(Individual Owner-Operator Audit) Version 2.0

Transcription

1 IOO Audit (Individual Owner-Operator Audit) GUIDELINES Version 2.0 Designed for: Owner-operators with no other field employees Owner-operators with no more than one office support person 420 Albert Street, Nanaimo, BC V9R 2V7 Phone: Toll Free: Fax:

2 Table of Contents INTRODUCTION... 3 INSTRUCTIONS... 4 AUDIT METHODOLOGY... 5 AUDIT SCING... 5 CERTIFICATION AND MAINTENANCE AUDITS... 5 AUDIT SUBMISSION PACKAGE... 6 A. ALL WKERS... 7 B. EQUIPMENT OPERATS C. TRUCK DRIVERS D. MANUAL TREE FALLERS E. TRADE / TECHNICAL / PROFESSIONAL WKERS IOO Guidelines Revised: Page 2 of 16

3 Introduction This document consists of the Guidelines for the IOO Audit. The IOO Submission Package provides a convenient format for completing the audit. The IOO Audit has 5 sections: Section A All Workers All IOO Companies Complete this section Section B Equipment Operators Only Equipment Operators complete this section Section C Truck Drivers Only Truck Drivers complete this section Section D Manual Tree Fallers Only Manual Tree Fallers complete this section Section E Professionals Only Professionals complete this section All IOO s answer Section A questions and then only the remaining section(s) that apply to their work activities. For example, an IOO who operates an excavator and also low-beds the excavator to the site himself would complete Sections A, B and C. The IOO Audit has been developed by industry from all over the province and with all types of operations included. The Council developed the initial draft and then consulted with industry to hear what they believe the IOO should include. The TAC Team (Technical Advisory Committee) comprised of representatives from industry. The SAFE Companies Technical Advisory Committee and the Council s Program Committee were also essential in development of the IOO Audit. SAFE Companies and the IOO Audit represent industry safety standards. If you have feedback on the IOO Audit, please forward comments to safeco@bcforestsafe.org or by phone at Thank you for your commitment to SAFE Companies! IOO Guidelines Revised: Page 3 of 16

4 Instructions The IOO Audit is an audit document specifically designed to meet the requirements of the with the BC Forest Safety Council. This audit is designed for individual owner-operators who DO NOT hire any workers or contractors under them. If you hire any workers or contractors, you need to use the ISEBASE (2-5 employees or any non-dependent contractors) or SEBASE (6-19 employees). Occasionally, an additional person is needed on a few jobs. An IOO is permitted a temporary field worker for up to 10 working days during the year without jeopardizing their IOO status. Having a safety watch person does not affect the IOO status as long as that person is not providing any other service beyond safety watch. If the person is actively helping with work, then the business is no longer an IOO, so an ISEBASE audit must be submitted. More than one extra person (i.e. 3 in total) is NOT permitted. When completing the audit submission package, please refer to these guidelines for instructions on what materials need to be included as part of your audit submission. Guidelines contain regulatory references, value statements about how the question can be used to help the company, information on how to answer the question and instructions for what to submit with the audit If further information is needed, please contact the Quality Assurance Team at the Nanaimo Office of the Council for assistance (Telephone ). IOO are required to attend the IOO Health and Safety Training Course to be eligible for certification and to maintain certification under the. The company audit submission may be prepared by the IOO, company clerical staff or by an independent consultant who has also passed the IOO Occupational Health and Safety Training Course. IOO Guidelines Revised: Page 4 of 16

5 Audit Methodology The questions in the audit are answered with documentation and/or written explanations and supported by the Audit Verification Process and Council-initiated interviews. Documents are submitted to show that a particular type of practice is being conducted on a regular basis. Written explanations are given to describe how a practice or procedure occurs within a company or to clarify how a specific task is performed. Audit Scoring In order to successfully complete this audit, companies must provide acceptable evidence or explanations at least 50% of the time in every element and 80% overall. In every case where an element applies, companies must supply documentation evidence that shows they are performing to the required standard. This documentation must be for the months in the previous 12 months that operations have occurred. For example, if a company only operates for eight months of the year because of weather or work shortages, then only those eight months of documentation are needed to answer the question. Samples of machine maintenance documentation, for example, should cover all the 8 operating months, but is not expected to be from every machine on every site for the last year. A sample is a collection of documents selected from the overall available documents, throughout different time periods, to show continuing implementation of the safety program and compliance with the required standard. Certification and Maintenance Audits An audit is performed every year. The same audit document is used for certification, maintenance and recertification audits. A company s first audit is a Certification audit. The second and third audits are Maintenance audits. The fourth is a Recertification audit. The pattern then repeats itself. IOO Guidelines Revised: Page 5 of 16

