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2003 WorkCover. Watching out for you. 2003 PREMIUM DISCOUNT SCHEME AUDIT TOOL

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2003

WorkCover. Watching out for you.

2003

PREMIUM DISCOUNT SCHEME

AUDIT TOOL

Disclaimer

This publication contains information regarding occupational health, safety, injury management or workers compensation. It includes some of your

obligations under the various workers compensation and occupational health and safety legislation that WorkCover NSW administers. To ensure you

comply with your legal obligations you must refer to the appropriate Acts.

This publication may refer to WorkCover NSW administered legislation that has been amended or repealed. When reading this publication you

should always refer to the latest laws. Information on the latest laws can be checked at www.nsw.gov.au or contact (02) 9238 0950 or

1800 463 955 (NSW country only).

© WorkCover NSW

PDS – Audit Tool 1

CONTENTS

PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 1, Year 1 2

Employer and adviser information 3Benchmark 1: Management responsibility 4Benchmark 2: Consultation and communication 7Benchmark 3: Risk management and process control 11Benchmark 4: Training, learning and skills development 14Benchmark 5: Records and records management 18Benchmark 6: Injury management 20

PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 2, Year 1 29

Employer and adviser information 30Benchmark 1: Management responsibility 31Benchmark 2: Consultation and communication 34Benchmark 3: Risk management and process control 35Benchmark 4: Training, learning and skills development 37Benchmark 5: Records and records management 38Benchmark 6: Injury management 39

PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 3, Year 2 42

Employer and adviser information 43Benchmark 2: Consultation and communication 44Benchmark 3: Risk management and process control 45Benchmark 4: Training, learning and skills development 48

PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 4, Year 3 50

Employer and adviser information 51Benchmark 2: Consultation and communication 52Benchmark 3: Risk management and process control 53Benchmark 4: Training, learning and skills development 55

PDS Audit Tool: Audit 1, Year 1To be held any time in the first six months of theemployer’s policy year that is their first yearparticipating in the Scheme.At this audit, all six benchmarks are evaluated. The various benchmark elements at this audit

lay the foundation for the implementation of an Occupational Health and Safety and Injury

Management (OHS and IM) system. It is expected that employers will have started, if not

already substantially progressed, putting in place key elements of an OHS and IM system.

Evidence at this stage may predominantly include written documentation.

2 PDS – Audit Tool 1

EMPLOYER AND ADVISER INFORMATION

Please complete ALL details

Employer name ____________________________________________________________________

Address __________________________________________________________________________

__________________________________________________________________________________

Location of main site/s audited _______________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Key function/s audited ______________________________________________________________

__________________________________________________________________________________

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__________________________________________________________________________________

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Contact person ____________________________________________________________________

Phone ____________________________________________________________________________

Email ____________________________________________________________________________

Employee OHS representative ________________________________________________________

Policy number _____________________________________________________________________

Policy period ______________________________________________________________________

Insurer ___________________________________________________________________________

Claims current year ________________ number ___________________ $ _________________

Claims previous year _______________ number ___________________ $ _________________

Auditor name ______________________________________________________________________

Premium Discount Adviser number ___________________________________________________

Premium Discount Adviser name _____________________________________________________

Name of principal __________________________________________________________________

Audit number _____________________________________________________________________

Discount year _____________________________________________________________________

Date audit completed _______________________________________________________________

Notification of relationship number ___________________________________________________

Discount verification number _________________________________________________________

Notes ____________________________________________________________________________

__________________________________________________________________________________

PDS – Audit Tool 1 3

4 PDS – Audit Tool 1

Benchmark 1.1 TO BE ACHIEVED AT AUDIT 1, YEAR 1

One person within the organisation shall be designated with responsibility and accountability

for occupational health and safety and injury management.

VERIFICATION:

A senior person has been allocated responsibility and accountability for both occupational

health and safety and injury management.

Senior person can be:

• Managing Director

• CEO

• Owner Operator

Evidence may include but is not limited to:

• Employment contracts identify responsible person

• Work method statements identify responsible person

• Work instructions reflect identified responsibilities and accountabilities

• Responsibility matrices identify responsible person

• OHS policy identifies responsible person

• Return-to-work program identifies responsible person

• Position descriptions allocate responsibility and accountability

• Procedures/protocols reflect identified responsible/accountable person.

1MANAGEMENTRESPONSIBILITY

YES How?

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NO What is needed?

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PDS – Audit Tool 1 5

Benchmark 1.2 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Responsibility and accountability will be allocated to people in control of workplace activities.

VERIFICATION:

Responsibility and accountability has been allocated to people in control of workplace

activities including contractors where applicable.

