Assessment Criteria for BSBWHS401: Implement and Monitor WHS Programs

This document serves as an assessment guide for the BSBWHS401 unit, focusing on the implementation and monitoring of Work Health and Safety (WHS) policies, procedures, and programs to meet legislative requirements. It outlines the elements of competency, including providing information to the work team, implementing and monitoring participation arrangements, organizational procedures for training, identifying hazards, and maintaining WHS performance. The document details foundation skills like reading, writing, and communication, along with knowledge evidence encompassing legal responsibilities, WHS Acts, organizational policies, and the hierarchy of control. Assessment conditions, including the use of a safe environment, workplace equipment, and interaction with others, are also specified. The assessment tools include learner workbook activities, observations, major activities, skills and knowledge activities, third-party checklists, case studies, and learner guides. The document emphasizes the importance of demonstrations, observations, and the demonstration of skills such as reading, writing, oral communication, numeracy, and interaction with others. It concludes with an observation/demonstration checklist that provides a framework for assessing the learner's competency in various WHS-related tasks.

1. Assessment criteria forBSBWHS4010
2. Implement and Monitor WHS Policies, Procedures
and Programs to meet Legislative Requirements
In this document, you will find the foundation of what is required to become
competent in this unit. For further information on each element, you can refer to the
Assessment Matrix. Included in this document are the elements for the unit,
foundation skills, assessment requirements as well as an assessment tool definition
list and the crucial observation and third-party check lists. As well as all the areas
covered here, each student must also complete all workbook activities, case studies
and major activities, where stated, to become competent within this unit.
NOTE – Re-assessment:
Students will have amaximum of two (2) reassessment attempts if competency is
not achieved in the first instance.
The final grade of ‘C’ for Competent or ‘NC’ for Not Competent is only given at the
completion of the unit of competency when all components or parts of the
assessment are graded as ‘S’ for Satisfactory. Unsatisfactory results are marked as
NS.
Elements for Competency Demonstration
Elements for Competency Assessment:
1. Provide information to the work team about WHS policies and procedures
2. Implement and monitor participation arrangements for managing WHS
3. Implement and monitor organisational procedures for providing WHS
training
4. Implement and monitor organisational procedures and legal requirements
for identifying hazards and assessing and controlling risks
5. Implement and monitor organisational procedures for maintaining WHS

Performance Evidence:
Evidence of the ability to:
 Explain clearly and accurately to work team the relevant work health and safety
(WHS) information including:
o WHS legislative and organisational requirements
o identified hazards and outcomes of risk assessment and control
 Ensure that the team has access to information about WHS policies, procedures and
programs in appropriate structure and language
 Implement and monitor procedures according to organisational and legislative WHS
requirements including:
o consultation and communications to enable team members to participate in
managing WHS risks and hazards
o identifying WHS training needs and providing learning opportunities,
coaching and mentoring as appropriate to needs
o identifying, reporting and acting on WHS hazards and risks
o identifying and reporting inadequacies in existing risk controls and monitoring
outcomes to ensure a prompt organisational response
o reporting on the cost of WHS training
o keeping WHS records
o analysing aggregate WHS data to identify hazards and monitor risk control
procedures in work area.
Foundation Skills:
Reading
 Interprets and analyses complex WHS legislative and organisational texts
Writing
 Documents WHS legislative and organisational information using structure, layout
and language suitable for audience
 Records WHS issues and actions taken according to reporting requirements
 Prepares and maintains required records using appropriate structure and
vocabulary

Oral communication
 Provides WHS legislative and organisational information and advice using
structure and language suitable for audience
Numeracy
 Extracts, interprets and comprehends mathematical information in relation
to training costs and risk management data
Navigate the world of work
 Takes responsibility for adherence to legal and regulatory responsibilities and
organisational policies and procedures in relation to WHS
 Keeps up to date on changes to WHS legislation or regulations and
organisational policies and procedures
Interact with others
 Selects and uses appropriate conventions and protocols to facilitate consultation or
provide feedback
 Initiates and contributes to facilitating consultative role, responding, explaining,
clarifying and expanding on ideas and information as required
 Collaborates with others to achieve individual and team outcomes
Get the work done
 Uses combination of formal, logical planning and intuitive understanding of context
to identify relevant information and risks, and identify and evaluate alternative
strategies
 Uses formal decision-making processes, setting or clarifying goals, gathering
information and identifying and evaluating choices against a set of criteria
 Recognises and takes responsibility for reporting WHS risk control inadequacies
 Uses formal and informal processes to monitor implementations of WHS
solutions and reflect on outcomes
Knowledge Evidence:
To complete the unit requirements safely and effectively, the individual must:
 Outline the legal responsibilities and duties of managers, supervisors,
persons conducting businesses or undertakings (PCBUS) and workers
in relation to WHS risk management in the workplace

