Answers: BSBWHS404 Contribute To WHS Hazard Identification, Risk Assessment and Risk Control (Release 1)

BSBWHS404 – Contribute To WHS Hazard Identification Assessment Answers

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Business Services/Newcastle

Assessment Brief

Words: 4000

Referencing Style: APA

Qualification Code: BSB41415

Unit Code: BSBWHS404

Unit Name: Contribute to WHS hazard identification, risk assessment and risk control (Release 1)

Qualification Name and Release Number: Certificate IV in Work Health and Safety


Assessment Event One


Minimum compliance with the obligations of the WHS Act 2011 and Regulations 2017 requires an organisation to have systematic arrangements for the identification of workplace hazards and risk management processes that ensure WHS risks are identified, assessed, controlled, monitored and reviewed. In this assessment task you will be asked questions relating to how you would contribute to ensuring hazard identification and risk assessment processes are effectively undertaken in an organisation. You will do this from the perspective of a WHS practitioner or other organisation representative tasked with the responsibility and accountability for WHS.

Element One: Access information to identify hazards, and assess and control risks

What internal (i.e. WHSMS) and external (i.e. legislative requirements) sources of information would you require in completing a hazard identification or risk assessment process? Identify at least five (4) important sources of both internal and external information and data. Highlight how you would access this information.

Internal Sources

Workplace policies and processes and standards

Workplace standards and guidelines often include a reinforcement of the standard operating procedures, also called SOPs, in the workplace. These are written policies which aim to be the primary information book of the employees so that they will be aware of the proper behaviour and work technicalities.

All employees must be made aware of the policy, which should be subject to regular review and revision in the light of experience. Revisions may be in response to changes in the nature of work carried out, new machinery, or any changes in legislation.

Again, revisions should be brought to the employees’ attention.

Policies should be written in plain English so they can be easily understood and put into practice.

Workplace procedures

A procedure sets out the steps to be followed for work activities.

Procedures are an essential part of any organization.

Procedures provide a roadmap for day-to-day operations.

They ensure compliance with laws and regulations, give guidance for decision-making, and streamline internal processes.

Originations must consult with affected workers when developing procedures for resolving work health and safety issues.

Consulting with workers on work health and safety, monitoring worker health and workplace conditions, and providing information and training.

Workplace systems

A typical business organization accomplishes its work load by creating a series of tasks that are performed and carried out as required.

Placing those tasks into series of organized and interconnected systems may benefit the company by introducing efficiency and order to the workday and ultimately increasing the bottom line.

Work systems allow everyday tasks to operate in a coordinated safe manner and provide a basic framework to produce services and products.

External Sources

WHS legislation including the WHS Act

The Work Health and Safety Act 2011 (NSW) (the Act) provides a framework to protect the health, safety and welfare of all workers and others in relation to NSW workplaces and work activities. Reviews are scheduled once every five years. This is the first since the Act was introduced.

Work Health and Safety Regulation 2017

Administers, provide advice and monitor and enforce compliance with the Work Health and Safety Act 2011 and the Work Health and Safety Regulation 2017. If you are an employer or business (or other PCBU) you must comply with these laws to ensure the health and safety of your workers.

Chapter 3

Part 3.1 Managing Risk to Health and Safety

WHS regulatory authorities and their publications including codes of practice, guidance material, safety alerts

A code of practice provides detailed information on specific work tasks to help you achieve the standards required under the work health and safety (WHS) laws. These do not replace the WHS laws, but codes of practice can help make understanding what you have to do a little easier.

Guidance material, such as fact sheets, guides and safety alerts, provide more detailed information on the requirements of statutes, regulations, standards and codes of practice in relation to particular tasks and activities or in the operation of specific plant and equipment.


2.  Having selected your information and data what tools or strategies does can an organisation use to determine the nature, scope, range of harms caused and harm impacts on workers?

How to work out the likelihood of harm occurring

The likelihood that someone will be harmed can be estimated by considering the following:

  • How often is the task done?
  • Does this make the harm more or less likely?
  • How often are people near the hazard
  • How close do people get to it
  • Has it ever happened before, either in your workplace or somewhere else
  • How often

You can rate the likelihood as one of the following:

  • Certain to occur—expected to occur in most circumstances
  • Very likely—will probably occur in most circumstances
  • Possible—might occur occasionally
  • Unlikely—could happen at some time
  • Rare—may happen only in exceptional circumstances.

Further questions that can help estimate likelihood.

As in the table

Questions Explanation and examples
How often are people exposed to the hazard? A hazard may exist all of the time or it may only exist occasionally. The more often a hazard is present, the greater the likelihood it will result in harm.

For example:

  • Meshing gears in an enclosed gearbox can cause crushing only if the gearbox is open during maintenance, and therefore the potential for harm will not occur very often.
  • Continuously lifting heavy boxes has the potential to cause harm whenever the work is done.
How long might people be exposed to the hazard? The longer that someone is exposed to a hazard, the greater the likelihood that harm may result.

For example: The longer a person is exposed to noisy work, the more likely it is that they will suffer hearing loss.

How effective are current controls in reducing risk? In most cases the risks being assessed will already be subject to some control measures. The likelihood of harm resulting from the risk will depend upon how adequate and effective the current measures are.

For example: Traffic management controls have been implemented in a warehouse to separate moving forklifts from pedestrians by using signs and painted lines on the floor. These controls may need to be upgraded to include physical barriers.

