Heavy Construction Safety Association...

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Heavy Construction Safety Association of Saskatchewan Inc.

Audit Instrument Audit Instrument

Developed by:

Heavy Construction Safety Association of Saskatchewan Inc.

Acknowledgments The Heavy Construction Safety Association of Saskatchewan Inc. (HCSAS), extends sincere appreciation to the Alberta Construction Safety Association for

allowing us to use their materials as a guide in our production. HCSAS The Heavy Construction Safety Association of Saskatchewan Inc., is an association fully funded by the Saskatchewan Worker's Compensation

Board. The Association's goal is to assist employers in the "R" group classification in safety-related matters. HCSAS's prime objective through this course is to provide quality advice to construction employers and employees, in order to reduce both human

and financial costs in the construction industry. Copyright Material which is produced herein from the Audit Instrument by the Alberta Construction Safety Association, is subject to their copyright. To the

copyright is extent that the material is original, copyright belongs to the Heavy Construction Safety Association of Saskatchewan Inc. Reproduction in any form by any means in whole or in part or its use, other than with the express written consent of the copyright holder is

prohibited. Information compiled by: Heavy Construction Safety Association of Saskatchewan Inc. Phone: (306) 585-3060

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© 2017 Heavy Construction Safety Association of Saskatchewan Inc.

GENERAL GUIDELINES Auditors must be certified by the Heavy Construction Safety Association of Saskatchewan Inc. (HCSAS), prior to using this evaluation tool. Permission must be obtained from HCSAS prior to its use. Reproduction of this tool is prohibited by copyright law. Completing the Document All spaces under verification techniques must be completed by using a(n):

“√ ” when a credit is given. “X” when no credit is given.

All verification that are marked with an “X” must have comments to justify. Awarding partial points is NOT acceptable. To verify a question using “AND”, both responses from technique must be positive for points to be awarded. To verify a question using “OR”, a positive response is needed using one of the verification techniques for points to be awarded. Non-applicable: The use of non-applicable (N/A) must be justified. Its use must be clarified in written detail with a comment or explanation, and points adjusted accordingly. Any changes to the audit must be initialled by the auditor in ink. Indicate the individual who has completed all four (4) of the HCSAS COR™ courses. There must be at least one person on staff who has all four courses for the Certificate of Recognition to be issued/recognized. List how many WCB lost time incidents have taken place in the last year (since the time of the last audit). Failure to complete this evaluation as directed may result in rejection of the evaluation by the HCSAS.

Evaluation Information Sheet

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Audit Dates Locations Included in the Audit (specific locations)

Company Data Legal Name: Total Number of Employees at Peak Nature/Type of Work Done:

WCB Firm Number: WCB Rate Codes: Number of WCB Time Loss Since Last Audit: Company COR Number:

Interview Information

Number of Interviews Required: See Chart: Page 36

Number of Management/Supervisor Interviews Conducted:

Number of Worker Interviews Conducted:

Auditor Data Name: Auditor Number: Email: Company: Address: City/Town: Province: Postal Code: Phone Number: Fax Number:

NOTE: ALL SECTIONS OF THIS AUDIT MUST BE FILLED IN.

Employee Name: Full Certified Auditor Status Attained:

COR™ Representative / Employee with the Four (4) COR™ Courses Type of Evaluation Baseline Internal External

Self Spot

Address: City/Town: Province: Postal Code: Email Address: Phone Number: Fax Number: Key Contact:

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HEALTH AND SAFETY MANUAL VERIFICATION

General: This should be the first step of the documentation review. During this review, the auditor is confirming whether or not critical issues have been addressed and are in writing. Some Health and Safety Associations, and individual companies may develop their programs based on six elements which effectively cover all essential areas needed (see*). When this approach is used, all company objectives or policies may be included in one corporate policy. The auditor must ensure that it is complete and award points accordingly. Any questions regarding these formats should be addressed to Heavy Construction Safety Association of Saskatchewan Inc. If significant elements are missing, the auditor must confirm with the client if they want to proceed with the evaluation or cancel until all required elements are present. An evaluation is an effective tool that can be very valuable in assisting the company in performing a need analysis for future health and safety program development.

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Health & Safety Manual Verification Yes No Does the company's Safety Program contain the following? 1. Health and Safety Policy* (Corporate) 2. Hazard Assessment 3. Safe Work Practices 4. Safe Work Procedures 5. Company Rules 6. Personal Protective Equipment Policy* 7. Preventative Maintenance Policy* 8. Training and Communication Policy* 9. Inspection Policy* 10. Investigation Policy* 11. Emergency Preparedness 12. Statistics & Records 13. Legislation 14. Supplemental

Missing Elements: If any of the above elements are missing from the health and safety manual, the audit may be cancelled until the missing item(s) are rectified. *Policy Statements: Some of the above program elements may exist in another form within the health and safety manual. Some companies may combine all the above policies into one corporate policy, which is an acceptable industry practice. The auditor must take this into consideration when reviewing the company health and safety program.