 Identify key provisions of relevant WHS Acts, regulations and codes of
practice that apply to the business and outline how they apply in the
work area
 Explain organisational policies and procedures relating to hazard
identification, risk management, fire, emergency and evacuation,
incident investigation and reporting
 Explain the importance of effective consultation mechanisms in
managing health and safety risks in the workplace
 Explain how the hierarchy of control applies in the work area.
Assessment Conditions:
Assessment must be conducted in a safe environment where evidence gathered
demonstrates consistent performance of typical activities experienced by individuals
carrying out work health and safety duties in the workplace and include access to:
 An actual workplace or simulated environment
 Workplace equipment and resources
 Examples of documents relating to workplace safety, hazard identification and risk
assessment
 Interaction with others.
Assessors must satisfy NVR/AQTF assessor requirements.
Links:
Companion volumes available from the IBSA website:
http://www.ibsa.org.au/companion_volumes -
http://www.ibsa.org.au/companion_volumes
Any observations and practical assessments must be recorded in the observation
checklist. All practical tasks should be demonstrated during the length of the course.
As the instructor, you must maintain a record demonstrating the date of the practical
activities and any comments relevant to the performance of each student. Where a
student is not able to demonstrate competence in a practical observation activity,
further questioning should be put in its place.
As the instructor, you could be assessing the student’s literacy, numeracy and
language skills, as well as the content and context of his/her answers.
In some cases, you will have to adjust and amend the assessment tools, using
different and varied methods (such as oral assessment), to allow students to be
assessed according to their needs and abilities.

Assessment Tool Definitions
Assessment Tool How is it used? What is it?
Learner Workbook Activities
(Entire completion is required)
Each student should be given a Learner Workbook
which will hold several activities, both formative and
summative, that all need to be completed in
conjunction with the appropriate sessions. The
PowerPoint, Learner Guide and instructor should
provide further information to help with the activities.
Observation/Demonstration
(To be completed for each numbered
point as stated on the checklist)
An observation should be completed for each of the
students by the instructor. If the tasks aren’t
everyday actions, a simulated environment is
acceptable, or a demonstration can be set up. An
observation checklist can be found at the end of this
document.
Major Activity
(Entire completion is required)
A Major Activity is a summative assessment and can
be found in the Learner Workbook, after all the
activities are completed. This is an extended piece of
summative assessment which should take anywhere
between 1-2 hours and every student should
complete this work. It is a requirement for each unit
to check knowledge and understanding.
Skills and Knowledge Activity
(Entire completion is required)
A Skills and Knowledge Activity is a summative
assessment and is found before the Major Activity in
the Learner Workbook. This should take between 1-2
hours and every student should complete this work. It
is a requirement for each unit to check knowledge
and understanding of the foundation skills and
knowledge evidence.
Third Party
(To be completed for each numbered
point as stated on the checklist)
A Third-Party checklist is very similar to an
Observation Checklist in its format, but it can be
completed by someone who works with the learner
and has witnessed them completing tasks which
coincide with the elements of the unit. The checklist
can be found at the end of this document.
Case Study
(Entire completion is required)
Not all units will have Case Studies but those that do
will be clearly stated within the PowerPoint and the
Learner Workbook. It will appear as any other
activity, but it will be named ‘Case Study’ and will
provide an example of a possible real-life situation for
the learner to read, interpret and then answer
questions on.
Learner Guide
(To be used as an informational guide)
The Learner Guide links with the Learner Workbook
as it provides the information given during sessions
and more. It can help students to further their
knowledge and to also complete the activities.
Evidence Document
(Not a necessity for completion of unit
but can be used as an aid or to collect
further evidence)
The Evidence Document lists all the Elements and
Performance Criteria with an area for written reports
etc, to add evidence to the student’s portfolio. It can
be used for any of the performance criteria,
especially those which may not have been covered
by any other assessment tool. The student can circle
several the criteria that they may feel they need
further evidence of or it can be used as a guide for
completing further Observations and Third-Party
reports.

