Safety Group Advantage Program Validation Audit Process

1. Safety Group Advantage ProgramValidation Audit Process Tom Welton Workplace Safety North

2. Stages of SGAP Audits • Stage 1 - Desk Audit • Document and Record Review • All SGAP Firms • Stage 2 - Site Audit • Verification of SGAP Employer Requirements • Up to 10% of SGAP participants per Safety Group • Audit Closing

3. 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: • Written Standard – 20% • Auditor Training – 20% • Completed Audit - 20% • WR Policy Review – 20% • Continual Improvement Plan – 20% • Provides self reported year-end score

4. Desk Audit • Written Standard for HSMS Audit Program: • 2012 date on standard (originating/review/revise) • Reference to audit schedule timeline (at least annually) and procedures • Reference to Auditor training qualifications • Assignment of roles and responsibilities • Reference to continual improvement plan process • Auditor Training: • Record of Auditor(s) training • Date of training does not need to be 2012 • Cross-reference with HSMS Audit Review Form document : do names match • 3rd Party Auditor? – training verification is applicable

5. Desk Audit 3) HSMS Audit: • An approved HSMS Audit is complete in its entirety • Supporting evidence (min. 2 sources) for each requirement • Findings/Conclusions of conformance for each requirement • Auditor(s) sign-off with date (cross reference to training record) • Documented evidence of Senior Management Review of completed audit 4) Return to Work: • As part of the HSMS Audit a documented review of RTW Standards against WSIB WR Policies

6. Desk Audit 5) Continual Improvement Plan: • Written Continual Improvement Plan • Action Items addressing ALL non-conformities – including RTW non-conformities • At least one action item scheduled to be initiated in 2012 • Responsibilities assigned and timelines established • Documented evidence of Senior Management Review of the developed Continual Improvement Plan ______________________________________________________________________________ Each requirement worth 20 points: 5 X 20 = 100 ______________________________________________________________________________

7. 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

8. Site Audit • Written Standard for HSMS Audit Program: • Verified during Desk Audit • May ask to see Standard within context of H&S Manual • Auditor Training: • Verified during Desk Audit • May ask to interview Auditor(s)

9. Site Audit 3) HSMS Audit: • Desk Audit verified the firm completed an approved HSMS Review Audit • We do not redo the HSMS Review Audit during our Site Audit • 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

10. Site Audit • HSMS Audit: • Sign-off of Auditor(s) with date • may ask to speak with Auditor(s) • Documented evidence of Senior Management Review of completed audit • may ask to speak with Senior Manager

11. Site Audit • Return to Work: • Verify documented review of Company RTW Standards against the 6 WSIB Work Reintegration policies • 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

12. Site Audit • Continual Improvement Plan: • Subsequent to the Desk Audit – • Verify status of action item(s) initiated in 2012 • Verify on-going status of remaining action items • May ask to interview individuals with assigned responsibilities • Verify if timelines are being followed

13. Site Audit • Audit Closing: • Review validation audit findings with firm • may include opportunities for improvement • Verify validation audit score with firm • Answer any questions from the firm • Firm acknowledges review and discussion of audit notes by signature • Copy of validation audit notes provided to firm • Advise firm a formal audit letter will be sent within 4 weeks • Audit concluded.

14. Questions & Discussion