Title Page
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Self Assessment - Section 1 + 2
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Conducted on
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Prepared by
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Location
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Personnel involved
Critical Element 1 - Employer commitment to safety management practices
Is there is a documented health and safety policy that demonstrates an employers commitment to health and safety? Verified by the policy or statement including;
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Does the policy or statement include a management commitment to health and safety?
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Does the policy or statement include a commitment to comply with relevant legislation, safe work instruments, codes of practice, standard and safe operating procedures?
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Does the policy or statement include individual responsibilities for work health and safety?
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Does the policy or statement include a requirement to accurately report, record and follow up all health and safety events?
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Does the policy or statement include a commitment to consult with employees, health and safety representatives and where applicable unions regarding health and safety matters?
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Does the policy or statement include evidence that senior management have reviewed the policy or statement in the last 24 months?
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Does the policy or statement include appropriate signature/authorisation, position and date?
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Does the policy or statement include a statement of commitment to continuous improvement in health and safety?
There is an understanding of health and safety management in the workplace
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Are specific health and safety responsibilities designated at senior management level?
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Do people in charge of others have position descriptions that include specific health and safety responsibilities relevant to their role?
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Is there evidence that people in charge of others (including senior management) have had performance reviews against their specific health and safety responsibilities?
The employer actively supports health and safety
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Evidence that excellence and / or innovation in health and safety are recognised?
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Enter your findings, evidence reviewed and recommendations below
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Enter any notes if you wish
Critical Element 2 - Planning, review and evaluation
Health and safety objectives are set that are: - appropriate to the size and type of business or undertaking - relevant to each level within the business or undertaking - related to identified hazards and risks
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Procedure/s* that explain how the employer will identify relevant legislation, SWI, CoP, standards, guidelines and other industry information. Timeframes for checking, reviews and responsibilities are included.
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Are there procedure/s are in place to ensure compliance or conformance with relevant requirements.
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Is there evidence that the employer has reviewed relevant information within the last 24 months and, where appropriate, made changes?
There is a system in place to ensure the effectiveness of health and safety management for the organisation is reviewed regularly and after a notifiable event*.
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Procedure/s that explain how the effectiveness of organisational health and safety management will be reviewed.
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Evidence that the effectiveness of health and safety management has been reviewed in the last 12 months.
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Procedure/s to review health and safety management that occurs after: • a notifiable event • changes in work procedures • changes in health and safety policies and procedures.
Health and safety objectives are set that are: • appropriate to the size and type of business or undertaking • relevant to each level within the business or undertaking • related to identified hazards* and risks*.
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Evidence of health and safety objectives and plans to achieve these.
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Procedure/s to review and update or reset health and safety objectives at least every 12 months. <br>
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Evidence that health and safety objectives have been reviewed, updated or reset in accordance with the procedure.
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Evidence that senior management and employees, or employee or union representatives, have been included in the review and setting of objectives.
Systems are in place to undertake a self-assessment every 12 months to ensure the AEP audit standards are met and maintained. The assessment involves management, union, and other nominated employee representatives. NB: May be immediately prior to initial audit
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Self-assessment procedure/s.
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Evidence of self-assessments conducted in accordance with the procedure/s.
There is a system in place to control health and safety-related documents and information.
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A document control system (paper-based or electronic).
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Evidence of current versions of documents in use.
Critical Element 3 - Hazard Identification, Risk Assessment and Management
There are procedure/s* to identify and record actual and potential hazards and risks in the workplace.
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Procedure/s explains how to identify hazards and risks, and include an understanding of the range of hazards facing employees, wherever they are working.
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Procedure/s to identify hazards and associated risks include any: • new projects or contracted works • new material, substances, services or work processes • new, modified or hired equipment • modified practices or processes • changes that may have modified any known hazards or risks.
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Evidence of a register (or similar) that records hazards and/or risks to support the process in action.
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Evidence of consultation* with relevant or affected people about any new or modified equipment, material, services, work practices or processes introduced into the workplace.
There are procedures to assess the risks associated with the identified hazards.
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Procedures that explain when and how to assess risk associated with identified hazards.
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Evidence that assessments of risks have been completed.
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The hazard or risk register (or similar) clearly identifies those hazards or risks that could cause serious injury, illness or death to employees (or others).
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Evidence that health and safety issues and assessment/s of risks have been considered as part of the design and pre-purchase decisions, and before any changes/modifications to (where applicable): • materials or substances • work practices, processes or services • plant*, buildings, structures or equipment.
Appropriate hazard and/or risk controls have been developed and implemented (based on the hierarchy for risk control in the health and safety at work legislation).
