COR IA Student Manual_V.2016_FINAL (1)

Table of Contents
AUDITOR TRAINING PROGRAM ............................................................ 4

ACKNOWLEDGMENTS ......................................................................... 4
COPYRIGHT ....................................................................................... 4
BACKGROUND ................................................................................... 4
DISCLAIMER ..................................................................................... 4
AUTHORS.......................................................................................... 4
Module 1: Introduction ............................................................. 5
Overview .......................................................................................... 5
Definitions ........................................................................................ 5
Auditor Certification ........................................................................... 6
Auditor Responsibilities ....................................................................... 7
BCCSA Terms of Participation .............................................................. 7
Module 1: Review .............................................................................. 8
Module 2: Pre-Audit Activities ................................................ 10
Overview ......................................................................................... 10
Definitions ....................................................................................... 10
Microsoft Excel: Skills ........................................................................ 13
Microsoft Excel: Tips & Tricks ............................................................. 15
Step 1: H&S Manual Verification Tab ................................................... 17
Step 2: Audit Information Tab ............................................................ 18
Step 3: List of Active Worksites Tab .................................................... 21
Step 4: Pre-Audit Meeting Tab ............................................................ 26
Module 2: Review ............................................................................. 28
Module 3: Conducting the Audit .............................................. 29
Overview ......................................................................................... 29
Definitions ....................................................................................... 29
Audit Questions ................................................................................ 32
Audit Verification Techniques .............................................................. 33
Step 1: Documentation Review ........................................................... 34
Step 2: Observations of Worksites ...................................................... 42
Step 3: Interviews ............................................................................ 45
Module 3: Review ............................................................................. 48
Module 4: Post-Audit Activities............................................... 50
Overview ......................................................................................... 50
Step 1: Review Audit Data ................................................................. 51
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V2.2 COR Internal Auditor Training Program – Student Manual
Step 2: Executive Summary Tab ......................................................... 52
Step 3: Post-Audit Meeting................................................................. 54
Step 4: Corrective Action Plan Tab ...................................................... 56
Module 4: Review ............................................................................. 57
Appendix 1: In-Class Case Study ............................................ 58
Company Information ........................................................................ 58
Health & Safety Manual Table of Contents ............................................ 59
Job List ............................................................................................ 59
In-Class Case Study — Documentation ................................................ 60
In-Class Case Study — Observations ................................................... 74
In-Class Case Study — Interviews ....................................................... 75
Appendix 2: Final Exam Case Study ........................................ 77
Company Information ........................................................................ 77
List of Active Worksites ...................................................................... 77
Executive Summary .......................................................................... 78
Corrective Action Plan........................................................................ 78
Appendix 3: Terms of Participation ........................................ 79
3
AUDITOR TRAINING PROGRAM
The BC Construction Safety Alliance (BCCSA) is a non-profit organization funded by
British Columbia’s construction industry.
ACKNOWLEDGMENTS
This program was developed by the BCCSA with the assistance of WorkSafeBC and
industry members. Their collective input and dedication to construction safety issues
is greatly appreciated by the BCCSA. The BCCSA is also greatly indebted to the
Alberta Construction Safety Association for their ongoing assistance.
COPYRIGHT
This publication is the property of BCCSA. Reproduction in any form, by any means,
in whole or in part is prohibited without the express written consent of the BCCSA.
BACKGROUND
The BCCSA has redeveloped the Internal Auditor Training Program as part of its
ongoing mandate to provide quality training.
DISCLAIMER
The information presented in this publication is intended for general use and may not
apply to every circumstance. This is not a definitive guide to government regulations
and does not relieve persons using this publication from their responsibilities under
applicable legislation. The BCCSA does not guarantee the accuracy of, or assume
liability for, the information presented in this workshop.
AUTHOR
BC Construction Safety Alliance
400 – 625 Agnes Street
New Westminster, BC V3M 5Y4
P: (604) 636-3675
www.bccsa.ca
V2.1 Published January 2016

V2.2 Published May 2016
4
Module 1: Introduction
Welcome to the BCCSA COR Internal Auditor Training Program. This is a two-day
course designed to teach you the skills required to conduct objective and consistent
Internal COR audits.
Overview
Auditor Certification Student Audit

Definitions
Process Assignment
Auditor BCCSA Terms of Module 1:

Responsibilities Participation Review
Definitions
Term Description
Auditee The company being audited.
Auditor An individual who has the qualifications and skill to measure

health and safety performance against a given standard.
An individual who has completed the Auditor Training course
Student Auditor component but has not submitted his or her student
assignment for certification.
Documentation, These are the techniques used to verify the effectiveness of a
Observations, and health and safety program (also referred to as verification
Interviews (DOI) techniques).
5
Auditor Certification
In order to obtain and maintain your Internal COR Auditor certificate you must:
1. Complete the online Principles of Health & Safety Management course
2. Attend the 2–day COR Auditor Training Course
3. Sign the BCCSA Terms of Participation
4. Obtain a minimum score of 80% on the final exam
5. Pass the student audit assignment
6. Complete at least two audits every three years
7. Attend re-certification training every three years
Student Audit Assignment

A student audit assignment shows that relevant skills have been learned and allows
the BCCSA to provide constructive guidance to the Student Auditor before issuing
certification.
The Audit Scope

For the purposes of the COR Student Audit Assignment you must:
1. Conduct the audit as though for a Large COR company regardless of company
size.
2. Secure 1 host construction company to audit. This could be your own
company or any other company. The important requirement is for the
company to have a functional health and safety program in place.
3. Identify 1 worksite to perform site observations. The auditor must visit the
main office & shop and 1 active worksite.
4. Interview 5 employees. Of these five: 1 must be an Owner, Manager, or
Supervisor Representative and 4 must be Worker Representatives.
The Audit Elements

Your assignment is to evaluate the following health and safety program elements:
1. Health and Safety Policy
2. Workplace Hazard Assessment and Control
3. Safe Work Practices
4. Safe Job Procedures
You must answer all audit questions contained in the above 4 elements.
Note: The BCCSA will not record the results of this audit. The sole purpose of this
assignment is to assess a student’s competency in performing a COR audit to
determine whether a COR Internal Auditor Certificate is to be awarded.
The Audit Evaluation

You are encouraged to mark your own student audit assignment before submitting it
to the BCCSA with the audit evaluation Form that is provided. Audit assignments
must score:
 50% in each Element as noted on the Evaluation Form
 80% overall as noted on the Evaluation Form
Submission
You have 4 weeks after the last day of the training course to submit the Student
Audit Assignment to training@bccsa.ca. Extension requests, with estimated time
6
required, must be submitted to training@bccsa.ca prior to the due date. Failure to
submit on-time will result in the student having to re-take the Internal Auditor
Training Program.
You must submit the student assignment and wait until receiving formal auditor
certification prior to conducting his/her internal COR audit.
Auditor Responsibilities
Auditor responsibilities are as follows:
 Prepare for the audit.
 Conduct a pre-audit meeting.
 Verify the health and safety program through DOI.
 Communicate findings at a post-audit meeting.
 Keep his/her certification current.
 Adhere to the BCCSA Terms of Participation at all times.
BCCSA Terms of Participation

For a copy of the BCCSA Terms of Participation, see Appendix 3 of this manual.
7
Module 1: Review
1. What are the three techniques used to verify a health and safety program?
2. What overall score is required to pass the Internal Auditor Course?
3. What email address must the student assignment be sent to?
4. The Student Audit Assignment must be done as a Large COR audit regardless
of company size
 True
 False
5. How many Owner, Manager, Supervisor representatives must be interviewed

during the Student Audit Assignment?
 1
 2
 3
 4
6. How many Worker representatives must be interviewed during the Student

Audit Assignment?
 1
 2
 3
 4
7. In addition to the main office, how many active worksites must be visited
during the Student Audit Assignment?
 1
 2
 3
 4
8. The Auditor’s responsibilities are as follows (choose all that apply):

 Conduct a pre-audit meeting.
 Make up records during the audit to improve the score.
 Communicate findings at a post-audit meeting.
 Keep his/her certification current.
The following questions are based on the BCCSA Terms of Participation from
Appendix 3 of this manual, specifically the sections “Internal Auditor Code of
Conduct” and “Performance Management.”
9. Joe is conducting an internal audit. During the audit process he notes that
people didn’t write neatly when completing forms (even though the forms
8
were legible), so he decides to dock marks off the final audit score. Is he
behaving in accordance with the Internal Auditor Code of Conduct?
 Yes
 No
10. Sarah knows that she is required to sample a minimum of 3 months of

documentation data, but has determined that one month of consistent hazard
assessments is more than adequate. She’s seen other hazard assessments
while working in her role as the safety coordinator and is confident that 3
months are all present as required. Is she behaving in accordance with the
Internal Auditor Code of Conduct?
 Yes
 No
11. A 1st occurrence of “Incomplete and/or insufficient audit data within the audit
report” could result in:
 Verbal warning
 Written letter on file
 Suspension
12. A 2nd occurrence of “Completing audits that do not meet the minimum audit
scope requirements with regard to interviews and worksite observations”
could result in:
 Written letter on file
 Written letter on file and suspension
 Termination
9
Module 2: Pre-Audit Activities
Overview
Step 1:
Step 2:
Microsoft Excel Health and
Definitions Audit
Skills Safety Manual
Information
Verification
Step 3: Step 4:
Module 2:
List of Active Pre-Audit
Review
Worksites Meeting
Definitions
Term Description
A comprehensive review of an employer’s health and
Audit
safety management system.
In order to qualify for COR, the employer certification audit
(internal or external) conducted by a qualified Auditor
Certification Audit
must be submitted to the appropriate Certifying Partner for
review and approval.
An accreditation given to an employer’s health and safety
Certificate of
management system that has been evaluated by a
Recognition (COR)
certified Auditor.
Workplace where the occupational health and safety
Main Office management system documents and records are mainly
kept.
Once the employer successfully achieves COR, annual
maintenance audits are required to maintain certification.
The COR certificate is valid for three years, after which a
re-certification audit is required. Maintenance audits may
Maintenance Audit be performed at any time during a calendar year, but there
must be at least six months between the initial certification
date and the first maintenance audit submission and at
least six months between each subsequent maintenance
audit submission.
Those people who have some level of authority,
Management
responsibility, and accountability within the firm.
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Term Description
An employee of a company who is responsible for
planning, or directing a department or a group of
individuals and monitoring their work. Managers have the
authority to change the work assignments of staff and
Manager
have some control over resources and expenditures. They
are responsible for ensuring the company or department is
complying with the Occupational Health and Safety (OHS)
Regulation and other applicable safety legislation.
The average number of employees based on a 12-month
period of time. When planning COR audits, auditors need
to ensure the total # of employees at the time of the audit
is no less than 80% of the company’s Normal Operating
Mode, and the interview sample must be calculated from
Normal Operating
the Normal Operating Mode number of employees. The
Mode
audit must be conducted when the company has at least 1
active worksite in addition to their main office for site
observations. Note: Audits are not to be scheduled during
a company’s slow season (i.e., when staff have been laid
off or there are no active worksites).
OHS An acronym for Occupational Health and Safety.
Partners in Injury and Disability Prevention — a voluntary
program that operates through the combined efforts of
Partners Program WorkSafeBC and industry and safety associations, such as
the BCCSA.
The COR certificate is valid for three (3) years, after which
Re-Certification Audit a re-certification audit is required.
For the purposes of this audit document, Regular
Regularly Employed Employees or Regularly Employed requires an employee to
have been on the worksite for at least one month.
Personnel in a company who directly control the overall
operation of the company or a division/department within
a company. They are responsible for ensuring the company
Senior Management or division/department is complying with the OHS
Regulation and other applicable safety legislation. Senior
management of a company may be appointed by a board
of directors and/or approved by shareholders.
Subcontractors are not limited to trade contractors and
may include delivery people, traffic controllers, service
Subcontractor
technicians, first aid, temporary labour, and cleaning
services.
A person who directs, guides, and monitors workers as
part of his or her job responsibilities. For the purposes of
Supervisor the COR audit the term supervisor means any individual
having authority, in the interest of the employer, to
exercise independent judgement, and who is also
responsible for working with management in complying
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Term Description
with the OHS Regulation and other applicable safety
legislation.
An audit performed by more than one Auditor. Does not
Team Audit
apply to student audit assignments.
A workplace set up for a specific type of work or service for
a finite period of time and which will not become a
permanent site. For the purposes of the COR audit a site is
Temporary Site
temporary if it is in operation for less than one year
(12 months). If a worksite is in operation longer than
1 year it is deemed permanent.
An individual employed by a company, whether full-time,
part-time, volunteer, or on a contractual basis. Workers
may include owners, management, and subcontractors;
Worker
however, for the purposes of the COR audit, this term will
be used to define individuals who do not have
management or supervisor responsibilities.
All personnel directly employed by the company at the
Work Force
workplaces, including all management.
Any place where a worker is or is likely to be engaged in
any work. This includes any vessel, vehicle, or mobile
Workplace
equipment used by a worker in work. Also referred to as a
worksite.
A provincial organization that regulates workplace safety.
WorkSafeBC Also known as the Workers’ Compensation Board (WCB) of
British Columbia.
12
Microsoft Excel: Skills
It is mandatory for the auditor to have basic skills in Microsoft Excel. The steps listed
below will provide you with an introduction/review.
Step 1: Use the correct software version for a Windows or

Mac desktop computer or laptop only.
Windows — Use Microsoft Excel 2003 or newer.
Mac — Use Microsoft Office for Mac 2007 or newer.
Do NOT use an iPad, handheld device, Open Office, Google
Spreadsheets or Numbers. These options will either not
work or take a MUCH longer time to complete.
Step 2: Use any internet browser to go to www.bccsa.ca.
Step 3: On the main page, click on the left tab called

“Certificate of Recognition (COR)” and select “COR Audit
Documents.”
Step 4: Scroll down the page to “ COR OHS National Audit Document” and click
“COR OHS National Audit Document Version___.”
Step 5: Save the file in an easy-to-find location.

