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COR/SECOR Audit Document National Standards

1236 Ellice Ave. Winnipeg, Manitoba R3G OE7

Phone: (204) 947‐1379 Fax: (204) 943‐2279

Email: [email protected]

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Manitoba Heavy Construction Safety Program (MHCSP) ‘COR/SECOR Audit Document’

A ‘Continuous Improvement’ Verification Exercise Manitoba Heavy Construction Association (MHCA) & the Manitoba Heavy Construction Safety Program (MHCSP) The Manitoba Heavy Construction Association (MHCA) is an organization fully funded by its member companies in the heavy construction industry. Its focus is on promoting sustained investment in infrastructure, supporting and initiating policies which help grow Manitoba’s economy and providing vocational and safety education and training to and for the heavy construction industry.

The Manitoba Heavy Construction Safety Program (MHCSP) is managed and delivered by the MHCA to the entire heavy construction industry in Manitoba under a long-term funding agreement between the MHCA and the Workers Compensation Board (WCB) of Manitoba.

The MHCSP is supported by two revenue streams. The first is a surcharge on premiums paid by companies classified by the WCB as heavy construction and listed as such in the WCB 407/408 rate codes. The list includes roughly 850 companies. The second is program ‘user fees,’ an expectation by the WCB with which the MHCA is obliged to comply.

The program is designed and mandated to assist the heavy construction industry in Manitoba to meet its obligations related to workplace safety procedures, policies and training as required by provincial legislation and regulation. COR/SECOR (Certificate of Recognition / Small Employer Certificate of Recognition) is earned not given.

The objective of safety programs is to eliminate workplace incidents and mitigate the severity of those that do occur.

The MHCSP COR/SECOR Program and the within MHCSP COR/SECOR Audit Document assists in meeting Manitoba Law, Manitoba Regulations, the Canada Labour Code and established industry standards and practices some of which nominally exceed legislated requirements.

It also meets national auditing standards as adopted by the Canadian Federation of Construction Safety Associations (CFCSA) allowing for reciprocal ‘COR Certified’ status achieved in Manitoba to be recognized across Canada.

COR/SECOR – Its Application

The COR Certification Program applies to companies of 20 or more persons in total seeking certification. COR Certification is reciprocally recognized in all provinces.

SECOR applies to companies of 19 or less persons in total. SECOR may not have reciprocal recognition in Canada and therefore may not provide extra-provincial portability advantages.

The MHCSP recommends that companies of 10 or more persons in total should participate in the COR Certification Program.

COR/SECOR Audit Document The Audit document is used to assess both COR and SECOR companies. The difference between the two is simple: COR companies are assessed against ALL questions listed in the audit document; SECOR companies are assessed against only those questions which are highlighted.

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Safety and the Law

Workplace safety is the joint responsibility of management and worker. Education, training and the implementation of individual safety and health policies, practices and procedures is not an option – it is a requirement of provincial legislation and regulation, namely the Workplace Safety & Health Act (WS&H) and Regulations.

The MHCSP COR/SECOR Program and Audit are designed to assist companies by providing a framework for a safety and health management systems which will help meet its legal responsibilities. However only by fully adhering to the Workplace Safety and Health Act and Regulations, and other applicable legislation are companies in compliance.

The MHCSP COR/SECOR Audit Document references some of the applicable sections of the WS&H Act and Regulations.

MHCSP Quality Assurance Program (QAP)

The MHCSP Quality Assurance Program (QAP) provides the comprehensive guidelines for MHCSP policies and procedures. It lays out the conduct (including ethical), program and implementation expectations of all participants in a safety and health program. If you do not have a copy feel free to contact the MHCSP and one will be provided.

MHCSP COR/SECOR Program – Benefits

The benefits of COR Certification are many and include:

• Improve your and your employee due diligence and/or reasonable care by ensuring that you have current and effective safety programs, procedures and practices in place for your work sites;

• Avoid or reduce workplace or occupational injuries and illnesses which translates into lowered worker’s compensation insurance premiums; • Audits allow you to track your own safety performance and proactively implement corrective measures; • As a measuring instrument, audits ultimately provide the ability to effect continuous improvement which benefits the company and its employees; and • Subject to WCB qualifying rules, achieving and maintaining COR/SECOR Status entitles companies to a 5% rate reduction in WCB insurance premiums. A total of

$410,000 was rebated to the heavy construction industry for calendar years 2007 and 2008. A MHCSP objective is to assist heavy construction industry employers attain and thereafter maintain Certificate of Recognition (COR/SECOR) status. Please be reminded however, that COR/SECOR Certification requires achieving identified benchmarks. Failure to do so may result in the COR/SECOR Certified status being suspended or revoked. (A complete ‘Review and Appeal’ of any such decision is found in Section 10 of the Q.A.P. Let the MHCSP help you to ensure that does not happen.

MHCSP Safety Program COR/SECOR Audit Document – A Guide The within MHCSP COR/SECOR Audit Document is intended to provide a guide for Auditors in conducting and completing the required External Audits of COR/SECOR Certified company safety and health programs.

It is also used for the purposes of conducting Internal and Trial Audits of company safety and health programs. It also helps companies understand what is involved in an External Audit of its safety and health program (and therefore assists in preparation), and post audit, what corrective measures may be required.

Audit Purpose, Objectives & Experience

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The purpose, objectives and approach in the conduct of an External Audit is to assess the existence, validity, effectiveness and implementation of the company safety and health program. It tests for consistency with the required 14 COR/SECOR Program Elements and helps the company and its employees in continuously improving its entire safety and health program at all workplaces.

An audit should not be viewed nor its results received in the strictest sense, as a rigid ‘pass / fail’ process. Audits should ‘flag, red circle or caution’ weaknesses for attention and corrective steps to be incorporated into the required Corrective Action Plan which follows each audit.

Save and except during employee interviews which are confidential in nature, a company is entitled to designate an employee (for example, its Safety Program Manager) to accompany the Auditor during the audit process to act as a resource, answer questions and provide any required explanation.

The Audit Approach Auditors are charged with the responsibility of objectively, consistently and fairly testing for the existence and implementation of the company’s safety and health program, and for consistency with the 14 COR/SECOR Program Elements. In addition, the Auditor’s role is to promote continuous improvement by demonstrating cooperation, willingness to point out, correct, advise and assist in improving upon what the Auditor finds.

If at any time during the audit process questions or concerns arise, companies are encouraged to contact the MHCSP Director or any one of the MHCSP Safety Advisors for assistance.

Marking: Substance vs. Form; Benefit of Doubt

In all instances where there is an evident body of objective evidence demonstrating a company safety and health program, practices, procedures and attitude/culture, Auditors shall award full points.

Auditors should mark for substance vs. form when awarding points. A deficiency in form (provided in substance the program element is substantially in place) should result in full points being awarded. In such circumstances a caution, recommendation or directive for attention in a Corrective Action Plan should be noted in the audit report.

In all instances ‘benefit of doubt’ shall be extended in favour of the audited company or its interviewed employees in marking, assessing or scoring a company’s safety and health program. In such circumstances, Auditors shall flag appropriate observations for inclusion in the company Corrective Action Plan.

Conflict of Interest Auditors shall not under any circumstances offer to provide remedial training or education, nor refer the audited company to any entity providing such assistance in which the Auditor has a direct or indirect interest. They shall refer the audited company to the MHCSP for any such required advice.

Safety Consultant Referral If the MHCSP cannot help, it can provide referrals to Safety Consultants. Companies can contact any one of the MHCSP Safety Advisors at 204-947-1379 or visit www.mhca.mb.ca for the appropriate referral.

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COR/SECOR Certificate (‘COR/SECOR Certified’ status) – the ‘Required Audit Mark’

In all cases, COR/SECOR Certified status is earned not given.

A company undertaking its first External Audit is required to achieve an overall score of 80% with a minimum of 50% in each of the 14 COR/SECOR Program Elements (hereinafter referred to as the ‘required audit mark’) to be issued a COR/SECOR Certificate thereby achieving 'COR/SECOR Certified' status.

Maintaining ‘COR/SECOR Certified’ Status & Expiry Assuming a company is otherwise in compliance with its obligations, a COR/SECOR Certificate remains ‘in good standing’ until the expiry date disclosed in the Certificate. Unless otherwise stipulated, maintenance of ‘COR/SECOR Certified’ status ‘in good standing’ requires the submission to the MHCSP on or before the anniversary date of its External Audit, of an Annual Internal Audit in each of the first two years following COR/SECOR Certification and an External Audit in the third year, each audit demonstrating that the company has achieved the required audit mark.

(Note: see also section 6.8 Quality Assurance Program, COR/SECOR Certificate (‘COR/SECOR Certified’ status) – the ‘Required Audit Mark,’ and ‘COR/SECOR Audit Results, Follow up & Automatic Review.’)

COR/SECOR Audit Results, Follow-up & Automatic Review This section applies only to companies with a pre-existing COR Certified status.

The AUDIT RESULTS of an External Audit fall into three broad categories, each with varying conditions and time stipulations which by agreement with the MHCSP may be shortened or extended. Each is designed to assist continuous safety and health program improvement, and to achieve the required audit mark. The categories are as follows:

• AUDIT RESULT 1: A score of 80% or more overall and 50% or more in each of the 14 Program Elements (the ‘required audit mark’): An ‘Audit Result 1’ company will be issued a COR/SECOR Certificate upon it submitting a Corrective Action Plan satisfactory to the MHCSP, within 14 calendar days following the date of the External Audit and its approval by the MHCSP. To thereafter maintain its COR/SECOR Certified status ‘in good standing’ the company must submit to the satisfaction of the MHCSP, Internal Audits on the anniversary date of its External Audit in each of the next two years, followed by an External Audit by the anniversary date in the third year.

