Glossary · Web viewObservation Tour Audit Steps Interview Instructions Supervisor Interviews...

Auditor Resources

This guide is intended to provide direction and information to auditors using the CCSA Excel Audit Workbook. For more information on auditing theory or COR procedures, please see your CCSA Auditor Training course manual.

Table of ContentsGlossary..................................................................................................................................2

Steps for Completing an Audit.................................................................................................6

Sample Pre-Audit Letter..........................................................................................................7

Request for Information Template..........................................................................................9

Pre-Audit Meeting Agenda....................................................................................................14

Document List.......................................................................................................................15

Sample Documentation Request............................................................................................18

Interview Instructions............................................................................................................20

SENIOR MANAGEMENT INTERVIEW RECORD.........................................................................22

MANAGEMENT INTERVIEW RECORD.....................................................................................30

SUPERVISOR INTERVIEW RECORD.........................................................................................43

WORKER INTERVIEW RECORD...............................................................................................56

Audit Observation Tour Guideline..........................................................................................66

Post-Audit Meeting Agenda..................................................................................................70

Glossary

Glossary

Audit An evaluation of an organization’s health and safety management system against an approved standard.

Audit Types:

Baseline Audit: an evaluation using the standard audit instrument and intended as a preliminary review of the employer’s health and safety system.

Certification Audit: a formal health and safety evaluation conducted by a certified auditor external to the employer to achieve a Certificate of Recognition.

Maintenance Audit: a formal health and safety evaluation conducted by a certified auditor for an employer to maintain their COR status between recertifications.

Qualification Audit: a formal health and safety evaluation conducted by an auditor candidate pursuing auditor certification.

Auditor An individual certified by a Certifying Partner to conduct health and safety audits.

Audit Start Date The date the auditor receives access (on or off site) to an employer’s health and safety documentation for the purpose of auditing the employer’s health and safety management system. This can be paper or electronic. This does not include activities to define the audit scope.

Audit End Date The date the auditor concludes the review of documentation, interviews, and observations for the purpose of auditing the employer’s health and safety management system.

Best Practice An agreed-upon method for conducting a specified task - usually established by industries, trades or groups of peers.

Boilerplating This practice involves copying all or a portion of an audit report from one audit and then re-using it for another audit, making very few changes.

Code of Ethics Statement which defines the ethical behaviours expected from a group or individual.

Code of Practice Selection of appropriate regulations and procedures specific to hazardous work.

Competent Worker Person who is adequately qualified, suitably trained, and with sufficient experience to safely perform work without supervision or with only a minimal degree of supervision.

Continual Improvement

Always striving to innovate, implement and improve on current conditions.

Contractor An individual or employer that is not covered under the hiring employer’s WCB account number, contracted to provide materials or services.

Critical Task A task with high potential for serious loss or injury.

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Glossary

Documentation Review

A validation method used in a health and safety audit, designed to determine if an employer has the required processes, policies, and procedures in place, and if adequate records are being kept.

Employee Anyone who works for an organization (e.g. senior managers, managers, supervisors, and workers).

Hazard A situation, condition, or behaviour from a physical, chemical, biological or psychological exposure that has the potential to cause harm.

Health Hazard: Has the potential to cause an acute or chronic condition, illness or disease from exposure (e.g. noise, dust, heat, etc.).

Safety Hazard: Has the potential to cause immediate injury (e.g. shear points, working at heights, etc.).

Hazard Assessment A written process to recognize existing and potential hazards at work before they cause harm to people or property.

Formal Hazard Assessment: Involves a step-by-step, ongoing process to identify hazards, evaluate risk (in order to prioritize hazards), and determine and assess control measures for an organization’s overall operations.

Site-Specific Hazard Assessment: The process to check for the introduction of any unexpected hazards, or hazards for which additional controls may be needed. These are used when:

work is conducted at temporary/mobile worksites, workers are conducting activities at a worksite not owned by their

employer, and/or a new activity has been temporarily introduced at the worksite.

Hazard Control Method used to eliminate or control loss

Engineering Controls: Preferred method of hazard control if elimination is not possible; physical controls are implemented at the design, installation, or engineering stages (e.g. guards, auto shutoff, etc.).

Administrative Controls: Processes developed by the employer to control hazards not eliminated by engineering controls (e.g. safe work policies, practices and procedures, job scheduling or rotation, and training).

Personal Protective Equipment (PPE): equipment used or clothing worn by a person for protection from health or safety hazards associated with conditions at a work site (e.g. gloves, safety glasses, fall protection, etc.). Used when engineering or administrative methods cannot fully control the hazards.

Imminent Danger In relation to any occupation, is

(a) a danger that is not normal for that occupation, or

(b) a danger under which a person engaged in that occupation would not normally carry out the person’s work.

