ConSASS Audit

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ConSASS Audit

ConSASS Stands for Construction Safety Audit Scoring System. Central to ConSASS are the audit Requirement and scorecard, which are used to evaluate the effectiveness and maturity level of the company’s occupational safety and health management system (SHMS)

ConSASS provides a profile of the development status and maturity level of each component of a worksite’s safety and health management system. this helps management to better allocate resources in order to elevate standard and improve the effectiveness in managing a worksite’s safety and health risks. as an assessment tool, conSASS can be used for cross-comparison between worksites in relation to their effectiveness in managing workplace safety and health risks

As per Regulation 9 of WORKPLACE SAFETY AND HEALTH (SAFETY AND HEALTH MANAGEMENT SYSTEM AND AUDITING) REGULATIONS 2009, it shall be the duty of the occupier of construction worksite to appoint a workplace safety and health auditor to audit the safety and health management system of the workplace at a frequency as specified below.

Any worksite with a contract sum of $30 million or more
 At least once every 6 months

The audit methodology includes document review, site inspection and interview of key personnel. The man days required for audits will vary according to audit criteria adopted for different types of workplaces.

The SHMS audit will be conducted in accordance with the relevant WSH legislation and guidelines set out for each industry. The audit will evaluate the SHMS based on the WSH Act and its subsidiary legislation, as well as the following documents:

Construction Worksites
 SS506-Part 1 OSH Management System (or) CP79 Safety & Health Management Systems or ConSASS

The audit will be conducted by MOM Approved WSH Auditors employed by MOM Approved WSH Auditing Organization.

The Construction Safety Audit Scoring System (ConSASS) is an audit tool which provides an independent assessment of the safety and health management system at a worksite.

ConSASS provides a profile of the development status and maturity level of each component of a worksite’s safety and health management system. This helps management to better allocate resources in order to elevate standard and improve the effectiveness in managing a worksite’s safety and health risks. As an assessment tool, ConSASS can be used for cross-comparison between worksites in relation to their effectiveness in managing workplace safety and health risks.

AUDIT OBJECTIVES:

  1. Unified assessment method in term of standardisation of audit requirement and adoption of a common audit scoring system. This would enhance the consistency in the auditing process and allow cross comparison of worksites in terms of the capabilities in managing safety and health risk.
  2. Mechanism to profile the maturity level for each element of the SHMS in a worksite. With availability of the maturity profile, the management of the worksite could systematically focus its attention to improve the weaker elements in order to elevate the overall maturity of their SHMS to manage safety and health risk.
  3. Determine whether Project’s WSH Management System, or parts of it, conforms to audit criteria;
  4. Determine the ability of the Project’s WSH Management System to ensure the organization meets applicable statutory, regulatory and contractual requirements
  5. Determination of the effectiveness of the WSH Management System to ensure the project can reasonably expect to achieving its specified objectives
  6. As applicable, identification of areas for potential improvement of the WSH Management System.

AUDIT CRITERIA:

ConSASS Requirement & Guidelines from Ministry of Manpower (MOM) & WSH Council

NORMATIVE REFERENCES:

  1. WSH Act
  2. Relevant WSH Subsidiary Legislations
  3. WSH (Safety & Health Management Systems and Auditing) Regulations 2009
  4. Fire Safety (Petroleum & Flammable Materials) (Amendment) Regulations 2015
  5. Relevant Approved Singapore Standards and Codes of Practices
  6. Ministry of Manpower Terms and Conditions for WSH Auditing Organizations
  7. Safety & Health Management Systems Manual for above Project
  8. Safety & Health Procedures for above Project
  9. ConSASS Audit Requirement Questionnaire
  10. ConSASS Audit Guidelines from WSH Council
  11. Appendix 1A Factsheet of ConSASS
  12. Ministry of Manpower Terms and Conditions for WSH Auditing Organizations
  13. CT 17 SAC Criteria for Accreditation of Auditing Organisations

AUDIT SCOPE:

Audit Scope covers all the work activities at the above project based on current scope of activity at site.

