Undergoing a Compliance Audit? New how-to guides can help
With the introduction of the Individual Audit Program July 1, two additional how-to guides have been developed to assist registrants.
The new guides supplement the Guide to the Compliance Audit Program for Individual Registrants, published in May, that provides information on the Compliance Audit Program. The program was designed as a proactive quality assurance check to assess registrants' compliance with regulatory requirements.
New guides
The Audit Portal User Guide assists individual registrants undergoing a compliance audit in navigating the online audit portal. This how-to guide explains:
- How to log in to the audit portal
- How to download the declaration and questionnaire
- How to upload documents to the audit portal
- How to schedule an interview
- The 3 potential outcomes of the audit
The How to Complete your Corrective Action Plan guide helps registrants address and resolve any non-conformances identified during an audit. This guide includes instructions, best practices, examples, and recommendations to assist individual registrants through each stage of the corrective actions process.
This how-to guide explains what a non-conformance is and how to complete Corrective Actions Plans (CAPs).
The Audit Program
As well as reviewing a registrant's regulatory compliance, the program helps educate registrants about their requirements and helps identify trends that could be useful for the program.
Registrants who are selected to undergo an audit can expect:
- A documentation review, an interview, and a review of audit findings; and
- If any non-conformances are found, to complete one or more Corrective Action Plans (CAPs).
The Board determines the percentage of individual registrants who will undergo an audit every year. The first-year target is to audit one percent of individual registrants. Regulatory requirements assessed will include continuing education, quality management, code of ethics, and declared practice areas.
Resources
For more information on the Audit Program and available resources, visit the Audit Program webpage. Questions regarding this program can be directed to [email protected].