Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de lassurance...

Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail

Samuel Steel Safety Group 2013(8th Year as a Sponsor)

Samuel Son & Co. LtdJoe Galasso, Ioana Puscariu,

Linda Doan, Frank Divincenzo, Jason Fitzpatrick

WSIBShelley Wall

Safety Group Program Consultant


Meeting 1 Agenda1. Welcome / Welcome Back to Safety Group

2. 2012 SSSG Report Card

3. The 5-Step Management System Model

4. Overview of SG Program Year

5. Getting Started: – Employer Guidelines– Action Plan– Element List & Requirements– The 5-Steps– Year-end Reporting

6. 5+ Advantage Program 7. Audit Process8. Rebate Formula9. Next Steps10. MoL Update

2013Safety GroupsProgram

Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de l’assurance contre les accidents du travail3

2013 Samuel Steel Safety Group

■ SSSG Firm Make UP for 2013– A total of 18 firms represented– With a total of 25 facilities– 10 firms are in the first 5 years of the program– 8 firms are in the 5 plus advantage program– 1 firm (Tsubaki) is on 1st year of 5 plus– 1 firm (Metal Koting) is brand new and on Year 1


http://www.fisherludlow.com/index.html

http://www.hooperwelding.com/about_us/default.html

http://www.nelsonsteel.com/index.html

http://www.sandc.com/default.asp

http://www.tsubaki.ca/

http://www.atlashyd.com/index.html

http://www.cargill.com/


Who is Welcome to Join Safety Groups?

A firm must:

Have Owner/Senior Management commit to participate in the Program

Be a Schedule 1 firm paying WSIB premiums

Be in good standing with the WSIB without charges or convictions under the WSIA

Committed to participate for at least one full year

Be in only one safety group at a time

Not be a current participant of SCIP or Accreditation


Participant Requirements

Complete Action Plan

Implement/Improve elements of your health & safety program

Report Progress & Achievement to Sponsor

Attend minimum 3 Safety Group meetings

Provide and accept health & safety mentoring, networking and sharing of best practices

Participate in validation audit if selected


Safety Groups Program Objectives

■ Prevention initiative to help eliminate workplace injuries, illnesses and fatalities

■ Collective approach to health & safety■ Success achieved through pooling of

resources, mentoring and sharing of best practices

■ Utilize the 5-step Health & Safety Management System

■ Incentive to develop sustainable health & safety programs

■ Rewards are demonstrated through achievements in health & safety

■ Potential WSIB premium rebate with no surcharge


ACTION PLAN

PROGRESS#1 PROGRESS

#2

YEAR END REPORTS:• YR END ACHIEVEMENT

Jan Feb Mar Apr May Jun July Aug Sep Oct Nov Dec

2013

2011 Program Year

Meeting #3Orientation Meeting #1 Meeting #2 Meeting #4

2013 Program Year

Implement 2013 Action Plan:Complete the “5-Step Management System” for 5 elements

2013Safety GroupApplication



2013

2012Rebate

Completion of 2012 Program Year(in 2013)

WSIB Validation Audit Process to verify Year-ends reports

Firms selected for Validation

Audit are notified

10% of Group

1 firm from 1-5 group & 1 firm from 5 plus group


What Are The Five Steps to Managing Health & Safety?

■ Step 1 – You must start with a written standard

■ Step 2 – You must communicate to all employees what you are doing and why

■ Step 3 – You are required to train employees on the developed standard

■ Step 4 – You must evaluate your process / program

■ Step 5 – You must acknowledge success & make improvements


5 1

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3

Written Standard

Communication

Training

Evaluate

Acknowledge Success &

Make Improvements

5-Steps to Managing Health & Safety


Step 1 - Set Standards

■ Written statements outlining H&S expectations and policies

■ See Employer Guidelines – policy statements - management’s expectations

and policies about health & safety– procedures - step by step instructions for

particular tasks or processes – safe work procedures - written directions that

include health & safety in the work processes■ Include the points in the “Element Requirement

