Improvement Standards Occupational Health Safety Injury Management Return To Work 5302

New South Wales Government
taking
safety
seriously
Occupational Health and Safety

and Injury Management
Improvement Standards
Tools for measuring performance within

NSW Govenment Agencies
December 2007
Table of Contents
GUIDANCE FOR ASSESSORS.......................................................................3

Standard 1 - OHS POLICY.............................................................................10
Standard 2 - MANAGEMENT RESPONSIBILITY ..........................................15
Standard 3 - PLANNING PROCESSES .........................................................20
Standard 4 - CONSULTATION ......................................................................25
Standard 5 - RISK MANAGEMENT................................................................31
Standard 6 INFORMATION, INSTRUCTION AND TRAINING....................37
Standard 7 INJURY TREATMENT AND MANAGEMENT ...........................43
Standard 8 CLAIMS MANAGEMENT..........................................................50
Standard 9 INCIDENT REPORTING, INVESTIGATION,
ANALYSIS AND REVIEW ..............................................................................55
Standard 10 MEASURING AND EVALUATING OHS PERFORMANCE ....61
Standard 11 REVIEWING THE OHS MANAGEMENT SYSTEM ................66
Standard 12 CEO REPORTING AND LEADERSHIP..................................72
OHS & IM Improvement Standards

December 2007
Guidance for Assessors
GUIDANCE FOR ASSESSORS

Introduction
The NSW Government implemented an Occupational Health and Safety (OHS) 1 Improvement
Initiative in 1998. The primary aim of the Initiative was to reduce the incidence, severity and
cost of workplace injury and disease in government departments. The NSW Government
aimed to achieve this by:
o
setting performance targets for OHS improvement, and
promoting the development and implementation of a systematic approach to OHS.
To support this approach, a whole of government policy and guidelines document was
released in 1999. Taking Safety Seriously outlined a framework for government agencies to
systematically manage OHS risks and implement effective injury management practices.
Taking Safety Seriously was updated in 2002 following the release of the Occupational Health
and Safety Act in 2000, and its supporting regulation the following year, and amendments to
workers compensation legislation.
OHS Improvement Standards
The OHS Improvement Standards were originally developed as a tool to measure the health
and safety performance of the twelve key agencies involved in the OHS Improvement
Initiative. Its main aims were to benchmark OHS performance against the Taking Safety
Seriously policy, and provide feedback to agencies on the development and implementation
of a systematic approach to managing OHS risks. The OHS Improvement Standards were
developed by the Premiers Department (now the Department of Premier and Cabinet) and
was updated to link to Taking Safety Seriously 2002.
The current OHS & IM Improvement Standards have been designed as a self-assessment
audit tool for all government agencies, or as a guide for third party OHS auditors. The
Standards highlight the key elements of an OHS management system as outlined in
Australian Standard AS 4804 Occupational health and safety management systems
General guidelines in principles, systems and supporting techniques. These key elements
are:
o
OHS Policy and Commitment,
Planning,
Implementation,
Measurement and Evaluation, and
Review and Improvement.
For the purposes of this document, occupational health and safety specifically refers to both injury prevention and
injury management.

December 2007
There are 12 Standards that sit beneath these key elements that can be used to measure and
rate OHS performance; through the use of criteria and verification at both a corporate and
operational level.
The OHS & IM Improvement Standards include enhanced guidance and criteria on claims
and injury management and return to work, which are focus areas for Working Together:
Public Sector OHS and Injury Management Strategy 2005-2008.
The OHS & IM Improvement Standards are provided as guidance material only. Their use is
not compulsory, and agencies are encouraged to develop audit tools tailored for the
operations particular to their organization, so long as they meet or exceed the req uirements
set in the OHS & IM Improvement Standards.
How to Use the OHS & IM Improvement Standards Information for Assessors
Assessors need to be competent, impartial and objective, and independent of any process
being audited.
Assessors, prior to using the tool, should become familiar with the whole of government
Taking Safety Seriously policy to gain an understanding of the OHS requirements placed on
NSW government agencies.
Each Standard relates to a specific requirement in Taking Safety Seriously. The assessor
should become familiar with the background to the requirement and set target dates with the
agency. The introductory section of each Standard explains its strategic importance and
identifies sources of further information.
The tables indicate key essential and best practice performance criteria that the agency
should meet to comply with the Standard, alongside examples such as items to search for
and/or review to verify the agencys activities in this performance area. It is important to note
that the list of examples is not exhaustive. The examples provided are suggestions, which
should be used as a starting point for agencies and assessors.
The final section of each standard provides an opportunity for the assessor to suggest any
additional information that may be of value to the review. This may include notes from
discussions with agency staff and observations made that may contribute to a particular rating
that is outside the scope of the Verification Criteria or Guidance given. Key strengths
(Commendations) and opportunities for improvement (Recommendations) identified
throughout the review process can be noted here.
The current rating given to the agency by the auditor is selected from either A, B, C or D.
This should be based on the agency's performance against the essential and best practice
guidance, assessment of documentation and consultation with key staff in the agency.
Generally, the ratings are:

December 2007
Rating:
Rating:
Rating:
Rating:
Full implementation and focus on continued improvement
Full implementation
Partial implementation
Inadequate implementation
Meets 100% of the essential criteria listed in B and at least 50%best practice
criteria listed in A
Meets 100% of the essential criteria listed in B
Meets at least 50%, but less than 100%, of the essential criteria listed in B
Meets less than 50% of essential criteria listed in B
The Performance target area provides an insertion point for the date that the performance
criteria are to be met by. This date should be negotiated with the agency.
Appendices
A summary of information and/or documentation required for verification purposes is
included in Appendix 1.
A summary of the agencys OHS performance for each Standard should be summarised in
the Results Matrix section in Appendix 2.
Further information
For any further information and feedback on the OHS & IM Improvement Standards, please
contact the Working Together inbox (info@workingtogether.nsw.gov.au).

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Standard
There is an systematic approach in place which will reduce the

incidence, severity and cost of workplace injury and disease in NSW
government agencies and continuously improve OHS performance
Key Elements & Standards

Key Element
OHS POLICY AND

COMMITMENT
PLANNING
OHS Standard
1. OHS Policy
2. Management Responsibility
3. Planning Processes
4. Consultation
5. Risk Management
6. Information, Instruction and Training
IMPLEMENTATION
7. Injury Treatment and Management
8. Claims Management
9. Incident Reporting, Investigation, Analysis and Review
MEASUREMENT AND
EVALUATION
REVIEW AND
IMPROVEMENT

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10. Measuring and Evaluating OHS Performance
11. Reviewing the OHS Management System

12. CEO Reporting and Leadership
Key References
NSW Department of Premier and Cabinet (www.premiers.nsw.gov.au)
Taking Safety Seriously: A systematic approach to managing workplace risks in the NSW
public sector - policy and guidelines 2nd edition
Guidelines for Developing Performance Agreements for Chief Executive Officers (Public
Sector Management Office)
WorkCover NSW (www.workcover.nsw.gov.au)
Case Management Principles, cat no. 1105
Guidelines for Employers Return to Work Programs, cat no. 506
How to Notify Work Related Incidents cat no. 1287.1
OHS Consultation Code of Practice, cat no. 0311
Risk Assessment Code of Practice
Standard Return to Work Program, cat no. 4
Australian Safety and Compensation Council (ASCC)
Safe and Sound: A discussion paper on safety leadership in government workplaces
Acts and Regulations (www.legislation.nsw.gov.au)
Annual Reports (Departments) Regulation 2005
Occupational Health and Safety Act 2000
Occupational Health and Safety Regulation 2001
Workplace Injury Management and Workers Compensation Act 1998
Workers Compensation Regulation 2003
Australian Standards (www.standards.com.au)
AS 4804:2001Occupational health and safety management systems General guidelines
on principles, systems and supporting techniques
A S 4801:2001Occupational health and safety management systems Specification
with guidance for use
AS 4360:2004 Risk management
AS 1885.1:1990 Measurement of occupational health and safety performance Describing and reporting occupational injuries and disease

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Appendix 1 Examples of information required for assessment

Examples of specialist risk assessments
completed
Risk register, action plan
Injury register
Mechanism for injury reporting
Incident report form
Completed Incident investigation reports
Incident analysis reports
Workers compensation and injury
management policy
Workers compensation statistics or reports
and related data
First aid policy and arrangements for first
aid
Workers compensation review reports
Process for notification of injuries and
claims to insurer
Training strategy, policy, arrangements
Example of training records
Copy of OHS induction program
OHS manuals
Review strategy, policy, process
Review pro forma
Results of review
CEO Reports
Annual Report
Identification of key stakeholders
Method of communication with
stakeholders
OHS Policy and secondary policies

OHS objectives, targets and performance
indicators
Mechanism for review of policy
Mechanism for updating staff on content or
amendments to policy
Process for development of performance
agreements
Copies or examples of performance
agreements for senior officers which
demonstrate inclusion of health and
safety statements
Mechanism for review and update of
performance agreements
OHS Plan
Corporate Business Plan
Organisational charts for OHS showing
reporting lines to senior management
and CEO
Job descriptions of appointed OHS
personnel
Training program for OHS personnel
Communication or consultation strategy,
policy, procedures, arrangements
Current committee structure, reporting
lines and membership
Current activities of committees
Risk management strategy, policy,
procedures arrangements
Workplace safety inspection reports
Risk assessment pro forma and examples
of completed risk assessments
Additional or alternative sources of verification may be used as appropriate where they satisfy
the intent of the Standards requirements.

