Electronic Audit Tool User Guide. Version 1.0

Transcription

1 Electronic Audit Tool User Guide Version 1.0

2 TABLE OF CONTENTS INTRODUCTION... 1 REQUESTING THE E-AUDIT TOOL PACKAGE... 2 SAVING THE USER GUIDE... 3 SAVING THE WORKING FILE... 4 COMPATIBILITY AND PROGRAM FEATURES... 7 INSTALLATION... 8 OPENING THE E-AUDIT TOOL AND WORKING FILE MAIN PAGE: WELCOME TO CALVIN ON-SITE COMPANY DESCRIPTION TAB COMPANY INFORMATION TAB AUDITOR INFORMATION TAB DOCUMENTATION/OBSERVATION TAB SECTION NAVIGATION SCORING AND FAIL/PASS INDICATORS DOCUMENTATION/OBSERVATION RESPONSES SECTION NOTES DEFICIENCIES TAB INTERVIEWS TAB INTERVIEWS RESPONSES EXECUTIVE SUMMARY TAB AUDIT STATUS RESULTS REPORT TAB AUDIT SUBMISSION Table of Contents

3 The Saskatchewan Construction Safety Association (SCSA) is an industry-funded organization that provides cost-effective, accessible, safety training and advice to the construction industry in Saskatchewan. The SCSA is committed to continually improving its products and services to ensure its clients are able to implement safety management practices in their workplaces through the most efficient and innovative means. Safety audits are an efficient, cost-effective, method of evaluating existing management systems and developing or improving a health and safety management system in a company. In an effort to provide SCSA Certificate of Recognition (COR ) certified companies and students the option of conducting safety audits digitally, the Electronic Audit Tool ( E-Audit Tool ) was established using in-house SCSA software. The Electronic Audit Tool consists of several features that are specifically designed to assist auditors in gathering and assessing pertinent information throughout the auditing process. 1 Page

4 An SCSA COR certified company may contact the SCSA Program Administration department to request access to the Electronic Audit Tool files in order to complete their upcoming COR Internal Maintenance Audit. Requests for the Electronic Audit Tool files must be placed (30) days prior to the expiry of the company s last Internal Maintenance Audit (COR certification anniversary date). Internal Maintenance Audit reports must also be completed and submitted to the SCSA prior to this date. SCSA Program Administration must verify the individual listed as the COR company contact prior to the SCSA releasing the following links via 1. A direct PDF download to the Electronic Audit Tool User Guide V A direct download to save your company-specific.dat working file 3. A direct download to install the Electronic Audit Tool desktop application After receiving this is received, follow the instructions in the Saving the Working Audit File and Electronic Audit Tool Installation sections to ensure the program files are properly saved and setup on your computer. For any requests or questions pertaining to the Electronic Audit Tool, contact the SCSA by [email protected] or call the Regina office at (306) and ask to be directed to the Program Administration department. 2 Page

5 This User Guide contains all of the information you need to install and use the Electronic Audit Tool from the moment you receive access to the required files, to the point of submitting your COR Audit to the SCSA. It is recommended that you keep the user guide saved on the same computer you will be using to install the desktop application for quick reference. To download and save the user guide, do the following: 1. Click on the link in the sent to you by the SCSA to the Electronic Audit Tool User Guide A window prompting you to open Electronic Audit Tool User Guide V1.0.pdf should pop up immediately. 2. Click the Save File radio button 3. Click OK 4. Click on the Desktop Note: It is recommended that the User Guide is saved on your desktop or a drive that does is does not require network or internet connection to ensure it is accessible at all times. 3 Page

6 COR companies requesting to use the Electronic Audit Tool will be sent an containing a link to save a working audit file. This working audit file is numbered according to the company s member ID and current audit cycle information housed in the SCSA database. Each year an updated working audit file must be generated by the SCSA and ed to the COR company contact upon request. Requests must be made (30) days prior to the expiry date (COR certification anniversary date) of the company s last Internal Maintenance Audit. Once the with the working audit file is received, perform the following steps: 1. Click on the link to the working audit file you received in the from the SCSA. (The link starts with and ends with.dat ) 2. Check off the Save File 4 Page