For example by:

• Position descriptions allocate responsibility and accountability

• Written duty statements allocate responsibility and accountability

• Verbal instructions reflect allocation of responsibility and accountability

• Group meetings reflect allocation of responsibility and accountability

• Training material identifies responsible person/s

• Procedures manuals identify responsible person/s

• Reporting procedures reflect accountabilities

• Other (specify in How? above).

YES How?

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NO What is needed?

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6 PDS – Audit Tool 1

Benchmark 1.3 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Senior management must clearly demonstrate commitment to the implementation of

systematic approaches to occupational health and safety and injury management.

VERIFICATION:

Senior management has demonstrated commitment to the implementation of systematic

approaches to both occupational health and safety and injury management.

For example by:

• Board reports include OHM/IM performance

• Regular management meetings are held

• Group meetings are held

• Written reports are compiled and employees informed

• Performance appraisals undertaken

• Inspections/audits conducted

• Systems analysed

• Sampling/testing undertaken

• Resources approved and provided

• Relevant training provided to appropriate persons

• Other (specify in How? above).

YES How?

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NO What is needed?

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PDS – Audit Tool 1 7

2 CONSULTATION ANDCOMMUNICATION

Benchmark 2.1 TO BE IMPLEMENTED AT AUDIT 1, YEAR 1

Employer must demonstrate meaningful consultation and communication that results in

positive occupational health and safety and injury management outcomes.

VERIFICATION:

Management identifies, collects and disseminates information relevant to the occupational

health and safety and injury management issues and conditions of the workplace.

Evidence may include but is not limited to:

• Legislative requirements identified

• Codes of practice utilised where relevant

• OHS and return-to-work guidelines utilised

• Australian Standards utilised where relevant

• Procedures for regular information updates in place.

YES How?

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NO What is needed?

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Management has identified and implemented appropriate communication processes in

relation to workplace occupational health and safety and injury management issues.

Evidence may include but is not limited to:

• Group discussions held regularly

• Discussions with workers compensation insurer as appropriate

• Team meetings held regularly

• Toolbox talks held regularly

• Reporting and feedback mechanisms in place

• Provisional liability procedures in place.

8 PDS – Audit Tool 1

YES How?

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NO What is needed?

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Management has identified and implemented appropriate consultation processes to discuss

occupational health and safety and injury management issues at this workplace.

Evidence may include but is not limited to:

• OHS and IM performance reviews

• Annual reports include reports on OHS and IM

• Employee involvement in development and implementation of risk management program

• Persons identified to communicate with insurers

• Return-to-work program in place

• OHS committee in place

• OHS representative/s elected

• Consultation arrangements are recorded and publicised

• OHS representatives or OHS committees have reasonable access to the employees they

represent during working hours

• Reasonable facilities are available during working hours for the purposes of OHS

consultation arrangements

• OHS representatives and committee representatives have been trained or arrangements

have been made for their training

• Other suitable arrangements (detail in How? above).

PDS – Audit Tool 1 9

YES How?

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NO What is needed?

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10 PDS – Audit Tool 1

The information and training needs of the workforce are identified and met to facilitate

meaningful consultation.

Evidence must include:

• Literacy and language considerations

• Information maintained and updated

• Information disseminated to appropriate persons.

Occupational health and safety and injury management programs and processes are based on

current information and health and safety practice.

Evidence may include but is not limited to consideration of:

• Relevant legislative requirements

• Workplace specific needs

• Employee requests

• Industry standards

• Organisation size and complexity

• Return-to-work programs

• Other (detail in How? above).

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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PDS – Audit Tool 1 11

3 RISK MANAGEMENTAND PROCESSCONTROL

Benchmark 3.1 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Employer must develop an occupational health and safety risk management program in

consultation with employees that incorporates hazard identification, risk assessment and risk

control of tasks undertaken at the place of work. Particular attention should be paid to:

• Areas/activities identified as high risk (eg. confined spaces, electrical work)

• Plant and equipment

• Manual handling

• Noise

• Hazardous substances/chemicals.

VERIFICATION:

Risk management responsibilities and accountabilities are defined and communicated for all

management and employees.

Evidence may include but is not limited to:

• Job expectations reflect understanding of responsibility and accountability

• Position descriptions identify risk management responsibility and accountability

• Job statements identify risk management responsibility and accountability.

YES How?

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NO What is needed?

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An occupational health and safety risk management program including procedures for hazard

identification, risk assessment and risk control is in place.

Evidence may include but is not limited to:

• Written program

• Procedures for identification of hazards, assessment of risk and implementation of

appropriate controls such as safe operating procedures

• Schedules of inspection and testing

• Audits

• Procedures for reporting hazards.

The risk management program accounts for the specific activities of the organisation, needs

of the workforce, emergency situations and circumstances with the potential to introduce risk.

