Audit Review Process
Audit reports must pass quality assurance review before the reports can be approved and processed for COR. This ensures that the audit reports meet standards for completeness of information, adequate and representative sampling, and correct application of auditor processes. Below are the best practice steps to follow.
Confirming that the auditor and audited organization are in good standing with your association is the first critical step
Step 1: Admin - Confirm "Good standing":
- Company is in good standing with the association
- Auditor is in good standing with the association
- Completed using the same basic auditing principles and standards in order to ensure the integrity of the audit process and the credibility of audit results
- Auditors and company:
- Completed req training
- Completed auditor training
- Program been in operation for at least 6m-12m prior to audit
Confirming that the auditor and audited organization are in good standing with your association is the first critical step
The next step is to check the details of the audit
Step 2: Confirm Details:
- Employer name/address,
- Employer contact name/phone number/fax number/e-mail,
- Auditor name/phone number/certification,
- Audit start date and audit end date,
- WCB account number(s) and industry codes(s) covered by the audit,
- Employer profile/brief description of type of operations conducted by the employer,
- Type of audit COR/SECOR and
- Purpose of the audit (COR certification or recertification, COR maintenance, auditor qualification).
- Interview sampling minimums must be representative and not based on availability covers all department, shifts, levels, and job types (see Org Chart) and
- Sites Sampling rotation of sites from year to year and HQ must always be included
- All audit reviewers must sign an agreement to be bound by the Audit Reviewer Code of Ethics
The next step is to check the details of the audit
Now onto the contents of the audit...
Step 3: Content Review
- The Audit Reviewer must verify that the auditor followed proper auditing process, used the audit instrument correctly, and produced a comprehensive and accurate audit report for the employer.
- Audit instructions must be applied correctly in scoring each question (10% of the overall review score)
- Audit scores must be fully justified through the use of auditor notes, and there should be no contradictions between the notes and a question’s assigned scores. Auditor notes must clearly explain the rationale for awarding or not awarding points. Required docs attached (50% of the overall review score) - subtract points for: No Contradictions within an element Contradictions between findings from one element to another should not be found This includes ensuring a minimum of grammar/spelling errors
- Validation techniques (interview, documentation review and observation) must be applied according to the audit guidelines (10% of the overall review score).
- Reports must include a listing of health and safety management system strengths, supported by auditor notes (15% of the overall review score).
- Reports must include a list of opportunities for improvement, supported by auditor notes and scoring.(20% of the overall review score).
- Auditor can be granted an opportunity to correct deficiencies identified in their audit report
- Corrections should be received by the CP within a maximum of 15 days - receive the final, approved version of the audit report
- Complete the Auditor feedback checklist (see below)
Now onto the contents of the audit...
Accept the audit and COR can be issued!
Step 4: Accept
- Final draft accepted
- Final draft rejected. Possible reasons for rejecting an audit report are indicated by the checkbox options:
- Quality Issues: if the maximum time for audit corrections has been reached, and the report still fails to meet quality standards, this box will be checked.
- Templating: if the report has been created from a template that leaves the authenticity of the audit results in question, this box will be checked.
- Boilerplating: if the report or parts of the report are virtually the same as another audit, this box will be checked.
- Timelines not met: if audit dates exceed the maximum timeframes allowed, or the report/corrections are submitted outside the deadlines required (see Partnerships Approvals Granted), this box will be checked.
- Other: if the report cannot be approved for a reason other than those noted above, this box will be checked, and the reason recorded here.
- Feedback to Auditor ONLY (checklist):
- QA checklist should be shared with auditors (before they start)
- a process for communicating the audit quality standards to auditors.
- determine whether audit reports have been created using boiler plating or templating techniques and take appropriate action
- follow up with the auditor when the audit report does not meet quality standards.
- provide ongoing feedback to auditors on opportunities for improvement to the quality of each audit report submitted.
- Deliver final audit to Company
- Issue a COR
Accept the audit and COR can be issued!