Minimum Number of Interviews

BASE 3 Interview Workbook

Using this Workbook

The BASE audit question identifier.

# BASE Question*

A2.1 Have specific safety responsibilities for all occupations been written and communicated to relevant workers?

The role(s) that the interview question applies to.

Interview

Guidelines.

Audience Guidelines

Workers

If at least 70% of interviewed workers have had their specific safety responsibilities communicated to them, award 8 points.

Notes:

A place to record your positive and negative responses.

A place to record

“no comments” or nullify responses where applicable.

POS NEG N/Cs X/Y

Points

Available Awarded

(0,8) 8

Example Interview Note

Requirements:

□

Data identifies who was interviewed (mangers, supervisors, workers, etc) and gives positive percentage results.

□

Obtained Interview results should be summarized but not quoted.

□

Data is of sufficient volume to justify the score and includes positive percentage.

□

Interview data volume has to be roughly proportional to the score value.

□

Scoring is based upon the percentage of positive interviews. Scoring to be rounded off to the nearest whole number

□

List deficiencies, if any

□

Recommendation provided for questions with less than full points.

Example:

(I) 16/16 workers interviewed provided knowledgeable responses regarding communication of specific safety responsibilities which included, WorkSafeBC regulations, certification requirements, identifying and communicating hazards, PPE, close call and incident reporting, ERP and first aid. Discussion take place during initial orientations, annual orientations and before each job starts. The company has met the minimum 70% threshold, therefore 8/8 points awarded.

NOT SUBMITTED – This document is for auditor use and is not submitted to the BCFSC.

Version 4 – March 12, 2014 Page 1 of 35

5


Scoring

Requirements:

□

Score (including N/A) awarded is justified by notes and fully explained to the company.

□

If the question has a scoring threshold, this must be referenced in the note and used to justify the score.

General

Requirements:

□

O, D and I data clearly indicated and separated.

□

Photographs should not be included in the notes.

□

Scores should be rounded off to the nearest whole number.

□

Notes are self contained and do not reference other notes.

□

Notes are written in full sentences with standard professional grammar and spelling (or bullet points or lists where appropriate).

□

Notes clearly demonstrate that the auditor understands the BASE tool and its application, including CAL entries from any prior audits.

□

Correct inclusion of Elements G and/or H and/or applicable Technical Audit Modules.

□

All N/A scoring must be clearly justified whether individual questions, elements or TAM’s. In elements A through F, only the questions with N/A instructions in the guidelines may be scored as not applicable.

Audit Recommendations

Requirements:

□

Recommendations are required for any questions not scoring full points. Continual improvement recommendations are acceptable but should not influence scoring.

□

Recommendations are to inform the company on what to do and to provide reason(s) and appropriate method or methods for addressing the requirements of the questions and guidelines.

□

Recommendations are SMART (Simple Measurable Attainable Realistic Timely) and take into consideration the co mpany’s capacity both to understand and to implement them.

□

Recommendations relate to the question and the notes.

□

Recommendations are unique and self contained for each question and do not reference other recommendations.

□

Recommendations are written in full sentences with standard professional grammar and spelling (or bullet points or lists where appropriate).

□

Recommendations clearly demonstrate that the auditor understands their role of giving guidance to the company on improving worker safety in an effective manner.

□

Recommendations should be based on applicable current legal or regulatory requirements, standards and best practices, and appropriate to the nature of the company’s safety management system and processes.



Effective Interviews


Do’s Don’ts



Conduct interviews in a private location.



Introduce yourself, explain the general audit process, and mention the confidentially of the interview process.



Explain that you will be taking brief notes so you can tally your scores at the end of the audit.



Ask open-ended questions.



Destroy these notes after the audit has been accepted and approved by the BCFSC.

Opening the Interview



Do not conduct group interviews or interviews that are not in a private location.



Do not record names or share your specific interview findings with others.



Avoid asking closed-ended questions or questions that convey what a positive answer may be.