• AUDIT RESULT 2: Less than 80% and/or less than 50% in no more than 2 Program Elements: An ‘Audit Result 2’ company will not be issued a new COR/SECOR Certificate until it complies with the following conditions:

o That it develop and submit a Corrective Action Plan satisfactory to the MHCSP within 14 calendar days following the date of the External Audit and its approval by the MHCSP;

o That within the next 90 calendar days it implement the Corrective Action Plan, and; o That within the next 30 calendar days it submit to a follow-up limited scope External Audit, focusing on implementation of the Corrective Action Plan and the

deficiencies in the two or less Program Elements. (The MHCSP will make the arrangements) To be issued a new COR/SECOR Certificate, the company must achieve the required audit mark in its follow up limited scope External Audit, and submit a Corrective Action Plan to the satisfaction of the MHCSP within 14 calendar days of the said limited scope External Audit.

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To thereafter maintain its COR/SECOR Certified status ‘in good standing’ the company must submit to the satisfaction of the MHCSP, Internal Audits on the anniversary date of its External Audit in each of the next two years, followed by an External Audit by the anniversary date in the third year.

• AUDIT RESULT 3: Less than 80% and/or less than 50% in 3 or more Program Elements: An ‘Audit Result 3’ company will not be issued a new COR/SECOR Certificate until it complies with the following conditions:

o That it develop and submit a Corrective Action Plan satisfactory to the MHCSP within 14 calendar days following the date of the External Audit and its approval by the MHCSP;

o That within the next 90 calendar days it implement the Corrective Action Plan, and; o That within the next 30 calendar days it submit to a full follow-up External Audit. (The MHCSP will make the arrangements)

To be issued a new COR/SECOR Certificate, the company must achieve the required audit mark in its full follow up External Audit, and submit a Corrective Action Plan to the satisfaction of the MHCSP within 14 calendar days of the said External Audit. To thereafter maintain its COR/SECOR Certified status ‘in good standing’ the company must submit to the MHCSP an External Audit by the anniversary date of its External Audit. If it achieves the required audit mark, it shall be treated as an ‘Audit Result 1’ company.

Note: Failure to explicitly and specifically comply with the conditions, MAY result in suspension or revocation of COR/SECOR status. Notwithstanding the above, the MHCSP Director shall automatically review and assess the External Audit for companies falling within either Audit Result 2 or 3 company. The Director's re-assessment shall be limited to a review of the External Audit document. If upon re-assessment the Director determines a higher score, that result shall be deemed final. In every case, the results of the External Audit and the Corrective Action Plan which follow become the record of examination for External Audits on a ‘go forward’ basis. They provide a benchmark for the company, its employees and Auditors as to where the company was and how far it and its employees have progressed. It is the tool which assists in continuous safe work practice improvement.

In every case the MHCSP will offer to provide follow up assistance, guidance direction and where asked, training to help the company and its workers improve.

In every case, companies are reminded that to receive and / or maintain COR/SECOR Certified status they must meet the ‘Required Audit Mark’ (see COR/SECOR Certificate (‘COR/SECOR Certified’ status) – Required Audit Mark above) failing which COR Certified status may be suspended or revoked.

If the COR/SECOR Certification is suspended or revoked a complete ‘Review and Appeal’ of any such decision is found in Section 10 of the Quality Assurance Program (QAP).

If a company falls outside any of the above described circumstances, it is encouraged to contact the MHCSP Director for further assistance and/or clarification.

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Conflict in content

In the event any conflict in content as between the COR/SECOR Audit Document and the Quality Assurance Program (QAP) or any other resource material is determined, the within COR/SECOR Audit Document provisions shall govern the COR Audit process. Disclaimer The information presented in this publication is intended for general use and may not apply to every circumstance. It is not a definitive guide to provincial laws and regulations and does not relieve persons using this publication from their responsibilities under applicable legislation. The Manitoba Heavy Construction Association (MHCA) does not guarantee the accuracy of, nor assume liability for, the information presented. Individual assistance and advice is available from Manitoba Heavy Construction Safety Program (MHCSP). Interpretation of the law is best left to legal counsel. Acknowledgements The Manitoba Heavy Construction Association (MHCA) extends its sincere appreciation to the Canadian Federation of Construction Safety Association (CFCSA) and its members which provided materials in support of the preparation of this MHCSP COR/SECOR Audit Document. Copyright © 2008 Manitoba Heavy Construction Association (MHCA). This publication is the property of the Manitoba Heavy Construction Association (MHCA). Reproduction in any form, by any means, in whole or in part, or any use of this publication without the express written consent first obtained from the MHCA is strictly prohibited.

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DEFINITIONS FOR AUDITORS

Accident: An undesired event that results in physical harm to a person or damage to property.

Auditor: An individual who has the qualification and skill to measure Safety, Health and Environmental performance against a given standard.

Competency is based on training through a recognized agency, certification and experience.

Current: Means within the year of completing the audit.

Critical: Means events, activities, operations, etc. that have the potential to cause serious injury.

Element: One of the 14 sections within the COR audit that deals with a specific component of the management system. For example; the

hazard assessment element is for the identification and control of occupational hazards.

Employee: An individual employed by an organization/company (full time, part time or on a contractual basis.) This could include owners,

management, subcontractors and workers.

Incident: An undesired event that under slightly different circumstances could have resulted in personal harm, property damage, environmental

damage, impact or loss. Also referred to as a near miss.

Industry Practice: Refers to practices normally approved or accepted by an industry group.

Job: A segment of work, a specific work assignment, a set of actions required to complete a specific work objective. An accumulation of all

tasks involved at the work site.

Job Procedure: The step-by-step process of how to perform a task from start to finish.

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DEFINITIONS FOR AUDITORS

Management: Person engaged in the administration of business concerns.

Manager: An individual appointed to administrate the company business. In construction this would be a Superintendent level or higher.

MHCA: Manitoba Heavy Construction Association.

MHCSP: Manitoba Heavy Construction Safety Program.

Near Miss: An undesired event that under slightly different circumstances could have resulted in personal harm, property damage, environmental

damage, impact or loss. Commonly referred to as an incident.

Prime Contractor: The contractor, employer or other person who enters into an agreement with the owner of the work site to be the prime contractor.

Senior Management: The person or persons with the authority to establish policies for the company/organization. Those responsible for the decision

making, financial planning, policy making, etc.

Supervisor: An individual appointed by the company to direct work site activities. This person would be included in management interview

questions.

Task: A segment or work which requires a set of specific and distinct actions for its completion. Critical task is a task, which has the

potential to produce major loss to people, equipment, processes and/or environment.

Worker: An individual who does not have management or supervisor responsibilities.

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GENERAL GUIDELINES

Auditors

External Audits of COR Certified Safety Programs may only be submitted by auditors certified by the MHCSP. Auditors wishing MHCSP Certification must apply to the MHCSP.

Completing the MHCSP COR Audit Document

All External Audits must be completed consistent with the within Guidelines and Procedures (which follow) failing which the Audit may be sent back or rejected by the MHCSP. The requirements are straight forward but must be followed to ensure consistency. Except where otherwise noted, Internal and Trial Audits are also required to follow the MHCSP Audit Document Guidelines and Procedures.

• All audits must be completed in blue ink; • The MHCSP Audit Document for Internal and External Audits must be completed and submitted on original forms; • Trial Audits may be submitted on photocopied forms; • All spaces under the verification technique must be completed using an (X) when no credit is given and a check mark (√) when credit is given; • Each of the 14 elements must receive at least 50% to proceed; • Awarding partial points is acceptable; • When an “AND” is used under the verification technique column, this indicates the need to confirm the answer using both techniques. Before

awarding points, refer to the element guidelines as partial points may be allowable. • To verify a question using “OR” both responses in the verification technique must be filled. A positive response (check mark) is needed in only one of

the verification techniques for points to be awarded. • Not – Applicable: The use of non applicable (N/A) may be justified in all instances. Its use must be supported in written detail in the comment section

at the bottom of the applicable page and/or in the Auditor Executive Summary Report; • The auditor must initial any changes to the audit in blue ink; • To verify a question where Documentation, Observation, Interview (D.O.I.) are required, all must receive a check mark (√) for points to be awarded; • Indicate the individuals who have completed all REQUIRED COR courses. The requirement is for at least one owner/senior management and one full

time person on staff.

Please note that failure to complete this document as required may result in the audit being rejected by the MHCSP.

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Procedures for Completing the Manitoba Heavy Construction Safety Program (MHCSP) COR Audit Document

Introduction The MHCSP Safety Program COR Audit Document was designed and prepared ultimately to assist the heavy construction industry in assessing and measuring implementation of individual safety management systems into all aspects of a company’s operation.

It provides management audit based information based upon which improvements and corrective action plans can be developed. The document is a useful tool for company staff, management and safety professionals. It is the tool required to be used by MHCSP Certified Auditors in completing External Audits and by the individual company for Internal or Trial Audits.

Before you begin the Safety Program Audit, read over the following pages carefully. They will explain the rationale for and steps required to complete an audit.

Steps in the MHCSP COR Audit Process

There are three major steps in the audit process each with their own sub-activities:

1. Audit Preparation • Inform participants of pending audit • Post interview questions in an area visible to company or site staff • Locate background material and required documentation • Gather tools and Personal Protective Equipment (PPE) • Request and complete a Familiarization Tour • Conduct a pre-audit meeting to explain the process and identify expectations

2. Performing the MHCSP COR Audit

• Safety program review (Safety Program Manual Verification) • Detailed audit (Observation and Interviews) • Document and summarize results

3. Reporting the Results

• Conduct a Close Out Meeting – assemble the same people if you had a pre-audit meeting • Present the Executive Summary and Audit Report • Discuss with management and ensure it understands the obligation to develop and document a Corrective Action Plan

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STEP ONE – Audit Preparation

Planning in advance saves time and energy. You and/or your audit team should complete the following before the audit begins:

i. Inform Participants

Tell the organization or site to be audited that an audit is about to take place. This may be done by letter or in person. Make sure people understand:

• The date or dates of the audit; • The purpose of the audit; • Who will be involved; • The types of activities that will occur; • The proposed schedule of activities; • The type of information and documentation that will be required before or during the audit; and • That the audit report will be available to management once the audit is completed.

ii. Locate Background Information

Get as much background information as possible about the area or organization that will be audited. Look for things like:

• An organization chart • A written description of the organization or area; and • Any previous audit/inspection reports that may be available, including the previous Audit Action Plan (applicable for subsequent audits).

iii. Gather Tools

Gather together the tools you will need:

• Note pad and blue pens (All audits must be completed in blue ink) • Appropriate Personal Protective Equipment (PPE) • Any existing company standards and policies • Copies of the Workplace Safety and Health Act & Regulation and other appropriate legislation; • The MHCSP COR Audit document; and • Interview questionnaires

iv. Familiarization Tour

Before conducting an audit, arrange for a site tour with a knowledgeable staff person to acquaint you with the operations.

