Management System and Protection Program Audit Protocols
Management System and Protection Program Audit Protocols [PDF 1085 KB]
Version 1.1.0
In accordance with the Canadian Energy Regulator Onshore Pipeline Regulations
June 1, 2021
Table of Contents
- Establish and implement a process for setting objectives and targets for goals for annual review – OPR 6.5(1)(a)
- Develop Performance Measures to evaluate – OPR 6.5(1)(b)
- Establish and Implement a process for Identifying and Analyzing Hazards – OPR 6.5(1)(c)
- Establish and maintain an inventory of the identified hazards and potential hazards – OPR 6.5(1)(d)
- Establish and implement a process for evaluating risks and hazards – OPR 6.5(1)(e)
- Establish and implement a process for evaluating risks and hazards – OPR 6.5(1 )(f)
- Establish and implement a process for identifying and monitoring compliance – OPR 6.5(1)(g)
- Establish and maintain a list of those legal requirements – OPR 6.5(1)(h)
- Establish and implement a process for identifying and managing change – OPR 6.5(1)(i)
- Establish and implement a process for developing competency requirements and training programs – OPR 6.5(1)(j)
- Establish and implement a process for verifying that employees are are trained – OPR 6.5(1)(k)
- Establish and implement a process for making employees aware of their responsibilities – OPR 6.5(1)(l)
- Establish and implement a process for internal and external communication of information – OPR 6.5(1)(m)
- Establish and implement a process for identifying the documents required for the company to meet Regulations – OPR 6.5(1)(n)
- Establish and implement a process for preparing, reviewing, revising and controlling documents – OPR 6.5(1)(o)
- Establish and implement a process for generating, retaining, and maintaining records – OPR 6.5(1)(p)
- Establish and implement a process for coordinating and controlling the operatinal activities of employees – OPR 6.5(1)(q)
- Establish and implement a process for internal reporting of hazards for corrective actions – OPR 6.5(1)(r)
- Establish and maintain a data management system for monitoring and analyzing trends of hazards – OPR 6.5(1)(s)
- Establish and implement a process for developing contingency plans for abnormal events – OPR 6.5(1)(t)
- Establish and implement a process for inspecting and monitoring company activities for effectiveness – OPR 6.5(1)(u)
- Establish and implement a process for evaluating the adequacy and effectiveness of company’s management system – OPR 6.5(1)(v)
- Establish and implement a quality assurance program – OPR 6.5(1)(w)
- Establish and implement a process for conducting an annual management review – OPR 6.5(1)(x)
Establish and implement a process for setting objectives and targets for goals for annual review – OPR 6.5(1)(a)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(a) establish and implement a process for setting the objectives and specific targets that are required to achieve the goals established under subsection 6.3(1) and for ensuring their annual review.
For reference, subsection 6.3(1) requires the company establish documented policies and goals to ensure that the purposes referred to in paragraphs 6(a) to (c) are achieved and that its obligations under the Onshore Pipeline Regulations are met. The policies and goals shall include
- (a) Policy for the internal reporting of hazards, potential hazards, incidents and near-misses that includes the circumstances, in addition to those set out in the Canada Labour Code, under which a person who makes a report will be immune from disciplinary procedures; and
- (b) Goals for the prevention of ruptures, liquid and gas releases, fatalities and injuries and for the response to incidents and emergency situations.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company has set objectives and targets that are required to achieve the goals established under subsection 6.3(1).
- All objectives are relevant to the company’s management system when considering the scope of the process and their application to s. 55 programs.
- An annual review of the objectives and targets is performed by the company.
- The review determines if the objectives were achieved or if corrective or preventive actions are needed.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(a) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(a) establish and implement a process for setting the objectives and specific targets that are required to achieve the goals established under subsection 6.3(1) and for ensuring their annual review.