7 3. Click OK 4. Select the Desktop on the next window 5 Page

8 5. Click Save You have now saved the Working Audit File to your computer. This is the file you will need to input the information from your audit. This is also one of the files that must be submitted to the SCSA once all of the audit information is inputted and saved. Note: The Electronic Audit Tool program must be completely installed to your computer in order to open the Working Audit File. Review the Compatibility and Program Features section prior to following the steps in the Installation section to ensure the program will work on your computer. 6 Page

9 The Electronic Audit Tool desktop application contains the following system and program features: Compatible with Windows 7, 8, 8.1 and Microsoft dot.net 4.0 framework for older versions of Windows Not compatible with Mac OS operating systems Compatible with desktop PC (personal computers) and laptop devices Not compatible with Apple or Android devices Does not require internet connection Is easy to navigate and simple to follow Resembles the paper audit tool option in appearance and format Generates printable PDF audit results to report: summary of findings deficiencies corrective action assignment and tracking of duties action plan Note: The installation instructions in this guide are intended for a Windows platform only. 7 Page

10 1. Click on the link you to the Electronic Audit Tool Installer you received in the from the SCSA. This link will start with and in with.exe 2. Click Save File 3. Select the Desktop 8 Page

11 4. Click Save 5. Double click on the Electronic Audit Tool icon that you just saved to your Desktop 9 Page

12 6. Click Yes if you see a window pop up asking if you want to allow the program to make changes on your computer. If you do not see this window, skip this step. 7. Click Next on the Setup - Calvin On-site window 10 Page

13 8. Click Browse to select a destination folder location for the installation files other than the default C:\COS location shown. If you do not wish to change the folder location, skip this step. 9. Click Next 11 Page

14 10. Click Browse to select a location for the program shortcuts that will go in your Start Menu. If you do not wish to change the folder location, skip this step. 11. Click Next 12 Page

15 12. Check off the Create a desktop icon box. It is recommended that a desktop shortcut is created to grant full access to the Calvin on-site program at all times, without needing to be connected to the company server and/or access corporate drives. 13. Click Next 13 Page

16 14. Click Install 15. Check off the Launch Calvin On-site box to open the E-Audit Tool desktop application upon completing the setup. If you do not wish to do this, skip this step. 14 Page

17 16. Click Finish You have now installed the E-Audit Tool desktop application. Proceed to the Opening the E-Audit Tool and Working File section followed by the Main Page: Welcome to Calvin On-Site section to begin your E-audit. 15 Page

18 In order to launch the E-Audit Tool program, follow these steps: 1. Double click the Calvin On-site desktop shortcut to launch the Electronic Audit Tool program, if it is not already launched. 2. Select the Desktop where you saved your company-specific audit file (see Saving the Working Audit File section if you cannot locate the file). 16 Page

19 3. Select the AUDIT file 4. Click Open 17 Page

20 Once you have properly launched/opened the Electronic Audit Tool program, you will see the Welcome to Calvin On-site main page. Read the descriptions and instructions below for filling out each of the fields on this page, including: Company ID/Name, Audit Dates, Audit Location(s), Type of Audit, Type of Auditor, and Training Verification. The Company ID/Name on the main page coincides with your company information that is housed in the SCSA database. You cannot edit this field. If the information is incorrect, be sure to contact the SCSA to obtain the correct audit working file before starting to input any data. 18 Page

21 The Audit Dates field is for inputting the start and end dates of the audit in the year/month/day format (ex.2015/06/30). 1. Input the Start date of the audit in the first box. 2. Input the End date of the audit in the second box when it is known. The Audit Location(s) field is for listing all company office locations in the province that are covered by the COR certification. All offices are required to be audited annually. 1. List the full address(es) of all active worksites visited during the audit. 19 Page

