apega permit to practice seminar presentation · slide 2 purpose of the seminar is to help permit...

Slide 1

APEGA Permit to Practice Seminar

April 2020

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▪ Purpose of the seminar is to help permit holders and

Responsible Members to:

▪ Understand their legal responsibilities

▪ Create or update their Professional Practice

Management Plan (PPMP)

▪ Understand the APEGA practice standard, Authenticating

Professional Work Products

▪ Upon completing today’s seminar, you will:

▪ Need to complete and submit Seminar Declaration

▪ Be credited for fulfilling this prerequisite for being a

Responsible Member

Purpose of Seminar

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https://www.apega.ca/members/permit-seminars

Slide 3

Seminar Outline

1. Purpose of APEGA

2. Company Permits & Legal Requirements of Permit

Holders

3. Responsibilities of the Chief Operating Officer (COO) &

Responsible Members (RMs)

4. How to Prepare and Implement a Professional Practice


5. Consequences of Disciplinary Action

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Slide 4

Seminar Overview

1. Purpose of APEGA


Holders

3. Responsibilities of the Chief Operating Officer (COO)

& Responsible Members (RMs)

4. How to Prepare and Implement a Professional

Practice Management Plan (PPMP)


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Purpose of APEGA

WHAT YOU NEED TO KNOW:

• The Engineering and Geosciences Professions Act (EGP Act) establishes APEGA.

• APEGA is charged with administrating the Act.

• The Act vests in Council (elected group of professional engineers and geoscientists) all authority to govern APEGA.

• Council puts in place a Registrar & CEO, who reports back to Council.

• Statutory boards (made up of volunteer professional engineers and geoscientists) oversee aspects of the regulatory process.

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▪ Through self-regulation, APEGA’s duties under the

Engineering and Geoscience Professions Act are to:

▪ Uphold public interest

▪ Confirm the competence, character, and integrity of

applicants

▪ Govern licensed professionals and permit holders

▪ Ensure all licensed professionals and permit holders are

accountable for their actions

▪ Establish, monitor, and enforce the Code of Ethics,

practice standards, and practice guidelines

▪ APEGA Member & Permit Holder Directory on website

APEGA’s Legislated Mandate

WHAT YOU NEED TO KNOW:• The Alberta Government issues provincial legislation. APEGA must adhere to the

Engineering and Geoscience Professions Act (EGP Act). • Typically for a self‐regulating profession, legislation includes the following mandates:

• Setting and enforcing entrance standards to the profession• Setting and enforcing practice standards for professionals to ensure guidance

for competent and ethical behavior while practising, as well as for professional practice

• Ensuring that professionals are adhering to practice standards—this is the practice review process

• Informing the public of who has passed the entrance standards by having a publicly available member and permit holder (company) directory

• Having a system to discipline against unskilled practise or unprofessional conduct. This includes proper investigation, discipline, and appeals processes

• Enforcing against unlicensed people or unpermitted companies that do not comply with title and practise

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https://www.apega.ca/about-apega/publications/engineering-and-geoscience-professions-act/

Slide 7

The Privilege of Self-Regulation

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Slide 8

Self-Regulation & Its Importance

▪ Self-regulation is a privilege.

▪ Social licence can be revoked or lost

▪ Examples:

▪ Quebec engineering regulator

❖ Ordre des ingenieurs du Quebec put under trusteeship by

Quebec government in 2016–2018

▪ B.C. Real Estate Association lost privilege to self-regulate

▪ B.C. government passed the Professional Governance Act

in Nov. 2018, which will replace EGBC Act (3–5 years)

▪ Real Estate Council of Alberta under an official

administrator appointed by GoA as of Oct. 2019 for at least

one (1) year

WHAT YOU NEED TO KNOW:• A recent example of a regulator who lost its privilege of self‐regulation is the Quebec

engineering regulator (Ordre des ingénieurs du Québec, or OIQ).• This loss of self‐regulation was associated with unprofessional conduct by individuals

and companies in the Quebec construction industry. For example:• Unfair bidding processes• Political payoffs in exchange for contracts• Violence to ensure contracts were awarded• No financial auditing regarding payoffs and kickbacks.

• There were professional engineers, engineering companies, political party leaders, government officials, heads of companies, the mafia, and more involved in these unethical activities.

• Note that OIQ does not regulate engineering companies.• In July of 2016, the Quebec government placed OIQ under trusteeship, which means

that its privilege of self‐regulation was revoked.• A similar incident in 2016 happened in B.C. when the real estate board’s right to

self‐regulation was revoked.• B.C. now has legislation to create public oversight of regulatory bodies.• APEGA is working towards becoming a stronger regulator and ensuring that its

processes are robust and its members and permit holders thoroughly understand their legal requirements and comply with them.

• Self‐regulation is a privilege.• How am I, as a licensed professional, ensuring that the engineering or geoscience

professions maintain their privilege of self‐regulation?

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Slide 9

Pillars of Professionalism


Professionalism is built on two pillars:

1. Competence – Built upon education, knowledge, and experience

2. Ethics – Built upon the APEGA Code of Ethics, personal and organizational value systems, and behaviours

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APEGA’s Strategic Plan

To read more: APEGA Strategic Plan


• The strategic plan reinforces the mission and vision of APEGA. It sets long-term goals in being a leader in self-regulation while protecting the public. It stresses the importance of remaining relevant to our members, mindful of changes affecting our professions, and accountable to delivering on APEGA’s priorities.

• APEGA’s strategic plan can be found online using the hyperlink provided. Regulatory Excellence is one of the strategic pillars of the plan.

• Regulatory Excellence will:

• Ensure compliance

• Protect the public

• Equip registrants with understanding

• Recognize and address emerging issues

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https://online.flippingbook.com/view/472829/8/

Slide 11

Seminar Outline

1. Purpose of APEGA


Holders






WHAT YOU NEED TO KNOW:• Permits were added in 1963 to the legislation. What purpose do permits serve?

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Slide 12

APEGA’s Permit to Practice

▪ A legally binding contract between APEGA and the permit-

holding company

▪ Gives the company its right to practise and use of title

▪ Required by any partnership, corporation, or other entity

that practises engineering or geoscience in Alberta

(internally or externally)

▪ Permit must be renewed and information updated annually

▪ Completed and signed declarations by the COO and RM(s)


Per the EGP Act:

• Exclusive scope of the practice of engineering - 2(1) Except as otherwise provided in this Act, no individual, corporation, partnership, or other entity, except a professional engineer, a licensee so authorized in the licensee’s licence, a permit holder so authorized in its permit, or a certificate holder so authorized in the certificate holder’s certificate, shall engage in the practice of engineering.

• Exclusive scope of the practice of geoscience - 5(1) Subject to subsection (2), no individual, corporation, partnership, or other entity, except a professional geoscientist, a licensee so authorized in the licensee’s licence, or a permit holder so authorized in the permit, shall engage in the practice of geoscience.

• Registration of permit holders - 24(1) The Council shall approve the registration as a permit holder of a partnership or other association of persons, or of a corporation incorporated or registered under the Companies Act or continued, incorporated, or registered under the Business Corporations Act, that has applied to the Council and is eligible under this section and the regulations to become registered to engage in the practices of engineering or geoscience as a permit holder.

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Permits allow APEGA to regulate group practice of the professions

▪ Partnership, corporation, or entity is accountable and responsible

to ensure:

▪ Quality engineering and geoscience work by qualified licensed

professionals

▪ Atmosphere for professional practice of engineering and geoscience

▪ Adherence to all relevant regulations, standards, and codes

Protects the public by ensuring adequate oversight and quality control of the practices of engineering and geoscience.

1Protects the licensed professional by also holding the partnership, corporation, or entity accountable for the practices of engineering or geoscience.

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APEGA’s Permit to Practice


• Group practice is regulated because permit holders are separate legal entities from their professional employees.

• Permits are a way to ensure companies, partnerships, and other associations are held accountable and responsible for any practice done on their behalf.

• Permits allow APEGA to regulate group practice.

• This is important as organizations are made up of professionals and non-professionals, all of whom have a varying degree of competencies, experience, and work quality.

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Why Is a Permit to Practice Required?

▪ Sole Practitioner - refers to a registered company with

only one licensed professional and requires a Permit to

Practice

▪ COO and RM are the same person, or RM is the only

APEGA licensed professional

▪ Sole Proprietor - does not have a registered company

and therefore does not require a Permit to Practice

There are two types of individual practice.


