home

Auditor Updates

Stay in the know about news on Certificate of Recognition, Partnerships in Injury Reduction, Audits, etc.

COR Communication - January 2020

January COR Communication
 

In this issue:

  • 2020 Audit Year
  • Use of External Auditors

2020 Audit Year

All members who hold COR certificates, will be sent a letter providing information of where the organization is within the COR audit cycle and what is required for 2020.    

COR Audit cycle – what year is your organization in?

COR Certificates have a COR certification number.  This number is the COR expiry date plus 4 unique numbers.  For example, if your audit data gathering ended May 6, 2019 your COR certification number would be 20190506-XXXX.

Members with COR certification number beginning with the year 2017, such as 20170506-XXXX, this is the COR Recertification year, which means:

  • An external audit needs to be conducted by a CCSA certified auditor from outside the organization.  Click Here for list of CCSA External Auditors. 
  • The COR Recertification must achieve a minimum score of 80% overall, with no less than 50% in each element for a new COR Certification to be issued.

NOTE: If your organization is multi-site, all sites must be included within the scope of the audits within the 3-year cycle.  Members cannot use the same combination of sites used for the last COR recertification audit.  If you are unsure of which sites should be included, please contact CCSA for assistance. 

Members with COR certification number beginning with the year 2018, such as 20180506-XXX, this is the second COR Maintenance year, those beginning with the year 2019, such as 20190506-XXXX, this is the first COR maintenance year, which means:

  • Maintenance audits must be conducted by certified CCSA auditor and may be an employee of the company being audited.
  • Maintenance audits must achieve at least 60% overall for the audit to be accepted for COR maintenance purposes.

Action plans in lieu of Maintenance audits

To be eligible for action plans, the employer must meet the following criteria:

  • The employer must have completed one full, three-year COR audit cycle and successfully completed a re-certification audit.
  • The employer must have achieved a 90% overall score on the re-certification audit.
  • The employer must have no less than 150 employees.
  • The employer must apply in writing to the Executive Director of CCSA prior to March 31 of the calendar year for permission to use an action plan in lieu of the maintenance audit and provide the Action Plan before approval will be given.

If you believe your organization is eligible for an Action plan, please email request to COR@ab-ccsa.ca


Use of External Auditors

External auditors conducting the COR audits must be CCSA-approved and certified external COR auditors, from outside the organization being audited.  CCSA will only accept certification and/or recertification audits only from auditors named on the CCSA-approved external auditor list.

All External Auditors performing audits for the CCSA shall be free from conflict of interest.

A conflict of interest for External Auditors is defined as:

  1. Someone auditing their own work;
  2. Work in which they played a vital part in the development of a Health and Safety Management System;
  3. The auditor or a member of the auditor’s corporate group must not have been employed by, or been in a direct contractual relationship with the employer within the twelve-month period preceding the audit, except for the following:
  • delivering standard CP-developed training courses,
  • delivering generic training courses (in either group or individual employer settings),
  • providing other services not directly evaluated by the audit instrument
  1. The auditor or a member of the auditor’s corporate group should not have a personal relationship (e.g. family members, close personal friends) with any key employees or members of the management group at the operation being audited where that relationship may be perceived to influence the results of the audit.
  2. In COR maintenance years, certified auditors may both develop and audit an employer's health and safety program.

External Auditors cannot perform audits in two consecutive years for the same employer, nor can they complete the COR recertification in two consecutive CORs cycles. 

If you have any questions or concerns regarding use of external auditors, please do not hesitate to contact CCSA at COR@ab-ccsa.ca

Happy New Year, the CCSA would like to wish you all the best for 2020!

COR Communication - December 2019

December 2019 COR Communication



In this issue:

  • 2019 year-end reminders
  • Auditors certification
  • Corrective Action Report (CAR) – Trial for 2020

2019 Audit Season reminders

Reminder all audits must have the data collection and Post Audit Meeting completed by Dec 31/19.  

**Make sure you have downloaded the most recent audit tool from our website**

Click here to access tool

Please be sure to contact CCSA before you start your audit to let us know of the start date. 


Auditor Certification

Auditors; both internal and external have a three-year auditor cycle.  To maintain certified auditor status, auditors must adhere to the following:

Internal Auditor

Submit two audits in a three-year certification cycle
Achieve the 80% or better in quality assurance standards for all audits
Receive auditor communications on an annual basis
Adhere to the auditor code of ethics
Attend Auditor refresher session every 3 years

External Auditor

Submit one audit for CCSA annually
Achieve the 90% or better in quality assurance standards for all audits
Receive auditor communications on an annual basis
Adhere to the auditor code of ethics
Attend Auditor refresher session every 3 years

How do you know what year of your auditor cycle you are in?

CCSA will be sending letters out to all certified auditors who are in their recertification year.  If you receive a letter, Please plan to attend the full day auditor refresher which will take place in the fall of 2020. 