AUDIT METHODOLOGY:

  1. Audit Preparation;
  2. Conducting the opening meeting;
  3. Familiarization Tour of Project Site.
  4. Communicating during the audit;
  5. Collecting and verifying information;
    • Review of Documents / Records
    • Physical Inspection of Project Site
    • Interview of Key Personnel
  6. Generating audit findings;
  7. Preparing audit conclusions;
  8. Conducting the closing meeting;
  9. Preparation and Submission of Audit report

ROLES & RESPONSIBILITIES OF AUDIT TEAM:

Lead Auditor:

  1. Lead the audit team.
  2. Conduct opening meeting covering all relevant items as per auditing standard.
  3. Review the results of previous audits, if any.
  4. Ensure that audits are carried out according to requirements stipulated by Regulatory Authorities.
  5. Assign the tasks to audit team.
  6. Keep the client informed of audit progress.
  7. Reassign work as needed between the audit team members and periodically communicate the progress of the audit and any concerns to the client
  8. Where the available audit evidence indicates that the audit objectives are unattainable or suggests the presence of an immediate and significant risk (e.g. Safety), the audit team leader shall report this to the client.
  9. Review with the client any need for changes to the audit scope that becomes apparent as on-site auditing activities progress.
  10. Attempt to resolve any diverging opinions between the audit team and the client concerning audit evidence or findings, and record unresolved points.
  11. Review audit findings with his team.
  12. Conduct closing meeting covering all relevant items as per auditing standard.
  13. Present audit conclusions during closing meeting.
  14. Consolidate the audit report and send to WSH Auditing Department Head of WSH Auditing Organization (Greensafe International Pte Ltd).

Co-Auditor:

  1. Conduct audits according to requirements from Regulatory Authorities.
  2. Carry out audits as per audit itinerary.
  3. Discuss audit findings with lead auditor prior to closing meeting.
  4. Follow the directions given by lead auditor.
  5. Assist the lead auditor in presenting findings on clauses / elements audited by him during closing meeting.
  6. Prepare and submit to lead auditor with report on clauses / elements audited by him.

Auditee(s) / Guide:

  1. Establishing contacts and timing for interviews;
  2. Arranging visits to specific parts of the site or organization;
  3. Ensuring that rules concerning site safety and security procedures are known and respected by the audit team members;
  4. Witnessing the audit on behalf of the client;
  5. Providing clarification or information as requested by an auditor.

Technical Experts:

Technical Experts will be deployed as necessary for audits.

Testimony of Audit Conducted:

A testimony will be issued to the audited organization stating the company name, location, audit criteria, audit date and auditing organization name upon request.

CONFLICT OF INTEREST

Only conflicting issues directly related to the scope of audit shall be considered as conflict of interest and the following cases apply:

Examples of conflict of interest:

  1. The same person / Auditing Organization develops the corporate SHMS (including IMS) and conducts SHMS audit for any projects or at corporate level
  2. The same person / Auditing Organization develops corporate QMS/EMS and conducts SHMS for the project; or
  3. An Auditing Organization provides a WSH officer for Project A of ABC organization and conducts a SHMS audit for Project B of ABC organization;
  4. An Auditing Organization is part of a parent organization and the parent organization is audited by the Auditing Organization;
  5. An Auditing Organization audits a subsidiary of the same parent organization as the Auditing Organization though the subsidiary has influence over the decision making process of the Auditing Organization;
  6. The same person / Auditing Organization provides WSHO consultancy and conducts SHMS audit for the same project;
  7. An Auditing Organization provides WSH officer(s) to the same organization;
  8. The management of the Auditing Organization (including directors and shareholders) is part of or whole of a consultancy organization (including managerial capacity) which provides management systems consultancy and auditing to the same organization.

