Premium Discount Scheme Audit Tool 2003 · PDS – Audit Tool 1 CONTENTS PREMIUM DISCOUNT SCHEME...
Transcript of Premium Discount Scheme Audit Tool 2003 · PDS – Audit Tool 1 CONTENTS PREMIUM DISCOUNT SCHEME...
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This publication may refer to WorkCover NSW administered legislation that has been amended or repealed.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 _______________________________________________________
__________________________________________________________________________________
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Key function/s audited ______________________________________________________________
__________________________________________________________________________________
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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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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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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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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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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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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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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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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
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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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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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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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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
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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?
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
______________________________________________________________________________
Catalogue No. 1282 Ordering Hotline 1300 799 003
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