Incident An undesired, unplanned, unexpected event that results, or has the potential to result, in physical harm to a person or damage to property (loss or no loss).

Inspection A planned, systematic evaluation or examination of an activity or work site,

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Glossary

checking or testing against established standards.

Interview A validation method used in a health and safety audit to gather and verify information about an organization’s health and safety system. Includes either formal discussion using standard questions, or a questionnaire.

Job The position or role a person has in an organization.

Job Inventory A list of all jobs produced from a systematic review of the organization’s operations.

Job Specific Training Training provided to support the safe and healthy performance of tasks related to a job.

Legislation Provincial or federal government standards in the form of written acts, regulations, and codes.

Manager A person who directs (and/or supervises) the affairs of a business, office, or organization.

Observation A validation method used in a health and safety audit designed to allow an auditor to observe and verify specific conditions at a work site.

Orientation A process used to familiarize employees to an organization, and communicate the employer’s expectations and critical information about a new job or situation.

Policy The documented principles by which an organization is guided in its management of affairs and overall commitment.

Records Employer documents retained on file as proof of activities.

Risk The chance of injury, damage, or loss.

Root Cause The absence of a best practice or failure to apply knowledge that would have prevented the problem. The process and/or management level deficiencies which contribute to an incident.

Safe Work Practice A written set of guidelines which establish a standard of performance for an activity or work process.

Safe Work/Safe Job Procedure

A written, step-by-step instruction of how to perform a task from beginning to end.

Senior Manager The most senior person(s) accountable for the operation under the scope of the audit.

Site Familiarization Brief escorted tour or discussion to allow the auditor to become familiar with the worksite(s) and any areas where special caution is required.

Supervisor A person in charge of or directing the activities of workers. Supervisor is a function, not necessarily a job or job title.

Task Any activity related to a specific job.

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Glossary

Team Audit More than one auditor participating in the audit.

Templating This practice involves using pre-crafted ready-made notes and recommendations for multiple audit reports. These notes and recommendations may be modified to include some specific findings but are for the most part unoriginal.

Unsafe Act Inappropriate action taken by a person that could result in loss.

Unsafe Condition A condition that could result in loss.

Visitor Any person present at the work site who is not under the direct control of the employer (e.g. courier). This does not include customers (e.g. students, hotel guests, etc.).

Work Site A location where a worker is, or is likely to be, engaged in any occupation and includes any vehicle or mobile equipment used by a worker in an occupation.

Worker Any person engaged in a job who is not a manager or supervisor. This may include volunteers.

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Audit Steps

Steps for Completing an Audit1. Pre-Audit Meeting This is to give a brief overview of the audit process. Attendees

should include appropriate senior management and labour representatives. Ensure that the whole site is made aware that the audit is going to take place. Optional – Use the Pre-Audit Meeting Agenda included in this package.

2. Familiarization Tour This is a short tour of the facilities included in the scope of audit. Someone knowledgeable with the whole operation should lead the auditor on this tour.

3. Review Documentation

This is a review of the applicable health and safety documentation. Use the Documentation List included in this package. Use the findings from the documentation review to score the appropriate audit questions.

4. Interviews Conduct the interviews that you have pre-determined using representative sampling requirements. Use the Interview Record Forms included in this package. Comment and score the appropriate audit questions.

5. Site Observation Tour

This is for verifying audit questions where the validation technique is listed as “Observation.” The Audit Observation Tour Guideline included in this package provides a format for visually verifying findings from your documentation review and interview results. Use the findings from the observation tour to score the appropriate audit questions.

6. Organize the Findings

Create a summary of your overall findings for the Post-Audit Meeting (Step 7).

7. Post-Audit Meeting The same people who attended the pre-audit meeting should be present. You will be reviewing the audit process, presenting strengths and recommendations, and answering any questions. An audit score should not be shared at the meeting. You can inform attendees that a final report, once approved through the Quality Assurance process, will be forwarded to the employer in a reasonable amount of time. Optional – Use the Post-Audit Meeting Agenda included in this package.

8. Final Report Once data gathering activities have concluded, you will prepare a final report that the organization can use for improving its health and safety system by completing the CCSA Excel Audit workbook. The Audit Report (found in the workbook) presents a full report of questions, scores, justification including strengths and weaknesses. The Executive Summary (found in the workbook) presents the organization with a summary of all the audit findings. The full and completed CCSA Excel Audit workbook, must be submitted to the CCSA within 21 days after the completion of data gathering activities.

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Pre-Audit Letter

Sample Pre-Audit Letter<insert date>

Good Afternoon <insert contact’s name>:

Thank you for contacting me to initiate the process for the upcoming <insert the employer’s name> <insert the audit type> audit. I look forward to working with you and your staff.