Evidence may include but is not limited to:

• Procedures for assessing risk within the operational cycle

• Emergency procedures

• Procedures for reporting identified hazards.

12 PDS – Audit Tool 1

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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PDS – Audit Tool 1 13

Procedures are in place to ensure that applicable occupational health and safety regulations,

codes of practice and national standards are incorporated in the risk management program.

Evidence may include but is not limited to:

• Reference material available

• Legislation and any guidance material regularly reviewed.

All employees are made aware of workplace hazard reporting procedures and protocols.

Evidence may include but is not limited to:

• Information and training procedures in place

• Toolbox talks held regularly

• Team meetings held regularly

• Relevant memos

• Bulletin board updated and maintained.

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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14 PDS – Audit Tool 1

4 TRAINING, LEARNINGAND SKILLSDEVELOPMENT

Benchmark 4.1 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Employer must assess the training needs of employees in conjunction with the occupational

health and safety risk management program to determine what training and learning is

necessary to enable employees to undertake their work in a safe manner.

VERIFICATION:

The occupational health and safety and injury management skills and knowledge of persons

within the organisation have been identified.

Evidence may include but is not limited to:

• List of skills (competency profile)

• Competencies, where in place, current and updated regularly

• Skills and knowledge expectations listed or discussed

• Position descriptions developed and available

• Job statements developed and available

• Standard operating procedures in place

• Safe work procedures in place

• Current knowledge and skills of workforce including contractors, labour hire employees andvisitors to site, are defined.

YES How?

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NO What is needed?

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The training needs of all personnel including contractors, labour hire employees and visitors

to site are identified.

Evidence may include but is not limited to:

• Mix and types of jobs identified

• Required skills and knowledge identified

• Skills gaps identified

• High risk areas and problem areas considered.

PDS – Audit Tool 1 15

YES How?

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NO What is needed?

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16 PDS – Audit Tool 1

Benchmark 4.2 TO BE COMMENCED AT AUDIT 1, YEAR 1

Employer must develop and/or access and implement appropriate training/learning programs

to ensure that employees are competent to undertake their work in a safe manner.

VERIFICATION:

A training program is developed in accordance with identified needs and provides for

knowledge and skills development relevant to the workplace and its employees.

Evidence may include but is not limited to:

• Legislative requirements understood

• Certification or third party qualifications available

• Induction program developed

• Critical tasks identified

• Resources made available

• Written training program available and relevant

• Individual training plans developed

• Safe work procedures in place

• On the job training provided

• Information and training tools provided

• Team meetings and activities, discussions and outcomes, toolbox talks.

YES How?

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NO What is needed?

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If the training/learning program has been developed (see above), has it commenced?

NOTE: At this benchmark an employer has to at least have implemented a program of hazard

identification, risk assessment and risk control training for those persons identified in risk

management procedures.

PDS – Audit Tool 1 17

YES How?

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NO What is needed?

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18 PDS – Audit Tool 1

5 RECORDS ANDRECORDSMANAGEMENT

Benchmark 5.1 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Employer must ensure that an appropriate records system for monitoring and reviewing

return-to-work and occupational health and safety systems is established, implemented,

maintained, and applicable information made available to relevant parties.

VERIFICATION:

Records are kept in accordance with legislative obligations and a system of records

management appropriate to the workplace is implemented.

Evidence may include but is not limited to records such as:

• Accident notification

• Register of Injuries

• Material Safety Data Sheet (MSDS)

• Hazardous substances register

• Certification

• Inspections

• Maintenance

• Atmospheric monitoring

• Noise monitoring.

YES How?

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NO What is needed?

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PDS – Audit Tool 1 19

Record keeping provisions are communicated and employees are aware of those work

activities or circumstances required to be recorded.

Evidence may include but is not limited to:

• Procedures available

• OHS and IM records provided for within relevant programs

• Training and information records available

• Relevant forms and documentation are current and maintained

• Employer and relevant employees able to clarify roles.

Records are maintained consistent with requirements for monitoring and reviewing OHS and

IM systems.

Evidence may include but is not limited to:

• Reviews of data undertaken

• Reports evaluated.

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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20 PDS – Audit Tool 1

6 INJURY MANAGEMENT

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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Benchmark 6.1 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Injury Notification

VERIFICATION:

Employees are made aware of the system for early notification to their employer’s insurer of

significant injuries within 48 hours and all other injuries within seven days (Note: effective

1 September 2003, workplace injuries must be notified to the insurer within 48 hours).

Evidence may include but is not limited to:

• Information to injured workers

• Procedures on return-to-work program.

Formal processes are in place to ensure insurers are notified of injury/illness within 48 hours.

Evidence may include but is not limited to:

• Procedures for injury notification

• Person nominated/responsible and back up.

