK Consult with employees and others. Ensure there are

processes in place that allow employees and others to participate in the process for identifying, reporting and assessing OHS risks.

DO Take what action is needed to make the workplace

safe. Put risk controls in place. Take action to involve as many people in the discussions as possible. In some organisations, managers grudgingly involve the workforce and offer only token information or involvement through and between safety representatives and managers (Waring 1996). Consulting with and sharing OHS information at all levels of the organisation increases the likelihood of ownership of the change at ‘local’ level.

REVIEW Monitor and review (evaluate) OHS actions or

measures taken to control risk. This is an important step because you need to make sure controls put in place are actually working and are effective over time.



Communication As an OHS practitioner, the ability to communicate effectively with a wide range of individuals and groups with different cultural, language and literacy backgrounds is one of the most fundamental skills you need to have. This is particularly so in the context of participative arrangements, which are fundamentally about communication and involvement. One way to think about communication in OHS terms is to ask yourself the following: Why are you communicating? For example:

to change behaviour or influence a wide range of individuals and groups?

to provide advice, support, instruction and information?

to motivate and be inclusive? or

to seek insight into other people’s perspectives and gain information?

REVIEW

Review OHS actions to make sure they are

working

TALK

Consult with employees about OHS matters

PLAN Identify hazards and assess the risks they

pose. Set priorities &

objectives.

DO

Take action to control risks



What are you communicating? For example:

general OHS information?

critical OHS tasks? or

feedback on OHS performance?

With whom are you communicating? You need to make sure your style of communication fits the circumstances and audience. You need to understand different individual’s values, attitudes, motivations, perceptions and experiences. As an OHS practitioner it is important that you are:

well informed and know where and when to get additional OHS expert advice;

genuine and ethical in all your workplace dealings;

non-judgemental;

supportive and can demonstrate a firm understanding of operational demands and pressures on managers and supervisors; and, at the same time,

able to demonstrate and follow through on a firm commitment to high standards of OHS management and behaviour, backed up by clear and fair processes.



Element 1: IDENTIFY THE NEED FOR OHS PARTICIPATIVE ARRANGEMENTS

In order to complete the first element of the competency unit successfully, you will have to show that you have satisfied the following performance criteria: 1.1 Review OHS legislation to identify legal requirements for participative arrangements. 1.2 Identify factors that may impact on the design of participative arrangements. 1.3 Review organisational policies and procedures to identify requirements and opportunities for OHS consultation and communication. 1.4 Review effectiveness of existing workplace arrangements, in consultation with stakeholders, for OHS consultation and communication. 1.5 Define information and consultation requirements, in consultation with stakeholders and key personnel, for specific roles and groups. After completing this element you should understand how and why modern OHS legislation supports the participation of all parties in the workplace to manage OHS; be familiar with common consultation provisions set out by most OHS legislation across Australia; and be able to access specific provisions applying in the various OHS jurisdictions. You should be able to identify and plan for a range of factors that may impact on the design of participative arrangements for an organisation. To ensure participative arrangements are integrated into the organisation’s business effectively and therefore are part of a systematic approach to management, you should be able to consult and communicate effectively with a range of stakeholders and key personnel and be able to influence them from an OHS perspective.



1.1 REVIEW OHS LEGISLATION TO IDENTIFY LEGAL REQUIREMENTS FOR PARTICIPATIVE ARRANGEMENTS

Identify jurisdictions You will need to identify which OHS laws apply in an organisation and be familiar with the various OHS jurisdictions. When you are clear about what OHS laws apply to an organisation or situation, you can then identify relevant documents and specific requirements and seek any advice/information you may need from the regulatory authorities for that jurisdiction. Most OHS authorities have web sites and links to relevant OHS information and legislation, and also provide Internet links to other agencies, states and territories. Everyone has a role to play in workplace health and safety; and OHS legislation sets out responsibilities for employers, employees and a wide range of other parties. OHS legislation also provides a consultative framework for achieving the involvement of all parties in OHS decision-making. While providing a framework within which to operate, OHS legislation does allow the parties at the workplace to decide on the best participative arrangements for that workplace or organisation. This is because the structure and characteristics of workplaces and employment arrangements vary enormously and what works for one will not necessarily work for another.

Broad ‘duty’ to consult Most OHS legislation across Australia includes provisions broadly requiring employers to:

provide and maintain, so far as is practicable, a working environment for employees that is safe and without risk to health;

provide information, instruction, training and supervision to employees; and

consult and cooperate with any safety and health representatives and/or employees.



OHS legislation across Australia therefore places consultation and cooperation as a central plank of any workplace OHS management activity to identify and assess OHS hazards and make decisions on controlling the associated risks. An example of a more defined duty on employers to consult and cooperate is provided by the NSW Occupational, Health and Safety Act (section 15), which specifically requires that consultation be undertaken in the following situations:

When changes that may affect health, safety or welfare are proposed to the:

premises where people work; systems or methods of work; plant used for work; or substances used for work.

When risks to health and safety arising from work are assessed or when the assessment of those risks is reviewed.

When decisions are made about the measures to be taken to eliminate or control risks.

When introducing or altering the procedures for monitoring risks (including health surveillance procedures).

When decisions are made about the adequacy of facilities for the welfare of employees.

However, regardless of the detailed provisions contained in specific OHS legislation in the various jurisdictions, all employers, in order to meet their broad duty to consult, need to systematically ensure employees and others participate in the

management of OHS risk at the workplace in a meaningful way.

Contractors and labour hire companies Contractors and their employees may be referred to directly in OHS legislation or implied as 'other persons' in an Act. Generally the employer has a similar duty of care to contractors as that owed to employees, but only in relation to matters over which the employer has control. This includes all maintenance and repair services provided to the business such as computer specialists, gardeners and lawn mowing, cleaners, plumbers, air conditioning maintenance and electricians.



You will need to check what jurisdiction applies to an organisation and then identify how that OHS legislation applies to contractors and sub-contractors. Labour hire arrangements are often more complex and you will need to check under the jurisdiction that applies to an organisation to identify how OHS laws apply to labour hire and other non-traditional employment arrangements. It is a good idea to get advice from the regulatory authority on any duties owned by employers and labour hire companies towards labour hire workers. The reasons why consultation and participation are so important to effective OHS management, apply just as much to organisations where there are contractors and other people working. An organisation with a genuine and effective OHS culture will involve all the parties in the workplace, including contractors and their employees, and facilitate meaningful participation by those parties in OHS decision-making.

Common legislative framework Most OHS legislation contains provisions allowing for and providing an administrative framework for the election of health and safety representatives and the setting up of OHS committees in the workplace.

The merits of having health and safety representatives and committees include that they:

provide a clearly identifiable mechanism for health and safety issues to be raised;

assist with achieving solutions to health and safety problems;

assist with investigating workplace OHS incidents, conducting inspections and evaluating the health and safety program;

assist in promoting OHS in the workplace and achieving an OHS culture; and

assist in the formulation and review of the OHS Improvement Plan.



Health and Safety Representatives The basic premise of OHS legislation across all jurisdictions in Australia is that all employees should have the option of being represented on OHS issues by someone who is accessible to them and who understands their work environment and needs. A common feature of OHS legislation is the role of elected health and safety representatives.

The features in OHS legislation relating to health and safety representatives in the various jurisdictions might include, for example, procedures and specifications for:

employees or the employer to request the election of health and safety representatives;

health and safety representatives to represent defined work groups or units;

the time frame in which the employer must commence discussion about the election process after a request from an employee;

how many health and safety representatives are to be elected;

who is entitled to be elected as a health and safety representative;

the conduct of the election process;

any requirement for a secret ballot;

what happens if a vacancy arises during the term of office of an elected health and safety representative;

who will run the election;

participation of contractors and their employees;

functions and roles of health and safety representatives;

training of health and safety representatives;

employer’s responsibilities towards health and safety representatives; and

disqualification of a health and safety representative.



Health and Safety Committees Most OHS legislation in Australia provides a framework and procedures for setting up health and safety committees in the workplace. The types of features in OHS legislation relating to health and safety committees in the various jurisdictions might include, for example, procedures and specifications for:

circumstances in which an OHS committee must be established;

time frame within which the employer must respond to a request to establish an OHS committee;

mechanisms for consulting on subsequent matters relating to the formation of the OHS committee;

time frame within which the OHS committee must be established after being requested;

deciding who can be on an OHS committee, and its composition;

how people become members;

coverage of an OHS committee; and

functions of the OHS committee.

OHS Issue Resolution OHS legislation generally includes provisions setting out procedures to resolve an OHS issue or problem, or to develop appropriate workplace procedures for resolving such issues. Arrangements cover the involvement of the OHS authority and its inspectors in resolving OHS issues.



Where there is an OHS committee and/or representatives they should be involved in resolving OHS issues. Any workplace procedure should set out clearly:

the need for OHS representative(s), supervisor(s) and then senior management to consider and attempt to resolve the OHS issue first;

referral of unresolved OHS issues to the OHS committee; and

involvement of OHS authority and its inspectors.

Any action taken to resolve the OHS issue should be recorded. You may want to develop a flowchart for the OHS issue resolution procedures at your workplace.

Other Arrangements Where an organisation is not large enough to have a health and safety committee or such a committee is unsuitable for the structure/nature of the organisation, the employer’s duty of care obligation to consult with employees must be demonstrated by other methods which could include:

achieving a consensus among existing employees regarding health and safety issues;

ensuring that union representatives endorse policies;

holding and documenting regular meetings;

issuing agenda items prior to these meetings;

using employee notice boards; and

using employee suggestion boxes.



1.2 IDENTIFY FACTORS THAT MAY IMPACT ON THE DESIGN OF PARTICIPATIVE ARRANGEMENTS

There are a range of factors that need to be identified and taken into consideration when designing and developing participative arrangements for any particular organisation and workplace. When designing and developing participative arrangements, it is important to understand some of the realities about an organisation’s operating environment. What works for a stable, unified and centrally located business with fairly little staff turnover and a constant product is not going to work for a diverse, dynamic, multi-location business with constantly evolving products and high turnover of staff. The following provides some guidance on the range of factors you will need to consider when assisting and working with an organisation as a safety practitioner to design effective and meaningful participative arrangements for that organisation. You should consult with a wide range of stakeholders and personnel to identify these factors and make sure you provide information on them to all the parties involved in designing the participative arrangements, including the employees themselves and any other workers.

Communication factors such as language and literacy Effective communication is obviously critical to genuine participation. The specific needs of individuals in the workplace need to be taken into account. Individuals will have different levels of literacy and either may not speak much English or may not have English as their first language. For example, induction and instruction in policies and procedures need to reflect the language and literacy levels of each person, and things like safety and emergency warning signs, which are for the whole workplace, need to be based on easily understandable pictures, rather than complex language.



Communication must be a two-way street. If individuals are to be able to participate in OHS activity in a meaningful way they need access to information in a format they can understand, and they need to be able to communicate back to OHS representatives, supervisors, OHS advisers and others easily.

Diversity of workers Similarly, this is about recognising the differences in the individuals in your workplace. A ‘one size fits all’ approach to OHS won’t work. Employees may come from different cultural, age and educational backgrounds with different views about personal responsibility and authority; they will have different previous experiences, knowledge and skills and may have different learning styles. They may have external pressures and stresses in their lives or pre-existing physical injuries. All these factors need to be taken into consideration in designing and developing participative arrangements.

Workplace culture The OHS culture in a workplace is critical to effective participation. A good OHS culture involves things like leadership and genuine management commitment, safety leaders ‘walking the talk’, supportive and constructive supervision, OHS risk management being seen as the permanent top priority that cannot be shifted down below such things as short-term production quotas. A genuine commitment to OHS and to the participation of employees and others can be identified easily through the following evidence sources (which should be recorded where appropriate):

senior management seeks opportunities to obtain the views of employees and there is evidence that these views are genuinely included in actual decision-making;

senior management participates in OHS activity and provides leadership by ‘walking the talk’;

pro-active opportunities are provided for the people doing the work to express their views – including time and any required training;



where formal arrangements exist such as elected health and safety representatives, those representatives are given the support, training and resources (including time) they require to allow them to fulfil their functions effectively;

relevant information and data is provided to employees on time and in a manner they can access it and understand it;

procedures are in place for reporting OHS hazards;

training in OHS participative policies and procedures is provided to employees and others; and

clear feedback is provided to employees and others.

If there is a poor OHS culture, then participative arrangements are likely to be seen as token only. In this situation you risk: a lack of ownership by employees; lack of sufficient information and skills at the points needed for good OHS performance; avoidance or resistance because of fear of blame; a tendency to a reactive approach; a “it’s not my problem it’s someone else’s“ attitude; or cynicism that its all talk and no action; or its ‘one rule for us and a different one for them’.

Structural or environmental factors

One of the most immediate impacts on the success or not of participative arrangements, and in particular mechanisms such as safety and health representatives and committees, are structural and/or environmental factors such as the geographical location of an organisation, multiple locations, size of locations, shift work, staff turnover, nature of product or work performed, supervisory arrangements and use of contracting, sub-contracting and labour hire workers and the nature of OHS hazards. All of the above factors need to be addressed when designing, developing and implementing all mechanisms for OHS communication, consultation and participation, including, for example, deciding on which groups of workers any elected health and safety representatives should represent. Most OHS legislation in Australia seeks to provide sufficient flexibility in the consultative provisions to allow for different structures and sizes of organisations and how the work is performed. You will need to identify the specific details for the OHS jurisdiction that applies to your organisation.



