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ASSESSMENT COVER SHEET
QUALIFICATION: Diploma of Business/ Diploma of Management
UNITS: BSBRSK501B Manage Risk
BSBWHS501A Ensure a safe workplace
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ASSESSMENT GUIDELINES FOR STUDENTS
• You need to achieve a ‘Competent’ grade in ALL the assessments items to be granted a ‘Competent’ grade in the unit.
• In case you are not able to achieve a ‘Competent’ grade in any assessment task, you will be given three (3) attempts to resubmit your assessment. Your trainer will be available to assist you in any areas of difficulty. Please discuss the assessment with your trainer to seek advice on how you can achieve competency in the unit.
• Where relevant, oral questions may be asked to gather more information on your knowledge, skills and competence in the unit.
• A holistic approach is used to assess your skills relevant to this qualification. The skills are assessed across the different units offered within this qualification. Where a skill relevant to this unit is not assessed within this assessment pack, please note that the skill will be assessed in another unit

ASSESSMENT 1
Legislation and codes of practice
This assessment has THREE parts.
PART A: Theory Questions
Answer the following questions in your own words (Approximately 30-100 words each)
1. Provide examples of how the following risks can occur at any workplace
RISK CATEGORIES GIVE TWO EXAMPLES OF WHAT CAN GO WRONG Or WHAT CAN CAUSE THIS RISK
Natural disasters
Pandemic risk
Legal risks
Technology
Suppliers

Employees

Workplace health and safety

Financial risk

Market risk

2. What is ‘Risk Management’?
3. How is ‘risk’ defined by ISO31000?
4. How is ‘risk’ defined by AS/NZS4360?
5. Explain at least 5 techniques that you can use to identify risks in a workplace





6. Using the table below, develop a likelihood scale matrix for your organisation (or ACTB if you are not working)
Level Likelihood Description
5
4
3
2
1
7. What factors do you need to consider when doing a risk evaluation?
8. What strategies can you use to test a risk management plan?
9. Why is it important to review an organisation’s risk management plan?
10. What is business impact analysis?
11. Why is it important to analyse critical business activities as part of risk management planning?
12. Research activity - Give two examples of types of available insurance and insurance providers in relation to managing organisational risk.

PART B
1. Why is it important to have a law for workplace health and safety?
2. What is the difference between ‘Acts’, ‘Regulations’ and ‘Codes of Practice’?
• Acts: _
_
_
• Regulations: _
_
_
• Codes of Practice: _
_
_
3. Write down the names of the current Federal Act, Regulations and Codes of Practice that apply to work health and safety in Australia
a. Name of the Act: _
b. Name of the Regulations: _
c. Name of the Codes of Practice: _
PART C: Research Activity
4. Go to http://www.comlaw.gov.au/Details/C2011A00137 (This will take you to the WHS Act 2011)
a. Find Part 2, Division 2 in the Act and read Section 19 of the Act
Answer the following questions
i. What do you understand by ‘primary duty of care’?
ii. Who has ‘primary duty of care’ under the Act?
b. Go to Part 2, Division 4, Section 28 and Section 29 in the Act. Answer the following questions:
i. What is the responsibility of ‘workers’ under the Act?
ii. Does a visitor who is visiting the workplace have any responsibilities under the Act? Explain why.
c. What is the duty/topic discussed under Section 35-39 of the Act?
d. Explain Section 38 of the Act in your own words
e. Which section of the Act talks about the duty to consult workers?
5. Go to http://www.comlaw.gov.au/Details/F2011L02664 (This will take you to the Federal WHS Regulations 2011)
a. Find Chapter 3, Part 3.1 in the Regulations and answer the following questions
i. What is the obligation of duty holders under Section 34 of the Regulations?
ii. Explain the following sections of the Regulations in your own words:
1. Section 35
2. Section 36
3. Section 37
4. Section 38
PART D
6. Research activity - Explain what you understand by ANY TWO of the following legislation, codes of practice and national standards in your own words.
o duty of care
o company law
o contract law
o environmental law
o freedom of information
o industrial relations law
o privacy and confidentiality
7. Why is consultation important for workplace health and safety management?
8. As a manager, when will you consult with your employees?
9. Why do you think it is important to communicate effectively with all team members when it comes to WHS Policies and Procedures?
10. What steps can you take to identify hazards at any workplace?
11. What are ‘psychosocial hazards’?
12. Explain what you understand by the hierarchy of control process?
13. What are the steps you can use to conduct a review of the WHS Risk Management Plan at any organisation? (If you are not working, you can respond to the question using ACTB as an organisation)
14. What are some reasonable adjustments that could be made in the workplace for people with a disability? Provide specific examples

