COR Audit Template

Title Page

For detailed instructions please refer to page 2 of this application.
Company/Companies Under Audit
Date Audit Initiated
Auditors
Auditor Signature
Auditee
Auditee Signature
Sites under Audit
Intelex Number

Instructions

1) The questions presented in the following audit tool are intended to be answered in a fixed way. The question is simply a matter of whether a certain element is present or not.

2) In all instances of evaluation (both conformant and non-conformant) reasoning must be provided. This can be accomplished by attaching a note onto each question as you proceed through the audit. [i.e., explain why all points were awarded or why points were deducted]

3) Detailed evidence in the form of copies of documents or photos of workers are not to be included. However, reference to document titles or numbers may be used for future reference.

4) Regardless of your role on site outside of this audit, should you witness something which poses an immediate danger to life or health, you are responsible to take whatever actions you can to reasonably stop the unsafe action.

5) Members of any onsite union have the right to involve shop stewards where interviews are taking place. At Seaspan Shipyards we encourage all levels of the corporate body to participate in the audit.

6) Be respectful with all workers, interviewees, and other personnel with whom you interact over the course of the audit. Use of profanity or other inappropriate interactions with personnel may result in disciplinary actions.

7) When interviewing personnel feel free to adjust the verbiage of the question at your discretion.

8) Questions require information to be collected in three formats, documents, interviews and observations. These are indicated as D, I, and O respectively in the following audit tool.

Element 1: Management Leadership and Commitment

1.1.1 Review the health and safety policy to determine:

D - Does the policy contain a statement of intent or a safety objective?
D - Does the policy contain a commitment to continuous improvement of safety practices?

1.1.2 Ensure signing of the health and safety policy

D - Is the health and safety policy signed by the current senior management (president, CEO, or Operations Manager)?

1.1.3 Assignment of and commitment to responsibilities

D - Does the policy contain a commitment to safety from senior management?
D - Doe the policy stipulate the responsibilities of management with regards to the execution of the policy?
D - Does the policy stipulate the responsibilities of supervision with regards to the execution of the policy?
D - Does the policy stipulate the responsibilities of the workers with regards to the execution of the policy?

1.1.4 Communication of OHS Policy from management to workers

D - Review new hire orientations, pre-job meeting logs, and supervisor journals for evidence of communication of OHS policy to workers. Assign a score from 0 to 5 based on your findings.
I - Interview a representative sample of workers (using provided question sheets) to determine if the policy has been communicated to them. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

1.1.5 Availability of OHS Policy

O - Is the OHS policy posted in a public forum such as on a bulletin board in the lunchroom, coffee room, or other public space?

1.1.6 Compliance with appropriate regulations

D - Does the policy make a commitment statement to comply with all appropriate OHS regulations?

1.2.1 Assignment of oversight on OHS programs

D - Does the companies organizational structure indicate an assignee to the management of OHS programs?
I - Do over 80% of interviewed managers and supervisors indicate that the above mentioned assignee is meeting the companies health and safety program needs?

1.2.2 Management understanding of roles and responsibilities in OHS application

D - Are middle management and supervisor roles clearly defined in OHS documents?
D - Are senior management roles clearly defined in OHS documents?
I - Interview managers and supervisors to determine if they are aware of their OHS responsibilities. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

1.2.3 Supervisor monitoring of worker health and safety

O - Observe supervisors practices to see that they ensure workers follow safe work procedures and use appropriate risk control measures. Supervisors should also intervene in safety compromising situations. Over 80% compliance = yes.
D - Review supervisor documentation (notes, inspection reports, safety meetings, production meeting notes, and other material) to determine if supervision is being adequately provided to all workers. Award points based on compliance level.
I - Interview both workers and supervisors to determine if known and foreseeable hazards are being communicated to workers. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

1.2.4 Is there a process for enforcing compliance with OHS regulations

D - Does documentation indicate a clear process for disciplining OHS non-compliance?
I - Interview workers and supervisors to determine if they are familiar with the process, and if the process is being followed. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