Note: If you choose “Save” instead of “Save as”
the file will be stored wherever downloads are
kept. If you do not know how to locate your
downloads, then it is easier to specify the
Desktop as a “Save as” location.
Step 6: Open the file.
Step 7: Go to the bottom left of the screen and click the right-
pointing arrow until you see the tab “E1.”
13
Step 8: Select tab “E1.”
Step 9: Go to question 1.1 and click the down arrow beside the white box.
Before selecting “Y” After selecting “Y”
Step 10: Select Y for “Yes.”
Step 11: Click anywhere in the large white area below question 1.1.
Step 12: Type a sentence. The content of this sentence doesn’t matter.
Step 13: Now that you’ve typed a sentence:

Windows — Press and hold Alt, and then press Enter twice.
Mac — Press and hold Option + Command, and then press Enter twice.
Step 14: Now type another sentence. You will notice a space between the two
sentences. Creating this space is called a carriage return and can help provide clearer
comments when recording audit results.
Go to this URL to watch a video demonstration: http://screencast.com/t/86pZTqVDy
Step 15: Save the file early, and save it often.
14
Microsoft Excel: Tips & Tricks
Adjust Formula Bar Height

1. The Excel formula bar is set to show one line of text, but this can be a
challenge if typing a lot of content.
2. Move the mouse pointer anywhere in the area shown by the red rectangle (in
the image below) until it looks like a double arrow.
The pointer should look like this:
Go to this URL to watch a video demonstration:

http://screencast.com/t/PgLGAgXGQ5Yx
3. Click and drag the text bar to a larger size to see more than one line of text.
The Mystery of Disappearing Text

1. Click once in a cell.
2. Type a single word.
3. Press Enter.
4. Click in the same cell again.
5. Type a new word.
6. You’ll notice that the original content has disappeared.
7. There are two ways to fix this:
a. If you have NOT already pressed Enter, then press Escape.
b. If you HAVE already pressed Enter, then press Ctrl + Z.
Content gets deleted from cells because there isn’t a blinking cursor in the cell.
Without a blinking cursor, Excel will think that you are trying to write new
information and will overwrite everything that was already there.
In order to create a blinking cursor you can:
 Double-click in the cell, or
 Click in the cell, and then click in the formula bar at the top of the screen.
15
http://screencast.com/t/qN1hStQ8CcR
Adjust Comment Row Height

1. Move your mouse pointer to the very left-hand side of the screen. Place it on
the line between the bottom of the row and the next row below it until it looks
like a double arrow with a horizontal line through the middle of it.
The pointer should look like this:
2. Click and drag the row to the desired position.

http://www.screencast.com/t/zGY3WSrT
Adjust Keyboard Language

If typing an apostrophe or any other punctuation creates weird characters, then you
need to change your keyboard setting to Canada (or US) English. Do NOT enable
Canada Multi-Lingual or Canada (French).

http://screencast.com/t/xQLYZUMeh
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Step 1: H&S Manual Verification Tab
The Health & Safety Manual must be verified to contain all elements as required by
COR. The auditor is not looking to see how well written these elements are or for the
order of presentation. In some cases the company may have certain COR element
information in another section. This is why it’s important to look through the Table of
Contents and then in the manual if a topic isn’t readily apparent.
Figure 1. H&S Manual Verification Tab
Additional Notes
 Verify that each of the 14 elements are present.
 Not a detailed analysis.
 Does not need to be in sequential order.
 STOP if the Health & Safety Manual is missing an element.
17
Step 2: Audit Information Tab
This is where the basic information about the company, the type of audit and COR
auditor information is contained. Many of the fields are self-explanatory; however,
some of the fields are described below.
Figure 2. Audit Information Tab
Actual Audit Start Date

This is also the date of the Pre-Audit meeting.
Actual End Date

This is the last day on-site where the auditor has completed the collection of
Observation and Interview results.
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Audit Timelines
The auditor must adhere to the maximum permitted audit timelines:
 Field Work — 15 days from pre-audit meeting to complete all documentation
review, observations, and interviews. This is also referred to as the “Actual
End Date” or “Last Day On-Site.”
 Report Writing and Post-Audit Meeting — 15 days to review and collate
audit findings, write the audit report, and conduct the post-audit meeting.
While the report writing may take up to 15 days, there must be at least one
day from the Field Work to the Post-Audit Meeting date.
 Corrective Action Plan Development — 15 days to review and sign off on
the audit results, develop a Corrective Action Plan and submit the final audit
report to the BCCSA for Quality Assurance.
These are maximum durations and cannot be carried over. For example, if the Field
Work was completed within 10 days, the auditor would NOT be able to take an extra
5 days for Report Writing.
Type of Program
 Large COR Program is for companies with 20 or more employees.
 Small COR Program is for companies with fewer than 20 employees.
Type of Audit
COR Certification Audit

This is the initial audit conducted in order for the company to obtain COR. If
successful, the company will be awarded a COR certificate that is valid for 3 years.
COR Maintenance Audit

These are the 2 subsequent annually conducted audits following either the
Certification or Re-Certification audit. A company may conduct a maintenance audit
as soon as 6 months from the previous audit and as long as 12 months past the
previous audit.
COR Re-Certification Audit

This is the audit that is conducted after the 2 maintenance audits. It will renew the
company’s COR for an additional 3 years.
Limited Scope Audit

This is an audit where the company can get specific elements of their Safety Program
reviewed within 90 days of the original audit as a means to maintain COR. A Limited
Scope Audit may only be conducted if authorized by the BCCSA. See “Definitions” in
Module 3 for a more specific definition.
Quality Assurance Audit

These are facilitated and funded by the BCCSA. There are two categories of Quality
Assurance audits:
 Auditor Quality Assurance Audit — Initiated by the BCCSA as a means to
ensure auditor competence.
19
 Company Quality Assurance Audit — Typically initiated by WorkSafeBC in
response to an incident or area of concern. These are full-scope audits and
could count as the company’s re-certification audit. An audit of this type is
referred to as a WorkSafeBC Initiated Verification Audit (WIVA).
Company Information
This consists of basic company information, such as address and phone number.
Supplementary Audit Information

This is for companies that are conducting a COR audit for more than one
WorkSafeBC Account number. Companies must receive approval from the BCCSA
prior to conducting an audit that covers more than one WorkSafeBC account.
Figure 3. Supplementary Audit Information
20
Step 3: List of Active Worksites Tab
This allows the auditor, company, and BCCSA to review/confirm that proper audit
scope has been applied.
Figure 4. List of Active Worksites Tab
21
Total Number of Employees During Normal Operating Mode
It is important to determine Normal Operating Mode (NOM) because this will ensure
the audit is conducted during representative operations. In order to determine NOM,
follow these steps:
1. Obtain the number of employees on payroll for each month over the past 12
months and add the number of employees for all months sampled.
Month # of Employees
January 25
February 25
March 23
April 21
May 28
June 26
July 26
August 26
September 29
October 21
November 21
December 21
Total 292
Figure 5. Sample NOM Calculation (step 1)
2. Divide the number of employees by the number of months sampled:

a. 292 employees ÷ 12 months = 24.33.
b. Round accordingly.
c. In this case the NOM would be 24 people.
3. Enter the NOM information. This number is used to base all future interview-
related entries made in the audit document.
The audit must be conducted with at least 80% of the NOM currently employed. Call
the BCCSA to request permission to conduct the audit any time the NOM is below
80%.
22
Worksite Locations
This is a description of each location where employees are conducting work. For
example, if the company has 48 active contracts but workers are only present on
26 of these worksites, then only 26 worksites should be recorded. The auditor is
required to record Site Name, Address, and City.
The table below shows the three categories of worksites, along with a description of
how to record the information on the List of Active Worksites Form.
Worksite Typical Duration Examples How to Record

> 30 days
Static Prime contractor Specific address
< 12 months
Temporary Worksites
General location,
Dynamic 1–30 days Subcontractor City, Truck #
before the audit,
then specific
Mobile < 1 day Mobile technicians address when the
audit is conducted
Account # and CU
Record the WorkSafeBC Account # and Classification Unit (CU) associated with each
active worksite. Confirm with the employer which CU is associated with each
operational worksite.
The auditor MUST visit at least one worksite from each WorkSafeBC Account # and
each CU covered in the audit.
Note: CUs are identified by a six-digit classification unit code. Typically, each
company is assigned to the CU that best describes its primary business
activity. If a company is engaged in two or more separate and distinct
activities, it may be assigned to two or more CUs. For more details, see the
multiple classification policy (Policy Number 1-37-2) in the Assessment
Manual.1
1 Reference: http://worksafebc.com/insurance/premiums/classification/default.asp
23
Visited (Yes or No)
Worksites included in the audit must be representative of the overall scope of
operations, and all CUs for which the company is seeking COR must be included in
the scope of the audit.
If the audit will cover more than one WorkSafeBC account, a representative sample
of worksites and CUs for each WorkSafeBC account must be included in the scope of
the audit for COR Certification and rebate eligibility.
For companies that have active worksites in various regions throughout the province,
the auditor must also ensure that the audit scope includes site visits to each region
over a three–year period.
1. Review (row 74) to determine a proper observation sampling

size. Note: The Head Office MUST be visited.
2. Record which sites will be visited during the audit, and ensure the total
planned site visits are in alignment with COR requirements.
Determining Observation Sample Size

Active Sites Sites to Visit
2 All
3–4 2
5–8 3
9–30 1/3
31+ Call BCCSA
Figure 6. Site Observation Sampling Table
Using the Site Observation Sampling Table above, a company with 3 Active Sites
would require visits to 2 sites. This is in addition to the provincial head office/shop.
The head office/shop must always be included in audit scope.
Number of Employees
1. Obtain information regarding the number of OMS and Workers at each
worksite.
2. Record this information in the respective column under “Number of
Employees.”
24
Number Interviewed
1. Review (row 161) and find the number of Total Employees for the
company’s Normal Operating Mode to determine a proper interview sampling
size. Note: There MUST be interviews for the Head Office.
Determining Interview Sample Size
Minimum Number of Number of

Total
Number of OMS Worker
Employees
Employees Interviews Interviews
18–20 12 2 10
21–24 13 3 10
25–27 14 3 11
28–30 15 3 12
31–36 16 3 13
37–44 17 3 14
45–49 18 4 14
50–64 19 4 15
65–74 20 4 16
75–88 21 4 17
89–99 22 4 18
100–120 23 5 18
Figure 7. Interview Sampling Table
Using the Interview Sampling Table above, a company with a NOM of 32 employees
would require 3 OMS and 13 Worker interviews.
Note: The total number of interviews must be distributed as follows: 20% OMS and
80% Worker interviews. The auditor cannot decrease the number of required
interviews without obtaining permission first. The auditor MUST keep the 20/80 ratio
if choosing to increase the number of interviews. For example, if the auditor wants to
interview an extra OMS, he or she must also interview an extra 4 Workers to
maintain the proper ratio.
25
Step 4: Pre-Audit Meeting Tab
The pre-audit meeting is meant to ensure that all stakeholders in the audit are aware
of the process and to confirm all information before starting.
Figure 8. Pre-Audit Meeting Tab
Pre-Audit Meeting Date

The pre-audit meeting is also known as the audit start date. This date should match
the actual audit start date recorded on the Audit Information Form.
Location
Indicate where the pre-audit meeting took place.
Attendees
List attendees by first and last name. The company can choose which personnel
should attend the pre-audit meeting. In most cases, the senior management team
will be in attendance.
Key Contact
This is the person working as the key contact on behalf of the company in relation to
the COR program. If the auditor is the key contact, then record “NA” in this field.
Site Escort
This is the person who accompanies the auditor to each worksite visited. If the
auditor visits sites alone, then record “NA” in this field.
26
Pre-Audit Meeting Notes
The auditor must cover the following topics
in the pre-audit meeting:
 Purpose and scope of the audit —
This is to measure the effectiveness
of the health and safety program
against a national standard. Passing
the audit will result in a 10% rebate
on the company’s assessments for
OHS and 5% for RTW (if applicable).
 Schedule — Review the proposed
audit schedule. This includes time
and date estimates for site and office
visits. Inform the company how long
you expect interviews to take.
 Confidentiality — All information
gathered will be kept completely
confidential.
 Code of Conduct — Review the
principles of the Code of Conduct to Figure 9. Pre-Audit Meeting Agenda Items
ensure understanding.
 Audit document to be used — The audit document covers 14 elements of
an OHS program. Marks are awarded using three different methods:
Documentation, Observation, and Interviews. A score of 80% overall and
50% in each element is required to pass.
 Confirmation of the location of the active worksites
 Discuss the sites to be toured
 Number of people to be interviewed — State how many people (OMS and
Workers) will be interviewed.
 Non-conformance issues — State that non-conformance issues observed in
site visits will be discussed with the manager and should be corrected as soon
as practicable. Ask what happens if an employee doesn’t want to participate.
 The schedule for the post-audit meeting — Plan to hold the post-audit
meeting on a specific date and time. Inform the company that the post-audit
meeting will include a review of positives and areas for improvement.
 Questions — Ask the company if they have any questions.
27
Module 2: Review
Instructions
1. Locate the In-Class Case Study in Appendix 1 of this manual.
2. Open the OHS Audit Document that was downloaded from the BCCSA
website.
3. Use the information from the In-Class Case Study to complete the following
tabs in the Audit Document:
a. H&S Manual Verification tab
b. Audit Information tab
c. List of Active Worksites tab
d. Pre-Audit Meeting tab
Note: Refer to the tab to determine the number of Observation Tours

(row 74) and Interviews (row 161). Record your planned site visits and interviews on
the List of Active Worksites tab.
28
Module 3: Conducting the Audit
Overview
Audit
Definitions Audit Questions Comments Verification
Techniques
Step 1: Step 2: Step 3: Module 3:

Documentation Observation Interviews Review
Definitions
Term Description
Accident/Incident An unplanned or unwanted event that results in damage or

injury, or could have resulted in damage or injury.
Company directives that govern and control conduct and
action at the workplace. These rules are basic written
Company Rules statements that dictate acceptable behaviour and leave no
room for discretion or argument. Also referred to as safe
work rules.
A current, written statement(s) of Senior Management’s
philosophy, principles, and goals embodying the
Company Health & company/employer’s commitment to workplace health and
Safety Policy safety. Section 3.3(a) of the OHS Regulation references “a
statement of the employer’s aims and the responsibilities of
the employer, supervisors and workers.”
Critical Task A task that has the potential to produce major loss to
people, equipment, process, or the environment.
In legal terms, this is the requirement of a
Due Diligence company/employer to provide safe work conditions, through
taking reasonable steps to prevent incidents from occurring.
An individual who works for an employer or organization and
is compensated for his/her services. This person may be full-
Employee time, part-time, or retained on a contractual basis and is
insured under the company’s WorkSafeBC account.
In the event the audit score is below 80% (or less than 50%
in any element) the audit is considered to have failed. In
Failure of an audit this is the case, it must be reported to the BCCSA. The
company has the option of requesting a second audit once it
has addressed the areas of concern. A score of 70–79% may
29
Term Description
trigger a limited scope audit that will address the identified
deficiencies.
Is there a process in which individual hazards of the
workplace are identified, anticipated, assessed, and
Hazard Assessment controlled/eliminated as close to source (location of the
hazard) as reasonable and possible?
These are measures put into place to protect workers from
known hazards. The typical hierarchy of control measures
Hazard Controls are elimination, substitution, engineering, administrative,
and finally personal protective equipment, as a last line of
defence.
Include information that can help companies measure,
review, and address health and safety concerns in the
workplace. These may include injury statistics, near miss
reports, injury reports, safety meeting minutes, and
Health and Safety
inspection and hazard reports. Summaries are not limited to
Activity Summaries
internal information; companies may find it beneficial to
review provincial or national reports on health and safety
matters. (For WorkSafeBC statistics reports go to
www.worksafebc.com.)
A comprehensive survey of workplaces, personnel,
Inspections
processes, and equipment or tools.
A segment of work, a specific work assignment, or a set of
Job actions required to complete a specific work objective. An
accumulation of all tasks involved in the worksite.
The process of evaluating a specific task (job) to identify all
Job Hazard Analysis hazards or potential hazards that the individuals performing
the task (job) may be exposed to.
A committee composed of worker and company/employer
representatives who together are committed to improving
Joint Occupational
health and safety conditions in the workplace. (In the
Health and Safety
absence of a joint OHS committee, a worker representative
(OHS) Committee
is nominated or appointed by the workers to represent all
workers from all departments within a company.)
If the audit score is 70–79% or below 50 % in any
element, a limited scope audit may be offered and
performed within 90 days from completion of audit. This is
Limited Scope Audit
limited to the elements that contributed to the low score.
BCCSA must be informed of the intention to carry out a
limited scope audit.
Meetings may include but are not limited to joint OHS
Meetings committee meetings, toolbox talks, management meetings,
and informal safety meetings. They may or may not include
an agenda but should include a record of attendance.
Near Miss An occurrence that had the potential for causing damage or
an injury or occupational disease.
30
Term Description
Protective gear designed to reduce or eliminate potential
Personal Protective injuries to a worker. Basic PPE includes gloves, hard hats,
Equipment (PPE) clothing, and steel-toed boots. Specialized PPE includes full
body harnesses, respirators, goggles, and reflective vests).
The contractor, employer, or other person who enters into
an agreement with the owner of the worksite to be the
Prime Contractor prime contractor. The prime contractor has the overall
responsibility for health and safety on the worksite.
A written step-by-step set of instructions on how to safely
complete a specific task (e.g., lockout). Safe job procedures
must clearly identify the hazards the worker could be
Safe Job Procedure exposed to, the steps required to complete the task (in
proper order), the control measures, and what to do in an
emergency situation. Also referred to as safe work
procedures or execution plans.
Safe work practices are a set of methods or “Do’s and
Don’ts” on how to carry out a specific task or use
equipment. They should inform the worker about the
Safe Work Practice hazards that are present and provide direction on how to
safeguard against the hazards. They are general methods
only and do not define specific procedures. Examples include
using ladders and safe lifting techniques.
Personnel in a company who directly control the overall
operation of the company or a division/department within
the company. They are responsible for ensuring the
Senior Management company or division/department is complying with the OHS
Regulation and other applicable safety legislation. Senior
management of a company may be appointed by a board of
directors or approved by shareholders.
In the absence of a joint OHS committee, this is an
Worker individual who is nominated or appointed by the workers to
Representative represent all workers from all departments within a
company.
31
Audit Questions
Each question in the audit document has four components, as shown in Figure 10
and described below.
Figure 10. Audit Question Components
1. The Question
The audit question provides the basic intent that the auditor is looking to meet.
2. Guideline
The guideline helps the auditor do his/her diligence to arrive at a final sufficient vs.
insufficient result for each question. The guideline may reference a specific OHS
Regulation that needs to be reviewed prior to answering the question.
3. Directive
The directive helps the auditor prove his/her diligence when answering the audit
question in the comment field. The directive may ask the auditor to provide
examples of documents observed or statements received.
4. Comment
The auditor is aiming to conduct an effective audit that will help the company make
improvements over the following year. While performing diligence in noting the
documentation, observation, and interview results, the auditor must include quality
comments to indicate how the final decision for each question was obtained.
Quality comments allow the:
 Auditor to write an effective Executive Summary
 Auditor to defend the answers to the client, the BCCSA, and WorkSafeBC
 BCCSA to conduct Quality Assurance audits
 Client to learn the context for each sufficient vs. insufficient question
Each audit question must contain a comment and:
1. Align with the audit question.
2. Provide justification for the result awarded. The audit question guideline helps
the auditor know what type of justification might be required.
3. Answer the audit question directive.
32
Figure 11. Example of audit question with components of a quality comment shown
Anatomy of the Audit Element

In addition to the question, guideline, directive and comments areas, each
audit element tab has the following components:
1. Score – The number of points a given question is worth.
2. Technique Employed – Whether D, O or I are required for the question.
3. Points Awarded – The number of points awarded. This can only be full points
or zero points.
4. AND and OR requirements
a. AND questions require a positive result for one AND the other
verification techniques in order to get points.
b. OR questions require a positive result from one OR the other
verification techniques in order to get points.
Question 6.2 requires Documentation AND Interviews while
Question 6.3 requires Observation OR Interviews
33
Audit Verification Techniques
The audit process contains a series of three verification techniques with weighted
scoring. The combination of all three techniques is commonly referred to as DOI:
D = Documentation review
O = Observations of worksites
I = Interviews
Step 1: Documentation Review

Documentation review verifies the completeness and effectiveness of the written
health and safety program. Documentation review also helps auditors with
interviewee selection and may identify some key points to confirm during the
observational tour. A document may raise many questions, and the auditor must be
able to search for the answers.
As the first method of verification in the COR audit process, documentation review
provides the auditor with a basic understanding of how the company is working.
Documentation Types
There are two types of documentation being reviewed in the audit process:
1. Safety Management System (SMS) documents
2. Due Diligence (DD) records
34
Safety Management System (SMS) Documents
What are they? The basis on which the safety program is administered
Where to find them? The Safety Manual
 Safety Policy
 Company Rules
SMS Documentation  Orientation Procedures and Forms
Examples  Incident Investigation Procedures and Forms
 Safe Work Practices and Safe Job Procedures (may also
be considering DD)
5.4 “Does the program address non-conformance and
Audit Question progressive disciplinary actions?”
Examples
6.1 “Is there a written policy for PPE?”
Figure 12. Components of a Safety Management System
35
Due Diligence (DD) Records
What are they? Documents proving the safety program is being followed
Where to find them? Head office and site locations
 Employee Orientations
 Site Inspections
DD Documentation
 Incident Investigations
Examples
 Hazard Assessments
 Pre-Use Inspection
5.5 “Are the rules applied and enforced consistently with all
Audit Question employees?”
Examples
6.2 “Are workers made aware of the requirements for PPE?”
When forms get completed…

they become records, and this
provides documented evidence that
a company is DOING what is SAYS
it’s going to do!
36
Documentation: Verification
Verifying documentation as sufficient vs. deficient is not as straightforward as it
sounds. Some documentation might be as simple as determining whether a
particular statement exists, while other documentation may require hours of
research to obtain a conclusion.
There are two methods to verify a documentation question as sufficient:
1. Yes/No method
2. Eighty percent method
Yes/No Method
The Yes/No method is the simplest method of verification and typically requires the
auditor to find proof of sufficiency within a single document. Most SMS-related
questions are simple Yes/No questions.
Example 6.1 “Is there a written policy for PPE?”

This requires a simple Yes/No verification because there either
Explanation
IS a policy, or there is NOT a policy.
Eighty Percent Method

To award points for an 80% question the auditor must be able to locate at least 80%
of the documentation required. Due diligence records represent almost all of the
80% questions. Having an allowance for 80% compliance makes it more likely for
companies to be successful with COR while having room for improvement in future
performance.
Example 9.3 “Is the required frequency being met?”

This requires a more complex approach to determine sufficiency.
For example, the auditor would first need to know the required
inspection frequency and then measure the company’s
Explanation compliance with this frequency.
The actual frequency would need to be at LEAST 80% compliant
with the required frequency in order to get points.
37
Documentation: Auditor Diligence
Documentation questions are the most challenging to answer and keep track of. In
some cases, the auditor would need to review the safety manual and a variety of due
diligence records from a number of locations over a three-month period to answer a
single audit question.
Proving diligence can prevent future issues related to auditor competency. The
auditor should have a process for each documentation question that allows the
auditor to defend the final assessment.
Example 9.3 “Is the required frequency being met?”

Verify that the frequency of inspections is being met as
Guideline
stated in the policy.
1. Review the Inspection policy and determine which types

of inspections are required.
2. Compare the number of inspections completed against
the number required.
Projects reviewed: 5
Months sampled: 3
Diligence Type Frequency Required Located
Strategy
Simple Daily 300 200
Supervisor Weekly 60 55
Formal Monthly 15 10
Totals 375 265
Percentage Compliant 71%
38
Due Diligence Records — Block Sampling
Block sampling is the review of a prescribed quantity of documentation over a period
of time as a means to determine sufficiency.
The BCCSA requires that auditors review at least 25% of the past 12 months of
documentation.
There are some exceptions to the above-mentioned requirement where an auditor
would require a different sampling. The tables below show examples of block
sampling where 25% over 12 months isn’t practical.
1.5 “Is [the Company Safety Policy] reviewed annually

Example
by management?”
The company would need to provide proof of an annual
Sampling
Safety Policy review for the past 3 YEARS in order to
Explanation
show a history.
2.1 “Are written hazard assessments conducted as

Example
required?”
Many companies file hazard assessments under each
project (as opposed to a straight chronological filing). In
Sampling this case, it makes sense to get a sampling of projects
Explanation completed over the past 12 months and review all
hazard assessments instead of reviewing 3 months of
records from all projects.
Note: There should be at least 6 months (12 months is recommended) of supporting
evidence that the company’s OHS and/or IM/RTW program elements are
functioning.
39
The table below shows many of the due diligence records that will need to be viewed
during the COR audit process, along with examples of the quantities needed.
Block Sampling Plan
Element Quantity
1: Safety Policy
Meeting minutes or some other method to show an
annual review of the Safety Policy has taken place. Previous 3 years
signed safety policies do not count.
2: Workplace Hazard Assessment & Control
Hazard assessments
Examples: Job Hazard Analysis, Task Hazard Analysis, Pre- 3 months
Job, Hazard Assessment, Field-Level Hazard Assessment
3: Safe Work Practices
Field-generated Safe Work Practices 3 months
4: Safe Job Procedures
Field-generated Safe Job Procedures 3 months

5: Company Rules
Disciplinary records 12 months
6: Personal Protective Equipment
PPE Inspection Records
6 months
Examples: Fall Protection Equipment, Respiratory Protection
7: Preventative Maintenance
Inventory list of tools, equipment, and vehicles All
Repair/maintenance records 25% of vehicles
8: Training & Communication
List of employees All
Employee training records 25% of all employees
Supervisory training in Inspections and Health & Safety
Responsibilities
All supervisors
Training must include: Course information, Reference
materials, Quiz/Test
Toolbox Talks:
Safety meeting minutes
3 months
Examples: Joint OHS Committee Meetings, Toolbox Talks,
JOHSC and
Site Safety Meetings, Management Meetings,
Management
Other: __________________
Meetings: 12 months
40
Block Sampling Plan
Element Quantity
9: Inspections
Site: 3 months
Inspections
Office: 12 months
Examples: Site, Office, Shop, Other: _________
Shop: 6 months
10: Investigations & Reporting
Completed Accident and Near Miss Investigations 12 months
11: Emergency Preparedness
Office/Shop Emergency Response Plans
25% of locations in BC
Site Emergency Response Plans
12: Records & Statistics
Report of all incidents broken down by first aid, medical
aid, time loss, and return to work (only if doing IM/RTW
Audit)
Records to show review of safety performance 12 months
Example: Management meeting showing discussion of
incident types and time-loss duration, or email records to
show communication of incident trends
12 months or
First aid records 25 records, whichever
is less
Previous COR Audit Action Plan
Previous year
Ensure completed items are noted
14: Joint OHS Committee/Worker Representative
Joint OHS Committee Terms of Reference Most recent version
List of current Joint OHS Committee Members Current reps
Joint OHS Committee Training Records All
Joint OHS Committee Meeting Agendas & Minutes 12 months
Important: Daily diaries, journals, and logbooks can provide acceptable proof that
certain activities are being completed. Records must be presented within a
reasonable time.
Documentation: Application
The following three steps must be followed in order to apply documentation review:
1. Determine sample size.
2. Gather/Review SMS & Due Diligence Records.
3. Record results in audit question “D” column.
41
Step 2: Observations of Worksites
Figure 13. Observation Questions Tab
Observations: Conducting Site Tours

The 2nd verification method, site observation tours, requires the auditor to answer a
number of observation questions and have a solid understanding of the safety
program requirements. It is important to visit active worksites, yet not interrupt
critical operations while doing so.
Each worksite visited must be 100% compliant with the observation question in
order to receive a positive mark for the observation tour. For example, observation
question #6 asks “Have critical safe job procedures been written to cover worker
activities?” In this case 100% of critical work observed must have a corresponding
safe job procedure in place; otherwise this question would receive a negative
verification result.
42
Observations: Auditor Diligence
The auditor must know how he/she is going to ensure diligence in answering the
question. The audit question guideline provides some guidance, but a diligence
strategy is required to effectively determine a final result.
4.2 “Have critical safe job procedures been written to cover
Example
worker activities?”
Determine if all critical safe job procedures have been
written. Identify missing procedures as “recommendations”
Guideline in the Auditor Executive Summary Report. A critical task is
a task that has the potential to produce major loss to
people, equipment, processes, or the environment.
1. The SMS must include critical Safe Job Procedures.
2. Observed critical work on-site must have relevant
documented critical Safe Job Procedures.
Diligence Strategy
3. Any observed critical work on-site without a
corresponding critical Safe Job Procedure would
contribute to an insufficient mark for this audit question.
43
Observations: Application
The following steps must be followed to apply observation review:
1. Print 1 copy of observation questions per site that you plan to visit.
2. Record results on the Observation form, and make notes. These notes will be
needed when writing the auditor comments.
3. Transfer to the Observation Summary tab in the Audit document.
Notes:
 Information from the Observation Summary tab gets automatically
transferred to the “O” column of each “E1–E14” tab.
 At least half of the observation tours must be positive in order to receive an overall positive
mark for the relavant audit question.
Figure 14. Observation Summary Form Tab
44
Step 3: Interviews
Figure 15. OMS Interview Tab
Figure 16. Worker Interview Tab
Figure 17. Interview Summary Tab
45
Interviews: Conducting Interviews
Interviews are the third verification method used when conducting an audit. They
help to finalize the picture of how a company is operating in reference to their stated
Safety Program requirements. Ensure that interviews take place in a private area
where interviewees will feel comfortable knowing their answers are not being
overheard.
Interviews: Time Management

Interviews can range from 20 to 30 minutes depending on how much time the
interviewee spends talking. Take time to record interview durations to improve
planning accuracy.
Interviews: Paraphrasing Questions

The auditor is responsible for reading the question in its original format. If the
interviewee does not understand the question, the auditor can paraphrase in order to
increase comprehension.
It is important for the auditor to pre-read the original audit question along with the
interview question to understand what type of information is being sought. This will
help paraphrase questions for interviewees.
Example 1.9 “Can you explain what the policy means to you?”
“If you were to compare working for this company, which
has a safety policy, to another employer that doesn’t have
How to Paraphrase
any safety policy… how would ‘having a safety policy’
affect your work?”
Interviews: Auditor Diligence

3.3 “Are safe work practices easy to understand? Can you
Interview Question
provide an example?”
During the audit interview process the majority of
employees should be able to demonstrate an
Guideline
understanding of the company’s safe work practices by
describing some of the key points they contain.
Review the Safe Work Practices in the Safety Manual.
Diligence Strategy Know which practices would be relevant to the worker.
Compare the worker response with what is documented.
46
Interviews: Application
1. Print 1 copy of and 1 copy of per site visited.
2. Record results on the form and make notes. These notes will be needed when
writing the auditor comments.
3. Tally/transfer the total to and .

