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.
1.3 Is reviewed annually by management?
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.
Completed - Annual Policy Review Form
1.4 Is prominently posted or made available to the worker?
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.
1.5 Addresses accountability and responsibility for health and safety for all workplace parties?
(A) Senior Managers/Managers
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.
Responsibility and Accountability forms
for Managers, Supervisors and works
1.6 Is understood by employees?
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?
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.
2.1 Have formal written hazard assessments been created?
(A) Project Start-up or Work Types
(B) Job, Task or Position
2.1 Formal hazard assessments must be developed for all jobs or tasks that are performed by company personnel.
Formal hazard assessments must:
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.
Formal Hazard Assessment Worksheet
2.2 Are the hazards identified?
(B) Job, Task and Positions
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?
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.
2.4 Is there a list of identified critical tasks?
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.
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.
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.
2.7 Are controls developed for these identified hazards?
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.
2.8 Are controls implemented in a timely manner?
2.8 Through observation, verify control measures required are/were made available and implemented. Please identify what controls were observed.
2.9 Are appropriate employees involved/informed of the control strategies?
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.
2.10 Does the company have a process for evaluating and/or monitoring sub-contractors?
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.
2.11 Does management support the ongoing application of the hazard assessment process?
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?
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).
3.2 Are they understood by workers?
3.2 Interviews must validate they are understood and how they apply.
3.3 Are they readily available/accessible to workers?
3.3 Look for a copy of Safe Work Practices on site to verify availability. Availability may also be confirmed through interviews.
3.4 Are the SWPs being followed by workers?
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
3.5 Have both management/supervisors and workers participated in the development and/or review of safe work practices?
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.
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?
4.1 Confirm that all required safe job procedures have been written. Reference the critical task list foridentification 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.
4.2 Are they understood by workers?
4.2 Interviewees must validate they are understood and how they apply
4.3 Are these procedures readily available/accessible to workers?
4.3 Identify that Safe Job Procedures are available at work sites. Availability may also be confirmed through interviews.
4.4 Are safe job procedures followed by workers?
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.
4.5 Have both management/supervisors and workers participated in the development/review of these procedures?
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?
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?
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.
5.3 Does the program include progressive disciplinary actions by supervisors/management?
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
5.4 Are all rules applied/enforced consistently with all employees?
5.4 Confirm through interviews that not following company safety rules, safe work practices and safe job procedures will result in correction.
6.1 a) Are workers made aware and trained in the requirements for PPE?
b) Are workers aware of their PPE requirements
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.
6.2 Do all employees have access to basic and/or specialized PPE?
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).
6.3 Is the correct PPE used by all employees when required?
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.
6.4 Are there written procedures for the proper fitting, care and use of specialized PPE?
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.
6.5 Is there a system in place to verify that basic/specialized PPE is being inspected and maintained?
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.
7.1 Is there a system in place to verify that basic/specialized PPE is being inspected and maintained?
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.
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.
7.2 Verify that all equipment that requires ongoing maintenance has been identified.
7.3 Is there a system to effectively remove defective tools, equipment or vehicles from service?
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).
7.4 Is this system followed?
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.
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?
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.
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?
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.
8.3 Are mandatory certification requirements verified before workers are hired?
8.3 Mandatory certifications may include Journeyman certification, driver’s license, PEng, First Aid, etc. Review worker training records for this information.
8.4 Is recertification and/or refresher training tracked and renewed as required?
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?
8.5 Does job specific training include job specific hazards and the appropriate controls?
8.5 Check training records to verify that training includes job specific hazards and the appropriate control measures associated with the new job/process.
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?
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
8.7 Are ongoing meetings held regularly and documented as per policy?
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.
8.8 Does two-way communication exist during these meetings?
8.8 Verify that workers are given the opportunity to present their concerns
8.9 a) Does senior management attend/participate in health and safety meetings?
b) Are workers aware of senior management participation in safety meetings?
8.9 Check attendance records for senior management or accountable company designate in attendance at these meetings. Verify through interviews.