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Appendix 2 Results Matrix
Key Element
OHS POLICY AND

COMMITMENT
PLANNING
OHS Standard
IMPROVEMENT
____/____/____
3. Planning Processes
____/____/____
4. Consultation
____/____/____
5. Risk Management
____/____/____
6. Information, Instruction an d Training
____/____/____
7. Injury Treatment and Management
____/____/____
8. Claims Management
____/____/____
10. Measuring and Evaluating OHS

Performance
____/____/____
____/____/____
11. Reviewing the OHS Management System
____/____/____
12. CEO Reporting and Leadership
____/____/____

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next level
2. Management Responsibility
and Review
REVIEW AND
Rating
____/____/____
9. Incident Reporting, Investigation, Analysis
MEASUREMENT
Target date to attain
1. OHS Policy
IMPLEMENTATION
AND EVALUATION
Current
Standard 1 - OHS POLICY

An organisations OHS policy is a public statement expressing the Chief Executive Officer's
(CEOs) commitment to meeting their OHS responsibilities. The policy makes clear that there
is unequivocal management commitment to workplace safety and that OHS is an integral
consideration in all of the organisation's operations.
The OHS policy should be set out clearly, and it must be communicated to all employees and
made readily available to others in the workplace (such as visitors and contractors). Every
employer should prepare a written statement of the organisations policy on health and safety.
The policy should be routinely revised and brought to the attention of all staff.
Sources of further information
Taking Safety Seriously - Chapter 3, Guidelines for implementing an OHS management
system, OHS policy and commitment.
Australian Standard AS 4804:2001- Occupational health and safety management systems
General guidelines on principles, systems and supporting techniques (pages 9-10).
Links to other standards
Standard 4 - Consultation,
Standard 6 - Information, Instruction and Training,
Standard 10 - Measuring and Evaluating OHS Performance,
Standard 11 - Review of the OHS Management System.

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10
OHS Policy
Rating:

There is a written policy that meets 100% of the criteria listed in B, and at
least 50% of the best practice criteria listed at A
Performance Criteria
A best practice policy should:
q be current, and reviewed in line with the agencys regular policy review cycle
q recognise the need to regularly analyse and review the organisations OHS
performance
q specify the negotiated and agreed arrangements for continuing consultation about
health and safety
q refer to related policies such as injury management, return to work, rehabilitation,

consultation, an OHS strategic plan and/or OHS responsibilities in position
descriptions.
Examples may include:
Evidence:
of documented consultation mechanisms for health and safety matters
that the OHS policy is clearly communicated to staff
that the OHS policy was last reviewed during the agencys regular policy review cycle
that staff are aware of the review mechanisms (e.g. linked to quality procedures and/or internal
audit)
that staff know where to find related policies ( e.g. risk management, injury management,
rehabilitation, consultation and OHS responsibilities policies).

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11
OHS Policy
Rating:
Full implementation
There is a written policy that meets 100% of the essential criteria listed in B
Every policy should:
q be signed by the current CEO

q contain a general statement of aims and objectives for improving health and safety
q express clear commitment to protecting the health and safety of staff, visitors and
contractors
q express clear commitment to improving health and safety performance and legislative
compliance
q express commitment to the allocation of appropriate human, financial and other

resources to meet the organisations OHS responsibilities
q express a clear commitment to taking a risk management approach to OHS

q recognise the key role of consultation between staff and management on OHS issues
To be effective, the policy should also:
q be clearly communicated to all staff within the organisation on a regular basis

q outline responsibilities of all parties including senior management, supervisors,
employees and others in the workplace (such as visitors and contractors)
q ensure the policy is communicated to all parties with OHS responsibilities.

Evidence of:
A documented OHS policy containing:
o the current CEOs signature
o a statement of aims and objectives for improving health and safety
o a commitment to improving safety performance
o a commitment to ensure full legislative compliance
o a commitment to allocate appropriate resources to enable the implementation of OHS
responsibilities
o a statement of how risks will be assessed and managed in the workplace, and
o a commitment to using agreed consultation methods in relation to OHS responsibilities
Evidence that:
the policy is posted in every work area and/or staff notice board
a copy of the policy is provided to all staff at staff induction and/or is available on the intranet
staff are aware of and understand the policy
staff are regularly informed of the content and amendments to the OHS policy through the use of
the intranet, staff meetings and other communica tion methods
the OHS responsibilities of staff and managers, as set out in the policy, are referred to in their
position descriptions
a separate policy outlining OHS responsibilities of staff and managers is linked or referred to in the
OHS policy
others in the workplace are provided with OHS policy information.

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12
OHS Policy
Rating:
Rating:
C
D
There is a written policy that meets at least 50%, but less than 100%, of the
criteria listed in B
Less than 50% of essential criteria listed in B have been implemented
q There is no evidence of an occupational health and safety policy, or

q A draft OHS policy is sighted but is not yet implemented, or
q An OHS policy exists but is not sufficiently comprehensive, or
q An OHS policy exists but it has not been adequately distributed and
publicised.
For examples, refer to Rating B.

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13
OHS Policy
Commendations (key strengths)
Recommendations (opportunities for improvement)
To attain next level, the organisation should:
Current rating, based against performance criteria

Performance target
The organisation will have a documented OHS policy in place that clearly states the CEO's
commitment to OHS, outlines the OHS responsibilities for all parties and is clearly
communicated to all staff by ___/___/___.

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14
OHS Policy
Standard 2 - MANAGEMENT RESPONSIBILITY

All managers, from CEOs to line managers and supervisors, are responsible for OHS.
The CEO has ultimate responsibility for the organisation's OHS performance, and for ensuring
that the OHS management system is operating effectively. This responsibility should be spelt
out as a key accountability in the CEO's performance agreement and supported by specific
strategies.
The CEO may delegate responsibility for specific OHS activities to senior managers. It is
important that these specific OHS activities are included in the senior managers' performance
agreements. Likewise, the position descriptions of line managers and supervisors should set
out the specific OHS activities for which they are responsible. Sample OHS activities are
provided in Chapter 5 of Taking Safety Seriously.
system, Management Responsibility and Chapter 5, OHS Tools, Sample of Responsibility
Statements for Groups of Management and Staff.
Public Sector Management Office, Strategic Policy and Reform, Guidelines for Developing
Performance Agreements for Chief Executive Officers (1999).
Standard 1 - OHS Policy,
Standard 3 - Planning Processes,
Standard 11 - Review of the OHS Management System,
Standard 12 - CEO Reporting and Leadership.

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15
OHS Policy
Rating:

Management Performance Agreements include statements of responsibility
that meet 100% of the essential criteria listed in B, and at least 50% of the
best practice criteria listed in A
To be effective:
q Progress on OHS activities is measured on an annual basis

q OHS outcomes are recorded centrally and reported at least annually to the CEO
q OHS activities are reviewed annually to ensure they continue to align with OHS
corporate objectives
q Performance agreements of Executives and senior managers include statements of

responsibility for OHS, and are reviewed annually by the CEO.
Evidence that:
performance agreements are reviewed, and OHS activities are updated, annually
OHS targets (or performance measures) appropriate to their roles enable managers progress to be
monitored (e.g. target dates set for OHS strategies are in place)
targets set in performance agreements are being achieved, for example, a 5% reduction in number
of claims, claim severity or duration by the end of the reporting year
progress against targets are centrally recorded and reported to CEO
senior managers performance agreements have been reviewed by the CEO in the past year, such
as review date or comments.

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Management Responsibility
Rating:
Full implementation
Performance agreements of Executives and senior managers meet 100% of
the essential criteria listed in B
q OHS is set out as a key accountability in CEO's performance agreement

q The CEOs key accountability is supported by specific strategies
q Performance agreements of executives and senior managers include statements of
OHS responsibility
q The OHS activities in senior managers performance agreements link to, and reflect,
the organisation's corporate OHS objectives
q Performance measures are developed and used to assess senior managers

progress with OHS activities
q Position descriptions / statements of responsibility or similar for all levels of

management include OHS which is commensurate with the level of responsibility
q Performance measures ensure that adequate supervision is provided (relevant to the

competence of employees) that will ensure safety at work with particular attention
given to new workers and those inexperienced in high risk tasks.
.
Evidence that:
performance agreements of executives and senior managers include OHS responsibility statements
these responsibilities link to corporate OHS objectives (auditor mi ght verify by assessing the
adequacy of these statements (i.e. Are responsibility statements specific? Have targets been set?))
100% of senior management performance agreements include specific performance measures
senior managers are aware of the OHS responsibilities written into their performance agreements
and actions taken to implement activities
performance agreements or position descriptions / statements of responsibility as appropriate for
line managers include specific requirements to ensure that ne w and young workers are provided
with sufficient supervision to perform tasks safely.