PDS – Audit Tool 1 21

Benchmark 6.2 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Communication

VERIFICATION:

For Category 1 employers only: employer to ensure return-to-work program is consistent with

insurers injury management program and WorkCover’s Guidelines for Employers’ Return-to-Work Programs.

Evidence must include:

• Notification procedures consistent with insurer’s injury management program

• Checklist in WorkCover’s Guidelines for Employers’ Return-to-Work Programs shows

compliance

• Summary of the Workers Compensation Act 1987 and the Workplace Injury Management

and Workers Compensation Act 1998 displayed and accessible to all employees

• Injury management program displayed and accessible to all employees

• Injury management program developed in consultation with workforce.

YES How?

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NO What is needed?

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22 PDS – Audit Tool 1

The following applies to ALL employers:

Processes are in place to ensure communication occurs between insurer/employee/treating

doctor.

Evidence may include but is not limited to:

• Return-to-work program

• Return-to-work plan reviews and updated plans

• Rehabilitation files

• Letters/phone calls/visits to worker, doctor, insurer

• Information is provided to insurer in a timely manner to assist them to determine

provisional payment

Communication maintained between the employer and the injured worker during the return-

to-work process.

Evidence may include but is not limited to:

• Rehabilitation files

• Interviews with workers

• Return-to-work plan reviews.

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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Formal process in place to ensure insurer is notified on a timely basis of information that may

affect individual claims.

Evidence may include but is not limited to:

• Regular liaison with insurer re claims and return-to-work status

• Claim forms and other documentation forwarded to insurer within seven days

• Relationship between employer and insurer clearly outlined in return-to-work program.

PDS – Audit Tool 1 23

YES How?

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NO What is needed?

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24 PDS – Audit Tool 1

Benchmark 6.3 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Workplace Responsibility

VERIFICATION:

Formal processes in place identifying those responsible and accountable for injury

management implementation.

Evidence may include but is not limited to:

• A trained return-to-work coordinator is appointed with responsibilities defined in the return-

to-work program (for Category 1 employers)

• A person identified in the workplace to undertake the functions of a return-to-work

coordinator (Category 2 employers)

• The agreed rehabilitation providers are listed in the return-to-work program

• Return-to-work program outlines responsibilities of workers, supervisors and management

• Position descriptions or job statements

• Verbal explanation of job function and role

• Responsibilities of the insurer are outlined in the return-to-work program.

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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Processes are in place to support return-to-work activities

Evidence may include but is not limited to:

• Procedures, for example, maintaining confidential rehabilitation files

• Provision of resources such as telephone, vehicle access, and private interview room

• Information to injured workers through training, supervision, written information.

Benchmark 6.4 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Suitable Employment

VERIFICATION:

Formal process in place for the identification of suitable duties for an injured worker.

Evidence may include but is not limited to:

• Return-to-work program

• Interview and discussion

• Written offers

• Return-to-work plan.

PDS – Audit Tool 1 25

YES How?

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NO What is needed?

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Suitable duties are negotiated with all relevant parties and form part of the return-to-work

plan for the injured worker.

Evidence may include but is not limited to:

• Rehabilitation files

• Return-to-work plans

• Minutes of meetings

• Communications with doctors

• Duties are suitable as defined under section 43A of the Workers Compensation Act 1987.

Suitable duties are time limited, include regular reviews representing a graded return to

normal hours/duties.

Evidence must include:

• Return-to-work plan

• Regular review and updating of return-to-work plan.

26 PDS – Audit Tool 1

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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Procedures are in place to assist a worker to find alternative employment if they cannot

return to their pre-injury job.

Evidence may include but is not limited to:

• Procedures/provisions of return-to-work program

• Sources of assistance such as rehabilitation providers

• Rehabilitation files

• Insurer responsibilities to assist outlined in return-to-work program.

Benchmark 6.5 TO BE ACHIEVED AT AUDIT 1, YEAR 1

Dispute Resolution

VERIFICATION:

Procedures are in place to resolve disputes quickly with the direct involvement of the parties

concerned including the worker, doctor, insurer and employer.

Evidence may include but is not limited to:

• Return-to-work program

• Rehabilitation files/case notes.

PDS – Audit Tool 1 27

YES How?

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NO What is needed?

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YES How?

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NO What is needed?

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The return-to-work program identifies resources to be used when direct involvement fails.

Evidence may include but is not limited to:

• Return-to-work program includes resources to be used for dispute management when direct

involvement fails, for example, workplace mediators, rehabilitation providers, injury

management consultants, second medical opinions and referrals to the Workers

Compensation Commission.

28 PDS – Audit Tool 1

YES How?

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NO What is needed?