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1. HEALTH AND SAFETY POLICY 1.1 Auditors must see the written policy on health and safety. It is important that the policy is signed by the current senior management person. If the policy found in the control copy is not signed by the current senior person, no marks are awarded. The date on the policy should be within five years of the audit date. If it is older than three years, recommend a review. 1.2 The policy should state the owner’s or senior management’s commitment to the health and safety program. Auditors should be aware that some companies may have the statement of commitment on a separate document. The auditor may accept the Guiding Principles or an employee handbook. 1.3 Does the company review their policy on an annual basis? The review may be done by re-dating the document, or the review may be outlined in separate documents (i.e. committee or safety meetings). 1.4 During the work site tour the auditor should look for the posted policy. It may not always be practicable for a company to post the policy if they are using a truck as the site office. It may be given to workers in the form of a handbook, or it may be in the company safety manual which could be in the supervisor’s truck. An electronic copy of the policy is acceptable as documentation as long as it is accessible to all employees. Is the policy applicable to the company structure? Does the policy address the accountabilities and responsibilities of? 1.5) Senior Management? 1.6) Supervisors? 1.7) Workers? 1.8 Verify through interviews that all employees understand their roles and responsibilities.

1.9 Verify through interviews that the employer is providing resources to support the safety program. For example, does the company provide the required PPE, employee training, etc. Some companies may have a dedicated safety person.

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Health and Safety Program Verification

Score

Technique Employed

Points

Awarded 1 Health and Safety Policy D O I

Does the employer have a written health and safety policy that:

1.1 Is signed by the president, CEO, or local senior management? 3

1.2 Includes management's commitment to provide a safe and healthy work environment? 3

1.3 Is reviewed annually by management? 2 1.4 Is prominently posted or made available to the worker? 4 OR

1.5 Addresses accountability and responsibility of Senior Managers? 1

1.6 Addresses accountability and responsibility of Supervisors? 1

1.7 Addresses accountability and responsibility of Workers? 1

1.8 Is understood by employees? 6

1.9 Does the employer provide the necessary resources to support the employers’ health and safety management system?

4

Total Points Awarded/Possible 25

Comments:

6


2. HAZARD ASSESSMENTS AND CONTROL 2.1 Employers are required to document formal hazard assessments for all jobs/tasks that are performed by company personnel. This is done to identify existing or potential hazards with work processes. 2.2 Award points if the hazards are identified and documented. 2.3 Are these hazards assessed for frequency/severity and prioritized based on risk? 2.4 Have critical tasks been identified within the company? This will be specific to the company and will vary depending upon the type of work performed. These critical tasks are identified through hazard assessments. 2.5-2.6 On-going hazard assessments must be completed. These include, at reasonable practicable intervals, when a new work process is introduced, when the process or operation changes, and before starting on a new work site. 2.7 Look for involvement of both workers and management with regard to on-going hazard assessments. If there are sub-contractors on site look to see if they are involved. 2.8 Once identified, hazards must be controlled. Typical methods of control are elimination/minimization of a hazard through the use of engineering controls, administrative controls (safe work practices, safe job procedures, and rules), personal protective equipment, or a combination of control measures. 2.9 The auditor, through observation, must verify the controls are in place in a reasonable period of time. 2.10 Are affected supervisors and workers informed of the results? This could include hazard assessments being reviewed during health and safety meetings. 2.11 Look at applicable documentation that may include company orientation, performance records, health and safety meeting minutes, pre-qualification for work, etc. If no sub-contractors are hired, the question is not applicable. (sub-contractors may include, i.e. hired trucks, non company owned equipment and operators, etc.). 2.12 Confirm that hazard assessments have been reviewed, evaluated, and that the recommendations for hazard control have been authorized and enforced by management.

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Score

Technique Employed

Points

Awarded 2 Hazard Assessment, Analysis and Control D O I

2.1 Are formal hazard assessments conducted as required? 6 AND 2.2 Are the hazards identified? 6 2.3 Are the hazards prioritized? 6 2.4 Is there a list of identified critical tasks? 6

2.5 Does the employer use a site specific ongoing hazard assessment process? 6

2.6 Are employees aware of the ongoing use of hazard assessment? 6

2.7 Are appropriate employees involved/informed in the ongoing hazard assessment process? 4

2.8 Are controls developed for identified hazards? 4 2.9 Are controls implemented in a timely manner? 3

2.10 Are appropriate employees involved/informed of the control strategies? 4

2.11 Does the company have a process for evaluating and monitoring sub-contractors? 4

2.12 Does management support the ongoing application of the hazard assessment process? 4


Comments:

8


3. SAFE WORK PRACTICES Practices: Are guidelines that govern conduct to be used when performing certain work activities. These tell the worker what hazards are present and give direction on how to safeguard themselves. What is to be done generally? 3.1 Check to see if the safe work practices are in line with what the company does. (For example, if driving is part of the work scope then job practices should be developed for driving). 3.2 Review the practices and observe employees to verify that safe work practices are being used in the field. Reference the critical task list for practices that should have been written. If any are missing, do not award points. Review workplace incidents and injuries to aid in identifying missing safe work practices. 3.3 Verify by worker interview that they have an understanding of the safe work practices that apply to them. 3.4 Can the auditor locate the safe work practices (in a truck, office, or electronically)? Do the workers know where they are? Can they access them? 3.5 The auditor should be able to observe an employee working in a manner consistent with the written safe work practices. 3.6 Proof of participation can be demonstrated by the employee name and date being present on the practice. This could be used as an indication they helped in the development. This can also be confirmed by interview. 3.7 An informal review would consist of the practices being reviewed in a tailgate or safety meeting. Participation can be verified by meeting minutes or by interview. 3.8 A formal review would consist of practices being reviewed for accuracy and content. They should be reviewed on an annual basis, however, if the company has a regular cycle for review (i.e. every three years) that would be acceptable. Check records, such as minutes from health and safety meetings, dates and initials on the practice, or interview summaries.