Introduce yourself and tell them what you are doing.



Your name.



You are conducting an audit for the company.



You will be asking questions about the safety program.



Your interview is confidential.

 I may be taking a few notes, it’s nothing to be alarmed about. These notes are for me alone.



Are you okay with this? Any initial questions?

Attentive Listening “SOLER”



S quarely face the person.



O pen your posture.



L ean towards the sender.



E ye contact.



R elax

Internal Audits:

You want to know how well the system works. Be honest. Don’t tell me what you think I want to hear. I really just want to hear the truth so we can improve our systems.

Interview Sample Sizes

Overview

The interview sample size for the large employer BASE Audit must be representative of the size of the company, the type of the business unit, and ultimately allow the auditor to get a proper sample from which to draw conclusions and score the company. The following criteria must be considered when determining the proper representative sample:

 A cross sample of employees, based on their years of service. This should include new hires, short term employees, long term employees, and contract workers.

 A cross sample of employees, based on their occupations. This should include field or facility workers, office staff, front line supervisors, department managers, middle managers, and executive management.

 A cross sample of shift workers, to ensure that there is an adequate sample from all active shifts.

 A cross sample of work sites that are covered under the same WSBC industry code, including remote sites.




Interview Guidelines

The minimum number of interviews required must meet the specified requirement of the Minimum Interview

Requirements Chart.

37-44

45-49

50-64

65-74

75-88

89-99

100-120

121-149

150-199

200-204

205-209

210-212

213-214

215-220

221-222

223-226

227-230

231-233

Total

Staff

<5

5

6 to 7

8

9

10 to 11

12 to 14

15-16

16-17

18-20

21-24

25-27

28-30

31-36

25

26

27

28

29

30

31

32

33

34

17

18

19

20

21

22

23

24

Minimum

Interviews all

4

5

6

7

8

9

10

11

12

13

14

15

16

342-348

349-354

355-359

360-364

365-369

370-374

375-379

380-389

390-399

400-475

476-499

500-509

510-519

520-529

530-539

540-549

550-559

Total

Staff

234-240

241-249

250-299

300-302

303-309

310-312

313-315

316-320

321-325

326-329

330-332

333-335

336-338

339-341


57

58

59

60

61

62

63

64

65

49

50

51

52

53

54

55

56

Minimum

Interviews

35

36

37

38

39

40

41

42

43

44

45

46

47

48

Version 4 – March 12, 2014

Total Staff

720-729

730-740

741-749

750-790

791-840

841-959

960-1000

1001-1499

1500-1800

1801-2500

2501-4000

4001-4999

5000-9999

10000-24999

25000+

560

561-570

571-580

581-595

596-605

606-615

616-625

626-638

639-645

646-655

656-665

666-678

679-689

690-699

700-705

706-719

88

89

90

91

92

93

94

95

96

80

81

82

83

84

85

86

87

Minimum

Interviews

66

67

68

69

70

71

72

73

74

75

76

77

78

79

Page 4 of 35


Minimum Number of Interviews

Personnel Description # Personnel Minimum # Interviews Planned # Interviews

Owners

Employees (All Levels)

Dependent Contractors

Total

Total # Personnel

Role Name


# People in Role

# Planned for

Interview

Actual #

Interviewed


# BASE Question*

A2.1 Have specific safety responsibilities for all occupations been written and communicated to relevant workers?



Workers

If at least 70% of interviewed workers have had their specific safety responsibilities communicated to them, award 8 points.


Notes:

Points


(0,8)

A2.2 Are supervisors monitoring the health and safety of all workers under their direct supervision?

Workers

Supervisors

Award up to 5 points based on % interviewed workers and supervisors reporting appropriate supervisory presence and communication of known and foreseeable hazards at the work site.

Notes:

(0-5)

A2.3 Do supervisors know the applicable standards and required control measures when evaluating safety of work activities?