For reference, subsection 6.3(1) requires the company establish documented policies and goals to ensure that the purposes referred to in paragraphs 6(a) to (c) are achieved and that its obligations under the Onshore Pipeline Regulations are met. The policies and goals shall include
- (a) Policy for the internal reporting of hazards, potential hazards, incidents and near-misses that includes the circumstances, in addition to those set out in the Canada Labour Code, under which a person who makes a report will be immune from disciplinary procedures; and
- (b) Goals for the prevention of ruptures, liquid and gas releases, fatalities and injuries and for the response to incidents and emergency situations.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for paragraph 6.5(1)(a). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company in support of its process for setting objectives and specific targets. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Demonstrate through records that the process has been used as intended for a minimum three (3) months. |
<insert response> |
6 |
Make available documents and records to demonstrate the annual review by company management of the objectives and specific targets and any actions taken to address those areas where the company did not meet the objectives or targets. |
<insert response> |
Develop Performance Measures to evaluate – OPR 6.5(1)(b)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(b) develop performance measures for evaluating the company’s success in achieving its goals, objectives and targets.
Table 1 – Guidance
Outcomes:
- The company has developed performance measures that are relevant to its documented goals, objectives, and targets.
- The following two items will be confirmed in connection with the company’s annual report per paragraph 6.6(1)(b):
- The performance measures support the ability to assess the achievement of the company’s goals, objectives, and targets.
- The company applies the performance measures to assess its success in achieving its goals, objectives and targets.
Develop |
Assess |
---|---|
To be compliant, ensure the following are addressed:
In addition to the above requirements to demonstrate the performance measures are developed, demonstrate the following content and linkages to other management system elements:
|
To meet the requirements of this paragraph and part of paragraph 6.6(1)(a), ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(b) develop performance measures for evaluating the company’s success in achieving its goals, objectives and targets.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented performance measures for paragraph 6.5(1)(b). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for developing performance measures. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Demonstrate through records that this management system requirement has been used as intended for a minimum three (3) months. |
<insert response> |
6 |
Pursuant to paragraph 6.6(1)(b) make available documents and records to demonstrate the annual review by company management of the performance measures. |
<insert response> |
Establish and Implement a Process for Identifying and Analyzing Hazards – OPR 6.5(1)(c)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(c) establish and implement a process for identifying and analyzing all hazards and potential hazards.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The methods for identification of hazards and potential hazards are appropriate for the nature, scope, scale, and complexity of the company’s operations, activities and s. 55 programs.
- The identification of hazards and potential hazards must include the full life cycle of the pipeline
- The company has comprehensively identified and analyzed all relevant hazards and potential hazards.
- The hazards and potential hazards have been identified for the company’s scope of operations through the lifecycle of the pipelines.
- The identified hazards and potential hazards have been analyzed for the type and severity of their consequences.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(c) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(c) establish and implement a process for identifying and analyzing all hazards and potential hazards.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(c). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for identifying and analyzing hazards. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 | Make available records and documents to demonstrate how the company uses a variety of methods to identify hazards such as, but not limited to, HAZOPS and Field Level Hazard Assessments. | |
5 | Make available records and documents to demonstrate how the company will analyze all identified hazards. | <insert response> |
6 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
7 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
8 | Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
9 |
Demonstrate through records that the process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and maintain an inventory of the identified hazards and potential hazards – OPR 6.5(1)(d)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(d) establish and maintain an inventory of the identified hazards and potential hazards
Table 1 – Guidance
Outcomes:
- The company has a compliant inventory that is established and maintained.
- The inventory includes hazards and potential hazards associated within the company’s scope of operations and activities through the lifecycle of the pipelines.
- Hazards and potential hazards are identified across all s. 55 programs.
- The inventory has been maintained, it is current, and is up-to-date including changes made to company operations and activities.
- The inventory is being used as part of the risk evaluation and controls processes.
Inventory |
Established | Maintained |
Implemented |
---|---|---|---|
To be a compliant inventory, ensure the following are addressed:
|
To meet the requirements for established, ensure the following are addressed:
|
To meet the requirements for maintained, ensure the following are addressed:
In addition to the above requirements the following needs to be addressed:
|
To demonstrate that the requirements are implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(d) establish and maintain an inventory of the identified hazards and potential hazards
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s inventory for s. 6.5(1)(d). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the inventory. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how the inventory applies to all OPR s. 55 programs. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
6 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
7 |
Demonstrate through records that the inventory has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for evaluating risks and hazards – OPR 6.5(1)(e)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(e) establish and implement a process for evaluating the risks associated with the identified hazards, including the risks related to normal and abnormal operating conditions.