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Procedure/s for developing controls includes an assessment of whether risks to health and safety can be: a. Eliminated and, if elimination is not reasonably practicable*, then: b. Minimised by: • substitution • isolation • use of engineering controls • use of administrative controls • use of Personal Protective Equipment (PPE)*.
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Procedure/s to support the appropriate use of specialist advice (where applicable).
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Reference information is readily accessible to those who need it.
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Evidence that the hazard and risk controls developed are based on appropriate advice or information (where applicable).
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Details of appropriate risk controls developed for hazards that have health and safety risks.
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Where safety equipment, including PPE, has been identified as a risk control, there is evidence of a system in place for its issue, renewal and maintenance.
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Evidence that hazard and risk controls have been communicated to relevant people.
There is a system in place to review the risk controls of the identified hazards.
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Evidence that risk controls have been reviewed to ensure controls are working, effective and are still appropriate.
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Responsibilities assigned to ensure reviews have been undertaken and signed off.
Occupational health monitoring is managed.
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Procedures that explain how to determine if health monitoring is needed. (If health monitoring is not required, the employer must provide a documented rationale to show why they reached that conclusion.)
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Where the employer has identified health monitoring is required, procedure/s explain how health monitoring will be conducted, including (if applicable) requirements for baseline monitoring.
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Where the employer has identified health monitoring is required, evidence is available of completed health monitoring assessments (where applicable).
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Evidence that notification of health monitoring results has been provided to employees (only applicable when monitoring undertaken).
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Health monitoring procedure/s explain how sub-optimal test results are managed, including consideration of individual medical and vocational needs.
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Health monitoring procedure/s explain how sub-optimal results are fed back into the hazard or risk management system.
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Procedure/s explain when pre-employment health screening assessments are required (where applicable). (Where pre-employment health screening is not required, the employer must provide a documented rationale to show why they reached that conclusion.)
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Evidence that pre-employment health screening assessments have been completed (where applicable).
Critical Element 4 - Information, training and supervision
There is appropriate health and safety induction training for new employees and employees transferring to a new environment, role or task.
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Evidence that health and safety induction includes the following: • emergency procedures • hazard and incident reporting • how risk assessments are undertaken • work hazards and risks • health and safety responsibilities of employer, employees and, where applicable, any other relevant parties • employee or worker* participation and representation processes • information about health and safety meetings • injury management and return to work processes • use and care of general health and safety equipment, including PPE.
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Signed employee induction training records (or similar individual verification).
There is identification of health and safety training needs in relation to hazards and risks associated with specific roles, tasks or areas of work.
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Evidence that training needs for specific roles, tasks, or areas of work have been identified.
All task-related health and safety information and training is delivered so key messages are clearly understood, taking into account language, literacy and other factors that can affect understanding.
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Evidence that task-related training has occurred.
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Evidence that employees issued with role-specific PPE or clothing have been trained on its use and maintenance (where applicable).
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Evidence that employees issued with task-specific safety equipment (in addition to PPE or clothing) have been trained on its use and maintenance (where applicable).
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A “reminder” system (or similar) for recurring training or certification including assignment of responsibilities.
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Evidence that employers have verified that employees/ workers understand: • role or task-specific hazards related to their work • the risk of harm* • how to use the controls in place for their protection.
There are appropriately trained and/or experienced people leading the identification of hazards and management of risks.
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Records of training and/or skills and experience for people leading hazard identification and risk assessments.
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Evidence of ongoing training or increased experience for people leading hazard identification and/or risk assessment that has occurred in the previous 24 months.
There is access to trainers with the relevant skills, experience or qualifications.
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Selection criteria for internal trainers specifies their required experience and relevant skills (where applicable – i.e. only where internal trainers are to be used).
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Selection criteria for external trainers specifies their required experience and relevant skills (where applicable – i.e. only where external trainers are to be used).
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Records of trainers’ skills, experience or qualifications.
Employees undergoing on-the-job training are supervised by skilled, experienced and/or qualified staff.
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Selection criteria for those supervising employees/workers undergoing on-the-job training are defined and documented. .
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Evidence of supervision of employees/workers undergoing on-the-job training (where applicable).
Training is provided to employees (e.g. employee health and safety representatives) involved in health and safety management.
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Evidence that training needs have been identified for those employees with designated health and safety roles and/or responsibilities.
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Evidence of health and safety training, or refresher courses, relevant to health and safety roles and/or responsibilities; have been undertaken by employees and/or their representatives within the past 24 months.
Senior management, managers and people in charge of others have an understanding of health and safety management relative to their positions.
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Evidence that senior management, managers and people in charge of others have increased or refreshed their health and safety knowledge within the previous 24 months.