4. These results will automatically get calculated in the .
Note: Information from the Interview Summary tab gets automatically transferred
to the “I” column of each “E1–E14” tab.
50% of interviews must be positive in order to receive a positive mark for the
relevant audit question.
47
Module 3: Review
Part 1: Checkboxes
Read the following questions and determine whether the question is referring to a
Safety Management System (SMS) document or a Due Diligence (DD) document.
1. [Safety Policy] expresses a commitment to work in a spirit of
consultation and cooperation with workers?
Guideline: The policy should outline the commitment of the company to work
with their employees to promote a safe and healthy work environment.
Directive: Quote the statement that refers to commitment.

 SMS
 DD
2. Are written hazard assessments being conducted as required?
Guideline: An employer is required to assess all worksites, jobs, and tasks

(including the office/shop), and identify existing or potential hazards before
work begins. (Pre-job) assessments could also include occupational exposure
for noise levels; asbestos exposure; and biological, chemical, and
environmental issues. The assessment should be based on the work to be
performed and should result in the identification and implementation of
control measures to prevent worker exposure and contamination (elimination,
substitution, engineering, and administrative controls, or, as a last resort,
PPE).
Directive: Describe how hazard assessments are conducted.

 SMS
 DD
3. Does the employer use an ongoing hazard assessment process?
Guideline: Ongoing hazard assessments must be completed as the project

progresses or changes occur. The frequency of ongoing assessments will
depend on how often the process changes; this includes but is not limited to:
 At practicable intervals
 When a new work process is introduced
 When a work process or operation changes
 Before the construction of a new worksite
Directive: How are hazard assessments generated?

 SMS
 DD
48
4. Are the [company] rules applied and enforced consistently with all
employees?
Guideline: Obtain evidence that the disciplinary process is being used. Look
for disciplinary letters (blacked out) or similar documentation.
Directive: Provide a documented example of a rule being enforced and

provide examples of responses obtained through the interview process.
 SMS
 DD
5. Does the employer have a formal orientation program?
Guideline: Look for documentation to support that the employer has a formal
orientation program. Reference: section 3.23 of the OHS Regulation (Young
or new worker orientation and training).
Directive: Describe the program.

 SMS
 DD
6. Is orientation mandatory for all new workers before starting work?
Guideline: Verify that orientations were conducted with all employees.

Reference: sections 3.22 and 3.23 of the OHS Regulation. This includes
management, workers, and supervisors.
Directive: Provide 1 example of a document indicating orientation has taken

place prior to starting work.
 SMS
 DD
Part 2: In-Class Case Study

1. Locate the “In-Class Case Study” in Appendix 1 of this manual. Refer to the
following sections:
 “Section 6 – PPE”
 “Training Matrix and Status”
2. Use the In-Class Case Study to complete the following tabs:

 Element 6. Documentation only!
49
Module 4: Post-Audit Activities
Overview
Step 1: Step 2: Step 3: Step 4:

Review Audit Executive Post-Audit Corrective
Data Summary Meeting Action Plan
Module 4:
Student Audit Final Exam
Review
Upon completion of the audit, the auditor should have an accurate understanding of
the health and safety aspect of company operations. Using experience combined with
clear documentation, observation, and interview notes will allow the auditor to make
practical recommendations for company improvement.
50
Step 1: Review Audit Data
Given the diversity of questions and methods of verification, it is prudent to double-
check all audit data prior to finalization. Ensure that all scores match up with the
comments provided and that comments are in line with the audit question directive.
1. Double-check all of your work.
2. Ensure that Scores  Comments.
3. Ensure that Comments  Directives.
Figure 18. Audit Summary Tab
The Audit Summary tab is auto-calculated to show the total score/percentage for
each element, the overall audit score/percentage for the entire audit, and an
indication of whether the audit resulted in a pass or fail mark.
51
Step 2: Executive Summary Tab
The Executive Summary is an opportunity for the auditor to provide a succinct
summary of the company health and safety performance while providing practical
general guidance for future improvement.
Figure 19. Executive Summary Tab
Step 1
Thank the organization for their effort and help during the audit. Identify the
individuals who assisted you during the audit.
Step 2
Provide a brief description of the company being audited and describe the scope of
the audit (i.e., audit start and end dates, sites visited, number of interviews
conducted, and any other relevant information). If any variances were made on the
number of sites visited or interviews conducted, explain in detail.
52
Step 3
Complete the main body of the report by summarizing the findings of the audit for
every Element. For each of the 14 elements, describe areas of strength and
recommended areas for improvement.
Figure 20. Examples of Strengths and Recommendations
1. Strengths
Strengths must be listed for each element of the audit. These can be based on
documentation, observations, or interviews. Often, the company being audited might
focus on deficiencies only, and strengths provide an opportunity to examine what is
working well.
Example 1 in Figure 20 shows a strength.
2. Recommendations
Recommendations provide guidance for developing the Corrective Action plan and
are focused on desired outcomes. Recommendations must be made for elements
scoring 100%. These can guide a company toward ongoing improvement, yet aren’t
related to a specific deficiency. Recommendations must also be included for each
audit question that scored zero or had a negative result for a verification technique.
All recommendations must reference the relevant audit question at the beginning of
the recommendation as shown in Figure 20.
Example 2 in Figure 20 shows a recommendation.
Step 4
Write a concluding paragraph. Remind the company to develop a Corrective Action
plan that addresses areas for improvement identified in the audit findings. Thank the
company for allowing you to present the audit. Remind them that by focusing on the
areas for improvement, their program may be more effective at reducing the impact
of workplace injuries.
53
Step 3: Post-Audit Meeting
The post-audit meeting should take 30–60 minutes depending on the questions and
comments generated. The meeting is a review of the overall audit performance and
each of the elements. It should include some helpful guidance on how to improve for
the next audit.
The auditor must be prepared to defend all deficient questions with a complete
explanation based on objective observations and avoid using his/her opinion as much
as possible.
Figure 21. Pre- and Post-Audit Meeting Tab
54
Post-Audit Meeting Notes
The auditor must conduct a thorough review of the
completed document prior to the post-audit meeting:
 Purpose and scope of the audit — This is
to measure the effectiveness of your health
and safety program against a provincial
standard, which requires a minimum score of
80% to achieve your certificate of recognition.
The audit is a way of measuring your health
and safety program’s effectiveness by
applying a quantitative value to it. Passing
the audit will result in a 10% incentive on the
base assessments for health and safety and
5% for RTW.
 Confidentiality — All information gathered

will be kept completely confidential, and all
results from interviews will be destroyed at
the end of the audit.
 Code of Conduct — Review the principles of

the Code of Conduct to ensure understanding. Figure 22. Post-Audit Agenda Items
 Audit document that was used — The audit document covers 14 elements
of an OHS program. Marks are awarded using three different methods;
Documentation, Observation, and Interviews. A score of 80% is required to
pass the audit. A minimum of 50% must be achieved in each of the 14
elements or a Limited Scope Audit may be applied for. No partial marks will
be awarded. It’s an all or nothing situation.
Review all elements, their scores, and strengths and recommendations.

Review the specific score for each element, and highlight executive summary
points. Include strengths and practical recommendations.
 Present the audit score — Discuss the final audit score and criteria for
passing the audit. If the score was 70–79%, inform the company about their
ability to request approval for a Limited Scope Audit.
 State the requirement to develop and implement an Action Plan —

Inform the company that an Action Plan must accompany the completed audit
document for submission to the BCCSA.
 Discuss the target audit score for the next audit — Ask the company if
they know what they would like to set as a target for the following year.
Generally, a target should be 3–8% improvement. Any more than that and
the company may be undergoing too much change at once and risk losing
ground in other areas of performance.
 Outline next steps for the company — Inform the Senior Manager to
review/add their name to the Audit Summary and Corrective Action, and state
that the completed audit must be emailed to cor@bccsa.ca.
55
Step 4: Corrective Action Plan Tab
The Corrective Action Plan (CAP) describes the steps to address deficiencies
identified in the audit report. While it is the responsibility of the company to
complete the report, the Auditor may be able to provide ideas on appropriate
recommendations for corrective actions when the audit findings are presented to the
company.
Figure 23. Corrective Action Plan Tab
The CAP will:

 Prioritize identified deficiencies and recommendations from the audit
 Identify corrective actions/improvements required
 Assign responsibility
 Establish target completion/implementation dates
Effective CAPs have:
 A minimal number of items
 Objectively measurable actions
 Realistic timelines
Documented CAPs demonstrate a level of due diligence only when the corrective
actions have been effectively implemented. It is neither an expectation nor a
requirement that the company have all recommendations that are listed on their
action plan implemented at the time the audit is submitted to BCCSA.
It is important to keep a copy of the CAP to ensure the completion of follow-up and
documentation on the status of each of the recommendations.
The CAP must be completed by the company being audited, dated, and approved by
the owner or a senior manager. The CAP will be reviewed at the next audit to ensure
that action items were completed. The CAP will also be reviewed during any
verification audit.
56
Module 4: Review
1. Use the information gathered from the In-Class Case Study to complete
the and the tabs in the same Audit
Document that was downloaded from the BCCSA website.
57
Appendix 1: In-Class Case Study
Company Information
ABC Construction Ltd. is owned by Sarah Wells. She also owns a sister company
named CBA Contracting Inc. ABC provides management services as the Prime
Contractor for high-rise concrete condo buildings, while CBA Contracting constructs
wood frame townhouse complexes.
You are the company’s primary COR contact, so use your own name and email
address. The secondary COR contact is N/A. The president is Sarah Wells, and her
email address is swells@abcconstruction.ca.
ABC Construction Ltd. would be considered the primary COR applicant. You will be
the auditor and must complete all of your own personal information.
Certification #: 12345
Auditor Cert. Expiry Date: January 1, 2020 Month # of Employees
 Audit start date is today. 1 100
 Site escort is N/A.
 Set your own anticipated end date. 2 98
These two companies are conducting a Joint 3 95

Audit and have received prior approval from 4 99
WorkSafeBC through the BC Construction Safety
Alliance. 5 82
This is the company’s 2nd audit. An external 6 88

auditor conducted the first audit and visited sites 7 74
in Vancouver only.
8 82
There are 4 OMS and 12 Workers located at the
9 81
Main Office/Shop.
10 84
Their number of employees has varied depending
upon the time of year. The list to the right shows 11 98
the number of employees on payroll for each of 12 120
the past 12 months.
ABC Construction Ltd. CBA Contracting Inc.
Address 123 Main Street, Vancouver, BC V1X 2K2

Phone (604) 555-5555
WorkSafeBC Account 112233 123654
Classification Unit 721028 721027
Industrial, Commercial, House or Other Wood Frame
Nature or Type of Institutional or High-rise General Contracting,
Work Done Residential General Construction or Renovation
Contracting or Construction Work
These people will attend the pre (today) & post (15 days later) audit meetings:
Sarah Wells, Teresa Koch, Stanley Trevino, and Joseph Sauer.
58
Health & Safety Manual Table of Contents
Job List
Classification
Job # Job Name Location OMS Workers
Unit
900 East 1st Ave

1790 Mountain View 721028 1 12
Vancouver
441 Summit St
1801 Piper 721028 1 12
Vancouver
206 Plain Rd
1802 Valley View 721027 2 8
Abbotsford
Deer Lake 732 Gaiman Dr
1803 721028 1 4
Reach Burnaby
1209 Harvey Rd
1810 Forest Lawn 721027 2 12
Kelowna
838 Broughton St
1812 The Escher 721028 1 2
Victoria
90032 Hwy 97
1813 The Lifestyle 721027 2 18
Prince George
59
In-Class Case Study — Documentation
Section 6 — PPE
ABC Construction Ltd. & CBA Contracting Inc. HEALTH & SAFETY MANUAL
Section 6) Personal Protective Equipment (PPE)

Policy
The company will ensure that appropriate PPE is available for employees and they are wearing it whenever
required. In addition, all affected employees will receive appropriate PPE-specific training. While basic PPE
training will be covered during orientations and toolbox talks, more formal training may be provided for
specialized PPE.
General
1. Workers are expected to show up for all shifts with any necessary PPE that is relevant to their job
duties. Failure to bring or wear necessary PPE while at the worksite may result in disciplinary action.
2. PPE will:
· be used in accordance with recognized standards and provide effective protection
· not in itself create a hazard to the wearer
· be compatible, so that one item of PPE does not make another item ineffective
· be maintained in good working order and in a sanitary condition
3. If the use of PPE creates hazards equal to or greater than those its use is intended to prevent,
alternative PPE will be used or other appropriate measures taken.
4. If an evaluation of workplace conditions is required to determine appropriate PPE, the evaluation will be
done by the site supervisor or designate in consultation with the worker who will use the equipment.
Standards
1. All PPE selected to protect against specific identified hazards will meet applicable standards as defined
by the applicable local Occupational Health and Safety (OHS) Regulations.
Responsibilities
1. Supervisors will ensure that appropriate PPE is:
· available to workers
· properly worn when required
· properly cleaned and stored
· maintained and repaired as required
· inspected and tested as required
2. Workers who are required to use PPE will:
· be trained in the proper use of PPE if current training has not been provided
· use the equipment in accordance with training and instruction
· inspect the equipment before use
· refrain from wearing PPE outside of the work area where it is required if to do so would constitute
a hazard
· immediately report any damaged or defective PPE to the site supervisor or designate
3. A worker who is assigned responsibility for cleaning, maintaining, or storing PPE will do so in
accordance with training and instruction provided.
Revision Date: June 29, 2015 Approved by: Management Page 38
60
61
Eye Protection
1. Workers will wear properly fitting safety eyewear appropriate to the

conditions of the workplace if handling or exposed to materials that are likely
to injure or irritate the eyes.
2. Properly fitting safety eyewear appropriate to the conditions of the
workplace must be worn if a worker:
· has 20/20 or less vision in either eye or is blind in either eye, or
· is working on or testing electrical equipment energized at a potential greater than 30 volts.
3. Prescription safety eyewear must meet CSA Standard CAN/CSA-Z94.3-92, Industrial Eye and Face
Protectors.
4. Bifocal and trifocal glass lenses must not be used if there is danger of impact, unless they are worn
behind impact-rated goggles or other eye protection acceptable to the Board.
5. If the use of polycarbonate or plastic prescription lenses is impracticable because of the conditions of
the workplace and there is no danger of impact, workers may use prescription lenses made of treated
safety glass meeting the requirements of ANSI Standard Z87.1-1989, Practice for Occupational and
Educational Eye and Face Protection.
6. Safety eyewear must be fitted with side shields when necessary for the safety of a worker.
Face Protection
1. If there is a risk of face injury, suitable face protection must be worn.