Table 1 – Guidance
Outcomes:
- The company has a compliant process for evaluating risks that is established and implemented.
- The method(s) for risk evaluation confirm that the risks associated with the identified hazards (related to normal and abnormal operating conditions) are based on referenced regulatory standards and are appropriate for the nature, scope, scale, and complexity of the company’s operations, activities, and are connected to the purposes and intended outcomes of the s. 55 programs.
- Risks are evaluated for all hazards and potential hazards and include normal and abnormal conditions.
- Risk levels are monitored on a periodic basis and as-needed, and re-evaluated for changing circumstances.
- Risk tolerance/acceptance criteria is determined for all hazards and potential hazards.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR s. 6.5(1)(e) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(e) establish and implement a process for evaluating the risks associated with the identified hazards, including the risks related to normal and abnormal operating conditions
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(e). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the process. Examples could be procedures or |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each OPR |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
6 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
7 |
Demonstrate through records that the inventory and process or other requirement have been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for evaluating risks and hazards – OPR 6.5(1 )(f)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(f) establish and implement a process for developing and implementing controls to prevent, manage and mitigate the identified hazards, potential hazards and the risks and for communicating those controls to anyone who is exposed to the risks
Table 1 – Guidance
Outcomes:
- The company has a compliant process for developing and implementing controls.
- The method(s) for developing controls are appropriate for the nature, scope, scale, and complexity of the company’s operations and activities and s. 55 programs.
- Controls are developed and implemented.
- Controls are adequate to prevent, manage and mitigate the identified hazards and risks.
- Controls are monitored on a periodic basis and as-needed and re-evaluated for changing circumstances.
- Controls are communicated to those exposed to the risks.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR s. 6.5(1)(f) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(f) establish and implement a process for developing and implementing controls to prevent, manage and mitigate the identified hazards, potential hazards and the risks and for communicating those controls to anyone who is exposed to the risks
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(f). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the controls process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
6 |
Make available records and documents to demonstrate how your company addresses the following:
|
<insert response> |
7 |
Demonstrate through records that the process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for identifying and monitoring compliance – OPR 6.5(1)(g)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(g) establish and implement a process for identifying, and monitoring compliance with, all legal requirements that are applicable to the company in matters of safety, security and protection of the environment.
Table 1 – Guidance
Outcomes:
- The company has a compliant process for identifying and monitoring compliance with legal requirements.
- The method(s) for identifying and monitoring compliance with legal requirements are appropriate for the nature, scope, scale, and complexity of the company’s operations and activities and s. 55 programs.
- The identification of legal requirements includes an adequate method to identify all of the applicable regulations and standards, including CER orders and conditions, to the clause level.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR s. 6.5(1)(g) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(g) establish and implement a process for identifying, and monitoring compliance with, all legal requirements that are applicable to the company in matters of safety, security and protection of the environment.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(g). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Demonstrate through records that the process has been used as intended for a minimum three (3) months. |
<insert response> |
6 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
Establish and maintain a list of those legal requirements – OPR 6.5(1)(h)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(h) establish and maintain a list of those legal requirements.
Table 1 – Guidance
Outcomes:
- The company has established and maintained a list of legal requirements.
- The list has been communicated to appropriate personnel.
- The list has been maintained and is up-to-date based on the company scope of operations, its activities, including new and existing legal requirements.
- The list includes all legal requirements for all s. 55 programs.
- The legal list has been developed to the clause level of the applicable regulation and standards.
Established |
Maintained |
Implemented |
---|---|---|
To demonstrate that the documentation is established, ensure the following are addressed:
|
To meet the requirements for maintained, ensure the following are addressed:
|
To demonstrate that the list of legal requirements is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(h) establish and maintain a list of those legal requirements.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented list for s. 6.5(1)(h). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the established and maintained list. |
<insert response> |
3 |
Make available documentation or records of how this is being integrated with each OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company addresses the following:
|
<insert response> |
5 |
Demonstrate through records that the inventory has been used as intended for a minimum three (3) months. |
<insert response> |
6 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
Establish and implement a process for identifying and managing change – OPR 6.5(1)(i)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(i) establish and implement a process for identifying and managing any change that could affect safety, security or the protection of the environment, including any new hazard or risk, any change in a design, specification, standard or procedure and any change in the company’s organizational structure or the legal requirements applicable to the company.