Supervisors

Award up to 10 points based on the

% of positive responses from interviewed supervisors understanding the applicable legal and regulatory requirements, company safety standards and control measures required for evaluating work activities. This is intended to evaluate aggregate supervisor



(0-10)

Page 6 of 35

# BASE Question*


Audience Guidelines knowledge, so if 4 of

5 supervisors fully understand and 1 understands 50%, this would be worth

9/10 points.


Points


Notes:

A2.4 Are managers measuring and evaluating the performance of the company’s safety program?

Managers

Award up to 7 points based on % of interviewed managers able to confirm that they are appropriately evaluating key safety performance indicators and providing direction for continual improvement based on those evaluations.

Notes:

(0-7)

A2.5 Are managers and supervisors leading by example and following the health and safety rules and procedures?

Notes:

Workers

If at least 70% of interviewed workers state that managers and supervisors always follow all safety rules, award

10 points.

(0, 10)

A2.6 Have managers ensured that

Workers

If 70% of interviewed workers and supervisors are



(0,3)

Page 7 of 35

# BASE Question* relevant health and safety regulations, industry safety codes of practice and safe work procedures are available to supervisors and workers?



Supervisors aware of the types of safety resources available and can describe how to access them, award

3 points.


Points


Notes:

A2.8 Has management allocated the resources necessary for the safety program?

Senior

Managers


% positive responses from senior management able to describe how safety resources are allocated appropriately within the company with respect to financial, operational and other constraints as well as to the activities, hazards and risks that the company manages.

Resources may be financial, personnel and/or equipment.

Senior management should have an understanding of budgeting and priority setting for safety activities and initiatives within the company structure and be able to explain this to the auditor.

(0-20)



# BASE Question*

Notes:


Audience Guidelines POS NEG N/Cs X/Y

Points


B1.4 Are documented hazards, risks and controls communicated to all workers before the job starts and as they become identified during operations?

Workers

I Award up to 8 points based on % of positive responses from interviewed workers reporting receiving communication on the hazards, risks and controls for their work activities.

The reported risk communication may be written and/or verbal.

Notes:

(0-8)

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

Purchasers

If at least 70% of interviewed persons with purchasing responsibility can describe the prepurchase assessment process

(whether or not it has been needed to be used), award 2 points.

Notes:

(0,2)

B2.1 Is there a maintenance program in place for

Managers

Supervisors

Award up to 5 points based on the % of positive responses



(0-5)

Page 9 of 35

# BASE Question* facilities, tools and equipment meeting the manufacturer, regulatory and company safety requirements?


Audience Guidelines from interviewed managers and supervisors confirming the maintenance program meets manufacturer, regulatory and company safety requirements.


Points


Notes:

B2.2 Is there evidence that the maintenance program is being followed?

Maintenance

Personnel


% of maintenance personnel and tool/equipment users that confirm the maintenance program is being followed.

Notes:

(0-5)

B2.5 Are workers involved directly or by representation in the development, evaluation and revision of the safe work procedures and risk control measures?

Managers

Supervisors

Workers

If at least 70% of interviewed managers, supervisors and workers report that workers are involved in the review process, award 5 points.

It is not necessary for every worker to be directly involved in the process.

Worker involvement may be via a committee or representative.



(0,5)

Page 10 of 35

# BASE Question*



However, every interviewed worker must be aware how their issue or idea could be evaluated for incorporation into a revised procedure.


Points


Notes:

B2.6 Does the company have a progressive enforcement policy to address safety non-compliance and is it being used by managers and supervisors where required?

Managers

Supervisors

Workers

Award up to 5 points based on % of interviewed managers and supervisors reporting dealing with non-compliance appropriately, consistent and progressively AND on % of interviewed workers reporting that necessary corrective actions have been taken to deal with noncompliance.

Interviews that report no corrective actions were taken due to none being needed should be re-questioned to evaluate if the person is aware of the company process and evaluated on their knowledge of the possibility of corrective action being applied for non-compliance.