Could any changes in your organisation increase the likelihood? The demand for goods or services in many organisations varies throughout the year. Changes in demand may be seasonal, depend on environmental conditions or be affected by market fluctuations that are driven by a range of events. Meeting increased demand may cause unusual loads on people, plant and equipment and systems of work. Failures may be more likely.

For example: Inner city restaurants and bistros are very busy in the period prior to Christmas, placing extra demands on kitchen and serving staff. The increase in volume of food to be prepared and serving a larger number of patrons increases the potential for human error and the likelihood of harm.

Are hazards more likely to cause harm because of the working environment?  Examples of situations where the risk of injury or illness may become more likely:

  • Environmental conditions change. For example, work performed in high temperatures in a small space increases the potential for mistakes because workers become fatigued more quickly; wet conditions make walkways and other things slippery.
  • People are required to work quickly. The rate at which work is done (e.g. number of repetitions) can over-stress a person’s body or make it more likely that mistakes will be made.
    • There is insufficient light or poor ventilation.
Could the way people act and behave affect the likelihood of a hazard causing harm? The possibility that people may make mistakes, misuse items, become distracted or panic in particular situations needs to be considered. The effects of fatigue or stress may make it more likely that harm will occur.
Do the differences between individuals in the workplace make it more likely for harm to occur? Workers are not all the same and individual variability should be considered, for example:

  • People respond to stress at work in different ways, which means some workers are more susceptible to harm.
  • People with disabilities may be more likely to suffer harm if the workplace or process is not designed for their needs.
  • New or young workers may be more likely to suffer harm because of inexperience.
  • People who do not normally work at the workplace will have less knowledge than employees who normally work there, and may be more likely to suffer harm. These people include contractors, visitors or members of the public.


Element Two: Contribute to compliance and workplace requirements

3.  How does an organisation identify WHS duty holders and their range of duties? Select three (3) ways that an organisation can ensure duty holders are appropriately identified.

WHS Regulations

The WHS Regulations specify the way in which some duties under the WHS Act must be met and prescribes procedural or administrative requirements to support the WHS Act (for example requiring licences for specific activities and the keeping of records).


Duty Holder – refers to any person who owes a work health and safety duty under the WHS Act including a person conducting a business or undertaking (PCBU), designer, manufacturer, importer, supplier, installer of products or plant used at work (upstream duty holders), an officer and workers.

Codes of Practice

Codes of Practice provide practical guidance on how to meet the standards set out in the WHS Act and the WHS Regulations. Codes of Practice are admissible in proceedings as evidence of whether or not a duty under the WHS laws has been met.

They can also be referred to by an inspector when issuing an improvement or prohibition notice.

It is recognised that equivalent or better ways of achieving the required work health and safety outcomes may be possible.

For that reason, compliance with Codes of Practice is not mandatory providing that any other method used provides an equivalent or higher standard of work health and safety than suggested by the Code of Practice.




4.  How can an individual or duty holder contribute to the identification and compliance with requirements of WHS Acts, Regulations Codes of Practice and workplace policies, procedures, processes and systems for hazard identification, risk assessment and risk control activities? Answer this question from the perspective of the following people:

a).  a front line manager/supervisor

Manager or supervisor responsibilities

If you are a supervisor, even if not officially recognised as such, you are responsible for the carrying out of work in a safe manner in the workplace.

The duties include:

  • making decisions about health and safety that may affect work activities or other people
  • ensuring legal requirements regarding health and safety are met
  • actioning safety reports and carrying out workplace inspections
  • ensuring safe work method statements are completed
  • ensuring safe work practices
  • conducting inductions and regular safety briefings
  • participating in incident investigations
  • leading by example and promoting health and safety at every opportunity.

b).  worker and;

  • Duty of workers (section 28)
  • While at work, workers must take reasonable care for their own health and safety and that of others who may be affected by their actions or omissions.
  • They must also:
  • comply, so far as they are reasonably able, with any reasonable instruction given by the PCBU to allow the PCBU to comply with WHS laws, and
  • cooperate with any reasonable policy or procedure of the PCBU relating to health or safety at the workplace that has been notified to workers.

c).  health and safety representative.

If elected as a health and safety representative (HSR) shall:

  • represent the workers in the HSRs work group on health and safety matters and in discussions with managers on hazards and safety issues
  • monitor that the ‘person conducting the business or undertaking’ (PCBU)—a broad term used in work health and safety legislation to describe all forms of business—is meeting health and safety standards
  • promote the health and safety of workers in your work group
  • provide a vital communication link between people at work and the PCBU. HSRs are not expected to be an expert on health and safety, and are not responsible for fixing problems in HSRs workplace.


Element Three: Contribute to workplace hazard identification

5.  How would an organisation advise an individual and parties of workplace hazards, the harms they cause and the effects they have on workers? Highlight three (3) examples of WHS knowledge that would assist in this process.


  • Work Health and Safety Consultation, Cooperation and Coordination Code of Practice – practical guidance for employers on how to effectively consult with workers.
  • Health and safety aspects are considered in the design of work and throughout the product and service life cycle.

The Australian standard

The Australian standard, AS/NZS ISO 45001:2018 (Occupational health and safety management systems – Requirements with guidance for use):

  • specifies the conditions for a workplace health and safety management system
  • gives guidance on its use.

The standard aims to enable organisations to provide safe and healthy workplaces by preventing work-related injury and illness, and proactively improve its work health and safety performance.