Table 1 – Guidance
Outcomes:
- The company has a compliant process for identifying and managing change.
- Methods are defined to identify and manage change.
- Impacts to the company management system and s. 55 programs are identified and assessed.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(i) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(i) establish and implement a process for identifying and managing any change that could affect safety, security or the protection of the environment, including any new hazard or risk, any change in a design, specification, standard or procedure and any change in the company’s organizational structure or the legal requirements applicable to the company.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(i). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the management of change process. Examples could be |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company will perform an assessment of change including:
|
<insert response> |
5 |
Make available records and documents to demonstrate how the company will manage and implement the changes; |
<insert response> |
6 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
7 |
Demonstrate through records that the process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for developing competency requirements and training programs – OPR 6.5(1)(j)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(j) establish and implement a process for developing competency requirements and training programs that provide employees and other persons working with or on behalf of the company with the training that will enable them to perform their duties in a manner that is safe, ensures the safety and security of the pipeline and protects the environment.
Table 1 – Guidance
Outcomes:
- The company has a compliant process for developing competency requirements and training programs.
- The company has defined what competency requirements are required.
- Training programs are traceable and trackable to the defined competency requirements and effective at achieving the desired competencies.
- Employees and those working on behalf of the company are competent to carry out their assigned work.
- Persons working with or on behalf of the company are provided with adequate training applicable to s. 55 programs and the management system.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(j) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(j) establish and implement a process for developing competency requirements and training programs that provide employees and other persons working with or on behalf of the company with the training that will enable them to perform their duties in a manner that is safe, ensures the safety and security of the pipeline and protects the environment.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(j). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the competency and training process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company develops competency requirements. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the competency requirements and training programs have been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for verifying that employees are are trained – OPR 6.5(1)(k)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(k) establish and implement a process for verifying that employees and other persons working with or on behalf of the company are trained and competent and for supervising them to ensure that they perform their duties in a manner that is safe, ensures the safety and security of the pipeline and protects the environment.
Table 1 – Guidance
Outcomes:
- The company has a compliant process for verifying employees and other persons working with or on behalf of the company are trained and competent.
- Records are maintained demonstrating employees and other persons working on behalf of the company are trained and competent as applicable to s. 55 programs.
- The company has a compliant process for supervising employees and other persons working on behalf of the company.
- Supervision of employees and other persons working with or on behalf of the company is adequate to ensure they perform their duties in a manner that is safe, ensures the security of the pipeline and protects the environment.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(k) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(k) establish and implement a process for verifying that employees and other persons working with or on behalf of the company are trained and competent and for supervising them to ensure that they perform their duties in a manner that is safe, ensures the safety and security of the pipeline and protects the environment.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(k). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the verification of training and competency process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company verifies training. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company verifies competency requirements. |
<insert response> |
6 |
Make available records and documents to demonstrate how the company supervises employees and others working on behalf of the company. |
<insert response> |
7 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
8 |
Demonstrate through records that the verification process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for making employees aware of their responsibilities – OPR 6.5(1)(l)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(l) establish and implement a process for making employees and other persons working with or on behalf of the company aware of their responsibilities in relation to the processes and procedures required by this section.
Table 1 – Guidance
Outcomes:
- The company has a compliant process for making employees and other persons aware of their responsibilities.
- Responsibilities are defined for employees and those other persons working on behalf of the company in relation to the processes and other requirements for OPR s. 6.5.(1) a-x.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(l) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(l) establish and implement a process for making employees and other persons working with or on behalf of the company aware of their responsibilities in relation to the processes and procedures required by this section.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(l). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the awareness of responsibilities process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company makes employees and other persons working with or on behalf of the company aware of their responsibilities. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the awareness process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for internal and external communication of information – OPR 6.5(1)(m)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(m) establish and implement a process for the internal and external communication of information relating to safety, security and protection of the environment.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The methods for both internal communication and external communication are defined.
- The company is communicating internally and externally related to safety, security and protection of the environment.