(0-6)



# BASE Question*

Notes:



Points


B4.1 Are deficiencies being reported and the corrective/preventive actions being implemented in a timely manner?

Workers

Award up to 5 points based on % of positive responses of interviewed workers reporting

BOTH that:

1. Deficiencies are reported; AND

2.

Deficiencies are addressed in a timely manner.

Notes:

(0,5)

C1.1 Does the company have general health and safety rules

(other than safe work procedures or work instructions) for expected standards of safe work behaviour in the work place?

Workers

Visitors

Award up to 5 points based on the % of positive responses for interviewed workers and available visitors aware of the applicable company health and safety rules. If the auditor is a visitor, auditor awareness is to be included in the interview evidence by self-assessment.

Notes:

(0,5)

C1.2 Does the company have a Personal

Protective

Managers

Supervisors

If at least 70% of interviewed managers,



(0,4)

Page 12 of 35

# BASE Question*

Equipment (PPE) policy governing the selection, training, provision and maintenance of PPE in accordance with regulatory requirements and established risk control measures?



Workers supervisors and workers know how to use, maintain/dispose and gain access to necessary PPE, award 4 points.


Points


Notes:

C1.3 Does the company have written standards or rules regarding alcohol and drug use/abuse and impairment by any means including fatigue?

Supervisors

Workers

If at least 80% of interviewed supervisors and workers are aware in a general sense of the company rules on alcohol and drug use/abuse, award 3 points.

Notes:

(0-3)

C2.1 Are worksite conditions in line with required company safety standards and regulatory requirements?

Managers

Supervisors

Award up to 4 points based on % of positive responses from interviewed supervisors and managers being aware of, and requiring compliance with, applicable worksite safety standards.

(0-4)



# BASE Question*

Notes:



Points


C2.2 Are workers complying with all company safety rules, manufacturer standards and regulatory requirements?

Workers

(new hires, dependent and nondependent contractors)

Award up to 10 points based on % of positive responses from interviewed workers understanding the safety rules applicable to their tasks.

If possible, include new hires and dependent and nondependent contractors in the interview sample size.

It is not necessary for workers to be able to separate regulatory, manufacturer and company requirements, only that they understand the total requirements.

Notes:

(0-10)

C2.3 Has a Workplace

Hazardous Materials

(WHMIS)

Information System program been implemented within the company?

Workers Award up to 2 points based on % of interviewed workers able to describe the hazards, precautions and emergency response procedures for controlled products that they handle or



(0-2)

Page 14 of 35

# BASE Question*


Audience Guidelines work near. Workers need to have a general, practical knowledge, rather than a detailed technical knowledge.

Knowing where to go, or whom to ask, for more information beyond the fundamentals is sufficient


Points


Notes:

C3.2 Are there written safe work procedures for transportation of workers to and from worksites? Are the worker transportation Safe

Work Procedures

(SWPs) being followed?

Supervisors

Workers

If at least 90% of positive responses of interviewed supervisors and workers being aware of AND able to state that everyone follows worker transportation safe work procedures, award 5 points.

If the company does not have or use transportation equipment, score this question as

‘N/A’ and adjust the total accordingly.

Notes:

(0,5)

C4.4 Are there written

Emergency

Response Plans

(ERPs) for handling other potential emergencies

Workers Award up to 5 points based on the % of interviewed workers aware of their roles in applicable emergencies. The



(0-5)

Page 15 of 35

# BASE Question* relevant to the company’s operations? Are workers on the site knowledgeable regarding the

ERPs?


Audience Guidelines workers should be able to discuss marshalling points, communication devices, how to contact help, location of emergency numbers and understand any specific assigned responsibilities


Points


Notes:

D1.1 Does the orientation program for employees and contractors meet regulatory requirements?

Workers

(dependent contractors and nondependent contractors)

If at least 90% of interviewed new workers confirm orientation on or before the first day of work, award 5 points.

New workers include new hires, Returnto-Work cases and reassigned or transferred workers.

