The InUnison Guide to Achieving COR

Posted: Apr. 29, 2020

Tips for a Successful Audit

The Health and Safety Program and Policies are communicated to all staff through the InUnison platform. Ensure that your employees have Read and Accepted the programs and policies noted in the Documents Required list for each section of the audit. 

Tips for a Successful Audit – cont’d

Contact your InUnison representative to request PDF versions of all the Required Documents listed in each section to give easy access for your auditor.  You can also provide a login to your auditor to review the safety program electronically during the audit. 

Section 1: Management Leadership and Organizational Commitment

Audit Notes 

● Management commitment and leadership is the essential foundation for a successful occupational health and safety management system (OHSMS).  Management and employees working cooperatively together is required for a health and safety system to succeed.

● InUnison has developed OH&S compliant policies and it is imperative for a successful audit that your employees are aware of them and understand them. 

Documents Required

Health and Safety Policy

● Worker Safety Orientation Acknowledgement Form

● Obligations of Work Site Parties  

● As an organization, you must ensure that you have a current OH&S code readily available to all staff

Documents Health and Safety Policy

● Your company’s Health and Safety Policy must be signed and dated by Senior Management.  Request a copy from your InUnison representative.

● Ensure that the policy has been dated within the year to assist in communicating the organization’s commitment to Health and Safety.

Documents Worker Safety Orientation Acknowledgement Form

● This form is required to be completed for all current employees.  The Worker Safety Orientation Acknowledgement Form covers all awareness components for Sections 1, 5 and 7 of the audit.

Documents Obligations of Worksite Parties

● The Obligations of Worksite Parties program addresses all Senior Manager, Manager, Supervisor, and Worker Health and Safety Responsibilities.  This program must be marked “Read and Accept” by all users of the platform.  These Rights and Responsibilities are also covered in the Worker Safety Orientation Acknowledgement Form.

● Ensure that employees understand their rights (right to know, right to participate, and right to refuse dangerous work) and Managers understand their responsibilities for the health and safety of workers under their supervision.

Additional Details

● Your InUnison Health and Safety program provides sources of how employees are evaluated on their health and safety performance including Behaviour Based Safety and Job Safety Observations.  Use the Task Observations in Events to record these activities.

● Senior management must demonstrate their commitment to safety by participating in site tours, inspections, safety meetings and committees.  They must also address the organization’s commitment on an annual basis by signing a new Health and Safety Policy. 

Section 2: Hazard Identification and Assessment

Audit Notes 

● A major component of a COR audit is documentation related to formal hazard assessments and site-specific hazard assessments (also called field-level).  Formal hazard assessments are detailed, can involve many people, and will require time to complete. Site-specific hazard assessments are performed before work starts at a site and at a site where conditions change or when non-routine work is added.  Any hazards identified are to be eliminated or controlled right away, before work begins or continues.

● InUnison provides the programs and forms required to complete both formal hazard assessments and site-specific hazard assessments.  It is important that your staff are completing hazard assessments on a regular basis especially when conditions change.  The InUnison portal makes it easy to enter and keep track of these hazard assessments which you will need to produce for your audit. 

Documents Required

Risk Analysis by Job Task Form

Job Safety Analysis Form

Hazard Assessment section of the Corporate Safety Program

Documents Risk Analysis by Job Task Form

● Jobs must be inventoried for the purpose of Hazard Assessment.  The Job Inventory is compiled on the Risk Analysis by Job Task Form

● A Risk Analysis by Job Task Form must be completed for all tasks.  Have your employees assist in this process.

Documents Job Safety Analysis Form

● The specific tasks and listing of the hazards associated with each job is included on the Job Safety Analysis Form

● Be sure to consider both health and safety hazards as addressed on the Risk Analysis by Job Task Form and the four categories of health and safety hazards: Physical, Chemical, Biological, and Psychological and provide examples.  Include your workers in completing this analysis.  It will shine a new light on the potential hazards encountered and engage your staff.

Hazard Assessments

● Hazard Assessments must be completed for each hazard identified in the Job Safety Analysis Form.  Enter these as an Event in the InUnison platform for easy access to all staff.  Attach the completed Risk Analysis by Job Type Form and Job Safety Analysis Form

NOTE:    All completed Hazard Assessments for the last 12 months need to be included with your audit.

Documents Additional Hazard Assessment Details

● Senior management must be knowledgeable of the high hazard (critical) tasks related to their operations. 

