Recognition of Prior Learning Assessor Tool and...

BSBWHS401A Implement and

monitor WHS policies, procedures

and programs to meet legislative

requirements

BSB07: Business Services Training Package

Recognition of Prior Learning

Assessor Tool and Guide

BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements

Recognition of Prior Learning Assessor Tool and Guide

BSBWHS401A-WHS-Policies-RPL-AG-V1-SAMPLE-V2 December 2012 © Sandy Welton


RPL Assessor Tool and Guide

This RPL Assessor Tool and Guide contains: All of the assessment instruments required for RPL of this unit Mapping matrix for summarising and analysing the evidence Summative assessment record form

The Candidate Application and Guide contains: Candidate application form and work history form Suggested documentary evidence Guidance for the candidate including the competency conversation questions and hints Third Party Verification form



BSBWHS401A-WHS-Policies-RPL-AG-V1-SAMPLE-V2 - i - December 2012 © Sandy Welton



BSBWHS401A-WHS-Policies-RPL-AG-V1-SAMPLE-V2 - 1 - December 2012 © Sandy Welton

Assessor Note: This tool is designed to be used for candidates seeking RPL in the following qualification.

BSB40812 Certificate IV in Frontline Management

The tool is mapped to the Employability Skills for this qualification.

If this tool is used in relation to a different qualification, then you, the assessor, will need to ensure that the Employability Skills for the relevant qualification are addressed.

The Unit of Competency




BSBWHS401A Implement and monitor WHS policies, procedures

and programs to meet legislative requirements

Description

This unit describes the performance outcomes, skills and knowledge required to implement and monitor the organisation’s work health and safety (WHS) policies, procedures and programs in the relevant work area in order to meet legislative requirements.

Application of the Unit

This unit applies to workers with supervisory responsibilities for implementing and monitoring the organisation’s WHS policies, procedures and programs in a work area.

The unit applies to individuals with a broad knowledge of WHS policies who contribute well-developed skills in creating solutions to unpredictable problems through analysis and evaluation of information from a variety of sources. These workers provide supervision and guidance to others and have limited responsibility for the output of others.

NOTE: The terms Occupational Health and Safety (OHS) and Work Health and Safety (WHS) are equivalent and generally either can be used in the workplace. In jurisdictions where the National Model WHS Legislation has not been implemented RTOs are advised to contextualise the unit of competency by referring to the existing State/Territory OHS legislative requirements.




Candidate Name Student No

Documentary Evidence Mapping

Instrument




Information for the Assessor

Step 1 Complete the Documentary Evidence Instrument

The Documentary Evidence Instrument contains a list of suggested documentary evidence that the candidate may be able to provide in relation to this unit of competency.

The list of suggested documentary evidence is also provided in the Candidate Application and Guide, to assist the candidate in gathering their evidence.

The suggested document instrument is internally mapped in the left hand column.

When the candidate provides a document which corresponds to the suggested list, you (the assessor) should:

tick the Copy column if the candidate has provided a copy; or

tick the Sighted column if you have sighted the document and no copy has been retained by you; and

describe the document or make other comments in the Comments column

Note: There is also a table at the end of the instrument for you to list and map any additional documentary evidence.

Step 2 Use the Mapping Matrix

The Mapping Matrix is at the end of this RPL tool. It has a separate column for each of the instruments in this RPL Tool. The column to use for this instrument is the Documentary Evidence column. Tick the checkbox where mapping coincides.




Documentary Evidence Instrument

Mapping Suggested documents Copy

Sighted

Comments

ES 1-8 Curriculum Vitae for the past 3 years


CAE 1 PC 1.3 ES 2, 6

Organisational procedures for the work team in relation to WHS

CAE 1 PC 1.2, 1.3, 2.1, 2.2, 2.4 ES 1, 2

Minutes of team meetings in relation to WHS

CAE 1 PC 1.1, 1.2, 2.1, 2.4 ES 1

Communication with the team in relation to WHS

CAE 2 PC 1.3, 4.1

Completed hazard identification forms in relation to the work area

CAE 2 PC 1.3, 4.3

Completed risk assessments in relation to hazards in the work area

CAE 2 PC 1.3, 4.2, 4.3 ES 3, 6

Completed action plans for risk control

CAE 2 PC 1.2, 1.3, 2.2, 4.3 ES 1, 2, 6

Communication with the team in relation to the hierarchy of control

CAE 2 PC 1.1, 2.1 ES 2

Communication with the team in relation to complying with legislation

This Section Blanked out from the sample




Mapping Suggested documents Copy

Sighted

Comments

CAE 2 PC 1.1, 2.1 ES 1 ES 2

Communication with the team in relation to complying with codes of practice

CAE 3 PC 1.2, 2.1, 3.2, 3.3 ES 2, 7

Records of WHS inductions, training and information sessions which you have conducted or organised

PC 2.3 ES 1 ES 3, 8

Reports or other communication to management in relation to WHS issues raised by the team

