Assessor Resource

Maintain workplace health and safety processes

Assessment tool

Version 1.0
Issue Date: May 2019

This Unit is intended to be applied at the level of team leader or supervisor.

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 Registered Training Organisations are advised to contextualise the unit of competency by referring to the existing State/Territory OHS Legislative requirements as well as any specific workplace risks, hazards and associated safety practices.

In addition to legal and ethical responsibilities, all Units of Competency in the ACM10 Animal Care and Management Training Package have the requirement for animals to be handled gently and calmly. The individual is required to exhibit appropriate care for animals so that stress and discomfort is minimised.

This Unit of Competency covers the process required by an employee with supervisory responsibilities, to maintain organisation workplace health and safety processes.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)



Employability Skills

This Unit contains employability skills

Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Critical aspects for assessment and evidence required to demonstrate competency in this Unit

To demonstrate competence in this Unit, a candidate must be able to provide evidence of maintaining workplace health and safety processes in the workplace particularly in relation to the supervision of a small workgroup.

Evidence gathered by an assessor to determine competence will include:

written or verbal responses to scenarios and case studies

provision of workplace examples

evidence from workplace supervisor reports

portfolio of workplace documentation.

Evidence of workplace performance over time must be obtained to inform a judgement of competence.

Context of and specific resources for assessment

Products that could be used as evidence include:

verbal and written responses to verbal, written or physical scenarios

completed examples of information provided to work group, risk assessments, risk controls developed, reports to managers, reports on workplace inspections, audits and emergency exercises

reports from work group members and supervisor.

Processes that could be used as evidence include:

how information transfer was organised and conducted

how risk assessments were conducted

how deviations from workplace procedures were addressed.

Method of assessment

This Unit should be assessed together with other Units of Competence relevant to the function or work role.

Guidance information for assessment

Access and equity considerations:

all assessment should be applied with respect to relevant work-related access and equity issues

competence should reflect an ability to work in a culturally diverse environment.

assessors and trainers must take into account relevant access and equity issues, in particular relating to factors impacting on Aboriginal and/or Torres Strait Islander clients and communities.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

Required skills

Required skills include:

It is critical that the candidate demonstrate the ability to maintain workplace health and safety processes in the work context particularly in relation to the supervision of a small workgroup by:

addressing their own health and safety

addressing health and safety of others who may be affected by their actions

supporting members of the workgroup who may be less experienced in the workplace in regard to workplace health and safety matters

taking initiative to address hazards and manage risks at a systemic level.

In addition, the candidate must be able to:

communicate with personnel in the work team, other work teams, managers and experts advisers

conduct team meetings

relate to people from a range of social, cultural and ethic backgrounds and physical and mental abilities

supervise and direct staff

take into account, use and promote opportunities to address waste minimisation, environmental responsibility and sustainable practice issues

use language and literacy skills to interpret workplace health and safety documentation

use technical skills to access workplace health and safety information.

Required knowledge

Required knowledge includes:

general duty requirements of the national Work Health and Safety model and relevant state/territory legislation that influence regulatory requirements relevant to the particular industry/type of worksite

hazard identification procedures such as workplace inspections and review of workplace data

knowledge and understanding of guidance material including codes of practice/compliance codes relevant to the particular industry/type of work site

legislative requirements for record keeping and reporting

nature of common workplace hazards for example chemicals, noise, manual handling, work postures, underfoot hazards and moving parts of machinery

personal protective equipment requirements, including use, storage and maintenance

principles of risk management including the hierarchy of risk control and its application

relationship between workplace health and safety and sustainability in the workplace, including the importance of maintaining safety in the workplace to establishing and maintaining environmental, economic, workforce and social sustainability

roles and responsibilities of health and safety representatives and workplace health and safety committees

roles and responsibilities of workers, officers and Persons Conducting a Business or Undertaking (PCBUs)

standards and guidelines related to emergency procedures

sources of workplace health and safety information both internal and external to the workplace, including Safe Work Australia and relevant state/territory regulators

the difference between hazard and risk

workplace specific information, including:

designated person for raising workplace health and safety issues

hazard identification procedures relevant to the hazards in their workplace

hazards of the particular work environment

organisation procedures related to workplace health and safety including hazard, incident and injury reporting, hazard identification, risk assessment and control, consultation and participation, incident investigation, record keeping

potential emergency situations, alarms and signals and required response.

risk controls for specific hazards

work procedures related to the work of the team/work group, including use of personal protective equipment and emergency response.

The range statement relates to the Unit of Competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Workplace health and safety legislation

Workplace health and safety legislation varies in different states and will include:

National Work Health and Safety Model

current relevant State/Territory workplace health and safety legislation

relevant state/territory Manual Handling Code of Conduct.


Standards include documents produced by national bodies, workplace health and safety regulators or industry bodies, that prescribe preventative action to avert occupational deaths, injuries and diseases.

