BASE Audit - BC Forest Safe · BASE Audit Version 2. - DRAFT This publication is the property of...

BASE Audit

Designed for large employers (20 or more employees and dependent contractors)

VERSION 2 WORKING DRAFT – for both

woodlands and forest products manufacturing employers

BASE Audit Version 2. - DRAFT

This publication is the property of the BC Forest Safety Council. Reproduction in any form by any means, in whole or in part, or use of this publication for other than its intended purposes is prohibited.

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Table of Contents

BASE Audit Application ..................................................................................................................................................................................... 2

BASE Audit Instructions .................................................................................................................................................................................... 3

A. Management Leadership ............................................................................................................................................................................ 13

B. Hazard and Risk Assessment ...................................................................................................................................................................... 27

C. Standards, Procedures and Work Instructions ........................................................................................................................................... 40

D. Training, Education and Certification ......................................................................................................................................................... 64

E. Health and Safety Communications Systems ............................................................................................................................................. 71

F. Incident Reporting and Investigations Systems .......................................................................................................................................... 78

G. Contractor Management ............................................................................................................................................................................ 89

H. Prime Contractor Selection and Management .......................................................................................................................................... 97

I. Injury Management / Return to Work Programs ...................................................................................................................................... 104

Notes and Recommendations .......................................................................................................................................................................... 119

Definitions ......................................................................................................................................................................................................... 128



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BASE Audit Application

The BASE Audit standard applies to companies with 20 or more employees and/or dependent contractors at one time with an operating period of over 30 days. SAFE Certification provides recognition to interested parties that the company has established a recognized and reviewed health and safety program meeting the BASE Audit standard of the BC Forest Safety Council. Members of the BC Forest Safety Council agreed that SAFE Companies certification is a prerequisite for companies to work or to bid for work in the forest industry.

The BASE Audit standard contains 2 main components of requirements, (1) health and safety program elements A – H, and (2) Injury Management / Return-to-Work program. When a company achieved SAFE certification and is in good standing with WorkSafeBC they will be eligible to receive a 10% rebate on their annual WCB assessment if the audit covers safety program Elements A – H. An additional 5% rebate on the annual WCB assessment will be awarded if the company passed the audit covering Element I (Injury Management / Return-to-work Program).

The SAFE Companies program gives forest operations clear, practical and achievable standards for successful health and safety programs. The BASE Audit standard is applicable to all companies involved in the forest industry including harvesting, forest product manufacturing and companies with a natural alignment with the forest industry.

A large company must be registered with the BC Forest Safety Council and retain a certified external auditor to conduct the certification audit using the BASE Audit standard in order to achieve SAFE Certification. SAFE Certification is valid for 3 years and a company is required to carry out an annual audit each year to maintain certification status. A company must utilize a certified external auditor to carry out the initial certification audit and recertification audit, and may choose to train an internal auditor to carry out the annual maintenance audit.



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BASE Audit Instructions The instructions provide information on how to use the BASE (Basic Audit and Safety Evaluation) Audit and Guidelines.

BASE Audit The BASE Audit has nine elements that provide the fundamental measurement of an effective health and safety program:

A. Management Leadership B. Hazard and Risk Assessment C. Standards, Procedures and Work Instructions D. Training, Education and Certification E. Health and Safety Communications Systems F. Incident Reporting and Investigations Systems G. Contractor Management H. Prime Contractor Selection and Management I. Return to Work Program

TIER 1 Standard Tier 1 Standard is the BASE Audit standard which provides the framework for the requirements of a health and safety program as well as an evaluation tool to measure the extent of the program implementation. The audit elements and questions are derived from the regulatory requirements and bench mark recognized health and safety management systems such as OHSAS 18001. The BASE Audit standard is approved by the Technical Advisory Committee of the BC Forest Safety Council with representations from member associations, WorkSafeBC and Ministry of Forest and Range. TIER 2 Optional Standard Tier 2 Optional Standard provides additional questions to measure specific safety control processes particularly applicable for driving safety improvement in the forest manufacturing product (FMP) sector. Based on the recommendation of the FMP Technical Advisory Committee the additional questions are presented in this draft revision for reference and consideration purposes. Further discussions are anticipated to assess the value of incorporating the additional questions, any modification needed and their application. The



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developmental objective is to create a common audit instrument applicable to both harvesting and manufacturing sectors. Depending on the operations of the company adopting the audit instrument, questions that are not applicable will be identified and excluded from the evaluation of the company’s health and safety program. The BASE Audit is a measuring tool established by the sector and can also be used by companies to help develop a basic safety program. This audit document will be reviewed with industry representatives on at least an annual basis. There are two ways that companies can use this audit:

1. If companies use the audit internally, they can assess how their company, workers and contractors are performing to the expected safety standard.

Where it is found that there are deficiencies in their program or as improvement opportunities are identified, companies can develop a corrective action log to keep track of what needs to get done, by whom and when.

Once the audit is completed, the action log can then be broken down into a list of what is important to do immediately, and what can wait until the higher priority items have been addressed.

In the end, each individual company will need to determine what their individual priorities are, based on risks of the deficiencies, their type of business and operating conditions.

2. When used by a certified external auditor, the audit will determine if the company being audited has created a working

environment in which the worker has the opportunity to make the right decision at the right time.

For example, one of the questions in the audit asks if workers know that they have the right to refuse unsafe work. If the worker does not know this, they may proceed with work believing they have no choice but to try and get it done.

On the other hand, if the worker does know this, the working environment could be considered conducive to them making the right choice.

Ultimately, the last thing that has to occur is that the worker makes the correct choice, but again, is the situation available for them to do so?

The BASE Audit is designed around common auditing principles. The audit is designed to give a real time, practical evaluation of the abilities and operational effectiveness of a company’s health and safety program. It must be remembered that when the actual audit is performed, it is a snapshot in time and space of a company’s program, and just because at the time everything looked the way it looked, it does not mean it will remain in that state.



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The BASE Audit asks many different questions, and, when evaluated by a certified auditor, determines whether the company being audited meets the required standard for that question. As an example, a question in the audit looks like this:

A1. Company Health and Safety Policies MANAGEMENT LEADERSHIP

Question Guidelines Award/Notes

A1.1 Does the company have a written health and safety policy? (5 points)

D (0-5) Review health and safety policy. If the policy contains a statement of intent or safety objective, award 3 points. If the policy contains a commitment of continual improvement, award 2 points.

O D I Total

/5

This question is asking whether the company has a written health and safety policy. As a company, therefore, you should have one in place in your program and meeting the requirements of the audit guidelines.

Audit Scoring Scoring for the audit is very prescriptive. This means the auditor cannot simply pull a number that they feel is applicable and put it into the audit findings. There are very particular instructions to auditors on how they are to award and why they are to award. There must be valid reasons for awarding or not awarding points. This will be discussed in the audit guidelines later. Scoring is important for a number of reasons, but none more than the fact that as a basic requirement, every company that undertakes an audit has to meet a minimum standard as determined by the sector through the Council. Companies must obtain at least 51% in every element and an overall mark of 80% to meet the BASE Audit standard and be SAFE certified.



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There are two different types of scoring that can occur in the audit. The first is called “all or nothing”, which is used by the auditor to determine if you have met the required standard or not. See the example below:

A1. Company Health and Safety Policies MANAGEMENT LEADERSHIP Question Guidelines Award/Notes

A1.2. Is the policy signed by the current top management (President, CEO or senior operations manager) of the company and dated within 2 calendar years? (2 points)

D (0,2) Ensure policy is signed by the current top management (president, CEO or operations manager). If the signature is on the policy and the policy is dated within 2 calendar years, award 2 points.

O D I Total

/2

A full point score is indicated in the guidelines section of the audit question by having zero, then a comma, then another number. This indicates that you can award full points (2 in this case) or zero, depending on the finding of the auditor. In this case, either you have a written health and safety policy signed by the current top management and dated within 2 calendar years or you do not. There is no room for auditor judgment or partial award in this question.



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The second type of scoring that can be done is called “range scoring”. See the example below:

C3. Standards and Work Procedures STANDARDS, PROCEDURES and WORK INSTRUCTIONS


C3.3. Are workers knowledgeable about the safe work procedures which apply to their work? (0-10 points)

I (0-10) Interview workers to determine if they are able to knowledgeably discuss details of their safe work procedures Award points based on the % of positive responses.

O D I Total

/10

Range scoring is indicated in the guidelines section of the audit question by having a zero, then a hyphen, then another number. This indicates a company can score anywhere between zero and 5 (for this question), based on the findings of the auditor. These questions have this type of scoring so that a company can get recognition for doing some of the required work. Using this question as an example, if the auditor found that many of the workers had indeed received knowledgeable about the safe work procedures which apply to their work (but not all of them), the audit instrument credits the company for doing so. A recommendation must be provided if full points were not awarded. A recommendation is also required when there were deficiencies found and where full points were awarded due to rounding off the points.

Additionally, points can be awarded based on the percentage of positive responses that are given or found. For example, if four out of five workers answer a question correctly, the auditor would award the company 80% of the available score. If all five answered with the right information, the auditor would award the company 100% of the available score.



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Verifying the Information Auditors are required to prove their findings by three methods:

C2. Regulatory Compliance STANDARDS, PROCEDURES and WORK INSTRUCTIONS Question Guidelines Award/Notes

C2.3 Has a WHMIS program been implemented within the company? (10 points)

O(0-3) Observe during site tour if WHMIS labels are being used and current MSDS are available. Award points based on % of positive findings. D (0-5) Review records to determine if training is provided to all workers requiring WHMIS knowledge. Award points based on the % of positive findings. I(0-2) Interview workers to determine if they had WHMIS training and to determine their level of understanding on how to access WHMIS and MSDS information. Award points based on % of positive responses.

O D I Total

/10

Observation: This is when the auditor sees the actual activity being performed during the audit including the assessment of worker

performance and work site conditions covering facilities, tools and equipment.

Documentation: This is paperwork that the auditor reviews during the audit including written policies, procedures, records, operation manuals, standards and regulations.

Interview: These are questions the auditor will ask employees and contractors during the audit.



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For ease of use in these instructions, the section(s) highlighted in yellow are the applicable ones for each particular question in these examples. In the actual audit document, there is simply a blank area to record the score.

Audit Guidelines Audit guidelines are clear, written instructions to the individual using the audit instrument on how to determine the type of information to be obtained (observation, documentation and/or interview), how to award the question (all or nothing, or partial award), and what to look for when determining whether the company has met the requirements of the question. Auditors must be certain that their findings are reproducible and valid in all cases.

G2. Contractor Management CONTRACTOR MANAGEMENT Question Guidelines Award/Notes

G2.1 Does the company communicate known and foreseeable hazards identified in the planning of the operations to the contractors? (0-10 points)

D(0,5) Review contractor documents such as pre-work meeting minutes and orientation records to determine if site hazards identified in the planning have been communicated to the contractors. 100% positive documentation evidence is required to score points. I(0-5) Interview contractors to determine if they have been made aware of the known and foreseeable hazards identified in the planning. Award points based on % of positive responses.

O D I Total

/10

If a question is not applicable, the reason why must be included in the audit notes of the audit report, and it must be clear why it does not apply to this particular business. For example, if a company does not hire contractors, then that particular question would not apply and should be removed from the overall scoring and evaluation of the program.



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In every case, there must be a definitive method of determining and proving the facts and evidence. There are no guesses. The guidelines are there to help the auditor in their determination of whether the company is meeting the required standard. A question can ask if workers are conducting a task, knowledgeable regarding an issue, observed doing something, etc. It is critical that persons using this audit instrument understand that this also can mean dependent contractors, where applicable. For example, if a company is using dependent contractors and are treating them the “same as workers”, then the word “employee” would also mean contractor.

Break Point to Award Points in Full Point Questions In some cases, there will be a note in the guidelines such as “50% positive responses/observation/documentation required to award points”. This is terminology used to guide the auditor on how much observation, documentation or interview evidence is required to justify a score. For example:

B1.5 Is there a process in place to ensure that risks associated with new products, equipment and tools are assessed before they are purchased? (5 points)

D (0,3) Review risk assessment, management of change document, pre-purchasing assessment document to verify pre-purchase assessments are occurring. I(0,2) Interview purchasers, OHS committee members or person responsible to verify that this process is being conducted. 70% positive response required to award points.

O D I Total

/5

In this example, it is instructing the auditor to ensure that at least 70% of new products, equipment and tools purchased have documentation showing that have gone through the risk assessment process prior to purchase, and at least 70% of persons responsible for purchasing and risk assessment interviewed are able to confirm this occurred. Break points can vary in their percentages.



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Recommendation Development After a question has been answered and commented on, a recommendation may be made. In every instance when full points are not awarded by the auditor, there must be a recommendation made regarding how the company can improve their program. Recommendations must also be made when the requirements of the question are not completely fulfilled but full points are awarded by meeting the threshold break point or by way of rounding off. For example, a 98% positive observation in a 10 point question rounds to a score of 10 out of 10. A recommendation is still required to address the 2% deficiencies observed. Recommendations should be written following the SMART practice:

Simple: Not designed or stated with such complexity as to be difficult to understand or do.

Measurable: Actions and/or changes must be measurable so the company can overtly tell that the change is working as intended.

Attainable: Setting a standard that is high, but not unreachable by the company.

Realistic: A recommendation must be practical, so that the company can make it fit into their business unit.

Timely: Something that can be implemented in a short time (where possible). Epilogue As you proceed through the audit, you should know that you are not alone. You can call the BC Forest Safety Council (Toll Free: 1-877-741-1060) at any time for assistance or go the Council’s website at www.bcforestsafe.org, or email the SAFE Companies team at [email protected].

http://www.bcforestsafe.org/

mailto:[email protected]



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A. Management Leadership The management leadership section of this BASE Audit is a measurement and evaluation of how management personnel (supervisors, mid-level management and up to and including presidents and CEOs) carry out their leadership roles and responsibilities with regards to the Occupational Health and Safety (OH&S) program. The standard requirement for safety documentation, such as policies and programs, is intertwined in this audit with more emphasis placed on the requirement for managers and supervisors to “walk the talk”. A health and safety program will only be successful if supervisors and management staff are completely involved in establishing the policies, ensuring their implementation, monitoring program effectiveness and driving continual improvement.



A1.1 Does the company have a written health and safety policy? (5 points)

D (0-5) Review health and safety policy. If the policy contains a statement of intent or safety objective, award 3 points. If the policy contains a commitment to continual improvement, award 2 points.

O D I Total /5

A1.2. Is the policy signed by the current top management (President, CEO or senior operations manager) of the company and dated within 2 calendar years? (2 points)

D (0,2) Ensure policy is signed by the current top management (president, CEO or operations manager). If the signature is on the policy and the policy is dated, award 2 points.

O D I Total /2

A1.3 Does the policy discuss health and safety responsibilities of management, supervisors and workers’? (6 points)

D (0-6) Review policy documentation. These responsibilities are not required to be set out in detail in this document. If the policy document discusses:

(i) Responsibilities of management, award 2 points; (ii) Responsibilities of supervisors, award 2 points; (iii) Responsibilities of workers, award 2 points.

