Transcript Powerpoint Presentation

Permit to Practice
The Corporate Licence
Jessica Vandenberghe, P.Eng., M.Sc.
Director of Compliance
AGENDA

APEGA

Professionalism

The Permit

The COO

The Responsible Member

The Professional Practice Management Plan

Professional Documents
Run time is approximately 35 minutes
APEGA
Mission Statement
We serve the public interest

by regulating the practices of engineering and geoscience
in Alberta,

by providing leadership for our professions, and,

by upholding our members in their professional practices.
APEGA (2)

The fundamental purpose of professional
legislation is to regulate professions in the
public interest.
Principles and Policies Governing Professional
Legislation in Alberta - 1990

In many firms, APEGA members are the only
obligated professionals who must act as the
company’s conscience in matters that affect
the public interest
Self-Governance

Self-governance is a privilege delegated to a
profession only when the public interest is
served by doing so, and when the advantages
clearly outweigh the disadvantages.
Principles and Policies Governing Professional
Legislation in Alberta – 1990

Elected Council

Regulatory Committees staffed by volunteer
Professional Members

Government-appointed Public Members
Professionalism
Definition of a Profession:
A calling requiring specialized knowledge and often long
and intensive preparation including instruction in skills and
methods as well as in the scientific, historical, or scholarly
principles underlying such skills and methods, maintaining
by force or organization or concerned opinion high
standards of achievement and conduct, and committing its
members to continued study and to a kind of work which
has for its prime purpose the rendering of a public service.
Webster’s Third New International Dictionary, Unabridged.
Mirriam-Webster, Inc., 1993.
Professionalism (2)
Characteristics of a Profession

advanced / specialized knowledge

intensive study and preparation

continued professional development

good judgement

high standards

leadership

ethical conduct

duty to protect the public interest
Arch of Professionalism
Professionalism (4)
Public Interest
How do you know what is in the public interest?
This is not always clear-cut:
1. identify the stakeholders
2. seek a variety of views and work to genuinely
understand them
Professionalism (5)
Public Interest – many facets

Risk to safety (immediate, direct consequences)

Health effects (longer term or cumulative effects)

Environmental impacts and resource conservation
(sustainable development)

Socio-economic impacts

Public acceptability

Technical feasibility and operating reliability

Impact of related projects (e.g. pipelines or electricity
generation plants)

Future project opportunities enabled or blocked

Corporate profitability (shareholders)
Professionalism (6)
Aids to Ethical Decision Making

Internal Moral Compass – taught by family, school, church

Ethics Theories – the philosophies

Code of Ethics – peer developed code

Case Studies – APEGA Learning Module

Decision Making Methodology

Peers

APEGA
Professionalism (7)

Links the right to practice with the responsibility for practice.

Maintains an ethical and professional approach to practice.

Continually upgrades practice standards to protect the public.

Continuously improves to cope with increasingly complex
demands.
The Permit to Practice
Definitions

Permit to Practice (the licence)

Issued to all partnerships, incorporated companies or joint
ventures practicing the professions in Alberta, including
Individually Incorporated Practitioners (IIPs)

Not issued to Sole Proprietors

Permit holder (the company)

Chief Operating Officer (overall responsibility)

Responsible Member (responsibility for
professional practice)
The Permit to Practice (2)
The Rationale

Corporations are separate legal entities
from the professionals working within
them

Regulates group practice

Provides a single point of contact for both
regulatory and non-regulatory issues
The Permit to Practice (3)
History

1968 - consultants only

1981 - expanded to included operating companies

early 1990s - explore how to add value by focusing
on quality management and addressing concerns of
Individually Incorporated Practitioners (IIPs)
The Permit to Practice (4)
Recent Changes

Mandatory Permit stamp no longer required

Change in fees structure

increased to 150% of Professional Member dues

first year’s dues included in registration fees

reduction for IIPs

Pro-active Practice Reviews

Professional Practice Guideline

Professional Practice Management Plan (PPMP)

Mandatory seminars
The Chief Operating Officer
Assumes overall responsibility and must:

sign permit application

jointly with RMs, maintain organization in which the
practice of the professions can be conducted in
accordance with the Act & Regulations

ensure all practicing Engineers, Geologists &
Geophysicists are licensed

ensure titles are assigned appropriately

ensure company standards at least meet the
professions’ standards

ensure permit number and member stamps are on
all professional documents
The Chief Operating Officer (2)
And must:

surrender stamp and certificate if there are no
qualified RMs

pay dues & submit Annual Report

submit changes to COO and RMs when available or
annually as per Annual Report

assure at least one RM for each profession

ensure the company has a PPMP and that it is being
followed

ensure a RM or COO attends Permit to Practice
Seminar at least once every 5 years
The Chief Operating Officer (3)
And should foster professionalism by:

establishing policies that align organizational needs with
professional responsibilities;

eliminating policies that bring professional
responsibilities into conflict with organizational needs;

encouraging professionals to volunteer with APEGA or
other professional groups;

supporting Continuing Professional Development;

displaying, jointly with RMs, a positive attitude to
regulation and to the role that APEGA plays;

providing support for RMs’ professional
recommendations (see RMs).
The Responsible Member
Assumes responsibility for a specific, assigned area of
practice within the company and must:

jointly with the COO, maintain organization in which the
practice of the professions can be conducted in accordance
with the Act & Regulations

ensure all practicing Engineers and Geoscientists are
licensed

ensure titles are assigned appropriately

ensure company standards at least meet the professions’
standards

ensure permit number and member stamps are on all
professional documents
The Responsible Member (2)
And must:


ensure quality is managed by implementing the
company’s Professional Practice Management Plan.
He/she will:

provide responsible direction

personal supervision
but need not necessarily:


take personal responsibility for the technical
content
advise COO and APEGA when responsibility is
relinquished
The Responsible Member (3)
The RM should foster professionalism by:

recommending that the company has an evaluation system
and development plan for all professionals (including contract
employees)

encouraging the employment of MIT’s

Supporting Continuing Professional Development

recommending that the company uses qualifications based
selection for awarding professional services contracts

recommending a peer review of the company’s professional
practices
The Responsible Member (4)
The RM should model professionalism in the
workplace by supporting:

Council elections

APEGA surveys & ballots

Employee Professional Development

Summit Award nominations

Volunteering for APEGA

A positive attitude toward regulation and the role that APEGA
plays
The Responsible Member (5)
If you don’t think you are in a
position to carry out these
responsibilities, then you should
review your role as a Responsible
Member.
Professional Organization
How many Responsible Members
are enough?
See the Practice Standard for
Authenticating Professional
Documents - Appendix A-1
Quality Management
Involves:

Providing proper conditions

Maintaining the appropriate level of
competence

Assuring effective management of technical
quality

Ensuring effective project management

Maintaining appropriate records.
Professional Practice Management Plan

Required by the EGGP Act since April 2002

Guideline approved by Council in September
2003
1.
Management, Organization and
Responsibilities
2.
Ethical Standards
3.
Professional and Technical Resources
4.
Quality Control
5.
Professional Documents and Records
Professional Practice Management Plan (2)
Professional Practice Management Plan
Management, Organization and Responsibilities

Statement of policy on Professional Practice
Management

Identification of COO and Responsible
Members and their authorities

Organizational structure

Lines of Technical Responsibility
Professional Practice Management Plan (3)
Professional Practice Management Plan
Ethical Standards
Acknowledges the Permit Holder’s obligation to
provide a working environment that ensures:

Standards of professional conduct

Standards of technical competence

Support of professional employees in
discharging their legal and ethical duties
under the EGGP Act
Professional Practice Management Plan (4)
Professional Practice Management Plan
Professional and Technical Resources

Policies on hiring

Inventory of expertise/competencies

Methods of assessing and reviewing employees’ skills

Reference materials

Standard company forms

Information Technology policy

Appropriate computer hardware/software

Necessary lab/testing equipment
Professional Practice Management Plan (5)
Professional Practice Management Plan
Quality Control - Professional Business Practices

Corporate Strategy

Confidential material

Dispute / conflict resolution

Advertising and promotion

Contract negotiation, including sample contracts

Coordination and teamwork

Loss Control and Risk Management

Formal QA Plans (e.g. ISO 9001)
Professional Practice Management Plan (5)
Professional Practice Management Plan
Quality Control – Technical Work

Due Diligence requirements

Training

Assumptions

Independent checks
Professional Practice Management Plan (5)
Professional Practice Management Plan
Quality Control – Project Management

Cost Estimates & Expenditures

Project Management Systems

Changes / Progress Payments / Reviews

Field Reviews
Professional Practice Management Plan (6)
Professional Practice Management Plan
Professional Documents and Records

Identifying which documents need control

Preparing, reviewing, issuing, using, and revising
documents and records

Responsibility for authentication

Managing and maintaining documents and records

Ensuring compliance with applicable codes and
standards

Records of communication
Professional Documents
What constitutes a Professional Document?

Practice Standard for Authenticating
Professional Documents v2.0

A professional document has two main
characteristics:
1. It
contains technical information
2. It
is complete for its intended purpose
Professional Documents (2)
Two marks are required for proper authentication
APEGA Member’s professional stamp

Attests to the member’s involvement in the creation
of the document:

Creation

Supervision

Thorough review
APEGA Permit Number

Attests to the fact the work has gone through the QC
process specified in the PPMP
Liability and Responsibility

The Court’s role is to determine liability

A properly written PPMP may help
demonstrate due diligence in a civil law suit

APEGA’s Role – Professional Responsibility
Recommended Reading
For further details please refer to the
Guideline for Professional Practice Management Plans
and the
Practice Standard for Authenticating Professional
Documents
Available as free downloads from
APEGA’s website (www.apega.ca)
Next Steps
As a minimum:

Ensure your company is using reserved titles
appropriately

Ensure your employees who are qualified are
licensed

Ensure your company is following the
professional standards developed by APEGA
Next Steps (2)


Ensure your Professional Practice
Management Plan:

Is in place

Is being followed

Addresses communications and record keeping
Ensure you are authenticating all of your
professional documents
Next Steps (3)

Complete the Permit to Practice Seminar
Declaration, available on the website,
and submit it to APEGA for credit

While completing this electronic version
of the seminar satisfies your statutory
requirement for attendance, you are
encouraged to attend a live seminar
should your schedule permit.
Final Thoughts
As a COO and / or a Responsible
Member, you are obligated to assist
APEGA in ensuring the practices of
Engineering and Geoscience in your firm
are conducted in accordance with the
Act and Regulations.
Final Thoughts
As a COO and / or a Responsible
member, APEGA is also asking you to
take on a greater role in the promotion of
professionalism within your firms.
Final Thoughts
Just as the APEGA Council, Boards and
Committees are an integral part of how
the professions are managed, so too are
the COOs and Responsible Members.
Final Thoughts
As Partners in the Professions, you play a key
role in enabling APEGA to regulate enhance,
and provide leadership in the professions.
Questions?
Please direct all your questions
regarding the Permit to Practice, your
Professional Responsibilities, and this
seminar to
Jessica Vandenberghe, P.Eng., M.Sc.
Director of Compliance
APEGA
(780)426-3990 or 1(800)661-7020
[email protected]
Download declaration…Here