In order to begin preparing for the audit I require some information regarding your organization. Please complete the following information and return it by fax to my attention at <insert your fax number> or scan this letter and email it to me at <insert email address>:

Employer Name (as registered with WCB)

Employer Trade Name (if applicable)

WBC Account #: Industry Code:

Please complete the following information for each work site within your organization. (Note: if you require additional space please copy and paste the following chart onto a separate piece of paper and attach to this letter):

Site Name WCB Account(s)

Industry Code(s)

No. of Employees

Last Yr. Audited

Site 1 (Head Office):

Site 2:

Site 3:

Site 4:

Site 5:

Site 6:

Site 7:

Site 8:

Site 9:

Site 10:

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Request for information template

Site 11:

Site 12:

Site 13:

Site 14:

Site 15:

Site 16:

Site 17:

Site 18:

Site 19:

Site 20:

List of Alternative Work Sites (such as mobile sites or sites with no regular employee presence):

Please also provide a copy of the current <Insert Employer’s Name> organizational chart.

Thank you,

<insert your name>

<insert your job title>

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Request for Information Template <insert date>

Good Afternoon <insert contact’s name>:

Thank you for contacting me to initiate the process for the upcoming <insert the employer’s name> <insert the audit type> audit. I look forward to working with you and your staff.

In order to begin preparing for the audit I require some information regarding your organization. Please complete the following information and return it by fax to my attention at <insert your fax number> or scan this letter and email it to me at <insert email address>:

Employer Name (as registered with WCB)

Employer Trade Name (if applicable)

WBC Account #: Industry Code:

Please complete the following information for each facility or site within your organization. The table for Site # 1 should be completed for the head office or corporate office site, if applicable. (Note: if you require additional space please copy and paste the following chart onto a separate piece of paper and attach to this letter):

Site # 1 Facility or Site Name:

Total Number of Employees for Site # 1: (please provide breakdown by status and shift below)

Department

Status Shift

Department

Status Shift

FT PT Casual D E N FT PT Casual D E N

Senior Managers Recreation

Managers Rehabilitation

RN Education

LPN Social Services

HCA Other:

Housekeeping Other:

Laundry Other:

Dietary Services Other:

Administration Other:

Maintenance Other:

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Home Care Other:

Contractors Utilized? Volunteers Utilized?



DepartmentStatus Shift

DepartmentStatus Shift

FT PT Casual D E N FT PT Casual D E N



RN Education

LPN Social Services

HCAOther:

HousekeepingOther:

LaundryOther:

Dietary ServicesOther:

AdministrationOther:

MaintenanceOther:

Home CareOther:


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Department

Status Shift

Department

Status Shift

FT PT Casual

D E N FT PT Casual D E N



RN Education

LPN Social Services

HCAOther:

HousekeepingOther:

LaundryOther:

Dietary Services

Other:


MaintenanceOther:

Home CareOther:


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Department

Status Shift

Department

Status Shift

FT PT Casual




RN Education

LPN Social Services

HCAOther:

HousekeepingOther:

LaundryOther:

Dietary Services

Other:


MaintenanceOther:

Home CareOther:


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Department

Status Shift

Department

Status Shift

FT PT Casual




RN Education

LPN Social Services

HCAOther:

HousekeepingOther:

LaundryOther:

Dietary Services

Other:


MaintenanceOther:

Home CareOther:


If possible, please also provide a copy of the current <Insert Employer’s Name> organizational chart.

Thanks!

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<insert your name>

<insert your job title>

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Pre-Audit Meeting

Pre-Audit Meeting Agenda

AGENDAPre-Audit MeetingDateTimeLocation

Attendees:Please read: Documentation review list, Interview schedulePlease bring: A complete employee roster, complete with positions, shifts and rotation schedule

Introductions round table

Audit Purpose COR Certification/Recertification or Maintenance Report on OHSMS strengths and suggestions for improvement

lead auditor

Audit Scope Organization wide

lead auditor

Standards• COR Maintenance audit - minimum 60% overall; COR Certification

audit – 80% overall and no less than 50% in any one element• Auditors – Subject to quality assurance through certifying partner

(CCSA). 80% overall for internal auditors or 90% overall for external auditors and no critical errors to pass and be processed for COR

• Auditor Code of Ethics• The audit standard and audit instrument to be used

lead auditor

Audit Process a. Pre-audit meetingb. Documentation reviewc. Interviews representatives of all levels in all areasd. Observational Toure. Post-audit meeting

lead auditor

Dangerous work If encountered, a supervisor and/or manager will be notified

immediately

round table

Questions or comments round table

Additional Information:Use this section for additional information, comments, or instructions.

