Safety GroupsAdvantage Program / 2014
Employer Requirements

Welcome to the Safety Groups Advantage Program for 2014

2014ADVANTAGE PROGRAMREQUIREMENTS

Program Approval:

The WSIB’s Board of Directors gave its approval for Safety Group participants currently at, or exceeding, 5 years of participation to continue in the program for another year.

Objectives:

The Advantage Program is designed with the following goals:

  • Design a single program for all 2014 Advantage Program firms
  • Advance firms toward an auditedHealth and Safety Management System (HSMS)
  • Equip firms with tools that allow them to continue annual internal audits to positively influence their safety culture
  • Allow firms to continue implementation of their health and safety improvement plans beyond 2014
  • Maintain a sustainable Health & Safety Management System

Firm Eligibility:

  • Successful completion of 5 years in the Safety Groups Program
  • The Advantage Program is recommended for firms beyond their 5th year in the Safety Groups Program; however, a Sponsor may request to include a firm in their 5th year
  • Meet Participation Requirements for Firms as outlined on page 8 of the Safety Groups Program Employer Guidelines (4th edition)
  • Organizations with multiple WSIB accounts participating in the Safety Group Program/Advantage Programshould consult their Sponsor and WSIB Safety Group Program Consultant to ensure each account is correctly registered

2014 Advantage Program Due Dates:

Completed for each registered WSIB account:(Safety Group Program Sponsors are allowed to establish earlier due dates to allow them time to review documents before submitting to WSIB).

  • 2014 Application FormDecember 13, 2013
  • 2014 Action PlanFebruary 28, 2014
  • Audit Equivalency Form (if applicable)February 21, 2014
  • 2014 Progress ReportsSpring & Fall 2014
  • 2014 Year-End Report ChecklistDecember 15, 2014 (see page 7 for additional details)

2014 Advantage ProgramRequirements:

Resources / Tools: / 5 Program Requirements:
  • Sample HSMS Audit Program Standard: with the Who, What, When, Where, Why and How
  • 2014 Advantage Program Timeline Guide
Advantage Program Forms:
  • Action Plan (due February 28, 2014)
  • Progress Report (Spring and Fall)
  • Year-End Report Checklist (due December 15, 2014)
  • WSIB Intro to Auditingtraining program
  • Approved Audit Criteria listed on Page 5
  • Audit Equivalency Form
WSIB Work Re-integration (WR) Policies are available on-line at -
  • 19-02-01 WR Principles, Concepts & Definitions
  • 19-02-02 Responsibilities of the Workplace Parties in WR
  • 19-03-03 Determining Suitable Occupation
  • 19-03-05 Work Transition Plans
  • 19-03-06 Work Transition Expenses
  • 19-03-11 Relocation Expense
  • Work Re-integration Checklist
  • Continual Improvement Plan Samples
/
  1. Written Company Standard outlining detailed policy and procedures for your HSMSAudit Program (internal health & safety audit) including, at a minimum:
  2. Current (2014) date
  3. Roles and responsibilities for Senior Management, Auditors, Supervisors, Workers
  4. Auditor(s) qualifications(see requirement 2)
  5. Development of Audit Plan, including audit criteria, scope, schedule, and timelines
  6. Formal Continual Improvement Plan process that will identify priorities(high-risk hazards, and legal requirements) from the audit findings, and assign detailed responsibilities and timelines to bring non-conformities into conformity.
(This entire document should be reviewed and understood prior to writing the standard.)
  1. Identify training qualifications for the Auditor(s) in your written company standard and then train or verify these qualifications are met by the assigned Auditor(s) prior to commencing the 2014 HSMS Audit.
Minimum qualification: Formal Auditor Training - see page 6 for additional details.
  1. Review of 2013[1]HSMS Audit and Continual Improvement Plan (for 1st year Advantage Program participants review your 2013 Safety Group Evaluation and Making Improvements Plan) by the Auditor to:
  1. Confirm all non-conformities from the 2013 HSMS Audit were included on the 2013 Continual Improvement Plan -or confirm all prior Safety Group elements were evaluated (step 4) in 2013 and Improvement Plan (step 5) - were implemented or are being implemented according to a formal plan
  2. Review all completed/achieved non-conformity Continual Improvement Plan action items for implementation and effectiveness, and
  3. Review the current status of all ongoing/open non-conformity Continual Improvement Plan action itemsto determine if implementation is progressing as plannedto successful completion
  4. The Auditor’s findings from a, b, and c are formally documented in their 2014 Audit Report, and any deficiencies are added as a prioritynon-conformity on the 2014 Continual Improvement Plan.
  1. Complete an approved*HSMS Audit in 2014, ensuring:
  1. Formal documentation (listing) of objective and detailedsupporting evidence for each audit requirement with statedfinding of conformity or non-conformity
  2. Your selected HSMS Audit Criteria includes a documented review of your Return-to-Work Standards against the six WSIB Work Re-integration (WR) operational policies that took effect July 15, 2011**
  3. An audit finding of conformity requires the Auditor to document evidence of (1) a current written standard and(2) sufficient corroborating evidence based on reviewing appropriate records, observation/physical inspection of the workplace, and interviews with appropriate personnel. An audit finding of non-conformity requires the Auditor to document what evidence could not be verified by following the same auditing process outlined above.
  4. Sign-off, with date, of the completed audit andany additional audit report,by the assigned Auditor(s)
  5. Documented evidence of Senior Management[2]review, with date, of the completed audit document and any additional audit report.
*Firms must state on their 2014 Action Plan Form the audit criteria they are using, otherwise, the audit will default to the WSIB HSMS Review Form audit criteria.
See page 5 for a list of approved audit criteria
* *Construction firms – the WSIB’s WR policies, with the exception of the specific provisions dealing with re-employment, apply to all workers and employers, including those in the construction industry. The WSIB’s re-employment policies applicable to the construction industry can be found on-line in the 19-05 section of the Operating Policy Manual.
  1. Written 2014 HSMS Audit Continual Improvement Plan (CIP) including:
  1. CIP with detailed action points to correct all findings of non-conformity, including all WR non-conformities, and 2013 Audit/CIP Review (requirement 3) deficiencies
  2. CIP includes action points that are initiated in 2014
  3. Priority will be given to non-conformities related to high-risk hazards, and legal requirements
  4. All remaining non-conformities and deficiencies must have CIP action points that are initiated within 6 months of the audit being completed
  5. The action points for each non-conformity/deficiency are planned to resolution with responsibilities assigned and timelines established
  6. Documented evidence of Senior Management review and approval of:
  1. The Continual Improvement Plan
  2. Quarterly progress reviews of the CIP until all non-conformities/deficiencies are corrected

