What is this section about?
This section describes quality assurance practices in the Certificate of Recognition program.
- The certificate of recognition auditing process is supported by a quality assurance process.
- All audit reports are subject to a desktop review.
- Auditor performance will be evaluated through the quality of audit reports and client feedback.
- Follow-up verification audits will be conducted on selected audit reports.
- The Certificate of Recognition program evaluates the safety management systems of employers against a defined external standard. The integrity of the program depends upon that evaluation process being consistent and accurate. Quality assurance is the process by which SafetyDriven – Trucking Safety Council of BC (SafetyDriven) will ensure that consistency and accuracy.
- The general principles of the quality assurance program include the desktop review of all audit reports, the provision of feedback to auditors, and the continuous improvement of auditing practices.
- All audit reports received by SafetyDriven will be subject to a desktop review by the COR Advisor. At a minimum, a desktop review will evaluate the following:
- Obvious errors of fact.
- Arithmetic errors.
- Internal inconsistencies in the evaluation of the audit elements.
- Lack of detail or clarity in the descriptive sections of the audit report.
- Obvious failures to follow proper audit protocols.
- In the event that the desktop review identifies concerns with the audit report, the COR Advisor will consider one or more of the following actions:
- Deem the audit to be unsuccessful.
- Return the document with comments identifying the concerns.
- Initiate a verification audit.
- A verification audit is an independent review of a previous audit and may consist of the complete repetition of the audit, or a limited scope onsite audit review (OSAR) focused on particular elements. Verification audits may be conducted by external auditors retained by SafetyDriven or by SafetyDriven staff.
- As a general standard, a minimum of 10% of all certification audits returned each year will be randomly selected for a verification audit.
- A verification audit may also be initiated as a result of concerns noted during a desktop review or as a result of a complaint regarding the conduct of an audit.
- Should a verification audit identify or confirm an area of concern regarding either an auditor’s performance or an employer’s certification the council will take whatever steps are appropriate to ensure that the concern is resolved.
WorkSafe Initiated Verification Audits
- Verification audits may be initiated by WorkSafeBC based upon concerns identified by the prevention, claims, or assessment departments regarding an employer.
- A WorkSafe initiated verification audit will be conducted in the same manner as a SafetyDriven initiated verification audit with the results communicated to WorkSafeBC.
External Auditor Evaluation
- External auditor performance will be evaluated on the basis of
- Employer complaints, employer feedback, and the quality of the audit reports which they submit.
- Shadow Audits conducted by SafetyDriven staff or designated evaluators. Approximately 10% of the external auditor pool will have a shadow audit each year.
- Auditors will receive feedback on the evaluation of their performance to support the continuous improvement of their professional skills.
- Poor performance or malfeasance by an auditor will be dealt with through the processes described in the COR External Auditors
Last Reviewed April 27, 2018