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STEP TWO –Performing the Audit

In the course of conducting the audit, it is good practice to identify problems or concerns which may require corrective action in a separate note pad. Once conclusions have been finalized and are clear, note the appropriate ones in the ‘Comments’ portion of the audit document itself. The audit process itself consists of the following:

• A review of the company safety program (Safety Program Manual Verification); • Conducting the audit itself; • Documenting and summarizing the results

i. Safety Program Manual Verification (SPMV) Initially the Safety Program Manual Verification (SPMV) is a review of the company’s safety program. Its purpose is only to determine whether there exists a company safety program which reflects all fourteen (14) required elements of the COR Program – see page 20. If any of the 14 elements are absent the company will fail its audit. Accordingly, speak to the company’s senior management and seek clarification. The missing elements may not be contained in a corporate policy manual, or more than one element may be contained in a single topic area. Following this discussion, place the onus on the company to determine the merits of proceeding with the audit or to develop the missing element before proceeding with the audit. If all 14 elements are present, proceed to the next audit steps.

All the company objectives or policies may be included in one corporate policy statement. The audit must ensure that is complete and award points accordingly. Any questions regarding there or other formats should be addressed to the MHCSP.

In an internal Audit year, auditors must provide a sampling of the documentation in each element.

ii. Conducting the MHCSP COR Audit (Elements 1-14)

The detailed audit reviews all 14 elements of the safety program – see page 20. Note that Manitoba based companies and those from out of province requesting COR equivalency must complete element 14 “Manitoba Heavy Construction Supplement”.

Site Locations

The company must disclose all active worksites and must have at least one active worksite for the External Audit to proceed. In addition to the office and shop areas, the auditor must visit at least one active worksite at which the audit is conducted. Save for the aforementioned, the number of site locations to be audited remains within the auditor’s scope of discretion.

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Working with the Forms Each element lists a series of questions. After each question is a ‘Score Weighting’. This is an indication of the value or importance of each question. Questions that have a higher weighting are more critical than those with a lower weighting. Under ‘Technique Employed’ are three columns headed D, O, I: Documentation, Observation and Interview. Some of the boxes in these columns are shaded. This means that the particular technique is inappropriate for that question. Some questions may require more than one technique to fully answer the question. As you work through the documentation, observe activities on site, and interview people you should be able to answer ‘yes’ or ‘no’ to each question. In some cases, you may have to back track to make sure your answer is correct. When you answer ‘yes’ to a question, put a check mark (√) in the appropriate box. When you answer ‘no’ put an (X). If the question does not apply, put an ‘N/A’ in the box and provide an explanation in the comments section (adjust the total score accordingly on that sheet and on the back Audit Summary Sheet). Note: You may be able to put a check mark in a box right away; however, don’t assume a ‘no’ answer. Leave the box blank until you have a chance to check with Management. The following examples show how it works: Question 1.1 under the Company Safety Policy element asks, “Is the policy signed by the President, CEO or local Senior Management?” Since the space under “O” and “I” are shaded, documentation is the only method necessary to determine the answer to this question. If you review the documentation and can answer yes to the question, you would put a check mark (√) in the box under the “D” column. On the same form Question 1.6, “Is the policy prominently posted or made available to the worker?” requires observation or interviews on the site to find whether or not the corporate safety policy really is posted around the site. If you did a tour and found that the policy was not posted, you would put an (X) in the box under the “O” column or award points based on the majority of positive interview responses. Question 1.9 also in Element One, “Is it understood by personnel?” requires an interview. In this case, if your interviews showed that the majority of company personnel knew the content of the policy, you would put a check mark (√) in the box under the “I” column. Question 9.5 in Element 9, “Are supervisors performing inspections as required? This may be answered primarily by a review of the documentation. However, it is possible that someone other than the Supervisor could have completed a formal workplace inspection form. Therefore, it is important to verify the accuracy of the documentation by interviewing Site Supervisors to see if they can confirm their involvement in worksite inspections. If a workplace inspection form was completed, you would put a check mark (√) in the box under the “D” column. However, if the majority of your interviews showed that Supervisors were not involved in conducting inspections, you would put an (X) in the box under the “I” column. The final column on each form records the points awarded for the questions. In each question with a check mark (√) (a yes answer) move the number Score Weighting to the Points Awarded box for the question. If the question has an X (a no answer) put zero in the Points Awarded box. Finally, add up the points awarded for each section and put the number in the box with the heavy BLACK outline marked Total Points Awarded.

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Note: You will find specific guidelines on the page facing each form. Read them over before you start your audit. Recommended Approach Use the following approach to complete the detailed audit. It will help you do the audit quickly and easily.

i. Review the documentation – check in manuals or in company files to answer the questions. Many times office personnel or management can help you find appropriate documentation. Work with the company to review the documentation for each question where documentation is required. If you have the appropriate documentation to answer yes to a question, place a check mark in the box under the “D” column for that question. (If you cannot find the documentation necessary, do not put an (X). Simply leave the box blank for now BUT at the end of the audit all boxes must be filled in).

ii. Observe the operation – tour the site or facility to determine whether the safety and health program complies with current legislation and company standards. The Auditor should note general site conditions and attempt to correlate this to what safety and health program element(s) is working or not at the field level. Use a combination of the Audit Document and a note pad to record “Auditor’s Safety Notes” during your tour. Make sure you look for evidence relating to any question in the Audit Document for which observation is required. If you can answer yes to a question (or verification), place a check mark under the “O” column for that question. If the answer is no, leave the box blank for now. Use a note pad to record Safety Notes to make specific comments about problems you see (equipment in poor condition, notices covered over by other paper on bulletin boards, other hazards identified, etc.).

iii. Interview people – interview a random selection of people on site. You don’t have to interview everyone, although on small sites with only a few employees, this may be necessary. Group interviews are not an accepted practice. A good rule of thumb is to interview at least 3-13 people on sites with 50 or less employees – see chart below. On sites with more than 100 employees, normally, you shouldn’t have to do more than 20-25 interviews. Interviews could take approximately 45-60 minutes per person, depending upon the number of conducted interviews. It is essential to interview a good cross section of all company personnel. Generally this will include a random selection of jobsite, office, and shop personnel. The interview purpose is to assess whether safe work practices and policies are demonstrated as part of individual knowledge and practice.

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

Company

size

# Worker Interviews

# Mgmt /

Supervisor Interviews

Total # Interviews

(minimum)

5 2 1 3

10 3 2 5

25 6 3 9

50 10 3 13

100 16 5 21

100+ 16+ 5+ 21+

The above is a suggested number of interviews supplied as a guide. These numbers are necessary to ensure that a representative sample of the organization’s/company’s work force is interviewed. NOTE: If the company hires subcontractors, you may also wish to interview one or two (using the ‘employee questionnaire’) to assist in determining if hazards are identified, communicate and controlled. When conducting interviews, do not allow anyone to pre-select people. Use the questionnaire forms provided on pages 21 -27 for: Workers; Management and Supervisors. Make sufficient copies of these forms to have one for each person to be interviewed. These questions can be posted prior to the audit in a highly visible workplace or site area. You should also stress that the answers given are strictly confidential. Work through each question where an interview is required to verify/confirm the answer. Use a (√) for a positive response or an (X) for a negative response under the “I” technique column. Note: Under this technique, the responses for worker, management and supervisor are added for each question.

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In order to award a check mark (√) for a positive response, there must be more positive than negative responses to the questions being asked. If the responses are equal positive and negative, place an (√) in the “I” column. To avoid tie situation, try to conduct an odd amount of interviews if possible.

iv. Check for Accuracy If you followed the procedure, you have now been through the audit one time, and at this point, you will probably have a few empty boxes where responses are required under “D”, “O”, or “I”. For these questions, check with management to request specific documentation, or that you be shown where the answer can be found. Don’t just accept management’s word, but be flexible. If documentation is poor, but you are shown the evidence on site, you can accept the evidence. You should point out the poor records in your report but there is no need to penalize the safety program because of sloppy documentation (in most cases). You may also get inconsistent or inconclusive information from your interviews. In these cases, you will have to probe for the reasons around the confusion to determine what the correct answer should be. After you have completed the accuracy check, you may be able to answer yes in a few more places. The answers to the remaining questions will then be no. Now you can go back over the forms and put X’s in the remaining blank boxes to indicate confirmed no answers.

v. Award Points Points on the Safety Program Audit are awarded as follows:

• Award full points for each check mark (√); • For questions containing an X, refer to the element guidelines as some questions with a score weighting of 4 or greater may allow partial

points • In the elements with N/A in a box, be sure to minus those points from the Total Points Awarded and the Executive Summary Sheet to ensure

accurate results; • When an “AND” is used under the verification technique column, this indicated the need to confirm the answer using both techniques. Refer

to the element guidelines as some question with a score weighting of 4 or greater may allow partial points. When an “OR” is used under the verification column, a positive response in either technique can be used to award points. Note: Both techniques must be filled in. Shaded areas indicate that a particular technique does not apply to that question. When each section has been completed, add up the points and write the total in the Points Awarded boxes. Transfer the Total Points Awarded in each element to the appropriate Executive Summary Sheet.