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Score

Technique Employed

Points

Awarded

3 Safe Work Practices D O I

3.1 Do the safe work practices accurately reflect the company's activities?

2

3.2 Have all of the required safe work practices been written? 3

3.3 Do workers understand them? 3

3.4 Are they readily available to the workers? 2 OR

3.5 Do workers follow them on a regular basis? 2

3.6 Have both management and workers participated in the development of safe work practices?

1 AND

3.7 Have both management and workers participated in the informal review of safe work practices?

1 OR

3.8 Have both management and workers participated in the formal review of safe work practices?

1 OR


Comments:

10


4. SAFE JOB PROCEDURES Procedures: Job procedures are a series of steps that instruct a worker how to complete a specific task. These procedures have a distinct start and finish. Job procedures are designed to reduce the risk of hazards by minimizing the potential for contact or exposure. They also help to ensure quality control and to train workers safely in new tasks. 4.1 Verify through documentation that the company safe job procedures are in line with the type of work the company does. For verification, refer to the formal hazard assessments and the Safe Job Procedures section of the company health and safety manual. 4.2 The safe job procedures should reflect the activities of the company’s current operations. Check to see that high priority hazards (i.e. jobs that are included in the Critical Task List) have resulted in the development of safe job procedures. If not, identify missing Safe Job Procedures in the comments section and do not award points. Review workplace incidents and injuries to aid in identifying missing safe job procedures. 4.3 Do the workers know and understand the procedures? 4.4 Can you locate the safe job procedures (in a truck, office, or electronically)? Do the workers know where they are? Can they access them? 4.5 The auditor should observe workers following the safe job procedures as outlined by the company. 4.6 Proof of participation can be demonstrated by their name and date being present on the procedure. This could be used as an indication that they have helped in the development or review. 4.7 Informal review would consist of the procedures reviewed in a tailgate or safety meeting. Participation can be verified by meeting minutes or by interview. 4.8 Formal review would consist of procedures being analyzed for accuracy and content. Procedures should be reviewed on an annual basis, however, if the company has a regular cycle for review (i.e. every three years) this would be acceptable. Check records such as minutes from health and safety meetings, dates and initials on the practice, and confirm through interview summaries.

11



Score

Technique Employed

Points

Awarded 4 Safe Job Procedures D O I

4.1 Do the safe job procedures accurately reflect the company's activities? 2

4.2 Have all of the required safe job procedures been written? 3

4.3 Are safe job procedures understood by workers? 3

4.4 Are safe job procedures readily available to the workers? 2 OR

4.5 Are safe job procedures followed by workers on a regular basis? 2

4.6 Have both management and workers participated in the development of safe job procedures? 1 AND

4.7 Have both management and workers participated in the informal review of safe work procedures? 1 OR

4.8 Have both management and workers participated in the formal review of safe work procedures? 1 OR


Comments:

12


5. COMPANY RULES 5.1 The rules should be prominently posted in high traffic areas such as lunchrooms, job trailers, offices, or in a safety manual in a crew truck. The rules may also be found in electronic format, or given to a worker in the form of a handbook. Ensure workers have to access to company rules. 5.2 Workers should have an understanding of the rules as laid out in the health and safety program, and which rules apply on specific sites. 5.3 Has an enforcement policy been developed? Are progressive disciplinary actions outlined? (i.e. 3 step process: 1st verbal < 2nd written < 3rd suspension). 5.4 Look for use of an Enforcement Form (Employee Warning or Disciplinary Form). Confirm through documentation and interviews that infractions of company safety rules, (not following safe work practices, safe job procedures, and improper use of personal protective equipment) are being corrected. Documentation could be contained in personnel records, daily logs, supervisor’s day timer, etc.

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Score

Technique Employed

Points

Awarded 5 Company Rules D O I

5.1 Are the rules prominently posted or provided to each employee? 2 OR

5.2 Do workers understand company and site specific rules? 4

5.3 Does the safety program include progressive disciplinary actions by supervisors/management? 2

5.4 Are all rules applied/enforced consistently with all personnel? 2 AND


Comments:

14


6. PERSONAL PROTECTIVE EQUIPMENT (PPE) 6.1 Workers must be made aware of PPE requirements. This could be part of their orientation. 6.2 All employees must be trained in the correct use, care, and limitations of PPE. Verify through interviews. 6.3 Verify through observations and interviews that basic and specialized PPE is available to the workers when required. Specialized PPE may include: fall protection, respiratory protection, face shields, fire retardant coveralls, etc. 6.4 Verify through observation that the PPE required by the company policy, rules, safe work practice or procedures is being used/worn. 6.5 Check appropriate regulations, practices, procedures, and/or training for specialized PPE. If specialized PPE is not required, make the question “not applicable”. 6.6 Review inspection/maintenance records and company policy to ensure that basic and specialized PPE is being inspected and maintained as outlined in the policy. For example, some specialized PPE may be leased equipment such as Self-Contained Breathing Apparatus (SCBA) and may be maintained by the rental agency. Inspection and maintenance of basic PPE may have a system in place that relies upon visual inspection prior to use, and disposal or repair if it does not meet requirements as set out by the company. Verify through observation that the PPE condition and maintenance is meeting company policy/manufacturers recommendations.

