apega permit to practice · what you need to know: ... •please read all slide content, as well as...

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APEGA Permit to Practice

August 2018

WHAT YOU NEED TO KNOW:• Presentation expectation: for Permit Holders and Responsible Members to

understand their legal responsibilities and to be able to create or update their Professional Practice Management Plan.

• The Permit to Practice Seminar is mandatory for Responsible Members and must be reviewed within 6 months of becoming a Responsible Member for a company and then at minimum every 5 years.

• To view the date of the last seminar you attended, visit the publicly available Member Directory on the apega.ca website.

• This presentation is revised annually. To provide feedback and comment, email• [email protected]

• PLEASE READ ALL SLIDE CONTENT, AS WELL AS NOTES. The notes will not re‐iterate what is on the slide, but will provide further clarity. A handout is also available for download on the website.

• Reviewing this material will satisfy the Permit to Practice Seminar credit. To update your member file with APEGA, please fill in the Permit to Practice Online Seminar Declaration found on the apega.ca website under Members & Permit Holders under Permit to Practice Seminars (https://www.apega.ca/members/permit‐seminars/) and submit to [email protected].

• Questions or clarifications can be sent to [email protected] or by contacting the Permits department at 1‐800‐661‐7020.

Housekeeping

1. Fire alarm & evacuation

2. Sign-in sheet

3. Washroom location & codes

4. Reminders

▪ Cell phones on vibrate

▪ E-survey and certificates

▪ On-line materials

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

WHAT YOU NEED TO KNOW:

For in‐person seminars only.

• Accompanying handouts can be downloaded on the apega.ca website under Members & Permit Holders under Permit to Practice Seminars (https://www.apega.ca/members/permit‐seminars/).

Acronyms:

• APEGA = Association of Professional Engineers and Geoscientists in Alberta

• CPD = Continuing Professional Development

• EGP Act = Engineering and Geoscience Professions Act

• HR = Human Resources

• MITs = Members in Training

• PPMP = Professional Practice Management Plan

• RMs = Responsible Members

• P.Eng.. = the designation for the Professional Engineer license type

• P.Geo. = the designation for the Professional Geoscientist license type

• P.L.(Eng.). = the designation for the Professional Licensee – Engineering license type

• P.L.(Geo). = the designation for the Professional Licensee – Geoscience license type

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Understanding the Audience

▪ Engineers ? Geoscientists ?

▪ Large company (>100 people) ?

▪ Small company (<5 people)?

▪ First time writing a PPMP ?

▪ Revising and improving your PPMP ?

▪ Taken the seminar before ?

▪ First time taking the seminar ?


For in‐person seminars only.

• APEGA geographically divides its membership into 10 branches. The largest of these are the Calgary and Edmonton branches.

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Overview

1. Purpose of APEGA

2. Company Permits & Legal Requirements of Permit

Holders

3. Chief Operating Officer (COO) & Responsible Member

(RM) Responsibilities

4. How to prepare and implement a Professional Practice

Management Plan (PPMP) Including Authentication

5. Consequences of disciplinary action

WHAT YOU NEED TO KNOW:• Presentation expectation: For Permit Holders and Responsible Members to

understand their legal responsibilities and to be able to create or update their Professional Practice Management Plan.

• Clarification will also be given on only one APEGA practice standard, which is Authenticating Professional Documents. The actual practice standard is published on the apega.ca website under Publications and under Standards & Guidelines

• https://www.apega.ca/about-apega/publications/standards-guidelines/

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Seminar Outline

1. Purpose of APEGA


Holders






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APEGA Mission & Vision

Mission

Regulate the practices of

engineering and

geoscience to serve the

public interest in Alberta.

Vision

APEGA will earn the

confidence of the public

and instill pride in its

Members.

WHAT YOU NEED TO KNOW:• APEGA is the Association of Professional Engineers and Geoscientists of Alberta.• APEGA regulates the practices of engineering and geoscience within the province of

Alberta.• The values APEGA upholds include:

• Protection of the public safety.• Ensuring public trust in our professions.• Treatment of everyone with fairness, dignity, and respect.• Transparent processes that are fair, impartial and accountable.• Self‐regulation that benefits the public and the professions.• Skilled and ethical professional practice by all of our members.

• The vision is to earn the confidence of the public and instill pride in its Members.

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Professional Practice

▪ Permit Holders have meaningful PPMP’s

▪ Responsible Members feel empowered to fulfill obligations

▪ Professional Practice Standards are updated and enforced

▪ Permit Holder Practice reviews are increased

Continuing Professional Development

▪ Sustainable CPD program with key processes

▪ Competency matrix

▪ CPD audit program and compliance enhanced

▪ Processes to manage CPD non-compliant members

APEGA Strategic Plan


• Strategic Plan is based on the 2017-2022 APEGA STRATEGY

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Objectives▪ Uphold the public interest

▪ Ensure competence, professional conduct and integrity’

▪ Govern its members

▪ Ensure each professional is engaged and accountable

▪ Establish, monitor and enforce standards

▪ Establish, monitor and enforce codes of conduct and

practice standards

Values▪ Integrity

▪ Accountability

▪ Innovation

▪ Service

APEGA Objectives and Values


• Objectives and Core Values based on the 2017-2022 APEGA STRATEGY

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▪ Self-regulation mandate comes from the EGP Act

▪ Entrance standards to the profession (setting/enforcing)

▪ Standards for competent and ethical behavior

▪ Practice reviews, standards & guidelines

▪ Publicly available Member and Permit Holder Directories

▪ Discipline process based on peer review

▪ Investigations, Discipline, Appeals

▪ Ensuring proper title usage and practice compliance

APEGA’s Legislated Mandate


The Alberta Government issues provincial legislation. APEGA must adhere to the Engineering and Geoscience Professions Act (EGP Act), accessible at: https://www.apega.ca/about‐apega/publications/engineering‐and‐geoscienceprofessions‐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 practicing as well as for professional practice.

• A system to ensure that professionals adhere 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 practice 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 practice.

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Click To Edit Master Title StyleThe Privilege of Self-Regulation

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Public Interest

Public Safety

Legislation

The Engineering and Geoscience Professions Act

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Permit HoldersProfessional Licensed Members

Self Regulation Through:• Public Confidence• Professional Reputation• Social License

Right to Practice

Right to Title

2 Registrar & CEO

APEGA Council3

APEGA Staff (~130)

& Volunteers (~1500)

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PUBLIC INTEREST & SAFETY IS THE AIM

CLICK1. The citizens of Alberta trust the Government of Alberta to protect their public interest and safety

1st decision – government regulation or self-regulation

The Government of Alberta has chosen to have the engineering and geoscience professionals self-regulate on behalf of the public (Sidebar; Why? Because of the technical nature, who better than regulate a profession than other professionals?