Assessment 2: RISK MANAGEMENT PLAN
MAJOR ASSESSMENT
PART A
Inspect your workplace or any other organisation or walk around the ACTB campus (inside and outside) and identify any potential hazards, including:
Types of hazards
• Hygiene
• Noise
• Vibration
• Physical agents, including biological and micro-biological hazards
• Temperature
• Radiation
• Work demands
• Relationships with colleagues
Based on your research of key risks in your workplace or ACTB, complete the following ‘Hazard Inspection Checklist’.
ii. Please Circle Your Response
Is any part of the premises used as a dumping ground for unused furniture, old computers, paint tins, etc.?
Check: • Store room YES NO
• rooms/ workshops YES NO
• car park YES NO
• offices YES NO
• under buildings YES NO
Are any of the following items manually lifted/carried by one person any great distance?
Check: • slabs of soft drink YES NO
• cartons of photocopy paper YES NO
• containers of books YES NO
• TVs or VCRs YES NO
• computers YES NO
Can any of the following tripping hazards be found?
Check: • frayed/torn carpets and doormats YES NO
• worn tiles YES NO
• items stored in corridors or doorways YES NO
• chipped or uneven steps YES NO
• uneven pathways YES NO
• cables/extension leads across walkways YES NO
Do all fire extinguishers comply with the following?
Check: • Conspicuous YES NO
• access uninhibited YES NO
• with a rectangular location sign (not less than 2m above floor) YES NO
• mounted at ‘grab height’ (not more than 1.2m above floor, unless the possibility of dislodgement or damage exists) YES NO
Are chemicals stored in any of the following ways?
Check: • in food or drink containers (especially still with original label) YES NO
• decanted into unmarked or damaged containers YES NO
• flammables near possible ignition source YES NO
• leaking/damaged containers and/or damaged labels YES NO
ARE THERE COPIES OF MATERIAL SAFETY DATA SHEETS (MSDS)? YES NO
Do the offices/ rooms include any of the following ergonomic hazards?
Check • insufficient storage YES NO
• cartons/bags stored under desk YES NO
• poor lighting YES NO
• inadequate ventilation YES NO
Are large, heavy and/or awkward items stored above shoulder height or below knee height in any of the following locations?
Check: • store rooms YES NO
• general office YES NO
• staff workroom/work stations YES NO
Can any of the following electrical hazards be found?
Check: • frayed cords YES NO
• ‘piggybacking’ double adaptors YES NO
• radiant heaters YES NO
• faulty/non-working electrical equipment YES NO
• blocked/unlabelled/ineffective emergency stop buttons YES NO
Is accumulated dust evident in any of the following areas?
• photocopier room YES NO
• computer rooms YES NO
• general offices/ rooms YES NO
Do staff ever need to climb on to furniture to perform the following?
Check: • put up displays YES NO
• access books/folders/equipment YES NO
• dispose of rubbish in hopper YES NO
• change light globes YES NO
• open windows YES NO
• operate air conditioner YES NO
Do all computer work stations have the following?
• monitor adjustable for operator eye height YES NO
• viewing distance between eyes and monitor between 400 and 700mm YES NO
• sufficient thigh clearance under desk YES NO
• cords & cables under the desk, not in walking area YES NO
PART B: Develop a Risk Management Plan
• Using your findings in Part A, develop a Risk Management Plan for your selected organization using the headings given below.
• Your risk management plan should include a detailed stakeholder analysis, explanation of the risk context, critical success factors, identified and analysed risks, and treatments for prioritised risks
• details of monitoring arrangements for risk management plan and an evaluation of the risk management plan's efficacy in treating risks
• Include references to the relevant legislation, codes of practice and national standards.
Use the following headings to develop a Risk Management Plan for your selected organisation
1. Describe your selected organisation briefly (50 words)
2. Who are the key stakeholders in your selected organisation (20 words)
3. Risk context (100 words)
a. What are the advantages of having a health and safety policy for the organisation?
b. Can the employees find the WHS policies easily in your selected organisation? Why or why not?
c. What are the procedures used for a fire-drill exercise in your selected organisation?
d. What is the process used for incident reporting in your selected organisation
e. What is the process used for health and safety related records in your selected organisation?
4. What are some of the things that are very important to make sure that the WHS policy is successful in the organisation? (50 words)
5. Risk Identification and Analysis (Based on your observations at any workplace or ACTB, in the table below write down the top 5 hazards that need to be monitored carefully)
HAZARD RISK (What can happen?) How high is the likelihood of the risk at present on a scale of 1 to 5?
1= Very Low
2= Low
3= Moderate
4+ High
5= Very High How high is the potential impact of the risk at present on a scale of 1 to 5?
1= Very limited
2= Limited
3= Moderate
4+ Severe
5= Very Severe/ Critical RISK TREATMENTS
What can be done to minimize the risk