The designated employees or wardens for each work area are trained to respond to emergency situations.
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Training records (or similar) for people with specific roles in emergency situations.
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Evidence that refresher emergency training has been undertaken with designated employees within the previous 12 months. .
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Evidence that designated employees have completed specific emergency training within the previous 24 months for situations documented in the emergency plan/s (see 7.1.1).
Critical Element 5 - Incident and injury reporting, recording and investigation
A system is in place to record workplace injuries, illnesses and incidents, and notify these to all relevant parties.
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Procedure/s that explain when and how to: Record • all incidents, injuries and illnesses for both notifiable* and non-notifiable events. Notify • relevant internal parties • regulatory agency* (of all notifiable events).
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Workplace injury, illness and incident report forms (or similar) are completed (where applicable).
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Evidence of prompt and appropriate notification to the regulatory agency (where applicable).
A system has been implemented to investigate incidents that harmed, or might have harmed, people in the workplace.
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Procedure/s that explain how incidents will be investigated.
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Evidence of completed investigations of reported and/or recorded events (where applicable).
A system is in place to ensure that corrective action is undertaken for any deficiencies identified by the investigation.
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Procedure/s that explain how corrective actions are identified, managed and implemented
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Procedure/s include feedback into hazard and/or risk management.
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Evidence that affected employees are advised of any corrective actions (where applicable).
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Evidence that corrective actions have been implemented (where applicable).
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Evidence that senior management (or similar) have been informed of (and, where appropriate, have approved) any corrective actions in response to notifiable events (where applicable).
All incident, injury and illness data is collated and reviewed to identify trends and provide information to managers and employees that can be used in injury prevention initiatives and/or improved health and safety outcomes.
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Procedure/s for the collation of all incident data for analysis and review
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Evidence of an annual review of collated data to identify trends.
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Evidence that collated data and (where applicable) trend analysis is communicated to managers and employees.
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Evidence of proactive injury prevention activities that are based on workplace hazard/risk factors (other than trend analysis results).
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Evidence of implementation of reactive injury prevention initiatives that are based on results of trend analysis (where applicable).
There is a system in place to support early intervention* strategies following reports of pain, discomfort or injury.
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Early intervention procedures include: • responsibilities of employee, union (if applicable), health and safety representatives* and management • opportunities for alternative duties* • responsibilities for monitoring and follow-up • support available and the right to union and other nominated employee representation
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Evidence of management of early intervention upon receipt of reported pain, discomfort or injury (where applicable).
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Evidence information is readily available to all employees (e.g. notifications, publications, posters or similar staff communications).
Critical Element 6 - Employee participation in health and safety management
There is an agreed employee participation system in place that explains how employees, unions, or nominated employee representatives will be involved in the development, monitoring and reviews of workplace health and safety matters.
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Procedure/s that explain how employees are involved in the development, monitoring and reviews of health and safety issues.
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Evidence that the participation system: • has been agreed to • is communicated to employees at appropriate periods (including initial induction) • information about the system is readily available.
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Evidence of consultative development, monitoring and review of health and safety policies, processes and performance at least every 12 months.
Confirmation of employee participation systems.
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Evidence of health and safety forum/s that include the participation of management and employee representatives occur at least quarterly (may be immediately prior to entry for new applications).
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Evidence of on-going opportunity for joint involvement in injury prevention and (where applicable) injury management initiatives.
Critical Element 7 - Emergency planning and readiness
There is a documented emergency plan that identifies potential emergency situations and meets relevant emergency service requirements.
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Evidence of identification of the range of potential emergency situations and relevant responses that considers the type and location of the work being done.
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Evidence that emergency service requirements have been considered.
Emergency instructions are readily accessible at all worksites or work areas.
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Evidence that emergency instructions are communicated to all employees and other relevant parties.
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Emergency responders* or other designated employees are known to staff.
Emergency procedures are tested at regular intervals – of no greater than six months apart.
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Evidence of emergency evacuation drills at intervals of no greater than six months apart and cover all shifts, worksites and employees.
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In addition to 7.3.1, for other emergency scenarios (documented in the employer’s emergency plan/s) the employer needs to provide evidence that the documented response to emergencies, with a high likelihood of occurring, have been tested at least every 24 months. Evidence includes consideration of relevant risks, and testing includes relevant shifts, worksites and employees.
Consultative review of emergency response procedures occurs after any practice drills and actual emergency event(s).
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Evidence of post-emergency response review.
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Evidence of updated procedures and plans (where applicable).
First aid resources are available.
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Evidence that the number and availability of trained first aiders, and the type and quantity of first aid equipment, has been assessed.