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Rating:
Rating:
C
D
Performance agreements of Executives and senior managers meet at least
50%, but less than 100%, of the essential criteria listed in B
q There is no evidence of OHS responsibilities in performance agreements for Chief

Executives and senior managers, or
q There are plans to include OHS responsibilities in performance agreements but these
have not been implemented, or
q Performance agreements may include OHS activities, but there is not evidence
that these are being implemented.

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Performance target
Performance agreements for Executives and senior managers will include clear statements of
OHS responsibilities with measurable indicators by ___/___/___.

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Standard 3 - PLANNING PROCESSES

Planning for workplace safety is fundamental to continuously improving the management of
OHS. An organisations plans should include OHS as a key objective supported by defined,
measurable outcomes. Planning for the effective management of OHS involves four main
activities:
o
reviewing the operational activities of the organisation and identifying specific OHS
risks,
identifying relevant legislative requirements,
consulting with employees who may be affected by the risks, and
planning to manage OHS risks.
Planning within government agencies is generally conducted at a corporate and business unit
level, although some larger government agencies may also develop OHS plans at an
operational or branch level.
In addition to corporate plans and OHS plans, agencies need plans for dealing with
emergencies and unforeseen events. Clause 17 of the Occupational Health and Safety
Regulation 2001 requires employers to ensure arrangements are in place for emergency
planning.
system, Planning.
Occupational Health and Safety Regulation 2001 (clause 17).
Australian Standard AS 4804:2001 Occupational health and safety management systems
General guidelines on principles, systems and supporting techniques (pages 11 15).
Australian Standard AS 3745:2002 Emergency control organisation and procedures for
buildings, structures and workplaces.
Standard 2 - Management Responsibility,
Standard 5 - Risk Management,
Standard 11 - Reviewing the OHS Management System,

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Planning Processes
Rating:

There is a planning process for OHS that meets 100% of the essential criteria
listed in B, and includes at least 50% of the best practice criteria listed in A
q Planning for OHS is based on the key priorities identified in the risk assessment process
and key legislative requirements.
q A specific OHS plan is developed that links to the organisation's corporate and
business/unit plans, by reference to a corporate objective.
q Progress against the OHS plan is discussed at executive meetings and outcomes
reported to the CEO.
q Planning for OHS is reviewed on a regular basis (at least annually) in consultation with
management, staff and unions, updated where required, and clearly communicated to
management and staff.
q Regular review of emergency plans takes place in liaison with appropriate service
providers (and municipal or State emergency services/disaster planning groups where
relevant).
Evidence that:
an OHS objective is in the organisation's corporate and business/unit plan
the basis for the development of the OHS objective is known and understood
the OHS plan is linked to the corporate and business/unit plans (e.g. reference to corporate plan; key
objective in corporate plan is based on OHS, well-being of employees, and/or improving OHS
performance)
the OHS plan reflects high risk and/or emerging OHS issues as identified through the risk assessment
process; and/or claims, incident, injury recording and analysis; and current legislative requirements
local OHS plans reflect the corporate OHS objective(s)
the plan is discussed at executive meetings
progress reports against the plan are provided to the CEO
emergency plans are reviewed and updated annually (or more often if required) in consultation with
relevant stakeholders.

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Planning Processes
Rating:
Full implementation
There is a planning process that meets 100% of the essential criteria listed in B
q The corporate plan has OHS as an objective that links to the organisations Key Result
Area.
q The corporate plan contains, as a minimum:

o
o
o
o
clearly defined objectives and performance measures derived from the risk
assessment process,
performance measures that will allow the organisation to measure progress in
achieving objectives,
specific actions to be taken to achieve the objectives, within a set timeframe, and
assigned responsibility for the achievement of the objective and targets.
q Business/unit plans contain specific actions to assist in meeting the corporate OHS
objective.
q Planning for OHS is undertaken in consultation with staff, as per agreed OHS
consultation arrangements.
q Emergency planning arrangements are in place, based on a risk management approach

of prevention, preparation, response and recovery.
q Emergency plans are documented and communicated to relevant people.

Evidence that:
responsibilities for actions have been assigned and a timetable for action is outlined
where appropriate, responsibilities for actions are linked to performance agreements

assigned actions are completed by specified dates in the plan
management and staff, including those in regional areas, understand their roles and responsibilities in
implementing the plan
employees and health and safety representatives are consulted in the development of, and any
changes to, the plan
potential emergency situations have been identified; and emergency plans, including evacuation
procedures, are documented and communicated
responsibilities for emergency planning and response are allocated and communicated on notice
boards and electronically
wardens and emergency controllers are provided with identifying helmets, vests etc
training and testing of emergency procedures and equipment taking place on a regular basis.

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Planning Processes
Rating:
Rating:
C
D
There is a planning process for OHS that meets at least 50%, but less than
100%, of the essential criteria listed in B
q There is no evidence of OHS planning being undertaken, or

q OHS planning processes are under consideration but have not been implemented, or
q OHS planning processes have been documented but there is insufficient evidence of
implementation.

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Planning Processes

Performance target
By ___/___/___ the organisations plans include OHS as a key objective supported by defined
measurable outcomes.

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Planning Processes
Standard 4 - CONSULTATION
To continuously improve OHS performance, the CEO and senior managers of an organisation
need to implement effective consultation with employees and union representatives on
workplace health and safety issues. Consultation is a legislative requirement under
section 13 of the Occupational Health and Safety Act 2000 and Chapter 3 of the Occupational
Health and Safety Regulation 2001.
For most government agencies, employee consultation will be through OHS committees.
However, employees may elect OHS representatives to represent a particular workgroup or
request representation by a Federal or State industrial organisation. Consultation
arrangements should be negotiated with employees and union representatives (where
requested by employees) and once agreed, documented and communicated to all staff.
OHS consultation should be ongoing but also be undertaken whenever the senior
management of the organisation is considering any changes to the operation or design of the
workplace. It should also be undertaken whenever an employee, employee OHS
representative, or manager becomes aware of an issue that has implications for the health,
safety or welfare of employees.

Taking Safety Seriously - Chapter 2, The Legislative Framework, Occupational Health and
Safety, Duties of Employees and Chapter 3, Guidelines for implementing an OHS
management system, Implementation, Consultation.
Occupational Health and Safety Act 2000 (sections 13 19), and the Occupational Health
and Safety Regulation 2001 (clauses 21 32).
WorkCover NSW (2001), OHS Consultation Code of Practice.
Links to other Standards
Standard 7 - Injury Treatment and Management,
Standard 8 - Claims Management,
Standard 9 - Incident Recording, Investigation, Analysis and Review,
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Consultation
Rating:

There is a process for consultation for OHS issues that meets 100% of the
essential criteria listed in B, and at least 50% of the best practice criteria listed
in A
q Where an organisation has multiple worksites, with multiple OHS representatives or

committees, there is a mechanism for representatives and committees to meet or
communicate periodically to ensure a coordinated approach to OHS issues and planning
across the organisation.
q Additional consultation activities take place such as:

o
o
o
o
information sessions and focus groups

the inclusion of OHS on regular staff meeting agendas
OHS newsletters and/or OHS issues discussed in staff newsletters/notices,
and/or
toolbox meetings.
q There is a mechanism in place for the periodic review of the agreed consultation
arrangements, including opportunities for all staff to consider the type and effectiveness
of existing arrangements and choose alternative arrangements if appropriate.
Evidence of:
communication between OHS representatives and committees where an organisation has multiple
worksites and representatives or committees
scheduled OHS information sessions for staff
minutes from focus groups

staff meeting agendas that include OHS issues
OHS newsletters distributed; or staff newsletters which include OHS issues
record of topics from toolbox meetings where OHS is raised
consultation arrangements that are reviewed periodically in consultation with all staff.

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Consultation
Rating:
Full implementation
There is a process for consultation for OHS issues that meets 100% of the
essential criteria listed in B.
q A negotiated consultative arrangement is in place that is facilitated by:

o
o
o
an OHS committee
election of OHS representatives
other agreed, documented arrangements.
q Consultation occurs whenever:

o
o
o
o
o
o
o
o
o
planning new facilities or refurbishing existing facilities

investigating incidents
identifying hazards, reviewing risk assessments or implementing controls
developing, implementing and evaluating OHS programs, policies, procedures
and management systems
determining OHS training needs
planning changes to work practices, or introducing new ones
planning to introduce new plant or substances
developing and reviewing emergency procedures and associated training, and
deciding on the adequacy of facilities or amenities impacting staff welfare.
q The consultation process links to the OHS planning process.

q Information about OHS is shared with employees across the organisation.
q Employees, in addition to OHS Representatives and those on the committee, are given
the opportunity to participate in decisions affecting OHS.
q Senior management are involved and active in the OHS consultation arrangements.
q The consultation process arrangements are clearly communicated to all staff.
q The diversity of employees, their work and localities are represented on the OHS
committee and/or OHS representatives (including the locations, timing and types of work
undertaken and the health and safety needs of shift, seasonal, part-time and casual
workers).
q There is a documented policy and/or procedure that allows for the OHS committee and/or
representatives to:
o act as observers during formal in-house inspections, or inspections under s69 of
the Act
o accompany employees at their request during formal interviews on OHS matters,
and
o make recommendations on employee training for OHS matters.

