Safe Work Certified (Document Audit)

• Conducted on

  Date

• Prepared by

• Signature of Lead Auditor

  Sign
• Location
  Address

A - Employer Commitment

• Is there a safety and health policy statement?

  Yes

  No

  N/A

• "• Outlines the organization's commitment to occupational safety and health.
  • Signed by the owner, president or CEO.
  • Dated within the past three years.
  • Discusses roles and responsibilities of the organization, management, supervisors and workers."
  

• Is there a harassment prevention policy?

  Yes

  No

  N/A

• "• The policy was developed in consultation with the workplace safety and health committee, worker representative or workers.
  • The policy commits to providing a workplace free of harassment and/or corrective action in the case of harassment, as well as confidentiality."
  

• Is there a violence prevention policy?

  Yes

  No

  N/A

• "• The policy was developed in consultation with workplace safety and health committee, worker representative or with worker input.
  • The policy describes a framework to identify, assess and manage the risk of workplace violence to workers."
  

• Are all applicable acts, regulations and standards referenced in the safety and health program?

  Yes

  No

  N/A

• "• Does a review of the employer's safety documentation indicate that they are aware of their responsibilities under all applicable safety acts, regulations and standards.
  • This can include whether they are federally or provincially regulated, or are answerable to specific industry or product safety standards."
  

B - Evaluation and Continuous Improvement

• Have annual management objectives been set for safety and health?

  Yes

  No

  N/A

• • The objectives must be written, clear and measurable (objectives may include: reduction in frequency or severity rates, number of safety meetings, inspections completed).
  

• Is there an effective safety and health performance measurement system?

  Yes

  No

  N/A

• • Clear performance measures have been established to support the program. • The measures may relate to the annual management objectives for safety and health.
  • Performance metrics are based upon the performance measurement system.
  • Metrics are up to date and are published on a weekly, monthly or annual basis.

• Is there a documented process to review the safety and health management system?

  Yes

  No

  N/A

• • The elements of the system, including policies, practices, and procedures, have been reviewed within the previous three years.
  • The review is documented either through management meeting minutes or by noting a review date on program documentation.
  • If changes are required to be made, they are applied to all affected areas.

• Is there an internal process in place to ensure the safety and health system is applied consistently at all locations?

  Yes

  No

  N/A

• • There is a verification process in place to ensure all work locations consistently follow the safety and health management system. (This question applies to satellite locations. If the company does not have satellite locations, mark the question N/A.)

• Has an action plan been developed to address recommendations from the previous audit?

  Yes

  No

  N/A

• • A safety improvement plan has been developed based upon the previous audit. (For first time audits, mark this question N/A.)

• Have the previous year's action plan goals been met?

  Yes

  No

  N/A

• • Has there been measurable activities to meet the objectives of the most recent action plan? (For first time audits, mark this question N/A.)

C - Safety is Communicated and Demonstrated

• Are there defined written safety rules for the workplace or operation?

  Yes

  No

  N/A

• • Safety rules, relevant to the hazards and activities of the workplace, have been developed and communicated to workers.

• Are there regular meetings with all workers at which safety is, or can be, discussed?

  Yes

  No

  N/A

• • Meetings involving workers to communicate safety information, or in which safety information can be communicated are held on a regular basis.
  • A regular basis may be considered daily, weekly or monthly.
  • Documentation acceptable for audit verification must include the date and time of the meeting, the information discussed, and the names of the attendees.
  • Safety committee meetings cannot be considered in awarding points for this question.

• Are regular crew/team meetings held at which safety is, or can be, discussed?

  Yes

  No

  N/A

• • Crew/team meetings to communicate safety information, or which include safety material are held on a regular basis.
  • A regular basis is considered daily, weekly or monthly.
  • Documentation acceptable for audit verification must include the date and time of the meeting, the information discussed, and the names of the attendees.
  • Crew/team meetings should be held in accordance with applicable legislation, or, where the dynamic nature of the work requires. Safety committee meetings are not considered to be crew meetings.

• Is a safety newsletter provided?

  Yes

  No

  N/A

• • An internal or industry-specific newsletter which provides safety information relevant to the workplace is circulated.

D - Roles and Responsibilities

• Is there a statement defining roles and responsibilities of the employer, supervisors and workers? <br>

  Yes

  No

  N/A

• • These statements may be articulated in job descriptions or a separate document.
  
  

• Have managers and supervisors received training or education regarding their safety responsibilities?<br>

  Yes

  No

  N/A

• "• Managers and supervisors have received training related to their safety responsibilities within the past year.
  • Training can include online training, workshops, seminars, conference attendance, in-house or formal course work."
  

• Do supervisors maintain records of safety and health activities?<br>

  Yes

  No

  N/A

• • Supervisors must document safety activities such as inspections, meetings, safety violations, or coaching. Log books or completed forms or checklists would be an acceptable method of verification.
  

