Safety Groups Validation Audits for firms in Years 1-5

1. Safety Groups Validation Auditsfor firms in Years 1-5 Tom Welton Workplace Safety North

2. 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

3. 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

4. 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

5. 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.

6. The Five Steps

7. 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

8. 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

9. 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

10. 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

11. The Audit ProcessStep 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

12. 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 EvidenceDocumentation 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

13. 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.

14. Audit Validation Scoring

15. 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%

16. Year End Achievement Report 2012Pg 65

17. Year End Maintenance Report 2011 - 2003pg 67