O D I Total /6



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A1.4. Do supervisors and managers effectively communicate the OH&S policy to workers? (0-10 points)

D (0-4) Review documentation such as new hired documentation, supervisor journal or safety meeting records. Look for evidence that the policy has been discussed with workers. Award points based on the % of workers sampled that the OH&S policy has been communicated to. I (0-6) Interview workers to determine if the company’s health and safety policy has been communicated to them and they are aware of the intent. Award points based on % of positive responses.

O D I Total /10

A1.5. Is the current safety policy physically posted or made available at the worksites? (0-5 points)

O (0-5) Review worksites to determine if the policy is posted in areas accessible to workers, such as lunchrooms, coffee rooms or bulletin boards. For field worksites the policy can be provided to workers in the form of a health & safety handbook or manual. If the policy is:

a) Posted in office, award 2 points b) Posted or made available in common areas

accessible to all workers and contractors, award 3-5 points

O D I Total /5



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A2. Forest Safety Accord MANAGEMENT LEADERSHIP


A2.1. Is the BC Forest Sector Health and Safety Accord physically posted at the worksites? (0,5 points) (Woodlands only)

O (0,5) Observe worksites to determine if the Accord is posted in areas accessible to workers, such as lunchrooms, coffee rooms, crew vehicles or bulletin boards. For field worksites the Accord can be provided to workers in the form of a health & safety handbook or manual. If the Accord had been posted or made available in field worksites, award 5 points.

O D I Total /5

A2.2. Are managers and supervisors able to speak with awareness about the Accord? (0-5 points) (Woodlands only)

I (0-5) Interview managers and supervisors to determine their level of awareness on the key principles of the Accord and its intent. Award points based on % of managers and supervisors aware of the key principles of the Accord.

O D I Total /5

A2.3. Does the company discuss the Accord with workers? (5 points) (Woodlands only)

D (0,2) Review documentation, such as safety meetings, performance reviews, new hire orientations, supervisors’ journals, etc. If there is reference, award 2 points. I (0,3) Interview workers to confirm that the company has been involved in discussing the Accord. 50% positive responses required to award points.

O D I Total /5



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A2. Forest Safety Accord MANAGEMENT LEADERSHIP


A2.4. Are workers able to speak with awareness about the Accord? (0-5 points) (Woodlands only)

I (0-5) Interview workers to determine their level of awareness on the intent of the Accord. Award points based on % of workers aware of the intent of the Accord.

O D I Total

/5

A3. Health and Safety Responsibilities MANAGEMENT LEADERSHIP


A3.1. Have specific safety responsibilities for all occupations been written and communicated to relevant workers? (0-15 points)

D (0-7) Review OH&S program documentation or job descriptions to determine if the company has written, specific, roles and responsibilities completed for each occupation. 70% of all occupations must have their responsibilities written and communicated to award points. I (0-8) Interview workers to determine if their specific safety responsibilities have been communicated to them. 70% positive responses required to award points.

O D I Total /15

A3.2. Are supervisors monitoring the health and safety of all workers under their direct supervision? (0-15 points)

O (0-5) Observe supervisors demonstrating their worksite control practices to ensure workers are following safe work procedures and required risk control measures during the site tour. Additionally, supervisors must intervene when required. 100% positive observation required to award points.

O D I Total /15



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D (0,5) Review supervisors’ diaries, notes, inspection reports and other material to determine if supervision is being provided to all workers and records are being kept appropriate to the scope, complexity and associated risks of the activities. Award points based on positive documentation evidence of supervision. I (0-5) Interview supervisors and workers to determine if supervisors are proceeding to the work sites and communicating known and foreseeable hazards as necessary to ensure site safety. Award points based on % positive responses.

A3.3. Do supervisors know what they are supposed to be evaluating in regards to safety? (0-15 points)

D (0-5) Review documentation, such as risk assessment, inspection and training records signed off by supervisors, completed check lists. Woodland: faller supervisor training, faller evaluations, faller log book, block inspections, vehicle inspections FPM: lock out procedures, hot works, fall protection, confined space, machine guarding, building inspections, house keeping Award points based on the extent of supervisors’ evaluation of the company’s safety requirements.

O D I Total /15



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I (0-10) Interview supervisors to confirm whether they know what to evaluate to ensure compliance with the standard code of practices, regulations and company safety program requirements. Award points based on the % of positive responses.

A3.4. Are managers measuring and evaluating the performance of the company’s safety program? (0-15 points)

D (0-8) Review documentation to determine if the managers’ notes, journals or formal documentation lead to the conclusion that managers are monitoring the performance of the company’s safety program (such as the completion of required hazard identification & risk assessment, inspection and training, investigation and corrective actions) and directing necessary corrective and improvement measures Award points based on the extent of managers evaluating key safety program performance indicators such as results of risk assessment and inspection, training program, incident statistics and corrective action log and providing directions for continual improvement. I (0-7) Interview managers to confirm they are evaluating key safety program performance indicators and providing directions for continual improvement. Award points based on % of positive responses.

O D I Total /15

A3.5. Are managers and supervisors leading by example (wearing of Personal Protective

O (0,10) Observe managers and supervisors conducting their activities to see if they are following the company

O D I Total /20



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Equipment, seatbelts, etc.) and following the health and safety rules and procedures? (0-20 points)

health and safety rules and procedures. 90% positive observation required to award points. I (0,10) Interview workers to determine overall compliance by managers and supervisors. 70% positive responses required to award points.

A3.6. Have managers ensured that relevant health and safety regulation, industry safety codes of practice and safe work procedures are available to supervisors and workers? (5 points)

O (0-3) Observe the worksite to determine if relevant health and safety regulations, industry safety codes of practice and other relevant resources such as equipment operations manuals and safe work procedures are readily available either in the form of physical copy or electronic means is acceptable. Award points based on the availability of relevant safety resource documents to workers.

I (0,2) Interview managers, supervisors and workers to understand if they are aware of the types of safety resources applicable to their operations and how safety resources are accessed. 70% positive response required to award points.

O D I Total /5

A3.7. Are audits conducted to assess the overall effectiveness of the company’s

D (0,10) Review program documentation to confirm that the company is conducting audits on the safety systems

O D I Total /10



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safety program? (10 points)

at least once per year. If documentation is found showing this being conducted, award 10 points.

A3.8. Is management review carried out to identify opportunities for improvement and changes needed for the safety program? (10 points)

D (0-10) Review safety documents to determine whether a management review has been carried out at least annually including items such as:

Results of audits and inspections

Status of incident investigation

Corrective actions and preventive actions completed

Completion level of safety program objectives (such as targets for training, hazard identification & risk assessment, inspection, etc.)

Changing circumstances, including developments in legal and other requirements related to OH&S

Safety improvement plan from previous year Award points based on the comprehensiveness of the management review conducted.

O D I Total /10

A3.9. Is there an annual safety improvement plan developed and endorsed by top management? (15 points)

D (0,10) Review safety documents to determine if an annual safety improvement plan has been developed based on the results of the management review. Award 10 points if an annual safety improvement plan exists and signed off by top management. If the progress of the annual improvement plan is being

O D I Total /10



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reviewed to track progress and amend necessary changes:

a) Quarterly – award 5 points b) Semi-annually – 3 points c) Annually – 1 points

A4. Communication of Issues MANAGEMENT LEADERSHIP


A4.1. Does top management (CEO, President or the most senior manager) responsible for the overall safety program of the company meet with the workers at least annually and communicate why safety is important? (10 points)

D (0,8) Review meeting documentation to determine if this is occurring. Top management should at least annually hold a major safety meeting with their workers, other than the periodic safety meetings or site visits. The meeting could be in the form of video conference, safety day and annual company function. If there is documentation confirming this has occurred, award 5 points. I (0,2) Interview supervisors and workers to confirm the involvement of CEO, President or the most senior manager and to determine if interviewees understood the message. 70% positive response required to award points.

O D I Total /10

A4.2. Do senior managers of the company go to the worksite at least quarterly to

D (0-8) Review site visit documentation or journal to evaluate if this is being done.

O D I Total /15



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A4. Communication of Issues MANAGEMENT LEADERSHIP


assess work activities and discuss health and safety issues with workers? (0-15 points)

Award points based on % of positive findings of work activity assessment and worker discussion evidence that this is occurring on at least a quarterly basis. I (0,7) Interview senior managers, supervisors and workers to determine if this is occurring. 75% positive response required to award points.

A4.3. Do workers have the perception that they have management’s attention if they come forward with a health and safety concern? (0-5 points)

I (0-5) Interview workers and dependent contactors to confirm they feel that if they come forward with a health and safety concern, it will be considered. Award points based on % of positive responses.

O D I Total /5

TIER 2 Audit Questions – Optional

Management Leadership – TIER 2 MANAGEMENT LEADERSHIP


1. Is there a written long term comprehensive plan for health and safety?

(D) A comprehensive long-term plan would include long-term goals and specific targets related to the health and

O D I Total

/



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(X points)

safety activities to attain those strategies and goals. The auditor may give credit for a detailed plan covering at a minimum 3 to 5 years.

2. Is there an annual operational/site Health and Safety plan that defines the progress to be made this year toward long-term goals? (X points)

(D) An operational plan for health and safety is generally for one year and developed jointly with safety committee and employee involvement. It must include specific health and safety activities, who will do them and by when. The plan includes new initiatives for safety projects and also safety system maintenance activities.

O D I Total

/

3. Does each goal or activity from the operational health and safety plan have specific, measurable success criteria, which are tracked to completion? (X points)

(D) Each operational goal or activity must have success measures identified that are in observable terms. A document must exist that identifies who will do what by when and the current status compared to plan. Completed items must have been completed by the due date, or an explanation given for overdue items.

O D I Total

/

4. Can employees at all levels identify their unique roles and responsibilities in achieving these goals? (X points)

(D,I) Employees know what health and safety goals are within their influence and responsibility. Confirm through interviews. At a minimum, each employee group (Managers, Supervisors, and Employees) has a documented set of activities and expectations.

O D I Total

/

5. Is health and safety performance included in the company's key performance

(D,) Review the company's key performance indicators to determine if health and safety measures are included.

O D I Total

/



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indicators? (X points)

6. Are senior executives held accountable for meeting health and safety performance indicators? (X points)

(D) Review the company's merit appraisal criteria for senior executives to determine if health and safety key performance indicators are included.

O D I Total

/

7. Are health and safety criteria included in supervisor and manager performance evaluations? (X points)

(D) - Review merit performance indicators for the company to ensure health and safety performance is assessed for workers, managers, and supervisors. - Review findings of performance indicators to establish if safety criteria affect outcomes of merit appraisals. (I) - Interview a representative number of supervisors and managers to verify that safety performance is used during merit appraisal reviews.

O D I Total

/

8 Are there written standards or policies for all major activities in the site's health and safety program? (X points)

(D,I) A comprehensive safety management program includes major activities such as Leadership, Hazard Communication, Emergency Response, Inspections, Investigations, etc. The written standards define the work to be done, how often and by whom, for specific safety program activities. Standards must clearly state

O D I Total

/



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who the owner is and what his/her responsibilities are. Interview owners to confirm understanding of responsibilities.



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Element A (Management Leadership) Scoring Summary

Total Points Awarded: Woodlands Total Points Available: 198 (n/a) FPM Total Points Available: 173 (n/a)

Overall % awarded: TIER 2 Questions SCORING NOT INCLUDED



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B. Hazard and Risk Assessment This section of the BASE Audit measures whether the risks of the operation have been evaluated, if the hazards have been identified, and if appropriate controls are in place to reduce the probability and consequence of the hazards impacting the safe operations of the company affecting people, material, equipment or environment. Of all the things that workers, supervisors and companies do, assessing risks and controlling hazards is the most important process within an Occupational Health and Safety program. There are tangible results that are produced from this process, and a company will only be successful with their program if they grasp this practice and utilize it to its fullest potential. A hazard is defined as “source, situation or act with a potential for harm in terms of injury or ill health or a combination of these”. For example, machinery is working in close proximity to a nearby worker is a hazard, because it has the potential to injure a worker. Risk is defined as “combination of the likelihood of an occurrence of a hazardous event or exposure(s) and the severity of or ill health that can be caused by the event or exposure(s)”. A company or worker should ask themselves “what is the chance of something going wrong and what is the potential consequence”, and then based on this risk, determine if they need to put some controls in place to reduce that risk to what they perceive is an acceptable risk level. Risk evaluation should be based on known, quantifiable information, not supposition or use of a belief system. Typically, this requires the involvement of different levels of personnel within the company. Every job has risks, even administrative ones, but the development and implementation of safety policies and procedures should be risk based. The expectation, therefore, is that the safety program should be more focused on evaluating and controlling high risk activities such as field and plant production risks than office risks. When determining controls or considering changes to the existing controls, consideration should be given to reducing the risks according to the following hierarchy:

a) Elimination; b) Substitution; c) Engineering controls; d) Signage / warnings and / or administrative controls; e) Personal protective equipment.



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B1. Hazard Identification and Risk Assessment HAZARD AND RISK ASSESSMENT


B1.1 Is there a process to determine what the hazards and risks are in the work place before the job starts for routine, modified and non-routine job tasks? (0-25 points)

D (0-20) Review program documentation to determine if there is hazard identification and risk assessment process. Award 5 points of having a documented assessment process. This can be in the form of a formal process, such as a hazard matrix, Job Safety Analysis (JSA) and hazard identification checklist. Award 5 points for appropriate prioritization of risks and controls. Award 5 points if the risk control measures are developed based on the following hierarchy:

a) Elimination b) Substation c) Engineering controls d) Signage/warning and/or administrative controls e) Personal protective equipment

Award a maximum of 5 points based on the completeness of risk assessment conducted for job tasks (routine, modified and non-routine) including both operations and maintenance activities. I (0,5) Interview workers, supervisors, managers and joint OHS committee members with assigned hazard identification and risk assessment responsibility to verify their participation in this process.

O D I Total /25



29



70% positive response required to award points.

B1.2. Has management ensured that planning is occurring to ensure health and safety risks of multiple work processes being conducted at the same time have been assessed and controlled at the worksite? (15 points)

O (0-10) Observe work settings for non-compatible situations which workers are or were placed into. At the worksites, observe processes (which management has control over) being conducted at the same time that could create a hazard for the workers. Award points based on % of situations where hazards have been identified and required control measures are implemented. D (0,5) Review planning documentation and risk assessment records to see if this is occurring for work activities (with potential of worker injuries or equipment/property damages).

O D I Total /15



30



Award 5 points for pre-work or other documentation showing that planning occurred as part of the work process.

B1.3 Are documented hazards, risks and controls communicated to all workers before the job starts and as they become identified during operations? (0-15 points)

D (0-7) Review hazard communication documents such as pre-work meeting records, shift change log book and site safety meeting records or other communication documents to see if hazards, risks and necessary controls have been communicated to all workers including contractors. Award points based on the % of positive hazard communications. I (0-8) Interview workers to see if communication is occurred and they are aware of hazards, risks and necessary controls associated with their work activities are communicated and newly identified hazards. Award points based on % of positive responses.

