2021 Certificate of Recognition (COR) COVID Audit Plan

Direction on COR auditing requirements in 2021 from Alberta Labour – Partnerships.

Certification/Recertification Audits

The minimum standard for COR certification for 2021 will be:

• External Audits conducted by documentation-only = one-year COR

  • The minimum requirement for a one-year COR will be any three months of documentation in the previous 12-month period.

• External Audits conducted by documentation and interviews (conducted remotely) = three-year COR

  • The minimum requirement for a three-year COR will be any six months of documentation in the previous 12-month period.

Notes on certification/recertification audits:

• Remote interviews will be conducted using web-based platforms (Teams, Skype, WebEx, etc.), telephone calls, or in some cases questionnaires can take the place of interviews (as allowed by Partnerships Standard).

• Remote observations, while not required, may be conducted if practical.

• The minimum standard may be exceeded on an individual basis, if the auditor and employer agree that on-site interviews and/or observations can be conducted safety. The audit must be conducted according to the “Safe Auditing Guidelines” (to be developed).  Note this will not require individual approval by the AMTA in advance.

Maintenance Audits

The minimum standard for 2021 COR maintenance will be:

• Documentation-only audits conducted by the employer’s internal auditor or an external auditor will be eligible to maintain COR

  • The minimum requirement for a maintenance audit will be any three months of documentation in the previous 12-month period

Notes on maintenance audits:

• Auditors conducting maintenance audits are encouraged to include interviews (conducted remotely).

• Remote observations, while not required, may be conducted if practical.

• The minimum standard may be exceeded on an individual basis, if the auditor and employer agree that on-site interviews and/or observations can be conducted safety. The audit must be conducted according to the “Safe Auditing Guidelines.”  Approval by AMTA is not required.

WCB PIR Refund Eligibility

Both auditing options will be eligible for PIR refunds in 2021.

COR Audit Instruments

For regular COR certification, maintenance, and recertification audits in 2021, AMTA will use approved audit instrument:

• Documentation-only audits

• Documentation plus interviews (DI)

• Regular three technique audits (DIO)

Ensure you are using the 2021 Audit registration form and indicate the audit instrument you will be using.

This will be effective for all audits conducted from January 1 to December 31, 2021.