9.1 Is there a written policy or procedure for inspections?
9.1 Verify that there is a policy that outlines an inspection process (could be part of the corporate policy)
9.2 Is there a form or checklist used for inspections?
9.2 Verify that a standard form or checklist is being used for all types of inspections
9.3 Does the program identify a measurable frequency for the completion of inspections? Verify that it is being met.
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.
9.4 Are Management/Supervisors performing inspections as per policy?
9.4 Verify through documentation that supervisors are involved in the formal and informal inspection processes
9.5 Verify through interviews that employees are aware of a way they can report unsafe or unhealthy conditions and practices.
9.5 Is there a system in place whereby employees can report unsafe or unhealthy conditions and practices?
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?
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.
9.7 Does senior management participate/review the inspection process?
9.7 Through interviews, verify senior management’s (or accountable company designate’s) participation in the inspection process.
9.8 Are inspection reports posted and/or communicated to appropriate employees?
9.8 Verify that inspection reports are posted or verify that interviewees were made aware of the results of the inspections.
10.1 Is there a written investigation policy and reporting procedure?
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.
10.2 Is the policy being followed? Are standardized forms completed as required?
10.2 Verify that investigations have been carried out and standardized investigation forms have been used
10.3 Do employees know the reporting process?
10.3 Verify through interviews that employees understand the reporting process
10.4 Have supervisors been trained in investigation and reporting procedures?
10.4 Check that supervisors have received training in incident investigations (e.g. Leadership for Safety Excellence, Managing Work Site Investigations, etc.).
10.5 Are appropriate employees involved in investigations?
10.5 Review documentation to verify that workers, supervisors and management are involved in the investigation process.
10.6 a) Are no-loss incidents (near miss) being reported?
b) Do workers understand when to report no-loss incidents?
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.
10.7 Is there a system to identify direct and indirect causes as a result of an investigation?
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 followthrough on the recommendations is required.
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?
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.
10.9 Are investigation reports reviewed by senior management?
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).
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
11.1 Review the emergency response plan for the required components
11.2 Is the emergency response plan appropriate for the work sites and activities observed?
11.2 Verify through observation that the plan, as developed, meets the needs of the work site
11.3 Have employees received training in emergency procedures, roles and responsibilities?
11.3 Verify through interviews that employees are aware of their responsibilities
11.4 Has the emergency response plan been tested for deficiencies and corrective action taken?
11.4 Verification may include records of actual incidents or mock drills
11.5 Are the correct class and size of extinguishers available, marked 4 and visible?
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.
11.6 Are extinguishers regularly inspected and maintained?
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.
11.7 Is an appropriate emergency communication system available?
11.7 Workers must have adequate means available for them to contact emergency employees (telephone, two- way radio) when needed. Verify through interviews.
11.8 Are there adequate first aid supplies and facilities?
11.8 Through observation, confirm that there are adequate first aid supplies and facilities as per applicable legislation.
11.9 Are the required number of qualified first aid employees on site?
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.
12.1 Is there a process to organize and manage program documentation?
12.1 Company process should ensure documentation is organized and accessible to the auditor
12.2 Are adequate health and safety activity summaries developed and maintained?
12.2 Documentation should include completed standard forms
12.3 Check to see if statistical information is analyzed to identify trends or needs
12.3 Does the company compare health and safety performance year to year and are needs or trends identified?
12.4 Was an action plan developed to address the recommendations from the previous audit?
12.4 Check documentation to ensure that an action plan was developed to address recommendations from the previous audit.
12.5 Was an action plan communicated to employees?
12.5 Verify through interviews that the action plan was communicated to employees
12.6 Was the action plan implemented?
12.6 Verify through documentation that the action plan was implemented
13.1 Does your health and safety policy(s) reference applicable 3 government legislation?
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.
13.2 Are copies of relevant legislation posted and/or available at 4 OR each workplace?
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.
13.3 Are employees aware of their rights and responsibilities and 5 how to exercise them?
13.3 Verify through interviews that employees are aware of their rights and responsibilities under the OH&S Act, Regulation & Code.