O D I Total /15

B1.4 Is training provided to employees responsible for carrying out and reviewing results of hazard identification and risk assessment? (0-10 points)

D (0-7) Review training records to confirm training has been provided to employees responsible for carrying out and reviewing results of hazard identification and risk assessment, such as safety coordinator, operations managers, supervisors and joint OHS committee members.

O D I Total /10



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Award points based on % of employees trained as compared to total number of employees with the assigned responsibility. I (0-3) Interview employees responsible for conducting hazard identification and risk assessment activities to confirm they have had training in hazard identification and risk assessment. Award points based on % of positive responses.

B1.5 Is there a process in place to ensure that risks associated with new products, equipment and tools are assessed before they are purchased? (5 points)

D (0,3) Review risk assessment, management of change document, pre-purchasing assessment document to verify pre-purchase assessments are occurring. I(0,2) Interview purchasers, OHS committee members or person responsible to verify that this process is being conducted. 70% positive response required to award points.

O D I Total /5

B2. Controls HAZARD AND RISK ASSESSMENT


B2.1. Is there a maintenance program in place for tools and equipment meeting the manufacturer, regulatory and company safety requirements? (0-20 points)

D (0-15) Review the tools and equipment maintenance program such as equipment inventory list, maintenance schedule and equipment inspection records to ensure that the company manufacturer, regulatory and company safety requirements are met. Award points based on % of equipment and tools

O D I Total /20



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covered by the maintenance programs. I (0-5) Interview managers and supervisors to confirm the maintenance program meets requirements. Award points based on % of positive responses.

B2.2 Is there evidence that the maintenance program is being followed? (0-20 points)

O (0-5) Observe whether tools and equipment (such as hand tools, power tools, standing drills, welding equipment, forklifts, processors, skidders, etc) are in good working condition and defective tools and equipment are identified and taken out of service. Award points based on % of positive observations. D (0-10) Review maintenance records, logbooks, lock out/tag out records, etc. to determine frequency and completion of required work on equipment. Award points based on % of maintenance program that is being followed to the required standards. I (0-5) Interview maintenance personnel and equipment users to confirm that the maintenance program is being followed.

Award points based on % of positive response.

O D I Total /20

B2.3. Do workers operate within limits set by engineering, administrative and

O (0-20) Observe worker practices to verify their compliance with safe work procedures, manufacturer

O D I Total /20



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operational controls? (0-20 points)

operation instructions, PPE requirements and other risk control measures. Award points based on % of positive observations.

B2.4 Have the risk control measures and safe work procedures been reviewed and updated on a regular basis and when there are changes in work conditions? (0-5 points)

D (0-5) Review meeting minutes, safe work procedures or instructions, Job Safety Breakdowns (JSB’s), etc. to ensure that risk control measures and safe work procedures are being reviewed and updated at least every 2 years and as required when changes are made.. Award points based on % of documentation showing that this is being conducted.

O D I Total /5

B2.5. Are workers involved in the development, evaluation and revisions to the safe work procedures and risk control measures? (5 points)

I (0,5) Interview supervisors, managers and workers to determine the means and scope of worker involvement in the worker participation process. 70% positive response of worker involvement required to award points.

O D I Total /5

B2.6 Does the company have a coaching and enforcement policy to address safety non-compliance and is it being enforced by managers and supervisors where required? (0-10 points)

D(0,5) Verify the existence of a coaching and enforcement policy providing progressive steps to address safety non-compliance. Award points based on the existence of a written disciplinary policy. I (0-5) Interview managers and supervisors to determine that they are dealing with non-compliance appropriately, consistently and progressively. Interview workers to see

O D I Total /10



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if there have been corrective actions taken for non-compliance. Award points based on % of positive responses.

B2.7 Is the company using industry safety codes of practices and engineering standards to conduct its jobs, where appropriate? (15 points)

O (0-5) Observe work process on the site to determine if industry safety codes of practices and engineering standards published by recognized authorities are being utilized, such as WSBC - helicopter operations in forest industry, ANSI – all terrain vehicle standards, CSA – fall protection, crane operation, forklift operation, guarding, lockout, etc. . Award points based on % of positive observation. D (0-5) Review documentation to verify the adopted codes of practices and engineering standards are available. Award 5 points based on % of documentation available. I (0,5) Interview workers to confirm that they understand which safety codes of practices are to be used and why. 70 % positive response required to award points.

O D I Total /15



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B3. Inspections HAZARD AND RISK ASSESSMENT


B3.1. Does the company have a site inspection program? (5 points)

D (0,5) Review the company’s site inspection program. The inspection program must include specific written instructions which state the intent of inspections. Look for pre- or post-trip inspections, site inspections and maintenance inspections. If the inspection program is found and it outlines why the inspections are to be conducted, award 5 points.

O D I Total /5

B3.2. Does the inspection program outline what is to be inspected and the inspection frequency? (10 points)

D (0-10) Review the inspection program to determine if the scope of the inspection program including frequency for each of the different types of inspections :

equipment

facilities

materials

worker activities and practices

site conditions. Award 2 points for each above aspect stated in the inspection program.

O D I Total /10

B3.3. Are inspection checklists being used? (0-15 points)

D (0-15) Review inspection documentation to confirm that checklists are being used to identify hazards in the work environment. Award points based on the completeness of available checklists relevant to the activities of the company, such as:

a) Equipment (e.g. ladder, excavator, first aid supply)

O D I Total /15



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B3. Inspections HAZARD AND RISK ASSESSMENT


b) Facilities (e.g. fire protection systems, overhead crane, vehicle maintenance shop)

c) Materials (e.g. material storage isolation, approved containers, labeling & MSDS)

d) worker practices (e.g. equipment operation, driving, use of PPE)

e) site conditions (e.g. housekeeping practices, lighting, air quality)

Award 5 points if the checklists are effective in identifying the potential hazards of the work environment with respect to the nature and scope of the activities.

B3.4. Are the inspections being conducted in accordance with defined frequency of the inspection program and regulatory requirements by a qualified individual? (10 points)

D (0,10) Review inspection records to verify frequency and completion by a qualified individual. Verify training or certification records of the assigned inspectors with respect to the required competence for carrying out the inspections. If inspection frequency is consistent with program and regulatory requirements, award 5 points. If qualified individuals are assigned to carry out the inspection, award 5 points.

O D I Total /10



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B4. Risk Management HAZARD AND RISK ASSESSMENT


B4.1 Is there a process to ensure that any identified deficiencies are reported and the corrective/preventive actions are documented with assigned responsibilities? (0-10 points)

D (0-10) Review safety documentation to determine if there is a deficiencies reporting and tracking process all sources such as safety meetings, hazard reports from workers and contractors, inspections, investigations, etc.. If there is a procedure or instruction on reporting and capturing deficiencies, award 5 points. If the deficiency tracking system is documenting the deficiencies, required corrective/preventive measures, responsible persons, target completion dates and actual completion dates, award 5 points.

O D I Total /10

B4.2. Are deficiencies being reported and the corrective/preventive actions being implemented in a timely manner? (20 points)

D (0-10) Review safety program documents such as safety meeting minutes, inspection reports, incident reports including first aid and close calls, hazard report forms, etc to determined if deficiencies are being reported and documented. Award points based on the % of deficiencies that are reported and corrected within the established time frame. O(0-5) Observe worksite or field to verify corrective actions have been completed and to verify if there are recurring deficiencies. Award points based on % of positive observations.

O D I Total /20



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B4. Risk Management HAZARD AND RISK ASSESSMENT


I (0-5) Interview workers to determine if deficiencies are being reported and actions taken in a timely manner. Award points based on % of positive responses.



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Element B (Hazard and Risk Assessment) Scoring Summary

Total Points Awarded: Total Points Available: 235 - (n/a) Overall % awarded:



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C. Standards, Procedures and Work Instructions Management must ensure that the workers have the necessary safe work procedures to cover situations where their absence could lead to deviations from the OH&S policy and objectives and to ensure workers are applying the safe work procedures in a consistent and diligent manner to prevent incidents. This section of the BASE Audit examines whether this is an ongoing practice with the company. A company should develop their safe work procedures based on the results of the hazard identification and risk assessment process and relevant regulatory requirements. The adopted standards and safe work procedures should be documented, communicated and made available to all affected personnel including employees, dependent contractors, independent contractors and visitors. The auditor is to assess whether the adopted standards and procedures are appropriate in controlling the risks and meeting regulatory requirements. If the auditor identified that there are gaps in the required safe work procedures not meeting regulatory requirements (such as WorkSafeBC or Transport Canada) the results should also be reflected in the scoring and notes. Specific recommendations addressing the deficiencies identified must be provided so that the company can bring its program into compliance with the governing body.

C1. Safety Rules STANDARDS, PROCEDURES and WORK INSTRUCTIONS


C1.1. Does the company have health and safety rules to ensure a safe and healthy working environment other than safe work procedures or work instructions? (15 points)

D (0-10) Review the safety program document to determine if written health and safety rules are established to ensure a safe and healthy working environment is provided to all workers, such as smoking restriction, working alone, correct or report unsafe conditions, use of PPE, vehicle speed limit, seat belt use, etc. Health and safety rules must be available in languages understood by the workforce. Review training records or meeting minutes to determine if the health and safety rules been communicated to all workers including contractors on site. Award 5 points based on the % of appropriate safety

O D I Total /15



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rules available. Award 5 points based on the % of workers that the health and safety rules have been communicated. I (0-5) Interview workers to determine if health and safety rules have been communicated and they are aware of the relevant rules. Award points based on the % of positive responses.

C1.2 . Does the company have Personal Protective Equipment (PPE) policy governing the selection, training, provision and maintenance of PPE in accordance with regulatory requirements and established risk control measures? (15 points)

D (0-6) Review safety program document to determine if a PPE policy has been established. If the policy discusses the PPE selection criteria such as meeting regulatory requirements and recognized safety standards (CSA, ANSI) award 2 points. If the policy discusses the requirement of training on the use and maintenance of PPE award 2 points. If the policy discusses the provision and replacement of PPE award 2 points. O (0-5) Observe workers to see if they are wearing their PPE as required by company safe work procedures and regulatory requirements. Award points based on % of positive observations. I (0,4) Interview managers, supervisors and workers to

O D I Total /15



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determine if they know how to use, maintain and gain access to the necessary PPE that the company provides. 70% positive responses required to award points.

C1.3. Does the company have written standards or rules around alcohol and drug use/abuse? (10 points)

D (0,5) Review the safety program documentation regarding drug and alcohol issues. If the rules or standards are included in the program, award 5 points. I(0,5) Interview supervisors and workers to determine their awareness of the company’s alcohol and drug policy. 80% positive responses required to award points.

O D I Total /10



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C2. Regulatory Compliance STANDARDS, PROCEDURES and WORK INSTRUCTIONS


C2.1 Are worksite conditions in line with required company safety standards and regulatory requirements? (0-20 points)

O (0-8) Observe the worksite to determine if the conditions are in compliance with company safety standards and regulatory requirements such as:

Housekeeping

Material storage practices

Buildings, structures and installations

Roads and access

Signage The regulatory requirements should include but are not limited to WCB OHS regulation, Transportation of Dangerous Goods, Explosives Act and Regulations, Ministry of Transportation Regulations, fire code, electrical code, building code, Motor Vehicle Act / Regulation, etc. D (0-8) Review worksite condition inspection or certification records to determine if inspection or certifications are being carried out as per regulatory requirements such as fire safety inspections, boiler and pressure vessels, overhead lifting cranes, etc. I (0-4) Interview supervisors and managers to determine the extent of their knowledge of the applicable standards and if they are being followed. Award points based on % of positive observation and responses.

O D I Total /20



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C2.2. Are workers complying with all company safety rules, manufacturer standards and regulatory requirements? (0-20 points)

O (0-10) Observe work activities to determine if workers are complying with all company safety standards including operating tools and equipment in accordance with manufacturer and regulatory requirements. I (0-10) Interview workers including new hired and contractors to discover their understanding of the rules and regulations applicable to their job functions. Award points based on the % of positive observations and responses.

O D I Total /20

C2.3 Has a WHMIS program been implemented within the company? (10 points)

O(0-3) Observe during site tour if WHMIS labels are being used and current MSDS are available. Award points based on % of positive findings. D (0-5) Review records to determine if training is provided to all workers requiring WHMIS knowledge. Award points based on the % of positive findings. I(0-2) Interview workers to determine if they had WHMIS training and to determine their level of understanding on how to access WHMIS and MSDS information. Award points based on % of positive responses.

O D I Total /10



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C2.4. Is there a process to ensure the company is in compliance with relevant legislation? (15 points)

D (0-10) Review safety program document to verify there is a legal compliance assessment process to ensure the operating conditions and activities of company are in compliance with relevant legislation. If there is a procedure to identify the relevant legislation applicable to the company such as in the form of a list of regulations and standards, award 5 points. If there is an assessment plan documenting the schedule and responsibilities of assessing legal compliance with respect to all relevant legislation within a 2 year period, award 5 points. If audits are being carried out in accordance with the assessment plan and records are maintained of assessment completed, award 5 points.

O D I Total /15



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C3.1 Has the company written safe work procedures for both routine and non-routine activities that are performed on the work sites? (0-20 points)

D (0-20) Review company work activities and written safe work procedures to determine if required safe work procedures have been established for both routine and non-routine work activities based on legal requirements and results of hazard identification and risk assessment . Award a maximum of 15 points based on % of required safe work procedures established. Award a maximum of 5 points based on the completeness of the safe work procedures to include required safety control measures.

O D I Total /20

C3.2. Is there a process of developing, updating and reviewing safe work procedures involving the joint OH&S committee, qualified workers, supervisors and management in a combined effort? (10 points)

D (0-5) Review committee minutes if new and revised safe work procedures are being reviewed at least every 2 years or when changes occurred in legislation or work process. Award points based on the % of positive findings. I (0,5) Interview members of joint OH&S committee, supervisors and managers to determine if there is a process of involving experience workers in the development and update of safe work procedures. Interview worker representatives to determine if they have been involved. 70% of positive response required to award points.

O D I Total /10



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C3.3. Are workers knowledgeable about the safe work procedures which apply to their work? (0-10 points)

I (0-10) Interview workers to determine if they are able to knowledgeably discuss details of their safe work procedures Award points based on the % of positive responses.

O D I Total /10

C4. Emergency Response Procedure STANDARDS, PROCEDURES and WORK INSTRUCTIONS


C4.1. Has a first aid assessment been done for each worksite in accordance with WorkSafeBC regulations? (10 points)

D (0-10) Review first aid assessment documentation to determine if this has been completed for all work areas such as shops, offices, warehouse, processing facilities and field sites. Award points based on % of positive documentation.

