Innovation Fall 2024

C OMMUNI TY Firm audits and practice reviews: updates and findings

With more than a year-and-a-half of firm audits completed, Engineers and Geoscientists BC’s Firm Audit Program is identifying emerging trends in the findings. Firm audits are a proactive, quality assurance approach to assess firm registrants’ overall compliance with regulatory requirements. From October 2022 to June 2024, the audit team completed 593 audits. All of the more than 4,000 registrant firms are eligible to be selected for a compliance audit. Findings from practice reviews, which are initiated as an escalation during the audit process, also reveal similar trends. Practice Review was previously a proactive program, but now refers to the program that, when a Major Non-Conformance is identified during an audit, provides a more focused look at technical practice in order to detect risks and gaps in a registrant firm’s practice and to provide remedial tools. Significant findings In reviewing the findings, the most significant finding was systemic failure by firms to have independent review of structural designs either completed or completed in accordance with the requirements. These types of files lead the registrant firm to a Corrective Action Plan, which includes a review of Engineers and Geoscientists BC’s Guideline for Independent Review of Structural Designs, along with viewing the accompanying webinar.

Corrective Action Request (CARs) are required for non-systemic failures (Minor Non-Conformance) by a registrant firm to meet an applicable regulatory requirement. Firms must complete a Corrective Action Plan which identifies the root cause and a plan how to address it. Major Non-Conformance (MNCs) are systemic failures by a registrant firm to meet an applicable regulatory requirement or ongoing practices that may pose a risk of significant harm to the environment or to the health or safety of the public. Audit files with MNCs are escalated to the Audit and Practice Review Committee (APRC), which may choose one of five options: 1. Closure: applied when the non conformance has been remediated. 2. Corrective action: applied when the non-conformance does not indicate risks of significant harm to the public or the environment, appears to be based on lack of awareness, or is remediable. 3. Practice review: applied when the non-conformance indicates serious problems to be remedied and the

The highest number of Corrective Action Requests (CARs) was split between Checking and Independent Review of High-Risk Professional Activities or Work (HRPAW). The findings under Checking are almost exclusively related to lack of records demonstrating that appropriate checking occurred. The findings under HRPAW are attributed to lack of knowledge or understanding of the requirements, as it is a newer requirement under Engineers and Geoscientists BC’s Bylaws. Categories of findings The auditors at Engineers and Geoscientists BC categorized the findings from the firm audits into three types in order of increasing significance: Opportunities for Improvement (OFIs) are an observation or a suggestion regarding a potential improvement opportunity. These are recommendations only, and no action is required.

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Fall 2024

Innovation