PARTNERSHIPS OPERATIONAL POLICIES
008 Employer Review
OPERATIONAL POLICY
8.1 To maintain the integrity of the Certificate of Recogntion (COR), Partnerships in Injury Reduction (Partnerships) will investigate should any of the following situations occurr to a COR holder, and may implement one of the following Employer Review processes when required:
8.1.1 A Certificate of Recognition (COR) holder who experiences a workplace fatality, serious injury or incident or is issued multiple stop-work orders for imminent danger by Alberta OHS, may be required to develop an action plan to improve their health and safety performance. If an employer has a second occurrence of these situations within a 24-month period, they may be required to conduct a full external audit and may also be required to develop an action plan to address their health and safety performance.
8.1.2 A COR holder who has both been identified on the Employer Injury and Illness Prevention Program (EIIPP) and held a COR for four consecutive years will be visited by the Director of Partnerships (Director) and must develop an action plan starting with the fourth year. For every year following that the employer remains on the EIIPP list, they will receive a visit from the Director and must develop an action plan to improve their health and safety performance.
8.1.3 If an Alberta Occupational Health and Safety Officer (OHS Officer) identifies violations of the Occupational Health and Safety Code (OHS Code) which indicate that a COR holder’s health and safety management system may have significant deficiencies, Partnerships may direct the employer to conduct an action plan to improve their health and safety performance.
8.1.4 If Partnerships is advised by the Workers’ Compensation Board (WCB) that a COR holder has knowingly misrepresented the reporting of worker injuries as required by the Workers’ Compensation Act, Partnerships will direct the employer to conduct a full external audit to determine whether their COR is valid.
8.2 The provisions of Employer Review apply to all COR holders of all employer types, including regular COR holders, Small Employer Certification of Recognition (SECOR) holders, and employers certified under the Medium Employer program.
8.3 When an Employer Review is initiated with an employer, their COR status will be considered “Under Review” by Partnerships and their PIR refund will be placed on-hold by the WCB during the period of review.
8.4 If an employer fails to satisfactorily complete an action plan audit as required by Employer Review, the following processes will be followed.
8.4.1 Where the CP has indicated that they do not want to be involved in the decision process, the CP will be copied on the letter notifying the employer that their COR will be cancelled.
8.4.2 Where the CP has indicated that they want to be involved in the decision process, the Executive Director of OHS will meet with the CP. Where agreement has been reached with the CP, the employer’s COR will be cancelled. If agreement cannot be reached, refer to section 8.6.
8.4.3 When a COR is cancelled, the employer will be notified in writing by the Executive Director and will be given a 60-day grace period before the COR cancellation is implemented.
8.4.4 The PIR refund will be forfeited for the calendar year in which the COR was cancelled (should the Employer Review process cross calendar years, the PIR rebate that was placed on hold in the first year of the process will be released to the employer, and the rebate from the second year will be forfeited).
8.5 If the employer fails to complete their external audit within the timelines required, or the external audit does not meet the Partnerships Standards required for certification, the Executive Director will order the cancellation of the employer’s current COR.
8.6 Employers and/or Certifying Partners may appeal a COR cancellation as a result of a failed action plan through an arbitration process.
8.7 If a COR holder is charged under the Occupational Health and Safety Act (OHS Act), their PIR refund will be placed on-hold by the WCB for the year in which the charges are laid. If the employer is convicted, they will forfeit their PIR refund. If the charges are withdrawn or the employer is found not guilty, the employer will be eligible to receive their PIR refund.
8.7.1 This provision will not apply if the employer has already forfeited their PIR refund for the same matter through the Employer Review process.
BACKGROUND
A COR is issued to an employer whose health and safety management system meets the Partnerships Standard for a COR as determined through an external audit (or self-assessment if enrolled in the SECOR program).
When any of the circumstances described above in the Operational Policy occur to an employer who holds a COR, it may be an indication that although they have successfully completed the certification process, significant deficiencies exist in their health and safety management system, and must be corrected.
A revised Employer Review process was recommended by Alberta stakeholders, the Auditor General’s Office, and Alberta OHS, in situations where COR holders are experiencing significant issues with their health and safety management systems. If a COR holder fails to successfully complete the required corrective actions, their COR will be cancelled.
PROCEDURE
A) Fatalities
A1 The Compliance Management Information System (CMIS) will notify Partnerships when an employer who holds a Certificate of Recognition (COR) experiences a fatality. Note: This will not include non-occupational medical conditions (e.g. heart attack) or occupational disease linked to the actions of an employer, previous to their achievement of a COR, or non-occupational motor vehicle fatalities.
A2 A Partnerships Consultant (PC) will be assigned to the employer and will gather all available Alberta Employment and Immigration (AEI) occupational health and safety file information which will be used to conduct an initial review to determine if an Employer Review is necessary. The lead OHS investigator will be contacted for more information. Note: Information will be collected up to one month after the fatality.
A3 If the initial review indicates that an Employer Review may be necessary or where there is insufficient file information (e.g. investigations conducted by Labour Canada), the employer will be advised by letter that they may be subject to an Employer Review.
A3.1 The letter will be sent within 30 days of the fatality by the Director, with a copy to the Certifying Partner (CP).
