COR® & SECOR® AUDIT INSTRUMENT

Version 1 - 20 © 2021 Construction Safety Association of Manitoba 1

AUDIT COMPLETION DATE:

AUDITOR:

COMPANY:

DATE SUBMITTED:

TYPE OF AUDIT: COR® SECOR®

COR®/SECOR® CERTIFICATE #:

COR® & SECOR® AUDIT INSTRUMENT

constructionsafety.ca



Legal name: Province: Address: City: Postal code:

Company contact: # of workers:

Phone: E-mail address:

AUDIT INFORMATION SHEET

COMPANY DATA

SelfInternalIndependent

Account number(s): Industry code(s):

Nature/type of work done:

WCB INFORMATION

COR® AuditSECOR® Audit Site Location(s) # Site Personnel # Interviewed

Date of Audit: 1

2

3

4

5

6

Total

AUDITOR DATA Name: Registration number:

Company: Phone:

Address: City/town: Postal code:

Province: Email:Note: All sections of the above sheet must be completed



Does the company’s safety and health program contain the following? YES NO

1. Safety and Health Policy

2. Hazard Assessment, Analysis, and Control

3. Safe Work Practices

4. Safe Job Procedures

5. Company Safety Rules

6. Personal Protective Equipment (PPE)

7. Preventative Maintenance Program

8. Training and Communication

9. Inspections

10. Investigations and Reporting

11. Emergency Preparedness

12. Statistics and Records

13. Legislation

14. Manitoba Supplement

MISSING SECTIONS If any of the listed sections are missing from the safety and health manual, both parties (organization/company and auditor) may want to consider postponing the audit at this stage until corrective action can be completed.

POLICY STATEMENTS Some of the listed program sections may exist in another form within the safety and health manual. Some companies may combine policies, which is an acceptable industry practice. The auditor must take this into consideration when reviewing the safety and health program.

MANITOBA SUPPLEMENT This is required to achieve COR® and SECOR® Certification for Manitoba-based companies and for out-of-province companies (no base office in Manitoba) who wish to achieve COR® Equivalency.

Verification of Compulsory COR® Training Participant and Completion Date Verification of Compulsory

SECOR® Training Participant and Completion Date

Principles of Safety Management (PSM)

Principles of Safety Management (PSM)

Safety Auditor Safety Auditor

Train the Trainer (TTT) Train the Trainer (TTT)

Leadership for Safety Excellence (LSE)

SAFETY AND HEALTH MANUAL VERIFICATION



Company: Audit completion date:

Name of auditor: Previous score:

Section # Section Name Possible Score

Actual Score

Minimum Standard

Minimum Standard Achieved

YES NOAuditor Comments

1 Safety and Health Policy 27 14

2 Hazard Assessment, Analysis, and Control 42 213 Safe Work Practices 13 7

4 Safe Job Procedures 17 9

5 Company Safety Rules 9 5

6 Personal Protective Equipment (PPE) 24 12

7 Preventative Maintenance Program 15 8

8 Training and Communication 39 20

9 Inspections 31 16

10 Investigations and Reporting 30 15

11 Emergency Preparedness 29 15

12 Statistics and Records 21 11

13 Legislation 10 5

14 Manitoba Supplement 63 32TOTAL 370 296

SC Safety Culture Assessment 4.00

(Actual score)

(Possible score) 370___ x100 = ___%

Reviewed: Senior Management/Company Officer

Auditor Signature

Worker Safety Rep/Committee Co-Chair

The minimum standard is 80 percent overall and 50 per cent each section.

COR® AUDIT EXECUTIVE SUMMARY SHEET

Goal for next audit:

%

Standard achieved: YES NO



Company: Audit completion date:

Name of auditor: Previous score:

Section # Section Name Possible Score

Actual Score

Minimum Standard

Minimum Standard Achieved

YES NOAuditor Comments

1 Safety and Health Policy 23 12

2 Hazard Assessment, Analysis, and Control 29 153 Safe Work Practices 11 6

4 Safe Job Procedures 13 7

5 Company Safety Rules 9 5

6 Personal Protective Equipment (PPE) 17 9

7 Preventative Maintenance Program 5 3

8 Training and Communication 20 10

9 Inspections 24 12

10 Investigations and Reporting 21 11

11 Emergency Preparedness 14 7

12 Statistics and Records 14 7

13 Legislation 10 5

14 Manitoba Supplement 60 30

TOTAL 270 216

SC Safety Culture Assessment 4.00

Reviewed: Senior Management/Company Officer

Auditor Signature

Worker Safety Rep/Committee Co-Chair

SECOR® AUDIT EXECUTIVE SUMMARY SHEET

Goal for next audit:Standard achieved: YES NO

%

(Actual score)

(Possible score) 270___ x100 = ___%

The minimum standard is 80 per cent overall and 50 per cent each section.


AUDITOR EXECUTIVE SUMMARY REPORT


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

Number of worksites visited:

Number of management/supervisor interviews:

Number of employee interviews:

Number of safety committee/worker safety representative interviews:

Number of sub-contractors interviewed (where applicable):

Other notes/comments:

Auditor’s Signature: Date:


AUDIT CORRECTIVE ACTION PLAN


Reviewed: Senior Management/Company Officer Auditor Worker Safety Representative/Safety Committee Co-Chair

Audit Reference # Recommendation Assigned To Target Completion Date Date Completed

Date reviewed:



SECTION 1Safety and Health Policy

1. boxes under the techniques: D (documentation), O (observation), and I (interview) MUST include a ( ) or ( ).

2. Ensure ALL questions that have been confirmed with a ( ) under the documentation technique have a supporting document immediately following the audit instrument section page.

3. Write the audit question number directly onto the supporting document that, at a glance, clearly identifies where the intent of the documentation question has been met.

4. Refer to the audit instrument guidelines for clarification on how to interpret each question and award points.

5. Where a question is worth four (4) or more points, consult the guidelines on how points should be allocated. Where no specific instructions are given, positive response ( ) equals full points, negative response ( ) equals zero (0) points.

RECOMMENDED supporting documentation to submit would include:

A copy of the company’s safety and health policy - (1.1 / 1.2 / 1.3 / 1.6) A copy of the company’s assignment of safety and health responsibilities - (1.5) A copy of the company’s organizational chart

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1.0 Guidelines – Safety and Health Policy

1.1 A written safety and health policy on safety and health must be signed by current senior management.

1.2 The safety and health policy should state senior management’s commitment to the safety and health program.

1.3 The safety and health policy must be kept current and dated. At minimum, not more than three (3) years past.

1.4 During worksite observations, the auditor should check to see if the 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 in the company safety manual on site. This question may also be verified through a majority of positive interview responses.

1.5 The safety and health policy must make workplace parties aware of their individual safety duties and responsibilities and make reference to documented duties and responsibilities of workplace parties that are consistent with legislated requirements. This information may also be contained in a document separate from the company safety and health policy. • Award three (3) points for the written assignment of safety and health responsibilities.• Award three (3) points based on the majority of positive interview responses.

1.6 The safety and health policy should outline the commitment of the company to work jointly with their workforce in the development and implementation of their safety and health program.

1.7 The majority of interview responses must show that all personnel understand the safety and health policy objectives.• Award two (2) points based on the majority of positive management interview responses.• Award two (2) points based on the majority of positive worker safety representative/committee member interview responses.• Award two (2) points based on the majority of positive employee interview responses.


SAFETY AND HEALTH PROGRAM VERIFICATION Score Weighting Technique Employed Points

Awarded

1 Safety and Health Policy D O I

Does the employer have a written safety and 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 Is current and dated? 2

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

1.5 Addresses accountability and responsibility for safety and health for workplace parties? 6 AND

1.6 Expresses a commitment to work in a spirit of consultation and cooperation with the workers? 4

1.7 Is understood by personnel? 6

COR® total points possible/awarded 27

SECOR® total points possible/awarded 23

Highlighted questions are required for SECOR®. COR® requires all questions. The minimum standard is 50 per cent of total possible points.



SECTION 2Hazard Assessment, Analysis, and Control

1. boxes under the techniques: D (documentation), O (observation), and I (interview) MUST include a ( ) or ( ). 2. Ensure ALL questions that have been confirmed with a ( ) under the documentation technique have a supporting document immediately following the audit instrument

section page.





