Overview
My last post (Health and Safety Auditor Ethics) outlined some of the current unethical standards being practiced by a surprisingly large number of health and safety auditors in Western Canada. Moreover, these individuals are tarnishing the Certificate of Recognition (COR) program and the reputations of the majority of good-intentioned and law-abiding evaluators.
COR Compliance Statistics 2016
At the recent Alberta Occupational Safety Auditors Association workshop, a presentation by Jessica Meyer from the Alberta Partnerships in Injury Reduction (PIR) program indicated that non-compliance regarding auditing standards has increased dramatically year over year. She pointed out the data was not finalized, but current statistics showed that 62% of the completed On-Site Audit Review (OSAR) evaluations for 2016 required some form of follow-up action. This is an increase of 7% over 2015 numbers.
These figures are troubling for several reasons: 1) They show an upward trend in violations since the OSAR program began; 2) They show a lack of compliance and understanding by health and safety professionals; 3) It shows that the COR program is being undermined by unscrupulous auditors in almost two-thirds of the audits reviewed; and 4) It shows a serious lack of professionalism and respect for employers and workers alike.
Certifying Partner Response
Currently, Certifying Partners have two ways to hold auditors accountable for completing their duties in a compliant manner. Firstly, they conduct meticulous Quality Assurance Reviews on all audits submitted by internal and external auditors. This process includes: ensuring audit time frames are adhered to, interview and work site samplings meet Partnerships standards, no boiler plating compared to other submitted audits, etc.
The second course of action includes government involvement and intervention. When a Certifying Partner suspects a violation, they can ask the government, through the Partnerships program, to conduct an OSAR audit.
If found to be in contravention, auditors face disciplinary actions, such as verbal and written reprimands, suspensions, and/or outright dismissal.
Government Involvement
Due to the fact that many COR approved companies were and are paying hefty Workers Compensation Board (WCB) surcharges, the Alberta government devised a program to evaluate a finite number of annual external and renewal audits.
The system entails a government assessment to determine if there is an appropriate synergy level between formal standards and the audit being evaluated. If serious irregularities are found, the government instructs the Certifying Partner to rectify them with the auditor involved.
Although an OSAR is a comprehensive assessment, it is seriously underfunded by the current Alberta government. OSARs are capped at 100/year, which means that approximately 4% of external and renewal audits are gauged. Besides that, Alberta and to a small degree, British Columbia, are the only provinces applying this standard.
Additionally, there is no mechanism other than quality assurance reviews to determine if internal/maintenance auditors are adhering to applicable rules and codes of conduct. Internal/maintenance audits account for the majority of COR audits conducted annually in Alberta (approximately 7,500). There is no reason to believe that reviews of those audits would differ from those of external auditors.
Path Forward
It is clear, given the statistical information, that the auditor accountability process being used by governing bodies is not working as needed or intended.
I would suggest that 10% of all audits (external, renewal or maintenance) be subjected to an OSAR. If adopted, this would be a ten-fold increase to 1000/year. Furthermore, I would also like to see increased penalties faced by abhorrent auditors.
Substantially increased government funding, coupled with escalated administrative penalties, would put deviant auditors on notice that their behavior will no longer be tolerated. Moreover, it would increase the profile of the COR program, reduce WCB costs (both employer and government), and most importantly, aid employers in maintaining a safe, healthy and productive workplace.
Ultimately, it is the health and safety of front-line workers that is put at risk by these abhorrent practices and increasing their exposure levels is just not acceptable.