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Evidence that the appropriate number of trained first aiders and the type and quantity of first aid equipment, are available for all work emergencies.
Emergency equipment is available.
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Evidence that the need for emergency equipment for identified emergencies has been assessed.
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Evidence that the identified emergency equipment is available. Evidence includes regular equipment serviceability checks at appropriate intervals.
Critical Element 8 - Ensuring the health and safety of employees and others in the workplace
A system is in place for the employer to consult other PCBU/s where there are overlapping health and safety duties*.
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Procedure/s that outline how the employer (PCBU) will: • consult, • co-operate with, and • co-ordinate health and safety activities with other PCBU/s.
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Evidence of PCBU/s consultation and communication (where applicable).
A system is in place to induct another PCBU’s workers or other people
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Induction procedure/s that include any site-specific rules, hazards and/or risks and their controls
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A designated person/s to co-ordinate health and safety induction for other workers.
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Evidence that inductions have included the exchange of relevant information and have been completed and signed off by both parties (where applicable).
Criteria to select PCBU/s (who will undertake work on behalf of the employer), including an assessment of their management of health and safety.
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Documented selection criteria
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Evidence that the competency of the PCBU/s has been assessed against the selection criteria (where applicable).
Where an employer engages other PCBU/s, health and safety responsibilities are agreed.
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Evidence that health and safety responsibilities are documented.
Where there is a shared duty of care* for health and safety, responsibilities for overlapping duties are agreed with other PCBU/s.
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Evidence to show the employer and other PCBU/s are working together to protect the health and safety of people in the workplace (where applicable).
Where an employer engages other PCBU/s to undertake work, a system is in place to monitor and review the health and safety performance of the PCBU/s, at intervals appropriate for the duration of the work.
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Procedure/s that outline how and when the employer will monitor and review the health and safety performance of the PCBU/s.
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Evidence of monitoring of the other PCBU’s health and safety performance (where applicable).
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Evidence of feedback from the other PCBU into hazard identification, risk assessment and event reporting (where applicable).
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Evidence of review of other PCBU/s’ health and safety performance every 12 months or when the work is completed, whichever comes sooner (where applicable).
Critical Element 9 - Workplace observation to confirm systems in action
The auditor is able to observe selected audit standard requirements in practice.
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There are hazard or risk registers (or similar) that detail hazards, risk assessments and risk controls.
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Evidence that risk controls have been implemented.
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Safety information is readily available and current.
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Event reporting forms for injuries, illnesses and incidents are readily available.
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PPE is available for employees, other workers and site visitors (if required).
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PPE is consistent with details of hazard and risk controls, is appropriate for the area visited, and is being used.
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Restricted work areas are clearly identified.
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Appropriate escorting and sign-in/out processes are in place.
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Emergency evacuation procedure information is readily available.
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Emergency exits, routes and assembly points are clearly identified and unobstructed.
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Emergency equipment is clearly identified, unobstructed, well maintained and (where applicable) with current certification.
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First aid equipment and facilities are adequate, available and maintained. .
Critical Element 10 - Cover Decisions
There are claims lodgement systems in place for workplace injury claims.
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A claims lodgement procedure
Evidence that any delayed cover decisions meet legislative requirements (where applicable).
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Procedures to determine whether an injury is work-related
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Evidence that cover decisions comply with the legislation.
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Evidence that any delayed cover decisions meet legislative requirements (where applicable).
Cover decisions are confirmed in writing and include review rights according to the legislation.
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Evidence that cover decisions are confirmed in writing and include review rights.
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Evidence that all declined cover decisions are confirmed in writing, state the reasons for declinature and include review rights (where applicable).
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Evidence that efforts are made to discuss unfavourable or revoked cover decisions with the employee prior to written notification.
Cover decisions are made by a designated person/s with knowledge of the legislation and more than 12 months’ claims management experience.
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Evidence that a trained and/or experienced, designated person/s determines cover for work-related injuries according to the legislation
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Evidence that a selection of cover decisions on claims are reviewed at least annually for accuracy and compliance against legislative requirements (where applicable).
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Procedures for making cover decisions are reviewed when there is a material change to legislation or personnel.
All employees are informed of the claims lodgement procedure.
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Evidence that information is readily available to all employees (e.g. notifications, publications, posters or similar staff communications).
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Evidence employees are made aware of the claims lodgement procedure annually.
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Evidence employees are made aware of, and have access to, the ACC Code of Claimants’ Rights when the cover decision is made.
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Employees can inform service providers of their employer’s Accredited Employer Programme status (e.g. identification cards, brochures, or introductory letters).
There is a system in place for the transfer of claims that are not the responsibility of the employer (e.g. non-work related claims or those belonging to another employer received in error).