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Document List

Document ListThis list has been developed directly from the Partnerships Audit Instrument. Examples of specific types of documentation that may be used for validation are listed below.

Note: The start date for audit data-gathering activities is the date the auditor receives documentation even if this happens in advance of the first day on-site.

QUESTIONS DOCUMENTATION TO REVIEW1.01 Health and Safety Policy.1.05 Written statement of responsibilities, job descriptions, employee contracts, and

manuals, staff handbooks, etc.1.12 Health and Safety meeting minutes.2.01 Inventory of job positions, task or job inventories.2.02, 2.03, 2.04, 3.01

Completed formal hazard assessment forms. These may be titled formal hazard assessments, job safety analysis, etc. Note that site specific hazard assessments cannot be used to score these questions.

2.08 Training records of individuals conducting formal hazard assessments. Course material for hazard assessment training.

2.09 Formal hazard assessment policy and/or process.2.11 Documents outlining the policy/process and procedure for conducting site specific

hazard assessments.2.12, 2.13 Completed site specific hazard assessments.3.03 Completed formal hazard assessment forms, job procedures, work practices,

rules, job schedule or rotation of workers, training records.3.08 Documents outlining the policy and/or process for the preventative maintenance

process.3.09 Preventative maintenance records of equipment, tools, and PPE. Work order

records, defective equipment tags, written procedures/policy regarding the removal of defective equipment.

3.11, 3.12, 3.17 Violence Prevention Plan that includes policies and procedures3.14, 3.15, 3.17 Harassment Prevention Plan that includes policies and procedures4.01, 4.02, 4.03, 4.04, 4.09, 4.13

HSC and/or HSR policies, procedures, terms of reference, meeting minutes, etc.

4.05 Written statement of the HSC and/or HS representative duties and responsibilities4.06 Training records of HSC members and/or HS representatives4.09 HSC meeting minutes4.12 Documentation that supports corrective action were completed in a timely

manner, e.g. feedback forms, emails, HSC meeting minutes, communications, etc.

4.14 Meeting minutes and formal inspections5.01 Application forms (blank), hiring records, training records, copies of trade

certificates/diplomas/degrees, proof of apprenticeship program, driver’s license, etc.

5.02 Orientation records, orientation checklist, orientation package/contents.

5.04, 5.05, 5.09 Department/job specific training material and training records.

5.08 Completed competency assessments.

6.01 Policy and/or process to address the protection of others not under the employer’s direction.

6.02, 6.03 Policy and/or process for monitoring, evaluating and selecting other employers

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Document List

QUESTIONS DOCUMENTATION TO REVIEW

and/or self-employed persons

6.04 Orientation records, orientation checklist, orientation package/contents for visitors, other employees and/or self-employed persons.

6.08 Process for non-compliance of other employers and/or self-employed persons at the work site.

7.01 Health and Safety Policy and Procedures Manual, Inspection Policy and/or Process, inspection records, inspection schedule.

7.02 Inspection checklist (blank and completed), inspection reports.

7.03 Training records of individuals designated to conduct inspections.

7.04 Completed inspection reports, checklists, or forms.

8.01 Emergency Response Plans and/or Procedure

8.02 Emergency Response Plan and/or Procedure

8.05 Emergency Response drill records, minutes of meetings, emergency response table-top review exercises.

8.06 Drill - Emergency response records, minutes of meetings documenting review of drills, documents outlining corrective action or change in procedure as a result of the drills.

8.07 Actual Emergency - Response records, minutes of meetings documenting review of actual emergencies, documents outlining corrective action or change in procedure as a result of the actual emergency.

8.08 First aid regulations, first aid certificates, first aid training records, shift schedules of certified first aiders.

9.01, 9.05 Incident reporting procedure and/or process, reporting form (blank/completed).

9.03, 9.09 Completed incident investigation forms

9.04 Completed near miss and incident forms.

9.05 Incident investigation procedures.

9.06 Training records of individuals conducting investigations, investigation training course material.

9.09, 9.10, 9.11, 9.12

Investigation report forms (completed), investigation reports, memos outlining implementation of corrective action, minutes of meetings outlining results of investigation.

10.03 Company specific monthly, quarterly or annual health and safety reports, analysis of injury reports, graphical reports of health and safety statistics to show trends.

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Document List

QUESTIONS DOCUMENTATION TO REVIEW

10.05 Previous health and safety system evaluations.

10.07, 10.08 Health and safety action plans.

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Documentation Request

Sample Documentation RequestDocumentation review is one of the first data-gathering audit activities. Twelve (12) months of consecutive documentation must be prepared for the auditor before the start of data-gathering activities. The documentation should reflect the most recent 12 months and ideally the 12-month period since the previous audit.

Please have the following documentation prepared and readily available at the start of the audit.