An example of the type of flexible arrangements that are available is provided by the Western Australian OHS legislative provisions for a ‘scheme’ arrangement where a contractor or employees of a contractor may be able to participate in the election for a health and safety representative and be elected as the representative. This recognizes the needs of industries and workplaces where there is a significant reliance on contract labour. In NSW, the OHS regulations require the diversity of the employees and their work to be taken into account when determining the composition of workgroups. (In NSW workgroups are a group of employees that is represented by a particular OHS committee or OHS representative.) Other arrangements which take into account the structure and environment of an organisation might include, for example, where a small employer reaches agreement with the employees to consult directly with them and in a more informal manner, such as in regular meetings where everyone comes together. This recognises the reality that some small businesses will not suit mechanisms such as elected health and safety representatives or committees, and allows OHS to be an integrated part of day-to-day operations for that business.

1.3 REVIEW ORGANISATIONAL POLICIES AND PROCEDURES TO IDENTIFY REQUIREMENTS AND OPPORTUNITIES FOR OHS CONSULTATION AND COMMUNICATION

To manage OHS systematically, an organisation needs to:

develop a statement of leadership and commitment, OHS objectives and broad strategy (OHS policy);

plan and organise OHS activity (including deciding who is responsible for doing what and setting up a system for accountability);

make sure those people with OHS responsibilities are given the skills and resources they need to take the required action; and

regularly check that the OHS objectives are being met.



Policies and procedures are an important part of setting out in a planned and systematic way how the OHS objectives are to be achieved, and how everyone is to be involved in OHS activity.

Policies and procedures As a safety practitioner you will be heavily involved in the development and documentation of OHS policies and procedures* as part of a systematic approach to managing OHS. Not everyone in an organisation will have the skills, time and resources to actually document procedures; therefore, the safety practitioner, working with all stakeholders, key personnel and technical experts, plays an important role in coordinating, conducting and advising on this activity. Thus, you will also be able play a key role in reviewing such policies and procedures to identify all the requirements and opportunities for employee involvement in OHS activity. A policy is usually a statement about an OHS issue and says what the organisation intends to do about the issue. A policy may describe:

a desired standard;

management’s commitment;

specific objectives;

resources;

responsibilities;

time frames, implementation process; and

review process.

A procedure sets out step-by-step instructions on how to deal with an activity in the workplace. Procedures usually include:

scope, definitions;

responsibilities;

any information, instruction, education, and training requirements;

detail of processes and systems to be followed;

monitoring, reporting, auditing and review; and

documentation and record management.



There are often two distinct levels of policies and procedures – management and operational. Management policies and procedures are often developed to underpin the overall system for managing OHS. These procedures set out the processes and systems required to meet the OHS objectives and OHS management performance standards; for example: consultation, maintenance and inspection programs, contractor management, hazard management, incident reporting and investigation, and fitness for work. Operational policies and procedures are about day-to-day operations. An example is provided by Standard Operating Procedures which set out simple and clear step-by-step instructions on the most efficient and safest way to carry out certain tasks and control specific risks. Specific examples are tag out and lock out isolation policies and procedures, and confined space entry policies and procedures. As policies and procedures include defined responsibilities at various layers of the organisation (eg, senior management, managers and supervisors, employees, OHS representatives, specialist roles) as well as outlining processes and specified actions, you will find there are many requirements in them for participation in OHS activity by employees and others. These need to be clearly identified and included in action plans developed for implementing policies and procedures (covered in more detail in Element 4). As well as defined requirements, OHS policies and procedures often contain ‘opportunities’ for further consultation and communication with employees on OHS management and these can encourage greater personal ownership of OHS management by everybody. For example, this might be through involving employees in the development of action plans to implement the policies and procedures or though involving them in monitoring and review mechanisms.



1.4 REVIEW EFFECTIVENESS OF EXISTING WORKPLACE ARRANGEMENTS, IN CONSULTATION WITH STAKEHOLDERS, FOR OHS CONSULTATION AND COMMUNICATION

Systems approach Understanding where an organisation is and where it wants to go to, is an important part of identifying participative arrangements and introducing a systematic approach to those arrangements for an organisation. Many organisations undertake a review of the existing OHS management in that organisation to provide a baseline from which to plan improvements. In addition, there may already be many good things that have been developed in the past, but they may not have been implemented systematically; and therefore many opportunities for pro-active OHS activity may not be happening in practice or not effectively. Remember, as explained in the Introduction, that a systematic approach involves a continuous improvement loop:

Policy

Planning

Implementation & operation

Monitoring & corrective action

Management review

Management Systems ModelManagement Systems Model

AS 9001, AS 14001 & AS 4801

“Control Function”

“Process”



Stakeholders Clearly, a number of parties will have critical information and knowledge about an organisation’s needs and priorities. Their input is essential to the process of reviewing the effectiveness of existing workplace arrangements for OHS – including for OHS consultation and communication. Key stakeholders may include senior management, frontline managers and supervisors, employees, safety and health representatives and committees and OHS specialists. In addition, an organisation may identify some external stakeholders whose input they consider important; for example, the regulatory authority or the relevant industry or employer association.

Initial phase of planning There is usually an initial phase of planning which allows an organisation to answer four key questions:

Who are all of our stakeholders in OHS management?

Where are we now in terms of the effectiveness of existing workplace arrangements for OHS consultation and communication?

Where do we want to be?

How are we going to get there?

Many organisations decide to use an external review process to establish where they are in terms of OHS performance when it is compared to an externally accepted management standard. There are a range of assessment and specification tools available to allow organisations to measure their performance and give them a clear picture of how they rate against agreed performance standards. Australian/New Zealand Standards 4804 and 4801 provide organisations in Australia with access to a nationally accredited tool to gauge where they are at with their OHS performance and to provide them with information on what, where and how they need to improve. There are other similar tools available such as SafetyMAP in Victoria. In addition, many Government OHS authorities have OHS management systems assessment tools. The performance standards in these systems assessment tools generally include consultation and communication.



Where are we now and where do we want to be? To start answering these questions you can assist an organisation by doing the following:

Review the organisation’s OHS performance history (eg, in dealing with OHS incidents, achievement of past goals and objectives, results of any previous reviews or inspections by Government authorities).

Consult with key stakeholders − consult with stakeholders through formal and informal mechanisms (eg, workshops, surveys, interviews and feedback through regular meetings).

Identify OHS legislative requirements and compare with current performance.

Identify any other suitable benchmarks and compare with current performance.

Assess the level of resources committed to OHS consultation and communication – are they being used efficiently and effectively and are they sufficient (eg, to achieve objectives)?

1.5 DEFINE INFORMATION AND CONSULTATION REQUIREMENTS, IN CONSULTATION WITH STAKEHOLDERS AND KEY PERSONNEL, FOR SPECIFIC ROLES AND GROUPS

OHS management − information and consultation requirements

The ultimate objective of OHS management is the elimination or control of OHS risks. The provision of information and consulting with a range of parties in the workplace is aimed at achieving a healthy and safe work environment through the involvement of everyone in the workplace. Modern OHS legislation reflects this by making it an employer’s obligation under ‘duty of care’ to provide OHS information and consult with employees and others. The provision of OHS information and consultation is also an important tool to motivate employees and encourage pro-active OHS action.



Under a planned and systematic approach to OHS there will be a range of OHS activity generally grouped under a series of headings (often the OHS ‘Standards’ for an organisation). For example:

Leadership and commitment

Planning and organising

Consultation and communication

Hazard management

Recruitment, induction and training

Contractor management

Procurement

Incident reporting

Emergency preparedness and response

Fitness for work

Each of these areas of OHS activities will involve specific roles and groups of people and these roles and groups will have various information and consultation needs. In particular, there will important requirements in relation to information and consultation about high-risk activities or equipment and how they are to be controlled or managed.

Review information gathered so far To identify the specific roles and groups in an organisation and their information and consultation requirements, you need to bring together all of the information that has formed the basis of an organisation’s OHS planning activity and review it. This includes all the OHS objectives, the OHS plan and the supporting action plans, and must include OHS legislative requirements.

Key personnel and stakeholders A variety of individuals and groups within an organisation will be allocated specific responsibility to implement the OHS management plan and action plans (as well as supporting policies and procedures) and to implement the participative arrangements. Therefore, these individuals and groups need to be identified and their roles clearly defined.



Individuals and groups might include, for example:

managers – managers across the structure of the organisation (eg, other than OHS managers);

supervisors/team leaders;

OHS representatives;

employees;

OHS committee members;

human resource staff (eg, carrying out inductions);

finance staff;

emergency and first aid staff;

project and contract management staff;

contractors; and

any people involved in OHS decision-making or affected by OHS decisions.

It is important to remember that in assigning roles, an employer cannot delegate legal responsibilities under OHS legislation. In addition, the roles need to be realistic and match the level of responsibility and accountability within the organisation. To carry out defined roles, all individuals and groups need to have the necessary information, skills and resources to enable them to carry out those roles.

Roles and groups The roles and groups for which you might need to identify and define the information and consultation requirements, include:

senior management overseeing systematic OHS management, including participative arrangements;

supervisors running regular tool box sessions (with OHS included);

pre-shift meetings (with OHS included);


members of the OHS committee;

the team leader for an implementation team (eg, for a particular OHS action plan or project);



employees raising issues and suggestions on a regular basis;

people conducting inspections, audits or investigations;

a maintenance work coordinator (eg, coordinating the conduct of shut down and maintenance schedules); and

contractor management people.

Examples of information Examples of the types of OHS Information that may be required include:

OHS statistics

OHS rules

Safe working procedures

Material Safety Data Sheets (MSDS)

Maintenance manuals

Legislation and codes of practice

Copies of incident reports

Minutes of OHS meetings

Planned inspection outcomes

Audit results

Statutory inspection reports

Action plan registers

OHS plans and targets

Copies of memos or letters or communication from management.



Competency check for Element 1

Key issues for each performance criterion in Element 1 are as follows:

1.1 Review OHS legislation to identify legal requirements for participative arrangements:

The appropriate state or territory jurisdiction for each particular organisation is identified, as well as the OHS legislation that applies. In reviewing the legal requirements for participative arrangements you review Acts, supporting regulations and Australian Standards and in some cases codes of practice. In addition, there may be overlapping jurisdictions that need to be identified and reviewed (eg, major hazard facilities, dangerous goods and mine safety). The organisation must have a mechanism for keeping up-to-date with OHS legislation so that any changes to the legislation are identified and the requirements met.

1.2 Identify factors that may impact on the design of participative arrangements:

Identify the structure, culture and operating environment of an organisation to ensure participative arrangements are appropriate and effective. Identify the factors associated with the structure, culture and operating environment that need to be taken into consideration. Consult with a wide range of stakeholders and personnel to help identify the particular factors and provide information on them to all the parties involved in designing the participative arrangements, including the employees themselves and any other workers.



1.3 Review organisational policies and procedures to identify requirements and opportunities for OHS consultation and communication:

All of the activity that takes place in a particular organisation is reviewed so that all the situations where employees are required to participate in OHS activity (through consultation or communication) are identified and any new opportunities for further consultation and communication are also identified. This should be documented at the planning stage.

1.4 Review effectiveness of existing workplace arrangements, in consultation with stakeholders, for OHS consultation and communication:

Review the organisation’s OHS performance history (eg, OHS incidents, achievement of past goals and objectives, results of any previous reviews or any inspections by Government authorities). Consult with key stakeholders − consult with stakeholders through formal and informal mechanisms (eg, workshops, surveys, interviews and feedback through regular meetings). Identify OHS legislative requirements and compare with current performance. Identify any other suitable benchmarks and compare with current performance. Assess level of resources committed to OHS consultation and communication.

1.5 Define information and consultation requirements, in consultation with stakeholders and key personnel, for specific roles and groups:

Bring together and review (in consultation with stakeholders and key personnel) all of the information that has formed the basis of an organisation’s OHS planning activity (eg, under Performance Criteria 1.1 to 1.4) and identify the specific roles and groups in an organisation and their information and consultation requirements. This includes all the OHS objectives, OHS plan and supporting action plans, and must include OHS legislative requirements.



Case Study 1

Carrington Family and Community Services runs a series of community-based care services for families. Services include a day care centre for children from six months to five years of age, an after school care service, a vacation care program, a family day care scheme, a family counselling service and an aged care support service. The staff includes an Executive Director, four Directors, two nurses, 15 child care workers, three field worker supervisors for family child care, three field workers for aged care services, two counsellors, a gardener, two cooks and two administrative support staff. In addition, Carrington Family Services takes on work placement students. Cleaning services are contracted out. Having received a request from staff members to elect an OHS representative, Carrington Family Services decided to undertake a planning exercise to improve their arrangements for staff involvement in OHS and to ensure OHS legal requirements are being met. To do this, the organisation established a group made up of management and a cross section of staff representatives. The Project Group called itself the “Carrington Consultation Project Group” and was given the task initially to examine the relevant OHS legislation applying to the organisation and identify what needed to be done to meet those requirements. Particular consideration was to be given to what the requirements were in relation to the nomination and election of OHS representatives and ongoing functions of these OHS representatives. The Project Group got some assistance with this activity from their local Children’s Services Support Unit that is part of a government department for community development.