CLICK2. Framework for this Self-regulation = Engineering and Geoscience Professions Act (EGP Act). The Why, the Who and the What.

Exclusive Right to Practice and Right to Title

CLICK 3. The EGP Act also establishes APEGA as a mechanism for self-regulation

Elected Council empowered to set the “rules” for self-regulation – the How and When.

Council selects the RCEO

The RCEO directs staff and volunteers in support of self-regulation

CLICK 4. This creates a feedback loop and support to those Volunteers who meet the statutory obligations. For the Members by the Members.

NO consideration for the Member self -interest written in the EGP act or Regulations

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ANIMATIONS

Self- Regulation & The Importance

▪ Social license can be revoked – Self Regulation Lost

▪ Examples of this:

▪ Quebec construction industry (corruption/collusion/fraud)

❖ Charbonneau Commission inquiry and findings

❖ Quebec Engineers Association (Ordre des Ingénieurs

du Québec or OIQ) put under trusteeship by Quebec

government in 2016

▪ BC Realtors Association

▪ APEGA needs to be a better Regulator for the practice of

engineering/geoscience

WHAT YOU NEED TO KNOW:• A recent example of a regulator who lost their 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 pay‐offs in exchange for contracts• Violence to ensure contracts were awarded• No financial auditing regarding pay‐offs and kick‐backs.

• 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 their privilege of self‐regulation was revoked.

• A similar incident in 2016 happened in B.C. where the real estate board’s right to self‐ regulation was also revoked.

• BC is now looking at 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 Professional Member, ensuring that the engineering or geoscience professions maintain their privilege of self‐regulation?

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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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APEGA’s Permit to Practice

▪ Gives the right to practice and use title

▪ A legally binding contract between APEGA and the

company

▪ Permit must be renewed annually and information updated

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

▪ Required by any partnership,

corporation, or other entity that

practices engineering or geoscience

in Alberta (internally or externally)


• APEGA requires that any partnership, other association of persons or a registered corporation that practices engineering or geoscience in Alberta must hold a Permit to Practice from APEGA.

• The other situation is where a company utilizes a reserved word, such as “engineer” or “geologist” within its company name. This company would have to hold a permit to practice in order to utilize title.

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Permits to Practice Rationale

▪ Companies are separate legal

entities from their professional employees

▪ Permits allow APEGA to help regulate

group practice – not all provinces

regulate companies

▪ Company is Accountable and responsible to ensure:• Quality engineering and geoscience work by qualified

Professionals

• Atmosphere for Professional Practice of engineering and/or

geoscience

• Adherence to all relevant regulations, standards and codes


• APEGA needs to ensure that the practice of engineering/geoscience is regulated.

• Permits are a way to ensure companies, partnerships or other association of persons are held accountable and responsible for any practice done on its behalf. Permits allow APEGA to help regulate group practice.

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

Companies need to ensure that:

• Any engineering or geoscience work is done by licensed individuals who have met the standards for technical and ethical competence.

• There is an environment where its Professional Members can satisfy APEGA’s legal expectations of them (e.g. Continuing Professional Development program)

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• Any regulations, standards, or codes that have an impact on the engineering or geoscience work are abided by.

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What is the Practice of Engineering?

Reporting on, advising on, evaluating, designing, preparing

plans and specifications for or directing the construction,

technical inspection, maintenance or operation of any

structure, work or process:

(A) that is aimed at the discovery, development or utilization

of matter, materials or energy or in any other way

designed for the use and convenience of humans, and

(B) that requires in that reporting, advising, evaluating,

designing, preparation or direction the professional

application of the principles of mathematics, chemistry,

physics or any related applied subject


So, how does APEGA define “practice of engineering”?

• This is legally defined in the EGP Act and is written here.

• It is a broad definition, the crux of which is professional application of mathematics and sciences that affects any structure, work, or process that is designed for the use and convenience of humans.

• Do you know how many different disciplines of engineering there are?

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What is the Practice of Engineering?

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


• There are over 44 different disciplines offered in accredited Canadian universities alone.

• APEGA sees almost half of its membership as internationally trained, where they may have degrees in disciplines other than what is listed.

• Engineers are quite varied in their work and expertise, which is why licensure is important – all need to have the commonality of protecting the public interest and to have met and maintain the entrance standards for technical and ethical competency.

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What is the Practice of Geoscience?

Reporting, advising, evaluating, interpreting, processing,

geoscientific surveying, exploring, classifying reserves or

examining related to any activity:(A) that relates to the earth sciences or the environment,

(B) that is aimed at the discovery or development of oil, natural

gas, coal, metallic or non-metallic minerals, precious stones, other

natural resources or water or that is aimed at the investigation of

surface or subsurface conditions of the earth, and

(C) that requires, in that reporting, advising, evaluating, interpreting,

processing, geoscientific surveying, exploring, classifying reserves

or examining, the professional application of the principles of

mathematics, chemistry,

physics or biology through the application

of the principles of geoscience.


• So, how does APEGA define “practice of geoscience”?

• This is legally defined in the EGP Act and is written here.

• It is also a broad definition, the crux of which is professional application of mathematics and sciences that relates to the earth sciences and is aimed at discovery of development of sub‐surface reserves.

• Do you know how many disciplines of geoscience there are?

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What is the Practice of Geoscience?

Geology

Geophysics

Geochemistry

Hydrogeology


• The number of geoscience disciplines are fewer than engineering, but these are growing all the time.

• Geoscientists work closely with engineers and both are founded in application of mathematics and scientific principles

• Like Engineers, Geoscientists are quite varied in their work and expertise, which is why licensure is important – all need to have the commonality of protecting the public interest and to have met and maintain the entrance standards for technical and ethical competency.

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Legal Obligations

▪ Annual renewal of permit

▪ A PPMP that is current, active, and

accessible

▪ Designated and informed

responsible members (RM)

▪ Signed COO & RM declarations

▪ Abide by all regulations, standards,

codes & APEGA requirements

▪ APEGA has all current contact

information including members

▪ Onus to respond

Recommendations

▪ Reporting

compliance or

discipline concerns

▪ Display permit

certificate

Permit Holder Obligations

HANDOUT


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

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

• Annual permit renewal can be completed through the Company Self-Service Centre found at : https://permits.apega.ca

• 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 visible to show that the company can legally engage in the practice of engineering or geoscience.

• There may be consequences for the Permit Holder’s and designated RM’s for failing to meet APEGA’s requirements.

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Seminar Outline

1. Purpose of APEGA


Holders

3. Chief Operating Officer (COO) & Responsible

Member (RM) Responsibilities





• As the COO or Responsible Member, what do you do? What does it mean to be a responsible member for a company?

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COO Declaration Statement

▪ 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.

▪ Ensures that the designated RM(s) has the written authority to

execute and validate all engineering & geoscience professional work

products to comply with APEGA’s requirements. (i.e. standards,

guidelines etc.)