A copy of the company’s hazard assessment policy/directive Two to four copies of completed pre-job hazard assessments from various worksite locations - (2.1 / 2.3 / 2.4 / 2.5 / 2.6 / 2.7 / 2.8 / 2.9) Two to four copies of consecutive on-going hazard assessments from the same worksite location as applicable - (same as previous / 2.2) Documentation that confirms the company has a system/process in place for evaluating and monitoring sub-contractors, e.g. contractor compliance declaration policy and agreement - (2.10)

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2.0 Guidelines – Hazard Assessment, Analysis, and Control

2.1 An employer is required to assess all worksites, jobs, and tasks (this can include the office/shop) as per company policy/directive and identify existing and potential hazards before work begins. Pre-job assessments could also include occupational exposure for noise levels, asbestos exposure, and biological, chemical, and environmental issues. The assessment should be based on the work to be performed and should result in the identification and implementation of control measures to prevent a worker’s exposure and contamination.• Award two (2) points based on documentation of completed pre-job hazard assessments from multiple locations.• Award three (3) points based on observations of completed pre-job hazard assessments at the worksite.• Award two (2) points based on a majority of positive interview responses.

2.2 Documented hazard assessments must be updated to reflect process changes. The frequency of this type of assessment will depend on how often the process changes. The hazard assessment commonly used before each day or each task is a good example of an ongoing hazard assessment process.

• Award three (3) points based on documentation of completed ongoing hazard assessments from the same worksite location as applicable.• Award three (3) points based on a majority of positive interview responses.

2.3 The names of the individuals involved in hazard assessments must be identified on the documentation. The on-site safety representative and supervisors must be

involved in the completion and/or review of hazard assessments. • Award three (3) points based on verification of appropriate signatures on supplied documentation.• Award two (2) points based on a majority of positive interview responses.

2.4 Documentation must clearly describe identified hazards and the majority of interview responses must confirm a review of the information.

2.5 Documentation must show that each noted hazard has been prioritized.

2.6 Critical tasks are those involving the potential for serious injury or death. Where critical tasks are being performed, they must be identified, communicated, and controlled prior to starting work and documented on completed hazard assessments.

2.7 Once identified, hazards must be controlled before work begins. Typical methods of control are: elimination of hazard, substitution, engineering controls, administrative controls, personal protective equipment, or a combination of the above. Additional safety and health training may be required for personnel depending on the control measure identified.

2.8 Through documentation or observation, identify what control measures were required and verify that they have been implemented prior to conducting work. The auditor should look for signatures on hazard assessment forms indicating the completion date of corrective actions.

2.9 Affected workplace parties that will be on the jobsite must be informed of the hazard assessment results. This could include hazard assessments being reviewed during safety meetings or having workers sign off on hazard assessment/controls as verification of communication. This question must be verified through interviews.

2.10 When selecting sub-contractors, a company must verify that safety will be an integral part of their activities. • Award two (2) points based on the establishment of a criteria to evaluate sub-contractors (COR®, SECOR®, contractor compliance declaration agreement).• Award two (2) points based on the establishment of a system to regularly monitor sub-contractors (review/submission of: safety meetings, safety inspection reports,

orientations, verification of applicable employee training/certification, safety H.I.T. list).



Awarded

2 Hazard Assessment, Analysis, and Control D O I

2.1 Are written site-specific hazard assessments conducted as required or per policy/directive? 7

2.2 Does the employer use an ongoing 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 AND

2.5 Are the hazards prioritized? 2

2.6 Are critical tasks identified? 5

2.7 Are controls developed for identified hazards? 3

2.8 Are controls implemented in a timely manner? 4 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






SECTION 3Safe Work Practices







Table of contents/index for safe work practices Two to four copies of completed safe work practices - (3.1) Two to four copies of completed safety meeting/toolbox talk minutes, where safe work practices have been developed/reviewed/revised - (3.5)

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3.0 Guidelines – Safe Work Practices

Safe work practices are the dos and don’ts of how to carry out a task or use equipment. Practices inform the worker about the hazards that are present and provide direction on how to safeguard against the hazards. They are general guidelines (safety tips) only and do not follow any specific order.

3.1 During worksite observations, the auditor should look for tools or tasks, then review the safe work practices to ensure they have been written. For example, if the auditor observes extension ladders in use at the worksite but safe work practices have not been developed for extension ladders, points would not be awarded for this question. The auditor should also comment on practices that are missing. A table of contents/index of all safe work practices the company has developed should be submitted. • Award two (2) points based on a review of the company’s written safe work practices.• Award three (3) points based on observations that the written safe work practices accurately reflect the company’s worksite activities.

3.2 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.

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

3.4 If the auditor observes workers performing tasks or using tools in a manner other than prescribed in the written practice, the observation column would be marked deficient.

3.5 Review safety meeting minutes to see if safe work practices have been a regular and relevant topic of discussion, or look for the names of the individuals

that have participated in the development of safe work practices.



Awarded

3 Safe Work Practices D O I

3.1 Have applicable safe work practices been written? 5 A ND

3.2 Are they understood by workers? 2

3.3 Are they readily available? 2 A ND

3.4 Are they followed up by employees? 2

3.5 Have both management and workers participated in the development and/or review of safe work practices? 2






SECTION 4Safe Job Procedures







Table of contents/index for safe job procedures - (4.1) Two to four copies of completed safe job procedures - (4.1) Two to four copies of completed critical safe job procedures - (4.2) Two to four copies of completed safety meeting/toolbox talk minutes, where safe job procedures have been developed/reviewed/revised - (4.6)

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4.0 Guidelines – Safe Job Procedures

Safe job procedures are written, step-by-step instructions for completing specific tasks safely. Safe job 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 (ie: spill containment, shut down).

4.1 The auditor must confirm through documentation and interview responses that written procedures reflect activities that the company performs. An index of all safe job procedures must be submitted.

4.2 Through observation, the auditor may notice one (1) or more critical tasks being performed and the company must be able to produce a written procedure for these critical tasks. • Award three (3) points based on a review of the company’s written safe job procedures.• Award two (2) points based on observations that the written safe job 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 Through worksite observations and interview responses, the auditor should be able to verify that all company employees (and sub-contractors) are working in conformance with the company’s safe job procedures. Compliance should be observed at multiple worksite locations and be consistent throughout the organization.

4.5 The auditor must ensure copies of the company’s safe job procedures are at each worksite and 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 meeting/toolbox talk minutes to see if safe job procedures have been a regular and relevant topic of discussion, or look for the names of the individuals that have participated in the development of safe job procedures.• Award two (2) points based on documentation that verifies management and worker participation in the development/review of safe job procedures.• Award two (2) points based on a majority of interview responses confirming involvement in the development/review of safe job procedures.



Awarded

4 Safe Job Procedures D O I

4.1 Do the safe job procedures accurately reflect the employer’s current work activities? 2 AND

4.2 Have critical safe job procedures been written? 5 A ND

4.3 Are they understood by workers? 1

4.4 Are safe job procedures followed? 3 A ND

4.5 Are these procedures available and easily accessible to workers? 2 A ND

4.6 Have both management and workers participated in the development and/or review of safe job procedures? 4 AND






SECTION 5Company Safety Rules







A copy of the company’s safety rules - (5.1) A copy of the company’s progressive disciplinary action system - (5.4)

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5.0 Guidelines – Company Safety Rules

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

5.1 Supplied documentation must contain a copy of the company safety rules.

5.2 During worksite observations, the auditor should check to see if the rules have been posted. If no suitable means of posting is available, the rules may also be provided to workers in the form of a handbook or availability of a copy in the company safety manual on site. This question may also be verified through a majority of positive interview responses.

5.3 The majority of employees interviewed should be able to give examples of some of the company safety rules.

5.4 A copy of the company’s progressive disciplinary action system should be submitted. This question must be confirmed through a majority of positive interview responses.

5.5 The majority of managers/supervisors interviewed should be able to confirm that the company rules are applied and enforced consistently with all personnel.



Awarded

5 Company Safety Rules D O I

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 the workers understand company and site-specific rules? 2

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

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






SECTION 6Personal Protective Equipment (PPE)







A copy of the company’s PPE policy/directive - (6.1) Two to four copies of completed worker orientations confirming the review of PPE requirements - (6.2) Two to four copies of completed proper fit, care, and use of specialized PPE procedures - (6.5) Two to four copies of completed PPE training records (i.e. toolbox talks, training certificates, etc.) - (6.6) Two to four copies of completed PPE selection criteria (i.e. hazard assessment forms, SDSs, codes of practice, and PPE policy requirements, etc.) - (6.7) Two to four copies of completed PPE inspections and maintenance records - (6.8)

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6.0 Guidelines – Personal Protective Equipment (PPE)

6.1 The auditor should look for a written policy/directive that identifies both basic and specialized PPE requirements, makes reference to applicable CSA or other legislated standards, and identifies criteria for PPE.