Standards are of an advisory nature only, except where a law adopts the standard and thus makes it mandatory.

They may be called up as evidence in court or other enforcement action.

Codes of practice/compliance codes

Codes of practice/compliance codes are documents generally prepared to provide advice to employers and workers, of an acceptable way of achieving standards. They may:

be incorporated into regulations

not relate to a standard

be called up as evidence in court or other enforcement action.

Guidance material

Guidance material is an advisory technical document, providing detailed information for use by unions, employers, management, workplace health and safety committee members and representatives, safety officers and others requiring guidance. It

advises on 'what to do' and 'how to do it'.

has no legal standing.

Organisation policies and procedures

Organisation policies and procedures include policies and procedures underpinning the management of workplace health and safety, including:

hazard, incident and injury reporting

hazard identification, risk assessment and control

human resources policies and procedures such as harassment and grievance procedures, inductions programs, team meetings, alcohol and drug policies

consultation and participation

incident investigation

quality system documentation.


A hazard is a source or situation with the potential for harm in terms of human injury or ill-health, damage to property, the environment, or a combination of these.

Common workplace hazards (from Safe Work Australia Work Health and Safety Risks - Code of Practice) include:

manual tasks - overexertion or repetitive movement can cause muscular strain

gravity - falling objects, falls, slips and trips of people can cause fractures, bruises, lacerations, dislocations, concussion, permanent injuries or death

electricity - potential ignition source. Exposure to live electrical wires can cause shock, burns or death from electrocution

machinery and equipment - being hit by moving vehicles, or being caught by moving parts of machinery can cause fractures, bruises, lacerations, dislocations, permanent injuries or death

hazardous chemicals - chemicals (such as acids, hydrocarbons, heavy metals) and dusts (such as asbestos and silica) can cause respiratory illnesses, cancers or dermatitis

extreme temperatures - heat can cause burns, heat stroke or fatigue. Cold can cause hypothermia or frost bite

noise - exposure to loud noise can cause permanent hearing damage

radiation - ultra violet, welding arc flashes, micro waves and lasers can cause burns, cancer or blindness

biological - micro-organisms can cause hepatitis, legionnaires’ disease, Q fever, HIV/AIDS or allergies

psychosocial hazards - effects of work-related stress, bullying, violence and work-related fatigue.

Examples of hazards in an animal care environment may include:

animal bites, envenomation, kicks, scratches or crush injuries

biological hazardous waste

bodily fluids

chemicals and medicines


zoonotic and exotic disease possibilities.


Risk in relation to any hazard means the probability and consequences of injury, illness or damage resulting from exposure to a hazard.

Risk assessments

Risk assessments involve analysing a hazard to identify factors influencing the risk and the range of potential consequences:

effectiveness of existing controls

likelihood of each consequence considering exposure and hazard level

And combining these in some way to obtain a level of risk.

Risk controls

Risk controls include the devices and methods to, where practicable, eliminate the hazard or, where this is not practicable, minimise the risk associated with the hazard.

Personal protective equipment

Personal protective equipment includes equipment worn by a person to provide protection from hazards, by providing a physical barrier between the person and the hazard and may include:

head protection

face and eye protection

respiratory protection

hearing protection

hand protection

clothing and footwear.

Work procedures

Work procedures include:

batch specifications

operator or manufacturer manuals

procedures for selecting, fitting, using and maintaining personal protective equipment

standard operating procedures.

Hazard identification

Hazards identification is the process of identifying sources of harm, and may be required:

before new forms of work and organisation of work are implemented

before changes are made to workplace, equipment, work processes or work arrangements

as part of planning major tasks or activities, such as equipment shutdowns

following an incident report

when new knowledge becomes available

at regular intervals during normal operations

prior to disposal of equipment, or materials.

Reporting procedures

Reporting procedures include:

hazards reports

incident reports

maintenance requests and reports

reports on completion of inspections

reports of non-compliance with work procedures

reporting on progress of action plans.

Workplace health and safety housekeeping practices

Workplace health and safety housekeeping practices address items such as:

functioning services, such as lighting, air flow and ventilation, emergency lighting

storage areas, including manual handling issues, storage, personal protective equipment


underfoot conditions

unobstructed walkways and emergency exits

work space around equipment and machinery

workplace cleanliness and tidiness.

Residual risk

Residual risk is the risk which remains after controls have been implemented.

Hierarchy of risk control

Hierarchy of risk control (from Safe Work Australia Work Health and Safety Risks - Code of Practice) includes:

Level 1 controls

eliminate hazards

Level 2 controls

substitute the hazard with something safer

isolate the hazard from people

use engineering controls

Level 3 controls

use administrative controls

use personal protective equipment (PPE).