O D I Total /10

C4.2. Are the proper number of first aid trained personnel on shift to meet the requirements for the work type and distance to assistance? (10 points)

O(0,5) Observe if the required number and level of first aid personnel on site. Award points if the number of first aid personal and level on site equal or exceeds the required number as determined by first aid assessment at the time of the audit. D (0-5) Determine through documentation if the assigned first aid personnel have their wallet cards readily

O D I Total /10



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available (in their immediate work area or on their person).. . Award points based on % of positive findings.

C4.3. Does the company have instructions within their safety program which direct first aid services? (5 points)

D (0,5) Review the first aid instructions and establish if they have clearly defined what first aid services are to be provided, what supplies are to be available and what equipment is to be stocked. If there is adequate instruction to supervisors and workers regarding first aid services, award 5 points.

O D I Total /5

C4.4 Do the first aid procedures clearly state how assistance is to be obtained by workers? (5 points)

D (0,5) Review the first aid procedures in the OH&S program to confirm that it clearly explains how first aid assistance is to be obtained at the site. If first aid procedures are clear regarding obtaining assistance, award 5 points.

O D I Total /5

C4.5 Is the first aid equipment adequate for the site? (0-10 points)

O (0-10) Examine the first aid equipment and ensure that it meets the required standard. Award points based on % of positive observations.

O D I Total /10

C4.6 Are there written Emergency Response Plans (ERP) for injuries, fatalities,

D (0-10) Review documentation in the ERP program to confirm that it provides clear, direct, simple instructions

O D I Total /10



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fires, environmental incidents and natural disasters and other emergencies appropriate to the company’s activities? (0-10 points)

to workers during an emergency. The plan must be obvious in its instructions, have contact information, indicate phone numbers for emergency personnel and have a unmistakable plan for “who does what when”. The auditor should be able to read the plan and have a clear understanding of what is involved when injuries, fatalities, fires, environmental incidents and natural disasters occur. Other emergencies may include:

- missing workers; - violence in the workplace; - rescue from height; - water rescue; - wildlife encounter.

Select a sample of phone numbers to verify accuracy. Award points based on the % of required procedures established and completeness of the ERP.

C4.7 Are workers on the site knowledgeable regarding the ERP’s? (5 points)

I (0,5) Interview workers and determine if they have adequate knowledge regarding the ERP system. The workers should be able to reasonably discuss the plan in general terms such as marshal points, radio use, contacting help, location of emergency phone list and understand their assigned responsibilities. 100% positive response required to award points.

O D I Total /5



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C4.8 Are there communication devices readily available, such as radios and phones as necessary, so that assistance can be contacted when needed? (5 points)

O (0,5) Observe if there are proper radios, phones or other appropriate communication devices readily available with workers, in vehicles or other applicable areas so that assistance can be summoned immediately when required. 100% positive observation required to award points.

O D I Total /5

C4.9 Are drills being conducted to periodically test the emergency response procedures? (10 points)

D (0-10) Review records of emergency response drills to determine if drills are being conducted to test the ERP for potential emergency situations. If drills fire and evacuation drills are conducted annually, award 3 points. If additional drills are conducted annually to test other potential emergency situations such as response to injuries, confined space rescue, etc., award 3 points. If results of the drills are reviewed with relevant parties (such as joint OH&S committee, contractors and emergency services) and ERP are amended based on results of the drills, award 4 points.

O D I Total /10



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C5. Employment Standards STANDARDS, PROCEDURES and WORK INSTRUCTIONS


C5.1 Are the camp or remote living facility conditions in accordance with regulatory required standards? (0-10 points)

0 (0-5) Observe the site conditions for potable water availability and access, cooking and sleeping areas, washroom and shower facilities, etc. to determine compliance with the relevant regulations such as Industrial Camps Health Regulation. I (0-5) Interview workers to determine if the conditions are meeting the required standards. Award points based on % of positive observations and responses.

O D I Total /10

C5.2 Are workers spending time away from work in accordance with the employment standards or within the rules of the bargaining agreement? (0-10 points)

D (0-5) Review crew shift schedules to determine if workers are being given time off as required by regulation or bargaining agreement. Award points based on the % of the company meeting the intended employment standard or bargaining agreement. I (0-5) Interview workers to regular schedule days off. Award points based on % of positive responses.

O D I Total /10

C 5.3 Are hours of work in accordance with the employment standards or the bargaining agreement? (0-10 points)

D (0-5) Review crew schedule and shift length of time cards to determine if the work hour regulations or rules are being followed. Private information policy act may prevent auditors to look at payroll information. Award points based on % of hour of work compliance.

O D I Total /10



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C5. Employment Standards STANDARDS, PROCEDURES and WORK INSTRUCTIONS


I (0-5) Interview workers to determine the length of work shifts and presence of overtime are within the standards or bargaining agreement. Award points based on % of positive responses

TIER 2 Audit Questions – Optional

Standards , Procedures and Work Instructions – TIER 2 STANDARDS, PROCEDURES and WORK INSTRUCTIONS


Lock Out

1. Does the site have a written Lock-out/Tag-out program? (X points)

(D) The program must require that all forms of energy be locked out by either the employee's own personal lock or the use of a lock box, lock ring, etc. during servicing or maintenance of machines, equipment or systems. The program must require that equipment with multiple energy sources have documented lockout procedures. The program must include: 1) A definition of all forms of energy on site, 2) Lock and key control (e.g., one key per lock), 3) Lock removal process, 4) Training and education requirements, 5) Program coordination and evaluation, 6) Contractor procedures and requirements, 7) Site specific rules (including requirement for test starting),

O D I Total

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8) List of equipment and related energy sources.

2. Does the site have written equipment-specific procedures? (X points)

(D) System or gang lock-out, which details specific lock points and control positions, is required for equipment with multiple energy sources.

O D I Total

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3. Available to authorized employees? (X points)

(I) Interview employees to verify that they can access procedures.

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4. Utilized in the performance of lock-out/tag-out? (X points)

(I,O) Interview employees to determine the level of utilization. If possible, observe a lock-out/tag-out process to verify utilization of written procedures.

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5. Is regular monitoring conducted to verify lock-out compliance? (X points)

(D,I) Authorized persons must monitor lock-outs. Look for records of all checks. Site must demonstrate a reliable method to conduct these inspections at least monthly and during maintenance shutdowns. Look for records of checks; could be included as part of employee observations, inspections, or a specific lock-out checklist. Confirm through employee interviews that monitoring takes place.

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Confined Space

1. Has the site conducted a survey to identify confined spaces and identified those spaces as permit required or non-permit required entry? (X points)

(D) The survey to identify confined spaces must be conducted by a competent person. If this survey has taken place and no confined spaces were identified, mark "Yes" for this question. Mark N/A for the remaining questions if NO confined spaces identified.

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2. Does the site have a written confined space entry/standard procedure? (X points)

(D) Written procedures must be available, and be revised/reviewed every two (2) years. If the survey identifies confined spaces and the site has a procedure in place to prohibit entry by employees, mark "Yes" for this question and the rest of section can be marked "N/A."

O D I Total

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3. Does the procedure address prevention of unauthorized entry into a confined space? (X points)

(D,I,O) Procedure must include signs and/or entry watch requirements. Observe procedures in use (if possible).

O D I Total

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4. Does the procedure establish methods for identifying all permit-required confined

(D) Definition of permit-required confined space must be in written procedures. List of permit-required spaces

O D I Total

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spaces? (X points)

must be available.

5. Are all employees and contractors entering a permit-required confined space trained? (X points)

(D,I) Check records and interview.

O D I Total

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6. Does the procedure establish the requirements for a confined space rescue team? (X points)

(D,I) Documentation must demonstrate that confined space rescue drills are conducted annually with all internal rescue team members, on equipment simulating the site's actual confined spaces. Where rescue is provided by external professionals, they must be familiar with the site hazards and types of confined spaces. This activity is usually completed through a site visit.

O D I Total

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7. Does the procedure require personnel who test the atmosphere to be trained and receive refresher training every 3 years? (X points)

(D,I) Verify atmospheric testers have received adequate training and that the site ensures competency by retraining testers at least every 3 years.

O D I Total

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8. Does the procedure require a trained attendant at the permit-required confined space entrance? (X points)

(D,I) Verify attendants understand their responsibilities.

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Working at Heights



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1. Does the site have a written program for working at heights? (X points)

(D) Site must establish a reliable method to protect workers who work at heights above 10 feet or 3 meters. A "No" on this question does not mean "No" for all questions in the sub-element.

O D I Total

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2. Does the program identify equipment and procedures workers are required to use when working at heights? (X points)

(D) Program must identify full body harness, lanyard, travel limiting devices, horizontal and vertical lifeline use and any other equipment. Program must identify how to use equipment and procedures developed to prevent falls from heights.

O D I Total

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3. Does the program identify training requirements for workers who may be permitted or required to work at heights? (X points)

(D,I) Training must include how to identify fall potential hazards, fall protection equipment available on site, appropriate tie-off points, and how to safely use this equipment.

O D I Total

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4. Does the site have a scaffold program and permitting system that ensures all scaffolds are built and used in compliance with regulatory requirements? (X points)

(D,I) Standard must meet minimum regulatory requirements and include a tag system to safely manage the use of scaffolds at the site and the requirement for pre-use inspection by user.

O D I Total

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5. Do workers know and follow the working at heights program? (X points)

(I,O) Interview workers and make site observation on use of ladders, scaffolds, aerial devices, and fall protection. Ensure employees are familiar with the program.

O D I Total

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Hot Work



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1.Does the site have a written hot work procedure for all hot work by site employees and contractors? (X points)

(D) Procedure must meet all requirements of the company standard for hot work. Review site procedures against the company standard.

O D I Total

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2. Does this procedure require the use of a permit? (X points)

(D) Check procedure for permit requirement.

O D I Total

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3. Does the permit require the following information: (NEED TO DEVELOP) (X points)

(D) Review completed permits to verify compliance.

O D I Total

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4. Date and time for the work to be done? (X points)

(D) Sample completed permits. 90% rule applies.

O D I Total

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5. A description of the equipment to be worked on? (X points)


O D I Total

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6. A description of fire suppression equipment?


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(X points)

7. Identification of potential combustible situations? (X points)


O D I Total

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8. Precautions to be taken? (X points)


O D I Total

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9. Does the hot work procedure include: (NEED TO DEVELOP) (X points)

O D I Total

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10. The use of fire/spark watch personnel? (X points)

(D,O) Review site procedure. Observe hot work permit activity on site if possible. Note presence of fire watch personnel if required.

O D I Total

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11. Relocation of combustibles or protection with flame-proof covers? (X points)

(D,O) Review site procedure. Observe hot work permit activity on site if possible. Check for relocation/protection activities for combustibles.

O D I Total

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12. Precautions against radiant or conductive heat? (X points)

(D,O) Review site procedure. Observe hot work permit activity on site if possible. Note if radiant/conductive heat precautions are being taken.

O D I Total

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Respiratory Protection

1. If mandatory respiratory protection is warranted by air monitoring results, is there a written respiratory protection program? (X points)

(D) Review documentation. If only disposable dust masks are used on a voluntary basis and are not necessary to protect employees from exposure, "N/A" all questions

O D I Total

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2. Are fit tests performed by a qualified person? (X points)

(D) Site must demonstrate what criteria were used to determine qualification of those performing employee fit tests. Evidence of training for this person is necessary.

O D I Total

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3. Are fit tests documented? (X points)

(D) There must be a record for each employee qualified to wear a respirator, indicating make, model, and size of each respirator that has been successfully fitted to that employee.

O D I Total

/

Ergonomics

1 Is there a person who has been assigned in writing the overall coordination of the ergonomics program? (X points)

(D,I) For smaller locations the coordinator may be responsible for multiple sites. Interview must confirm that employees know who the coordinator is.

O D I Total

/



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2. Is there a written plan that includes: (X points)

O D I Total

/

3 A statement of the site's commitment to ergonomics and the purpose and objectives of the program? (X points)

(D) The written plan must indicate the site's commitment to eliminating work-related soft tissue injuries/illnesses.

O D I Total

/

4. The process that will be used to identify, assess, prevent, and control ergonomic hazards, and provide training for affected employees? (X points)

(D) The plan must include processes for how each of these will be accomplished.

O D I Total

/

5. A process for employees to report concerns or make suggestions? (X points)

(D,I) Must include how employees are to make suggestions, how suggestions are handled, and how feedback is to be provided.

O D I Total

/

6. Have all employees, supervisors, and site leadership received basic education in ergonomics? (X points)

(D) All employees must receive awareness training. Training for leadership includes the business case for ergonomics, business/site ergonomics plans and any regulatory requirements.

O D I Total

/



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7. Is there a reliable system to evaluate and take corrective actions on reported soft tissue discomfort/symptoms? (X points)

(D,I) Method must be in writing and include a process for reporting and responding to soft tissue discomfort/symptoms, determining the causes/contributors, and providing appropriate medical care when needed. Corrective action must include steps to correct and prevent recurrence of discomfort/injury to that employee and others who may be affected.

O D I Total

/

8. Has an assessment identifying ergonomic hazards and potential hazards of each task been completed? (X points)

(D,I) Look for prioritization based on factors such as discomfort reports, number of soft tissue injuries, number/severity of ergonomic hazards associated with a task or workstation, number of employees at risk, ease of correction, etc.

O D I Total

/

9. Has the information from the assessment been used to prioritize ergonomics improvement activities? (X points)

(D,I) Look for prioritization based on factors such as discomfort reports, number of soft tissue injuries, number/severity of ergonomic hazards associated with a task or workstation, number of employees at risk, ease of correction, etc.

O D I Total

/

10. When feasible, are engineering controls used to reduce/eliminate ergonomic hazards? (X points)

(D,O) Engineering controls involve changes to the equipment, workstation, tools, etc. used by employees.

O D I Total

/

11. Is there evidence that the ergonomics improvements and controls are effective?

(D, I, O) Must include evidence of a reduction in ergonomics hazards and/or discomfort/injuries.

O D I Total

/



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(X points)

Employee interviews must confirm improvements.



63

Element C (Standards, Procedures, and Work Instructions) Scoring Summary

Total Points Awarded: Total Points Available: 255 - (n/a) Overall % awarded: TIER 2 Questions SCORING NOT INCLUDED



64

D. Training, Education and Certification Auditors must understand the difference between training and education when conducting the analysis of this section. Training is a task-specific orientation or set of skills shown or given to a worker so that they understand how to do a job. For example, a mechanic would need training to learn how to put a starter on an engine. The other side is education, where a worker is required to understand the processes of why they do a specific thing a specific way and takes a knowledge-based course to obtain this. Many times training and education go hand in hand, because having the knowledge is different than using it in the proper manner. This section of the BASE Audit essentially asks the question: “Does the workforce know all the aspects of the task for which they are being asked to perform, and can the company demonstrate this?” Certification is defined as recognition of having obtained certain qualifications. Many different jobs in the forest sector, regardless of discipline, require that the worker has a certification, otherwise known as a “ticket”, to do specific tasks. While certification does not ensure that the worker will not get injured in the course of their work, it does allow the company to have a reasonable expectation that the worker understands the basic tasks of the job, understands how to prevent getting injured or injuring others, and has the fundamental knowledge to complete the task at hand. There are no guarantees, but with certification comes the belief that the worker has at least completed a level of training which can help to keep them safer than if they had no training at all. Auditors must be clear that there is a distinct difference between certification and competency. Certification shows that you have education or training, where you have received a document or card indicating that you have passed the basic requirements of the program. Competency is defined as having the ability, skill, proficiency and expertise to perform the task(s) required in a safe, reliable, reproducible manner. These are two different things, and this must be recognized by the auditor and, ultimately, the company.