1.2.5 Measurement of safety performance

D - Do reports and documentation indicate performance evaluation of safety elements by senior management?
D - Do reports and documentation show evidence of direction stemming from these evaluations?
I - Interview senior management to determine if they are evaluating key safety program performance indicators and providing direction from the results. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

1.2.6 Adherence to safety policy by management and supervision

O - Observe managers and supervisors conducting their activities. Are they following all safety rules for the site? (Answer yes for 80% or higher compliance)
I - Interview workers to determine if managers and supervisors are compliant with site safety rules.

1.2.7 Communication of safety information

O - Observe the worksite to see if safe work procedures, work instructions, OHS regulations, operational manuals, and other safety relevant material is posted or available throughout the yard. (Answer yes for 80% or higher compliance)
I - Interview managers, supervisors, and workers to determine if they are aware of the types of safety resources available to their operations and how they are accessed. (Answer yes for 80% or higher compliance)

1.2.8 Worker awareness of OHS responsibilities and accountability

D - Does documentation such as hiring packages and safety meeting minutes indicate that workers have been made aware of their responsibilities?
I - Interview a sample of workers to determine if they are aware of their legal and company assigned responsibilities. (Answer yes for 80% or higher compliance)

1.2.9 Development and management of continuous improvement

D - Does documentation indicate that an annual safety plan has been created based on the results of management review? (audit action plans, safety projects, management review reports)
D - Does documentation indicate that the plan is being reviewed and tracked by senior management?

1.2.10 Engagement of senior management in safety communication

D - Does documentation indicate that the most senior level of management has held at least one major safety meeting each year?
I - Interview supervisors and workers to confirm the involvement of the CEO, president, or most senior manager and to further verify that the message was understood. (Answer yes for 80% compliance)

1.2.11

D - Does documentation indicate a process for management and supervision to communicate safety matters to workers? (pre-job meetings, safety meetings, safety training, ...)
I - Interview a sample of workers to determine if the described process is being followed. (Answer yes for 80% compliance)

Element 2: Industry Specific Elements

2.1.1 MSD prevention documentation

D - Does documentation indicate that an MSD prevention policy is in place?

2.1.2 MSD measurement and risk factors

D - Does documentation indicate a whole/complete MSD risk prevention procedure? (Assign between 0-10 points based on completeness of documentation and procedures)
I - Interview a sample set of workers and supervisors to confirm their knowledge surrounding hazard recognition, development of safe work procedures, and continuous training surrounding MSD. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

2.2.1 Material Handling Policy

D - Does documentation indicate that there is a material handling policy in place?

2.2.2 Material handling policy effectiveness

D - Do documents (hire orientations, safety meeting minutes, safety logs, MSD prevention records) include information on safe material handling practices?
I - Interview workers to determine if they are aware of safe material handling practices. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)
O - Observe workers, are they following safe practices as described in policy while handling materials?

2.3.1 Driver safety policy

D - Does documentation identify risk factors and safe work practices to address risks associated with vehicle operation?
I - Interview workers and supervisors to determine what level of knowledge surrounding these procedures they have. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

2.3.2 Driver competency and training

D - Does documentation indicate a formal process for validating driver competency and ongoing improvement?
I - Interview supervisors to determine if there is an effective method of tracking driver training. This should include both qualifications, experience, and future training. (Answer yes for 80% positive response)

2.4.1 Safe work procedures for mobile equipment

D - Does documentation indicate that there is a safe work procedure for each type of mobile equipment in use?
O - Are workers observed operating mobile equipment according to safe work procedures? (Check pre-inspection logs, use of seatbelts, fork positioning, ...)
I - Interview a sample of supervisors and workers to determine their awareness level on mobile equipment safe work procedures. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

