Site Audit - Safety Groups

Report
Safety Group Advantage Program
Validation Audit Process
Tom Welton
Workplace Safety North
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
1
Stages of SGAP Audits
1. Stage 1 - Desk Audit
•
•
Document and Record Review
All SGAP Firms
2. Stage 2 - Site Audit
•
Verification of SGAP Employer Requirements
•
Up to 10% of SGAP participants per Safety Group
•
Audit Closing
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
2
Stage 1 - Desk Audit
■ Every SGAP firm
■ Firms required to submit supporting documentation
for each of the 5 SGAP Employer Requirements
■ Supporting documentation audited against the 5
SGAP Employer Requirements:
1)
2)
3)
4)
5)
Written Standard – 20%
Auditor Training – 20%
Completed Audit - 20%
WR Policy Review – 20%
Continual Improvement Plan – 20%
■ Provides self reported year-end score
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
3
Desk Audit
1) Written Standard for HSMS Audit Program:
i.
ii.
iii.
iv.
v.
2012 date on standard (originating/review/revise)
Reference to audit schedule timeline (at least annually) and
procedures
Reference to Auditor training qualifications
Assignment of roles and responsibilities
Reference to continual improvement plan process
2) Auditor Training:
i.
ii.
iii.
iv.
Record of Auditor(s) training
Date of training does not need to be 2012
Cross-reference with HSMS Audit Review Form document :
do names match
3rd Party Auditor? – training verification is applicable
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
4
Desk Audit
3) HSMS Audit:
i.
ii.
iii.
iv.
v.
An approved HSMS Audit is complete in its entirety
Supporting evidence (min. 2 sources) for each requirement
Findings/Conclusions of conformance for each requirement
Auditor(s) sign-off with date (cross reference to training
record)
Documented evidence of Senior Management Review of
completed audit
4) Return to Work:
i.
As part of the HSMS Audit a documented review of RTW
Standards against WSIB WR Policies
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
5
Desk Audit
5) Continual Improvement Plan:
i.
ii.
iii.
iv.
v.
Written Continual Improvement Plan
Action Items addressing ALL non-conformities – including
RTW non-conformities
At least one action item scheduled to be initiated in 2012
Responsibilities assigned and timelines established
Documented evidence of Senior Management Review of
the developed Continual Improvement Plan
______________________________________________________________________________
Each requirement worth 20 points: 5 X 20 = 100
______________________________________________________________________________
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
6
Site Audit
•
•
•
•
•
•
Up to 10% of SGAP firms per Safety Group
Same notification process as with SG firms
Date/time of site audit pre-arranged with firm
Sponsors welcome to attend as observer
Conducted by WSIB
Completion of the 5 SGAP Employer Requirements
are verified based on a sampling of documents/records/observations/interviews
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
7
Site Audit
1) Written Standard for
HSMS Audit Program:
i.
ii.
Verified during Desk Audit
May ask to see Standard
within context of H&S
Manual
2) Auditor Training:
i.
ii.
Verified during Desk Audit
May ask to interview
Auditor(s)
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
8
Site Audit
3) HSMS Audit:
i.
Desk Audit verified the firm completed an
approved HSMS Review Audit
ii. We do not redo the HSMS Review Audit during
our Site Audit
iii. By sampling sections of the selected HSMS
Review Audit we verify:
• the listed evidence is available for review
and/or confirmation
• the audit finding can be supported by the
listed evidence
• may ask to see additional evidence
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
9
Site Audit
3) HSMS Audit:
iii. Sign-off of Auditor(s) with
date
• may ask to speak with
Auditor(s)
iv. Documented evidence of
Senior Management
Review of completed audit
• may ask to speak with
Senior Manager
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
10
Site Audit
4) Return to Work:
i.
ii.
Verify documented review of Company RTW
Standards against the 6 WSIB Work
Reintegration policies
Part of the HSMS Audit, therefore, same
Validation Audit process applied
•
•
•
the listed evidence is available for review
and/or confirmation, and
the audit finding can be supported by the listed
evidence
may ask to see additional evidence
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
11
Site Audit
5) Continual Improvement Plan:
Subsequent to the Desk Audit –
i. Verify status of action item(s)
initiated in 2012
ii. Verify on-going status of
remaining action items
iii. May ask to interview
individuals with assigned
responsibilities
iv. Verify if timelines are being
followed
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
12
Site Audit
Audit Closing:
1. Review validation audit findings with firm
• may include opportunities for improvement
2. Verify validation audit score with firm
3. Answer any questions from the firm
4. Firm acknowledges review and discussion of audit
notes by signature
5. Copy of validation audit notes provided to firm
6. Advise firm a formal audit letter will be sent within 4
weeks
7. Audit concluded.
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
13
Questions & Discussion
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail
14

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