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______________________________________________________________________________

PDS – Audit Tool 2 29

PDS Audit Tool: Audit 2, Year 1To be held any time after the first audit and withinthe first 12 months of the employer’s first policyyear in the Scheme.At this audit, the Premium Discount Adviser will be looking for evidence that the employer is

maintaining their commitment to the establishment of the OHS and IM system, and that the

system is being translated to the workplace.

Evidence should, at this stage, be focused less on written documentation and more on

workplace verification.

30 PDS – Audit Tool 2

EMPLOYER AND ADVISER INFORMATION

Please complete ALL details

Employer name ____________________________________________________________________

Address __________________________________________________________________________

__________________________________________________________________________________

Location of main site/s audited _______________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Key function/s audited ______________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Contact person ____________________________________________________________________

Phone ____________________________________________________________________________

Email ____________________________________________________________________________

Employee OHS representative ________________________________________________________

Policy number _____________________________________________________________________

Policy period ______________________________________________________________________

Insurer ___________________________________________________________________________

Claims current year ________________ number ___________________ $ _________________

Claims previous year _______________ number ___________________ $ _________________

Auditor name ______________________________________________________________________

Premium Discount Adviser number ___________________________________________________

Premium Discount Adviser name _____________________________________________________

Name of principal __________________________________________________________________

Audit number _____________________________________________________________________

Discount year _____________________________________________________________________

Date audit completed _______________________________________________________________

Notification of relationship number ___________________________________________________

Discount verification number _________________________________________________________

Notes ____________________________________________________________________________

__________________________________________________________________________________

PDS – Audit Tool 2 31

Benchmark 1.1 TO BE REVIEWED AT AUDIT 2, YEAR 1

One person within the organisation shall be designated with responsibility and accountability

for injury management and occupational health and safety.

VERIFICATION:

The senior person allocated with responsibility and accountability for OHS and IM still current

and aware of their role.

Senior person can be:

• Managing Director

• CEO

• Owner Operator

Evidence may include but is not limited to:

• Relevant person/s identified and aware of role

• Employment contracts identify relevant responsible person

• Work method statements identify relevant responsible person

• Work instructions reflect identified responsibilities and accountabilities

• Responsibility matrices reflect relevant responsible person

• Return-to-work program updated if required to identify relevant responsible person

• OHS policy identifies responsible person

• Position descriptions updated if required

• Procedures/protocols updated if required to reflect identified responsible/accountable person.

1MANAGEMENTRESPONSIBILITY

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

32 PDS – Audit Tool 2

Benchmark 1.2 TO BE REVIEWED AT AUDIT 2, YEAR 1

Responsibility and accountability will be allocated to people in control of workplace activities.

VERIFICATION:

Persons in control of workplace activities (including contractors) exercise their OHS and IM

responsibilities and accountabilities.

Evidence may include but is not limited to:

• Departmental/organisational reports

• Procedures for reviewing and updating position responsibilities

• Performance appraisal – verbal or written evaluations

• Performance targets include positive performance indicators such as workplace inspections,

implementation of controls and remedial action

• Verification of expectations defined in position descriptions

• Verification of expectations defined in written duty statements

• Discussions of position expectations

• Procedure manuals reflect relevant accountabilities and responsibilities

• Training material reflects relevant accountabilities and responsibilities.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 2 33

Benchmark 1.3 TO BE REVIEWED AT AUDIT 2, YEAR 1

Senior management must clearly demonstrate commitment to the implementation of

systematic approaches to occupational health and safety and injury management.

VERIFICATION:

Senior management continues to demonstrate commitment to the implementation of

systematic approaches to OHS and IM.

Evidence may include but is not limited to:

• Attendance at regular management meetings

• Written reports reflect commitment

• Performance appraisals reflect positive performance indicators including workplace

inspections, implementation of controls and remedial measures

• Analysis of workplace data undertaken

• Resources provided (for example, inspections/audits; sampling/testing etc)

• Training provided to relevant persons.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

34 PDS – Audit Tool 2

2 CONSULTATION ANDCOMMUNICATION

Benchmark 2.2 TO BE ACHIEVED AT AUDIT 2, YEAR 1

Employer must review the effectiveness of communication and consultation.

VERIFICATION:

The effectiveness of the OHS and IM consultation and communication is reviewed.

Evidence may include but is not limited to:

• Employee input considered

• Communication and consultation is appropriate to size and type of organisation

• Employee/committee recommendations are implemented

• Management is represented on any OHS committee and representatives attend regularly

• Information on consultation, for example, OHS committee minutes action points circulated

and posted

• Appropriate internal and external communication channels working

• Other (specify in How? above).

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 2 35

3 RISK MANAGEMENTAND PROCESSCONTROL

Benchmark 3.2 TO BE ACHIEVED OR SUBSTANTIALLY

COMMENCED AT AUDIT 2, YEAR 1

Employer must implement the risk controls identified in the OHS risk management program.