The Project Group then undertook an analysis of the nature and structure of employment of Carrington’s staff; for example, the need for child care staff to be in the child care area at all times while children are present, movement of field staff and their support needs, part-time arrangements, any language/literacy or cultural needs, and special arrangements for vacation care programs. The Project Group also identified any planned activity for the next 12 months that might impact on participative arrangements (eg, construction of a new child care room requiring some relocation of services for a month). Having established the particular requirements of Carrington Family Services in relation to setting up arrangements for staff participation in OHS activity, the Project Group then undertook a review of all existing OHS policies and procedures to identify and review existing and any potential requirements/arrangements for staff participation. Finally, the Project Group undertook an analysis of all the requirements for OHS information and consultation for specific roles and key personnel (eg, directors and supervisors, OHS representatives or staff representatives, field-based staff, specific OHS task leaders). Information requirements included legislation, guidance material and information on specific hazards, reports and statistics. At the end of the initial review process, Carrington Family and Community Services had a clear understanding of their needs in regard to arrangements for involving staff in OHS activity and decision-making.



.

Activity 1

Keep a copy of this Activity for your Assessment Portfolio.

Select an OHS jurisdiction and workplace and then undertake the following activities.

Provide an outline of the organisation including its size, structure, location, operating environment and nature of workforce. Include in your outline all the unique characteristics of the organisation that need to be taken into account when designing OHS participative arrangements.

Obtain the relevant OHS legislation for the jurisdiction you have selected, primarily focusing on the Act and regulations but where appropriate you can include relevant standards and codes of practice. Identify the key requirements for involving employees and others in the management of OHS in the workplace including requirements for consultation and the provision of information. You should include the key duty of care requirements placed on the various workplace parties.

Write a report to the management committee outlining legal requirements and outlining the unique characteristics of the organisation that need to be taken into account.

Make a recommendation to management on the steps required to design appropriate participative arrangements for that organisation.



Element 2: ASSIST IN THE DESIGN OF PARTICIPATIVE ARRANGEMENTS

In order to complete the second element of the competency unit successfully, you will have to show that you have satisfied the following performance criteria: 2.1 Design processes, in consultation with stakeholders, for providing required OHS information and data. 2.2 Design processes, in consultation with stakeholders, to enable individuals and groups to be consulted regarding workplace OHS issues and to have input into OHS decision making. 2.3 Identify and document training needs to enable effective participation. 2.4 Review recommendations for participative arrangements, in consultation with stakeholders, to ensure they meet legislative requirements and are realistic, practical and acceptable in the workplace.

After completing this element you should understand the variety of mechanisms or processes available to deliver information and involve employees and others in the management of OHS. You should be able to identify what factors need to be taken into account to ensure the most effective mechanisms or processes for any particular workplace, and be able to make recommendations to senior management. Having identified the most effective mechanisms, you should be able to identify and consult with the appropriate stakeholders, including employees, to make sure that these mechanisms or processes are accepted in the workplace. You should be able to check that they are realistic and practical taking into account the unique structure, nature of workforce, location and operating environment of a particular organisation. In addition, you should be able to double check that the design of mechanisms and processes meet legal requirements.



2.1 DESIGN PROCESSES, IN CONSULTATION WITH STAKEHOLDERS, FOR PROVIDING REQUIRED OHS INFORMATION AND DATA

OHS information and data In section 1.5 of this learning guide, examples of the types of OHS information that may be required in a workplace were provided. These included:

OHS statistics (eg, incident and injury trends);

OHS rules and safe working procedures;

Material Safety Data Sheets (MSDS);

maintenance manuals;

legislation and codes of practice;

copies of incident reports;

minutes of OHS meetings;

planned inspection outcomes, and audit results;

statutory inspection reports;

action plan registers;

OHS plans and targets;

OHS policies and procedures; and

copies of memos or letters or communication from management.

Information and data processes Information and data may be provided through various processes including:

formal inductions;

training and presentations – formal/informal and on-the-job/off-the-job;

notice boards, monthly OHS newsletters and OHS bulletins;

“Safety Day” programs;

pre-shift meetings; and

weekly/monthly work group or “tool box” sessions.



Time frames OHS information and data may be required on a daily, weekly, monthly or annual basis, or when required. You will need to identify the various time frames for each type of information. You need to design any participative arrangements to take into account all the factors that were identified as having the potential to impact on the design of the participative arrangements for each particular organisation; for example, language and literacy needs, structure and culture of organisation (see section 1.2). In making decisions about time frames and mechanisms you need to think about questions such as:

When is the information needed if it is to be meaningful?

How much information is needed for the purpose for which it is being provided?

How should the information be provided so that that the target audience can effectively receive it and understand it?

What are the legal requirements (see section 1.1)?

What did the first planning phase identify? (eg, review the information you gathered for Activity 1)?

2.2 DESIGN PROCESSES, IN CONSULTATION WITH STAKEHOLDERS, TO ENABLE INDIVIDUALS AND GROUPS TO BE CONSULTED REGARDING WORKPLACE OHS ISSUES AND TO HAVE INPUT INTO OHS DECISION MAKING

Processes that may be used for consultation include:

pre-shift meetings and monthly work group or “tool box” sessions;

special OHS project groups, workshops and surveys;

hazard reporting and incident investigation;

workplace inspections and audits;

Team-based risk assessments; and

OHS representatives and OHS committees.



Time frames In much the same manner as information and data, requirements for consultation may be on a daily, weekly, monthly, annual or needs basis. You will need to identify the various time frames for each requirement for consultation. Again, consultation may be undertaken through a wide variety of formal or informal mechanisms. You will also need to design consultation processes to take into account all the factors that were identified as having the potential to impact on the design of the participative arrangements for each particular organisation; for example, language and literacy needs, structure and culture of the organisation (see section 1.2 above). To ensure you have designed the required processes necessary for meaningful consultation, involvement and provision of information, you may decide to develop a flowchart or plan for the organisation with which you are working. The following is an example action plan.

ACTION PLAN FOR DESIGNING PARTICIPATIVE PROCESSES

ACTION

COMPLETED Date and Signature

Set up a task group/committee with representatives of key stakeholders, employees and others to oversee the design of participative arrangements.

Make sure everyone in the organisation understands that they can contribute any ideas or suggestions on the design of the participative processes to the task group/committee, and that further input/feedback will be sought. (Note: You could do this through a memorandum to all supervisors or any other mechanism that ensures everyone is told (in a way they can understand) that they can provide suggestions for participative processes).

List all activities where consultation, involvement or information is needed.

List key stakeholders, groups and individuals with expertise or experience to contribute.

Decide on structures and mechanisms such as formal or informal teams, OHS representatives and committees.

Draft roles, responsibilities, structures and timetables.

Provide the plan to management and others in the organisation for comment and input.

Make any changes to draft roles, responsibilities, structures and timetables based on feedback.

Develop any required procedures and documentation (such as forms).



2.3 IDENTIFY AND DOCUMENT TRAINING NEEDS TO ENABLE EFFECTIVE PARTICIPATION

OHS legislation Employers have a legal obligation under OHS legislation to provide information and training so their staff can perform their jobs without risk to their health or to their safety. State and territory OHS acts generally require employers to provide information, instruction, training and supervision to ensure that each employee is able to perform their work in such a manner that they are not exposed to hazards. Given that consultation and the participation of all workplace parties in the control of hazards is also a fundamental premise of OHS legislation, it is essential that everyone in the workplace is provided with the information and skills they need to be able to participate effectively in consultation and OHS decision-making. OHS legislation expects employers to provide information and training to employees on a range of aspects including:

OHS legal requirements of the various workplace parties (eg, employer, employees, contractors, manufacturers and suppliers);

general OHS information;

OHS effects of specific hazards in that workplace (eg, manual handling, hazardous substances, noise and infectious diseases);

employer’s health and safety management program, including policies, risk management processes, consultation arrangements and emergency procedures; and

specific instruction in safe task or job performance, including how to use the machinery and equipment.



In addition, state and territory OHS legislation sets out specific requirements for the training of OHS representatives. You need to check with your local jurisdiction and identify the legislative requirements for the training of OHS representatives and committees. Most OHS legislation has some form of provision for OHS representatives to have introductory training which has been accredited under OHS legislation and which usually provides them with an introduction to the general duties under OHS legislation, OHS hazards, risk management principles and their role and function as an elected worker representative. All of the above information and training requirements are designed to ensure employees and others have all the OHS information and skills they require to participate effectively in OHS management. There may be other general skills required for consultation and participation, including skills in:

general principles of effective communication;

presentations;

conduct/participation in meetings – agendas, procedures, minutes, etc;

report writing and correspondence;

hazard and Incident reporting;

inspections and audits;

incident Investigation; and

understanding incident/injury data.



Training needs analysis A training needs analysis determines where training is required and provides the information necessary to develop an OHS training plan. The key questions are:

What skills and knowledge do key OHS groups, individuals and employees currently have?

What skills and knowledge for the purposes of participation in OHS management are required and by whom?

What skills and knowledge are missing from key OHS groups, individuals and employees?

What training is needed to provide the missing skills and knowledge?

2.4 REVIEW RECOMMENDATIONS FOR PARTICIPATIVE ARRANGEMENTS, IN CONSULTATION WITH STAKEHOLDERS, TO ENSURE THEY MEET LEGISLATIVE REQUIREMENTS AND ARE REALISTIC, PRACTICAL AND ACCEPTABLE IN THE WORKPLACE

Recommendations must be reviewed to ensure they meet legislative requirements and are realistic, practical and acceptable in the workplace.

Review planning and design phase The need to review recommendations for participative arrangements will be a fairly simple exercise if the planning and design phase for participative arrangements has clearly involved:

identification of the organisation’s objectives and OHS plans to determine priorities and resources;

review of OHS legislation and identification of legal requirements;



identification of all factors associated with a particular organisation that may impact on effectiveness of participative arrangements (eg, structure, location, nature of workforce, language and literacy needs, culture, and nature of work carried out);

input from key stakeholders and personnel, particularly employees carrying out the work; and

review of policies and procedures and identification of information and consultation needs of specific groups and individuals.

Realistic and practical All the information gathered during the planning and design phase should form the basis of the recommendations on what participative arrangements meet both the legal requirements and the organisation’s OHS objectives and are also practical, realistic and will be accepted by the workforce. To be realistic and practical, recommendations need to take into account:

the reality of the operating environment;

the particular characteristics of an organisation (eg, nature of workforce, structure and location, and special needs such as literacy and language);

the organisation’s OHS culture; and

any planned changes to the workplace, staffing issues, work commitments or peak demand times.

Finally, the recommendations must be accepted by management and the workforce, otherwise they risk be ignored or undermined in practice. As a final step in this process, recommendations should be circulated to stakeholders and to key groups and individuals within the organisation to seek further comments and feedback; for example, to the management committee, line managers and supervisors, employee representatives, and the human resource manager (if there is one).




Key issues for each performance criterion in Element 2 are as follows:

2.1 Design processes, in consultation with stakeholders, for providing required OHS information and data:

Identify the range of OHS information and data needed by the various parties in the organisation to participate effectively in OHS decision-making. Decide on the most suitable time frames and processes for providing OHS information and data. Factor into the design of information/data provision such factors as time frames, how much information is required, who needs the information, how information is best provided for the target audience and any legal requirements. Develop an action plan assigning responsibilities and time frames for implementation.

2.2 Design processes, in consultation with stakeholders, to enable individuals and groups to be consulted regarding workplace OHS issues and to have input into OHS decision making:

Identify the range of processes suitable for a particular organisation to ensure employees and others participate effectively in OHS decision-making. Decide on the most suitable time frames and mechanisms for consulting with individuals and groups. Factor into the design of consultative processes factors such as time frames, who should be consulted and over what, how consultation is best designed for particular individuals/groups and any legal requirements. Develop an action plan assigning responsibilities and time frames for implementation.



2.3 Identify and document training needs to enable effective participation:

Identify any OHS legal requirements for participation by parties in the workplace, including requirements for OHS representatives and committees. Identify general skills required for consultation and participation (eg, communication skills). Undertake a training needs analysis and identify the gap between existing skills and required skills. Develop a training plan setting out priorities, objectives, people to be trained, how training is to be delivered, who is to deliver training and evaluation mechanisms.

2.4 Review recommendations for participative arrangements, in consultation with stakeholders, to ensure they meet legislative requirements and are realistic, practical and acceptable in the workplace:

Make sure the design and planning phase has included identifying the organisation’s objectives in regard to participation and consultation, determining priorities and resources, reviewing OHS legislation, identifying unique characteristics of the organisation that may impact on effectiveness of participative arrangements (eg, structure of the workforce) and reviewing existing policies and procedures. Recommendations are put to management and to stakeholders and key personnel to check that they are realistic and practical for that organisation and will be accepted by employees and others.



