Certificate of Recognition (COR) Program
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
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
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
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
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
-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.
-Audit to be bound, organized, and includes a table of contents that coincides with
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
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
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
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
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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
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