15



Score

Technique Employed

Points

Awarded 6 Personal Protective Equipment D O I

6.1 Are workers made aware of what is required for PPE? 2

6.2 Are workers trained in the correct use, care and limitations of their PPE? 2

6.3 Do all personnel have access to basic and/or specialized PPE? 4

AND

6.4 Is the correct PPE used by all personnel when required? 4

6.5 Are there written procedures for the proper fitting, care and use of specialized PPE? 2

6.6 Is there a system in place to regularly inspect and maintain basic/specialized PPE? 2 AND


Comments:

16


7. PREVENTATIVE MAINTENANCE 7.1 Is all equipment, power mobile equipment, shop tools, and other equipment which requires ongoing maintenance, identified and documented? 7.2 Review equipment records, ensure equipment manuals are on site, and verify that manufacturers and regulatory standards are being met through circle check, and pre-trip inspections. Check equipment records to verify corrective actions have been completed for defective items. Check for time, date, equipment hours, and signatures. 7.3 Verify through documentation that the company has a safe work procedure, safe work practice, or company policy regarding the process of defective tools or equipment being removed from service and insuring “zero energy” during maintenance (i.e. lockout/tag-out). 7.4 Verify through observation and interview that the company’s formal process (as discussed in 7.3) is being used.

17



Score

Technique Employed

Points

Awarded 7 Preventative Maintenance program D O I

Does the preventative maintenance program of facilities, tools, equipment, and vehicles include:

7.1 An inventory of items to be maintained? 2

7.2 Maintenance schedule and records with a description of corrective action taken? 3 AND

7.3 A system to effectively deal with lockout, tag-out, or zero energy for the maintenance or removal of defective tools, equipment, and vehicles?

2

7.4 Is this system followed? 2 OR Total Points Awarded/Possible 9

Comments:

18


8. TRAINING AND COMMUNICATION 8.1 Are orientation results documented? (Check what topics are covered) 8.2 If there are no signatures, award no points. 8.3 Verify with the workers that they had an orientation and signed off. 8.4 Verify the company has confirmed that workers have had either previous training or provided the worker training before going to work. Verify by seeing copies of training certificates. 8.5 Check training records to verify that training (recertification and refresher) is taking place. If there are no documented training records, award no points. 8.6 Job specific training and on the job training can be verified through training records and worker interviews. For example, check records for things such as: powered mobile equipment training, confined space training, ground disturbance training, or process operation training, is being conducted and documented. 8.7 Verify through documentation that supervisors have been trained in courses such as HCSAS Safety Excellence Leadership, or WorkSafe Sask OHS Level 1 and Level 2 committee training. 8.8 Verify through interviews that this training has taken place as outlined in 8.7. 8.9 Check to see that there is a standard or policy set and that the company is meeting their schedule. For example, if they say that meetings will occur weekly, are they? These meetings will include safety meetings, tailgate meetings, Worksafe Sask OHS committee meetings, or yearly start up meetings. 8.10 Look for signs of discussion during these meetings - employee feedback (i.e. Issues raised, comments, etc.) 8.11 Check meeting attendance records for senior management attendance to insure it is meeting policy. Senior Management could include owners, managers, superintendents, and supervisors. (Depending on company size and structure). 8.12 The auditor can verify through interviews that the workers are aware of management’s participation.

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Score

Technique Employed

Points

Awarded 8 Training and Communication D O I

8.1 Does the employer have a formal orientation program? 6

8.2 Is it signed off by both the employee and the person that conducted the orientation? 2

8.3 Do workers have to sign off on the orientation? 2

8.4 Are mandatory training requirements verified, or training provided before starting work? 2

8.5 Is recertification and/or refresher training tracked and renewed as required? 4

8.6 Does job specific training include job specific hazards and the appropriate controls? 2 AND

8.7 Have supervisors received training in workplace inspections and health and safety responsibilities? 3

8.8 Can management/supervisors confirm that training has been completed? 3

8.9 Are ongoing safety meetings conducted regularly and documented as per policy? 3

8.10 Does two-way communication exist during these meetings? 4

8.11 Does senior management attend/participate in health and safety meetings? 2

8.12 Are workers aware of senior management participation in safety meetings? 2


Comments:

20


9. INSPECTIONS 9.1 Is there a policy for the inspection of worksites and facilities? 9.2 Are there standardized forms being used? Make sure that the same form is consistently used (the exception to this being that the company may be mandated to use a project owners or prime contractors form). 9.3 Does the inspection policy include a frequency for inspections? Verify through documentation review that the inspection process is meeting the frequency laid out in the company policy. If there is no frequency indicated within policy or the company is not meeting the frequency within their policy, award no points. 9.4 Records must show supervisors are involved in the inspection process. 9.5 Verify through interviews that employees are aware of a way they can report unsafe or unhealthy conditions and practices. 9.6 Look for documentation that shows that corrections for deficiencies have been done, or timelines for completion have been met. 9.7 Confirm corrections have been completed though observations. 9.8 Through interviews, verify senior management’s (or accountable company designate) participation in the inspections process. 9.9 Are reports from previous inspections posted, accessible, or discussed in safety meetings/tailgate meetings? The auditor can verify through interview and observation of posted inspections.

