ACSA Audit Question

1.1 - Is signed and dated by the current president, CEO, or local senior management?

ACSA Auditor Notes:

1.1 Ensure the policy has been signed and dated by senior management. Verify that the person who signed the policy is presently employed by the company.

ACSA Auditors Notes:

1.2 The policy should state the senior manager’s commitment to the health and safety program. This commitment may be outlined in separate documents.

ACSA Audit Question

1.3 Is reviewed annually by management?

ACSA Auditors Notes:

1.3 The policy should be reviewed annually to ensure accuracy.  This review may be done by re-dating the document, or the review may be noted in minutes etc.

ACSA Audit Question

1.4 Is prominently posted or made available to the worker?

ACSA Auditors Notes:

During the work site tour the auditor must see if the company health and safety policy has been posted or validate through interviews that employees have been made aware of the policy and its content.

ACSA Audit Question

1.5 Addresses accountability and responsibility for health and safety for all workplace parties?

(A) Senior Managers/Managers

(B)  Supervisors

(C) Workers

ACSA Audit Notes:

1.5 Review the health and safety manual to ensure that accountability and assignment of responsibilities have been stated for senior management, management, supervisors and workers.

ACSA Audit Question

1.6 Is understood by employees?

ACSA Auditors Notes:

1.6 Verify through interviews that all employees understand their roles and responsibilities

ACSA Audit Question:

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

ACSA Auditors Notes:

1.7 Verify through interviews that the employer is providing the necessary resources to support the health and safety management system. Examples include: hiring a full-time safety employee, providing funding for training, etc.

ACSA Audit Question:

2.1 Have formal written hazard assessments been created?

(A)  Project Start-up or Work Types

(B)  Job, Task or Position

ACSA Auditors Notes:

2.1 Formal hazard assessments must be developed for all jobs or tasks that are performed by company personnel.

Formal hazard assessments must:

• 
  Identify and prioritize hazards and allow for control measures to be developed before work is started
• 
  Include the office, shop and any activities at the project start-up phase

Scoring must be based on the development of formal hazard assessments for all jobs/tasks/work types/projects that are carried out under the company’s WCB account, including the office and shop.

Some of this process may have been completed when the company was carrying out the Job Hazard Assessments for the development of Safe Job Procedures and Safe Work Practices for the program.

Any site-specific hazard assessment process (E.g. Field Level Hazard Assessments, Field Level Risk Assessments, etc) cannot be used to award points for questions 2.1, 2.2 & 2.3.

ACSA Audit Question:

2.2 Are the hazards identified?

(A)  Project Start-up or Work Types

(B) Job, Task and Positions

ACSA Auditors Notes:

2.2 Verify  that  the formal  hazard  assessments  scored  in  question  2.1  include  the  proper  identification  of hazards.

 

ACSA Auditors Question:

2.3 Are the identified hazards prioritized?

ACSA Auditors Notes:

2.3 Confirm that the formal hazard assessment process includes a system to assess for frequency/severity and has prioritized the identified hazards based on risk. E.g. low-medium-high or a scale of 1 – 5. 

ACSA Auditors Question:

2.4 Is there a list of identified critical tasks?

ACSA Auditors Notes:

2.4 Have critical tasks been identified within the company?  This list will be specific to the company and will vary depending upon type of work performed.  These critical tasks are identified through hazard assessments.

 

ACSA Audit Question

2.5 (A) Does the employer use a site specific ongoing hazard assessment process?

      (B) Are employees aware of ongoing use of hazard assessment?

 

ACSA Audit Notes

2.5 An employer must ensure that the hazard assessment is repeated

a) at reasonably practicable intervals to prevent the development of unsafe and unhealthy working conditions,

b) when a new work process is introduced,

c) when a work process or operation changes, or

d) before the construction of significant additions or alterations to a work site.

ACSA Audit Question:

2.6 Are appropriate employees involved in the ongoing hazard assessment process?

 

ACSA Aditors Notes:

2.6 Affected workers and supervisors must be involved in the completion and/or review of the hazard assessments. Review completed hazard assessments, Job/Task Hazard Assessments, FLRAs to demonstrate involvement in the process.