Case Study 2

Gourmet Delights is a large food manufacturing organisation employing 100 full-time and part-time employees over two locations, a storage and dispatch warehouse and a manufacturing plant. The manufacturing plant operates with a production line including a conveyor and roller system. The company relies on temporary labour hire to cover peak periods of demand. Employees are a mix of skilled and unskilled workers, and there is a significant proportion of staff from a non-English speaking background. The company had recently experienced a nasty OHS incident. Maintenance work was being undertaken on machinery when some unexpected orders were received. As a result there was an urgent need to resume normal production. A labour hire worker brought in to increase production caught his hand in an unguarded nip point between the conveyer and roller system. The labour hire worker received crush injuries which resulted in him being unable to work for over a month. Following this incident Gourmet Delights undertook a planning exercise through a task force (made up of representatives from employees and management and supported by the OHS adviser), to identify OHS legal requirements and to identify options for increased participation in OHS activity and decision-making by employees, including labour hire workers. Gourmet Delights completed the initial review stage and commenced designing OHS participative arrangements.



As part of the design phase, Gourmet Delights continued to use the planning task force to consult with the various business teams, including supervisors and employees to set up the most appropriate processes for a range of participative activities. The first priority for the OHS adviser was to identify the most important OHS information and data requirements in the company and to get employees involved in identifying and reporting OHS hazards and issues. Given the special language and literacy needs of the staff, processes had to be designed to allow everyone in the company to understand and follow hazard reporting procedures. The procedures needed to include labour hire workers when they were contracted in to assist with production in peak times. After establishing appropriate processes and procedures, the task force set about designing priorities for OHS training and identifying the most appropriate delivery strategies given the make-up of the workforce and production demands. The taskforce established a skills register for all staff and a program for managing contract labour, and supported the handover of the skills register and training program to the human resource section for maintenance and monitoring. Having undertaken the first round of consultation and design activities, the taskforce prepared a report setting out recommendations for the introduction and maintenance of a range of participative arrangements including electing OHS representatives and setting up an OHS committee. The report was sent to the management committee and circulated to employees via managers/supervisors for comment.



Activity 2


Select an organisation with which you are familiar, and then undertake the following activities.

1. Write a memorandum to the management committee setting out recommended processes for that organisation to:

provide appropriate information and data on OHS to all who require it in order to participate effectively in OHS activity and decision-making; and

consult with individuals and groups in regard to OHS issues for their workplace and having input into OHS decision-making.

In writing the memorandum, identify the particular characteristics of that organisation that will need to be addressed in designing the processes (eg, the nature of the organisation’s business, operational structures, OHS hazards and risks, employee characteristics, and any legal requirements).

2. Develop a proposal for undertaking a ‘training needs analysis’ for the organisation in regard to arrangements for consultation and participation. Outline in the plan how the training needs analysis will be conducted, what needs to be taken into account (eg, legal requirements, planned changes to the organisation) and the range of training strategies available.



Element 3: ASSIST IN DEVELOPING PARTICIPATIVE ARRANGEMENTS

In order to complete the third element of the competency unit successfully, you will have to show that you have satisfied the following performance criteria: 3.1 Develop policies and procedures for participative arrangements. 3.2 Identify key personnel in the introduction and maintenance of participative arrangements. 3.3 Develop strategies for the delivery of training. 3.4 Identify and document resources necessary to introduce and maintain participative arrangements.

After completing this element you should understand the processes involved in developing participatory arrangements. In particular, you should be able to identify the range of OHS policies and procedures (management and operational) that will either set out the arrangements for participation or include provisions that require participation by identified parties in the workplace. You will have the skills to assist significantly with the development and documentation of policies and procedures. You should be able to identify key personnel who either have the ability to influence OHS decision-making, or who are affected by OHS decision-making and are therefore critical to the success of participatory arrangements. You should be able to identify a range of factors, including resources that need to be taken into consideration when developing strategies for the delivery of OHS training.



3.1 DEVELOP POLICIES AND PROCEDURES FOR PARTICIPATIVE ARRANGEMENTS

Policies and procedures Policies and procedures covering the participative arrangements are a core part of a systematic approach to managing OHS. Policies and procedures set out the processes and systems required to meet the OHS objectives and OHS management performance standard. As a safety practitioner, you will be heavily involved in the development and documentation of OHS policies and procedures. Not everyone in an organisation will have the skills, time and resources to develop and document procedures. Therefore, the safety practitioner − though working with all stakeholders, key personnel and technical experts − plays an important role in coordinating, conducting and advising on this activity. The role of policies and procedures was examined in section 1.3; however, some of that material is reproduced below. A policy is usually a statement about an OHS issue and says what the organisation intends to do about the issue – in this case about the participative arrangements for that organisation. A policy may describe:

a desired standard;

management’s commitment;

specific objectives;

resources;

responsibilities;

time frames;

an implementation process; and

a review process.



A procedure sets out step-by-step instructions on how to deal with an activity in the workplace. Because they are instructions, it is essential that any OHS procedures are written in very clear and simple language so that they are accessible and can be communicated effectively. They can be written in a range of formats, including as a flow chart. Procedures generally include:

purpose;

scope;

definitions;

responsibilities;

any information, education, and training requirements;

detail of processes/systems to be followed;

monitoring, reporting, auditing and review; and

documentation and record management.

Procedures may be developed for two different levels: 1. Management policies and procedures. These procedures underpin the overall management of OHS, and set out the processes and systems required to meet the OHS objectives and OHS management performance standards; for example, consultation/participation, the maintenance and inspection program, contractor management, hazard management, incident reporting and investigation and fitness for work. 2. Standard operating procedures. These include hazard management procedures and work instructions or safe work procedures for specific tasks, and set out simple and clear step-by-step instructions on the most efficient and safest way to carry out certain tasks and control specific risks (eg, tag out and lock out isolation procedures, and confined spaces entry procedures).



Both types of procedures will include requirements for participation and consultation. Management policies and procedures need to be developed specifically to set out the arrangements for participation and consultation; however, standard operating procedures may also include requirements for participation by parties in the workplace.

Maintenance of Policies and Procedures To maintain policies and procedures it is important to ensure they are working in practice and stay relevant in a changing environment. As workplaces are always constantly changing, it is important to continually discuss and monitor that the stated safety actions determined by the team and organisation are still aligned. Key tools to maintain OHS systems, including policies and procedures, are tools for monitoring and evaluating. Monitoring and evaluation is covered under Element 5 of this learning guide.

3.2 IDENTIFY KEY PERSONNEL IN THE INTRODUCTION AND MAINTENANCE OF PARTICIPATIVE ARRANGEMENTS

A business management model provides a framework for identifying many of the key personnel in the introduction and maintenance of participative arrangements. This involves:

Step 1 Policy and Planning – decide who needs to be consulted. Who are the key players who have the capacity to influence change through their decision-making power or actions? Determine the processes through which these key players influence decisions and actions. For example, the manner in which they relate to different individuals or groups.



Step 2 Talk and consult − with all levels of staff including managers, employees and others. Determine during the discussions the processes by which change occurs within a particular group and the level of power an individual or group possesses; all of which are significant in affecting OHS sustainable change. Examples of power ‘dimensions’ (French and Raven) include:

formal authority (position or job description);

capacity to influence;

capacity to increase rewards or resources of others;

capacity to coerce others;

possession of specialised knowledge;

control of valued information;

personal characteristics; and

capacity to define situations.

Step 3 Take action − to involve as many people in the discussions as possible. In some organisations, managers grudgingly involve the workforce and offer only token information or involvement through and between safety representatives and managers (Waring 1996). Consulting with and sharing OHS information at all levels of the organisation increases the likelihood of ownership of the change at ‘local’ level.

Step 4 Monitor & Review – consult regularly with all levels of staff to monitor and review OHS actions or measures taken to control risk throughout the organisation. As previously mentioned, this is an important step to make sure controls put in place are actually working and are effective over time.



Participative arrangements will be meaningful and effective only if key people (see Step Two above on power influences) are involved in their introduction and maintenance. Key personnel will also include all those who have a role in the ongoing effectiveness of participatory arrangements (eg, are involved in OHS decision-making or are affected by OHS decisions). These may include:

health and safety representatives or employee representatives;

OHS committee members;

those involved in specific OHS activity (eg, incident reporting and investigations, inspections and audits, hazard reporting and emergency response);

those with responsibility for implementing, for example, OHS plans, policies and procedures, and for specific OHS action plans;

managers from other areas (eg, projects and engineering, maintenance, business divisions, finance, human resources and training); and

employees affected by the OHS decisions.

In sections 2.1 and 2.2 (covering the design of participative arrangements) a suggested action plan was provided. This action plan could also provide the basis for ensuring key personnel for the introduction and maintenance of participative arrangements are identified. To identify key personnel:

list all activities where consultation, participation or information is needed, by reviewing objectives, OHS plans, policies and procedures and action plans; and

list key stakeholders, groups and individuals with expertise or experience to contribute to OHS decision-making.



3.3 DEVELOP STRATEGIES FOR THE DELIVERY OF TRAINING

Developing a training plan for effective participation Your organisation should have a training plan or strategies for the delivery of training for all of its OHS activity, and this in turn may form part of a broader training plan for all of the organisation’s training needs. Training for effective participation is a sub-set of this overall training plan and you will need to identify the priorities for the organisation.

What are effective training strategies? There is a difference between information and training. Information provides general introductory knowledge about a subject or area. A good training program aims to enable the trainee to learn new or upgraded skills and knowledge, which in turn should result in the trainee being able to do things differently. In regard to safety and health, training should involve changing workplace behaviour. The trainee should complete the training with new or upgraded skills and knowledge to enable him or her to work in a more safe and healthy manner. Training should involve a variety of learning or instructional techniques and should allow the trainee to take an active role in their own learning. A good training program includes:

recognition of existing skills and knowledge (otherwise time can be wasted and there is a risk of trainees losing interest);

flexibility in delivery; for example where, when and how (particularly important where training has to be delivered outside of operational hours in environments such as children’s services);

explanation and demonstration;

practice opportunities such as activities, case studies and role plays;

continuous check and feedback, including questions and discussions;



taking into account a person’s English language and literacy levels and cultural background;

encouraging each person to participate in a sensitive and non-threatening way;

some form of assessment that the trainee has achieved the required level of knowledge and skills; and

review and follow up at a later date – has behaviour changed as a result of the training?

Priorities Obviously, you cannot deliver all of your training needs at one time. You need to set priorities for the training based on:

the organisation’s objectives and OHS plan;

legal requirements;

organisational factors; for example, staff availability, changes, new staff; and

budget and resources.

Key factors to consider In developing a training plan you need to consider the following key points:

What is the best way to deliver training to meet the needs of individual employees?

Do you need to use external trainers or courses?

Can you use a train-the-trainer approach and provide for appointed employees to become the trainers in-house?

Does the training need to be on-the-job?

Does training need to be conducted out of normal operational hours?

Will you need to roster relief staff?

Do any of your employees have language or literacy needs or any other special needs?

Are there any other factors that may influence the effectiveness of the training for individuals?

What resources/budget has management committed to training?



The training plan should contain:

priorities;

training objectives;

who is to be trained;

how the training is to be delivered;

who is going to deliver the training;

other information, such as dates and location; and

evaluation and review mechanisms.

3.4 IDENTIFY AND DOCUMENT RESOURCES NECESSARY TO INTRODUCE AND MAINTAIN PARTICIPATIVE ARRANGEMENTS

An essential element of any OHS systematic management is the leadership and commitment of senior management. One aspect of this leadership and commitment is the allocation of appropriate resources to support planned OHS activity. The management of OHS cannot be effective if the necessary resources are not provided to ensure all of the components of OHS planned activity can be developed, implemented, maintained and reviewed. Resources may include:

Finances

Time

People

Materials and equipment

Information and data.

OHS is only one of many demands on the resources of an organisation, and there will be unexpected demands and unforeseen costs. It is all too easy for OHS to slip down the list of priorities and for productivity or short-term production or service needs to overshadow OHS. So, it is essential that resources are identified, allocated and clearly documented for all OHS planned activity over a given period of time, and that some provision is made for the ‘UNEXPECTED’.



Resources provided for the introduction and maintenance of participative arrangements need to firmly based on the objectives and priorities set for the organisation and must be realistic. Documentation is also critical to make sure the commitment to the allocation of resources is very clear, and is firmly integrated into the business or budget process for an organisation. This provides a firm mechanism for evaluating OHS performance and gauging senior management’s commitment to OHS.


Key issues for each performance criterion in Element 3 are as follows: 3.1 Develop policies and procedures for participative arrangements:

Undertake a review of all recommendations for participative arrangements and identify the range of activity. Understand the role of specific management policies and procedures for participative arrangements and also the inclusion of provisions covering participative arrangements in a range of other OHS management policies and procedures. Provide the necessary knowledge and skills in the development and documentation of polices and procedures and make sure they are accessible (eg, in language and style) to all those who need to implement them.

3.2 Identify key personnel in the introduction and maintenance of participative arrangements:

Understand who the people in an organisation are who have the capacity to influence OHS decision-making. Most people are affected by OHS decision-making at some level; therefore, understand how to go about identifying who needs to be involved in the introduction and maintenance of participative arrangements and to what extent and at what level. Identify all activities where consultation, involvement or information is a requirement and who is involved or affected. Identify people who have particular OHS expertise or experience.



