This unit applies to individuals required to investigate incidents for prevention.
The unit applies to people who work in a range of WHS roles across all industries and who apply a substantial knowledge base and well-developed skills in a wide variety of WHS contexts.
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 RTOs are advised to contextualise the unit of competency by referring to the existing State/Territory OHS legislative requirements.
This unit describes the performance outcomes, skills and knowledge required to plan, conduct and report on investigations of work health and safety (WHS) incidents that have resulted in, or have the potential to result in, injury or damage.
It covers conducting an initial assessment of the situation; establishing the scope and legal parameters of the investigation; conducting a systematic analysis to identify underlying causes and actions for prevention; and reporting on the outcomes of the investigation appropriate to the potential severity of the incident, which may include accessing specialist expertise.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
Prerequisites
Not applicable.
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
Evidence of the following is essential:
investigation of WHS incidents in a systematic manner
initial assessment of the situation and the establishment of an investigation plan
recommendations arising from the investigation
identification of immediate and underlying causes, and construction of a timeline of events leading up to the incident with intervention points on the timeline for prevention and a root tree analysis.
Context of and specific resources for assessment
Assessment must ensure access to:
workplace documents and case studies and, where possible, real situations
office equipment and resources
other personnel involved in investigations.
Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
analysis of responses to case studies and scenarios
assessment of written reports on incidents
demonstration of techniques used to conduct WHS incident investigations
direct questioning combined with review of portfolios of evidence and third-party reports of onthejob performance by the candidate
observation of performance in role plays
observation of presentations
oral or written questioning to assess knowledge of requirements for reporting under WHS legislation, including notification and reporting of incidents
review of authenticated documents from the workplace
evaluation of area checks after an incident
scoping of the investigation
recording of documentary evidence
research of causative events.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
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
analytical skills to:
analyse relevant workplace information and data
contribute to the assessment of resources needed to manage risk and where appropriate access these resources
develop actions, interventions or measures to prevent re-occurrence of the incident
identify areas for WHS improvement
make accurate observations of workplace tasks and interactions between people, their activities, equipment, environment and systems
communication skills to communicate effectively with individuals and parties at all stages of the investigation
consultation and negotiation skills to support development and implementation of the investigation plan
information technology skills to:
access and download internal and external information and data on WHS
use a range of communication media
numeracy skills to develop and implement the investigation plan
project-management skills to support development and implementation of the investigation plan
research skills to:
access relevant WHS information and data
identify areas for improvement
interpret information and data.
Required knowledge
ethics related to professional practice
how the characteristics and composition of the workforce impact on WHS risk and the management of WHS, including:
communication skills
cultural background and diversity
gender
labour market changes
language, literacy and numeracy levels of the workforce
structure and organisation of the workforce, for example parttime, casual and contract workers, shift rosters, geographical location
workers with specific needs and limitations
workplace culture towards alcohol and other drug use
internal and external sources of information and data relevant to the investigation
models of incident causation and injury processes
nature of workplace processes (work flow, planning and control) and hazards relevant to the workplace
organisational WHS policies, procedures, processes and systems
requirements under WHS legislation for notifying and reporting incidents and enforcement notices; and rights and powers of WHS inspectors
types and characteristics of incidents.
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.
Incident includes:
accidents
incidents as referred to in WHS legislation
major to minor incidents resulting in:
major to minor injuries and diseases
major to minor damage to property, equipment, work processes or the environment
near misses, where no injury or damage occurs.
Immediate needs may include:
first aid
emergency evacuation and medical treatment
counselling and other personal support.
WHS legislative requirements may include:
complying with specific requirements of WHS legislation relating to incident and incident notification, such as:
for registered major hazard facilities
reviewing general workplace management measures and specific hazard control measures following a notifiable incident
preserving incident sites
complying with non-disturbance notices.
WHS legislation may include:
Acts
regulations
codes of practice.
Duty holders may include:
as specified in WHS Acts:
persons conducting businesses or undertakings (PCBUs) or their officers
workers
other persons at a workplace.
Individuals and parties may include:
community
contractors
coroners
designers
government agencies, including WHS and emergency services agencies
importers
installers
insurance companies
internal and external specialists
managers and supervisors
manufacturers
media
occupational health and safety professionals
organisation’s board
PCBUs or their officers
suppliers and distributors
union representatives
worker assistance personnel
workers and family members.
Barriers to investigation may include:
availability of required resources, information and data, for example in relation to specific workplace issues, such as substance abuse
availability of witnesses
cultural issues
language
legal restrictions or limitations (temporary, shortterm or longterm)
length of time from when incident occurred or was first identified
location and/or accessibility of site
management and worker attitude, including desire to protect self and others
political and community stakeholder sensitivity
time limits imposed
unsecured incident site.
Conceptual bases for the analysis includes:
adopting an open-minded and objective approach
analysing policies, procedures, processes and systems in place at the time of the incident
focusing on the how, what and why of the incident
not focusing on individual behaviour or fault
using applicable models of causation and occurrence.
Timeline of events may include:
events and processes that extend back in time as far as required to identify root causes
not just focusing on recent and immediate events and processes.
Root causes may include:
workplace:
policies
procedures
processes
systems.
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
Prepare and implement a workplace procedure for incident investigation
Ensure site of the incident is safe and secured and that the immediate needs of those involved in the incident are met
Ensure WHS legislative requirements are met
Ensure other actions are performed to meet requirements of relevant workplace policies, procedures, processes and systems
Apply knowledge of WHS legislation and workplace policies, procedures and systems to assist with identifying duty holders and ensure requirements of WHS legislation and workplace policies, procedures, processes and systems are met by the investigation plan
Form an appropriate investigation team
Define the scope and purpose of the investigation and ensure they are appropriate to the scope and nature of the incident
Ensure participation of, and consultation with, individuals and parties as part of the planning process and specify agreed participation and consultation processes to occur during all phases of the investigation
Identify, document and obtain necessary resources to conduct the investigation, including expert advice if required
Identify, address and document barriers to investigation
Ensure planning includes agreed timelines, objectives, responsibilities, roles, documentation, actions and outcomes
Identify and access sources of information and data
Inspect incident site, equipment and other evidence, and document outcome of inspection
Gather information and data in ways that ensure objectivity, confidentiality, validity and accuracy
Ensure investigation team understands, identifies and applies the conceptual bases for the analysis
Construct timeline of events leading up to the incident
Investigate key events, conditions and/or circumstances that together resulted in the incident
Develop actions, interventions and practical measures to prevent the re-occurrence of the incident and to address root causes
Specify recommended actions, interventions or measures, and plans for their implementation and evaluation
Prepare a report on the investigation, phrasing it in objective terms
Cite evidence and basis for conclusions and recommendations
Communicate the report to individuals and parties as appropriate
Forms
Assessment Cover Sheet
BSBWHS505A - Investigate WHS incidents
Assessment task 1: [title]
Student name:
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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
BSBWHS505A - Investigate WHS incidents
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Assessment task 1: [title] Result: Competent Not yet competent
(add lines for each task)
Feedback to student:
Overall assessment result: Competent Not yet competent