ACSA Auditors Question:

2.7 Are controls developed for these identified hazards?

 

ACSA Auditors Notes:

2.7 Once identified, hazards must be controlled. Review identified controls and confirm the use of engineering controls, administrative controls (safe work practices, safe job procedures and rules), personal protective equipment or a combination of control measures.

ACSA Audit Question:

2.8 Are controls implemented in a timely manner?

 

ACSA Auditors Notes:

2.8 Through observation, verify control measures required are/were made available and implemented. Please identify what controls were observed.

 

ACSA Audit Question:

2.9 Are appropriate employees involved/informed of the control strategies?

 

ACSA Auditors Notes:

2.9 Confirm through interviews that affected supervisors and workers are informed of the results. This could include hazard assessments being reviewed during health and safety meetings and/or their participation in various levels of the hazard assessment process.

ACSA Audit Question:

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

 

ACSA Auditors Notes:

2.10 Look at applicable documentation that may include company orientation, performance records, health and safety meeting minutes, pre-qualification for work, etc. Confirm an ongoing process is in place. If no sub- contractors are hired, the question is not applicable.

ACSA Audit Question:

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

 

ACSA Auditors Notes:

2.11 Confirm with the management/supervisor interviews that they have authorized and enforced the recommendations for hazard control.

Safe work practices are a set of positive guidelines or “Do’s and Don’ts” outlining how to perform a specific task that may not always be done in a consistent manner.

ACSA Ausit Question:

3.1 (A) Have all the required Safe Work Practices been written?

      (B) Based on your observations of the current work activities have all of the required Safe Work   Practices been written?

ACSA Auditors Notes:

3.1 Confirm that all required safe work practices have been written. Reference the critical task list for identification of safe work practices that should have been developed. During the observation tour, confirm the practices reflect the activities of the company’s current operations. Identify any missing safe work practices in the comments section and do not award points. (If driving is part of the job, safe work practices should be developed as needed).

ACSA Audit Question:

3.2 Are they understood by workers?

 

ACSA Auditors Notes:

3.2 Interviews must validate they are understood and how they apply.

ACSA Audit Question:

3.3 Are they readily available/accessible to workers?

 

ACSA Auditors Notes:

3.3 Look for a copy of Safe Work Practices on site to verify availability. Availability may also be confirmed through interviews.

ACSA Audit Question:

3.4 Are the SWPs being followed by workers?

 

ACSA Auditors Notes:

3.4 The auditor must observe workers following the safe work practices including the use of engineering, administrative or PPE controls. Points cannot be awarded if control measures are not being followed

ACSA Audit Question:

3.5 Have both management/supervisors and workers participated in the development and/or review of safe work practices?

 

ACSA Auditors Notes:

3.5 The auditor must verify that a documented process is in place to develop or review Safe Work Practices that includes representatives from management, supervisors and workers. Check health and safety meeting minutes and or safe work practices etc. to confirm. Through interviews confirm that management/supervisors and workers were involved in the development and/or review.

A safe job procedure is a written, specific step-by-step description of how to complete a job safely and efficiently from start to finish. These procedures are developed as a result of the formal hazard assessments conducted for all work sites/tasks/positions including the main office/shop. Look for the identified criticaltask list for an outline of what Safe Job Procedures should have been developed.

ACSA Audit Question:

4.1 (A) Have all of the required safe job procedures been written?

     (B)  Based on your observations of the current work activities have all of the required Safe Job    Procedures been written?

 

ACSA Auditors Notes:

4.1 Confirm that all required safe job procedures have been written. Reference the critical task list for
identification of safe job procedures that should have been developed. During the observation tour, confirm the practices reflect the activities of the company’s current operations. Identify any missing safe job procedures in the comments section and do not award points.

ACSA Audit Question:

4.2 Are they understood by workers?

 

ACSA Auditors Notes:

4.2 Interviewees must validate they are understood and how they apply

ACSA Audit Question:

4.3 Are these procedures readily available/accessible to workers?

 

ACSA Auditors Notes:

4.3 Identify that Safe Job Procedures are available at work sites. Availability may also be confirmed through interviews.