6 Audit Submission Package A completed audit Submission Package should be forwarded by registered mail or courier or delivered by hand to: IOO Quality Assurance 420 Albert Street Nanaimo, BC V9R 2V The audit report may be constructed and submitted: By (please contact Council to confirm file transfer protocols and delivery address prior to sending); By CD or thumb drive; By a bound or stapled report. A template submission package Submission Package is available to assist in organizing the audit. In all cases the submission should be organized following the submission package order below: 1. Company Profile sheet; 2. IOO Audit Submission Form with all areas properly filled in; and 3. All supporting documentation as required by each audit question from Guidelines. Failure to submit all the required documentation may cause the audit to be delayed while the company supplies the absent information. This will delay the certification process. DO NOT SEND IGINAL DOCUMENTS. DOCUMENTS ARE NOT RETURNED TO THE COMPANY AFTER AUDIT REVIEW. IOO Guidelines Revised: Page 6 of 16

7 S = WCA section otherwise refers to OHSR A. All Workers A1 Does the IOO have appropriate first aid supplies and an Emergency Response Plan (ERP) that covers their work activities? Emergency Procedures ERP provides emergency contact information including: Operating location; Contact numbers (including client); Emergency equipment; Check in process; and Coordination with others on site. An ERP from clients, co-contractors and your own business so that you always have an applicable ERP. First aid supplies appropriate for their risks, kept available and in usable condition. ERP Provide a copy of the ERP for your largest project of the year. AND The type (Level) and location of your first aid kit(s). A2 Does the IOO have a travel plan? 4.21 Procedures for checking well-being of worker This will allow for a quick coordinated response to emergency situations. A travel plan is used with travelling alone to and from the worksite and includes: Destination information; ETA; and Late check in procedure. A travel plan for all trips. This may range from notes on a fridge to satellite check in to formal dispatcher time cards. Check In Plan (includes travel to and from the work-site, not just overnight travel) Explain how you check in. Provide a written man-check procedure. This information should be easily accessible at the home or office of your check in person. Failure to check in will start the search process. Attach a copy of documents that show your process is working for you. These could include: satellite check-in; pictures of check-in board or notes; dispatcher records or other. IOO Guidelines Revised: Page 7 of 16

8 A. All Workers A3 Does the IOO have appropriate current training? Qualified as referenced by specific Regulation Your training log provides you with a record of your current training including expiry dates. This also confirms your qualifications with BCFSC. This log provides you with an effective means to track your expiry dates and a record in case of loss of certificates. Current certification necessary for the jobs performed. This may include: 1 st Aid; Faller Certification; WHMIS; BC Driver s Licence; S-100; H 2 S Alive; and Professional designations. Training Provide photocopies of your current certificates (or driver s abstract). List or complete the training log of your current certifications. The information must include faller certificate number and driver's licence number, as applicable. Certification must be current as of the date of submission. DO NOT SUBMIT DRIVER S LICENCE COLOUR PHOTOCOPIES F PRIVACY REASONS. A4 Does the IOO have a Safe Work Procedure (SWP) appropriate for their work? 4.3 Safe machinery and equipment SWPs provide you with information including hazards of the job and ways to protect yourself and those around you from those hazards. By following SWPs, you reduce the risk of injury, incident or damage. SWPs for all the activities performed. These may come from a combination of your clients, licensees and your own program. Safe Work Procedures Provide a list of the Safe Work Procedures you use. AND Send in one Safe Work Procedure of your choice from that list for evaluation (different than last year if this is not your first submission). IOO Guidelines Revised: Page 8 of 16