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STEP THREE – Summarizing and Reporting Results Presenting results involves the following:

• Executive Summary Sheet • Close –out Meeting • Auditor Executive Summary Report • Corrective Action Plan •

i. Executive Summary Sheet The audit results must be presented to management. A summary of the critical information is presented on the Executive Summary Sheet. Complete the sheet as follows:

a) Fill in the name of the company, auditor and date(s) of the audit; b) For each of the 14 Elements, fill in the actual score awarded; c) The minimum standard column lists the minimum score required for each element. Compare the Actual Score to the Minimum Standard for

each element. If the Actual Score is equal or greater than the Minimum Standard, put a check mark (√) in the “yes” box in the Standard Achieved column. If the Actual Score is less than the Minimum Standard, put a check mark (√) in the “no” box in the Standard Achieved column. This will show management very clearly where standards are achieved and where the safety program must be improved to meet the standard; and

d) After you have identified which elements meet the standard and which do not, you may wish to make some additional comments. These can be accommodated as follows: the last column on the Audit Summary Sheet and the Audit Executive Summary Report.

Remember when making your comments to mention the positive as well as the negatives. If the audit shows some excellent safety programming - say so. If the audit shows some critical problems – identify those as well.

ii. Close –out Meeting Immediately after the audit is completed, conduct an audit close out meeting. For many larger organizations, a pre-audit opening meeting is also held and the close-out meeting should have the same people in attendance. At the close-out meeting, the audit results are presented and reviewed in their entirety, element by element. Credit should be given where due and areas of improvement should be identified for corrective action. The agenda topics should include the following:

• An overview of the audit (no score shown yet) • Identification of any immediate concerns that require corrective action(s) • Emphasize successful elements of the program • Allow for discussion of any concerns or observations • Present the score • Remind management of the obligation to develop/document a Corrective Action Plan based on the audit results. Note: the audit is not

considered complete if a Corrective Action Plan is not submitted with the audit.

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• Allow for questions and have the company’s senior representative insert the goals for the next audit and sign the Audit Summary Sheet on behalf of the company.

• Advise that a written summary report will be prepared and provided

iii. Auditor Executive Summary Report A written report is the last step in the audit process. It should contain only audit relevant information. It must not breach confidentiality, express personal biases or unsubstantiated opinions, or provide individual names of workers or managers interviewed. The Auditor’s Report is the single most important part of the audit. This report should address the positives and negatives associated with the audit. The auditor’s report should contain enough information to be useful to the company so it can develop a Corrective Action Plan based on the findings of the audit. The following information should always be contained in the final audit report:

• An executive summary • A comprehensive evaluation including what was found, what was positive, what was negative, what should be changed, and what should be

continued in each of the 14 elements • Any critical program suggestions • A summary scoring sheet (such as the Executive Summary Sheet discussed above) • A graphic profile of the results. This is particularly valuable in second and subsequent audits to show the progress of the organization • A copy of the scoring sheets • Sample documentation, particularly for documentation which needs improvement • Any other relevant documents that would help management understand the nature of a problem.

For example, the auditor’s report should be written in paragraphs and include the following information:

• In the first section, state the purpose of conducting the audit (ie: in preparation for a MHCSP External Audit for COR Certification.)

• In the second section, report the company’s background information; include the type of activities being performed, number of field employees, and whether or not the company was acting as a prime or subcontractor.

• In the third section, summarize the audit results, including the company’s final score/percentage. You should comment on sections that scored “dangerously close” to the minimum standard in a particular section.

• In the fourth section, provide generalized information such as the areas where the company performed well. For example, “documentation indicated that it was completing project hazard assessments on all jobs identifying and controlling the hazards in an effective manner…”

• In the fifth section, identify the specific areas where improvement is needed and offer specific recommendations in sufficient detail to permit

preparation of the Corrective Action Plan. For example, “interviews indicate that inspections do take place, but only the safety person is involved. It is recommended that inspections are conducted on a regular basis and include the site supervisor.”

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• In the last paragraph, thank the company for its time and effort and remind of the obligation to develop the Corrective Action Plan based upon the report and its recommendations.

iv. Corrective Action Plan Documented corrective action plans demonstrate a level of ‘due diligence’ provided the plan has been effectively implemented The employer is required to develop a written Corrective Action Plan after each audit. The plan provides the employer with an opportunity to respond to the audit. A complete Corrective Action Plan will:

• Prioritize identified deficiencies and recommendations from the audit by assigning target completion dates; • Identify corrective action(s) required; • Assign responsibility; • Document senior management acceptance by the required ‘sign-off’; and • Provide for follow up to ensure completion. Typically the auditor will in a timely manner following the close out meeting provide the employer with the written Auditor’s Report. It is based upon this report and its recommendations that the employer can then prepare the required Corrective Action Plan. The Corrective Action Plan must be submitted by the employer in writing to the MHCSP. Submission by the employer to the MHCSP of a written Corrective Action Plan is the final document required to complete a valid audit.

Note: Audit Document Submission Checklist Prior to submitting the audit document to the MHCSP for review, ensure the following have been included:

• A complete copy of the company’s self/Internal audit • Supply photocopies of all required supporting sample documentation for each section on internal audit years (will be kept on file by

MHCSP) • A copy of the company safety manual (upon request) • An active jobsite list stating: the name and phone number of the contact person, type of work activity, type of specialized PPE required

and the number of company personnel on site.

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STEP FOUR - Summary and Conclusion The MHCSP Safety Program Audit and the resulting Corrective Action Plan provide tangible benefits to the company and its employees including:

• A more accurate measurement of the health and safety management system; • Ability to make more informed decisions regarding future improvements to the safety program; • Prevent injuries and lower accident/incident rates; • Ability to better manage WCB costs; • Stable workforce and higher productivity because of reduced loss time due to injuries; • Higher morale in the workforce; • Reducing operating costs; • Reduce property and production losses; • Reduce or eliminate the potential for legal penalties and shutdowns; • Ability to evaluate the cost/benefit of the safety program; and • Due diligence benefits.

Safe work practices require a commitment to incorporate safety into every aspect of a company’s operations. Implicit is the required ‘work safe’ attitude by the employer and employees alike. The MHCSP through its COR Program is committed to assisting the heavy construction industry in achieving and exceeding the work safe responsibilities which not only oblige all of us legally, but morally as well.

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AUDIT TOOL

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INTERVIEW QUESTIONS - WORKER QUESTION

# ELEMENT 1 AUDIT

QUESTION POSITIVE NEGATIVE

1 Your company should have a policy outlining safety and health. Do you know where a copy would be? 1.6

2 How does the policy apply to you? 1.7 3 Can you explain what the policy means to you? 1.9 ELEMENT 2 4 How are hazards identified before work starts? 2.1 5 Are they reassessed as the job progresses or as procedures or operations change? 2.2 6 Are you involved in identifying possible hazards? 2.3 7 How are you involved in controlling the hazards, or told how the hazards will be controlled? 2.9 ELEMENT 3

Hazards could be controlled through the use of Safe Work Practices as part of your company's health and safety program.

8 Are the Safe Work Practices easy to understand? 3.3 9 Are they available when you need them? Where would you get them? 3.4 10 Do you follow them? 3.5 11 Were you involved in the development or review of the existing practices? 3.6 ELEMENT 4

Hazards could also be controlled through the use of Safe Work Procedures. These are the step-by-step directions on how to perform a task.

12 Do the Safe Job Procedures reflect the work that you do? 4.1 13 Are they easy to understand? 4.3 14 Do you and fellow workers follow them? 4.4 15 Are they available when you need them? Where would you get them? 4.5 16 Were you involved in the development or review of these procedures? 4.6 ELEMENT 5

Company rules should have been developed as part of your safety and health program. 17 Were you given a copy of these rules, or do you know where they are posted? 5.2 18 What do the company rules say? 5.3 19 What happens if somebody breaks the company rules? 5.5 Highlighted boxes are required for Small Employer Certification. COR requires all questions.

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INTERVIEW QUESTIONS - WORKER QUESTION NUMBER ELEMENT 6

AUDIT QUESTION POSITIVE NEGATIVE

Personal Protective Equipment is another way in which your company may control hazards. 20 Were you made aware of the PPE that is required for your job? 6.2 21 How do you obtain basic PPE? 6.3 22 Is any additional (specialized) PPE that you might need available when required? 6.4 23 Have you received training on personal protective equipment when required? 6.7

ELEMENT 7 Preventative maintenance of tools, vehicles and equipment is critical to any company.

24 How are defective equipment or tools identified? 7.5 25 Is this system used? 7.6 26 Who performs the inspection and maintenance of tools and equipment? How are they qualified? 7.7

ELEMENT 8 Employees need to be informed and kept up to date on the safety and health program.

27 Were you given an orientation when you started work, or when the program was introduced? 8.2 28 Did you get training for /on specific jobs? 8.5 29 Have you been involved in company safety and health program? 8.11 30 Has senior management ever participated /attended in safety and health meetings? 8.12 31 Are you encouraged to participate in these meetings? 8.14

ELEMENT 9 Inspections are how we check to ensure that our safety program is working effectively.

32 Have you ever been involved in an inspection? Do you know of any other worker who has been involved? 9.6 33 Are the identified problems corrected promptly? 9.8 34 How are you informed of the results of these inspections? 9.1

ELEMENT 10 When something happens, the company needs to identify where there was a breakdown in their safety and health program.

35 When an incident occurs, is it investigated? 10.2 36 What is the process for reporting an incident? 10.4 37 Do you report near misses? 10.7 38 After an incident/near miss, are changes/improvements done in a timely manner? 10.8 39 How are you made aware of the results? 10.9

Highlighted boxes are required for Small Employer Certification. COR requires all questions.

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INTERVIEW QUESTIONS - WORKER QUESTION NUMBER ELEMENT 11


Pre-planning in the event that an emergency occurs is required for all companies and for all sites in which they are working.

40 What are your responsibilities should something occur? 11.2 41 If an emergency occurred here, how would you get assistance? 11.7 42 Who is your first aid provider on site? 11.9

ELEMENT 13 Legislation applies to all work sites.

43 Do you know where you could obtain a copy of appropriate legislation if required? 13.1

44 Do you know what your legislated rights and responsibilities are? Do you understand how they work? 13.3

ELEMENT 14 45 Is there a designated safety rep at your work sites? Do you know who it is? 14.1.1

46 Do you find your committee rep informative and a helpful source of reference for legislative information? 14.1.2

47 Are you supplied proper hearing protection? Is there an orientation on the use of the protection provided to all employees? 14.2.2

48 Do you know the lockout procedure and is it adhered to? 14.3.2 49 Do you know the procedure for working alone and is it adhered to? 14.4.2 50 Do you know and understand the basic elements of WHMIS? 14.5.4 51 Is there a program in place to certify workers as heavy equipment operators? 14.7.1 Highlighted boxes are required for Small Employer Certification. COR requires all questions.

