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NCSO > Auditor Training Program > Flashcards

Auditor Training Program Flashcards

1
Q

Describe what Certifying Partner Instruments have in common.

A

All audit instruments must meet the GoA/PIR standard

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2
Q

Describe the COR audit cycle.

A

Year 1 - Certification audit
Years 2&3 - Maintenance audits

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3
Q

Define the eligibility criteria for COR.

A

At least 12 months of documented records

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4
Q

Define the term audit.

A

An evaluation of an organization’s health and safety management system against an approved standard

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5
Q

State the purpose of auditing.

A

To find HSMS strengths and opportunities for improvement.

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6
Q

Identify four common types of COR audits.

A
  • Baseline
  • Auditor Qualification (Self Qualification)
  • COR Maintenance
  • COR Certification
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7
Q

List audit methods.

A

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

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8
Q

Define the term auditor.

A

An individual certified by a certifying partner to conduct health and safety audits

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9
Q

Match auditors and employers (auditees) with their roles and responsibilities.

A
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10
Q

Describe the impact of failing to follow through on auditor accountabilities.

A
  • 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
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11
Q

Identify the elements of the ACSA Audit Instrument.

A
  1. Management Commitment
  2. Public, Visitors and Contracted Employers
  3. Health and Safety Committees / Health and Safety Representatives
  4. Training
  5. Hazard Assessment
  6. Hazard Control
  7. Inspections and Maintenance
  8. Emergency Response
  9. Investigations
  10. Program Administration
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12
Q

List the three (3) validation techniques.

A

DIO
- Documents
- Interviews
- Observations

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13
Q

List the four (4) levels of employees that the auditor must interview for an audit.

A

Senior Manager
Manager
Supervisor
Worker

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14
Q

Identify sampling techniques for each validation technique.

A
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15
Q

Differentiate between all or nothing (A/N) and range scoring.

A

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

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16
Q

State the scoring requirements for audit certification and maintenance.

A

Certification - Minimum 80% overall and no less than 50% in each element

Maintenance - Must score 60% overall

17
Q

Differentiate between field and validation notes.

A

Field notes give the author information to write comments and score each question

Validation note give the employer context for the score

18
Q

Identify validation note criteria.

A
  • 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
19
Q

Describe why boilerplating and templating are unacceptable practices.

A

Validation notes should reflect what the auditor reviewed and be written in the auditor’s own words

20
Q

Describe what the pre-audit meeting agenda should include.

A
  • Purpose of the audit
  • Audit process
  • Expected outcomes
  • Wrap-up meeting
  • Confidentiality of process
  • Auditor ethics
  • Audit schedule
21
Q

Differentiate between Site Familiarization and Observation tours.

A

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

22
Q

Identify the benefit of following a documentation trail.

A

Following the trail of information answers multiple audit questions

23
Q

Identify listening skills.

A

Eye contact
Paraphrase
Respond Appropriately
Ask Questions

24
Q

Describe how observations verify documentation and interview results.

A

By seeing the activities noted in documents are taking place and confirm answers heard in interviews

25
Q
  1. Describe the key points for discussion at the post audit meeting
A
  • 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
26
Q
  1. Describe the key points for discussion at the post audit meeting
A
  • 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
27
Q
  1. List the three criteria for a suggestion for improvement (SFI)
A
  • 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
28
Q
  1. List the steps in the ACSA quality assurance process
A
  1. Auditor completes the audit submission checklist
  2. The ACSA confirms standards have been met
  3. The auditor amends the audit and resubmits audit if required (up to three times as necessary)
29
Q
  1. List the training requirements for auditor certification
A

Principles of Health and Safety Management

Auditor Training Program

30
Q
  1. List the training requirements for COR certification
A

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

31
Q
  1. Identify the requirements for auditor certification and maintenance
A

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

32
Q
  1. Identify the requirements for auditor certification and maintenance
A

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

33
Q

State what auditors must do if their certification lapses

A

Must start the auditor certification process from the beginning

34
Q
  1. Describe limited scope audits
A

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

35
Q
  1. Describe action plans
A

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

NCSO (5 decks)

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