Corrective Action Report (CAR)

The CAR process allows an employer to have an assessment conducted of their OHSMS using the documentation and observation questions from the CP's audit document, but without the requirement to conduct staff interviews.

The CAR is completed by a certified auditor and Organizations can trial CAR if:

  • The 2019 was an external year and have achieved 90% or better overall in your recertification audit.
  • Are in at least year 5 of your audit cycle or more (those organizations who have newly certified in 2019, must complete maintenance audits in the first audit cycle of (year 2 and 3).  After they have successfully passed year 4 recertifying audit with 90% or better, they can apply for CAR. 

If you believe your site may be a good candidate for this option, please contact CCSA at COR@ab-ccsa.ca 

November COR Communication 2019

November 2019

 

In this issue:

2019 year-end reminders
What does 2020 look like for Auditors and members?

Audit Peak Season

November – February is our audit peak season; CCSA typically sees about 80% of the audits come in during this time. Audits submitted during this time will typically see a 4-6 week  turn around rather than 2-3 weeks.

2019 Audit Season reminders

All audits must have the data collection and Post Audit Meeting completed by Dec 31/19.
First time using the new 2019 audit tool?  Refer to your 2018 Auditor Refresher manual or contact CCSA should you experience any issues or have questions. 

**Make sure you have downloaded the most recent audit tool from our website**

Click here to access tool  

Please be sure to contact CCSA before you start your audit to let us know of the start date. 

2020 Audit COR Maintenance options

Internal Audit

Audits must either be conducted by an internal auditor. If your organization does not currently have a certified internal auditor, auditor training sessions will be scheduled for the new year.  Watch your email for more details. If organizations choose, they can hire an external auditor to complete the maintenance audit.

Action Plan

Your organization must:

Have achieved 90% or greater on your COR Recertification Audit
Have 150+ employees

If you meet the above and are planning to do an action plan, the application must be submitted by March 31st, 2020. Any action plans submitted after that date will not be accepted.

 

New for 2020

Corrective Action Report (CAR) - trial for 2020

The CAR process allows an employer to have an assessment conducted of their OHSMS using the documentation and observation questions from the CP's audit document, but without the requirement to conduct staff interviews.

The CAR is completed by a certified auditor, who together with the employer develops a detailed plan for correction of deficiencies and identification of improvements to the employer’s OHSMS.

If you believe your site may be a good candidate for this option, please contact CCSA.

COR Communication - October 2019

October 2019

As we embark on the fall audit season, a few reminders for both auditors and employers. 

Auditor Responsibilities

Send the employer a request for information
Perform the audit during periods of high activity; remembering that all shifts will need to be interviewed.  The auditor will need to flex their schedule to complete the entire scope of interviews.
Data gathering activities cannot exceed 45 days, which begins as soon as auditors start to review documents (even if before on-site activities begin)
Write the audit report within 21 days
If there are any issues with the employer during the audit, contact CCSA immediately
All internal and external auditors need to remember to sign and submit the auditor code of ethics before you submit your audit.

Auditor QA Process

If QA revisions are required, the auditor has 15 days to submit the corrections
Please ensure these corrections are made within the Audit tool sent back to you with the QA comments. 
All corrections are to be made in the justification/SFI or Strength area, not in the QA comment box
Qualifying audits cannot be conducted as a team audit.
Evidence of boilerplating within or between audit reports submitted is a critical error.  All audits will be considered null and void if either of these are determined.
Auditors, when releasing results of the audit, to release only the last 2 tabs to the employer. PDF the Audit Report Worksheet and then the Executive summary worksheet ONLY and submit those to the employer. The employer should not, under any circumstance, received the entire Audit Workbook (excel file)

 

Employer responsibilities

Submit group application if required prior to the audit being conducted
Upon request from auditor, the employer is required to send a breakdown of employees by level, shift, position, years of service.
The employer must not select the interviews for the auditor
Employers must apply for use and their reasoning of written questionnaires to CCSA.  Only after approval by CCSA can they be used.   
Grant auditor access to any required areas to complete the audits and supply all OHSMS documentation.
Inform the auditor if there are high hazards while on-site
If there are issues with the auditor during the process, please contact CCSA immediately

 

Employers looking at certifying additional internal auditors, please keep the following in mind when choosing your candidate:

FTE/position – completing an audit requires that the candidate can flex their time.  The employer must also provide adequate time and resources to complete the audit within the timelines.
Knowledge – a theoretical understanding of the subject.  Auditors need a good understanding of the 10 elements required in a PIR-compliant OHSMS; the purpose of each element, what is involved in each element and how it is implemented. 
Skills – Auditors require a variety of skills to help conduct an audit, such as; listening skills, verbal and written communication skills and interview skills. 
The ability to analyze and interpret information, to ask the right questions and be able to summarize is imperative for an auditor. 

 

Please be sure to contact CCSA before you start your audit to let us know of the start date.