Workers include workers of the company, of dependent contractors and of non-dependent contractors.

If there are no new workers in the scope of the audit, interview a sample of workers hired in the last 5 years.

If there are no new workers hired within the last 5 years, interview managers and supervisors for knowledge of the system and its applicability to future



(0,5)

Page 16 of 35

# BASE Question*


Audience Guidelines new workers.


Points


Notes:

D2.1 Does the company ensure workers are competent before they are permitted to perform their assigned tasks?

Managers

Supervisors



If at least 90% of interviewed supervisors and managers are: knowledgeable about the company program and regulatory requirements, and

 assessing workers in accordance with company and regulatory requirements, award 3 points.

If managers also assess workers, include applicable managers in the interview sample size.

If all supervisors are also managers, exclude supervisor assessment from the question

Notes:

(0,3)

D2.2 Is training being conducted with employees on an ongoing and as required basis?

Supervisors

Workers

If at least 90% of interviewed supervisors are aware of what training is required for which tasks and are ensuring only appropriately trained



(0-5)

Page 17 of 35

# BASE Question*


Audience Guidelines workers perform those tasks, award 2 points.


Points


If at least 90% of workers are aware of and have received the training necessary for their assigned tasks, award 3 points.

Notes:

D2.3 Are members of the

Joint Occupational

Health and Safety

Committee (JOHSC) provided with appropriate training to be competent in carrying out their duties and responsibilities?

JOHSC

Award up to 5 points based on % of interviewed current

JOHSC members able to confirm all of:



Attending initial training;



Basic knowledge of their duties under the combination of legal, regulatory and company requirements; and



Attending 8 hours of

JOHSC training per year.

Notes:

(0-5)

E1.1 Are site safety/tailgate meetings being held on a monthly or more frequent basis with workers to discuss current and ongoing health and

Workers

If at least 70% of interviewed workers confirm existence of the monthly (or more frequent) meetings and their personal attendance at all of those meetings or having meeting



(0,5)

Page 18 of 35

# BASE Question* safety issues?


Audience Guidelines information passed to them after the meeting, award 5 points.


Points


Notes:

E1.2 Are workers encouraged to participate in the safety/tailgate meetings?

Workers

Award up to 5 points based on the % of interviewed workers confirming that they have an active opportunity to bring forward safety issues at the meetings and that they have a recollection of the broad topics discussed at recent safety meetings that correspond to the meeting minutes.

JOHSC meetings are excluded from the scope of this question.

(0,5)

Notes:

E2.1 Do managers and supervisors regularly share health and safety program performance information relevant to their operation with their workers?

Workers Award up to 5 points based on the % of interviewed workers with an awareness of the company safety program and its current key issues.

(0-5)



# BASE Question*

Notes:



Points


E2.2 Does the company have a safety document management system that enables safety program evaluation and assessment reports to be communicated or made available to workers and JOHSC members?

JOHSC

Workers

If at least 70% of interviewed workers and JOHSC members are at least aware of how to access the reports, award 3 points.


% of interviewed supervisors

(including safety supervisors if any) that can correctly describe the safety records management system and demonstrate their understanding by retrieving necessary documentation in a timely manner throughout the audit

Notes:

(0-18)

E3.2 Are the members of the JOHSC actively involved in the health and safety program?

JOHSC

If at least 70% of interviewed JOHSC members can speak knowledgeably about how the

JOHSC supports the company safety program though its activities and the responses indicate a compliant system, award 10 points.



(0,10)

Page 20 of 35

# BASE Question*

Notes:



Points


F1.2 Are incidents being reported to the company?

Workers

Award up to 4 points based on % of positive responses of interviewed workers being aware of, and following, reporting procedures.

Notes:

(0-4)

F2.1 Are all reported incidents investigated by the company?

Supervisors

Workers

Award up to 5 points based on the % of positive responses from interviewed workers and supervisors stating all reported incidents are investigated.