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INTERVIEW QUESTIONS - MANAGEMENT & SUPERVISOR QUESTION NUMBER ELEMENT 1


1 Does the safety and health policy outline your responsibilities in regards to your safety, and the safety of others? 1.7

2 In your words, what does the policy say? 1.9 ELEMENT 2 3 Are hazards identified before work starts? 2.1

4 Are they reassessed as the job progresses or as procedures or operations change? 2.2 5 Are you involved in assessing hazards, if not who does? 2.3

6 Are you involved in controlling the hazards, or told how the hazard will be controlled? 2.9 7 Do you review, evaluate and enforce recommendations for hazard control? 2.11 ELEMENT 3 8 How are you ensuring that workers follow Safe Work Practices? 3.5

9 Have you been involved in the development and/or review of Safe Work Practices? 3.6 ELEMENT 4

10 How are you ensuring that workers follow Safe Work Procedures? 4.5

11 Have you been involved in the development and/or review of Safe Work Procedures? 4.6 ELEMENT 5

12 Were you given a copy of company rules, or do you know where a copy could be obtained? 5.2 13 Give me an example of how you enforce the rules? 5.5 ELEMENT 6

14 Who provides specialty PPE? 6.4 15 Do you provide training on the use of PPE ? 6.7 16 How is the proper PPE selected for a specific job? 6.8 ELEMENT 7

17 Explain how maintenance meets manufacturer's/regulatory standards? 7.2 18 If equipment or tools are defective, what happens to them? 7.5 19 Who provides maintenance and inspection of tools and equipment? How are they qualified? 7.7

Highlighted boxes are required for Small Employer Certification. COR requires all questions

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INTERVIEW QUESTIONS - MANAGEMENT & SUPERVISOR

QUESTION NUMBER ELEMENT 8


20 Is it mandatory for workers to receive a new hire orientation before starting work? 8.2

21 Are mandatory training requirements verified or training provided before starting work? 8.5 22 Do workers get training for specific jobs? 8.7

23 Have you been trained in workplace inspections and safety and health responsibilities? 8.9 24 Is there a system in place to measure knowledge and competency? 8.10 25 Do you hold safety and health meetings? 8.11 26 Do you attend? 8.12 27 Do you participate in and solicit participation from others in these meetings? 8.14 ELEMENT 9

28 Are you performing inspections as required? 9.5 29 Are the identified deficiencies corrected promptly? 9.8 30 Does senior management review/participate in the inspection process? 9.9 31 How are the results of inspections communicated to workers? 9.10 ELEMENT 10

32 When an incident occurs, is it investigated? 10.2 33 Have you been trained in the investigation and reporting process? 10.5 34 Are you recording near misses? 10.7 35 Are improvements/changes implemented in a timely manner? 10.8 36 How are results/findings communicated to workers? 10.9 Highlighted boxes are required for Small Employer Certification. COR requires all question

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INTERVIEW QUESTIONS - MANAGEMENT & SUPERVISOR QUESTION NUMBER ELEMENT 11


37 Explain your role and responsibilities in relation to the emergency preparedness plan? 11.2 38 If an emergency occurred, how would you get assistance? 11.7 39 Are the required number of first aid personnel available on site? 11.9

40 If something happened and you needed to transport an individual to a medical facility, how would this be done? 11.10

ELEMENT 12

41 After the last audit, was an action plan communicated and implemented? Describe one item? 12.8 ELEMENT 13

42 How does government legislation impact on your job planning? 13.2

43 Do you know what your legislated rights and responsibilities are? Do you understand how they work? 13.3 44 What serious incidents get reported, and to whom are they reported? 13.4 ELEMENT 14

45 Is there a designated safety rep at your work sites? 14.1.1

46 Are the safety committee minutes posted in a main area? Would the workers know where to find them if they needed to be referenced? 14.1.5

47 Do you supply proper hearing protection to all employees? Is there an orientation on the use of the protection you provide to your employees? 14.2.2

48 As an owner/senior manager are you fully aware of the Prime Contractors responsibilities at the worksite? 14.6.1

49 Do you have a program in place to certify your equipment operators? 14.7.1 Highlighted boxes are required for Small Employer Certification. COR requires all questions. Draf

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1.0 GUIDELINES - SAFETY and HEALTH POLICY

1.1 Auditors must see a written policy statement of safety and health that is signed by current senior management.

1.2 The policy must include a statement of the employer's commitment to provide a safe and healthy work environment.

1.3 The policy must refer to a provision for a safe and healthy work environment.

1.4 The policy must be kept current and dated. (At minimum not more than three years past)

1.5 The auditor should look for documents that indicate an annual policy/program review has taken place. This can be verified by: having policy documentation dated, through safety meeting minutes, or by the creation of an action plan based on the past year's audit results.

1.6 During the worksite tour, check to see if the main safety and health policy has been posted. If no suitable means of posting is available, it may also be provided to workers in the form of a handbook or availability of a copy of the company safety manual on site.

1.7 Review the safety and health manual to ensure that the accountability and assignment of responsibilities have been stated for all workplace parties.

* Award 3 points for the written assignment of responsibilities * Award 3 points based on verification through the interview responses

1.8 The policy must outline the commitment of the company to work with their personnel to promote a healthy and safe work environment.

1.9 The majority of interview responses must show that all employees understand the policy objectives.

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Safety & Health Program Verification Score Technique Employed

Points Awarded

D O I 1 Company Safety & Health Policy

Does the employer have a written Safety & Health policy that:

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

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

1.3 Recognizes the right of workers to work in a safe and healthy work environment? 2

1.4 Is current and dated? 2

1.5 Is reviewed annually by management? 2

1.6 Is prominently posted or made available to the worker? 3 OR

1.7 Addresses accountability and responsibility for Safety and Health for all workplace parties? 6 AND

1.8 Expresses a commitment to work in a spirit of consultation and cooperation with workers? 3

1.9 Is understood by personnel? 3

Total points possible/awarded 27 Highlighted boxes are required for Small Employer Certification. COR requires all questions.

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2.0 Guidelines - Hazard/Risk Assessment Analysis and Control (Pre-Job) 2.1 An employer or designate is required to assess all worksite/jobs/tasks (this includes office/shop) and identify existing or potential

hazards/risks before work begins. (Pre-job) Hazard/Risk Assessments could also include occupational exposures of: noise levels, asbestos, biological, chemical and environmental issues. The assessment should be based on the work to be performed and result in the identification and implementation of control measures to prevent worker exposure and contamination.

* Award 4 points based on receipt of completed pre-job assessments * Award 3 points based on a majority of positive responses to the interview question

2.2 Periodic hazard/risk assessments must be conducted as the project progresses or when changes occur. The frequency of this type of assessment will depend on how often their process changes. The field level hazard/risk assessment commonly used before each day or each task is a good example of an ongoing hazard/risk assessment process. * Award 3 points based on receipt of completed (periodic) hazard/risk assessments * Award 3 points based on a majority of positive responses to the interview question

2.3 The names of the individuals involved in the completion and/or review of hazard/risk assessments must be on the documentation. (Examples of appropriate personnel could include: Experienced workers, supervisors, safety committee members/representatives or management).

* Award 3 points based on verification of documentation * Award 2 points based on a majority of positive interview responses

2.4 Documentation must clearly describe identified hazards/risks. 2.5 Documentation must show that each noted hazard/risk has been assessed for frequency/severity/probability and prioritized. 2.6 The critical task list must be specific to the company and will vary depending upon the type of work performed. These critical tasks

are identified through hazard/risk assessments and must include all potentially high hazard/risk activities. 2.7 Once identified, hazards/risks must be controlled. Typical methods of control include: elimination, substitution, engineering controls,

administrative controls, personal protective equipment or a combination of the above. 2.8 Through documentation or observation, identify what control measures were required, and whether these controls were available

and implemented within a reasonable period of time. 2.9 All affected personnel must be informed of the hazard/risk assessment results. This could include hazard/risk assessments being

posted or reviewed during safety meetings. 2.10 When hiring subcontractors, a company must verify that safety is a consideration in their process. Applicable documentation may

include: orientations, performance records, safety and health meeting minutes, qualification for work etc. * Award 2 points based on the establishment of a criteria to select and evaluate subcontractors * Award 2 points based on the establishment of a system to monitor subcontractors

2.11 Management must be involved in the hazard/risk assessment process. Check the hazard/risk assessment form for the initial or signatures of management to confirm that the hazard/risk assessment process has been reviewed, evaluated, and recommendations for hazard/risk control have been authorized and their use enforced by senior management.

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Points Awarded

D O I 2 Workplace Hazard/Risk Assessment, Analysis and Control

2.1 Are written hazard/risk assessments conducted as required? 7 AND

2.2 Does the employer use an on-going hazard assessment process? 6 AND

2.3 Are appropriate personnel involved in the hazard assessment process? 5 AND

2.4 Are the hazards identified? 3

2.5 Are the hazards prioritized? 2

2.6 Is there a list of identified critical tasks? 3

2.7 Are controls developed for identified hazards? 3

2.8 Are controls implemented in a timely manner? 3 OR

2.9 Are appropriate personnel involved/informed of the control strategies? 3 AND

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

2.11 Does management support the ongoing application of the hazard assessment process? 3 AND


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3.0 Guidelines - Safe Work Practices

Safe Work Practices are generally the 'Do's and Don'ts' on how to carry out a task or use equipment, inform the worker about the hazards/risks that are present, and provide direction on how to safeguard against the hazards/risks. They are general guidelines only.

3.1 Review safe work practices and observe site work to ensure that they reflect work activities.

3.2 Ensure the required safe work practices are completed. If not, identify missing practices in comments and do not award points. * Award 2 points based on a review of the company's written safe work practices * Award 3 points based on observations that the written safe work practices accurately reflect the company's worksite activities.