21



Score

Technique Employed

Points

Awarded 9 Inspections D O I

9.1 Is there a written policy for inspections? 2 9.2 Is there a form or checklist used for inspections? 2

9.3 Does the policy include a measurable frequency of inspections? Is that frequency being met? 3

9.4 Are managers/supervisors performing inspections as per policy? 4

9.5 Is there a system in place where employees can report unsafe or unhealthy conditions and practices? 6

9.6 Are identified deficiencies corrected in a timely manner? 3 9.7 Have identified deficiencies been corrected? 2

9.8 Does senior management participate/review the inspection process? 2

9.9 Are inspection reports posted and/or communicated to appropriate personnel? 6 OR


Comments:

22


10. INVESTIGATIONS 10.1 Review documentation for the incident (loss or no-loss) investigation procedure (could be part of a coporate policy). Verify that all vehicle incidents are included. 10.2 Are incidents being reported? Is there a standardized form in place, and is it being used? 10.3 Are workers aware of the procedure for reporting an incident? 10.4 Look for courses such as HCSAS Safety Excellence Leadership, WorkSafe Sask OHS Level 1 and Level 2 committee training. 10.5 Check to see if management, workers, and the safety committee (where required) are involved in the investigation. 10.6 Near miss reporting should out number the actual accident investigation forms completed. Near miss reports and investigation reports may be documented in safety meeting minutes. If these are not being reported, ensure this is brought to the attention of the management group. 10.7 Verify through interviews that workers know what a near miss is, and when to report it. 10.8 The goal of an investigation is to prevent a re-occurrence. To prevent a re-occurrence, we need to identify the root cause of the incident or accident. Once the root cause is determined, a system to address the recommendation is required. If the company is not identifying the root causes or determining how to prevent a re-occurrence, award no points. 10.9 Through documentation review, verify that the implementation of corrective actions has been done in a reasonable amount of time. Cross-reference accident investigation, and inspection records. 10.10 - 10.11 Verify through observation and interviews that corrective actions have been implemented. 10.12 Look for the signature or initials of senior management (or an accountable company designate) indicating that they have reviewed the report(s).

23



Score

Technique Employed

Points

Awarded 10 Investigations and Reporting D O I

10.1 Is there a written investigation policy and reporting procedure(s)? 2

10.2 Is the policy being followed? Are standardized forms completed as required? 4

10.3 Do workers know the reporting procedures? 6

10.4 Have supervisors been trained in investigation and reporting procedures? 4

10.5 Are appropriate personnel involved in investigations? 2 10.6 Are near misses being reported? 3 10.7 Do workers know when to report near misses? 3

10.8 Is there a system to identify root causes as a result of an investigation? 4

10.9 Have remedial/corrective actions been identified as a result of the investigation? 3

10.10 Have remedial/corrective actions been implemented? 3

10.11 Have remedial/corrective actions been communicated to workers? 3

10.12 Are investigation reports reviewed by senior management or designate? 2


Comments:

24


11. EMERGENCY PREPAREDNESS 11.1 Look for a written emergency plan at worksites and facilities. The plan should detail the types of emergencies that may be expected on site. 11.2 Does the plan indicate the location of emergency equipment and supplies? i.e. first aid kits, eyewash, fire extinguishers, etc. 11.3 Does the emergency plan indicate roles and responsibilities of employees? Does it include information or what training is required for workers? 11.4 Through observation, verify that the emergency response plans meet the needs of the worksite and/or facilities. Depending on activity. (i.e. trench collapse, equipment roll over, hot oil burn, etc.). 11.5 Are individuals aware of their roles? Personnel should be able to tell or show you how to activate the emergency response plan. 11.6 Have drills or mock exercises for emergency response been held? Has the company tested the communication system? 11.7 Look for extinguishers to be visible; check class and size (reference NFPA 10 or your local fire department). 11.8 NFPA requires extinguishers to be checked monthly, but at the very minimum they should be inspected and serviced at least yearly and recorded on the extinguisher tag. 11.9 Look for communication equipment, as well as posted emergency numbers and instructions. 11.10 Check to make sure that first aid supplies meet Saskatchewan Occupational Health and Safety Regulations. 11.11 Verify through observation that the correct number of trained first aid personnel is on site. Reference the Saskatchewan Occupational Health and Safety Regulations. (i.e. stickers on hard hats or a posted list).

25



Score

Technique Employed

Points

Awarded 11 Emergency Preparedness D O I Does the emergency response plan include:

11.1 Potential emergencies and procedures for dealing with them? 2

11.2 The location of, and operational procedures for emergency equipment and the location of emergency facilities?

2

11.3 Emergency response training requirements and fire protection requirements? 2

11.4 Are the emergency preparedness plans appropriate to work activities? 5

11.5 Does the plan include a requirement for training in emergency procedures, roles, and responsibilities? 4

11.6 Has the emergency response plan been tested for deficiencies and corrective action taken? 3

11.7 Are the correct class and size of extinguishers available, marked, and visible? 2

11.8 Are extinguishers regularly inspected and maintained? 2 OR

11.9 Is an appropriate emergency communication system available? 2 AND

11.10 Are there adequate first aid supplies? 2

11.11 Are the required number of qualified first aid personnel on site? 3


Comments:

26


12. STATISTIC AND RECORDS 12.1 Company processes should ensure documentation is organized and accessible to the auditor. 12.2 The company must produce an annual summary of safety program activity. The report will include information such as the number of safety meetings, inspections, investigations, orientation, training sessions, etc., that were held. 12.3 Are the records kept so that a year to year comparison can be made? Do they analyze those records looking for trends? 12.4 Review documentation to confirm that an action plan was developed after the last audit. 12.5 Use interviews to confirm that this action plan was communicated to employees. 12.6 Review documentation, (day timers/journals) meeting minutes, or electronic media to confirm that this plan has been implemented, and target dates are or have been met.

