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COR Policy Manual – COR External Auditors

Section Description

This section describes how Certificate of Recognition (COR) external auditors may be certified, and maintain certification.

Key Points

To be certified as Certificate of Recognition external auditors candidates must:

  1. Make an application.
  2. Complete a training course.
  3. Pass an examination.
  4. Complete a student audit.
  5. Complete a minimum number of audits.

Policy

Application

  1. Potential external auditors must apply, in writing, to SafetyDriven – Trucking Safety Council of BC (SafetyDriven) using the External Auditor Application form.
  2. As a part of the application process potential auditors may be required to attend an interview with SafetyDriven.

Evaluation and Selection

  1. Prior to being accepted as an auditor candidate applicants must demonstrate that they have the appropriate knowledge, training, and experience for the role.
  2. The selection of external auditor candidates for training and potential accreditation will be based on the current needs of SafetyDriven, and may not be dependent solely on the candidate meeting the minimal qualifications.

Training

  1. External auditor candidates must attend 35 hours of training in occupational health and safety principles, and auditing practices.  Qualified external auditors from other certifying partners may be granted exemption form a portion of the training
  2. The training must be provided by or endorsed by SafetyDriven, and must meet the standard of the council’s curriculum materials. These include the External Auditor Student Guide, and the External Auditor Instructor Guide.
  3. Following completion of training the candidate must achieve at least 80% on examinations, exercises, and case studies of the course material.
  4. Candidates who achieve less than 80% must repeat the training.

Student/Qualifying Audit

  1. Following successful completion of training a candidate must, within six months, complete and submit to the council a student audit.
  2. If the student audit meets the quality assurance standards of the council the candidate will be certified as an external auditor.

Minimum Auditing Requirements

  1. Following certification as an external auditor the auditor must complete and submit to the council two audits within the subsequent three years to retain certification.

Refresher Training and Recertification

  1. After every three year period following initial certification external auditors must be recertified. Recertification is not automatic and is subject to both the external auditor and the council agreeing to the recertification.
  2. To be considered for recertification an external auditor must be in good standing, have completed the minimum auditing requirements for the previous three years, retained all relevant professional credentials, and submitted a COR Auditor Certification Maintenance Report annually.
  3. Prior to recertification external auditors must have completed recertification training provided by or endorsed by SafetyDriven.

Auditor Performance and Evaluation

  1. Auditors are expected to conduct audits and complete audit reports to the standards described in SafetyDriven’s auditor training materials and auditing documents.
  2. SafetyDriven will review all audit reports submitted by external auditors for quality and adherence to the council’s audit standards.
  3. Verification audits to evaluate quality will be performed on a minimum of 10% of all certification audits conducted by external auditors in each year.
  4. The council will communicate the results of its evaluations to individual external auditors in order to remedy substandard performance and to ensure the continual improvement of the auditor’s professional skills.

Ethical Behaviour and Complaints

  1. All external auditors, as a condition of certification, must sign the SafetyDriven Auditor Code of Ethics.
  2. External auditors are expected to act in a professional manner at all times while conducting audits on behalf of SafetyDriven. This includes: following the standards described in the Auditor Code of Ethics, adhering to the code of ethics of any professional associations related to their professional practice, and auditing to the standards described in the council’s training and auditing documents.
  3. If the council is informed or becomes aware that the auditor has acted contrary to the council’s expectations the council will initiate an investigation to determine whether or not this is the case.
  4. The external auditor is expected to co-operate with the investigation and will be informed, in writing, of its outcome.

Loss of Certification

External auditors may lose their certification under the following circumstances:

  1. If they fail to complete the minimum number of audits within a three year period.
  2. If they fail to complete recertification training.
  3. If they are found to have violated the Auditor Code of Ethics.
  4. If their audit reports demonstrate persistent quality assurance concerns.
  5. If employer feedback includes consistent complaints about their performance.
  6. If SafetyDriven considers that their continued certification is not in the best interests of the council.

Appeals Process

  1. Any disagreement with a decision by SafetyDriven with regard to any aspect of the certification of external auditors 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 section: Dispute Resolution.

Appendices

  1. External Auditor Application form
  2. Auditor Code of Ethics

 

Last Reviewed March 22, 2018

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