Safety Group Advantage Program Validation Audit Process

Workplace Safety and Insurance Board | Commission de la sécurité professionally et de l’assurance contre les accidents du travail1

Safety Group Advantage ProgramValidation Audit Process

Tom Welton Workplace Safety North


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 Audit1) Written Standard for HSMS Audit Program:

i. 2012 date on standard (originating/review/revise)ii. Reference to audit schedule timeline (at least annually) and

proceduresiii. Reference to Auditor training qualificationsiv. Assignment of roles and responsibilitiesv. Reference to continual improvement plan process

2) Auditor Training:i. Record of Auditor(s) trainingii. Date of training does not need to be 2012iii. Cross-reference with HSMS Audit Review Form document :

do names matchiv. 3rd Party Auditor? – training verification is applicable


Desk Audit3) HSMS Audit:

i. An approved HSMS Audit is complete in its entiretyii. Supporting evidence (min. 2 sources) for each requirementiii. Findings/Conclusions of conformance for each requirementiv. 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 Audit5) Continual Improvement Plan:

i. Written Continual Improvement Planii. Action Items addressing ALL non-conformities – including

RTW non-conformitiesiii. At least one action item scheduled to be initiated in 2012iv. Responsibilities assigned and timelines establishedv. 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 Audit1) Written Standard for

HSMS Audit Program:i. Verified during Desk Auditii. May ask to see Standard

within context of H&S Manual

2) Auditor Training:i. Verified during Desk Auditii. May ask to interview

Auditor(s)


Site Audit

3) HSMS Audit:i. Desk Audit verified the firm completed an

approved HSMS Review Auditii. We do not redo the HSMS Review Audit during

our Site Auditiii. 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 Audit5) Continual Improvement

Plan:Subsequent to the Desk Audit – i. Verify status of action item(s)

initiated in 2012ii. Verify on-going status of

remaining action itemsiii. 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 improvement2. Verify validation audit score with firm3. Answer any questions from the firm4. Firm acknowledges review and discussion of audit

notes by signature5. Copy of validation audit notes provided to firm6. Advise firm a formal audit letter will be sent within 4

weeks7. Audit concluded.


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Date post:	25-Feb-2016
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Safety Group Advantage Program Validation Audit Process

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