VERIFICATION:

All hazards associated with designated high risk tasks and processes are effectively

controlled.

Evidence may include but is not limited to:

• Completed hazard identification and risk assessment tools

• Hazard reporting mechanisms

• Action strategies

• Control plans including safe working procedures

• Implementation schedules and timeframes.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

36 PDS – Audit Tool 2

A plan to ensure the ongoing implementation of the remaining risk control measures is

developed in consultation with employees.

Evidence may include but is not limited to:

• Completed hazard identification and risk assessment tools

• Hazard reporting mechanisms

• Action strategies

• Control plans

• Implementation schedules and timeframes.

Qualifications/licensing requirements as identified during the risk assessment process are in

place.

Evidence may include but is not limited to:

• Certification or licensing requirements in place

• Third party verification undertaken (where relevant)

• Procedures reflect identified requirements

• Training provided

• Information provided.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 2 37

4 TRAINING, LEARNINGAND SKILLSDEVELOPMENT

Benchmark 4.2 TO BE ACHIEVED OR SUBSTANTIALLY

COMMENCED AT AUDIT 2, YEAR 1

Employer must develop and/or access and implement appropriate training/learning programs

to ensure that employees are competent to undertake their work in a safe manner.

VERIFICATION:

Training programs are delivered in accordance with identified skills and knowledge

requirements of employees.

Evidence may include but is not limited to:

• Individual training plans in place

• Training manuals developed

• Safe work procedures in place

• Procedures manuals developed

• Toolbox talks held regularly

• Team meetings held regularly

• Demonstration and instruction on the job undertaken

• Information provided to staff

• Training attendance records current

• Training records kept and maintained

• Training is delivered by appropriate persons (qualified/experienced etc).

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

38 PDS – Audit Tool 2

5 RECORDS ANDRECORDSMANAGEMENT

Benchmark 5.1 TO BE REVIEWED/EVALUATED AT AUDIT 2, YEAR 1

Employer must ensure that an appropriate record system for monitoring and reviewing

return-to-work and OHS systems is established, implemented, maintained and applicable

information made available to relevant parties.

VERIFICATION:

All required records are maintained and management has a process in place to evaluate the

effectiveness of the records system.

Evidence may include but is not limited to:

• Records are completed in a timely manner and in accordance with procedures

• Employees keep records in accordance with their specified responsibilities

• Records are readily accessed

• Records are complete and accounted for

• Records kept in conformity with legislation

• Changes to records system made as a result of evaluation

• Report outcomes analysed

• Corrective action taken.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 2 39

6 INJURY MANAGEMENT

Benchmark 6.1– 6.5 TO BE REVIEWED/EVALUATED

AT AUDIT 2, YEAR 1

VERIFICATION:

Procedures for reviewing the return-to-work program at least every two years are

implemented.

Evidence may include but is not limited to:

• Review schedule

• Review criteria

• Responsibility and accountability designated.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

40 PDS – Audit Tool 2

Provision for evaluating the performance of the rehabilitation and treatment providers are

developed and implemented.

Evidence may include but is not limited to:

• Evaluation criteria

• Written performance standards and expectations

• Responsibility and accountability designated.

Procedures for collecting return-to-work statistics such as return to work outcomes, claims

costs, lost time injury rates and early intervention are developed and implemented.

Evidence may include but is not limited to:

• Procedures

• Designated responsibilities

• Resources

• Collated data.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 2 41

Benchmark 6.6 TO BE IN PLACE AT AUDIT 2, YEAR 1

Corrective Action

VERIFICATION:

Formal processes in place to ensure all injuries/illnesses are investigated and appropriate

action taken to prevent a recurrence.

Evidence may include but is not limited to:

• Accident/injury statistics

• OHS committee minutes

• Reporting protocols

• Accident/incident reports and investigation procedures in place

• Records of corrective action

• Implementation of controls and remedial measures.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

42 PDS – Audit Tool 3

PDS Audit Tool: Audit 3, Year 2To be held at any time in Year 2.This audit focuses on the maintenance of the OHS and IM system put in place the previous

year, and the establishment of a more systematic approach to OHS and IM. The Premium

Discount Adviser will also be looking for evidence that the employer is monitoring the system.

