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Relevant sections in the Act and Rules:

• Under Section 21 of the College of Applied Biology Act, the College is authorized to establish an Audit and Practice Review Committee (APRC), and establish the audit process by way of a Rule.
• Rule 14: sets out the rules for the establishment and conduct of the Audit and Practice Review Committee. 
• Under Schedule 6: a description is provided of the Audit program which includes a link to the member form used during the audit process.
• Under Schedule 4: information on associated CPD program and a template CPD form that can be used for tracking activities is provided. 

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If you are in the process of being audited, questions should be directed to your assigned auditor.

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• generate and administer their work products;
• remain current with changing legislation;
• manage their records;
• adhere to the College’s Code of Ethics; and,
• track and document Continuing Professional Development (CPD) activities

Once the auditee is notified they will be audited, the auditee may declare any real or perceived conflicts with their assigned auditor within 5 business days of being notified. If there are no conflicts, the auditee must submit completed forms and supporting information to the College. The assigned auditor reviews the information and upon completion of the audit, makes a recommendation to the Audit and Practice Review Committee (APRC). The APRC considers the recommendation of the auditor(s) and determines one of six possible outcomes (see Question 15). Once the outcome has been determined, a letter is mailed to the auditee with the results of their audit.

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1. Successful completion: No further action required (Rule 14.14.1). 
2. Additional information: The auditee may be required to provide additional information (Rule 14.14.2).
3. Remedial action required: When there is an isolated practice-related issue that can be addressed. The auditee must report to the College that the mandatory remedial action has been implemented within the required timeframe (Rule 14.14.3).
4. Referral for a practice review: Required if the auditee fails to demonstrate their compliance with College audit requirements or if practice-related concerns become apparent (Rule 14.14.4).
5. Referral to the Discipline Committee for non-compliance: When an auditee has failed to provide completed audit forms within 20 business days of being notified, or has not responded to requests for additional information within a reasonable timeframe, i.e. 5 business days unless otherwise indicated by the auditor (Rule 14.14.5), or has failed to meet the remedial action requirements.
6. Referral to Discipline Committee for breach of practice: If the audit process reveals egregious breaches of professional conduct in contravention of the College’s Rules and policies, the Discipline Committee may initiate an investigation of the member’s conduct (Rule 14.14.6).

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Under Schedule 6 there are allowances for a process to be other than simple random selection. This may occur as a recommendation of the Discipline Committee or based on another committee recommendation. The selection of auditees may also be stratified by membership category to ensure equitable representation.

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