Information Bulletin: Compliance audits

Persona

Reference number
IB-CE-2018-01

Topic: Audits 

The following information bulletin is being issued to clarify the use of  Audits as an inspection practice by Technical Safety BC. 

Part A: Definitions

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.

A person or company who is responsible for compliance because they either own regulated products, or perform regulated work. A person or company who is responsible for compliance because they either own regulated products, or perform regulated work.

Non-compliance: A condition where a regulatory requirement has not been met. Regulatory requirements represent the minimum acceptable condition, and may be exceeded. 

General Supervision Status Plant: A plant for which the supervision of boilers, pressure vessels or refrigeration equipment is carried out in accordance with the requirements set out in section 55 and the technical and administrative specifications required by a provincial safety manager 

Part B: Regulatory Authority to Perform Audits

 

Safety Standards Act 

Definitions 

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 Audits 

Audits are utilized by Technical Safety BC to assess a duty holder’s level of compliance with the Safety Standards Act and Regulations of British Columbia. 

Technical Safety BC audit candidates (auditees) selection include but are not limited to the following methods: 

  • Where an investigation or event warrants further follow-up by Technical Safety BC.
  • Where special requirements need to be met for Licensing approval.
  • Where Plant Registration and Operations are required.
  • To gain a better understanding of an organization’s participation and connection to the safety system 

Factors which may lead to the initiation of an Audit include but are not limited to: 

  • Application submitted for Boiler License;
  • Plant is registered as a general supervision status plant operation;
  • Subsequent finding of non-compliance after having been issued a compliance or enforcement tool (i.e. 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;
  • Evidence collected to date suggests that further non-compliances may be discovered.
  • Random Compliance Audit selection process

Note: Audits may subject to administrative fees. For more information on Technical Safety BC audit fees, please see the appropriate technology fee schedule by visiting our website Homepage | Technical Safety BC.

References:

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