BSBWHS414: Contribute to WHS Risk Management

Assessment Task 1: Case Study

• You will be allocated a case study for a Request for Service (RFS) for a fictitious PCBU (person conducting a business or undertaking) in the WSMS training environment.
• You are the Inspector responding to this RFS and you are to use the evidence supplied to answer the questions specific to the case study. As the inspector in the case study, assume that you have collected the evidence yourself. For example, you have taken the photos or directly observed activities taking place.
• You are free to add or make up the names of any characters that you feel may add detail, structure or clarity to demonstrate your evidence collection and actions you took to address the RFS.
• There are two parts to this assessment task:
Part A:
– Read the case study you were allocated and submit written answers to address each of the questions listed in Part A below.
– You will be required to demonstrate how you identified the non-compliance/breaches, determined control measures that are reasonably practicable, and outlined the strategies you would use to facilitate improvements and implement compliance.
Part B:
– You will be required to complete and submit all supporting documentary evidence as outlined in Part B.

Context of the Assessment

• This is an individual assessment.
• This assessment task must be written by you independently and be your own work.
• Answers must not be shared with any other candidate.

Submission of Assessment Tasks

• All submissions for assessment tasks are to be uploaded your assessment submissions to your individual channel in Teams
• Both Part A and Part B are to be submitted together as one submission.

Case Study Questions – Part A: Written Questions

Submit typewritten answers to the questions below specific to the case study you have been allocated. Remember you are the responding inspector and have collected the evidence yourself.
At the start of your report, please identify the number/name of your allocated case study.

Prior to Workplace Visit

1(a). Three powers of the regulator (SWNSW) (WHS legislation reference)

• Access to Workplace – Section 163 WHS Act 2011
  The regulator may let inspectors access a workplace at all times, without prior notification, to do inspections, investigate occurrences, and assess compliance.

• Issuance of Improvement and Prohibition Notices – Sections 191 & 195 WHS Act 2011
  The regulator may issue statutory notifications to ensure adherence to WHS legislation. Improvement notices demand action within a certain deadline; prohibition notices instantly halt actions that present significant dangers.

• Initiate Legal Action – Section 230 WHS Act 2011
  SafeWork NSW possesses the authority to commence legal action against PCBU for violations of the WHS Act and Regulation.

2(a). Three powers of an Inspector (with WHS legislation references)

• Entry Powers – Section 165 WHS Act 2011
  Access workplaces at any moment without advance notification.

• Power to Require Document Production – Section 171 WHS Act 2011
  Inspectors may mandate the PCBU to furnish and permit the review of documentation.

• Authority to Seize Items – Section 175 WHS Act 2011
  Inspectors may confiscate objects for analysis or as evidence within enquiries.

2(b). Limitations of inspector and regulator powers

• Privilege Against Self-Incrimination – Section 172 WHS Act 2011
  Individuals have the right to refrain from producing documents that may incriminate them.

• No authority to enforce employment contracts or resolve industrial disputes
  WHS inspectors only deal with health and safety, not HR or industrial relations.

3. WHSDOM policy/procedure related to education and facilitation of stakeholders

WHS Consultation and Communication Procedure:
Encourages engagement with workers and PCBUs to inform and enhance ongoing WHS advancements. Includes directives on toolbox discussions, safety notifications, and instructional sessions.

4. Risk management techniques – formatted as text (not a table)

Technique: Review documents
• Example tool: Procedures for Safety Work, Training Documentation
• Description: Analysis of current safety documents
• Reasoning: To evaluate deficiencies in existing protocols and confirm adherence

Technique: Ask questions (consultation)
• Example tool: Worker interviews
• Description: Engage directly with personnel to collect safety concerns and observations
• Reasoning: To detect unrecorded dangers or dangerous work practices

Technique: Observation
• Example tool: Visual site assessment
• Description: Physical inspection of work sites and observing job execution
• Reasoning: To directly highlight observable dangers such as deficiencies in machine guarding