22 The Type of Audit (Check all that apply) fields are for identifying the type of COR audit being conducted. Audit types include: Internal, External, Training, and Baseline: Internal Audit: A COR Internal Audit is a review of the company's health and safety management system conducted by a valid SCSA Internal Auditor within a company External Audit: A COR External Audit is an initial baseline review of the company's health and safety management system conducted by a SCSA Program Auditor that is required to achieve COR certification and/or the re-certification audit that is required every third year thereafter Training Audit: N/A in Saskatchewan Baseline Audit: A COR Baseline Audit is a preliminary review of the company's health and safety management system conducted by a SCSA Program Auditor, to achieve COR certification 1. Check off the applicable box. 20 Page

23 The Type of Auditor (Check all that apply) boxes are for identifying the type of auditor conducting the audit. Auditor types include: Auditor Type Internal: An internal auditor is someone who has received SCSA Safety Auditor Training and SCSA Internal Auditor Certification courses. External: An external auditor is someone who has received SCSA Safety Auditor Training, SCSA Internal Auditor Certification, and a SCSA Construction Safety Officer (CSO) designation Student: A student auditor is someone who has completed the two-day SCSA safety auditor course and is required to conduct and submit a practice self-audit to the SCSA within eight months of taking the course Peer: N/A in Saskatchewan 1. Check off all applicable box(es). 21 Page

24 The Training Verification (Name/Date) section is for identifying the full time permanent employee, or combination of employees, who have completed the (4) required COR training courses for a company to receive COR certification, along with the date in which each course was completed. SCSA s (4) COR training courses include: 1. Safety Management 2. Leadership for Safety Excellence with Proficiency 3. Safety Auditor Training 4. WHIMIS Train the Trainer (or) Basic Training Techniques Note: Since the SCSA Safety Management course is a pre-requisite for taking the SCSA Safety Auditor Training course, the same employee who successfully completed both courses must be named for verification. Also, the employee who is named for successfully completing the SCSA Safety Auditor Training course must submit a selfaudit to the SCSA for review and acceptance prior to achieving Internal Auditor Certification, and annual self-audits thereafter, in order to maintain auditor status. 1. Enter the full name of the employee(s) beside each SCSA courses listed. 22 Page

25 2. Enter the date the employee(s) successfully completed each course in the year/month/day format. Once you have filled out all of the fields on the main page, excluding the End date of the audit (you will have to come back to the main page and enter this once it is known), proceed to the Company Description tab. 23 Page

26 1. Click on the Company Description tab on the main page. 2. Enter a description of the nature of the business receiving the audit in the text box. 24 Page

27 3. Click on the Spell tab to check the spelling. 4. Click Save Changes and you will be redirected to the main page. 25 Page

28 The Company Description will appear red on the main page to indicate that company description information was saved. Once you have filled out the Company Description, proceed to the Company Information tab. 26 Page

29 The Company Information tab is for providing general information about your company. There are (13) different fields to fill out, including: Legal Name Address City Province Postal Code Phone Fax Key Contact Current number of workers WCB Account Number(s) WCB Industry Code(s) Nature and type of work 1. Click on the Company Information tab on the main page. 27 Page

30 2. Fill out each field Note: The Current number of workers field must be filled out to generate the required interview counts on the Employee Interviews and Management Interviews pages. 3. Click Save Changes and you will be redirected to the main page. Once you have filled out all of the fields in the Company Information window and clicked Saved Changes, proceed to the Auditor Information Tab section. 28 Page

31 The Auditor Information tab is for providing employer, contact and certification information about the auditor performing the audit. There are (11) fields to fill out, including: Auditor s Name Company (Auditor s Employer) Auditor s Certificate # Business Phone Cell Phone Fax Home Address City Province Postal Code 1. Click on the Auditor Information tab 29 Page