Like some other Australian standards dealing with management systems, AS/NZS ISO 45001:2018 is closely aligned with the relevant international standards, ISO 9000 series, dealing with similar issues.

Health and safety committees The Australian standard

Health and safety committees—sections 75 to 79 of the WHS Act

Participating in Effective Health and Safety Committees guide for committee members)

  • Under the Work Health and Safety Act 2011 (WHS Act) a health and safety committee bring together workers and management to develop and review health and safety policies and procedures for the workplace.

Functions of a health and safety committee are:

    • facilitate cooperation between the PCBU and workers in instigating, developing and carrying out measures designed to ensure the workers’ health and safety at work
    • assist in developing standards, rules and procedures relating to health and safety
    • comply with functions prescribed by regulations
    • carry out any other functions agreed between the PCBU and the health and safety committee.

6.  What knowledge does an individual or party need to have to contribute and apply to the selection, techniques, tools and processes used to identify workplace hazards, undertake risk assessment, and determine risk control measures then implement, evaluate and review the success of the risk controls? How can an organisation facilitate this process? Provide four (4) examples of facilitation.

Model Code of Practice

How to manage work health and safety risks

This Code of Practice on how to manage work health and safety risks is an approved code of practice under section 274 of the Work Health and Safety Act (the WHS Act)


1—How to identify hazards

Identifying hazards in the workplace involves finding things and situations that could potentially cause harm to people. Hazards generally arise from the following aspects of work and their interaction:

  • physical work environment
  • equipment, materials and substances used
  • work tasks and how they are performed, and
  • work design and management.

How to find hazards

Inspect the workplace

As a person conducting a business or undertaking (PCBU), regularly walking around the workplace and observing how things are done can help you predict what could or might go wrong. Look at how people actually work, how plant and equipment are used, what chemicals are around and what they are used for, what safe or unsafe work practices exist as well as the general state of housekeeping.Things to look out for include the following:

  • Does the work environment enable workers to carry out work without risks to health and safety (for example, space for unobstructed movement, adequate ventilation, lighting)?
  • How is work performed, including the physical, mental and emotional demands of the tasks and activities?
  • How suitable are the tools and equipment for the task and how well are they maintained?
  • How do workers, managers, supervisors and others interact and how are inappropriate behaviours or conflicts dealt with?
  • Have any changes occurred in the workplace which may affect health and safety?

2—How to assess risks

A risk assessment involves considering what could happen if someone is exposed to a hazard and the likelihood of it happening. A risk assessment can help you, as a person conducting a business or undertaking (PCBU), to determine:

  • how severe a risk is?
  • whether any existing control measures are effective
  • what action you should take to control the risk, and
  • how urgently the action needs to be taken.

Many hazards and their associated risks are well known and have well established and accepted control measures. In these situations, the second step to formally assess the risk is not required. If after identifying a hazard you already know the risk and how to control it effectively, you may simply implement the controls.

A risk assessment can be undertaken with varying degrees of detail depending on the type of hazard and the information, data and resources that you have available. It can be as simple as a discussion with your workers or involve specific risk analysis tools and techniques developed for specific risks or recommended by safety professionals. For some complex situations, expert or specialist advice may be useful when conducting a risk assessment.

3—How to control risks

The most important step in managing risks involves eliminating them so far as is reasonably practicable, or if that is not reasonably practicable, minimising the risks so far as is reasonably practicable.

In deciding how to control risks, as a person conducting a business or undertaking (PCBU), you must consult your workers and their representatives who will be directly affected by this decision. Their experience will help you choose appropriate control measures and their involvement will increase the level of acceptance of any changes that may be needed to the way they do their job.

There are many ways to control risks. Some control measures are more effective than others.

You must consider various control options and choose the control that most effectively eliminates the hazard or minimises the risk in the circumstances. This may involve a single control measure or a combination of different controls that together provide the highest level of protection that is reasonably practicable.

Some problems can be fixed easily and should be done straight away, while others will need more effort and planning to resolve. Of those requiring more effort, you should prioritise areas for action, focusing first on those hazards with the highest level of risk.

The hierarchy of control measures

The ways of controlling risks are ranked from the highest level of protection and reliability to the lowest as showing below. This ranking is known as the hierarchy of control measures.

The hierarchy of control measures can be applied in relation to any risk. The WHS Regulations make it mandatory for duty holders to work through this hierarchy when managing certain risks.

The hierarchy of control measures

hierarchy of control measures

How to ensure controls remain effective

An important part of controlling risk is ensuring that the chosen control measures are maintained after their initial implementation. The following actions may help you monitor the control measures you have implemented and ensure that they remain effective.

Accountability for health and safety

Maintenance of plant and equipment

Up-to-date training and competency

Up-to-date hazard information

Regular review and consultation



4—How to review controls

The control measures, as a person conducting a business or undertaking (PCBU), put in place should be reviewed regularly to make sure they work as planned. Don’t wait until something goes wrong.

The WHS Regulations require a risk management process for specific risks. That process includes circumstances where you must review  control measures for those risks and, if necessary, change them. A review is required:

  • when the control measure is not effective in controlling the risk
  • before a change at the workplace that is likely to give rise to a new or different health and safety risk that the control measure may not effectively control
  • if a new hazard or risk is identified
  • if the results of consultation indicate that a review is necessary, or
  • if a health and safety representative request a review.