- Internal and external communication is occurring and it is adequate for the management system and s. 55 program implementation.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR s. 6.5(1)(m) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(m) establish and implement a process for the internal and external communication of information relating to safety, security and protection of the environment.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(m). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the internal and external communication process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company performs internal and external communication. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the internal and external communication process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for identifying the documents required for the company to meet Regulations – OPR 6.5(1)(n)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(n) establish and implement a process for identifying the documents required for the company to meet its obligations under these Regulations.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The methods for identifying the documents required are defined.
- Documents required for the company to meet its obligations under these Regulations are identified.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(n) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(n) establish and implement a process for identifying the documents required for the company to meet its obligations under these Regulations.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(n). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company identifies documents required to meet obligations under these Regulations. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the process for identifying required documents has been used as intended for a minimum three (3) months. |
|
Establish and implement a process for preparing, reviewing, revising and controlling documents – OPR 6.5(1)(o)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(o) establish and implement a process for preparing, reviewing, revising and controlling those documents, including a process for obtaining approval of the documents by the appropriate authority.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The methods for preparing, reviewing, revising and controlling those documents are defined for the management system and s. 55 programs.
- Company personnel, who have a defined need, have adequate access to the identified documents.
- Documents are managed and controlled using the defined process.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(o) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(o) establish and implement a process for preparing, reviewing, revising and controlling those documents, including a process for obtaining approval of the documents by the appropriate authority.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(o). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the document management process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company prepares, reviews, revises and controls documents. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the manage documents process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for generating, retaining, and maintaining records – OPR 6.5(1)(p)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(p) establish and implement a process for generating, retaining and maintaining records that document the implementation of the management system and the programs referred to in section 55 and for providing access to those who require them in the course of their duties.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company has defined its methods for generating, retaining, and maintaining records.
- Records are documented to demonstrate how the company is implementing its management system and the programs listed in section 55.
- Records are retained so they are traceable and trackable.
- Relevant personnel have adequate access to the records.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(p) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(p) establish and implement a process for generating, retaining and maintaining records that document the implementation of the management system and the programs referred to in section 55 and for providing access to those who require them in the course of their duties.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(p). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the records process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company generates, retains and maintains documents. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the records process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for coordinating and controlling the operational activities of employees – OPR 6.5(1)(q)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(q) establish and implement a process for coordinating and controlling the operational activities of employees and other people working with or on behalf of the company so that each person is aware of the activities of others and has the information that will enable them to perform their duties in a manner that is safe, ensures the safety and security of the pipeline and protects the environment.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The methods for coordinating and controlling operational activities are defined.
- Employees and other people working with or on behalf of the company are aware of the activities of others.
- Employee’s operational activities are planned, coordinated, controlled, and managed.
- People working for or on behalf of the company:
- are pre-qualified for their assigned duties to ensure safety, the security of the pipeline and to protect the environment;
- are assigned work plans that have been reviewed by the company and are assessed for the interoperation with the work to be performed by other people working on behalf of the company; and
- have adequate oversight performed by company representatives for their assigned tasks to ensure safety, security of the pipeline and the protection of the environment.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(q) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(q) establish and implement a process for coordinating and controlling the operational activities of employees and other people working with or on behalf of the company so that each person is aware of the activities of others and has the information that will enable them to perform their duties in a manner that is safe, ensures the safety and security of the pipeline and protects the environment.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(q). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the operational control process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company coordinates operational activities of employees. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company coordinates operational activities of other people working with or on behalf of the company. |
<insert response> |
6 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
7 |
Demonstrate through records that the operational control process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for internal reporting of hazards for corrective actions – OPR 6.5(1)(r)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(r) establish and implement a process for the internal reporting of hazards, potential hazards, incidents and near-misses and for taking corrective and preventive actions, including the steps to manage imminent hazards.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company has defined its methods for internal reporting of hazards, potential hazards, incidents and near-misses.
- Hazards and potential hazards are being reported as required by the company’s process.
- Incidents and near-misses are being reported as required by the company’s process.
- The company has defined how it will manage imminent hazards.
- The company is performing incident and near-miss investigations.
- The company’s investigation methodologies are consistent and appropriate for the scope and scale of the actual and potential consequences of the incidents or near misses to be investigated.