PC 3.1 ES 1, 8

Reports to management in relation to WHS training needs for the team

PC 3.2 ES 5, 6

Action plans in relation to training the team in WHS

PC 3.4 ES 5, 8

Budgets and financial plans for team training in WHS

PC 4.4 ES 1, 3, 4, 8

Reports to management in relation to improving existing risk controls

PC 4.5 Records of monitoring risk controls and WHS procedures

PC 5.1 ES 8

Records or databases in relation to incidents and/or disease in the work area

PC 5.2 ES 1, 3, 8

Reports analysing incident or disease data in relation to the work area

Assessor Signature Date





Additional workplace documents submitted by the candidate (Assessor to complete)

Mapping Document Copy

Sighted

Comments







Third Party Verification Instrument





Step 1: Receive and authenticate the third party verification

The Third Party Verification Instrument may be completed in one of two ways:

1. Using the form in the Candidate Application and Guide - the candidate to arrange for their supervisor to complete the form and submit together with other documentary evidence.

2. Using the form in this RPL Assessor Tool - you, the assessor, to personally interview the supervisor/manager, either face to face or by telephone.

In either case the evidence should be verified for authenticity by you, the assessor.

This instrument is internally mapped in the left hand column of the form.

Step 2: Use the Mapping Matrix

The Mapping Matrix is at the end of this RPL tool. It has a separate column for each of the instruments in this RPL Tool. The column to use for this instrument is the Third Party Verification column. Tick the checkbox where mapping coincides.




Third Party Verification Form To be completed by the candidate’s supervisor or manager

Name of Supervisor/Manager

Name of Organisation

Telephone number work mobile

Name of Candidate

Period of time that you have known the candidate

Please tick the checkboxes where you can confirm that the candidate performs the tasks satisfactorily. If you cannot confirm any item, please leave the checkbox blank. Assessor Ref: Manager / Supervisor to tick relevant checkboxes ES 1 PC 1.1, 1.3, 2.1, 2.2, 2.4

Demonstrates high level communication skills and ensures open communication between team members and management

ES 1 PC 2.1, 2.2, 2.3

Demonstrates negotiation skills to resolve conflict and achieve resolution of issues

ES 2

Is a positive role model for team members demonstrating high standards of behaviour and professionalism

ES 2 PC 1.1, 1.2, 2.1, 2.2, 2.4

Involves the team in decision making

ES 3 RS 1 PC 1.3, 2.3, 4.1 CAE 2

Resolves faults and inefficiencies and demonstrates effective hazard identification, risk assessment and control in accordance with the hierarchy of control

ES 4 PC 2.3, 4.4

Demonstrates initiative to identify opportunities for continuous improvement in safety

ES 5 RS 3 PC 4.2, 4.3

Prepares effective action plans within budget to meet operational goals

ES 6 Actively seeks feedback on own performance

ES 6 PC 4.3

Demonstrates high level of efficiency in prioritising tasks for self and for team

ES 7 RS 2 PC 1.2, 1.3, 2.1

Performs coaching and mentoring of team members to achieve organisational goals and continuous improvement in safety

ES 8 Effectively uses computer software and communications technology as applicable within their work role

PC 3.1-3.4, 4.5 CAE 3

Identifies safety training needs for the team, prepares plans in line with budget, implements, monitors and supports training plans

PC 5.1-5.2 Effectively maintains records of incidents, injury and disease as they

relate to the team, analyses the data and documents reports to management

CAE 1 Effectively applies the organisation’s WHS Management System as it relates to the work of the team





Assessor Ref: Manager / Supervisor to tick relevant checkboxes

CAE 2 Maintains up to date knowledge of legislation, regulations and codes of

practice that apply to safety within the organisation and communicates relevant information to the team

CAE 3 Actively communicates all organisational requirements for hazard

identification, risk assessment and control to ensure that the team have the knowledge and skills to comply

General comments by Supervisor/Manager

Signed Date

Supervisor/Manager

Verification of Authenticity

Confirmation of authenticity by assessor

I confirm that I have authenticated this evidence by telephoning the person who confirmed the candidate’s competence or by interviewing them personally, or receiving a letter on the organisation’s letterhead.

Signed

Date





Competency Conversation Instrument





Step 1: Conduct and Record the Competency Conversation

The Competency Conversation Instrument contains:

A question to begin the conversation in relation to this unit of competency

A hint to expand upon and clarify the focus of the question (These are also provided in the Candidate Application and Guide, to assist the candidate in preparing for the conversation.)

Supplementary Questions for you, the assessor, to draw out the candidate’s responses.

Benchmark responses together with checkboxes to tick when the candidate’s response addresses the benchmark.

A column for you, the assessor, to make notes of the conversation.

The benchmark responses are internally mapped in the left hand column of the table.

Step 2 Use the Mapping Matrix

The Mapping Matrix is at the end of this RPL tool. It has a separate column for each of the instruments in this RPL Tool. The column to use for this instrument is the Competency Conversation column. Tick the checkbox where mapping coincides.




