Certificate of Recognition COR Program APRIL SECOR REVIEW FORMS

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					                   Certificate of Recognition (COR) Program
                                   APRIL 2008

                 SECOR REVIEW FORMS – EXTERNAL AUDITOR

Enform, as a Certifying Partner, is responsible for the quality assurance review of
all audits submitted for the purpose of certification, recertification, and maintenance
of a Small Employer Certificate of Recognition (SECOR). Alberta Employment,
Immigration and Industry (AEII) has developed a standardized SECOR QA review
form. The form will be adopted by all Certifying Partners in an effort to ensure
consistency in QA policies and procedures.

As SECOR holders with Enform frequently hire external auditors to perform their
SECOR audit, Enform has adapted the new SECOR QA review form to meet this
need.

Quality Assurance Review: The SECOR QA review forms for SECOR audits
performed by external auditors can be found on the support site under:

Standards and Forms\ Review Standards

The review forms are completed by Enform audit reviewers. Please view the forms
to become familiar with how your SECOR audits will be reviewed. The
implementation date is May 1, 2008.

A summary of the process for you to follow when conducting the SECOR audit is
included in the article External Auditors Conducting SECOR Audits. Please read
this article as it may answer many of your questions. If you still have questions
please visit the Auditor Support Site Forum as there will be a discussion going
where you can ask your questions. All articles are posted on the Support Site
under:
COR Articles \Whats New.

Page 1 of the SECOR Review Forms

Page 1has fields that the certifying partner uses to document whether the audit was
approved or not approved and signoff for entry into the governments on line
system.

It also has a Report Format Evaluation section with details:
Sufficient Auditor Notes exist to confirm system – The reviewer will check that
the auditor has provided detailed auditor notes that sufficiently answer the audit
question, describes what the company has in place to award the points or not
award the points and justifies points awarded according to (D, I, O).
Recommendations are written for all deficiencies noted – The reviewer will
check that all questions that have a deficiency also has a recommendation
provided.
Completed report has a professional appearance – The reviewer will check this
box to verify that the report is professional in appearance (i.e., typed and
presented in a neat and organized format).
Report format followed - Reviewers must verify here that the auditor has
followed the report format required by the CP. The report format is:
-Cover letter to Enform (confirm audit was previously registered and purpose of
submission)
-Company profile
-Executive Summary
-SECOR audit forms with the Yes/No columns completed with a checkmark or X.
-Prime Contractor Information forms
-Employee Information Sheets
-Action Plan completed by employer
-Detailed auditor notes section that references the audit question.
-Recommendations section that references the audit question.
-Conclusion
-Audit to be bound, organized, and includes a table of contents that coincides with
tabs
Number of employees is 10 or less – the reviewers will confirm this criteria by
review of the audit submission.

Brief operation description given – The reviewer will look for a description for
an understanding of what the type of company was being audited to assist in the
quality assurance review of the audit. (i.e., seasonal, client’s demographics,
geography, description of facilities and vehicle fleet, and location of the head office
etc.)

Pages 2 – 12 of the SECOR Review Forms
These pages reference each question from the SECOR audit forms and the reviewer
will score each question with a Y (yes) or N (No) according to whether the auditor
has met the criteria in their audit report.
If there is missing criteria (insufficient auditor notes/recommendations) the
reviewer will highlight the areas and put an X for the item.
Resubmissions – The reviewer will use the columns Correction Date and Final Score
to re-score the audit.
   Questions 1.2, 1.4, 2.5, 3.2 are not applicable for SECOR employers who are
   owner/operators. This is indicated by an asterisk (*) on the SECOR Review Forms.

   Questions 5.1 – 5.4 are not applicable if the SECOR employer does not go to site
   visits to conduct work. The reviewer will look for indications that the SECOR
   employer is strictly an office/shop environment or similar.


   Pages 13 of the SECOR Review Forms
   This page is used to score the audit review. An 80% score is required to pass the
   audit. There are two tables for scoring, the second one is used in the event that
   the audit was a resubmission. The second review score would be entered on the
   second table.
   The implementation date for the Quality Assurance review forms for SECOR audits
   is May 1, 2008. All SECOR audits performed by external auditors will be reviewed
   using the new SECOR QA review forms after this date.
   Please visit the Auditor Support Site Forum for discussions and questions on these
   forms.
   Contacts:
Brad Jackson           Juliet Goodwin        Paula Campkin         Kathy Wilson          Carolyn Golightly
COR Manager            Supervisor – COR      Program Manager –     COR Program Advisor   Program Manager
Calgary, AB            Certification         Safety Program        Calgary, AB           BC Operations
(403) 250-0893         Calgary, AB           Certification         (403) 769-9793        Fort St. John, BC
bjackson@enform.ca     (403) 250-0888        Calgary, AB           kwilson@enform.ca     1 (250) 785-6009
                       jgoodwin@enform.ca    (403) 769-3799                              cgolightly@enform.ca
                                             pcampkin@enform.ca

Kim Simmons            Shannon Gardner       Carol Hockley         Erin Monner           Craig Bennett
Safety Audit Analyst   COR Program Advisor   COR Program Advisor   COR Program Advisor   Safety Services
Calgary, AB            Calgary, AB           Calgary, AB           Calgary, AB           Advisor
(403) 250-7607         (403) 250-7601        (403) 769-3794        (403) 769-3793        BC Operations
ksimmons@enform.ca     sgardner@enform.ca    chockley@enform.ca    emonner@enform.ca     Fort St. John, BC
                                                                                         1 (250) 785-6009
                                                                                         cbennett@enform.ca