ACSA Audit Question:

4.4 Are safe job procedures followed by workers?

 

ACSA Auditors Notes:

4.4 The auditor must observe workers following the safe job procedures including the use of engineering, administrative or PPE controls. Points cannot be awarded if controls measures are not being followed.

ACSA Audit Question

4.5 Have both management/supervisors and workers participated in the development/review of these procedures?

 

ACSA Auditors Notes:

4.5 The auditor must verify that a documented process is in place to develop or review Safe Job Procedures that includes representative from management, supervisors and workers. Check health and safety meeting minutes and or safe job procedures etc. to confirm. Through interviews confirm thatmanagement/supervisors and workers were involved in the development and/or review.

ASCA Audit Question:

5.1 Are the rules prominently posted or provided to each worker?

ACSA Auditors Notes:

5.1 Verify that the rules are prominently posted in high traffic areas or confirm through interviews that employees can verify how they were made aware of the rules and the content.

ACSA Audit Questions:

5.2 Do workers understand company and site specific rules?

ACSA Auditors Notes:

5.2 Workers should be able to explain/state the rules as laid out in the health and safety manual.  Workers should be able to identify some of the rules that apply to them.

ACSA Audit Questions:

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

ACSA Auditors Notes:

5.3 Has an enforcement policy been developed that includes progressive disciplinary actions related to the use of engineering, administrative and PPE controls? Evidence of enforcement of the proper use of engineering controls, administrative controls and PPE should also be documented

ACSA Audit Question

5.4 Are all rules applied/enforced consistently with all employees?

 

ACSA Auditors Notes:

5.4 Confirm through interviews that not following company safety rules, safe work practices and safe job procedures will result in correction.

ACSA Audit Question

6.1 a) Are workers made aware and trained in the requirements for PPE?

       b) Are workers aware of their PPE requirements

ACSA Auditors Notes:

6.1 Workers must be made aware of and trained in PPE requirements both basic and specialized (if required). This could be included as part of their orientation.  All employees must be trained in the correct use, care, limitations, and assigned maintenance of PPE (check training records and/or health and safety meeting minutes). Verify through interviews that workers are aware of their requirements and can confirm training is provided for all PPE.

 

ACSA Audit Question

6.2 Do all employees have access to basic and/or specialized PPE?

ACSA Auditors Notes:

6.2 Verify through observation and interviews that employees have access to basic and/or specialized PPE (the employer is not required to supply basic PPE).

 

ACSA Audit Question

 6.3 Is the correct PPE used by all employees when required?

ACSA Auditors Notes:

6.3 Through observation, determine whether or not PPE is being utilized as outlined in the company’s PPE policy by all employees. Additional sources of PPE requirements may include safe work practices, safe job procedures, hazards assessments, etc.

ACSA Audit Question

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

ACSA Auditors Notes:

6.4 Check for the appropriate codes of practices (i.e. confined space plan, fall protection plan) to validate that they satisfy legislation. Validate the company is using these codes of practice and other methods (hazard assessment forms, Material Safety Data Sheets and company policy requirements) to select the appropriate PPE. If specialized PPE is not required make the question not applicable.

ACSA Audit Question:

6.5 Is there a system in place to verify that basic/specialized PPE is being inspected and maintained?

ACSA Auditors Notes:

6.5 Review records and policy to ensure that basic and/or specialized PPE is being inspected and maintained as per requirements. Inspection and maintenance of basic PPE may involve a system/procedure that relies upon visual inspection prior to use and disposal or repair if it does not meet requirements as set out by the company. Documentation may be in the form of Field Level Risk Assessment (FLRA), work site inspection, PPE maintenance form, etc.

ACSA Audit Question:

7.1 Is there a system in place to verify that basic/specialized PPE is being inspected and maintained?

ACSA Auditors Notes:

7.1 Review records and policy to ensure that basic and/or specialized PPE is being inspected and maintained as per requirements. Inspection and maintenance of basic PPE may involve a system/procedure that relies upon visual inspection prior to use and disposal or repair if it does not meet requirements as set out by the company. Documentation may be in the form of Field Level Risk Assessment (FLRA), work site inspection, PPE maintenance form, etc.