Chart” ■ Meet minimum legal requirements■ Current date and signed

Health &

Safety

Standards should answer the 5 W’s and How


Example: Element Requirement Chart


Step 2 - Communicate

■ General awareness of H&S elements■ Ensure that everyone knows and understands what

is expected of them and what they can expect of others

■ Many different ways to communicate:– staff meetings– safety talks– print or electronic notices – memos, newsletters, e-

mails– Posters/notices– Payroll stuffer

Maintain records of how you communicated each element


Step 3 - Train

■ Managers, supervisors and workers attain the knowledge and skill to work safely

■ Appropriate to their job duties and workplace

■ Various training methods:– During orientation training– Planned training sessions for specific staff– Demonstrations by supervisors– Observing another co-worker (mentoring or

buddy system)

Health & Safety

Training records/certificates required for each element


Step 4 - Evaluate■ Are your Safety Group standards working ? How do you know?■ Compare actual workplace activities to your written health &

safety standards and expectations■ Is the standard working and achieving the desired result?■ Keep track and document your evaluation process & analysis

■ There are many different ways to evaluate:– Analysis of observations/inspections/plant or job-site audits– Survey of employees – interviews or questionnaire– Statistical review & analysis - i.e. WSIB information– Review and analysis by JHSC– Management review and analysis– Third party assessment and analysis

* Negative results is still evaluation !


Step 5 - Acknowledge Success and Make Improvements

Based on results of your Evaluation:■ recognize everyone who contributed

to successful accident prevention activities by meeting and surpassing company standards– performance evaluations, letter/memo from president, health &

safety awards, public recognition - i.e. coffee & donuts for JHSC and/or employees, staff meeting, banquet, newsletter article, bulletin board display

■ Develop an action plan to make changes and improvements where needed

SafetyAlways


Action Plan

■ Clearly sets the plan for they year■ Defines responsibility■ Think about the finish line and make sure you

can reach the objective.■ Build in time for maintenance as well


Completing the Action Plan

Group Element: New Employee Orientation

Must Select 1 Element from Leadership

1 Other

1 Return to Work Element

Organization/ Hazard/ Assessment 1 Element


Why, New Employee Orientation?

■ With the MoL’s introduction of the “Worker Health and Safety Awareness in 4 Steps”

■ It makes sense to look at your current “New Employee Orientation”, massage it it to ensure that it meets and / or adopt what the MoL is setting as the minimum standard for initial awareness training


New Regulatory Requirements

The proposal would also allow for a transition period to allow employers time to ensure that existing workers and supervisors have completed awareness training programs before the proposed regulation comes into effect. It is anticipated that the proposed new regulation would be filed on or before July 1, 2013 and would come into force on January 1, 2014.

The Ministry of Labour proposes to introduce new regulatory requirements that would require employers to ensure that all workers and supervisors complete mandatory occupational health and safety awareness training programs.


Guidelines 4th Edition

■ As a member you need to– Read through the Guidelines (available

electronically)– Read the element requirements for the elements

you are selecting for 2013– Refer to the Guidelines as the map for your year– Use the Guidelines as for verification of

completion of the elements


Changes to Action Plan

■ Needs approval from Sponsor first and WSIB Consultant

■ Firm needs to provide reasons in writing (e-mail) to Sponsor & WSIB Consultant

■ Approval for requests received before June 30th in exceptional circumstances, (e.g. MOL order)

Guidelines for requests to change Action Plan Elements

Getting Started


WSIB Update –Safety Groups Advantage Program 2013

Shelley Wall

Safety Groups Program Consultant

[email protected]

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Firm Eligibility

■ Successful completion of 5 years in the Safety Group Program

■ *Advantage 2013 is recommended for firms beyond their 5th year in Safety Groups; however, a sponsor may request to also include a firm in their 5th year.


to 2013 Advantage Program• To be eligible for 2013, firms must Be actively

registered in the 2012 Safety Group Program• Evidence of conformity equals: 1 Standard and