3.3 Develop strategies for the delivery of training:

Understand the difference between providing information and effective training. Identify the components of a good training program. In determining appropriate strategies for delivering training, identify all the factors that need to be taken into account for any particular organisation.

3.4 Identify and document resources necessary to introduce and maintain participative arrangements:

Identify the variety of resources required and explain why the commitment of adequate resources is so critical to the success of any OHS activity, including participative arrangements. Understand that resources should be committed according to the organisation’s priorities. Understand the importance of documentation.



Case Study 3

CleanWaste Solutions is a waste management organisation specialising in the collection, treatment and recovery of solid, liquid and hazardous waste on behalf of local authorities, industry and consumers. The company employs 100 skilled employees. In recent times, CleanWaste Solutions has committed to implementing a sustainable approach to its business by adopting ‘business strategies that protect, support and enhance the human and natural resources that will be needed in the future’. In adopting a strategic and sustainable approach to its business activities, CleanWaste Solutions has reviewed its OHS management and set objectives for OHS management over the next two years. One of the OHS priorities identified is to improve the participative arrangements for involving employees in OHS decision-making. Joe Edwards, the OHS Adviser was given the responsibility and necessary resources to oversee the development and documentation of OHS policies and procedures for participative arrangements, though working with all stakeholders, key personnel and technical experts and reporting to the senior management committee. First, Joe identified key CleanWaste Solutions personnel to take ownership and drive OHS change. Pending the setting up of an OHS Committee, he established an interim OHS Taskforce, including representatives from senior management and supervisors (particularly in high hazard areas) and employee representatives. The first priorities for action (consistent with the OHS objectives identified from the OHS planning phase) were identified as:

election of OHS representatives;

setting up an OHS committee;

OHS hazard reporting;

workplace inspections; and

incident investigations.



The OHS Taskforce identified it was essential that the OHS policies and procedures to set up and maintain priority areas for action were written in very clear and simple language. This was so that they could be followed accurately and could be communicated effectively to everyone on whom they would have an impact. Joe then set up a series of small half-hour consultation groups made up of a cross-section of employees. He held these sessions at a range of times that suited the work demands of the business units. In each session, Joe tested draft procedures to make sure they were realistic and would work in practice.

Having developed policies and procedures, the OHS taskforce set about identifying strategies for training management and employees in those policies and procedures. A mixture of on-the-job and external training was selected depending on factors such as the nature of the training content, operational needs and resources available. The OHS taskforce developed an action plan for implementing and maintaining participative arrangements based on OHS objectives and priorities. They identified the necessary resources (including time, money, staff and facilities) required to ensure the action was implemented and maintained effectively and got senior management’s commitment to providing those resources, including a reporting channel for monitoring effective allocation of recourses.



Activity 3


To undertake this activity you should access and use any relevant workplace OHS documentation from an organisation with which you are familiar or to which you have access. Documentation would include the OHS policy, objectives and annual OHS plans for arrangements for consultation and participation.

You may also wish to peruse AS 4801, AS4804 and HB211-2001-OHS Management Systems − A guide to AS4801 for small business, which are all available from Australian Standards or a good library such as WorkSafe’s. There are other equivalent documents you may use to guide you, which are available from state and territory OHS authorities (eg, WorkSafe Plan in Western Australia and SafetyMap in Victoria). Most OHS regulatory authorities have standards or guidance on workplace arrangements for consultation, communication and involvement. Develop a proposed plan for yourself, as the OHS adviser to the organisation, setting out the actions you think you need to take to assist the organisation develop its participative arrangements. Your plan should be based on the organisation’s OHS objectives and annual OHS plan (if there are any) or from any other information available that identifies what the organisation requires over the next 12 months in regard to introducing or improving participative arrangements.



Your plan should include actions covering:

Development of policies and procedures required for a range of participative arrangements.

Identification of key personnel; for example, divisional/functional managers, supervisors, human resources staff and employees, who will be essential to the successful introduction and maintenance of the participative arrangements. Identify who is critical and for what.

Strategies to ensure training is provided to support the introduction of participative arrangements. Make sure you identify why certain strategies have been selected, taking into account the particular needs and characteristics of the organisation or activity in question (eg, on-the-job, formal training off-site).

The scope and range of resources you think are needed to effectively introduce and maintain the proposed arrangements for consultation and participation.



Element 4: PARTICIPATE IN SUPPORTING IMPLEMENTATION OF PARTICIPATIVE ARRANGEMENTS

To complete the fourth element of the competency unit successfully, you will have to show that you have satisfied the following performance criteria: 4.1 Determine priorities for action in consultation with stakeholders. 4.2 Develop action plans with allocated responsibilities and time lines. 4.3 Provide advice and support to key personnel. 4.4 Monitor implementation, in consultation with stakeholders, to ensure that participatory arrangements are effective in providing information and data to all groups and that they provide opportunity for participation in OHS decision making. 4.5 Make recommendations for adjustments to the implementation as required. After completing this element, you should understand the key factors that are critical to successfully giving effect to arrangements for consultation and participation in a workplace. Implementation is the ‘doing’ part of a planned and systematic approach to managing OHS, and you should be able to identify how to establish priorities for actions, mobilise resources, provide advice and support to workplace parties and ensure mechanisms are in place for holding people accountable in set time frames. You should be able to demonstrate a clear understanding of the role of monitoring processes in making sure the OHS objectives and OHS plan for an organisation are being achieved, and identify processes and key tools for monitoring the implementation of planned actions. There are two aspects to monitoring – the first is making sure planned actions have actually been implemented; the second is making sure the planned actions are working in practice over time and achieving the overall OHS objectives and plan. You should understand the role of performance measurements in achieving both of these aspects.



4.1 DETERMINE PRIORITIES FOR ACTION IN CONSULTATION WITH STAKEHOLDERS

Factors influencing priority setting A systematic approach to managing OHS implies a planned approach where objectives and priorities for action have been identified. Each organisation will have a whole range of actions across all areas of business which cannot all be implemented at the same time. Therefore, there is a need to determine priorities for action and to set time frames. The OHS plan should identify priorities for action over a period of time (generally an OHS plan operates on an annual basis, and there may be a two to five-year OHS Strategic Plan sitting above it). Priority actions for participative arrangements will be an integral part of the OHS plan. Determining priorities should be undertaken with the involvement of all key stakeholders, including employees, managers and supervisors, OHS representatives and committees. This may be through an OHS management group or OHS committee seeking input from stakeholder representatives; through workshops or planning forums set up with stakeholder representation; through a structured information and feedback process; or any other mechanism or combination of mechanisms. A range of factors will influence the priority setting process, including:

Legal requirements – obviously if OHS legislation requires a certain form of consultation and participation, then an organisation must meet these requirements.

Hazard management requirements − the ultimate objective of OHS management is the elimination or control of OHS risks and this may help determine which participatory arrangements need to be implemented as a matter of priority.

Organisational factors such as planned changes, new staff, areas of existing OHS expertise and experience. For example, there may be some sections of the organisation with considerable experience and expertise in OHS and you may want to give priority to these sections and use them as a coaching/mentoring exercise for other sections.



One way of approaching the priority setting exercise is to ask: Where are we now, and where do we want to be? To assist you answer this, you could:

identify hazards/risks associated with the organisation’s activities;

review the organisation’s history; for example, with incidents, achievement of past goals and objectives, and results of any previous reviews or inspections by Government authorities;

consult with key stakeholders and personnel;

identify OHS legislative requirements;

compare with current legislative compliance;

identify any industry trends and practices;

compare with organisation’s current performance;

identify any other suitable benchmarks; and

assess level of resources committed to participative arrangements – are they being used efficiently and effectively and are they sufficient?

4.2 DEVELOP ACTION PLANS WITH ALLOCATED RESPONSIBILITIES AND TIME LINES

In this section you will identify what an action plan is and be able to contribute to the development, implementation and monitoring of action plans for participative arrangements. Action plans provide the nuts and bolts of planning, giving information in a clear and easy-to-follow manner to a range of groups and individuals, so that the required OHS action can be taken. Action plans focus on specific areas of the OHS plan, generally have a shorter time frame than the OHS plan and provide the real detail.



A definition of an action plan: A description of specific, concrete steps including milestones, time lines, resources and responsibilities.

ACTION PLAN FOCUSED ON OHS PARTICIPATIVE ARRANGEMENTS

Ref No

Tasks Responsible/Accountable

Due by Progress Sign-off

1

Establishment of an OHS committee for the site including membership, functions, procedures and any necessary training for members

Ray Harmer Human Resources Manager

19/08/07

Complete 1st meeting scheduled and to be reviewed by independent expert. 9/07/07

RM 12/08/07

2

Development of hazard reporting system

John Davis OHS Adviser

10/12/07

Clarifying some issues with new OHS committee – pathways other than hazard report book 2/08/07

Implementation of OHS action plans may involve a number of activities; for example:

communication;

resource allocation;

task allocation/accountability;

reporting channels;

development of any supporting documentation such as policies and procedures;

training;

testing, such as of new procedures; and

monitoring and review of implementation.



Accountability Accountability is an important component of a systematic approach to managing OHS, and essential to the effective implementation of action plans. A range of individuals and groups will have various accountabilities for OHS, including employees and managers and supervisors. However, to be held fully accountable for OHS actions employees, managers and supervisors must have the appropriate authority and resources, must clearly understand what is expected and must have the knowledge and skills required. Accountability also implies some form of performance management. If there is a pattern of continued failure to implement OHS actions within the required time frames, management may need to review the area responsible for taking action. This is not about blame. It may be there are insufficient resources available, or there may be conflicting demands, ambiguity or other factors impacting on the areas ability to complete the actions in question.

Monitoring action plans Implementation of action plans is not a once-off activity. Actions also need to be monitored to check if they are working in practice and are effective (achieving what they were intended to). These follow-up actions are sometimes referred to as ‘corrective’ actions. Activities associated with systematic OHS management include inspection and audit reports, OHS meetings, hazard reporting processes, incident reports and investigations, and are likely to generate a large number of corrective actions or tasks. To make sure corrective actions are implemented and to reinforce management’s responsibility and accountability, there needs to be a system of formal sign-off and regular review.



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

communicated to management, for example through management committees and formal OHS reporting channels;

recorded with times for completion, the responsible person and a tracking system (line of accountability and progress reports); and

signed off on actual completion date by the responsible person.

4.3 PROVIDE ADVICE AND SUPPORT TO KEY PERSONNEL

As a safety practitioner you need to provide clear leadership and demonstrate at all times that you support OHS and the participation of employees, contractors and others in OHS decision-making. These must be your key values and you must be seen as committed to the improvement of the safety, health and well-being of all individuals in the workplace and the community at large. In addition, you must demonstrate ethical work and professional behaviour. The participative arrangements, including action plans, and supporting policies and procedures, need to be put into practice. All through this learning guide the focus has been on what you as a safety practitioner can contribute to the design, development, implementation, and evaluation of participative arrangements for OHS in the workplace. Therefore, your role in providing advice and supporting key personnel is critical. As a safety practitioner you have both specific OHS responsibilities of your own within an organisation (for example, you may have the responsibility for monthly data analysis and reporting) and you also are a critical resource for managers, supervisors, employees, OHS representatives, OHS committee members and others in making sure arrangements for consultation and participation in OHS activity are effective.



Your role may include:

participating as an independent OHS adviser in team meetings, working groups or in similar activities;

coaching and mentoring; and

being an independent arbiter.

Participation The role of a safety practitioner will often include providing templates and content in consultation with managers and others. For example, the safety practitioner may develop the format for safety tool box meetings and advise managers and supervisors on the content and conduct of such meetings. They may personally assist with developing the format and document policies and procedures, working with the relevant parties and acting as an adviser on the actual conduct of meetings.

Coaching and mentoring Coaching and mentoring are linked closely with organisational change initiatives and managing OHS is about achieving change through improved OHS performance. For the safety practitioner with expert skills in OHS management, acting as coach and mentor allows them to help managers and others to understand, accept and adapt to the changes required to achieve OHS objectives and create a safety culture in a manner consistent with their personal values and goals. A key aspect of a safety culture is the commitment and participation of everyone in the workplace to high standards of OHS management. Mentoring has been defined by Clutterbuck, D & Megginson, D in Mentoring Executives and Directors (1999) as: “… off-line help by one person to another in making significant transitions in knowledge, work or thinking.”



Coaching can be seen as a form of leadership activity closely related to mentoring where the safety practitioner is able to support managers by:

having a strong set of positive OHS values and beliefs, including the value of everyone participating in OHS decision-making;

‘walking the talk’ and doing it with conviction;

reinforcing OHS messages;

providing assistance on a day-to-day basis to enable managers and others to acquire OHS knowledge and experience;

being appropriately flexible – understanding operational realities and perceptions and sub-cultures within the organisation. What works for one manager may not work for another; for example, it can vary depending on the nature of work under their management, and on people, attitudes, learning styles, previous experiences; and

being consistent and equitable in regard to their response to OHS performance.

