In response to the COVID-19 pandemic the Alberta Government and Certifying Partners have made significant changes to the 2021 Audit Requirements.


AuditSoft has implemented changes to support the 3 audit options for 2021. In the animated image below we illustrate how you can select between the 3 available audit options when you start a new audit. The options are:

  • Standard Full Audit Process (includes: documentation review, interview and observation tours)
  • Documentation and Interview Audit (includes: documentation review and interview) 
  • Documentation Only Audit (includes: only documentation review) 



Certification/Recertification Audits

The minimum standards for 2021 COR certification/recertification will be:

  • External audits conducted by documentation-only will be eligible for one-year CORs.
    • 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) will be eligible for three-year CORs.
    • The minimum requirement for a three-year COR will be any six months of documentation in the previous 12 month period.

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

Notes on certification/recertification audits:

  1. 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 1.9).
  2. Remote observations, while not required, may be conducted if practical.
  3. 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).  Approval by Certifying Partners (CP) is not required.

 

Maintenance Audits

The minimum standard for 2021 COR maintenance will be:

  1. Documentation-only audits conducted by the employer’s internal auditor or an external auditor will be eligible to maintain COR.
  2. The minimum requirement for a maintenance audit will be any three months of documentation in the previous 12 month period.

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

 

Notes on maintenance audits:

  1. Auditors conducting maintenance audits are encouraged to include interviews (conducted remotely).
  2. Remote observations, while not required, may be conducted if practical.
  3. 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 CP is not required.

 

WCB PIR Refund Eligibility

The WCB has confirmed PIR refund eligibility for the 2021 COR auditing plan.