PREMIUM DISCOUNT SCHEME AUDIT TOOL

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

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 This publication may refer to WorkCover NSW administered legislation that has been amended or repealed.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

CONTENTS PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 1, Year 1 2 Employer and adviser information 3 Benchmark 1: Management responsibility 4 Benchmark 2: Consultation and communication 7 Benchmark 3: Risk management and process control 11 Benchmark 4: Training, learning and skills development 14 Benchmark 5: Records and records management 18 Benchmark 6: Injury management 20 PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 2, Year 1 29 Employer and adviser information 30 Benchmark 1: Management responsibility 31 Benchmark 2: Consultation and communication 34 Benchmark 3: Risk management and process control 35 Benchmark 4: Training, learning and skills development 37 Benchmark 5: Records and records management 38 Benchmark 6: Injury management 39 PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 3, Year 2 42 Employer and adviser information 43 Benchmark 2: Consultation and communication 44 Benchmark 3: Risk management and process control 45 Benchmark 4: Training, learning and skills development 48 PREMIUM DISCOUNT SCHEME AUDIT TOOL: Audit 4, Year 3 50 Employer and adviser information 51 Benchmark 2: Consultation and communication 52 Benchmark 3: Risk management and process control 53 Benchmark 4: Training, learning and skills development 55 PDS Audit Tool 1

PDS Audit Tool: Audit 1, Year 1 To be held any time in the first six months of the employer s policy year that is their first year participating 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 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

1 MANAGEMENT RESPONSIBILITY 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. 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 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. 4 PDS Audit Tool 1

Benchmark 1.2 TO BE ACHIEVED AT AUDIT 1, YEAR 1 Responsibility and accountability will be allocated to people in control of workplace activities. 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). PDS Audit Tool 1 5

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. 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). 6 PDS Audit Tool 1

2 CONSULTATION AND COMMUNICATION 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. Management identifies, collects and disseminates information relevant to the occupational health and safety and injury management issues and conditions of the workplace. 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. PDS Audit Tool 1 7

Management has identified and implemented appropriate communication processes in relation to workplace occupational health and safety and injury management issues. 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

Management has identified and implemented appropriate consultation processes to discuss occupational health and safety and injury management issues at this workplace. 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

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). 10 PDS Audit Tool 1

3 RISK MANAGEMENT AND PROCESS CONTROL 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. Risk management responsibilities and accountabilities are defined and communicated for all management and employees. Job expectations reflect understanding of responsibility and accountability Position descriptions identify risk management responsibility and accountability Job statements identify risk management responsibility and accountability. PDS Audit Tool 1 11

An occupational health and safety risk management program including procedures for hazard identification, risk assessment and risk control is in place. 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. Procedures for assessing risk within the operational cycle Emergency procedures Procedures for reporting identified hazards. 12 PDS Audit Tool 1

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. Reference material available Legislation and any guidance material regularly reviewed. All employees are made aware of workplace hazard reporting procedures and protocols. Information and training procedures in place Toolbox talks held regularly Team meetings held regularly Relevant memos Bulletin board updated and maintained. PDS Audit Tool 1 13

4 TRAINING, LEARNING AND SKILLS DEVELOPMENT 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. The occupational health and safety and injury management skills and knowledge of persons within the organisation have been identified. 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 and visitors to site, are defined. 14 PDS Audit Tool 1

The training needs of all personnel including contractors, labour hire employees and visitors to site are identified. 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

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. A training program is developed in accordance with identified needs and provides for knowledge and skills development relevant to the workplace and its employees. 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. 16 PDS Audit Tool 1

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

5 RECORDS AND RECORDS MANAGEMENT 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. 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. 18 PDS Audit Tool 1

Record keeping provisions are communicated and employees are aware of those work activities or circumstances required to be recorded. 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. Reviews of data undertaken Reports evaluated. PDS Audit Tool 1 19

6 INJURY MANAGEMENT Benchmark 6.1 TO BE ACHIEVED AT AUDIT 1, YEAR 1 Injury Notification 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). 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. Procedures for injury notification Person nominated/responsible and back up. 20 PDS Audit Tool 1

Benchmark 6.2 TO BE ACHIEVED AT AUDIT 1, YEAR 1 Communication 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. PDS Audit Tool 1 21

The following applies to ALL employers: Processes are in place to ensure communication occurs between insurer/employee/treating doctor. 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 returnto-work process. Rehabilitation files Interviews with workers Return-to-work plan reviews. 22 PDS Audit Tool 1

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

Benchmark 6.3 TO BE ACHIEVED AT AUDIT 1, YEAR 1 Workplace Responsibility Formal processes in place identifying those responsible and accountable for injury management implementation. A trained return-to-work coordinator is appointed with responsibilities defined in the returnto-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. 24 PDS Audit Tool 1

Processes are in place to support return-to-work activities 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 Formal process in place for the identification of suitable duties for an injured worker. Return-to-work program Interview and discussion Written offers Return-to-work plan. PDS Audit Tool 1 25

Suitable duties are negotiated with all relevant parties and form part of the return-to-work plan for the injured worker. 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