Competency Conversation Instrument Question

Describe your work role and how you supervise a team to ensure that your organisation’s work health and safety policies and procedures are followed and that legislative requirements and codes of practice are complied with

Hint

You will need to discuss the following:

The WHS / OHS Act and Regulations that apply in your State / Territory

Your State / Territory WHS authority and the Codes of Practice that relate to your work environment

Legislative WHS duties of employers, officers and workers

The role of consultation in WHS and your role in this

Hazard identification, risk assessment and applying controls according to the hierarchy of control

Organisational procedures for emergency, fire, evacuation and incidents / accidents including reporting requirements

Note to Assessor: Benchmarks shown below are current at December 2012. Legislation, Codes of Practice and Government Authorities are likely to change, particularly in light of the ongoing national harmonisation process. Mapping Supplementary Questions and Benchmark Responses Assessor Notes of Conversation RK 2 CAE 4

What is the name of the Act and Regulations relevant to safety in your workplace?

Quotes the correct title of the Act and Regulation relevant to their State/Territory: o Work Health and Safety Act and Regulations 2011 (ACT, Qld, NSW) o Work Health and Safety (National Uniform Legislation) Act and Regulations 2011 (NT) o Occupational Health, Safety and Welfare Act 1986, Amendment 2005, Regulations

2010 (SA) o Work Health and Safety Act and Regulations 2012 (TAS as at 1/1/2013) o Occupational Health and Safety Act 2004 and Regulations 2007 (Vic) o Occupational Safety and Health Act 1984 and Regulations 1996 (WA)




Mapping Supplementary Questions and Benchmark Responses Assessor Notes of Conversation RK 2

What codes of practice apply to the work of your team and how do you ensure that you stay up to date with the requirements of codes of practice

Identifies the web site or name of the State/Territory authority as the source of current Codes of Practice: o WorkSafe ACT o WorkCover NSW o WorkSafe NT o Workplace Health and Safety Queensland / Office of Fair and Safe Work Queensland

/ Department of Justice and Attorney-General o SafeWork SA o Workplace Standards Tasmania o WorkSafe Victoria o WorkSafe WA

Identifies codes of practice that apply to own work environment and tasks which may include but not limited to: o Work Health and Safety Consultation, Co-operation and Co-ordination o Hazardous manual tasks o How to manage work health and safety risks o First aid o Prevention of workplace harassment

RK 5 CAE 4

What are the duties of the employer according to WHS legislation?

Identifies duties of the employer as stated in the relevant Act, for instance: o Person Conducting Business and Undertaking (PCBU) has a primary duty of care to

ensure workers and others are not exposed to a risk to their health and safety

Identifies specific obligations of employer as stated in the relevant Act, for instance: o Safe work environment o Workplace monitoring o Information, training and supervision o Safe plant and structures o Safe systems of work o Safe use, handling & storage of plant, structures & substances o Facilities (amenities) for workers’ welfare





Mapping Supplementary Questions and Benchmark Responses Assessor Notes of Conversation RK 5 CAE 4

What are the duties of workers according to WHS legislation?

Identifies duties of workers as stated in the relevant Act, for instance:

take reasonable care for his or her own health and safety;

take reasonable care that his or her acts or omissions do not adversely affect the health and safety of other persons;

comply, so far as the worker is reasonably able, with any reasonable instruction that is given by the person conducting the business or undertaking to allow the person to comply with this Act

co‑operate with any reasonable policy or procedure of the person conducting the business

or undertaking relating to health or safety at the workplace that has been notified to workers.

RK 5 CAE 4

What are the duties of an officer of a PCBU and who in your organisation comes into the category of “officer” according to the legislation? Assessor note: this question does not apply in a State/Territory which has not adopted the harmonised legislation

Identifies duties of officers of PCBU to exercise due diligence to ensure the PCBU complies with its duty of care

Identifies that an officer of a PCBU is defined in the Corporations Act and is restricted to those with strategic or financial control of the business or enterprise.






What is your role in ensuring that there is consultation and co-operation in relation to work health and safety?

providing information to the work team to ensure they know their rights and obligations under legislation

providing information to the work team to ensure they know their duties and how to comply with organisational WHS policies and procedures

supporting appointment and training of WHS Representatives

ensuring WHS Representatives are able to attend WHS Committee meetings

giving opportunities for WHS Representatives to communicate with workers

team meetings to include WHS in the agenda

giving opportunities for team members to raise WHS issues

liaising with WHS specialists and management to ensure WHS issues raised by the team are addressed

communicating management decisions in relation to WHS to the team

RK 3

Describe your organisation’s procedures for hazard identification, risk assessment and risk management including how the hierarchy of controls is applied

clearly explains the organisation’s procedures for hazard identification, risk assessment and risk management including hazard reporting and risk management responsibilities

demonstrates knowledge of the following:

a hazard is something with the potential to cause harm

risk is the harm that results from the hazard – assessed with a risk rating based upon the balance of likelihood and consequence

risk management is applying controls based upon the level of risk (risk score)

hierarchy of controls from most effective to least effective is: o elimination o substitution o isolation o engineering o administrative o PPE