2 sufficient corroborating evidence– Example: JHSC

• Standard (policy)• Meeting Minutes• Inspection Report• Certification Training

Samuel Safety Systems

And 2 Supporting Forms / Records / Interviews …

Changes


2013 Changes Continued

■ Continual Improvement Plan■ CIP which has action items initiated in 2013■ All non-conformities initiated within 6 months

of audit■ All non-conformities planned to resolution on

the continual improvement plan



2013 Changes Continued

■ If a multi-location firm conducts their HSMS audit by sampling only a portion of their locations (for example a business with 50 stores across Ontario, may plan to audit 20 stores)

■ It is required that the Continuous Improvement Plan is applied to all firm locations

■ Not just the locations where the audits were conducted.



Resources / Tools: 5 Program Requirements:

•Sample of a HSMS Audit Standard with the 5-W’s and How •2013 Advantage Program Timeline Guide

1. Write or review a company standard (policy & procedures) for your HSMS Audit Program (internal health & safety audit) including, audit schedule with procedure and timelines, Auditor qualifications, roles and responsibilities, and formal Continual Improvement Plan process with assignment of responsibilities and timelines.

IMPORTANT NOTE: Firms must state on their 2013 Action Plan Form the audit criteria they are using, otherwise, the audit will default to the WSIB HSMS Review Form Audit criteria. See page 4 for list of pre-approved audits.

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2013Advantage Program Requirements:



• WSIB Intro to Auditing training program

2. Identify training qualifications for the Auditor(s) in your written standard and then train or verify these qualifications are met by your assigned Auditor(s) prior to commencing the 2013 HSMS Audit. Minimum qualification standard: Audit Training - see page 5.

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Resources / Tools: 5 Program Requirements: •Pre-approved Audits listed on page 4Audit Equivalency Form Advantage Program Forms:•Action Plan•Progress Report•Year-End Report Checklist

3. Complete an approved HSMS Audit, ensuring: a) Documentation (listing) of objective and

detailed supporting evidence for each audit requirement.

b) A finding of conformity requires the Auditor to document evidence of (1) written standard and (2) sufficient corroborating evidence. A finding of non-conformity requires the Auditor to document what evidence could not be verified.

c) Sign-off (with date) of completed audit by assigned Auditor(s)

d) Documented evidence of Senior Management review (with date) of the completed audit.

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WSIB Work Re-integration (WR) Policies are available on-line at -www.wsib.on.ca

19-02-01 WR Principles, Concepts & Definitions19-02-02 Responsibilities of the Workplace Parties in WR19-03-03 Determining Suitable Occupation19-03-05 Work Transition Plans19-03-06 Work Transition Expenses19-03-11 Relocation Expense

4. Include as part of your HSMS Audit a review of your Return-to-Work Standards against the six WSIB Work Reintegration operational policies that took effect July 15, 2011. Construction firms – the WSIB’s WR policies, with the exception of the specific provisions dealing with re-employment, apply to all workers and employers, including those in the construction industry. The WSIB’s re-employment policies applicable to the construction industry can be found on-line in the 19-05 section of the Operating Policy manual. a) Identified RTW non-conformities are included on

Continual Improvement Plan.

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•Continual Improvement Plan Samples

5. Written HSMS Audit Continual Improvement Plan (CIP) including:a) CIP with detailed action points to correct all

non-conformitiesb) Responsibilities assigned and timelines

established for each action pointc) CIP includes action points that are initiated in

2013d) All remaining non-conformities must have CIP

action points that are initiated within 6 months of the audit being completed.

e) The action points for each non-conformity are planned to resolution.

f) Documented evidence of Senior Management review and approval of the developed Continual Improvement Plan and any subsequent revisions to the CIP

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Definitions

■ Senior Management – Owner, President, CEO or equivalent. For the purposes of SGAP, management staff that have the authority to approve and commit company resources (time, people and money) for health and safety are considered to be senior.