6.2 PPE requirements should be included as part of an orientation that workers receive prior to beginning work. PPE requirements may also be described when reviewing practices and procedures at meetings.• Award two (2) points based on completed worker orientations confirming the review of PPE requirements.• Award two (2) points based on a majority of positive interview responses confirming an understanding of the company’s requirements for PPE.

6.3 Verify through observation and interviews that specialized PPE is available to workers when required. Specialized PPE may include, but is not limited to, fall protection, respiratory protection, face shields, welding shields/goggles, chemical goggles, fire retardant coveralls, chemical suits, and impermeable gloves.

6.4 The auditor should observe workers using basic and specialized PPE at all times when it is prescribed by policy, regulations, safety data sheets and, when in the judgment of the auditor, a danger to the worker exists where PPE would be a suitable precaution.

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

6.6 The auditor should look for training records to verify that employees have received instruction with respect to the use of PPE before it is required to be worn. Confirm employee understanding of supplied training through the interview process.

6.7 To determine the criteria used for PPE selection, review hazard assessment forms, safety data sheets, codes of practice, and company PPE policy requirements for reference to CSA or other legislated standards. Confirm employee understanding through the interview process.• Award two (2) points based on documentation to verify the company has established criteria for the selection of PPE.• Award two (2) points based on a majority of positive interview responses confirming an understanding of the criteria used for selection of PPE.

6.8 Basic PPE inspections may be conducted and recorded as part of a safety meeting or be included as an item on the company’s inspection checklist. Specialized PPE inspections will require verification of pre-use inspection and compliance with the manufacturer’s recommendations.



Awarded

6 Personal Protective Equipment (PPE) D O I

6.1 Is there a written policy/directive for PPE? 2

6.2 Are employees made aware of the requirements for PPE? 4 AND

6.3 Is specialized PPE available to workers when required? 3 A ND

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

6.5 Are there written procedures for the proper fit, care, and use of specialized PPE? 3

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

6.7 Is there criteria used to select PPE? 4 AND

6.8 Is the system for regularly inspecting and maintaining PPE followed? 3






SECTION 7Preventative Maintenance Program

1. boxes under the Techniques: D (documentation), O (observation), and I (interview) MUST include a ( ) or ( ).






A copy of the company’s maintenance policy/schedule - (7.2) A copy of the company’s inventory list of equipment/tools that require ongoing maintenance - (7.1) Two to four copies of completed maintenance schedules and pre-operational checklists - (7.2) Two to four copies of completed maintenance/service records with a description of corrective action taken - (7.3) A copy of the directive/procedures to effectively remove defective tools/equipment from service, i.e. lockout/tagout system/procedure(s) - (7.4)

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7.0 Guidelines – Preventative Maintenance Program

7.1 The auditor must see an inventory list of equipment/tools that require ongoing maintenance.

7.2 The auditor should look for documentation that verifies the completion of established maintenance schedules, which will include a list of all inventory items and pre-operational checklists for equipment, including, but not limited to: forklifts, man lifts, excavators, suspended platforms, and vehicles.• Award two (2) points based on documentation that verifies completed maintenance is recorded and retained on file.• Award two (2) points based on observations to verify the company is documenting pre-operational equipment inspections and maintenance.

7.3 Records should include a description of corrective actions taken when a deficiency or maintenance requirement has been identified through inspection (i.e. service records, lockout tags, repair invoicing, etc.)

7.4 The company must develop a system to prevent defective tools and equipment from being used and provide instruction to employees with respect to the course of action to be followed. A lockout system is the most common and is also a requirement under WSH legislation. The lockout system should include details on locking or physically disabling a tool or piece of equipment that has been removed from service. This question must be verified through interviews.

7.5 Through worksite observations, the auditor must determine if the system to remove defective items is being followed at each worksite. The availability of locks and tags at the worksite would also assist in awarding points. Items identified during observation that have been removed from service should be locked or physically disabled to prevent use.

7.6 Employees must be able to communicate an understanding of who is responsible to complete required maintenance and repairs.



Awarded

7 Preventative Maintenance Program D O I

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

7.1 An inventory of items to be maintained? 3

7.2 The use and completion of schedules and checklists as required? 4 A ND

7.3 Records with a description of corrective actions taken? 3

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

7.5 (7.4) Is it followed? 1

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






SECTION 8Training and Communication





5. Where a question is worth four (4) or more points, consult the guidelines on how points should be allocated. Where no specific instructions are given, positive response ( ) equals full points, negative response ( ) equals zero (0) points


A copy of the company’s training and communication policy/directive Two to four copies of completed new hire/sub-contractor/site-specific orientation checklists - (8.1 / 8.2 / 8.3) Two to four copies of completed job-specific training records - (8.4 / 8.5) Two to four copies of safety and health training records as applicable (e.g. first-aid, WHMIS, etc.) - (8.4 / 8.5) Two to four copies of completed supervisor training records to verify supervisors have received training in Inspections, Investigations and General Safety and Health Responsibilities - (8.4 / 8.5 / 8.6) Two to four copies of completed tests or exams associated with job-specific training and orientation - (8.4 / 8.7) Two to four copies of consecutive company, corporate, or safety committee meeting minutes - (8.4 / 8.8 / 8.9) Two to four copies of consecutive toolbox talk meeting minutes - (8.4 / 8.8 / 8.9)

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8.0 Guidelines – Training and Communication 8.1 The company safety program must have a formal process for providing company and worksite orientations to employees and sub-contractors.

8.2 Orientations must be provided for all workers. Special considerations must be made when training vulnerable workers. Vulnerable workers may include workers who are new to Canada, young workers, those with limited literacy, as well as aging workers. Orientation programs, checklists, quizzes, etc. are acceptable. Ensure documents are signed by both the trainer and trainee. • Award two (2) points based on documentation that verifies orientations are conducted with all personnel, including vulnerable workers, before they start work.• Award two (2) points based on a majority of positive interview responses confirming orientations have been provided prior to starting work.

8.3 The orientation must include the legislative requirements as outlined in Part 2.2.1(3) of the WSH Regulation.

8.4 Award points based on documented training records for personnel (certificates of attendance/completion, quizzes, performance evaluations, etc.).

8.5 As risks and hazards are identified, new equipment or work procedures are introduced, or when performance does not meet safety and health requirements as identified through the safety management system, job-specific training should be provided and documented. Employee training may also be required to be updated upon expiry or if the employee is re-assigned. A review of training materials and information should be completed every three (3) years to ensure that training meets current legislative requirements and is still effective in delivering the required information. • Award two (2) points based on documentation that verifies job-specific training has been provided (procedures/task-specific training records). • Award two (2) points based on a majority of positive interview responses confirming the receipt of job-specific training.

8.6 Review training records to ensure supervisors have received training in: inspections, investigations, and general safety and health responsibilities. Courses such as CSAM’s Leadership for Safety Excellence or other equivalent training would be recognized. • Award two (2) points based on documentation.• Award two (2) points based on interview responses.

8.7 Are employees evaluated to measure the effectiveness of training and the retention of the information as it pertains to the company safety and health program? Records of written and/or performance evaluations, test, or examinations associated with job-specific training and/or orientations can assist the auditor in determining the effectiveness of training and awarding points for this question. This question must also be verified through interviews.

8.8 Records or minutes must be on file that show regular company, corporate, toolbox, or safety committee meetings are being held and, where a committee is required, has been properly constituted.

• Award two (2) points based on documentation from multiple locations that meetings are held as per legislation or policy as applicable.• Award two (2) points based on the majority of positive interview responses.

8.9 Minutes of safety meetings must indicate management’s regular attendance. • Award two (2) points based on documentation that verifies management’s participation/attendance in safety and health meetings.• Award two (2) points based on management’s confirmation of their participation/attendance in safety and health meetings.

8.10 Are all personnel given the opportunity to present their concerns and discuss corrective actions? Meetings should be a positive place for discussing identified safety concerns where all input is welcomed in order to determine the best course of action. This question must be verified through interviews.

8.11 The auditor must verify that persons providing training have been deemed competent or qualified by the employer. Training records must specify who conducted the training.