In any case, as part of ongoing duties as a PCBU, should regularly review control measures, including in the above circumstances. Managing work health and safety risks is an ongoing process that needs attention over time, but particularly when any changes affect your work activities.

7.  How can an individual or party contribute to the documentation and results of hazard identification and risk assessment processes? Answer this question from the perspective of:

a). a front line manager/supervisor;


Have the responsibility of ensuring employees adhere to WHS policies and procedures, identify and report on any incidents and hazards.

It is the responsibility of all managers and supervisors to ensure that policies are fully implemented in their area(s) of control and to consult with workers as part of undertaking the hazard identification, risk assessment and control process.

Establish processes to ensure all reasonably foreseeable hazards that could give rise to risks to health and safety are identified in their area of responsibility.

Communicate, consult and provide instruction, training and supervision to workers regarding hazard identification and WHS risk management.

Ensure identified hazards in the work environment are reported.

Implement effective control measures for hazards and risks identified in their area of responsibility.

Undertake risk assessments in accordance with procedures.

Ensure a current WHS risk register is maintained for the site, location, project or activity undertaken in their area of responsibility.

Regularly monitor and review the effectiveness of controls and implement corrective actions and treatment plans where required in their area of responsibility.

Ensure workers stop work if there is an imminent risk to workers safety, until that risk is adequately resolved


b).  worker and;

It is the responsibility of workers to cooperate and comply with policies.

This includes providing effective and constructive information and feedback to aid the risk management process.

Worker surveys may also be undertaken to obtain information about matters such as workplace bullying, as well as muscular aches and pains that can signal potential hazards.

Proactively identify and report hazards and risks.

Undertake risk assessments e.g. Job Safety and Environmental Analysis (JSEA) / Safe Work Method Statement (SWMS), and implement control measures in accordance with procedures.

Stop work or refuse to work in situations that may cause harm. These situations must be immediately reported to the relevant manager

c).  health and safety representative.

The primary duty of a health and safety representative (HSR) is to represent members of a work group in health and safety matters.

Inspecting a workplace where there has been an incident or situation involving a serious risk to someone’s health or safety.

  • Conduct health and safety audits.
  • Identify potential hazards, risks and dangers.
  • Investigate incidents.
  • Make recommendations regarding health and safety.
  • Conduct inspections.
  • Attend health and safety committee meetings.
  • Review effectiveness of health and safety measures
  • Identify potential hazards and major incidents
  • Examine causes of incidents
  • Investigate complaints
  • Advise the committee and the employer

Element Four: Contribute to WHS risk assessment

8.  Highlight at least three (3) reasons why the documentation of the results of risk assessments is so important? How can and individual or party contribute to ensuring this documentation process is accurate and effective. Answer this question from the perspective of:

Good documentation is a prerequisite in the successful implementation of risk management, as it acts both as a delivery and message mechanism. Documentation must deliver a consistent message, speak a common language and have clear objectives allied to the maintenance of the organisation’s objectives, capable of being constantly reviewed and evaluated.


  • How risk management is integrated within the organization
  • Risk and its impact on organization roles and responsibilities
  • The Control environment
  • The communication channels, protocols for risk escalation and risk discussions,
  • Risk methodology and analysis,
  • Risks tools
  • Risk management roles and responsibilities, risk management KPIs
  • Integration of risk information into management reporting
  • Policy and Procedures
  • The auditing risk management effectiveness


Good risk documentation will exhibit the following characteristics:

  1. It must be relevant (meeting best practices).
  2. It is easily understood.
  3. It is stored in a well-organized risk library and easily accessible to employees.
  4. It is a living document e.g. able to be amended and capable of tracking changes.
  5. It meets Industry and Regulatory standards.
  6. It has a clear approval process and time frame.
  7. It is reflected in both internal and external communications.
  8. It must be evidenced throughout the organization from training to decision making.


a). Frontline manager/supervisor;

37   Maintenance of control measures

A duty holder who implements a control measure to eliminate or minimise risks to health and safety must ensure that the control measure is, and is maintained so that it remains, effective, including by ensuring that the control measure is and remains—

(a)  fit for purpose, and

(b)  suitable for the nature and duration of the work, and

(c)  installed, set up and used correctly.


a).  worker and health and safety representative.

Workers have a duty to take reasonable care for their own health and safety and to not adversely affect the health and safety of other persons.

Workers must comply with reasonable instructions, as far as they are reasonably able, and cooperate with reasonable health and safety policies or procedures that have been notified to workers.

It is important that workers participate in the risk assessment.

They know the problems and the details of what really happens when they perform their tasks or activities, so they should be involved in the assessment.

Their practical knowledge or competence is also often needed to develop workable preventive measures.

Workers’ participation is not only a right, it is fundamental to make the employers’ WHS management effective and efficient.

Workers and/or their HSRs have the right/duty to:

  • be consulted on arrangements for the organisation of the risk assessment and for the appointment of those undertaking the task
  • participate in the risk assessment
  • alert their supervisors or employers regarding perceived risks.
  • report any changes in the workplace.
  • be informed of the risks to their safety and health and of the measures necessary to eliminate or reduce these risks.
  • be involved in the process of deciding on the preventive and protective measures to be put in place.
  • ask the employer to put in place appropriate measures and to submit proposals to minimise hazards or to remove the danger at source.
  • cooperate to help the employer to ensure that the working environment is safe.
  • be trained/receive instructions on the measures to be put in place.
  • take care as far as possible of their safety and health and that of other persons affected by their acts in accordance with the training and the instructions given by the employer.