• A sole practitioner contracts their company out or conducts engineering or geoscience work under their own Permit to Practice. This means they have a registered company name (separate from the individual’s name). Financial liability lies with the corporation and the corporation’s assets vs. the individual’s.

• A sole proprietor is not a registered entity and therefore financial liability lies with the individual and their assets.

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Slide 15

Permit Holder Responsibilities

▪ To ensure engineering and geoscience work is completed

or reviewed by technically competent and ethical APEGA

licensed professionals

▪ To ensure licensed professionals satisfy their

professional obligations (obtaining and submitting CPD

hours)

▪ To ensure that licensed professionals and permit holders

comply with all regulations, standards, and codes that

affect their practice

▪ To ensure that all licensed professionals practice in

accordance with the permit holders’ quality control and

assurance systems as outlined in its PPMP


• The COO named in the permit is responsible for ensuring licensed professionals working for the company’s permit satisfy their professional obligations, are competent, comply with regulations, and practise according to the policies and procedures outlined in the Professional Practice Management Plan (PPMP). This responsibility is conducted through a network of Responsible Members within the company.

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Slide 16

What Is the Practice of Engineering?


• This is the formal definition of the practice of engineering directly from the Act. How do you interpret this definition?

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Slide 17



• This graphic is a guide for how to read the Act and answer the question, “What is the practice of engineering?”

• The formula (on the bottom, right-hand side of the slide) outlines how to read the definition.

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Slide 18


Aeronautical

Aerospace

Agricultural

Automotive

Bioresource

Biosystems

Building

Biomedical

Chemical

Civil

Communications

Computer

Computer Systems

Electrical

Electronic Systems

Engineering Chemistry

Engineering Physics

Engineering Science

Environmental

Forest

Geological

Geomatics

Industrial

Industrial Systems

Integrated

Manufacturing

Materials

Mechanical

Mechanical Systems

Mechatronics

Minerals

Mining

Nanotechnology

Ocean and Naval Architectural

Oil and Gas

Petroleum

Petroleum Systems

Software

Software Systems

Space

Systems Design

Water Resources


• Although not exhaustive, this list of 42 engineering practices represents a broad range of practice.

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Slide 19

What Is the Practice of Geoscience?


• This is the formal definition for the practice of geoscience directly from the Act. How do you interpret this definition?

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Slide 20



• This graphic is a guide for how to read the Act and answer the question, “What is the practice of geoscience?”

• The formula on the bottom, right-hand side of the slide outlines how to read the definition.

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Slide 21


Geology▪ Sedimentology

▪ Stratigraphy

▪ Structural Geology

▪ Chemostratigraphy

▪ Fluvial Geomorphology

▪ Petrology

▪ Paleontology

▪ Geochemistry

▪ Hydrogeology

Geophysics▪ Seismic Acquisition

▪ Seismic Processing

▪ Seismic Interpretation

▪ Borehole Seismology/Geophysics

▪ Petrophysics

▪ Gravity Methods

▪ Electromagnetic Methods


• Geology and geophysics have many sub-disciplines. This list is not exhaustive.

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Slide 22

Legal Obligations

▪ Must have a current, active, and

accessible PPMP

▪ Permit renewed annually

▪ Designated and informed RMs

▪ Signed COO and RM declarations

▪ Abide by all regulations, standards, codes,

and APEGA requirements (e.g., titles)

▪ Permit holder contact information and all

APEGA registrants on the permit are up to

date (professionals, E.I.T.s, G.I.T.s, non-

practising)

▪ Onus to respond

Recommendations

▪ Reporting compliance

or discipline concerns

▪ Display permit

certificate in all offices

Permit Holder Obligations


• The above list is what APEGA legally requires from permit-holding companies.

• Annual renewal information is sent to the COO APEGA has on file.

• Annual permit renewals can be completed through the Company Self-Service Centre (CSSC).

• PPMP stands for Professional Practice Management Plan.

• It is not a legal obligation that companies report compliance or discipline concerns, but it is strongly recommended that this be a common practice.

• It is recommended that the permit certificate be displayed publicly and visibly to show that the company can legally engage in the practices of engineering or geoscience.

• There may be consequences for permit holders and designated RMs for failing to meet APEGA requirements.

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Slide 23

Seminar Outline

1. Purpose of APEGA


Holders

3. Responsibilities of the Chief Operating Officer (COO)

& Responsible Members (RMs)




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Slide 24

COO Responsibilities

▪ Permit holder is regulated by the EGP Act (the Act)

▪ Has the authority to legally bind the company to the

requirements of the APEGA Permit to Practice contract

▪ Assigns the RM(s) based on technical knowledge,

qualifications, and experience

▪ Provides written authority to RM(s) to execute and validate all

engineering and geoscience professional work products to

comply with APEGA’s requirements (e.g., standards,

guidelines)

▪ Ensures the designated RM(s) develop the PPMP and that all

professionals understand and comply with the company’s

PPMP

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Slide 25

COO Responsibilities

▪ Must have at least one designated licensed professional to act

as RM for each professional designation

▪ Must develop, implement, and enforce a quality control,

assurance, or management system(s) to manage their practice

of engineering and/or geoscience

▪ COO and RM(s) must ensure the company’s legal

responsibilities are fulfilled under the APEGA Permit to Practice

▪ APEGA may, at any time, conduct a review of the permit

holder’s practice of engineering/geoscience

▪ NOTE: Not all designated COOs are licensed professionals

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Slide 26

Responsible Member Responsibilities

Acknowledging that an RM:

▪ Must be registered with APEGA as a licensed professional

▪ Must be qualified, experienced, and competent to perform

their duties

▪ Should have suitable written authority to act as an RM

▪ Must complete a Permit to Practice seminar within the first 6

months and at least once every 5 years thereafter

▪ Will notify APEGA if there any disciplinary actions against

them in other jurisdictions

▪ Will contact APEGA if no longer an RM for the permit holder


• The professional’s obligations of licence maintenance include:

• Paying annual dues

• Submitting annual Continuing Professional Development (CPD) hours

• Having no outstanding disciplinary actions against them

• What is suitable written authority?

• As a Responsible Member (RM), depending on the size or complexity of your organization, clarity in the components of your organization for which you have RM oversight is required. APEGA recommends a letter from your COO.

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Slide 27

RM Declaration Statement

RM must understand:

▪ APEGA is a regulator

▪ APEGA has the right to conduct practice reviews and

investigations (“inquire into the practice”)

▪ Professional work needs to abide by all regulations

(standards, codes, guidelines)

▪ They are obligated to respond should APEGA contact

them regarding regulatory matters

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Slide 28


Things RMs need to action:

▪ Have written authorization from the COO to perform duties as an

RM

▪ Ensure the permit holder has the recommended minimum of 1 RM

for every 10 members—covering all scopes of practice for the

permit holder

▪ Confirm that the licensed professionals under the permit holder's

control are qualified and competent

▪ Ensure the permit holder uses reserved titles properly

▪ Update their own, and the permit holder’s, contact information with

APEGA through the MSSC and CSSC


• The ratio of Responsible Members is a rule of thumb based upon span of control. Depending on the complexity, type of work conducted, and breadth of an organization, this ratio could change.

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Slide 29


Things RMs need to action:

▪ Assist the COO in developing and enforcing a PPMP for their

company

▪ Ensure PPMP is in place within one year of obtaining the Permit to

Practice—recommended prior to getting permit.

▪ Ensure the company has quality control and assurance systems in

place for professional work and they are properly documented in the

PPMP

▪ Ensure frameworks are in place for the proper review and

authentication of engineering and geoscience work

▪ Validate professional work products (PWPs) with the Permit to

Practice stamp, OR manually insert all required information:

permit holder name, permit number, RM signature, date of validation,

RM APEGA ID # (recommended)


• Under the current standard, validation can be done with a stamp or manually.

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Slide 30

Key Functions of the RM

The Responsible Member:

▪ Is the regulatory expert on the EGP Act for the permit holder

and all licensed professionals

▪ Provides direction to all licensed professionals and the

company—a mentor to all registrants, particularly to members-

in-training (E.I.T.s/G.I.T.s)

▪ Is the PPMP expert

▪ Ensures they and the permit holder are compliant

▪ Ensures all APEGA standards and guidelines are followed


• An RM is expected to be the company’s regulatory expert on the EGP Act and understand APEGA’s expectations for permit-holding companies, Responsible Members, and licensed professionals.