Awarded

8 Training and Communication D O I

8.1 Does the employer have a formal orientation program? 4

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

8.3 Are legislated requirements included in the orientation? 4

8.4 Are training records maintained? 4

8.5 Is training provided and documented for all positions and tasks as required? 4 AND

8.6 Have supervisors received training in their safety and health responsibilities? 4 AND

8.7 Is a system in place to measure knowledge, competency, and effectiveness of training? 2 AND

8.8 Are safety meetings held regularly and documented as per legislation and/or company policy? 4 AND

8.9 Does management attend/participate in safety and health meetings? 4 AND

8.10 Does two-way communication exist during these meetings? 3

8.11 Does a qualified/competent person conduct training? 2






SECTION 9Inspections







A copy of the company’s inspection policy/directive - (9.1 / 9.2 / 9.7) Two to four copies of consecutive completed inspection checklists - (9.3 / 9.4 / 9.5 / 9.6 / 9.7 / 9.8) * Ensure that all work areas are included, i.e. yards, offices, shops, storage facilities Two to four copies of completed documentation to show that identified deficiencies noted during an inspection are corrected in a timely manner (if not clearly identified on the inspection checklists) - (9.8)

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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, daily, pre-use, or similar. The words “on a regular basis” are not an acceptable means of identifying frequency of inspections.

9.3 Consecutive records must be submitted to support the adherence to the identified frequency of inspections for all work locations that apply.

9.4 A standardized form or checklist should be completed for all inspections. The checklists should be equipment, process, and site-specific; they should include a space to identify the area and items inspected, hazard 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.• Award three (3) points based on supervisor signatures on completed inspection reports.• Award two (2) points based on the majority of positive interview responses.

9.6 Check for signatures on inspection report forms to verify that a worker safety representative/committee member has taken an active role in the inspection process. This question must also 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, and/or storage facilities are not being excluded from the inspection process.

9.8 A review of past inspection forms/checklists will confirm if the corrective actions have been completed. The auditor must determine whether corrections have been completed in a timely manner, paying particular attention to hazards with the potential to cause injury or serious property damage. This question must be verified through interviews.• Award two (2) points based on documentation that verifies deficiencies noted during an inspection have been corrected in a timely manner.• Award two (2) points based on a majority of positive interview responses confirming identified inspection deficiencies are corrected in a timely manner.

9.9 Inspection reports must be posted and/or communicated to employees through site safety meetings. This question may also be verified through interviews.



Awarded

9 Inspections D O I

9.1 Is there a written policy/directive for inspections? 2

9.2 Does the policy/directive include the required 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 involved in inspections? 5 AND

9.6 Are worker safety representatives/committee members involved in the inspection process? 3 AND

9.7 Are all areas inspected as per company policy/directive? 3

9.8 Are identified deficiencies corrected in a timely manner? 4 AND

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






SECTION 10Investigations and Reporting







A copy of the company’s investigation policy/directive and reporting procedures - (10.1) A copy of the company’s standardized investigation reporting form - (10.2) Two to four copies of completed supervisor training records to verify supervisors have received training in conducting investigations - (10.4) Two to four copies of completed near-miss reports - (10.2 / 10.5 / 10.6 / 10.7) Two to four copies of completed investigation reporting forms and corrective actions completed - (10.2 / 10.7 / 10.8) Two to four copies of safety meeting/toolbox talk minutes that identify investigations and corrective actions as an agenda item - (10.8)

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10.0 Guidelines – Investigations and Reporting

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

10.2 Incident reports must be recorded on a standard form designated for that purpose. Blank templates must be readily available for use if required.

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

10.4 All supervisors must have taken training specific to their responsibilities for conducting investigations. CSAM’s Leadership for Safety Excellence course or equivalent would be acceptable for the awarding of points. • Award three (3) points based on documentation.• Award three (3) points based on a majority of positive interview responses.

10.5 The auditor should check investigation reports to verify the involvement of, at minimum, the site supervisors and worker safety representative. Where there is a committee, both an employer and worker member must be involved.

10.6 Near-misses must be reported. Near-misses of a less serious nature may be reported and discussed at safety meetings/toolbox talks. Near-misses that have the potential to cause serious injury or property damage must be investigated in accordance with the company policy. • Award two (2) points based on documentation that verifies near-misses are being reported and, where necessary, investigated.• Award two (2) points based on a majority of positive interview responses.

10.7 Investigations should identify the DIRECT (immediate) and INDIRECT (underlying) causes with recommended corrective actions for the prevention of reoccurrence. Once identified, a system to follow up on the recommendations is required. Verify through interviews that this process is in place and that corrective actions are implemented within an acceptable time frame.• Award four (4) points based on documentation.• Award three (3) points based on a majority of positive interview responses.

10.8 Senior management must be involved in the investigation process; at minimum, involved in the review and approval of the corrective actions for preventing reoccurrence. Investigation reports must be reviewed and signed by senior management. Senior management should verify that the effectiveness of the

investigation process is being evaluated during their review.



Awarded

10 Investigations and Reporting D O I

10.1 Is there a written investigation policy/directive and reporting procedure? 2

10.2 Are standardized forms readily available and used? 2 OR

10.3 Do workers know the reporting procedures? 3

10.4 Have supervisors been trained in investigation and reporting procedures? 6 AND

10.5 Are designated personnel involved in investigations? 3

10.6 Are near-misses being reported? 4 AND

10.7 Are recommendations for prevention/corrective action implemented in a timely manner? 7 AND

10.8 Are investigation reports reviewed by senior management? 3






SECTION 11Emergency Preparedness







A copy of the company’s emergency preparedness directive/plan - (11.1) A copy of the company’s current emergency contact list A copy of the company’s current site-specific emergency response directive/plan - (11.1) Two to four copies of training records on emergency procedures/equipment and roles and responsibilities (e.g. orientations, first aider training, fire extinguisher training, etc.) - (11.2) A copy of the annual review of the emergency response directive(s)/plan(s) - (11.3) A copy of the results of a fire response plan test conducted and the corrective actions taken to correct any deficiencies - (11.4) A copy of fire extinguisher inspection/servicing records - (11.6)

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11.0 Guidelines – Emergency Preparedness

11.1 The goal of an effective emergency preparedness directive/plan is to return to “normal” working operations as soon as possible. Appropriate emergency response plans should be developed specific to work activities and special considerations given to vulnerable workers.• Award two (2) points based on documentation to verify that the company has developed a generalized directive/plan with respect to emergency response (fire, first

aid, transportation, and communication).• Award two (2) points based on documentation if written site-specific directives/plans have been developed (chemical spill, fall rescue, confined space testing and

retrieval, muster point, etc.).• Award two (2) points based on observation that site-specific emergency response directives/plans have been posted/made readily available at each worksite.

11.2 The directive/plan must include an orientation for workers on emergency procedures, equipment and training in roles/responsibilities. Verify through interviews that site orientations and training have taken place.

• Award two (2) points based on documentation to verify that the company has provided workers with orientation/training in emergency response directives/plans and equipment. (This can be conducted during the employee’s orientation or as job-specific training.)

• Award two (2) points based on confirmation through interviews that employees understand their responsibilities in the event of an emergency as well as the site-specific requirements.

11.3 Records must show that the company’s emergency response directives/plans have been reviewed annually or following an incident. The records must indicate the results of the review and what corrective actions were taken (or reasons for no action taken) to correct identified deficiencies.

11.4 The fire response plan must be tested annually or in accordance with the Manitoba Fire Code. Conducting a fire drill and documenting the results is recommended. For companies with multiple locations and/or multiple working shifts, a fire drill should be conducted for all locations and shifts.

11.5 Fire extinguishers must be readily available, marked and visible in all work areas.

11.6 Review documentation (on file and equipment tags) for fire extinguisher recharge, purchases, or inspections conducted. Fire extinguishers must be inspected and recorded monthly. Extinguishers must be subjected to maintenance every 12 months.

11.7 Looking 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 insignias. Employee interview responses may also 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 an injured employee to a medical facility. This may also involve calling in emergency personnel for transport. A majority of interview responses must confirm an understanding of the process for transporting injured workers.



