COR 2020 AUDIT HANDBOOK - IHSA

1 COR 2020 AUDIT HandbookCOR2020 HBJuly 2020 The Infrastructure Health & Safety Association (IHSA) is your new partner in preventing workplace injury and illness. We serve the transportation, electrical, utilities, construction, aggregates, pipelines, and ready-mix concrete was founded in January 2010 by amalgamating the Construction Safety Association of Ontario (CSAO), the Electrical & Utilities Safety Association of Ontario (E&USA) and the Transportation Health and Safety Association of Ontario (THSAO).We are committed to providing you with world-class service and the information you need to prevent occupational injury and :The contents contained in this publication are for general information only.

2 This publication should not be regarded or relied upon as a definitive guide to government regulations or to safety practices and procedures. The contents of this publication were, to the best of our knowledge, current at the time of printing. However, no representations of any kind are made with regard to the accuracy, completeness or sufficiency of the contents. The appropriate regulations and statutes should be consulted. Readers should not act on the information contained herein without seeking specific independent legal advice on their specific circumstance. Infrastructure Health & Safety Association is pleased to answer individual requests for counseling and advice.

3 Infrastructure Health & Safety Association rights reserved. This publication may not be reproduced, in whole or in part, or stored in any material form, without the express written permission of the copyright owner. I n f r a s t r u c t u r e H e a l t h & S a f e t y A s s o c i a t i o n ( I H S A ) 07/ 2 0 2 COR 2020 AUDIT Ha n d b o o k TABLE OF CONTENTS INTRODUCTION .. 3 A. INSTRUCTIONS FOR COMPLETING COR 2020 .. 4 COR 2020 PROCESS .. 5 1. preparing for the AUDIT .. 5 General AUDIT Information .. 5 AUDIT Tool Format .. 8 Verification Techniques .. 9 Scoring Legislated Requirements.

4 10 Scoring ..10 Auditor s Notes ..12 2. Performing the AUDIT ..14 Document Review ..14 Interviews ..16 Observations ..18 3. Summarizing the AUDIT ..19 AUDIT Summary Report ..19 Corrective Action Plan ..19 4. Submitting the AUDIT ..20 B. COR 2020 INTERNAL AUDIT EVIDENCE TIPS ..23 INTRODUCTION ..23 AUDIT TIPS ..25 DEFINITIONS ..50 I n f r a s t r u c t u r e H e a l t h & S a f e t y A s s o c i a t i o n ( I H S A ) 07/ 2 0 3 COR 2020 AUDIT Ha n d b o o k INTRODUCTION This document has been made available by the Infrastructure Health and Safety Association (IHSA). It is for the use of the Ontario COR 2020 registered organization s internal auditors.

5 Senior Management Representatives must be familiar with the content and ensure the program requirements are met and the Internal Auditor(s) have the support and resources they need. The COR 2020 AUDIT HANDBOOK has two sections: A. Instructions for completing COR 2020 AUDIT requirements The purpose of this section is to provide internal auditors with: Instructions on how to complete internal/maintenance audits from the pre- AUDIT stage to post- AUDIT stage Information regarding methods of verification (observation, documentation, interviews) Information on scoring methods B. COR 2020 Internal AUDIT evidence tips The purpose of this section is to provide internal auditors with: Tips and assistance in completing the COR 2020 AUDIT Tool efficiently and effectively I n f r a s t r u c t u r e H e a l t h & S a f e t y A s s o c i a t i o n ( I H S A ) 07/ 2 0 4 COR 2020 AUDIT Ha n d b o o k A.

6 INSTRUCTIONS FOR COMPLETING COR 2020 Before you begin the COR 2020 AUDIT process, here are a few things to consider or verify: All workplaces covered under your Workplace Safety & Insurance Board (WSIB) account being considered for COR 2020 are included in the AUDIT . As the permanent full-time employee(s) assigned as Internal Auditor(s) for your organization, you must have completed all pre-requisite training. Ensure IHSA is informed if the internal auditor changes. Have you reviewed the COR 2020 Program Guideline recently? The COR 2020 Program Guideline is available on the IHSA Website at: Have you set aside a realistic amount of time to perform the AUDIT ?

7 The time to complete it will depend on the number of employees in your organization, the scope of its work and the number of active projects or workplaces. Have you reviewed the AUDIT instructions to ensure you are familiar with the AUDIT Tool and how to proceed? Before applying for COR 2020, your organization must have a functioning occupational health and safety management system (OHSMS) in place for at least one year and include the 14 elements required for the COR 2020 AUDIT . I n f r a s t r u c t u r e H e a l t h & S a f e t y A s s o c i a t i o n ( I H S A ) 07/ 2 0 5 COR 2020 AUDIT Ha n d b o o k COR 2020 PROCESS You can access an electronic copy of the COR 2020 AUDIT package by visiting and clicking on the e-file submission tool.

8 Senior management must ensure that the designated Internal Auditor completes the AUDIT Tool and supporting documents and forms within the timeframes set out in the COR 2020 Program Guideline. There are three stages in the COR 2020 AUDIT process: 1. preparing for the AUDIT 2. Performing the AUDIT 3. Summarizing the AUDIT 1. preparing for the AUDIT General AUDIT Information The AUDIT requires review of documentation, observation of work in progress and interviews of representatives of management and workers. The time taken to complete an AUDIT depends on the size and diversity of activities and locations within your organization.

9 Just considering the interview stage, each one will take approximately 30 minutes. If your AUDIT requires 10 employees to be interviewed, the total interview time is 5 hours. Depending on where your employees are located and their availability, additional time may be needed. Preparation for AUDIT includes: Pre- AUDIT preparation: The organization through the senior management representative and the internal auditor must create an internal AUDIT plan. The AUDIT plan should be communicated to the appropriate employees so they know what to expect when the AUDIT is carried out and what their responsibilities are.

10 Opening Meeting: The organization must hold a pre- AUDIT meeting where the AUDIT plan is discussed. The organization must document the meeting by keeping minutes. The date of the opening meeting must be recorded on the AUDIT Information Form that will be submitted with your AUDIT . Project/workplace familiarization: The internal auditor must be familiar with the organization and the workplaces to be audited. I n f r a s t r u c t u r e H e a l t h & S a f e t y A s s o c i a t i o n ( I H S A ) 07/ 2 0 6 COR 2020 AUDIT Ha n d b o o k Use the checklist below to help you ensure you have covered all the details for your pre- AUDIT steps.