• This seminar is intended to give the RM enough information to understand the important requirements for this essential role.

• APEGA is available at any time to clarify and answer questions.

• Often, the RM is also the one who writes, implements, and enforces the Professional Practice Management Plan (PPMP).

• The PPMP outlines the framework for quality and compliant engineering and geoscience work. To effectively perform their responsibilities, RMs must understand and apply the following APEGA practice standards and guidelines:

• Authenticating Professional Work Products• Ethical Practice • Relying on the Work of Others and Outsourcing• Professional Practice• Concepts of Professionalism• Determining the Need for Professional Involvement in Outsourced

Engineering/Geoscience• Guideline for Professional Practice Management Plans

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Slide 31

Other Relevant Legislation

▪ All professionals must comply with the EGP Act

▪ As an RM, you need to know all regulatory bodies

relevant to your company

▪ Examples of other legislation:

▪ Alberta Building Code (municipality permits)

▪ Fire Code

▪ Safety Codes Act

▪ Occupational Health and Safety Act

▪ Pressure Equipment Safety Regulation (ABSA)

▪ The Pipeline Act

▪ The AER and the NEB Regulations

APEGA can only advise on the EGP Act


• No Act or legislative requirement should be read in isolation.

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Slide 32

Expectations of Licensed Professionals

Legal Obligations

▪ Maintain technical and ethical competence

▪ Abide by all regulations, standards, and codes

▪ Engage in professional development as per APEGA’s guidelines

▪ Submit CPD hours and pay dues annually

▪ Ensure contact information is current and accurate

▪ Report compliance or discipline concerns to APEGA

▪ Onus to respond to APEGA in a timely manner if required

Recommendations

▪ Involvement in the professions* Election and AGM * Volunteering *Mentoring

▪ Enhancing the reputation of their profession

▪ Reporting compliance or discipline concerns


• As senior professionals, RMs are expected to play a mentorship and development role in helping professionals under their supervision or technical control.

• All licensed professionals and members-in-training (M.I.T.s) have legal obligations to their profession, which include maintaining their technical and ethical competence, ensuring they fulfil their mandatory CPD obligations (M.I.T.s excluded), and ensuring their APEGA contact information is current.

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Slide 33

Seminar Outline

1. Purpose of APEGA


Holders



4. How to Prepare and Implement a Professional

Practice Management Plan (PPMP)


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Slide 34

Why Do You Need a PPMP?

A PPMP is a Legal Requirement

Section 48(1) (d) of the Engineering and Geoscience

Professions General Regulations states that:

“…the partnership, corporation, or other entity

has in place and will follow a professional

management plan that is appropriate to its

professional practice.”


• It is important that all RMs and licensed professionals understand that a partnership, corporation, or other entity that is licensed by APEGA is required under the EGP Act to have and maintain a Professional Practice Management Plan (PPMP).

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Slide 35

What Is a Professional Practice

Management Plan

▪ A written description or framework of corporate policies,

procedures, and systems to ensure that engineering and

geoscience practice is done legally and responsibly

▪ Must fit your company’s business and scope of practice

▪ A robust and functional PPMP will describe:

How the permit holder ensures quality and compliance

How it provides an atmosphere in which licensed

professionals can meet their legal and professional obligations

How it adheres to all relevant legislation, regulations,

standards, and codes

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Slide 36

PPMP Requirements for Permit Holders

The PPMP is mandatory!

PPMP must be in place, followed, and enforced.

▪ PPMP must be in place by first anniversary or sooner

▪ PPMP is appropriate to address practice requirements of

your company

▪ PPMP should be active, current, and accessible—living

document

▪ PPMP should be reviewed and updated annually with

revision history

▪ PPMP should be signed off by COO and at least one RM

from each professional designation


• A complete PPMP should be accessible to the members, reviewed and updated annually, and approved by the COO and Responsible Members through sign-off. This is not a requirement, but it is highly recommended to ensure communication and maintenance of the PPMP.

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Slide 37

PPMP Requirements for Permit Holders

▪ PPMP must be submitted to APEGA when requested by a

statutory board under the EGP Act

▪ Recommend yearly training and documented sign-off by all

members

▪ Submit your PPMP to APEGA (optional, but recommended

to confirm it meets all of the requirements)

▪ Ensure that the PPMP is robust and functional, allowing

your licensed professionals to meet professional

obligations, professional expectations, and APEGA’s Code

of Ethics while operating successfully

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Slide 38

Professional Practice Management Plan

1. General Information

2. Ethical Standards

3. Management, Organizations & Responsibilities

4. Professional and Technical Resource

Management

5. Quality Control

a) Professional Business Practices

b) Project Management

c) Change Management

d) Management of Technical Work

e) Relying on the Work of Others & Outsourcing Professional Work

6. Authentication of Professional Work Products

7. Professional Document Management

.


• APEGA has a Guideline for Professional Practice Management Plans available on the apega.ca website (https://www.apega.ca/about-apega/publications/standards-guidelines) that gives more detail on creating a PPMP. This presentation gives the highlights.

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Slide 39

1.0 General Information

▪ PPMP’s title page should include:

▪ Trade name and/or registered name

and corporate registration number of

permit holder

▪ Permit holder’s Permit to Practice

number

▪ Table of Contents

▪ Declaration statement – signed by COO

and RM for each designation

▪ Revision history – mandatory to

demonstrate annual review

▪ Purpose and objectives of the PPMP

▪ Definitions and abbreviations used in

PPMP

▪ Reference documents – internal and

external


• This section of the PPMP is administrative and lays the foundation of the PPMP.

• The general section deals with having a proper title page that states the permit holder’s name and Permit to Practice number, which is often missed.

• Having a table of contents is important to illustrate the main sections of and details in the PPMP.

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Slide 40

1.0 General Information

PPMP statement illustrating importance

ABC Company recognizes that the practices of engineering and geoscience are

regulated within Alberta and that as an APEGA permit holder, we ensure that

these practices will be appropriately managed to meet a high standard and all

legislated regulations.

SIGNED BY: Chief Operating Officer, Director of ABC Company

DATED: August 21, 2018

SIGNED BY: Responsible Member #1 – P.Eng., Engineering Manager


SIGNED BY: Responsible Member #2 – P. Geo., Geologist



• This is an example of what APEGA has seen in permit holder PPMPs.

• The statement is important:

• It ensures senior management acknowledges and understands that the professions are regulated and that licensed professionals practising within the company need to abide by these regulations

• It signals that the COO and senior management understand that the company should provide an atmosphere and organizational structure that fosters technical competency, ethical conduct, and adherence to professional standards

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Slide 41

2.0 Ethical Standards

▪ Goal is for permit holders to create an environment in

which licensed professionals can maintain their ethical

competency


• The second category within the PPMP is Ethical Standards.

• Licensed professionals and permit holders are expected to act ethically and professionally. This ensures public safety, fairness, and integrity.

• If your company has overarching HR policies that address ethical behaviour, these simply need to be referred to in the PPMP if they take precedence and meet the minimum ethical standard.

WHAT YOU NEED TO THINK ABOUT:

• Do all professional engineers and geoscientists working under the permit know where to find the APEGA Code of Ethics? Do they understand the code and their legal obligations to adhere to it? How do they acknowledge this? How does the permit holder demonstrate that its professionals and the company are practising ethically?

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Slide 42

APEGA Code of Ethics

…founded upon integrity, competence, dignity, and devotion to

service through the 5 Rules of Conduct

# Description Importance

1 …hold paramount the health, safety, and welfare of

the public and have regard for the environment

Serving the public

interest

2 …work that they are competent to perform by virtue

of their training and experience

3 …conduct themselves with integrity, honesty,

fairness, and objectivity in their professional

activities

Staying within your

scope of practice

Ethical behaviour!

Professional conduct!


• Rule number one – Serving the public interest and protecting the environment are the prime objectives.

• Rules number two and three – These are the pillars of professionalism. Competence and ethical conduct form the foundation of professionalism.

• Rule number four – Compliance with applicable laws, regulations, and bylaws is self explanatory. This includes other legislation such as the Alberta Building Code, OH&S standards, and Alberta Energy Regulator standards.

• Rule number five – This is about building trust with the population at large.