A3.2 The employer will be requested to provide the following documents to Partnerships within 30 days of the date of the letter:
· a copy of the employer’s most recent COR audit or maintenance option report
· a copy of the investigation report if conducted by an agency other than Alberta OHS
· a copy of the employer’s own investigation report
A3.3 To ensure the confidentiality of employer documents, the procedures of Section L will apply to all requests for information.
A4 An analysis of the information will be completed to determine if there are indications that the incident in question was related to a significant breakdown of the employer’s health and safety management system.
A4.1 The assigned PC will prepare a report to present the analysis and a recommendation to the Director as to whether an Employer Review is required.
A4.2 The Director will review the report and determine whether an Employer Review will be conducted.
A4.2.1 The Director will send a letter to the employer, with a copy to their CP, with the decision.
A5 If an Employer Review is required:
A5.1 Partnerships will set-up a meeting with the employer, please refer to Section F.
A5.2 If after the Employer Review meeting, it is determined that the employer must conduct an action plan refer to Section G.
A5.3 The employer’s COR status will be considered as “under review” by Partnerships.
A5.4 Partnerships will advise the WCB, and the employer’s PIR refund will be placed on-hold until the outcome of the Employer Review is determined (refer to Section N).
A6 If an employer with a COR experiences a second occurrence of an occupational fatality within a 24-month period after an Employer Review, refer to Section H.
A6.1 If the employer must conduct a full external audit, refer to Section I.
A6.2 If the employer must conduct a full external audit and an action plan, refer to both Sections G and I.
B) Serious Injuries, Incidents and Multiple Stop-Work Orders for Imminent Danger
B1 The criteria for identification of serious injuries for possible Employer Review include the following:
· An injury that results in a worker being admitted to a hospital for more than two days and that could cause a permanent disability that affects the worker’s ability to perform his or her job.
· The number and level of orders issued by OHS Compliance (see the “Compliance Enforcement Ladder” as outlined in L-01a Compliance Policy and Enforcement Procedures, July 26, 2010).
B2 The criteria for identification of serious incidents for possible Employer Review include the following:
· An unplanned or uncontrolled explosion, fire or flood which has caused or has the potential to cause a serious injury.
· The collapse or upset of a crane, derrick or hoist.
· The collapse or failure of any component of a building or structure necessary for the structural integrity of the building or structure.
· The number and level of orders issued by OHS Compliance.
B3 The identification of situations where an employer has been issued two or more stop-work orders for imminent danger within a twelve-month period will be based on a review of OHS Officer orders recorded in CMIS.
B4 The PC responsible for Employer Review management will run monthly CMIS reports to identify COR holders who have experienced situations as identified above.
B4.1 A monthly meeting will be held with the appropriate Manager, Compliance Programs to review the employers identified above to determine the potential Employer Review candidates.
B4.2 A PC will be assigned to the employer and will gather all available AEI occupational health and safety file information which will be used to conduct an initial review to determine if an Employer Review is necessary. The lead OHS investigator may be contacted for more information. Information will be collected up to one month after the incident.
B5 If the initial review indicates that an Employer Review may be necessary or where there is insufficient file information (e.g. investigations conducted by Labour Canada), the employer will be advised, by letter, that they may be subject to an Employer Review.
B5.1 The letter will be sent within 60 days of the incident by the Director, with a copy to the CP.
B5.2 The employer will be requested to provide the following documents to Partnerships within 30 days of the date of the letter:
· a copy of the employer’s most recent COR audit report or maintenance option report
· a copy of the investigation report if conducted by an agency other than Alberta OHS
· a copy of the employer’s own investigation report
B5.3 To ensure the confidentiality of employer documents, the procedures of Section L will apply to all requests for information.
B6 An analysis of the information will be completed to determine if there are indications that the incident in question was related to a significant breakdown of the employer’s health and safety management system.
B6.1 The assigned PC will prepare a report to present the analysis and a recommendation to the Director as to whether an Employer Review is required.
B6.2 The Director will review the report and determine whether an Employer Review will be conducted.
B6.2.1 The Director will send a letter to the employer, with a copy to their CP, with the decision.
B7 If an Employer Review is required:
B7.1 Partnerships will set-up a meeting with the employer, please refer to Section F.
B7.2 If after the Employer Review meeting, it is determined that the employer must conduct an action plan, refer to Section G.
B7.3 The employer’s COR status will be considered as “under review” by Partnerships.
B7.4 Partnerships will advise the WCB, and the employer’s PIR refund will be placed on-hold until the outcome of the Employer Review is determined (refer to Section N).
B8 If an employer with a COR experiences a second occurrence of a serious injury or incident, or additional stop-work orders for imminent danger within a 24-month period after an Employer Review, refer to Section H.
B8.1 If an employer must conduct a full external audit, refer to Section I.
B8.2 If an employer must conduct a full external audit and an action plan, refer to both Sections G and I.
C) Alberta OHS Officer-Observed Violations Indicating Possible Significant Deficiencies
C1 If an Alberta OHS Officer observes violations of the OHS Code which are an indication of significant deficiencies in a COR holder’s health and safety management system, they will discuss this situation with the appropriate Manager, Compliance Programs.
C1.1 If a decision is made to follow-up on the situation with Partnerships, the Manager, Compliance Programs will contact the Director of Partnerships to review the issue.
C2 The Director will determine if the matter warrants further review.
C2.1 A PC will be assigned to the employer and will gather all available AEI occupational health and safety file information which will be used to conduct an initial review to determine if an Employer Review is necessary.