7.3 Look for a maintenance schedule that includes all the on the inventory. Look for pre-op checklists for equipment like forklifts, man lifts, excavators, vehicles, etc. 7.4 Records should include a description of the maintenance that was conducted to correct a problem. 7.5 There must be a system in place that will prevent defective tools and equipment from being used. A tag out system is the most common. 7.6 Look for evidence of the system provided in (7.5) being used. 7.7 Records should indicate that equipment is maintained by recognized service facilities. Training records or other documentation should support qualifications of in-house maintenance personnel. Health and Safety Program Verification Possible Technique Employed Points Awarded D O I 7.0 Preventative Maintenance Program Does the preventative maintenance program of facilities, tools, equipment and vehicles include: 7.1 An inventory of 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 equipment and vehicles from service? 2 AND 7.6 (7.5) Is it followed? 1 OR 7.7 Does a qualified / competent person perform the inspection and maintenance? 2 AND Points Possible 12 Points Awarded Auditor’s Comments Comments are mandatory for all deficient items. Label comments with the appropriate reference number 8.1 The company safety program must have a formal process for providing orientation to workers. 8.2 An orientation record must be available for all personnel, including sub-contractors. 8.3 The formal orientation process must include a standard format for recording the training. 8.4 The orientation form must provide for the signatures of both student and trainer. 8.5 Training records must support the requirements mandated by policy such as CSTS, TDG, H2S, etc. 8.6 The company must have training records on file for all personnel. 8.7 Training records must show that training is provided for job specific tasks. This type of training should include procedures and practices. Job specific training may also include training required to use equipment, materials or processes relevant to their business. 8.8 Training records must specify who conducted the training. 8.9 All supervisors must have taken training specific to their responsibilities for health and safety.
8.10 These should be records of tests or exams associated with job specific training and also with orientations. 8.11 Records or minutes must be on file that show regular safety meetings are being held. 8.12 Minutes of meetings must indicate that senior management attends periodically. 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, however the auditor should critique the content. 8.14 The meeting record must include a portion the comments and suggestions of workers are discussed and appropriate action taken. 8.15 The auditor must check the policy manual and determine if the frequency of meetings is as per policy. Health and Safety Program Verification Possible Score Technique Employed Points Awarded D O I 8.0 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? 3 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 starting work? 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 8.9 Have supervisors received training in workplace inspections and health and safety responsibilities? 6 AND 8.10 Is a system in place to measure knowledge and competency? 3 AND
Health and Safety Program Verification Possible Score Technique Employed Points Awarded D O I 9.0 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? 3 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? 3 AND 9.10 Are inspection reports posted and / or communicated to appropriate personnel? 4 OR Points Possible 30 Total Points Awarded Auditor’s Comments
Health and Safety Program Verification Possible Score Technique Employed Points Awarded D O I 10.0 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? 2 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? 3 Points Possible 30 Total Points Awarded Auditor’s Comments Comments are mandatory for all deficient items. Label comments with the appropriate reference number 11.1 The auditor must judge if emergency plans are appropriate. 11.2 Policy or procedure must assign responsibility to provide training to personnel for emergency response plans. 11.3 Records must show that emergency plans have been tested. The record must indicate the results of that test and what corrective actions were taken to correct deficiencies. 11.4 When appropriate the employer must have a written fire response plan which may be part of other emergency response plans.
11.5 Proper fire extinguishers must be available and visible when required. 11.6 Fire extinguishers must be inspected and serviced as per the manufacturer's specifications. 11.7 An appropriate system of communication must be available to the workers at each worksite. 11.8 The auditor must observe that first aid supplies are adequate for the type and size of operation. 11.9 The names of qualified first aid attendants must be posted or readily available. The auditor must determine if the numbers are adequate for the size, type and location of the worksite. 11.10 The work site must have a method or access to a method to transport an injured worker to a medical facility. Health and Safety Program Verification Possible Score Technique Employed Points Awarded D O I 11.0 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
SS1.3 Workers must not be exposed to conditions where ventilation is not adequate to control air borne contamination or temperature extremes. SS1.4 The auditor must judge whether housekeeping is adequate to reduce the risk of fire, trips and falls. Consideration must be given to worker mobility during an emergency. SS1.5 The auditor should look for proper and barricades to warn workers of the hazards. Look for proper storage of overhead materials and kick plates or fences on stairways and upper level storage areas. SS1.6 All work areas must have adequate entrance and exit facilities. SS1.7 Exits must be marked and easily accessible. Health and Safety Program Verification Possible Score Technique Employed Points Awarded D O I SS1 Physical Conditions SS1.1 Are lunchroom and sanitary facilities kept in a clean and hygienic condition? 2 SS1.2 Are lighting levels sufficient in all working areas? 2 SS1.3 Does ventilation control airborne contaminants and temperature extremes? 2 SS1.4 Do housekeeping practices reduce the potential for falls, trips and fires? 2 SS1.5 Are physical hazards identified and controlled? 2
11 Emergency Preparedness 27 14 12 Statistics and Records 18 9 13 Legislation 12 6 Total 302 Minimum standard = 80% overall score and 50% minimum in each of sections 1 through 13. SCSA Supplemental Section Actual Points X 100 = Possible Points Standard Achieved % Yes No Section # Section Name Possible Points Actual Points Standard Achieved SS1 Physical Conditions 18 Yes No SS2 Harassment Policy 8 Auditor Signature: SS3 Committees / Representative 12 Auditor Comments Senior Company Officer Name: SS1 Senior Company Officer Signature SS2 SS3 Goal for Next Audit % Each supplemental section must attain a minimum of 50% to meet the SCSA certification standards. Mandatory Information General Guidelines A description of the audit tool - "SCSA National Standard Safety Program Evaluation Tool using the three-step process of observation, documentation and interview". Thank the auditee for the opportunity to conduct the audit. The location of all worksites included in the Remain positive throughout. The total number of interviews conducted; how many were managers; how many were workers. How many of the total interviews are workers from sub-contractors. Reinforce the importance of management support. The date or dates of the audit. Do not reference the Certificate of Recognition in the audit summary. The audit is only one step in several required for COR.