A recognized mitigation of this threat is:

  1. Personnel / Auditing Organization shall not be used to conduct the audit for a minimum of two years following the end of the consultancy of the corporate QMS/EMS, or
  2. Personnel / Auditing Organization shall not be used to conduct the audit for the duration of the project where consultancy was provided.
  3. In order to ensure that there is no conflict of interest, personnel including individual external auditors who have provided management system consultancy to the organization and including those acting in managerial capacity, shall not be used by the Auditing Organization to take part in an audit if they have been involved in providing management system consultancy to the organization for the past 2 years. The Auditing Organization shall not provide auditing services to a organization if any of the Auditing Organizations external auditors:
  4. is currently employed by the organization on contract of service or contract for service; or
  5. has been involved in providing management system consultancy of the organization for the past 2 years.

Application by Applicant Organization (Request for quotation)

Applicant organization submit the request for quotation for auditing service. Information to be provided by applicant organization:

a)        The desired scope of the audit;

b)        Relevant details of the applicant organization, including its name and the address(es) of its site(s), its processes and operations, human and technical resources (total manpower), functions, relationships and any relevant legal obligations;

c)        Identification of outsourced processes used by the organization that will affect conformity to requirements;

d)        The standards or other requirements for which the applicant organization is seeking auditing services;

Application Review

Upon receiving the application from the applicant organization, Success Safety will conduct a review of the application and supplementary information for auditing to ensure that

a)        Any known differences in understanding between Success Safety and the applicant organization is resolved;

b)        Success Safety has the competence and ability to perform the audit activities;

c)       The site(s) of the applicant organization’s operations, time required to complete audits and any other points influencing the auditing activities are taken into account (language, safety conditions, threats to impartiality, etc.).

After reviewing the application, Success Safety will inform the applicant organization’s authorized representative formally through email, whether the application has been accepted or declined. Where the application is declined, the reasons for declining the application shall be documented and made clear to the client. 

If the application is accepted, Success Safety will determine the number of auditors for the audit, the competences needed to be included in the audit team and the audit duration (based on Annex 2 to Appendix 1 of CT 17).

Determining Audit Time

The minimum time for conducting an audit will be determined in compliance to the requirements stipulated in below table as per Annex 2 to Appendix 1 of CT 17.

Audit Plan

An audit plan is established by Designated Auditors for each audit to provide the basis for agreement regarding the conduct and scheduling of the audit activities. 
The audit plan will be communicated, and the dates of the audit agreed upon, in advance, with the client.

On-site Audit

The audit team will conduct the on-site audit using the audit checklist provided. The on-site audit will include:

        • Opening meeting

        • Familiarization tour of the workplace

        • Obtaining and verifying information through

                – Interviews;

                – Observation of processes and activities (Physical inspection);

                – Review of documentation and records.

Audit Report

A written report will be provided to the client for each audit conducted.

a) SUCCESS SAFETY CONSULTANCY PTE LTD shall provide a written report for each audit to the client
b) The ownership of Audit Report belong to Success Safety Consultancy Pte Ltd and the client should not modify any information in that report.

Note:

a) Client does not use or permit the use of the Success Safety Consultancy Pte Ltd ’s audit report or testimony or the Success Safety Consultancy Pte Ltd’s mark in communication media such as the Internet, brochures or advertising, or other documents;

b) Client does not make or permit any misleading statement regarding the audit;

c) Client does not use or permit the use of an audit report or testimony or any part thereof in a misleading manner.

INFORMATION ON THE AUDITING ACTIVITY AND REQUIREMENTS

Upon agreeing with this agreement, SUCCESS SAFETY CONSULTANCY PTE LTD shall provide and update the following information to the client/auditee:
a) a detailed description of the audit activity, including the audit plan, audit schedule etc.
b) the normative requirements for the audit
c) information about the fees for auditing