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

professionals comply with the company’s Permit to Practice.

HANDOUT


• The COO must be aware of what the company is legally responsible for once granted an APEGA Permit to Practice.

• The COO must ensure that qualified and competent professionals in the relevant designations are selected for the Responsible Member positions and that hold positions of authority within the company to influence and provide direction to the company.

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COO Declaration Statement

▪ Must have a least one designated professional member 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.

▪ APEGA may, at any time, conduct a review of the companies practice.

HANDOUT


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RM Declaration Statement

Dealing with Acknowledging……

▪ A registered APEGA Professional Member in good standing

▪ Has suitable written authority to act as an RM within the

company

▪ Attend Permit to Practice seminar – Within the first 6 months

and thereafter at least once every 5 years

▪ Will notify APEGA of disciplinary action in other jurisdictions

▪ Update contact information with APEGA for self and company

▪ Will contact APEGA if no longer RM for the company

HANDOUT


The RM must be qualified by experience and technical skills (knowledge) to perform the RM duties and to ensure full compliance with all APEGA requirements in all aspects of delivering professional work products.

The listed statements must be true:

• The RM must be a registered APEGA Professional Member in good standing.

• Good standing means that there are no outstanding dues, no outstanding disciplinary orders, no investigations under way, all mandatory CPD obligations are fulfilled, and there are no compliance concerns.

• The RM must have written authority within the company to act as RM.

• The RM must attend the mandatory permit to practice seminar within 6 months of becoming a new RM and then at minimum, every 5 years thereafter.

• The RM will notify APEGA of disciplinary action against them in other jurisdictions.

• The RM will ensure that APEGA has the most recent contact information for themselves and the company.

• The RM will contact APEGA should they cease to be RM for the company.

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Dealing with understanding……

▪ APEGA is a regulator

▪ APEGA has the right to conduct practice reviews &

investigations

▪ Professional work needs to abide by appropriate

regulations

▪ Onus to respond to APEGA on regulatory matters

HANDOUT


This is a continuation of the RM declaration statements. This list deals with acknowledgement and understanding that :

• APEGA is the regulator for engineering and geoscience practice within Alberta.

• APEGA has the right to conduct practice reviews and investigations.

• That any engineering or geoscience professional work done on behalf of the company needs to abide by appropriate regulations, standards, guidelines etc.

• APEGA relies on the RM to know what regulations, standards, guidelines etc. are relevant and appropriate.

• That the company has an onus to respond should APEGA contact the company or an individual with regards to regulatory matters.

• APEGA provides oversight to ensure that all Permit Holders comply with the requirements of their Permit to Practice.

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Dealing with things you need to action……

▪ Development and enforcement of a PPMP

▪ Quality system/controls in place & documented in the PPMP

▪ PPMP in place within 1 year of receiving initial permit

▪ Ensure only qualified people practice engineering &

geoscience

▪ Ensure work is properly reviewed and authenticated

▪ Apply Permit Holder Number or Permit to Practice Stamp

( Signature & date) on professional work products as a

demonstration of assurance

HANDOUT

WHAT YOU NEED TO KNOW:This is a continuation of the RM declaration statements. This list deals with actions theRM must take:

• The development and enforcement of a professional practice management plan (PPMP) for the company.

• The company must have a quality system in place for all engineering and geoscience work and this framework will be documented within the PPMP.

• The PPMP must be finalized and in effect within 1 year of receiving the initial permit to practice . It is encouraged that this is completed sooner than that.

• The RM must ensure there is a framework in place such that engineering and geoscience work is properly reviewed and authenticated in compliance with APEGA’s practice standards.

• The COO or designated RM(s) have to get qualified and experienced professionals in the relevant disciplines to do the validation and authentication of professional work products within the company.

• The RM is responsible for the application of the permit holder number on professional documents.

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Key Functions for the RM

The Responsible Member(s) is:

▪ The regulatory expert on the EGP Act for the

Permit Holder and all professional members.

▪ Provides responsible direction to professional

members and the company.

▪ The “PPMP” expert.

▪ Ensures quality control systems or framework

are in place to be compliant with the practice of

engineering and/or geoscience.

HANDOUT


• An RM is expected to be the EGP Act regulatory expert within the company and understand APEGA’s expectations for Permit Holder companies, Responsible Members, and Professional Members.

• 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 the responsibilities of the RM, the following APEGA practice standards and guidelines must be understood and applied:

• Authenticating Professional Documents• Ethical Practice • Relying on Work by Others• 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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Professional Member Expectations

Legal Obligations

▪ Maintain technical and ethical competence

▪ Engage in professional development as per APEGA’s guidelines

▪ Submit CPD hours and pay dues annually

▪ Abide by all regulations, standards & codes

▪ Contact information is current

▪ Onus to respond

Recommendations

▪ Involvement in the Professions▪ Election and AGM

▪ Volunteering

▪ Mentoring

▪ Enhancing the reputation of the Professions

▪ Reporting compliance or discipline concerns

HANDOUT


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

• All professional members and members-in-training have legal obligations to the profession which include maintaining their technical and ethical competence, ensuring they fulfill their mandatory CPD obligations, and ensuring their APEGA contact information is current.

• In addition, some recommendations to contribute to the profession or to improve the reputation of the professions is for professionals is to volunteer in the community or to mentor others.

• It is also a professional responsibility to report compliance or discipline concerns to APEGA if you are involved or become aware of them.

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Seminar Outline

1. Purpose of APEGA


Holders



4. How to prepare and implement a Professional

Practice Management Plan (PPMP) Including

Authentication



• This section deals with the most important part of an RM function which is preparing and administering the PPMP, and the process or procedures of Authentication.

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Why a Professional Practice Management Plan

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 RM’s and professional members understand that a partnership, corporation or other entity that is licensed by APEGA is required under the EGP Act for to have and maintain a Professional Practice Management Plan (PPMP).

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Question

You are the Responsible Member for a

Manufacturing company that has offices in

Edmonton and Calgary. You are asked to review the PPMP to ensure it contains all

the right “stuff”, what do you look for?


• The PPMP documents the quality systems in place that govern the engineering and geoscience work completed or sourced by a permit holder., What exactly does that mean and what does that include?

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Professional Practice Management Plan

▪ A written description or framework through which

engineering and geoscience practice is completed

▪ Must fit your company

A robust and functional PPMP will ensure:

Quality engineering and/or geoscience work by qualified

Professionals.

A Professional Practice atmosphere that exists throughout

the organization.

Adherence to all relevant regulations, standards and

codes.


• One of the legal expectations of a Permit Holder company is to have a Professional Practice Management Plan (PPMP) and often the RM writes, implements, and enforces this.