• Is there a discipline policy or practice which addresses disciplinary steps for safety violations?<br>

  Yes

  No

  N/A

• "• Violations of safety rules or procedures are subject to discipline or sanction.
  • The policy or practice describes the nature of the violations which are subject to discipline, the process, as well as any sanctions are articulated."
  

E - Hazard Identification, Assessment, and Control

• Have all hazards of positions/tasks/activities been identified and documented?

  Yes

  No

  N/A

• • Prior to beginning (routine and non-routine periodic, occasional, emergency) work activities, the employer must implement a proactive process to identify existing and potential hazards.
  • All sources (e.g., moving machinery, radiation), situations (working at heights) or acts (manual lifting) arising from an organization's activities with a potential to cause injury or illness must be identified and documented.
  • Hazard identification processes should consider the different types of hazards in a workplace, including: physical (slippery, uneven ground), chemical (inhalation, absorption, ingestion hazards), biological (bacteria or viruses), environmental (extreme heat or cold), musculoskeletal (repetition, vibration), psychosocial (excessive workload, bullying), and psychological (post-traumatic stress disorder, anxiety) considerations.
  • The organization's hazard identification approach should consider all persons having access to the workplace and be appropriate to its scope, nature and size.
  • Documentation of hazard identification activities may include: pre-job hazard assessments, job hazard analysis (JHAs), incident investigation reports, hazard alerts, regulatory information, customized safe work plans or site start-up meeting minutes.
  • The identification of all hazards refers to reasonably foreseeable industry specific hazards.

• Have risk assessments been conducted on identified hazards?

  Yes

  No

  N/A

• • Risk is the combination of the likelihood of an occurrence of a hazardous event or exposure and the severity of injury or ill health that can be caused by the event or exposure.
  • Risk assessment is a process of evaluating the risk(s) arising from a hazard(s) while taking into account the adequacy of any existing controls.
  • The organization's risk assessment method should use clearly defined, descriptive categories for assessing severity (catastrophic, critical) or likelihood of harm (very likely, possible) and be applied prior to implementing controls.
  • Considerations should also include: frequency and percentage of workforce exposed, duration of exposure, degree of resulting harm and probability of occurrence.
  • If a risk assessment matrix is used, the intent is to create a ranking or action list to indicate which workplace hazards will be eliminated or mitigated first.

• Have control strategies been developed and implemented for identified hazards?

  Yes

  No

  N/A

• • Where a risk to workers' safety and health exists, the employer must eliminate or control the hazard.
  • Hazards must be controlled at the source, along the path or at the worker level using the hierarchy of controls, which includes substitution (substituting a less hazardous material), engineering (installing machine guarding, ventilation), administrative (safe work procedures, worker rotation) in combination with personal protective equipment (face shields, safety harnesses and lanyards, respirators).
  • In applying the hierarchy of controls, consideration should be given to the risk reduction benefits, reliability of available options, legislative requirements and relative cost.
  • The organization should document and keep the results of hazard identification, risk assessments and determined controls.

• Does management monitor/review the effectiveness of implemented controls?

  Yes

  No

  N/A

• • Implemented controls must be evaluated to ensure effectiveness.
  • Considerations should include regular review of: personal protective equipment, safe work procedures, elimination, engineering, administrative and substitution controls.
  • Management must expedite action on ineffective controls and identify any newly created hazards resulting from ineffective controls.
  • These reviews and resulting actions must be documented to demonstrate due diligence.

• Have critical tasks with high risk levels been identified?

  Yes

  No

  N/A

• • The employer must identify all tasks, operations or processes posing a high risk to the safety and health of workers. Examples may include working at heights, confined space entry, ground disturbance, manual material handling, chemical and biological substances, working alone or in isolation.
  • These tasks should receive the highest ranking on risk assessments and related safe work procedures must be developed, implemented and readily available to workers prior to the commencement of all work.

• Is there a process to ensure hazards are reassessed for new or modified operations?

  Yes

  No

  N/A

• • Procedures for the ongoing hazard identification for routine and non-routine activities and process changes have been established, implemented and maintained.
  • The frequency of these assessments should be appropriate to the organization's scope, nature and size.
  • Situations where the process may be applied include where new hazards are introduced, legislation changes, equipment is purchased or modified.
  • Documentation may include copies of completed Pre-job Safety Instructions, (PSIs), daily safety huddles or meeting minutes, or the completion of Field Level Risk Assessments (FLRAs).

• Has the completion of these hazard assessments been assigned to specific employees?

  Yes

  No

  N/A

• • The auditor must verify that the employer has assigned responsibility for hazard identification and control to specific individuals.
  • The auditor should review hazard identification records to determine involvement of appropriate personnel.

• Have these employees received training for completing hazard assessments?