Describe your organisation’s procedures for responding to fire, emergency or evacuation situations

clearly explains the organisation’s procedures for responding to each of: o fire or explosion o emergency (such as an accident) o evacuation (such as a bomb threat)

identifies personnel responsible for managing emergencies (first aid officers, fire wardens etc)

identifies external support such as fire brigade (dial 000 etc)

demonstrates knowledge of location and operation of emergency equipment relevant to job role

RK 3

Describe your organisation’s procedures for incident investigation and reporting and your role in supporting this

clearly explains the organisation’s procedures for investigating an incident including personnel responsible and own role

own role may be to support specialist investigator and to collect information

own role should include maintenance of WHS records in own work area, analysing data and reporting





Assessment (to be completed by Assessor)

Required Knowledge for BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements

Demonstrated

YES NO CAE 4 knowledge of legal responsibilities of managers, supervisors, PCBUs or their officers and workers in the workplace RK 1 hazards and associated risks in the workplace RK 2 key provisions of relevant WHS Acts, regulations and codes of practice that apply to the business RK 3 organisational policies and procedures relating to hazard management, fire, emergency, evacuation, incident investigation and reporting

RK 4 relevance of consultation and participation as key mechanisms for improving WHS and culture RK 5 WHS legislative responsibilities, duties and obligations of managers, supervisors, persons conducting businesses or undertakings (PCBUs) or their officers, and workers in the workplace

Assessor Comments and reasons for decision






Practical Activities Instrument






The practical activities will only be necessary if, in your opinion as a qualified and experienced assessor, the existing evidence, when taken together, is insufficient to confirm competency:

Refer to the Mapping Matrix to identify any evidence gaps.

Step 1: Select practical activities (if required)

Select only the relevant practical activities to address the gaps. There is a separate practical activity for each of the performance criteria. Each activity is also mapped to relevant critical aspects of evidence, required knowledge and skills. Mapping is shown in the left hand column of the instrument.

Note that the Candidate Application and Guide document does not contain any practical activities. You, the assessor, should provide instructions to the candidate on the activities you wish them to perform.

We do not recommend giving the candidate a copy of any pages from this RPL Assessor Guide, as it contains benchmark criteria for assessment.

Step 2: Complete the Practical Activities Record

1. Use the checkboxes in the Assessment Criteria column to assist you in making your judgement.

2. Complete the Assessor Comments section at the end of each unit table.

Step 3: Use the Mapping Matrix

The Mapping Matrix is at the end of this RPL tool. It has a separate column for each of the instruments in this RPL Tool. The column to use for this instrument is the Practical Activities column. Tick the checkbox where mapping coincides.




Practical Activities Instrument: Mapping Activity PC 1.1 RS 2, 3 RK 2, 5 CAE 4

Submit typed notes that you could use to give a talk or presentation to your team so as to explain their rights and responsibilities under legislation. The document may be in bulleted format, containing the key points that you need to communicate about the Act, Regulations and Codes of Practice. Ensure that your document is accurate, clear and concise, with good grammar and spelling and that you have used language that is appropriate for the team.

Assessment Criteria

A typed document which may be in bulleted format, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – based upon the relevant State / Territory legislation and codes of practice relevant to own workplace.

Explanation of the responsibilities of the employer

Explanation of duties of workers and “duty of care” in this context and consequences of non-compliance

Identification of relevant Codes of Practice to the workplace and key aspects of each Code.

Mapping Activity PC 1.2 RS 2, 3 RK 3 CAE 1

Submit a typed instruction sheet that you could give to your team containing information about the organisation’s WHS policies, procedures and programs. The document can be in a checklist format, containing: o where to locate the documents o the key points of each document Ensure that your document is accurate, clear and concise, with good grammar and spelling, and that you have used language that is appropriate for the team.

Assessment Criteria

A typed document which may be in checklist format, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – based upon the candidate’s organisational policies, procedures and programs.

Identification of how to locate the documents

Identification of the key points of each document which may relate to: o hazardous chemicals and safety data sheets o drugs, alcohol and smoking o consultation arrangements o emergency procedures, first aid and accident response o fire and other incident procedures and reporting o safe work method statements o safe use and maintenance of plant and equipment o hazard identification, risk assessment and risk control o WHS audits and inspections

Mapping Activity PC 1.3 RS 1-3 RK 1, 3 CAE 1, 2, 3

Gather your organisation’s forms and procedures used to identify hazards and assess risks. Submit the documents to your assessor, together with an instruction sheet on how they should be used. In the instruction sheet, describe a hazard that applies in your workplace. Describe the risks associated with the hazard, assess the risk score using a comparison of likelihood and consequence and identify the appropriate risk controls applying the hierarchy of controls.