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Consultation

Evidence:
of a documented policy, procedure or statements on consultation arrangements.

of established and implemented arrangements for consultation, such as OH S committees and election
of OHS representatives in accordance with legislative requirements
that the consultation process is clearly communicated to staff (e.g. via intranet or newsletters, referred
to during induction training)
of active consultation arrangements; of regular meetings demonstrated by agendas and minutes
that employees are involved in the development of procedures or agreements for consultation and
minutes record staff contributions
that employees are actively involved in OHS committees an d the consultation process (auditor might
verify by referring to lists of committee members, minutes, action plans or reports; and/or checking for
notices asking staff to consider nominations for OHS committee, and reports back to staff on the
activities of the OHS committee)
that employees are involved in decisions on risk control measures, emergency procedures, changes to
workplace premises, plant and/or hazardous substances and minutes record staff contributions
of committee minutes or actions plans that indicate senior managements regular involvement in
consultation arrangements
that the OHS committee represents the diversity of workgroups (auditor might verify by checking that
workgroup representatives, and the groups they represent, are documented and communicated to staff)
that an OHS committee member or representative acted as an observer during an inspection, or
accompanied an employee during an interview if requested
of the OHS committee or representatives recommendations for employee OHS train ing and that some
of these were offered to workers.

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Consultation
Rating:
Rating:
C
D
There is a process for consultation for OHS issues that meets at least 50%, but
less than 100%, of the essential criteria in B
q There is no evidence of occupational health and safety consultation process in place, or

q There is evidence of a process for OHS consultation being developed, but it has not yet
been implemented, or
q Consultation arrangements are documented but are not currently active, or

q Informal consultation arrangements are conducted but these are not
documented.

December 2007
29
Consultation

Performance target
Effective consultative arrangements are in place for making decisions about, and
communicating OHS issues within the organisation ___/___/___.

December 2007
30
Consultation
Standard 5 - RISK MANAGEMENT

Identifying, assessing and managing workplace risks is the key to preventing incidents,
injuries and illnesses in the workplace. It is also a central legislative requirement under the
Occupational Health and Safety Regulation 2001.
To comply with the legislation and meet government policy objectives, agencies must have
specific procedures in place to systematically identify, assess and then eliminate or control
workplace risks. This information will assist agencies to plan and develop targeted injury and
illness prevention strategies.
Risk management must be undertaken in consultation with employees and unions.

system, Implementation, Risk management.
Australian Standard AS 4804:2001- Occupational health and safety management systems
General guidelines on principles, systems and supporting techniques (page 22).
Australian Standard AS 4360:2004 - Risk management.
Occupational Health and Safety Regulation 2001 (clauses 9 12, 15 and 16).
WorkCover NSW Risk Assessment Code of Practice (2001).


December 2007
31
Risk Management
Rating:

There is a process for risk management that meets 100% of the essential
criteria listed in B, and some of the best practice criteria listed in A
To ensure continued effectiveness:
q Prioritised risks are documented in a risk register or action plan.

q Risk management activities are adequately resourced.
q Prioritised safety improvements should be included in the planning process and aligned
to actions in senior managers' performance agreements.
q All employees understand the organisational hazard identification and risk management
process.
q The reporting process provides the CEO with early notification of significant risks, and
there is a mechanism for the ongoing review of the risk management process.
Evidence that:
hazards are prioritised and documented (e.g. a risk register, prioritised risk assessment report, action
plan and it is clear that items are progressively actioned)
confirmation that planned safety improvements are integrated into the organisations corporate and
strategic planning and aligned to actions in the senior managers performance a greements
employees, committees and health and safety representatives are consulted and are active in hazard
identification and risk assessment processes (auditor mighty verify by speaking to employees and/or
examining incident and investigation reports)
significant hazards, and actions to control their risks, have been reported to and actioned by the CEO
schedules exist for the regular review of risk control measures.

December 2007
32
Risk Management
Rating:
Full implementation
There is a risk management process in place that meets 100% of the essential
q There is a process in place to identify, assess and eliminate or control all hazards associated
with:
o
o
o
o
o
o
o
facilities, materials, plant and equipment

the layout and condition of the workplace (including lighting and workstation design)
work practices (including psychological and fatigue related hazards such as shift
work)
potential manual handling issues
the handling, use, storage or transport of biological material and hazardous
substances
the potential for slips, burns, falls, electrocution, noise and heat exposure, and
potential violence, harassment and stress.
q Hazards and risks are systematically identified:

o
o
o
o
o
o
prior to using the workplace for the first time

prior to the completion of new and refurbished premises
before and during the installation, erection, commissioning or alteration of plant
before hazardous substances are introduced
when there are changes to the work systems or practices, and
when purchasing goods and services.
q Risk assessments involve:

o
o
o
o
regular workplace inspections

hazard, injury and incident data
task analysis, and
consultation with managers, staff, unions and OHS committees.
q Risk assessments consider:

o
o
o
o
frequency of exposure to potential hazards

potential severity of outcome
likelihood of occurrence, and
prioritisation of risks.
q Reviews are undertaken:

o
o
o
when the control measures are no longer valid

when injury or illness results from exposure to a hazard, and
when a significant change is planned or made to work, work practices and/or
procedures.

December 2007
33
Risk Management
q Agencies plan to manage and control activities, products or services that pose risks to the
health and safety of employees.
q Risk control strategies include (in order of preference):

o
o
o
o
o
o
elimination (preferred)
substitution
isolation
engineering
administration
personal protective equipment (PPE).

Evidence:
of documentation of risk management policy and procedures

of documents that indicate that hazard identification and risk assessment processes are in pla ce (e.g.
hazard identification reports, hazard checklists and/or records from work areas reviewed)
that risk assessment has considered the physical work environment, equipment and substances and
the variety of work systems, hours of work and practices (aud itor might verify by referring to risk
assessment notes and/or staff feedback)
that risk assessment has considered issues such as stress, harassment, fatigue and bullying
of the implementation of hazard elimination or control measures; as evident in record s for inspection of
the work areas
of the integration of risk management into planning and design of work environment and tasks (auditor
might verify by checking for safe work procedures, records of workplace inspections, and verify with
staff)
of the integration of risk management into the design and purchase of equipment and goods, and this is
evident in the organisations purchasing procedures and records
of the integration of risk management into the purchase of services (especially contractor servic es)
(auditor might verify by reviewing contractor safety assessment and controls)
that risk assessments are undertaken for specialist tasks such as handling hazardous substances,
manual handling issues and when hiring equipment
that consultation has been undertaken as part of the risk assessment process (auditor might verify by
referring to meeting minutes, notices calling for input or involvement and/or talking to staff in a variety of
work areas)
of the review of risk assessments, and improvements made to risk controls if appropriate. Evidence
provided by review schedules, actions following incident reports
that there is evidence that injury and incident records are reviewed and identified hazards are
addressed in the risk assessment process
of records that indicate where hazards have been identified and decisions have been made to
permanently eliminate or reduce risk; and confirmed by staff or by inspection of the relevant areas and
equipment
that personal protective equipment is provided and maintained ready for use in accordance
with manufacturers instructions.

December 2007
34
Risk Management
Rating:
Rating:
There is a risk management process in place that meets at least 50% but less
than 100% of the essential criteria in B
Risk management procedures meet less than 50% of the essential criteria in B
q Risk management procedures are proposed but not implemented, or

q Some risk management procedures are in place, but these are incomplete, or
q Some risk management procedures are in place, but these are not adequately
documented.

December 2007
35
Risk Management

Performance target
A risk management approach to hazard identification, elimination or control will be
implemented within the organisation by___/___/___.

December 2007
36
Risk Management
Standard 6 INFORMATION, INSTRUCTION AND

TRAINING
A vital part of continuously improving OHS, workers compensation and injury management
performance is the provision of information, instruction and training to all employees, including
senior executives, managers and supervisors. Occupational health and safety, workers
compensation and injury management practitioners within agencies will also need ongoing
specialist training.
Provision of information, instruction and training is an important means of achieving
awareness, competence and capability and helps to ensure safe working practices are
adhered to. It also contributes to improving the organisation's health and safety culture.
Risk assessment and/or training needs analysis will help determine the level of information,
instruction and training needed for each group of staff. Once these needs are identified they
should be incorporated into the organisation's planning processes.
To ensure continued effectiveness, information, instruction and training provided should be
regularly evaluated.
system, Implementation, Information, instruction and training.
Occupational Health and Safety Act 2000 (section 8), and the Occupational Health and Safety
Regulation 2001 (clauses 13 and 31).
Workers Compensation Regulation 2003 (Part 6A).
General guidelines on principles, systems and supporting techniques (page 18).