● Managers and supervisors must be involved in the hazard assessment process.

● Workers must be able to describe how they participated in the development and/or review and revision of the formal and site-specific Hazard Assessments and identification of controls.

● Employees who lead the formal Hazard Assessments must be trained.

● The Hazard ID Event in the InUnison platform is used to report newly identified hazards.

Section 3: Hazard Control

Audit Notes 

● If an identified hazard cannot be eliminated, controls are implemented to reduce the risk of the hazard.  Implementation of hazard controls will result in the reduction of incidents. Three methods of control are: Engineering (e.g., elimination, substitution, guards, ventilation, sound barriers, etc.); Administrative (e.g., safe work practices, job procedures, job rotation, training, etc.); Personal Protective Equipment (e.g., eye protection, hearing protection, gloves, fire retardant coveralls, etc.). 

Documents Required

Risk Analysis by Job Task Form and Hazard Assessments from Section 2

Maintenance Policy andPreventative Maintenance SWP

Safety Inspections and Monitoring Worksites section 2.2 “Preventative Maintenance Programs and Equipment Inspections” of the Corporate Safety Program

Violence Prevention Policy and Violence Prevention SWP

Harassment Prevention Policy and Harassment Prevention and Resolution SWP

Documents Risk Analysis by Job Task Form and Hazard Assessments

● Hazard assessments must include controls for each hazard identified, including engineering, administrative, and PPE controls where applicable.

● Auditors must include high hazard items in the sample to verify they have been given priority.

● PPE controls will be verified through observation so ensure that your employees are using the required PPE.

● Managers and supervisors must be able to give examples of how they enforce hazard controls and workers must be able to describe the enforcement process.

Documents Preventative Maintenance

● Part of Hazard Control is Preventative Maintenance.  This is covered under the  Maintenance Policy and the Preventative Maintenance SWP.

● You will also need to provide maintenance records for all vehicles, equipment, tools and facilities for the past 12 months.

● Employees must be able to describe when and how defective equipment, vehicles, facilities, and tools are removed from service or for repair.

Documents Violence Prevention

● Violence prevention is another key aspect of Hazard Control.  This is covered in the Violence Prevention Policy and the Workplace Violence SWP.

● Be sure that your employees are trained in the Violence Prevention Plan and are able to explain in general terms the plan content, such as how to report violence and obtain immediate assistance.

Documents Harassment Prevention

● The hazard of harassment is addressed in the Harassment Prevention Policy and the Harassment Prevention and Resolution SWP.

● Be sure that your employees are trained in the Harassment Prevention Plan and are able to explain in general terms the plan content, such as how to report harassment and provide examples.

Section 4: Joint Work Site Health and Safety Committees and Health and Safety Representative

Audit Notes 

● Joint Work Site Health and Safety Committees are a key element of the internal responsibility system.  It brings work site parties together to work on topics such as hazard identification and control, investigation of health and safety incidents, and responding to reports of dangerous work.  
If the employer has 1-4 employees as determined through the audit scope, this element may be marked not applicable.

Documents Required

Communication – Safety Meetings section of the Corporate Safety Manual

Joint Work Site Health and Safety Committees and Representatives SWP

HSC Meeting Minutes from your InUnison platform

● Formal Inspections from your InUnison platform

Additional HSC and HSR Notes

● This section is mainly a review of documentation but ensure that your HSC members and/or HSR understand what their duties and responsibilities are.

● Employees will be interviewed to confirm that the committee members and/or HSR are involved in Health and Safety activities.

● Employees will also be asked how they go about bringing forward health and safety concerns.

● Managers must explain how they receive recommendations from the HSC or HSR.

● Ensure that the names and contact information for your HSC members and/or HSR have been posted in a conspicuous area like a lunchroom or communication board.

Section 5: Qualifications, Orientations and Training

Audit Notes 

● Qualifications, orientations and training are essential to ensure employees perform their job tasks in a safe and healthy manner.  An employer is responsible to ensure the employee is competent. 

Documents Required

Job Competency SWP and related Job Descriptions and Qualifications

Worker Safety Orientation Acknowledgement Form completed for all employees

● Supervisor Training Records entered on the Employee Safety Training Schedule

● Completed On-the Job Training Forms for all employeesEmployee Safety Training Schedule for Refresher Training

Documents Job Competency

● A process must exist that requires a check for qualifications required for the job/tasks (e.g. degrees, diplomas, certificates, trade certificates, apprenticeship program, diplomas, driver’s licenses, etc.).  Job descriptions need to be developed for all positions within the company.

