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Safety Group Advantage Program Validation Audit Process. Tom Welton Workplace Safety North. Stages of SGAP Audits. Stage 1 - Desk Audit Document and Record Review All SGAP Firms Stage 2 - Site Audit Verification of SGAP Employer Requirements - PowerPoint PPT Presentation
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Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail1
Safety Group Advantage ProgramValidation 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 travail2
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 travail3
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) Written Standard – 20%2) Auditor Training – 20%3) Completed Audit - 20%4) WR Policy Review – 20%5) 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 travail4
Desk Audit1) Written Standard for HSMS Audit Program:
i. 2012 date on standard (originating/review/revise)ii. Reference to audit schedule timeline (at least annually) and
proceduresiii. Reference to Auditor training qualificationsiv. Assignment of roles and responsibilitiesv. Reference to continual improvement plan process
2) Auditor Training:i. Record of Auditor(s) trainingii. Date of training does not need to be 2012iii. Cross-reference with HSMS Audit Review Form document :
do names matchiv. 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 travail5
Desk Audit3) HSMS Audit:
i. An approved HSMS Audit is complete in its entiretyii. Supporting evidence (min. 2 sources) for each requirementiii. Findings/Conclusions of conformance for each requirementiv. Auditor(s) sign-off with date (cross reference to training
record)v. Documented evidence of Senior Management Review of
completed audit
4) Return to Work:vi. 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 travail6
Desk Audit5) Continual Improvement Plan:
i. Written Continual Improvement Planii. Action Items addressing ALL non-conformities – including
RTW non-conformitiesiii. At least one action item scheduled to be initiated in 2012iv. Responsibilities assigned and timelines establishedv. 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 travail7
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 travail8
Site Audit1) Written Standard for
HSMS Audit Program:i. Verified during Desk Auditii. May ask to see Standard
within context of H&S Manual
2) Auditor Training:i. Verified during Desk Auditii. May ask to interview
Auditor(s)
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail9
Site Audit
3) HSMS Audit:i. Desk Audit verified the firm completed an
approved HSMS Review Auditii. We do not redo the HSMS Review Audit during
our Site Auditiii. 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 travail10
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 travail11
Site Audit
4) Return to Work:i. Verify documented review of Company RTW
Standards against the 6 WSIB Work Reintegration policies
ii. 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 travail12
Site Audit5) Continual Improvement
Plan:Subsequent to the Desk Audit – i. Verify status of action item(s)
initiated in 2012ii. Verify on-going status of
remaining action itemsiii. 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 travail13
Site Audit
Audit Closing:1. Review validation audit findings with firm
• may include opportunities for improvement2. Verify validation audit score with firm3. Answer any questions from the firm4. Firm acknowledges review and discussion of audit
notes by signature5. Copy of validation audit notes provided to firm6. Advise firm a formal audit letter will be sent within 4
weeks7. Audit concluded.
Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail14
Questions & Discussion