3.3 During the interview process, the majority of employees should be able to demonstrate an understanding of the company's safe work practices by describing some of the key points they contain.

3.4 Applicable written practices must be readily available at each worksite and employees should be able to identify their location.

3.5 The auditor should be able to observe an employee working in a manner consistent with written safe work practices or confirmation can also be verified through worker interviews.

3.6 Verify that a review process is in place. Check orientations, health and safety minutes, and/or safe work practices to confirm a review process is in place. Interviews may also confirm that management, supervisors and workers have participated in the review process.

* Award 2 points for management's participation * Award 2 points for employee's participation

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Safety & Health Program Verification Score Technique Employed Points Awarded

D O I 3 Safe Work Practices

3.1 Do the safe work practices accurately reflect the company's activities? 2 AND

3.2 Have applicable safe work practices been written? 5 AND

3.3 Are they understood by workers? 2

3.4 Are they readily available? 2 OR

3.5 Are they followed by employees on a regular basis? 2 OR

3.6 Have both management and workers participated in the development and/or review of safe work practices? 4 OR


Comments

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4.0 Guidelines - Safe Job Procedures Safe Job Procedures are written step-by-step set of instructions on how to complete a specific task safely. Safe work procedures must clearly identify: the steps required to complete the task (in proper order), the hazards the worker could be exposed to, the control measures and what to do in an emergency situation. (i.e.: spill containment, shut down)

4.1 The auditor must confirm through documentation and interview responses that written procedures reflect activities that the company performs.

4.2 Through observation the auditor may notice one or more critical tasks in progress (i.e.: confined space entry, lockout/tag out). The company should be able to produce a written procedure for all critical tasks. * Award 3 points based on a review of the company's safe work procedures. * Award 3 points based on observations that the written safe work procedures accurately reflect the company's worksite activities

4.3 Through interview responses, employees should be able to give an example of the safe job procedures they are required to follow with respect to

their currently assigned task. 4.4 Throughout worksite visits and interview responses, the auditor should observe all company employees (and subcontractors) working in

conformance with the company's safe job procedures. 4.5 The auditor must observe copies of the company's job procedures at each worksite that are readily available to employees. The majority of employee

interview responses must confirm an understanding of where site specific procedures are kept. 4.6 Review safety meetings to see if safe job procedures have been a regular and relevant topic of discussion. Look for the names of the individuals that

have participated in the development or review of procedures.

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Points Awarded

D O I 4 Safe Work Procedures

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

4.2 Have all critical safe work procedures been written? 6 AND

4.3 Are they understood by workers? 2

4.4 Are safe job procedures followed on a regular basis? 2 AND

4.5 Are these procedures available and easily accessible to workers? 1 AND

4.6 Have both management and workers participated in the development and/or review of safe work procedures? 2 OR


Comments

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5.0 Guidelines - Company Rules

Rules are instituted by an organization to govern and control the conduct or actions of its employees. Rules are basic "thou shalt or thou shalt not"that leave no room for discretion or argument.

5.1 Verify that company rules are written.

5.2 Rules should be prominently posted in high traffic areas such as: lunch rooms, job trailers, offices or in the safety manual in a crew truck.

Company rules may also be provided to workers in the form of a handbook or they may also be found in the company safety manual on site.

5.3 The majority of employees interviewed should be able to give examples of some of the company safety rules and/or explain the reasons why they exist.

5.4 The company must have a written progressive disciplinary action process to address non-conformance issues.

5.5 The auditor must see documented evidence that the discipline process is being used consistently (contained in employee warning forms, personnel records, daily logs, etc.) Interviews must also confirm that employees are aware of the company discipline process (infractions of company safety rules, not following safe work practices or safe job procedures, and misuse of PPE).

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D O I 5 Company Rules

5.1 Are the rules clearly stated in writing? 2

5.2 Are the rules prominently posted or provided to each employee? 1 OR

5.3 Do workers understand company and site specific rules? 2

5.4 Does the program address non-conformance & progressive disciplinary actions? 2

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


Comments

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6.0 Guidelines - Personal Protective Equipment

6.1 Verify there is a written policy that references basic and/or specialized personal protective equipment.

6.2 Workers must be made aware of the PPE requirements. This could be included as part of an orientation, job specific training or when reviewing safe work practices/procedures.

6.3 Verify through observations or interviews that employees have access to basic PPE.

6.4 Verify through observation and interviews that specialized PPE is available to workers when required. Specialized PPE may include: fall protection, respiratory protection, face shields, welding shields/goggles, chemical goggles, fire retardant coveralls, chemical suits, impermeable gloves, etc.

6.5 Observation must verify workers using basic and/or specialized PPE as outlined in the company policy, regulations, MSDS, etc.

6.6 The auditor must verify through documentation that the employer has developed or made written instructions readily available to employees with respect to the proper fitting, care and use of PPE such as: ear plugs, respiratory devices, fall protection, etc.

6.7 Look for documentation/training records to verify that employees have received instruction with respect to the use of PPE. Confirm through

interviews. 6.8 Criteria used for PPE selection may include: review of hazard/risk assessment forms, material safety data sheets, regulations, safe work

practices/procedures and company policy requirements. Confirm through interviews. 6.9 Confirm through documentation that systems are in place. For specialized PPE: the auditor should look for logs and service tags on critical devices.

For basic PPE, inspections and maintenance may be conducted visually and recorded as part of a safety meeting or be included as an item on the company's inspection checklist.

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D O I 6 Personal Protective Equipment (PPE)

6.1 Is there a written policy for PPE? 2

6.2 Are employees made aware of the requirements for PPE? 2 AND

6.3 Do all personnel have access to basic PPE? 2 OR

6.4 Is specialized PPE available to workers when required? 3 AND

6.5 Is the correct PPE used by all personnel when required? 2

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

6.7 Are personnel given instruction or training in the use of PPE as required? 3 AND

6.8 Is there criteria used to select PPE? 2 AND

6.9 Is there a system in place to regularly inspect and maintain basic/specialized PPE? 3


Comment

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7.0 Guidelines - Preventative Maintenance Program

7.1 All equipment which requires ongoing maintenance must be identified.

7.2 Review equipment records, check for operating/service manuals on site and verify through interviews that manufacturer and regulatory standards are being met.

7.3 The auditor should look for documentation to verify completion of the established maintenance schedules that include all the items on the inventory as well as a system to enable the recording of pre-operational checklists where required (forklifts, man lifts, excavators, suspended platforms, vehicles, etc.)

7.4 Records should include a description of the maintenance that was conducted, including date, signature and corrective action.

7.5 Review documentation regarding defective tools or equipment being removed from service (e.g.: lockout/tag out) and verify through interview.

7.6 Worksite observations and interviews should verify that the process is being used.

7.7 Records should indicate that equipment is being maintained by recognized service facilities, or appropriate documentation/training records

should support qualification of in-house maintenance personnel.

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Points Awarded

D O I 7 Preventative Maintenance

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

7.1 An inventory of items to be maintained? 1

7.2 Maintenance meeting manufacturer and regulatory standards? 3 AND

7.3 The use and completion of schedules and checklists as required? 1

7.4 Records with a description of corrective actions taken? 2

7.5 A system to effectively remove defective tools, equipment and vehicles from service? 2 AND

7.6 Is the system in 7.5 followed? 1 OR

7.7 Does a qualified/competent person perform the inspection and maintenance? 2 AND


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8.0 Guidelines - Training & Communication

8.1 Look for documentation to support that the employer has a formal orientation program (at minimum, orientations include: emergency response, reporting of incidents/hazards/risks, policies, performance standards, safe job procedures and safe work practices).

8.2 Check orientation forms to ensure orientations are conducted before starting work. This includes management, workers, supervisors, contractors, suppliers, visitors, etc. * Award 2 points based on a review *Award 2 points based on verification of positive responses to the interview question

8.3 Check for a standard form.

8.4 The person receiving the orientation and the person conducting it must sign the form used.

8.5 Mandatory training as specified by regulation or policy must be confirmed and/or provided prior to beginning work (e.g.: WHMIS, fall arrest, H2S, first aid, etc.) Review training records and verify through interviews.

8.6 The company must retain all safety training records for each employee and these records should be readily available for the auditor's review.

8.7 As new equipment or work procedures are introduced, or when performance does not meet safety and health requirements, job specific training must be provided and documented. Employee's training may also be required to be updated upon expiry or if the employee is re-assigned. Employee training can be verified through reviewing company training records. This question must also be verified through interviews.

8.8 Training records must specify who conducted the training. A "qualified" person can be verified by trade certificate, experience, education, etc.

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Points Awarded

D O I 8 Training and Communication

8.1 Does the employer have a formal orientation program? 4

8.2 Is orientation mandatory for all personnel before starting work? 4 AND

8.3 Is there a standardized written orientation form? 2

8.4 Does the form provide for signatures of both workers and the person conducting the orientation? 2

8.5 Are mandatory training requirements verified or training provided before work starts? 2

AND

8.6 Are training records maintained? 2

8.7 Is job specific training provided and documented as required? 2 AND

8.8 Does a qualified person conduct job specific training? 2


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8.0 Guidelines - Training & Communication con't

8.9 Review training records to ensure supervisors have received training in: inspections, investigations, environment, and general safety and health responsibilities. Does management provide support (time, financial, etc.) to assist in the delivery of health and safety training programs? *Award 3 points based on documentation *Award 3 points based on interview responses

8.10 Verify through records of tests or exams associated with job specific training and orientations can assist the auditor in awarding points for this question. This question must also be verified through interviews.

8.11 Verify through records or minutes kept on file demonstrating regular company/corporate/site safety meetings are being held.

8.12 Minutes of safety meetings must indicate senior management's regular attendance.

8.13 An agenda should be attached to each meeting record. A pre-set format where the agenda is the same for each meeting is acceptable.

8.14 Are employers and workers given the opportunity to present their concerns? This question must be verified through interviews. Documentation must exist.

8.15 The auditor must check WSH Legislation to determine whether or not the company is required to hold scheduled toolbox meetings. If they are not required, award points if the company, at minimum, holds monthly meetings.