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Transfer procedures meet any guidelines and directives issued by ACC.
Critical Element 11 - Entitlements
There is a system in place to ensure injured employees are aware of their entitlements and how to apply for them.
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Notification procedures.
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Evidence that information on entitlements is easily accessible to all employees (e.g. Intranet, fact sheets, and brochures).
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Evidence that information on entitlements is provided with accepted cover decisions.
There is a system in place to screen new claims to determine priorities for management (e.g. a triage procedure or similar).
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Screening procedures (or similar).
There is a system in place to contact injured employees and undertake an initial needs assessment* that is consistent with the screening procedure. (Not applicable for “medical-fees-only” claims.)
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Evidence that managers/supervisors forward workplace injury reports to the injury management advisor* within three working days of receipt of injury notification*.
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Evidence that managers/supervisors forward workplace injury reports to the injury management advisor* within three working days of receipt of injury notification*.
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Evidence that managers/supervisors forward workplace injury reports to the injury management advisor within two working days of receipt of injury notification.
There is a system in place for accurately assessing eligibility to all entitlements according to the legislation.
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Assessment procedure that considers the range of entitlements available.
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Evidence that all entitlement decisions are confirmed in writing and include review rights according to the legislation.
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Evidence of confirmation to advise injured employees where more than the statutory minimum is being paid (where applicable).
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Evidence that attempts are made to contact the injured employee to discuss unfavourable, cancelled or suspended entitlement decisions before they receive written notification.
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Procedures that explain how to confirm the accuracy of assessed entitlements.
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Evidence that assessed entitlements have been confirmed for accuracy at least annually.
There is a system in place to assess entitlement to weekly compensation and abatement according to the legislation.
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Procedures to calculate and pay weekly compensation and abatement according to the legislation.
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Evidence that weekly compensation and/or abatement decisions are confirmed in writing and include review rights according to the legislation. .
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Evidence that earnings details, medical certificates and calculation sheets are maintained on all files where weekly compensation is paid or considered.
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Evidence that copies of calculation sheets are sent to injured employees.
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Evidence of indexation increases (where applicable).
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Evidence that staff responsible for calculating and paying weekly compensation have participated in training on the assessment and payment of weekly compensation within the previous 24 months.
Critical Element 12 - File Management
There is a system in place to manage the collection and release of information on a claim.
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Procedures explain what information is to be contained on a claim file and how files are to be securely stored.
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Procedures include reference to any applicable Privacy Acts and Health Information Privacy Codes and are included in consent forms.
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Evidence that staff responsible for calculating and paying weekly compensation have participated in training on the assessment and payment of weekly compensation within the previous 24 months.
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Evidence of signed consent forms to enable information to be collected and/or released.
There is a system in place to manage claim information appropriately and securely.
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A secure storage area restricted to designated personnel
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Evidence that individual claim information is kept separately from other employment-related information (e.g. personnel files).
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Evidence that all claim information is amalgamated upon closure of a claim into one master file.
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Files not requiring transfer at the end of the claims management period are not destroyed, are held securely and are accessible to ACC on request.
Claims contain running sheets* summarising the management of the claim (not applicable for medical-fees-only claims).
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Evidence that running sheets are maintained on files (either hard copy or electronic).
There is a system in place to transfer claims to ACC (e.g. claims handback, reactivated claims).
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Procedures explain how to transfer claims and • include the requirement for claims to contain a transfer summary and current rehabilitation plan (where applicable); and • include notification to the injured employee, ACC and any other parties actively involved in the management of the claim; and • include a review of payment accuracy and rehabilitation prior to transfer; and • require sign off by a designated senior person; and • conform with any guidelines and directives issued by ACC.
Private information is managed appropriately.
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Evidence that checks are undertaken on files to ensure only individual claim related information is held. Checks must be undertaken at handback, referral to a specialist, request from the injured employee, at review or when the file is being released externally.
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There are procedures in place for managing and reporting identified privacy breaches to ACC monthly.
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Evidence to show that privacy breaches are managed in accordance with procedures (where applicable).
Critical Element 13 - Administration and Reporting
There is an electronic reporting system that contains all data required by ACC that is reported in a timely and accurate manner
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The programme used to record ACC data: • is backed up to the employer’s information technology standards • is technically supported (e.g. by employer’s IT department or vendor supplying programme) • has documented procedures which conform to ACC’s data specifications.
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Procedures include the requirement for reports to be submitted within 5 working days of month end and cleared by the third week of each month in a format specified by ACC.
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Reporting responsibilities are defined for leave and sickness.