2014Approved list of Audits:

  • WSIB proposed Accreditation Audit (WSIB HSMS Review Form)
  • WSIB WorkWell Audit
  • ZeroQuest Audit
  • Infra-Structure Health and Safety Association Audit - Certificate of Recognition (COR)
  • Public Service Health and Safety AssociationQ5 Audit
  • Public Service Health and Safety Association HSMS Audit (Health Care only, Z1000 equivalent)
  • Workplace Safety North (WSN) - Safe Workplace Ontario Safety Audit
  • CSA Z1000
  • OHSAS 18001

The Audit Equivalency Form is not required for any of the audits on the approved list.

Request to use an audit not on the approved list:

Firms can request to use other HSMS Audit criteria (example: Corporate Audits) for the 2014 Advantage Program. These audits must meet the WSIB HSMS Review Form criteria.

The firm must send the requested audit and a completed Audit Equivalency Form to their Safety Group Program Sponsor for review and initial approval. The Safety Group Program Sponsor is to ensure all the criteria outlined on the Audit Equivalency Formare met. If initially approved, the Safety Group Program Sponsor forwards the requested audit and the Audit Equivalency Form (with details of equivalency to the HSMS Review Form) to the Safety Group Program Consultant for final approval.

The request must be submitted by the Sponsor to the Safety Group Program Consultant by February 21, 2014 to allow processing time before the Action Plan due date of February 28, 2014.

HSMS Auditor Training Requirement:

The qualification standard is formal audit training. This qualification requirement can be satisfied with a health and safety, quality, food safety, or other formal audit specifictraining program.A record of training is required by all Advantage Program firms to meet the Advantage Program Requirement.This requirement also applies to firms hiring external or third party auditor(s).

The Safety Groups Program developed the “Introduction to Auditing” training program to assist firms to meet thequalification standard if they do not currently have a person meeting this requirement. This training program can be delivered by a Safety Group Sponsor or WSIB Safety Groups Program Consultant. Successful participation and completion of the training program will be recorded by the Sponsor to meet the record of training requirement.

Mid-Year Progress Visits:

A review of the progress of a firm’s 2014 Advantage Program Action Plan may be conducted by WSIB Safety Groups Program Consultants during mid-year visits on a sampling of Advantage Program firms in each group. Results of progress will be communicated to the firm and the Safety Group Sponsor.

Year-end Report Checklist:

All Advantage Program firms submit a signed 2014 Year-end Report Checklist by December 15, 2014.

Advantage Program firms selected for a WSIB validation audit are required to submit the following documentationto their Safety Group Sponsor within two weeks of being notified of their selection for audit. Documents received by the due date will be reviewed and assigned a desk audit score. Desk audit scores of 60% and above will be further verified by an on-site validation audit. Documents received after the due date will not be accepted or reviewed.

Safety Group Program Sponsors can require participating firms to submit all Advantage Program documentation before Dec 15/14 or before being notified of audit selection. Your Program Sponsor can confirm your specific reporting requirements and the due date.