2.4.2 Mobile equipment operator competency

D - Does orientation and training documentation indicate that training has been provided to all mobile equipment operators?
D - Does documentation include all of the following elements? Theory classroom training and testing Practical skills training and testing Equipment specific procedures and training Safety around pedestrians Safety around swampers Requirement for uncertified employees to be prohibited from operation of mobile equipment Requirement for yearly verification of competencies
I - Interview a sample of workers to verify that they have received training and went through competency verification for specific duties. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

2.4.3 Maintenance of mobile equipment

D - Does documentation indicate a program for maintaining and recording maintenance of mobile equipment?
O - Observe mobile equipment to determine if it is being properly maintained. (Answer yes for 80% compliance)

2.4.4 Pedestrian movement through facilities

D - Does mobile equipment documentation indicate a process for pedestrian safety and training when in the vicinity of mobile equipment?
O - Observe workers to determine if the procedures for pedestrian safety are being followed. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)
I - Interview supervisors and workers to confirm their knowledge of mobile equipment and pedestrian safety procedures. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

2.5.1 Fall protection program

D - Does documentation indicate an appropriate fall protection program? (identification of risk factors, safe work practices, provision of PPE, employee training)
I - Interview workers and supervisors to verify their understanding of the fall protection program. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

Element 3: Hazard Recognition and Control

3.1.1 Hazard recognition processes

D - Does the documented hazard recognition procedure include the input of knowledgeable workers?
D - Does the hazard recognition process include the input of OHS coordinators/representatives?
D - Does the hazard recognition process include review of manufacturer specifications for new processes and equipment?
I - Interview a sample of workers to determine if they are familiar with the processes of hazard identification. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)
I - Interview a sample of supervisors and managers to verify their knowledge of their involvement in the hazard process. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

3.1.2 occupations specific hazard identification

D - Review documentation to determine what percentage of occupations and tasks have a corresponding hazard identification document. (0-20% = 4 points, 21-40% = 8 points, 41-60% = 12 points, 61-80% = 16 points, 81-100% = 20 Points)

3.1.3 Hazard identification and risk assessment

D - Does documentation indicate a record of risk assessments being conducted before job tasks? (Award a maximum of 5 points based on findings)
I - Interview a sample of workers, supervisors, and JHSC members to determine if job hazard assessments are being conducted prior to work commencement. (Answer yes if 80% or higher compliance)

3.1.4 Hazard communication

D - Based on findings in documentation (pre-shift meetings, JHSC minutes, bulletins, ...) award up to 5 points for the clear communication of hazards.
I - Interview workers to determine if hazards, risks, and controls have been communicated to them based on their work activities. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

3.1.5 Hazard identification and risk assessment training

D - Do records indicate that individuals whom are responsible for hazard recognition (JHSC members, supervisors, safety advisors) have received training in hazard recognition and identification processes?
I - Interview parties responsible for hazard and risk identification to confirm they have had training in hazard and risk identification processes. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

3.2.1 Hazard identification and risk ranking

D - Does documentation indicate a process for ranking the risk posed by hazards based on frequency, likelihood, and severity?
D - Does documentation indicate that all identified hazards are being appropriately evaluated using the established risk assessment methodology? (Answer yes if 80% or higher compliance)

3.2.2 Risk management policy

D -Does documentation indicate a process of managing hazards to reduce risk levels prior to work commencement?

3.2.3 Development of control measures

D - Is a process for hazard control defined in documentation? (This process should include consideration for the hierarchy of controls)
I - Interview a sample of managers, supervisors, and workers to determine if their input is used in the control development process? (0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)

3.2.4 Identification of controls for OHS hazards

D - Does documentation indicate that control measures have been identified and recognized in the assessment?
O - Do observed operational systems have engineering controls (lockout tag out, safeguards) in place?
O - Are administrative controls being implemented? (job rotation, housekeeping, hire training)

3.3.1 Safe work practices/procedure communication

I - Interview a sample of workers to determine if they are following safe work procedures. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

3.3.2 Worker involvement in safe work procedure development

I - Interview a sample of workers, supervisors, and managers to determine what their respective levels of involvement are in the development of safe work procedures/practices. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

3.3.3 Access and availability of safe work procedures/practices

I - Interview a sample of workers to determine if they are aware of the safe work procedure locations and how to access them. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)
O - Have safe work procedures been conspicuously posted around the site, or are they readily accessible?