Assessment Criteria

Copies of the organisation’s forms and procedures for hazard identification and risk assessment.

A typed document in the form of an instruction sheet, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – based upon the candidate’s organisational policies, procedures and programs.

An example of a hazard appropriate to the candidate’s work environment or tasks

A description of the risks associated with the hazard

A risk assessment based upon likelihood versus consequence

A description of the risk controls, identifying how they comply with the hierarchy of controls

Mapping Activity PC 2.1, 2.2 RS 3 RK 4

Submit a report to your assessor, worded clearly and professionally, with correct grammar and spelling – on the subject of the importance of consultation and communication in managing WHS. Include the following in your report: o a description of the consultation and communication methods in your own

workplace o the internal and external personnel who play a role in WHS consultation and

communication in your workplace o a summary of why consultation should take place at every stage in the risk

management process, referring to the information in the Work health and safety consultation, co-operation and co-ordination Code of Practice.

Assessment Criteria

A typed report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – explaining the mechanisms for consultation and communication in candidate’s workplace and their importance.

Describes consultation and communication methods in own workplace which may include: o WHS representatives attending WHS committee meetings o mechanism for ensuring that issues raised by workers are actioned o mechanism for ensuring that workers are involved in planning of WHS – particularly in case of

workplace change o mechanism for ensuring workers are kept informed of decisions

Identifies internal personnel which should include the candidate and may include: o WHS officers o WHS representatives o Emergency management personnel such as first aiders, fire wardens etc o Senior management o Members of WHS Committee

Identifies relevant external personnel which may include: o medical practitioners and rehabilitation specialists o fire and emergency services

Demonstrates ability to search the internet and locate the Work health and safety consultation, co-operation and co-ordination Code of Practice and interpret it to explain the importance of consultation in an effective WHS management system.





Mapping Activity PC 2.3 RS 3 RK 4 CAE 1, 2

Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – on the subject of dealing with issues raised through consultation. Base the report upon a scenario where one of your team members has made a suggestion in a team meeting for improving safety. Describe the method that you would use to ensure that the suggestion is thoroughly investigated and, if viable, presented for approval.

Assessment Criteria

A typed short report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – on the subject of dealing with issues raised through consultation.

A short description of a situation where one of the candidate’s team members has made a suggestion in a team meeting for improving safety. There is no need for the suggestion to be described.

A clear description of the steps the candidate would take, according to organisational procedures, to investigate the viability of the suggestion which should include: o consultation with stakeholders as relevant o risk assessment of the current situation compared with a risk assessment of the proposed

change o consideration of factors that would be impacted such as equipment, time, work-in-progress,

training, impact on other areas of the organisation and budget o documentation of the steps for implementation (a project plan)

A clear description of the organisational procedure the candidate would need to follow for authorisation to implement the plan including o who has authority to implement o how the plan should be presented (eg a report or verbal presentation / meeting)

Mapping Activity PC 2.4 RS 3 RK 3

Attend a WHS Committee meeting in your workplace and make notes of the outcomes of the meeting. Document your notes as formal meeting minutes and submit the minutes to your assessor.

Assessment Criteria

Typed minutes of a WHS Committee meeting attended by the candidate, without spelling or grammatical errors.

Evidence that the minutes were created by the candidate and not another person

Minutes to be in formal meeting format and include: o Date, time and place o Chairperson, secretary, attendees and apologies o Reading of previous minutes and approval or modification o Agenda items, general business and/or other business if relevant o Resolutions and decisions clearly stated, together with a time frame for action and the person

responsible.





Mapping Activity PC 3.1 RS 3 RK 2, 5 CAE 4

Research the legislative responsibilities for training of WHS Representatives. Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – outlining the legislative requirements. Include the following:

the circumstances that require an employer to provide training

the type of course of training to be provided

whether the employer or the employee select the actual course

the time frame for arranging the training

who pays for the training

whether the employee is paid for their time while attending

the duration of the initial course

the duration and time frame for refresher training

Assessment Criteria

A typed short report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – outlining the responsibilities of a PCBU to provide training for Health and Safety Representatives.

Report based upon the Act and Regulation in force in the candidate’s jurisdiction.

The following information is quoted from the Work Health and Safety Act and Regulation and will need to be contextualised for a jurisdiction where different legislation applies.

Section 72 of the Act: The person conducting a business or undertaking must, if requested by a health and safety representative for a work group for that business or undertaking,

allow the health and safety representative to attend a course of training in work health and safety that is— o approved by the regulator; and o a course that the health and safety representative is entitled under the regulations to

attend; and o subject to subsection (5), chosen by the health and safety representative, in consultation

with the person conducting the business or undertaking. The person conducting the business or undertaking must:

as soon as practicable within the period of 3 months after the request is made, allow the health and safety representative time off work to attend the course of training; and

pay the course fees and any other reasonable costs associated with the health and safety representative's attendance at the course of training.