2. Face protectors and non-prescription safety eyewear must meet the
requirements of
· CSA Standard CAN/CSA-Z94.3-92, Industrial Eye and Face
Protectors, or
· ANSI Standard Z87.1-1989, Practice for Occupational and
Educational Eye and Face Protection.
3. Adequate precautions must be taken if a hazardous substance or
condition may adversely affect a worker wearing contact lenses.
Fall Protection Equipment
Definitions
1. “Anchor” — a component or subsystem of a fall protection system used to connect the other parts of
a fall protection system to an anchorage. It includes an anchorage connector.
2. “Full Body Harness” — a body support device consisting of connected straps designed to distribute
the force resulting from a fall over at least the thigh, shoulders, and pelvis, with provision for attaching
a lanyard, lifeline, or other components.
3. “Lanyard” — a flexible line of webbing, or synthetic or wire rope, that is used to secure a safety belt or
full body harness to a lifeline or anchor.
62
Instructions
1. All fall protection equipment will:
· consist of compatible and suitable components

· be sufficient to support fall restraint or fall arrest forces
· meet and be used in accordance with applicable CSA or ANSI standards
2. Only one personal fall restraint or fall arrest system will be connected to each anchor point at any
time unless authorized by a competent person or designed by an engineer.
3. Anchors must have an ultimate load capacity (in any direction) as shown in the table below.
Type of Anchor Fall Restraint Fall Arrest

Temporary 800 lb. (3.5 kN)
5,000 lb. (22.2 kN)
Permanent 5,000 lb. (22.2 kN)
4. All connectors used in a personal fall arrest or personal fall restraint system will:
· have an attached and legible manufacturer’s tag or stamp indicating CSA or ANSI approval
· not be marked on the software or engraved by the end user on the hardware
5. All snap hooks and carabiners will be:
· fitted with a functioning auto-locking mechanism
· used in a manner that prevents forced roll-out, three-way loading, cross-gate loading, or gating
over an edge
6. Only full-body harnesses will be used in a Fall Protection System and will:
· have an attached and legible manufacturer’s tag indicating CSA or ANSI approval
· be fitted properly for each intended end-user
· not be marked with felt pen on the webbing or engraving on metal components
Fitting
7. The full body harness must be fitted in

accordance with the following steps.
· sub-pelvic strap just below the buttocks

· leg straps tight enough that when you put
your hand through and make a fist you are
unable to pull your fist out
· chest strap across the mid chest
· D-ring positioned between shoulder blades
Inspection
8. Before using a fall restraint or fall arrest system, all equipment will be visually inspected by the end
user.
9. In addition to (7), the site supervisor or designate will ensure that a competent person conducts a
formal inspection of all fall protection equipment and system components.
10. A competent person will document formal inspection results on the Fall Protection Equipment
Inspection Form.
11. Any equipment that is past the manufacturer-recommended service life, appears to be damaged or
63
defective, or shows signs of deployment will not be used and will be reported to the site supervisor or
designate.
12. Damaged or defective fall protection system components that are permanent fixtures will not be used
until they have either been replaced, or inspected and re-certified by the manufacturer, an authorized
agent of the manufacturer, or a certified engineer.
Storage
13. When not in use, all fall protection system components will be:
· stored indoors, whenever possible, or stored in a cool, dry environment away from direct
sunlight and rain, if possible
· kept free of dirt, oil, grease, markers, chemicals, abrasive materials, and anything else that
may damage the equipment
General Purpose Work Gloves
1. Gloves must protect the entire hand and wrist area.

2. Gloves must be worn when work causes hazard to the hands.
3. Gloves should be made from leather unless otherwise instructed.
Hearing Protection
1. Hearing protection must be worn whenever a worker is working

around noise levels above either of the following exposure limits:
· 85 dBA Lex daily noise exposure level
· 140 dBC peak sound level
2. The following table shows occupations and their associated daily

noise exposure levels.
Occupation Noise Exposure Levels

Tar / Gravel Roofer 91 dBA
Labourer 93 dBA
Mobile Equipment Operator 91 dBA
3. The education and training of workers exposed to noise above the exposure limits stated in (1) should
include the following:
· results of any noise exposure measurements
· effects of noise on hearing
· proper use and maintenance of hearing protection
· purpose of hearing testing
4. The employer must give workers who are exposed to noise that exceeds noise exposure limits
· an initial hearing test as soon as practicable after employment starts, but not later than 6 months
after the start of employment, and
· a test at least once every 12 months after the initial test.
5. Hearing tests must be administered by a hearing tester authorized by the Board.
64
6. The employer must ensure that the authorized hearing tester sends the test results to the Board.
Fitting
1
From “Personal Protective Equipment – Inserting your foam earplugs” published by WorkSafeBC at
http://www2.worksafebc.com/i/PPE/PDFs/InfoSheets/PPE09-031.pdf
65
High-Visibility Vest
1. High-visibility vests must be worn whenever instructed to do so, and
2. Must meet Type 1, Type 2, or Type 3 criteria of WCB Personal Protective
Equipment
Fitting
3. Garments should be fitted to the person. Don't forget to consider the bulk
of clothing that might be worn underneath the garments, and how the
garment should be worn (i.e., done up properly around the body with no
loose or dangling components). The garments should sit correctly on
your body and stay in place during your work.
4. The apparel should be comfortable to wear - the parts of the apparel that
come into direct contact with the worker should not be rough, have sharp
edges, or projections that could cause excessive irritation or injuries. The
apparel should also be lightweight.
5. Garments should be selected and worn so that no other clothing or
equipment covers the high-visibility materials (e.g., glove gauntlets,
equipment belts, and high-cut boots).
Dust Masks
1. Dust masks must be worn whenever instructed to do so.

2. The protection factor of a dust mask is 5, compared to 10 if wearing a
half mask respirator or 50 if wearing a full-face respirator.
Fitting
3. Hold the dust mask in your dominant hand, so that the narrow end with
the nose clip is near your fingertips. Allow the elastic straps to dangle
under your hand.
4. Bring the dust mask up to your face with the narrow end (the nose clip
end) near your nose. Position the other end of the dust mask under your
chin.
5. Grasp the bottom elastic strap, and pull it over your head and past your
ears. Position it around your neck. Grasp the top elastic strap, and pull it
over the top of your head. Position it at the upper back of your head.
6. Pinch the nose clip gently around the bridge of your nose.
7. Check the fit of the mask by covering the mask with your hands. Exhale
through your nose and then your mouth. As you exhale, feel with your
hands to see if air leaks out around the mask edges. Adjust the straps if
you feel air leaking. Consider choosing another mask style or size if you
cannot stop air from leaking out from the sides of the mask.
66
Respiratory Protection Equipment
General
1. Any respiratory protective equipment must comply with CSA
Standard CAN/CSA-Z94.4-11 — Selection, use, and care of
respirators.
2. The site supervisor or designate will ensure all respirators:
· are purchased from an authorized dealer
· consist of compatible and suitable components
· are sufficient to protect against the identified hazardous
environment
· meet applicable regulatory standards
Respirator Fit Tests
3. Wherever a respirator requires an effective seal with the face for
proper functioning, a fit test will be performed by a qualified person
or agency.
4. The fit test will be carried out in all the following cases:
· before initial use of a respirator
· at least once a year
· when there is a change in respirator face-piece
· when changes to the user’s physical condition could affect
the respirator fit
5. Any personal protective equipment that will be worn at the same
time as a respirator and could interfere with the respirator fit will be
worn during the fit test.
6. Fit tests will be documented on the Respirator Fit Test Record and
filed in the worksite filing system.
7. Workers will perform a positive and negative pressure seal check
before each use of a respirator that requires an effective seal with
the face for proper functioning.
Fitting
2
From “Breathe Safer – How to Use Respirators Safety and Start a Respirator Program” published by WorkSafeBC
67
Cartridges
8. Cartridges will be changed in accordance with manufacturers’ instructions. Whenever a new cartridge is
installed, the installation date will be clearly indicated on the cartridge using a suitable marking device.
Storage
9. When not in use all respirators will be:
· stored indoors where practicable, or stored in a cool, dry environment away from direct sunlight
and rain, if practicable
· kept free of dirt, oil, grease, markers, chemicals, abrasive materials, and anything else that may
damage the equipment
Inspection
10. Before using a respirator, all components of the system will be visually inspected by the end user.
Any equipment that appears to be damaged or defective will not be used and will be reported to the site
supervisor or designate in accordance with established company procedure.
Safety Footwear
1. Appropriate CSA-certified safety footwear will be worn on jobsites at all

times unless specified by the site supervisor or designate.
2. Ensure that it has the proper rating for the hazard and the proper sole
for the working conditions.
3. Workers will ensure their safety footwear is maintained in a condition
that provides adequate or intended protection.
Fit
4. Walk in new footwear to ensure it is comfortable.
5. Boots should have ample toe room (toes should be about 12.5 mm
from the front)
6. Make allowances for extra socks or special arch supports when buying
boots.
7. Boots should fit snugly around the heel and ankle when laced.
8. Lace up boots fully. High-cut boots provide support against ankle injury.
Care
9. Use a protective coating to make footwear water-resistant.
10. Inspect footwear regularly for damage.
11. Repair or replace worn or defective footwear.
12. Electric shock resistance of footwear is greatly reduced by wet
conditions and with wear.
68
Safety Headgear
1. Appropriate safety headgear will be worn at all times unless specified

by the site supervisor or designate.
2. Safety headwear must meet CSA Standard CAN/CSA-Z94.1-05 —
Industrial Protective Headwear — Performance, Selection, Care, and
Use.
3. Safety headgear will not be altered or marked with paint, felt markers, or any other marking device.
4. Materials attached to a hard hat must not affect the hat’s ability to protect the head.
5. Regular chin straps or other effective means of retention must be used on safety headgear when
workers are climbing or working from a height exceeding 3 m (10 ft.) or are exposed to high winds or
other conditions that may cause loss of the headgear.
Damaged headgear or headgear with missing, mismatched, or modified components must be removed
from service.
Training Requirements
Type Who Topic Description
Topics should include the following:
· Equipment standards (CSA/ANSI)
Anyone who works at · Fall Protection Regulation
Formal Fall Protection
height · Fall Protection Systems
· Practical Harness Fitting
· Fall Protection System Setup/Analysis
Anyone who completes

Topics should include the following:
Formal the Fall Protection Fall Protection
· Manufacturer requirements
or OJT Equipment Inspection Inspection
· Inspection criteria
Form
Respirator fit test and instruction

Formal Anyone who needs to Respiratory
or OJT wear a respirator Protection Any persons responsible for performing fit testing
will be certified to do so through a qualified agency.
FORMS REQUIREMENTS
Form Completed By When Post?
Fall Protection Equipment Competent
Quarterly No
Inspection Form Person
· before initial use of a respirator
· at least once a year
Respirator Fit Test
Qualified Person · when there is a change in respirator No
Record face-piece
· when changes to the user’s physical
condition could affect the respirator fit
69
Fall Protection Equipment Inspection Form
Harness Description Tracking / Serial Number
Inspected by Date
System Component Pass Fail
Webbing
Comments:
Stitching
Comments:
D-Rings
Comments:
Buckles
Comments:
Mark any deficiencies on the above diagram, and include a

Labels & Markings corresponding comment next to the appropriate system
Comments: component check.
Pass = All components passed inspection
Fail = One or more components failed inspection
Harness Result
Pass Fail Comment
Other Fall Protection Equipment
Equipment Type Tracking/Serial Number Comments Pass Fail
70
71
Training Matrix and Status
This is based on the auditor-select sample size of 53 employees.
72
73
In-Class Case Study — Observations
Use the Site Observation notes from the sites listed below to answer the Observation
Questions for Element 6 only. Use this worksheet to record a  or  for each
observation question, then transfer these results to the .
Observation Notes 6.3 6.4 6.5

Main Office
The company orders PPE from a local vendor when stock gets low. Right now the head office
has a Safety Locker where superintendents can grab extra safety glasses, face shields, dust
masks, hearing protection, and high-vis vests. There is some fall protection and respiratory
protection equipment available. However, this PPE must be signed out to ensure that only
trained employees use it. There is a shop/storage yard in the back where company tools,
equipment, and machinery are kept. The tool person ensures all items are kept in good
condition. Each employee was observed to be wearing the required steel-toed boots, high-vis
vest, and safety glasses.

Site 1
Most of the company’s employees on the site were wearing appropriate PPE except for two
people, who were seen to be working at height and not using any fall protection. The site
trailer had a collection of PPE available for workers, including glasses, earplugs, dust masks,
and face shields. There was no fall protection or respiratory protection observed on-site
(except for the dust masks in the site trailer).

Site 2
The construction safety officer showed you where the PPE was stored on-site. Standard items
such as safety glasses, dust masks, and earplugs were available near the safety board. Face
shields, high-vis vests, and respirator cartridges were kept in the first aid room to ensure that
anyone didn’t just take them. Fall protection equipment was kept in the site shack and easily
available to anyone. A labourer was hand grinding concrete while wearing all standard PPE plus
a half-mask respirator. Other workers were wearing all site-required PPE, such as hard hats,
safety glasses, steel-toed boots, and high-vis vests.

