AUDITOR RESOURCE: GUIDE TO INTERPRETING AND APPLYING THE AUDIT QUESTIONS

Transcription

1 AUDITOR RESOURCE: GUIDE TO INTERPRETING AND APPLYING THE AUDIT QUESTIONS

2 Table of Contents About this Document... 5 Audit Verification Techniques... 5 Step 1: Documentation Review... 6 Documentation Types... 6 Documentation Verification... 7 Documentation: Auditor Diligence... 8 Documentation: Application Documentation: Notes Element 1 Company Health and Safety Policy Element 2 Workplace Hazard Assessment and Control Element 3 Safe Work Practices Element 4 Safe Job Procedures Element 5 Company Rules Element 6 Personal Protective Equipment (PPE) Element 7 Preventative Maintenance Element 8 Training and Communication Element 9 Inspections Element 10 Investigations and Reporting Element 11 Emergency Preparedness Element 12 Records and Statistics Element 14 Joint Health and Safety Committee or Worker Representative Step 2: Observations Observations: Conducting Site Tours Observations: Auditor Diligence Observations: Application Observation: Notes Element 1 Company Health and Safety Policy Element 2 - Workplace Hazard Assessment and Control Element 3 Safe Work Practices Element 4 Safe Job Procedures Element 5 Company Rules Element 6 Personal Protective Equipment (PPE) Element 7 Preventative Maintenance Element 9 - Inspections Element 11 Emergency Preparedness Element 13 - Legislation Step 3: Interviews Interviews: Conducting Interviews Interviews: Time Management Interviews: Paraphrasing Questions Interviews: Auditor Diligence Interviews: Application Interviews: OMS Notes Element 1 Health and Safety Policy Element 2 Workplace Hazard Assessment and Control Element 3 Safe Work Practices Element 4 Safe Job Procedures Element 5 Company Rules Element 6- Personal Protective Equipment Element 7 Preventative Maintenance Element 8 Training and Communication Element 9 - Workplace Inspection

3 Element 10 Investigation and Reporting Element 11 Emergency Preparedness Element 12 Records and Statistics Element 13 - Legislation Element 14 Joint Health and Safety Committee Interviews: Workers Notes Element 1 Health and Safety Policy Element 2 Workplace Hazard Assessment and Control Element 3 Safe Work Practices Element 4 Safe Job Procedures Element 5 Company Rules Element 6 Personal Protective Equipment Element 7 Preventative Maintenance Element 8 Training and Communication Element 9 Workplace Inspection Element 10 Investigation and Reporting Element 11 Emergency Preparedness Element 13 Legislation Element 14 Joint Health and Safety Committee

4 The BC Construction Safety Alliance (BCCSA) is a non-profit organization funded by British Columbia s construction industry. COPYRIGHT This publication is the property of BCCSA. Reproduction in any form, by any means, in whole or in part, or use of this publication for other than the BCCSA is prohibited without the express written consent of the BCCSA. BACKGROUND The BCCSA has developed the Auditor Resource: Guide to Interpreting and Applying the Audit Questions as part of its ongoing mandate to provide resource material to COR auditors to assist them in producing quality audits. DISCLAIMER The information presented in this publication is intended for general use and may not apply to every circumstance. It is not a definitive guide to government regulations and does not relieve persons using this publication from their responsibilities under applicable legislation. The BCCSA does not guarantee the accuracy of, nor assume liability for, the information presented in this document. AUTHOR BC Construction Safety Alliance Agnes Street New Westminster, BC V3M 5Y4 P: (604) V 1.0 Published May

5 About this Document The Auditor Resource: Guide to Interpreting and Applying the Audit Questions is a tool intended to assist BCCSA COR Auditors in conducting an audit and is meant as a resource only. This tool does not replace the Certificate of Recognition (COR) OHS National Audit Document. Audit Verification Techniques The audit process contains a series of three verification techniques with weighted scoring. The combination of all three techniques is commonly referred to as DOI. 1. D = Documentation Review 2. O = Observations of Work Sites 3. I = Interviews 5

6 Step 1: Documentation Review Document review verifies the completeness and effectiveness of the written Health and Safety program. Document review also assists Auditors with interviewee selection and may identify some key points to confirm during the observational tour. A document may raise many questions and the auditor must be able to search for the answers. As the first method of verification in the COR Audit process, documentation review provides the auditor with a basic understanding of how the company is working. Documentation Types There are two types of documentation being reviewed in the audit process. 1. Safety Management System (SMS) Documents 2. Due Diligence (DD) Records Safety Management System (SMS) Documents What are they? Where to find them? SMS Documentation Examples Audit Question Examples Safety Management System Documents The basis for which the Safety Program is administered The Safety Manual Safety Policy Company Rules Orientation Procedures and Forms Incident Investigation Procedures and Forms Safe Work Practices and Safe Job Procedures (may also be considering DD) 5.4 Does the program address non-conformance and progressive disciplinary actions? 6.1 Is there a written policy for PPE? Documentation Review 6