Organizational chart List of employee names by department (if not included on organizational chart) Job descriptions, procedures, and practices Schedule or worker rotation records Application forms and hiring records Orientation records, checklists, orientation package/contents, competency assessments Training records, copies of certificates/diplomas. Department/job specific training materials and

records (such as supervisory training, new/transferred employee training, new task training, refresher training requirements, etc.)

Training requirements and documents for employees designated to conduct hazard assessments, inspections, and investigations

Training requirements, certificates, and shift schedules for certified first aiders Department/job specific training material and training records. Completed competency assessments. Health and safety policies and procedures Written statement of responsibilities/accountabilities for all levels Health and safety meeting minutes Hazard assessment forms, records, and policy/process documents (may also be referred to as

formal hazard assessments, job safety analysis, etc.) Site-specific hazard assessment forms, records, and policy/process documents Hazard assessment review and revision records (include documents outlining

process/procedure changes, decisions reached in meeting minutes, memos related to controls, supervisor log books, etc.)

Violence Prevention Plan including policies and procedures Harassment Prevention Plan including policies and procedures HSC and/or HSR policies, procedures, terms of reference, meeting minutes, etc. Written statement of the HSC and/or HS representative duties and responsibilities Training records of HSC members and/or HS representatives Documentation that supports corrective action were completed in a timely manner, e.g.

feedback forms, emails, HSC meeting minutes, communications, etc. HSC Meeting minutes and formal inspections Documents outlining the preventative maintenance policy and process for vehicles, equipment,

and tools. Preventative maintenance records, completed scheduled work documents, work order records, etc.

Policy and/or process to address the protection of others not under the employer’s direction. Policy and/or process for monitoring, evaluating and selecting other employers and/or self-

employed persons Orientation records, orientation checklist, orientation package/contents for visitors, other

employees and/or self-employed persons. Process for non-compliance of other employers and/or self-employed persons at the work site. Inspection policy and procedure documents (records, inspection schedule, checklists, reports

memos outlining corrective actions, etc.) Emergency response and evacuation plans, policies, and procedures

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Documents relating to emergency response drills, such as records of drills, minutes for drill review meetings, table-top exercises, etc.

Documents relating to actual emergency responses, such as records of response, minutes for response review meetings, documents outlining corrective actions or changes in procedure due to emergency

Incident reporting policy/process and forms for both near misses and incidents. Investigation report forms, memos regarding implementation of corrective actions, minutes of

meetings discussing investigations Organization specific monthly, quarterly, or annual health and safety reports, injury report

analysis, health and safety statistics and trend reports Previous health and safety system evaluations and action plans (with completion details) Health and safety communication records (newsletters, memos, bulletins, etc.)

Thank you for providing all relevant documentation. Please note that the auditor may request additional records or documents if applicable.

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Interview Instructions

Interview Instructions

The following instructions should be followed when using the interview record forms. They are designed so that a minimal amount of writing is required.

The column “QUESTION #” indicates the question number in the audit instrument that needs to be validated through interviews.

The column “QUESTION AND COMMENTS” provides the basic question that needs to be answered. It also has space allocated for recording responses.

The “RESPONSE” column is to indicate whether the interviewee was positive (+), negative (-), or non-committal (n.c.) in his/her responses. Non-committal responses will be counted as a negative, or a "no," when calculating response rates for each question.

Questions that have the “RESPONSE” column shaded are for the auditor's information and are not scored.

STEPS

1 Introduce and explain the interview process and purpose to the interviewee.

2 Discuss some of the interviewee’s background information, so that questions can be asked in a manner that relates to the individual's job. Make key word notes in the “Background Information” space.

3 Ask the questions on the form. Re-word them if needed. Expand on them if you didn’t get enough information. Record key words and comments in the space under the question.

4 Once the question is finished, place a “tick” mark in the space under the “RESPONSE” column that best reflects the interviewee’s answer.

Continue in this manner for all of the interviews. One set of interview record forms may be all that is needed to record all interview responses for an employee group (i.e. worker, supervisor, etc.).

All employee groups indicated in the audit question must be interviewed. Interview results are then combined to be able to calculate the percentage of positive responses. In order to achieve representative findings, interviews should not be discontinued.

For all-or-none questions, if the percentage of positive responses is less than what is stated in the auditor instructions, no points are awarded.

For range-of-points questions, the percentage of positive responses is used to calculate the proportion of points to award out the total points available for the specific question.

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If validation of a question requires two or more employee groups (e.g. worker, supervisor) to be interviewed, combine all the +, -, and n.c. responses for the applicable groups to calculate the percentage of positive responses for the audit question.

Remember – All interview records are completely confidential. Destroy the records once the report is completed and approved by the Certifying Partner.

