2011 capf professional workshop professional sign-offs
TRANSCRIPT
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2011 CAPF Professional Workshop
Professional Sign-offs
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1- Why Authentication/Validation 2- Annex 2 – RFP Validation 3- Approval Process4- Compliance Assurance5- Authentication Policy
Professional Sign-offs
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Why Authentication/Validation?
Professional Work Forestry Professional Code of Ethics Standards of Practice Professional integrity
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Authentication / Validation
Authentication Policy
Validation (Annex 2)
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Annex 2 - RFP Validation
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Definition RFP
Regulated Forestry Professional
Regulated member
College of Alberta Professional Foresters
College of Alberta Professional Forest Technologists
RPF or RPFT only
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RFP Role
RFPs must submit work (Annex 2)– Work done by RFP or others
Exemption – Companies harvesting less than 30,000 m3 annually from public land
Validating Work– Sign, professional title (RPF, RPFT),
registration number– Stamping (professional seal) and signing
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Why RFP Validation?
Assurance that work is– completed by qualified professionals– prepared with due diligence– Accurate (done by RFP or others)
Complete and accurate “auditable” records are kept
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Due Diligence
Desired outcome achieved
Negative consequence minimized
Completeness
Conclusions
Procedures followed
(e.g. SOP, checklists)
Records kept (and retrievable)
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Complete and Accurate
Free of errors or omissions
Submitted on time
Prompt notification and correction
Readily understood
Complete documentation
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Responsibility and Accountability
Industry and Government RFPs– meet standards– work they oversee, complete and
submit Government RFPs
– complete accurate and timely reviews– direction or corrective action
Accountability is not transferred
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Approval Process
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Two Approval Processes
- Appraisal
- Acceptance
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Appraisal
Work with Significant potential risk
SRD due diligence
Communication is critical
Validated work is accurate
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Appraisal
Verify completeness
Verify accuracy
Review checklists
Review risk items (e.g. past performance)
Communication is critical
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Appraisal
Validated and Complete Appropriate explanation Recommend approval
Validated and Incomplete Appropriate explanation Recommend approval
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Appraisal
Validated and Incomplete Without appropriate explanation Without explanation Do not accept
Not validated Do not accept
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Reviewing RFP
Prepare and File Report Factors chosen to evaluate Results of assessment on accuracy Outcome of appraisal Recommendations/decision
rationale Reviewer names, dates Validation
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FMP Appraisal
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FMP Appraisal
Validated Review checklists
http://srd.alberta.ca/ManagingPrograms/ForestManagement/RegulatedForestryProfessionals.aspx
Compare FMP against Standards– Appraisal checklists
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FMP Appraisal
Standards / adjusted standards met (e.g ToR, Approval Letters)
Stakeholder input
Consultation Records– Public– Aboriginal
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FMP Appraisal
Reviewing RFPs Appraisals validated and filed.
Recommendations to FMB Executive Director
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FMP Approval
Approval by FMB Executive Director Approval Decision
– Validated– Available to Public
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Two Approval Processes
- Appraisal
- Acceptance
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Annual Operating Plan
Appraisal– General Development Plan– Compartment Assessments
Acceptance– Final Harvest Plan– Road Plan and Fire Control Plan– Reforestation Program
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Acceptance
Work with limited potential effect
Validated/Checklists – Complete– Appropriate explanation– Accept
Approved in 5 days
Field Inspections
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Compliance Assurance
Industry Self-Reporting
SRD Inspections
FOMP Internal Audits
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Industry Self-Reporting
See Directive 2006 – 04 Timber and
Reforestation Operations Monitoring (i.e.
status of active timber operations by
disposition)
Monthly reporting form – must be
validated
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Forest Operations Monitoring Program
FOMP is ISO 9001:2008 Registered– Quality Management System
Management-improvement focused– Pro-active communications
Based on plan-do-check-act cycle
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FOMP Inspections
Inspections conducted by SRD Staff– Validate Inspections– FOMP Course– CAPF or CAPFT member
Number of inspections is risk based – Based on enforcement history and past
performance– Harvest level– Validation
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2009-2010 FOMP Report
Top Operational Issues
Utilization Standards
Forest Protection – debris disposal
Watercourse protection
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FOMP Audits
Internal "audits" Audit 20% of total inspections by
inspector
Implications – induced error
Address non-compliance
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Validation (Annex 2)
Reliance on Professional Integrity -Forest Management Process
Government and Industry RFPs
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Authentication Policy
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CAPF Authentication Policy
Effective August 1, 2010 Demonstrate to:
– Public– Government– Other professional association
Work completed/reviewed by RFPs– Bound by Code of Ethics– Advanced Education
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CAPF Authentication
Period of Education Monitoring and Enforcement Public /Private Land