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Slide 43

APEGA Code of Ethics

…founded upon integrity, competence, dignity, and devotion to

service through the 5 Rules of Conduct

# Description Importance ?

4 …comply with applicable statutes, regulations, and

bylaws in their professional practices

Legal practice,

compliance with

regulation

5 …uphold and enhance the honour, dignity, and

reputation of their professions

Upholding public

confidence


• Rule number one – Serving the public interest and protecting the environment are the prime objectives.

• Rules number two and three – These are the pillars of professionalism. Competence and ethical conduct form the foundation of professionalism.

• Rule number four – Compliance with applicable laws, regulations, and bylaws is self explanatory. This includes other legislation such as the Alberta Building Code, OH&S standards, and Alberta Energy Regulator standards.

• Rule number five – This is about building trust with the population at large.

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Slide 44

2.0 Ethical Standards

▪ Permit holder should encourage a healthy atmosphere

and sound base for ethical practice

▪ Permit holders must implement APEGA’s Code of

Ethics or any internal company policies that meet or

exceed the expectations of APEGA’s Rules of Conduct

▪ Should ensure licensed members refresh their ethics

training annually with documented sign-off

▪ Should support ethical professional development

▪ Report unprofessional or unethical conduct, and have a

process of corrective action to deal with ethical

misconduct


• What does your company include in the Ethical Standards section of its PPMP?

• This second section of the PPMP includes some key elements to ensure that a sound base for ethical practice is in place, a healthy atmosphere is created within the company, and there is annual review and documented sign-off for ethics training and refreshers.

• APEGA’s ethical standard, at minimum, must be met in order to practise. This ensures public safety, fairness, and integrity.

• If your company has overarching HR policies that address ethical behaviour, these simply need to be referred to in the PPMP. Such ethics policies should address the Rules of Conduct in the Code of Ethics, at minimum.

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Slide 45

2.0 Ethical Standards - Examples

▪ Professional business behaviour

▪ Gifts and entertainment from vendors

▪ Bidding process – fair and transparent dealings

▪ Confidential and private information

▪ Use of company assets

▪ Outside business activities

▪ Process for reporting of illegal or unethical behaviour

▪ Process for corrective action for ethical misconduct


• These are examples of when professionals can find themselves in an ethical dilemma.

• Organizations should have policies surrounding items such as these referenced in the PPMP.

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Slide 46

3.0 Management, Organization & Responsibilities

▪ Clearly describe the scope of practice for the permit holder

▪ Critical to identify and state the roles and responsibilities

regarding the development, implementation, and

enforcement of the PPMP for:▪ Chief Operating Officer

▪ Responsible Members

▪ Licensed professionals

▪ Members-in-training (E.I.T.s, G.I.T.s)

▪ Organization structure for permit holder showing all APEGA

members, including non-members, if involved in:

▪ Lines of authority for reporting

▪ Lines of authority for technical expertise (if different)


• Organizational structures vary depending on the sector, complexity, and volume of work. Many organizations have business unit structures or functional structures. In an effort to find the balance between technical oversight and the delivery of a business, a matrix structure is put in place.

• It is important to be able to define within the PPMP how technical and supervisory oversight functions within your organization.

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Slide 47


Organizational Chart – Engineering and Geoscience

Board of Directors

CEO

Production

Division

Head**

Sales & Marketing

Team Lead, P.Eng.

(non-practising)

R&D

Division Head

P.Eng.

Corporate

Services

Mechanical

Engineer*

P.Eng.

Mechanical

Engineer-in-

Training

Mechanical

Technologist

Senior

Geologist*

P.Geo.

Process

Engineer

P.Eng.

Operations

Engineer

P.Eng.

No practise

* Denotes Responsible Member ** Denotes COO or designate


• This organizational chart is highly simplified. The COO and the Responsible Members must be identified clearly. Although difficult in a two dimensional chart, supervisory lines of authority and technical oversight should be identified in the chart or described within the PPMP.

• The individual who conducts the performance review is not always the same individual who has technical oversight.

47

Slide 48


▪ Process in place for all APEGA members to review the

PPMP annually with documented sign-off

▪ Inventory or list of licensed professionals and M.I.T.s

under the permit holder should contain, at minimum,

the following information:

▪ Legal name as registered with APEGA and APEGA ID number

▪ Professional designation and practising status

▪ Job title and work location

▪ Scope or area of practice

▪ The supervisor the individual reports to, and the technical

supervisor, if different

▪ Indicate if the member is an RM and last seminar date

48

Slide 49


Dedicated and comprehensive system for tracking

who is practising engineering and geoscience within

the company (APEGA template available)

Apega ID Last Name First Name Job Title

Designation

(P.Eng, P.

Geo, EIT, MIT)

Member Status

(Practicing, Non-

practicing,

resigned, other)

Area of Practice (i.e.

Mechanical, geological etc.)

Location

Name of

Group or

Operating

Unit

Technical

Supervisor

Supervisor

Reporting to or

for Development

Responsible

Member

(Yes or No)

Last RM Practice

Seminar Date


• This is an example of the header bar from the APEGA Registrants List template.

• Contact [email protected] if you’d like a copy of the template.

49

Slide 50

People Processes & Systems

▪ PPMP should refer to a system that tracks licensed

professionals and who is actively practising engineering

and/or geoscience under the permit holder

▪ PPMP should identify systems to ensure competent

practice and proper supervision of members-in-training

▪ PPMP should describe the methods used to confirm

licensed professionals maintain their license▪ Pay their dues

▪ Up to date on reporting annual CPD hours

▪ No outstanding disciplinary orders or fines


• Licence maintenance is the obligation of the individual member. The permit holder, as a stakeholder, has a vested interest in the licensed professionals working for the permit to maintain its licence.

50

Slide 51

Company Self-Service Centre

▪ Visit apega.ca

▪ Click Login

▪ Select Company Self-

Service Centre (CSSC)

▪ Log in to the CSSC with

the permit number and

password

▪ If you have issues,

contact APEGA Permits

[email protected]


• The member experience project, currently in development, will improve access to member information for permit holders and members.

51

Slide 52

How Many RMs are Enough?

▪ Recommend that permit holder and COO ensure:

▪ One RM for each discipline (e.g., electrical engineering, geology)

▪ One per geographical region

▪ One per each office location, division, or group

▪ 1:10 ratio of RMs to APEGA members, where APEGA members

include licensed professionals and M.I.T.s

▪ Permit holders need to ensure there are enough RMs

such that all regulatory obligations are met

52

Slide 53

Technologists and Other Contributors


• This graphic depicts the breadth and depth (scope) of practice as they relate to the type of licence issued. It is important to note which licences are regulated by APEGA and those regulated by ASET.

• Professional technologists are regulated by APEGA and ASET.

• Licensees (different from professional licensees) have the same rights to practice as professional members, but are not Canadian citizens.

53

Slide 54

4.0 Professional and Technical

Resource Management

RM must ensure that procedures are in place to manage

all professional and technical resources

Professional Resources

▪ A recruitment process or procedure to hire qualified and

competent professionals

▪ Clear job descriptions and a process for managing them

▪ Inventory of expertise – areas of practice and

competencies

▪ Performance management reviews

▪ Training and development of professionals (technical and

ethical)

▪ Managing any special expertise requirements


• The fourth category within the PPMP is Professional & Technical Resources.

• This section ensures the company has the right people and tools to do its engineering or geoscience work.

• As an RM, you need to ensure the company hires and titles professionals in compliance with the EGP Act requirements. When a position requires the practices of engineering or geoscience, it must be filled by a qualified and licensed professional.

• The APEGA Compliance Department will investigate job postings that advertise the practices of engineering or geoscience and do not specifically ask for someone who is registered or eligible to be registered with APEGA. Similarly, if the job posting title uses a word protected under the EGP Act as a reserved title, but does not ask for someone who is registered or eligible to be registered with APEGA, APEGA’s Director of Enforcement will initiate a compliance investigation.

• These steps are necessary to ensure that only qualified persons practise the professions in Alberta, and also protect our membership by preventing unqualified persons from representing themselves as professionals.

• It is important for the permit holder to maintain an inventory of expertise and to ensure that all professionals are properly trained to perform their work.

