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1
Q

What are the four Audit methods?

A

Limited scope

Action plans or COR maintenance

Multiple accounts or a group audit

Team audits

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2
Q

What is a limited scope Audit?

A

An audit that focuses on only one or a couple of elements from the audit tool

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3
Q

What is an action plan (COR Maintenance)

A

A COR maintenance option that is an alternative to conducting an audit.

Action plans are designed to implement suggestions for improvement from previous audits

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4
Q

What is a multiple accounts or group audit

A

An audit that has more than one employer WCB account covered in the scope of the audit.

An eligible employer must get approval from the ACSA COR department to conduct a group audit

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5
Q

What is a Team Audit?

A

More than one auditor taking part

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6
Q

When do you use a limited scope audit?

A

When a company does not meet the certification audit standard in one or more elements.

Must be a pre-approved

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7
Q

When do you do an action plan or COR maintenance

A

COR certified companies in maintenance years.

Must be pre-approved

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8
Q

When can you do a multiple accounts or a group audit

A

Used for larger companies with multiple WCB accounts that seek certification with one audit

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9
Q

What is an internal auditor

A

An auditor employed by the employer or has done work for the employer in the last 12 months

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10
Q

What is an external auditor

A

An auditor not employed by the employer and has not conducted a work related to the HSMS in the last 12 months

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11
Q

Define the term auditor

A

An individual certified by a certified partner to conduct health and safety audits

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12
Q

What is a cross audit

A

Cross Audit means a pair of audits performed within the same calendar year as follows:

An auditor who works for a company A performs an audit and Company B and an auditor who works at a company B performs an audit at Company A

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13
Q

Identify the elements of the ACSA audit tool

A 
Management commitment
Public, visitors and contracted employers
Health and safety committees/health and safety representatives 
Training
Hazard assessment
Hazard control
Inspections and maintenance
Emergency response
Investigations
Program administration
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14
Q

List the three validation techniques

A

Documentation

Interview

Observation

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15
Q

List the four levels of employees that must be interviewed for an audit

A

Senior management

Management

Supervisors

Workers

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16
Q

State the scoring requirements for audit certification

A

Minimum overall score of 80% with no less than 50% in each element.

In maintenance years the audit must score 60% overall

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17
Q

Identify validation note criteria

A

How many of the criteria are met

Any criteria not found

And example of a specific detail

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18
Q

What are the two types of documents

A

Directive and Operational

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19
Q

What is the purpose of a Directive document

A

Informs HSMS participants, regulators and the public of how the business is managed

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20
Q

What is the purpose of an Operational document

A

Validates compliance with standards

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21
Q

Where would you find Directive documents

A

Safety program binder

Electronic copies

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22
Q

Where would you find Operational documents

A

Head office and site locations

Electronic copies

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23
Q

What are some examples of Directive documents

A 
Safety policy 
company rules
Orientation procedures
Incident investigation procedures
Safe work practises and Safe Job procedures
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24
Q

