What auditors look for in a written safety program

How an audit gathers evidence

A program scores well when all three line up. A strong manual with thin records, or records that workers cannot explain, scores poorly. A certifying partner's audit for a safety certificate follows its own protocol and scoring, and the certificate comes from that partner, not from the manual.

• Documents: the written program and the records it calls for.
• Interviews: workers and supervisors are asked what the program says about their work, and whether it happens.
• Observation: the auditor looks at sites and equipment to see whether the controls in the program are in place.

Management commitment

• A signed and dated health and safety policy, reviewed at least yearly.
• Responsibilities written for each level, and people who can describe theirs.
• Evidence that managers take part: site visits, meeting attendance, follow-up on corrective actions.
• Resources: the PPE, equipment and time the program promises.

Hazard assessment and control

• Formal hazard assessments that match the work being done now, dated, with worker participation recorded.
• Field level hazard assessments completed before the work, signed and reviewed.
• Controls chosen in order (elimination, engineering, administrative, then PPE), and safe work practices for the hazards found.

Inspections, training and competency

• Inspections done at the frequency the program sets, with deficiencies assigned, dated and closed.
• Orientation records for every worker, including subcontractors where the program says so.
• Training and certification records that match the high-risk work being done, with expiry dates tracked.
• Competency checks signed by a supervisor for the tasks each worker does.

Emergencies, incidents and administration

• Emergency response plans for each site, and records of drills with lessons learned.
• First aid arrangements that match the site and the head count.
• Incident and near miss reports, investigations that find causes, and corrective actions that were completed.
• Committee or representative records that match your head count and province.
• An annual program review with goals, and records kept for the periods the law requires.

What workers are asked

Interviews are short and practical. Expect questions such as: what are the main hazards of your job and how are they controlled; when did you last complete a hazard assessment; what would you do in an emergency here, and where is the muster point; how do you report a near miss; have you ever refused unsafe work, and what happened; when was your last toolbox talk and what was it about. Answers that match the program count for more than any document.

Prepare the week before

• Pull a sample of each record type for the last year and check it is complete, signed and dated.
• Close or update every open corrective action.
• Check that the legislation references and contact numbers in the manual are current.
• Make sure each site has its emergency plan posted and its first aid kit checked.
• Remind supervisors where the records are kept, so nobody has to hunt for them.

Common gaps auditors find

• The manual says weekly inspections; the records show one a month.
• Responsibilities name roles that do not exist in the company.
• Safe work practices for work the company never does, and none for work it does every day.
• Legislation references that are out of date or from another province.
• Corrective actions recorded but never closed.
• Workers who have never seen the manual.

Check yourself first

The Audit-Readiness Self-Check in the Implementation Kit scores your program Yes, Partly or No across seven elements, lists the evidence to have on file, and turns the gaps into an action plan. It is a self-check to find gaps before a client or auditor does, not an audit or a certification. Every manual includes it, for $499.