3.3.4 Procedures for the provision of first aid

D - Does documentation indicate a clear process for the provision of first aid?
O - Are first aid procedures clearly posted on site, including a clearly identified first aid station and posting of first aid attendants?

3.3.5 Development of task specific safe work procedures

D - Does documentation indicate that a hazard analysis and safe work procedure has been developed for each job task?
O - Select a sample of safe work procedures and assess adherence on site. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

3.4.1 Personal protective equipment policy

D - Does documentation indicate a policy for PPE including responsibilities for provision and use?
D - Does the PPE policy make reference to applicable OHS regulations?

3.4.2 Inspection of personal protective equipment

D -Does documentation indicate a process for the inspection and maintenance of PPE?

3.4.3 Personal protective equipment training and availability

D - Does training and orientation documentation indicate a process for the care and maintenance of PPE?
O - Is PPE readily available on site?
I - Interview workers to determine their knowledge level on PPE. (0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)

3.4.4 Implementation of personal protective equipment for risk and hazard management

D - Does documentation identify PPE as a control measure for OHS hazards as appropriate?
O - Are workers wearing appropriate PPE onsite for work tasks?

Element 4: Training and Instruction

4.1.1 New Hire Orientation

D- Do orientation and training records indicate that all employees are being given new-hire orientations and re-orientations as needed?
I - Interview a sample of workers to ensure that they have had a formal orientation prior to commencing work activities. (ensure to sample new workers, young workers, reassigned workers, and return to work workers) (Answer yes if 80% or higher compliance)

4.1.2 OHS Components of Orientations

D - Review the safety manual, the orientation checklist, new hire handouts, interview notes and supervisor records. Award points if documentation supports that all new workers receive an orientation on their first day of employment/before work commences. The orientation topics should include:  Health and safety policy and procedures  Access to legislation and related OH&S materials  Employee rights and responsibilities (i.e. three core rights, right to refuse)  Incident reporting/investigation  Contact information for supervisors and JHSC  Emergency response procedures  Job specific hazards
I - Interview a representative sample of employees and owner operators to determine their understanding of the contents of the orientation. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

4.1.3 Tracking of Required OHS Training

D - Review documentation, such as the list of job tasks/occupations, and training manuals to verify that there is a list of identified occupations and identified training requirements. If yes award 6 points.
D - Review documentation to determine if employees receive required training with respect to their assigned job tasks, such as:  Safe work procedures  Personal Protective Equipment use, care and maintenance  Inspection process and their role  Emergency preparedness procedures  Return to work process  Mobile equipment  Fall protection procedures  Driver safety  MSD prevention process  Transportation of Dangerous Goods  Lockout  WHMIS (Award points based on % of positive findings)
I - Interview a representative sample of workers to ensure that they have received job specific training as documented. (Answer yes if 80% or higher compliance)

4.1.4 Re-Orientation Process

D - Review documentation to determine if employees are receiving re-orientations during the indicated times this could include a pre-job safety orientation, toolbox safety talks or other appropriate documented methods before returning or commencing new job duties.
I - Interview a representative sample of employees to verify if this is occurring as required. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

4.2.1 Ongoing and Refresher Training

D - Review documentation to verify if there is a process established to identify refresher and ongoing training needs such as:  Joint Health & Safety Committee  First aid  Mobile Lift Equipment  PPE  Driver Training  MSD Prevention  Safe Material Handling  Hazard Recognition  Return to work
D - If required training is scheduled and provide, award 5 points. Points to be awarded based on % of employees who have received the required training. (0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)
I - Interview a representative sample of employees and owner operators to verify that ongoing training is provided as documented (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