IMPARTIALITY POLICY

SUCCESS SAFETY’s top management is committed to safeguard and protect impartiality in auditing services. SUCCESS SAFETY shall be impartial and be perceived to be impartial to deliver auditing that provides confidence.
SUCCESS SAFETY shall identified the importance and need for impartiality and shall have communicated to all internal and external personnel whoever involved in its auditing services. It is recognized by SUCCESS SAFETY that the source of revenue for its auditing services is its client paying for auditing, and that this is a potential threat to impartiality. In order to obtain and maintain confidence, SUCCESS SAFETY shall take decisions based on objective evidence obtained, and that its decisions are not influenced by other interests or interested parties.
SUCCESS SAFETY has identified the followings as a threat to impartiality:
a) Self-interest: threats that arise from a person or body acting in their own interest e.g. for financial self-interest.
b) Self-review: threats that arise from a person or body reviewing the work done by themselves e.g management system consultancy provided by AOs would be a self-review threat.
c) Familiarity (or Trust): threats that arise from a person or body being too familiar with or trusting of another person instead of seeking audit evidence.
d) Intimidation: threats that arise from a person or body having a perception of being coerced openly or secretively, such as a threat to be replaced or reported to a supervisor. SUCCESS SAFETY manages conflict of interest to ensure the objectivity of its auditing services.
PROCESS OF HANDLING COMPLAINTS AND APPEAL

REQUEST FOR ADDITIONAL INFORMATION & COMPLAINT/FEEDBACK

1. Any verbal complaints received will be requested to be confirmed in writing.  Only written complaints relating to auditing services operated by SUCCESS SAFETY will be processed in accordance with this procedure

2. All complaints are  referred to the Auditing Service Committee appointed by the Director of Success Safety which comprises Director, Auditing Manager, and external Auditors as its members.

3. The Auditing Service Committee will write to acknowledge receipt of the complaint and is responsible for establishing the relevance of the complaint.

4. The Auditing Service Committee is authorized to confirm the validity of the complaint for carrying out subsequent investigation, including tracking and deciding the appropriate action if any to be taken in response.

5. The Auditing Service Committee is responsible for advising the SUCCESS SAFETY management of all complaints received.  Details of all such complaints and resolution shall be recorded in the minutes of MR meeting.

6. The Auditing Service Committee is responsible for negotiating resolution of complaints with the complainant. They will advise the complainant about the outcome of the investigation. They will also decide, together with the client and complainant, how much information if any, including the outcome is made public

7. The top management will be kept informed on the progress of the complaint and final outcome of the investigation and corrective action if any.

8. When SUCCESS SAFETY is the subject of the nature of the complaint, the Auditing Service Committee is responsible to establish the relevance of the complaint and report to MR/Top management of the progress and outcome of the investigation. The final outcome of the investigation and action(s) to be taken shall be agreed by MR and communicated to the complainant and top management for follow up action.

9. When complaint against SUCCESS SAFETY that warrant a special visit to the client(s), the auditing Manager will determine the duration of the audit and type of audit to be conducted (partial or full assessment) taking into consideration the impartiality, responsibility, competence and openness of delivering the audit that gain/maintain public/stakeholders confidence. The planning of the audit such as Audit Plan and Audit Notification Letter to be provided to the client and reviewing of the report for auditing after audit shall follow same process as other normal audit with the exception of lack of opportunity for the client to object any of the auditors. The outcome of the special visits will be reported to the top management by the Auditing Manager for review.

10. If the complaint against the company director or senior staff, it can be difficult to handle, as there may be a conflict of interest for the staff investigating the complaint. When serious complaints are raised against director/ senior staff, it is particularly important that the investigation is conducted by an individual who is independent of the situation.  A serious complaint against director/ senior staff of SUCCESS SAFETY is a ‘notifiable event’, and as such the regulator/accreditation authority/governing authority shall be informed immediately.  It has also drawn up ‘regulatory expectations’ for the handling of serious complaints against the Director.  This specifies that SUCCESS SAFETY shall seek independent, professional advice to support in handling, and in some cases investigating, the complaint. These arrangements take account of the need to ensure that the final decision is fair, objective and impartial.

11. All relevant records are retained in the Complaints File for not less than six years from the date of the complaint.

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