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.