This portion of the question applies to reported incidents.

For example, if an interview response is that only 50% of total incidents are reported, but all of those are investigated, this counts as a positive response.

Notes:

(0-5)



# BASE Question*

F2.4 Are persons investigating incidents properly trained to do so?



Incident

Investigators


% of positive responses from individuals investigating incidents that can describe their incident investigation training and how it covered topics necessary for their scope of investigations.

If there have been no incidents investigated in the scope of the audit, interview individuals who are assigned responsibility for investigations. If the company system does not assign responsibilities, interview supervisors by default. Training does not necessarily include classroom sessions or external instructors and may include


Points


(0-15)

Notes:

F3.1 Is there a method of implementing the investigation recommendations?

Managers

Supervisors

JOHSC

If at least 90% of interviewed managers, supervisors and

JOHSC members understand their roles in the above system, award 10



(0,10)

Page 22 of 35

# BASE Question*


Audience Guidelines points.


Points


Notes:

F3.2 Is there a process to track the implementation of recommendations of the investigation? Is the process being followed?

Notes:

Workers

Award up to 5 points based on the % of positive responses from interviewed workers stating corrective actions completed by the target date.

(0-5)

F3.3 Is there a written procedure for which personnel must review the investigation and follow-up reports?

Senior

Managers

Managers

Supervisors

JOHSC

If at least 90% of interviewed senior managers, managers, supervisors and

JOHSC members state that they review all incidents, award 5 points.

Notes:

(0,5)

G1.1 Has the company selected contractors that have met prequalification selection criteria that include safety?

Contract

Managers

Award up to 3 points based on % interviewed persons hiring contractors understanding the company program.

This question applies to all contractors working for the company rather than just



(0-3)

Page 23 of 35

# BASE Question*


Audience Guidelines forestry contractors.

Service providers are excluded from the scope of this question.


Points


Notes:

G1.2 Is there a requirement for non-

Prime direct forestry contractors to be

SAFE-certified or recognized by any other Certifying

Partner that the

BCFSC has a reciprocity agreement with?

Contract

Managers

If all interviewed persons hiring contractors are aware of the requirement and apply it in all cases, award 2 points.

This question only applies to a company’s forestry contractors who have staff who physically enter into forestry settings to assist in the forestry activities (i.e., those who ‘touch the wood’). Other contractors and service providers are not prohibited from

SAFE-certification and the company may require them to be SAFE-certified, but it is not a requirement of this audit question.

Score this question as ‘N/A’ if the company has no hands-on forestry contractors or if the company has no forestry operations.

(0,2)



# BASE Question*

Notes:



Points


G1.3 Has the company communicated

(written and verbal) its health and safety program requirements to the contractor?

Hired

Contractors

Award up to 6 points based on the % of positive responses of interviewed contractors understanding their place in the company system.

If no contractors are available on-site to interview, a sample may be interviewed by telephone.

If contractors are not reasonably available by any method or refuse to answer, score the interview portion of the question as ‘N/A’ and adjust the score accordingly.

Notes:

(0-6)

G1.4 Does the company require its non-

Prime Contractors to only hire SAFE certified companies if permitted to hire sub-contractors?

Contract

Managers

Award up to 5 points based on the % of interviewed persons hiring contractors being aware of the requirement and applying it in all their cases.

This question only applies to a company’s forestry



(0-5)

Page 25 of 35

# BASE Question*


Audience Guidelines contractors who have staff who physically enter into forestry settings to assist in the forestry activities (i.e., those who ‘touch the wood’). Other contractors and service providers are not prohibited from

SAFE-certification and the company may require them to be SAFE-certified, but it is not a requirement of this audit question.

Score this question as ‘N/A’ if the company has no hands-on forestry contractors or if they have no forestry operations.


Points


Notes:

G2.1 Does the company communicate to the contractor known and foreseeable hazards identified in the planning of the operations and include the Notice of

Project (NOP)?