  Yes

  No

  N/A

• • The auditor should review company training records to verify completion of training in hazard assessment. Training must be conducted by a competent person and may be delivered in-house or through external sources (e.g., conferences, associations, SAFE Work Manitoba).

• Have written safe work procedures been developed?

  Yes

  No

  N/A

• • The auditor must compare observed work operations and confirm that related safe work procedures have been developed for all activities which pose a risk to worker safety and health.
  • Developed safe work procedures must accurately reflect the organization's work activities and include the steps required to perform the task safely as well as the required controls.

• Has the employer reviewed relevant safe work procedures with workers?

  Yes

  No

  N/A

• • Records or documentation must exist to confirm that the employer has reviewed relevant safe work procedures with workers.
  • The information must be applied by workers to ensure they protect their own and others' safety and health.

F - Emergency Management

• Has an emergency risk assessment been conducted?

  Yes

  No

  N/A

• • All potential emergencies which may impact the workplace have been identified and their risk assessed based upon likelihood and consequence.
  • Potential emergencies to be considered may include neighboring gas leaks, ice storms, fall arrest, confined space retrieval, etc.
  • The risk assessment should include potential hazards presented by neighboring businesses or operations.

• Is there an up-to-date emergency response plan based upon the emergency risk assessment?

  Yes

  No

  N/A

• • These requirements may be in addition to the general provisions for a first aid and fire emergency plan. The emergency response plan must include an assignment of roles and responsibilities of workplace personnel during an emergency situation. It should also include considerations for providing: a communication device, means of transportation, first aid equipment, fire extinguishers, posting of plans and emergency contact phone numbers as well as site specific clean up or spill procedures.

• Are all emergency plans reviewed annually or following an incident?

  Yes

  No

  N/A

• • Plans should be reviewed with a frequency which ensures that they remain current to the workplace and provide accurate directions.
  • At a minimum plan reviews should take place on an annual basis and following any event which tests its effectiveness such as a drill or an actual incident.
  • The plan review must be documented either on the plan document or in the minutes of the management meeting in which it was reviewed.

• Does each work location have a first aid plan?

  Yes

  No

  N/A

• • The contact information for first aiders must be posted or identified to all workers. The location of the first aid room and emergency contact procedures must also be communicated.

• Are first aid reports and treatment records kept?

  Yes

  No

  N/A

• • The employer must retain records of all first aid reports and treatment.

• Does each work location have first aid equipment and supplies for the nature of the operation and the number of workers?

  Yes

  No

  N/A

• • Each work location should maintain a current inventory of first aid equipment and supplies in accordance with applicable legislation.

• Does each work location have the correct number of first aid providers with the training appropriate to the nature of the operation and the number of workers?

  Yes

  No

  N/A

• • Each work location must provide first aiders in accordance with the provisions outlined in applicable legislation.

• Does the work location have a fire emergency plan?

  Yes

  No

  N/A

• • At a minimum a fire plan should describe a means of alerting workers to a fire emergency, evacuation procedures and a system to account for workers and visitors.
  • If some workers have defined roles, such as wardens or industrial fire brigade members, they should be provided with specific instructions and training with respect to their duties.

• Have fire drills been conducted according to fire code requirements for the occupancy?

  Yes

  No

  N/A

• • In general, a business occupancy will require a single drill each year.
  • The fire code requires more frequent drills for occupancies such as schools and hospitals.

• Have fire drills been conducted for every shift in multi-shift operations?

  Yes

  No

  N/A

• • In general, the fire code requires one drill per year. In a multi-shift workplace, holding extra drills means that workers on alternate shifts will benefit from drills or exercises.

• Does the work location have an evacuation plan or plans?

  Yes

  No

  N/A

• • If the site has a fire plan it should incorporate evacuations.
  • If some other potential emergency, such as a gas leak, requires an evacuation plan, the fire evacuation plan can be utilized as a general site evacuation plan as long as it is compatible with the management of the potential emergency.

G - Contracted Workers and Other People in the Workplace

• Is there established criteria for selecting contractors or self-employed persons?

  Yes

  No

  N/A

• • The employer should establish safety and health performance criteria to assist in the selection of contracted work or services.
  • Selection criteria may include a request for: safety certification, experience and industry rating letter (bid letter), corporate incident frequency and severity statistics, and proof of WCB coverage (clearance letter) during the procurement process.

• Is there a process to evaluate the safety performance of contracted workers?

  Yes

  No

  N/A

• • The employer should establish criteria to evaluate the future performance of contracted work.
  • Evaluation criteria may include: verification of required training and competency of workers, the development, submission and review of safe work plans and the development of applicable safe work procedures.

• Have procedures for the regular monitoring of contractor activities and their performance been developed and implemented?

  Yes

  No

  N/A

• • The safety performance of contracted work must be regularly monitored.
  • Criteria may include: the receipt and review of completed documents that verify the identification, communication and control of hazards, including: completed inspection reports, orientations, safety meeting minutes, conformance to legislative requirements, hazard assessments and investigations.