7 Due Diligence (DD) Records When forms get completed They become Records, and this provides documented evidence that a company is DOING what is SAYS its going to do! Due Diligence Records What are they? Where to find them? DD Documentation Examples Audit Question Examples Documents proving the safety program is being followed Head office and Site Locations Employee Orientations Site Inspections Incident Investigations Hazard Assessments Pre-Use Inspection 5.5 Are the rules applied and enforced consistently with all employees? 6.2 Are workers made aware of the requirements for PPE? Documentation Verification Verifying documentation as sufficient vs. deficient is not as straight-forward as it sounds. Some documentation might be as simple as determining whether a particular statement exists, while other documentation may require hours of research to obtain a conclusion. There are two methods to verify a documentation question as sufficient: 1. Yes/No Method 2. Eighty Percent Method Yes/No Method The Yes/No method is the simplest method of verification and typically requires the auditor to find proof of sufficiency within a single document. Most SMS-related questions are simple Yes/No questions. Example Explanation 6.1 Is there a written policy for PPE? This requires a simple Yes/No verification because there either IS a policy, or there is NOT a policy. Documentation Review 7

8 Eighty Percent Method To award points for an eighty percent question the auditor must be able to locate at least 80% of the documentation required. Due diligence records represent almost all of the 80% questions. Having an allowance for 80% compliance makes is more likely for companies to be successful with COR while having room for improvement in future performance. Example Explanation 9.3 Is the required frequency being met? This requires a more complex approach in order to determine sufficiency. For example, the auditor would first need to know the required inspection frequency, and then measure the company s compliance with this frequency. The actual frequency would need to be at LEAST 80% compliant with the required frequency in order to get points. Documentation: Auditor Diligence Documentation questions are the most challenging to answer and keep track of. In some cases, the auditor would need to review the safety manual and a variety of due diligence records from a number of locations over a three-month time period in order to answer a single audit question. Proving diligence can prevent future issues related to auditor competency. The auditor should have a process for each documentation question that allows the auditor to defend their final assessment. Example Guideline Diligence Strategy 9.3 Is the required frequency being met? Verify that the frequency of inspections is being met as stated in the policy. Review the Inspection policy and determine which types of inspections are required. Compare the number of inspections completed against the number required. Projects Reviewed: 5 Months Sampled: 3 Type Frequency Required Located Simple Daily Supervisor Weekly Formal Monthly Totals Percentage Compliant 71% Documentation Review 8

9 Due Diligence Records Block Sampling Block sampling is the review of a prescribed quantity of documentation over a period of time as a means to determine sufficiency. The BCCSA requires that auditors review at least 25% of the past 12 months of documentation. There are some exceptions to the above-mentioned requirement where an auditor would require a different sampling. The tables below shows examples of block sampling where 25% over 12 months isn t practical: Example Sampling Explanation 1.5 Is [the Company Safety Policy] reviewed annually by management? The company would need to provide proof of an annual Safety Policy review for the past 3 YEARS in order to show a history. Example Sampling Explanation 2.1 Are written hazard assessments conducted as required? Many companies file hazard assessments under each project (as opposed to a straight chronological filing). In this case, it makes sense to get a sampling of projects completed over the past 12 months and review all hazard assessments instead of reviewing 3 months of records from all projects. Note: There should be at least 6 months (12 months is recommended) of supporting evidence that the company s OHS and/or IM/RTW program elements are functioning. The table below shows many of the due diligence records that will need to be viewed during the COR Audit process along with examples of the quantities needed. Element 1: Safety Policy Block Sampling Plan Meeting minutes or some other method to show an annual review of the Safety Policy has taken place. Previous signed safety policies do not count. 2: Workplace Hazard Assessment & Control Hazard assessments Examples: Job Hazard Analysis, Task Hazard Analysis, Pre- Job, Hazard Assessment, Field-Level Hazard Assessment 3: Safe Work Practices Field-generated Safe Work Practices 4: Safe Job Procedures Field-generated Safe Job Procedures 5: Company Rules Disciplinary records 6: Personal Protective Equipment PPE Inspection Records: Examples: Fall Protection Equipment. Respiratory Protection 7: Preventative Maintenance Quantity 3 years 3 months 3 months 3 months 12 months 6 months Documentation Review 9

10 Element Block Sampling Plan Inventory list of tools, equipment and vehicles Repair / maintenance records 8: Training & Communication List of employees Employee training records Supervisory training in Inspections & Health & Safety Responsibilities Training must include: Course information, Reference materials, Quiz / Test 8: Training & Communication Safety meeting minutes Examples: Joint OHS Committee Meetings, Toolbox Talks, Site Safety Meetings, Management Meetings, Other: 9: Inspections Inspections Examples: Site, Office, Shop, Other: 10: Investigations & Reporting Completed Accident and Near Miss Investigations 11: Emergency Preparedness Office / Shop Emergency Response Plans Site Emergency Response Plans 12: Records & Statistics Report of all incidents broken down by: First aid, Medical aid, Time loss, Return to Work (only if doing IM/RTW Audit) Records to show review of safety performance. Example: Management meeting showing discussion of incident types and loss time duration, or records to show communication of incident trends First aid records Previous COR Audit Action Plan. Ensure completed items are noted. 14: Joint OHS Committee / Worker Representative Joint OHS Committee Terms of Reference List of current Joint OHS Committee Members Joint OHS Committee Training Records Quantity All 25% of vehicles All 25% of employees, or New hires from the past 12 months. Whichever is smaller All supervisors Toolbox Talks: 3 months JOHSC and Management Meetings: 12 months Site: 3 months Office: 12 months Shop: 6 months 12 months 25% of locations in BC 12 months 12 months or 25 records, whichever is less Previous Year Most recent version Current reps All Documentation Review 10