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Evidence of systems in place to check the accuracy of data
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Evidence that the accuracy and timeliness of data reported to ACC is monitored and managed according to procedures.
Electronic systems are secure and access is only available to designated personnel.
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Evidence that electronic systems: • are restricted to designated personnel • have security that meets the requirements of the Privacy Act 1993 (or any applicable Privacy Acts) and Health Information Privacy Codes • have a Digital Certificate for data transmission.
There is a system in place to identify and manage issues of inappropriate claiming or fraud.
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Procedures to identify and manage issues of inappropriate claiming or fraud.
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Fraud identification procedures include: • prompt contact with ACC to seek advice; and • the requirement for any investigation to be managed independently from the injury management process.
There is a system in place to liaise with, and notify ACC regarding: • Fatal claims, serious injury claims or claims of a sensitive, complex or prolonged nature* • Changes in the employer’s injury management operation or injury management personnel.
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Evidence that a liaison and notification procedure exists and that there is a designated “single point of contact” responsible for ACC notification and examples (where applicable).
Critical Element 14 - Complaint and Review Management
There is a system in place to manage complaints.
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Complaints management procedure includes: • how complaints are raised • how the complaint will be managed • process and timeframes to carry out the review of the complaint • process for escalation • consideration of The Code.
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Records of complaints (where applicable).
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Evidence that options for informal resolution* are used in the first instance/as early as possible (where applicable).
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Evidence that work injury disagreements include consideration of all relevant information (e.g. medical, employee and employer information).
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Evidence that management of the complaint process is completed in line with the procedure (where applicable).
There is a system in place to manage formal reviews.
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Procedure to manage formal reviews includes: • consideration of The Code • compliance with legislation and The Agreement • how reviews are raised/requested • how reviews are managed • process and timeframes for processing reviews.
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Records of formal reviews (where applicable).
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Evidence the review procedure is completed in line with the documented procedure (where applicable).
Employees are aware of the complaints management procedure, The Code and their rights of review and appeal.
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Evidence of information provided to employees (e.g. notifications, publications, posters or similar).
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Evidence that employees have been advised of their rights and obligations in relation to the employer and ACC.
There is a designated senior person/s responsible for complaints management.
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A designated “complaints manager”* (not the initial decision-maker, case manager or source of the complaint) and their contact details are readily available to all employees (e.g. notifications, publications, posters or similar).
There is a system in place to evaluate the outcomes of complaints and reviews to identify any opportunities for improvement every 12 months.
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Evaluation procedure that includes consideration of all relevant information.
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Evidence of evaluations occurring annually or when a decision is overturned (where applicable).
Critical Element 15 - Development of rehabilitation policies, procedures and responsibilities
There is a commitment to timely rehabilitation.
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There is a documented commitment to timely rehabilitation that: • is current, dated and signed by a senior manager • is widely accessible in the workplace • is included in staff induction • includes the objectives and responsibilities for rehabilitation • was developed in consultation with nominated employee representatives and union (if applicable).
There is an implemented system in place to provide rehabilitation and safe and early return to work (or support to remain at work) following injury.
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Rehabilitation procedures include: • responsibilities of the employee, union (if applicable), health and safety representatives and management • early return to work expectations • opportunities for return to work duties* • responsibilities for monitoring and follow-up • recognises the employee’s right to support, advice and representation from the employee’s union (if applicable), a health and safety representative or other nominated employee’s representative (e.g. colleague, friend, family).
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Rehabilitation resourcing responsibilities are designated at senior management level.
There is a system in place to provide rehabilitation opportunities for employees with non-work injuries.
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A statement of commitment supporting rehabilitation opportunities for employees with non-work injuries.
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Procedures outline the roles and responsibilities for supporting employees with non-work injuries (e.g. management, employees and union and other nominated employee representatives, rehabilitation facilitator).
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Procedures outline the roles and responsibilities for supporting employees with non-work injuries (e.g. management, employees and union and other nominated employee representatives, rehabilitation facilitator).
Workplace rehabilitation is managed by a designated and trained or experienced person(s).
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The designated ACC AEP case manager has at least: • 24 months workplace rehabilitation experience; or • a tertiary qualification in rehabilitation (or equivalent) and 12 months’ workplace rehabilitation experience; or • is working under the direct, close supervision of someone who meets the above requirements (e.g. within a subcontracting relationship with a TPA).
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Evidence of employer supporting the rehabilitation of employees with non-work injuries (where applicable).
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Evidence of employer supporting the rehabilitation of employees with non-work injuries (where applicable).
Designated personnel, line managers, union (if applicable) and health and safety representatives are involved in rehabilitation, and have an understanding of supporting safe and early return to work (or support to remain at work) following injury.