27



Score

Technique Employed

Points

Awarded 12 Statistics and Records D O I

12.1 Is there a process to organize and manage program documentation? 2

12.2 Are adequate health and safety program activities developed, summarized, and maintained? 2

12.3 Does the company compare health and safety performance year to year? 2

12.4 Was an action plan developed to address the recommendations from the previous audit? 2

12.5 Was that action plan communicated to employees? 2 12.6 Was that action plan implemented? 2


Comments:

28


13. LEGISLATION 13.1 Is legislation referenced in the health and safety policy(s)? Example: The information in this policy does not take precedence over applicable legislation with which all employees shall be familiar. Applicable legislation applies to the jurisdiction the company is working in. i.e. if you are working in Saskatchewan, you need to meet relevant legislation that apply in Saskatchewan.

13.2 Are copies of Health and Safety Regulations available for supervisors and employees to review? This can be either hard copy or electronic. 13.3 Are workers aware of their rights under Saskatchewan legislation? – The right to refuse, the right to participate, the right to know.

29



Score

Technique Employed

Points

Awarded 13 Legislation D O I

13.1 Does your health and safety policy(s) reference applicable legislation and regulations? 3

13.2 Are copies of current relevant legislation posted and/or available at each worksite location? 4 OR

13.3 Are personnel aware of their legislative rights and how to exercise them? 5


Comments:

30


14. SUPPLEMENTAL 14.1 For those exposed to silica dust (gravel crushing, concrete cutting, etc.), they must conduct lung function testing. If there is a possibility of exposure, suggest the company has information to train workers on the hazards and controls for silica. This could include developing a policy that meets OHS. 14.2 Look for a written hearing conservation policy that meets Saskatchewan legislation. 14.3 Saskatchewan requires hearing tests every twenty-four months for workers who work in environments louder than 90 dbA or who have an exposure greater than 85 dbA lex. 14.4 The auditor must observe sound levels posted on equipment and in shops. Sound levels must be posted where workers can see them. 14.5 Does the company have a documented policy on harassment? Verify through interviews that the employees are aware of the harassment policy. 14.6 Companies under ten employees must have a safety representative. Companies over ten employees must have an Occupational Health and Safety Committee. Verify through interviews that the employees are aware that there is a committee, or who their representative/committee member is. 14.7 Check records for minutes of the OH&S committee. For companies that have a committee, if they are not meeting four times per year, award no points. Companies with less than ten employees that have a representative and no committee are not regulated to meet four times per year. (This may be N/A and justified in the comment section). 14.8 Check training records for members of the OH&S committee. Have members received training in their responsibilities? (WorkSafe Sask OHS level 1 and 2, HCSAS Safety Excellence Leadership). For the representative, have they had training for their responsibilities? 14.9 Does the company have a documented practice, procedure, or policy that addresses working alone? 14.10 Verify through interviews that workers are aware of a practice, procedure, or policy for working alone. 14.11 Does the company have a documented return to work, practice, procedure or policy? 14.12 Verify worker awareness through interview.

31



Score

Technique Employed

Points

Awarded 14 Supplemental D O I

14.1 Does company perform lung function testing? 2 14.2 Does the company have hearing conservation policy? 1

14.3 Does the company perform audiometric testing for employees? 2

14.4 Does the company conduct worksite sound monitoring? 6

14.5 Does the company have a harassment policy that meets Saskatchewan legislated standards? 5 AND

14.6 Does the company have a WorkSafe Sask OH&S committee or representative? 5 AND

14.7 Does the committee meet at least four times per year? 4 14.8 Does the committee or representative have training? 5

14.9 Does the company have a written practice or procedure for working alone? 1

14.10 Are workers aware of a policy, practice, or procedure for working alone? 1

14.11 Does the company have a return to work policy or procedure? 2

14.12 Are the workers aware of the return-to-work program? 2 Total Points Awarded/Possible 36

Comments:

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Evaluation Summary Sheet Date of Evaluation___________________ Company ____________________________________ Auditor_____________________________

Section# Element Possible Score Actual Score Minimum Standards 1 Safety Policy (Corporate) 25 13 2 Hazard Assessment 59 30 3 Safe Work Practices 15 8 4 Safe Job Procedure 15 8 5 Company Rules 10 5 6 Personal Protective Equipment 16 8 7 Maintenance 9 5 8 Training and Communication 35 18 9 Inspections 30 15 10 Investigations 39 20 11 Emergency Preparedness 29 15 12 Statistics and Records 12 6 13 Legislation 12 6 14 Supplemental 36 18 Total 342 272

Reviewed _______________________________________ Goal for Next Audit _____________Percent/Points

Senior Company Officer Auditor Signature________________ Actual Score x 100 = ________%

Possible Score* (circle)

Minimum passing grade 80% Overall and Minimum 50% in each element: Standard Achieved: YES / NO

* Minus any N/A’s and Comments:

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Summary

34


AUDIT CORRECTIVE ACTION PLAN

Recommendation Assigned To Target Completion Date Date Completed Reviewed By

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Audit Checklist Please make sure the following items are in order before submitting your internal audit.