32 2. Fill out each field Note: Auditor Information is held confidentially by the SCSA and use solely for updating student records and verifying auditor certification. An auditor must have valid SCSA Safety Auditor Training to conduct and submit the company COR maintenance audits. Contact the SCSA office to obtain an Auditor`s Certification # and/or current auditor status, information. 3. Click Save Changes and you will be redirected to the main page. Once you have filled out all of the fields in the Auditor Information window and clicked Save Changes, proceed to the Documentation/Observation Tab section. 30 Page

33 The Documentation/Observation contains access to (16) different sections that must be completed for the audit, including: Section 1: Health Safety Policy Section 2: Hazard Assessment, Analysis and Control Section 3: Safe Work Practices Section 4: Safe Job Procedures Section 5: Company Rules Section 6: Personal Protective Equipment Section 7: Preventative Maintenance Program Section 8: Training Communication Section 9: Inspections Section 10: Investigations Reporting Section 11: Emergency Preparedness Section 12: Statistics Record Section 13: Legislation Section 14: SS1 Physical Conditions Section 15: SS2 Harassment Policy Section 16: SS3 Committees/Reps 1. Click the Documentation/Observation tab on the main page 31 Page

34 The Section 1: Health Safety Policy is the default window that will open up. Proceed to the Section Navigation section for an explanation on how to advance and return to each of the (16) sections in the audit. 32 Page

35 At any time during, you can advance or return to any section by clicking on the blue arrows located at the bottom right corner of each section. 33 Page

36 To be redirected to the main page from any section, click the Exit tab located on the bottom right corner of each section. 34 Page

37 There are guidelines ( GL ) for each question that can be viewed by clicking once on any part of the sentence portion of any question. Clicking on the question once more will switch the sentence from the guideline back to the original question. Example: The GL for for Q 1.1 in Section 1: Health Safety Policy 35 Page

38 The Total Possible Score, Section Score, and Fail (or Pass) indicators are located on the green bar above the blue Section arrows and Exit tab in each section. 36 Page

39 Total Possible Score The Total Possible Score is automatically tabulated, updated, and saved as each question is answered in the Doc and Obs columns for each section (see Audit Method section for more information). The value of this score is different in each section and will remain unchanged as this is the target amount you will need to reach. 37 Page

40 Section Score The Section Score is automatically tabulated, updated, and saved as each question is answered in the Doc and Obs columns. The Section Score will change as you go through and check off questions. 38 Page

41 Fail/ Pass The Fail or Pass reading is an indication if the section has or has not reached the minimum passing score achieved by checking off the Doc (documentation), Obs (observation), and Int (interview) boxes in the Audit Method columns as they are completed for each applicable question (see Documentation/Observation Responses section for more information). 39 Page

42 Target and Score Columns Target The Target column shows the maximum score for each question in a section. This value is fixed and remains unchanged as responses are recorded. 40 Page

43 Score The Score column grades each response depending on how it is answered. These values vary from question-to-question and are updated automatically as each response is recorded. 41 Page

44 The Audit Method columns are where positive and negative responses for each question are recorded. There (3) Audit Method columns: Doc, Obs and Int, each represent a different audit technique. Doc: Short for Documentation, this column records the documentation-related responses for each applicable question. Obs: Short for Observation, this column records the observation-related responses for each applicable question. Int Short for Interview, this column records the interview-related responses for each applicable question. Note: Documentation, Observation and/or Interview responses that are not applicable to a particular question are blocked off with black boxes by default. 42 Page

45 The Question Legend area contains (4) boxes: Exclude Question, No Response, Positive Response, and Negative Response. Exclude Question: By default, there is a green box with an (x) inside of it in front of each question in every section. Clicking once on these boxes makes them turn red and blocks out the Audit Method and Score columns with grey boxes, to indicate that the question has been eliminated from the audit. The section s total possible score is automatically adjusted when a question is excluded. Note: Check with an SCSA Auditor before excluding any questions you are unsure of to avoid having to revise and resubmit your audit. 43 Page