5(a). Issues in the RFS within SafeWork NSW’s jurisdiction

• Insufficient safeguarding of the dough mixer
• Hazardous operational protocols
• Absence of safe work procedures/SWMS
• Insufficient employee training and documentation
• Inadequate consultation and WHS management mechanisms

5(b). Legislative references for each issue

• Section 19 WHS Act – Primary Duty of Care
• Section 39 WHS Act – Provision of information, training, instruction
• Section 41 WHS Act – Duty to ensure safe equipment
• WHS Regulation Part 5.1 – Risk Management
• WHS Regulation Part 3.2 – Consultation

5(c). Supporting codes and standards

• Code of Practice – Managing Risks of Plant in the Workplace
• Code of Practice – Consultation, Cooperation and Coordination
• AS 4024 Machinery Safety Standard

6(a). Issues NOT within SafeWork NSW’s jurisdiction

• Manual only available in French
• Management’s inadequate English communication

6(b). Why not the SWNSW jurisdiction?

These are HR and communication issues, not specific WHS legislative breaches.

6(c). How non-jurisdictional issues were addressed

Recommended use of translation services and hiring multilingual supervisors/interpreters.

7. Common workplace hazards – formatted as text (not a table)

Hazard: Moving parts (unguarded)
• Nature: Entanglement or amputation
• Severity: Severe
• Likelihood: Medium–High

Hazard: Manual handling
• Nature: Musculoskeletal injuries
• Severity: Moderate–Severe
• Likelihood: High

Hazard: Slips, trips, falls
• Nature: Fractures, sprains
• Severity: Moderate
• Likelihood: Medium

Hazard: Hot surfaces
• Nature: Burns
• Severity: Moderate–Severe
• Likelihood: Low–Medium

Hazard: Noise exposure
• Nature: Hearing damage
• Severity: Moderate
• Likelihood: Low

8. Research and background checks before workplace visit

(Kept exactly as provided already fully formatted and correct.)

9(a). Personal risks prior to attending workplace

1. Exposure to unprotected/operational machinery

2. Slips, trips and falls

3. Language barriers impacting safe communication

9(b). How risks will be minimised (hierarchy of control)

(Your content kept exactly as written.)

10. Workplace inspection information – formatted as text

WHSDOM procedures (five):
• Workplace Entry Protocol
• Evidence Collection and Management Procedure
• Consultation and Communication Protocol
• Incident Investigation Protocol
• Procedure for Drafting and Distributing Notices

Timeframes:
• Response – Immediate
• Issuing notices – On-site or within 24 hours
• Reports – Within 7 business days

Resources for PCBU:
• SafeWork NSW Codes of Practice
• WHS consultants

Inspector’s equipment:
PPE, camera, measuring tape, notebook, WHS legislation, ID card, notice templates

During the Workplace Visit

11. Stakeholders – formatted as text

PCBU: Ensures WHS compliance; responsible for corrective actions
Maintenance Manager: Responsible for plant and equipment safety
Production Manager: Oversees training and safe work practices
Supervisor: Oversees production tasks
Workers: Provide firsthand information about hazards
Internal Legal Team: Provides legal guidance
WHS Consultants: Assist PCBU in implementing controls
Interpreters: Address language barriers

12(a). Evidence collected

(Content retained exactly as provided.)

12(b). How evidence was obtained safely

(Content retained exactly as provided.)