Independent arbiter and adviser Safety practitioners may also bring a crucial independence to any OHS actions undertaken by key personnel in their functional areas. They can stand independently from operational demands and pressures and be an objective arbiter in discussions and differences of opinions (eg, between different functional areas and between people in the functional areas). They are also able to facilitate OHS activities in operational areas such as team-based risk assessments and provide independent advice on OHS matters.



4.4 MONITOR IMPLEMENTATION, IN CONSULTATION WITH STAKEHOLDERS, TO ENSURE THAT PARTICIPATORY ARRANGEMENTS ARE EFFECTIVE IN PROVIDING INFORMATION AND DATA TO ALL GROUPS AND THAT THEY PROVIDE OPPORTUNITY FOR PARTICIPATION IN OHS DECISION MAKING

Process of monitoring The process of monitoring is an essential part of the journey towards a culture of safety. As workplaces are always constantly changing, it is important to continually discuss and monitor that an organisation’s stated OHS objectives and actions are still aligned and are working effectively in practice. This is as true for the OHS objectives and actions associated with participatory arrangements, as it is for all other OHS activity. The types of things that may impact on the effectiveness of planned OHS for the implementation of participatory arrangements include:

external changes − such as changes to OHS legislation, increased or changed use of contractors and sub-contractors, economic and competitive pressures, and skills or labour shortages;

internal changes − such as organisational restructuring, staff turnover, unexpected production demands or problems, new production or service techniques, and new plant or equipment; and

factors such as inadequate resources available, conflicting demands, ambiguity or other factors that impact on people’s ability to complete the OHS actions.

The process of monitoring requires a constant and disciplined approach. Monitoring is described by Waring (1996) as ”a process of detecting stability and change in one or more parameters of a structure or process”. Monitoring therefore requires a predetermined notion of what the desired state of affairs should be.



Each organisation needs to establish a system that ensures the continuous tracking of planned actions and measures performance. Measurement tools should provide the ability to make valid measurement over time, and make valid comparisons between service or business areas within the business or comparisons with other businesses.

There are two kinds of systematic monitoring: pro-active and reactive. Typically the measures of performance associated with these are as follows: Pro-active measures of OHS performance are those which address present activities, processes and conditions designed ultimately to achieve a safe and healthy workplace, including through implementing effective participatory arrangements. Because of their preventative emphasis, pro-active measures should assume greater importance than reactive measures. Reactive measures of OHS performance are those that measure things which have already occurred, and include data relating to the study of the incidence, distribution and causes of or contributory factors involved in incidents, fatalities, injuries and diseases. Many organisations still measure their OHS performance almost exclusively in terms of accident rates, falsely believing that incident and injury/ill health statistics are an accurate and complete measure of OHS performance. In reality there are many problems with relying on reactive measures, including that the absence of previous incidents/injuries is not a reliable measure in itself of the potential or seriousness of any future incident/injury.

Performance Measurement and Monitoring

OHS action plans are intended to achieve the overall OHS objectives and OHS plan for an organisation, and monitoring activity is designed to measure both that the actions are in line with the OHS objectives and that they are working effectively in practice. To monitor the progress of the implementation of OHS action plans for participatory arrangements, a coherent and understandable set of measures must be established. A simple framework for measuring performance (in terms of implementing actions and ensuring linkage to the overall OHS objectives and OHS plan) is illustrated below:



Performance Indicator

Performance Measure

Measurement Reporting Mechanism

Primary Responsibility

4.5 MAKE RECOMMENDATIONS FOR ADJUSTMENTS TO THE IMPLEMENTATION AS REQUIRED

Linkage to OHS objectives As we have seen earlier, planned actions are intended to achieve the overall OHS objectives and OHS plan for an organisation, and monitoring activity is designed to measure both that the actions are in line with the OHS objectives and that they are working effectively in practice. As a result of measuring performance; for example, implementation of OHS participatory arrangements, adjustments and improvements can be made. Action plans are a key tool in the monitoring and continuous improvement process. The action plan should be used to record actions taken and record accountability and reporting channels and follow-up instructions. An action plan should have the capacity to identify further improvement strategies that need to be implemented. For example, if during the monitoring process it was found that an action relating to the OHS committee was late in being implemented because of a lack of the necessary knowledge or skills in OHS committee members, this should form the basis of a corrective action or adjustment to the plan.

Corrective actions Fundamental to the monitoring of OHS performance within any organisation is the process of identifying and recommending what changes actually need to occur as a result of monitoring activity. These actions are sometimes referred to as ‘corrective’ actions. Activities associated with systematic OHS management activity (including for participatory arrangements) such as OHS representatives, OHS committee meetings, OHS in tool box meetings, hazard reporting processes, inspections and audits, incident reporting and investigation and team-based risk assessments, are likely to generate a large number of corrective actions or tasks.



To make sure ‘corrective’ actions are actually implemented and to reinforce management’s responsibility and accountability, there needs to be a system of formal sign-off and regular review. All identified corrective actions as a result of monitoring activity need to be:

communicated to management (eg, through management committees and formal OHS reporting channels);

recorded with times for completion and the responsible person, and a tracking system (line of accountability and progress reports); and

signed off on actual completion date by the responsible person.

Tracking corrective actions A formal sign-off process and regular reviews of the status of corrective actions is essential. A “sign-off” should be completed by the responsible manager once they are satisfied the action has been completed. Monthly management reviews should be undertaken of the overall status of corrective actions. The outcome of these reviews should be recorded and any additional corrective actions allocated to a responsible person. A ‘record’ system for corrective actions can be centralised or held in respective functional areas of the organisation. However, the central OHS management committee (or equivalent) must track actions on a regular basis and require reports from each area on progress and status of corrective actions. The person responsible for making sure the corrective action is completed should generally be the manager who has immediate control and responsibility for the area covered by the action. In practice, supervisors can be allocated the day-to-day responsibility for actually completing the action (eg, allocating resources, directing or instructing other employees to undertake the actual work or tasks to complete the action); however, the manager holds the overall responsibility.



If there is a pattern of continued failure to implement OHS corrective actions within the required time frames, management needs to review the area responsible for taking action. This is not about blame. It may be there are insufficient resources available, or there may be conflicting demands, ambiguity or other factors impacting on the area’s ability to complete the actions in question.


Key issues for each performance criterion in Element 4 are as follows. 4.1 Determine priorities for action in consultation with stakeholders:

Identify a range of factors that will influence the priority setting process. Understand that in implementing participatory arrangements for OHS an organisation is ultimately trying to eliminate or control OHS risks, and that the involvement of everyone in the organisation is crucial to this process.

4.2 Develop action plans with allocated responsibilities and time lines:

Understand the role of action plans in implementing a systematic approach to OHS participatory arrangements, and in achieving OHS objectives. Identify the components that make-up an action plan, and understand the importance of clear mechanisms for accountability and performance management. Understand that holding people accountable for the achievement of actions is not about laying blame but about making sure actions are clearly understood, that there is no ambiguity of conflicting priorities, and that sufficient resources and skills have been provided.



4.3 Provide advice and support to key personnel:

Understand the role of a safety practitioner in providing a leadership and value-driven role in OHS management, while sometimes providing expert advice and support to a range of individuals and groups within an organisation. Identify the OHS areas or activities for which a safety practitioner may personally take responsibility. Understand the role of coach or mentor and the role of an independent adviser.

4.4 Monitor implementation, in consultation with stakeholders, to ensure that participatory arrangements are effective in providing information and data to all groups and that they provide opportunity for participation in OHS decision making:

Understand the importance of monitoring activity in a systematic approach to improving OHS performance. Identify factors that may impact on the effectiveness of planned OHS actions. Understand what monitoring is designed to achieve. Identify possible mechanisms for tracking planned actions and explain the role of performance measures.

4.5 Make recommendations for adjustments to the implementation as required:

Identify mechanisms for making corrections or improvements to planned actions to ensure OHS objectives are being achieved. Explain the role of corrective actions and identify what needs to be done to make sure recommendations for corrective action or improvement are made and are working in practice.



Case Study 4

Harvest Pty Ltd is a large manufacturing company specialising in agricultural machinery parts. It has three manufacturing plants in three different states across Australia, with the largest being in Victoria. The head office is also located in Victoria. Harvest employs a workforce of over 1,000 people, with 400 employed in the Victorian manufacturing plant. About one-third of the workforce are women – primarily employed in the non-trade areas of the plant. The workforce comes from a wide variety of linguistic and cultural backgrounds. Employee turnover at the plant in Victoria is low overall; though in recent years there has been a higher turnover in the trades areas as a result of a state skills shortage and a subsequent high demand for these people. Senior management has undertaken an OHS strategic planning exercise, setting OHS objectives and a five-year OHS plan. As a result, senior management recruited an expert OHS adviser to consult widely across the company and to design and develop OHS systems, including arrangements for involving employees in OHS decision-making and activity. The OHS adviser has consulted with senior management and a range of workplace parties to develop priorities for action for the next 12 months based on legal requirements, priority hazards, and the particular needs/characteristics of the organisation, etc.

Given the fact that Harvest was located over three different states and employed a mix of trade and non-trade employees with a wide range of cultural/language needs, the OHS adviser identified an OHS ‘champion’ in each workplace and set up a coordinating workgroup in Victoria with sub-workgroups in each of the workplaces ensuring representation across the skills, gender and cultural/linguistic make-up of the workforce. The OHS adviser, working each of the workgroups, then developed site-based action plans.



The action plans were based on the following model:

Suggested format for OHS Action Plan Site. ……… Date……..

Strategic Objective

Relevant OHS Standard or area of activity

OHS Action By Who By When Key Milestones

A. First Level Priorities

1. Election of OHS Representatives

2. Establishment of OHS Committee

3. Hazard Reporting

4. Workplace Inspections

5. Incident Investigation

6. Team-based Risk Assessments

7. Tool Box Meetings

8. Training

B. Second Level Priorities

1. Election of OHS Representatives

2. Establishment of OHS Committee

Etc.

A critical part of the action plan was the identification of appropriate milestones and performance measures to make sure planned actions were working in practice and achieving the OHS objectives (eg, management and employees participating in OHS activity and decision-making).



A range of managers, supervisors and other people were allocated the responsibility for implementing planned actions and monitoring those actions. They had to make sure appropriate OHS information and data was being received by the people who needed it and that the participatory arrangements were working effectively in practice and achieving the OHS objectives. However, the OHS adviser played a significant support role, advising and mentoring people in OHS activity and making sure she was always at least one step ahead of people in understanding and knowing what needed to be done. The OHS adviser established clear lines of communication with managers and supervisors and adopted a very clear non-judgemental and supportive approach that showed she understood the operational pressures managers and supervisors were under while ensuring resources and accountability lines were clear. As a result of monitoring the implementation of the action plans the OHS adviser worked with managers and supervisors (including getting feedback from individual employees working with the actions) to identify any changes or improvements needed to ensure OHS objectives were being met. The recommendations were provided to senior management for endorsement.



Activity 4


Select an OHS jurisdiction and workplace then undertake the following activities: 1. Prepare a presentation to management advising on the process for determining priorities for taking action on arrangements for consultation and participation. In your presentation cover the need to:

meet legal requirements for that OHS jurisdiction;

make sure the participative arrangements focus on priority hazards and risk areas;

meet the needs of the workplace in question (eg, particular characteristics such as structure, operational demands and workforce characteristics); and

align with the overall business plan and with the OHS plan and OHS objectives.

2. Prepare a proposed action plan. The action plan does not have to be comprehensive in scope, but should provide key examples of priorities requiring action, and should cover responsibilities, time frames, milestones, performance measures, reporting, corrective action and sign-off. 3. For each major OHS participatory arrangement requiring implementation and maintenance, write yourself a personal plan for your role in that activity. For example, will your role be hands-on development (writing plans, policies and procedures), providing mentoring, coaching and advice, acting as independent arbiter? Explain your preferred approach and style to supporting managers and supervisors. For example, how you will go about achieving understanding, commitment and change.



Element 5: PARTICIPATE IN EVALUATING THE DESIGN AND DEVELOPMENT OF PARTICIPATIVE ARRANGEMENTS

In order to complete the final element of the competency unit successfully, you will have to show that you have satisfied the following performance criteria: 5.1 Design the evaluation protocol in consultation with stakeholders. 5.2 Develop a plan for collecting information and data. 5.3 Analyse and evaluate information and data. 5.4 Make recommendations for improvement in the participatory arrangements as a result of the evaluation findings. 5.5 Provide a report to stakeholders and key personnel on the outcomes of the evaluation, and recommendations for further development and improvement. 5.6 Seek feedback from stakeholders and develop an action plan for ongoing improvements.

After completing this element you should be able to explain the role of evaluation in a continuous improvement approach to managing OHS, and in particular participative arrangements. You should be able to explain how performance measures link to OHS objectives and also to planned actions and therefore identify the range of information and data required. You should be able to design a protocol to use to evaluate arrangements in the workplace for ensuring consultation, participation and cooperation on OHS activities and decision-making. You should be able to interpret information and data gathered through performance measurement activities, and evaluate that information and data (analyse and interpret it). Having undertaken evaluation activities, you should be able to prepare recommendations for improvement based on overarching OHS objectives, and prepare a written report and present it effectively to management.