1 The interview sample size is based on the number of workers associated with the auditee at the time of the audit. Include workers and supervisors in service to other employers under contract to the auditee at the time of the audit. Use the chart below as a guide to determine the minimum number of workers and supervisors to interview. Total number of workers Worker Interviews Required Management Interviews Required Total Interviews Required Approximate % of Workforce 200+ 75% of total 25% of total 10% of workforce 10% 100 – 199 15 5 20 20% 50 – 99 9 3 12 25% 25-49 6 2 8 35% 10 to 24 3 2 5 50% 1 to 9 All All All 100% 2 Select interview candidates with the intent to sample a broad range of worker and supervisor experience. Employee rosters can be useful in selecting candidates. Auditors may wish to select some candidates based on worksite observations or entries and references found in safety program documentation. 3 Conduct interviews in a quiet, comfortable and private area. 4 Question each candidate on all items in the appropriate list of prepared audit questions. Evaluate each response and record the result as a single check mark under the appropriate column immediately to the right of each question. 5 When all interviews have been completed transfer the number of positive and negative responses to the interview summary pages. Total the positives and negatives from left to right. Indicate the overall result as a check (positive) or an X (negative) in the results column. 6 Transfer the results to the audit tool as either a check or an X in the "Interview" technique column. When the number of positive responses is equal to the number negative responses enter the result as a check (positive). 7 The of interview subjects are not to be recorded on any of the audit documents or notes. Interviews are confidential and must not be discussed with anyone. 8 All documents used to conduct and analyze the interviews must be destroyed by the auditor except as in item 9 below. 9 Student auditors conducting their self-audit must submit the interview working documents to the SCSA to demonstrate their understanding of the evaluation process. Student auditors must not reveal these documents to the auditee. The SCSA will discard these references. 10 All auditors must record the total number of interviews in the executive summary, how many were supervisors / managers, how many were workers and how many of the total were sub-contractors.
Audit Interviews Management Interview Questions Question Manager and Supervisor Interview Questions Interview Response No. Reference # Negative Positive 1 1.7 What responsibilities have you been assigned and held accountable for in regards to health and safety? 2 1.9 What objectives are addressed in the health and safety policy? 3 2.1 Describe the formal process this company uses to assess potential and existing hazards.
45 13.1 Where is the current OH&S legislation located on site? 46 13.3 What are your (3) basic rights under safety legislation? 47 13.4 When you report a dangerous occurrence to OH&S? 48 SS3.1 Is an occupational health committee or representative in place with this company? 49 SS3.2 Are both managers and workers represented on the committee? 50 SS3.3 How often are committee meetings held? 51 SS3.6 Are committee / representative recommendations typically followed? 52 SS3.7 Describe some of the activities that your committee performs Notes: Audit
Interviews Worker Interview Questions Question Worker Interview Questions Interview Response No. Reference # Negative Positive 1 1.6 Where would you find the company safety policy? 2 1.7 What responsibilities for health and safety have been assigned to you under the company policy? 3 1.9 What are the objectives of the company Health and Safety policy? 4 2.1 How does the company identify, assess and control hazards? 5 2.2 When are formal hazard assessments completed? 6 2.3 Does the company involve management as well as workers in the formal hazard assessment process? What role do you play? 7 2.9 How are you made of the control strategies that are implemented as follow-up to formal hazard assessments? 8 2.11 How does management support the formal hazard assessment process? 9 3.3 Describe briefly, a few written safe work practices that you use on a regular basis. 10 3.4 If you needed to to a written safe work practice, where would you find it? 11 3.5 Do you use the safe work practices as they are written? 12 3.6 What input have you had into the development or review of the written safe work practices?
Audit Interviews Interview Summary Sheets Worker Interviews Management/Supervisor Interviews Result Reference # Negative Positive Question # Negative Positive Question # 1.6 1 1.7 2 1 1.9 3 2 2.1 4 3 2.2 5 4 2.3 6 5 2.9 7 6 2.11 8 7 3.3 9
3.4 10 8 3.5 11 9 3.6 12 10 4.1 13 11 4.3 14 4.4 15 12 4.5 16 13 4.6 17 14 5.2 18 15 5.3 19 5.5 20 16 6.2 21 17 6.3 22 18 6.4 23 19 6.7 24 20 6.8 25 21 7.2 22 7.5 26 7.6 27 23 7.7 28 24 8.2 29 25 8.5 30 26
8.7 31 27 8.9 28 8.10 32 29 8.11 33 30 8.12 34 31 8.14 35 9.5 32 9.6 36 33 9.8 37 34 9.9 38 35 9.10 39 36 10.2 40 37 10.4 41 10.5 38 10.7 42 39 10.8 43 40 10.9 44 11.2 45 41 11.7 46 42 11.9 47 11.10 48 53 12.8 44