Office of Risk Management Loss Prevention Unit Manual

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Office of Risk ManagementLoss Prevention
UnitManual Audit Update
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HOW WE GOT HERE

• A BRIEF TIMELINE

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TIMELINE

• July 2004
• Directive from State Risk Director to revise
  current subjective, rating-based audit to an
  objective, score-based process
• First major overhaul since 1992
• Brainstorming sessions begin
• Multiple 2-day staff meetings held to review
  every audit question and section of the manual
• Improvements
• Additions
• Deletions

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TIMELINE

• August-December 2004
• Completion of 1st and 2nd drafts
• First time audit and manual are ever
  cross-referenced
• January-March 2005
• Submitted to Commissioners Office for review
• March 2005
• Point person in Commissioners Office resigns

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TIMELINE

• March-August 2005
• Responsibility of review process shifted
• Committee formed and review process starts anew
• Certain components sent within ORM and DOA for
  input
• August-December 2005
• Katrina and Rita
• Re-write process slows as Loss Prevention Units
  focus shifts to recovery/re-alignment efforts

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TIMELINE

• January-May 2006
• Review committee completes efforts and submits to
  new point person in Commissioners Office for
  final sign-off
• Several rounds of questions and clarification
• June 2006-Present
• Final, approved versions sent to 3rd party
  developer for integration into software

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WHO WAS INVOLVED

• ORM
• Loss Prevention staff
• State Risk Assistant Director and Director
• Claims
• Medical
• Transportation
• Underwriting
• Workers Compensation

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WHO WAS INVOLVED

• DOA
• Commissioners Office
• Fleet Management
• Flight Maintenance
• Legal
• OSRAP

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WHATS AHEAD

• Audit vs. Compliance Review (CR)
• Full audit once every 3 years
• 1/3 of agencies/year

FY 05-06 FY 06-07 FY 07-08 FY
08-09 FY 09-10
FY 10-11 CRs CRs
7/1/07 1/3 Audits (Group 2) 1/3 Audits
(Group 3) 1/3 Audits (Group 1)
2/3 CRs (Groups 2, 3) 2/3 CRs (Groups 1, 3)
2/3 CRs (Groups 1, 2) 2/3 CRs (Groups 2,
3)
12 Months
3/07
3/08 (Group 1) Roll Out
1/3 Audits (Group 1)
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WHATS AHEAD

• Compliance Review (CR) during other two years
• Self-audit required every year, due at the time
  of the audit or CR
• Lack thereof will result in failure of the
  audit/CR
• Prior to audit/CR, letter from agency head must
  be sent confirming readiness
• Due by 1st of the month prior to date of audit/CR

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WHATS AHEAD

• Automated audit process
• Self-audit will be available on STARS server
• Roll out to agencies as soon as STARS Compliance
  revisions are complete
• LPO will use tablet PC to conduct in-person
• Point values for questions, not for comments
• Additional Support
• Review trending reports from STARS
• Consult with agencies on particular concerns
• Target areas of high loss to lower claims

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Office of Risk ManagementLoss Prevention
UnitManual Audit Update
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General Safety Audit

• Components
• Program
• Safety Meeting Training
• Inspections
• Incident/Accident Investigation
• Recordkeeping
• Bloodborne Pathogens/First Aid
• Emergency Preparedness Plan
• Hazardous Materials

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General Safety Audit

• Program Requirements
• The written general safety plan should include
  safety responsibilities for all employees. The
  written safety responsibilities should
• Be presented to all employees during orientation
  and/or upon assignment to a new position with
  different/additional safety responsibilities
• Contain a documented method of accountability
• General and site/task specific safety rules
• Must be distributed to employees during
  orientation and such action documented

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General Safety Audit

• Safety Meetings Training Requirements
• Percentage of employee attendance at safety
  meetings must be calculated and documented
• Minimal acceptable attendance is 75
• Department/Agency head must attend ALL safety
  meetings

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General Safety Audit

• Safety Meetings Training Requirements cont.
• Mandatory training topics
• Drug and substance abuse
• Sexual harassment
• Required within one year of hire and at least
  every 5 years thereafter

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General Safety Audit

• Safety Meetings Training Requirements cont.
• Safety Committee
• Is a committee established
• Frequency of meetings should be based on agency
  class (Class A/Class B)
• Attendance and topic of meeting should be
  documented

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General Safety Audit

• Safety Meetings Training Requirements cont.
• If applicable, field safety coordinators should
  receive training on the following
• Accident investigation
• Inspections
• Safety meetings
• Supervisor responsibilities
• Job safety analysis

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General Safety Audit

• Safety Meetings Training Requirements cont.
• The agency loss prevention representative must
  attend the ORM Loss Prevention Program at least
  once every three years
• Documented, specific training should be provided
  to all employees who must perform new tasks or
  operate new equipment OR whose safety performance
  is unsatisfactory