11 Element Block Sampling Plan Joint OHS Committee Meeting Agendas & Minutes Quantity 12 months Important: Daily diaries, journals, and logbooks can provide acceptable proof that certain activities are being completed. Records must be presented in a reasonable time. Documentation: Application The following steps must be followed in order to apply documentation review: 1. Determine sample size 2. Gather/Review SMS & Due Diligence Records 3. Record results in audit question D column Documentation Review 11

12 Documentation: Notes Element 1 Company Health and Safety Policy Q #: 1.1 Q #: 1.2 Check to ensure the person that signed the health and safety policy is senior management. Verify the signatory is in the position stated on the policy, e.g. verify against an organizational chart or business card or state how this information is known. Is the policy dated within the last year? Diligence Strategy: SMS Commitment to health and safety must focus on a heathy work environment. Q #: 1.3 Q #: 1.4 Q #: 1.5 Q #: 1.7 Q #: 1.8 Diligence Strategy: SMS The statement in the health and safety policy must recognize the rights of the workers and relate to a healthy work environment. Is the policy dated within in the last year? Check to ensure policies are updated. Is there a review process in the health and safety manual? The policy may be reviewed at a Joint Health and Safety Committee meeting. The policy may be reviewed at a management meeting. It must be documented. Also, the changes should be shown if at all possible. Diligence Strategy: SMS Does the policy outline both responsibilities and accountabilities of all workplace parties? Policy may refer to a section in the health and safety manual that address accountability and responsibilities for all workplace parties. Diligence Strategy: SMS Spirit of consultation and cooperation terminology can be working together or a focus on joint effort. Documentation Review 12

13 Element 2 Workplace Hazard Assessment and Control Q #: 2.1 Q#: 2.2 Q#: 2.3 Q #: 2.4 Q#: 2.5 Q#: 2.6 Q #: 2.7 Q#: 2.8 (D, O) Q #: 2.9 Q #: 2.10 Q#: 2.11 Ensure the hazard assessments process in the safety manual is not singular. A Field level assessment is not good enough. Are the hazard assessments being conducted as per company policy? Hazard assessment must be created for each project. Verify what hazards are being assessed. The documentation must follow the policy or company process. Check the project(s) to be visited. Is there a definite assessment process that is ongoing? Process to state who is to conduct assessments and the documentation must be checked to ensure practice is being followed. Is the documentation following the assessment process in the health and safety manual? Check documentation to ensure the hazards are being identified. Assessment process must follow the process outlined in the manual. Ensure that all hazards identified are described using the priority system. The critical tasks list must be complete and match the company s activities. Is there documentation to identify if an assessment process was followed? State an example of a hazard control developed. Each documented hazard identified must have control identified. Is there a date when the hazard was identified and then put into place in a timely manner? Review hazard assessment conducted; which format is utilized to communicate the results to the workplace parties. Are all parties informed? Sample documentation to ensure process is followed. A sample of subcontractors will be required. 80% requirement. The management involved in the process must be identified. This may be digital or initials. The company s process if written should be used as the guideline. Documentation Review 13

14 Element 3 Safe Work Practices Q#: 3.1 (D, O) Q #: 3.2 (D, O) Q#: 3.6 Does the company have a list of tasks, if so; do the safe work practices a ccurately reflect the company's activities? 80% of the safe work practices must be developed to achieve the standard. Check to see if safe work practices have been evaluated for risk. These activities must match the company s activities. Diligence Strategy: SMS DD The documentation must demonstrate that the SWP s are reviewed for content. The documentation must demonstrate that SWP s are developed by O/M/S and workers. Element 4 Safe Job Procedures Q#: 4.1 Q#: 4.2 (D, O) Q #: 4.6 Does the company have a list of tasks, if so; do the safe job procedures acc urately reflect the company's activities? 80% of the safe work practices must be developed to achieve the standard. Check to see if safe job procedures have been evaluated for risk. Check to see if all critical task SJP s have been written. These activities must match the company s activities. The documentation must demonstrate that the SJP s are reviewed for content. The documentation must demonstrate that SJP s are developed by O/M/S and workers. Element 5 Company Rules Diligence Strategy: SMS Q#: 5.1 Are the rules clearly stated? Are the rules easy to understand? Q#: 5.4 Q#: 5.5 Diligence Strategy: SMSDD Are the processes addressing the company issues? These processes may be found in the health and safety manual or the human resource manual. Is management or supervisors enforcing the rules equally? Documentation Review 14