54

Slide 55

4.0 Professional and Technical

Resource Management

Professional Resources

▪ Continuing Professional Development (CPD) compliance:

▪ Tracking member CPD reporting (quantity and quality)

▪ Reviewing – part of the annual performance review

▪ Ensuring professionals maintain their licence with APEGA

▪ Process for mentoring and supervising professionals,

especially M.I.T.s (a program – checking work)

▪ Management of title usage – issuing, training, and checking

compliance (HR/RMs)

▪ Unregistered, unlicensed, or non-practising technical people

working under a permit holder


• APEGA recommends tracking professional employee Continuing Professional Development (CPD) hours. Although it’s the professional’s responsibility to maintain their license, the company, as a stakeholder, has a vested interest in the professional standing of its employees.

• Mentorship and supervision of early career professionals (M.I.T.s) is important for their technical and professional development.

• The company should provide the tools and resources, including time and access to professional development, to meet these obligations.

• The company also should be providing the tools needed for an individual to do the engineering or geoscience work asked of them.

55

Slide 56

Correct Title Use

1. Engineer, geoscientist, geologist, or

geophysicist in combination with any

other name, title, description, letter, symbol,

or abbreviation

2. Professional engineer (P.Eng.) or other title

abbreviation

3. Professional geoscientist (P.Geo.),

professional geologist (P.Geol.),

professional geophysicist (P.Geoph.), or

other title abbreviation

…THAT implies APEGA permit holder

or licence status


• This slide lists the reserved or protected titles and designations.

• Note that “title” refers to a job title, typically given by a company. As well, “designation” refers to the abbreviated letters behind an individual’s name, typically used to indicate licensure, specialized educational degree, etc.

• It is important to note that APEGA does not own the word engineer, but rather needs to put it into context. Title enforcement is about the implication of the ability to practise engineering or geoscience. Compliance takes titles into context, judging from an average public person’s perspective.

• For example, APEGA received a complaint about a lady calling herself a mortgage engineer. Upon calling her and reviewing her publicly available material, such as her company website, we found she was clearly not offering engineering services nor implying that she could. APEGA could not take any action and did not.

• An example in which APEGA would take action is the U.K.-offered chartered engineer certification. Typically, people would indicate this by including “C.Eng.” behind their name. If this is utilized in Alberta and the individual is not an APEGA license holder, this is actionable as a public person would think this designation is an indication of being able to practise engineering in Alberta.

• If you require clarity or wish to report a title infraction, please contact the APEGA Compliance Department at [email protected] or 1-800-661-7020.

56

Slide 57

Correct Title Use

APEGA Licence Type Right to Practise Right to Title

Professional Member Independent, full scope of

practice within a discipline

Professional Licensee Independent, LIMITED

scope of practice within a

discipline

Licensee Independent, LIMITED

scope of practice within a

discipline

Member-in-Training,

Provisional Licensee

Supervised, full scope of

practice within a discipline

Anyone else No right to independent

practice

Full rights to title


Full rights to title, as

long as clarified

No right to title



• Often, larger companies have HR departments who do the hiring. Again, it is important that you as an RM understand the reserved title aspect and ensure proper titling within the company is done.

• This slide lists the APEGA member types that can legally use reserved title.

• The first two rows show three different licence types offered at APEGA:

• Professional member, licensee – both can practise independently and both have full rights to title.

• Professional licensee – can practise independently, but within a limited scope, and has full rights to title.

• Although members-in-training and provisional licensees are not fully licensed (i.ethey cannot practise independently and have to be supervised), they can use a reserved title only if it is clarified (e.g., operations engineer-in-training).

• Nobody else has the right to practise or to title.

57

Slide 58

Review Quiz

Job Activities and

QualificationsJob Title Correct or Not?

Technologist with a NAIT

diploma in chemistry

Jane Doe,

Chemical Engineer

Geology graduate student that

is doing sampling work that

holds G.I.T. APEGA

membership

Joe Smith, G.I.T.

Geologist

Environmental engineer that

oversees engineering

department, holds engineering

licence

Gerald Harris, P.Eng.

Engineering Manager

Engineering student that does

field inspections

Joe Smith

Field Engineer

NOT

NOT – many will not know

what G.I.T. stands for

CORRECT

NOT

58

Slide 59

Correct Title Use

Any partnership, corporation, or other entity incorporated

(registered) with a name that includes engineering, geology,

geophysics, geoscience, or variations of those words must

hold and continue to hold a valid permit

Clarity, reporting, and questions on professional practice to

[email protected]

Complaints against non-permit holders, unlicensed

engineers, or geoscientists to [email protected]


Exclusive use of title from the EGP Act

• Engineer – Section 3(1)

• Geoscientists – Section 6(1)

• Geologist – Section 97.1(1)

• Geophysicist – Section 97.1(2)

59

Slide 60

Technical Resources

▪ Appropriate library of internal and external reference materials and

resources that is easily accessible by all professionals:

Acts Regulations Programs/models

Guidelines Standards Technical subscriptions

Handbooks Codes Spreadsheets for calculations

▪ Information technology policy

▪ Management of all technical hardware and software (third-party

programs and licences) including subscriptions and maintenance

▪ Development and management of standard service contracts

▪ Management and certification of laboratory and testing equipment

▪ Management of specialty or customized equipment and related

operating and maintenance procedures

4.0 Professional & Technical

Resource Management


• As an RM, you need to ensure that the company has an appropriate library of internal and external reference materials and resources that can be accessed by all licensed professionals. This can either be a dedicated room or place where the reference materials are stored and updated, or a specified online location.

• The RM needs to ensure that a process or procedures are in place to keep all reference materials current, subscriptions up to date, and members informed of any changes.

• As part of the resources, the RM should ensure that any internal programs, calculations, or models used to conduct engineering or geoscience work are properly labelled, documented, and authenticated.

• The RM must ensure that procedures are in place to manage all technical hardware and software programs, licences, and subscriptions, including the ongoing maintenance of these.

• If the permit holder uses laboratory or testing equipment to support professional work or has specialty or customized equipment, the RM must ensure that procedures are in place outlining their use by others, documenting the method of certification and maintenance, and listing how the equipment is checked or authenticated to ensure compliance and safe operation.

• The RM must ensure that standard contracts or forms are used for managing

60

professional work and reviewed on a regular basis by qualified professionals and legal personnel.

60

Slide 61

5.0 Quality Control

The PPMP should reference the permit holder’s quality

control, assurance, and management systems in place to

conduct professional work according to the EGP Act

▪ These systems must ensure:▪ Professional work is accurate and appropriately reviewed

▪ The public, environment, and stakeholder impacts are considered

in the decision-making

▪ Risk assessment and change management procedures are

followed

▪ Quality systems to address:▪ Professional Business Practices

▪ Project Management

▪ Change Management

▪ Management of Technical Work

▪ Relying on the Work of Others - Outsourcing Professional Work


• The fifth section of the PPMP is Quality Control, and it addresses the systems and policies that need to be in place to ensure ethical and competent professional practice.

• This section of the PPMP considers how a company assures that the engineering and geoscience work it performs meets the professional standards for competency and ethics.

61

Slide 62

5.0 Quality Control – Professional

Business Practices

▪ Permit holder core values

▪ Policies or procedures for handling:

Confidential materials Dispute/conflict resolution

Intellectual property Conflict of interest

Whistleblower Non-disclosure

Harassment Advertising/promotion

Managing third-party services Multidisciplinary teams

Loss control/risk management Errors and omissions

Health, safety and environment Substance abuse

Information technology


• This part of the PPMP should also document the permit holder’s corporate strategy, purpose, objectives, and core values.

• When it comes to quality control, consideration must be given to protection of professional documents, people, clients, and the public. Key policies need to be in place to ensure ethical and competent management of the practices of engineering and geoscience.

62

Slide 63

5.0 Quality Control – Project Management

Policy/process/procedure for how projects and project risks

are assessed from beginning to end:

▪ Project management system, process, or procedure

▪ Recorded project requirements agreed to with client

including scope, assumptions, and risks etc.

▪ Completed cost estimates and cost-control management

process

▪ Communications plan for clients and others

▪ Technical review process and procedures

▪ Process for handling change management (including

design, shop, execution, and operation)


• When it comes to quality control, consideration must be given to having a process in place to document all assumptions that are made, a process for checking and validating professional work products, procedures in place for managing risk and safety, and a list of all regulations, codes, and standards that were used in the process and how they were checked for completeness.