5.1 DESIGN THE EVALUATION PROTOCOL IN CONSULTATION WITH STAKEHOLDERS

Going back to the management systems model provided in the introduction to this learning guide and in section 1.4 – you are now at the review or evaluation phase of a systematic approach to participative arrangements for OHS management in the workplace.

Review or evaluate The aim of the review or evaluation phase of a systematic approach to managing OHS is to check how well an organisation is going towards achieving its stated objectives. Evaluation is a more comprehensive exercise than monitoring or corrective action, in that it is about measuring OHS performance against objectives and legal requirements to allow you to refine and improve the OHS management system. To evaluate OHS performance for participative arrangements, an organisation needs to develop a set of performance measures which indicate progress toward achieving the objectives. One way of putting together a series of performance measures is to develop an evaluation ‘protocol’. This protocol could be, for example, in the form of a documented checklist or audit tool which has been developed in consultation with employees, supervisors, OHS experts and other key individuals or groups in an organisation and endorsed by senior management. In determining performance measure, an organisation needs to focus on finding out about the specific OHS program being evaluated. For example, if one of the objectives for achieving a systematic approach to participative arrangements is to achieve a high level of employee involvement in the OHS hazard management program, then you may have to look at records for hazard reports or OHS issues raised by employees, inspection reports, risk assessment activity and OHS committee minutes.



Internal versus external evaluation In addition to developing internal performance measures and an evaluation protocol to evaluate whether the OHS objectives for participatory arrangements are being achieved (this is generally conducted on an annual basis but there may be ongoing collection of information and data), many organisations also undertake independent external reviews or evaluations. This level of review or evaluation is more likely to be undertaken on a two to five-year time scale or as a result of major change. Such a review could be triggered by a major incident or external enquiry or could be driven by a range of other external and internal factors. There are a number of assessment or audit protocols available in Australia which allow an organisation to benchmark their OHS performance against an accepted OHS standard. For example, Australian/New Zealand Standards 4804 and 4801 provide organisations in Australia with access to a nationally accredited protocol to gauge where they are at with their OHS performance and to provide them with information on what, where and how they need to improve. There are other similar tools available such as SafetyMAP in Victoria. In addition, many OHS regulatory authorities have OHS management systems assessment tools. The main focus of this learning guide is on internal protocols for management evaluation.

Performance measures To evaluate either an organisation’s overall OHS performance or performance in a specific area including arrangements for participation (involvement and consultation) you, as a safety practitioner, will need to be competent in developing a range of measures including short-term, long-term, quantitative, qualitative and timeliness measures.



Outcome measures Outcome measures include:

numbers of accidents, incidents and injuries (including near misses);

outcomes for staff, for example, the severity of injuries and time off work; and costs (eg, workers' compensation premiums);

staff satisfaction levels;

client satisfaction levels; and

accreditation standards and performance measurement.

Process measures Process measures are a means of focusing on assessing how successfully a workplace is performing through measuring OHS processes. They provide an effective way of measuring how an organisation is performing in relation to its OHS management activities. Measuring performance should provide information on both the level of actual performance and why the performance is at the level. It should:

provide information on how the systems are operating in practice;

identify areas where remedial action is required; and

provide a basis for continual improvement and therefore LEAD OHS management.

Process measures can be:

quantitative (eg, percentage of planned OHS audits completed); or

qualitative (eg, employees’ perception of adequacy of information and instruction provided to them on how to manage the specific risks associated with their tasks).



You need both quantitative and qualitative indicators. Good performance indicators need to tell you how EFFECTIVE your OHS activities are, not just how busy you are! So, for example, you don’t want just to know how many planned OHS audits have been completed, but also how effective the audits are at identifying things that need improving and in triggering action to improve them.

Dials, Alarm Bells and Can Openers Performance indicators generally fulfil three different functions:

Dials – providing information that can be read off like a dial (eg, percentage of planned OHS audits, frequency of inspections). Alarm Bells – give a warning of events that should never happen (eg, number of injuries). Can openers – trigger further investigation and help you identify strategies for improvement (eg, number of improvements implemented as a result of planned safety audits, and average time taken to rectify high risk hazards). (Carter et al, 1992: How organisations measure success: The use of performance indicators in government).

The performance measures and evaluation protocol will need to cover all the objectives (and legal requirements) for OHS participatory arrangements. In the earlier sections you examined the types of arrangements that may be put in place including (but not limited to) arrangements for:


OHS committees;

inductions and training;

tool box meetings and pre-shift briefings;

OHS noticeboards/bulletins;

OHS issues, hazards and incident reporting;

OHS inspections;

risk assessments;

problem/project groups;

safety days; and

provision of OHS information and data.



5.2 DEVELOP A PLAN FOR COLLECTING INFORMATION AND DATA

Once performance measures and evaluation protocol (eg, a checklist or audit tool) are developed for an organisation, the organisation then needs to decide how they will go about actually measuring performance and collecting the resulting information and data. Key things to consider when planning for the collection of information and data are detailed below.

What sort of information/data is being collected and how will it be verified? As an example, if you are evaluating the effectiveness of an organisation’s information and communication strategy, you could collect qualitative information by talking to employees directly, examining OHS committee minutes, examining notice boards and obtaining copies of OHS bulletins/memorandums. You could collect quantitative information by, for example, measuring the percentage of employees who are able to identify the arrangements in place for employee participation in OHS decision-making. The range of information will include feedback from individuals and employee representatives, minutes of meetings, surveys and questionnaires, workshops and quantitative and timeliness data.

How often does information/data need to be collected? This will depend on the performance measure. If you are measuring the effectiveness of training strategies, for example for OHS committee members or employees participating in team-based risk assessment, then the measurement will need to be at the end of every training course and then may be followed up by measuring workplace performance improvements in these areas. If you are measuring whether OHS legal requirements for consultation are being met, you may measure this only annually.



Who will be responsible for collecting it? Who will undertake measurement activity and collect the information and data will depend on the specific activity being measured – but whoever is responsible must be clearly identified and held accountable for it. The measurement of OHS committees and OHS representatives may be conducted by an OHS safety adviser/coordinator or whoever has the function for overseeing OHS activity. The measurement of specific activities such as tool box meetings and inspections may be undertaken by supervisors or managers and the conduct of, for example, team-based risk assessments may be undertaken by a small project team or workgroup.

What resources will be required? An important part of planning for the collection of evaluation information and data is identifying and allocating all the resources required to undertake performance measurement and information and data collection. Resources may include the need to take key individuals out of their normal tasks to conduct a formal evaluation using the evaluation protocol, providing training so key individuals have the evaluation skills they require, and providing any equipment, etc.

What factors may impact on evaluation activity? It is also important to identify what else might be taking place or is being planned in the organisation that may impact on evaluation activity. For example, if there is going to be a planned maintenance shutdown or major staff turnover at the same time as an evaluation activity takes place, will that affect the evaluator’s ability to collect necessary information and data?



What are the accountability/reporting channels? The OHS committee and OHS representatives play a key role in OHS management and should be involved in any evaluation activity. Reporting channels for the results of evaluation may flow, for example, from the individual or group responsible to:

supervisor/manager

to

OHS/HR adviser

to

OHS committee and OHS representatives

to

senior management.

5.3 ANALYSE AND EVALUATE INFORMATION AND DATA

Too often information and data are collected by an organisation as an end in itself. For example, complicated statistical or data reports are generated but are not used to drive any improvement activity. The whole point of performance measures, evaluation and the collection of information and data is to provide a basis for refining and improving the management of OHS. So, information and data collected as a result of evaluation needs to be interpreted or analysed. What does the information and data collected say about the effectiveness of the participatory arrangements and are the objectives being achieved? If the organisation stated that it aimed by a specific time frame to have 80 per cent of tool box meetings having OHS on their agenda, what is the actual percentage after you have conducted an evaluation?



If an objective or standard is not being met, then the next step is to ask a series of questions to establish why, including the following:

Was the original objective realistic, practical and achievable? (See section 2.4 of this learning guide for guidance on what is realistic, practical and achievable.)

Were sufficient resources provided?

Were there ambiguities, lack of clarity or conflicting demands?

Were there unexpected operational or organisational changes?

Was sufficient training and information provided to enable responsible people to carry out the planned activity?

Were the performance measures appropriate for the activity they were supposed to evaluate?

Were the people who were allocated responsibility provided with the necessary support and authority to carry out their roles?

Analysis of information and data should not be a blame exercise. The point is to find out what factors are preventing the achievement of OHS objectives and to take systematic action to improve OHS activity.

5.4 MAKE RECOMMENDATIONS FOR IMPROVEMENT IN THE PARTICIPATORY ARRANGEMENTS AS A RESULT OF THE EVALUATION FINDINGS

Identifying recommendations for improvement Having analysed the information collected from using the evaluation protocol or other evaluation activity, the organisation is now in a position to determine what changes need to be made − either to the original OHS objectives and performance measures, or in improvements, for example, in providing the necessary resources, ensuring conflicting demands are identified and taking measures taken to allow the responsible person to conduct an effective evaluation.



Take the following example:

OHS Objective: Provide OHS induction training for all new

employees.

Performance Measure (or target):

Induction raining to be provided in first week of employment.

Evaluating the OHS objective by measuring actual performance should result in identification of a range of improvements. This might be as a result of, for example, new legislation or changing organisational activity or structure. Alternatively, evaluation may reveal a range of other issues such as problems with resource allocation, conflicting demands and communication breakdowns. Using the example above, analysis of the information and data from the evaluation may result in a recommendation to clarify the objective itself to include induction for all contractors. Or an evaluation may find that the performance measurement ‘training be provided in the first week’ is actually creating an unsafe situation as new employees are regularly working for a full week or sometimes more before they receive any induction. Or evaluation may reveal a lack of trained staff to conduct induction training and therefore recommendations focus on allocating sufficient resources to allow for trained staff to conduct such induction training.

5.5 PROVIDE A REPORT TO STAKEHOLDERS AND KEY PERSONNEL ON THE OUTCOMES OF THE EVALUATION, AND RECOMMENDATIONS FOR FURTHER DEVELOPMENT AND IMPROVEMENT

Developing a report As a safety practitioner or OHS adviser you may have the responsibility for coordinating the findings from all of the evaluation activity and developing a report containing findings and recommendations for improvement.



The style of the report should take into account the size and sophistication of the organisation and the target audience, and it should also be accessible to a range of stakeholders and key personnel. It is therefore important that you understand the language and literacy needs of the organisation you are working for and understand your audience. The report should set out:

OHS objectives for participatory arrangements;

associated performance measures and evaluation protocol;

details on actual performance measured – including when, where, etc;

structured and clear analysis of the findings (see section 5.3); and

recommendations which are realistic, practical and achievable − to make sure the OHS objectives continue to be valid for that organisation and are being achieved.

5.6 SEEK FEEDBACK FROM STAKEHOLDERS AND DEVELOP AN ACTION PLAN FOR ONGOING IMPROVEMENTS

Feedback and action plan for improvement The evaluation phase of a systematic approach to OHS management and arrangements for participation provides an ideal opportunity to promote and reinforce a safety culture based on the involvement of everyone in the organisation, and to communicate senior management’s commitment to high standards of OHS. The involvement of employees and others is a critical factor in the effectiveness of OHS management. Clearly employees are an invaluable source of ideas, experience and drive for OHS improvement.



The point at which the organisation’s OHS objectives and performance measures are being evaluated provides an excellent focus for reinforcing a safety culture based on the commitment and participation of all key stakeholders, including managers, supervisors, employees, contractors and others. Feedback on the findings and recommendations from the evaluation phase should be sought from all the key stakeholders, either through the OHS committee and OHS representatives or directly to work areas through managers and supervisors. Seeking feedback on proposed actions to improve participatory arrangements will ensure greater acceptance and ownership by the very people who those arrangements are designed to include in OHS decision-making. Having received feedback on whether recommendations are realistic and practical and are accepted by key stakeholders, senior management needs to agree on an action plan to put the recommendations into place and make sure they are effective in practice. As the safety practitioner you provide appropriate support, which may include developing the action plan for their consideration.



Evaluation of recommendations Example of possible design of an action plan focused on OHS participative arrangements

Recommendation Planned Action Responsible/ Accountable

Completed Performance Monitor Progress

Sign Off

R.1 OHS committee members to be provided with further training in systematic management of OHS.

A.1.1 OHS committee members to attend a two-day introductory course on AS4801 provided by accredited trainer.

Due by

19/09/08

Dave Scott OHS Adviser

2/9/08

All OHS committee members have attended training. At least 80% of OHS committee members able to demonstrate understanding of OHS systems approach based on questionnaire completed at end of introductory course.

Roy Barnes Senior Manager 12/08/07

R.2 OHS committee members to be provided with further training in use of OHS performance measures.

A.1.2 OHS committee members to be provided training in the use of OHS performance measures.

Due by 10/11/08

Dave Scott OHS Adviser

One day training planned to be conducted on-site with all OHS committee members attending same course together. Dave Scott 30/9/08




Key issues for each performance criterion in Element 5 are as follows. 5.1 Design the evaluation protocol in consultation with stakeholders:

Explain the difference between monitoring and corrective actions on the one hand and evaluation on the other. Understand the role of performance measures in a continuous improvement approach to OHS participatory arrangements, and in achieving OHS objectives and meeting legal requirements. Identify a range of outcome and process performance measures. Explain what an evaluation protocol is, and the roles of internal and external evaluations.