• Have contractors and other persons in the workplace been provided with a safety orientation?

  Yes

  No

  N/A

• • The employer must provide a safety orientation to contractors and other persons who are new to the workplace, moved or relocated to a different area or returning to the same workplace with new or changed processes or following a prolonged absence.
  • Documentation must verify that contractors, their employees and other persons in the workplace have received a site-specific safety orientation which includes hazard and hazard control information.
  • Other persons in the workplace may include: visitors, volunteers, students, patients, customers, clients, guests, suppliers, delivery and service personnel.

• Is there a system to share required safety information at the workplace?

  Yes

  No

  N/A

• • The employer should develop a system to share required safety/hazard information with contractors and other persons at the workplace.
  • Some examples may include: the establishment of a safety and health committee, posting pertinent safety information or warnings in a prominent location or bulletin board, and the establishment of on-line systems for safety and health activities.

• Is there a system to ensure contractors participate in safety and health activities?

  Yes

  No

  N/A

• • The employer must ensure all contractors participate and provide input into safety and health activities. Participation may include serving on the workplace safety and health committee.
  • The employer should ensure contractors document their hazard identification, communication and control efforts and communicate the information to the prime contractor, owner or employer.

• Are all of the duties of a prime contractor being fulfilled?

  Yes

  No

  N/A

• • A prime contractor has been designated in accordance with applicable legislation.
  • The prime contractor has established a system to co-ordinate, organize and oversee the performance of all work.
  • Considerations should include: the establishment of a workplace safety and health committee, safety meetings, specified safety program documentation requirements and ensuring that work is performed in accordance with applicable legislation.

H - Safety and Health Training and Orientation

• Are safety training requirements identified as a result of the hazard identification and risk assessment process?

  Yes

  No

  N/A

• • Training is a process within the safety management system. The intended outcome of training is to ensure that workers understand the hazards of their jobs and how to do their jobs safely. As such, training should be a targeted activity, based upon clearly defined risk management needs.

• Are safety training requirements defined for every position or task?

  Yes

  No

  N/A

• • The safe work procedures, safety skills, qualifications and hazard information for every position should be identified (e.g., a spreadsheet indicating required training topics for each position).

• Do all new workers receive a general and site specific safety orientation?

  Yes

  No

  N/A

• • 'New workers' means a worker who may be: new to the workplace, moved into another area of the workplace with different processes or unfamiliar hazards, relocated to a different work location, or, is returning to the same workplace where processes or hazards have changed.
  
  • The auditor must verify that all 'new workers' have been provided with an orientation/training in accordance with applicable legislation and company policy requirements.
  

• Do all workers receive general and job specific safety training?

  Yes

  No

  N/A

• • Each worker should receive the training necessary to ensure that they understand the hazards of their specific job and how to perform their work safely. This requires an individual training plan which addresses a worker's specific job duties, tasks and work environment.

• Are the training methods appropriate to the subject and material?

  Yes

  No

  N/A

• • In general, training involves the transfer of either skills or knowledge. These require different training methods. Knowledge based training might include such subject matter as rules, polices, or hazard information. Appropriate training methods for knowledge based training might include:
  - Classroom training
  - Online training
  - Self study
  - Video-based training
  • Skills-based training involves learning hands-on competencies such as wearing personal protective equipment, operating a piece of machinery, or doing a vehicle pre-trip inspection. Appropriate training methods for skills based training might include:
  - Job shadowing
  - Demonstration
  - Hands-on coaching
  - Emergency drills
  • Most training will likely involve a combination of knowledge and skills-based training. Training in safe work procedures will probably involve a discussion of the hazards and purpose of the procedure, followed by a demonstration. Evaluation methods may include a review of the training outline, materials or plan.
  

• Is safety training provided by a trainer who is competent in the subject matter and qualified to provide training?

  Yes

  No

  N/A

• • The auditor should evaluate the trainer's competency based on a combination of prior knowledge, experience and training. Training may be provided by designated trainers or by the workers supervisor, or by a combination of both.

• Is there an appropriate system to verify understanding of the safety and health training provided?

  Yes

  No

  N/A

• • The method of verification should be similar to the method of training. Simply presenting material to workers does not meet the requirement to ensure that they have received safety training.
  • In knowledge-based training the most common form of verification is a test or exam, either written or oral.
  • For skills-based training the most appropriate form of verification would be a demonstration of the skill that has been learned. Again, a combination of the two approaches may be used.
  • Demonstration of a skill may include oral questions about its various steps and their purpose.

• Are workers provided with ongoing, refresher or additional safety training when required?