9 A. All Workers A5 Does the IOO have a list of radio channels appropriate for their work area? 4.14 Emergency Procedures A radio log provides you with a list of frequencies required for travel on radiocontrolled and radioassisted resource roads and for emergency and operational contact on site. A list of the frequencies for their radio. Radio Channels Provide a list of the radio channels used. Tick here if you do not use a radio on resource roads or do not own that radio. A6 Does the IOO perform or participate in prework planning for their jobs? 4.1 Safe Workplace This reduces the risk of vehicle collisions and provides quick emergency response. A pre-work plan gives you site and job specific information. It includes: Host contact information; Work plan; Site hazards and controls; and Coordinated actions (ERP, 1 st aid, radio use, etc.) A pre-work plan ensures that you mesh with the activities on the site or are told the hazards of the site before getting into the job. The company has pre-work plans for all jobs. These can range from documents completely supplied by the client to a process for the IOO being the first person on the site and mapping out the hazards for all following workers and companies. These can be meeting minutes, formal plans, maps, dispatch notes, BCFSC log page or similar documents. Tick here if you submitted a compliant list within the last 3 years and have made no material changes since. Pre-work Planning Provide a description of how you receive pre-work planning information and from whom. AND Provide one completed pre-work plan for evaluation. Tick here if you did not work in the last year, so have no completed plans. IOO Guidelines Revised: Page 9 of 16

10 A. All Workers A7 Does the IOO host safety meetings or participate in other company s safety meetings? 3.2 Small Operations Your safety meeting log records monthly, weekly, daily or project safety meetings when you do not get minutes from your host. The IOO attends all meetings they are asked to attend and keeps the notes or minutes on file. Safety Meetings Provide at least 2 safety meeting minutes for your reporting year (not more than one per month). A8 Does the IOO keep up-to-date with industry safety issues and safety alerts? Attending safety meetings gives you the chance to bring forward important safety issues for other workers and to learn their issues Your safety alert log records relevant industry safety alerts and issues when they do not appear in minutes. Reviewing alerts increases your safety knowledge without having to learn it the hard way yourself. If alerts are not part of meetings, the IOO receives them elsewhere by mail, fax, or reading online. Tick here if you only had one meeting all year and attach minutes from that meeting. Safety Alerts Provide the names or numbers or topics of 3 alerts that you have read in the last year (must be different than last year s if this is not your first submission). Attach 3 safety alerts you have read (must be different than last year s if this is not your first submission). Tick here if the alerts are included in your safety meeting minutes submitted. IOO Guidelines Revised: Page 10 of 16

11 A. All Workers A9 Does the IOO report safety issues and hazards appropriately? S Reporting Unsafe Conditions Incident and hazard reports provide you with a way of telling others in your work area about hazards before they are hurt. The IOO can show that they communicate hazards to clients, cocontractors or appropriate authorities so that other people are not hurt. Incident and Hazard Reporting Provide 1 to 3 copies of completed incident / hazard reports that you have made and given to your client or other authority or responsible party. These can be actual forms, journal notes, tailgate meeting minutes with your report circled/highlighted, etc. AND Fill out the following: Types of hazards in my job: Road Wildlife People Vehicles Site Fatigue Other: What I did about the hazards Tell Supervisor Tell other (who) Fixed it (how): Tick here if you did not work last year. IOO Guidelines Revised: Page 11 of 16

12 A. All Workers A10 Self-Assessment Questions S116 The competency surveys provide important industry data to the BCFSC and give the IOO a chance to review their safety attitudes and opinions for continual improvement. The IOO should always be thinking about safety as a part of their whole business activities. Complete all of the survey questions. There are no right or wrong answers. The IOO receives the point if all questions have a Yes or No response. Comment space is provided, but is optional. B. Equipment Operators B1 Does the equipment operator keep appropriate 3.5 General requirement Keeping maintenance records not only shows you are caring for your machine, but can The IOO has a method of showing maintenance is happening. It can include: maintenance assist with taxation and Receipts for parts, supplies and records? warrantee claims. service; 4.3 Safe machinery and equipment See also Regulation specific to equipment type Pre-use inspection forms; Mechanic s reports; and Machine log book. Submit 1 week s worth of maintenance records for: Vehicle used to get to work site, if you operate that vehicle; and Your machine(s). AND If you provide or operate a vehicle used to transport 3 or more workers, provide the week s worth of pre-use inspections. In all cases, please select a week where maintenance was required. Tick here if you do not operate a vehicle to get to the work site. IOO Guidelines Revised: Page 12 of 16

13 C. Truck Drivers C1 Does the truck driver keep appropriate maintenance records? Commercial Transport, Vehicle Inspection and Standards, National Safety Code, Commercial Vehicle Safety Alliance and the Transport of Dangerous Goods. 3.5 General requirement Keeping maintenance records not only shows you are caring for your machine, but can assist with taxation and warrantee claims. Most truckers use the Commercial Vehicle Safety and Enforcement (CVSE) log to show this, but some use other methods. The IOO has a method of showing maintenance is happening. It can include: Receipts for parts, supplies and service; Pre-trip inspection forms; Mechanic s reports; Machine log book; CVI (Commercial Vehicle Inspection) reports; and CVSE log pages. Submit one-week of pre-shift / CVSE logs for your truck to show that you perform preshift inspections and address any maintenance issues found. Please select a week where maintenance was required. DO NOT SEND IGINALS. DOCUMENTS WILL NOT BE RETURNED. IOO Guidelines Revised: Page 13 of 16