■ Initiate – commencement of the CIP action points developed and approved by Senior Management

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2013 Pre-approved list of AuditsThe qualification standard is formal audit training. This qualification

requirement 2012 Pre-approved list of Audits:■ WSIB proposed Accreditation Audit (WSIB HSMS Review Form)■ WSIB WorkWell Audit■ ZeroQuest Audit■ Infra-Structure Health and Safety Audit - Certificate of Recognition

(COR)■ Public Service Health and Safety Audit■ Workplace Safety and Prevention Services OHS Management System

Audit■ Safe Workplace Ontario (WSN) Safety Audit■ CSA Z1000■ OHSAS 18001

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Request process to use an audit not on the pre-approved list:

Firms can request to use other HSMS audits (example: Corporate Audits) for the 2013 Advantage Program if the audit criteria meet the WSIB HSMS Review Form.

The firm must send the requested audit and the completed Audit EquivalencyForm to their Safety Group Program Sponsor for their review and initial approval. The Safety Group Program Sponsor is to ensure all the criteria outlined in the Audit Equivalency Form has been met. If initially approved, the Safety Group Program Sponsor forwards the requested audit and the Audit Equivalency Form to the Safety Group Program Consultant with details of equivalency to the HSMS Review Form for final approval.

The request must be submitted by the Sponsor to the Safety Group ProgramConsultant by February 22, 2013 to allow processing time before the Action Plan due date of February 28, 2013.

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HSMS Review (internal audit) Training Requirement:

■ The qualification standard is audit training ■ This qualification can be satisfied with a quality, food safety, or other audit

specific training program.■ Safety Groups has developed a 2-hour “Introduction to Auditing” training

program to meet this standard for any firm that does not currently have a person that meets this qualification

■ The training program will be delivered by a sponsor or WSIB Safety Group Consultant at a safety group meeting

■ Attendance at the safety group meeting will be recorded by the sponsor to meet the training record requirement.


Year-end Report Checklist:

All Advantage Program firms submit the following documentation attached to the Year End Report / Checklist:

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1Written Standard 20%

2Internal Auditor training record 20%

3 Completed an approved HSMS Audit listing the objective evidence, with Auditor(s) sign-off (with date), and documented evidence acknowledging their review Senior Management review and approval of the completed audit.

20%

4 Detailed written Continual Improvement Plan addressing all HSMS Audit and Return to Work nonconformities, with documented evidence of Senior Management review (with date)

20%

5Return to Work – documented audit results of Work Reintegration (WR) Policy review 20%

Maintenance of Elements: Maintenance of past Safety Group elements is not included in the score. Although it is an expectation the maintenance of elements is continued by the firm to provide the necessary evidence of conformity to the HSMS Audit, the Maintenance of Elements Reports are not required to be submitted. A firm’s health and safety program elements will be analyzed as part of their selected audit in the 2013 Advantage Program.


Validation Audits:

WSIB SG Consultants will conduct validation audits on a sample number of Advantage firms in each group. The following will be verified by documentation, interview and observation:

■ Written Standard includes; 20%

a) Audit schedule with procedure and timelines

b) Auditor training qualifications

c) Assignment of roles & responsibilities

d) Continual Improvement Plan Process■ Internal Auditor training

20%

a) Record of formal audit training for Auditor(s)■ HSMS Review or equivalency

20%

a) Approved HSMS Audit or equivalency with supporting documentation of listed evidence for each criteria available for review

b) Sign-off (with date) of Auditor(s)

c) Documented evidence of Senior Management review, with date, of the completed 2012 HSMS Audit

■ Return to Work 20%

a) Verification the firm audited their Return-to-Work Standards in 2012 against the WSIB WR Policies and identified nonconformities added to the Continual Improvement Plan


Validation Audits (cont.):

■ Continual Improvement Plan 20%

a) All nonconformities identified by the HSMS Audit are addressed on the 2013 Continuous Improvement Plan

b) The 2013 CIP has action points for nonconformities being initiated and documented in 2013

c) Verifies all nonconformities have action points initiated and documented within 6 months of the audit being completed and subsequent CIP actions are progressing based on the established timelines

d) All nonconformities are planned to resolution with detailed action points on the CIP

e) Documented evidence of Senior Management review of the 2013 CIP and any subsequent revisions

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Additional Notes:

■ All Advantage Program requirements must be completed within the 2013 program year. The 2013 Advantage Program Timeline Guide is intended only as a best practice reference.

