What are the possible outcomes of an audit?
There are 6 possible outcomes:
- Successful completion: No further action required (Rule 14.14.1).
- Additional information: The auditee may be required to provide additional information (Rule 14.14.2).
- 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).
- 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).
- 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.
- 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).