15 Element 6 Personal Protective Equipment (PPE) Q#: 6.1 Q#: 6.2 Q#: 6.6 Q#: 6.7 Q#: 6.8 Q#: 6.9 Diligence Strategy: SMS The policy may be the purpose or scope. Check the documentation to see how they are made aware of the requirement for PPE. A check mark in box is not good enough. Diligence Strategy: SMS The written procedures must match the different type of PPE that is being used by the company. Diligence Strategy : SMS/DD Instruction or training is to match the PPE being used or required by the employee. Diligence Strategy: SMS The documentation must match the company process. Documentation must be available for all PPE that must be inspected. Element 7 Preventative Maintenance Diligence Strategy: SMS Q #: 7.1 Does the inventory list include all items? Q#: 7.2 Q #: 7.3 Q #: 7.4 Q #: 7.5 Q #: 7.7 Ensure the documents match the regulatory standards. Check the checklist and schedules against the documentation. Are the checklists and schedules documented as per schedule? Are corrective actions all being documented? Do listed corrective action items recorded show status of completion? Diligence Strategy: SMS Ensure the process includes all types of equipment. Tools, Equipment 3 rd party provider s certification. Documentation Review 15

16 Element 8 Training and Communication Q#: 8.1 Q #: 8.2 Q#: 8.3 Q#: 8.4 Q #: 8.5 Q #: 8.6 Q#: 8.7 Q #: 8.8 Q#: 8.9 Q#: 8.10 Q#: 8.11 Q#: 8.12 Q#: 8.13 Diligence Strategy: SMS Check against the OHS Regulation This is a company orientation given to the employee prior to starting work. Project specific orientation does not meet the desired requirement. Diligence Strategy: SMS Match orientation document to OHS reg Diligence Strategy: SMS / DD Check for signatures are over 80% of orientations signed by both parties. Does each position outline the mandatory training requirements? Are the training requirements documented? 80% of training completed? Do training records match training requirements? Are job specific training documents maintained and in what format? List of instructors; do the qualifications listed match the training course. The training should be recognized such as: BCCSA, WSBC, or Employer Advisor. If the training conducted in-house or by other 3 rd. party; is there course materials available and or outline training program content and is there a method of measuring retained knowledge? Are there examinations or evaluation forms used at the completion of training or during? Sampling required of safety meetings (3 months) 80% requirement. Do documentation of safety meetings identify if senior management have attending safety meetings. Is there an attendance list and do the attendees match the workforce? Is it mandatory for all workers to be attending safety meetings? Are the meeting minutes documented? Is there a topic, employee suggestions and if required corrective action taken. Documentation Review 16

17 Q#: 8.14 Q#: 8.15 Are the employee suggestions documented? Sampling of 3 months of safety meetings. Are they being held as per policy? 80% requirement. Element 9 Inspections Diligence Strategy: SMS Q#: 9.1 The Policy may be a purpose or scope within the element. Q#: 9.2 Q#: 9.3 Q#: 9.4 Q#: 9.5 Q#: 9.6 Q#: 9.7 Q#: 9.8 Q#: 9.9 Diligence Strategy: SMS Check frequency for the inspections: it may include: equipment (pre-trip), project site (weekly), shop (monthly) and office (quarterly). Check inspections; sample the different types and confirm. 80% requirement. Check inspection forms being used and verify that they are consistent with those in the manual. Check inspection reports to confirm supervisor s involvement. 3 month sample 80% requirement Check inspection reports for worker involvement. Check against company policy requirements. Check all areas (office, shop, project, equipment) that are to be inspected. Are they being conducted as per policy? 3 month sampling 80% requirement. Check inspection reports for time frame. Are corrective actions meeting those requirements? Are they being corrected in a timely manner? 3 months, 80% requirement. Check inspection reports for proof of senior management participation. Does the participation match the company health and safety program requirements? Documentation Review 17

18 Element 10 Investigations and Reporting Q#: 10.1 Q#: 10.2 Diligence Strategy: SMS Check policy and reporting procedure. Should be two different documents. Review company investigation reports and check for: completeness and quality of findings and corrective actions. Check the investigators qualifications. Q#: 10.3 Q#: 10.5 Q#: 10.6 Q#: 10.7 Is the standardized form being used? Is the form being used properly? Is it being properly filled out? Who is using the form? The training should be recognized such as: BCCSA, WSBC, or Employer Advisor. If the training conducted in-house or by other 3rd. party; is there course materials available and or outline training program content and is there a method of measuring retained knowledge? Check the investigation report to see who is involved. Are they trained to conduct investigations? Are they identified in the policy? Is there evidence of near miss investigations? Do the near miss reports match the type of work being performed? Q#: 10.8 Do investigation reports identify the direct or indirect causes? Do they identify corrective actions Are they implemented in a timely manner? Q#: Is the senior management person reviewing investigation reports? Is there evidence on the investigation report? Documentation Review 18