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Designated management responsibilities for rehabilitation are assigned at each work site.
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Evidence of training for those with designated rehabilitation responsibilities (or similar awareness programme).
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Evidence of training or refresher sessions (or similar awareness programme) within the previous 24 months.
Critical Element 16 - Assessment, planning and implementation of rehabilitation
Individual action plans are developed following the initial needs assessment to provide the initial rehabilitation direction.
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Evidence that action plans* specific to the injured person are developed within 14 days of injury notification and are reviewed and updated every 14 days until the cover decision is made.
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Evidence that action plans specific to the injured person are developed within seven days of injury notification and are reviewed and updated every 14 days until the cover decision is made.
Where the need for rehabilitation is identified, individual rehabilitation plans are developed in consultation with relevant parties and are based on legislative requirements.
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Evidence that individual rehabilitation plans* include: • goals • actions to be taken • responsibility for actions • timeframes (based on expected recovery timeframes) • agreed outcomes resulting from discussions with employees.
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Evidence that individual rehabilitation plans, specific to the injured person are: • developed in direct consultation* with the injured person within a maximum of 21 days of the cover decision • developed in direct consultation with key stakeholders (e.g. line manager and union and health and safety representatives) (where applicable) • consider any relevant workplace* health and safety issues (e.g. the safety of other workers).
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Evidence that rehabilitation plans specific to the injured person are developed in direct consultation within a maximum of 14 days of the cover decision.
Rehabilitation plans are monitored, reviewed and updated at agreed timeframes for the duration of rehabilitation, to accurately reflect current rehabilitation interventions.
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Evidence that the responsibility for monitoring and timeframes for reviews are specified in the rehabilitation plan.
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Evidence of the employer monitoring rehabilitation progress monthly on active claims.
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Evidence of weekly monitoring by direct consultation with employees rehabilitating in the workplace.
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Evidence that individual rehabilitation plans are updated to reflect the status of rehabilitation, i.e. milestone completion or new rehabilitation requirements.
Return to work is assessed for potential hazards to prevent injury aggravation.
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Examples that the work environment where the employee will work has been considered in terms of hazards or risks that may affect them.
Critical Element 17 - Rehabilitation outcomes, return to work and follow-up procedures
Individual action plans are developed following the initial needs assessment to provide the initial rehabilitation direction.
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Documented objectives/goals and a plan to achieve these.
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Evidence of annual review and update of objectives/goals to ensure they remain relevant, in consultation with key parties.
Where the need for rehabilitation is identified, individual rehabilitation plans are developed in consultation with relevant parties and are based on legislative requirements.
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Procedures for the review of rehabilitation plans that continue beyond the initial outcome date or for non-progressive rehabilitation.
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Evidence of review of on-going rehabilitation cases (e.g. intervention options, medical case review, pain management) that includes: • how the outcome date was calculated • barriers to successful outcome • consideration of rehabilitation options.
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Evidence of initiation of relevant vocational and medical assessments (where applicable).
Rehabilitation plans are monitored, reviewed and updated at agreed timeframes for the duration of rehabilitation, to accurately reflect current rehabilitation interventions.
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Procedures give guidance on the range of vocational rehabilitation options, as expressed in the legislation, when a return to work in the pre-injury job is not an option.
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Evidence of consideration of rehabilitation options.
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Evidence of initiation of relevant initial occupational assessment (IOA) and initial medical assessments (IMA) (where applicable).
Return to work is assessed for potential hazards to prevent injury aggravation.
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Evidence that medical providers are given sufficient information about the workplace to support their assessments.
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Evidence of collated information sent to the medical providers to support their assessments.
Critical Element 18 - File reviews and case studies, confirmation of injury management procedures in action
Cover decisions.
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ACC45s.
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Timely cover decisions that comply with legislation
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Cover decisions include review rights.
Entitlements.
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Managers/supervisors forward workplace injury reports to the injury management advisor within three working days of receipt of injury notification.
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Needs assessments are carried out by the injury management advisor within two working days of receipt of the work injury report.
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Managers/supervisors forward workplace injury reports to the injury management advisor within two working days of receipt of injury notification.
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Evidence of referrals based on needs assessments.
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Entitlement decisions are confirmed in writing and include review rights.
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Signed consent forms (ACC45 sufficient for medical-fees-only claims).
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Medical certificates cover all periods of incapacity. Where gaps are identified on claims with continuous incapacity, evidence of approval of entitlements is provided.
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Calculation and abatement sheets are maintained on all files where a request for weekly compensation is received and a copy is sent to the injured employee.
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Written confirmation to advise injured employees in all situations where more than the statutory entitlement is paid (where applicable).