46 No Response: By default, the question boxes in the Audit Method columns for each section show an empty white box, indicating that the question has not been answered. To complete the audit, a positive or negative response should be recorded for all questions applicable to the audit. Positive Response: To indicate a positive response for one or more of the Audit Methods (Doc, Obs, Int) for a question, click once inside of the box (es). 44 Page

47 Negative Response: To indicate a negative response for one or more of the Audit Methods (Doc, Obs, Int) for a question, click twice inside of the box(es). The box will turn blue, indicating and tabulating a negative response for the question. Note: Each negative response indicates a separate deficiency. Comments must be recorded in the Deficiencies tab in the Section Notes area for each negative response for each section (See Deficiencies Tab section for more information). 45 Page

48 There are four tabs located in the Section Notes area at the bottom of each section, including: Observations, Recommendations, Auditor Notes, and Deficiencies. Observations: For recording comments related to any observations made while touring the audit location(s). These notes are useful for an auditor to recall information during the close out meeting, and for future reference for the company being audited. Recommendations: For recording comments related to suggested courses of action for improving the current health and safety program the company being audited currently has in place. Auditor Notes: For recording reminders and other personal notes the auditor may want to document for future reference; ex. asking the company being audited for further documentation relating to a particular audit section or question. Deficiencies: An area for the auditor to record all deficiency comments pertaining to the audit. Note: The Deficiencies notes box will only be accessible when negative responses are recorded. Deficiencies summaries and corrective action plans must be entered for every negative response (See Deficiencies Tab section). 46 Page

49 When the Section Notes tabs are clicked, separate notes boxes will pop up. There is a Spell Check tab located in the left bottom corner of each notes box. 47 Page

50 As is the case with every tab, once information is entered and the changes are saved, the tabs will turn red on the main page. The Observations, Recommendations, Auditor Personal, and Deficiencies Section Notes are to be filled out as you go through and answer the questions in each section. Proceed to the Deficiencies Tab section for an explanation on how to input the required information for each and every negative response recorded throughout the audit. 48 Page

51 Each question marked with a negative response is considered a deficiency that will automatically be listed in the Question Deficiencies window for each section. This provides the template for your company to develop the required corrective action plan for each deficiency. The view and complete the Question Deficiencies report that is automatically generated for each section, click on the Deficiencies tab in the Section Notes area 49 Page

52 Below is an example of a Question Deficiencies report that was generated for Section 1 after Questions 1.1 and 1.7 were recorded as having negative responses. 50 Page

53 Beside each Deficiency Question is the Deficiency and Corrective Action columns, as well as Assigned To and Complete By fields. 1. Enter meaningful Deficiency and Corrective Action statements in the appropriate columns for each Question Deficiency identified by the report. Note: There is no word limit for the information entered into these columns. Any information entered in the Question Deficiencies windows for each section will be generated in the Auditor s Report as a template for your company to use when implementing any corrective action needed. 51 Page

54 2. Use the Spell Check tab located beside each Question Deficiency to check the spelling. Note: The exact wording that is entered will show up when the Auditor s Report is generated. 52 Page

55 3. Specify a name of someone assigned to carry out the Corrective Action for each deficiency in the Assigned To: field, along with a deadline for each in the Complete By: field. 53 Page

56 4. Click the Save tab every time changes are made to the information. 5. Click Exit to return to the Documentation/Observations page for the Section. Once responses to every question, along with comments for each Section Notes and Deficiencies tabs, are recorded and saved for all (16) sections, proceed to the Interviews Tab section. 54 Page

57 The Interviews tab is located on the main Welcome to Calvin On-site. If you are currently within a section, click exit to return to this page. 1. Click on the Interviews tab The Employee Interviews page shows up as the default page. 55 Page

58 You can switch back and for between the Employee Interviews and Management Interviews pages by clicking on the tabs at the bottom of the page. 56 Page