65

D1. Orientations TRAINING, EDUCATION and CERTIFICATION


D1.1. Are orientations given to new-hire workers and workers returning from an absence of greater than 6 weeks or workers that are starting a new job function on the first day before they commence work? (10 points)

D (0,5) Review orientation records or training records to verify if orientations are being given to all workers as required and that this occurs on first day of work or prior to the start of work 90% of required orientation needs to be completed on the first day prior to work starting to award points. I (0,5) Interview affected workers (new hires, return to work and reassigned workers) to confirm they have had a formal orientation on their first day prior to commence of work. 90% positive response required to award points.

O D I Total /10

D1.2. Does the orientation program for employees and contractors meet regulatory requirements? (0-10 points)

D (0-10) Review company’s policies, orientation checklist, new hire handouts, employee files and supervisor records to determine the information is consistently given to new hires, young workers, returning workers, transferred workers and contractors meeting regulatory requirements. Award points based on % of topics covered as compared to the total number of topics required by regulation.

O D I Total /10

D1.3. Are visitors given an orientation to the worksite, ensuring they have the correct

O (0,2) During the start of the audit, when the auditor enters the operation and before they proceed to do a

O D I Total /5



66

D1. Orientations TRAINING, EDUCATION and CERTIFICATION


information required so that they do not get injured during their time on the site or in the operation? (5 points)

worksite check, a full orientation should be conducted. If this occurred, award 2 points. D (0,3) Review site visitor records and supervisor records to determine if the company is conducting orientations for visitors. The level of orientation should be adequate in addressing hazards and risk s of the visitors’ activities. If auditor can confirm visitor orientation, award 3 points.

D1.4. Is there a process designating who conducts orientations and when this is to be done? (0-5 points)

I (0-5) Interview managers, supervisors and workers to determine if they are clear who is to conduct orientations and when. Award points based on % of positive interviews.

O D I Total /5



67

D2. Training and Education TRAINING, EDUCATION and CERTIFICATION


D2.1 Does the company have a formal training program which is designed to ensure workers are competent in performing their assigned tasks? (0-20 points)

D (0-20) Review training documentation, such as training policy, training needs analysis and training plans to ensure that the required worker training needs are identified and a program exists for implementing the required training. Verify if the following training documentation exists:

a) training policy outline how training will be provided and the responsible parties, award 5 points

b) training plan outline the types of training/refresher training and time frame, award 5 points

c) training tracking and record filing system to track training provided and certification of workers, award 5 points

Award a maximum of 5 points based on the comprehensiveness of the training plan in providing the % of training required by the company safety program and regulatory requirements and the completeness of records maintained.

O D I Total /20

D2.2 Does the company ensure workers are competent to perform their tasks before it permits that worker to perform that task? (0-10 points)

D (0-7) Review training records, certificates of qualifications, and supervisors’ records to determine if on the job competence assessment of workers has been conducted prior to permitting the worker to perform their assigned tasks. Award points based on % of worker competence

O D I Total /10



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assessment completed versus as number of workers. I (0,3) Supervisors must be able to discuss the worker competence assessment process and criteria knowledgeably. 90% positive responses required to award points.

D2.3. Is training being conducted with employees on an ongoing and as required basis? (10 points)

D (0-5) Review training records to determine if the required training and refresher training have been provided to relevant workers in a timely manner and training records are maintained. . Award points based on % of positive findings. I (0,5) Interview supervisors to determine if they are aware of the method of tracking training and they have the necessary information of assigning tasks to qualified workers. Interview workers to verify if they are aware of their own training requirements and have completed the required training. 90% positive responses required to award points.

O D I Total /10

D2.4. Are members of the joint OH&S committee receiving their training as per regulatory requirements? (10 points)

D (0-5) Review training records to confirm annual training for members of the joint OH&S committee has been planned or provided. Award points based on the % of positive findings. I (0-5) Interview members of the joint OH&S committee

O D I Total /10



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to confirm training has been planned or provided. Award points based on % of positive findings.

D3. Certification TRAINING, EDUCATION and CERTIFICATION


D3.1. Is there a process within the company to ensure that workers’ certification is valid and up to date? (0-10 points)

D (0,5) Review documentation (such as risk assessment records, job descriptions or responsibilities, safe work procedures) to confirm that there is process workers including contract workers have the necessary certifications for their assigned tasks and their certifications are maintained up to date. If there is a documented process, award 5 points. I (0-5) Interview managers and supervisors to determine if they are aware what jobs require certification and licensing requirements and confirming certificates of workers under their supervision. Award points based on % of positive findings.

O D I Total /10

D3.2. Are workers carrying their certification documentation and license with them where required? (0-5 points)

O (0-5) Observe if workers are carrying current certification and or license accordance with legal requirements. For example, blasters and fallers are required to carry their certificates when working in that capacity.

O D I Total /5



70

D3. Certification TRAINING, EDUCATION and CERTIFICATION


Award points based on % of observations.

Element D (Training, Education, and Certification) Scoring Summary




71

E. Health and Safety Communications Systems One of the key elements of an Occupational Health and Safety program is an effective method of communication between management, workers and contractors. This communications system can take the form of written or verbal methods, but more importantly, the route of communication must be two-way. A system which only permits management to speak to workers, for instance, will not be very effective, as it will not allow for the participation of all levels of workers. Within the forest sector in British Columbia there is a requirement for joint occupational health and safety committees to be present with certain-sized companies. These committees are literally the heart of a company’s health and safety program, as it is the communication system between management and workers. It is the structure by which workers can put forward their ideas and suggestions, as well as note difficulties or questions. It is a tool that management can use to get information to workers, and it is a unique method of changing and strengthening the health and safety program. Even if the infrastructure of the health and safety program is in place within a company, without proper and adequate communication of issues and responsibilities the program will be ineffective. Auditors will evaluate the existence of communications systems and measure their effectiveness. In this section of the BASE Audit emphasis will be on evaluating how information is communicated between management and workers.

E1. Safety Meetings HEALTH and SAFETY COMMUNICATION SYSTEMS


E1.1 . Are site safety meetings being held on a monthly basis with workers to discuss current and ongoing health and safety issues? (5 points)

D (0-3) Review site safety meeting minutes (other than joint occupational health and safety committee meetings) to confirm safety meetings are being held at least once for every operating months. Award points based on the % of safety meeting being held for all operating months of the previous 12 months. I (0,2) Interview workers to confirm existence of the meetings and their attendance. 70% positive response required to award points.

O D I Total /5



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E1.2. Are attendees encouraged to participate in the safety/tailgate meetings? (0-2 points)

I (0-2) Interview workers to determine that they are encouraged to participate safety meetings and in case of their absence necessary site safety information is communicated to returning workers. Award points based on % of positive responses.

O D I Total /2

E1.3 Are the contents of tailgate and safety meetings consistently documented? (5 points)

D (0-5) Review safety meeting minutes to confirm the items discussed are recorded in a consistent manner such as safety issues discussed, resolutions and actions completed. The auditor should note that a company can have a combination forms or checklist to capture discussion items for full and tailgate safety meetings, as long as there is a place on the document to differentiate this. If there is a standardized template for tailgate and safety meetings, award 3 points. If the contents of meetings are consistently recorded, award 2 points.

O D I Total /5

E1.4. Does the company post or make available safety meeting minutes to

O (0,2) Observe worksite to verify safety meeting minutes have been made available such as by posting or

O D I Total /2



73



workers? (2 points)

distributing to workers . If meeting minutes are posted or distributed, award 2 points.

E2. Documentation HEALTH and SAFETY COMMUNICATION SYSTEMS


E2.1. Does the company have a process of identifying what safety documents including safety records are required and how they are to be maintained? (5 points)

D (0-5) Determine if there is a process of identifying and retaining safety documents records required by the company’s safety program and legislative requirements such as safe work procedures and records of confined space entry, hydrostatic testing of fire extinguishers, etc. If there is a process in place, such as a safety documentation/record list or safety document filing system, award 3 points. Award a maximum of 2 points based on the comprehensiveness of the system in capturing and retaining the required safety documents.

O D I Total /5



74



E2.2. Do managers and supervisors regularly share health and safety program performance information relevant to their operation with their workers? (0-10 points)

D (0-6) Review meeting minutes, bulletin boards and newsletters to see whether the following information is being shared:

workplace inspection results

WorkSafeBC reports

hazard / safety alerts

incident investigations

safety meeting minutes;

Corrective actions taken;

Progress towards safety goals and

safety statistics.

Award 1 point for each above type of information shared up to a maximum of 6 points.

I (0,4) Interview workers to conclude if managers and supervisors are conducting this practice and how it is being completed.

70% positive response required to award points.

O D I Total /10

E2.3. Are safety program evaluation and assessment reports communicated or made available to workers and joint OH&S committee members when requested? (5 points)

D (0,2) Review the records management system to confirm the presence of safety program evaluation documents such as reports of internal/external inspections, audits, ergonomics and environmental surveys . If these are found, award 2 points. If any of the reports are missing from the previous year, award 0. I (0,3) Interview workers and safety committee members

O D I Total /5



75



to determine if the findings of these reports are communicated to them and they can access the reports when requested. 70% positive response required to award points.

E3. Joint Occupational Health and Safety (OH&S) Committee HEALTH and SAFETY COMMUNICATION SYSTEMS


E3.1. Is there a joint OH&S committee established and the functions of the committee clearly defined in the health and safety program? (20 points)

D (0-20) Review the health and safety program to verify it identifies the existence of a joint OH&S committee. Verify the structure, roles and responsibilities of the Joint OH&S Committee which must, at a minimum, be compliant with WCB regulation. If the committee’s terms of reference are clearly defined and meeting regulatory requirements, award 10 points. Review meeting minutes to verify the required composition of the committee and if it has been maintained award 10 points.

O D I Total /20

E3.2. Are the members of the Joint OH&S Committee actively involved in the health and safety program? (20 points)

D(0-10) Review committee minutes or other relevant records to verify members of the committee are fulfilling their roles and responsibilities such as:

to identify hazardous situations and advise on

O D I Total /20



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effective control measures;

to consider and expeditiously deal with safety complaints of workers;

to consult with workers and the employer on safety related issues;

to make recommendations to the employer and the workers for the safety improvement;

to make recommendations to the employer on educational programs and to monitor their effectiveness;

to advise the employer on programs and policies and to monitor their effectiveness;

to ensure that incident investigations and regular inspections are carried;

to participate in inspections, investigations and inquiries.

Award points based on % of positive findings. I (0,10) Interview committee members to determine the level of involvement of the OH&S Committee. Members should be able to speak knowledgeably about the program, such as when they meet, what the content of the meetings consist of and what are their responsibilities. 70% positive responses required to award points.



77



E3.3. Is Joint OH&S Committee documentation being communicated and handled in a proper manner? (5 points)

D (0,5) Review documentation to confirm that Joint OH&S Committee safety meeting minutes have been created, posted, maintained in a record management system and reviewed when necessary. The Joint OH&S Committee meeting minutes for the past 3 months must be posted physically or electronically in location accessible by workers or made available in field sites to award points.

O D I Total /5

Element E (Health and Safety Communication Systems) Scoring Summary




78

F. Incident Reporting and Investigations Systems Incident reports and investigations are the results of a company’s systems failing in some manner. They are the stories of what occurred, who was involved and what the findings were of why all of this happened. Incident investigation is to determine underlying OH&S deficiencies and other factors that might be causing or contributing to the occurrence of incidents. The objective is to identify develop effective recommendations addressing the necessary corrective and preventive actions required to achieve continual improvement. Too often these reports and investigations are descriptions in general terms of what occurred, with little in the way of useful recommendations to prevent recurrence. This section of the BASE Audit asks questions on whether incidents are being reported, and if reported, are properly investigated. More to the point, is a system in place to report and investigate incidents which occur? Does the company have a methodology to this? Do workers, supervisors and managers understand why this is important? Ultimately, the end result of a report and investigation is corrective and preventive actions, which will help prevent the incident from recurring. However, many cases of investigations are simply rote writing of the facts and without any root cause analysis. Root causes must be determined and controlled in a manner which will allow the company the best chance to prevent recurrence. The people who are conducting the investigations must also be trained in this discipline, because if this is not completed, it will most likely result in a poor assessment of the needs and controls of the system which failed, and in the end, poor recommendations for the prevention of recurrence.

F1. Incident Reporting INCIDENT REPORTING and INVESTIGATIONS SYSTEMS


F1.1 Does the company have written requirements and procedures for the reporting and investigation of incidents? (10 points)

D (0-10) Review policies and program instructions for written procedures for regarding how incidents are to be reported and investigated. Included in these procedures is the requirement for the immediate reporting of all incidents including close calls or near miss reporting. If the investigation policy and procedure include:

a) responsibilities of reporting by all personnel

O D I Total /10



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(employees, visitors, contractor personnel) , award 2 points

b) immediate reporting of all incidents including close calls / near misses and property damage, award 2 points,

c) responsibilities and authority of persons involved in the investigation and implementation of corrective and preventive actions, award 4 points

d) procedure for carrying out the investigation, award 2 points

F1.2. Does the company have an incident reporting form? (5 points)

D (0,5) Review the health and safety documentation and confirm an incident reporting form. Note to auditors that this form could be combined with the incident investigation form. Points could be awarded if the necessary reporting information is covered. If the incident report form exists, award 5 points.

O D I Total /5

F1.3 Does the company have an incident investigation form capturing pertinent investigation findings leading to the determination of root causes and recommendations for improvement (5 points)

D (0-5) The auditor is to examine the incident investigation form and to assess the comprehensiveness of the incident report form including items such as investigation findings, root causes and recommendations. Award points based on the comprehensiveness of the incident report form.

O D I Total /5



80



F1.4 . Are incidents being reported to the company? (0-10 points)

D (0,3) Review documents, such as incident reports, first aid records, maintenance records and WorkSafeBC documentation, and determine if incidents are being reported. If it is clear that incidents are being reported, award 3 points. O (0,3) Observe worksite and equipment conditions for unreported damage. If it is clear that incidents are being reported, award 3 points. I (0-4) Interview workers to determine if they are aware of the requirement and procedure to report incidents and the amount of reporting that is being done. Award points based on % of positive responses.

O D I Total /10

F1.5. Are incidents being reported to the relevant authorities or agencies according to regulatory requirements? (10 points)

D (0-10) Review the incident reporting and investigation document and determine if incidents are being reported to relevant authorities or agencies with respect to the operating activities of the company. For example WorkSafeBC (fatality, injuries and hazardous occurrences), BC Safety Authority (Boilers and pressure vessels explosion), BC Hydro (power line contact), Ministry of Environment (chemical spills), Ministry of Forest and Range (forest fire), Ministry of Transport (vehicle incidents).