63

Slide 64

5.0 Quality Control – Project Management

▪ Process/methodology for conducting field reviews,

including adequate and qualified field supervision

▪ Field construction and inspection

▪ Commissioning, start-up plan, and reporting

▪ Certificates and permit sign-off

▪ Project close-out documentation, including manuals

and procedures, final correspondence with client

▪ Project evaluation, project assessment, and lessons

learned


• These processes need to consider methods for field review, when applicable, through to the final documentation, handover, and communication of lessons learned for future projects.

64

Slide 65

5.0 Quality Control – Change Management

▪ Permit holders should have a standard management of

change document/process/template in place

▪ Change management typically occurs in these areas:

▪ Design stage

▪ Shop/fabrication stage

▪ Field construction

▪ Operating/maintenance procedural changes or

equipment operation, emergency situations

▪ Revised specifications, data sheets, models, and

programs

▪ Management of change to be fully documented,

reviewed, with supporting information, and

authenticated if the three-part test is met

65

Slide 66

5.0 Quality Control – Change Management

▪ Documented process or procedure for change management

should include:

▪ How is the original request communicated? To whom?

▪ Is the change technical? Is the material different from the

original design?

▪ What other components of the design does the change

affect? Does it have an effect on a larger program?

▪ Who takes responsibility for the change?

▪ How is the final decision communicated back to the field and

documented?

▪ Is the change properly authenticated if applicable?

▪ How is the change document handled in as-builts or final

record drawings?

66

Slide 67

5.0 Quality Control – Management of

Technical Work

▪ Management of technical work should include:

▪ A list of regulations, codes, and standards and how they

are managed, checked, and validated

▪ Method for documenting assumptions and checking

contractual requirements

▪ Procedures for internal safety, risk management, and loss

control

▪ Process and procedure for conducting independent

checks or peer reviews of work including calculations –

validation!

▪ Method or process for documenting review of technical

work

67

Slide 68

5.0 Quality Control – Relying on

the Work of Others

▪ Professionals can rely on authenticated and validated

work products by other APEGA licensed professionals

▪ If work products are produced by non-APEGA entities

under the Permit to Practice, a licensed APEGA

professional must either provide:

▪ Direct supervision and control during preparation

▪ A thorough review before taking professional

responsibility

▪ If work products are produced by entities outside the

Permit to Practice, an APEGA permit holder or

licensed professional must document due diligence to

ensure the work products are properly authenticated

and validated

68

Slide 69

5.0 Quality Control – Outsourcing

Professional Work

▪ Outsourcing is defined as procuring professional services

from an individual or entity not listed under the outsourcing

entity’s Permit to Practice

▪ If outsourcing, control measures (processes and procedures)

are required to be documented in your PPMP

▪ Control measures should explain how your company

ensures the outsourced company or individual who is

licensed with APEGA:

▪ Is qualified and competent to provide the services

▪ Understands and complies with the EGP Act and APEGA

standards and guidelines

▪ Meets or exceeds your company’s quality assurance program

or systems including authentication

69

Slide 70

5.0 Quality Control – Outsourcing

Professional Work

▪ If outsourcing services to non-APEGA entities, permit

holder should have an outsourcing plan that:

▪ Clearly defines the scope of work

▪ Has documented the due diligence taken in selecting the

entity

▪ Has assigned licensed professional and Responsible

Members to provide oversight

▪ Has clearly communicated all compliance obligations

▪ Ensures compliance with quality management processes

▪ Outlines the management of change process that is used

▪ Policies or procedures for exporting professional work

products for use outside Alberta if applicable


• Many companies have processes and policies in place to pre-screen and approve entities to outsource to. The PPMP should reference those processes and policies.

• Consideration for how the outsourced entity will meet the requirements of the EGP Act and the standards of professionalism is required.

70

Slide 71

6.0 Authentication of Professional

Work Products

This section outlines requirements for authenticating

professional work products and what processes are

expected to be included in the permit holder’s PPMP

1. What authentication includes

2. Why we authenticate

3. Who authenticates and validates

4. What to authenticate

5. Authentication of outsourced work

6. How to authenticate


• The sixth section of the PPMP outlines the policies and processes around the authentication of professional work products, including why it is done, who does it, and what must be authenticated.

• This section will also cover the types of stamps that are used (individual stamp and Permit to Practice stamp if applicable), and methods of authentication permissible by the permit holder (physical or digital).

• Authentication expectations will be discussed in more detail later.

71

Slide 72

Standards, Guidelines & Bulletins

www.apega.ca


• RMs are expected to be knowledgeable on the EGP Act and APEGA’s practice standards.

• APEGA’s practice standards, guidelines, and bulletins can be found on the APEGA website (https://www.apega.ca/about-apega/publications/standards-guidelines).

72

Slide 73

6.0 Authentication – What is it?


• A complete authentication has two parts: the technical authentication (application of the beaver stamp, signature, and date) and the validation (application of the Permit to Practice stamp, member number, signature, and date).

73

Slide 74

What Does Authentication Include?

A licensed professional’s authentication includes three (3)

components: a stamp image, a signature, and the date


• It’s important to ensure the signature is across the stamp and does not obscure the name.

• The date needs to be unambiguous such that days and months cannot be mixed up.

74

Slide 75

What Does Validation Include?

A permit holder’s validation includes a Permit to Practice

stamp, an RM signature, an RM APEGA ID number, and the

date.

Validation confirms that the professional work complied with

the permit holder’s PPMP

Name of

Permit

Holder

Date of

Validation

(Unambiguous)

Responsible

Member

APEGA ID #

Responsible

Member

Signature

Permit to

Practice

Number


• The new Permit to Practice stamp contains the Responsible Member’s (RM’s) signature line, the RM’s APEGA ID number, and the date.

• Alternatively, the RM can manually insert all the required information into the professional work product.

75

Slide 76

Question Time

Why do engineers and geoscientists need to

authenticate documents?

76

Slide 77

Why Do We Authenticate?

Ref:

APEGA General Regulations – Part 8 – Section 54(1)

APEGA, “Practice Standard for Authenticating Professional Documents”, V8.3 July 2019

Authentication is a legal requirement

▪ It ensures competence – a qualified

licensed professional takes accountability

and responsibility

▪ It protects the individual – date indicates

when the work was transferred out of the

licensed professional’s responsibility

▪ It demonstrates professional compliance – work was

prepared in compliance with APEGA Code of Ethics and

permit holder’s quality management systems in the PPMP


• Authentication is a legal requirement (Reference: APEGA General Regulations – Part 8 – Section 54(1)).

• It ensures that a technically and ethically competent professional completed the work.

• Validation (checking and reviewing) and authentication (stamping) must be done by qualified and experienced professionals.

• It also protects the licensed professional as it is an indication of when the work was transferred out of the licensed professional’s responsibility.

• The permit holder number application shows the company’s responsibility and attests to the work being aligned with the company’s quality management systems as outlined in the PPMP.

77

Slide 78

Why Do We Authenticate?

▪ Authentication is not the only indication that the

practice of engineering or geoscience has occurred

▪ The absence of authentication does not relieve a

licensed professional from any professional or civil

liability that may arise from the practise exercised

▪ Even if a piece of work is not authenticated, the

professional is always responsible and accountable

to fulfill their professional obligations under the Act

▪ Responsible Members must understand the legal

definition and know how to apply it


• As a reminder, the absence of authentication does not relieve a licensed professional from liability that arises from work being done.

• Authentication is an indication that practise has occurred and is completed, but it is not the sole indication that practise occurred.

• Often, companies will ask APEGA whether they require a permit, as they do not stamp drawings. Practice, as per the legal definition supplied at the beginning of this presentation, is very broad and even though designs or drawings may not have been produced, it does not mean the practices of engineering or geoscience did not occur (e.g., reports, analyses, recommendations).

• In terms of liability, it is not legislated at this time that licensed professionals hold professional liability insurance (errors and omissions insurance), but it is strongly recommended. Typically, companies will hold this on behalf of their employees.

• APEGA has a Secondary Professional Liability Insurance Program (SPLIP) that all members are automatically enrolled in. Visit the APEGA to read more (https://www.apega.ca/members/benefits).

78

Slide 79

Who Authenticates and Validates?

▪ Authentication is performed by licensed professionals

assuming professional responsibility for the work product

▪ A licensed professional member, licensee, or professional

licensee can authenticate

▪ P.Eng., P.Geo., P.L. (Eng.), P.L. (Geo.), Licensee (Eng.),

Licensee (Geo.)