4.2.2 Ensuring Competency After Training

D - Review documentation such as training records, certificates of qualifications, and supervisors’ records to determine if on-the-job competence assessment of workers and owner operators has been conducted prior to permitting the workers to perform their assigned tasks.
I - Interview supervisors to determine if they are aware of the evaluation process and to verify that competency is verified. (answer yes if 80% or higher compliance)

4.2.3 Supervisor Understanding of the Training Process

I - Interview supervisors to determine their understanding of the orientation and training process. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

4.2.4 JHSC Training and Competency

D - Review safety program documents to verify that JHSC member training needs have been outlined and necessary training is being scheduled or provided such as safety inspection and incident investigation skills. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)
Interview members of the JHSC to confirm their training needs have been assessed and training is being provided. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

Element 5: Workplace Inspection

5.1 Workplace Inspection Policy and Procedure

D - Review documentation to ensure that the policy and procedures for workplace inspections include the following as applicable at a minimum:  Worksite inspections (e.g. office, warehouse & shop)  Vehicle inspections  Mobile equipment inspections  JHSC involvement in inspections  Defined frequency for inspections
D - Are the responsibilities of the workers with regards to inspections outlined?
D - Are the responsibilities of supervision with regards to inspections outlined?
D - Are the responsibilities of management with regards to inspections outlined?
I - Interview a representative sample of workers and supervisors to confirm worker involvement in the inspection process (i.e. JHSC members’ involvement and performing inspections). (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

5.2 Standardization of Inspection Forms

D - Does a standardized form exist for worksite inspections?
D - Does a standardized form exist for vehicle inspections?
D - Does a standardized form exist for mobile equipment inspections?
O - Review inspection schedule and observe posting of completed inspection forms. If required inspections are completed and report posted, answer yes.

5.3 Ranking of Hazards Found During Inspections

D - Review Inspection policy and procedures to verify if there is a standard for identification of hazards and ranking of hazards by severity of potential risk.
D - Do inspection reports show use of hazard identification and ranking? (0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)
D - Review the inspection reports to confirm proof of follow up on the identified hazards with the development and implementation of action plans. (0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)

5.4 Inspection Deficiency Reporting

D - Do inspection sheets indicate that deficiencies are being reported?
I - Interview a sample of workers to determine if deficiencies are reported. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

5.5 Inspection Deficiency Correction

D - Review inspection sheets to determine if deficiencies are corrected look for re-occurring deficiencies. Review corrective action data and look for identification of time frame for completion, person responsible and actual completion dates to confirm timeliness of action taken. Award points based on % of deficiencies that are corrected in a timely manner. (1-20% = 1point, 41-60 = 3 points, 81-100% = 5 points)
I - Interview a representative sample of workers, and supervisors to confirm that deficiencies are being corrected in a timely manner. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

5.6 Training of Individuals Responsible for Workplace Inspections

D - Does documentation indicate training for worksite inspections?
D - Does documentation indicate training for vehicle inspections?
D - Does documentation indicate training for mobile equipment inspections?
D - Does documentation indicate training for JHSC inspections?
D - Does documentation indicate training for management safety inspections?
I - Interview a representative number of workers, supervisor, managers and JHSC members who are involved with the inspection process to confirm that they have been trained.

5.7 Hazard Observation and Reporting

D - Does documentation indicate a process for workers to report hazards?
I - Interview a representative sample of workers to confirm that they are aware of a hazard reporting procedure to report unsafe conditions. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

5.8 Inspection Process Management

D - Does documentation indicate that management is reviewing the inspection process? (inspection reports, inspection summaries, JHSC minutes)
I - Interview management to confirm their involvement in the inspection review process. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

5.9 Compliance of Inspection Schedule with Regulation

D - Does documentation (both inspection reports and policy) indicate an inspection frequency which is compliant with applicable regulation?