O D I Total /10



81



Award points a maximum of 5 points based on the comprehensiveness of the instruction on what gets reported to the relevant authorities with respect to the company’s operating activities. Award a maximum of 5 points based on the % of reporting documented versus required.

F2. Incident Investigations INCIDENT REPORTING and INVESTIGATIONS SYSTEMS


F2.1 . Are all incidents that are reported investigated by the company? (0-10 points)

D (0,5) Examine incident reporting and investigation documentation to determine if all incidents have been investigated to an extent appropriate to the severity and risk of the incident. 90% of incidents reported need to have been investigated to the appropriate extent to award points. I (0-5) Interview workers and supervisors to determine if all incidents are investigated. Award points based on % of positive responses.

O D I Total /10

F2.2 . Are all persons conducting investigations trained in this practice?

D (0-5) Examine training records to see if investigation training has been completed for persons who are

O D I Total /10



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(0-10 points) assigned with investigation responsibilities such as supervisors and OH&S Committee representatives. Award points based on % of trained investigators versus number of persons responsible for investigation. I (0-5) Interview both management and workers persons responsible for investigation to establish if they have been formally trained. Award scores based on % of positive responses.

F2.3 Have completed investigation focused on collection of evidence? (0-10 points)

D (0-10) Review investigation reports to determine if necessary evidence has been collected to support data analysis such as documenting:

events leading to the incident

conditions of the work environment

witness statements

interviews of relevant employees

photos and diagrams of the incident scene

Employee training

Conditions of tools and equipment

Conditions of employees involved

Applicable safe work procedures

Emergency procedures followed Award points based on % of completeness of evidence collection.

O D I Total /10



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F2.4 . Have completed investigation included a root cause analysis? (0-10 points)

D (0-10) Review incident investigation reports to determine if root cause analysis is being done. Award points based on % of root cause analysis completed for each investigation compared to investigations conducted.

O D I Total /10

F2.5 Is there a process to track the implementation of recommendations of the investigation to prevent recurrence of similar incidents? (0-10 points)

D (0-6) Review the completed investigation reports, corrective action log or similar process which formally tracks what needs to occur, by when, who is responsible and actual date of actions completed. Award a maximum of 3 points based on % of corrective actions completed post incident. Award a maximum of 3 points based on positive indication, such signatures of responsible supervisors/managers , I (0-4) Interview managers and supervisors to determine if they understand this process and monitoring completion. Award points based on % of positive responses.

O D I Total /10

F2.6 Is there a method of implementing the investigation recommendations?

D (0,10) Examine the investigation program to determine if the written rules or procedures

O D I Total /20



84



(20 points)

for review and implementation of the recommendations includes:

a) Evaluating the risk of the recommendations through the risk assessment process, award 2 points;

b) Reviewing and amending associated safe work procedures, award 2 points;

c) Defining the responsibilities and authority of the persons involved in implementing the recommendations, award 2 points;

d) Communicating the recommendations and changes made to interested parties including employees and contractors, award 2 points;

e) Monitoring the effectiveness of the implementation, award 2 points.

I (0,10) Interview supervisors and managers and Joint OH&S committee members to verify if there is a methodology for implementing recommendations from investigations and their level of understanding. 90% positive responses required to award points.

F2.7 . Is there a written procedure of who must review the investigation and follow-up

D (0-10) Review the investigation program to evaluate if there is clear guidance on who is to receive and review

O D I Total /15



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reports? (15 points)

the investigation and follow-up reports. Award 5 points if the receiving parties include at least the following:

Senior management

Managers and supervisors responsible for the operations involved

Joint OH&S Committee Award a maximum of 5 points if there is documented evidence of the reports are being reviewed by the required individuals or committees. I (0,5) Interview managers, supervisors and Joint OH&S Committee members to determine if they review all incidents. 90% positive response required to award points.

F2.8 . Is there a person who is ultimately responsible for the investigation system? (10 points)

I (0,10) Interview supervisors and workers to identify the person with assigned duties and responsibilities to ensure investigation procedures are completed for all incidents and corrective actions are closed off in a timely manner. 70% positive responses required to award points.

O D I Total /10

F2.9 . Is there a process of collecting, correlating and examining incident statistics

D (0-10) Review safety program documentation such as statistical reports using Excel spreadsheets, pie charts,

O D I Total /15



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to develop safety improvement strategy? (0-15 points)

bar charts or other appropriate methods, to record, sort and analyze incident data including:

a) First aid case b) Injuries c) Property damage d) Close call incidents (Near misses)

If incident data analysis is being conducted, award 5 points. If analysis is being conducted to develop safety improvement strategy, award 5 points. I(0,5) Interview managers and supervisors to determine if they are aware of the statistical results of the incident data analysis and safety improvement strategy.

F2.10. Are safety alerts composed and shared after investigations are complete, including relevant ones with the sector? (0-10points)

D (0-10) Examine investigation and other program documentation to determine if safety alerts are developed following incidents. Determine if this information is being shared with the company workers, contractors and the sector in general through submitting safety alerts to the BC Forest Safety Council. Award points based on % of positive findings.

O D I Total /10

F2.11 Are safe work procedures reviewed after an incident occurs to ensure that the changes required by the investigation findings are amended and they meet or exceed jurisdictional requirements? (15 points)

D(0-10) Review safe work procedures associated with the findings and recommendations of incidents to verify the required amendments has been made and the changes have been communicated to relevant workers and contractors. Award 5 points based on the % of safe work procedure

O D I Total /15



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amendment. Award 5 points based on the % of amended safe work procedures being communicated to workers and contractors. I (0,5) Interview workers and contractors to discover if amended safe work procedures have been communicated to them after an incident. 70% positive responses required to award points.



88

Element F (Incident Reporting and Investigation Systems) Scoring Summary Total Points Awarded: Total Points Available: 175 - (n/a) Overall % awarded:



89

G. Contractor Management Contractors are an integral part of the forest sector and, in particular, serve companies in various areas of operations, most often with “phase” work. Typically, a stump to dump contractor will contract out some of its work which it is either not familiar with as a business or has the need for expanded operations for a short duration only. Contractors typically make up the bulk of the claims which occur in the forest sector in BC, and therefore must have their Occupational Health and Safety program evaluated. To simply hire a contractor based on their price or agreed upon work requirement does not meet the intent of a successful program. Additionally, it has been made clear that companies cannot legally contract out their safety responsibilities. This section of the BASE Audit asks questions surrounding the selection, evaluation and monitoring of contractors safety performance. Additionally, it is asking how cascading responsibilities are designed to work within that particular business model.

G1. Selection Criteria CONTRACTOR MANAGEMENT


G1.1. Has the company selected contractors that have met pre-qualification selection criteria that include safety and the requirement to be SAFE Companies certified? (0-20 points) (Woodland only)

D (0-15) Review contractor selection documentation and completed contractor evaluation records to determine how contractors are selected and what the criteria are regarding health and safety requirements. If there is a clear outline of the contractor safety requirements, award 5 points. If they are being consistently applied to evaluate the competence of the contractors, award 5 points. If there is a requirement to be SAFE Companies certified, award 5 points I (0-5) Interview managers, supervisors and others who

O D I Total /20



90



are involved in the selection of contractors to determine if they understand what the selection criteria are. Award points based on % of positive responses.

G1.2. Has the company communicated (written and verbal) its health and safety program requirements to the contractor? (0-10 points)

D (0-4) Review documentation, such as contractor agreement, contractor roles and responsibilities sign off, new hire orientation, and contractor meeting minutes to confirm that contractors’ safety responsibilities with respect to the company’s health and safety program have been clearly defined and communicated. Contractors must have received both written and verbal communication. Award points based on % of positive findings. I (0-6) Interview contractors to determine if this is occurring and their level of understanding regarding the company’s health and safety program requirements. Award points based on % of positive responses.

O D I Total /10

G1.3. Does the company require its contractors to only hire SAFE certified companies if permitted to hire sub-contractors? (0-10 points) (Woodland only)

D (0,5) Review contractors’ agreement to confirm that the company has included a clause into the agreement to hire only approved sub-contractors who have SAFE Companies certification or other Certification of Recognition (COR) accreditation. If the requirement in stated in contractor agreement or subcontracting is prohibited, award 5 points.

O D I Total /10



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I (0-5) Interview supervisors, managers and sub-contractors to determine if this requirement or prohibition exists. Award points based on % of positive responses.

2. Contractor Management CONTRACTOR MANAGEMENT


G2.1 Does the company communicate know and foreseeable hazards identified in the planning of the operations to the contractors? (0-10 points)

D(0,5) Review contractor documents such as pre-work meeting minutes and orientation records to determine if site hazards identified in the planning have been communicated to the contractors. 100% positive documentation evidence is required to score points. I(0-5) Interview contractors to determine if they have been made aware of the known and foreseeable hazards identified in the planning. Award points based on % of positive responses.

O D I Total /10

G2.2. Is there a regular monitoring process to ensure contractors are performing in accordance with the required safety standards? (0-20 points)

D (0-15) Review contractor assessment documentation to determine if the activities of the contractors are being monitored. Award a maximum of 5 points if contractor monitoring

O D I Total /20



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criteria is established and the frequency of assessment is based on the scope and risk levels of work activities. Award a maximum of 10 points based on % of contractor assessment conducted compared to the required frequency. I (0-5) Interview supervisors and managers who have responsibilities in contractor monitoring to determine if they understand the contractor monitoring criteria and frequency and if this is being done on a regular and ongoing basis. Award points based on % of positive responses.

G2.3. Does the company have a requirement for its contractors to report safety performance records and incidents including close calls? (20 points)

D (0-15) Review contractor safety documentation and reporting records to determine if the company has established safety performance records contractors are required to report (such as records of safety meetings, inspections, training, personal and equipment certifications as required by regulations, etc) in addition to the reporting of incidents including close calls . Note to auditor the extent of reporting could be varied based on the scope and risk of contract activities. Award 5 points if the reporting requirements are established. Award a maximum of 10 points based on % of positive

O D I Total /20



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findings with respect to the number of contractors are reporting and the type of information reported. I (0-5) Interview supervisors and managers responsible for contractor management and contractors to confirm their understanding of the reporting requirements. Award points based on the % of positive responses.

G2.4. Does the company have a process to review and analyze safety performance of contractors? (10 points)

D (0,8) Review contractor documentation to determine if the company is reviewing and analyzing results of contractor monitoring and safety data submitted by contractors to assess their performance on a regular basis. This could be monthly, quarterly or as agreed upon by the company and the contractors based on the scope and risk of contract activities. Award points based on % of review and analysis conducted. I (0,2) Interview supervisors/managers responsible for contractor management to verify that it is being done according to the pre-determined frequency. 70% positive response required to award points.

O D I Total /10

G2.5. Does the company hold regular meetings with its contractors to review safety performance including non-conformances and continual improvement? (0-15 points)

D (0-10) Review documentation, such as company/contractor meeting minutes, contractor inspection/audit reports, etc., to determine if there have been meetings where health and safety issues, non-conformances and safety performance improvements have been discussed with contractors. For short term contract activities evidence of contractor meetings could

O D I Total /15



94



be in the form of supervisor/manager journal. Award points based on % of contractors who have had meetings with the company. I (0-5) Interview supervisors/managers responsible for contractor management to determine how they communicate health and safety issues and safety performance improvement with contractors. A consistent management approach is required. Award points based on % of positive responses.

G2.6 Does the company have a requirement for continually improving safety performance from its contractors? (10 points)

D (0,2) Review documentation, such as contractor’s contract or written contractor expectations, to determine if there is the requirement for a contractor to continually improve their safety performance. If documentation that the contractor received clearly state expectations, award 2 points. I (0,8) Interview supervisors/managers responsible for contractor management to determine if they reinforce continuous safety improvement with their contractors. 70% positive responses required to award points.

O D I Total /10

G2.7. Has the company assigned the duties of Prime Contractor on its multiple employer

D (0,5) Review documentation, such as contractor agreements, to determine if this status has been

O D I Total /10



95



sites when appropriate? (10 points)

formally given to contractors. If documentation clearly indicates who has been assigned Prime Contractor, award 5 points.

I (0,5) Interview supervisors, managers and contractors to determine if this has been appropriately assigned. 100% positive response required to allocated points. This question must be awarded as “not applicable” if the company retains Prime Contractor status itself or if the company itself operates under a Prime Contractor. This question is the litmus test for proceeding to Element H. If the audited company, institution or government agency assigns Prime Contractor status to a contractor, proceed with Element H.



96

Element G (Contractor Management) Scoring Summary

Total Points Awarded: Woodlands Total Points Available: 135 - (n/a) FPM Total Points Available: 105 - (n/a)

Overall % awarded:



97

H. Prime Contractor Selection and Management This section of the BASE Audit only applies to companies, institutions, government agencies and any other parties who assign Prime Contractor status to companies they are hiring to perform work. This element applies to multi-employer worksites where there are workers from more than one company working at the site or operation.

H1. Prime Contractor Selection and Management PRIME CONTRACTOR SELECTION and MANAGEMENT


H1.1. Does the selection criteria include a determination of the qualification of the contractor to be a Prime Contractor? (0-10 points)

D (0-10) Review contractor selection/evaluation documentation to confirm the qualification to be a Prime Contractor has been assessed based on the combination of education, training and experience of the contractor before they are selected. This must include the ability for the contractor to coordinate the program and to have site control. Award points based on % of positive findings of assessment conducted vs. all Prime Contractors hired.

O D I Total /10

H1.2. Does the selection criteria include ensuring that the Prime Contractor has SAFE Companies certification? (10 points) (Woodlands only)

D (0,10) Review contractor selection documentation and SAFE Companies certification of Prime Contractors to confirm the requirement of SAFE Companies certification. If SAFE Companies certification requirement exists, award 5 points. If Prime Contractors hired are SAFE Companies certified, award 5 points.

O D I Total /10



98



H1.3. Has the Prime Contractor agreement been signed off by both parties, and does the agreement clearly outline the authority and duties to be conducted by the Prime Contractor? (10 points)

D (0,10) Review documentation, such as Prime Contractor agreements or Prime Contractor negotiation documents, to confirm it clearly indicates:

a) the assignment of Prime Contractor a) responsibilities of both parties b) authority of the Prime Contractor; and c) the agreement has been signed and dated by

both the Prime Contractor and the contracting party.

If all above requirements are confirmed, award 10 points.

O D I Total /10

H1.4. After the contractor has agreed to be the Prime Contractor, is the assigning party ensuring that these duties are being conducted in accordance with the regulatory and company safety program requirements? (0-10 points)

O (0-2) Observe field demonstration of the assigning company’s contactor manager to see how s/he is in the field overseeing the operations to monitor safety compliance. Award points based on % of positive observations. D (0-4) Review Prime Contractor site inspection sheets, audit reports, etc., to confirm if the contract manager/supervisor is ensuring that the assigned tasks of Prime Contractors are being completed. Award points based on % of positive findings. I (0-4) Interview contract manager/supervisor to determine if they know their responsibilities in ensuring Prime Contractor duties are being fulfilled and that it is regularly being done.

