ACSA COR Test Flashcards
What is an OSAR?
An OSAR is an On-Site Audit Review.
Partnerships conducts On-Site Audit Reviews (OSARs) on a sample of COR audits each year. OSARs are designed to validate the auditors’ findings and ensures auditors followed the applicable audit process.
What are the COR Types?
There are four COR types:
- 3 - Year COR - 12 Months Doc
- 1 - Year COR - 3 Months Doc
- 6 - Month COR - Case by Case
- Temporary Letter of Certification - Less than 3 Months Doc
What is a Temporary Letter of Certification?
A Temporary Letter of Certification is for employers that have recently developed an HSMS but have fewer than three months’ worth of records.
What are the timelines of an audit?
The timelines of an audit are:
- 45 Days - Data Gathering
- 21 Days - Report Writing
ACSA audit timelines are based on calendar days, including weekends and holidays.
How long do you have to submit Quality Assurance Amendments?
The auditor should return clarifications no later than 15 days from the date they received feedback from QA.
- The maximum amount of time allowed for clarifications is 30 days.
What needs to be in a Validation Note?
A Validation Note must
- Answer the audit question.
- Justify the points awarded or withheld.
- Identify the validation technique used.
- Be professional in style and content.
- Give at least one company-specific example.
What must not to be in a Validation Note?
A Validation Note must not:
- Refer to a specific employee.
- State the auditor’s opinion.
- Restate the questions justifying the score awarded
- Contradict related questions.
- Be boilerplated or templated.
What are the Documentation Sampling Methods?
The Documentation Sampling Methods are:
Judgement
- Use the auditors Judgement
- When employer has unique operations.
Random
- When other sampling methods are not appropriate.
Interval
- Use a systematic interval to select each unit for the sample.
- Ex. Choose every 3rd document for review, choose every 10th day of the month.
Time Block
- Choose records from a specific block of time.
- Ex. Choose all records from January to March.
Stratification
- Based on high risk activities.
- To ensure a selection of high risk activities.
What are the Types of Scoring?
The Types of Scoring are:
- All-or-Nothing
- Range Scoring
- Cascading Questions
- Not Applicable (N/A)
All-or-Nothing
- Either 0 or full marks are awarded if positive indicators meet 70% (or other specified percentage)
- Indicated by a comma between the zero and the possible score e.g. (0,5).
Range Scoring
- Points awarded within an allowable range of scores based on the percentage of positive indicators.
- Indicated by a dash between the lowest and highest positive scores e.g. (0-20).
Cascading Questions
- Score is linked to a score on an earlier related question.
- Procedure shown in both questions and scoring instructions.
Not Applicable
- Used when question does not apply to the employer (auditee).
- Examples shown in scoring instructions.
- Must be justified in writing in validation notes and executive summary.
What are the rules for rounding?
The rules for rounding are:
- Round down from 0.1 to 0.4 to the nearest whole number.
- Round up from 0.5 to 0.9 to the nearest whole number.
What are the two types of documents?
The two types of documents are:
- Directive Documents
- Operational Records.
Directive Documents
- Also known as standards.
- Includes policies, standards, procedures, codes of proactive, etc.
Operational Records
- Validates compliance with standards.
- Includes completed forms or other written records.
What is an observation?
An observation is to verify that activities noted in the documents and interviews are taking place.
- Auditors should use the observation checklist included in the audit tool.
- Note - This is not a detailed inspection.
What is the purpose of interviews?
Interviews will show how well everyone understands the polices and processes in place.
- Interviews can be formal and informal and all questions are included in the ACSA Audit Tool.
Formal Interviews
- One-on-one.
- Directly answer audit interview questions.
- Used for scoring.
Informal Interviews
- Discussions between employees and the auditor.
- Not used towards formal interview results and audit score.
What’s in a 1 – Year COR?
1 – Year COR - 3 Months Documents
Criteria
- Health and safety program documentation is under 12 months.
- Major changes to health and safety program.
- General economic conditions. (Lower than normal activity level)
- Recertifying without enough historical documentation from the earlier year.
What’s in a 6 month COR?
6 month COR – Case by case
Criteria
- Recertification only (must hold COR)
- No active worksites, or too low of an activity level to represent.
- Pre-approval needed from ACSA.
- Administrative audit only, observation and interview questions are not evaluated.
What are the three parts in the Auditor Code of Ethics?
The three parts in the Auditor Code of Ethics are:
- Ethical Conduct
- Professionalism and Honesty
- Avoiding Conflicts of Interest