The Regulation: For the purposes of section 72(1) of the Act, a health and safety representative is entitled to attend the following courses of training in work health and safety: (a) an initial course of training of 5 days; (b) 1 day's refresher training each year, with the entitlement to the first refresher training commencing 1 year after the initial training

Mapping Activity PC 3.2 RS 3 RK 4 CAE 1

Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – on the subject of meeting training needs of team members. Include the following information:

the method of inducting new workers and the content of the induction

the method of instructing, coaching and mentoring workers on safe work methods, organisational safety procedures and requirements

the personnel that you consult or involve in safety training for your team, and their role





Assessment Criteria

A typed short report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – on the subject of meeting training needs of team members.

An explanation of the way new workers are inducted demonstrating knowledge of organisational procedures, the content of the induction and personnel involved in the induction process

An explanation of how safety training is incorporated for existing workers through supervision, mentoring and coaching including own role as a coach/mentor and the role of experienced workers where relevant appointed to mentor less experienced workers.

A description of the personnel that the candidate consults / liaises with in order to implement training needs for their team which may include HR personnel, WHS officers and specialists, external WHS specialists, registered training organisations, financial management for budgeting.

Mapping Activity PC 3.3 RS 2, 3 RK 1, 3, 4 CAE 3

Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – on the subject of coaching and mentoring team members in relation to safe work practices. Include the following:

A paragraph describing what the team members need to know, in order to work safely.

A paragraph describing your role as a coach and mentor – ensuring that team members have the knowledge they need to work safely.

A paragraph discussing the importance of motivating the team to follow safety procedures, and how you achieve this.

Assessment Criteria

A typed short report consisting of 3 paragraphs, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – on the subject of coaching and mentoring team members in relation to safe work practices.

Paragraph 1 identifying knowledge requirements which should include: o legislative rights and responsibilities o organisational policies and procedures o hazard identification and reporting o risk assessment and risk control o incident / accident response and reporting o emergency procedures, fire and evacuation o hazardous substances and SDS where relevant o safe work method statements or procedures as relevant

Paragraph 2 identifying candidate’s role as coach and mentor which should include: o supervising and monitoring to confirm safety practices are understood and followed o coaching – giving advice and information in a structured fashion to build knowledge o mentoring – working with team members or appointing others to work with team members to

instruct and demonstrate

Paragraph 3 discussing the importance of motivating the team and how this is achieved which may include: o individual may have the knowledge and skills but not the motivation to work safely o individual needs to understand and agree with the reason for the procedures o involving the team in decisions and keeping them informed so that they feel a sense of

ownership





Mapping Activity PC 3.4 RS 3

Research the internet for various safety courses available in your location. Submit a spreadsheet which shows the following:

The title (and code if relevant) of the course

The name of the organisation offering the course

The duration of the course in hours

An estimate of the hourly wage rate of a team member who may attend

The total cost of the course

The total cost to the organisation

Assessment Criteria

A spreadsheet clearly reporting on research and costs for safety training available in the candidate’s location.

Demonstrating technology skills to enter the data accurately and calculate the total cost to the organisation.

Presenting all of the following information for at least one course. o The title (and code if relevant) of the course o The name of the organisation offering the course o The duration of the course in hours o An estimate of the hourly wage rate of a team member who may attend o The total cost of the course o The total cost to the organisation

Suggested training organisations: o authorised HSR courses as shown on the WHS authority for the State/Territory o and run by an RTO with scope o St John Ambulance o TAFE

Mapping Activity PC 4.1 RS 1 RK 1, 3 CAE 1, 2

Complete an observation walk-round of your team’s work environment for the purpose of identifying any potential hazards. Use your organisation’s hazard checklist / hazard identification form to document the hazards. Submit the completed form to your assessor. (Note that all workplaces will have at least one hazard – even if the hazard has been controlled)

Assessment Criteria

A completed hazard checklist using the candidate’s organisation’s form.

Identification of at least one hazard which may include but is not limited to: o electrical o slips, trips and falls o manual handling o plant and traffic o light, heat, noise o hazardous substances

Mapping Activity PC 4.2 RS 1, 3 RK 1, 3 CAE 1, 2

Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – describing your role in actioning hazard reports. Include the following:

how you ensure that the action is prompt

what you do in the time frame between identifying the hazard and taking action in order to ensure safety

your organisation’s procedure for reporting hazards and the personnel who authorise action to control them

how you follow up and ensure that the problem is resolved





Assessment Criteria

A typed short report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – describing the candidate’s role in actioning hazard reports.

Clarification of the importance of prompt action, particularly if the hazard is significant

Explanation of the action to take in the interim period while the hazard is still present which may include isolation of an area or an item of equipment.

Description of the organisational procedure for reporting and actioning hazards including relevant personnel such as management or WHS officer, technical personnel etc.

Description of the candidate’s method of ensuring that the action is followed up and completed within an appropriate time frame which may include consultation, monitoring and observation.