Element 6: Incident Investigations

6.1 Requirement of a Written Process for All Incident Types

D - Does the documentation include a specific procedure for the investigation of property damage?
D - Does the documentation include a specific procedure for the investigation of first aid incidents?
D - Does the documentation include a specific procedure for the investigation of medical aids?
D - Does the documentation include a specific procedure for the investigation of lost time incidents?
D - Does the documentation include a specific procedure for the investigation of serious incidents and fatalities?
D - Does the documentation include a specific procedure for the investigation of near miss incidents?

6.2 Documentation of Investigation Process

Review the incident program to determine if it includes identification of forms for each type of incident and the applicable procedures for the investigation process including;  Collect information  Analyze information to determine root causes  Determine and make corrective action  Report recommendations  Follow up to ensure corrective actions are implemented (Must include all listed elements)

6.3 Requirements for Reporting

D - Does the investigation policy indicate what types of incidents must be reported?
I - Interview a sample of workers and owner operators to determine if they are aware of the company policy with regard to their responsibility to report occupational incidents, near misses and illnesses immediately. (0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)

6.4 Investigation of Reported Incidents

D - Review reports for a variety of incidents to to verify that the incidents have actually been investigated. (Answer yes for 80% or higher compliance)
I - Interview a representative sample of supervisors and workers to ensure that all accidents/incidents are investigated. (Answer yes for 80& or higher compliance)

6.5 Implementation of Corrective Actions

D - Does documentation indicate that the organization has implemented corrective actions? ( Award based on percentage of positive findings: 0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)
O - Select a sample of corrective actions and verify that the actions have been implemented as indicated. ( Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 Points)
I - Interview a representative sample of workers to determine if they are aware of the recommendations and the implementation of corrective actions. ( Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

6.6 Investigation Training

D - Review training documentation to determine if individuals responsible for investigations have received training. (This must include: supervisors, workers, JHSC members)

6.7 Investigation Involvement

I - Based on information of completed incident investigation reports, interview investigators, managers, supervisors and JHSC worker representatives to confirm their level of involvement in the investigation process. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

6.8 Investigation Responsibility for Supervisors and Managers

D - Does investigation policy indicate that managers and supervisors are held accountable for the investigation process? D - Do investigation reports have an area for supervisors/managers to sign and confirm their review? (Both elements must be present)
I - Interview managers, supervisors and JHSC representatives to confirm if managers/supervisors are held accountable for the accident investigation process. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

6.9 Communication of Investigation Results and Incident Causes

D - Does documentation verify evidence of communication on investigation findings? (i.e. posting on safety bulletin board, shift start up meetings, safety meetings, JHSC minutes)
I - Interview a representative sample of workers to determine if they are aware of changes in procedures or operations after incident recommendations. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

Element 7: Emergency Preparedness

7.1 Emergency Preparedness Procedures and Documentation

D - Review the documentation and procedures to confirm that an emergency preparedness plan exists that is appropriate to the organization take into account identified risk which may include the following;  Fire and explosions  Earthquakes  Environmental incidents (e.g. chemical spills)  Power Outage  Severe weather  Vehicle collisions  Workplace violence (Award 0-10 points based on completeness and appropriateness of documents)

7.2 Emergency Response Plans for Identified Risks

D - Review documentation to determine if it provides clear, direct and simple instructions for workers in the event of an emergency. Review the documentation to ensure the following are present:  Communication procedures  Emergency phone numbers  List of emergency response personnel  Evacuation plan & procedures  Specific assignment of responsibilities  Process for testing of emergency response equipment  Reporting to relevant regulatory bodies (Award based on the average completeness of all plans: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)
O - Are emergency procedures, safety plans, evacuation plans, and emergency contact information conspicuously posted throughout the facility?