13(a). Hazards, risks, controls, remedial actions – formatted as text

Issue: Unprotected holes on dough mixer (360mm and 310mm)
• Risk: Entanglement, amputation
• Likelihood: High
• Impact: Severe
• Overall Rating: High
• Controls: Install permanent interlocked guarding
• Remedial Action: Issue Prohibition Notice; engineering upgrades required

Issue: Hazardous operational practice (testing dough during operation)
• Risk: Significant hand injuries
• Likelihood: High
• Impact: Severe
• Overall Rating: High
• Controls: LOTO or stop-start controls
• Remedial Action: Revise work practices

Issue: Insufficient training and competency assessment
• Risk: Severe injury due to unsafe operation
• Likelihood: Medium
• Impact: Moderate
• Overall Rating: Medium
• Controls: Introduce structured training and assessments
• Remedial Action: Mandatory training program

Issue: Insufficient consultation
• Risk: Workers unaware of hazards
• Likelihood: Medium
• Impact: Moderate
• Overall Rating: Medium
• Controls: WHS consultation procedures
• Remedial Action: Implement toolbox talks, safety meetings

Issue: Manual only in French
• Risk: Lack of safety information
• Likelihood: Medium
• Impact: Moderate
• Overall Rating: Medium
• Controls: Translate manual
• Remedial Action: Provide translated manual

13(b). Strengths and weaknesses of each control measure

(Content preserved exactly as written.)

13(c). Control measures in the hierarchy of control

(Content preserved exactly as written.)

14. Record keeping

(a), (b), (c), (d) – All content preserved exactly as written.

Follow-Up of Compliance Activity

15. Notices followed up – formatted as text

Prohibition Notice – inadequate safeguarding
• Due: 24 hours
• Evidence: Physical inspection
• Outcome: Non-compliant
• Communication: On-site verbal + written confirmation

Improvement Notice – Safe Work Procedures
• Due: 14 days
• Evidence: SOPs, training documents
• Outcome: Complied
• Communication: Email + follow-up letter

Improvement Notice – WHS consultation procedure
• Due: 21 days
• Evidence: Meeting minutes, toolbox talks
• Outcome: Complied
• Communication: Phone + email confirmation

16. Actions for non-compliance with notices

(Content preserved exactly as provided.)

17(a). Rights and obligations (improvement & prohibition notices)

(Content preserved exactly as provided.)

17(b). Who these rights were explained to

(Content preserved exactly as provided.)

Brief Summary of Assessment Requirements

This assessment required the student to act as a SafeWork NSW Inspector responding to a Request for Service (RFS) for a fictitious PCBU. The case study replicated a real-world WHS investigation, and the student was expected to demonstrate:

Key Requirements of the Assessment

1. Analyse the allocated case study and assume the role of the responding inspector.

2. Identify powers of the regulator and of an inspector, with supporting legislative references.

3. Explain limitations of these powers.

4. Apply WHS policies, procedures, and consultation requirements relevant to stakeholder engagement.

5. Use risk management techniques to identify hazards, evaluate risks, and justify control measures.

6. Determine which issues fall within SafeWork NSW jurisdiction, with legislative and Code of Practice references.

7. Complete pre-visit planning, including researching background information and identifying personal risks.

8. Conduct a workplace visit, identify stakeholders, collect evidence, and demonstrate safe evidence-gathering practices.

9. Assess workplace hazards, assign risk ratings, determine appropriate controls using the hierarchy of control, and outline remedial actions.

10. Complete all supporting documentation (Part B), such as notices, reports, records, and evidence templates.

11. Follow up on notices, evaluate compliance, and outline actions in case of continued non-compliance.

12. Explain rights and obligations related to improvement and prohibition notices.

Both Part A (written responses) and Part B (supporting documentation) had to be submitted together.

How the Academic Mentor Guided the Student 

The Academic Mentor supported the student through a systematic, structured approach that mirrored the real investigative workflow used by WHS Inspectors. Each section was explained clearly to ensure the student demonstrated evidence collection, analytical thinking, and legislative application.

Step 1: Understanding the Scenario and Role

The mentor first clarified:

• The student must respond as an Inspector, not as a general WHS officer.

• All evidence presented in the case study must be treated as personally collected by the student.

• Additional names, characters, or observations could be added to strengthen evidence-based reasoning.

This ensured the student adopted the correct professional perspective before addressing any questions.