▪ Professional stamps (physical or electronic) are issued

through APEGA only

79

Slide 80

Who Authenticates and Validates?

▪ Validation is performed by the

Responsible Member, who confirms

quality assurance on behalf of the

permit holder

▪ Permit to Practice stamp (physical or

electronic) can be procured directly

from the APEGA-approved vendor


• Validation is the evidence that the professional work product was produced ethically and conforms to the processes and procedures as outlined in the Professional Practice Management Plan.

80

81

Slide 81Slide 81

Authentication Expectations – Who?


• The PPMP should consider all potential scenarios and define the procedure for authentication. Depending on the company and the type of work being conducted, there may be a need for multiple individuals to authenticate their component of a particular work product.

Slide 82

What to Authenticate?

Professional work products (PWPs)

completed by yourself or under your

direct supervision and control

▪ Establishing scope of work, duties,

responsibilities, and authorities of the

subordinates

▪ Establishing limitations with respect to working independently

▪ Assessing subordinates’ experience levels, qualifications, and

competencies

▪ Taking responsibility for engineering or geoscience decisions

involving the subordinates’ work

▪ Completing periodic documented reviews of work done by

subordinates to ensure that the professional service outputs

meet the desired quality standards

82

Slide 83

What to Authenticate?

Professional work products that you have

thoroughly reviewed by:

Ref: APEGA, “Guideline for Relying on Work Prepared by Others”, V1.1 March 2013

▪ Ensuring validity and reliability of the

work and risk to the public has been

properly addressed

▪ Verifying the accuracy and validity of the work by reviewing all

assumptions, limitations, calculations, etc.

▪ Having confidence that the professional work product will

achieve its intended purpose

▪ Reviewing the competency of the source and depth of material

▪ Documenting your thorough review – it’s your due diligence

▪ By authenticating, you accept professional responsibility

83

Slide 84

The Authentication Test


• The three-part test is a simple set of questions to help determine if a PWP requires authentication. This tool is very broad and does not replace the professional discretion required to determine if a product should be authenticated.

84

Slide 85

Authentication Three-Part Test Flow Chart


• This is the three-part test in a flow-chart format. The chart highlights the requirement for authentication of non-technical work products to meet other legal imperatives, such as building codes.

85

Slide 86

Review Quiz

86

Slide 87

Work Products to be Authenticated

The authentication test will address most questions:

▪ Design work (drawings, reports, concept plans, etc.)

▪ Issued for construction

▪ Issued for tender

▪ Issued for regulatory review

▪ Final record drawings

▪ Specifications and data sheets

▪ Programs, models, and calculation sheets

▪ Drilling and completions work

▪ Reserve documents

▪ Shop and fabrication drawings that contain technical work or design

▪ Software, control logic

▪ Management of change documents – attach the supporting design

change documents, which contain the technical details

▪ Customized goods

▪ Proprietary black-box technology

▪ Building schedules

▪ Operating and maintenance equipment and procedural changes


• This list provides guidance regarding which potential products require authentication. It is not exhaustive.

87

Slide 88

Work Products Not to Authenticate

Items that you would not typically authenticate:

▪ Journal articles

▪ Conference papers

▪ Contracts (authenticate any technical documents as an appendix,

not the whole contract)

▪ Emails – if they contain technical recommendations, use a

separate document to manage this

▪ Schedules and cost estimates

▪ General notes and documents on a project

▪ Communication documents

▪ Documents that are not final for their intended purpose

NOTE: Your PPMP should describe your authentication process and

internal controls and what your company does and does not

authenticate as a permit holder.


• It is equally important to outline in your PPMP which products will not be authenticated.

88

Slide 89

Authentication of Outsourced Work

▪ Outsourcing is defined as procuring professional

services from an individual or entity that:

1. Is not practising under the procuring APEGA permit

holder’s Permit to Practice number

2. Does not have an APEGA licence to practise or Permit

to Practice

3. Offshoring is a subset of outsourcing, meaning that the

work has been contracted to providers outside of

Canada


• Many companies rely on the work of others. What about engineering and geoscience work that was not prepared in Alberta, but will be used in Alberta? Or work that was prepared in Alberta, but its final destination is outside Alberta?

• APEGA terms such work as outsourced work, defined as work done by licensed professionals who are not working under your Permit to Practice number.

89

Slide 90

Imported or Exported Work Products


• In this case, the engineering or geoscience documents were prepared in Alberta, but final consumption or use is somewhere else.

• Does an APEGA member need to authenticate this work? NOTE: This will depend on the local jurisdiction where the professional work product or design will be used and whether their regulatory rules and stamps would need to apply.

90

Slide 91

How to Authenticate?

Professional and Permit to Practice Stamps

▪ Stamps are issued by APEGA and

remain the property of APEGA

▪ APEGA issues an individual physical “wet”

stamp or electronic image (.tiff or .jpg) to

professionals (sourced by APEGA from a vendor)

▪ Individual stamps must be under the control of the

member and returned upon cancellation

▪ Permit holders can obtain their Permit to Practice stamp

directly from an approved APEGA vendor in the form of: ▪ Physical “wet” stamp

▪ Electronic image (.tiff or .jpg)

91

Slide 92

How to Authenticate?

▪ Permit to Practice Stamps must be under the control of the

Responsible Member and returned upon cancellation of

the permit

▪ You are responsible for identity theft, misuse, and forgery

in all jurisdictions

▪ There are only two (2) acceptable stamping methods: ▪ physical “wet” stamp

▪ digital – an electronic image (.tiff or .jpg) of the stamp with

digital signature from an approved APEGA provider

Ensure that your stamps are secure! Have a policy or

process in place to manage this and communicate it.

92

Slide 93

Digital Signatures

▪ Are used in conjunction with electronic

images

▪ Must have robust cryptographic and

identity confirmation processes

▪ Allow an airtight, secure, and non-

dismissible link between licensed

professional and/or Responsible

Member and the document

▪ Only APEGA-approved digital

signature providers who issue a

certificate of authority are acceptableVisit notarius.com


• APEGA’s updated Authenticating Professional Work Products practice standard addresses the mandatory use of digital signatures for digital authentication and validation.

• In regards to digital signatures, certification authorities provide digital certificates to allow persons to use a digital signature and must demonstrate they meet APEGA’s certificate authority requirements. These requirements are available in Appendix 4 of the authentication standard.

93

Slide 94

7.0 Professional Document Management

▪ Policies, processes, and procedures for document

management of professional work products:

▪ Numbering of documents and revision numbers

▪ Storage (where/how/who/electronic/hard copy)

▪ Retention (how long)

▪ Alberta Statute of Limitations

▪ Company

▪ Individual

▪ Transmission

▪ Disposal

▪ Access to files (paper or electronic)


• The final section of the PPMP is Professional Documents & Records.

• This section addresses the controls that your company has in place for developing and handling professional documents. This includes consideration for proper document management and retention, as well as document disposal or destruction.

• The procedures should address the issues around paper and electronic documents.

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Slide 95

7.0 Professional Document Management

▪ Roles and responsibilities for document

management:

▪ Who is responsible for managing the storage of

professional work products?

▪ What files is the professional allowed to retain?

▪ Document management practices:

▪ Encrypted password protection for native files

▪ Locked storage and additional security for intellectual

property and confidential information

▪ Controlled access to file storage or online locations


• It is important to ensure that roles and responsibilities are established around who is responsible for storage and proper record keeping.

• Included above are good practices for managing and storing professional work products.

• Document control is vital to prove due diligence.

• APEGA example:

• A licensed professional used their stamp properly. The document they stamped went into the public domain without any controls, and engineers in a foreign country took a screen capture image of the authentication—the stamp and signature. These foreign engineers then used the stolen image to authenticate many other products for use in Alberta.

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Slide 96

Summary of Authentication

▪ PPMP must address the licensed professional(s) and permit holder

responsibilities for authentication

▪ PPMP must clearly address the authentication process for:▪ Professional and permit holder stamps

▪ Work products requiring authentication

▪ Changes to professional work products

▪ Outsourcing and internal work products

▪ PPMP must address authentication procedures for multiple

members of same discipline, multiple disciplines, and multiple

permit holders

▪ PPMP must address digital authentication if applicable

▪ PPMP must address the control and security of all stamps

▪ PPMP must address document storage, retention, transmission and

disposal of records, and who is responsible for these

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Slide 97

Review Quiz

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Slide 98

What Do I Do With the PPMP?