December 2007
37
Information, Instruction and Training
Rating:

Information, instruction and training procedures meet 100% of the essential
criteria listed in B, and at least 50% of the best practice criteria listed in A
To ensure continued effectiveness:
q A needs analysis is carried out to identify OHS information, instruction and training
required within the organisation.
q The needs analysis is linked to the OHS planning processes.

q The information, instruction and training provided is evaluated for effectiveness.
q Evaluation outcomes are linked to planning processes.
q Information, instruction and training needs are reviewed at least on an annual basis.
q Additional optional health and safety programs are offered to staff periodically.
Evidence of:
a training needs analysis, yearly training program and review mechanism
dedicated OHS trainer, training unit or training contracted out to external provider
the incorporation of training objectives into the OHS Plan
evaluation of the training courses provided
optional health promotion programs such as yoga, pilates, or health educational programs
offered and advertised to staff.

December 2007
38
Rating:
Full implementation
Information, instruction and training procedures meet 100% of the essential
q A process is in place to ensure appropriate information, instruction and training are

provided to managers and senior managers to enable them to implement procedures to
maintain safety.

provided to:
o new employees on induction; to enable them to identify, manage and report OHS
hazards, and access OHS, workers compensation and injury management
resources
o employees who are exposed to risks in the workplace
o employees who are responsible for identifying, assessing and controlling
workplace hazards, and
o staff with OHS and workers compensation functions such as First Aid Officers,
Fire Wardens, Return to Work Co-ordinators, and OHS committee members.

provided to OHS and workers compensation practitioners to enable professional
development.
q Information is provided to staff whenever new equipment or plant is purchased, or there

are significant changes to the work environment.
q When developing and delivering information, instruction and training:

o
o
o
o
o
o
the organisations workforce diversity is considered, and the content is easy to

understand and takes into account employees literacy and fluency in English
contractors, temporary and part-time employees are considered
training is carried out by persons with appropriate skills, knowledge and
experience
staff are assessed for competency, on basis of education, experience or training,
or a combination of the three, to ensure they can perform tasks safely
outcomes of competency assessments are used to structure future training, and
a record of training delivered is centrally recorded.

December 2007
39

Evidence that:
there is a written policy and procedure regarding OHS training

OHS training is being implemented (auditor might verify by reviewing training records)
information, instruction and training is provided in:

o induction programs
o
o
staff development programs

supervisor and management training
Senior Executive training

specific hazard and hazard management training
on the job training
o
o
o
o
o
o
o
o
work systems and procedures training

first aid training
Fire Warden training
emergency response training
OHS committee training, and
OHS and workers compensation specific roles
hazard reporting is included in induction and on the job training

training in safe work practices is given before work commences and is reinforced by on the job
supervision
the coverage of OHS procedures and maintenance of risk control procedures is provided in on the job
training
operator manuals for equipment are available to staff for reference
verifies availability and access to OHS training for staff and management in regional areas
information on OHS, injury management and return to work is available to staff through a range of
communication methods (including the internet, newsletters, library a nd/or internal noticeboards)
notices or bulletins from the CEO include OHS, workers compensation and injury management
messages
OHS is included on the agenda of staff meetings
warning, advisory, prohibition and other safety signs are in place where rele vant
where employees have less developed English skills, use of clear diagrammatic safety signs or signs in
languages other than English are provided near hazards and equipment.

December 2007
40
Rating:
Rating:
Information, instruction and training procedures meet at least 50%, but less than
100%, of the essential criteria listed in B
Information, instruction and training procedures meet less than 50% of the
essential criteria listed in B
q There is no process for providing information, instruction and training to staff on OHS,
workers compensation and injury management issues, or
q There is a plan for providing information, instruction and training to all staff on
OHS and workers compensation issues but it is not yet fully implemented.

December 2007
41

Performance target
The organisation has a process in place for providing information, instruction and training of
all staff in OHS matters by___/___/___.

December 2007
42
Standard 7 INJURY TREATMENT AND

MANAGEMENT
While prevention should always take priority in workplace health and safety management, it is
important to consider the possibility of incidents and a resulting injury or illness. A systematic
approach to injury management includes treatment of the injury, rehabilitation back to work,
retraining into a new skill or a new job, and management of workers compensation claims.
It is important that injury treatment is implemented and aims at providing an immediate
response to workplace incidents. Injury management must aim at getting an injured worker,
who has suffered a significant injury or illness, back into the work environment as quickly and
safely as possible.
The Workers Compensation Regulation 2003 requires large employers to appoint and train
return to work coordinators to assist in returning injured employees to work as quickly and
safely as possible. Under the Workplace Injury Management and Workers Compensation Act
1998, the insurer is responsible for developing injury management plans for employees with
significant work-related injuries and providing both the organisation and injured worker with
information regarding the injury management plan.
system.
Occupational Health and Safety Regulation 2001 (clauses 17, 20), the Workplace Injury
Management and Workers Compensation Act 1998, and the Workers Compensation
Regulation 2003 (Part 6A).
WorkCover NSW Guidelines for Employers Return To Work programs, cat. no. 506 (2003).
Australian Standard A S 4801:2001 Occupational health and safety management systems
Specification with guidance for use (page 34).
Standard 11 - Reviewing the OHS Management System.

December 2007
43
Injury Treatment and Management
Rating:

The injury treatment and management process meets 100% of the essential
criteria listed in B, and at least 50% of the best practice criteria listed in A
q The process for notifying Return To Work (RTW) Coordinators of injuries and illnesses is
integrated with incident reporting and investigation.
q The organisation has identified high level objectives and performance measures that will
enable it to evaluate the effectiveness and efficiency of its injury treatment and injury
management process.
q Arrangements are in place with local medical centre, GP, or staff health centre for priority
treatment.
q The organisations return to work strategy identifies the resources allocated to the injury
treatment and injury management process.
q Early and safe return to work is facilitated through the identification of suitable duties
using task analysis and profiling to enable clearer and fast communication with treating
practitioners regarding availability of duties.
q The organisation has established a network of treatment providers who can be used by
the injured employee at short notice, and communicate directly with the organisation
regarding return to work.
q The organisation employs RTW Coordinators with appropriate qualifications, such as

health professionals, or human resources OHS qualifications with occupational
rehabilitation experience.
q The organisation regularly reviews the managers and supervisors awareness of their
roles and responsibilities under the injury management and RTW policy.
q The resourcing levels for injury management and return to work are reviewed using data
on the organisations caseload, injury profile and performance measures.
q The injury management program supports non-work related injuries.

q The organisation encourages the RTW Coordinator to establish and maintain
professional support networks.
Evidence that
the RTW Coordinator is immediately informed upon notification of an incident; whether by call centre,
email, fax or direct contact
a report including data on the injury treatment and management process is produced and opportunities
for improvement are identified
there exists a relationship and process with local treatment facility for priority treatment (auditors might
verify by checking for a memorandum of understanding and/or inclusion in emergency contact listing)
there exists an agreement with treatment providers to ensure that employees are seen as soon as
possible by treating practitioners (who have been informed of the organisations RTW program and can
communicate directly with the RTW Coordinator or manager)
data is collected both internally and from external service providers; and this data is reviewed to identify
adverse and positive trends in the injury management process
performance measures for injury treatment, injury management and rehabilitation activities are set and
data collected and tracked

December 2007
44
progress against performance measures can be found in the organisations current annual report or
equivalent. Examples of performance measures could include:
o incidence of injuries resulting in incapacity of 2 weeks, 8 weeks, 12 weeks and 26 weeks
duration
o time taken from date of injury to first contact from employer
o time taken from injury to offer of selected/ modified duties
o percentage of injuries where suitable duties have been offered, or
o quality of RTW outcome- percentage of RTW case that achieved RTW at case closure
there is a resource plan that identifies the organisations investment in injury treatment and
management; including staff and externally engaged services
the resource plan includes a profile of the organisations needs (e.g. number of injuries per year, injury
type and severity, contact delay and lost time information)
a task analysis pro forma is defined and used across the organisat ion to determine the physical and
psychological requirements of key positions, and this is forwarded to treating doctors to facilitate the
employees return to work
safe work procedures are generated using risk management processes and used to locate and s pecify
suitable duties
RTW Coordinators have formal qualifications and experience relevant to their duties
training, review and evaluation for managers and supervisors on their roles and responsibilities, and
discussion of these roles and responsibilities takes place in meetings or at performance reviews
RTW coordinators participate in an active network (locally, online or inter agency).

