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.
   

Extensions and Rescheduling

• Can I request a deadline extension or reschedule my interview?
  Individual registrants randomly selected for an individual audit are required under the Bylaws to participate in the audit process by, among other things, submitting requested information within the allotted timeframes and attending interviews. However, deadline extensions and interview rescheduling requests may be granted if there is a valid reason. 
• How can I request a deadline extension or interview rescheduling?
  To request a deadline extension or to request the rescheduling of an interview, you must fill out the Compliance Audit Extension and Rescheduling Form and send it to appropriate audit program staff, such as the assessor or the Individual Audits general email, [email protected]. Please ensure you fill out the form completely, including providing the earliest dates you will be available, the reasoning for the request, and any relevant supporting documentation.
  
  A deadline extension or interview rescheduling request with a valid reason may be granted at the discretion of the audit program staff. Staff may follow up to request additional documentation if none is provided.
• What are considered valid reasons for requesting a deadline extension or interview rescheduling?
  Valid reasons for requesting a deadline extension or interview rescheduling are extenuating circumstances that are serious, unexpected, and/or unavoidable, including but not limited to:

  • short-term sickness or medical issue; 
  • out of the country for personal or work travel;
  • unexpected family or professional obligations (not including day-to-day occurrences that the registrant would reasonably be expected to plan for) such as:
    • bereavement;
    • last-minute caregiving requirements; or
    • major organizational restructuring directly impacting the registrant;
  • uncontrollable situations affecting your ability to meet a deadline or attend an interview, such as:
    • IT system failure impacting access to records; 
    • power outage; or 
    • natural disaster.

  Note: If you are on a pre-existing parental, medical, or compassionate care leave, you may qualify for an individual audit exemption. Review the criteria and apply for an exemption here.

• What if I would like to request a deadline extension or interview rescheduling for a reason other than those above?
  Registrants may miss one deadline or scheduled interview throughout the audit process without a valid reason. When this happens, audit program staff will attempt to contact the registrant to make alternate arrangements. 
  
  After missing one deadline or interview without a valid reason, audit program staff can decline requests for additional extensions at their discretion, considering factors such as the reasoning provided, the level of participation in the audit program to date, the risk of the registrant’s practice, and any findings to date.
• What is considered a missed deadline or interview?
  A deadline will be considered missed if the action has not been completed by 11:59 PM Pacific time on the due date posted in the audit portal and communicated by email. 
  
  An interview will be considered missed if a registrant does not attend and/or requests to reschedule an interview within 24 hours of the scheduled interview time.
• What happens in the case of a missed deadline or interview?
  Missing a deadline or not attending an interview is considered non-participation in the audit process. If a registrant fails to participate in the audit process and there are no extenuating circumstances, audit program staff will initiate suspension proceedings, per Bylaw 8.6(6.3).
  
  Prior to initiating suspension proceedings for a missed interview, program staff will set a date and time for a mandatory interview. If the registrant fails to attend or fails to provide an alternate time within the same timeframe as the mandatory interview, the interview will be considered missed and suspension proceedings will be initiated.
  
  If suspension proceedings are initiated, the registrant will be emailed a written notice at least 15 business days in advance of the pending suspension with the reason(s) for the suspension, the date on which the suspension will take effect, and what action(s) must be taken to avoid suspension.
  
  Registrants who complete all action(s) listed in the written notice prior to 11:59 PM Pacific time on the day prior to the date of the pending suspension will not be suspended and the audit process will continue.
  
  Audit program staff may initiate suspension proceedings due to non-participation:

  1. If a registrant misses multiple deadlines and/or scheduled interviews and the mandatory interview;
  2. If the registrant fails to respond to audit program staff as noted above; 
  3. After extensions have been granted in numbers or durations that are unreasonably delaying the audit, regardless of the validity of the reasoning; or
  4. If there is a pattern that may indicate that the reason(s) provided are not genuine.

  Registrants will be emailed a written notice with:

  1. The reason(s) for the suspension;
  2. The date on which the suspension will take effect (i.e., 15 business days from the start of suspension proceedings, per Bylaw 8.6(6.4)); and
  3. What action(s) they must take to avoid the suspension.

  Registrants who complete all actions listed in the written notice within the specified timeframe will not be suspended. Any further missed deadline or interview during the audit will result in a new suspension notice.

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.