Any items that are NOT submitted with the audit will classify the audit as being incomplete.

Actual jobsite locations must be listed on Evaluation Information Sheet – this may include street addresses, legal land locations, or co-ordinates. Interviews conducted must follow the Interview Chart on page 36. Ensure interviews meet or exceed the guidelines. WCB time loss incident(s) must be addressed. This can either be a) brief description of what happened, and what remedial actions were taken OR b) the incident report (for privacy, names may be removed). Evaluation Summary Sheet signed off by management. Submission of a complete summary – may include positive points, as well as where improvements can be made. Submission of action plan – which addresses the deficiencies discovered through the audit findings. The Action plan MUST include a recommendation, individual(s) assigned to complete the task, and a specific target completion date. A copy of the audit document must be kept for your files. Additional for out-of-province contractors: Include copies of certificates for student records (Auditor, Auditor Refresher, Principles of Health and Safety, Safety Excellence Leadership, WHMIS TTT). Saskatchewan Legislative training – we accept WorkSafe Saskatchewan Level 1 and 2 (both mandatory), OR HCSAS Safety Excellence Leadership. Saskatchewan Section 14: Supplemental. Any deficiencies discovered MUST be addressed in the action plan.

NOTES: Comments are required for sections that have a negative response.

NO partial marks will be accepted – the audit will be rescored accordingly. Any N/A (not applicable) must be justified in writing.

Please allow for an approximate 4 -6 week processing time for the audit. If you know of, or have any other existing deadlines, please submit the audit document early. Priority for processing will not be given to accommodate deadlines on audits submitted late.

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INTERVIEWS It is essential to get a good cross section of all company personnel when conducting interviews. The auditor must constantly strive to collect data that is representative of actual conditions.

Interview Chart – Suggested Number of Interviews for size of company (minimum)

Company Size # of Worker Interviews

# of Mgmt/Supervisor

Interviews Total # of

Interviews Percentage of Workforace

10 3 2 5 50% 25 6 2 8 35% 50 9 3 12 25%

100 15 5 20 20% 101 - 125 18 6 24 19% 125 - 150 20 7 27 18% 150 - 200 22 8 30 15%

201+ Call HCSAS Call HCSAS Call HCSAS Call HCSAS When conducting your interviews, use the question sheets provided for managers/supervisor and workers. Interviews take approximately 20 – 30 minutes. Careful time management is essential. Manager/Supervisor and Worker Interview Question Sheets Using the Manager/Supervisor and Worker Interview Questions, work through each interview question to confirm the answer. Use a check mark “√” under the positive column for a positive response, or “X” for a negative response in the negative column. Use this area to indicate the majority response. For example, if you have three negative and two positive responses from employees for Question 2, and four positive and one negative response from Supervisors/Management for the same question, then the total of six positive and four negative responses means that the overall response is positive.

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Manager and Supervisor Interview Questions

Number Question Audit Question Positive Negative

Section 1 Health and Safety Policy

1. Describe how the health and safety policy is made available to workers? 1.4

2. In your own words, what are some of your responsibilities under the policy? 1.8

3. What resources do you use to ensure the health and safety program is carried out? 1.9 Section 2 Workplace Hazard Assessment and Control

4. How does the company identify, assess, and control hazards? 2.1

5. Are the hazards re-assessed as the job progresses, or as procedures and operations change? 2.6

6. What are some examples of hazards that have been identified and controlled on this work site? 2.10

7. Do you review, evaluate, and enforce recommendations for hazard control? 2.12 Section 3 Safe Work Practices

8. Have you been involved in the development of safe work practices? 3.6

9. Have you been involved in the informal review of safe work practices? Maybe at a safety or tailgate meeting? Can you give me an example? 3.7

10. Have you been involved in the formal review of safe work practices for accuracy and content? Do you know anyone that has? 3.8

Section 4 Safe Job Procedures

11. Have you been involved in the development of safe job procedures? If not, do you know anyone that has? 4.6

12. Do you or the company regularly review the safe job procedures in a tailgate or safety meeting? Can you give me an example of a recent procedure that was reviewed? 4.7

13. Have you reviewed a safe job procedure for accuracy and content? If not, do you know anyone who has? 4.8

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Section 5 Company Rules

14. Were you given a copy of the company rules, or do you know where a copy could be obtained? 5.1

15. Give me an example of how the company rules are enforced? 5.4

Section 6 Personal Protective Equipment (PPE)

16. How do you ensure that employees have access to basic or specialized personal protective equipment? 6.3

Section 8 Training and Communication

17. How do you prove that a worker attended an orientation? 8.3

18. Have you been trained in inspections and know your health and safety responsibilities? 8.8

19. Is open discussion encouraged during health and safety meetings? 8.10 Section 9 Inspections

20. How would your employees report unsafe or unhealthy working conditions or practices? 9.5

21. Do you participate in the inspection process? 9.8

22. How are the results of inspections communicated to workers? 9.9

Section 10 Investigations and Reporting

23. What is the reporting process after an incident occurs? 10.3 Section 11 Emergency Preparedness

24. What training have you received in emergency procedures, roles, and responsibilities? 11.5

25. How are employees able to call for emergency response/help? 11.9

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Section 12 Records and Statistics 26. After your last audit, were you informed of an action plan, and was it implemented? 12.5