ACSA Audit Question:

7.2 A maintenance schedule and records with a description of corrective actions taken?eview equipment records, check for equipment manuals on site, and verify that maintenance is done according to company/manufacturer/regulatory standards. Check equipment records to verify corrective actions/maintenance/recommendations have been completed.  Check for time, date and signature.

ACSA Auditors Notes:

7.2 Verify that all equipment that requires ongoing maintenance has been identified.

ACSA Audit Question:

7.3 Is there a system to effectively remove defective tools, equipment or vehicles from service?

ACSA Auditors Notes:

7.3 Review health and safety program to see there is a written system for removal of defective tools or equipment from service according to company policy (e.g. lockout/tag-out).

ACSA Audit Question:

7.4 Is this system followed?

ACSA Auditors Notes:

7.4 If there is a written system, verify through observation and interviews that the written process is being used. If there was no written process, points cannot be awarded.

ACSA Audit Question:

8.1 Does the employer have a formal orientation program that includes:

a) Emergency Response Procedures/Alarm systems

b) Reporting procedures (hazards/incidents etc.)

c) Safe Work Practices/Safe Work Procedures

d) General Rule

e) Personal Protective Equipment

f) Is signed off by both the employee and company representative?

 

ACSA Auditors Notes:

8.1 Look for documentation to support that the employer has a formal orientation program that contains the required components. Verify that the form has been signed by both the worker and the company representative.

ACSA Audit Question:

8.2 a) Does documentation confirm that mandatory orientations were completed for management,    supervisors,new/reassigned/returning workers, visitors and contractors before starting work?

      b) Has this process been followed?

ACSA Auditors Notes:

8.2 Confirm orientations are completed with ALL new employees before they start work.  This includes management, workers, supervisors, contractors, suppliers and visitors as well as those reassigned/returning to work after a leave of absence.  Verify through interviews.

ACSA Audit Question:

8.3 Are mandatory certification requirements verified before workers are hired?

ACSA Auditors Notes:

8.3 Mandatory certifications may include Journeyman certification, driver’s license, PEng, First Aid, etc. Review worker training records for this information.

ACSA Audit Question:

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

ACSA Auditors Notes:

8.4 Check training records to verify refresher and/or recertification training is occurring as required. Have the records of all training been maintained and updated appropriately?

ACSA Audit Question:

8.5 Does job specific training include job specific hazards and the appropriate controls?

ACSA Auditors Notes:

8.5 Check training records to verify that training includes job specific hazards and the appropriate control measures associated with the new job/process.

ACSA Audit Question:

 8.6 a) Have supervisors received training in workplace inspections and health and safety responsibilities?

        b) Can management/supervisors confirm that training has been completed?

ACSA Auditors Notes:

8.6 Review training records for supervisor training in inspections, training, and general health and safety responsibilities. Courses such as ACSA Leadership for Safety Excellence or other appropriate training would be recognized. Verify completion through interviews

ACSA Audit Question:

8.7 Are ongoing meetings held regularly and documented as per policy?

      

ACSA Auditors Notes:

8.7 Verify that health and safety toolbox/tailgate meetings are being held and documented as outlined in company policy. Check for minutes and attendance records for these meetings.    

ACSA Audit Question:

8.8 Does two-way communication exist during these meetings?

      

ACSA Auditors Notes:

8.8 Verify that workers are given the opportunity to present their concerns  

ACSA Audit Question:

8.9 a) Does senior management attend/participate in health and safety meetings?

       b) Are workers aware of senior management participation in safety meetings?

      

ACSA Auditors Notes:

8.9 Check attendance records for senior management or accountable company designate in attendance at these meetings. Verify through interviews.

