Northern Safety Network Yukon

COR® and SECOR® Audits

External Auditors

Please see the current list of endorsed external auditors.

Pre-audit Checklists

The first step to completing any COR®/SECOR® audit is to identify the auditor and get approval for the audit to proceed.

For internal audits: Complete the pre-audit checklist for internal audits and submit to NSNY for approval. Once the checklist is approved, the audit can proceed.

For external audits: Complete the pre-audit checklist for external audits with your external auditor and submit to NSNY for approval. Once the checklist is approved, the audit can proceed.

To assist with preparing for your audit, please use the Audit Preparation Checklist

Audit Document

The new NSNY COR®/SECOR® Harmonized Audit Tool 2023, v.1 is available for download. Please note, you do not need to complete the supplementary excel document when using this new tool.

Tips:

  • If you have issues opening and/or saving information in the document, make sure you have the audit document open in Adobe Reader instead of PDF Reader.
  • The audit document asks for a digital signature. Only sign the document once you have fully completed it. Once it has been signed, it may lock the document so no further edits can be made.
  • An alternative to digitally signing is to print the Audit Completion page and sign manually and send that page in with the completed audit.

COR® / SECOR® Harmonized Audit Tool Information:

  • An element on Procurement and Contractor Management has been added (element 14). The score of this element will not count towards the overall total score of the audit for the first year of implementation. Template forms and policies for Procurement and Contractor Management can be found HERE.
  • Element 15 now incorporates the questions on Health & Safety Committee/Reps, RTW, Violence & Harassment Prevention.
  • Comments are now only required for negatively scored questions. There is space for comments in the interview and observation sections only. An Executive Summary is still required and needs to provide insight into the audit scoring.
  • The document does not auto-populate any information or scoring. Scoring will need to be calculated and entered manually. Please feel free to use this Interview Calculator to assist with tallying the scores
  • The document is an Adobe PDF which should make it more compatible with everyone's operating system.
  • The questions, guidelines, formatting, look and feel of the audit are all updated and harmonized nationally.

Completing Your Audit

The COR®/SECOR® Audit Guide is a step by step guide that walks you through the auditing process from start to finish.

The NSNY Quality Assurance Document is for Health & Safety Audits.

Common Audit Errors

Writing Quality Comments


Helpful Videos

Check out these helpful resources on completing a COR® Audit from the Alberta Construction Safety Association (ACSA).

Source: http://www.youtube.com/user/ACSASafety/videos

Audit Observations - Are you auditing a company's safety program? This video is a guideline on observing site conditions as well as levels of compliance with policy and legislation.

Hazard vs. Risk - A brief video explaining the importance and meaning of the terms "Hazard" and "Risk".

How to fill out a Field Level Hazard Assessment Form (FLHA) - View a tutorial on how to complete a Field Level Hazard Assessment (FLHA).

Internal Audits: Maintaining your COR®

An internal audit must be completed by COR® companies in the second and third year to maintain good standing (the years between external audits). The internal audit is conducted by the employee of the company with the Internal Auditor Training Program Certification. This certification involves a 3-day course and the submission of a student audit to NSNY for review and acceptance. This certification is valid for 3 years.

Prior to conducting your internal audit you must submit a pre-audit checklist for approval for the audit to proceed.

SECOR® companies do not require an internal audit in the years between external audits in order for the company to maintain their good standing. They are required to submit an Annual Documentation Submission in place of an internal audit.

External Audits: Obtaining full COR® or SECOR® Status

The company health and safety manual must first be reviewed and accepted by NSNY, and the company owner/senior manager and/or employees must complete the training requirements

Your company must then implement the developed health and safety program as outlined in your manual and arrange to have an external audit completed on your worksite(s) once at least 3 to 6 months' worth of safety documentation has been compiled.

The external audit must be completed by one of the NSNY Endorsed External Auditors. Please note that there is a cost associated with undergoing your external audit. The cost can vary depending on your auditor and scope of operations, so it is a good idea to request quotes from different auditors to find the best fit for your company.

Choosing your External Auditor

All of the NSNY Endorsed External Auditors have a professional background and experience in health and safety. If you are interested in applying to become an NSNY External Auditor, please continue scrolling to download the process/application form.

An external auditor may only be chosen if no conflicts of interest exist between the auditor and your company. The checklist must be submitted to NSNY prior to the audit taking place.

Conflicts of interest include but are not limited to:

  • Auditor was directly involved in setting up the company’s health and safety program
  • Auditor was an employee of the company within the last year
  • Auditor is a subcontractor to the company

When hiring an auditor it is recommended that your company:

  • Request a quote or estimate for the audit from several different auditors
  • Discuss with the auditors their previous experience with your type and size of work site

Once the external audit has been submitted to NSNY for review and the audit is accepted, the final step is WSCB endorsement. The company will then hold COR®/SECOR® certification for three years, at which point the company will be required to undergo another external audit to re-certify.

You can also provide feedback on your external auditor.

External Auditor Endorsement Process

If you are interested in becoming an endorsed external auditor please see the External Auditor Endorsement Process and Application Form. If you have further questions, please contact NSNY.

The Audit Review Committee

The Audit Review Committee (ARC) is comprised of representatives from Northern Safety Network Yukon (NSNY), industry, and Workers' Safety & Compensation Board (WSCB) and a NSNY endorsed external auditor.

The primary purpose of ARC is to provide a mechanism for making recommendations to the NSNY Board on any disputes that are related to the Yukon COR Program. Recommendations will be based on an established standard disciplinary action process used when auditors are not following the Auditor Agreement and Code of Ethics and in the event that companies are not in compliance with the national standards set forth by the COR Program, or in cases when companies are disputing their audit results.

ARC is also responsible for reviewing and providing feedback on audit standards and program development to the NSNY Board. Application of disputes or appeals can come from companies/organizations, NSNY, WSCB, or external auditors.

The objective of ARC is to provide a forum that:

  • Offers arms length recommendations to the NSNY Executive Director/Board of Directors for dispute resolution or appeals relating to the Yukon COR Program
  • Gives recommendations to the NSNY Executive Director/Board of Directors on any disciplinary action required
  • Reviews and offers feedback on the audit standards and program development to the NSNY Board

The ARC's responsibilities include reviewing and making recommendation to the NSNY Board regarding:

  • Disputes relating to an audit or employer COR®/SECOR® process that cannot be settled between NSNY and the employer
  • Breeches of code of ethics and auditor agreement
  • Appeals and corrective disciplinary action for auditors and/or auditees
  • Sounding board for extenuating circumstances around COR de-certification, suspensions and/or extensions
  • Industry audit standards and documents
  • Auditor training program
  • Auditor endorsement process
  • Annual revision of ARC roles and responsibilities

Complaints/disputes must be provided in writing using the Application for Audit Complaint/Dispute Submission Form and cannot be submitted anonymously. Once the required documentation is received NSNY will schedule a special meeting of the ARC committee.

Recommendations from the meeting will be submitted by the Chair/Co-Chair of the ARC to the NSNY Executive Director/ NSNY Board of Directors. NSNY will then respond to the recommendations and/or schedule a special board meeting to discuss and come to a decision on the issue.