Step 2: Breaking Down the Assessment Questions

The mentor explained that the assessment questions relate directly to actual inspector duties:

• inspector powers

• regulator powers

• WHS procedures

• risk management

• consultation

• evidence collection

• notices

• compliance follow-up

The student was guided to approach each question individually while maintaining continuity within the case study.

Step 3: Legislative Research and Interpretation

The mentor helped the student interpret:

• WHS Act 2011

• WHS Regulation 2017

• Relevant Codes of Practice

• Australian Standards applicable to plant safety

The mentor emphasised:

• citing section numbers

• explaining the relevance to the issue

• linking legislation directly to case facts

This step ensured the answers were legally accurate and aligned with inspector responsibilities.

Step 4: Identifying Jurisdictional vs Non-Jurisdictional Issues

The mentor trained the student to differentiate:

• WHS issues (e.g., unsafe plant, lack of guarding, poor consultation)

• HR/communication issues (e.g., manual in French, language limitations)

This distinction demonstrated the student’s understanding of SafeWork NSW’s legal boundaries.

Step 5: Applying Risk Management Concepts

The mentor guided the student to:

• Present hazards in text format, as required

• Identify hazards, associated risks, severity, likelihood, and overall ratings

• Align controls with the Hierarchy of Control

• Demonstrate reasoning for each control and note strengths/weaknesses

This helped transform textbook knowledge into practical WHS inspection actions.

Step 6: Preparing for the Workplace Visit

The student was advised to:

• Research the PCBU type, industry risks, and similar past enforcement actions

• Identify personal safety risks

• Select appropriate PPE and tools (camera, notepad, ID, legislation)

This section mimicked real pre-visit inspector planning.

Step 7: Conducting the Inspection and Gathering Evidence

The mentor explained how to:

• Identify stakeholders based on hierarchy (PCBU, managers, workers, consultants)

• Collect evidence safely

• Justify how each piece of evidence was obtained

• Apply WHSDOM procedures such as workplace entry, consultation protocols, and notice procedures

This demonstrated investigative competence and procedural compliance.

Step 8: Completing Notices and Follow-Up

The mentor guided the student to:

• Write clear reasons for issuing improvement and prohibition notices

• Provide realistic timeframes

• Describe how compliance would be verified

• Explain actions if non-compliance continued

This strengthened the student’s understanding of enforcement tools and legal processes.

Step 9: Ensuring Accuracy in Part B Documentation

The mentor ensured the student completed:

• evidence records

• notice templates

• follow-up reports

• consultation notes

Each document needed to align with the answers provided in Part A.

Step 10: Reviewing Learning Outcomes and Final Submission

Before submission, the mentor helped the student:

• cross-check that all questions were answered

• ensure consistency between case details, controls, and notices

• verify that both Part A and Part B were bundled together

• refine the narrative to reflect inspector reasoning

This produced a cohesive, professional submission.

Final Outcome and Learning Objectives Achieved

Through this guided process, the student successfully produced a detailed, accurate, and well-structured inspector response for the RFS case study.

What the Student Achieved

• Correctly identified WHS breaches and linked them to the legislation

• Demonstrated risk management skills, including hazard identification, assessment, and control selection

• Applied the hierarchy of control effectively

• Used evidence-based reasoning to justify enforcement decisions

• Completed supporting documentation as required in professional WHS practice

• Demonstrated practical understanding of consultation, compliance, and review procedures

• Differentiated jurisdictional and non-jurisdictional issues accurately

• Showed awareness of inspector powers, limitations, and obligations

Learning Objectives Covered

• Understanding WHS legislative frameworks
• Applying inspector powers appropriately
• Conducting risk assessments using correct techniques
• Determining reasonably practicable control measures
• Producing accurate WHS documentation
• Demonstrating effective consultation and communication
• Applying compliance and enforcement strategies
• Understanding inspector responsibilities in real-case scenarios

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