O D I Total /10



99



Award points based on % of positive responses.

H1.5. Is there a process for the Prime Contractor ensures that all contractors participate in their safety program for that worksite? (15 points)

D (0-10) Review Prime Contractors’ safety program to determine if there is a process to manage all other contractors on the worksite. Award a maximum of 10 points based on the completeness of the process such as:

a) notification to Prime Contractor of any potential hazards before starting any activities

b) reporting of incidents and close calls c) verification of worker and equipment certification

as per legal requirements d) contractors’ workers to attend initial safety

meetings e) Monitor work activities of contractors on a

regular and on-going bases f) Periodic meetings between the Prime Contractor

and other contractors on site I (0,5) Interview the manager and site safety representative of the Prime Contractor to determine if they understand the process of ensuring all contractors are participating in their safety program. Award points based on % of positive findings.

O D I Total /15



100



H1.6 . Is there a requirement for the Prime Contractor to clearly identify themselves to all other contractors on the site? (10 points)

D (0,10) Review contractors’ safety program, specifically looking for communication practices that clearly identify themselves as the Prime Contractor to all contractors on the site such as posting of signage and communication instructions in strategic locations. If practices are included in the safety program, award 10 points.

O D I Total /10

H1.7. Do contractors hired by assigning party or directly by the Prime Contractor clearly understand the authority for site safety management of the Prime Contractor? (10 points)

I (0,10) Interview the assigning party that hired contractors and contractors hired by the Prime Contractor to determine if they clearly understand the authority of the Prime Contractor regarding the coordination of the health and safety program on the worksite. 90% positive response required to award points.

O D I Total /10

H1.8. Is the assigning party documenting their site visits and discussions with Prime Contractors? (0-10 points)

D (0-10) Review documentation, such as site inspection reports and contracting party/contractor meeting manager/supervisor diary, to confirm documentation of contractor management and support due diligence. Award points based on % of positive findings.

O D I Total /10

H1.9. Has the assigning party ensured that it has properly informed their Prime Contractors of any known and foreseeable hazards? (0-15 points)

D (0-10) Review documentation, such as meeting notes, hazard alerts, planning maps, etc., to confirm the assigning company has provided information of known and foreseeable hazards on site and that the hazard information is communicated to all the affected workers

O D I Total /15



101



Award points based on % of hazard communication with Prime Contractor as compares to required. I (0-5) Interview managers, supervisors and, where possible, contractors to confirm that this has been completed. Award points based on % of positive responses.

H1.10. Has the assigning party ensured that adequate and competent supervision is in place in the worksite, based on scope complexity and risk associated with the site? (0-10 points)

D (0,5) Review documentation, such as Prime Contractor site inspection and audit reports, to confirm that supervisory capacity of the Prime Contractor are appropriate to the activities of the site. If evaluation of supervision exists, award 5 points. I (0,5) Interview the contract manager/supervisor to establish if the Prime Contractor has enough supervisors in place, and determine what the licensee’s instructions were towards this. 70% positive responses required to award points.

O D I Total /10

H1.11. Has the assigning party ensured that the Prime Contractor has designated a health and safety representative for them to speak to regarding coordination of health and safety activities on the worksite? (5 points)

I (0,5) Interview contract manager/supervisor to confirm he can indicate a designated person with each Prime Contractor to speak to regarding any health and safety issues on the site. Interview the designated health and safety representative of the Prime Contractor to determine if s/he understands the assigned coordination responsibilities.

O D I Total /5



102



90 % positive response required to award points.

H1.12 Does the assigning party ensure that, where necessary, the Prime Contractor has taken the appropriate corrective action where non-conformances are identified? (0-15 points)

D (0-5) Review Prime Contractor documentation, such as corrective action logs from the company or the Prime Contractor , to determine if identified non-conformities are corrected and followed-up to ensure they have not recurred. Award points based on % of positive findings. O(0-5) Observe site conditions to verify corrective actions documented are implemented on site. Award points based on % of positive findings. I (0-5) Interview contract manager/supervisor to determine if they understand and utilize the requirement to have the Prime Contractor make corrective changes for situations of non-conformance. Award points based on % of positive responses

O D I Total /15



103

Element H (Prime Contractor Selection and Management) Scoring Summary

Total Points Awarded: Woodlands Total Points Available: 130 - (n/a) FPM Total Points Available: 120 - (n/a) Overall % awarded:



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I. Injury Management / Return to Work Programs The RTW Plan Chart indicates the number of RTW plans that must be reviewed. The auditor should review RTW Plans that represent variance in restrictions accommodated, duration of RTW Plan, and worker’s pre injury/illness job/department. The auditor should review both completed and ongoing RTW plans (If there are no ongoing RTW plans in place at the time of the audit, the auditor should include the most recent RTW Plan in the review.) If there have been no injuries the question should be marked as N/A and the points for the element adjusted accordingly. Note: Personal Information - A knowledgeable person, such as the Injury Management/RTW Coordinator, must ensure that no personal information is reviewed by the auditor. In the event that personal information is inadvertently revealed to the auditor in the normal course of their duties, the auditor must treat that information with utmost confidentiality as in all other audit activities.

RTW PLAN CHART

# of RTW Plans

1 - 8 9 - 11 12 - 13 14 - 15 16 - 17 18 - 19 20 - 23 24 - 27

Min # reviewed

all 8 9 10 11 12 13 14

# of RTW Plans

28 - 34 35 - 44 45 - 54 55 - 67 68 - 80 81 - 100 >100

Min. # reviewed

15 16 17 18 19 20 20%

Completion of this audit element, by an external auditor certified, with a passing mark of at least 80 percent, allows the certifying partner to award the RTW COR and can entitle the employer to receive a rebate from WorkSafeBC.



105

I1. Return to Work Policy, Management and Leadership INJURY MANAGEMENT / RETURN TO WORK PROGRAMS


I1.1. Is there a corporate policy, statement or letter of intent outlining the company’s commitment to the Injury Management/RTW Program that details the programs objectives? (30 points)

D (0,20) Review documentation supporting an Injury Management/RTW Program. If there is a document outlining the intent of the IM/RTW program, award 10 points. If the document outlines the objectives of the program, award 10 points. Note: Some employers may include their Injury Management/RTW policy as part of their overall Safety Management Policy. O (0,10) If the document is posted or made available in worksites, award 10 points. For field worksites the policy can be provided to workers in the form of a health & safety handbook or manual.

O D I Total /30

I1.2) Is there a written Injury Management/RTW Program? (20 points)

D (0-20) Confirm proof of a written Injury Management/RTW Program to manage an injured worker from the onset of injury to a full return to work or to a medical plateau. The scope of the program should provide integration of relevant parties or resources in the program management process such as involvement and input of:

a) OHS personnel b) Human resources department c) Medical professional

O D I Total /20



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d) WCB case management e) Employee assistance program f) Employee representation (e.g. union) g) Senior management representation

If there is a written Injury Management/RTW Program award 15 points. Review program documents if there is evidence of an integrated IM/RTW process, award 5 points.

I1.3) Are there defined roles and responsibilities of the IM/RTW coordinator and other relevant groups responsible for establishing and implementing of Injury Management/RTW plans? (20 points)

D (0-10) Review Injury Management/RTW Program to confirm if roles and responsibilities are stated:

a) Management, award 2 points; b) Supervisors, award 2 points; c) Workers, award 2 points; d) Injury Management/Return-to-Work coordinator,

award 2 points e) Joint worker-management IM/RTW committee,

award 2 points. Note: The joint OH&S committee may also function as the joint worker-management committee for the purpose of the Injury Management/RTW Program. IM/RTW administration could be a contracted service provider. I (0-10) Interview managers, supervisors, workers, IM/RTW coordinator and committee members to

O D I Total /20



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determine their understanding of their responsibilities. Award points based on % of positive responses.

I1.4) Is there a system to tracking progress and outcomes of the Injury Management/RTW Program? (20 points)

D (0-20) Review documentation to determine if the progress of each case and their outcomes are tracked and analyzed. Award a maximum of 10 points based on the % of positive findings on tracking of case progress and outcomes. Award a maximum of 10 points analysis are conducted to identify opportunities for improvement. Some examples of analysis parameters are:

Reduction in WCB costs

Reduction in lost time hours

Participation rate of injured workers

Disability pattern

O D I Total /20

I1.5) Is there a process to identify what information required to be tracked and how to analysis outcomes to identify and implement opportunities for the improvement of the Injury Management/RTW Program? (30 points)

D (0-20) Review program documentation such as meeting minutes and IM/RTW information tracking documents to determine if there is a process to identify and track IM/RTW plan implementation information. If a system for tracking IM/RTW information exists, award 10 points. Review meeting minutes, revised program policies and procedures to determine if improvement opportunities are discussed and implemented. If IM/RTW

O D I Total /30



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improvement action plans are developed and there is evidence of implementation, award 10 points. I (0,10) Interview management, worker representation (e.g. worker members of the IM/RTW committee or joint OH&S committee or union representatives) to determine if data is reviewed and actions are implemented to address the opportunities identified. A minimum of 70% positive responses is required to award points.

I2. Resources, Education and Training INJURY MANAGEMENT / RETURN TO WORK PROGRAMS


I2.1) Is there a training needs assessment conducted to identify the knowledge and skills required by the relevant groups with IM/RTW program roles and responsibilities? (10 points)

D (0-10) Review documentation such as meeting minutes and training plan. If training needs assessment has been conducted, award 5 points. Award a maximum of 5 points based on the comprehensiveness of the training plan covering all relevant groups.

O D I Total /10

I2.2) Has education been provided to ensure the coordinator has an understanding of Injury Management/RTW programs? (15 points)

D (0,15) Review training records or credentials of the coordinator to determine if training on Injury Management/RTW programs has taken place. For example: claims and disability management course.

O D I Total /15



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If training has taken place, award 15 points.

I2.3) Does the individual assigned the duties of the Injury Management/RTW coordinator have an awareness of legislation relevant to Injury Management/RTW? (15 points)

I (0,15) Interview Injury Management/RTW Program coordinator to determine awareness of Human Rights and Workers Compensation legislation such as:

Human Rights Act

BC Human Rights Code

Workers Compensation Act

Freedom of Information and Protection of Privacy Act

The Injury Management/RTW coordinator should, at minimum, know where to access the information.

If awareness is apparent, award 15 points.

O D I Total /15

I2.4) Are policies and/or procedures in place regarding retention of records?. (10 points)

D (0,10) Review policies/procedures to determine if records are retained for the required number of years. (e.g. 1st aid records 3 years) If policy/procedures are established for retention of records, award 10 points.

O D I Total /10

I2.5) Have relevant groups, such as Human Resources, Injury Management/RTW and/or

D (0-10) Review records to determine if education on policies, procedures and privacy issues has been

O D I Total /10



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OHS, been educated in the Injury Management/RTW policies, procedures and privacy issues? (10 points)

provided to relevant groups, such as:

Managers

Supervisors

Human resources personnel

OHS personnel

IM/RTW committee members

Union representatives Award points based on % of positive findings.

I3. Stay at Work and Return to Work INJURY MANAGEMENT / RETURN TO WORK PROGRAMS


I3.1) Does the company have a written process (series of steps) for dealing with all Injury Management/RTW cases and is this posted or made available to employees? (40 points)

D (0-20) Review documentation to determine if a written process is outlined. The process should provide a summarized step-by-step instruction for injury management. For example:

1. 1st response to injury 2. Worker reporting requirements 3. Medical assessment 4. Contact with worker 5. Employer reporting requirement to WSBC 6. Claims management 7. Identification of available light or modified duties 8. Process to develop IM/RTW plan

Award points based on the comprehensiveness of the process. O (0,10) If the process is posted in a conspicuous place

O D I Total /40



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or made available to all employees, award 10 points. I (0,10) Interview workers to determine if they have been communicated of the process to handle IM/RTW situations. At least 70% positive interview response to score points.

I3.2) Does the company have a “Stay at Work” initiative as part of their Injury Management/RTW program? (15 points)

D (0,15) Review procedures to determine if a “Stay at Work” process is outlined that provides modified or alternate duties to an injured worker before time loss occurs. If procedures are established for a “Stay at Work” process award 15 points.

O D I Total /15

I3.3) Does the company have alternate duties identified in writing? (meaningful/productive duties) Are supervisors aware that they can offer modified duties when required? (20 points)

D (0,10) Review documentation to determine if alternate work is identified. If alternate duties have been identified in writing, award 10 points. I (0,10) Interview supervisors to determine if they have knowledge of the possibility of providing modified or alternate work to injured workers. If supervisors are aware that they have the ability to offer alternate duties as evidenced by a minimum of 70% positive responses, award 10 points.

O D I Total /20



112



I3.4) Is education on Injury Management/RTW procedures provided to relevant individuals with roles and responsibilities identified in the IM/RTW program? (20 points)

D (0-10) Review documentation such as training records to determine if the required education for all levels with IM/RTW responsibilities. Award points based on % of positive findings. I (0-10) Interview representatives of relevant groups to confirm education received. Award points based on % of positive responses.

O D I Total /20

I3.5) Is there a procedure in place outlining the process of contacting and maintaining contact with the injured worker? And, is this guideline being followed? (20 points)

D (0-15) Review Injury Management/RTW documentation to determine if the procedure of contacting the injured worker and timelines are established. If both procedure and timelines are established, award 5 points. Review IM/RTW case records to determine if the timelines are being followed. Award a maximum of 10 points based on % of positive findings. I (0-5) Interview Injury Management/RTW coordinator and injured workers to determine if guideline is being followed. Award points based on % of positive responses.

O D I Total /20

I3.6) Is there a process of developing and approving case specific IM/RTW management plan being followed? (20 points)

D (0-20) Review IM/RTW documents such as meeting minutes and case files to determine if the development and approval process is being followed for individual IM/RTW plans. The development process should include an assessment

O D I Total

/20



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of the capability injured worker with respect to the assigned work duties, such as a written assessment of the physical, psychological, sensory and environmental demand analysis. Award points based on % of Injury Management/RTW plans completed the development and approval process.

I3.7) Is there a process to monitor the progress of Injury Management/RTW plans and is the process being followed? (30 points)

D (0-30) Review documentation to determine if there is a written process to monitor IM/RTW plans and to determine that this is being followed. If the monitoring process is established, award 10 points. Award a maximum of 20 points based on the % of plans with documented evidence that progress is monitored.

O D I Total /30

I3.8) Are target dates established for all Injury Management/RTW plans? (10 points)

D (0-10) Review documentation to determine if all Injury Management/RTW plans have established progress review date and end date. Award points based on % of positive findings of cases sampled.

O D I Total /10

I3.9) Are Injury Management/RTW plans modified to reflect progression of healing? (10 points)

D (0-10) Review case files to determine if Injury Management/RTW plans are being reviewed according to the required time frame and modified based on results of progress review of the worker’s abilities. Award points based on the % of positive findings.