Awarded

11 Emergency Preparedness D O I

11.1 Are the emergency preparedness directives/plans appropriate to work activities? 6 A ND

11.2 Have employees received training in emergency procedures, roles, and responsibilities? 4 AND

11.3 Have the emergency response directives/plans been reviewed annually and/or following an incident? 3

11.4 Has the fire response plan been tested annually? 2

11.5 Are fire extinguishers readily 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 A ND

11.8 Are there adequate first aid supplies on site? 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? 3 A ND






SECTION 12Statistics and Records





5. Where a question is worth four (4) or more points, consult the guidelines on how points should be allocated. Where no specific instructions are given, positive response ( ) equals full points, negative response ( ) equals zero (0) points


A copy of the company’s safety and health program documentation, organization and management policy/directive - (12.1) Two copies of completed monthly safety and health activity summaries that have been developed and maintained - (12.2) Documentation showing annual analysis of safety and health performance (e.g. a comparison of the number of first-aid, medical aid, lost time, and near-miss incidents) and identified needs/trends - (12.3) Two to four copies of completed first-aid treatment records/logs - (12.4) A copy of the company’s current audit corrective action plan for the current audit - (12.5) A copy of safety meeting minutes or employee training documentation showing the current audit corrective action plan has been communicated - (12.6) Documentation to verify implementation of the previous year’s audit corrective action plan - (12.6)

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12.0 Guidelines – Statistics and Records

12.1 The company should assign responsibility for the organization of safety program documentation. This should include the processes for organizing, analyzing, and managing the program documents, statistics, and records. This question must be verified through interviews. • Award two (2) points based on documentation.• Award two (2) points based on a majority of positive interview responses.

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

12.3 Statistics must provide sufficient information to compare incidents and trends annually (a comparison of the nature, type, and number of first aid, medical aid, lost time, and near-miss incidents).

12.4 First aid records must be recorded on an ongoing basis for all injuries. Completion of first aid kit logs or WCB green forms can be used to award points for this question.

12.5 There must be an action plan developed to address deficiencies in the audit. Completion of the audit corrective action plan form can assist in awarding points; this form is located at the front of the audit instrument. The auditor’s written report can also assist in awarding points if corrective action plans are contained within the report. Annual management objectives should also be included in the corrective action plan; needs and trending concerns, frequency and severity rates of incidents, or safety culture improvement are all examples of management objectives.

12.6 The auditor must find documented evidence that an action plan was communicated. This question must also be verified through interviews. Communication of the action plan may be accomplished through safety meetings or during employee training sessions. For re-certification audits, documentation to verify implementation of the previous year’s corrective action plan must be submitted.• Award two (2) points based on documentation that verifies implementation/completion of items found on the audit corrective action plan.• Award two (2) points based on a majority of positive interview responses confirming the audit action plan has been communicated.

NOTE: For first year audits, the auditor may use the current year’s corrective action plan to identify whether identified deficiencies have been corrected and award points accordingly.



Awarded

12 Statistics and Records D O I

12.1 Is there a policy or directive outlining the company’s process to organize and manage program documentation? 4 AND

12.2 Are adequate safety and health activity summaries developed and maintained? 3

12.3 Does the company compare safety and health performance annually and are needs/trends identified? 3

12.4 Are adequate first aid treatment records kept? 3

12.5 Was an action plan developed to address the recommendations from the audit? 4

12.6 Was that action plan communicated and implemented? 4 AND






SECTION 13Legislation






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13.0 Guidelines – Legislation

13.1 Copies of the current Workplace Safety and Health (WSH) Act and Regulation as well as any other applicable safety legislation 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.• Award three (3) points based on employee’s understanding of their four (4) fundamental rights (right to know, right to refuse, right to participate, and right to work

without being subject to discriminatory action) and their safety responsibilities (follow instructions; wear required PPE; do not conduct work in a manner that may endanger themselves or others; and identify, communicate, and control hazards).

• Award two (2) points based on management/supervisor’s understanding of their legal duties and responsibilities (be familiar with the WSH Act and Regulation, follow and enforce legislation, participate in the identification, communication, and control of hazards, and to ensure workers are not exposed to risks to their safety and health).



Awarded

13 Legislation D O I

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

13.2 Do management and supervisors 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






SECTION 14Manitoba Supplement

1. boxes under the techniques: D (documentation), O (observation), and I (interview) MUST include a ( ) or ( ).2. Ensure ALL questions that have been confirmed with a ( ) under the documentation technique have a supporting document immediately following the audit instrument

section page.3. Write the audit question number directly onto the supporting document that, at a glance, clearly identifies where the intent of the documentation question has been met.4. Refer to the audit instrument guidelines for clarification on how to interpret each question and award points.5. Where a question is worth four (4) or more points, consult the guidelines on how points should be allocated. Where no specific instructions are given,

positive response ( ) equals full points, negative response ( ) equals zero (0) points.


Two to four copies of completed hazard assessments to show that committee members/safety representatives are actively involved in the identification, communication, and control of hazards - (14.1 / 14.2 / 14.16) Two to four copies of completed committee members/safety representatives training records - (14.3) Two to four copies of records that demonstrate committee members/safety representatives are involved in continuous improvement - (14.4) A copy of the established terms of reference for the safety and health committee - (14.6) A copy of the company’s hearing conservation policy/directive - (14.7) A copy of annual audiometric testing results of employees - (14.7) Documentation in support of worksite sound monitoring - (14.7) A copy of the company’s lockout/tagout policy/directive and procedure - (14.9) A copy of the company’s working alone or in isolation policy/directive and procedure, including any completed documentation - (14.11 / 14.12) Two to four copies of completed employee WHMIS training records - (14.15) A copy of the company’s competency/training/certification of equipment operations directive/plan - (14.17) A copy of the company’s musculoskeletal injury prevention directive - (14.18) A copy of the company’s harassment policy - (14.19) A copy of the company’s violence policy - (14.21) A copy of records demonstrating that the safety and health program has been reviewed (within three (3) years) - (14.23) Two to four copies of examples of shared information between prime contractor/sub-contractor - (14.24) Documentation to verify company owner/senior management involvement in initiatives exceeding normal safety program activities - (14.25)

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

14.1 Where there is more than one (1) of the company’s employees on a construction project site, one (1) worker must be appointed as the worker safety representative. Interviews must confirm that workers are informed of the person who has been appointed.

14.2 Through documentation, the auditor must determine if safety committee members/worker safety representatives are involved in hazard identification as identified in the committee rules of procedure, as applicable. Signatures on corrective action plans, right to refuse investigations, hazard assessments, inspection, and investigation reports will assist in awarding points for this question. This question must be confirmed by a majority of committee members’/worker representatives’ description of their involvement in safety program activities.

14.3 Safety committee members/worker safety representatives are required to receive training specific to their duties as outlined in the Workplace Safety and Health (WSH) Act as well as training on how to effectively carry out their duties. Safety committee members/worker safety representatives must be able to communicate an understanding of their legal duties and responsibilities. • Award two (2) points based on documentation that verifies safety committee members and/or worker safety representatives have received adequate training. • Award two (2) points based on a majority of positive interview response.

14.4 Previous safety committee or worker safety representative meeting minutes can be reviewed to verify safety committee members/worker safety representatives have been involved in reviewing and making recommendations for worker concerns, PPE, safety equipment, training programs, policies, etc. for the purpose of verifying effectiveness and improvement.

14.5 WSH legislation requires safety committee minutes to be posted on the bulletin board or, if not possible, made readily available. Minutes should clearly state the safety committee members’/worker safety representatives’ names. This question may be verified by a majority of positive interview responses confirming knowledge of the location of the safety committee meeting minutes. Where a committee is not legally required, safety meeting minutes of which both management and workers are in attendance should be posted or made readily available to workers on site.

14.6 The auditor should ensure the safety committee has established written terms of reference for discharging duties. These rules should include a description of members’ roles, scheduling of meetings, required notice to be given to change meetings, and the rules of conduct regarding committee activities. Where no committee is required, similar rules and instructions should be developed for the worker safety representative.

Guidelines - Manitoba Supplement, Regulatory Compliance, and Safety Program Directives

14.7 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 site sound monitoring, audiometric testing, hearing protection, and training for employees. • Award one (1) point based on the creation of a hearing conservation company directive/policy. • Award two (2) points based on documentation in support of annual audiometric testing for employees. • Award two (2) points based on documentation in support of worksite sound monitoring.

14.8 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 is adequately maintained.

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

14.10 During worksite observations, the auditor should ensure that locks and tags are provided to employees and that they are adhering to the procedure.