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Points Awarded

D O I 8 Training and Communication continued

8.9 Have supervisors received training in workplace inspections and Safety & Health responsibilities? 6 AND

8.10 Is a system in place to measure knowledge and competency? 2 AND

8.11 Does the employer hold scheduled Safety & Health meetings? 3 AND

8.12 Does senior management attend/participate in Safety & Health meetings? 2 AND

8.13 Is a prepared agenda followed and are minutes and an attendance of the meetings kept? 3

8.14 Does two way communication exist during these meetings? 3 AND

8.15 Are tailgate/toolbox meetings held regularly and documented as per policy? 3

Subtotal Points possible /awarded 22

Total points from previous page 20


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9.0 Guidelines - Inspections

9.1 There must be a written policy/directive stating which areas, machinery, tools, and/or equipment require regular inspection.

9.2 The frequency must be stated as monthly, weekly, etc. The frequency may be determined at each jobsite but the words "on a regular basis" are not acceptable. For companies involved in service work, an inspection "checklist" can easily be added to the company's work order form.

9.3 Sufficient records must be on file to support the adherence to the required frequency of inspections.

9.4 A standardized form or checklist should be completed for all inspections. The checklist should be equipment, process and site specific, including a space to identify: area and items inspected, hazard/risk classification, recommended corrective actions, the person responsible for the action and a date for expected completion/follow up.

9.5 Check for signatures on inspection report forms to verify that supervisors are involved in the formal (and informal) inspection process. This question must be verified through interviews.

9.6 Check for signatures on inspection report forms to verify that a worker or safety representative/committee member has taken an active role in the inspection process. This question must be verified through interviews.

9.7 Along with the actual equipment, process and site specific areas identified, the auditor must also ensure that other areas such as yards, offices, shop, basements, storage facilities, etc. are not being excluded from the inspection process.

9.8 A review of past inspection forms/checklists will confirm if the corrective action has been completed. The auditor must determine whether corrections have been completed on a timely basis, paying particular attention to hazards/risks with the potential to cause serious injury or property damage.

9.9 Senior management should be informed by the site supervisor of any unresolved items noted during inspections. It is the responsibility of senior management to follow-up and participates in formulating a solution to these safety problems. Senior management's signature on report forms would signify their involvement.

9.10 Inspection reports must be posted and/or communicated to employees through site safety meetings.

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D O I 9 Inspections

9.1 Is there a written policy for inspections? 2

9.2 Does the policy include frequency of inspections? 3

9.3 Is the required frequency being met? 4

9.4 Is there a form or checklist used for inspections? 3

9.5 Are supervisors performing inspections as required? 3 AND

9.6 Are workers involved in the inspection process? 3 OR

9.7 Are all areas inspected as required? 3

9.8 Are identified deficiencies corrected in a timely manner? 3 AND

9.9 Does senior management participate/review the inspection process? 2 AND

9.10 Are inspection reports posted and/or communicated to appropriate personnel? 4 OR


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10.0 Guidelines - Investigations and Reporting

10.1 The company must have a written policy on the subject of incident reporting and investigation which includes provisions or the following legislated requirement: personal injury, occupational illness, fire/explosion, property and equipment damage, environmental damage, dangerous occurrences and right to refuse situations.

10.2 The auditor must find documented reports of incidents and/or dangerous occurrences. This question must also be verified through interviews.

* Award 1 point if documentation on file verifies that initial investigation reports are completed within 24 hours. * Award 2 points if documentation on file verifies that serious incidents are thoroughly investigated. * Award 1 point based on verification of interview responses.

10.3 Incident reports must be recorded on a standard form designed for that purpose.

10.4 Verify through interviews that workers know what type of incidents they are to report, when and to whom.

10.5 All supervisors must have taken training specific to their responsibilities for conducting investigations. The MHSCP Leadership for Safety Excellence Course or equivalent would be acceptable for awarding of points.

10.6 The auditor should check investigation reports to verify the involvement of: management, supervisors and the worker safety representative/committee.

10.7 Near misses must be reported. Near misses of a less serious nature may be reported and discussed at safety meetings. Incidents that have the potential to cause serious injury or property damage must be investigated in accordance with the company policy.

* Award 2 points based on documentation. *Award 2 points based on interviews

10.8 Investigations should identify the DIRECT (immediate) and INDIRECT (underlying) causes with recommendations of corrective action for the prevention or re-occurrence. Once identified, a system to follow up on recommendations is required. Verify through interviews that this process is in place and that corrective action is implemented within an acceptable time frame.

*Award 2 points based on documentation. *Award 2 points based on interviews.

10.9 Workers must know the background information with respect to incidents that have occurred and also be informed about what has been done to prevent them from happening again. Toolbox and safety committee meeting minutes can assist in verifying this is being done.

10.10 Investigation reports must be reviewed and signed by senior management.

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Points Awarded

D O I 10 Investigations and Reporting

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

10.2 Is the policy being followed? 4 AND

10.3 Are standardized forms readily available and used? 2

10.4 Do workers know the reporting procedures? 3

10.5 Have supervisors been trained in investigation and reporting procedures? 3 AND

10.6 Are appropriate personnel involved in investigations? 3

10.7 Are near misses being reported? 4 AND

10.8 Are recommendations for prevention/remedial action implemented in a timely manner? 4 AND

10.9 Are remedial/corrective actions communicated to workers? 3

10.10 Are investigation reports reviewed by senior management? 2


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11.0 Guidelines - Emergency Preparedness

11.1 The goal of an effective Emergency Preparedness plan is to return to "normal" working operations as soon as possible. Appropriate emergency response plans should be developed specific to work activities. * Award 4 points based on documentation to verify that the company has developed a generalized plan/procedure with respect to emergency response (ie. Fire, first aid, transportation, communication) * Award 2 points based on observation that site-specific emergency response plans have been posted/made readily available at each worksite.

11.2 The plan must include an orientation and training for workers on emergency procedures/equipment and roles/responsibilities. Verify through interviews that site orientations and training have taken place. * Award 2 points based on documentation to verify that the company has provided workers with instruction/training in emergency procedures and equipment. * Award 2 points based on conformation through interviews that employees understand their responsibilities in the event of emergency as well as the site specific requirements.

11.3 Records must show that the company's emergency plans have been tested. The records must indicate the results of the tests and what corrective actions were taken to correct deficiencies .

11.4 When required, the employer must have a written fire response plan which may be included in the emergency response plan, or developed separately.

11.5 The correct class and type of extinguisher must be sufficiently marked and visible in all work areas. 11.6 Review documentation (on file and on tags) for fire extinguisher recharge, purchases or inspections conducted. Fire extinguishers

should be inspected and recorded monthly. Extinguishers should be subjected to maintenance every 12 months. 11.7 Look around the worksite, do employees have adequate means to contact emergency personnel? The auditor must verify

through interviews that employees are familiar with the site specific instructions necessary to operate the communication system. Through observation, the auditor should also verify that emergency phone numbers have been posted/made readily available at each work location.

11.8 The auditor must observe that first aid facilities are adequate for the size/type of operation in accordance with Legislation.

11.9 First aid attendants must be identified to all employees on site. This can be accomplished by posting their names, color of hard hat or high visibility insignias. Employee interview responses must indicate an awareness of first aid attendants at each worksite.

11.10 Look at the worksite and ensure that if an emergency occurred, the company would have the means to transport the injured employee. In most cases, this may just involve calling in emergency personnel for transport.

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Points Awarded

D O I 11 Emergency Preparedness

11.1 Are the emergency preparedness plans appropriate to work activities? 6 AND

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

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

11.4 Does the employer have a written fire response plan? 2

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

11.6 Are extinguishers regularly inspected and maintained? 2 OR

11.7 Is an appropriate emergency communication system available? 2 AND

11.8 Are there adequate first aid supplies and facilities? 2

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

11.10 Is there a means to transport an injured employee to a medical facility? 1 AND


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12.0 Guidelines - Statistics and Records

12.1 The company should assign someone to be responsible for the organization of safety program documentation, and it should be made readily available at the auditor's request.

12.2 The company must produce an annual summary of safety program activity. The report will include information such as the number of safety meetings, inspections, investigations, orientations, training sessions, etc. that were held.

12.3 Statistics that assist in measuring the frequency and severity of recordable injuries must be calculated on a monthly basis and available for review by the auditor.

12.4 Statistics must provide sufficient information to compare safety performance from year to year.

12.5 Statistics must provide sufficient information to identify trends and required changes that will effect improvement. This can be an agenda item for senior management meetings.

12.6 First aid records must be recorded on an on-going basis for all injuries.

12.7 There must be an action plan available for review that was based on the results of the last audit.

12.8 The auditor must find documented evidence that an action plan was implemented. This question must also be verified through interviews. Communication of the action plan may be accomplished through safety meetings or during employee training sessions. If this is a first time audit, completion of a written report or the Audit Corrective Action Plan can assist in awarding points for this question.

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Points Awarded

D O I 12 Records & Statistics

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

12.2 Are adequate Safety & Health activity summaries developed and maintained? 2

12.3 Are Safety & Health statistical reports generated on an on-going /regular basis and readily available? 2

12.4 Does the company compare Safety & Health performance year to year? 2

12.5 Are the annual statistics analyzed and needs or trends identified? 2

12.6 Are adequate first aid treatment records kept? 3

12.7 Was an action plan developed based on the most recent audit? 2

12.8 Was that action plan communicated and implemented? 3 AND


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13.0 Guidelines - Legislation

13.1 Copies of the WSH Act and other applicable safety standard information should be readily available to employees at each worksite in accordance with the work being conducted.

13.2 Confirm through interviews that legislative review is part of Management/Supervisor's regular job planning process.

13.3 Verify through interviews that employees and Supervisory/Management personnel are aware of their legal duties and responsibilities. (Safety committee members/representatives are detailed in the Manitoba Supplement) *Award 3 points based on employee understanding of their three fundamental rights (right to know, right to refuse, right to participate) and their safety responsibilities (follow instruction, wear required PPE, do not conduct work in a manner that may endanger themselves or others - identify, communicate and control hazards) *Award 2 points based on Management/Supervisor's understanding of their legal duties and responsibilities (be familiar with the WSH Act and Regulations, follow and enforce Legislation, participate in the identification, communication and control of hazards/risks - to ensure workers are not exposed to risks to their health and safety, etc.)