Hired

Contractors

Award up to 5 points based on the % of positive responses of interviewed contractors understanding the known and foreseeable hazards of the project.


If contractors are not reasonably available by any method or refuse to answer, score the interview



(0-5)

Page 26 of 35

# BASE Question*


Audience Guidelines portion of the question as ‘N/A’ and adjust the score accordingly.


Points


Notes:

G2.2 Is there a regular monitoring process to ensure non-Prime

Contractors are performing in accordance with the required safety standards?

Contract

Managers

Award up to 5 points based on % of positive responses of interviews with personnel responsible for overseeing contractors confirming their understanding of the frequency and criteria and applying it correctly.

Notes:

(0-5)

G2.3 Does the company hold regular meetings with its contractors to review safety performance including nonconformance?

Contract

Managers

Award up to 5 points based on the % of positive responses of interviewed persons hiring contractors being aware of the requirement and applying it in all their cases.

Notes:

(0-5)

H2.1 Is the assigning Contract

Award up to 4 points based on % of



(0-4)

Page 27 of 35

#


BASE Question* party ensuring that the Prime Contractor duties are being carried out in accordance with the regulatory and company’s safety program requirements?


Managers interviewed contract supervisors/managers correctly describing their responsibilities and how they fulfill them with respect to legal, regulatory, contract and company requirements.


Points


Notes:

H2.3 Do contractors hired by the assigning party or directly by the Prime Contractor clearly understand the authority for site safety management of the Prime

Contractor?

Hired Non

Prime

Contractors

If at least 90 % of interviewed non-

Prime Contractors understand the authority of the

Prime Contractor in coordinating the health and safety activities of the workplace, award 10 points.


If contractors are not reasonably available by any method or refuse to answer, score the question as ‘N/A’ and adjust the score accordingly.

Notes:

(0,10)

H2.4 Has the assigning party ensured that it

Mangers

Award up to 5 points based on %



(0-5)

Page 28 of 35

#


BASE Question* has properly informed their Prime

Contractors of any known and foreseeable hazards?


Supervisors

Hired

Contractors interviewed managers, supervisors and, if possible, contractors to confirm hazards are communicated.



Points


If contractors are not reasonably available by any method or refuse to answer, base the % interview only on managers and supervisors.

Notes:

H2.5 Has the assigning party ensured that adequate and competent supervision is in place in the worksite, based on scope, complexity and risk associated with the site?

Contract

Managers

Supervisors

If at least 80% of interviewed company contract managers/superviso rs are aware of the company requirements, their obligations to ensuring competent supervision and are ensuring it, award 5 points.

Notes:

(0,5)

H2.6 Has the assigning party ensured that the Prime Contractor has a designated health and safety

Contract

Mangers

Supervisors

If at least 90% of contract managers/superviso rs can correctly identify the site health and safety



(0,5)

Page 29 of 35

# BASE Question* representative for coordination of health and safety activities on the worksite?


Audience Guidelines contact of the Prime

Contractor on each site, award 5 points.


Points


It will be necessary for the auditor to determine the correct contact either by documentation or by interview with the indentified person.

Notes:

I1.2 Is there a written

IM/RTW program with defined roles and responsibilities for all relevant groups?



OHS Personnel



Human

Resources

Department



Medical

Professional



WCB Case

Management



Employee

Assistance program



Employee

Representation

(e.g. union);



Senior

Management

Representation



Workers (i.e. potential users of the IM/RTW program).

Award up to 10 points based on the % of positive responses of interviewed representatives of groups understanding their responsibilities.

Notes:

(0-10)

I1.4 Is there a process to implement the opportunities for improvement

Refer to I1.2

If at least 70% of interviewed group members can describe the



(0,5)

Page 30 of 35

# BASE Question* identified through the analysis of program outcomes?


Audience Guidelines review process, award 5 points.


Points


Notes:

I1.5 Do case records support that identified opportunities for system improvement being implemented?