7.3 Emergency Preparedness Training and Responsibilities

D - Does policy and training documentation show evidence of managers, supervisors and workers written responsibilities and evidence of training in those responsibilities for the workers, managers and supervisors and the emergency coordinator?
I - Interview managers, supervisors and workers to determine if the procedures have been communicated to them and they have the knowledge of the emergency preparedness procedures. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

7.4 Testing and Evaluation of Emergency Procedures

D - Does documentation indicate that at a minimum annual emergency response drills, testing and inspection of emergency equipment and supplies (e.g. fire protection systems and first aid supplies) are carried out and look for evidence of identified improvement measures.
I - Interview a sample of managers, supervisors and workers to determine if the procedures are adequate and effective, that tests are being performed and they have knowledge of ongoing improvements. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

7.5 Adequacy of Emergency Response Resources

O - Examine the site to verify the implementation and maintenance of resources. Resources may include:  Appropriate emergency exit signage  Firefighting equipment (maintained per requirements)  First aid personnel (should be posted)  First aid facilities and equipment per regulation  Eye wash stations (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

7.6 Communication with Emergency Assistance

O - Inspect the site and vehicles to determine if workers have access to radios/phones on the worksite, in vehicles or other applicable areas to contact assistance if required. (Answer yes if 80% or higher compliance)
I - Interview workers to determine their level of awareness with regard to availability of emergency contact tools. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

7.7 Reporting of Incidents to Regulatory Bodies

D - Do Accident/Incident Investigation policies contain written procedures that clearly indicate what types of injuries must be reported to the regulatory body?

7.8 Command and Direction in Emergency Response

D - Does documentation indicate that there is a specific location designated as an emergency operations center?

Element 8: Program Administration

8.1 Management and Utilization of OHS Program Elements

D - Does documentation indicate that there is a process to review and measure the success of the elements in the safety program?
D - Does the standard for document review include accessibility to workers?
D - Does the standard for document review include the requirement for signatures?
D - Does the standard for document review include a schedule for the review of all health and safety elements?
D - Does the standard for document review include tracking documentation to identify changes and notify all parties of changes?
D - Does the standard for document review include a process to acknowledge the success of the current policy?

8.2 Identification of Applicable Acts and Regulations

D - Review the safety program manual and other documents that identify the applicable regulations which may include;  Canada Labour Code Part II  Workers Compensation Act  OHS Regulations (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)
O - Are required documents such as the Canada Labour Code and OHS Regulations available and accessible to all employees in the workplace?

8.3 Health and Safety System Review Plan

D - Review documentation to determine if a plan exists; look for documented review of;  Review of accidents, incidents and near misses  Statistical trend analysis  Work refusal reports  JHSC recommendations  Hazard recognition and controls reviewed at a minimum every three years or when there is a change in operations  Follow up actions identified and implemented (Award 5 points for each requirement up to a maximum of 15 points)
D - Does the documentation indicate involvement by senior management in this process.
I - Interview the person responsible for health and safety to determine if the process has been implemented. (Use your judgement to assign up to 10 points based on the quality of the answer)
I - Interview management to determine their involvement in review of the health and safety management system. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

8.4 OHS Continuous Improvement Plan

D - Does documentation such as annual strategic operational meetings for evidence of an indentified process for health and safety continual improvement plans. (i.e. Does management review the elements of the safety program and if necessary based on health & safety statistics, change in operations, or change in legislation make action plans to make improvements to the health and safety elements, look for a special project and or audit improvement action plan.)
I - Interview senior management to verify that health and safety goals and objectives are included in the operational business plan. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