• The PPMP documents how the company ensures that any work produced from engineering or geoscience practice is of good quality and compliant with relevant legislation. It also ensures that the company provides an atmosphere that permits its Licensed Professionals to meet their legal and professional obligations, such as the CPD program.

• The PPMP needs to fit the company, as such a smaller company that employs a singular Professional Member will not have a complicated quality control system nor necessarily a written policy around ethical behavior - instead relying on the Professional Member to regulate him/herself. Such a PPMP would be smaller than a larger company that employs 100s of Professional Members and requires written policies to cover such professional issues.

• The PPMP must be an up-to-date, living document that is accessible to everyone within the company, especially to Professional Members.

• APEGA’s Statutory Boards are authorized in the EGP Act to request the PPMP, for example as part of a practice review or investigation. Once requested the company is given 30 calendars days to submit. The PPMP is an integral part and is a mandatory

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requirement for the Permit to Practice.

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Abide by Regulations, Standards & Codes

Determine what other legislation is relevant to your

company:

▪ Occupancy Permits

▪ Fire Alarm Verification Certificates

▪ Alberta Building Code Municipality permits

▪ Safety Codes Act

▪ Occupational Health and Safety Act

▪ Pressure Equipment Safety Regulation ABSA permits

▪ AER, NEB permits

APEGA can advise solely on the EGP Act


• APEGA can only advise on the EGP Act and it is the company’s responsibility to know what other regulations, standards, and codes are relevant to the engineering or geoscience work done on its behalf.

• A few examples are listed on the slide.

• ABSA is the Alberta Boiler Safety Association, AER is the Alberta Energy Regulator, and NEB is the National Energy Board.

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PPMP Requirements for Permit Holder

▪ PPMP is Mandatory!!!

▪ PPMP must be “in place, followed & enforced”:

▪ PPMP must be in place by first anniversary of the permit

▪ Must be active, current and accessible

▪ Must be updated annually with revision history

▪ Must be signed off by COO and at least one RM from each

professional designation

▪ PPMP must be submitted to APEGA when requested

▪ Have yearly training and documented sign-off by members

▪ Submit your PPMP to APEGA (optional) but recommended


• A PPMP needs to be in place by the first anniversary of the permit.

• If you are a new Responsible Member, you need to take the Permit to Practice Seminar within 6 months and then every 5 years there after.

• The Permit to Practice seminar is available in-person within the APEGA offices, on-line, and can be offered in-house, if there is sufficient attendance.

• APEGA is developing an online Permit to Practice course for implementation in 2019.

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Professional Practice Management Plan

1. General information

2. Ethical standards

3. Management - reporting/technical

organization structure

4. Professional and technical resource

management

5. Quality Control Systemsa) Business practices

b) Project Management

c) Management of technical work

d) Relying on work by others & outsourcing

6. Authentication of professional products

7. Professional document management

.

HANDOUT


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

• The seven major categories that are included are:

• General information, revision history, references used and signatures

• Ethical standards

• Organizational chart

• Professional and technical resources

• Quality Control

• Authentication of professional documents

• Professional documents and records management

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1.0 General Information

▪ General

▪ Title Page – Permit Holder Name & Practice Number

▪ Table of Contents

▪ Declaration – signed by COO & RM/designation

▪ Revision History

▪ Purpose of PPMP

▪ Objectives of PPMP

▪ Permit Holder background information

▪ Definitions /abbreviations etc. used in PPMP

▪ Reference documents – internal & external


• The intent of this section of the PPMP is administrative and to lay the foundation of the PPMP.

• The general section deals with having a proper title page that states the Permit Holder name and Permit to Practice Number which is often missed.

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

• It is a must to state the Permit Holder’s declaration and for it to be signed by the COO and at least one RM from each professional designation. Most PPMP’s are not signed and often do not state who was involved in preparing them.

• Critical to have a revision history to show that the PPMP is reviewed annually.

• Purpose and objectives of the PPMP are to clearly state why it is required and important.

• Permit Holder background describes the company business, what services it provides, and where it operates.

• Having a definitions section is important as most Permit Holders use acronyms specific to their organization which helps with clarity for those reading or reviewing it.

• It is very important to have a reference section that states or references all internal

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and external documents used in preparing or supporting the PPMP.

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1.0 General Information

PPMP Statement illustrating importance

ABC Company recognizes that the practice of engineering and geoscience is 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 that senior management acknowledges and understands that the professions are regulated and that licensed professionals practicing within the company needs 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.

36

2.0 Ethical Standards

▪ An environment where Professional Members can

maintain their ethical competency

▪ At minimum, the APEGA Code of Ethics

▪ Reporting unprofessional conduct to APEGA


• The second category within the PPMP is “ethical standards”.

• Professional Members 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 behavior, these simply need to be referred to in the PPMP if they take precedent and meet the minimum ethical standard.

WHAT YOU NEED TO THINK ABOUT:

• Do all engineers and geoscientists working under the permit know where to find, and do they understand the APEGA Code of Ethics 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 practicing ethically?

37

APEGA Code of Ethics

…founded upon integrity, competence, dignity and

devotion to service through 5 rules of conduct

# Description Importance?

1

2

3

HANDOUT

Serving the public interest

Staying within your scope of

practice; skillful practice

Ethical behavior!

Professional conduct!

…hold paramount the health, safety and welfare of the

public and have regard for the environment.

…work that they are competent to perform by virtue of

their training and experience.

…conduct themselves with integrity, honesty, fairness

and objectivity in their professional activities.


• APEGA has a code of ethics that must be followed by all Professional Members.

• The current code of ethics consists of 5 rules of conduct.

• The first rule of conduct speaks to keeping in mind public and stakeholder interest, including that of the environment.

• The second rule of conduct speaks to staying within your scope of practice. This means that an RM should not accept the position unless they are qualified by experience and skill (knowledge).

• The third rule of conduct speaks directly about ethical behavior.

38

APEGA Code of Ethics

…founded upon integrity, competence, dignity and

devotion to service through 5 rules of conduct

# Description Importance?

4

5

Legal practice; compliance

with regulation

Holding public confidence

…comply with applicable statutes, regulations and

bylaws in their professional practices.

…uphold and enhance the honor, dignity and

reputation of their professions…


• The fourth rule of conduct speaks to knowing and abiding by all laws that are relevant to the work you are doing when practicing engineering. This includes other legislation such as the Building Code, OH&S standards, or Alberta Energy Regulator standards.

• The fifth rule of conduct speaks to public interest and the idea of social license to practice.

• As RM, you all the Licensed Professionals under your supervision or technical control know and understand the APEGA Code of Ethics and that this is incorporated into the company policies and practices.

• Should APEGA investigate a complaint against a member or a permit holder, their conduct will be weighed and measured against the Code of Ethics.