59 The number of interviews required from employees and management is automatically calculated based on the number of workers entered in the Company Information tab. Example of an interview count based on 200 employees All employees and management are required to be interviewed for companies that state they have 9 employees or less in the Company Information tab. 57 Page

60 The Interview Result columns are where the responses (either Negative or Positive) of the employee and management interview questions are recorded. By default, all of the boxes in the Negative and Positive columns for both the Employee and Management Interviews pages will have a (0) in them, indicating zero recorded responses. 58 Page

61 To indicate a negative answer for any of the questions on the Employees and Management Interviews pages, click once on the plus sign of the box in the Negative column for that particular question. The number (1) will show up in the Negative box for that question, indicating that one of the interviewees responses for that particular question was negative. 59 Page

62 To indicate a positive answer for any question on both the Employees and Management Interviews pages, click once on the plus sign of the box in the Negative column for that particular question. The number (1) will show up in the Positive box for that question, indicating that one of the interviewees responses for that particular question was positive. 60 Page

63 To reverse the addition of a Negative or Positive interview response, simply press the negative sign on the appropriate box and the recording will be removed. As each of the interviewee s responses are recorded in the Interview Result columns, the number of Negative and Positive Responses are automatically calculated. 61 Page

64 Based on the number of Negative and Positive responses for each question, the Result column will automatically calculate whether the overall responses for a particular interview question yields a positive (P) or negative (N) as each response is recorded. Remember to click Save before leaving the Employee or Management Interviews pages to ensure the recorded responses are not erased. Once you have recorded and saved the responses for the Management and Employee Interviews, proceed to the Executive Summary Tab section. 62 Page

65 The Executive Summary tab on the main Welcome to Calvin On-site page is where an overview of the entire audit must be entered. 1. Click on the Executive Summary tab 63 Page

66 2. Follow the executive summary template from the SCSA Safety Auditor Training manual when entering the Executive Summary information. 3. Click the Spell Check tab to review the spelling and then click the Save Changes tab before exiting to the main page. 64 Page

67 The Executive Summary tab on the main page will appear red to indicate that the information was saved. Once you have filled out and saved the Executive Summary, proceed to the Audit Status section. 65 Page

68 After properly recording and saving your answers and comments in each section of the audit, a notification on the main Welcome to Calvin On-site page will show the status of the audit below the Company Information tab. Example of an incomplete/ failing audit status 66 Page

69 Example of an Incomplete/ Passing audit status Note: To avoid having to revise and resubmit your entire audit, go back and ensure all fields and sections are completed. 67 Page

70 Example of a Completed/Passing audit status Once the reading shows that you have both passed and completed the audit, proceed to the Results Report Tab section. 68 Page

71 The Results Report tab is where the Auditor s Report PDF file required for submission to the SCSA can be generated (see Audit Submission section for more information). 1. Click on the Results Report tab. 69 Page

72 2. Select the Desktop, or other location to save the audit report 3. Click Save 70 Page

73 The Auditor s Report PDF will take seconds to load in the window below The Auditor s Report PDF will then open automatically 71 Page

74 4. Save the PDF and print it off to have it signed and dated by both the Auditor and a Manager. Once the Auditor s Report is signed and dated, proceed to the Audit Submission section. 72 Page

75 The following three attachments must be ed to for the audit submission to be reviewed: 1. The completed Audit Working File (.dat file) 2. All pages of the signed and dated Auditor s Report PDF file 3. An update of the Employee Training Report (you will have received an employee training list in the mail with the rest of your audit reminder package). An SCSA Program Auditor will be assigned to review your submission. Please allow four-to-six weeks for the review process. Your company will receive an with the audit review attached along with instructions if any further action is required. For any questions pertaining to the Electronic Audit Tool, contact the SCSA by [email protected] or call the Regina office at (306) and ask to be directed to the Program Administration department. 73 Page