19 Element 11 Emergency Preparedness Q#: 11.1 (D, O) Q#: 11.2 Q#: 11.3 Q#: 11.4 Q#: 11.6 (D, O) Are these plans available? Are they written to match the work on the project site? Are training records available for emergency response training? Is the training appropriate to the emergency response plan and the site conditions? Check documentation used to report emergency drill. Are there corrective actions; if so have the changes been made to the plan? The extinguishers locations should be identified on the diagram. All emergency equipment should be identified on the diagram. Check documentation to ensure both monthly and annual inspections of extinguishers are documented and up to date. Element 12 Records and Statistics Q#: 12.1 Check the process for completeness. Are the files up to date and available? Q#: 12.2 Q#: 12.3 Review the types of safety activities summaries. Quality of the summary Do they address leading and lagging indicators? Check documentation to determine when reports are generated and are they ongoing. Does management refer to these reports? Do workers or JOHS Committee members have access to the reports? Check meeting minutes. Conduct sampling 3 months 80% requirement. Q#: 12.4 Q#: 12.5 Q#: 12.6 Evaluate what type of health and safety performance is compared year to year. Are lagging and leading indicators compared? Is there a standard used? Are trends analyzed and some form or changes made to the health and safety program to eliminate deficiency? Documentation Review 19

20 The first aid records should be complete. The treatment should be properly filled and signed by the first aid person. Records should be kept secure. Records should be retained for a minimum of 3 years. Q#: 12.7 Q#: 12.8 The corrective action plan should be based on the audit results. Review the action plan and verify 80% of the corrective actions have been implemented. Element 14 Joint Health and Safety Committee or Worker Representative Q#: 14.2 Documentation to outline the terms of reference for the JOHS committee. Q#: 14.3 Q#: 14.4 Q#: 14.5 Training records for each committee member should be reviewed. 80% requirement. Training must be specific to duties and functions. Courses such as those offered by WSBC or Employer Advisor s office. Check meeting minutes or other related documents to ensure committee members are involved. Check the following documents to identify if JOHS members were involved in inspections, incident investigations, or the resolution of safety issues. The JOHS committee may review these documents at their meeting. Documentation Review 20

21 Step 2: Observations Observations: Conducting Site Tours The 2 nd verification method, site Observation Tours, require the auditor to answer a number of observation questions and have a solid understanding of the safety program requirements. It is important to visit active worksites, yet not interrupt critical operations while doing so. Each worksite visited must be 100% compliant with the observation question in order to receive a positive mark for the observation tour. For example, Observation question #6 asks Have critical safe job procedures been written to cover worker activities? In this case 100% of critical work observed must have a corresponding safe job procedure in place, otherwise this questions would receive a negative verification result. Observations: Auditor Diligence The auditor must know how they are going to ensure diligence in answering the question. The audit question guideline provides some guidance, however a diligence strategy is required in order to effectively determine a final result. Example Guideline 4.2 Have critical safe job procedures been written to cover worker activities? Determine if all critical safe job procedures have been written. Identify missing procedures as recommendations in the Auditor Executive Summary Report. Critical Task A task that has the potential to produce major loss to people, equipment, process or the environment. Observations 21

22 Diligence Strategy The SMS must include critical Safe Job Procedures. Observed critical work onsite must have relevant documented critical Safe Job Procedures. Any observed critical work onsite without a corresponding critical Safe Job Procedure would contribute to an insufficient mark for this audit question. Observations: Application The following steps must be followed in order to apply documentation review: 1. Print 1 copy of Observation questions per site that is planned to be visited, 2. Record results on Observation form, and make notes. These notes will be needed when writing the auditor comments. 3. Transfer to Observation Summary Tab in the Audit document. Notes: Information from the Observation Summary Tab gets automatically transferred to the O column of each E1-E14 tab. 50% of observation must be positive in order for a positive mark for the relevant audit question Observations 22

23 Observation: Notes Element 1 Company Health and Safety Policy Q #: 1.6 See if the company health and safety policy has been posted. It may be provided to workers in the form of a handbook or a copy of the health and safety manual. Provide location and/or state how it is made available to the worker. Element 2 - Workplace Hazard Assessment and Control Q #: 2.8 (D, O) Identify what control measures were required, and whether these controls were available and implemented in a timely manner. Provide 1 example of an implemented hazard control: Element 3 Safe Work Practices Q #: 3.1 (D, O) Q #: 3.2 (D, O) Q #: 3.4 Q #: 3.5 List at least 3 Safe Work Practices that were both observed on site and documented. Determine if safe work practices have been written. List 3 Safe Work Practices that are work activities which are high hazard. Applicable written practices must be readily available at each workplace and employees should be able to identify their location. Look for a copy of safe work practices on site and/or verify availability. Safe work practices may be observed by the auditor. Provide at least 2 examples observed on site. Element 4 Safe Job Procedures Q #: 4.2 (D, O) Q #: 4.4 Q #: 4.5 Determine if all critical safe job procedures have been written. Observe activities onsite. Observe if copies of the company s job procedures are readily available to employees at each worksite. Indicate where safe job procedures are located Element 5 Company Rules Q #: 5.2 Rules should be prominently posted in high traffic areas such as lunch rooms, job trailers, and offices or in the safety manual in a crew truck. Company rules may also be provided to workers in the form of a handbook or in a company safety manual on site. Provide location and/or state how they are made available to the worker. Observations 23