39

2.0 Ethical Standards

▪ Reference APEGA’s Code of Ethics at a minimum

▪ Implement APEGA’s Code of Ethics or follow

company policy

▪ Ensure members have annual training and a

documented signoff – commitment

▪ Support for ethical professional development

▪ Company values and vision that encompass

APEGA’s Code of Ethics – create atmosphere


• What does your company include in their “ethical standards” section of the 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 with the company and there is annual review and documented signoff for ethics training/refresher.

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

• If your company has overarching HR policies that address ethical behavior, these simply need to be referred to in the PPMP; such ethics policies should address APEGA’s five rules of conduct in the professional code of ethics at a minimum.

40

2.0 Ethical Standards - Examples

▪ Professional business behavior

▪ Gifts and entertainment from vendors

▪ Transparent bidding process – fair dealing

▪ Confidential and private information

▪ Use of company assets

▪ Outside business activities

▪ Process for reporting of illegal or unethical behavior

▪ Process for corrective action for ethical misconduct


• This slide shows examples of areas that can create potential ethical conflicts and should be addressed in the PPMP.

41

Unprofessional Conduct Case Studies

1. An individual and his company providing engineering

services to two competing clients on the same

project. Reprimand, ethics training, volunteer work, $3000 fine, publication

2. Sharing of confidential information gained through

employment with a competitor of his client.Reprimand, publication

Ref:

1. APEGA February 2013 PEG Magazine, “APEGA Discipline Committee Order Case No: 12-013-SO”, February 28, 2013

2. APEGA September 2011 PEG Magazine, “APEGA Discipline Committee Order Case No: 11-006-SO”, May 27, 2011

HANDOUT


• Here are two case studies of past APEGA discipline decisions about situations where ethical or unprofessional conduct came into question.

• In both of these cases, they were found to have engaged in unprofessional conduct and were disciplined accordingly.

The FIRST case study is of an individual and his company who provided engineering services to two competing clients on the same project.

• A complaint was submitted to APEGA and proceeded through the disciplinary process. The individual and company were found to have engaged in unprofessional conduct.

• The outcome was a reprimand, additional ethics training (through the National Professional Practice Examination), as well as volunteer work, a $3000 fine and publication of the disciplinary case and outcome.

The SECOND case study is of an individual who shared confidential information gained through employment with a competitor of his client.

• A complaint was submitted to APEGA and proceeded through the disciplinary process. The individual and company were found to have engaged in unprofessional conduct.

• The outcome was a reprimand and publication of the disciplinary case and

42

outcome.

42

3.0 Management, Organization & Responsibilities

▪ Scope of practice for Permit Holder

▪ Professional responsibilities – awareness & compliance with

PPMP (Annual review and sign-off)

▪ Identification of COO & all RM’s including their title and roles

▪ Roles and responsibilities identified for the COO, RM,

Professional members & Members in training regarding

development, implementation and enforcement of PPMP

▪ Organization Structure for Permit Holder showing (if different)

▪ Technical line of authority

▪ Reporting line of authority


• This is the THIRD area of the PPMP and outlines the organization including the reporting line of authority and technical responsibility line of authority.

• It is very important in this section to ensure that the responsibilities of the COO, RM, professional members and members-in-training are clearly outlined relative to the PPMP.

• This section also should clearly state the Permit Holder’s scope of practice.

• The PPMP must clearly state and list the names , position/title and designation of the COO and RMs for the Permit Holder.

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▪ Inventory or list of professional members under the Permit

Holder that contains all relevant information

▪ System for tracking who is practicing engineering and/or

geoscience within the company including:

▪ Method to confirm active and good standing with APEGA (CPD

reporting, due payment, discipline)

▪ Proper supervision of members in training

▪ System for tracking who can authenticate


• It is important to emphasize that the Permit Holder should maintain an inventory of all professional members under the Permit which includes:

• Proper name and APEGA ID number

• Professional designation and status

• Job title and work location

• Scope or area of practice

• Supervisor reporting to as well as technical supervisor if different

• Whether the member is a Responsible Member & seminar date

• In addition, the individual and Permit Holder both have a responsibility of to ensure that all professional members are in good standing and have reported their CPD on an annual basis. Permit Holders are encouraged to develop and maintain a system for tracking and monitoring CPD compliance – such as verification during annual reviews.

44


Organization Chart – Engineering and Geoscience

specific

Board of Directors

CEO

Production

Division

Heads**

Sales &

Marketing

Division

R&D

Division Head

Corporate

Services

Mechanical

Engineer*

Mechanical

EIT

Mechanical

Technologist

Senior

Geologist*

Process

Engineer

Operations

Engineer

No practice No practice

* Denotes Responsible Member ** Denotes COO or designate


• As an RM, you should know all the Professional Members, including Members in Training, under your supervision or technical control.

• The organizational chart may also note the Responsible Members within the company and provides the lines of supervision for those who are not fully licensed, such as Members in Training.

• If the company employs technologists, RMs should understand the relationship between technologists and engineers, similar to the relationship between APEGA and ASET (there is a slide that addresses this later on in this presentation).

• For quality assurance, it is necessary to ensure all your practicing employees are of active status and in good standing with APEGA.

• APEGA has seen situations where employees have let their APEGA license lapse and continued authenticating and issuing professional work products. Once discovered, the permit holders have had to re-issue a number of drawings at their own expense and with damage to their reputation.

45


Dedicated and comprehensive system for tracking

who is practicing 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


• Some companies keep a list that includes professional designations, areas of practice, renewal dates, APEGA ID numbers, locations and the member’s supervisors (or RM if different).

• Often a person’s legal name and common every day name are different ‐ do you know what name your practicing members are registered under with APEGA? What name appears on their stamp?

• For larger companies often a list is easier to maintain than a graphic organizational chart.

• Although this is a tool to view the APEGA members and their status with APEGA, it does not address reporting or supervisory duties within an organization. It is recommended that this be in the PPMP along with an organizational chart.


• Do you know what name your practicing members are registered under with APEGA?

46

Company Self-Service Centre

▪ Visit apega.ca

▪ Go to “Login”

▪ Chose the

“Company Self-

Service Centre”

▪ Login to the CSSC

with the Permit

Number and

Password supplied

to the COO

For IT concerns

and password

resets, email

[email protected]


• As part of the permit fee increase project that was partially implemented by July 1, 2017 for companies employing > 5 APEGA members, the company self-service centre (CSSC) was improved.

• As a note, the full implementation of the permit fee increase project for companies employing 5 or less APEGA members will occur on July 1, 2018.

• Login information for the CSSC is provided to the COO on file with APEGA. For IT concerns and password resets, email [email protected].

• To visit the CSSC, visit: https://permits.apega.ca.

• Within the CSSC, there is an option to “manage employees”.

47

How Many RMs are Enough?

