Assessment Follow-Up Process
Objective
The objective of this document is to detail the Post Assessment Follow Up Process (AFUP). AFUP transfers these follow up activities to the subject matter experts, the auditors, and will lead to increase closure of assessment findings, less TCCC business unit assessment follow up work and less disruption to the business assessed (Facility). The auditors manage the AFUP and report AFUP progress to the business unit and Workplace Accountability (WA) on a monthly basis via an agreed upon report. As part of this process, the auditors will provide suggestions to the Facility to help them devise appropriate corrective action plans when needed.
Key Action Steps
1. Assessment Service Provider will clarify next steps following assessments. All final
assessments sent to the facility must be accompanied by a TCCC devised/approved
form letter/e-mail, based on the Facility rating. In rare cases, the auditor may be able
to verify corrective action for Orange Facilities through facility self-certification. In
such cases the auditor should review findings with the appropriate WAM to
determine whether the follow-up requirement can be waived.
2. Assessment Service Provider will validate the Facility Action Plan received from the
facility and acknowledge receipt and approval of the actions proposed via TCCC
devised/approved form letter/e-mail. The service provider will also use this written
communication to propose timing and send scheduling documentation for a follow-up
assessment, if required.
3. When an auditor encounters an Immediate Notification finding, they should
immediately notify the Workplace Accountability Manager for the business unit that
ordered the assessment and, if different, the WAM for the region in which the
assessment took place (as they may be in the best position to investigate and resolve
the issue).
4. Communication to the business unit and WA will be done on a monthly basis in the
form of an AFUP Report (see attached spreadsheet). The auditors will communicate
directly with the facility and report results to the business unit and WA, unless
otherwise instructed. Copies of Facility Action Plans, pictures and documentation
sent in by the facility are to be directed to the auditors only. The only communication
that should be directed to the business unit and WA are the monthly reports and a
copy of the completed self-certification documents.
Process Flowcharts
More details on the AFUP are outlined in the flowcharts attached in the Appendix of this document. Included are a series of high-level flowchart involving all parties: Auditor, business unit, WA and Facility for all potential assessment outcomes.