• Ensure it is active,

accessible, and

current, especially to

licensed professionals

• Have regular training

and annual sign-off, and

enforce it

• Optional to submit

PPMP to APEGA, but

recommended

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Slide 99

Insurance

▪ No requirement in the EGP Act that mandates

whether licensed professionals or permit holders

hold professional liability insurance

▪ STRONGLY recommended—most permit holders

typically have insurance to protect their employees

▪ Professional liability insurance protects licensed

professionals if there are errors or omissions

▪ APEGA has a Secondary Professional Liability

Insurance Program—members are automatically

enrolled

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Slide 100

Professional Practice Reviews

▪ Why do you think professional practice reviews are

conducted?

▪ APEGA staff works with RMs and permit holders and

reviews their professional practice to ensure:

▪ Compliance with the EGP Act

▪ An understanding of legal requirements and APEGA

expectations

▪ Achievement of technical standards of professional practice

▪ PPMP meets all requirements and is understood by all members

▪ Preservation of ethical practice

.

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Slide 101

Seminar Outline

1. Purpose of APEGA


Holders






WHAT YOU NEED TO KNOW:• Why is it important to report unethical behaviour, unprofessional conduct, or

unskilled practise to APEGA?• What happens should a piece of engineering or geoscience work come into legal

question?• What if a safety concern happens?• What happens if the public interest is harmed?

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Slide 102

▪ APEGA legislated mandate is to ensure licensed

professionals and permit holders are held accountable

for maintaining technical and ethical competency

▪ The system ensures that only qualified, competent, and

ethical individuals and permit holders practise

engineering and/or geoscience

▪ APEGA processes are volunteer-based to ensure peer-

to-peer judgements for all boards and committees – self

regulation

Consequences of Disciplinary Action


• Part of our legislated mandate, as shown on an earlier slide, is setting entrance standards to the profession and ensuring that licensed professionals maintain their technical and ethical competency.

• If APEGA becomes aware of any unskilled practise or unprofessional conduct, the discipline and enforcement mandate is utilized to bring the individual or company back to the set standards of technical and ethical competency.

• This ensures that any practise is always done by an individual or company that is competent.

• Within the legislation, the government has given authority to a number of statutory boards and committees that help with enforcement and discipline: the Investigative Committee, the Discipline Committee, the Appeal Board, the Enforcement Review Committee, and the Practice Review Board.

• All of the statutory committees comprise licensed professionals. They are supported by staff and legal counsel.

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Slide 103

▪ The Investigation Committee, the Discipline Committee,

the Appeal Board, and the Practice Review Board are

involved in:

▪ The prevention of unskilled practise and unprofessional

conduct

▪ The disciplining of members and permit holders that

engage in unskilled practise and unprofessional conduct

▪ The provision of quasi-judicial processes that protect the

public while recognizing the rights of any licensed

professional

Consequences of Disciplinary Action

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Slide 104

APEGA Discipline & Enforcement

Two types of complaints:

Against Non-Members and Non-Permit HoldersHandled by the Enforcement Review Committee, APEGA, and when

necessary, the Alberta Courts:• UNLICENSED PRACTISE

• UNAUTHORIZED USE OF RESERVED TITLE

• MISREPRESENTATION (HOLDING OUT)

Against APEGA Members and Permit HoldersHandled through Investigations Committee and the Discipline

Committee:• UNPROFESSIONAL CONDUCT

• UNSKILLED PRACTISE


• APEGA receives two types of complaints:

1. Allegations of unskilled practise or unprofessional (unethical) conduct against licensed professionals or permit-holding companies.

2. Allegations of non-members and non–permit holding companies using a protected title or designation, holding out as able to practise engineering or geoscience, or practising engineering or geoscience.

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Slide 105

▪ Complaints must specifically name a licensed professional

or permit holder and they must be signed

▪ Allegations of unskilled practise or unprofessional conduct

occur if the conduct is:

▪ Detrimental to public interest

▪ Contravenes the code of ethics

▪ Harms the standing of the profession

▪ Displays a lack of knowledge or skill or judgement

▪ Displays a lack of knowledge or skill or judgement in the carrying

out of any duty or obligation

Complaints against APEGA Members


• APEGA investigates all written complaints that include the name of the complainant and directly name the licensed professional or permit holder in question.

• When there is an allegation of unskilled practise or unprofessional conduct, APEGA weighs this against the above listed effects, including the Code of Ethics.

• The Code of Ethics has five rules of conduct, as reviewed earlier.

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Slide 106

Investigation & Discipline Process

Party admits to conductParty does not admit to

conduct

Recommended

Discipline Order (RDO)Formal Hearing

DC decision*

Sanctions OrderedDiscipline

All Written Complaints

are investigatedInvestigations

No evidenceIC decision Dismissed*

Evidence supporting allegations

Referral to Discipline

Evidence gathering

* Indicates right to appeal decision

IC = Investigative Committee

DC = Discipline Committee


• The first type of complaint (unskilled practise or unprofessional conduct of members or permit holders) cannot be accepted anonymously. It must be written.

• APEGA’s Investigations Department with the Investigations Committee will do a thorough review and investigation to determine if there is any evidence to support the allegations.

• If there is no evidence, the complaint is dismissed. This dismissal can be appealed.

• If there is evidence, then it is referred to Discipline.

• When referred to Discipline, there are two scenarios:

1. The party admits to the conduct, in which case they can work with Investigations and Discipline to agree to a set of orders or sanctions.

2. The party does not admit to the conduct, in which case a formal hearing is held. Both sides will give their evidence (physical, witness statements, etc.) to a discipline panel, which will determine whether the allegations are true. The discipline panel then will decide on sanctions or orders.

• Once a discipline decision, with orders or sanctions, is signed off, APEGA follows up on the orders until they are all satisfied. The discipline decision can be appealed.

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Slide 107

▪ If found guilty of unskilled practise or unprofessional

conduct, members and permit holders could:

▪ Have their licence or permit restricted, suspended, or

cancelled

▪ Be subject to a fine

▪ Receive a reprimand

▪ Be mandated to complete additional training or education to

retain their right to practise

For more information, visit the APEGA Discipline Decisions

and Orders page.

Potential Consequences of Unskilled

Practise or Unprofessional Conduct

107

https://www.apega.ca/enforcement/discipline-decisions/

Slide 108

Right to Appeal

Disciplinary process needs to be fair and

reasonable—thus, there is an appeal process for:

▪ The rejection of registration applications

▪ Cases dismissed by Investigation Committee

▪ Discipline decisions that have been rendered

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Slide 109

Key Messages

▪ You are RESPONSIBLE for helping your company regulate

the practices of engineering and geoscience

▪ You are key in having an up-to-date, accessible, and

enforced Professional Practice Management Plan (PPMP)

and the related systems and policies in place

▪ APEGA is here to support you and to regulate against the

EGP Act

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Slide 110

Professional Practice Reviews

Regular professional practice reviews of members

and permit holders are being conducted:

▪ To ensure compliance with the EGP Act

▪ To ensure understanding of legal requirements and

APEGA expectations

▪ To ensure that the required technical standard of

professional practise is maintained

▪ To ensure that ethical practise is maintained

▪ To ensure the PPMP is understood by all licensed

professionals

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Slide 111

NEXT STEPS

THIS SEMINAR IS JUST THE BEGINNING

✓ Find and review your company’s PPMP or create one

✓ Ensure correct titles are being used in the company

✓ Ensure all members are informed about the APEGA Code of

Ethics – review and reiterate the importance

✓ Ensure all RMs in company understand and abide by

APEGA’s expectations

✓ Ensure authentication and validation are done correctly

✓ Ensure that you meet with the COO and share your

learnings from today with other RMs and members


• Remember to submit the seminar declaration to receive credit for the seminar (https://www.apega.ca/members/permit-seminars).

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Slide 112

Contact Information

Professional Practice [email protected]

Professional Practice Review Manager

Dale Ozdoba, [email protected]

Professional Practice Review Advisors

Permit to Practice Administration (Registration Department)

1-800-661-7020 780-426-3990

[email protected] or visit www.apega.ca

John Nugent, P.Eng.

[email protected]

Dale Vanhooren, P.Geoph.

[email protected]

Wanda Goulden, P.Eng., P.Geo.

[email protected]

Permit to Practice Stamps

[email protected]

Permits Administrator

[email protected]

Member Stamps

[email protected]

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