Safety Group Verification Audits

Report
Safety Groups Validation Audits
for firms in Years 1-5
Tom Welton
Workplace Safety North
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
1
Agenda
■ Background
■ Pre-Audit Process
■ On Site : Discussion Before Start of Audit
■ Audit Process
– SG Program Requirement and Validation Audit
Evidence for the five steps
■ Maintenance Program Requirement and
Validation Evidence
■ Workplace Interviews and Tour
■ Scoring
■ Forms
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
2
Background
■ Sponsor coaches firms and ensures firms meet
SG program requirements
■ Audit process focuses on 2012 Year End
Achievement report and the elements reported as
complete as this represents 75% of the score
■ Maintenance Reports are then reviewed and
account for max. 25% of validation score
■ Firms are expected to implement standards based
on minimum requirements in SG Employer
Guidelines , communicate , train, evaluate and
acknowledge success and make improvements for
each standard/element
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
3
Pre-Audit Process
■ Sponsor notified by email from SG Consultant
■ SG Consultant contacts firm by phone or email.
(Will make contact with person noted on the Year
End Achievement Report)
■ Advise firm that the audit may take up to half a day
and includes :
– Review of documentation
– Interviews
– Plant/site tour
■ SG Consultant will bring a copy of the firm’s 2012
Year End & Maintenance Reports, the Employer
Guidelines and audit template to each audit
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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On Site Audit: SG Consultant to review
with firm at start of audit.
■ Review audit template that is used by all SG consultants.
■ Explain scoring, noting each element requires the verification
of documentation for each of the 5 steps for each element; no
part marks for incomplete element.
■ Score is provided after documentation review, interviews and
site tour.
■ 60 % is a pass = eligible for group share of rebate
■ In case of failure, firm is advised that sponsor will be contacted
ASAP by SG Consultant to provide details.
■ Copy of audit template completed with our notes/comments,
to be signed, scored, copied and provided to firm prior to
leaving premises.
■ Letter summarizing audit score and results to be emailed to
firm and sponsor copied.
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
5
The Five Steps
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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The Audit Process :
Step 1 Set Standards
■ SG Program Requirement : Page 11 of SG Guidelines
– Written Statements outlining expectations, policies, procedures
and workplace rules for health and safety. Each program
element must have a standard that tells everyone in the
workplace what to do, how to do it and when.
■ Validation Audit Evidence :
– Compare their standard against program element requirements
as noted in Employer Guidelines
– Check that standard is dated/revised/reviewed in 2012
– Review any specific company expectations set out in their
standard; firms must meet the legislated requirements and their
own company expectations
– Verify implementation of their standard i.e. regular workplace
inspections meeting the legislative minimum requirements &
documentation of the workplace inspections
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
7
The Audit Process:
Step 2 Communication
■ SG Program Requirement: Page 13 of SG Guidelines
– Ensuring that ALL appropriate people have a clear
understanding of what is expected of them as employees
and what they can expect from others regarding health
and safety
– ALL communication must be completed by December 31st
2012
■ Validation Audit Evidence Documentation of:
– Ensure communication was conducted in 2012 either by ;
•
•
•
•
•
Meeting minutes
Memos
Safety talk agenda and minutes
Bulletin board, postings (i.e. H&S Policy)
Paystuffer, newsletter
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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The Audit Process:
Step 3 Training
■ SG Program Requirement : Pages 14-15 of SG Guidelines
■ Management, supervisors and workers ALL attain the knowledge and
skills appropriate for the jobs. For each element, it must be determined
who needs what skills and knowledge and how will the training be
delivered.
■ ALL training must be completed and/or verified by December 31st 2012
■ Validation Audit Evidence Documentation of:
■ Review training records including sign off sheets and/or certificates
required for each element to ensure ALL appropriate staff have
completed the training in 2012
■ Examples of training delivery
– Orientation training
– Classroom Training sessions
– Demonstrations by supervisors
– Observing another co-worker (mentoring or buddy system)
– Safety talks
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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The Audit Process:
Step 4 Evaluation
■ SG Program Requirements: Page 16-17 of SG Guidelines
■ Evaluation makes sure the firm is carrying out the standard, the
element is properly communicated and effective training has taken
place.
■ Checks for up to date standards and if the workplace is following the
standard.
■ An evaluation plan may be completed by March 30, 2013.
■ Validation Audit Evidence Documentation of :








Analysis of observations/inspections/plant or job-site audits
Survey of employees/supervisors – interviews or questionnaire summarizing results
Quizzes of employees / supervisors – summarizing results and action planning
Statistical review & analysis - i.e. WSIB information
Review and analysis by JHSC (minutes)
Management review and analysis
Third party assessment and analysis
Completion of evaluation plan by March 30, 2013
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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The Audit Process
Step 5 Make Improvements and
Acknowledge Success
SG Program Requirement: Page 18 SG Guidelines
■ Based on results of evaluation, firm to look for opportunities for
improvement and create a documented plan or recommendations to
implement changes
■ Recognize everyone who contributed to successful incident prevention
activities by meeting and surpassing company standards
Validation Audit Evidence Documentation of:
–
–
–
–
–
–
–
–
Review action plan addressing the gaps identified in their evaluation
Review documentation of either:
performance evaluations
letter/memo from president,
health & safety awards,
public recognition for JHSC and/or employees, staff meeting, banquet etc,
newsletter article,
bulletin board display
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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The Audit Process:
Maintenance of Elements
■
■
■
■
SG Program Requirements: Pages 54-55 of SG Guidelines
Purpose is to continually improve the H&S management system
Firms need to reassess/audit the Five Steps of previous elements
Reviewing the elements or standards and asking for feedback from
employees involves them in the health and safety program and their
commitment to participate.
■ Validation Audit Evidence Documentation of:
Firm is required to provide documents that demonstrate how the
organization has :
■
annually reviewed previous elements &
■
evaluated previous elements, when, by whom and action taken
ie. Identifying re-communication and/or training needs
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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Workplace Interviews and Tour
■ Purpose is to verify employee’s and/or supervisor’s
understanding of elements audited
■ Random selection of persons to interview for brief one
on one discussion (without management present)
■ No documentation of persons interview. Reference to
department or area only
■ Sample Questions per element/standards available as a
resource
■ Verify evidence noted from document review ie:H&S
board postings, JHSC meeting minutes, workplace
inspections, pre-start inspections for forklifts, first aid log
book and/or first aid certificates posted.
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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Audit Validation Scoring
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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Audit Validation Scoring (cont.)
Maintenance Elements
■ 1st year in SG Program
– No maintenance
■ 2nd year in SG
– each element worth 5 %
■ 3rd year
– each element worth 2.5%
■ 4th year
– each element worth 1.67%
■ 5th year
– each element worth 1.25%
Maximum Maintenance Score is 25%
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
15
Year End Achievement Report 2012
Pg 65
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
16
Year End Maintenance Report 2011 - 2003
pg 67
Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail
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