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General Safety Audit

• Inspection Requirements
• Indicate number of potential/actual inspections
  conducted
• Percentage of inspections conducted must be
  calculated and documented
• Type inspection form used
• Departmental
• Agency/site specific

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General Safety Audit

• Inspection Requirements cont.
• Building inspection form should include the
  following topics
• Building safety
• Electrical safety
• Emergency equipment
• Fire safety
• Office safety
• Storage methods

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General Safety Audit

• Inspection Requirements cont.
• Is there a method in place for employees to
  notify management of workplace hazards?
• Hazard Control Log (HCL) or other acceptable means

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General Safety Audit

• Incident/Accident Investigation Requirements
• Investigation procedures should address the
  following
• Employee, visitor, and/or client situations (via
  the DA2000)
• Bodily injury and/or property concerns
• Use of the Incident/Accident Investigation form
  (DA2000)
• Must have designated employee review forms for
  completeness and accuracy

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General Safety Audit

• Incident/Accident Investigation Requirements
  cont.
• Job Safety Analyses (JSA)
• Annual documented training required
• Review of applicable JSAs in post-incident/acciden
  t situations

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General Safety Audit

• Recordkeeping Requirements
• Records that require, at a minimum, 5 years
  retention
• Bloodborne pathogens
• Drug testing and substance abuse
• Sexual harassment

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General Safety Audit

• Bloodborne Pathogens/First Aid Requirements
• Is the written program departmental or
  agency/site specific
• Training guideline for high-risk employees
• Within 3 months of hire
• At least once per year thereafter
• Training guideline for low-risk employees
• Within 12 months of hire
• At least once every 5 years thereafter
• Are spill procedures in place
• Spill kits maintained

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General Safety Audit

• Bloodborne Pathogens/First Aid Requirements
  cont.
• Does the agency location meet any of the
  following criteria
• Working with minimal/partial crew shifts
• Employees working in remote/isolated locations
• The on-site medical facility is closed
• If so, does the agency have someone available in
  these situations who is trained/able to render
  first aid

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General Safety Audit

• Emergency Preparedness Plan Requirements
• The written plan must address, at a minimum
• Fire
• Natural disaster
• Proximity threats
• Terrorism

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General Safety Audit

• Hazardous Materials Requirements
• Is the written program departmental or
  agency/site specific
• Plan should ensure that laboratory hoods are
  maintained/air flow calibrated
• If applicable, documented employee training is
  required on
• Hazard communication
• Lab safety
• Material Safety Date Sheets (MSDS)
• Personal Protective Equipment (PPE)

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General Safety Manual

• Revised - Sample Management Safety (Policy)
  Statement
• Revised Safety Meeting Report Form
• Revised - Sample Procedure for Incident/Accident
  Investigation
• DA2000 Must be filled out completely

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General Safety Manual

• Sample Blood Borne Pathogens Policy/First Aid
  Requirements
• Sample Bomb Threat Checklist
• Sample Hazard Communication Chemical Safety
  Program

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Driver Safety Audit

• Components
• Program
• Inspection Repair
• Training
• Records Forms

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Driver Safety Audit

• Program Requirements
• Requires written policies and procedures on all
  of the following topics
• Enrolling employees to drive
• High risk drivers
• Driver training
• Disciplinary action
• Claims reporting
• Accident investigation
• Identification of state vehicles

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Driver Safety Audit

• Inspection Repair Requirements
• Number of vehicles in fleet
• Documentation of preventive maintenance required

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Driver Safety Audit

• Training Requirements
• Refresher training required within 90 days
  for all employees receiving a conviction

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Driver Safety Audit

• Records Forms Requirements
• Authorized OR unauthorized driver list must be
  signed and dated
• Driver Accident Report Form (DA2041) must be
  faxed/emailed within 48 hours to ORM Claims
  Transportation Unit Supervisor

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Driver Safety Manual

• Sample procedure for authorizing drivers
• Instructions on how to review an Official Driving
  Record (ODR)
• Revised DA 2054 Authorization Driving History
  Form
• Sample Vehicle Checklist

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Bonds Crime Audit

• Components
• Program
• Employee Responsibility
• Security
• Key Control
• Internal Audits

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Bonds Crime Audit

• Program Requirements
• Written program must contain the following
  components
• Separation of duties
• Inventory control (including disposal)
• Purchasing
• Reporting losses/damages
• Investigation of losses/damages
• Timely reporting of losses to the correct ORM
  claims unit
• Handling negotiable items
• Securing vaults/safes
• Employee responsibilities

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Bonds Crime Audit

• Program Requirements cont.
• Comprehensive written security plan/policy must
  include, but is not limited to, procedures that
  address the following components
• Monitoring/controlling visitor access
• Securing all entrances and exits, both day and
  night
• Security system in place for all entry points
• Securing equipment located within agency
  buildings
• Limiting access to data on personal computers

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Bonds Crime Audit

• Key Control Requirements
• Written site-specific program must include the
  following
• Key/card log
• Procedures to change locks/codes
• Assigning responsibility for the program
• Methods for issuing, returning, and accounting
  for lost/stolen keys/cards
• Specific employee responsibilities/procedures for
  handling keys/cards