Site 3
The site superintendent told you that employees are expected to show up for work with the
appropriate PPE or they’ll get sent home. Aside from a handful of old scratched safety glasses
and 4 or 5 pairs of earplugs, there isn’t any other PPE observed on the worksite. There is no
work being conducted that would require the use of fall protection or respiratory protection. All
workers were observed to be wearing correct PPE.
Basic Specialized
Glasses, welding shields, goggles, fire-resistant coveralls, chemical
Gloves, footwear, and
suits, impermeable gloves, personal fall protection, and respiratory
headgear
protection
74
In-Class Case Study — Interviews
Use the Interview notes from the employees listed below to complete the
and tabs in the same Audit Document that you
downloaded from the BCCSA website.
Record the following responses as either positive or negative, then transfer the total
number of positive/negative results to the audit document.
There are 4 OMS and 6 Worker interview responses (instead of the audit scope-
required 18 worker interviews). This has been done on purpose due to classroom
time constraints.
OMS Interviews
6.4 Who provides specialized PPE?
 OMS 1 – “The company does.”
 OMS 2 – “Employees get issued PPE when they start with the company.”
 OMS 3 – “That’s up to the employees to provide it.”
 OMS 4 – “We do.”
6.7 Does the company provide training on the use of PPE?
 OMS 1 – “No.”
 OMS 2 – “Yes, some of my guys have got training.”
 OMS 3 – “The guys on my crew have lots of experience and don’t need
specific training.”
 OMS 4 – “We would… I’m pretty sure, but we work in an office and don’t need
any PPE.”
6.8 How is the proper PPE selected for a specific job?
 OMS 1 – “Common sense. If you’re working at height, then just don’t fall, or
you could put on a fall arrest harness. They should really be teaching
common sense to people.”
 OMS 2 – “We pretty much know what’s needed. Hard hats all the time.”
 OMS 3 – “We have a daily toolbox where the work tasks and hazards are
discussed. We choose PPE for the day based on whatever hazards might be
present.”
 OMS 4 – “Aside from the standard PPE always required on the worksite, such
as steel-toe boots and a hard hat, we determine additional items like high-vis
vests if there’s going to be heavy equipment, or other items depending upon
the work that’s being done.”
75
Worker Interviews
6.2 What PPE is required for your job?
 Worker 1 – “Steel-toed boots, high-vis vest, hard hat, and safety glasses.”
 Worker 2 – “High-vis vest, hard hat, safety glasses, and face shield if I’m
grinding, mask if there’s dust, fall protection gear if working at height.”
 Worker 3 – “We just need safety boots and a hard hat.”
 Worker 4 – “From my head to my feet I need hard hat, hearing protection
when its loud, safety glasses to protect my eyes, a respirator if there’s silica
or asbestos around, high-visibility vest to make it easy to see me and not get
run over by large equipment, fall protection harness if I’m working above 10’,
knee pads to keep my knees safe when I’m working on my knees, gloves to
protect my hands from scratches, and CSA-rated steel-toed boots.”
 Worker 5 – “We use the standards of course. You know, hard hats and boots.
But some sites make you wear high-vis all the time. Then there’s safety
glasses, gloves, and earplugs if needed.”
 Worker 6 – “None. I work in the office.”
6.3 How do you obtain basic PPE?
 Worker 1 – “My supervisor.”
 Worker 2 – “There are some safety gloves and extra hard hats in the site
trailer that I can grab if needed.”
 Worker 3 – “I have to go and buy it.”
 Worker 4 – “I get it myself from the store. It’s my responsibility.”
 Worker 5 – “Me. I’m supposed to supply basic PPE. It’s clearly stated in OHS
Regulation 8.2.”
 Worker 6 – “The safety person has a locker somewhere here with a bunch of
PPE in it.”
6.4 Is specialized PPE available when required?
 Worker 1 – “Yes, I just need to tell the foreman.”
 Worker 2 – “Sure, I call or text the safety person.”
 Worker 3 – “Not really. The company doesn’t treat us very well.”
 Worker 4 – “Yea, the safety person would get it for me. But I have all my own
personal PPE because I like to have really good things.”
 Worker 5 – “Yes, I make sure to get this from the employer. They’re
responsible to provide it.”
 Worker 6 – “The company provides everything that’s needed.”
6.7 Have you received PPE training?
 Worker 1 – “Yea, I had training from a previous employer. That was about
10 years ago, but it’s all pretty common sense.”
 Worker 2 – “No, should I get trained in PPE use?”
 Worker 3 – “Yea, back in 1986.”
 Worker 4 – “Yes, I took some fall protection training last month and the
company safety manager gave me a respirator along with a fit test.”
 Worker 5 – “Yes, I was in the same fall protection course as a couple other
guys a little while ago.”
 Worker 6 – “No, but we work in an office. I can’t think of any PPE training
that would be needed.”
76
Appendix 2: Final Exam Case Study
Use this information to complete the questions in the Final Exam.
Company Information
BC Interior Construction Ltd. is a Kamloops-based company that builds wood frame
townhome complexes and concrete high-rise condos throughout Kamloops, Kelowna,
and Fort St. John. They were established in 2004 and currently have 105 people on
payroll. Their number of employees has varied depending upon the time of year. The
list below shows the number of employees on payroll for each of the past 12 months.
Month # of Employees Month # of Employees

1 89 7 102
2 88 8 110
3 90 9 120
4 85 10 98
5 92 11 85
6 95 12 86
They received the initial COR certification (external) audit two years ago, have had
one internal maintenance audit conducted, and this would be the second
maintenance audit. In both of the previous audits, the auditor visited sites in
Kamloops and Kelowna but did not visit Fort St. John. The previous internal auditor
has recently quit and you are now the internal auditor.
List of Active Worksites

Number of
Worksite Locations
Account # CU Employees
Site Name & Address City OMS Worker
Main Office 200 Victoria St Kamloops 000345 721028 3 12
1 Sunny Estates, Nicola St Kamloops 000345 721027 1 3
2 The Wave, Douglas St Kamloops 000345 721028 2 14
3 Tall Timbers, Lawson Ave Kelowna 000345 721028 2 21
4 Water View, Doyle Ave Kelowna 000345 721028 2 18
5 Silver Springs, 97 Ave Fort St. John 000345 721027 1 9
6 Winding Orchard, 99 Ave Fort St. John 000345 721027 2 15
Totals 13 92
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Executive Summary
Step 1: Thank the organization for their effort and help during the audit. Identify
the individuals who helped you during the audit.
Step 2: Provide a brief description of the company being audited and describe the
scope of the audit (i.e., start and end dates of the audit, sites visited, number of
interviews conducted, and any other relevant information). If any variances were
made on the number of sites visited or interviews conducted, explain in detail.
Use the following space to complete Steps 1 and 2:
Thank you for your help during this audit.
BC Interior Construction Ltd. is a Kamloops-based company that builds wood frame

townhome complexes and concrete high-rise condos throughout Kamloops, Kelowna, and
Fort St. John. They were established in 2004 and currently have 105 people on payroll. Their
number of employees has varied depending on the time of year.
Step 3: Complete the main body of the report by summarizing the findings of the
audit for every Element. For each of the 14 elements, describe areas of strength
and recommended areas for improvement. Indicate the % achieved for each
Element using the space provided. Strengths and recommendations must be
provided for each element, including elements that scored 100%. Recommendations
must reference the specific audit question.
Element Score Strengths and Recommendations
Strengths
The safety policy is posted at each worksite and employees

demonstrate a clear understanding of the policy goals.
1 93%
Recommen
dations
Update the Safety Policy on an annual basis.
Corrective Action Plan

Audit Priority
Question Corrective Action Required (Low, Medium,
Number or High)
1.4 Try to make sure that someone signs the safety policy. Low
78
Appendix 3: Terms of Participation
79
COR
INTERNAL AUDITOR PROGRAM
Terms of Participation
I have read and understood the terms & conditions set out in the COR Internal Program - Terms of Participation
The Internal Auditor Terms of Participation include:
1. Program Goals
2. Roles & Responsibilities
3. Internal Auditor Code of Conduct
4. Auditor Qualification & Training
5. Performance Management
FIRST NAME: LAST NAME:

PLEASE PRINT PLEASE PRINT
SIGNATURE: DATE:
COR Internal Auditor Program - Terms of Participation

Program Goals 3
Roles & Responsibilities 4

t#$$4"
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t8PSL4BGF#$
Internal Auditor Code of Conduct 7
Auditor Qualification & Training 10
Performance Management 11
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Program Goals
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$PEFPG$POEVDU5IF#$$4"T$03*OUFSOBM"VEJUPS1SPHSBNJTGPDVTFEPOBDDPVOUBCJMJUZUPUIJTTUBOEBSE

Roles & Responsibilities
British Columbia Construction Safety Alliance (BCCSA)
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The COR Internal Auditor Program is intended to promote an ethical and cooperative culture in the COR
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Internal Auditor
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WorkSafeBC
8PSL4BGF#$TEPDVNFOU The Certificate of Recognition Program: Standards & Guidelines sets out the standards
BOE HVJEFMJOFT BTTPDJBUFE XJUI #SJUJTI $PMVNCJBT $03 QSPHSBN BOE 1BSU PG UIF EPDVNFOU PVUMJOFT
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UIJTEPDVNFOUBOECFDPNFGBNJMJBSXJUIUIFDPOUFOU

WorkSafeBC - continued
5IFGPMMPXJOHBSFLFZFYDFSQUTGSPNThe Certificate of Recognition Program: Standards & Guidelines outlining
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Definition:
Internal Auditoro5IJTJOEJWJEVBMJTBQFSNBOFOUFNQMPZFFPGUIFFNQMPZFSXIPIBTSFDFJWFEBNJOJNVN
PGIPVSTPGDPNCJOFEJOTUSVDUJPOBOEUSBJOJOHGSPNB$FSUJGZJOH1BSUOFSPOIPXUPDPOEVDU EPDVNFOU
BOE TDPSF B $03 BVEJU PG IFBMUI BOE TBGFUZ NBOBHFNFOU TZTUFNT BOEPS JOKVSZ NBOBHFNFOUSFUVSO
UPXPSLTZTUFNT*GUIFFNQMPZFSJTBTNBMMFNQMPZFS XJUIGFXFSUIBOXPSLFST UIFJOUFSOBMBVEJUPSJT
FNQPXFSFEUPDPOEVDUCPUIDFSUJöDBUJPOBVEJUTBOEBOOVBMNBJOUFOBODFBVEJUT*GUIFFNQMPZFSJTBMBSHF
FNQMPZFS XJUI PS NPSF XPSLFST UIF JOUFSOBM BVEJUPS JT FNQPXFSFE UP DPOEVDU BOOVBM NBJOUFOBODF
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4.3 $03 BVEJUPST NVTU IBWF DPNQMFUFE $03TQFDJöD USBJOJOH SFRVJSFE GPS UIF UZQF PG BVEJU UIFZ XJMM CF
performing.
4.4 COR auditors must commit to the “Code of Conduct for COR Auditors.” The “Code of Conduct for COR
Auditors” calls for auditors to:
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tOPULOPXJOHMZFOHBHFJOBDUTPSBDUJWJUJFTUIBUBSFEJTDSFEJUBCMFUPUIFQSPGFTTJPOPGBVEJUJOHJOUIF
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tQSPUFDUUIFDPOöEFOUJBMJUZPGJOGPSNBUJPOPCUBJOFEEVSJOHUIFBVEJUBOEFOTVSFUIFBOPOZNJUZPGBMM
individuals contacted during the audit process
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tNBJOUBJOUIFIJHIFTUTUBOEBSETPGIPOFTUZBOEJOUFHSJUZEVSJOHUIFBQQMJDBUJPOPGBVEJUT

WorkSafeBC - continued
4.5 $03BVEJUPSTNVTUNBJOUBJOUIFRVBMJUZBOEDVSSFODZPGUIFJSTLJMMTFUBOELOPXMFEHFCBTF
"QQSPWFE $03 QSPHSBN BVEJUPST BSF SFRVJSFE UP LFFQ DVSSFOU PO BVEJUJOH RVBMJUZ TUBOEBSET BOE BVEJU
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5PUIJTFOE $03BVEJUPSTNVTU
tCFSFBQQSPWFEBUMFBTUPODFFWFSZZFBST
tDPNQMFUFBNJOJNVNPGIPVSTPGBVEJUPSSFGSFTIFSSFDFSUJöDBUJPOUSBJOJOHPSFRVJWBMFOUBTEFFNFE
BQQSPQSJBUFCZUIFDFSUJGZJOHQBSUOFSPWFSUIFUISFFZFBSBVEJUPSDFSUJöDBUJPOQFSJPEUPCFFMJHJCMF
for re-approval
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observation processes.

