Comparison of Workers’ Compensation Arrangements in Australia and New Zealand (2012)

Table 6.4: Work health and safety requirements and auditing

	Work Health and Safety Requirements	Auditing
New South Wales	Workcover will measure the applicant’s performance against the National Self-Insurers OHS Audit Tool. The applicant must satisfy all requirements, in 3 out of 5 categories during the initial OHS audit and achieve 75% conformance for each of the categories audited.	WorkCover will conduct a WHS Management System audit at time of self-insurance application against the National Self-Insurers OHS Audit Tool. Routine WorkCover audits every 3 years thereafter or more frequently if required. Annual self-audit requirements.
Victoria	Safety Management Systems are audited against the National Self-Insurer OHS Audit Tool for all new applicants and current self-insurers. Compliance with Occupational Health and Safety Act 2004 – Inspectorate field interventions including enforcement activity, prosecutions and incident notifications. Claims frequency rates and claims costs.	Annual self-audit requirements for the duration of the licence period – Claims Management & Occupational Rehabilitation & Occupational Health and Safety Management Systems. Regulatory audit at time of application for approval and renewal of approval against the National Self-Insurer OHS Audit Tool.
Queensland	• (ss 71(2) and 72(2)) The Authority must ask the chief executive of the department within which the Workplace Health and Safety Act 1995 is administered to prepare a report about the employer’s work health and safety performance. • (ss 71(1)(g)(ii) and 72(1)(h)(ii) All workplaces of the employer must be adequately serviced by a rehabilitation and RTW coordinator who is in Queensland and employed by the employer under a contract (regardless of whether the contract is a contract of service) and have workplace rehabilitation policies and procedures.	Insurance performance management plan.
Western Australia	Work health and safety requirements are handled by WorkSafe WA. Occupational Safety and Health Act 1984 WORKSAFE WA PUBLICATIONS	Not applicable.
South Australia	Compliance with the Self Insurer Standards which can be found at Annexure A to the Code of conduct for self-insurers under the work cover scheme (19 May 2011). See s68(4) of the Workers Rehabilitation and Compensation Act 1986.	Evaluation (WHS and injury management/rehabilitation) against the standards will be carried out in preparation for each registration renewal, and at other times should something come to WorkCover’s attention that indicates a need for a further evaluation. See 2.5.2 ‘Performance standards’ within the Code of conduct for self insured employers under the WorkCover Scheme, (May, 2011). WorkCover also monitors self-insured employers throughout non-renewal years. Multi-national self-insurers can elect to be evaluated against the National Audit Tool for OHS but they must be evaluated against the standards for injury management/rehabilitation. See 3.5 ‘Assessment criteria’ within the Code of conduct for self insured employers under the WorkCover Scheme, (May 2011).
Tasmania	Must have an established work health and safety management system. Upon application to self insure, a National Audit Tool (NAT) audit report is provided by a certified auditor or evidence of JAS-ANZ certification against AS/NZ 4801:200 and the National Audit Tool. Must undertake annual self audits using NAT and forward results to the WorkCover Tasmania Board. (Where certification under a JAS-ANZ certification program has been achieved, the annual self audit will not normally be required). Meeting self-insurer permit conditions (Guideline S1-060) Undertaking annual self assessments (Guideline S1-170)	Work health and safety management system to be self-audited annually, with the use of the National Audit Tool as the audit tool. Undertaking annual self assessments (Guideline SI-170) Annual self-audits on injury and claims management systems using injuryMAP as the audit tool. Self assessment of Injury Management Programs (Guideline SI-210) WorkCover surveillance audits are conducted annually as well. WorkCover surveillance audits (Guideline SI-180)
Northern Territory	Evidence that the company’s NT operation has in place a WHS management system and evidence that the company’s WHS policy has been brought to the attention of the company’s NT workers.	National Audit Tool is preferred.
Australian Capital Territory	Compliant with employer’s duties under Work Safety Act 2008. (Work Health and Safety Act 2011) Copy of work health and safety policy and evidence that is has been brought to the attention of the employer’s workers. Has in place a work health and safety management system that complies with Australian Standard 4801.	The self-insurer must agree to participate in, and pay the costs of, an audit to establish that the self-insurer has adequate resources to meet its current and expected liabilities under the Act. A. The employer must agree to participate in, and pay the costs of, an audit to establish that the employer has complied with its obligations under the Regulatory Framework.
C’wealth Comcare	Previous 12 months performance in conforming and complying with WHS, rehabilitation and workers’ compensation. The following will be examined: • Performance record under the OHS Act and all the requirements of any applicable laws of a State or Territory with respect to health and safety of employees, in relation to recorded injury rates, provision of notification and reports, investigations/inspections, audits and any breaches in prosecution. • (s41 of Act) Obligations as a rehabilitation authority, especially in relation to any rehabilitation guidelines issued by Comcare. • Claims management obligations, including payment of premium, record of early lodgement of claims to claims manager, provision of relevant employment information and quick and accurate payment of employee benefits, in accordance with workers’ compensation legislation. Self-insurers are audited against the National Self-Insurer OHS Audit Tool.	• Pre and post licence evaluations occur in the period approaching and immediately after the grant of licence. External audits in WHS, rehabilitation and claims management are performed in the first year a licence is granted and in the last year of each licence period. External audits of licensees in other years are based on a ’tier’ model framework. Licensees are required to audit themselves every year and, unless granted self audit status, present the results to Comcare for desktop auditing. • Where using a contracted claims management service provider the licensee is required to audit that provider each year and provide Comcare with a written report on the claims manager’s performance. • Must co-operate with, and give assistance to, the Commission or its representatives in respect of any audits and evaluations conducted by the Commission or its representatives. • Data quality audits are conducted by Comcare to assess the accuracy of data submitted to the Commission Data Warehouse. Each licensee is required to be audited by Comcare at least once every two years or annually if circumstances require it.
New Zealand	An audit of an employer’s health and safety systems and practices is carried out as part of the entry requirements. A comprehensive entry audit is undertaken in order to satisfy ACC that an employer has the capacity and capability to manage and administer claims at least to the same standard as ACC. Every Accredited Employer must agree to provide to each employee, without charge, a written statement, in plain English, that specifies the procedures and requirements under its contract in relation to the lodging of claims, provision of treatment, handling of claims, assessment of incapacity, assessment of capacity for work, and dispute resolution.	Monitoring and audit programme includes: • A review of the reporting of claims details and expenditure, to be utilised to provide regular comparative benchmarking reports for the Manager and the individual Accredited Employer. • Onsite audits at least annually of claims management performance. • Regular meetings between the account manager and the Accredited Employer (the frequency of which will depend on the experience of the individual Accredited Employer). • In the discretion of the Manager and in conjunction with the annual audit programme, a claimant satisfaction survey to determine overall claimant satisfaction with the Accredited Employers Programme. • Active liaison with Accredited Employer’s workplace employee representatives (if any). • Monitoring of the ongoing solvency of the Accredited Employer and its expected ability to meet its obligations under the Accreditation Agreement. • Annual health and safety audit using approved audit tool.