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COR Policy Manual – Small Employer Audit

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 a certification, maintenance, limited scope, or recertification audit.
  2. Small employer certification, recertification, and limited scope audits may be conducted by either an internal or external auditor.
  3. Small employer maintenance 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 SafetyDriven – Trucking Safety Council of BC (SafetyDriven), and have completed the training described in the section: Small Employer COR Certification.
  2. Small employers wishing to challenge the small employer audit my do so on application to and approval by SafetyDriven.

Types of audits

  1. There are three types of audits which a small employer will participate in during in the Certificate of Recognition process: certification, maintenance, and recertification. An employer may also participate in a limited scope audit.
  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.
  5. A limited scope audit may take place if an employer is unsuccessful in a certification or recertification audit.

Safety Evaluation

  1. A Safety Evaluation is an informal comparison of an organization’s safety program against the standards described in the Small Employer Audit Tool.
  2. Prior to requesting an audit an employer should conduct a Safety Evaluation to determine the likely success of the audit, and to identify and remedy potential shortfalls.
  3. SafetyDriven may decline an application for an audit if it is evident that the employer is unprepared for a COR audit.

Auditors

  1. Certification and recertification audits may be carried out by either an internal auditor or an external auditor.
  2. Maintenance audits may be carried out by either an external auditor or an internal auditor.
  3. The certification of small employer internal auditors is described in the section:
  4. Small Employer Internal Auditors.
  5. The certification of external auditors is described in the section COR External Auditors.

Application

  1. Within the ten days prior to initiating a COR audit a COR Notice of Audit Form must be submitted to SafetyDriven.
  2. The audit may not proceed without the approval of SafetyDriven
  3. The audit must commence no later than thirty days after the ‘Anticipated start date of onsite audit activities,’ submitted in the Notice of Audit. The audit must be completed within thirty days and an audit report submitted to Safety Driven

Certification Audit

  1. The certification audit may be carried out by an accredited internal or external auditor.
  2. The small employer audit is carried out using the Small Employer Audit Tool and all onsite audit activity and the audit report must be completed within 30 days.
  3. Once the audit is completed the external auditor must submit a report of the audit to SafetyDriven.
  4. An average score of at least 80% on all elements, and a score of no less than 50% on any single element must be achieved to pass the audit.
  5. If a passing score is not achieved, at the discretion of SafetyDriven, a limited scope audit may be permitted after any identified shortfalls are addressed.
  6. When a small employer has been successful in passing the certifying audit, and the company has supplied a suitable action plan within 21 days of audit acceptance, SafetyDriven will notify WorkSafeBC and recommend that a Certificate of Recognition be awarded.
  7. If a Certificate of Recognition is awarded, SafetyDriven will forward the certificate to the employer once it is received from WorkSafeBC.

Maintenance Audits

  1. Two maintenance audits must be completed in each three year audit cycle. The first within one year and the second within two years of a certification or recertification audit.
  2. Maintenance audits may be carried out by either an internal or external auditor.
  3. Maintenance audits are carried out using the Small Employer Audit Tool and all onsite audit activity and the audit report must be completed within 30 days.
  4. Once the audit is completed the auditor must submit a report of the audit to SafetyDriven.
  5. An average score of at least 80% on all elements, and a score of no less than 50% on any single element must be achieved to pass the audit.
  6. If a passing score is not achieved the certification will not be lost but regardless of the score the employer must provide a written action plan within 21 days of audit acceptance outlining the steps to be taken to remedy any shortfalls.
  7. When an employer has met the requirements of a maintenance audit SafetyDriven will notify WorkSafeBC of the results of the audit.

Recertification Audits

  1. A recertification audit must be completed within three years of the initial certifying audit or previous recertification audit.
  2. The recertification audit is carried out using the Small Employer Audit Tool.
  3. An internal or external auditor must complete the audit for the employer and submit the audit report to SafetyDriven within 30 days of its commencement.
  4. An average score of at least 80% on all elements, and a score of no less than 50% on any single element must be achieved to pass the audit.
  5. If a passing score is not achieved, at the discretion of SafetyDriven, a limited scope audit may be permitted after any identified shortfalls are addressed.
  6. When an employer has been successful in passing the certifying audit and has supplied a suitable action plan addressing shortfalls, SafetyDriven will notify WorkSafeBC and recommend that a Certificate of Recognition be awarded.
  7. If a Certificate of Recognition is awarded SafetyDriven will forward the certificate to the employer once it is received from WorkSafeBC.

Limited Scope Audits

  1. A limited scope audit may take place after an employer has failed either a certification or recertification audit.
  2. The limited scope audit will address only those elements which resulted in the failure of the certification or recertification audit.
  3. A request for a limited scope audit must be made by the employer directly to SafetyDriven within 30 Days of receiving the audit results.
  4. Approval for a limited scope audit is entirely at the discretion of the council and will only be provided under the following circumstances:
    1. The failure of the certifying or recertifying audit is limited to specific elements and not systemic faults in the employer’s safety management system,
    2. and there is a reasonable expectation that the employer can address the shortfalls identified in the failing audit.
  5. If approval is provided, the limited scope audit must be completed and an audit report submitted within 90 days.

Audit Report

  1. Following completion of an audit, a report in a format acceptable to the council, must be submitted to the COR Department.
  2. Within thirty days after receiving the audit report, or in a period of time appropriate to circumstances, the COR Department will conduct a desktop review of the document. The desktop review is described in the policy: Audit 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 the failing elements must be submitted.
  3. Failure of a recertification audit will result in certification being removed.
  4. Failure of a limited scope audit will result in COR certification not being achieved, or being removed.

Dispute Resolution Process

  1. Any disagreement with a decision by SafetyDriven regarding any aspect of the audit 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 section: Dispute Resolution.

 

References

  1. Small Employer COR Certification
  2. Small Employer Internal Auditors
  3. Small Employer Audit Tool
  4. COR Notice of Audit
  5. Dispute Resolution
  6. Audit Quality Assurance

 

Last Reviewed March 23, 2018

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