PDS – Audit Tool 3 43

EMPLOYER AND ADVISER INFORMATION

Please complete ALL details

Employer name ____________________________________________________________________

Address __________________________________________________________________________

__________________________________________________________________________________

Location of main site/s audited _______________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Key function/s audited ______________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Contact person ____________________________________________________________________

Phone ____________________________________________________________________________

Email ____________________________________________________________________________

Employee OHS representative ________________________________________________________

Policy number _____________________________________________________________________

Policy period ______________________________________________________________________

Insurer ___________________________________________________________________________

Claims current year ________________ number ___________________ $ _________________

Claims previous year _______________ number ___________________ $ _________________

Auditor name ______________________________________________________________________

Premium Discount Adviser number ___________________________________________________

Premium Discount Adviser name _____________________________________________________

Name of principal __________________________________________________________________

Audit number _____________________________________________________________________

Discount year _____________________________________________________________________

Date audit completed _______________________________________________________________

Notification of relationship number ___________________________________________________

Discount verification number _________________________________________________________

Notes ____________________________________________________________________________

__________________________________________________________________________________

44 PDS – Audit Tool 3

2 CONSULTATION ANDCOMMUNICATION

Benchmark 2.1 TO BE REVIEWED AND EVALUATED AT AUDIT 3, YEAR 2

Employer must demonstrate meaningful consultation and communication that results in

positive injury management and occupational health and safety outcomes.

VERIFICATION:

Has information introduced into the organisation through the communication and consultation

process led to improvement in tasks or processes within the workplace?

Evidence may include but is not limited to:

• Revision of procedures

• Evidence of formal review systems

• Management reports/directions

• OHS Committee reports

• Return-to-work reports and recommendations.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 3 45

3 RISK MANAGEMENTAND PROCESSCONTROL

Benchmark 3.1 TO BE REVIEWED AT AUDIT 3, YEAR 2

Employer must develop an OHS risk management program in consultation with employees

that incorporates hazard identification, risk assessment and risk control of tasks undertaken

at the place of work. Particular attention should be paid to:

• Areas/activities identified as high risk

• Plant and equipment

• Manual handling

• Noise

• Hazardous substances/chemicals

VERIFICATION:

The organisation undertakes a formal review and evaluation of the risk management

procedures in consultation with employees.

Evidence may include but is not limited to:

• Formal investigation of all accidents and incidents

• Written reviews and/or reports

• Analysis of workplace data

• Mechanisms for facilitating review of procedures

• Feedback from employees

• Provision of resources (for example, sampling/testing, inspections/audits).

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

46 PDS – Audit Tool 3

Risk management procedures are integrated into business activities in relation to the size and

nature of the organisation, the design, purchasing and/or introduction of goods and services.

Evidence may include but is not limited to:

• Policy statements reviewed/amended

• Project and business plans reflect integration of risk management procedures

• Health and safety performance indicators are developed for organisation

• Annual reports

• Procedures reviewed/amended

• Training provisions updated.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 3 47

Benchmark 3.2 TO BE ACHIEVED AT AUDIT 3, YEAR 2

Employer must implement the risk controls identified in the occupational health and safety

risk management program.

VERIFICATION:

All remaining elements of the risk control program are implemented.

Evidence may include but is not limited to:

• Control plans and safe working procedures in place

• Plans implemented

• Schedules completed

• Training activities undertaken

• Records developed and maintained.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

48 PDS – Audit Tool 3

4 TRAINING, LEARNINGAND SKILLSDEVELOPMENT

Benchmark 4.1 TO BE REVIEWED AT AUDIT 3, YEAR 2

Employer must assess the training needs of employees in conjunction with the OHS risk

management program to determine what training and learning needs to be provided to

enable employees to undertake their work in a safe manner.

VERIFICATION:

The training programs are current and relevant.

Evidence may include but is not limited to:

• Process evaluations (procedures are carried out in accordance with requirements)

• Training is delivered at key times in the operational cycle

• Training records updated/maintained

• Competency assessment outcomes recorded

• Training needs identified.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 3 49

Benchmark 4.2 TO BE ACHIEVED AT AUDIT 3, YEAR 2

(applicable if verified as substantially commenced at Audit 2, Year 1)

Employer must develop and/or access and implement appropriate training/learning programs

to ensure that employees are competent to undertake their work in a safe manner.

VERIFICATION:

Training/learning programs are completed in accordance with skills and knowledge

requirements.

Evidence may include but is not limited to:

• Training manuals developed

• Safe work procedures in place

• Procedures manuals developed

• Toolbox talks held regularly

• Team meetings held regularly

• Demonstration and instruction on the job undertaken

• Information provided to staff

• Training attendance records current

• Training records kept and maintained

• Training is delivered by appropriate persons (qualified/experienced etc).

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

50 PDS – Audit Tool 4

PDS Audit Tool: Audit 4, Year 3To be held at any time in Year 3.At the final audit the Premium Discount Adviser will be looking for evidence that the OHS and

IM system is in place and is operating in a systematic way. The Premium Discount Adviser will

need evidence that the employer is reviewing and evaluating their OHS and IM system with a

view to continuing improvement.