13.4 Verify through the interview process that investigations for all incidents required to be reported, have been conducted and documented as per the WSH Act and Regulation and Workers Compensation Board reporting process.

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Points Awarded

D O I 13 Legislation

13.1 Are copies of relevant legislation posted and/or available at each workplace? 2 OR

13.2 Does the management/supervisor regularly refer to relevant legislation and regulations during job planning? 3

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

13.4 Does the employer's accident reporting meet the legislated criteria? 2


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14.0 Guidelines - Manitoba Supplement, Safety Committee/Worker Safety Representative

14.1.1 Where there is more than one of the company's employees on a worksite, one worker must be appointed as the Safety Representative. If the company is in the project management business, there should be a listing of Safety Reps for all trades posted on site.

Safety Committee minutes or company training records must verify that legal duties and responsibilities have been reviewed with the Safety Committee members/representatives and the majority of interview responses must indicate that Safety Committee Members/Representatives have a clear understanding of their responsibilities.

14.1.2

14.1.3 Through documentation, observation or interviews the auditor must determine if Safety Committee members/representative are involved in the safety program. Signatures on the documentation or interview responses with respect to safety meetings, investigations, inspection, etc. will assist in awarding points for this question.

14.1.4 Training for Safety Committee members/representatives should be reviewed annually and consist of but not limited to: legislation, inspections and investigations.

14.1.5 WSH Legislation requires Safety Committee minutes to be posted (or, if not possible, made readily available) at each worksite, shop or office. (Note: WSH Legislation requires a safety and health bulletin board at each workplace)

14.2.1 A hearing conservation program should be developed for each company based on employee exposure. The program should be written and communicated to employees. It should include elements with respect to: sound monitoring, audiometric testing, hearing protection and training for employees. * Award 1 point based on the creation of a hearing conservation policy * Award 2 points based on documentation in support of audiometric testing for employees * Award 2 points based on documentation in support of worksites sound monitoring

14.2.2 The employer is required to provide hearing protection to employees in accordance with Legislation. The auditor should ensure that all types of hearing protection in use is being worn correctly and adequately maintained.

14.3.1 The company safety manual should contain a policy/directive with respect to lockout/tagout providing detailed and specific instructions to employees who may be required to put the policy to use.

14.3.2 During worksite observations, the auditor should ensure that lockout tags are provided to employees and all employees are in adherence with the procedure. During interviews, employees must be able to demonstrate an understanding of the lockout/tagout procedure and describe a situation when they may be required to perform a lockout.

14.4.1 The company safety manual should contain a procedure with respect to Working Alone.

14.4.2 During the audit, if employees are observed to be working alone, the auditor should ask to see a copy of their written procedure and a communication device. During interviews, the majority of employees must be able to demonstrate an understanding of the company's Working Alone procedure.

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Safety Program Verification MB Heavy Construction - Supplement Score Technique Employed

Points Awarded

D O I 14 Safety Committee/Worker Safety Representative

14.1.1 Is there a designated Worker Safety Representative at each jobsite? 2 AND

14.1.2 Are committee members or representatives familiar with their legal duties and responsibilities? 3

AND

14.1.3 Are committee members or representatives actively involved in hazard identification, communication and control? 3

OR

14.1.4 Have committee members or representatives received any training in how to carry out these duties and responsibilities? 2

14.1.5 Are committee minutes posted (or if not practicable, made readily available) for all employees to read? 2 OR

Regulatory Compliance & Safety Program Directives 14.2.1 Does the company have a Hearing Conservation Program? 5

14.2.2 Is hearing protection made readily available to employees that include instruction regarding the limitations and proper use? 2 OR

14.3.1 Is there a written directive/procedure in place on the subject of Lockout/Tagout? 2

14.3.2 Is it adhered to? 2 OR 14.4.1 Is there a written directive or plan in place on the subject of workers Working Alone? 2 14.4.2 Is it adhered to? 2 OR

Subtotal possible points awarded 27

Highlighted boxes are required for Small Employer Certification. COR requires all questions. Comments

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14.0 Guidelines - Manitoba Supplement, Regulatory Compliance A formal biological and chemical hazard evaluation should be conducted to identify the exposure potential and control measures required. Procedures for the proper use/handling/storage/disposal must be developed and worker training conducted. 14.5.1 During worksite visits, all controlled products found on site must be labeled with a clear and legible WHMIS label.

14.5.2 All MSDS sheets for each controlled product must be readily available on site and dated no later than 3 years.

14.5.3 Company training records or employee passports may be used to verify training in WHMIS

14.5.4 Employees must be able to demonstrate an understanding of the 3 basic elements of WHMIS: labels, MSDS and employee training.

14.6.1 A company acting as the Prime Contractor is required to coordinate, organize and oversee the performance of all work at the construction project site. A company acting as a subcontractor must be aware of their legal obligations to share required safety information with the Prime. (Shared information should include: existing and potential hazards, toolbox meeting minutes, MSDS, inspections, investigations, supervisor's name, WSH orders/reports, etc.)

14.6.2 Documentation of required safety information shared between Prime Contractor/Subcontractor can be either retained on file or posted at the worksite.

14.7.1 For all critical equipment found on site, the auditor should ensure by requesting documentation that the operators are competent/trained/certified in accordance with WSH Legislation and verification through interviews must indicate that operator competency is verified prior to operation.

14.8.1 A Musculoskeletal Injury Prevention program must include: hazard/risk assessment and control measures. Examples of control measures may include: safe work procedures, tailored work schedules, personal protective equipment, etc.

14.9.1 The company must have a written policy on the subject of workplace harassment which includes provisions for the following WSH legislated requirements: filing a complaint, complaint investigation and disclosure of information.

14.9.2 The policy must be posted at the workplace and made readily available to all employees.

14.10.1 The company must have a written policy on the subject of workplace violence which includes provisions for the following WSH legislated requirements: hazard/risk assessment, employee training & procedures to follow for reporting and investigating complaints.

14.10.2 The policy must be posted at the workplace and made readily available to all employees.

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Safety Program Verification MB Heavy Construction - Supplement Score Technique Employed

Points Awarded

Regulatory Compliance & Safety Program Directives (continued) D O I

14.5.1 Are controlled products properly labeled? 2 OR

14.5.2 Are MSDS Sheets current and made readily available at each worksite? 2

14.5.3 Have employees who work with, or in the proximity of controlled products received the appropriate training? 2

14.5.4 Can employees communicate an understanding of the basic elements of WHMIS? 2

14.6.1 Is the company aware of their duties and responsibilities when a Prime Contractor is required on the construction project? 2

14.6.2 Are they adhered to? 2

14.7.1 Is the written directive or plan on the subject of operator training and/or equipment certification adhered to? 1 AND

14.8.1 Does the employer have a system in place to identify and control the risk of musculoskeletal injuries? 2

14.9.1 Does the employer have a written policy with respect to the prevention of harassment in the workplace? 2

14.9.2 Is the policy prominently posted at the workplace? 1

14.10.1 Does the employer have a written policy with respect to the prevention of violence in the workplace? 2

14.10.2 Is the policy prominently posted at the workplace? 1

Subtotal points possible/awarded 21


Comments

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Auditor Executive Summary Report

The auditor executive summary will not be accepted without the following information:

Number of work sites visited

Number of management/supervisors interviews

Number of worker interviews Number of subcontractors interviewed (where applicable)

Please refer to the Auditor Executive Summary Report attached to this audit document. Auditor's Signature _____________________________________ Date: ______________

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AUDITOR EXECUTIVE SUMMARY REPORT (Can be used by Auditor or a separate document must be attached)

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AUDIT CORRECTIVE ACTION PLAN (Must be completed. Audit will not be accepted without it.) Reflect on all deficiencies on element by element basis,

Target Completion Date

Recommendation Assigned To

Reviewed By Management

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AUDIT SUBMISSION CHECKLIST

Ensure audit is submitted with an action plan which reflects all deficiencies throughout the document.

Ensure all supporting documentation is included where required. (See checklist to verify). Ensure that all boxes have been completed. Ensure that all active worksites have been listed in the list of active worksites whether they were a part of the audit or not. Submit the original copy for review and ensure that all changes/corrections have been initialed. Ensure that the interview checklist sheets are submitted. MHCSP does not need notes written as a result of the interview. Ensure that the comments have been made where required: * Auditors must provide a comment for all deficiencies marked with (X) and N/A (not applicable). Where questions were deemed to be not applicable (n/a), ensure that the possible score for the section is adjusted accordingly and that the change is

carried forward to the summary page. One word answers do not convey adequate information. Ensure that comments provide insight into the points awarded. Auditor Executive Summary must include comments on strengths and list a minimum of three recommendations for improvement. The correct criteria for

completing the Executive Summary is outlined in the audit document. Ensure that both the senior company designate and auditor have signed off on the audit document. Ensure that the correct number of interviews were completed. There is a chart at the beginning of the Audit Document. Ensure that a representative number of worksites were visited. In most cases, this will entail at least 1/3 of the active sites in addition to the office/shop. Auditor Signature: _______________________________________________ Date: ______________________ This form must be submitted along with your completed audit for review to MHSCP

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AUDIT CLOSE OUT MEETING

Date:_____________________________________________ Attendees: ______________________________________________ ________________________________________ ______________________________________________ ________________________________________ ______________________________________________ ________________________________________ ______________________________________________ ________________________________________ Thank you for your time and patience during this audit. All audit information was verified through Documentation, Observation & Interviewing, Number of employees interviewed (managers/supervisors/workers): ______________________ Positive areas:______________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ Recommendations:___________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ __________________________________________________________________________________________________________________________ Yes No

All forms and documents signed by all parties:

_________________________________ _______________________________________________________ Auditor Management Certification Number #__________

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Documents

COR/SECOR Audit Document - Heavy€¦ · COR/SECOR Audit Document ... A deficiency in form (provided in substance the program element is substantially in place) should result in