Internal Auditor Code of Conduct
Overview
The #$$POTUSVDUJPO4BGFUZ"MMJBODF #$$4" $PEFPG$POEVDU describes the principles and rules of conduct
UIBUHPWFSOUIFCFIBWJPSPG#$$4"RVBMJöFE*OUFSOBM"VEJUPST5IFTFTUBOEBSETQSPWJEFQSJODJQMFTBOESVMFTGPS
Auditor conduct that are the standards expected for all auditors. Internal Auditors are to conduct themselves
JOBNBOOFSDPOTJTUFOUXJUIUIFQSPNPUJPOPGDPPQFSBUJWF QSPGFTTJPOBMBOEFUIJDBMSFMBUJPOTCFUXFFOUIF
DPOTUSVDUJPOTFDUPSBOEUIF#$$4"
5IF$PEFPG$POEVDUJTCBTFEPODPNQPOFOUT
1. Principles relevant to the profession and the practice of auditing.
3VMFTPG$POEVDUUIBUEFTDSJCFFYQFDUFECFIBWJPSPGBVEJUPST5IFSVMFTBSFJOUFOEFEBTBOBJEUP
interpreting the Principles into practical application and are intended to guide the ethical conduct
of Auditors.
Expectations
5IFGPMMPXJOHBSFUIFQSJODJQMFTBOESVMFTUIBUBMM#$$4"*OUFSOBM"VEJUPSTBSFUPGPMMPX5IFGBDUUIBUBQBSUJDVMBS
DPOEVDUJTOPUNFOUJPOFEJOUIJT$PEFEPFTOPUQSFWFOUBOBDUJPOGSPNCFJOHVOBDDFQUBCMF BOEUIFSFGPSF BO
"VEJUPSPSJOTUJUVUJPODBOCFMJBCMFGPSEJTDJQMJOBSZBDUJPO"VEJUPSTTIBMMOPUWJPMBUFUIF$PEFPG$POEVDU"OZ
CSFBDIPGUIF$PEFXJMMSFTVMUJOBGPSNBMSFWJFXBOEEJTDJQMJOBSZBDUJPO
A. Integrity
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"VEJUPST UP PCTFSWF CPUI UIF GPSN BOE TQJSJU PG BVEJUJOH TUBOEBSET *U BMTP SFRVJSFT "VEJUPST UP PCTFSWF UIF
QSJODJQMFTPGJOEFQFOEFODF PCKFDUJWJUZ TUBOEBSETPGQSPGFTTJPOBMDPOEVDU BOEBCTPMVUFIPOFTUZJOUIFJSXPSL
Auditors shall:
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t3FTQFDUBOEBDUXJUIEFEJDBUJPOUPUIF$031SPHSBNHPBMTBOEWJTJPO
t$POEVDUCVTJOFTTJOBOIPOFTUBOEGBJSNBOOFS XJUIPVUBDUVBMPSBQQBSFOUDPOøJDUPGJOUFSFTU
t"EWJTFUIF#$$4"JOXSJUJOHXJUISFBTPOT XIFOFWFSUIFBDUJWJUJFTPSDPOEVDUPGBOBVEJUPSBQQFBSUP
CFJODPOøJDUXJUIUIJT$PEF
t/PUCFBTTPDJBUFEXJUIBOZSFQPSU TUBUFNFOUPSSFQSFTFOUBUJPOLOPXOUPCFGBMTFPSNJTMFBEJOH
t3FTQFDUUIFJOUFHSJUZPGPUIFS*OTUSVDUPST SFDPHOJ[JOHUIFJSEJòFSFOUFYQFSJFODFTBOEBSFBTPGFYQFSUJTF
t$PNQMZXJUIUIFWorkers Compensation Act and the Occupational Health and Safety Regulations BTXFMMBT
BMMPUIFSBQQMJDBCMFMBXTBOESFHVMBUJPOT
t/PUSFQSFTFOUUIFNTFMWFTBTFNQMPZFFTPSDPOUSBDUPSTPGUIF#$$4"BUBOZUJNF
7 t4FSWFUIFDPNQBOZCFJOHBVEJUFE JOBDPOTDJFOUJPVT EJMJHFOU SFTQFDUGVM BOEFóDJFOUNBOOFS

B. Objectivity
"VEJUPSTNVTUFYIJCJUUIFIJHIFTUMFWFMPGQSPGFTTJPOBMPCKFDUJWJUZJOHBUIFSJOH FWBMVBUJOH BOEDPNNVOJDBUJOH
JOGPSNBUJPOBCPVUUIFBVEJUBDUJWJUJFT5IFZNVTUNBLFBCBMBODFEBTTFTTNFOUPGBMMUIFSFMFWBOUDJSDVNTUBODFT
BOEBSFOPUUPCFVOEVMZJOøVFODFECZUIFJSPXOJOUFSFTUTPSCZPUIFSTXIFOGPSNJOHKVEHNFOUT*UJTFTTFOUJBM
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PQJOJPOT VOGPVOEFEBTTVNQUJPOT PSQFSTPOBMCJBT
t$POEVDUUIFBVEJUBTJOTUSVDUFECZUIFBVEJUQSPUPDPMXJUIPVUCJBT QSFKVEJDF WBSJBODFPSDPNQSPNJTF
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PSPCKFDUJWJUZXIJMFQSPWJEJOHBVEJUJOHTFSWJDFT
C. Confidentiality
"VEJUPSTNVTUSFTQFDUUIFWBMVFBOEPXOFSTIJQPGJOGPSNBUJPOUIFZSFDFJWFEVSJOHBOBVEJUBOEOPUEJTDMPTF
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professional obligation to do so. Auditors shall:
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t#FQSVEFOUJOUIFVTFPGJOGPSNBUJPOBDRVJSFEJOUIFDPVSTFPGUIFJSXPSL
t5BLFBMMSFBTPOBCMFTUFQTUPQSPUFDUUIFDPOöEFOUJBMJUZPGUIFBVEJUSFTVMUT EBUBDPMMFDUFEBOEUIF
BOPOZNJUZPGJOUFSWJFXFFT
t/PUVTFBVEJUJOGPSNBUJPOGPSBOZQFSTPOBMHBJO öOBODJBMPSPUIFSXJTFUIBUXPVMECFDPOUSBSZUPUIFMBX
UIFBVEJUQSPDFTT PSEFUSJNFOUBMUPUIF#$$4"
t/PUTIBSF FJUIFSGPSQSPöUPSPUIFSXJTF BOZ#$$4"QSPDFTTPSQSPHSBNNBUFSJBMTXJUIPVUXSJUUFO
QFSNJTTJPOGSPNUIF#$$4"
D. Competency
"VEJUPSTNVTUBQQMZUIFLOPXMFEHF TLJMMTBOEFYQFSJFODFOFFEFEJOUIFQFSGPSNBODFPGBVEJUJOHTFSWJDFT
Auditors shall:
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t#FDPOTJTUFOUBOEBDDVSBUFJOUIFJSFWBMVBUJPOTPGEBUBPCUBJOFEUISPVHIEPDVNFOUBUJPO JOUFSWJFXTBOE
observations.
8

D. Competency - continued
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t/PUQMBHJBSJ[FJOQBSUPSXIPMFUIFXPSLPGPUIFSBVEJUPST PSBOZQFSTPOBOEEPFTOPUCPJMFSQMBUFBVEJU
reports.
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t"TTJTUDPNQBOJFTXJUIBOZQPTUBVEJURVFTUJPOT TVDIBTSFDPNNFOEBUJPOTPSFYQMBOBUJPOTPGSFTVMUT
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NBOBHFNFOUTZTUFNTPGUIFDPNQBOZCFJOHBVEJUFE
t#FUJNFMZJOUIFQFSGPSNBODFPGUIFBVEJUBOEDPNQMZXJUIUIFSFRVJSFEUJNFMJOFTGPSBVEJUDPNQMFUJPO
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Competency - Rule of Conduct
"TQFS8PSL4BGF#$T5IF$FSUJöDBUFPG3FDPHOJUJPO4UBOEBSETBOE(VJEFMJOFTJUFN$03"VEJUPSTNVTU
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tCFSFBQQSPWFEBUMFBTUPODFFWFSZZFBST
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EFFNFEBQQSPQSJBUFCZUIFDFSUJGZJOHQBSUOFSPWFSUIFZFBSBVEJUPSDFSUJöDBUJPOQFSJPEUPCFFMJHJCMF
for re-approval.
E. Compliance
$03 "VEJUPST NVTU DPNQMZ XJUI #$$4" $03 QSPHSBN QPMJDJFT BOE QSPDFEVSFT DPOEVDUJOH $03 BVEJUT
JO BDDPSEBODF XJUI FTUBCMJTIFE BVEJU QSPUPDPM BOE QBSUJDJQBUJOH DPPQFSBUJWFMZ XJUI UIF #$$4" JO UIF
administration of the COR program. Auditors shall:
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t$PNQMFUFBVEJUTUIBUBEESFTTUIF$03QSPHSBNNJOJNVNTDPQFSFRVJSFNFOUT
t$PNQMZXJUIBVEJUSFQPSUTVCNJTTJPOSFRVJSFNFOUT
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t,FFQVQEBUFEPOUIF$03QSPHSBNWJBUIF#$$4"XFCTJUFBOE"VEJUPSDPSSFTQPOEFODF
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9 t'PMMPXUIF"VEJUPS$PEFPG$POEVDU

Auditor Qualifications & Training
Step 1
3FWJFXUIFTerms of Participation DPNQFUFODZSFRVJSFNFOUTBOEQSFSFRVJTJUFTOFFEFEUPCFDPNFB$03
Internal Auditor.
Step 2
$PNQMFUFUIFEBZ$03*OUFSOBM"VEJUPSDPVSTF
Step 3
$PNQMFUFBTVDDFTTGVMTUVEFOUBVEJUBTTJHONFOUPOBIPTUDPOTUSVDUJPODPNQBOZXJUIJOXFFLTPGZPVS
MBTUEBZPGUSBJOJOH4UVEFOUBVEJUBTTJHONFOUTXJMMCFFWBMVBUFEBHBJOTUBEFUBJMFERVBOUJUBUJWFNBSLJOH
TDBMF4UVEFOUBVEJUBTTJHONFOUJOTUSVDUJPOTBTXFMMBTUIFNBSLTIFFUXJMMCFSFWJFXFEXJUIFBDITUVEFOU
BVEJUPSEVSJOHUIF$03*OUFSOBM"VEJUPS5SBJOJOHDPVSTF4VDDFTTGVMTUVEFOU"VEJUPSTXJMMCFJTTVFEB$03
*OUFSOBM"VEJUPSDFSUJöDBUFWBMJEGPSZFBST
Note:
$FSUJöDBUJPO JT NBJOUBJOFE UISPVHI TVCNJTTJPO PG $03 BVEJUT CZ UIF RVBMJöFE $03 *OUFSOBM "VEJUPST
XJUIJOUIFZFBSQFSJPE.
10

Performance Management
Outline
#$ $POTUSVDUJPO 4BGFUZ "MMJBODFT QFSGPSNBODF NBOBHFNFOU PG $03 "VEJUPST XJMM JODMVEF UIF GPMMPXJOH
elements:
t$PNNVOJDBUJPO5SBJOJOH.FOUPSTIJQ
t2VBMJUZ"TTVSBODFPG"VEJU3FQPSUT
t2VBMJUZ"TTVSBODFPG*OUFSOBM"VEJUPST
t%JTDJQMJOBSZ"DUJPO
Communication / Training & Mentorship

#$$4"XJMMDPNNVOJDBUFBMMVQEBUFTBOEDIBOHFTSFMBUFEUPUIF$03QSPHSBNBOEUIFQFSGPSNBODFPG$03
"VEJUPSTJOXSJUJOHWJBFNBJM$03*OUFSOBM"VEJUPSTIBWFBSFTQPOTJCJMJUZUPLFFQDVSSFOUXJUIBMM#$$4"OPUJDFT
and activities through reading all correspondence issued.
.FOUPSTIJQ JT B LFZ FMFNFOU JO UIF JNQSPWFNFOU PG BVEJUJOH TLJMMT BOE #$$4" XJMM XPSL UP QSPWJEF $03
"VEJUPSTXJUIJOGPSNBUJPO GFFECBDL BOEDPBDIJOH XIFOOFDFTTBSZ
5IFPOVTUPSFNBJOJOGPSNFEMJFTXJUIUIF$03"VEJUPSBOEUIF#$$4"FYQFDUTUIBU"VEJUPSTSFBEBOESFTQPOE
UPDPNNVOJDBUJPOTJODMVEJOHFNBJMT OFXTMFUUFST EJSFDUJWFT BOEBMMPUIFSDPSSFTQPOEFODFSFHBSEJOHUIFJS
QFSGPSNBODF BOEVQEBUFTUP$03
Quality Assurance of Audit Reports
"MMBVEJUSFQPSUTTVCNJUUFEUPUIF#$$4"XJMMCFTVCKFDUFEUPBGPSNBMEFTLUPQSFWJFX"VEJUTXIJDIEPOPU
NFFUUIFSFRVJSFETUBOEBSEBSFTFOUCBDLUPUIF*OUFSOBM"VEJUPSGPSSFWJTJPOBOESFTVCNJTTJPO"VEJUPST
XJMMSFDFJWFBOPUJöDBUJPODPOUBJOJOHBQQSPQSJBUFJOTUSVDUJPOTPOBTQFDUTPGUIFBVEJUSFQPSUXIJDISFRVJSF
improvements.
*ODPNQMFUF JODPSSFDU PSJOTVóDJFOUBVEJUEBUBTVCNJUUFEXJUIJOBOBVEJUSFQPSUJTHSPVOETGPS#$$4"UP

USJHHFSEJTDJQMJOBSZBDUJPOPOBO"VEJUPS5IF#$$POTUSVDUJPO4BGFUZ"MMJBODFEFFNTBOZVOTVCTUBOUJBUFE
OPOWFSJöBCMF BOEPSGBMTFSFQPSUTBTCSFBDIFTPGUIF#$$4"*OUFSOBM"VEJUPS$PEFPG$POEVDU
11

Quality Assurance of Internal Auditors
"TB$03$FSUJGZJOH1BSUOFS UIF#$$4" JOBDDPSEBODFXJUIUIF8PSL4BGF#$TThe Certificate of Recognition
Program: Standards and GuidelinesJTSFRVJSFEUPQFSGPSNQFSJPEJDRVBMJUZBTTVSBODFBVEJUTPO"VEJUPSTUP
FOTVSFUIFJSXPSLJTPGBOBDDFQUBCMFTUBOEBSE5IJTUZQFPGBVEJUVUJMJ[FTFTUBCMJTIFEQSBDUJDFTUPFWBMVBUFBO
"VEJUPSTQFSGPSNBODFBOEBVEJUJOHTLJMMT
5IFTFBVEJUTBSFQFSGPSNFEBUOPDPTUUPUIFDPNQBOZBOEBSFDPOEVDUFECZUIF#$$4" PSBOBTTJHOFE
SFQSFTFOUBUJWF
Disciplinary Action
"VEJUPSQFSGPSNBODFDPODFSOTBOEJTTVFTNBZDPNFUP#$$4"TBUUFOUJPOUISPVHIBOVNCFSPGBWFOVFTTVDI
as:
t3FTVMUTGSPNRVBMJUZBTTVSBODFPOBVEJUSFQPSUT
t3FTVMUTGSPNRVBMJUZBTTVSBODFBVEJUTPO*OUFSOBM"VEJUPST
t$PNQMBJOUTPSSFQPSUTGSPNDPNQBOJFTQBSUJDJQBUJOHJOUIF$03QSPHSBN
t$PNQMBJOUTPSSFQPSUTGSPNPUIFS$FSUJGZJOH1BSUOFST
t3FRVFTUTBOEJORVJSJFTGSPN8PSL4BGF#$
5IF#$$4"XJMMJOWFTUJHBUFBMMQFSGPSNBODFDPODFSOTBOEJTTVFTUPDPOöSNWBMJEJUZBOEBQQMZEJTDJQMJOBSZBDUJPO
BTPVUMJOFEXJUIJOUIF%JTDJQMJOBSZ"DUJPO1PMJDZ5IF#$$4"JTOPUSFRVJSFEUPBQQMZQSPHSFTTJWFEJTDJQMJOFJO
TJUVBUJPOTXIJDIBSFTFSJPVTJOOBUVSFBOEXBSSBOUTFWFSFQFOBMUJFTVQUPBOEJODMVEJOHQFSNBOFOUSFNPWBM
of certification.
Disciplinary Action Policy
2.1 "MM #$$4" *OUFSOBM "VEJUPST XJMM CF QSPWJEFE BDDFTT UP UIJT %JTDJQMJOBSZ "DUJPO 1PMJDZ BT QBSU PG UIF
*OUFSOBM"VEJUPSRVBMJöDBUJPOQSPDFTT
2.2"TBDPOEJUJPOPGNBJOUBJOJOHUIFJS#$$4"BVEJUPSDFSUJöDBUJPO BMMBVEJUPSTTIBMMBHSFFUPCFCPVOECZ
UIFEJTDJQMJOBSZQSPDFTTPVUMJOFEJOUIJTQPMJDZCZTJHOJOHUIF#$$4"*OUFSOBM"VEJUPS5FSNTPG1BSUJDJQBUJPO
2.33FQPSUFEBOEPSDPOöSNFEBVEJUPSQFSGPSNBODFJTTVFT XIFUIFSSFMBUJOHUPFUIJDBMPSRVBMJUZBTTVSBODF
JTTVFT XJMMSFNBJOPOBO"VEJUPSTöMF
12

