Series explores various systems and regulations across Canada
The following is the first in a series of safety auditing articles from the new book by Wayne Pardy and Terri Andrews titled, Health, Safety, Environmental, and Quality Auditing, published by Rowman & Littlefield.
Safety audits. We all do them in one form or another. Some are mandated by regulatory requirements. Others are dictated by clients or customers. Still others are mandated by industry associations (COR) and still others are implemented based on prudent or best practice or a desire to demonstrate excellence in safety (ISO 45001).
By way of a few examples;
-
WorkSafeBC: To earn or keep a certificate of recognition (COR), your organization's health and safety management system must pass an audit. Once the audit has been completed, your certifying partner will review the report to make sure it meets all criteria. An audit of your organization's health and safety management system is how your certifying partner will determine if your organization qualifies for a certificate of recognition (COR).
Source: https://www.worksafebc.com/en/health-safety/create-manage/certificate-recognition/quality-assurance
-
Alberta: A Certificate of Recognition (COR) is awarded to employers who develop health and safety programs that meet established standards. A COR shows that the employer’s health and safety management system has been evaluated by a certified auditor and meets provincial standards. These standards are established by Occupational Health and Safety (OHS). To get a COR, your business must first have a health and safety management system in place, and then have it successfully audited through a Certifying Partner.
Source: https://www.alberta.ca/get-certificate-recognition
-
Ontario: In Ontario, the WSIB's Health and Safety Excellence Program (HSEp) and the Supporting Ontario's Safe Employers program (SOSE) encourage workplace safety excellence, with SOSE recognizing employers with accredited Occupational Health and Safety Management Systems (OHSMS) like ISO 45001 or COR 2020.
Source: https://healthandsafety.wsib.ca/sites/default/files/2024-12/HSEp_ProgramManualENG_2025FINAL.pdf
-
Newfoundland and Labrador: In Newfoundland and Labrador PRIME Path 2 Employers are employers who pay greater than or equal to $10,000 in average assessments and have 20 or more workers at any provincially and federally regulated worksite. Employers in this category are required to develop and implement a 15-Element OHS Certification Program to be eligible for PRIME refunds. There is a minimum safety audit score of 65 per cent per program element, and minimum overall safety audit score of 80 per cent, for an employer to be eligible for PRIME refunds.
Over the next series of articles we’re going to profile the most important aspects of HSEQ auditing system and related processes so you can ensure your internal safety audits are professional, evidence-based and conducted by trained and competent staff, and also ensure that you’re able to fully understand and address the results of any external or 3rd part audit conducted on your organization
Whether you’re a large, multi-national or a small fabrication shop, the fundamental foundation for a successful safety audit is dependent on how well you structure and implement the following criteria:
- Commitment to the audit process. Explicit top-management support for HSEQ auditing and commitment to follow-up on audit findings. Such support could be demonstrated by sanctioning the role of the audit program in a written management policy statement on HSEQ management, buttressed with specific, tangible implementing actions. For organizations which have decided to implement management systems based on any of the more common ISO standards this is a stated requirement, subject to audit and verification.
- Independent audits. An HSEQ auditing function independent of audited activities. The status or organizational focus of HSEQ auditors should be sufficient to ensure objective and unobstructed inquiry, observation, and testing. Auditor objectivity should not be impaired by personal relationships, financial or other conflicts of interest, interference with free inquiry or judgment, or fear of potential retribution. Simply put, you should not be auditing your own work. Plus, they need to have clear technical competencies in HSEQ discipline areas. Generalists are OK. Specialists are preferred.
- Training and competency. Adequate team staffing and auditor training. HSEQ auditors should possess, or have ready access to, the knowledge, skills, and disciplines needed to accomplish audit objectives. Each individual auditor should comply with professional standards of conduct. Auditors, whether full- or part-time, should maintain their technical and analytical competence through continuing education and training.
- Clear objectives of your efforts. Explicit audit program objectives, scope, resources, and frequency. At a minimum, audit objectives should include assessing compliance with applicable HSEQ laws and evaluating the adequacy of internal compliance systems to carry out assigned responsibilities. Explicit written audit procedures should generally be used. Auditors should be provided with all internal policies and applicable permits and regulations pertinent to operations or the facility, as well as checklists or protocols addressing specific features that must be evaluated.
- Evidence-based decisions. A process that collects, analyzes, interprets, and documents information sufficient to achieve audit objectives. Information should be collected before and during an on-site visit regarding matters related to audit objectives and scope. This information should be sufficient, reliable, relevant, and useful enough to provide a sound basis for audit findings and recommendations. Sometimes your time as an auditor can be rushed and challenged on site, so any opportunity to review any audit evidence before getting on site is advisable and a definite advantage.
Regulatory example: Canadian offshore oil and gas industry
By way of an example, this scenario comes from the Canada-Newfoundland offshore Petroleum Board (CNLOPB), which regulates petroleum-related activities in the Canada-Newfoundland and Labrador Offshore Area. They note, “An audit is a systematic evaluation of all aspects of an operation to determine its overall compliance with regulatory requirements related to safety, environmental protection and resource management, and commitments made by the Operator in their application for an authorization. Audits include reviewing documentation and records, obtaining samples, interviews with personnel, verification of the quality of information reported to the C-NLOPB, inspection of equipment or other physical aspects of an operation, observation of operations, verification of qualifications and training of personnel.”
So, as we’ve seen, the use of the safety audit process has been rationalized by many governmental agencies. In the next series of articles, we’ll provide additional guidance on organizational audit processes, how you can secure commitment to your audit program, and how leveraging this commitment can be used to develop the tools, techniques and processes upon which to design, build and execute your safety audit processes.
References: https://www.cnlopb.ca/enforcement/compliance/