▪ Recommendation:

▪ One for each profession (engineering, geoscience) at minimum

▪ One per geographical region

▪ One per each office location, division or group

▪ 1:10 for RMs: APEGA members,

where APEGA members include Professional

Members and MITs

▪ Permit Holders need to ensure there are enough RMs to

ensure regulatory obligations are met


• The main responsibility of an RM is to help regulate the group practice within the permit holder by ensuring the atmosphere and organizational structures are in place to allow this – a company must ensure there are enough RMs on hand to do this.

• How many Responsible Members are enough?

• At minimum, the EGP Act legislates one RM for each profession practiced by the firm (professions of engineering and geoscience, NOT one per discipline).

• To ensure a manageable span of control for RMs, APEGA recommends a ratio of approximately 1:10 for RMs to Licensed Professionals or MITs.

• If divisions/subsidiaries come into play and the COO/RM cannot provide direct supervision or technical control over the practice of their Licensed Professionals or MITs suitably, then more RMs or additional Permits/PPMPs are needed.

• Typically one RM per geographic region is recommended; this applies to Permit Holders with branch, satellite, or remote offices or sites.

48

What about Technologists?

The Engineering and

Geoscience

Professions Act

Alberta Government • One Act

Engineering & Geoscience

Permit Holders

Members

Right to Practice

Right to Title

Permit

Holders

Members

Right to Practice

Right to Title

Technologists

• Separate Regulators

Professional Technologist

APEGA-ASET

Joint Boards

• Board of Examiners

• Practice Review Board

• Professional

Technologist Regulations

Cmte

• Investigations Cmte

• Discipline Cmte

• Appeal Board

• Joint regulation for

Professional

Technologists


• ASET became a society in 1963 and was given regulatory duties when “Professional Technologists” were granted a scope of practice within the EGP Act in 2009.

• Although APEGA and ASET share a piece of legislation, APEGA and ASET are separate regulators.

• ASET deals with technologists and they have a number of different member categories: Technologists in Training, Certified Technician (C. Tech), Certified Engineering Technologist (CET), Registered Engineering Technologist (RET) and Professional Technologist (engineering) and Professional Technologist (geoscience). Visit the ASET website for more information (http://www.aset.ab.ca/).

• The only Licensed Professional that ASET licenses is the Professional Technologist license or P.Tech.

• P.Techs are jointly regulated by APEGA and ASET through a number of joint boards, which have both APEGA and ASET professional members on them.

• APEGA offers an engineering license type that allows a defined a scope of practice called the Professional Licensee or P.L.(Eng.). or P.L.(Geo). For more information on this license type, visit the apega.ca website at: https://www.apega.ca/apply/professional‐licensee/.

49

Licensed Professional Members’

Scopes of Practice

WHAT YOU NEED TO KNOW

This graph depicts the scopes of practice of the three types of engineering and geoscience licensed professionals in Alberta:

Professional Engineers; Professional Geoscientists/Geologist/Geophysicist; Licensee (not Canadian citizen or permanent resident)

Professional Licensees (Engineer) and Professional Licensees (Geoscience)

Professional Technologist (Engineering)

Professional Licensees and Professional Technologists both have authentication privileges, however their scopes of practice are restricted as compared to Professional Engineers or Professional Geoscientists.

50

BREAK(10 min)


• For in-person seminars only, but feel free to break if you need to.

• Break of 10-15 minutes. Ensure to give group 5 minute warning to return back before starting.

51

4.0 Professional & Technical Resources

Professional Resources

▪ Recruitment process – hiring licensed & qualified

professionals

▪ Job description requirements and management of

process

▪ Inventory of expertise – competency management

▪ Performance management reviews

▪ Training and development of professionals (technical

and ethical)

▪ Managing special expertise requirements


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

• The intent of this section is to ensure the company has the right people and right tools to do their engineering or geoscience work.

• As an RM, you need to ensure that the company hires and titles professionals in compliance with the EGP Act requirements. When a position requires the practice 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 practice 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 words protected under the EGP Act as “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 practice the professions in Alberta, and also protect our membership by preventing unqualified persons form 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 training to perform their work.

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Professional Resources

▪ Continuing professional development ( CPD)

▪ Tracking member CPD reporting

▪ Part of the annual performance review

▪ Ensuring member compliance with APEGA

▪ Process for mentoring and supervising professionals.

especially Members-in-training (checking/sign-off of work)

▪ Review of work by others (how and who)

▪ Checking of contractors and other permit holders for

proper licenses & PPMP

▪ Management of title usage Issuing, training & checking

compliance (HR, RM)


• This section of the PPMP also considers how a professional will maintain their technical competence requirements (i.e. the Continuing Professional Development, or CPD, program requirements) as required by APEGA.

• The company should provide the tools and resources, including time/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.

• It is important that the PPMP describe how professional work will be reviewed by others, and that it outline the documented processes or procedures in place to do so.

• In addition, as part of the Permit Holder’s procurement of professional services, there should be a process or procedure for verifying that third party consultants or other permit holders are properly licensed and registered with APEGA, and that their PPMP is adequate to ensure the quality of their work in keeping with professional expectations.


• Are you ensuring that your MITs are properly supervised?

53

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 license

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, that are 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 practice engineering/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 the “Mortgage Engineer”. Upon calling her and reviewing her publicly available material, such as her company website, she was clearly not offering engineering services nor implying that she could. APEGA could not take any action and did not.

• A designation example where APEGA takes action would be the UK 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 practice 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.

54

Correct Title Use

APEGA License Type Right to Practice Right to Title

Professional Member,

Licensee

Independent, full scope of

practice within a discipline

Professional 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

Full rights to title, as long

as clarified

No right to title


• Larger companies often 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.

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

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

• Professional Member, Foreign licensee – they both can independently practice and have full rights to title.

• The Professional Licensee can independently practice, but within a limited scope and has full rights to title.

• Although Members in Training and Provisional Licensees are not fully licensed (i.e. they cannot independently practice and have to be supervised), they can use reserved title only if it is clarified. For example, Operations Engineer in Training or Operations Engineer, EIT is suitable.

• Anyone else has no right to practice nor to title.

55

Review Quiz

Job Activities and

qualificationsJob Title Correct or not?

Technologist that does lab

work, does not hold APEGA

license

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 license

Jane Doe, P.Eng..

Engineering Manager

Engineering student that

does field inspections Joe Smith

Field Engineer

NOT

NOT – Many will not know

what GIT stands for

CORRECT

NOT


• This slide gives a few titling examples.

• Note: For the term “power engineer”, which is a certification offered by ABSA (Alberta Boiler Safety Association), APEGA does not take any action. Power engineer is known in industry as a certification and typically to do with pressure equipment welders, inspectors, etc. for the operation of a power or hearing boiler. As well, the term “power engineer” is utilized in the Safety Codes Act and in the Power Engineers Regulation and when a term is utilized within legislation, it is hard to change that terminology.