Awarded

14 Manitoba Supplement, Safety Committee/Worker Safety Representative D O I

14.1 Is there a designated worker safety representative at each jobsite? 2

14.2 Are safety committee members/worker safety representatives actively involved in the identification, communication, and control of safety concerns? 3 AND

14.3 Have safety committee members/worker safety representatives received any training in how to carry out their duties and responsibilities? 4 AND

14.4 Are safety committee members/worker safety representatives involved in the continuous improvement of the safety program? 2 OR

14.5 Are meeting minutes posted (or made readily available) for all employees to read? 2 OR

14.6 Has the committee established appropriate terms of reference? 1

Manitoba Supplement, Regulatory Compliance, and Safety Program Directives D O I

14.7 Does the company have a hearing conservation program? 5

14.8 Is hearing protection, including instructions on proper use and limitations, made readily available to employees? 2 OR

14.9 Is there a written policy/directive and procedure in place on the subject of lockout/tagout? 2

14.10 Is it adhered to? 2



Guidelines – Manitoba Supplement, Regulatory Compliance, and Safety Program Directives

14.11 The company safety manual should contain a policy/directive and procedure with respect to working alone or in isolation.

14.12 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, a majority of positive responses could also be used to demonstrate an understanding of the company’s working alone or in isolation procedure.

14.13 During worksite observations, all controlled products found on site must be labeled with a clear and legible WHMIS label that meets legislative standards.

14.14 All SDSs for each controlled product must be readily available on site and be current (recommended within three (3) years). Although not required, the company should have a system for verifying SDSs provided to workers are the most current version available from the manufacturer, supplier, or distributor.

14.15 Company training records may be used to verify training in WHMIS that meets legislative standards.

14.16 Employees must be able to demonstrate an understanding of the controlled products used at their worksite and the procedures required for safe use.

14.17 The company must develop a written directive/plan outlining requirements for the competency/training/certification of equipment operators. For all critical equipment found on site, the auditor should request documentation to verify operators are competent/trained/certified. The majority of interview responses must indicate that operator competency is verified prior to operation.

14.18 A musculoskeletal injury prevention directive must include risk assessment and control measures. Examples of control measures may include safe job procedures, tailored work schedules, or personal protective equipment.

14.19 The company must have a written policy on the subject of workplace harassment prevention, which includes provisions in accordance with legislation.

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

14.21 The company must have a written policy on the subject of workplace violence prevention, which includes provisions in accordance with legislation.

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

14.23 The elements of the program, including directives/policies, practices, procedures, etc. should be reviewed, at minimum, every three (3) years or more often if circumstances at a workplace change in a way that poses a risk to the safety or health of workers at the workplace. A policy/directive outlining the requirements/scheduling of a program review is recommended. Management review meetings, where the program has been reviewed and revisions noted or a completed audit corrective action plan that identifies deficiencies and actions to be taken, are recommended.



Awarded

14 Manitoba Supplement, Regulatory Compliance, and Safety Program Directives (continued) D O I

14.11 Is there a written policy/directive and procedure in place on the subject of workers working alone or in isolation? 2

14.12 Is it adhered to? 2 OR

14.13 Are controlled products properly labelled? 2

14.14 Are SDSs current and made readily available at each worksite? 2

14.15 Have employees who work directly with, or in the proximity of, controlled products received training in WHMIS? 2

14.16 Can employees communicate an understanding of WHMIS? 2

14.17 Is the written directive/plan on the subject of operator training and/or equipment certification adhered to? 2 AND

14.18 Does the employer have a directive in place to identify and control the risk of musculoskeletal injuries (MSI)? 2

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

14.20 Is the policy prominently posted at the workplace? 1

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

14.22 Is the policy prominently posted at the workplace? 1

14.23 Is there a documented policy/directive to review the safety and health program? 1 OR



Guidelines – Manitoba Supplement Owner/Prime Contractor/Sub-Contractor Interaction

14.24 A company acting as the prime contractor is required to develop, implement, and monitor a system to manage safety and health compliance at the worksite. A company acting as a sub-contractor must be aware of their legal obligations to share required safety information with the prime. Examples of shared information may include completed hazard assessments; inspections; site safety orientations; toolbox/safety/start-up meeting minutes; utility clearances; permits; SDSs; near-miss; and investigation reports. Documentation of required safety information shared between the prime and sub-contractors can be either retained on file and produced in support of the audit or posted at the worksite. This question must be verified through interviews.• Award two (2) points based on documentation.• Award two (2) points based on a majority of positive interview responses.

14.25 The company owner or senior manager must be able to verify through documentation their involvement in initiatives exceeding normal safety program activities. Examples may include: attendance at safety training sessions or conferences, safety committee/toolbox talk meetings, COR® Certified Companies meetings, Incident Prevention Association of Manitoba, Canadian Society of Safety Engineers, or Westman Association of Safety Professionals monthly meetings.

Guidelines – Site Assessment and Communication

14.26 The auditor must observe adequate housekeeping techniques in practice at the worksite. Examples would include: walkways and work areas that are free and clear of obstructions, accumulations, and protrusions; organized material storage; control of airborne dust; or adequate sanitation. Overall site should appear organized and clutter-free to award points.

14.27 The auditor must observe signage posted and/or in use at the worksite as appropriate to the type of work activities. The auditor should verify that site signage effectively communicates hazards and safety information to all persons on site; the use of pictures and symbols is recommended. Where necessary, site signage should be posted in appropriate languages.

14.28 The auditor should verify through documentation or observation that there are appropriate means of communicating information that is vital to the safety and health of workers. Safe work procedures, site signage, emergency equipment, training materials, training methods, etc. should all be developed and delivered in such a way as to effectively communicate with all workers’ education and linguistic abilities.



Awarded

Owner/Prime Contractor/Sub-contractor Interaction D O I

14.24 Is there a system in place to ensure information is shared? 4 AND

14.25 Is the company owner or senior manager actively involved in safety leadership? 2

Site Assessment and Communication D O I

14.26 Is jobsite and work area housekeeping adequate? 3

14.27 Is construction site signage posted as required and appropriate to work activities? 4

14.28 Is there a process in place to communicate and provide direction to workers? 2 OR






SAFETY CULTURE ASSESSMENT



Guidelines – Safety Culture Assessment

CSAM has included the safety culture assessment as part of the COR®/SECOR® Certification program in order to be in compliance with the requirements set by the Province of Manitoba. The safety culture assessment is not a determining factor in Certification — its purpose is to assist companies in tracking safety culture, to use the results to identify contributing factors for safety performance, and develop effective corrective action measures for continuous improvement. The results of the safety culture assessment should be included when developing the audit corrective action plan.

SC1 An audit can be defined as a formal, comprehensive, and thorough process for evaluating and reporting how an organization manages safety and health in accordance with a recognized standard. At minimum, an organization should be auditing their safety and health management system annually. A high performing company may audit two or three times a year and spot check components of the program monthly.

SC2 A positive safety culture will include the uniform support and encouragement of ongoing safety improvement by all levels of the organization. Supervisors will correct hazards immediately and assist in developing control methods that prevent repeat hazards and reoccurring incidents. Workers will adapt to and adopt new safety initiatives quickly with no resistance and provide feedback for improvement of their safety and health and that of their coworkers.

SC3 A positive and proactive safety culture will include the basic and uniform understanding that safety and health will be given equal consideration when discussing production, quality, and profitability of the organization. Senior management will be heavily involved in proactive, preventative safety management practices by including safety and health in discussions involving purchases, new projects, and the future of the organization. New equipment does not enter the workplace without being inspected for safety concerns and having procedures developed for safe use. Job planning assesses the hazards involved and includes them when tendering a job.

SC4 Education and training is an essential component in improving the attitudes and safety behaviors of workers. Encouraging “common training” rather than “common sense” will confirm the workers’ ability to perform work safely and demonstrate a commitment to providing a safe and healthy workplace. No worker enters a workplace without a proper orientation and task specific training being conducted first. There is a clear plan for safety training that includes performance evaluations. Worker training is assessed during hazard identification and is included in the development of control methods.

SC5 A worker’s involvement in the decision making process will foster a community regarding safety issues that supports a positive attitude towards safety and health in the workplace. Support for workers who speak up regarding safety concerns is evident and an encouraged practice throughout all levels of the organization. Prior to finalizing new safety initiatives such as procedures, training requirements, or new equipment, workers are consulted to ensure information is clear, understood, and accurately reflects a “real world” environment.

SC6 Those in charge of safety must be equipped with the knowledge, training, and authority to act. Those responsible for researching and developing safety initiatives should be given the time and resources to do so effectively. Supervisors tasked with maintaining a safe and healthy workplace must have the authority to act as an authority for the environment in which they are responsible. Successful companies support and empower their staff to make decisions and implement positive change independently of a singular person of authority.