  Yes

  No

  N/A

• • Worker safety training must be kept current with the nature of their jobs. On an annual basis general safety orientation in the following topics should be reviewed:
  - Worksite emergency procedures
  - General worksite hazards
  - Contact information for the workplace safety and health committee representative(s)
  - Workplace safety rules
  - How to summon first aid in the event of an injury.
  • Job specific training should be reviewed annually to ensure it covers all aspects of a worker's tasks. • In the event of an incident or a failure to follow standard practices covered in job specific training, the specific topic or topics will be reviewed. • If there is a change to the worksite, operational procedures, or new work hazard information becomes available, workers will receive the training appropriate to those changes.

• Is training documented?

  Yes

  No

  N/A

• • Training should be documented on orientation forms, checklists, handbooks, manuals, tests, or databases.

• Have workers received training in emergency procedures relevant to the workplace?

  Yes

  No

  N/A

• • All workers must be oriented to any emergency plans before commencing work.
  • Emergency plans must be reviewed with all workers at least once a year, or in the event of an emergency.
  

• Is there formal safety skills training for supervisors?

  Yes

  No

  N/A

• • Supervisors must receive training which includes information about their legal duties and responsibilities for safety.
  • Supervisors must receive training related to their role in the safety management system.

• Is there formal safety skills training for managers?

  Yes

  No

  N/A

• • Managers must receive training which includes information about their legal duties and responsibilities for safety.
  • Managers must receive training related to their role in the safety management system.

• Have workers who use personal protective equipment been trained in its use, inspection and maintenance?

  Yes

  No

  N/A

• • This requirement is applicable for all personal protective equipment that a worker is required to use. Workers should be provided with instructions for the proper fit, care and use of all required personal protective equipment.
  • The auditor should observe workers following procedures for use, inspection, and maintenance.

• Is there a system in place to periodically review the content and outcomes of all safety training to ensure that it is relevant and effective?

  Yes

  No

  N/A

• • The safety management system should include performance standards for the safety training program. Performance standards and their review might include:
  - Standards for the types of safety training which workers should receive and the frequency of training.
  - Evaluations of the quality of safety training based upon verification scores and participant feedback.
  - Recordkeeping to ensure that training has taken place, and the safety training results are recorded.
  - A review of the content of the safety training program to evaluate how it supports the overall safety and health management system.
  - Updates to training materials based on changes to regulations or legislation.
  - A review of corrective actions by supervisors should be used to identify any shortcomings in safety training.

• Is there a system in place to ensure that workers maintain current qualifications/certification/licenses?

  Yes

  No

  N/A

• • Training required for work may include the following:
  - First Aid Certificates
  - Lift Truck Operator’s Certificates
  - Trade or skills qualifications
  - Professional Driver’s Licenses
  • The date of expiry of all such certificates should be tracked and recertification scheduled to ensure that a worker remains qualified to perform their job.
  

I - Inspections

• Is there an inspection program?

  Yes

  No

  N/A

• • The inspection program should include a policy and/or procedure requiring the proactive identification of all hazardous sources, situations or acts arising from the organization's activities.
  • The program should state a pre-determined frequency (e.g., monthly, weekly, daily) for inspecting the workplace (work areas), work processes (activities), procedures and equipment to identify substandard acts and conditions.
  • It should also identify roles and responsibilities for conducting inspections, reporting and follow-up.
  • All areas requiring inspection must be identified and may include: buildings, office, shop, yard, project sites, storage areas, facilities, tools, equipment, processes, vehicles, etc.
  • The auditor must also verify that inspections are conducted in accordance with applicable legislation, industry standards and manufacturers specifications.

• Are regular workplace inspections performed?

  Yes

  No

  N/A

• • The employer must ensure the workplace is inspected in accordance with company policy and legislative requirements.
  • This process should include requirements for inspecting emergency response equipment.

• Is the requirement for tool and equipment inspections adhered to?

  Yes

  No

  N/A

• • The employer must ensure critical tools, equipment and personal protective equipment are inspected prior to use and/or during use, and the inspection results are recorded as required.

• Are specialty inspections conducted as required?

  Yes

  No

  N/A

• • The employer must have a system in place to adhere to specialty inspection requirements (e.g., cranes, hoists, hydrostatic pressure testing).

• Are appropriate personnel involved in performing safety inspections?

  Yes

  No

  N/A

• • The auditor should review completed inspection reports to verify personnel who have been designated the responsibility to conduct inspections are fulfilling their duties in accordance with the company policy.
  • For example, the workplace safety and health committee must conduct inspections in accordance with legislative requirements, operators of critical tools and equipment must perform pre-use inspections and supervisors must perform inspections on work areas within their control.

• Are inspection results communicated to all affected workplace parties?

  Yes

  No

  N/A

• • Inspection results should be discussed with all workplace parties. This can be accomplished through safety meetings, crew talks, huddles, or other forums.
  • The auditor should also verify inspection results have been posted or made readily available in a prominent location at the workplace.