December 2007
45
Rating:
Full implementation
There is an injury treatment and management process that meets 100% of the
essential criteria in B
Injury treatment:
q An injury treatment / first aid policy and procedures are established.

q Injury treatment / first aid procedures are communicated to all staff and visitors to the
workplace.
q There is early notification of injuries and illnesses to the return to work (RTW)
Coordinator and/or other relevant personnel.
q First aid records are appropriately maintained.

q Employee Assistance Programs (EAP) are available to staff, and the process for
accessing them is clearly communicated.
Injury management:
q An injury management / RTW policy is established.

q Injury management / RTW policy and process is communicated to all staff.
q Return to Work program complies with WorkCover Guidelines for employers RTW
programs.
q Return to Work Coordinators have undergone WorkCover approved training and are
provided with resources to support their role.
q The organisation participates with their insurers in the development of an injury

management and RTW plan for significant injuries.
q Contact is made with injured workers to establish the nature and severity of injury within
three (3) days of notification of injury.
q Arrangements for early injury management include contact with the treating doctor or
health professionals to determine the content of a return to work program, or establish
appointment of rehabilitation provider (where necessary).
q Early, safe and durable return to work is facilitated through the establishment of a return
to work plan, modification to work environment or tasks and the identification of suitable
duties.
q Injured workers and their representatives are consulted appropriately regarding return to
work programs, suitable duties and their progress in undertaking suitable duties.
q Progress against the injury management and RTW plan is monitored and the plan is
updated if required.
q Managers of injured workers are informed of, and involved in, injury management and
return to work.
q Return to work procedures address the documentation, confidentiality and security of

employee information relating to their injury and return to work.

December 2007
46

Evidence:
of a current policy for injury treatment signed by the present CEO

that first aid requirements have been identified using a risk management approach
that first aid plans are displayed
that first aid kits and rooms are present that are appropriate to the size and risks of the workplace
that a communication strategy is present for policy and procedures posters, induction and visitor
training, website information, inclusion in meetin gs, or emails
that documentation of first aid officers names, levels of qualification and currency is present
that early notification process to RTW Coordinator of injuries is documented
that information on EAP is communicated to staff

that a current policy for injury management and return to work exists, and is signed by the CEO
that a return to work program or procedure that complies with WorkCover Guidelines (including all
required procedures and processes) exists
of appointment of WorkCover accredited RTW Coordinator(s)
of participation in development of injury management plans for injured workers with the insurer
of an early return to work program for injured workers (auditor might verify by checking date of injury,
contact with injured worker and actual RTW program)
of contact with treating practitioners and early referral (auditor might verify by checking date of injury,
contact with treating practitioner and referral to provider)
of an ongoing injury management program (e.g. case management reports , review of RTW goals and
plan, case finalisation after review period)
of communication of injury management process to staff and managers (auditor might verify by talking
with staff in different regions and areas to confirm awareness of process)
of copies of reports or other communications to managers highlighting return to work issues in their
workplaces (auditor might verify by looking for evidence of contact with managers regarding cases)
of a document that specifies how injured worker information shou ld be kept, the form of the records, the
location of the records, who is authorised to keep them, who is authorised to access them and how long
each record should be kept.

December 2007
47
Rating:
Rating:
C
D
There is an injury treatment and management process that meets at least 50%,
but less than 100%, of the essential criteria listed in B
q There is no evidence of an injury treatment and management process, or

q There is evidence of an injury treatment and management process but it is not
sufficiently implemented an OHS policy exists but is not sufficiently comprehensive.

December 2007
48

Performance target
By___/___/__ an injury treatment and management process is implemented within the
organisation that emphasises early treatment/management of injuries and early return to
work.

December 2007
49
Standard 8 CLAIMS MANAGEMENT

Efficient and effective claims management is in the best interests of both the employer and
employees. A process for the timely and effective management of workers compensation
claims must be in place. Effective claims management:
o
supports early injury treatment and management
ensures early notification of the status of claims
facilitates prompt compensation payments
allows for timely closure of finalised claims, and
involves conducting regular reviews of outstanding claims.
The Treasury Managed Fund (TMF) is an insurance scheme owned and underwritten by the
NSW Government, providing a full range of insurance covers and services for approximately
150 NSW Government agencies (not all government agencies participate in the Fund).
Claims managers (currently Allianz, EML and GIO) have been appointed to administrate and
manage the TMFs workers compensation claims.
system.
Workplace Injury Management and Workers Compensation Act 1998.
Standard 9 - Incident Recording, Analysis and Review,

December 2007
50
Claims Management
Rating:

There is a claims management process that meets 100% of the essential criteria
listed in B and includes at least 50% of the best practice criteria listed in A
q Regular reporting and analysis of claims data is undertaken by the organisation to

understand claims trends and identify improvements and opportunities in claims
management.
q Outcomes of analysis and actions for improvement are reported to the senior manager
responsible for claims management and/or insurance management.
q Identified actions for improvement are incorporated into planning processes.

q An annual report is provided to the CEO on the progress of workers compensation claims
management.
q Supervisors and managers understand the relationship between return to work outcomes
and their impact on premiums.
q Workers compensation costs are devolved to a level commensurate with supervisors

and managers levels of authority to manage injury management and return to work.
q Specific claims management approaches are established for complex claims or complex
injury types (e.g. psychological injury claims).
q There is monitoring of, and reporting on, the effectiveness of rehabilitation provider
services.
Evidence:
that the organisation collects relevant data from its internal systems and those of the claims manager to
identify claims trends and inform strategies to i mprove the organisations approach to managing claims
of performance data that may include:
o number and average cost of compensation claims
o incidence of claims per wage amount
o interval between date of injury and notification to claims manager
o incidence of high-cost claims
o RTW outcomes
o provider performance reports, and/or
o expenditure on the internal claims management function as a proportion of total payroll.
that annual report information includes performance measures, highlights of the program, major
achievements, resources allocated, statistical results and plans for the future
that regular training and briefing is provided to managers on factors affecting premiums and the
activities required of managers to improve workers compensation performance
that specific claims management approaches are agreed with the claims provider, informed by
research/evidence, documented and reviewed to assess effectiveness
that where external services such as legal, rehabilitation or investigation services are utilised, the
organisation has a process for reviewing the performance of these services and providing feedback to
the provider either directly or through their claims manager.

December 2007
51
Claims Management
Rating:
Full implementation
There is a claims management process that meets 100% of the essential criteria
listed in B
q Employees and supervisors are aware of the injury and illness notification process
q Procedures are implemented for handling claims and notifications received
q Notification of significant injuries (48 hours) and non-significant injuries (7 days) to insurer
in compliance with legislative requirements
q Relevant information is provided to the insurer as soon as possible to assist in

determining liability
q A payment reconciliation process is implemented with the insurer to maintain up to date

claims payment records for lost time
q Data, statistics and reports are obtained from the insurer to track the organisations
progress against claims cost, duration and frequency improvement targets
q Quarterly claims reviews are conducted with the insurer's claims manager to ensure
information on claims is up to date and identify those claims where further assistance or
action is required
q Continuous case management of claims is provided to ensure a return to work where

practicable
q Managers and supervisors are actively involved in claims management and advise
relevant parties about information that may affect the claim.
Evidence of:
an effective communication strategy for employees on workers compensation cl aims or notifications
(e.g. web based, induction or newsletters and posters)
a formalised communication process between the organisation and the claims manager
frequent meetings and communication between the organisation and the claims manager in accordanc e
with claims volume and complexity
Review of claims meeting records and emails to verify the following:
timely provision of relevant information to insurer
identification of actions for claims case management and return to work
record of reports received from claims manager and actions effected from the data provided
reports are used by the organisation to monitor their performance against government and internal
performance measures
information provided to managers and supervisors regarding their claims v ia regular reports or emails.

December 2007
52
Claims Management
Rating:
Rating:
There is a claims management process within the organisation that meets at

least 50%, but less than 100%, of the essential criteria listed in B
Less than 50% of the essential criteria listed in B been implemented
q There is no evidence of an organisation level claims management process in place, or

q There is evidence of development of a claims management process but it is not
sufficiently implemented.

December 2007
53
Claims Management

Performance target
By ___/___/___ a process is in place for the timely and effective management of workers
compensation claims.

December 2007
54
Claims Management
Standard 9 INCIDENT REPORTING, INVESTIGATION,

ANALYSIS AND REVIEW
The reporting, recording, investigation, analysis and review of workplace incidents (including
injuries, illnesses, and near misses) and notices or advice received from WorkCover will help
identify problem areas where incidents arise frequently. It will also help agencies in their risk
assessment process by providing useful information for injury prevention.
Recording workplace injuries is also a legislative requirement under the Workplace Injury
Management and Workers Compensation Act 1998.
In addition, the Annual Reports (Departments) Regulation 2005 requires agencies to include a
statement in their annual report setting out the organisation's OHS performance during the
year. This statement should include details of work-related injuries, illnesses and
prosecutions under the OHS Act and therefore informs key stakeholders of the agency's
progress in improving OHS performance.
system, Reactive monitoring data collection and analysis, Review and Improvement.
Occupational Health and Safety Act 2000 (sections 86, 87).
Occupational Health and Safety Regulation 2001 (Part 12.1 - Notification of accidents and
other matters - clauses 341 - 343).
Workplace Injury Management and Workers Compensation Act 1998 (sections 44, 63).
Annual Reports (Departments) Regulation 2005.