■ Firms who participated in the 2012 Advantage Program are expected to continue working on their 2012 Continual Improvement Plan until they have completed their 2013 HSMS Audit. Senior Management will then develop a 2013 Continuous Improvement Plan that may carry forward action points from the 2012 Continual Improvement Plan.

■ The firm may use a format of their choice for the Continual Improvement Plan as long it as meets the program requirements.


Additional Notes:

■ Firms are eligible to participate in the 2013 Safety Group rebate based on the submission of the Year-end Report/Checklist Form with the required attachments and achieving a minimum score of 60%, subject to verification by on-site validation audit if selected.

■ All the applicable Terms and Conditions of Participation on the 2013 Safety Group Application Form apply.

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Year-end Report Checklist

*All Advantage firms submit the following documentation attached to the Checklist;

■ Written Standard 20%

■ Internal Auditor(s) training record 20%

■ Completed WSIB HSMS Audit/Equivalency (internal audit) 20%

■ Return to Work20%

■ Continual Improvement plan addressing all nonconformities 20%


Forms to be completed

■ Application Form December 14, 2012

■ Action Plan February 28, 2013

■ Progress Reports Spring & Fall 2013■ Year-End Report Checklist December 16, 2013■ Request to use an audit not on the pre-approved list February 22, 2013

(if applicable)

Submit Action Plan No Later Then February 21



2013

ACTION PLANDUE:

FEB 28/13

2013 ADVANTAGE

APPLICATIONDUE:

DEC 14/12

PROGRESS REPORT 1DUE: SPRING

PROGRESS REPORT 2

DUE: FALLYEAR END REPORTING &

CHECKLIST DUE: DEC 16/13

2013 Advantage Program Timeline Guide

ACTIONS:

Orientation Leadership

Intro Auditor Training

Meeting #3

Complete Intro Auditor

Training or verify training qualifications

Submit completed

HSMS Audit Report to

Mgmt

Create written Standard for HSMS Audit

Mgmt develops Continual

Improvement Plan

Mgmt initiates Continual

Improvement Plan

Commence HSMS Audit

MEETINGS:

REPORTING:

Meeting #4 Meeting #5

*** Progress Visits ***


Health and Safety Management System Review (HSMS) Form

■ The purpose of the HSMS Review Form is:– To do an internal audit to compare a workplace HSMS to the DRAFT Standard for

Accreditation Audits and Health and Safety Management System Requirements to gauge readiness for Accreditation application and audit.

– To fulfill the requirements for Accreditation application■ Using the following Workplace Health and Safety Management System (HSMS) Review

Form, indicate the stage of completion for each element in the health and safety management system. In the space provided, summarize relevant information that demonstrates how this part of the standard has been met. Evidence may include, but not limited to, lists of policies/activities that are relevant to the element including:– summary of program objectives and continual improvement plans and activities. – list of prioritized hazards– list of legal requirements applicable to the workplace


HSMS Review Form

■ Review Process

1. Gather evidence by:

a) reviewing documents, reports, records, etc.

b) interview workplace parties

c) observe the workplace

2. Compare the evidence against the Accreditation Requirements, the firm’s OHS policies and procedures and legislation.

3. Decide conformity or non-conformity for each element.


HSMS - Conformity & Non-conformity definitions

Conformity is the fulfilment of the requirements of the Accreditation Standards, legislation and the workplace’s health and safety policies and procedures.