• Have those required to be involved in inspections received appropriate training?

  Yes

  No

  N/A

• • Those designated with the responsibility to conduct inspections must possess competence in hazard identification methodologies and techniques and have appropriate knowledge of the work activity.
  • Training in hazard identification techniques can be delivered in-house or through external providers.

• Are deficiencies corrected in a timely manner?

  Yes

  No

  N/A

• • Hazard controls must be implemented for all identified deficiencies.
  • All deficiencies must be brought to the attention of the persons responsible for correction.
  • The auditor should review completed inspection reports and confirm items marked as deficient have been corrected.

• Has a proactive maintenance program been implemented?

  Yes

  No

  N/A

• • The auditor must confirm that procedures and schedules have been implemented outlining requirements for preventative maintenance of tools, equipment and vehicles, etc. (e.g., oil changes required as per manufacturer's specifications)
  • The employer should have an inventory of all assets requiring preventative maintenance. The auditor should look for records relating to the inventory list of assets to verify preventative maintenance has been completed.

• Do records indicate that corrective actions have been taken?

  Yes

  No

  N/A

• • The employer should retain all records of corrective actions arising out of the inspection of tools, equipment and vehicles.
  • Documentation may include: paid invoices from qualified repair facilities or records of in-house repairs or maintenance.

• Is there a process to effectively remove overdue and/or defective tools, equipment and vehicles from service?

  Yes

  No

  N/A

• • The auditor must verify there are written procedures to prevent defective tools, equipment and vehicles from being used, and which provide instruction to employees with respect to the course of action to be followed. A lockout system is the most common and is also a requirement under legislation.
  • Personnel must be able to demonstrate their understanding of the company's process to remove defective items from service, including where and to whom they should report or return defective items.

J - Incident Reporting and Investigation

• Are there documented processes and procedures for incident reporting and investigations?

  Yes

  No

  N/A

• • Criteria and procedures should be developed outlining responsibilities for reporting, investigating and analyzing incidents.
  • These procedures should be developed in accordance with legislation and include considerations for the reporting and investigation of: incidents, injury, near misses, dangerous occurrences, worker concerns, right to refuse situations, and incidents of violence and harassment.

• Are standardized incident investigation form(s) used?

  Yes

  No

  N/A

• • The form should be constructed to guide the investigation through the analytic process.

• Do records indicate the process for reporting and investigation is being followed?

  Yes

  No

  N/A

• • The auditor should review investigation reports and determine if they are being completed in accordance with legislation and company policy.
  • Considerations should include: a reasonable time frame between the occurrence and investigation, meaningful recommendations (avoidance of statements such as: 'be careful' and 'use caution'), appropriate signatures on report forms (e.g., supervisor, safety and health committee representative, senior management's review) and appropriate notifications (Workplace Safety and Health Branch, Workers Compensation Board, etc.).

• Have personnel with incident investigation responsibilities received appropriate training?

  Yes

  No

  N/A

• • The auditor should review training records of supervisors and workplace safety and health committee members to ensure they have received training in how to conduct investigations.
  • Training can be conducted in-house or provided by external sources.
  • The auditor should request copies of training certificates or related documentation. If available, a course outline, format or curriculum should be reviewed.

• Are appropriate personnel involved in investigations?

  Yes

  No

  N/A

• • The auditor should review completed investigation reports to verify the involvement of: management, supervisor and the workplace safety and health committee representative. Appropriate signatures on completed investigation report forms would verify involvement/review.

• Are opportunities for corrective and preventative actions being identified and addressed?

  Yes

  No

  N/A

• • Investigation reports should identify the direct, indirect and root causes, and list recommendations for the prevention of a re-occurrence.
  • Once identified, a system to follow-up on implemented recommendations should be developed.
  • Recommendations should be implemented in a timely manner.

• Is the effectiveness of the investigation process being evaluated?

  Yes

  No

  N/A

• • The employer must verify their commitment to the continuous improvement of their investigation process. This can be verified through management signatures on investigation reports, noting their review for completeness and accuracy, and follow-up activities.

• Are managers and supervisors made aware of the results of incident investigations?

  Yes

  No

  N/A

• • Lessons learned from incident investigations are communicated to managers and supervisors when investigations are completed.
  • Documentation for audit verification must include management meeting minutes or records in which the investigation results were discussed.

• Are the outcomes and lessons learned from investigations communicated to workers?

  Yes

  No

  N/A

• • Lessons learned from incident investigations are communicated to workers when investigations are completed.
  • Communication can take place through such channels as workplace safety and health committee minutes, bulletin board postings, staff meetings or internal memos.

K - Worker Rights and Responsibilities

• Do orientations and training include information about workers' rights and responsibilities?

  Yes

  No

  N/A

• • A review of training and/or orientation records must confirm that workers were made aware of their rights.

• Is there a process to address and resolve safety concerns?