File management.
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Claim files only contain injury-related information.
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Running sheets are held on all files that are more than medical-fees-only costs.
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Files contain all claim activity, weekly compensation calculations and any other information relevant to the management of the claim.
Assessment, planning and implementation of rehabilitation.
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Action plans are developed within 14 days of injury notification and that are reviewed and updated every 14 days until the cover decision is made.
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Rehabilitation plans are developed in direct consultation within a maximum of 21 days of the cover decision.
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Rehabilitation plans are developed in direct consultation within a maximum of 14 days of the cover decision.
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The responsibility for monitoring and timeframes for review are specified in the rehabilitation plan.
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Evidence of monthly monitoring and review of rehabilitation progress.
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Evidence of employer involvement in monthly direct consultation monitoring and review of progress for employees unable to return to work.
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Evidence of weekly direct consultation monitoring and review of progress for employees rehabilitating in the workplace.
Rehabilitation outcomes, return to work and follow-up procedures.
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Evidence of review of on-going rehabilitation cases.
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Evidence of monthly reviews of on-going rehabilitation cases.
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Evidence of actions taken following review, including scheduled case meetings, consultative review or entitlement updates.
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Evidence that individual rehabilitation plans are updated to reflect the status of rehabilitation, i.e. milestone completion or new rehabilitation requirements.
Critical Element 19 - Case Study Interviews
The injury was reported and recorded in the accident or injury register (or similar).
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Interview with employee and manager or supervisors.
The injury was investigated by designated staff and included input from the injured employee and the manager or supervisor.
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Interview employee and manager to confirm involvement.
Hazard management, injury prevention and training issues arising from the injury investigation were reported, action was taken and issues communicated to staff (where applicable).
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Interview with employee, manager or supervisor and health and safety manager (or similar).
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Evidence of feedback from the injury investigation into hazard management (where applicable).
The employee was aware of the claims lodgement process or where to find information about the process.
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Interview with employee.
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Employee identification card (or similar).
The employee was informed of the cover decision (including review rights) and entitlements (where applicable) were paid in a timely manner.
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Interview with employee, manager and injury management advisor (case manager, case coordinator).
Contact between the injured employee and the workplace was maintained throughout the period of incapacity and continued for the time while on alternative duties.
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Interview with employee, manager and injury management advisor (case manager, case coordinator
Employee responsibilities to participate in the rehabilitation process were understood.
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Interviews with employee, manager and injury management advisor (case manager, case coordinator).
The employee was aware of the complaints management process and how to formally question a decision.
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Interview with employee to confirm understanding.
Rehabilitation needs were assessed according to the needs of the injured employee.
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Interview with employee, injury management advisor
The employee was given the opportunity to include a support person throughout the rehabilitation process.
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Interviews with employee, manager, injury management advisor and employee representative (as appropriate).
Consultative rehabilitation meeting(s) took place for the duration of incapacity.
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Interviews with employee, manager and injury management advisor (case manager, case coordinator).
Selected work within the medical restrictions was discussed, agreed on and documented in a signed rehabilitation plan.
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Interviews with employee, manager and injury management advisor (case manager, case coordinator).
Monitoring and review of the rehabilitation plan was agreed on and responsibilities were assigned.
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Interviews with employee, manager and injury management advisor (case manager, case coordinator).
Evidence of completed case study interview employee declarations (or n/a if no case studies are requested).
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Completed case study interview declarations where case studies are requested.
Confirmation that, where the standard requires it, the rehabilitation plan was negotiated via direct consultation.
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Interviews with employee, manager and injury management advisor (case manager, case coordinator).
Critical Element 20 - Focus group interviews; confirmation of safe systems and injury management in action
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What constitutes a hazard or risk in the workplace
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The process for hazard and risk identification.
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The process to assess hazards or risks
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The hierarchy of controls to manage these hazards and risks.
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Event reporting and recording requirements.
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Event investigations and designated responsibilities.
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Responsibilities for corrective actions.
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Involvement and participation of workers in health and safety matters and how union and other nominated employee representatives participate.
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Involvement and participation of other workers (e.g. contractors) in health and safety matters (where applicable).
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Emergency procedures.
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Roles and responsibilities in the AEP.
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How to lodge a claim and access rehabilitation support.
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The collection and storage of work and non-work claim information in relation to the Privacy Act 1993 and the Health Information Privacy Code 1994.
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The complaints and review processes.
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Awareness of entitlements being medical, social and vocational.
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Understanding of the key roles and responsibilities in rehabilitation (e.g. the roles of the case manager, injured employee, team manager and union* and other nominated employee representatives).
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Understanding of rehabilitation and support from management.