56

Correct Title Use

No partnership, corporation or other entity incorporated

(registered) with a name that includes “engineering”,

“geology”, “geophysics”, or “geoscience”, or variations of

those words, unless it holds and continues to hold a valid

permit.

Clarity, reporting, and questions on Professional Practice to

[email protected]

Complaints against non-permit holders, unlicensed

engineers or geoscientist to [email protected]


• The regulation around title use within company names varies slightly from that of individual titling.

• If you require clarity or have questions related to professional practice, please contact the APEGA Professional Practice department at [email protected] or call 1-800-661-7020.

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

57

Technical Resources

▪ Corporate library of external reference materials and resources

(Acts, regulations, standards, guidelines, handbooks, technical

subscriptions, codes etc.)

▪ List of internal resources, programs, calculations or models used

▪ Information technology policy

▪ Management of all technical hardware and software (third party

programs and licenses) including subscriptions & maintenance

▪ Development and management of standard service contracts

▪ Management & certification of laboratory and/or testing equipment

▪ Management of specialty or customized equipment



• As 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 professional members. 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 for all reference materials to be current, subscriptions up to date and that members are informed of any changes.

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

• RM to ensure that procedures are in place to manage all technical hardware and software programs, licenses and subscriptions including 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 for use by others, the method of certification and maintenance is documented and how the equipment is checked or authenticated to ensure compliance and safe operation.

• RM to ensure that standard contracts or forms are used for managing professional

58

work and that they are reviewed on a regular basis by qualified professionals and legal personnel.

58

5.0 Quality Control

▪ All engineering and geoscience work done on behalf

of the company is of adequate quality

▪ Systems in place to:▪ Ensure accuracy and protection of work

▪ Ensure public, environment and stakeholders are

considered

▪ Ensure risk assessment and change management in place

▪ Quality control should address:▪ Professional business practices

▪ Project management process

▪ Technical work management

▪ Outsourcing professional work & relying on work by others


• The fifth section of the PPMP is “Quality Control” and 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.


• What is your company doing to ensure that all engineering work considers the public interest and environment?

• How can you prove an MIT’s work has been supervised?

• How can you prove that certain work is within an individual’s scope of practice?

• How projects are managed?

• How the company handles outsourced professional work or relies on work by others?

59

5.0 Quality Control – Business Practices

▪ State corporate strategy, mission, purpose & objectives

▪ Corporate values

▪ Policies or procedures for handling:

Confidential material's dispute/conflict resolution

Intellectual Property Conflict of interest

Whistle blower Non-disclosure

Harassment Advertising/promotion

Managing third party services Multi-disciplinary teams

Loss control/risk management Errors & omissions

Health, safety & environment Substance abuse


• 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 the protection of professional documents, people, clients and the public. Key policies need to be in place to ensure ethical and competent management of the practice of engineering and geoscience.

60

5.0 Quality Control – Project Management

▪ Description of project management system or gating

process for conducting and implementing projects

▪ Procedures or process for completing cost estimates

and cost control management

▪ Procedures for handling change management

▪ Process for ensuring adequate & qualified field

supervision

▪ Procedures or process for conducting field reviews

▪ Communications plan for clients and others


• When it comes to quality control, consideration must also be extended to how projects are managed, how they are supervised and how risks are assessed and managed.

• Management of projects needs to consider all the elements of a project from the start (scope, outline, charter etc.), ongoing execution (cost estimates, cost control, change management process, field reviews, supervision, communication plan) to the closeout (final documentation, records management, signoff).

61

5.0 Quality Control – Technical Work

▪ Listing of regulations, codes and standards and how

they are managed, checked and validated

▪ Method for documenting assumptions

▪ Procedures for internal safety, risk management &

loss control

▪ Process of managing independent checks or peer

reviews – validation of work


• 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, ensure that procedures are in place for managing risks and safety and most important, list all regulations, codes, standards that were used in the process and how they were checked for completeness.

62

5.0 Quality Control – Outsourcing/Work of Others

▪ Policy or procedures for handling external

professional work products outside Alberta

▪ Policy or procedures for handling internal

professional work products outside of Alberta

▪ Policy or procedures for sending professional work

products outside Alberta

▪ ALL professional work products must be signed by

an APEGA Professional Member with the Permit to

Practice Stamp or number nearby


• When it comes to quality control, consideration must also be given to how outsourcing of professional work products is managed and documented. This includes both work coming into Alberta and for work that is destined for use outside Alberta.

• The authentication of outsourced work needs to be properly managed. Currently, this is a practice guideline but APEGA will convert this to a practice standard in 2019.

63

Unskilled Practice Case Studies

1. Design, manufacture and supply of safety ladders in which

P. Member did not meet industry standards or OH&S.Member: reprimand, take National Practice Exam, OH&S course

Permit Holder: $1000 fine, library of codes/standards, correction of title, publication

2. Construction of a tall wall in a residential home did not meet

the Building code as well as thorough review was not

adequate. Member: reprimand, technical exam, take National Practice exam, publication

Ref:

1. APEGA September 2010 PEG Magazine, “APEGGA Discipline Committee Order”, Case No. 10-002-SO, June 30, 2010.

2. APEGA December 2012 PEG Magazine, “APEGA Discipline Committee Order, Case No. 12-005-SO”, October 4, 2012.

HANDOUT


• Here are two case studies of past APEGA discipline decisions about situations where unskilled practice came into question.

• The Professional Members in these situations were not adequately trained nor experienced, as well were not diligent in ensuring that the regulations, standards, and codes were met.

• In both of these cases, they were found to have engaged in unskilled practice and were disciplined accordingly.

EXAMPLE 1

• When a company is doing engineering or geoscience work, how do you ensure the person is qualified and skilled?

• In this case study, an individual designed, manufactured, and supplied safety ladders that were distributed and yet did not meet industry standards nor the expectations of OH&S (Occupational Health & Safety).

• A complaint was submitted to APEGA and proceeded through the disciplinary process. The individual and company were found to have engaged in unskilled practice.

• The outcome was a reprimand, additional ethics training (through the National Professional Practice Examination), and to take an OH&S for the member.

• The company was fined $1000, had to prove they had a library of adequate codes and standards, they had to correct their job titles within the company, and publication of the disciplinary case and outcome.

EXAMPLE 2

• In this case study, an individual constructed a tall wall in a residential home that did not meet the Alberta Building Code. As well, calculations of a junior engineer were not thoroughly reviewed and when investigated, were found to not be adequate.

• A complaint was submitted to APEGA and proceeded through the disciplinary process. The individual and

64

company were found to have engaged in unskilled practice.

• The outcome was a reprimand, an assigned technical examination, additional ethics training (through the National Professional Practice Examination) and publication of the disciplinary case and outcome.

