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Office of Risk Management Loss Prevention Unit Manual & Audit Update

Office of Risk Management Loss Prevention Unit Manual & Audit Update. HOW WE GOT HERE. A BRIEF TIMELINE. TIMELINE. July 2004 Directive from State Risk Director to revise current subjective, rating-based audit to an objective, score-based process First major overhaul since 1992

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Office of Risk Management Loss Prevention Unit Manual & Audit Update

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  1. Office of Risk ManagementLoss Prevention UnitManual & Audit Update

  2. HOW WE GOT HERE A BRIEF TIMELINE

  3. TIMELINE • July 2004 • Directive from State Risk Director to revise current subjective, rating-based audit to an objective, score-based process • First major overhaul since 1992 • Brainstorming sessions begin • Multiple 2-day staff meetings held to review every audit question and section of the manual • Improvements • Additions • Deletions

  4. TIMELINE • August-December 2004 • Completion of 1st and 2nd drafts • First time audit and manual are ever cross-referenced • January-March 2005 • Submitted to Commissioner’s Office for review • March 2005 • Point person in Commissioner’s Office resigns

  5. TIMELINE • March-August 2005 • Responsibility of review process shifted • Committee formed and review process starts anew • Certain components sent within ORM and DOA for input • August-December 2005 • Katrina and Rita • Re-write process slows as Loss Prevention Unit’s focus shifts to recovery/re-alignment efforts

  6. TIMELINE • January-May 2006 • Review committee completes efforts and submits to new point person in Commissioner’s Office for final sign-off • Several rounds of questions and clarification • June 2006-Present • Final, approved versions sent to 3rd party developer for integration into software

  7. WHO WAS INVOLVED • ORM • Loss Prevention staff • State Risk Assistant Director and Director • Claims • Medical • Transportation • Underwriting • Workers’ Compensation

  8. WHO WAS INVOLVED • DOA • Commissioner’s Office • Fleet Management • Flight Maintenance • Legal • OSRAP

  9. WHAT’S AHEAD • Audit vs. Compliance Review (CR) • Full audit once every 3 years • 1/3 of agencies/year FY 05-06 FY 06-07 FY 07-08 FY 08-09 FY 09-10 FY 10-11 CRs CRs 7/1/07 1/3 Audits (Group 2) 1/3 Audits (Group 3) 1/3 Audits (Group 1) 2/3 CRs (Groups 2, 3) 2/3 CRs (Groups 1, 3) 2/3 CRs (Groups 1, 2) 2/3 CRs (Groups 2, 3) 12 Months 3/07 3/08 (Group 1) Roll Out 1/3 Audits (Group 1)

  10. WHAT’S AHEAD • Compliance Review (CR) during other two years • Self-audit required every year, due at the time of the audit or CR • Lack thereof will result in failure of the audit/CR • Prior to audit/CR, letter from agency head must be sent confirming readiness • Due by 1st of the month prior to date of audit/CR

  11. WHAT’S AHEAD • Automated audit process • Self-audit will be available on STARS server • Roll out to agencies as soon as STARS Compliance revisions are complete • LPO will use tablet PC to conduct in-person • Point values for questions, not for comments • Additional Support • Review trending reports from STARS • Consult with agencies on particular concerns • Target areas of high loss to lower claims

  12. Office of Risk ManagementLoss Prevention UnitManual & Audit Update

  13. General Safety Audit Components: • Program • Safety Meeting & Training • Inspections • Incident/Accident Investigation • Recordkeeping • Bloodborne Pathogens/First Aid • Emergency Preparedness Plan • Hazardous Materials

  14. General Safety Audit “Program” Requirements: • The written general safety plan should include safety responsibilities for all employees. The written safety responsibilities should: • Be presented to all employees during orientation and/or upon assignment to a new position with different/additional safety responsibilities • Contain a documented method of accountability • General and site/task specific safety rules: • Must be distributed to employees during orientation and such action documented

  15. General Safety Audit “Safety Meetings & Training” Requirements: • Percentage of employee attendance at safety meetings must be calculated and documented • Minimal acceptable attendance is 75% • Department/Agency head must attend ALL safety meetings

  16. General Safety Audit “Safety Meetings & Training” Requirements: cont. • Mandatory training topics: • Drug and substance abuse • Sexual harassment • Required within one year of hire and at least every 5 years thereafter

  17. General Safety Audit “Safety Meetings & Training” Requirements: cont. • Safety Committee: • Is a committee established • Frequency of meetings should be based on agency class (Class A/Class B) • Attendance and topic of meeting should be documented

  18. General Safety Audit “Safety Meetings & Training” Requirements: cont. • If applicable, field safety coordinators should receive training on the following: • Accident investigation • Inspections • Safety meetings • Supervisor responsibilities • Job safety analysis

  19. General Safety Audit “Safety Meetings & Training” Requirements: cont. • The agency loss prevention representative must attend the ORM Loss Prevention Program at least once every three years • Documented, specific training should be provided to all employees who must perform new tasks or operate new equipment OR whose safety performance is unsatisfactory