ACSA Audit Question:

9.1  Is there a written policy or procedure for inspections?

       

ACSA Auditors Notes:

9.1 Verify that there is a policy that outlines an inspection process (could be part of the corporate policy)

ACSA Audit Question:

9.2  Is there a form or checklist used for inspections?

      

ACSA Auditors Notes:

9.2 Verify that a standard form or checklist is being used for all types of inspections

ACSA Audit Question:

9.3  Does the program identify a measurable frequency for the completion of inspections? Verify that it is being met.

      

ACSA Auditors Notes:

9.3 A set frequency of inspections (monthly, weekly) must be documented. This information may be contained within the policy or inspection schedule, etc. The words “on a regular basis” are not acceptable. Verify that inspections are being performed at the stated frequency for all areas including the office/shop, storage facility, and active work sites. If there is no identified frequency of inspections, points cannot be awarded.

ACSA Audit Question:

9.4  Are Management/Supervisors performing inspections as per policy?

ACSA Auditors Notes:

9.4 Verify through documentation that supervisors are involved in the formal and informal inspection processes

ACSA Audit Question:

9.5 Verify through interviews that employees are aware of a way they can report unsafe or unhealthy conditions and practices.

ACSA Auditors Notes:

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

ACSA Audit Question:

9.6  a) Does documentation confirm that identified deficiencies are corrected in a timely manner?

       b) Do observations confirm that identified deficiencies have been corrected?

ACSA Auditors Notes:

9.6 Review documentation to verify that deficiencies are corrected in a timely manner. Through observations, confirm all deficiencies have been corrected.  If possible, provide examples.

ACSA Audit Question:

9.7  Does senior management participate/review the inspection process?

ACSA Auditors Notes:

9.7 Through interviews, verify senior management’s (or accountable company designate’s) participation in the inspection process.

ACSA Audit Question:

9.8  Are inspection reports posted and/or communicated to appropriate employees?

ACSA Auditors Notes:

9.8 Verify that inspection reports are posted or verify that interviewees were made aware of the results of the inspections.

ACSA Audit Question:

10.1   Is there a written investigation policy and reporting procedure?

ACSA Auditors Notes:

10.1 Review documentation for the incident (loss or no-loss) investigation procedure (could be part of a corporate policy). Verify that vehicle incidents are included.

ACSA Audit Question:

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

ACSA Auditors Notes:

10.2  Verify that investigations have been carried out and standardized investigation forms have been used

ACSA Audit Question:

10.3  Do employees know the reporting process?

ACSA Auditors Notes:

10.3   Verify through interviews that employees understand the reporting process

ACSA Audit Question:

10.4  Have supervisors been trained in investigation and reporting procedures?

ACSA Auditors Notes:

10.4  Check that supervisors have received training in incident investigations (e.g. Leadership for Safety Excellence, Managing Work Site Investigations, etc.).

ACSA Audit Question:

10.5   Are appropriate employees involved in investigations?

ACSA Auditors Notes:

10.5  Review documentation to verify that workers, supervisors and management are involved in the investigation process.

ACSA Audit Question:

10.6   a) Are no-loss incidents (near miss) being reported?  

           b) Do workers understand when to report no-loss incidents?

ACSA Auditors Notes:

10.6  No-loss incident reports and investigation reports should be documented on the investigation form. They may be reviewed in health and safety meeting minutes. Verify through interviews that workers know when to report a no-loss incident.

ACSA Audit Question:

10.7   Is there a system to identify direct and indirect causes as a result of an investigation?

ACSA Auditors Notes:

10.7  Investigations should identify the DIRECT (immediate) and/or INDIRECT (underlying) causes with recommendations for corrective actions for the prevention of recurrence. Once identified, a system to follow
through on the recommendations is required.

ACSA Audit Question:

10.8  a) Have corrective actions been identified as a result of the  investigation?

          b) Do observations confirm that these corrective actions have been implemented?

          c) Have corrective actions been communicated to workers?

ACSA Auditors Notes:

10.8  Verify through documentation that corrective actions have been identified and implemented. Observations should verify corrective actions have been implemented on-site. Interviews should verify that corrective actions are communicated to workers.