December 2007
55
Incident Reporting and Review
Rating:

The organisations incident reporting, investigation, analysis and review
procedures meet 100% of the essential criteria listed in B, and at least 50% of
the best practice criteria listed in A
q One form is used for recording all incidents.

q The form complies with AS 1885: Workplace Injury and Disease Recording Standard in
the Workplace.
q The incident recording system is automated.

q Investigation of all incidents is carried out regardless of seriousness.
q Serious incidents are investigated by a senior manager of the area in which the incident
occurred.
q Incident information is analysed quarterly.

q Information from the analysis of injuries, incidents and WorkCover notices is made
available to staff.
q The number of work related injuries, illnesses and prosecutions are made available to
stakeholders in the Annual Report.
Evidence that:
data collected is reviewed and analysed, at least on a quarterly basis
this analysis is provided to the CEO on a quarterly basis (auditor might verify by viewing dates of
reports to the CEO)
senior management are involved in the investigation of serious incidents in their area
the Annual Report states the number of work-related injuries, illnesses and prosecutions in compliance
with legislative requirements
identified key stakeholders are informed of outcomes in the Annual Repo rt.

December 2007
56
Rating:
Full implementation
procedures meet 100% of the essential criteria listed in B.
Incident reporting:
q Serious incidents are reported immediately by telephone to WorkCover.

q Notification of significant injuries (48 hours) and non-significant injuries (7 days) to insurer
in compliance with legislative requirements.
q A mechanism is in place for reporting injuries to the Return to Work Coordinator.

q The incident reporting process is communicated clearly to relevant staff.
Incident recording:
q A register of injuries (as required under the section 63 of the Workplace Injury
Management and Workers Compensation Act 1998) is readily accessible.
q There is a central repository for recording all workplace related incidents, injuries,
illnesses, near misses and notices issued by WorkCover.
q Data to be collected includes hazard, injury, incident and claims reports data.
Incident investigation:
q An investigation is conducted as soon as practicable after an injury or incident occurs.

q The manager responsible for the area or process where the incident occurred has
primary responsibility for the investigation.
q An incident investigation process is documented.

q Incidents that lead to a workers compensation claim or hazard report, including nearmisses, are investigated to determine underlying causes.
q There is a central repository for recording investigation results and corrective actions
proposed.
q The CEO is informed of the outcome of all serious incident investigations.

Incident analysis:
q Injuries, illnesses and other potentially serious incidents are analysed at least yearly to
determine underlying trends.
q Notices and advice issued by WorkCover are analysed to assist in identifying potential
system failures within agencies.
q The results of these analyses are evaluated by senior management and the OHS
committee to identify areas for improvement.
q The risk assessment of the activity/process where injury or illness occurred is reviewed.
q The results of the analysis are made available to the CEO.

December 2007
57
Incident Review:
q Actions identified as a result of the investigation and analysis process are prioritised and
implemented.
q Prioritised actions are incorporated into the planning process.

q A mechanism is in place for checking corrective actions recommended from the incident
investigation and analysis is implemented.
Evidence that:
there are written policies and procedures on the management of workplace injuries, inc idents and
notices
policies and procedures are accessible to all staff
significant injuries are reported to WorkCover in a timely manner

injuries to workers which may be compensable are reported to the insurer within 48 hours
a register of injuries and/or incident recording system is being used for all levels of injury (auditor might
verify by viewing completed incident report forms and/or incident management software)
the register of injuries system should be easily accessible to all staff, with instruct ions if needed
staff are advised of how to access the register at induction
injury and incident records are maintained for at least five years
there is a central repository for the collection and analysis of incidents
incident, injury, illness, and notice investigation processes are implemented in regions and/or work
areas
incident investigations have examined the relevant work site, operational activities and include
interviews with staff
incident analysis is being undertaken at least annually, with the i ntention of identifying underlying trends
and causes, and potential corrective actions
information from the review and analysis of injuries, incidents and notices is incorporated into the risk
management system
corrective actions that have been identified in the analysis process are being implemented
reviews are conducted following the introduction of corrective actions to assess effectiveness
effective corrective actions identified in the incident analysis are incorporated into the planning process
there is consultation with staff, committees and/or health and safety representatives regarding the
outcomes of injury, incidents, WorkCover advice and notices analysis and review (auditor might verify
by reviewing minutes of meetings).

December 2007
58
Rating:
Rating:

procedures meet at least 50%, but less than 100%, of the essential criteria listed
in B.

procedures meet less than 50% of the essential criteria listed in B
q There is no incident reporting or investigation policy or process in place, or

q Incident reporting and investigation processes have been developed and documented,
but these have not yet been implemented.

December 2007
59

Performance target
By ___/___/___ a process to record, investigate, analyse and review all workplace related
incidents is in place and outcomes are made available to key stakeholders in the Annual
Report.

December 2007
60
Standard 10 MEASURING AND EVALUATING OHS

PERFORMANCE
Implementing an OHS management system does not in itself guarantee success. To ensure
that risks are controlled effectively, there should be a system in place to measure and
evaluate OHS performance and take preventative and corrective action where appropriate.
Regular measurement and evaluation will enable an organisation to see what is working well
and what is not; and develop strategies to remedy any problems and include these in the
planning process. Management should ensure that corrective and preventative actions are
followed up to ensure they are implemented and effective.
Performance measurement needs to strike a balance between actively monitoring the OHS
management system and reactively assessing failures. Ideally, organisations should use a
combination of lead and lag indicators. Lead indicators demonstrate improvement in a
positive or preventative activity (such as the training of line managers), while lag indicators
demonstrate progress against a negative outcome (such as a decrease in the frequency or
cost of workers compensation claims). Determining compliance with legislation also provides
a measure of OHS performance.
system - measurement and evaluation.
General guidelines on principles, systems and supporting techniques (pages 35-39), and
Australian Standard A S 4801:2001 Occupational health and safety management systems
Specification with guidance for use (pages 1112)

December 2007
61
Measurement and evaluation
Rating:

There is a process for measurement and evaluation that meets 100% of the
essential criteria listed in B and includes at least 50% of the best practice criteria
listed in A
q OHS performance monitoring should be conducted on a regular basis, at least annually.

q Results of OHS performance monitoring are reported to the CEO.
q Actions for improvement are included in the organisation's planning processes and/or other plans
as necessary (e.g. HR, IT, risk management, procurement and design).
q Performance measures are monitored for relevance and effectiveness.

Evidence of:
results of monitoring reported to senior management and acted upon (e.g. in reports, actions plans,
meeting minutes, and/or memoranda)
links between results of monitoring and OHS plan and other relev ant plans.

December 2007
62
Rating:
Full implementation
There is a process for measurement and evaluation that meets 100% of the
q Procedures are established to measure and evaluate OHS performance and systems.
q Compliance with OHS, injury management and workers compensation legislation is
assessed.
q Persons conducting audits are competent, impartial and objective.

q Proactive and reactive (lead and lag) performance indicators are determined (e.g.
outcomes of audit process, injury rates, costs and return to work rates).
q Consultation occurs with key stakeholders; including employees, managers and union
representatives.
q Specific areas and issues that require improvement are identified and prioritised.
q Improvement recommendations are made to senior management.
Evidence of:
auditors that are trained and independent of any process being audited
written procedures or policies for monitoring of OHS performance, systems and associated records
records of inspection, testing and monitoring of equipment and procedures
records of health surveillance, where relevant
systems for data reporting and analysis
internal or external review, or audit reports (auditors to note the frequency of review or audit process)
the use of the results of measurement and evaluation processes (e.g. action plan, OHS plan, evidence
of prioritisation process, responsibilities for corrective and preventative actions)
development of meaningful performance indicators which measure the degree of compliance with
legislation (e.g. meeting notification timeframes)
measurement of performance against these indicators
recommendations provided to senior management.

December 2007
63
Rating:
Rating:
There is a process for measurement and evaluation that meets at least 50%, but
less than 100%, of the essential criteria listed in B
q There is no evidence of a process for measurement and evaluation, or

q There is evidence of a process, but it is not sufficiently implemented.

December 2007
64

Performance target
By ___/___/___ there is a process in place for the ongoing measurement and evaluation of
OHS performance.

December 2007
65
Standard 11 REVIEWING THE OHS MANAGEMENT

SYSTEM
The CEO and senior management should ensure that the implementation of the OHS
management system is regularly reviewed for its continued suitability and effectiveness in
supporting injury prevention; injury management; and improved safety outcomes. A process
for the regular review and continuous improvement of the OHS management system should
be in place, and should be integrated into the organisations planning cycle.
The review should consider all key elements of the OHS management system and make
changes where appropriate; considering OHS performance monitoring (Standard 10) and
changing circumstances.
The review should be undertaken at suitable intervals determined by the organisation. It need
not take place in all areas of the OHS management system at the same time, but should be
scheduled progressively and regularly. This includes a review of the arrangements for the
development, implementation and review of:
o
the OHS policy and management responsibility structures
workplace health and safety objectives, performance measures and activities in

the business plan
emergency planning
implementation of risk management, effectiveness of consultation and

information, training and instruction arrangements
incident recording, investigation and analysis
injury and claims management, and
methods for measurement and evaluation of OHS systems and performance.
The review should also consider other impacts on the organisation, such as changes in
legislation and changes in circumstances within and outside the organisation.