5.2 Develop a plan for collecting information and data:

Identify a systematic approach to conducting evaluation activity, and explain the importance of a developing a clear and documented plan that sets out performance measures, the responsibilities for collecting information and data for those performance measures, time lines, accountabilities and reporting channels.

5.3 Analyse and evaluate information and data. 5.4 Make recommendations for improvement in the participatory arrangements as a result of the evaluation findings. 5.5 Provide a report to stakeholders and key personnel on the outcomes of the evaluation, and recommendations for further development and improvement. 5.6 Seek feedback from stakeholders and develop an action plan for ongoing improvements.

The key issues for 5.3 – 5.6 are self-explanatory.



Case Study 5

Developing an Evaluation Protocol for Harvest Pty Ltd Harvest Pty Ltd – See Case Study 4 for details on Harvest Pty Ltd. The OHS adviser for Harvest Pty Ltd was asked to develop an evaluation plan. In undertaking this task, the OHS adviser:

developed a proposal (to be presented to head office’s senior management meeting and subsequently to senior management meetings at each site) on all sources of OHS information and data needed by the organisation to monitor OHS actions and evaluate the effectiveness of participative arrangements in achieving stated OHS objectives;

outlined a process for monitoring all planned OHS actions, which included responsibilities, frequencies, milestones, performance measures and reporting arrangements;

developed a protocol in consultation with external audit experts to allow the organisation to conduct annual assessments and reviews of its performance and the effectiveness of the participatory arrangements against stated objectives and standards;

clearly showed the link between the performance measures, the overarching OHS objectives and the planned actions themselves;

developed a schedule for monitoring and evaluating actions; and

established a clear reporting channel to senior management on recommendations arising from the evaluation, with time frames for such reporting.



In completing the above tasks, the OHS adviser took into account what information was going to be collected and why, how and where it was to be used across all three sites (in three different states), and how data could be presented. The OHS adviser was aware of the need sometimes to compromise. It is better to have the data go to a management meeting in an ‘accepted’ format even if it not ‘theoretically perfect’.



Activity 5


Select an organisation with which you are familiar, and undertake the following activity:

Identify a key area of activity where consultation and participation arrangements are a critical aspect (eg, OHS representatives, workplace inspections, hazard reporting)

Identify the key components of those arrangements. Then develop some examples of performance measures designed to evaluate the effectiveness of those arrangements for consultation and participation; for example, meeting legal requirements, achieving OHS objectives, planned actions and intentions happening effectively in practice.

Provide a sample of an evaluation protocol; for example develop a sample of an assessment tool with details on what information has to be collected, by whom and by when.

Explain how you would go about developing recommendations for improvements to the arrangements for consultation and participation, and how you would structure a report on these recommendations to management, supervisors, employees and other stakeholders.


On-line unit test questions

As a final Activity, check your understanding of assisting in the design and development of OHS participative arrangements by answering the on-line test questions for the unit, which you can access at the SafetyLine Institute: www.worksafe.wa.gov.au/institute The test questions have been taken from the Readings and Resources for this unit as well as from this learning guide. Keep a copy of your student record in your Assessment Portfolio as evidence you have correctly answered the on-line test questions. Please note that you may be further questioned about the test questions during your Assessment Interview.




Integrated project

Keep a copy of this Project for your Assessment Portfolio. By completing the Activities, you have undertaken the actions necessary to assist in the design and development of OHS participative arrangements. While these activities have to be individually identifiable for assessment purposes, you should also present them in a way that provides an integrated report for your workplace and demonstrates that you can take the actions necessary to assist in the design and development of OHS participative arrangements. This will also give you the opportunity to check that you have provided evidence that you have:

the required knowledge and understanding; and

the required skills and abilities, which are outlined in the Introduction to this unit.

You should try and integrate evidence of the required knowledge and skills into your report.

Summative presentation

In addition to the written report, you are required to make an oral presentation to a workgroup (or a simulated workgroup), on the actions necessary to assist in the design and development of OHS participative arrangements. You may select the format and approach that you consider is most appropriate to the workgroup, but you should take account of the Project Review Checklist that will be used to assess you.



ASSESSMENT

Assessment portfolio from learning guide

For BSBOHS503B – Assist in the design and development of OHS participative arrangements. Note to participant Any documentation provided as evidence must be prepared by you to a satisfactory standard and be in accordance with workplace procedures. When collecting material for your assessment portfolio, please ensure that the confidentiality of colleagues, workers and other people is protected, and block out any sensitive information. If you have any doubts regarding confidentiality issues, contact the organisation concerned.

Participant’s name: _______________________________ Date: _______________________________

the box when you complete an activity from the Learning Guide.

Add the material from the activity to your assessment portfolio.

Activity 1

Activity 2

Activity 3

Activity 4

Activity 5




Assessment portfolio from learning guide (cont.)

On-line test questions

Integrated project and presentation

Note: Attach a copy of this document to your assessment portfolio, so that your assessor can see you have completed all the activities. Assessor’s signature:

Date:


Project review checklist

For BSBOHS503B – Assist in the design and development of OHS participative arrangements.

Participant’s name: _______________________________

Date: _______________________________

the box if the learner has completed the following: Presented a written report on assisting the design, development and

review of OHS participative processes. The report should include at least three examples of activities undertaken by the learner.

Gave a summary oral presentation to a workgroup (or a simulated workgroup), that included and explained the following required knowledge and understanding:

What is meant by a ‘systematic’ approach to OHS, and the integration of participative arrangements as part of that approach?

Continuous improvement model − action planning, implementing, monitoring and

reviewing/evaluating. How consultation and participation is enshrined as a central part of a modern

performance-based approach in OHS legislation. Particular requirements for consultation and participation in OHS legislation.

Organisational factors that need to be taken into account when designing participative arrangements for a particular workplace. Special needs.

Communication. What makes for effective communication to allow for the involvement of a range of individuals and groups in OHS decision-making? Range of communication mechanisms, eg, reports, conduct of meetings (including agenda, action planning, chairing, etc.) One-on-one presentations.

Range of OHS information and data required and by whom in the workplace.

What types of mechanisms or processes are available and would be suitable (realistic and practical given particular characteristics of that organisation) to ensure a range of groups and individuals participate in OHS decision-making on ongoing issues and OHS issues as they arise.

Concept of duty of care. Role and rights of OHS inspectors.

How to determine priorities. Role of performance measurement and evaluation protocols.

Assessor’s Signature: _________________________________ Date: ___________________________



Third party (manager/mentor) report

For BSBOHS503B – Assist in the design and development of OHS participative arrangements. Note to participant Where possible you should have an OHS practitioner as a mentor to assist in developing the practical skills in applying your knowledge. Your manager is also an important source of feedback on your competence, although from a different perspective. The assessor will arrange to meet with you and your mentor, coach or manager to discuss completion of the third party report. The third party report will support integrated assessment of this unit. The mentor, coach or manager is required to provide the Assessor with any relevant information. This report will be forwarded by the Assessor to the candidate for inclusion in their assessment portfolio. The following list of questions is provided as the basis for a checklist for you and your mentor, coach or manager. Where you have both mentor and manager, separate forms should be completed. The checklist has been designed to reflect the performance criteria and to collect information about your demonstration of competence in the workplace. The assessor may use additional questions to address any need for supplementary evidence to support your competence.



Checklist

(The following list of questions is provided as the basis for a checklist for you and your mentor, coach or manager.)

Did the Candidate satisfactorily: Yes No

1.1 Review OHS legislation to identify legal requirements for participative arrangements?

1.2 Identify factors that may impact on design of participative arrangements?

1.3 Review organisational policies and procedures to identify requirements and opportunities for OHS consultation and communication?

1.4 Review effectiveness of existing workplace arrangements for OHS consultation and communication in consultation with stakeholders?

1. Identify the need for OHS participative arrangements

1.5 Define information and consultation requirements for specific roles and groups in consultation with stakeholders and key personnel?

Comment

2. Assist in design of participative arrangements

2.1 Design processes for providing required OHS information and data in consultation with stakeholders?

2.2 Design processes to enable individuals and groups to be consulted regarding workplace OHS issues and to have input into OHS decision-making in consultation with stakeholders?



Checklist cont.


2.3 Identify and document training needs?

2.4 Review recommendations for participative arrangements in consultation with stakeholders to make sure they meet legislative requirements and are realistic, practical and acceptable?

3.1 Develop policies and procedures for participative arrangements?

3.2 Identify key personnel in introduction and maintenance of participative arrangements?

3.3 Develop strategies for delivery of training?

3. Assist in developing participative arrangements

3.4 Identify and document resources necessary to introduce and maintain participative arrangements?

Comment



Checklist cont.


4.1 Determine priorities for action in consultation with stakeholders?

4.2 Develop action plans with allocated responsibilities and time lines?

4.3 Provide advice and support to key personnel?

4.4 Monitor implementation in consultation with stakeholders to make sure participatory arrangements are effective in providing information and data to all groups and providing opportunity for participation in OHS decision-making?

4. Participate in supporting implementation of participative arrangements

4.5 Make recommendations for adjustment to implementation as required?

Comment



Checklist cont.


5.1 Design evaluation protocol in consultation with stakeholders?

5.2 Develop a plan for collecting information and data?

5.3 Analyse and evaluate information and data?

5.4 Make recommendations for improvement in participatory arrangements as a result of evaluation findings?

5.5 Provide a report to stakeholders and key personnel on outcomes of evaluation and a recommendation for further development and improvement?

5. Participate in evaluating the design and development of participative arrangements

5.6 Seek feedback from stakeholders and develop an action plan for ongoing improvements?

Comment

Comments: further comments by assessor (if required)



Keep a record of the following:

Name of person completing checklist:

Background/ experience in topic (if any)

Date:

Relationship to person being assessed (tick)

Mentor/coach for

Months

Manager for

Months

Other Months

(explain)

Team Manager/Mentor’s Signature: _______________________

Assessor’s Signature: _____________________________

Date: ______________________________



Skills checklist

For BSBOHS503B – Assist in the design and development of OHS participative arrangement.

Candidate’s name

Assessor’s name

Work activity Participative arrangements for OHS

Unit of competency BSBOHS503B – Assist in the design and development of OHS participative arrangements.

Location

Instructions:

The candidate assists in design, planning, implementation, monitoring and evaluation activities for OHS participative arrangements (may be simulated).

While participating in activities for the systematic management of OHS participative arrangements, did the candidate demonstrate or provide evidence of the following abilities:

Yes No

Identify, interpret and apply relevant OHS legislation in regard to requirements for consultation and participation?

Undertake basic research to access relevant OHS information and data, including analysis and evaluation?

Identify organisational factors that may impact on design of participative arrangements?

Communicate effectively with personnel at all levels of an organisation, and with OHS specialists?

Identify and develop appropriate mechanisms or processes to enable employees and others to participate in OHS activity and decision-making?



Skills checklist cont.

While participating in activities for the systematic management of OHS participative arrangements, did the candidate demonstrate or provide evidence of the following abilities:

Yes No

Prepare written materials and reports for a range of target groups including senior management, OHS committee and managers/supervisors?

Consult and advise in relation to the development of OHS polices, procedures and action plans for participative arrangements?

Conduct a training needs analysis for OHS participatory arrangements? Identify strategies for the delivery of training?

Conduct informal and formal meetings?

Develop and document policies and procedures for participation?

Develop an evaluation protocol?



Interview questions Note to participant The questions listed below cover the performance criteria for this unit and support your required knowledge and skills. The assessor can add to or modify these questions to suit the particular context.

Candidate’s name

Assessor’s name

Work activity Participative arrangements

Unit of competency BSBOHS503B – Assist in the design and development of OHS participative arrangements.

Location

Instructions:

The candidate is required to provide verbal answers (using examples where possible) to the following questions that will be asked by the assessor. It is suggested that the interview should be a ‘conversation’. The interviewer should be prepared to insert his or her own questions to explore weaknesses, or other queries, that arise during the ‘conversation’.

Did the candidate satisfactorily answer the following questions:

Yes No

1. Explain the key features of OHS legislative requirements for consultation, involvement and cooperation in the workplace?




Interview questions cont.

Did the candidate satisfactorily answer the following questions:

Yes No

2. Explain what types of factors may influence decision on the design of participative arrangements for an organisation; for example, will impact on what may work or not work for a particular organisation?

3. Outline the basis OHS information and consultation requirements for specific roles/functions in any organisation?

4. Outline the main areas of activity where consultation and participation should be a priority in the workplace (eg, such as workplace inspections, resolving OHS issues), and outline the range of mechanisms available to achieve this participation?

5. Explain how to undertake a training needs analysis in relation to participative arrangements?

6. Explain the role of policies and procedures?

7. Explain how you would go about helping an organisation determine its priorities in regard to participative arrangements?

8. Explain what an action plan is and what it should contain?

9. Explain what the difference is between monitoring and review?

10. Outline the process for making sure arrangements for participation remain up-to-date (eg, any new legal requirements) and effective for any particular organisation (eg, continuous improvement approach)?

Occupational Health and Safety - SafetyLine Institute · occupational health and safety acts and...

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