EXAMPLE # 1 Question 1.09 - All-or-none scoring

10 points (full points awarded for 80% or higher)

10 employees interviewed

QUESTION NO. QUESTIONS AND COMMENTS

RESPONSE

+ - n.c.

1.09 How does senior management (i.e. the boss/the owner) communicate to you that health and safety is important? How often?

At staff meetings. Through newsletter. At Christmas luncheon

Of the 10 employees interviewed, 8 responded positively, 1 negatively, and 1 did not know. This is a 80% positive response, therefore the full 5 points are awarded.

EXAMPLE # 2 Question 1.04 – Range of Point scoring

0-5 points (points awarded are based on the percentage of positive responses from interviews)

10 employees

QUESTION NO. QUESTION AND COMMENTS

RESPONSE

+ - n.c.

1.4 What are some of the key points listed in the Health and Safety Policy?

Talks about commitment. Outlines responsibilities.

Of the 10 employees interviewed, 6 responded positively, 3 negatively, and 1 was non-committal. This is a 60% positive response. Therefore, 3 points out of a possible 5 points are awarded. This is calculated based on 60% proportion of the 5 available points (5 x .60 = 3)

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Senior Management Interviews

SENIOR MANAGEMENT INTERVIEW RECORD

QUESTIONNO. QUESTION and COMMENTS

RESPONSE

+ - n.c.

Background Information: What areas are you responsible for? How long have you worked here? How long have you been in this position? Do you take a lead role in formal hazard assessments? Do you directly supervise workers?

1.03 Auditor can reinforce that contactors can also include self-employed persons

How do you ensure employees are made aware of your H&S policy?


1.06 a. Can you provide some examples of how the three OHS Rights (right to be informed, right to participate, and right to refuse dangerous work) apply to the work

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you do?

b. Can you provide some examples of the health and safety responsibilities that have been assigned to you?

c. Can you provide some examples of legislation that is applicable to you under the Occupational Health and Safety Act, Regulation and Code?

1.08 Examples can include performance appraisals, discipline policy/process for non-performance, letters from employer, positive reinforcement by supervisors, job safety observations, management and supervisor reviews, etc.

How is your health and safety performance evaluated?

1.09 How do you communicate to employees that health and safety is important?

How often?

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1.10 How do you demonstrate your commitment to the company’s health and safety system?

1.13 Examples can include paid time, equipment, training, materials, and budget dedicated to health and safety needs, etc.

What kinds of resources are provided to implement and improve the health and safety system?

2.05 What are some of the high hazard (critical) tasks associated with your company’s operations?

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2.10 Auditor to determine if interviewee would be considered a lead for the purpose of hazard assessment review. Hazard assessment leads are those that lead the hazard assessment process. N/A if they are not.

Hazard Assessment Lead – When are formal hazard assessments reviewed?

3.05 How are changes to hazard controls communicated to you?

3.06 What hazard controls do you use?

3.13 What are some of the key points found in the Violence Prevent Plan?

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3.16 What are some key points found in the Hazard Prevention Plan?

4.07 Auditor to determine if interviewee would be considered a Health and Safety Committee (HSC) member or the Health and Safety Representative (HS representative). N/A if they are not.

HSC and/or HS representative – What are your HSC and/or HS representative duties and responsibilities?

4.08 What health and safety activities are performed by your committee members or health and safety representative?

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4.10 How can you provide feedback regarding health and safety concerns and complaints to your committee members or health and safety representative?

5.05 When an employee is hired or assigned a new job, task, or when an operational change affects their work, what type of training is provided?

6.06 How do you ensure other employers and self-employed persons are made aware of your H&S Policy?

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8.03 What type of training have you received in emergency response? (Examples: fire control, rescue, first aid, lock down, shelter in place.)?

8.04 What are your emergency response responsibilities?

9.02 What is the process you follow for reporting incidents (including near misses), occupational illness or work refusals?

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9.13 How do you communicate the results of incident investigations to workers?

10.02 How is health and safety information made available to you and your employees?

10.04 Describe your involvement in the performance of the health and safety management system (e.g. develop a health and safety plan for the upcoming year, provide resources for health and safety initiatives, etc.).

How are you held accountable?

10.06 How do you communicate the results of health and safety system evaluations to employees?

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Management Interviews

MANAGEMENT INTERVIEW RECORD

QUESTIONNO. QUESTION AND COMMENTS

RESPONSE

+ - n.c.

Background Information: What areas are you responsible for? How long have you worked here? How long have you been a manager? Do you take a lead role in formal hazard assessments? Do you directly supervise workers?