In addition, it is important that workers’ representatives are trained so that they understand risk assessment and their role in it.

Element Five: Contribute to the development, implementation and evaluation of risk control

9.  What is the purpose of developing an appropriate risk control for an identified workplace hazard? What knowledge is required of an individual or party when they are contributing to the development of risk control options?

Risk control measures are a crucial tool to aid in the prevention of accident or injury in the workplace. They should form part of the company’s broader health and safety plan providing a method to identify, control, and reduce the risks present in the workplace.

When being used as part of an all-encompassing occupational health and safety plan risk assessment and control measures provide a number of benefits to your workplace.

  • Identification of at-risk employees. Knowing who is at risk the most and what risk factors they are exposed to means a plan to mitigate or eliminate those risks can be developed.
  • Awareness of factors that cannot be eliminated. It may be possible to eliminate some of the risk factors completely, however, some factors will always be present and can only be reduced. Creating awareness of those factors means that those exposed know what to look out for and understand the importance of any mitigation methods.
  • Control method efficiency determinations.  Continual reassessment of the risks allows you to determine whether the control methods applied have been effective in reducing or eliminating the risks or whether they should be re-evaluated.
  • Prevent or reduce instances of accident or injury. When implemented as part of the original design of the workplace and its health and safety plans, control measures and risk assessments will reduce or eliminate the number of accidents or injuries.
  • Fulfil legal obligations. Depending on the jurisdiction and the type of business and workplace there may be legal obligations that require you to identify risks and implement control measures accordingly. Failure to do so can result in severe corporate and personal fines, in addition to incarceration depending on the severity, prior knowledge, and casualties of the risk factor.

Knowledge that is required of an individual or party when they are contributing to the development of risk control

The hierarchy of control measures

The ways of controlling risks are ranked from the highest level of protection and reliability to the lowest as shown in Figure Below. This ranking is known as the hierarchy of control measures.

The hierarchy of control measures can be applied in relation to any risk. The WHS Regulations make it mandatory for duty holders to work through this hierarchy when managing certain risks.

The hierarchy of control measures

hierarchy of control measures

10.  What is the purpose of a risk control plan? What knowledge is required of an individual or party when they are contributing to the developing and implementing a risk control plan?

A risk control plan sets out how to plan for the control of risks in the workplace. It also enables you to identify which risk controls you currently have in place. It may help you meet your legal obligations to identify hazards, and assess and control risks

It is important for anOrganisation to identify potential risks. When a business is aware of the potential risks that are associated with their Organisation, it is easier to take steps to avoid them.

Knowing the risks makes it possible for the managers of the Organisation to formulate a plan for lessening the negative impact of them.

Also, once the risks are identified, managers will be able to analyse them and make a logical decision regarding how to deal with them.

Organisation that have risk controlplans in place can more easily be prepared when Controlling risk

knowledge that an individual or party when they are contributing to the developing and implementing a risk control plan

Code of Practice on how to manage work health and safety risks is an approved code of practice under section 274 of the Work Health and Safety Act (the WHS Act).

An approved code of practice provides practical guidance on how to achieve the standards of work health and safety required under the WHS Act and the Work Health and Safety Regulations (the WHS Regulations) and effective ways to identify and manage risks.


11.  How can an individual or party contribute to evaluating implemented risk controls? Answer this question from the perspective of:

a).  a frontline manager/supervisor;

Effective risk management starts with a commitment to health and safety from those who operate and manage the business or undertaking.

You also need the involvement and cooperation of your workers, supply chain partners, and other businesses you work with. Management commitment is about demonstrating you are serious about health and safety and influencing other duty holders in the workplace.

To demonstrate your commitment, you should:

get involved in health and safety issues so that you understand the hazards and risk associated with your operations

consult workers and other duty holders on the hazards and risk, and how to control them

invest time and money in health and safety

ensure you and your workers clearly understand health and safety responsibilities and have the knowledge and skill to do tasks safely, and

apply health and safety values and behaviours to your own work practices.


b).  worker and;

Workers have a duty to take reasonable care for their own health and safety and to not adversely affect the health and safety of other persons.

Workers must comply with reasonable instructions, as far as they are reasonably able, and cooperate with reasonable health and safety policies or procedures that have been notified to workers.

If personal protective equipment (PPE) is provided by the business or undertaking, the worker must so far as they are reasonably able, use or wear it in accordance with the information and instruction and training provided.

  • work safely
  • follow instructions
  • ask if you are not sure how to safely perform the work
  • use personal protective equipment (PPE) in the way you were trained and instructed to use it
  • report injuries and unsafe and unhealthy situations to your supervisor or to your health and safety representative (HSR).

Workers are entitled to take part in consultations and to be represented in consultations by a health and safety representative who has been elected to represent their work group.

Consultation with workers and their health and safety representatives is required at each step of the risk management process.

By drawing on the experience, knowledge and ideas of workers Organisation are more likely to identify all hazards and choose effective control measures.

Workers shouldreport any hazards and health and safety problems immediately so that risks can be managed before an incident occurs.

c).  health and safety representative.

HSRs are elected to represent workers on health and safety and matters have responsibilities under WHS legislation.