● Managers/supervisors must be able to describe the process used and provide examples to verify that employees have the qualifications required to do the job for which they are being hired.

Documents Worker Safety Orientation Acknowledgement Form

● The Worker Safety Orientation Acknowledgement Form covers OHS rights and critical health and safety information prior to starting regular duties.

● Managers and supervisors must be able to describe the orientation process so that they ensure orientations are conducted prior to employees starting regular duties.

Documents Supervisor Training

● Managers/supervisors must be provided training specific to their role (e.g. incident investigation, hazard identification, communications, conducting meetings, supervisory techniques, enforcement and discipline, legislation, etc.).

● Record all training on the Employee Safety Training Schedule.

Documents On-the-Job Training Form

● Employees must be trained in the hazards and controls associated with their job. Examples may include a combination of reviewing policies, procedures, practical demonstrations, safe work practices, hazard assessments and training.  Record this training on the On-the-Job Training Form.

Competency Assessments

● As an employer you need to provide evidence that your employees have been trained and deemed competent to complete tasks required for their job.

● A self-assessment process identifies the gaps that require additional training or coaching with the option to add competency validations of critical tasks.

● These self-assessments can be done in house or InUnison offers a competency management tool under our InTrac system.

● Workforce functional competency allows for the ability to demonstrate quality assurance and compliance requirements.  Dedicated mapping of competency profiles allows for users to link individuals to one or more profiles for assessment and reporting. 

Documents Employee Safety Training Schedule

● The years between Refresher Training are noted on the Employee Safety Training Schedule.

Section 6: Other Parties at/or in the Vicinity of the Work Site

Audit Notes 

● Other employers, and/or self-employed persons, visitors, and external worksite parties must be included in the employer’s health and safety management system. 

Documents Required

Obligations of Work Site Parties from the Corporate Safety Program

Contractor Management Program SWP

● Visitor Orientations Documentation – this is Company Specific

Rules from the Corporate Safety Program

Documents Obligations of Work Site Parties

● The Obligations of Work Site Parties addresses the protection of other workers not under the employer’s direction, visitors and other persons in the vicinity of work that is being carried out.

● Managers and supervisors must be able to describe the process in use and provide examples of how external work site parties are made aware of their health and safety responsibilities, work site hazards and controls, and any changes that may affect their health and safety.

● Managers and supervisors must also be able to describe how they ensure that the policy is communicated to other employers and/or self-employed persons.

Documents Contractor Management Program

● An employer must identify what requirements they use to evaluate and select other employers and/or self-employed persons in order to allow them to conduct work. 

● The process to monitor health and safety performance and correct identified deficiencies for other employers and/or self-employed persons during the period of the contracted services is included in the Contractor Management Program.

Documents Visitor Orientations

● In-house documents are used for orientations provided to other employers and/or self-employed persons, and visitors.  

● Visitor logs may need to be provided as well.

Documents Rules

● Organizations must address non-compliance of other employers and/or self-employed persons under the direction of the contracting employer.  Rulesincludes the process to deal with other employers and/or self-employed persons when there is noncompliance to the employer’s OHSMS.

● This is verified by review of documentation.  Ensure that you have a solid paper trail of all disciplinary actions taken.

Section 7: Inspections

Audit Notes 

● The formal inspection process can proactively identify new potential hazards, as well as confirm the effectiveness of controls already in place. 

Documents Required

Inspection Policy

Safety Inspections and Monitoring Work Sites from the Corporate Safety Program

Work Site Inspection Forms

Employee Safety Training Schedule

Documents Inspection Policy and Safety Inspections and Monitoring Work Sites 

● The frequency of inspections is covered under the Safety Inspections and Monitoring Work Sites program.  Participation by all levels is detailed under this program.

Documents Work Site Inspection Form 

● Provide a sampling of completed Work Site Inspection Forms.  These forms may be attached to Inspections entered into your InUnison platform.  Ensure that there is participation from each level of management and the frequency stated in the Safety Inspections program is met.

Inspections: Correcting Deficiencies 

● Managers and supervisors must be able to describe how they ensure deficiencies identified through formal inspections will be corrected.  These deficiencies are recorded as Corrective Actions in the InUnison platform. 