1.03 How do you ensure employees are made aware of the policy?


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1.06 a. Can you provide some examples of how the three OHS Rights (right to be informed, right to participate, and right to refuse dangerous work) apply to the work you do?

b. Can you provide some examples of health and safety responsibilities that have been assigned to you by your employer?


1.07 What are your responsibilities to ensure the health and safety of employees under your supervision?

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1.09 How does senior management (i.e. the boss/the owner) communicate to you that health and safety is important?

How often?

1.10 How does senior management demonstrate they are committed to your company’s health and safety system?

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What kinds of resources does senior management provide to implement and improve the health and safety system?

2.05 Only ask this question if it is determined the interviewee is the highest level of management within the scope of the audit.

What are some of the high hazard (critical) tasks associated with your company’s operations?

2.06 How does management participate in the formal hazard assessment process?

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2.10 Auditor to determine if interviewee would be considered a lead employee for the purpose of hazard assessment review. Hazard assessment leads are those that lead the hazard assessment process. N/A if they are not.


2.14 How do you involve affected employees in the site-specific hazard assessment process?


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3.07 How does managers/supervisors ensure you are using the established hazard controls to perform your work safely?

3.13 What are some key points found in the Violence Prevention Plan?

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3.16 What are some key points found in the Harassment Prevention Plan?



4.08 What health and safety activities are performed by the HSC members or HS representative?

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4.11 Can you explain how the HSC members and/or HS representative would make health and safety recommendations to management?

5.01 Examples can include degrees, diplomas, certificates, trade certificates, apprenticeship program, diplomas, driver’s licenses, etc.

How does the company verify that employees have the qualifications required to do the job for which they are being hired?

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5.03 How does your company ensure employees receive orientations prior to starting regular duties?

5.04 What type of training have you received to support your role as a manager/supervisor?


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5.07 How do you determine the competency of your: New workers?

Reassigned workers?

6.03 Explain how you monitor the health and safety performance of other employers and/or self-employed persons on the work site.

6.05 Work site parties can include contractors (including self- employed persons, visitors, prime contractors, supplies, service providers, etc.

a. How do you communicate with external work site parties regarding their health and safety responsibilities?

b. How do you communicate with external work site parties regarding work site hazards and controls?

c. How do you communicate with external work site parties when changes are made to a site that may impact their health and safety?

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6.06 How do you ensure other employers and/or self-employed persons are made aware of your H&S Policy?

6.07 How is health and safety information made available to you?


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9.02 What is the process you follow for reporting incidents (including near misses), occupational illnesses or work refusals?

9.07 How do managers/supervisors participate in the investigation process?

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9.13 How are incident investigation results communicated to employees?


10.04 Describe your involvement in the performance of the health and safety management system (e.g. develop a health and safety plan for the upcoming year, provide resources for health and safety initiatives, etc.).

How are you held accountable for the OHSMS?


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Supervisor Interviews

SUPERVISOR INTERVIEW RECORD


RESPONSE

+ - n.c.

Background Information: What areas are you responsible for? How long have you worked here? How long have you been a manager? Do you take a lead role in formal hazard assessments? Do you directly supervise workers?

1.03 How do you ensure employees are made aware of the policy?


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1.06 d. Can you provide some examples of how the three OHS Rights (right to be informed, right to participate, and right to refuse dangerous work) apply to the work you do?

e. Can you provide some examples of health and safety responsibilities that have been assigned to you by your employer?

f. Can you provide some examples of legislation that is applicable to you under the Occupational Health and Safety Act, Regulation and Code?

1.07 What are your responsibilities to ensure the health and safety of employees under your supervision?

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How often?


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2.05 Only ask this question if it is determined the interviewee is the highest level of management within the scope of the audit.

What are some of the high hazard (critical) tasks associated with your company’s operations?

2.06 How does management participate in the formal hazard assessment process?

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2.14 How do you involve affected employees in the site-specific hazard assessment process?


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4.08 What health and safety activities are performed by the HSC members or HS representative?

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4.11 Can you explain how the HSC members and/or HS representative would make health and safety recommendations to management?

5.01 Examples can include degrees, diplomas, certificates, trade certificates, apprenticeship program, diplomas, driver’s licenses, etc.

How does the company verify that employees have the qualifications required to do the job for which they are being hired?

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5.03 How does your company ensure employees receive orientations prior to starting regular duties?

5.04 What type of training have you received to support your role as a manager/supervisor?


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5.07 How do you determine the competency of your: New workers?

Reassigned workers?

6.03 Explain how you monitor the health and safety performance of other employers and/or self-employed persons on the work site.

6.05 Work site parties can include other employers (including self- employed persons, visitors, prime contractors, suppliers, service providers, etc.

a. How do you communicate with external work site parties regarding their health and safety responsibilities?

b. How do you communicate with external work site parties regarding work site hazards and controls?

c. How do you communicate with external work site parties when changes are made to a site that may impact their health and safety?