- The company has defined the methods for taking corrective and preventive actions.
- The company can demonstrate through records that all corrective and preventative actions can be tracked to closure.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(r) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(r) establish and implement a process for the internal reporting of hazards, potential hazards, incidents and near-misses and for taking corrective and preventive actions, including the steps to manage imminent hazards.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(r). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the reporting and investigation process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company internally reports hazards, potential hazards, incidents and near-misses. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company takes corrective and preventive actions. |
<insert response> |
6 |
Make available records and documents to demonstrate how the company performs investigations. |
<insert response> |
7 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
8 |
Demonstrate through records that the reporting and investigation process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and maintain a data management system for monitoring and analyzing trends of hazards – OPR 6.5(1)(s)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(s) establish and maintain a data management system for monitoring and analyzing the trends in hazards, incidents and near-misses.
Table 1 – Guidance
Outcomes:
- The company has established and maintains a data management system.
- The company’s data management system can demonstrate all information is traceable and trackable to its hazards, incidents and near misses.
- The company is analyzing and trending data collected from hazards, incidents and near-misses.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above requirements, the documented steps for OPR paragraph 6.5(1)(s) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(s) establish and maintain a data management system for monitoring and analyzing the trends in hazards, incidents and near-misses.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s data management system for s. 6.5(1)(s). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the data management system. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how the system applies to all OPR s. 55 programs. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company’s data management system monitors and analyzes trends. |
<insert response> |
5 |
Demonstrate that the data management system has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the data management system has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for developing contingency plans for abnormal events – OPR 6.5(1)(t)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(t) establish and implement a process for developing contingency plans for abnormal events that may occur during construction, operation, maintenance, abandonment or emergency situations.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company has methods for developing contingency plans for abnormal events that include construction, operations, maintenance, abandonment, and emergency situations.
- The company’s contingency plans are developed, maintained, and apply to all s. 55 programs.
- The company has the ability to implement contingency plans when required, for one or all s. 55 programs at the same time.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR s. 6.5(1)(t) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(t) establish and implement a process for developing contingency plans for abnormal events that may occur during construction, operation, maintenance, abandonment or emergency situations.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(t). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the contingency plan process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company develops contingency plans for abnormal events for the life cycle of a pipeline and emergency situations. |
<insert response> |
5 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
6 |
Demonstrate through records that the contingency plan process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for inspecting and monitoring company activities for effectiveness – OPR 6.5(1)(u)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(u) establish and implement a process for inspecting and monitoring the company’s activities and facilities to evaluate the adequacy and effectiveness of the programs referred to in section 55 and for taking corrective and preventive actions if deficiencies are identified.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company has developed methods for inspecting and monitoring their activities and facilities.
- The company has developed methods to evaluate the adequacy and effectiveness of the programs referred to in s. 55.
- The company has developed methods for taking corrective and preventive actions when deficiencies are identified.
- The company is completing inspections and monitoring activities as per the company’s process.
- The company retains records of inspections, monitoring activities, and corrective and preventive actions implemented by the company.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(u) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(u) establish and implement a process for inspecting and monitoring the company’s activities and facilities to evaluate the adequacy and effectiveness of the programs referred to in section 55 and for taking corrective and preventive actions if deficiencies are identified.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(u). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the inspection and monitoring process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company inspects and monitors company’s activities and facilities. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company evaluates the adequacy and effectiveness of the s. 55 programs. |
<insert response> |
6 |
Make available records and documents to demonstrate that the company is taking corrective and preventive actions if deficiencies are identified. |
<insert response> |
7 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
8 |
Demonstrate through records that the inspection and monitoring process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for evaluating the adequacy and effectiveness of company’s management system – OPR 6.5(1)(v)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(v) establish and implement a process for evaluating the adequacy and effectiveness of the company’s management system and for monitoring, measuring and documenting the company’s performance in meeting its obligations under these Regulations.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company has developed methods for evaluating the adequacy and effectiveness of their management system.
- The company’s management system has been evaluated for adequacy and effectiveness.
- The company’s performance in meeting its obligations under these Regulations has been monitored, measured and is documented.