ACSA Audit Question:

10.9 Are investigation reports reviewed by senior management?

ACSA Auditors Notes:

10.9  Investigation reports should have the names with signatures or initials of senior management (or accountable company designate), indicating that they have reviewed the report(s) (or a paper trail should exist if documents are reviewed electronically).

ACSA Audit Question:

11.1 Does the emergency preparedness plan identify/include

a) Potential emergencies and procedures for dealing with them

b) The location of and operational procedures for emergency equipment and the location of emergency facilities

c) Emergency Response training requirements and Fire Protection requirements

d) Alarm and Emergency Communication requirements/First Aid Services

e) Procedure and Designated workers for Rescue and Evacuation

ACSA Auditors Notes:

11.1  Review the emergency response plan for the required components

ACSA Audit Question:

11.2  Is the emergency response plan appropriate for the work sites and activities observed?

ACSA Auditors Notes:

11.2  Verify through observation that the plan, as developed, meets the needs of the work site

ACSA Audit Question:

11.3  Have employees received training in emergency procedures, roles and responsibilities?

ACSA Auditors Notes:

11.3  Verify through interviews that employees are aware of their responsibilities

ACSA Audit Question:

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

ACSA Auditors Notes:

11.4  Verification may include records of actual incidents or mock drills

ACSA Audit Question:

11.5   Are the correct class and size of extinguishers available, marked 4 and visible?

ACSA Auditors Notes:

11.5  Verify through observation that the correct class and type of extinguishers are readily available and sufficiently marked to ensure visibility in all work areas.

ACSA Audit Question:

11.6   Are extinguishers regularly inspected and maintained?

ACSA Auditors Notes:

11.6  Verify through documentation or observations (in files and/or on tags) that fire extinguishers are recharged, purchased or inspections are conducted. As per NFPA 10, fire extinguishers shall be visually inspected and recorded approximately every 30 days. Extinguishers shall be maintained annually.

ACSA Audit Question:

11.7   Is an appropriate emergency communication system available?

ACSA Auditors Notes:

11.7  Workers must have adequate means available for them to contact emergency employees (telephone, two- way radio) when needed.  Verify through interviews.

ACSA Audit Question:

11.8   Are there adequate first aid supplies and facilities?

ACSA Auditors Notes:

11.8  Through observation, confirm that there are adequate first aid supplies and facilities as per applicable legislation.

ACSA Audit Question:

11.9  Are the required number of qualified first aid employees on site?

ACSA Auditors Notes:

11.9  Verify through observation that the required number of first aid employees are on site. Auditor must be able to visually verify personnel or a list may be posted.

ACSA Audit Question:

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

ACSA Auditors Notes:

12.1  Company process should ensure documentation is organized and accessible to the auditor

ACSA Audit Question:

12.2  Are adequate health and safety activity summaries developed and maintained?

ACSA Auditors Notes:

12.2  Documentation should include completed standard forms

ACSA Audit Question:

12.3  Check to see if statistical information is analyzed to identify trends or needs

ACSA Auditors Notes:

12.3   Does the company compare health and safety performance year to year and are needs or trends identified?

ACSA Audit Question:

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

ACSA Auditors Notes:

12.4  Check documentation to ensure that an action plan was developed to address recommendations from the previous audit.

ACSA Audit Question:

12.5  Was an action plan communicated to employees?

ACSA Auditors Notes:

12.5  Verify through interviews that the action plan was communicated to employees

ACSA Audit Question:

12.6  Was the action plan implemented?

ACSA Auditors Notes:

12.6  Verify through documentation that the action plan was implemented

ACSA Audit Question:

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

ACSA Auditors Notes:

13.1  Verify through documentation that reference is made in the health and safety policy(s) to applicable legislation. Example: The information in this policy does not take precedence over applicable legislation with which all employees shall be familiar.

ACSA Audit Question:

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

ACSA Auditors Notes:

13.2  Verify that copies of relevant legislation are posted or confirm through interviews that employees are aware of where they can access relevant legislation at each workplace.

ACSA Audit Question:

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

ACSA Auditors Notes:

13.3  Verify through interviews that employees are aware of their rights and responsibilities under the OH&S Act, Regulation & Code.