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6.06 How do you ensure other employers and/or self-employed persons are made aware of your H&S Policy?



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9.07 How do managers/supervisors participate in the investigation process?

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9.13 How are incident investigation results communicated to employees?



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Worker Interviews

WORKER INTERVIEW RECORD


RESPONSE

+ - n.c.

Background Information : What do you do? What department are you in? How long have you been with the organization? Do you take a lead role in the formal hazard assessment process? Are you on the HSC committee or the HS Representative?


1.06 a. Can you provide some examples of how the three OHS Rights (right to be informed, right to participate, and right to refuse dangerous work) apply to the work you do?

b. Can you provide some examples of the health and safety responsibilities that you have been assigned by your employer?


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Worker Interviews




How often?


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Worker Interviews



2.07 Auditor may have to explain formal hazard assessment, as the employer may use different terminology.

How are you involved in the formal hazard assessment process?



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Worker Interviews

2.14 How are you involved in the site-specific hazard assessment process?

2.15 How do you report new hazards, including unsafe or unhealthy conditions and practices?


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Worker Interviews



3.10 When and how is defective equipment, vehicles, facilities, or tools removed from service or for repair?

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Worker Interviews





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Worker Interviews

4.08 What health and safety activities are performed by your committee members or health and safety representative?


5.03 What was included in your health and safety orientation, and when did it occur?

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Worker Interviews

5.05 What type of training did you receive when you were hired, when a new task was assigned, or when there were operational changes that affected your work?

5.06 Practical demonstrations are considered an integral component of training. What are some examples of practical demonstrations you were required to complete as part of your job-specific training?


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Worker Interviews



9.13 How are the results from incident investigations are communicated to you?

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Worker Interviews

10.01 a. How is health and safety issues communicated to you?

b. How can you provide feedback on health and safety issues?


10.06 How have the results from health and safety system evaluations been communicated to you?

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Observation Tour

Audit Observation Tour Guideline

The audit observation tour is an important component of the audit validation process. It is done for two reasons:

1. To verify information obtained from documentation and interviews,2. To verify adherence to established organization standards.

INSTRUCTIONS: The auditor walks through the worksite(s) and verifies through observation the items identified in

the audit questions outlined below.

As the items are observed, the auditor notes their location and uses the "Notes" column to record what they saw.

An employee from the organization being audited must accompany the auditor during the observation tour. This is important in the event that on-the-spot changes need to be made in response to conditions observed (e.g. the existence of dangerous work).

OBSERVATION TOUR CHECKLIST

YES NO N/A

Management Leadership and Organizational Commitment

EXAMPLES

1.02 Health and Safety Policy is readily available to employees either in paper form, downloaded or stored electronically.

1.11 Health and Safety legislation is readily available to employees either in paper form, downloaded or stored electronically.

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Observation Tour

Hazard Control

3.02 Select several engineering controls from formal hazard assessment document and record them below. Confirm their availability through observation. Ensure engineering controls identified in relation to high priority hazards have been included in the sample.

3.04 Select several personal protective equipment examples from hazard assessment documents and record them below. Confirm their availability through observation. Ensure PPE controls identified in relation to high priority hazards have been included in the sample.

3.06 Select several controls (identified during employee interviews) from each category record them below. Confirm through observation that employees are using them.

Engineering Controls• • •

Administrative Controls• •

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Observation Tour

•

Personal Protective Equipment• • •

Joint Work Site Health and Safety Committee (HSC) and/or Health and Safety Representative (HSR)

4.15 Names and contact information of the Joint Work Site Health and Safety Committee members and/or the Health and Safety Representative(s) are posted.

Inspections

7.06 Select a sample of corrective actions identified on Inspection Checklists/Forms and record them below. Confirm their implementation through observation.

Emergency Response

8.09 First aid supplies and services are available

Kits meet legislative requirements

Are fully stocked

Vehicle first aid kits are available

Vehicle kits meet legislative requirements

Incident Investigation

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Observation Tour

9.10 Select a sample of corrective actions identified on incident investigation reports and record them below. Confirm their implementation through observation.

Additional Items - Random Observations

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Post-Audit Meeting

Post-Audit Meeting Agenda

AGENDAPost-Audit Meeting

Date:Time:Location:

Attendees: Attendee List

Introductions lead auditor

Audit Review

• Review of process and scope• Report on key strengths and deficiencies• Potential for limited scope audit (if applicable)

lead auditor

Next Steps

• Submission to CCSA for quality assurance review• Final Audit Report and Executive Summary provided on approval• Action Plan development

lead auditor

Questions or Comments round table

Additional Information:Use this section for additional information, comments, or instructions.

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