6. AUDITING OF PROGRAMS


6.1 Due Diligence

As part of the privilege of self-governance, the Association is responsible for auditing continuing professional development efforts. Auditing of selected individual members' programs may be undertaken
  • by random selection
  • as part of a review of a high-risk industry
  • by status change from non-practicing to practicing
  • in response to specific complaints from stakeholders
  • as part of a Practice Review or Investigation

Should an audit be initiated, you will be contacted and requested to submit your records for review. The audit will be to confirm that you have a continuing professional development program in place, and the program meets the intent of the guideline.
Records submitted will initially be reviewed by APEGGA staff members. You may be contacted to discuss the content of your program. Staff members may provide suggestions on how to structure your program. In some situations, volunteer experts may be asked to assist.
If your program is satisfactory, you will be so advised and your records returned. If your program is found to be unsatisfactory, a request for improvement may be made and a reasonable amount of time given for that improvement. If a follow-up audit is also unsatisfactory, the case may be referred for further action. At this point, all existing procedures of Investigation, Discipline and Appeal will come into effect.


6.2 Confidentiality

Submitted records will be held in confidence and returned at the end of the audit process. If your program involves proprietary information, further arrangements will be made to ensure confidentiality.

   

[ INTRODUCTION ]...[MEMBER STATUS]...[THE PROGRAM]

[KEEPING RECORDS & REPORTING]...[ROLE OF THE EMPLOYER]

[AUDITING OF PROGRAMS]...[APPENDICES: 1, 2, 3]...[WORKSHEETS AND EXAMPLES]

[CONTENTS]