Auditor Training Program Flashcards
Describe what Certifying Partner Instruments have in common.
All audit instruments must meet the GoA/PIR standard
Describe the COR audit cycle.
Year 1 - Certification audit
Years 2&3 - Maintenance audits
Define the eligibility criteria for COR.
At least 12 months of documented records
Define the term audit.
An evaluation of an organization’s health and safety management system against an approved standard
State the purpose of auditing.
To find HSMS strengths and opportunities for improvement.
Identify four common types of COR audits.
- Baseline
- Auditor Qualification (Self Qualification)
- COR Maintenance
- COR Certification
List audit methods.
Limited Scope - focus on or or couple elements from audit instrument.
Action Plans (COR Maintenance) - alternative to conducting an audit; designed to implement suggestions for improvement from previous audits
Multiple Account - more than one WCB account number covered in scope of audit. (Larger companies)
Team Audits - more than one auditor
Define the term auditor.
An individual certified by a certifying partner to conduct health and safety audits
Match auditors and employers (auditees) with their roles and responsibilities.
Describe the impact of failing to follow through on auditor accountabilities.
- May be subject to auditor discipline, including having to to retake training
- May face suspension
- May be decertified as an auditor
- May be removed from the consultant auditor list (if applicable)
- Damage to professional reputation
Identify the elements of the ACSA Audit Instrument.
- Management Commitment
- Public, Visitors and Contracted Employers
- Health and Safety Committees / Health and Safety Representatives
- Training
- Hazard Assessment
- Hazard Control
- Inspections and Maintenance
- Emergency Response
- Investigations
- Program Administration
List the three (3) validation techniques.
DIO
- Documents
- Interviews
- Observations
List the four (4) levels of employees that the auditor must interview for an audit.
Senior Manager
Manager
Supervisor
Worker
Identify sampling techniques for each validation technique.
Differentiate between all or nothing (A/N) and range scoring.
A/N scoring verifies the existence of a document.
Range scoring measures something in the question or when there are several things within the HSMS to consider
A/N - indicated by comma between zero and possible score
Range - dash between lowest and highest possible scores
State the scoring requirements for audit certification and maintenance.
Certification - Minimum 80% overall and no less than 50% in each element
Maintenance - Must score 60% overall
Differentiate between field and validation notes.
Field notes give the author information to write comments and score each question
Validation note give the employer context for the score
Identify validation note criteria.
- Answer the audit question
- Justify the points awarded or withheld (including no quantification of positive indicators)
- Identify the validation technique used
- Ensure all validation note criteria from the audit question is represented
- Be professional in style and content
- Give at least one company specific example
Describe why boilerplating and templating are unacceptable practices.
Validation notes should reflect what the auditor reviewed and be written in the auditor’s own words
Describe what the pre-audit meeting agenda should include.
- Purpose of the audit
- Audit process
- Expected outcomes
- Wrap-up meeting
- Confidentiality of process
- Auditor ethics
- Audit schedule
Differentiate between Site Familiarization and Observation tours.
Site familiarization - brief escorted tour to become familiar with work site(s)
Observation - validation method designed to allow an auditor to observe and verify specific conditions at a work site
Identify the benefit of following a documentation trail.
Following the trail of information answers multiple audit questions
Identify listening skills.
Eye contact
Paraphrase
Respond Appropriately
Ask Questions
Describe how observations verify documentation and interview results.
By seeing the activities noted in documents are taking place and confirm answers heard in interviews
- Describe the key points for discussion at the post audit meeting
- Thank employer
- Restate how program was verified using DIO
- Invite questions during review process, objectively defend results
- Give credit and recognition for efforts
- Include site locations visited and number of employees interviewed
- Emphasize successful elements of HSMS
- Make reasonable/practical recommendations for improvement
- Explain the audit score s presented after QA process
- Recommend dev/implementation of an action plan
- Inform the company that all materials have been returned
- Explain next steps in process
- Explain that auditor is contacted if revisions needed
- When QA review is approved, company will be notified
- Describe the key points for discussion at the post audit meeting
- Thank employer
- Restate how program was verified using DIO
- Invite questions during review process, objectively defend results
- Give credit and recognition for efforts
- Include site locations visited and number of employees interviewed
- Emphasize successful elements of HSMS
- Make reasonable/practical recommendations for improvement
- Explain the audit score s presented after QA process
- Recommend dev/implementation of an action plan
- Inform the company that all materials have been returned
- Explain next steps in process
- Explain that auditor is contacted if revisions needed
- When QA review is approved, company will be notified
- List the three criteria for a suggestion for improvement (SFI)
- Must state what was missing in relation to an audit question
- Must offer a suggestion on how to address the deficiency
- Must state why fixing the deficiency is important to the HSMS
- List the steps in the ACSA quality assurance process
- Auditor completes the audit submission checklist
- The ACSA confirms standards have been met
- The auditor amends the audit and resubmits audit if required (up to three times as necessary)
- List the training requirements for auditor certification
Principles of Health and Safety Management
Auditor Training Program
- List the training requirements for COR certification
One f/t employee must be a certified auditor
One or more employees must complete - Alberta Occupational Health and Safety Legislation Awareness &
Leadership for Safety Excellence
- Identify the requirements for auditor certification and maintenance
Must submit a qualification audit within 66 days following last day of training for certification
Must take ATO recertification every three years. Must submit at least one audit each year following auditor training
- Identify the requirements for auditor certification and maintenance
Must submit a qualification audit within 66 days following last day of training for certification
Must take ATO recertification every three years. Must submit at least one audit each year following auditor training
State what auditors must do if their certification lapses
Must start the auditor certification process from the beginning
- Describe limited scope audits
Audits that evaluate one or more elements from the audit instrument. Typically focus on missing documentation and help employers to achieve their COR without having to plan another full audit
- Describe action plans
Plans based on suggestions made in audit reports, assign responsibility for corrective actions to individual by a certain date
maintenance action plan is formalized plan that auditor submits to ACSA for approval prior to implementation