It is a serious role and has powers and responsibilities under the sections 68 and 69 of the Work Health and Safety Act 2011.

An HSR and deputy HSR play a pivotal role in gathering information about what the health and safety issues are for their work group. They can work out ways to resolve issues in consultation with PCBU representatives such as managers, supervisors as well as committees and other HSRs.

If an HSR has completed approved HSR training they can direct a worker in the work group to stop unsafe work if they reasonably believe workers would be exposed to a serious risk to their health and safety. This stop-work direction can only be given if the issue has not been resolved by consultation, or if the risk is so serious and immediate or imminent that it’s unreasonable to consult first.

An HSR can issue a Provisional Improvement Notice (PIN) if they reasonably believe there is a contravention of the Act.

Remember, health and safety representatives (HSRs) play an important role in representing the health and safety issues of a work group and can talk to employer on the workers behalf.


Experts Online


Assessment Event Two:

BSBWHS404A Class Activity: Assessing and Controlling Risk (Practical Exercise)


You have recently been appointed to the WHS Managers role at the XYZCircus Spectacular Company.Your first task is a major one. The circus has been invited to set upin the Domain in Sydney and can remain there for a period of 3 weeks.Your role is to determine an appropriate risk control plan which willinvolve a full identification of major hazards and risks facing your PCBU (identify at least 10 major hazards/risks).

Individually or in your groups undertake the following activity:

1.  How will you go about ensuring you are fully briefed on potential hazards and risks? Discuss and agree on a process.

Event Safety & Environmental Management Plan

Planning is the most important part of running a successful event.

Assess the suitability of the venue

Start with a written profile of the event, including all the activities that will take place and the estimated audience size and demographics (i.e. children, the elderly or disabled will have different needs).

An Event Safety & Environmental Management Plan will help the business meet legal duties and establish clear responsibilities.

It will identify and ensure a plan is in place to manage foreseeable risks and can be tailored to the site.

A professionally presented Event Management Plan should be available on site for inspection by all relevant persons, including visitors, workers, contractors, and other interested parties.

An Event Safety & Environmental Management Plan contains provisions for the following:

  • An Event Site Plan
  • Safety Policy & Site Safety Rules
  • Hazard Identification, Risk Management & Controls
  • Training
  • Responsibilities
  • Incident Management
  • Security & Crowd Control
  • Communication
  • Emergency Management & First Aid
  • Public Health
  • Plant & Equipment Logistics
  • Traffic Management
  • Environmental Management

2.  Who will you involve in your initial hazard identification and risk assessment process and highlight reasons why you have chosen them?

Circus Spectacular Management / Supervisors and Workers:

Are often best positioned to identify safety and health concerns and program shortcomings, such as emerging hazards, unsafe conditions, close calls/near misses, and actual incidents.

The Domain Sydney:

Have an ongoing risk management approach

Managing WHS risks is an ongoing process that needs attention over time, but particularly when any changes affect work activities.

3.  What other potential PCBUs are you going to need to work closely with, in determining risk and ensuring any agreed risk controls retain integrity? Why are you working so closely with them?

Supply chains and networks:

Talk with your suppliers or those commissioning your services to understand each other’s needs and identify any hazards and risks. For example, hazards may relate to frequent pressure to deliver services in very tight timeframes

Security Services:

Have specific risk management strategies targeted to ensure safety and compliance for events and entertainment organisations.

Offer extensive security risk management consultation (using AS/NZS ISO 31000:2009 – Risk Management methodology) including comprehensive reports with strategic recommendations. retain extensive professional expertise to assist our in broad security management requirements (security guarding, investigations, surveillance, technology, protection and security risk assessment).

Environmental Management:

Environmental risk management is the process of systematically identifying credible environmental hazards, analysing the likelihood of occurrence and severity of the potential consequences, and managing the resulting level of risk.

City of Sydney Council:

The effective and conscious management of risk forms a critical component of how governance operates at the City of Sydney.

Risk management principles are embedded into the way the City works, allowing to identify and respond to opportunities for improvement and to manage and mitigate adverse outcomes.

Emergency Services:

This involves identifying and analysing the hazards associated with potential emergency scenarios. determining appropriate control measures to eliminate or reduce the impact of hazards


4.  Using the provided University of NSW risk management tool completea broad risk assessment identifying the 10 major hazards andrisks you think you will face. In completing the documentation make sure youhave identified initial risk controls and where you have consideredthese unacceptable highlight revised controls.Ensure your completed risk assessment clearly demonstrate (in detail) how you have used the hierarchy of control to determine your risk control outcomes.

Upload the University of NSW risk management tool as a separate document.

5.  How will you ensure your agreed risk controls are correctly administered and adhered to by all duty holders working for orvisiting the circus?

The WHS Regulations require a risk management process for specific risks.

That process includes circumstances where you must review your control measures for those risks and, if necessary, change them. A review is required:

The control measures  put in place should be reviewed to make sure they work as planned.

Get feedbackof duty holders working for or visiting the circus

Do not wait until something goes wrong.


6.  How will you communicate the outcome of your risk assessment process to all duty holders and stakeholders?

The effective communication of information and opinion on risks associated with hazards, risks and control measures is an essential and integral component of the risk assessment process.

The fundamental goal of risk communication is to provide meaningful, relevant and accurate information, in clear and understandable terms to specific people.

Developments in technology have increased communication options in recent years. Intranet and email-based communications are probably now more important than traditional methods such as printed newsletters.