- The company has implemented corrective actions based on the results of its monitoring and measuring the adequacy and performance of its management system.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(v) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(v) establish and implement a process for evaluating the adequacy and effectiveness of the company’s management system and for monitoring, measuring and documenting the company’s performance in meeting its obligations under these Regulations.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(v). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the adequacy and effective process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company evaluates the adequacy and effectiveness of the company’s management system. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company monitors, measures and documents the company’s performance in meeting the obligations under these Regulations. |
<insert response> |
6 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
7 |
Demonstrate through records that the evaluation and monitoring process has been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a quality assurance program – OPR 6.5(1)(w)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(w) establish and implement a quality assurance program for the management system and for each program referred to in section 55, including a process for conducting audits in accordance with section 53 and for taking corrective and preventive actions if deficiencies are identified.
Table 1 – Guidance
Outcomes:
- The company has a compliant quality assurance program.
- The quality assurance program comprises an integrated set of processes and procedures including inspections, monitoring, and auditing activities.
- The company’s quality assurance program tests the adequacy and effectiveness of its management system.
- The company’s quality assurance program examines each program referred to in section 55.
- The company’s quality assurance program conducts compliance and program audits as well as inspections.
- The company’s quality assurance program takes corrective and preventive actions if deficiencies are identified.
- The company regularly monitors and evaluates its quality assurance program to check that the program is achieving the intended results.
- The company retains records of the quality assurance program monitoring, evaluation and completion of corrective and preventive actions.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(w) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
|
To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(w) establish and implement a quality assurance program for the management system and for each program referred to in section 55, including a process for conducting audits in accordance with section 53 and for taking corrective and preventive actions if deficiencies are identified.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(w). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for its quality program. |
<insert response> |
3 |
Make available documentation or records of how this program is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company conducts OPR s.53 audits. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company takes corrective and preventive actions for deficiencies. |
<insert response> |
6 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
7 |
Demonstrate through records that the quality assurance program and audits have been used as intended for a minimum three (3) months. |
<insert response> |
Establish and implement a process for conducting an annual management review – OPR 6.5(1)(x)
OPR s. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(x) establish and implement a process for conducting an annual management review of the management system and each program referred to in section 55 and for ensuring continual improvement in meeting the company’s obligations under these regulations.
Table 1 – Guidance
Outcomes:
- The company has a compliant process that is established and implemented.
- The company’s methods for conducting the management review are defined.
- The company has defined methods for reviewing the management system and each s. 55 program.
- The company has maintained records to demonstrate the achievement of meeting obligations under these Regulations is continually improved;
- The company has identified, developed, and implemented corrective actions as part of its continual improvement.
Process |
Established |
Implemented |
---|---|---|
To be compliant, ensure the process addresses the following:
In addition to the above process definition requirements, the documented process steps for OPR paragraph 6.5(1)(x) must include the following content and linkages to other management system elements:
|
To demonstrate that the process is established, ensure the following are addressed:
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To demonstrate that the process is implemented, ensure the following are addressed:
|
Table 2 – Information Request
OPR subsection. 6.5(1) A company shall, as part of its management system and the programs referred to in section 55,
(x) establish and implement a process for conducting an annual management review of the management system and each program referred to section 55 and for ensuring continual improvement in meeting the company’s obligations under these regulations.
Information Request Reference Number |
Information Request |
Company ResponseTable Note a |
---|---|---|
1 |
Make available the company’s documented process for s. 6.5(1)(x). |
<insert response> |
2 |
Make available any other relevant supporting documentation or records used by the company for the management review process. Examples could be procedures or work instructions. |
<insert response> |
3 |
Make available documentation or records of how this process is being integrated with each applicable OPR s. 55 program. |
<insert response> |
4 |
Make available records and documents to demonstrate how the company conducts the annual management review. |
<insert response> |
5 |
Make available records and documents to demonstrate how the company conducts the annual management review for each program in s. 55. |
<insert response> |
6 |
Make available records and documents to demonstrate how the company ensures continual improvement for meeting its obligations under these Regulations. |
<insert response> |
7 |
Demonstrate that the documented process has been approved for minimum three (3) months. |
<insert response> |
8 |
Demonstrate through records that the annual management review process has been used as intended for a minimum three (3) months. |
<insert response> |
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