  Yes

  No

  N/A

• • The auditor should determine if a documented process exists to address and resolve safety concerns. The process may be included in policies and procedures and results of the investigation and/or resolution should be documented.

• Is there a written process to respond to work refusals?

  Yes

  No

  N/A

• • The auditor should determine if there is a process to initiate, investigate, resolve and follow-up on work refusals.

• Are worker concerns addressed in a timely manner?

  Yes

  No

  N/A

• • The auditor should determine if the employer responds to all worker's concerns in a timely manner or in accordance with provisions outlined in legislation. Records of safety committee meeting minutes or other meetings held with workers may assist in awarding points.

• Are worker safety responsibilities defined in writing as an element of the safety and health program?

  Yes

  No

  N/A

• • The auditor should review a list of written safety responsibilities of all workers. These responsibilities could be included in the company policy, described in a separate document, or located in a safety handbook.

• Has the audit action plan been communicated to workers?

  Yes

  No

  N/A

• • The auditor should look for documentation to verify the audit action plan has been communicated to workers. This information could be discussed at safety and health committee meetings or other meetings held with workers. The results of these activities should be documented.
  • This question would be marked N/A for initial certification audits.

L - Workplace Safety and Health Committees and Worker Representatives

• Has a workplace safety and health committee been established?

  Yes

  No

  N/A

• • This requirement applies to provincially regulated workplaces.
  • Workplace safety and health committees must be established for: each workplace where at least 20 of the employer's workers are regularly employed, in seasonal workplaces where at least 20 of the employer's workers are involved or are expected to be involved in work and the work is expected to continue for at least 90 days, at a construction project site where at least 20 workers are involved or expected to be involved in work and the project is expected to require more than 90 days to complete and any other individual workplace or class of workplace designated by a written order of the director of the Workplace Safety and Health Branch.
  • The auditor may verify implementation through the review of documents such as workplace safety and health committee terms of reference, minutes, inspection and investigation records noting signatures of committee/worker representative involvement.

• Is the workplace health and safety committee properly constituted?

  Yes

  No

  N/A

• • This requirement applies to provincially regulated workplaces. The workplace safety and health committee must be established in accordance with provisions outlined in the Workplace Safety and Health Regulation 217/2006. A workplace safety and health committee shall consist of at least four members and not more than 12, with at least half representing workers who are not associated with management. The auditor should determine if the safety and health committee that has been established has: accurate membership, representation and designation of both an employer and worker co-chair.

• Has a workplace safety and health representative been appointed?

  Yes

  No

  N/A

• • This requirement applies to federally regulated workplaces.
  • The employer must appoint a health and safety representative, who does not exercise managerial functions, for each workplace controlled by the employer with fewer than 20 employees.

• Has the workplace safety and health committee established appropriate terms of reference?

  Yes

  No

  N/A

• • The auditor should review training records to verify committee members and representatives have attended training related to their roles and responsibilities. Some examples might include: attendance at SAFE Work Manitoba's Committee Basics workshop, industry-based recognized training or in-house or equivalent training.
  

• Have all workplace safety and health committee members and representatives received appropriate training?

  Yes

  No

  N/A

• • This requirement applies to provincially regulated workplaces. The workplace safety and health committee must meet within one month of establishment and at regular intervals not exceeding three months thereafter. When a workplace safety and health representative is designated at a workplace, an employer must meet with the representative at regular intervals not exceeding three months to discuss safety and health matters. These requirements are outlined in the Workplace Safety and Health Regulation 217/2006. The auditor must review copies of meeting minutes to verify adherence to required frequency.

• Does the workplace safety and health committee and/or worker representative attend regular meetings?

  Yes

  No

  N/A

• This requirement applies to federally regulated workplaces.
  • Each workplace health and safety committee is required to meet nine times a year, at regular intervals during regular working hours. The health and safety representative should regularly discuss health and safety issues with management.

• Are the minutes of meetings held with the workplace safety and health committee or representative recorded?

  Yes

  No

  N/A

• • The auditor should review minutes from previous meetings with the committee to ensure they include an accurate record of: the date, time and place of the meeting, names those in attendance and their affiliation, a description of the items discussed, any decisions or recommendations arising out of the meeting and appropriate signatures.

• Is the workplace safety and health committee or representative involved in workplace inspections?

  Yes

  No

  N/A

• • The auditor should review completed workplace inspection records and previous committee minutes to determine if committee members or representatives are involved in conducting and reviewing workplace inspections. Signatures on completed inspection reports would verify involvement, or, statements contained in committee minutes could also verify a review of completed inspections results.

• Is the workplace safety and health committee or representative involved in incident investigations?

  Yes

  No

  N/A

• • The auditor should review completed investigation reports and previous committee minutes to determine if workplace safety and health committee members or representatives are involved in conducting and reviewing investigation results. Signatures on completed investigation reports would verify involvement, or, statements contained in committee minutes could also verify a review of completed investigations.