Procedures are in place to assist a worker to find alternative employment if they cannot return to their pre-injury job. 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 Procedures are in place to resolve disputes quickly with the direct involvement of the parties concerned including the worker, doctor, insurer and employer. Return-to-work program Rehabilitation files/case notes. PDS Audit Tool 1 27

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

PDS Audit Tool: Audit 2, Year 1 To be held any time after the first audit and within the first 12 months of the employer s first policy year 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. PDS Audit Tool 2 29

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 30 PDS Audit Tool 2

1 MANAGEMENT RESPONSIBILITY 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. 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 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. PDS Audit Tool 2 31

Benchmark 1.2 TO BE REVIEWED AT AUDIT 2, YEAR 1 Responsibility and accountability will be allocated to people in control of workplace activities. Persons in control of workplace activities (including contractors) exercise their OHS and IM responsibilities and accountabilities. 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. 32 PDS Audit Tool 2

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. Senior management continues to demonstrate commitment to the implementation of systematic approaches to OHS and IM. 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. PDS Audit Tool 2 33

2 CONSULTATION AND COMMUNICATION Benchmark 2.2 TO BE ACHIEVED AT AUDIT 2, YEAR 1 Employer must review the effectiveness of communication and consultation. The effectiveness of the OHS and IM consultation and communication is reviewed. 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). 34 PDS Audit Tool 2

3 RISK MANAGEMENT AND PROCESS CONTROL 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. All hazards associated with designated high risk tasks and processes are effectively controlled. Completed hazard identification and risk assessment tools Hazard reporting mechanisms Action strategies Control plans including safe working procedures Implementation schedules and timeframes. PDS Audit Tool 2 35

A plan to ensure the ongoing implementation of the remaining risk control measures is developed in consultation with employees. 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. Certification or licensing requirements in place Third party verification undertaken (where relevant) Procedures reflect identified requirements Training provided Information provided. 36 PDS Audit Tool 2

4 TRAINING, LEARNING AND SKILLS DEVELOPMENT 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. Training programs are delivered in accordance with identified skills and knowledge requirements of employees. 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). PDS Audit Tool 2 37

5 RECORDS AND RECORDS MANAGEMENT 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. All required records are maintained and management has a process in place to evaluate the effectiveness of the records system. 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. 38 PDS Audit Tool 2

6 INJURY MANAGEMENT Benchmark 6.1 6.5 TO BE REVIEWED/EVALUATED AT AUDIT 2, YEAR 1 Procedures for reviewing the return-to-work program at least every two years are implemented. Review schedule Review criteria Responsibility and accountability designated. PDS Audit Tool 2 39

Provision for evaluating the performance of the rehabilitation and treatment providers are developed and implemented. 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. Procedures Designated responsibilities Resources Collated data. 40 PDS Audit Tool 2

Benchmark 6.6 TO BE IN PLACE AT AUDIT 2, YEAR 1 Corrective Action Formal processes in place to ensure all injuries/illnesses are investigated and appropriate action taken to prevent a recurrence. 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. PDS Audit Tool 2 41

PDS Audit Tool: Audit 3, Year 2 To 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. 42 PDS Audit Tool 3

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 3 43

2 CONSULTATION AND COMMUNICATION 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. Has information introduced into the organisation through the communication and consultation process led to improvement in tasks or processes within the workplace? Revision of procedures Evidence of formal review systems Management reports/directions OHS Committee reports Return-to-work reports and recommendations. 44 PDS Audit Tool 3

3 RISK MANAGEMENT AND PROCESS CONTROL 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 The organisation undertakes a formal review and evaluation of the risk management procedures in consultation with employees. 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). PDS Audit Tool 3 45

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. 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. 46 PDS Audit Tool 3

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. All remaining elements of the risk control program are implemented. Control plans and safe working procedures in place Plans implemented Schedules completed Training activities undertaken Records developed and maintained. PDS Audit Tool 3 47

4 TRAINING, LEARNING AND SKILLS DEVELOPMENT 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. The training programs are current and relevant. 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. 48 PDS Audit Tool 3

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. Training/learning programs are completed in accordance with skills and knowledge requirements. 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). PDS Audit Tool 3 49

PDS Audit Tool: Audit 4, Year 3 To 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. 50 PDS Audit Tool 4

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 4 51

2 CONSULTATION AND COMMUNICATION Benchmark 2.2 TO BE REVIEWED AND EVALUATED AT AUDIT 4, YEAR 3 Employer must review the effectiveness of consultation and communication. The employer regularly reviews the effectiveness of OHS and IM consultation and communication 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. 52 PDS Audit Tool 4

3 RISK MANAGEMENT AND PROCESS CONTROL 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 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. PDS Audit Tool 4 53

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. 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. 54 PDS Audit Tool 4

4 TRAINING, LEARNING AND SKILLS DEVELOPMENT 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. OHS and IM skills and knowledge requirements are reviewed regularly. 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. PDS Audit Tool 4 55

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. Training/learning programs are updated to reflect review of skills and knowledge requirements. Training manual revisions undertaken Training records updated and maintained Competency assessment outcomes. 56 PDS Audit Tool 4

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