1 / A copy of the 2014Written Company Standard for HSMS Audit Program / 20%
2 / A copy of the Auditor(s)record of training / 20%
3 / A copy of the Auditor(s) review and findings of the 2013 Continual Improvement Plan, or Safety Group Evaluation and Making Improvements Plan. (See footnote 1.) / 20%
4 / A copy of the completed HSMS Audit, including a documented WR Policy Review, listing the objective audit evidence, findings, the Auditor(s) sign-off (with date), and documented evidence (with date) acknowledging Senior Management review andapproval of the completed audit. / 20%
5 / A copy of the 2014 Continual Improvement Plan addressing all 2013 Review, 2014 HSMS Audit and Return to Work non-conformities, with documented evidence of Senior Management review(with date), and any quarterly progress reviews by Senior Management. The CIP must be initiated in 2014. / 20%

Maintenance of Elements: Maintenance of past Safety Group Program elements is not included in the score. The Maintenance of Elements Report(s) is not required to be submitted.It is an expectation the maintenance of these health and safety elements is continued by the firm each year. This will provide the necessary evidence of conformity to theHSMS Audit criteria.

Validation Audits:

Each year the WSIB develops a validation audit strategy to verify the achievement of member firms in each Safety Group. WSIB Safety Group Program Consultants will conduct desk and on-site validation audits of the selected firms. The following will be verified by documentation review, records review, interviews and/or observation:

  1. 2014 Written Company Standard for HSMS Audit Program complies with Advantage Program Requirements, and implementation to the firm’s written policy and procedures. Implementation is verified by being able to duplicate the findings of the audit based on a sampling of audit sections by the WSIB Auditor and evidence of CIP development and implementation.
/ 20%
  1. Internal Auditor Training:
  2. Record of formal audit training for Auditor(s)
  3. Training record must match Auditor of Record
  4. Training must pre-date the start of the audit, otherwise, the audit and CIP are invalid
/ 20%
  1. Auditor review of 2013 Audit and Continual Improvement Plan(or 2013 Safety Group Evaluation and Making Improvements Plan) following the program requirements and the firm’s written policy and procedures:
  2. Documented evidence of review and findings by company auditor
  3. WSIB Auditor may request to review the 2013 HSMS Audit and CIP for verification
/ 20%
  1. HSMS Audit:
  2. Approved HSMS Audit completed in 2014 following the Advantage Program requirements and the firm’s written policy and procedures
  3. Includes a documented review/audit in 2014 of the WSIB WR policies to the firms Return-to-Work Standards
  4. All listed supporting evidence for each criteria must be available for review and verification during a WSIB validation audit
  5. Audit findings must be verifiable during WSIB validation audit
  6. WSIB Auditor may request additional evidence to verify findings
  7. Sign-off (with date) by Auditor(s)
  8. Documented evidence of Senior Management review, with date, of the completed 2014 HSMS Audit
/ 20%
  1. Continual Improvement Plan (CIP)
  2. All non-conformities identified by the 2014 HSMS Audit are addressed on the 2014 CIP according to Advantage Program requirements and to the firm’s written policy and procedures
  3. The 2014 CIP has action points for priority non-conformities being initiated and documented in 2014. If there are no priority non-conformities the 2014 CIP must still be initiated in 2014
  1. Verifies all remaining non-conformities have action points initiated and documented within 6 months of the audit being completed and are progressing based on the established timelines
  2. All non-conformities are planned to completion with detailed CIP action points
  3. Documented evidence of Senior Management review of the 2014 Continual Improvement Plan and on-going quarterly review until all non-conformity action items are completed.
/ 20%

Additional Notes:

  1. All Advantage Program requirements must be completed within the 2014 program year. The 2014 Advantage Program Timeline Guide is intended only as a best practice reference.
  2. Firms who participated in the 2013 Advantage Program are expected to continue working on their 2013 Continual Improvement Plan until they have completed their 2014 HSMS Audit and developed a new 2014 Continuous Improvement Plan. The 2014 CIP mayneed to carry forwardunfinished actionpointsfrom the 2013 ContinualImprovement Plan.
  3. The firm may use a format of their choice for the Continual Improvement Plan as long it as meets Advantage Program requirements.
  4. If a multi-location firm conducts their HSMS Audit by sampling only a portion of their locations (for example a business with 50 stores across Ontario, may plan toaudit 20 stores) it is required that the Continual Improvement Plan is applied to all firm locations, and not just the locations where the audits were conducted. Using the above example, the Continual Improvement Plan must be applied to all 50 stores.
  5. Firms are eligible to participate in the 2014 Safety Group rebate based on the submission of their Year-end Report/Checklist Formand achieving a minimum score of 60% to qualify for the rebate. Firms selected for validation audit must achieve 60% on the desk audit and site audit to qualify for the rebate. All Advantage Program firms must complete a 2014 HSMS Audit, and develop and implement a 2014 Continual Improvement Plan, subject to verification by validation audit if selected, to qualify for the 2014 rebate. A firm does not qualify for the rebate by completing only the written standard, auditor training and 2013 audit and CIP review.
  6. All the applicable Terms and Conditions of Participation on the 2014Safety Group Application Formand Safety Groups Program Employer Guidelines – 4th edition apply.

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[1]If your firm was not registered in the 2013 Safety Group Program or Advantage Program, use your last year of participation.

[2]Senior Management – Owner, President, CEO or equivalent. For the purposes of the Advantage Program, management with the authority to approve and commit company resources (time, people and money) for health and safety is considered senior.