PDS – Audit Tool 4 51

EMPLOYER AND ADVISER INFORMATION

Please complete ALL details

Employer name ____________________________________________________________________

Address __________________________________________________________________________

__________________________________________________________________________________

Location of main site/s audited _______________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Key function/s audited ______________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

__________________________________________________________________________________

Contact person ____________________________________________________________________

Phone ____________________________________________________________________________

Email ____________________________________________________________________________

Employee OHS representative ________________________________________________________

Policy number _____________________________________________________________________

Policy period ______________________________________________________________________

Insurer ___________________________________________________________________________

Claims current year ________________ number ___________________ $ _________________

Claims previous year _______________ number ___________________ $ _________________

Auditor name ______________________________________________________________________

Premium Discount Adviser number ___________________________________________________

Premium Discount Adviser name _____________________________________________________

Name of principal __________________________________________________________________

Audit number _____________________________________________________________________

Discount year _____________________________________________________________________

Date audit completed _______________________________________________________________

Notification of relationship number ___________________________________________________

Discount verification number _________________________________________________________

Notes ____________________________________________________________________________

__________________________________________________________________________________

52 PDS – Audit Tool 4

2 CONSULTATION ANDCOMMUNICATION

Benchmark 2.2 TO BE REVIEWED AND EVALUATED AT AUDIT 4, YEAR 3

Employer must review the effectiveness of consultation and communication.

VERIFICATION:

The employer regularly reviews the effectiveness of OHS and IM consultation and

communication

Evidence may include but is not limited to:

• Management regularly reports on OHS and IM performance to employees

• OHS and IM information at the workplace is up-to-date

• Communication and consultation arrangements continue to be appropriate to size and type

of organisation.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 4 53

3 RISK MANAGEMENTAND PROCESSCONTROL

Benchmark 3.1 TO BE REVIEWED AT AUDIT 4, YEAR 3

Employer must develop an OHS risk management program in consultation with employees

that incorporates hazard identification, risk assessment and risk control of tasks undertaken

at the place of work. Particular attention should be paid to:

• Areas/activities identified as high risk

• Plant and equipment

• Manual handling

• Noise

• Hazardous substances/chemicals

VERIFICATION:

The risk management program is reviewed and evaluated in consultation with staff.

Evidence must include:

• Review and evaluation of the hazard identification, risk assessment and risk control process

• Review and evaluation of all control measures implemented

• Systems of corrective actions implemented

• Control plans including safe working procedures in place

• Inspection/testing programs undertaken

• Analysis of data undertaken to evaluate risk management outcomes

• All activities, products and/or services are reviewed for OHS impact.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

54 PDS – Audit Tool 4

Benchmark 3.2 TO BE REVIEWED AND EVALUATED AT AUDIT 4, YEAR 3

Employer must implement the risk controls identified in the OHS risk management program.

VERIFICATION:

An ongoing review and evaluation plan is developed in consultation with staff and the

organisation commits to such a review.

Evidence must include:

• Review and evaluation procedures established

• Regular schedules for review and evaluation of risk management program

• Monitoring systems in place.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

PDS – Audit Tool 4 55

4 TRAINING, LEARNINGAND SKILLSDEVELOPMENT

Benchmark 4.1 TO BE REVIEWED/EVALUATED AT AUDIT 4, YEAR 3

Employer must assess the training needs of employees in conjunction with the OHS risk

management program to determine what training and learning needs to be provided to

enable employees to undertake their work in a safe manner.

VERIFICATION:

OHS and IM skills and knowledge requirements are reviewed regularly.

Evidence may include but is not limited to:

• Updated list of skills/competency profile

• Job statements current and relevant

• Skills and knowledge expectations listed or discussed

• Position descriptions current and relevant

• Job statements current and relevant

• Standard operating procedures in place

• Safe work procedures in place.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

56 PDS – Audit Tool 4

Benchmark 4.2 TO BE REVIEWED/EVALUATED AT AUDIT 4, YEAR 3

Employer must develop and/or access and implement appropriate training/learning programs

to ensure that employees are competent to undertake their work in a safe manner.

VERIFICATION:

Training/learning programs are updated to reflect review of skills and knowledge

requirements.

Evidence may include but is not limited to:

• Training manual revisions undertaken

• Training records updated and maintained

• Competency assessment outcomes.

YES How?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

NO What is needed?

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

______________________________________________________________________________

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WorkCover NSW 92-100 Donnison Street Gosford NSW 2250Locked Bag 2906 Lisarow NSW 2252 WorkCover Assistance Service 13 10 50Website www.workcover.nsw.gov.au

ISBN 1 920730 23 0 ©Copyright WorkCover NSW 2003. Production and printing by cmSolutions – 02 9743 8777