• Does the workplace safety and health committee or representative review hazard/risk assessments or safe work procedures?

  Yes

  No

  N/A

• • The auditor should review previous workplace safety and health committee minutes to determine if a review of risk assessments or safe work procedures has been conducted.

• Does the workplace safety and health committee or representative review the effectiveness of safety equipment or personal protective equipment?

  Yes

  No

  N/A

• • The auditor should review previous workplace safety and health committee minutes to determine their involvement in reviewing and recommending personal protective equipment purchases, replacement or effectiveness.

• Does the committee or representative advise on the content or effectiveness of safety education and/or training programs?

  Yes

  No

  N/A

• • The auditor should review previous committee minutes to determine if members have had the opportunity to provide input or recommendations respecting the development or promotion of safety information, education and/or training.

M - Protecting Vulnerable Workers

• Does the safety management system include processes to identify and support vulnerable workers?

  Yes

  No

  N/A

• • Vulnerable workers may include workers who are: new to Canada, young workers, those with limited literacy, as well as aging workers.
  • If the auditor has determined vulnerable workers are present in the workplace, processes should be developed and implemented to address and support the needs of vulnerable workers. These processes could include, but not be limited to: mentorship programs, language services (e.g., translation, interpretation, and multi-lingual signage), accommodated work hours, work placements tailored to maximize ability or availability and ergonomic enhancements. The employer should also develop systems to evaluate the effectiveness of chosen supports.

• Have new workers received an orientation which includes all elements required by legislation?

  Yes

  No

  N/A

• • The auditor should review orientation records for workers hired, returning (seasonal) or transferred within the past 12 months.

• Do site emergency plans make allowances for vulnerable persons?

  Yes

  No

  N/A

• • Workplace emergency plans and procedures must be developed with consideration to the needs of vulnerable persons.
  • Workplace emergency procedures must be communicated in a manner which is comprehensible.

N - Industry Specific - Made Safe

• Does the company have a lockout program?

  Yes

  No

  N/A

• Machine /Lock out • Job hazard analysis and safe work procedures are available for operating machines which includes procedures for lockout
  • An employer has a lock out program in place
  • Logbook is kept to record the use of the duplicate key
  

• Is there a formal powered mobile equipment training and evaluation program, and is it applied?

  Yes

  No

  N/A

• Powered Mobile Equipment (Crane, Forklift, Aerial, Work Platforms, etc.) • Training and evaluation records are documented
  • Training certificates for powered mobile equipment operators must be readily available
  
  

• Is there a process to measure and monitor the air quality within the workplace, and is it followed?

  Yes

  No

  N/A

• Industrial Hygiene A. Air quality • The employer has conducted a current risk assessment specific to air quality
  • Air quality measurements are conducted in accordance with applicable standards
  • Air quality reports are posted and communicated to the safety and health committee
  • Strategy for controlling risk is based on the hierarchy of controls
  

• Is there a process to measure and monitor the noise levels within the workplace, and is it followed?

  Yes

  No

  N/A

• Industrial Hygiene B. Hearing Conservation • Noise measurements (including personal and area monitoring) are conducted in accordance with applicable standards
  • Noise reports/maps are posted and communicated to the safety and health committee
  • Audiometric testing is being conducted at a frequency consistent with the regulations
  • Strategy for controlling risk is based on the hierarchy of controls

• Does the workplace have asbestos contained materials, and if so, is there an asbestos management plan?

  Yes

  No

  N/A

• Industrial Hygiene C. Asbestos • The employer has conducted an asbestos risk assessment of the workplace and the survey is up-to-date
  • An asbestos inventory is present, which includes control plans, signage for areas with asbestos contained materials, and encapsulation strategies
  

• Is there a fall protection program in place in accordance with applicable standards, and is the program being followed?

  Yes

  No

  N/A

• Fall protection • The fall protection program is written and communicated
  • Skill based training has been provided by designated/competent trainer(s) and involves the verified transfer of skill and/or knowledge
  • Structural fall protection equipment has been certified annually by a competent/qualified person
  

• Has the employer completed a risk assessment for working alone or in isolation? Based on the results of the risk assessment, has the employer developed and implemented procedures for situations involving workers working alone or in isolation?

  Yes

  No

  N/A

• Working Alone/Isolation • Working alone/isolation procedures are written and communicated
  • Procedures and training have been established to address working alone or in isolation.
  • Emergency response protocols have been developed to address working alone or in isolation.
  

• Has the employer completed a confined space inventory and risk assessment? Based on the results of the risk assessment, has the employer developed and implemented a confined space entry program?

  Yes

  No

  N/A

• Confined Space • Confined space entry program is written and communicated
  • Procedures and training have been established to address confined space entry
  • Emergency response protocols have been developed to address confined space entry