What is this section about? This section describes the processes and requirements of Certificate of Recognition (COR) audits for small employers.

Transcription

1 COR Auditing Small Employer Audit Practices What is this section about? This section describes the processes and requirements of Certificate of Recognition (COR) audits for small employers. Key Points 1. A small employer may participate in certification, maintenance, or recertification audits. 2. Small employer audits may be conducted by either an internal or external auditor. Policy Conditions 1. To participate in the small employer audit an employer must have fewer than 20 workers, be registered with the SafetyDriven (TSCBC), and have completed the training described in the policy: COR Certification - Small Employers. Types of audits 1. There are three types of audits which a small employer will participate in during the Certificate of Recognition process, certification, maintenance, and recertification. 2. A certification audit is the initial audit which an employer must pass to obtain a Certificate of Recognition. 3. Maintenance audits are conducted at the end of the first and second year following certification or recertification. 4. A recertification audit is the audit which an employer must pass at the end of the third year following certification or recertification. Gap Analysis 1. A Gap Analysis is an informal comparison of an organization s safety program against the standard described in the Small Employer Audit.

2 2. Prior to requesting a certification audit an employer should conduct a Gap Analysis to determine the likely success of the audit, and to identify and remedy potential shortfalls. 3. Assistance with a Gap Analysis may be provided, on request, from the SafetyDriven (TSCBC). 4. The SafetyDriven (TSCBC) may decline an application for an audit if a GAP Analysis is has not been completed, or if it is evident that the employer is unprepared for a COR audit. Auditors 1. All types of small employer audits may be carried out by either a certified internal auditor or an external auditor approved by the SafetyDriven (TSCBC). 2. The certification of small employer internal auditors is described in the policy: COR Auditors Small Employer Auditors. 3. The certification of external auditors is described in the policy COR Auditors External Auditors. Application 1. Within the ten days prior to initiating a COR audit a COR Audit Notification Form must be submitted to the SafetyDriven (TSCBC). 2. The audit may not proceed until the SafetyDriven (TSCBC) has approved the audit. 3. After an audit commences, it must be completed within thirty days and an audit report submitted to the SafetyDriven (TSCBC). Certification Audit 1. The certification audit may be carried out by either a certified internal auditor or an accredited external auditor. 2. The small employer audit is carried out using the Small Employer Audit Tool. 3. If the audit is completed by an internal auditor the completed document is submitted directly to the SafetyDriven (TSCBC). 4. If an external auditor completes the audit then the external auditor will submit a report of the audit to the SafetyDriven (TSCBC).

3 5. An average score of at least 80% on all elements, and a score of no less than 6. If a passing score is not achieved the audit may be repeated after the employer has addressed any shortfalls identified in the audit. 7. When a small employer has been successful in passing a certification audit the SafetyDriven (TSCBC) will notify WorkSafeBC and recommend that a Certificate of Recognition be awarded. 8. If a Certificate of Recognition is awarded the SafetyDriven (TSCBC) will forward the certificate to the employer once it is received from WorkSafeBC. Maintenance Audits 1. Two maintenance audits must be completed in each audit cycle. The first within one year and the second within two years of a certification or recertification audit. 2. A maintenance audit may be carried out by either a certified internal auditor or an accredited external auditor. 3. Maintenance audits are carried out using the Small Employer Audit Tool. 4. If the audit is completed by an internal auditor the completed document is submitted directly to the SafetyDriven (TSCBC). 5. If an external auditor completes the audit then the external auditor will submit a report of the audit to the SafetyDriven (TSCBC). 6. An average score of at least 80% on all elements, and a score of no less than 7. If a passing score is not achieved certification will not be lost but the employer must provide a written plan outlining the steps to be taken to remedy any shortfalls. 8. When a small employer has been successful in passing the certifying audit the SafetyDriven (TSCBC) will notify WorkSafeBC. Recertification Audits 1. A recertification audit must be completed within three years of a certification or previous recertification audit.

4 2. A recertification audit may be carried out by either a certified internal auditor or an accredited external auditor. 3. Recertification audits are carried out using the Small Employer Audit Tool. 4. If the audit is completed by an internal auditor the completed document is submitted directly to the SafetyDriven (TSCBC). 5. If an external auditor completes the audit then the external auditor will submit a report of the audit to the SafetyDriven (TSCBC). 6. An average score of at least 80% on all elements, and a score of no less than 7. If a passing score is not achieved the audit may be repeated after the employer has addressed any shortfalls. 8. When an employer has been successful in passing a recertification audit the SafetyDriven (TSCBC) will notify WorkSafeBC. 9. If a Certificate of Recognition is awarded the SafetyDriven (TSCBC) will forward the certificate to the employer once it is received from WorkSafeBC. Audit Report 1. Following the completion of any audit a report, in a format acceptable to the council, must be submitted to the COR Advisor. 2. Within thirty days after receiving the audit report, or in a period of time appropriate to circumstances, the COR Advisor will conduct a desktop review of the document. The desktop review is described in the policy: Administration Quality Assurance. 3. At the conclusion of the desktop review the audit will be determined to have failed or passed, or will be referred for further action. Failure of an Audit 1. Failure of a certification audit will result in COR certification not being achieved. 2. Failure of a maintenance audit will not result in the loss of COR certification. However, an action plan to address remediating the failing elements must be submitted. 3. Failure of a recertification audit will result in certification being removed.

5 Dispute Resolution Process 1. Any disagreement with a decision of the SafetyDriven (TSCBC) in regard to any aspect of the certification process must be communicated in writing to the council. 2. The process for filing a dispute and the steps to its resolution are described in the policy: Administration Dispute Resolution. References 1. COR Certification - Small Employers 2. COR Auditors Small Employer Auditors 3. Administration Dispute Resolution 4. Administration Quality Assurance Appendices 1. COR Audit Notification Form 2. Small Employer Audit Tool Date: December 1, 2013