6. Explain how you would monitor and review the effectiveness of the risk treatments that you have noted in the table above. (200 words)
7. Recommendations
a) Make a list of areas that should be covered for a new staff induction program in relation to WHS
b) Make a list of key stakeholders who should be involved in a review of the Risk Management Plan?
c) Make a list of recommendations for the procedures that the organisation should use for identifying and assessing WHS risks in the future (Hint: Use the recommended steps in the WHS Code of Practice)
d) What are the 3 urgent things that your selected organisation should do to minimise the risks?



Assessment 3- Analyse and improve risk management systems
Read the Case Study below and answer the questions that follow
Case Study: Local Grocery Store
Jane Smith has been working at the local grocery store in Brisbane for the last 12 months. She had recently taken on a new role as the bakery supervisor and was eager to review the work activities and safety procedures. In preparing for the review, Jane considered how she would conduct the review and who she should speak with.
As a first step, Jane identified the different activities and tasks that were carried out by the workers. These included:
• preparing a number of different products such as bread, cakes, slices and doughnuts
• cleaning items used in product preparation
• general housekeeping.
The next step was to analyse what was involved with each activity. Jane spent three mornings that week with the four bakers who worked in the bakery department. She talked to them about the work activities and what they thought could be changed to improve the safety of the workplace. One of the bakers had been working in the store for over 10 years, whilst another had been working for over 25 years. The other two bakers were apprentices and had only been working with the store for around six months.
From these discussions, Jane identified a number of key tasks the bakers carried out every day when preparing the baked products:
• moving the ingredients from their storage locations to the area of use
• mixing the ingredients together using specialised mixers
• transferring the mixture to the container for baking
• putting them in the oven and removing them from the oven
• slicing and decorating
• packaging the products.
During an inspection of the bakery, Jane and the bakers identified a number of hazards, including the following:
• the doughnut mixer was not guarded and the mixing bowl could be accessed when the machine was operating
• the concrete floors were slippery in the mixing room and flour was spilt where the bakers walked
• low lighting in the food preparation area
• there was narrow access and restricted movement in the storage area where the flour bags were kept.
Jane and the bakers discussed the risks associated with each of the hazards and what could be done to control these risks. In relation to the unguarded mixer, one of the bakers suggested purchasing or hiring a new model with an interlocking guard. After considering the ideas of the bakers, Jane completed the following risk register:
XYZ Grocery Store Pty Ltd
Work area: Bakery department
Form completed by: Jane Smith (Bakery supervisor)
Date form completed: 05/11/2010
Hazard identification
Hazard: Doughnut mixer not guarded and mixing bowl can be accessed when machine is operating.
Risk Assessment
What is the harm the hazard could cause: The person operating the mixer could be injured by the moving parts if their hand slipped in while the machine was operating. Hand could be cut or could even lose a finger.
What is the likelihood of this happening: This machine is used several times a day. Two of the workers have not been working in the bakery for a long time and are not very experienced in using the equipment.
Persons at risk: All four bakers who operate the machine.
Existing control measure: Staff follow policy and operating instructions to use the mixer safely – not very effective because it relies on staff keeping hands away from the dangerous parts.
Consequence: Serious injuries
Likelihood: Very likely
Outcome: High risk - the mixer must not be used again until the risk has been controlled.