Observation/Demonstration
Throughout this unit, the learner will be expected to show their competency of the
elements through observations or demonstrations. The observations and
demonstrations will be completed as well as the formative and summative
assessments found in the Learner Workbook. An explanation of demonstrations and
observations:
Demonstration is off-the-job
A demonstration will require:
 Performing a skill or task that is asked of you
 Undertaking a simulation exercise
Observation is on-the-job
The observation will usually require:
 Performing a work-based skill or task
 Interaction with colleagues and/or customers
The observation/demonstration will take place either in the workplace
or the training environment, depending on the task to be undertaken
and whether it is an observation or demonstration. Each task must be
observed. You will need to ensure you provide the learner with the
correct equipment and/or materials to complete the task. You will also
need to inform the learner of the time they have to complete the task;
this will once again vary, depending on the task.
Learner should be able to demonstrate they can:
1. Provide information to the work team about WHS policies and
procedures
2. Implement and monitor participation arrangements for managing WHS
3. Implement and monitor organisational procedures for providing WHS
training
4. Implement and monitor organisational procedures and legal
requirements for identifying hazards and assessing and controlling
risks
5. Implement and monitor organisational procedures for maintaining WHS
Learners should also demonstrate the following skills:
 Reading
 Writing

 Oral communication
 Numeracy
 Navigate the world of work
 Interact with others
 Get the work done

Observation/Demonstration Checklist
Unit of Competence
(Code and Title)
3.
B
Demonstration Tasks
Materials and Equipment
Tasks to be observed, demonstrated or
simulated if appropriate
Yes No Comment
11 Provide information to the work team about
WHS policies and procedures:
Did the learner demonstrate that they could
accurately explain to the work team relevant
provisions of WHS Acts, regulations and codes
of practice?11 Provide information to the work team
about WHS policies and procedures:
Did the learner demonstrate that they
could provide information about the
organisation’s WHS policies, procedures
and programs, and ensure it is readily
accessible to, and understandable by the
work team?11 Provide information to the work team about
WHS policies and procedures:
Did the learner demonstrate that they
could regularly provide and clearly explain
to the work team information about
identified hazards and the outcomes of
risk assessment and control?

11 Implement and monitor participation
arrangements for managing WHS:
Did the learner demonstrate that they
could communicate to workplace parties
the importance of effective consultation
mechanisms in managing health and
safety risks in the workplace?11 Implement and monitor participation
arrangements for managing WHS:
Did the learner demonstrate that they
could apply consultation procedures to
facilitate participation of the work team in
managing work area hazards?11 Implement and monitor participation
arrangements for managing WHS:
Did the learner demonstrate that they
could promptly deal with issues raised
through consultation, according to
organisational consultation procedures
and WHS legislative and regulatory
requirements?11 Implement and monitor participation
arrangements for managing WHS:
Did the learner demonstrate that they
could promptly record and communicate
to the work team the outcomes of
consultation over WHS issues?11 Implement and monitor organisational
procedures for providing WHS training:
Did the learner demonstrate that they could
identify WHS training needs according to
organizational requirements and WHS
legislative and regulatory requirements?11 Implement and monitor organisational
procedures for providing WHS training:
Did the learner demonstrate that they
could decide to meet WHS training needs
of team members in consultation with
relevant individuals?

111 Implement and monitor organisational
procedures for providing WHS training:
Did the learner demonstrate that they
could provide workplace learning
opportunities and coaching and
mentoring assistance to facilitate team
and individual achievement of identified
WHS training needs?
111 Implement and monitor organisational
procedures for providing WHS training:
Did the learner demonstrate that they
could identify and report to management
the costs associated with providing
training for work team, for inclusion in
financial and management plans?
111 Implement and monitor organizational
procedures and legal requirements for
identifying hazards and assessing and
controlling risks:
Did the learner demonstrate that they
could identify and report on hazards in
work area according to WHS policies and
procedures and WHS legislative and
regulatory requirements?
111 Implement and monitor organizational
procedures and legal requirements for
identifying hazards and assessing and
controlling risks:
Did the learner demonstrate that they
could promptly action team member
hazard reports according to
organisational procedures and WHS
legislative and regulatory requirements?
111 Implement and monitor organizational
procedures and legal requirements for
identifying hazards and assessing and
controlling risks:
Did the learner demonstrate that they
could implement procedures to control
risks using the hierarchy of control,
according to organisational and WHS
legislative requirements?

111 Implement and monitor organizational
procedures and legal requirements for
identifying hazards and assessing and
controlling risks:
Did the learner demonstrate that they could
identify and report inadequacies in existing
risk controls according to hierarchy of control
and WHS legislative requirements?
111 Implement and monitor organizational
procedures and legal requirements for
identifying hazards and assessing and
controlling risks:
Did the learner demonstrate that they
could monitor outcomes of reports on
inadequacies, where appropriate, to
ensure a prompt organisational response?
111 Implement and monitor organizational
procedures for maintaining WHS records for
the team:
Did the learner demonstrate that they
could accurately complete and maintain
WHS records of incidents of occupational
injury and disease in work area, according
to WHS policies, procedures and
legislative requirements?
111 Implement and monitor organizational
procedures for maintaining WHS records for
the team:
Did the learner demonstrate that they
could use aggregate information and data
from work area records to identify
hazards and monitor risk control
procedures in work area?
The candidate’s
performance was:
Not Satisfactory Satisfactory