Preparing for a COR Audit can be stressful, especially an External COR Audit. Proactive planning can alleviate a lot of that stress when you take some steps in advance to help ensure a smooth audit. At Safety Ahead, we have had lots of experience over the years in assisting companies with both Internal and External COR Audits, so we understand how important it is to be well-prepared. We also know how easy it is to overlook small details during the planning stages. To help you stay on track and organized and avoid common mistakes like missing documentation and a lack of staff involvement - we have developed a list of effective tips to help you ensure that your company’s Audit is a successful one!
6 Months Before the COR Audit
- Review the Audit Requirements – download a copy of the Audit Tool from your company’s Certifying Partner and confirm that your company has all the requirements in place for documentation and observations and that staff are trained in the company’s HSE processes. This will help prevent any surprises during the audit.
- Update Your Program – make any updates to your company’s HSE Program well in advance so you have enough time to communicate changes with your team.
- Make an Audit Schedule – have a meeting with your team to discuss the scope of the audit in advance so you can prepare your staff and your worksites. Key personnel, such as Senior Managers and HSC Members, as well as your main contact person, will need to be available during the audit. You will also need to ensure that your company will have active worksites available for observations that accurately reflect the company’s WCB Industry Codes.
3 Months Before the COR Audit
- Book your Auditor well in advance – Auditors schedules can fill up fast and you want to ensure your company’s External Audit can be conducted when it needs to be. Set a reminder in your calendar at least 3 months in advance of when your company audit needs to start – this will remind you to book your Auditor and plan your Site Assessment.
- Ensure your accounts are up to date – Certifying Partners, such as the ACSA, can have specific forms and information that are required to apply for your company’s audit. These can include things like Key Contact Lists, employee training certificates, and WCB account information.
- Prepare Company Documentation – having well-organized documentation is very important to help streamline the Documentation Review process. The auditor will need to review a large number of files in a short period of time, so having documents with proper (dated) file names and organized file folders will go along way in helping your audit stay on track. Organize 12 months of completed documentation that the Auditor can access for review. Use the Audit Tool or the COR Documentation List (if available) provided by the Certifying Partner to confirm you have all the required documentation.
30-45 Days Before the Audit
- Complete the Site Assessment – set aside some time to complete the Site Assessment, this is how companies request their Audit. The Site Assessment must be approved by the Certifying Partner before the Audit can start.
- Connect with the Auditor – introduce the company contact person to the Auditor before the audit starts – this gives the company the opportunity to discuss the audit scope and address any questions beforehand.
- Communicate Site-Access Requirements – the Auditor will need to know any important information for accessing the worksites included in the audit. Send an email listing any important information such as Pre-Access D&A Testing, Site-Specific Training and Orientation Requirements, travel requirements, etc. This will help ensure that the Auditor can complete any pre-access requirements on time and be prepared upon arrival for the Site Observations.
- Visit the Worksites – Refer to the Audit Tools Observation questions and make sure that your worksites have the required items and resources available. Make sure that items are available in the areas they are supposed to be.
15 Days Before the COR Audit
- Confirm the Audit Schedule – contact the Auditor and other key personnel to confirm the day/time for the Start-Up Meeting and to go over any final details. Follow up with the Auditor to make sure they have completed any pre-access requirements.
- Schedule the Start-Up Meeting – once the date and time have been confirmed, ensure to book a quiet space to hold the Start-Up Meeting. Make sure to include management and the main contact person.
- Complete a Final Check – review documentation and ensure that everything has been received from workers/worksites and has been filed in the proper area. Make sure there aren’t any missing documents.
- Set Up Access – the Auditor may need special access to review company documentation – ensure to set-up access for file storage systems like SharePoint, DropBox as well as any safety management software such as Workhub, SiteDocs etc. Follow up with the Auditor to make sure they can access the documents with no issue.
- Send Contact Information – the Auditor will need an up-to-date list of all current employees along with their job position, hire date and contact information. This will allow the Auditor to select which employees they will need to Interview as part of the Audit. Make a note of employees that might need accommodations, such as translators for ESL staff.
- Coordinate Interviews – schedules can conflict, so it is important to confirm availability when you are coordinating Interviews. Interviews are best conducted in-person whenever possible, so access to a private, quiet place like an office or a boardroom is ideal. The Auditor will let you know who they want to interview.
- Talk to your Team – Audits can be nerve-wracking for your staff, especially if they have never been part of an Audit before. Talking to your team about what to expect can help them prepare and calm their nerves.
The Day Before the COR Audit
- Meet with Your Team – finalize any last-minute details and go over the Audit schedule to make sure everyone is on the same page and there is no confusion.
- Prepare for the Start-Up – prepare the meeting room and print any schedules or information that you will be discussing.
During the COR Audit
- Be Available – the Auditor is likely to have some questions as they are conducting the Audit, having your main contact person available to the Auditor will help ensure the Auditor has information available and keep things on track.
- Follow-Up with the Auditor – checking in with the Auditor regularly and answering questions as they arise can also help the Audit timeline stay efficient.
- Seek Clarification – if you are unsure of what the Auditor is requesting, seek further clarification to ensure that all efforts are made to provide the requested information.
After the COR Audit
- Review the Audit Report – distribute the Audit Report to the management team and schedule a meeting to discuss the Auditors feedback and come up with measurable corrective actions to implement the Auditors suggestions for improvement.
- Document a COR Action Plan – as part of the Audit process, a company must complete a COR Action Plan to address the Auditors findings – take time to sit down with your team and come up with methods to effectively implement corrective actions. Make the corrective actions specific and assign then to a specific person or work group with a target date for completion. And don’t forget to update your COR Action Plan as you complete corrective actions.
- Communicate the Findings – once the audit is finished, it is time to tell everyone how the company did. Reviewing the COR Action Plan is an important step, along with commending the team for all their hard work and efforts.
While COR Audits can be challenging, taking time to understand the requirements and prepare your company in advance can go a long way in ensuring a successful audit.
For assistance in developing a COR compliant HSE Program or preparing for your next COR Audit – please contact Safety Ahead at (780) 473-4772 and we would be happy to help you out!