Element 9: Joint Health and Safety Committee

9.1 Definitions of Terms of Reference for JHSC

D - Does documentation outline JHSC member responsibilities regarding attendance?
D - Does documentation outline JHSC member responsibilities regarding conducting workplace inspections?
D - Does documentation outline JHSC member responsibilities regarding conducting accident investigations?
D - Does documentation outline JHSC member responsibilities regarding involvement with work refusal?
D - Does documentation outline JHSC member responsibilities regarding a formalized process for recommendations?
D - Does documentation outline JHSC member responsibilities regarding committee member terms?
D - Does documentation outline JHSC member responsibilities regarding meeting frequency?
I - Interview JHSC members to determine their level of understanding of their roles and responsibilities under the terms of reference and the committee process. (Answer yes for 80% or higher compliance)

9.2 Involvement of JHSC Members in H and S Program Activities

D - Do JHSC meeting minutes indicate the members are actively involved in responses to identified hazards and with regards to health and safety policies?
D - Do workplace inspections indicate that JHSC members are involved in the inspection process?
D - Do accident investigation reports confirm the involvement of JHSC members?
D - Does the JHSC evaluation tool show involvement of JHSC members?
I - Interview a representative sample of workers to confirm the involvement of JHSC members. Refer to:  Workplace inspections  Accident investigations  Job safe work procedure development  Safety awareness (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

9.3 Recording, Posting, and Communication of JHSC Meeting Minutes to Workers

D - Are JHSC meeting minutes being posted as required in documentation?
O - Are JHSC meeting minutes being posted on OHS boards throughout the facility?
I - Interview a representative sample of managers, supervisors, and workers to determine if they are aware of the types of information communicated through the minutes of the JHSC. (Award based on percentage of positive findings: 0-20% = 1 points, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 Points)

9.4 Training of JHSC Members

D - Review the training records to verify if all committee members have received the appropriate training as required? Training should include the following;  New member orientation (e.g. roles & responsibilities)  Workplace inspections  Incident investigation  Hazard identification  Safety specific programs relevant to industry  A process to deal with H & S concerns from employees (Award 2 points for each type of training provided up to a maximum of 8 points)
I - Interview the members of the JHSC to confirm if they have received the appropriate training as required. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

9.5 Management Support for JHSC Recommendations

D - Do previous JHSC formal recommendations indicate a review and follow-up by management?
I - Interview JHSC members and management to confirm support and commitment for the JHSC. (Award based on percentage of positive findings: 0-20% = 2 points, 21-40% = 4 points, 41-60% = 6points, 61-80% = 8 points, 81-100% = 10 Points)

Element 10: Contractor Management

10.1 Contractor Safety Management Program

D - Does documentation include a contractor safety management program?
D - Does the contractor safety management program include a process to review and ensure that contractors are compliant with regulations and adhere to specific safety criteria?
D - Does the contractor safety management program ensure that the contractor is registered in good standing with WSBC?
D - Does the contractor safety management program ensure that the contractor receives a safety orientation which includes the organizations OHS policies and safe work practices?
D - Does the contractor safety management program an ongoing review of contractor safety compliance with OHS requriements?

10.2 Contractor Advisement of Site Hazards and Safe Work Practices

D - Do contractor orientation and training records indicate that site specific hazards and safe work practices are communicated?
I - Interview a representative sample of persons hiring contractors to determine their understanding of the contractor orientation/training program. (Award points based on positive responses. 1-20 = 1 point, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 points)

10.3 Contractor Awareness of Site Hazards, Safe Work Practices, and Responsibilities

I -Interview a representative sample of contractors to confirm that their understanding of the known, foreseeable hazards of the workplace, and safe work practices. (Award points based on % of positive responses. 1-20% = 2 points, 21-40% = 4 points, 41-60% = 6 points, 61-80% = 8 points, 81-100% = 10 points)

10.4 Contractor Involvement in Safety Management

D - Does documentation show evidence of periodic safety meeting involving contractors?
Interview a representative sample of contractors to determine if they have been advised or have an awareness of ongoing safety communication from the prime contractor? (Award points based on % of positive responses. 1-20 = 1 point, 21-40% = 2 points, 41-60% = 3 points, 61-80% = 4 points, 81-100% = 5 points)

Closing Remarks

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