● The auditor will observe whether deficiencies identified in the inspection reports provided have been corrected. 

Employee Training

● Record Inspections training received by all employees on the Employee Safety Training Schedule

Section 8: Emergency Response

Audit Notes 

● An emergency response plan helps ensure appropriate and efficient actions will take place in the event of an emergency or disaster. 

Documents Required

Emergency Response section from the Corporate Safety Program

Emergency Response Exercise Events from your InUnison platform

● Copies of First Aid certificates

Documents Emergency Response

● Potential emergency response plans are included in the Emergency Response program.

● Employees must be able to describe the type of training they received in emergency response.  They also must understand their responsibilities and describe how they would respond to an emergency and provide examples.

Documents Emergency Drill Records 

● Record all Emergency Response Exercises in your InUnison platform.  Drills are required at least once every 12 months and includes practice drills and tabletop exercises.

● Deficiencies identified in the drills can be recorded in the Corrective Actions.  The auditor will be looking to ensure that the deficiencies have been corrected.

Documents First Aid Records 

● Provide copies of First Aid certificates for all of your first aiders.  Ensure that you have enough First Aiders to meet the regulated ratios across all shifts.

● First Aid equipment, supplies and facilities must meet legislative requirements.  Refer to the Medical Emergency Response Plan (First Aid) SWP in the InUnison platform.

Section 9: Incident Investigation

Audit Notes 

● Investigations determine the cause(s) of an incident, and the corrective action(s) required to prevent a recurrence. 

Documents Required

Incident Reporting and Investigation Policy 

Incident Reporting and Investigation from the Corporate Safety Program

Incident Investigation Form

CSV export Event listing from your InUnison platform

Employee Safety Training Schedule specific to Incident Investigation

Documents Incident Reporting and Investigation Policy and Program 

● The Incident Reporting and Investigation Policy and Incident Reporting and Investigation Program address the requirement of reporting incidents including near misses, occupational illness, and work refusals.

● Investigations are completed on the IncidentInvestigation Form applicable to your industry.

Documents Incident Reporting

● All incidents are recorded as Events in your InUnison platform.  Employees need to be able to explain this process to the auditor.

● The auditor will be looking at all incident reports with a focus on near misses, occupational illness and work refusals.  Provide them with a list exported from your InUnison platform.

Documents Investigations

● Provide training records for all employees that have been trained in incident investigations.  This should be recorded on the Employee Safety Training Schedule.

● Managers and employees need to be able to describe management and worker involvement in investigations and provide examples.  Management need to ensure that investigations are completed in a timely manner.

● The findings in all investigations need to be communicated to employees.  Employees will need to provide examples of how results are communicated.

Documents Corrective Actions

● Once an Investigation has been completed, attach the corresponding documentation to the Event in the InUnison platform for quick reference.

● Corrective Actions that stem from Investigations are entered into the InUnison platform.

● The auditor will be looking for completion and implementation of corrective actions.

● If the corrective action is administrative, be prepared to show documentation like proof of training, memos, safety bulletins, etc.

Section 10: System Administration

Audit Notes 

● System administration provides an evaluation of the overall effectiveness of the occupational health and safety management system (OHSMS). 

Documents Required

Health and Safety Statistics from your InUnison platform and Analysis

● Previous COR Evaluations

● Previous Action Plan

● Action Plan Implementation

System Administration

● Employees must be able to describe how they are advised of health and safety issues and how they are able to offer feedback.

● Employees must be able to provide examples of how health and safety information is readily available – the InUnison platform includes the complete manual.

● Management must describe their involvement in improving safety performance and how they are held accountable.

● Employees must be able to describe how the OHSMS evaluation and action plan results are communicated to them, e.g., Safety Meeting topic.

Documents Health and Safety Statistics and Analysis

● H&S statistics are compiled on the Dashboard of your InUnison platform.

● You will need to complete an analysis of the trends in these statistics.

DocumentsPrevious Evaluations and Action Plans

● You will need to provide copies of previous audit results.  If this is your first audit, this part is not applicable.  The auditor is looking for completion of annual evaluations (internal audits).

● Any deficiencies from the previous audit must be addressed in an Action Plan.

● The auditor will be looking to see that the previous Action Plan has been implemented.



You now have all the documents ready for your audit

If you require further assistance, please reach out to your InUnison representative or [email protected]

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