Mapping Activity PC 4.3 RS 1, 3 RK 1 CAE 2

Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – describing the procedure for assessing and controlling risks using the hierarchy of control. Include the following:

an example of a risk assessment evaluating likelihood and consequence and giving a risk rating

a description of the hierarchy of control with an example of applying it to a specific risk.

Assessment Criteria

A typed short report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – describing the procedure for assessing and controlling risks.

An example of a risk assessment in relation to a specific risk – showing the following: o rating of likelihood:

Certain Very likely Possible Unlikely Rare

o rating of consequence How may hazards cause harm? How severe could the harm be?

A description of the hierarchy of control together with an example of applying the hierarchy of control to a specific risk based on the risk rating level – demonstrating knowledge of the following: o Level 1 – elimination o Level 2 – substitution, isolation, engineering o Level 3 – administration, PPE

Mapping Activity PC 4.4, 4.5 RS 1, 3 RK 3 CAE 3

Submit a short report to your assessor, worded clearly and professionally, with correct grammar and spelling – describing the procedure you use for reporting and resolving situations where risk controls are not adequate. Include the following:

an example of a situation where risk controls may not be adequate, based upon the hierarchy of control and risk rating.

your organisation’s procedure for reporting the situation and the personnel who have authority to take action

how you consult with your team in order to identify improvements in existing risk controls

how you to monitor and follow up to ensure that action is taken to resolve inadequate risk controls





Assessment Criteria

A typed short report, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – describing the procedure for reporting and resolving situations where risk controls are inadequate.

an example of a situation where risk controls may not be adequate, based upon the hierarchy of control and risk rating, such as the use of administrative procedures for manual handling and lifting, rather than provision of lifting equipment

the organisation’s procedure for reporting the situation and the personnel who have authority to take action which may be senior management to authorise expenditure or change in work practices

how the candidate consults with the team in order to identify improvements in existing risk controls which may be informal discussion, team meeting or other method involving documentation

how the candidate monitors and follows up to ensure that the organisation takes action which may include use of email, calendar or task lists to check within a certain time frame and contacting relevant personnel responsible for actioning

Mapping Activity PC 5.1 RS 1, 3

Design a spreadsheet or database that you could use to record and track 3 of the following:

team meetings relating to WHS

first aid supplies used

hazardous chemicals and location of SDS

new worker inductions

plant and equipment maintenance Note: The spreadsheet/database does not need to include data, but must have all the relevant column and row headings

Assessment Criteria

A spreadsheet clearly reporting on research and costs for safety training available in the candidate’s location.

Demonstrating technology skills to design the column and row headings

Design should provide for tracking time frames and quantities as relevant for 3 of the items listed in the bullet points

Mapping Activity PC 5.2 RS 3

Submit a short report to your assessor, which may be in a bulleted list, worded clearly and professionally, with correct grammar and spelling – describing the types of data and records that you analyse in order to identify hazards and monitor risk control procedures in your work area.





Assessment Criteria

A typed short report, which may be in a bulleted list, worded clearly and professionally, with correct grammar and spelling and appropriate language for the team – describing the types of data and records that the candidate analyses in order to identify hazards and monitor risk control procedures in their work area.

Types of data and records listed will vary and may include: o audit and inspection reports o records of consultation, meetings etc o records of training and inductions o hazard reports o records of risk control action o first aid or medical treatment records o hazardous chemicals register and SDS records o plant and equipment testing records including test and tag o fire equipment servicing and testing o air quality testing o waste disposal records o accidents, incidents and near misses o injuries and sick leave

Assessor Comments:

Satisfactory Not Satisfactory







Mapping Matrix





Purpose and Structure of the Mapping Matrix

Recognition of Prior Learning is a process of gathering evidence over time.

The Mapping Matrix is designed to assist you, the assessor, to analyse the evidence as it is gathered and make a judgement as to whether evidence is sufficient at each stage in the process.

Each table in the mapping matrix lists all of the unit requirements: There are 4 columns in the Mapping Matrix that match the instruments in this RPL Tool. The checkboxes reflect the internal mapping in each of the assessment instruments. Where the cell is greyed out, the instrument does not map to that specific unit

requirement.

We strongly recommend that you complete the Mapping Matrix at each stage in the evidence gathering process. This will enable you to make a judgement as to whether evidence is sufficient, or whether more evidence is required.

In order to confirm competency in a unit, there should be at least one tick in each of the rows. It is not necessary to tick all of the checkboxes in order to make a judgement of competency.

There is a comments section at the bottom of each unit table where you can record your decision and your reasons for the decision.

Note: The decision as to whether the candidate is competent remains with you, the assessor, on the basis of your expert and qualified judgement. The above recommendations are only a guide.




