Information Bulletin: Compliance Audits
Topic: Compliance Audits
The following information bulletin is being issued to clarify the use of compliance audits as an inspection practice by Technical Safety BC’s Compliance & Enforcement Program.
Part A: Definitions
Compliance audit: An evaluation of a duty holder’s adherence to The Act and regulations, and how they systematically meet their obligations.
Duty holder (Auditee): A person or company who is responsible for compliance because they either own regulated products, or perform regulated work.
Non-compliance: A failure of regulated product, equipment, or work to meet applicable regulatory requirements.
Part B: Regulatory Authority to Perform Audits
Definitions from the Safety Standards Act:
1 In this Act:
"inspect" includes investigate, monitor and audit
Powers of safety officers
18 (1) For the purposes of this Act and in the course of performing their duties, safety officers may exercise any or all of the following powers and any other powers assigned to them under the regulations:
(i) require that a person provide evidence that this Act and the regulations, and any safety order, compliance order, discipline order or decision of a provincial safety manager, a local safety manager or the appeal board is being, or has been, complied with;
(k) require that a person produce any record for inspection;
(l) require a person to produce for inspection any licence, permit, other permission, certificate or any other document issued under this Act to the person by the minister or a local government;
(m) temporarily remove a record to copy it.
Part C: Application of Compliance Audits
Compliance audits are used by Technical Safety BC’s Compliance & Enforcement Program to assess a duty holder’s level of compliance with the Safety Standards Act and Regulations of British Columbia.
Technical Safety BC’s Compliance & Enforcement Program selects audit candidates (auditees) using the following method:
- Where an investigation or event warrants further follow-up by Technical Safety BC’s Compliance & Enforcement Program, at the discretion of Technical Safety BC
Factors which may lead to the initiation of a compliance audit include, but are not limited to:
- Subsequent finding of non-compliance after having been issued a compliance or enforcement tool (such as a. warning notice, compliance order, monetary penalty or discipline order);
- Failure to cooperate with an ongoing compliance and enforcement investigation;
- When technical safety risks are known or suspected to exist;
- When evidence collected to date suggests that further non-compliances may be discovered.
Note: Compliance audits are subject to administrative fees. In circumstances where a duty holder has been selected for an audit, and no significant non-compliance is identified through the audit process, Technical Safety BC may stay the application fee and waive fees for the audit activities at the discretion of the Compliance & Enforcement Program. For more information on compliance and enforcement fees please see the compliance and enforcement fee schedule. For more information on Technical Safety BC`s Compliance & Enforcement Program and compliance audits as described in this information bulletin, please visit: https://www.technicalsafetybc.ca/i-want/compliance-and-enforcement
Provincial Safety Manager, Compliance & Enforcement
Safety Standards Act
Safety Standards General Regulation
Electrical Safety Regulation
Elevating Devices Safety Regulation
Gas Safety Regulation
Power Engineers, Boiler, Pressure Vessel & Refrigeration Safety Regulation