Section 13 Legislation

27. How does your company make employees aware of their legislative rights and responsibilities? 13.3

Section 14 Supplemental

28. Does the company have a harassment policy? 14.5 29. Is there a WorkSafe Sask OH&S committee or representative? 14.6

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Worker Interview Questions


Section 1 Health and Safety Policy 1. How is the health and safety policy made available to you? 1.4

2. Can you explain what the policy means to you? Does the policy give you any responsibility? 1.8

3. Have you been able to attend any health and safety training? 1.9 Section 2 Workplace Hazard Assessment and Control

4. How does the company identify, assess, and control hazards? 2.1

5. Are hazards re-assessed as the job progresses, or as procedures or operations change? 2.6

6. Can you give an example of what hazards have been identified and controlled on this work site? 2.10

Section 3 Safe Work Practices

7. Briefly describe a few written safe work practices that you use on a regular basis. 3.3 8. If you need to refer to a safe work practice, where would you find them? 3.4 9. Were you involved in the development or review of any of these practices? 3.6

10. Does the company regularly review the safe work practices in tailgate or safety meetings? Can you give me an example of a recent practice that was reviewed? 3.7

11. Have you reviewed a safe work practice for accuracy and content? If you have not, do you know of anyone who has? 3.8

Section 4 Safe Job Procedures

12. Do you understand how to perform the tasks as laid out in the safe job procedures? 4.3 13. Are the safe job procedures available when you need them? 4.4

14. Were you involved in the development or writing of safe job procedures? If not, do you know anyone that has been? 4.6

15. Do you or the company regularly review the safe job procedures in tailgate or safety meetings? Can you give me an example of a recent procedure that was reviewed? 4.7

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Section 4 Safe Job Procedures Continued

16. Have you reviewed a safe job procedure for accuracy and content? If not, do you know of anyone who has? 4.8

Section 5 Company Rules

17. Were you given a copy of these rules, or do you know where they are posted? 5.1 18. Can you provide an example of one of the company rules? 5.2 19. What happens if somebody breaks the company rules? 5.4

Section 6 Personal Protective Equipment (PPE)

20. What PPE is required at this work site? 6.2 21. How do you obtain basic PPE? 6.3

Section 7 Preventative Maintenance

22. How are defective equipment or tools removed from service? Is this system followed? 7.4

Section 8 Training and Communication

23. Were you given an orientation when you started work, or when the program was implemented? Did you have to sign the orientation sheet? 8.3

24. What training have you received for your job? 8.6 25. Can you bring up safety concerns during health and safety meetings? 8.10 26. Does senior management ever attend/participate in health and safety meetings? 8.12

Section 9 Inspections

27. How would you report unsafe or unhealthy work conditions or practices? 9.5 28. How do you find out about the results of these inspections? 9.9

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Section 10 Investigations and Reporting 29. How would you report an incident? 10.3 30. When do you need to report no-loss incidents (close-calls)? 10.7 31. How are you made aware of corrective actions? 10.11

Section 11 Emergency Preparedness

32. What training have you received in emergency procedures, roles, and responsibilities? If an emergency took place right now, what would you do? 11.5

33. If an emergency occurred here, how would you call for assistance? 11.9 Section 12 Records and Statistics

34. How were you informed of the results of the last audit and/or any action plans? 12.5 Section 13 Legislation

35. Where would you obtain a copy of appropriate legislation for this site? 13.2

36. Has your company made you aware of your legislated rights? What are your three rights as a worker? 13.3

Section 14 Supplemental

37. Does the company have a harassment policy? 14.5 38. Is there a WorkSafe Sask OH&S committee or representative? 14.6

39. Does the company have a practice/procedure for working alone? What does it say? 14.10

40. Does the company have a return-to-work policy or program? 14.12

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Observation Checklist

Audit Question Positive Negative

1.4 Is the company health and safety policy posted?

2.9 Once hazards have been identified, does it appear that controls are implemented in a timely manner?

3.2 Do the safe work practices found in documentation accurately reflect company activities?

3.4 Are the safe work practices readily available?

3.5 Are workers following the safe work practices?

4.2 Have critical safe job procedures been written to cover workers activities?

4.4 Do workers have access to copies of the safe job procedures?

4.5 Do workers follow safe job procedures?

5.1 Are company rules prominently posted?

6.3 Do all personnel have access to basic and/or specialized PPE?

6.4 Are all employees using the correct PPE?

6.6 Is the PPE used by workers in good condition?

7.2 Is the equipment maintenance being tracked for all equipment?

7.4 Is there a system to effectively remove defective tools, equipment, and/or vehicles from service? Is this being followed?

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Audit Question Positive Negative

9.7 Have identified deficiencies that were found during worksite inspections been corrected?

9.9 Are inspection reports posted?

10.10 Have the remedial/corrective actions from investigations been implemented?

11.4 Are emergency preparedness plans appropriate for the work being conducted?

11.7 Are fire extinguishers of the correct class available, marked, and visible?

11.8 Have fire extinguishers been regularly inspected?

11.9 Do workers have access to emergency communication devices?

11.10 Are there adequate first aid supplies and facilities available on site? Do they meet Saskatchewan regulations?

11.11 Are the required number of first aid personnel on site?

13.2 Are copies of relevant legislation posted or made available to workers?

14.4 Are the noise levels posted?

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