CAP Guide Available for Firms

This guide provides a general framework for completing Corrective Action Plans (CAPs) and outlines possible steps that registrant firms can take to rectify non-conformances efficiently and effectively.

“With over 690 audits completed since the program commenced in October 2022, we found that registrant firms often sought guidance on creating CAPs,” said Adriana Zuniga, P.Eng., M.Sc., Manager, Regulation of Firms Auditing at Engineers and Geoscientists BC. “This guide was developed as a resource for use by registrant firms to assist them with the basic knowledge needed to develop and implement effective CAPs.”

Registrant firms often face challenges with their CAP submissions by confusing “correction” with “corrective action” and “preventive action” with “corrective action.” Additionally, registrant firms may struggle with insufficient or unclear documentation, inadequate training on CAP processes, and ineffective root cause analysis. Inconsistent implementation across different departments and tight deadlines can further complicate the submission process.

This guide is not intended to replace any existing policies, procedures, or regulatory requirements specific to a registrant firm’s professional work or industry standards. Instead, it serves as a supplement that aims to provide clear guidance on developing CAPs. And, although this guide primarily serves as a component of the Engineers and Geoscientists BC compliance audit process, registrant firms may also find it valuable as a reference if they encounter non-conformances in their professional work.

Published on February 18, the guide is available on Engineers and Geoscientists BC’s Firm Audit Program webpage.

Photo: Wendy D Photography