24 Element 6 Personal Protective Equipment (PPE) Q #: 6.3 Q #: 6.4 Q #: 6.5 (O) Some companies/employers may also provide basic PPE to workers. Indicate how basic PPE is accessible to all employees. How is specialized PPE made available to workers? Workers are to provide clothing needed for protection against the natural elements such as general purpose work gloves, appropriate footwear, and safety head gear. All other PPE is considered specialized and it is the responsibility of the company/employer to provide. Element 7 Preventative Maintenance Q #: 7.6 Verify that the steps outlined in the company policy/procedure are being followed. Element 9 - Inspections Q #: 9.10 Look to see if reports are posted, distributed, or otherwise communicated to employees. State where inspection reports are posted or communicated to workers. Observations 24

25 Element 11 Emergency Preparedness Q #: 11.1 (D, O) Q #: 11.5 (O) Q #: 11.6 (D, O) Q #: 11.7 Q #: 11.8 (O) Q #: 11.9 Q #:11.10 Is a plan is posted in appropriate locations and meets the needs of the worksite. 1 example of an appropriate emergency preparedness plan other than fire. Appropriate classes and sizes of extinguishers are readily available, sufficiently marked, and visible in all work areas. These may include; Class A: Ordinary combustibles such as wood, cloth, and paper; Class B: Flammable liquids such as gasoline, oil, and oil based paint; and Class C: Energized electrical equipment including wiring, fuse boxes, circuit breakers, machinery, and appliances. Confirm correct class, size and location. Ensure the extinguishers are inspected monthly. Ensure the extinguishers are inspected and maintained annually by a third party. Confirm correct class, size and location. Workers should have adequate means to contact emergency personnel. Examples: telephone, horn, or two way radio. State what emergency communication system(s) are used. Provide the date of most recent First Aid Assessment Verify that assessment requirements are being met. Refer to the company's First Aid Assessment for the required number of attendants and level of training. Observe that training certificates are posted/available and current. Ensure the First Aid Attendants are identified. State the number and level of first aid attendants that are required by assessment for a worksite. State how the employer transports a sick or injured employee to a medical facility. Describe the mode of transportation used to bring an injured employee to a medical facility. Element 13 - Legislation Q #: 13.1 The Workers Compensation Act (WCA), regulations, and applicable standards are required to be made available to employees and a notice posted indicating where a copy is available for an employee to review. Review the company s system for compliance. Indicate how legislation is made available to workers: Observations 25

26 Step 3: Interviews Interviews: Conducting Interviews Interviews are the third verification method used when conducting an audit and help to finalize the picture of how a company is operating in reference to their stated Safety Program Interviews 26

27 requirements. Ensure that interviews take place in a private area where interviewees will feel comfortable knowing their answers are not being overheard. Interviews: Time Management Interviews can range in time from minutes depending upon how much time the interviewee spends talking. Take time to record interview durations in order to improve planning accuracy. Interviews: Paraphrasing Questions The auditor is responsible to read the question in its original format, and then if the interviewee does not understand the question, then the auditor can paraphrase in order to increase comprehension. It is important for the auditor to pre-read the original audit question along with the interview question to understand what type of information is being sought. This will help paraphrase questions for interviewees. Example How to Paraphrase 1.9 Can you explain what the policy means to you? If you were to compare working for this company, which has a safety policy, to another employer that doesn t have any safety policy how would having a safety policy affect your work? Interviews: Auditor Diligence Interview Question Guideline Diligence Strategy 3.3 Are safe work practices easy to understand? Can you provide an example? During the audit interview process the majority of employees should be able to demonstrate an understanding of the company s safe work practices by describing some of the key points they contain. Review the Safe Work Practices in the Safety Manual. Know which practices would be relevant to the worker. Compare the workers response with what is documented Interviews: Application 1. Print 1 copy of, and 1 copy of per site visited. 2. Record results on form and make notes. These notes will be needed when writing the auditor comments. 3. Tally / Transfer the total to and 4. These results will automatically get calculated in the Note: Information from the Interview Summary Tab gets automatically transferred to the I column of each E1-E14 tab. 50% of interviews must be positive in order for a positive mark for the relevant audit question Interviews 27