Disciplinary Action - continued
2.4"OZPSHBOJ[BUJPOUIBUJTBòFDUFECZBO"VEJUPSQFSGPSNBODFNBOBHFNFOUJTTVF XIFUIFSSFMBUJOHUP
FUIJDBMPSRVBMJUZBTTVSBODFJTTVFT NBZCFOPUJöFECZ#$$4" BTTFUPVUJOUIF"HSFFNFOU
2.58IFO#$$4"SFDFJWFTOPUJDFGSPNBOPUIFS$FSUJGZJOH1BSUOFSUIBUJUGPVOEB#$$4"*OUFSOBM"VEJUPSUP
IBWFDPNNJUUFEPOFPSNPSFTFSJPVTJOGSBDUJPOTBTEFUFSNJOFECZUIF#$$4" PSUIFFRVJWBMFOU #$$4"
NBZJOJUJBUFBOJOWFTUJHBUJPOPGUIF"VEJUPS"TQBSUPGJUTJOWFTUJHBUJPO #$$4"NBZEJTDJQMJOFUIF"VEJUPSJO
BDDPSEBODFXJUIUIJT1PMJDZ CVUJTOPUPCMJHBUFEUPEPTP
2.60ODF#$$4"CFHJOTBOJOWFTUJHBUJPOJOUPBO"VEJUPSTQFSGPSNBODF BOEQBSUJDVMBSMZXIFOEJTDJQMJOF
UIBUDPVMEBòFDUUIF"VEJUPSTDFSUJöDBUJPONBZSFTVMU #$$4"XJMMOPUJGZUIF"VEJUPSWFSCBMMZ JGQPTTJCMF BOE
JOXSJUJOH UIBUXIJMF#$$4"TJOWFTUJHBUJPOJTPOHPJOH UIF"VEJUPSJTTVCKFDUUPTVTQFOTJPOXIJMF#$$4"
DPNQMFUFTJUTJOWFTUJHBUJPO i*OUFSJN4VTQFOTJPOw
2.6.1"VEJUPSTTVCKFDUUPBO*OUFSJN4VTQFOTJPOBSFQSPIJCJUFEGSPNDPOEVDUJOHBOZOFXBVEJUT
XJUI#$$4"
2.6.26QPOCFJOHOPUJöFEPGBO*OUFSJN4VTQFOTJPO #$$4"XJMMDPNNVOJDBUFXIBU JGBOZ BVEJUT

UIFBVEJUPSNBZDPNQMFUFEVSJOHBO*OUFSJN4VTQFOTJPO
2.6.3"OZBVEJUTDPNQMFUFEBOETVCNJUUFEBGUFSBO*OUFSJN4VTQFOTJPOJTJNQPTFEBOEGPSXIJDI
XSJUUFOBQQSPWBMXBTOPUPCUBJOFENBZOPUCFBDDFQUFECZ#$$4"
2.7%JTDJQMJOBSZNFBTVSFTBSFFòFDUJWFJNNFEJBUFMZVQPOOPUJDFUPUIF"VEJUPSCZ#$$4"
2.8 #$$4"T XSJUUFO OPUJDF UP UIF "VEJUPS TFUUJOH PVU UIF EJTDJQMJOBSZ EFDJTJPO XJMM CF BDDPNQBOJFE CZ
JOTUSVDUJPOTPOUIFBQQFBMTQSPDFTT8IJMF#$$4"JTIBOEMJOHBOBQQFBMUIF"VEJUPSJTTVCKFDUUPTVTQFOTJPO
XIJMF#$$4"DPNQMFUFTJUTJOWFTUJHBUJPO
2.95IFFOGPSDFNFOUPGEJTDJQMJOBSZEFDJTJPOTNBEFVOEFSUIJTQPMJDZJTOPUEFMBZFEPSTVTQFOEFEEVSJOHUIF
BQQFBMQFSJPE JGBOBVEJUPSTVCNJUTBSFRVFTUGPSBQQFBM PSXIJMFBOBQQFBMJTIFBSEPSXBJUJOHUPCFIFBSE
2.10 "MM PUIFS BQQMJDBCMF $FSUJöDBUF PG 3FDPHOJUJPO $FSUJGZJOH 1BSUOFST BOE8PSL4BGF#$ XJMM CF OPUJöFE
JGUIF"VEJUPSJTTVTQFOEFEGPSNPOUITPSNPSFBTBSFTVMUPGEJTDJQMJOFJOBDDPSEBODFXJUIUIJTQPMJDZ
2.115BCMF"VEJUPS%JTDJQMJOBSZ"DUJPO5BCMFJUFNJ[FTWJPMBUJPOTBOEDPOTFRVFODFTCBTFEPODPOöSNFE
"VEJUPSCFIBWJPST5IF#$$4"JTOPUMJNJUFEJOBQQMZJOHEJTDJQMJOBSZBDUJPODPOTFRVFODFTUPUIF
13 JUFNTMJTUFEXJUIJO5BCMFBOEUIFTerms of Participation.

TABLE 1: Auditor Disciplinary Action Table
VIOLATION 1st OCCURENCE

CONSEQUENCE 2nd OCCURENCE
CONSEQUENCE 3rd OCCURENCE
CONSEQUENCE
8SJUUFO MFUUFS PO GJMF BOE

DPOTFRVFODFT BT EFFNFE
OFDFTTBSZ CZ UIF #$$4" 5IJT
*ODPNQMFUFBOEPSJOTVóDJFOU NBZJODMVEFBOEJTOPUMJNJUFEUP
7FSCBMXBSOJOH 8SJUUFOMFUUFSPOöMF
BVEJUEBUBXJUIJOBVEJUSFQPSU
t4VTQFOTJPO
t3FRVJSFNFOUUPUBLFUSBJOJOH
t5FSNJOBUJPO

Use of obsolete COR forms NBZJODMVEFBOEJTOPUMJNJUFEUP
7FSCBMXBSOJOH 8SJUUFOMFUUFSPOöMF
and documents.
t4VTQFOTJPO
t5FSNJOBUJPO

Completing audits that do not DPOTFRVFODFT BT EFFNFE
meet the minimum audit scope OFDFTTBSZ CZ UIF #$$4" 5IJT
8SJUUFOMFUUFSPOöMFBOE NBZJODMVEFBOEJTOPUMJNJUFEUP
SFRVJSFNFOUTXJUISFHBSETUP 8SJUUFOMFUUFSPOöMF
suspension
JOUFSWJFXTBOEXPSLTJUF t4VTQFOTJPO
observations. t3FRVJSFNFOUUPUBLFUSBJOJOH
t5FSNJOBUJPO
8SJUUFO MFUUFS PO öMF BOE 8SJUUFO MFUUFS PO GJMF BOE 8SJUUFO MFUUFS PO GJMF BOE
DPOTFRVFODFT BT EFFNFE DPOTFRVFODFT BT EFFNFE DPOTFRVFODFT BT EFFNFE
Replicating audit reports from OFDFTTBSZCZUIF#$$4"5IJTNBZ OFDFTTBSZCZUIF#$$4"5IJTNBZ OFDFTTBSZ CZ UIF #$$4" 5IJT
previous audit reports for the include and is not limited to: include and is not limited to: NBZJODMVEF
TBNFDPNQBOZPSBDSPTT
EJòFSFOUDPNQBOJFT t4VTQFOTJPO t4VTQFOTJPO t4VTQFOTJPO
t3FRVJSFNFOUUPUBLFUSBJOJOH t3FRVJSFNFOUUPUBLFUSBJOJOH t3FRVJSFNFOUUPUBLFUSBJOJOH
t5FSNJOBUJPO t5FSNJOBUJPO t5FSNJOBUJPO
14

TABLE 1: Auditor Disciplinary Action Table
VIOLATION 1st OCCURENCE

CONSEQUENCE 2nd OCCURENCE
CONSEQUENCE 3rd OCCURENCE
CONSEQUENCE
Manipulation of audit data 8SJUUFO MFUUFS PO GJMF BOE 8SJUUFO MFUUFS PO GJMF BOE 8SJUUFO MFUUFS PO GJMF BOE
EPDVNFOUBUJPOSFWJFX TJUF DPOTFRVFODFT BT EFFNFE DPOTFRVFODFT BT EFFNFE DPOTFRVFODFT BT EFFNFE
PCTFSWBUJPOJOUFSWJFXSFTVMUT OFDFTTBSZCZUIF#$$4"5IJTNBZ OFDFTTBSZCZUIF#$$4"5IJTNBZ OFDFTTBSZ CZ UIF #$$4" 5IJT
to alter audit scores. include and is not limited to: include and is not limited to: NBZJODMVEFBOEJTOPUMJNJUFEUP
BCCSA will perform investigation t4VTQFOTJPO t4VTQFOTJPO t4VTQFOTJPO

prior to consequences t3FRVJSFNFOUUPUBLFUSBJOJOH t3FRVJSFNFOUUPUBLFUSBJOJOH t3FRVJSFNFOUUPUBLFUSBJOJOH
being enacted. t5FSNJOBUJPO t5FSNJOBUJPO t5FSNJOBUJPO
Unprofessional conduct 8SJUUFO MFUUFS PO GJMF BOE

-BDLPG11& VTFPGQSPGBOJUZ OFDFTTBSZ CZ UIF #$$4" 5IJT
8SJUUFOMFUUFSPOöMFBOE NBZJODMVEFBOEJTOPUMJNJUFEUP
EFGBNBUPSZMBOHVBHFBHBJOTU 8SJUUFOMFUUFSPOöMF
suspension
#$$4"PSDPNQBOJFTCFJOH t4VTQFOTJPO
BVEJUFE EJTDSJNJOBUPSZ t3FRVJSFNFOUUPUBLFUSBJOJOH
QSBDUJDFTFUD t5FSNJOBUJPO
8SJUUFO MFUUFS PO GJMF BOE 8SJUUFO MFUUFS PO GJMF BOE 8SJUUFO MFUUFS PO GJMF BOE
DPOTFRVFODFT BT EFFNFE DPOTFRVFODFT BT EFFNFE DPOTFRVFODFT BT EFFNFE
OFDFTTBSZCZUIF#$$4"5IJTNBZ OFDFTTBSZCZUIF#$$4"5IJTNBZ OFDFTTBSZ CZ UIF #$$4" 5IJT
Confidential information audit include and is not limited to: include and is not limited to: NBZJODMVEFBOEJTOPUMJNJUFEUP
information revealed.
t4VTQFOTJPO t4VTQFOTJPO t4VTQFOTJPO
t3FRVJSFNFOUUPUBLFUSBJOJOH t3FRVJSFNFOUUPUBLFUSBJOJOH t3FRVJSFNFOUUPUBLFUSBJOJOH
t5FSNJOBUJPO t5FSNJOBUJPO t5FSNJOBUJPO

Conduct an audit outside of the 8SJUUFOMFUUFSPOöMFBOE NBZJODMVEF
8SJUUFOMFUUFSPOöMF
"VEJUPSTTDPQFPGLOPXMFEHF suspension
t4VTQFOTJPO
t5FSNJOBUJPO
15

NOTES:
Notes:

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Table of Contents

AUDITOR TRAINING PROGRAM ............................................................ 4

V2.1 Published January 2016

Auditor Certification Student Audit

Auditor BCCSA Terms of Module 1:

Auditor An individual who has the qualifications and skill to measure

Student Audit Assignment

The Audit Scope

The Audit Elements

The Audit Evaluation

BCCSA Terms of Participation

2. What overall score is required to pass the Internal Auditor Course?

3. What email address must the student assignment be sent to?

5. How many Owner, Manager, Supervisor representatives must be interviewed

6. How many Worker representatives must be interviewed during the Student

8. The Auditor’s responsibilities are as follows (choose all that apply):

10. Sarah knows that she is required to sample a minimum of 3 months of

Step 1: Use the correct software version for a Windows or

Step 2: Use any internet browser to go to www.bccsa.ca.

Step 3: On the main page, click on the left tab called

Step 5: Save the file in an easy-to-find location.

Step 6: Open the file.

Before selecting “Y” After selecting “Y”

Step 10: Select Y for “Yes.”

Step 13: Now that you’ve typed a sentence:

Go to this URL to watch a video demonstration: http://screencast.com/t/86pZTqVDy

Step 15: Save the file early, and save it often.

Adjust Formula Bar Height

Go to this URL to watch a video demonstration:

The Mystery of Disappearing Text

Adjust Comment Row Height

2. Click and drag the row to the desired position.

Go to this URL to watch a video demonstration:

Adjust Keyboard Language

Go to this URL to watch a video demonstration:

Figure 1. H&S Manual Verification Tab

Figure 2. Audit Information Tab

Actual Audit Start Date

Actual End Date

COR Certification Audit

COR Maintenance Audit

COR Re-Certification Audit

Limited Scope Audit

Quality Assurance Audit

Supplementary Audit Information

Figure 3. Supplementary Audit Information

Figure 4. List of Active Worksites Tab

2. Divide the number of employees by the number of months sampled:

Worksite Typical Duration Examples How to Record

1. Review (row 74) to determine a proper observation sampling

Determining Observation Sample Size

Determining Interview Sample Size

Minimum Number of Number of

Figure 8. Pre-Audit Meeting Tab

Pre-Audit Meeting Date

Note: Refer to the tab to determine the number of Observation Tours

Step 1: Step 2: Step 3: Module 3:

Accident/Incident An unplanned or unwanted event that results in damage or