Non-conformity is the non-fulfilment of or deviation from the requirements. Non-conformities are classified as:– a non-conformity if:

• the issue will continue to occur because of how the HSMS and health and safety program are structured

• there is high risk to a worker’s health or safety if the requirements are not met• there are serious legal implications

There is an accumulation of related minor non-conformities – a minor non-conformity if:

• the HSMS structure is valid, but there was minor deviation because of for example, human error

• there is not high risk to worker • There are no significant legal implications

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A.1 Management Commitment StandardEvidence/Notes Conformity Non-conformity

A.1.1The employer establishes, implements and maintains a documented HSMS that meets the Accreditation for Ontario Workplaces Standard. The system supports a strong internal responsibility system.

A.1.2

The employer:

ensures that the workplace parties, including workers, supervisors and managers,

have the time, resources and competency to implement the HSMS and to achieve

its policy, objectives and targets

makes health and safety an organizational priority similar to other priorities and

integrates the management system into all aspects of the organization, and

promotes participation of, and seeks feedback from, all workplace parties in

developing and implementing and maintaining the HSMS, and recognizes the

value of these contributions.

A.1.3

Senior management:

a. actively promotes and participates in the HSMS, and

b. assigns a senior management representative the overall responsibility for

implementing and maintaining the HSMS.

c. Promotes health and safety in the community


A.2 Health & Safety Policy Statement Standard

Evidence/Notes Conformity Non-conformity

A.2.1The employer has a written health and safety policy statement that is specific to the organization.

A.2.2

The policy:

a. is dated and signed by the most senior accountable person

on site

b. includes a general statement of health and safety

responsibilities and commitment of all workplace parties

c. specifies commitment to achieve compliance with legal

requirements, and

d. specifies the commitment of the employer to health and

safety and the protection of workers

e. specifies a commitment to continual improvement.

A.3 Legal Requirements Standard

Evidence/Notes Conformity Non-conformity

A.3.1The employer establishes and implements a process that:a. identifies all applicable legal requirements b. incorporates legal requirements into the health and safety

management systemc. evaluates that legal requirements are consistently metNote: Other requirements include Canadian Standards

Association standards, Ministry of Labour Guidelines etc)


Sponsor Name: Completed By:

Firm Name: Title:

WSIB Account #: Phone:

Date: Email:

Required Elements Program Requirements Check of Current Status

of Program Requirements Responsibility

Date(s) (dd/mm/yyyy)

Written Standard: for WSIB HSMS Review

Set Standard Communicate Train Evaluate Continual Improvement


Internal Auditor Training: Identify qualifications for Auditor in standard and train OR Verify qualifications are met OR 3rd party Auditor

Option 1: Auditor selected Training Dates Scheduled Training Attended

Option 2: Verify current internal auditor qualifications meet program standard

Option 3: 3rd party auditor


Option 2: Verify current internal auditor qualifications meet program standard

Option 3: 3rd party auditor

WSIB HSMS Review

Complete WSIB HSMS Documented supporting evidence of all

finding

Complete WSIB HSMS Documented supporting evidence of all

finding

Senior Management Sign-off

Documented evidence of senior management review of completed WSIB HSMS & Continual Improvement Plan


Written Continual Improvement plan addressing WSIB HSMS Review findings

Identify all non-conformity findings Address each non-conformity with assigned

responsibilities and timelines initiated

Identify all non-conformity findings Address each non-conformity with assigned


Senior Management Signature:

Joint Health & Safety Representative (Optional)


Sponsor Name: Completed By:

Firm Name: Title:

WSIB Account #: Phone:

Date: Email:

Required Elements Program Requirements Completed (Yes or No)

Check of required supporting documentation attached

Score 20% (Optional: completed & documents attached)

Written Standard: WSIB HSMS Review


Written Standard

Internal Auditor Training: Identify qualifications for Auditor in standard and train OR Verify qualifications are met OR 3rd party Auditor


Option 2: Verify current internal auditor Option 3: 3rd party auditor

Training Record

WSIB HSMS Review Complete WSIB HSMS Documented supporting evidence of all finding

Completed WSIB HSMS form

Senior Management Initiate Plan


Documentation of Senior MGMT

review of completed WSIB HSMS form & C.I Plan

Continual Improvement Plan Identify all non-conformity findings Address each non-conformity with assigned


Documentation of Senior MGMT C.I Plan addressing all non-conformities with assigned responsibilities and timelines initiated

Senior Management Signature:

Joint Health & Safety Representative (Optional)


Safety Groups Validation Auditsfor firms in Years 1-5

Carmela Coffa

Shelley Wall


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


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


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


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.


