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.

Audit Document

The COR™/SECOR™ Audit Document version 8.4 is available for download.

For your first external audit year, RTW will be graded but it will not affect the overall score of your audit. Please contact our office if you have any questions.

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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.

Internal Audit Tips and Tricks is a guide to help you avoid common errors found in audit submissions that can delay your certification.

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

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

Scoring the Audit Document - This video walks you through the process of scoring a standard audit when measuring a health and safety program.

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.

Auditor Comments - Are you auditing a company's safety program? This video is a guideline on what acceptable comments might look like, their purpose, and how to avoid miscommunication when filling out a standard audit document.

Formal Hazard Assessment, Inspections & Site Specific Hazard Assessments - Learn about the components of (and differences between) a formal hazard assessment system, informal and formal inspections, and site specific hazard assessments.

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™

SECOR™ companies do not require an internal audit in the years between external audits in order for the company to maintain their good standing.

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 2-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.

External Audits: Obtaining full COR™ or SECOR™ Status

Once your company health and safety manual has been reviewed and accepted by NSNY, and the company owner/senior manager and/or employees have completed the training requirements, your company will have been issued a Temporary Letter of Certification (TLC) for up to 180-days. Your TLC is what you use to bid on upcoming jobs that require COR™/SECOR™ in order to secure an active worksite.

During the time period specified on your TLC, your company must implement the developed health and safety program as outlined in your manual and arrange to have an external audit completed on your worksite(s).

The external audit must be completed by one of the NSNY Endorsed External Auditors prior to the expiry date of the TLC. 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.

It is important to complete and submit your external audit to NSNY before the expiration date on your TLC.

If you have not have any active work sites in order to carry out your external audit within the duration of your TLC, you may request an extension in writing to the COR™ Coordinator prior to your TLC's original expiration date.

NSNY may request that your letter be notarized.

Your extension letter request should state:

  1. Your TLC's original expiration date
  2. Reason for requesting the extension
  3. Whether or not your company has had any active worskites during the time frame specified in your original TLC
  4. Signed and dated by the company owner/senior manager.

Companies who have had active (auditable) worksite(s) and have failed to carry out their external audit within the time frame specified on their TLC will not be eligible for an extension and must start the application process over again following a 12 month wait period.

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 YWCHSB 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 Yukon Workers’ Compensation Health and Safety Board (YWCHSB) 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, YWCHSB, 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 issuing Temporary Letter of Certification (TLC) or 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.