14 D. Manual Tree Fallers D1 Does the faller keep the Faller Log Book up to date? (b) Faller Qualifications This allows you to quickly demonstrate records to potential employers and clients. An up to date faller log book. Please submit copies of the 3 most recent pages of your faller log book. D2 D3 Does the faller perform site hazard assessments? Does the faller keep man-check records appropriately? Procedures for falling and bucking (j) Procedures for falling and bucking Assessing hazards allows a safe plan to be developed to manage those hazards. In case someone goes missing, the man-check records will provide critical search and rescue information, saving critical time. Completed hazard assessments for all jobs. Written man-check records for every day that man-check was done with qualified assistance within 10 minutes. Please submit one completed site hazard evaluation. If you are evaluating fallers, the site hazard evaluation section of the faller evaluation. Please submit 1 week or daily man checks (or faller evaluations if you are evaluating fallers). Both your name and the name of the person checking must be on the form, preferably with signatures. State why the person is qualified assistance. IOO Guidelines Revised: Page 14 of 16

15 D. Manual Tree Fallers D4 Does the faller keep appropriate maintenance 3.5 General requirement Keeping maintenance records not only shows you are caring for your machine, but can The IOO has a method of showing maintenance is happening. It can include: records for the assist with taxation and Receipts for parts, supplies and saw, truck or other warrantee claims. service; equipment? 4.3 Safe machinery and equipment Pre-use inspection forms; Mechanic s reports; and Machine log book. Submit 1 week s worth of maintenance records for: Vehicle used to get to work site, if you operate that vehicle; and Your saw(s). Maintenance records may be invoices for parts or services or supplies or a journal or log. AND If you provide or operate a vehicle used to transport 3 or more workers, provide the week s worth of pre-use inspections. In all cases, please select a week where maintenance was required. D5 Does the faller have a method of managing Danger Trees? Falling dangerous trees BC Faller Training Standard Managing the few worst trees on a project has the most safety benefit. Danger Trees are assessed as required and the records kept. Tick here if you do not operate a vehicle to get to the work site. Please submit one danger tree assessment. Submit a Faller Evaluation where you were evaluating a faller and included Danger Tree information in the evaluation. Submit one plan for managing danger trees (JSB etc). IOO Guidelines Revised: Page 15 of 16

16 D. Manual Tree Fallers D6 Has the faller been BC Faller Highly-skilled jobs in any You are routinely evaluated to ensure Please submit one 23-page BC Faller evaluated by a Training industry require continued your continued competency. Training Standard Field Examination and Qualified Standard checking. Evaluation or other format acceptable to Supervisor? the Board that evaluates you. E. Trade / Technical / Professional Workers E1 E2 Does the worker have a method of routine check-in when in the field? Does the worker keep appropriate maintenance records for the vehicle and other equipment? Working Alone or in Isolation 3.5 General requirement 4.3 Safe machinery and equipment Many forest professionals work alone or in isolation, either in the bush or on the road to the bush. Slips, trips and falls are one of the major hazards in the bush and without a check-in procedure, an injured person in the woods can quickly become in serious trouble. Keeping maintenance records not only shows you are caring for your machine, but can assist with taxation and warrantee claims. The forest professional has at least one of many possible check-in methods working. They can be phone calls at designated times, family notice boards, paid services, electronic aids, planned contact time with clients, co-contractors or business associates. The IOO has a method of showing maintenance is happening. It can include: Receipts for parts, supplies and service; Pre-use inspection forms; Mechanic s reports; and Machine log book. Please describe how your working alone procedure works. Attach your working alone procedure from your safety manual. Tick here if you submitted a compliant method within the last 3 years and have made no material changes since. Submit 1 week s worth of maintenance records for: Vehicle used to get to work site, if you operate that vehicle; and Your machine(s) such as ATV s, snowmobiles, boats, etc. AND If you provide or operate a vehicle used to transport 3 or more workers, provide the week s worth of pre-use inspections. In all cases, please select a week where maintenance was required. Tick here if you do not operate a vehicle to get to the work site. IOO Guidelines Revised: Page 16 of 16