Refer to

I1.2

If at least 70% of group members can describe examples of program improvement based on reviews, award 5 points.

If there are no cases, or no cases resulting in system improvement, score this question as

‘N/A’ and deduct 15 points from the total.

Notes:

(0,5)

I2.1 Have the duties of an IM/RTW coordinator been assigned and do the duties outline the authority to establish and implement RTW plans?

Managers

Supervisors

Workers

If at least 70% of interviewed workers, supervisors, managers are aware of the program coordin ator’s duties, award 10 points.

The coordinator may be a committee, a lead or technical member of a committee or an individual. Each site or division may have its own coordinator.

(0,10)



# BASE Question*

Notes:



Points


I2.2 Does the IM/RTW coordinator have appropriate education and/or training for their duties?

IM

Coordinator

If the IM/RTW coordinator, when interviewed, understands their role in the program and is aware of relevant legislation award 15 points.



The IM/RTW coordinator needs to at least know where to access information on:

Human Rights Act;



BC Human Rights

Code;



Workers

Compensation Act;



Freedom of

Information and

Protection of Privacy

Act; and



(PIPA) Personal

Information Privacy

Act (SBC 2003,

Chapter 63).

If the IM/RTW coordinator is a contract agency, review agency publications for evidence and score the interview portion as ‘N/A’.

Notes:

(0,15)



# BASE Question*

I2.4 Have relevant groups been trained in the IM/RTW policies, procedures

(including Stay-at-

Work) and privacy issues?



Managers

Supervisors

Human

Resources

Personnel

OHS

Personnel

JOHSC

Union Reps


% of positive responses of interviewed groups having appropriate knowledge and education on their role in the IM/RTW program, including

Stay-At-Work and privacy issues


Points


(0-10)

Notes:

I3.2 Does the company have a “Stay-at-

Work” initiative as part of their IM/RTW program?

Supervisors Award up to 10 points based on the

% of interviewed supervisors describing how they use Stay-at-Work opportunities to avoid time loss.

Notes:

(0-10)

I3.3 Does the company have alternate duties identified in writing and are supervisors aware that they can offer modified duties when required?

Supervisors Award up to 10 points based on the

% of supervisors understanding how they can offer or arrange modified or alternate duties to workers in both

Stay-at-Work and

Return-to-Work situations.

(0-10)



# BASE Question*

Notes:



Points


I3.4 Does the company have a procedure for initial and ongoing contact with an absent injured worker?

Supervisors

IM

Coordinator

Award up to 5 points based on % of interviewed supervisors,

IM/RTW coordinator or other contact personnel used in the company system being able to correctly describe the initial and ongoing contact protocol.

Notes:

(0-5)

I3.6 Is there a procedure to develop, approve, monitor and modify case specific

IM/RTW plans?

IM

Coordinator


% of interviewed

IM/RTW Coordinator

(and any other company personnel involved in case plan decisions) being able to describe the company process to develop, approve, monitor and modify

IM/RTW case plans, including the mechanism for setting and modifying end-dates.

(0-10)



# BASE Question*

Notes:



Points


I3.9 Are workers and supervisors knowledgeable of the reporting process and requirements under workers compensation legislation?

Supervisors

Award up to 3 points based on the % of interviewed supervisors able to describe their reporting requirements to authorities. If the company program has supervisors reporting information to other company parties for submission to authorities, also include those other parties in the interview sample.

Notes:

(0-10)

I4.1 Have IM/RTW policies and procedures been effectively communicated?

Senior

Managers

Managers

Supervisors

Workers

Award up to 25 points based on % of interviews at all levels showing awareness of the company IM/RTW program.

Notes:

(0-25)



Minimum Number of Interviews

Using this Workbook

Example Interview Note

Scoring

General

Audit Recommendations

Effective Interviews

Do’s Don’ts

Opening the Interview

Attentive Listening “SOLER”

Internal Audits:

Interview Sample Sizes

Interview Guidelines