What are some examples of Operational documents

A

Employee orientations

Site inspections

Completed incident investigations

Hazard assessments

Meeting minutes

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25
If the auditor observes an unsafe act or condition during his observation what must he do
Report to the supervisor in charge
26
Can an auditor take pictures without permission
No
27
List the five documentation sampling methods
Judgement Random Interval Time block Stratification
28
What is a worksite
A location where A worker is or is likely to be engaged in any occupation and includes any vehicle on mobile equipment used by a worker in an occupation
29
What are the four types of scoring
All or nothing Range scoring Cascading questions Not applicable
30
When do you round up the score
Round up from .5 to .9 Round down from .1 to .4
31
What are the two types of notes auditors can you make
Field notes validation notes
32
What are the nine steps in the audit process
``` Pre-audit planning Pre-audit meeting Site familiarization Documentation Interview Observation Post audit meeting Report writing Quality assurance ```
33
What should be included in a pre-audit meeting agenda
``` Purpose of the audit Audit process Expected outcomes Wrapup meeting Confidentiality of process Auditor ethics Schedule ```
34
List the three criteria for Suggestions For Improvement
what was missing how to address the deficiency why fixing the deficiency is important to the HSMS
35
How many days does the auditor have for data gathering
45
36
How many days doesauditor have for report writing
21
37
How many days is the total audit timeline
66
38
How many days does the auditor have to return clarifications from the date received from QA
No later than 15 days
39
When is a limited scope audit used
If unsuccessful in meeting the "audit standards and employer may apply for a limited scope audit to evaluate one or more elements on the audit tool
40
When would you use a random sample
Random-use a random sample to study a larger group when others sampling methods are not appropriate.
41
When would you use the auditors judgement for sampling
Judgement-use the auditors judgement usually when the employer has unique operations.
42
When would you use interval sampling
Interval-systematic interval to select each unit for the sample. (example every third document every 10th day) for a larger sample sizes
43
When would you use time block sampling
Time block-Records from a specific block of time example January to March. To ensure records cover peak periods of activity
44
When would you use stratification sampling
Stratification- based on high risk activities
45
What is a baseline audit
A preliminary evaluation of a HSMS using an Audit tool
46
List for elements of a health and safety management system HSMS
Culture and communications Health and safety program Evaluation plan/audit Company resources
47
What is a certifying partner
And association that has entered into an agreement with partnerships in injury reduction to: Give health and safety training Certify and maintain a list of auditors and Conduct quality assurance reviews of submitted audit reports
48
How many years of data must company have in order to be eligible for a three-year COR
1 year
49
How much data must a company have in order to qualify for a one year COR
3 months preceding the audit
50
What is a baseline audit
And evaluation intended as a preliminary review of the employers health and safety management system
51
In a team audit do all members have to take part in all areas of documentation review interviews and observations
Yes
52
Describe the audit cycle
Year 1 COR Certification Year 2 Maintenance Year 3 Maintenance
53
What is the scope of an audit based on
Number of worksites Employees Industry activities
54
What is the purpose of an audit
To find HSMS strengths and opportunities for continual improvement
55
What are the four main types of audits
Baseline Auditor qualification COR Maintenance COR certification
56
What to types of audits May be combined
Auditor qualification and COR maintenance
57
What is the criteria for a baseline audit
Can be conducted by anyone using a Standard audit tool
58
What do all certifying partners have in common
All certifying partner tools must meet the GOA/PIR standard
59
When would you use a random sample
Random-use a random sample to study a larger group when others sampling methods are not appropriate.
60
When would you use the auditors judgement for sampling
Judgement-use the auditors judgement usually when the employer has unique operations.
61
When would you use interval sampling
Interval-systematic interval to select each unit for the sample. (example every third document every 10th day) for a larger sample sizes
62
When would you use time block sampling
Time block-Records from a specific block of time example January to March. To ensure records cover peak periods of activity
63
When would you use stratification sampling
Stratification- based on high risk activities
64
What variables must be considered in order to be representative when sampling for interviews
``` Number of years employed with company Departments Levels of personnel Shifts Company history/recent company changes WCB account/industry codes Sites ```
65
What is the audit end date
The date the auditor concludes the review of documentation interviews and observations for the purpose of auditing the employees health and safety management system
66
What is the audit start date
The date the auditor receives access either on or off site to employers health and safety documentation for the purpose of auditing the employers health and safety management system they scan the paper or electronic and this does not include activities to define the audit scope
67
Define best practice
And agreed-upon method for conducting a specified task usually established by industries trades or groups of peers
68
Define boilerplating
This practice involves copying all or a portion of an audit report from one audit and then we using it for another audit making very few changes
69
What is the purpose of an OSAR
To validate the auditors findings and ensure auditors followed the applicable audit processes
70
Describe the types of action plans
Post audit and COR maintenance action plans
71
What is a post audit action plan
They focussed approach to implement suggestions for improvement from an audit Employer develops a post audit action plan based on the audit report
72
What is the criteria an employer must meet in order to qualify for a COR maintenance action plan
Employer must receive 85% in the last certification audit and have gone through at least one COR cycle
73
What are the key points for site familiarization
Who is the Key contact person or site representative? Which key personnel does the auditor need to meet with Is a safety orientation required
74
List the steps in the quality assurance process
1. the auditor completes the audit selection checklist 2. The ACSA confirms standards have been met 3. The auditor amends the audit and resubmit audit if required
75
What should be discussed in a post audit meeting
Communicate preliminary audit findings Thank the employer Restate how the program was verified using DIO Invite questions Gift credit and recognition for their efforts Emphasize successful elements Make reasonable and practical recommendations Explain that the audit score is presented after the QA process
76
When is a post event audit conducted and who triggers it
Following a significant organization loss. | Triggered by WCB OHS or CP and conducted by external auditor
77
When would you do a documentation only audit
When the employer does not have fieldwork to be audited
78
When was the auditor code of ethics be signed
Before scheduling each audit
79
Who sets the pre-audit meeting agenda
The auditor
80
What questions must an auditor ask before starting the audit
1. Where are the health and safety documents located 2. Are employees permanently at one site or do they move from site to site 3. Do you have any mobile sites if yes how many on average from day to day 4. What are the define roles a job titles in the company, do certain rules require specific training or specialized equipment
81
What are the types of interviews
Formal and informal
82
What should you include in the executive summary report
Summary of findings List of HSMS strengths Suggestions for improvement
83
What is the maximum allowable time for all clarifications
30 days

ACSA cAP (1 decks)

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