Expert advice

Expert advice can be obtained from persons either internal or external to the organisation including:



employee assistance and workplace counselling services

occupational health professionals

occupational hygienists

health and safety representatives

workplace health and safety committees

safety engineers

safety professionals


Expert advice may also be obtained from other persons providing specific technical knowledge or expertise in areas related to workplace health and safety including:

engineers (e.g. design, acoustic, mechanical, civil)

health professionals

injury management advisors

legal practitioners with experience in workplace health and safety

maintenance and trade persons

regulatory bodies

risk managers

security and emergency response personnel

workplace trainers and assessors.

Workplace health and safety records

Workplace health and safety records may include:

employees handbooks

environmental monitoring records

first aid records

hazard, incident and investigation reports

health surveillance records

job safety analyses (JSAs), safe work method statements and risk assessments

maintenance and testing reports

material safety data sheets (MSDSs) and registers

minutes of meetings

plant and equipment operation records, including those relevant to registered plant

training records

workplace inspection reports.


Legislative requirements for record keeping include those specified under workplace health and safety legislation for:

serious incident and injury reporting

registered plant

hazardous substances and dangerous goods

environmental monitoring

health surveillance

Privacy legislation.


Emergencies may include any abnormal or sudden event that requires immediate action, such as:

serious injury events

events requiring evacuation

explosion and bomb alerts

external emergencies and natural disasters, such as flood, storm and traffic accident impacting on the organisation

fires and explosions

hazardous substance and chemical spills

internal emergencies, such as loss of power or water supply and structural collapse

security emergencies, such as armed robberies, intruders and disturbed persons.

Emergency equipment

Emergency equipment is equipment required as part of the emergency response by the organisation and includes:

communication equipment

evacuation alarms

evacuation equipment, especially that for disabled persons

eye wash shower or portable eye washes

fire extinguishers and equipment

first aid equipment

items of clothing, such as coloured hats and vests


Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Relevant requirements of workplace health and safety legislation, standards, codes of practice/compliance codes, guidance materials and safe working procedures and practices are explained to the work group clearly and accurately. 
Information on organisation policies and procedures is provided to the work group in a readily accessible manner and clearly explained. 
Roles and responsibilities of health and safety representatives and workplace health and safety committees, supervisors and managers are clearly explained. 
Information is provided to the work group, in an accessible and understandable format, on hazards, the outcomes of risk assessments, and required risk controls. 
Personal protective equipment appropriate to the work is available and functional. 
Processes are implemented to confirm that others in the work group can identify hazards, assess risks and required risk controls and are following safe work practices, and organisation policies and procedures. 
Workplace health and safety training needs are identified and either addressed or these needs are reported to those with control. 
The work group is consulted and provided with advice in relation to workplace health and safety matters relevant to their work. 
Workplace health and safety issues raised are dealt with promptly, and in accordance with organisation procedures and legislative requirements, or referred to appropriate personnel. 
Outcomes of consultation regarding workplace health and safety are recorded and promptly communicated to the work group. 
Work procedures are checked for availability, clarity and completeness, addressing any deficiencies or reporting them to appropriate persons. 
Any deviations from procedures are identified and addressed or reported to appropriate persons. 
Hazard identification and reporting processes are evaluated for effectiveness and any deficiencies are addressed or reported to appropriate persons. 
Workplace health and safety housekeeping practices are monitored to ensure that workplace standards are maintained, and action is taken to address any deficiencies. 
Own behaviour is consistent with organisation safe working procedures and practices. 
Hazards are identified, assessed and eliminated with residual risk reported according to organisation procedures. 
Risk assessments are conducted. 
Control measures are developed, taking account of the hierarchy of risk control. 
Outcomes of risk assessments are implemented and identified risk controls supported. 
Deficiencies in workplace health and safety risk controls are identified and addressed and/or reported in accordance with organisation procedures. 
Personal professional limitations are identified and expert advice is sought as required. 
Feedback is obtained to ensure that work group is aware of organisation reporting requirements. 
Workplace health and safety records are reviewed to confirm that they are completed in an accurate, thorough and timely manner in accordance with legislative and organisation requirements. 
Aggregate information and data from records is used to identify hazards and monitor risk controls. 
Feedback is obtained to ensure that emergency procedures are available and known by the work group. 
Processes are implemented to ensure that emergency equipment is available and routinely checked for functionality. 
Processes are implemented to ensure that others in the work group are able to response appropriately to emergencies. 
Investigations are conducted, or contributed to, to identify cause of emergencies. 
Control measures to prevent recurrence and minimise risk of emergencies are identified and implemented or supported. 


Assessment Cover Sheet

ACMWHS401A - Maintain workplace health and safety processes
Assessment task 1: [title]

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I declare that the assessment tasks submitted for this unit are my own work.

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Result: Competent Not yet competent

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Assessment Record Sheet

ACMWHS401A - Maintain workplace health and safety processes

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:









Overall assessment result: Competent Not yet competent

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