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Auditor Updates

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November COR Communication 2019

November 2019

 

In this issue:

2019 year-end reminders
What does 2020 look like for Auditors and members?

Audit Peak Season

November – February is our audit peak season; CCSA typically sees about 80% of the audits come in during this time. Audits submitted during this time will typically see a 4-6 week  turn around rather than 2-3 weeks.

2019 Audit Season reminders

All audits must have the data collection and Post Audit Meeting completed by Dec 31/19.
First time using the new 2019 audit tool?  Refer to your 2018 Auditor Refresher manual or contact CCSA should you experience any issues or have questions. 

**Make sure you have downloaded the most recent audit tool from our website**

Click here to access tool  

Please be sure to contact CCSA before you start your audit to let us know of the start date. 

2020 Audit COR Maintenance options

Internal Audit

Audits must either be conducted by an internal auditor. If your organization does not currently have a certified internal auditor, auditor training sessions will be scheduled for the new year.  Watch your email for more details. If organizations choose, they can hire an external auditor to complete the maintenance audit.

Action Plan

Your organization must:

Have achieved 90% or greater on your COR Recertification Audit
Have 150+ employees

If you meet the above and are planning to do an action plan, the application must be submitted by March 31st, 2020. Any action plans submitted after that date will not be accepted.

 

New for 2020

Corrective Action Report (CAR) - trial for 2020

The CAR process allows an employer to have an assessment conducted of their OHSMS using the documentation and observation questions from the CP's audit document, but without the requirement to conduct staff interviews.

The CAR is completed by a certified auditor, who together with the employer develops a detailed plan for correction of deficiencies and identification of improvements to the employer’s OHSMS.

If you believe your site may be a good candidate for this option, please contact CCSA.

COR Communication - October 2019

October 2019

As we embark on the fall audit season, a few reminders for both auditors and employers. 

Auditor Responsibilities

Send the employer a request for information
Perform the audit during periods of high activity; remembering that all shifts will need to be interviewed.  The auditor will need to flex their schedule to complete the entire scope of interviews.
Data gathering activities cannot exceed 45 days, which begins as soon as auditors start to review documents (even if before on-site activities begin)
Write the audit report within 21 days
If there are any issues with the employer during the audit, contact CCSA immediately
All internal and external auditors need to remember to sign and submit the auditor code of ethics before you submit your audit.

Auditor QA Process

If QA revisions are required, the auditor has 15 days to submit the corrections
Please ensure these corrections are made within the Audit tool sent back to you with the QA comments. 
All corrections are to be made in the justification/SFI or Strength area, not in the QA comment box
Qualifying audits cannot be conducted as a team audit.
Evidence of boilerplating within or between audit reports submitted is a critical error.  All audits will be considered null and void if either of these are determined.
Auditors, when releasing results of the audit, to release only the last 2 tabs to the employer. PDF the Audit Report Worksheet and then the Executive summary worksheet ONLY and submit those to the employer. The employer should not, under any circumstance, received the entire Audit Workbook (excel file)

 

Employer responsibilities

Submit group application if required prior to the audit being conducted
Upon request from auditor, the employer is required to send a breakdown of employees by level, shift, position, years of service.
The employer must not select the interviews for the auditor
Employers must apply for use and their reasoning of written questionnaires to CCSA.  Only after approval by CCSA can they be used.   
Grant auditor access to any required areas to complete the audits and supply all OHSMS documentation.
Inform the auditor if there are high hazards while on-site
If there are issues with the auditor during the process, please contact CCSA immediately

 

Employers looking at certifying additional internal auditors, please keep the following in mind when choosing your candidate:

FTE/position – completing an audit requires that the candidate can flex their time.  The employer must also provide adequate time and resources to complete the audit within the timelines.
Knowledge – a theoretical understanding of the subject.  Auditors need a good understanding of the 10 elements required in a PIR-compliant OHSMS; the purpose of each element, what is involved in each element and how it is implemented. 
Skills – Auditors require a variety of skills to help conduct an audit, such as; listening skills, verbal and written communication skills and interview skills. 
The ability to analyze and interpret information, to ask the right questions and be able to summarize is imperative for an auditor. 

 

Please be sure to contact CCSA before you start your audit to let us know of the start date. 

AB Gov New Bulletin for COR

Effective January 1, 2019, there are updates to the COR standards. This information bulletin answers some frequently asked questions about COR and gives an overview of the ten elements in the 2019 COR standards. 

IMPORTANT UPDATE FOR COR HOLDERS & AUDITORS

March 7, 2019

Partnerships has approved an exception for Health and Safety Committee/Representative documentation for 2019.

This exception will be rescinded effective December 31, 2019.

Alberta’s new OHS Act came into effect on June 1, 2018 and included new requirements for employers to establish HSC/HS representatives.

For COR purposes, employers will be granted eligibility for a 3-year COR if they have implemented the requirements for HSC/HS representative(s), but have not yet accumulated the required 12 months of supporting documentation (see Section 1.1.7 and Section 3.3.1.2).

The exception can only be applied to content criteria (46-55) in this element, and audits must be conducted prior to December 31, 2019.

46.    A terms of reference for the HSC is in place as per legislated requirements.

47.    A policy or procedure identifies guidelines for the employer’s HS representative(s), as per legislated requirements.

48.    The duties assigned to HSCs and/or HS representative(s) meet legislated requirements.

49.    HSCs and/or HS representative(s) are trained for their role, as per legislated requirements.

50.    HSCs and/or HS representative(s) are knowledgeable about their duties and responsibilities.

51.    A system is in place, for the HSCs and/or HS representative(s) to address health and safety concerns/complaints and provide recommendations.

52.    A system to ensure health and safety concerns/complaints are resolved in a timely manner as per legislated requirements.

53.    The HSCs and/or HS representative(s) are functioning as per legislated requirements.

54.    Committee meeting minutes are readily available to employees.

55.    Committee members and/or health and safety representative(s) contact information is posted at represented work sites.