Below are potential methods of communication, with a quick look at some of the issues arising from the different methods. Often a mixture of delivery methods is most effective in getting a message across.

  • Notice or bulletin boards are often used for items such as health and safety posters. However, they become part of the furniture, are often overcrowded with information, and are usually ignored. Electronic bulletin boards are now in common use, but again may be ignored by staff if their message changes too infrequently.
  • Newsletters and in-house magazines provide regular, changing content and are suitable to highlight issues, and features relating to health and safety. They, too, may be distributed electronically as well as in print form but are also easily ignored.
  • Letters addressed to individual employees should be reserved for issues of major importance, such as changes in personal work practices. They are, however, more likely to be read than internal memos or emails.
  • Video and in-house television is used by larger organisations for introducing new products or policies. However, remember that absorbing information from television and video is a mainly passive pursuit, not a dialogue.
  • Emails and intranet messages can be targeted to particular groups and sent rapidly, but in certain, mobile environments not everyone has access to email so other methods may be needed. Feedback facilities can be incorporated in intranets, so there is some opportunity for two-way communication.
  • Presentations by a senior manager direct to the workforce can be effective, although they are dependent on the delivery skills of the individual. A questions and answers session is another option, but employees may be nervous about having a full and frank public discussion with senior management.
  • Team briefings or group meetings with line or local managers can enable proper dialogue. Be aware, though, that if different managers are tasked with giving the same message, they may vary the emphasis, leading to misunderstandings. This scope for misunderstanding may increase where some of the workforce are not native English speakers.
  • One-to-one meetings, where individuals can express their views directly to line managers, are a good method of two-way feedback, but managers need to understand the importance of upward transmission, and success may depend on how consistently they behave in this respect.
  • Employee attitude surveys are one way in which management can find out about employees’ understanding, views and concerns, though the right questions need to be asked. Focus groups are a further way of achieving qualitative feedback.

7.  Highlight some potential barriers you might face in undertaking a`genuine’ risk assessment in this scenario.

risk assessment in this scenario

8.  Discuss the use of WHS performance targets in this scenario. Would they assist or hamper the achievement of effective work health and safety outcomes especially in relation to effective identification of hazards and the application of risk controls? Does this `performance mentality’ still pervade much of industry today?

Depending upon what aspects of WHS performance are being measured, this evaluation may demonstrate:

  • historical WHS performance and performance trends
  • compliance with statutory obligations
  • visible commitment to duty of care responsibilities, and
  • good management practices.


Why do we measure WHS Performance?

The WHS performance of an organisation may be measured to satisfy a number of different needs from a number of different stakeholders. For this reason, it is important to first establish how performance information is to be used prior to the consideration of any specific performance indicators.

Organisations typically measure performance to determine whether objectives or targets are being met and can involve either outcome focused or process-focused indicators of performance. Traditionally, many organisations have used outcome measures to monitor their WHS performance. Outcome indicators, such as Lost Time Injury Frequency Rates (LTIFRs), measure if an organisation is achieving its targets.

Positive Performance Indicators on the other hand are used to measure how well arrangements for workplace health and safety are performing.

PPIs focus on assessing how successfully an organisation is performing through monitoring the processes which should produce good WHS outcomes. PPIs can be used to measure relevant WHS systems, processes, management and compliance with WHS practices in the workplace.

PPIs on the other hand are used to measure how well arrangements for workplace health and safety are performing.

PPIs can also identify areas where improvement strategies can be targeted. When PPIs are used to complement the information obtained from outcome measures, they can significantly enhance the quality of WHS information which can then be used to assist in the development of improvement strategies within an organisation.

9.  Using the following outcome information evaluate and provide feedback on whether you believe your overall WHS planning for this event has been successful and effective. What WHS improvements could you suggest to achieve a better outcome next time?

Key Points:

  • 150,000 people attended the circus over a 5 day period.
  • 5 people (including 3 children) were hospitalised due to incidents that occurred at the site (injuries included a broken arm, sprained ankle, heat exhaustion, food poisoning and severe vomiting).
  • 6 workers (including two (2) of your employees and contractors from other partner PCBUs) also received injuries sufficient to incur a lost time injury.
  • There were 25 hazard reports and 16 incident reports provided for a range of matters including electrical cabling being unsafe, trip and slip hazards, security/behaviour related matters, poor signage and lack of information relating to emergency management.
  • WHS staff undertook 10 full site inspections during the 5 day period with their key focus being on hazard identification and risk management.

While it is not pleasing to see the hi levels of LTFR and IRs it is evident that our Safety System is tracking in a negative direction.

Key indicators identifying this decline are:

  • The number of incident reports andhazard reportscompleted within 5 day timeframe.
  • The internal auditing. WHS staff undertook 10 full site inspections during the 5 day period
  • The decline of compliance of our Safety System.
  • The degree of implementation of the System at the local level.
  • The struggle to achieve identified targets and objectives.

If there is a correlation between high injury rates and an effective and proactive Safety System, then these results could potentially jeopardise such outcomes in the future.

This trend also has the potential to negatively impact on other areas of enterprise risk management.

Proposed safety initiatives identified to address identified shortfalls and reverse negative, emergent trends.

Implement Health Surveillance program

SOPs are developed for plant and equipment

Stage two – inspection frequencies and review standards established and implemented.