  20. General Safety Audit “Inspection” Requirements: • Indicate number of potential/actual inspections conducted • Percentage of inspections conducted must be calculated and documented • Type inspection form used • Departmental • Agency/site specific

  21. General Safety Audit “Inspection” Requirements: cont. • Building inspection form should include the following topics: • Building safety • Electrical safety • Emergency equipment • Fire safety • Office safety • Storage methods

  22. General Safety Audit “Inspection” Requirements: cont. • Is there a method in place for employees to notify management of workplace hazards? • Hazard Control Log (HCL) or other acceptable means

  23. General Safety Audit “Incident/Accident Investigation” Requirements: • Investigation procedures should address the following: • Employee, visitor, and/or client situations (via the DA2000) • Bodily injury and/or property concerns • Use of the Incident/Accident Investigation form (DA2000) • Must have designated employee review forms for completeness and accuracy

  24. General Safety Audit “Incident/Accident Investigation” Requirements: cont. • Job Safety Analyses (JSA): • Annual documented training required • Review of applicable JSAs in post-incident/accident situations

  25. General Safety Audit “Recordkeeping” Requirements: • Records that require, at a minimum, 5 years retention: • Bloodborne pathogens • Drug testing and substance abuse • Sexual harassment

  26. General Safety Audit “Bloodborne Pathogens/First Aid” Requirements: • Is the written program departmental or agency/site specific • Training guideline for “high-risk” employees: • Within 3 months of hire • At least once per year thereafter • Training guideline for “low-risk” employees: • Within 12 months of hire • At least once every 5 years thereafter • Are spill procedures in place • Spill kits maintained

  27. General Safety Audit “Bloodborne Pathogens/First Aid” Requirements: cont. • Does the agency location meet any of the following criteria: • Working with minimal/partial crew shifts • Employees working in remote/isolated locations • The on-site medical facility is closed • If so, does the agency have someone available in these situations who is trained/able to render first aid

  28. General Safety Audit “Emergency Preparedness Plan” Requirements: • The written plan must address, at a minimum: • Fire • Natural disaster • Proximity threats • Terrorism

  29. General Safety Audit “Hazardous Materials” Requirements: • Is the written program departmental or agency/site specific • Plan should ensure that laboratory hoods are maintained/air flow calibrated • If applicable, documented employee training is required on: • Hazard communication • Lab safety • Material Safety Date Sheets (MSDS) • Personal Protective Equipment (PPE)

  30. General Safety Manual • Revised - Sample Management Safety (Policy) Statement • Revised Safety Meeting Report Form • Revised - Sample Procedure for Incident/Accident Investigation • DA2000 – Must be filled out completely

  31. General Safety Manual • Sample Blood Borne Pathogens Policy/First Aid Requirements • Sample Bomb Threat Checklist • Sample Hazard Communication & Chemical Safety Program

  32. Driver Safety Audit Components: • Program • Inspection & Repair • Training • Records & Forms

  33. Driver Safety Audit “Program” Requirements: • Requires written policies and procedures on all of the following topics: • Enrolling employees to drive • High risk drivers • Driver training • Disciplinary action • Claims reporting • Accident investigation • Identification of state vehicles

  34. Driver Safety Audit “Inspection & Repair” Requirements: • Number of vehicles in fleet • Documentation of preventive maintenance required

  35. Driver Safety Audit “Training” Requirements: • Refresher training required within 90 days for all employees receiving a conviction

  36. Driver Safety Audit “Records & Forms” Requirements: • Authorized OR unauthorized driver list must be signed and dated • Driver Accident Report Form (DA2041) – must be faxed/emailed within 48 hours to ORM Claims Transportation Unit Supervisor

  37. Driver Safety Manual • Sample procedure for authorizing drivers • Instructions on how to review an Official Driving Record (ODR) • Revised DA 2054 – Authorization & Driving History Form • Sample Vehicle Checklist

  38. Bonds & Crime Audit Components: • Program • Employee Responsibility • Security • Key Control • Internal Audits

  39. Bonds & Crime Audit “Program” Requirements: • Written program must contain the following components: • Separation of duties • Inventory control (including disposal) • Purchasing • Reporting losses/damages • Investigation of losses/damages • Timely reporting of losses to the correct ORM claims unit • Handling negotiable items • Securing vaults/safes • Employee responsibilities

  40. Bonds & Crime Audit “Program” Requirements: cont. • Comprehensive written security plan/policy must include, but is not limited to, procedures that address the following components: • Monitoring/controlling visitor access • Securing all entrances and exits, both day and night • Security system in place for all entry points • Securing equipment located within agency buildings • Limiting access to data on personal computers

  41. Bonds & Crime Audit “Key Control” Requirements: • Written site-specific program must include the following: • Key/card log • Procedures to change locks/codes • Assigning responsibility for the program • Methods for issuing, returning, and accounting for lost/stolen keys/cards • Specific employee responsibilities/procedures for handling keys/cards

  42. Bonds & Crime Audit “Internal Audit” Requirements: No revisions made

  43. Bonds & Crime Manual • Sample Key Control Policy/Procedure • Sample form – Authorization for Building Access Card and/or Building Office Key

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