O D I Total /10



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I3.10) Are workers and supervisors knowledgeable of the reporting process and requirements under workers compensation legislation? (worker and employer responsibilities for reporting injuries) (10 points)

I (0-10) Interview workers and supervisors to determine their knowledge of the reporting process. Award points based on the % of positive responses.

O D I Total /10

I3.11) Do company policies and/or procedures support each other to facilitate an effective Injury Management/RTW Program? (10 points)

D (0-10) Review completed Injury Management/RTW plans to assess whether inputs from parties responsible for the program such as:

Employee benefit package (medical, extended healthcare plan, employee assistance plan)

OH&S (incident reporting, training)

Claims management

IM/RTW procedures Have been included to facilitate the effective management of Injury Management/RTW cases. Award points based on the % of Injury Management/RTW plans being reviewed and signed off by the responsible parties.

O D I Total /10

I3.10) Do the members of relevant groups with roles and responsibilities work

I (0,10) Interview members of the relevant groups such as:

O D I Total /10



115



together and support the objectives of the Injury Management/RTW program? (10 points)

Human Resources

OH&S

Department management (managers/supervisors)

Worker representatives from joint OH&S committee or union

to determine if they work together to support the objectives of an Injury Management/RTW Program. If groups work together to support the Injury Management/RTW process as evidenced by a minimum of 70% positive responses award 10 points.

I4. Communications INJURY MANAGEMENT / RETURN TO WORK PROGRAMS


I4.1) Have Injury Management/RTW policies and procedures been effectively communicated to all workers, supervisors, and managers? (45 points)

D (0,20) Review documentation (training records, safety meeting minutes, safety committee minutes) to determine if policies and procedures have been communicated to all employees. If Injury Management/RTW policies and procedures have been communicated to all employees as evidenced by a systematic process to provide Injury Management/RTW information to the workforce, award 20 points. I (0-25) Interview various levels within the company to determine awareness of the Injury Management/RTW Program.

O D I Total /45



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I4. Communications INJURY MANAGEMENT / RETURN TO WORK PROGRAMS


Award points based on % of positive responses.

I4.2) Does the employer actively promote the benefits of the Injury Management/RTW Program? (15 points)

O (0-10) Observe posting or circulation of IM/RTW promotion materials at strategic locations throughout the company such as bulletin boards, lunch rooms and circulation of pamphlets. Award points based on positive evidence of making information available to employees. I (0-5) Interview workers and supervisors to determine if the program is actively promoted. Award point based on % of positive responses.

O D I Total /15

I4.3) Are new employees provided with information on the Injury Management/RTW Program at a new employee orientation? (20 points)

Either O or D, not both O (0,20) Attend a new employee orientation to determine if new workers are provided with an outline of the Injury Management/RTW Program. If workers are provided with information, award 20 points. (If an orientation is not scheduled, document review can be used to obtain this information.) Or: D (0,20) Review training documentation to determine if Injury Management/RTW Program information is provided in a new employee orientation. If documentation includes information on the Injury Management/RTW Program award 20 points.

O D I Total /20



117

Element I (Injury Management Return to Work Programs) Scoring Summary




118

BASE Audit Scoring Summary

OHS Elements Points

Available (FPM)*

Not Applicable

Points Awarded

%

A. Management Leadership 198 (178)*

B. Hazard and Risk Assessment 235

C. Standards, Procedures and Work Instructions 245

D. Training, Education and Certification 95

E. Health and Safety Communications Systems 79

F. Incident Reporting and Investigation Systems 175

G. Contractor Management 135 (105)*

H. Prime Contractor Selection and Management 130 (120)*

Total 1292 (1182)

Return to Work Element Points

Available Not

Applicable Points

Awarded %

I.1 Return to Work Policy, Management and Leadership 120

I.2 Resources, Education, and Training 60

I.3 Stay at Work and Return to Work Programs 205

I.4. Communication 80

Total 465



119

Notes and Recommendations A. Management Leadership ________% Recommendations for Improvements



120

Notes and Recommendations B. Risk and Hazard Management ________% Recommendations for Improvements



121

Notes and Recommendations C. Standards, Procedures and Work Instructions ________% Recommendations for Improvements



122

Notes and Recommendations D. Training, Education and Certification ________% Recommendations for Improvements



123

Notes and Recommendations E. Health and Safety Communications Systems ________% Recommendations for Improvements



124

Notes and Recommendations F. Incident Reporting and Investigations Systems ________% Recommendations for Improvements



125

Notes and Recommendations G. Contractor Management ________% Recommendations for Improvements



126

Notes and Recommendations H. Prime Contractor Selection and Management ________% Recommendations for Improvements



127

Notes and Recommendations I. Injury Management / Return to Work Programs ________% Recommendations for Improvements



128

Definitions

Administrative Controls

Procedures and methods established by an employer or sector that significantly reduce exposure to risk factors by altering the way in which work is performed. Examples include employee rotation, adjustment of work pace, training requirements and certification of specific jobs.

Alternate duties Plan under which the worker is able to return to pre-injury/illness job site but not own job. Worker may act as a helper for another job or can perform work that is specifically reserved for injured workers. The objective is to keep the worker at the job site, possibly while receiving treatment at the same time.

At Risk Behavior Previously known as “unsafe behavior”, describes a situation where a worker performed a task that was not in compliance of the site, company or jurisdictional rules and regulations, which exposed them to increased risk. For example, taking a short-cut or knowingly missing a necessary step in a procedure.

At Risk Condition Previously known as “unsafe condition”, describes a situation where a working condition was not in compliance with the required standard, which exposed the worker to increased risk. For example, forestry equipment which is working on a steep slope outside the stated operating abilities of the machine.

Audit A review of systems and processes within the program in a determination of how the program is working against the stated intentions.

Break Point The percentage the auditor must ensure is completed or found



129

in order to award points during the audit process.

Causal Factor A condition which, if corrected, would have reduced the possibility that an incident would have occurred (or reduced the severity of the incident). In the “story” of the incident, removing these parts of the story would have eliminated the incident from occurring.

Close Call

An incident where, under slightly different circumstances, injury to people, damage to equipment or harm to the environment could have occurred. Close calls should be investigated to a level of 1, 2 or 3 depending on a realistic perception of what the result may have been if contact had been made.

Competent Properly qualified, suitably trained and with sufficient experience to perform the required task with limited supervision.

Contractor

A company or person engaged in providing work with or on behalf of another company for the purpose of compensation under terms specified in an agreement (see dependent contractor).

Controls Procedures or practices put into place to assist workers in preventing incidents and controlling hazards.

Core Values The values or beliefs which are the basis for the behavioral and performance of safety standards. The common set of core values of a company become the rationale for what is expected of management, workers and contractors. It is the minimum standard which, when not met, is considered unacceptable to the company.



130

Corrective Action Log Otherwise known as a CAL, this document is a compiled list of identified deficiencies. In detail, it lists the deficiency, the corrective action required to fix it, who is ultimately responsible to make that happen and what the deadline date is.

CP Acronym for “Certifying Partner” (WorkSafeBC terminology), but in the BC forest sector, this is the BC Forest Safety Council.

Dependent Contractor

In the context of this document (and not in the legal meaning), a dependent contractor is an business entity that conducts its work for only one company on a continual basis, and whose workers are treated “same as employees” concerning the parent company’s health and safety program. If desired, dependent contractors can be included in the company’s numbers for the determination of which audit instrument is to be used. Some companies may choose to require their dependent contractors obtain their own SAFE Companies certification.

Due Diligence Due diligence is the level of judgment, care, prudence, determination and activity that a person would reasonably be expected to do under particular circumstances. Applied to occupational health and safety, due diligence means that employers shall take all reasonable precautions, under the particular circumstances, to prevent injuries or incidents in the workplace.

Education: A process by which knowledge (theory) is conveyed



131

Effective

Within the context of this audit document, the word “effective” means producing or capable of producing an intended result or having the intended effect.

Engineering Controls

These are physical changes to jobs that control exposure to risk. Engineering controls act on the source of the hazard and control employee exposure to the hazard without relying on the employee to take self-protective action or intervention. Examples include changing the handle angle of a tool, using a lighter weight part and installing a muffler onto a noisy engine.

Graduated Return to Work return to work plan under which the worker is gradually progressed to the full regular pre-injury work over a specified period of time. Work may be graduated with respect to modified working hours and/or alternate duties. It is important to ensure that all return to work plans have a specified end date.

Hazard The source of danger.

IRP Formally developed and prescribed Industry Recognized Practices for all companies in the BC forest sector to utilize on their worksites (where applicable), and intended to be a minimum standard for establishing health and safety on worksites.

Incident An undesired event that results (or could have resulted) in physical harm to a person, damage to equipment, property, the environment or a loss of production (also see Close Call).

Injury Management an employee, or 3rd party provider, assigned the responsibility



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Coordinator

of overseeing the Injury Management/RTW Program (Actual job titles will vary depending on the company

Injury Management/RTW Program:

A detailed planned process to manage the impact of work-related injury/illness

Inspection The careful examination of workers, equipment, property, materials or the environment which is conducted to compare the findings against the required standard(s).

Investigation Form Any sector-recognized form for reporting the findings of an incident investigation which meets the minimum standard as required by WorkSafeBC

JSA

Job Safety Analysis. A JSA is a method that can be used to identify, analyze and record the steps involved in performing a specific job, the existing or potential safety and health hazards associated with each step, and the recommended action(s)/procedure(s) that will eliminate or reduce the hazards and risks of a workplace injury or illness.

JSB

Job Safety Breakdown. This is a stand-alone document which details the safety aspect of a worker’s job. It is typically taken out of the worker’s “work instructions” or SOP and has been used in the forest sector for many years. JSB’s should include a worker’s hazards, risks and applicable controls.

Level 1 Investigation A straightforward investigation which takes few resources or in-depth knowledge to complete and includes injuries that are up to but not including LTI’s (Loss of Time Incidents) and equipment damage less than $5,000.

Level 2 Investigation A more complex investigation which takes a significant amount



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of time, personnel, knowledge or resources to complete. It would include injuries such as LTI’s and equipment damage between $5,000 and $100,000.

Level 3 Investigation A very difficult investigation which often requires outside resources and assistance to resolve a sentinel event. This includes major disabling injuries, fatally injured workers and equipment damage in excess of $100,000. This level of investigation normally involves media scrutiny and a special team of investigators from jurisdictional bodies.

Light Duties Light duties are tasks that an injured worker is physically capable of doing within their medical limitations. This can also be defined as SAW (Stay at Work), where a worker does different tasks than the normal job which they perform.

Loss A loss is defined as physical injury, equipment damage, harm to the environment; loss of money, contracts, or a company’s reputation; processes and systems, among others.

LTI

Loss of Time Incident, where the worker is injured to a point of not being able to return to their normal job duties at the next scheduled shift.

Modified duties

plan under which the worker is able to return to own job with changes to specific duties or method of how those duties are to be performed, e.g. only lift to a specific height or up to a specific weight, or additional equipment is provided, such as footstool or ladder, or only perform specified parts of the regular duties.

OH&S Occupational Health and Safety.



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OJT

On the Job Training. This is formal training at the jobsite that is undertaken by a worker to upgrade their skills or knowledge while still performing some of the required tasks of the job. In some cases, this can be part of an apprentice program.

Operational Controls

Methods put in place on a worksite or within a work process to establish how or when a task is performed to ensure that it is completed in a manner consistent with good work practices.

PPE Personal Protective Equipment, which includes high visibility vests, safety glasses, chainsaw pants, hard hats, hearing protection, gloves, proper footwear, etc.

Policy A senior management statement which guides the program administration processes, reflects management’s attitudes and commitment, and defines the authority and respective relationships required to accomplish the company’s goals and objectives.

Pre-Work Documentation

Any documentation which is completed as part of a hazard identification program and is used to advise workers on hazards, risks, controls and plans for the site. In most cases, it is a combination document which may also include operational specific data for the worksite.

Procedure An established and defined method of performing a work task.

Qualified Individual

An individual who is knowledgeable regarding the formal standards and requirements to conduct a task and is sufficiently capable and experienced to make proper judgments about the task when required.



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Recordable Incident An occurrence with physical impact on the worker where they need to receive medical attention at a level requiring a physician’s involvement. A recordable incident can also be measured by a significant impact on equipment, such as damage or loss of control, or on the environment, such as a spill. Determination on what is a recordable incident can be made by the company, and in some cases, pre-determined by a jurisdictional body.

Risk A weighting of the possibility of an incident occurring.

Root Cause The most basic cause (or causes) that can reasonably be identified that management has control over to fix, and when fixed, will prevent (or significantly reduce the likelihood of) the problem’s recurrence. A root cause usually identifies a deficiency that goes beyond the actions of an individual, such as job or system factors.

Senior Operations Manager

An individual who, by occupation, is the head of an operation or worksite and controls finances, operations and other vital areas of a company’s activities.

Sentinel Event

An unexpected occurrence involving death or serious physical injury, or the risk thereof. Serious injury specifically includes loss of limb or function. The phrase "or the risk thereof" includes any process variation for which a recurrence would carry a significant chance of a serious adverse outcome. Such events are called "sentinel" because they signal the need for an immediate and in-depth investigation and response.

Significant Event Any event where there is a change to processes, conditions or operations because of a developed situation which requires supervisory or management personnel intervention to control



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the situation. This can include personal injury, environmental spills, equipment damage or situations which would normally cause the company to contact an external agency (such as WorkSafeBC, etc.).

Specialized PPE Personal protective equipment which is not standard issue to all levels of workers. Examples of this are cartridge-style respirators, SCBA units, chemical sniffers and chemical resistant clothing. By definition, specialized PPE requires that the worker receive training in the equipment (such as fitting, testing, etc.).

Stay at Work

An early intervention process that provides modified or alternate duties to an injured worker before time loss occurs.

Standard The defined measure of effective performance.

SOP Standard Operating Procedure. An SOP is defined as the established, accepted criteria which serve as support for methods or manners to fulfill a function or task. An example of this is a cellular phone SOP, which delineates when and how cellular phones may or may not be used and under what conditions.

Supervisor An individual who is tasked with the command and control of another individual or individuals and directs work of these people. A supervisor can also be an individual who controls the work aspects of a contractor or sub-contractor. In the context of this audit document, it could also be identified by other names, such as woods foreman, chargehand, etc.

Supplier

A person or company that offers services, goods or equipment to a company in a manner which aids the company in performing its duties. For example, a mechanical assistance



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company would be a supplier. These individuals are not counted within the company’s numbers to determine which audit to use.

Training:

A process by which a skill is developed

Timely Manner

A timely manner is defined as what is reasonably practicable in a similar circumstance by a reasonable person.

Worker A worker in this document specifically means an individual engaged as an employee by the company to conduct work on its behalf. This also includes “dependent contractors” (see definition in this document).

BASE Audit - BC Forest Safe · BASE Audit Version 2. - DRAFT This publication is the property of...

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