SAFETY CULTURE ASSESSMENT (0%-20%) (21%-40%) (41%-60%) (61%-80%) (81%-100%) Score

SC Safety Culture Objectives 0 1 2 3 4 (0-4)

SC1 Formal safety audits at regular intervals are a normal part of our business.

SC2 Everyone at this organization values ongoing safety improvement.

SC3 This organization considers safety at least as important as production and quality in the way work is performed.

SC4 Workers and supervisors have the information they need to work safely.

SC5 Employees are always involved in decisions affecting their safety and health.

SC6 Those in charge of safety have the authority to make the changes they have identified as necessary.

INSTRUCTIONS: Using the percentage scale provided, determine how effectively each objective is met or adhered to within your organization. Check the appropriate box and transfer the numerical value to the last column.

NOTE: The culture assessment is not a scored component of the audit and does not contribute to the final assessment when determining eligibility for COR®/SECOR® Certification.

The safety culture assessment continues on the following page


Guidelines – Safety Culture Assessment

SC7 Rewarding processes that lead to safe outcomes is a far more effective and sustainable method of maintaining safety and health compliance. Processes are repeatable for various positive outcomes and support the effort required to achieve the desired outcome, rather than the outcome alone. Those involved in improving the safety and health of the organization should receive recognition for their contribution and encourage others to do the same. Successful companies make safety a necessary component of their workers’ success and advancement within the organization, rather than an obstacle.

SC8 Maintaining tools and equipment helps demonstrate management’s commitment to their workers and supports a positive attitude towards work. A safe and functional environment increases the likelihood of workers working safely and enjoying what they do. Successful companies have developed a preventative maintenance system that mitigates the risk of injury due to defective equipment and ensures the correct tools are being provided to perform work safely and efficiently for every task. This will include paying special attention to MSI and functional issues that will not only increase the risk of injury, but affect the attitudes and behaviors of workers when performing “undesirable tasks.”

SC9 Continuous improvement regarding safety culture means that, when concerns are raised or incidents occur, appropriate action by persons responsible for safety are taken to prevent an incident, or in the case of an incident already occurring, to prevent reoccurrence. Successful companies have a clear and outlined process for managing risk and injury in the workplace, roles are communicated and verified with every level of employment, and steps are taken to ensure all preventative methods are followed and implemented regularly.

SC10 Support of the safety and health program must be demonstrated through action and, most importantly, by management to foster a positive safety culture. The behaviors of leaders in an organization greatly affect the attitudes, and therefore the behaviors, of workers. Successful companies implement and maintain the safety and health program through all levels of the organization. Management can clearly be seen following company rules, PPE requirements, attending safety training, and maintaining a positive attitude towards safety and health. Management should be the embodiment of what safety and health compliance looks like in order to instill that in others.

SC11 Communication of concerns and suggestions for improvement must be freely communicated by those most affected by the hazards and those who have the power to make positive changes to safety and health in the workplace. No worker should ever feel persecuted for bringing to light safety concerns that affect them or that of their peers. A successful company requires communication training for supervisors and top management to ensure they are adequately equipped with the skills necessary to handle safety concerns raised by workers, with positivity and encouragement. All members of the company are on the same “playing field” when safety and health is a topic of conversation.

SC12 A positive safety culture is fully realized when the relationship between employee and employer harbors no reservation of discipline or negative repercussions regarding safety concerns. Trusting that your leaders have their workers’ best interests in mind will open up a dialogue where organizations can collectively improve the attitudes and behaviors regarding safety in the workplace.

For more information on how to measure and improve the safety culture within your organization, contact CSAM.


SAFETY CULTURE ASSESSMENT (0%-20%) (21%-40%) (41%-60%) (61%-80%) (81%-100%) Score

SC Safety Culture Objectives (continued) 0 1 2 3 4 (0-4)

SC7 Those who act safely receive positive recognition.

SC8 Everyone has the tools and/or equipment they need to complete their work safely.

SC9 Actions are taken to prevent future incidents.

SC10 Top management is actively involved in the safety program.

SC11 Communication is open and employees feel free to voice concerns and make suggestions.

SC12 There is a high level of trust in the employee/employer relationship at our company.

AverageScore

INSTRUCTIONS: Add the scores together from all 12 objectives and divide by 12 to determine your average score for safety culture. Your average score will be between 0.00 and 4.00. Place this number (up to two decimal places) in the “average score” area to the right. This number will also be transferred to the executive summary sheet.

NOTE: Although an average score will be required for the assessment, companies are encouraged to review the results for all 12 objectives individually to identify strengths and weaknesses regarding safety culture. Particular attention should be given to each objective with a score of two (2) or less. The audit corrective action plan should include recommendations for improvements regarding safety culture.



AUDIT OBSERVATION CHECKLIST




Observation Checklist Company: ________________________________ Worksite location: _______________________________

Date: ____________________ # of employees on site: _________ # of sub-contractors on site: _________

Reference # Observation Requirement / Comments Safety and Health Policy

1.4 Is the safety and health policy posted?

Hazard Assessment, Analysis, and Control 2.1 Are site-specific hazard assessments conducted?

2.8 Are controls implemented in a timely manner?

Safe Work Practices 3.1 Do safe work practices reflect the company’s activities?

3.3 Are written safe work practices readily available?

3.4 Are they followed by employees?

Safe Job Procedures 4.2 Have critical safe job procedures been written?

4.4 Are employees following safe job procedures?

4.5 Are safe job procedures readily available for the work being performed?

Company Rules 5.2 Are company rules prominently posted?

Personal Protective Equipment 6.3 Do personnel have access to specialized PPE?

6.4 Is the correct PPE used by personnel when required?

Preventative Maintenance 7.2 Are maintenance schedules/checklists completed?

7.5 / 14.10 Is there a system to remove defective tools, equipment, and/or vehicles being followed or is there equipment to perform a lockout readily available?

Inspections 9.9 Are inspection reports posted?

Observation Checklist

Company: Worksite Location: Date: # of employees on site: # of sub-contractors on site:


© 2018 Construction Safety Association of Manitoba

Page 2 - Observation Checklist Reference # Observation Requirement / Comments

Investigations and Reporting 10.2 Are investigation forms readily available/used?

Emergency Preparedness 11.1 Are the emergency plans suited for work activities?

11.5 Are fire extinguishers readily available?

11.6 Are fire extinguishers regularly inspected and maintained?

11.7 Is there an appropriate emergency communications system available?

11.8 Are there adequate first-aid supplies/facilities?

11.9 Are the required number of qualified first aiders on site?

11.10 Is there a plan in place for transporting an injured worker to a medical facility?

Legislation 13.1 Are copies of relevant legislation readily available?

Manitoba Supplement 14.5 Are safety meeting minutes posted?

14.8 Is appropriate hearing protection made readily available?

14.13 Are controlled products properly labelled?

14.14 Are SDSs current and readily available?

14.20 Is the harassment policy prominently posted?

14.22 Is the violence policy prominently posted?

14.26 Are housekeeping techniques appropriate?

14.27 Is there a site sign that displays required information?

14.28 Is there evidence of a communication system for information that may affect the safety and health of workers?

Additional Observations/Comments:


AUDIT INTERVIEW QUESTIONNAIRES




Employee Interview Questionnaire

Reference # Questions P N Interview Comments

1.4 Where would you find a copy of the safety and health policy?

1.7 In your own words, what does the safety and health policy say?

1.5 What are your safety and health responsibilities?

2.1 How are hazards identified before work starts?

2.4 What site-specific hazards were identified?

2.9 How are you informed of potential hazards and controls?

3.2 Give me an example of a safe work practice for this site.

3.3 Where can I find a copy of safe work practices on this site?

4.1 Are there any specific safe job procedures available for the jobs you do? Name a couple.

4.3 Explain a safe job procedure for a job you do.

4.5 Where can I find a copy of a safe job procedure on this site?

4.6 Have you been involved in the development or review of safe job procedures?

5.2 Are company rules posted or given out to employees? When/where were company rules shared with you?

5.3 Can you give me an example of a company rule?

5.4 What happens if someone breaks a company rule?

6.2 How were you made aware of the PPE requirements for this site?

6.3 Do you have access to specialized PPE when needed?

6.6 Do you get training on PPE when needed?

7.4 Is there a system in place for removing broken or defective tools or equipment from service? What is it?

7.6 Who does the repairs or maintenance on equipment or tools?

8.2 Did you get a safety orientation before starting work?

Employee Interview Questionnaire


Page 2 – Employee Interview Questionnaire


8.5 What job specific training have you received?

8.7 Was there a test involved to measure knowledge?

8.8 How often does your company hold scheduled safety meetings? (Who attends?)

8.10 Are your comments and the comments of others invited and listened to?

9.8 Are all identified hazards corrected within a reasonable time?

9.9 Are inspection results posted or discussed at safety meetings?

10.3 What is the process for reporting an incident?

10.6 Do you report near misses? Please give an example of a near miss.

10.7 After an incident occurs and an investigation takes place, what generally happens with the recommendations that are made?

