Helpful checklist of what criteria needs to be contained in your documentation. See 2017 Employer SGAP Guidelines for full details.
COMPANY NAME:
ACCOUNT #:
1.Written Standard for HSMS Audit Program:
2017 date on standard
Assignment of roles and responsibilities (eg Senior Mgt, Auditor, supervisor/workers)
Details Auditor training qualifications
References audit plan with criteria, scope, schedule of activities and time lines
Reference to formal continual improvement plan process with assignment of responsibilities, timelines, prioritizing nonconformities (eg high risk, legislative noncompliance)
Any obvious errors or omissions (i.e. – different company name on/in standard)
2.Auditor Training:
Record of Auditor(s) training
Does training match qualifications outlined in standard?
Date of training does not need to be 2016
Cross-reference with HSMS Audit Review Form document: do names match? did training precede audit?
3rd Party Auditor? – providing 3rd party record of training is required
3.Formal review of 2016 HSMS Audit and CIP, or step 4 & 5 for 1st year SGAP participants, documented in 2017 audit
All 2016 audit nonconformities included in documented 2017 CIP
1st year SGAP participants - confirmed all prior Safety Group elements were evaluated in 2016, and any improvement plans were implemented accordingly
All corrected 2016 nonconformities were reviewed for implementation and effectiveness
All ongoing items on 2016 CIPwere reviewed & are progressing as planned
All deficiencies from the 2016 CIP are added as a priority nonconformity to the 2017 CIP
4.HSMS Audit:
An approved HSMS Audit is completed – all sections
Sufficient supporting evidence for each audit requirement
Findings/Conclusions of conformance for each requirement.
A finding of Conformance requires (1) a written standard and (2) sufficient corroborating evidence
A finding of Non-Conformity require the auditor to document what evidence could not be verified (e.g. no written standard etc)
Auditor(s) sign-off with date (cross reference to training record)
Documented evidence of Senior Management Review of completed audit with sign-off and date
Return to Work:
As part of the HSMS Audit a documented review of your RTW Standards against six WSIB Work Reintegration Policies (e.g. completed Work Reintegration Check-List)
Identified RTW non-conformities are included on the Continual Improvement Plan
Same process as outlined above – part of the HSMS Review (i.e. evidence, signatures, & sign offs)
5.Continual Improvement Plan:
Written Continual Improvement Plan (CIP) submitted
All findings of non-conformity from the 2016 review, 2017 audit & WR Review on CIP
Detailed action points to correct all non-conformities
Responsibilities assigned and timelines established for each action point
CIP initiated in 2017 – action points with 2017 timeline
All remaining non-conformities have CIP action points that are initiated within 6 months of audit being completed
Action points for each non-conformity planned to resolution
Documented evidence of Senior Management review and approval of developed CIP
Quarterly progress reviews completed by senior management are included