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Bonds Crime Audit

• Internal Audit Requirements
• No revisions made

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Bonds Crime Manual

• Sample Key Control Policy/Procedure
• Sample form Authorization for Building Access
  Card and/or Building Office Key

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Equipment Management Audit

• Components
• Program
• Personal Protective Equipment (PPE)
• Work Order System
• Lockout/Tagout (LO/TO)
• Boilers
• Elevators Fire Service Key/Equipment Room
• Confined Space

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Equipment Management Audit

• Program Requirements
• A written preventive maintenance schedule is
  required for mechanical and electrical equipment
• Schedule must include testing procedures on all
  equipment

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Equipment Management Audit

• PPE Requirements
• Written procedures must address procurement, use,
  maintenance, and disposal of PPE for the
  following
• Head, face, eyes, and ears
• Torso
• Extremities
• Hands and feet
• Respiratory System

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Equipment Management Audit

• Work Order System Requirements
• Written work order procedures must cover the
  following
• Scheduled preventive maintenance
• Reported problems
• Emergency problems
• Repairs must be made in a timely manner and
  documented
• Employee training required on work order
  procedures

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Equipment Management Audit

• Lockout/Tagout Requirements
• No revisions made

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Equipment Management Audit

• Boiler Requirements
• All items cited in the boiler inspection report
  must be corrected and documented

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Equipment Management Audit

• Elevators Fire Service Key Requirements
• Elevators
• Certificates must be readily available
• Fire Service Key
• Written procedures outlining the availability
• Must be provided to the designated personnel
• Provided to the local fire department or readily
  accessible upon their arrival

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Equipment Management Audit

• Confined Space Requirements
• Has a documented assessment been performed to
  determine if confined spaces exist?
• Written program must cover the following
• Training
• PPE
• Rescue
• Environmental testing
• Permits
• Training required on all components

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Equipment Management Manual

• Sample Lockout/Tagout Policy
• Sample Lockout/Tagout Inspection Form
• Sample Lockout/Tagout Procedure

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Water Vessel Audit

• Components
• Program
• Inspections Repairs
• Training
• Records Forms

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Water Vessel Audit

• Program Requirements
• Written program needs to include the following
  components
• Procedure for authorizing employees
• Definition of high-risk operators
• Procedure for determining high-risk operators
• Operator training
• Disciplinary action
• Claims reporting
• Accident investigation procedures
• Definition of State water vessels

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Water Vessel Audit

• Inspections Repairs Requirements
• Monthly inspections, using a written checklist,
  are required on BOTH powered and non-powered
  vessels

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Water Vessel Audit

• Inspections Repairs Requirements cont.
• Inspection checklist (for powered and non-powered
  vessels) must include the following items
• Fire extinguisher
• Personal Flotation Device (PFD)
• Sound signaling device (e.g. air horn)
• Flares
• Damage to vessel
• Communication device (e.g. radio)
• Lighting
• Towing trailer

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Water Vessel Audit

• Inspections Repairs Requirements cont.
• For all vessels 26 feet or longer, the
  appropriate Coast Guard inspections shall be
  conducted as required and all corrective actions
  performed/documented
• Preventive maintenance should be performed and
  documented for vessels of any size

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Water Vessel Audit

• Training Requirements
• All authorized employees who receive a conviction
  for a violation are required to attend (Boat
  Louisiana) refresher training within 90 days of
  conviction

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Water Vessel Audit

• Records Forms Requirements
• The list of approved operators must be signed and
  dated
• List must indicate annual verification of the
  operator record
• If accidents occur in a commercial vessel on
  navigable waters, a Report of Marine Accident,
  Injury or Death form (CG-2692) must be completed
  and submitted to the U.S. Coast Guard

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Water Vessel Audit

• Records Forms Requirements cont.
• For all accidents the applicable form must be
  completed and faxed/e-mailed within 48 hours to
  the appropriate ORM Claims Unit Supervisor
• Passenger Injury Report form (DOTD-03-18-3024)
• Private Vehicle Report form (DOTD-03-18-3023)
• Vessels less than 26 feet report to
• Claims - Property Unit
• Vessels greater than 26 feet report to
• Claims - Transportation Unit

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Water Vessel Manual

• Passenger Injury Report (Ferry)
• DOTD 03-18-3024
• Private Vehicle Report (Ferry)
• DOTD 03-18-3023

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Flight Operations Audit

• Program Requirements
• Written plan must follow Federal Aviation
  Administration (FAA) regulations
• All accidents require the Aircraft
  Incident/Accident Statement to be completed and
  faxed/e-mailed to the ORM Transportation Unit
  Supervisor

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Flight Operations Manual

• Aircraft Incident/Accident Statement

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Safety Training

• The section on Safety Training has been deleted
  from the manual. All requirements for training
  have been incorporated into each individual
  section.

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Thank you for attending!