Control measures
Possible control options:
• Elimination – Eliminating the use of the mixer completely will mean the business cannot continue to sell baked products as the dough cannot be mixed. Business revenue will suffer.
• Substitution – Use of the mixer could be substituted by hand mixing the dough. One day’s production will be lost in the change over. This method can only be considered an interim option as it is not sustainable for more than a day or two with present staff. However, part time staff could be hired to mix the dough. Business income would be reduced and impact on revenue. Alternatively, the mixer could be replaced by purchasing a new, safer machine with a built-in guard.
• Engineering – The mixer could be modified by adding an interlocking guard. A mixer could be hired for the period the old mixer is in for repairs. One day’s production will be lost in this option. The modifications are estimated to cost $1600. Other costs included are: one day lost in production plus hire of substitute machine for approximately 10 days and transport. Estimated cost is less than $6000.
• Administrative or PPE – All staff told to keep hands away from the mixing bowl while it is in use. Only the more experienced bakers are to operate the mixer.
Preferred control option: Purchase a new mixer, which would not cost much more than having the old one modified. Mixing to be done by hand while waiting for replacement mixer to arrive. The costs involved are outweighed by worker safety and this option eliminates the risk of injury.
Implementation
Associated activities Resources required Person(s) responsible Sign off and date
New mixer to be purchased. Mixing to be done by hand while waiting for new mixer. May require staff working more hours Less than $6000 Jane Smith – Bakery supervisor J Smith 9/11/10
Develop new work procedures
Provide training to bakers on using the new machine 3 hours Jane Smith – Bakery supervisor J Smith 20/12/10
Review
Scheduled review date: 31 January 2011
Are the control measures in place?
• Yes – the new machine has an interlocking guard and bakers have been provided with training on how to use the machine in accordance with the manufacturer’s instructions.
Are the controls eliminating or minimising the risk?
• Yes – the interlocking guard prevents people from putting their hand in the mixing bowl.
Are there any new problems with the risk?
• No.
The review of the above hazard and the implemented control measures improved the safety in the bakery department at the grocery store.
COMPLETE THE ACTIVITIES BELOW
1. Complete the table below in relation to the bakery
1.1 What are some of the steps that Jane took that shows that the bakery is committed to complying with WHS legislation
1.2 Identify duty holders and define WHS responsibilities for all workplace personnel in the bakery

2.1 What did Jane do that shows that she met the ‘consultation’ requirements according to relevant WHS Act 2011?
2.2 How did Jane resolve issues raised through consultation?
3.1 What procedures should Jane follow for ongoing hazard identification, and assessment and control of associated risks
3.2 Where can Jane get expert WHS advice?

4.1 What kind of records should the bakery keep to review the WHS systems
4.2 What was the budget allocated to minimise the risk
4.3 What else can Jane do as a manager to minimise risk and comply with WHS legal requirements?

2. As part of her evaluation, Jane identified three other hazards. Choose any ONE of the other three hazards identified by Jane and complete the risk register below.
For this exercise, imagine that YOU ARE JANE SMITH
XYZ Grocery Store Pty Ltd
Work area: Bakery department
Form completed by: _
Date form completed: _
Hazard identification
Hazard:
Risk Assessment
What is the harm the hazard could cause:
What is the likelihood of this happening:
Persons at risk:
Existing control measure:
Consequence:
Likelihood:
Outcome:
Control measures
Possible control options:
• Elimination –
• Substitution –
• Engineering –
• Administrative or PPE –
Preferred control option:
Implementation
Associated activities Resources required Person(s) responsible Sign off and date

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