11.2 What are the emergency preparedness plans for this site?

11.7 In the case of an emergency, how would you contact appropriate people?

11.9 Is anyone on this site trained in first aid?

13.1 Where are copies of WSH Act and Regulation kept on this site?

13.3 What are your four (4) legislated worker rights?

14.1 Who is your worker safety representative on this site?

14.2 Who is involved in hazard identification, communication, and control on your worksites?

14.5 Where can I find a copy of safety meeting minutes for this site?

14.8 Have you received hearing protection training?

14.12 What is the procedure for working alone? Is it followed?

14.16 Give an example of a controlled product used on this site and the procedures required for safe use.

Highlighted boxes are required for SECOR®. COR® requires all questions.


Management/Supervisor Interview Questionnaire


1.5 What are your safety and health responsibilities?

1.7 In your own words, what does the safety policy say?


2.2 How are hazards reassessed as the job progresses?

2.3 Who is involved in doing hazard assessments?

3.3 / 4.5 Where are safe work practices and safe job procedures kept?

4.4 Are safe job procedures followed?

4.6 Who is involved in the creation and review of safe job procedures?

5.2 Are company rules posted or given out to employees?

5.4 What happens if somebody breaks a company rule?

5.5 Are you following the disciplinary action plan when some one breaks a company rule?

6.2 How are employees made aware of PPE requirements?

6.3 Do you have access to specialized PPE when needed?

6.6 Are personnel given instruction or training in the use of PPE?

6.7 How do you determine what type of PPE is required?


7.6 Who conducts the repairs or maintenance on tools and equipment?

8.2 Does each employee receive a safety orientation? What considerations are given to vulnerable workers during orientations/training?

8.5 What type of job-specific training have employees received?

8.7 Was there a test involved to measure knowledge?

8.6 Have you had any training in your safety and health responsibilities?

8.8 How often does your company hold scheduled safety meetings?

Management/Supervisor Interview Questionnaire


Page 2 - Management/Supervisor Interview Questionnaire


8.9 Do you, or does anyone else from management, attend these meetings?

8.11 Does a qualified/competent person conduct training? How do you verify competency?

9.5 How often do you conduct inspections?

9.8 Are all identified deficiencies corrected within a reasonable time frame?

9.9 How are inspection results communicated to employees?

10.4 Have you been trained to conduct investigations? What is the process?

10.6 Are near misses recorded? Please give an example of a near miss.


11.2 What are the emergency plans for this site? How do employees receive this info?

11.7 During an emergency, how would you contact appropriate personnel?

11.9 Are the required number of first aiders on this jobsite?

11.10 If someone gets injured, how would they be transported to a medical facility?

12.1 What is the process for managing/submitting completed safety program documentation?

12.6 How was the company’s audit corrective action plan communicated and implemented?

13.2 Give an example of how legislation affects your job planning.

13.3 What are your four legislated rights?

14.16 Give an example of a controlled product used on this site and the procedures required for safe use.

14.17 What is the procedure for checking operator training and certification?

14.23 Is there a process for reviewing the safety and health program? Explain the process.

14.24 Is safety information shared between the prime and sub-contractors?

Version 1 - 20 © 2021 Construction Safety Association of Manitoba 91© 2018 Construction Safety Association of Manitoba

Worker Safety Representative/Safety Committee Member Interview Questionnaire


1.4 Where would you find a copy of the company safety policy?

1.7 In your own words, what does the safety policy say?

2.2 How are hazards reassessed as the job progresses?

2.3 Are you or a member of the committee involved in hazard assessments?

2.9 How are workers involved with or informed of hazard controls?

4.6 Have you or the safety and health committee ever been consulted concerning the development or review of safe job procedures?

5.3 Give an example of a company safety rule.

6.6 Is PPE training provided to workers? Who does the training?


8.8 How often do you or the safety and health committee have formal safety meetings?

9.6 Are you or a member of the committee involved in the inspection process? How?

9.8 Are all identified hazards corrected within a reasonable time frame?

9.9 How are inspection reports communicated to employees?

10.3 What is the process for reporting an incident?

10.6 Are near misses being recorded? Give an example of a near miss.


13.1 Where are copies of legislation and regulations kept on this site?

14.2 How are you involved in hazard identification, communication, and control?

14.3 Tell me briefly what your legal duties and responsibilities are.

Worker Safety Representative/Safety Committee MemberInterview Questionnaire


Page 2 - Worker Safety Representative/Safety Committee Member Interview Questionnaire


14.4 Are you involved in the review of safety concerns and developing or implementing corrective actions? Give an example.

14.8 Have employees received hearing protection training?

14.12 What is the company’s procedure for working alone or in isolation? Is it followed?



Sub-Contractor Interview Questionnaire


1.4 Where would you find a copy of the prime’s safety and health policy?


4.1 Are there any specific safe job procedures available for the jobs you do? Name a couple.

4.3 Explain a safe job procedure for a job you do.

4.5 Where can I find a copy of a safe job procedure on this site?

5.2 Are company rules posted or given out to employees? When/where were company rules shared with you?

5.3 Can you give me an example of a company rule?

5.4 What happens if someone breaks a safety rule?

6.2 What are the PPE requirements for this site? How were you informed?


8.2 Did you have a safety orientation for this specific site?

10.3 Who would you report an incident/injury to?

11.2 How were you made aware of the specific emergency plans for this site? What are they?

11.9 Do you know of anyone on this site who is trained in first aid?

13.1 Where are copies of WSH Act and Regulation kept on this site?

14.12 What is your procedure for working alone? Is it followed?

14.16 Give an example of a controlled product used on this site and the procedures for safe use.

14.17 Are you required to supply operator training verification to the prime?

14.24 What documentation are you required to provide to the prime?

Highlighted boxes are required for SECOR™. COR™ requires all questions.

Sub-Contractor Interview Questionnaire

Page 2 - Worker Safety Representative/Safety Committee Member Interview Questionnaire


14.4 Are you involved in the review of safety concerns and developing or implementing corrective actions? Give an example.

14.8 Have employees received hearing protection training?

14.12 What is the company’s procedure for working alone or in isolation? Is it followed?




AUDIT INSTRUMENT AID




Interview Response Sum

mary Tool

© 2018 Construction Safety Association of M

anitoba

In the boxes below em

ployee, managem

ent/supervisor, worker safety representative/safety com

mittee

mem

ber, and sub-contractor, summ

arize the interview results using a

or as identified on the interview

questionnaires. In the last tw

o columns, total the num

ber of ’s as positive responses and

’s as negative responses. W

hichever response has a higher total will be the final

or that is identified in the audit

instrument.

Remem

ber, ‘majority rules’ for interview

responses. If the totals are equal, either perform another interview

to break the tie or err on the side of caution and m

ark it as an in the audit instrum

ent.

Ref. # Em

ployee M

anagement/

Supervisor

Worker Safety

Representative/ Safety

Comm

ittee M

ember

Sub-contractor # of Positive Responses

# of Negative

Responses

1.4

1.5

1.7

2.1

2.2

2.3

2.4

2.9

3.2

3.3

4.1

4.3

4.4

4.5

4.6

5.2

5.3

5.4

5.5

6.2

6.3

6.6

6.7

7.4

7.6


Interview Response Sum

mary Tool – Page 2

© 2018 Construction Safety Association of M

anitoba

Ref. # Em

ployee M

anagement/

Supervisor

Worker Safety

Representative/Safety

Comm

ittee M

ember

Sub-contractor # of Positive Responses

# of Negative

Responses

8.2

8.5

8.6

8.7

8.8

8.9

8.10

8.11

9.5

9.6

9.8

9.9

10.3

10.4

10.6

10.7

11.2

11.7

11.9

11.10

12.1

12.6

13.1

13.2

13.3

14.1

14.2

14.3

14.4

14.5

14.8

14.12

14.16

14.17

14.23

14.24

Documents

COR® & SECOR® AUDIT INSTRUMENT