Identify those with which we share joint WHS responsibilities and implement suitable controls

System and compliance audits completed

Review WHS&IM System and associated resources


Useful legislation and resources:

Because of constant refining of the legislation, teachers and learners must regularly access the WorkCover site to be sure their information is current.

  • WHS Act (NSW) 2011
  • WHS Regulation (NSW) (2017) includes occupational violence, confined spaces, work at heights, etc.
  • Workplace Injury Management and Workers Compensation Act 1998 (NSW)
  • Workers’ Compensation Act 1987 (NSW)
  • Workers’ Compensation (Dust Diseases) Act 1942 (NSW),
  • Workers’ Compensation (Bush Fire, Emergency and Rescue Services) Act 1987 (NSW), and the regulations instruments and guidelines made under the authority of those acts.
  •  AS/NZS 4804 Work health and safety management systems – General guidance on principles, systems and supporting techniques
  • AS/NZS 4801 Work health and safety management systems – Specification with guidance for use
  • Standards Australia publication HB 211-2001 Occupational Health and Safety Management Systems – A Guide to AS 4801 for Small Business

Useful websites

  • SafeWork NSW
  • Comcare –
  • Standards Australia – and
  • Safe Work Australia –
  • Safety Institute of Australia –
  • Legislation (all states) –
  • CCH Australia online –
  • Labor Council of NSW, Unionsafe website –
  • Victorian OHS rep website – (can be Victoria-specific)
  • Hazards Magazine –
  • Australian Industrial Relations Commission:
  • Australian Bureau of statistics:
  • Dept Workplace relations and small Business:
  • Victorian OHS website:
  • Hazards Magazine:
  • NSW Department of Industrial Relations:
  • Anti-Discrimination Board:


Bibliography (Referencing):

All students are responsible for submitting their own work for assessments.  Researched information should be referenced appropriately.  Please refer to the Student Handbook or the TAFE Library website for further information.

Type your bibliography in here using the Harvard Referencing System

BSBWHS404 Risk Management Assessment Answers

Risk Management Form

Description of activity:

Circus Spectacular setting uptentsin the Domain in Sydney

Description of location:

The Domain is a heritage-listed 34-hectare (84-acre) area of open space located on the eastern fringe of the Sydney central business district, in the City of Sydney local government area of New South Wales

Identify who may be at risk from the activity:

This may include fellow workers, visitors, contractors and the public.  The types of people may affect the risk controls needed and the location may affect the number of people at risk

Persons at risk Workers, visitors, contractors
How they were consulted on the risk Induction

Tool Box Talks


List legislation, standards, codes of practice, manufacturer’s guidance etcused to determine control measures necessary
Work Health and Safety Act 2011

Work Health and Safety Regulation 2017

Temporary Structures Standards 2015

The Australian Building Codes



Associated harm


Risk Rating
Residual Risk Rating
Vehicles unloadingon site

Parked Vehicles

ParkedVehicles Delivery vehicles occupying a footpath to unload equipment and the public walking onto the roadway. People getting hit by a moving vehicle  















Treat the hazard by reserving a parking bay close to the site or by creating an alternate pedestrian path using bollards and signage


HazardManagement Plan




Complete a 60 sec. 4 safety







Electrical setup

Use of Portable Electricity Power source is overloaded and fails.

Unsafe leads or damaged leads

electrocution/electric shock of people (workers or patrons)  












Planning of work to avoid electrical services (lighting, cabling)


Location of ladders to prevent cables being trapped between ladders and structure


Hazard Management Plan




Complete a 60 sec. 4 safety





Movement of vehicles
Vehicles driving on public areas. Causing damage to the site or a collision with a person.  









Treat this hazard by advising contractors that they will be met on site by the supervisor, that they are to drive at walking pace with hazard lights on.


Delivery schedule developed and communicated to contractors.


Vehicle path designated with witches’ hats and signage


Use of spotters for all vehicles




Carrying equipment and tools and set up gear
hazardous manual tasks


Slips & trips

Back injury  









Equipment delivered to a point as close as practicable to the installation point to reduce handling and carrying distance


Large equipment to be carried by two people / Correct Manual handling technique



Complete a 60 sec. 4 safety





Driving 400 steel stakes into the ground
hazardous manual tasks


Swinging hammers


Slips & trips


Back injury


Hit by steel splinters


Hand injury










Large equipment to be carried by two people


Correct Manual handling technique


Dial Before you dig



Complete a 60 sec. 4 safety



Drape the canvas inside the staked-out area
hazardous manual tasks


Slips & trips

Back injury


Hand injury










Correct Manual handling technique


Eyes on tasks / paths


Complete a 60 sec. 4 safety



Prepare the centre poles
hazardous manual tasks


Pinch points


Slips & trips

Back injury


Hand injury










Correct Manual handling technique


Eyes on tasks / paths


Complete a 60 sec. 4 safety


Dig a small cylindrical hole for the pole to be placed in
hazardous manual tasks


Hitting or digging services

Back injury


Hand injury










Correct tools for the job


Complete a 60 sec. 4 safety


Raising and positioning poles and canvas
hazardous manual tasks


Poles falling over


Slips & trips

Back injury


People being struck by poles











Correct Manual handling technique

Complete a 60 sec. 4 safety


Correct tools for the job

Securing the canvas to the stakes
hazardous manual tasks


Slips & trips


Rope burns to hands

Back injury


Hand injury











Correct Manual handling technique

Complete a 60 sec. 4 safety