28 Interviews: OMS Notes Element 1 Health and Safety Policy Q #:1.7 Q #: 1.9 (I) Quote statement that OMS personnel refer to: accountability and responsibility. Verify through interviews that interviewees understand the health and safety policy. Provide examples given during the interview process. Element 2 Workplace Hazard Assessment and Control Q #: 2.1 Q #: 2.2 Q #: 2.3 Q #: 2.9 Q #: 2.11 Examples of how hazard assessments are conducted; are they performed as outlined in the company s hazard assessment process. Can those interviewed state how hazard assessments generated? Can those interviewed state when and how they were involved in assessing hazards? Who are they by title? Are affected workplace parties informed of the results? This could include hazard assessments being posted or reviewed during health and safety meetings. Provide 1 example of how control strategies are communicated. Can interviewees explain how management is involved in reviewing, evaluating, and enforcing recommendations for hazard control processes? Element 3 Safe Work Practices Q #: 3.6 Can those interviewed summarize how management/supervisors/workers are involved in the development of SWP's? Can those interviewed summarize how management/supervisors/workers are involved in the review of SWP's? Element 4 Safe Job Procedures Q #: 4.6 Can those interviewed summarize how management/supervisors/workers are involved in the development of SJP's? Can those interviewed summarize how management/supervisors/workers are involved in the review of SJP's? Element 5 Company Rules Q #: 5.2 Q #: 5.5 Can interviewees provide location and/or state how they are made available to the worker? Provide examples of responses obtained through the interview process. Can interviewees explain the progressive nature of the discipline policy? Interviews 28

29 Element 6- Personal Protective Equipment Q #: 6.4 Q #: 6.7 Q #: 6.8 Can interviewees provide examples how PPE is available and in use by employees. Examples: protective glasses, welding shields, chemical goggles, fire retardant coveralls, chemical suits, impermeable gloves, personal fall protection, and respiratory protection. Can interviewees explain how PPE is accessible to the workers on site? Can interviewees provide 1 example of training that includes PPE? Can interviewees state two examples of selection criteria used for PPE? Element 7 Preventative Maintenance Q #: 7.2 Q #: 7.5 Q #: 7.7 Look for manuals and verify through interviews that manufacturer and regulatory standards are being met. Provide 1 example of a document indicating standards and regulations being met. Can interviewees describe the process to remove defective equipment from use? Does this meet the company s documented process? Do those interviewed know if a qualified individual is competent to perform inspections and maintenance? Element 8 Training and Communication Q #: 8.2 Q #: 8.5 Q #: 8.7 Q #: 8.9 Q #: 8.10 Q #: 8.11 Q #: 8.12 Q #: 8.14 Do interviewees confirm that there is a formal new hire orientation program and is it in place? Are all workers getting company new hire orientation. Not just site orientations. Could those interviewed list 3 examples of mandatory training that is required before a worker starts work. What are they? Give 1 example of job specific training and indicate whether it was taken. Provide examples of training in inspections and the trainers. 1 example of a document measuring knowledge and competency (e.g. quiz, performance review). List types of meetings held by the company excluding safety committee meetings. Examples: management meetings, general safety meetings including all employees, monthly safety meetings, toolbox/tailgate meetings. State which meetings senior management attends / participates in. How workers are given the opportunity to present their concerns? Are workers given the opportunity to present their concerns? Provide examples of responses given. Interviews 29

30 Element 9 - Workplace Inspection Q #: 9.5 Q #: 9.8 Q #: 9.9 Q #: 9.10 Describe how you are performing inspections, when and why. Provide an example of a corrected deficiency and provide examples of responses given during the interview process. Explain how senior management is involved in the process. State where inspection reports are posted or communicated to workers. Element 10 Investigation and Reporting Q #:10.2 State who conducts serious incident investigations. Q #: 10.5 Q #: 10.7 Q #: 10.8 Q #: 10.9 (I) Provide examples of documented training supervisors have received and responses given during the interview process. Describe the process used for reporting close calls. Provide 1 example of a corrective action being implemented. Was it implemented in a timely manner? Describe how corrective actions are communicated to workers. Element 11 Emergency Preparedness Q #: 11.2 Q #: 11.7 Q #: 11.9 Q #: Provide at least 2 examples of training identified in the plan that has been provided. State what emergency communication system(s) are use. State the number and level of first aid attendants that are required by assessment for a worksite. Describe the mode of transportation used to bring an injured employee to a medical facility. Interviews 30

31 Element 12 Records and Statistics Q #: 12.8 Element 13 - Legislation Provide 1 example of a corrective action plan item that was implemented. Q #: 13.2 (I) Q #: 13.3 (I) Q #: 13.4 (I) At what stage is legislation referenced by managers/supervisors? Management and supervisors must refer to legislated safety requirements when planning and bidding on projects. Knowing applicable requirements is essential when conducting site hazard assessments and developing project safety plans. Examples: high voltage limits of approach, steep roof work requirements, working over water, working in enclosed or confined spaces, etc. State 1 right and 1 responsibility that workers were able to recall. List two types of incidents that must be reported to a WorkSafeBC. Element 14 Joint Health and Safety Committee Q #: 14.1 (I) Q #: 14.4 Q #: 14.5 Indicate how employees are able to discuss safety issues with representative(s). Provide 3 examples of JOHS Committee or Worker Representative(s) functions: Describe their involvement: inspections, incident investigations, or the resolution of safety issues. Interviews 31