The Five Steps


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


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


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


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


The Audit ProcessStep 5 Make Improvements and Acknowledge SuccessSG 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


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 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.


Audit Validation Scoring


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%


Year End Achievement Report 2012

Pg 65


Year End Maintenance Report 2011 - 2003

pg 67


Safety Group Advantage ProgramValidation Audit Process

Ian Morris

WSIB Safety Group Program ConsultantJanuary 25, 2013


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


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


Desk Audit

1) Written Standard for HSMS Audit Program:i. 2012 date on standard (originating/review/revise)

ii. Reference to audit schedule timeline (at least annually) and procedures

iii. Reference to Auditor training qualifications

iv. Assignment of roles and responsibilities

v. Reference to continual improvement plan process

2) Auditor Training:i. Record of Auditor(s) training

ii. Date of training does not need to be 2012

iii. Cross-reference with HSMS Audit Review Form document : do names match

iv. 3rd Party Auditor? – training verification is applicable


Desk Audit

3) HSMS Audit:i. An approved HSMS Audit is complete in its entirety

ii. Supporting evidence (min. 2 sources) for each requirement

iii. Findings/Conclusions of conformance for each requirement

iv. 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


Desk Audit

5) Continual Improvement Plan:i. Written Continual Improvement Plan

ii. Action Items addressing ALL non-conformities – including RTW non-conformities

iii. At least one action item scheduled to be initiated in 2012

iv. Responsibilities assigned and timelines established

v. Documented evidence of Senior Management Review of the developed Continual Improvement Plan

______________________________________________________________________________

Each requirement worth 20 points: 5 X 20 = 100______________________________________________________________________________


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


Site Audit

1) Written Standard for HSMS Audit Program:

i. Verified during Desk Audit

ii. May ask to see Standard within context of H&S Manual

2) Auditor Training:i. Verified during Desk Audit

ii. May ask to interview Auditor(s)


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


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


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


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


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.


up to

4%6%Max.

up to

1%= +

Achievement PerformanceGROUP REBATE

For improvements toLTI frequency rate

For improvementsto severity rate

+For successful program

implementation

• Frequency & Severity improvement must exceed preset performance threshold. • Achievement score is subject to a performance improvement threshold of 0.5/2 or rebate reduced by half.• Performance calculated by comparing the two most recent years with two prior years.• An employer with a traumatic fatality in the program year will be disqualified from the Safety Group rebate.

*Based on Group premiums paid

2013 Rebate Formula

up to

1%


Questions & Discussion


Winter Safety Blitzes Target Workplace Hazards

Inspectors from the Ministry of Labour will visit:Industrial and construction workplaces to check for slips, trips and falls hazards in February and March

The blitzes will:Raise awareness of health and safety in the workplacePrevent injuries and illnesses that could arise from unsafe work practicesCheck that workplaces are complying with the lawDuring blitzes, inspectors will check on the condition and maintenance of safety equipment, worker training, the use of safety equipment and other potential health and safety hazards to help prevent workplace injuries.

Quick FactsSince 2008, ministry inspectors have conducted more than 345,000 field visits, 47 inspection blitzes and issued more than 560,000 compliance orders in Ontario workplaces.


Next Meeting


Questions, Comments, Help??

■ http://www.sssg.ca/

■ [email protected]

■ Co-Participants / Tablemates / Next2U

http://www.sssg.ca/

http://www.sssg.ca/

mailto:[email protected]


Safety Always


Samuel Participants Present

■ Please remain seated for a:

Workplace Safety and Insurance Board | Commission de la sécurité professionnelle et de lassurance...

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