December 2007
66
Reviewing and Improvement

system review and improvement.
Australian Standard AS 4804:2001Occupational health and safety management systems
General guidelines on principles, systems and supporting techniques (pages 39 41).
Australian Standard A S 4801:2001Occupational health and safety management systems
Specification with guidance for use (page 12).

December 2007
67
Rating:

There is a process for review that meets 100% of the essential criteria listed in
B, and includes at least 50% of the best practice criteria listed at A
q To be effective, review of the OHS management system will also consider:

o
o
o
o
o
o
o
changes in legislation
changes in government policy
changes in the products or activities of the organisation
changes to the structure of the organisation
advances in science and technology
advances in OHS best practice, and
feedback, particularly from employees.
q The CEO and executive management monitor the effectiveness of the OHS
management system and the organisations review process.
Evidence that:
the review process considers other impacts on the organisation
outcomes are documented and reviewed
outcomes are incorporated into planning processes
reviews link back to the organisations risk management framework
the OHS management system and the review process are considered at executive meetings (auditor
might verify by referring to meeting minutes and/or memoranda).

December 2007
68
Rating:
Full implementation
There is a process for review that meets 100% of the essential criteria listed
in B
q To ensure the currency and effectiveness of the OHS management system, a regular
schedule is established to progressively and continuously review its elements.
The following components of the OHS management system are reviewed in relation to the
outcomes of measurement and evaluation processes:
q The implementation and effectiveness of the OHS policy.

q The CEO's performance agreement and activities in senior managers' performance
agreements.
q The implementation and effectiveness of OHS strategies.

q Improvement planning processes.
q The implementation and effectiveness of risk, injury and claims management
processes.
q Arrangements for consultation.

q Progress with the delivery of information, instruction and training against plans and
the increase in awareness of employees and management of OHS issues.
q Implementation of incident reporting and analysis processes.

q Implementation of investigation processes and corrective actions.
q Systems for reporting to the CEO.
q Systems for OHS performance monitoring.
Following review of the OHS management system:
q Successful strategies and gaps for the effectiveness of implementation of the OHS
management system are identified.
q Outcomes of the review are incorporated into the organisations planning process
and actions for improvement.
Evidence that:
a review process is in place, scheduled at defined intervals, and based on organisation review
processes and priorities
outcomes are documented and reported
outcomes are incorporated into planning processes
consultation during the review occurs in accordance with the organisations agreed consultation
arrangements.

December 2007
69
Rating:
Rating:
There is a process for review that meets at least 50%, but less than 100%, of
the essential criteria listed in B
q There is no evidence of a process for review, or

q There is evidence, but it is not sufficiently implemented.

December 2007
70

Performance target
By ___/___/___ a process for the regular review and continuous improvement of the OHSMS
is in place which feeds into the organisations planning.

December 2007
71
Standard 12 CEO REPORTING AND LEADERSHIP

To ensure the ongoing success of the OHS system, and improve health and safety
performance, the CEO should be kept informed of the organisations progress and take an
active role in its continuous review and improvement.
Workplace and safety culture are both influenced by the CEO and senior management; a
committed and informed CEO is a common element in organisations that manage OHS
effectively and efficiently.
Regular review of workplace health and safety at the senior level reinforces its importance to
the organisations success in meeting its objectives and legal obligations. The CEO and
senior managers need to meet regularly to make decisions about OHS issues and to set the
direction for the organisation.
system.
Safe and Sound: A Discussion Paper on Safety Leadership in Government Workplaces:
Australian Government, Australian Safety and Compensation Council (2005).
Standard 4 -Consultation,
Standard 11 - Review of the OHS Management System.

December 2007
72
CEO reporting and leadership
Rating:

There is a process for CEO reporting and leadership that meets 100% of the
essential criteria listed in B, and includes at least 50% of the best practice
criteria listed in A
To be effective the CEO:
q Actively promotes OHS and injury management and return to work.

q Drives OHS, injury management and return to work improvement with senior
managers through active involvement in planning processes and decision making
regarding health and safety risks.
q Communicates with managers and staff regarding OHS priorities and planning.
q Ensures that OHS consultation arrangements are effective and integrated with the
organisations OHS, return to work and injury management systems.
q Ensures that the organisation has the resources required for effective OHS, workers
compensation and injury management.
Evidence of:
mechanisms to promote health and safety and recognition and reward for positive safety
performance (e.g. safety bulletins from the CEO, promotion of OHS champions, and/or Safety
Week programs)
a review of OHS performance by CEO and responsiveness to OHS risks in decision making and
improvement planning (e.g. minutes of meetings, annual health and safety report, and/or corporate
and business plans)
involvement of the CEO in the performance improvement process (e.g. memoranda to senior staff)
actions and decisions being communicated to managers and staff (e.g. Minutes of meetings,
memoranda to staff, newsletters, websites, staff meetings, and/or induction training)
planning and decision making that includes review of resources needed to manage OHS and injury
management
organisational policies, programs and working committees that demonstrate integration of health
and safety into business processes.

December 2007
73
Rating:
Full implementation
There is a process for CEO reporting and leadership that meets 100% of the
q There is a mechanism for immediately notifying the CEO of:

o
o
o
significant risks
serious incidents, and
prohibitions notices and prosecutions.
q CEO responds to, and acts on, information in reports where relevant.
The CEO receives regular (at least quarterly) reports on organisation's:
q Implementation of OHS plans.

q Progress against performance measures.
q Incident statistics.
q Senior managers performance against OHS targets.
q Implementation of OHS training.
q Results of OHS reviews.
q Status of workers compensation claims.
q Implementation of injury management and return to work plans and programs.
q Penalty and improvement notices.
q Emerging organisation wide OHS risks identified through the risk management
process.
Evidence of:
a written procedure and policy for the reporting of OHS performance to the CEO
a reporting process to the CEO that includes mechanisms for reporting frequency and format
reports to CEO that include progress against performance measures
a procedure for immediate reporting to the CEO of significant risks, serious incidents and prohibition
notices and prosecutions
a review of OHS performance by CEO and subsequent planning and action (e.g. minutes of
meetings, memoranda to staff, and/or annual he alth and safety report).

December 2007
74
Rating:
Rating:
There is a process for CEO reporting and leadership that meets that meets
50%, but less than 100%, of the essential criteria listed in B
q There is no evidence of a process for CEO reporting and leadership, or

q Some CEO reporting and leadership is evident, but this could be greatly improved.

December 2007
75

Performance target
By ___/___/___ the CEO is regularly informed of OHS performance and actively involved in
continuous review and improvement.

December 2007
76

Improvement Standards Occupational Health Safety Injury Management Return To Work 5302

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Improvement Standards Occupational Health Safety Injury Management Return To Work 5302

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New South Wales Government

Occupational Health and Safety

Tools for measuring performance within

GUIDANCE FOR ASSESSORS.......................................................................3

OHS & IM Improvement Standards

Guidance for Assessors

GUIDANCE FOR ASSESSORS

setting performance targets for OHS improvement, and

promoting the development and implementation of a systematic approach to OHS.

OHS Policy and Commitment,

Measurement and Evaluation, and

Review and Improvement.

OHS & IM Improvement Standards

Guidance for Assessors

OHS & IM Improvement Standards

Guidance for Assessors

Full implementation and focus on continued improvement

Meets 100% of the essential criteria listed in B

Meets less than 50% of essential criteria listed in B

OHS & IM Improvement Standards

Guidance for Assessors

There is an systematic approach in place which will reduce the

Key Elements & Standards

OHS POLICY AND

OHS & IM Improvement Standards

10. Measuring and Evaluating OHS Performance

11. Reviewing the OHS Management System

Guidance for Assessors

OHS & IM Improvement Standards

Guidance for Assessors

Appendix 1 Examples of information required for assessment

OHS Policy and secondary policies

OHS & IM Improvement Standards

Guidance for Assessors

Appendix 2 Results Matrix

OHS POLICY AND

6. Information, Instruction an d Training

7. Injury Treatment and Management

10. Measuring and Evaluating OHS

11. Reviewing the OHS Management System

12. CEO Reporting and Leadership

OHS & IM Improvement Standards

9. Incident Reporting, Investigation, Analysis

Target date to attain

Guidance for Assessors

Standard 1 - OHS POLICY

OHS & IM Improvement Standards

Full implementation and focus on continued improvement

q refer to related policies such as injury management, return to work, rehabilitation,

that the OHS policy is clearly communicated to staff

OHS & IM Improvement Standards

q be signed by the current CEO

q express commitment to the allocation of appropriate human, financial and other

q express a clear commitment to taking a risk management approach to OHS

q be clearly communicated to all staff within the organisation on a regular basis

q ensure the policy is communicated to all parties with OHS responsibilities.

OHS & IM Improvement Standards

q There is no evidence of an occupational health and safety policy, or

OHS & IM Improvement Standards

Commendations (key strengths)

Recommendations (opportunities for improvement)

To attain next level, the organisation should:

Current rating, based against performance criteria