Mapping Matrix


Documentary evidence

Third Party Verification

Competency Conversation

Practical Activities

Element 1. Provide information to the work team about WHS policies and procedures

PC 1.1 Accurately explain to the work team, relevant provisions of WHS Acts, regulations and codes of practice

PC 1.2 Provide information about the organisation’s WHS policies, procedures and programs, and ensure it is readily accessible to and understandable by the work team

PC 1.3 Regularly provide and clearly explain to the work team, information about identified hazards and the outcomes of risk assessment and control

Element 2. Implement and monitor participation arrangements for managing WHS

PC 2.1 Communicate to workplace parties the importance of effective consultation mechanisms in managing health and safety risks in the workplace

PC 2.2 Apply consultation procedures to facilitate participation of the work team in managing work area hazards

PC 2.3 Promptly deal with issues raised through consultation, according to organisational consultation procedures and WHS legislative and regulatory requirements

PC 2.4 Promptly record and communicate to the work team the outcomes of consultation over WHS issues

Element 3. Implement and monitor organisational procedures for providing WHS training

PC 3.1 Identify WHS training needs according to organisational requirements, and WHS legislative and regulatory requirements

PC 3.2 Make arrangements to meet WHS training needs of team members in consultation with relevant individuals

PC 3.3 Provide workplace learning opportunities, and coaching and mentoring assistance, to facilitate team and individual achievement of identified WHS training needs

PC 3.4 Identify and report to management the costs associated with providing training for work team, for inclusion in financial and management plans









Element 4. Implement and monitor organisational procedures and legal requirements for identifying hazards and assessing and controlling risks

PC 4.1 Identify and report on hazards in work area according to WHS policies and procedures, and WHS legislative and regulatory requirements

PC 4.2 Promptly action team member hazard reports according to organisational procedures and WHS legislative and regulatory requirements

PC 4.3 Implement procedures to control risks using the hierarchy of control, according to organisational and WHS legislative requirements

PC 4.4 Identify and report inadequacies in existing risk controls according to hierarchy of control and WHS legislative requirements

PC 4.5 Monitor outcomes of reports on inadequacies, where appropriate, to ensure a prompt organisational response

Element 5. Implement and monitor organisational procedures for maintaining WHS records for the team

PC 5.1 Accurately complete and maintain WHS records of incidents of occupational injury and disease in work area, according to WHS policies, procedures and legislative requirements

PC 5.2 Use aggregate information and data from work area records to identify hazards and monitor risk control procedures in work area

Required Skills

RS 1 analytical and problem solving skills to:

identify hazards

assess risks in the work area

review information relating to monitoring and evaluating incidents, and the effectiveness of risk controls

RS 2 coaching and mentoring skills to provide support to colleagues RS 3 literacy skills to understand and interpret documentation, and to interpret WHS

requirements Required Knowledge

RK 1 hazards and associated risks in the workplace RK 2 key provisions of relevant WHS Acts, regulations and codes of practice that

apply to the business

RK 3 organisational policies and procedures relating to hazard management, fire, emergency, evacuation, incident investigation and reporting









RK 4 relevance of consultation and participation as key mechanisms for improving WHS and culture

RK 5 WHS legislative responsibilities, duties and obligations of managers, supervisors, persons conducting businesses or undertakings (PCBUs) or their officers, and workers in the workplace

Critical Aspects of Evidence

CAE 1 applying organisational WHS management systems and procedures in the work team area

CAE 2 applying procedures for assessing and controlling risks to health and safety associated with those hazards, according to the hierarchy of control and as specified in commonwealth and state or territory WHS Acts, regulations and codes of practice

CAE 3 providing specific, clear and accurate information and advice on workplace hazards to work team

CAE 4 knowledge of legal responsibilities of managers, supervisors, PCBUs or their officers and workers in the workplace

Employability Skills

ES 1. Communication communicating with team members and management to ensure open communication channels and to clarify issues

resolving conflict and disputes in the work team

ES 2. Teamwork being a role model for other team members

consulting and developing objectives with the work team

ES 3. Problem-solving

developing risk management approaches

developing techniques to address faults and inefficiencies

ES 4. Initiative and enterprise

identifying and developing opportunities for improved work practices

ES 5. Planning and organising

monitoring and adjusting operational performance by producing short-term plans, planning and acquiring resources and reporting on performance

preparing work plans and budgets

ES 6. Self-management

actively seeking feedback on own performance from clients and colleagues

prioritising tasks









ES 7. Learning coaching and mentoring colleagues and team members to support the introduction of change

ES 8. Technology using business technology such as computer programs and telecommunications to collect and manage information

Assessor name (please print)

Signature Date





Summative Assessment




Summative Assessment Record


Unit of Competency BSBWHS401A Implement and monitor WHS policies, procedures and programs to meet legislative requirements

Assessor’s Comments

Competent Not Yet Competent Re-assessment required

ASSESSOR NAME (PLEASE PRINT) ASSESSOR SIGNATURE DATE

I intend to lodge an appeal on the above decision Yes No

Candidate signature Date

Recognition of Prior Learning Assessor Tool and...

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