Individual Audit Program FAQs

Selection Criteria

• How do you determine who is selected for an audit?

  Each month, a group of registrants is randomly selected for an audit in line with the Bylaws (including Section 8.6(2)) and the random selection criteria approved by the Audit and Practice Review Committee.  

  Program staff use a random selection tool that chooses registrants from amongst the pool of all registrants who are eligible for audits. The random selection process is purposefully kept separate from other regulatory processes, including investigation and discipline proceedings, to ensure the program is proactive and objective. 

  Currently, the random selection criteria is 90% practising registrants, 5% non-practising registrants, and 5% registrants who have reinstated their professional registration after a lapse of 6-18 months. In future years, individual audit program findings and other trends may be considered to update the random selection criteria.

• How does Engineers and Geoscientists BC ensure that the audit selection is random?
  The random selection process is automated, and a set number of auditees are randomly drawn out of the pool of registrants meeting the selection criteria. Staff do not manually choose auditees.
• If I change my status to Non-practising or Retired (or I already have that status), am I still required to participate in the individual audit?
  Non-practising and retired registrants are still eligible for audits. The main purpose of auditing non-practising and retired registrants is to confirm that the registrant is not practising professional engineering or geoscience. The assessor may also ask to verify past projects while the registrant was under practising status.
  
  The audit process for non-practising and retired registrants involves filling out a few sections of the audit questionnaire. An assessor will then review the information provided, and if any further information or clarification is required, the assessor will reach out via email.
  
  Please see Section 3.1.5.3 of the Guide to the Audit Program for Individuals for more information about audits for non-practising registrants. You may also wish to visit our webpage for more general information about the implications of changing your practising status to non-practising: About Non-Practising Status

Exemptions

• I reside/work outside of BC. Do I qualify for an exemption?
  If you reside and/or work solely outside of BC, and do not intend to deliver any projects in BC for the next 2-3 years, you should still fill out the audit questionnaire as completely as you are able. Your assessor will review the submitted information to determine how to proceed with the audit.
• I am a sole practitioner. Am I still required to complete the individual audit?
  Only sole practitioners that are registered as a Firm with EGBC and hold a current Permit to Practice are exempt from individual audit, as all registered Firms are subject to a firm compliance audit. If you are a sole practitioner registered as a Firm and have been selected, please let us know by emailing us at [email protected]. 
  
  If you are unsure whether your firm needs to be registered, please review the information on our website: Firm Practice Overview and if necessary, complete an applicability review form.
   

Miscellaneous

• Do audits count as a Continuing Education activity?

  In keeping with what counts as a CE Hour (see Section 3.1.1 of the Guide to the Continuing Education Program), audits can be counted towards your CE Hours provided that you:  

  • find the process relevant to your area and industry of practice and 
  • feel that the process has contributed to the development or maintenance of your professional skills or knowledge. 

  When recording CE Hours, registrants should record one CE Hour for each hour of learning from the audit process; this could include time spent during preparation, interviews, and taking action based on the results of the audit. 

• Does Engineers and Geoscientist BC share my audit report and findings with my firm, once the audit is completed?
  No, Engineers and Geoscientist BC does not share audit findings or the audit report with your firm. Except where obligated to do so in accordance with legal or statutory requirements, Engineers and Geoscientists BC will not release any information related to a registrant’s compliance audit to a third party.
• My firm’s files are confidential and cannot be shared externally. Do I qualify for an exemption?
  Please fill out the audit questionnaire and identify any known confidentiality issues where applicable. Your assessor will review the submitted information to determine how to proceed with the audit.
• I am working on projects outside of BC (in a place with its own regulation). Should I answer the Questionnaire specific to BC work (none) or overall practice?
  Please answer based on your overall practice; however, the details of your individual audit will mostly focus on your practice in BC.
  
  When it comes to answering questions about the Engineers and Geoscientists BC quality management standards, please only focus on your BC projects. If there is a question about a standard that is not applicable to BC projects, please state not applicable under the section.