32 Interviews: Workers Notes Element 1 Health and Safety Policy Q #: 1.6 Provide location and/or state how it is made available to the worker. Q #: 1.7 Q #: 1.9 (I) Quote statement that worker personnel refer to: accountability and responsibility. Verify through interviews that interviewees understand the health and safety policy. Provide examples given during the interview process. Element 2 Workplace Hazard Assessment and Control Q #: 2.1 Q #: 2.2 Q #: 2.3 Q #: 2.9 Examples of how hazard assessments are conducted; are they performed as outlined in the company s hazard assessment process. Can those interviewed state how hazard assessments generated? Can those interviewed state when and how they were involved in assessing hazards? Who are they by title? Are affected workplace parties informed of the results? This could include hazard assessments being posted or reviewed during health and safety meetings. Provide 1 example of how control strategies are communicated: Element 3 Safe Work Practices Q #: 3.3 (I) Q #: 3.4 Q #: 3.5 Q #: 3.6 During the interview process the majority of employees should be able to demonstrate an understanding of the company s safe work practices by describing some of the key points they contain. Provide examples provided by employees. Indicate where SWP's are located and provide examples of responses obtained for this question. Safe work practices may be observed by the auditor and/or through the interview process. Provide at least 2 examples observed on site. Can those interviewed summarize how management/supervisors/workers are involved in the development of SWP s? Can those interviewed summarize how management/supervisors/workers are involved in the review of SWP's? Interviews 32

33 Element 4 Safe Job Procedures Q #: 4.1 Q #: 4.3 (I) Q #: 4.4 Q #: 4.5 Q #: 4.6 List at least 3 safe job procedures that were both documented and provided during interview. During the interview process the majority of employees should be able to demonstrate an understanding of the company's safe job procedures by describing the step by step process for any procedure. Provide examples of responses during the interview process. Provide examples of worker response to this question and list at least 2 examples observed on site. The majority of employee interview responses must confirm an understanding of where safe job procedures are kept. Indicate where safe job procedures are located and provide examples given during the interview process. Can those interviewed summarize how management/supervisors/workers are involved in the development of SJP s? Can those interviewed summarize how management/supervisors/workers are involved in the review of SJP's? Element 5 Company Rules Q #: 5.2 Q #: 5.3 (I) Q #: 5.5 Can interviewees provide location and/or state how they are made available to the worker? Workers should be able to identify some of the rules that apply to them. List 2 company rules that were referenced most often? Provide examples of responses obtained through the interview process. Can interviewees explain the progressive nature of the discipline policy? Element 6 Personal Protective Equipment Q #: 6.2 Q #: 6.3 Q #: 6.4 Q #: 6.7 Are workers able to identify what PPE is required for their work? Examples required. Indicate how basic PPE is accessible to all employees: Can interviewees provide examples how PPE is available and in use by employees. Examples: protective glasses, welding shields, chemical goggles, fire retardant coveralls, chemical suits, impermeable gloves, personal fall protection, and respiratory protection. Can interviewees explain how PPE is accessible to the workers on site? Can interviewees provide 1 example of training that includes PPE? Interviews 33

34 Element 7 Preventative Maintenance Q #: 7.5 Q #: 7.6 Can interviewees describe the process to remove defective equipment from use? Verify that the steps outlined in the company policy/procedure are being followed. Element 8 Training and Communication Q #: 8.2 Q #: 8.5 Q #: 8.11 Q #: 8.12 Q #: 8.14 Do interviewees confirm that there is a formal new hire orientation program and is it in place? Are all workers getting company new hire orientation, not just site orientations? Could those interviewed list 3 examples of mandatory training that is required before a worker starts work. What are they? List types of meetings held by the company excluding safety committee meetings. Examples: management meetings, general safety meetings including all employees, monthly safety meetings, toolbox/tailgate meetings. State which meetings senior management attends / participates in. How are workers given the opportunity to present their concerns? Are workers given the opportunity to present their concerns? Provide examples of responses given. Element 9 Workplace Inspection Q #: 9.6 List the types of inspections workers are involved in. Q #: 9.8 Q #: 9.10 Provide an example of a corrected deficiency and provide examples of responses given during the interview process. State where inspection reports are posted or communicated to workers. Element 10 Investigation and Reporting Q #:10.2 State who conducts serious incident investigations. Q #: 10.4 (I) Q #: 10.7 Q #: 10.8 Q #: 10.9 (I) Verify through interviews that workers know and understand the reporting process for incident, accident, and near miss occurrences. List the steps that the workers indicated during interviews. Describe the process used for reporting close calls. Provide 1 example of a corrective action being implemented. Describe how corrective actions are communicated to workers. Interviews 34

35 Element 11 Emergency Preparedness Q #: 11.2 Q #: 11.7 Q #: 11.9 Provide at least 2 examples of training identified in the plan that has been provided. State what emergency communication system(s) are used. Do interviewees know who the first aiders are on site? Element 13 Legislation Q #: 13.1 Indicate how legislation is made available to workers. Q #: 13.3 (I) State 1 right that workers were able to recall. State 1 responsibility that workers were able to recall. Element 14 Joint Health and Safety Committee Q #: 14.1 (I) Q #: 14.4 Q #: 14.5 Indicate how employees are able to discuss safety issues with representative(s). Provide 3 examples of JOHS Committee or Worker Representative(s) functions. Describe their involvement: inspections, incident investigations, or the resolution of safety issues. Interviews 35