64

6.0 Authentication of Professional Documents

1. Definition of Authentication?

2. Why authenticate?

3. Who authenticates?

4. What to authenticate?

5. How to authenticate, stamps, seals and digital

signatures?


• The sixth section 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.

65

Standards, Guidelines & Bulletins


• One of the RM expectations is 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.ca website under Publications and under Standards & Guidelines (https://www.apega.ca/about-apega/publications/standards-guidelines/).

• The only APEGA standard that will be reviewed as part of this information session is the Practice Standard for Authenticating Professional Documents. If any of the other pertain to your company, please review and ask for clarity of the APEGA Professional Practice department.

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6.0 Definition of Authentication

Authentication includes:

1. A stamp of a Professional Member

2. Professional Member’s signature

3. Date of signature

4. A permit holder number or permit holder

stamp to indicate the work complied with

the company’s PPMP


• When APEGA refers to “authentication”, this includes four aspects:

1. The stamp or seal of a Professional Member.

2. The Professional Member’s signature.

3. The date of signature.

4. A permit holder number or permit holder stamp signed and dated by an RM (in the new Practices Standard under revision, this process is called Validation).

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Question Time

Why do engineers and geoscientists need to

authenticate documents?


• Why do engineers and geoscientist need to authenticate documents?

• Are you and your company currently authenticating the right professional documents? Are they being authenticated in the proper manner?

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6.0 Why Authenticate

Ref:

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

APEGA, “Practice Standard for Authenticating Professional Documents”, V3.1 January 2013

Authentication is a legal requirement

▪ To prove the right person for the

job – accountability and

responsibility

▪ technically and ethically competent

▪ Show when work was

transferred out of the

Professional Member responsibility

▪ The work complied with the company’s quality

management system outlined 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 Professional Member as it is an indication when the work was transferred out of the Professional Member’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.

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6.0 Why Authenticate

LIABILTY

▪ The absence of authentication does not relieve a

professional member from any liability that may

arise from the practice contained in a professional

work product

▪ Authentication is an indication that practice has

occurred and is completed, but not the SOLE

INDICATION that practice occurred

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

Professional, you still are responsible and

accountable


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

• Authentication is an indication that practice has occurred and is completed, but it is not the sole indication that practice 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 practice or engineering or geoscience did not occur (e.g. reports, analyses, recommendations).

• As a professional member, even if work is not authenticated, you are still legally responsible and accountable for it.

• In terms of liability, it is not legislated at this time that Professional Members 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.ca website under Member & Permit Holders under Benefits & Discounts (https://www.apega.ca/members/benefits/).

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6.0 Who Authenticates?

The Professional Member that is taking

responsibility for the work done along

with their Permit Holder company

▪ A fully licensed Professional Member,

Foreign Licensee or Professional

Licensee

▪ P.Eng., P.Geo., P.L.(Eng.).,

P.L. (Geo).

Note: Professional Technologists can

authenticate, their regulation and

stamps are administered by ASET


• Fully licensed APEGA members can authenticate provided that they are qualified by training, have the technical knowledge and experience to do so.

• Professional Members, Foreign Licensees, and Professional Licensees

• Stamps are solely issued through APEGA

• As a note, Professional Technologists have authentication privileges; their practice standard and stamps are administered by ASET.

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What to Authenticate?

1. Work the individual prepared directly

2. Work by another person that:

a) Was completed under direct supervision OR

b) Was thoroughly reviewed


• Only authenticate a professional work product that you have either:

1. Prepared directly; or

2. Are willing to accept responsibility for. For example, work that was completed by someone under your direct supervision or work that you have thoroughly reviewed.

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What is a “Thorough Review”?

▪ Ensures validity and reliability of the

work and risk to the public has been

addressed

▪ Reviewer agrees it is complete for its

intended purpose

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

▪ Review depth depends on competency of the source

▪ Document your review

▪ By authenticating, you accept professional

responsibility for the document notwithstanding

its source


• If you are taking responsibility for another person’s work, you need to ensure that a thorough review has been completed.

• The thorough review should be documented in case the work comes into question.

• General considerations for thorough review:

• Is the person competent in the subject matter being reviewed? (i.e. Is it within their scope of practice? Have they done similar projects in the past?)

• Do you have familiarity with their work and ability? (i.e. Have you personally trained them or worked with them in the past?)

• It is important to emphasize again that by authenticating something, you are accepting professional responsibility for that piece of work, notwithstanding its source.

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Determining What to Authenticate?

3 PART TEST

1. Does the document contain technical information resulting from the practice of engineering or geoscience?

2. Is the document complete for its intended purpose?

3. Will the document be relied upon by others?


• How do you figure out what needs to be authenticated?

• APEGA recommends a three part test, all aspects of which need to be satisfied:

1. Does the document contain technical information resulting from the practice of engineering or geoscience? What is being determined here is whether engineering or geoscience, as per the legal definition, has taken place in relation to the document or piece of work. APEGA does consider influence and oversight of practice, practice as well.

2. Is the document complete for its intended purpose? Authentication only applies to final professional documents or pieces of work, so draft documents do not need to be authenticated. If a document is intended for bidding purposes, it should be clearly marked so and can be authenticated.

3. Will the document be relied upon by others? Is someone going to be making decisions or taking any action as a result of the document? If so, and it satisfies the above two requirements, it will need to be authenticated.

• If all three are true, the document needs to be authenticated.

• For clarification, contact the APEGA’s Professional Practice Department.

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Determining What to Authenticate?


• How do you figure out what needs to be authenticated?

• APEGA recommends a three part test, all aspects of which need to be satisfied:

1. Does the document contain technical information resulting from the practice of engineering or geoscience? What is being determined here is whether engineering or geoscience, as per the legal definition, has taken place in relation to the document or piece of work. APEGA does consider influence and oversight of practice, practice as well.

2. Is the document complete for its intended purpose? Authentication only applies to final professional documents or pieces of work, so draft documents do not need to be authenticated. If a document is intended for bidding purposes, it should be clearly marked so and can be authenticated.

3. Will the document be relied upon by others? Is someone going to be making decisions or taking any action as a result of the document? If so, and it satisfies the above two requirements, it will need to be authenticated.

• If all three are true, the document needs to be authenticated.

• For clarification, contact the APEGA’s Professional Practice department.

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Review Quiz

Document Stamp? Why?

YESContains analysis and recommendations to

be used by others

YESContains analysis and recommendations to

be used by others

MAYBEIf P.Mem. involved in field inspection, then

YES

NO Does not contain technical information

YES All disciplines to sign

NO It is not final for its intended purpose

YESIf you are supervising, after a thorough

review, you are to take responsibility

NOStamping a document does not make it a

legal document

P&ID

Output of simulation program that

is used for production changes

As-built drawing for construction

project

E-mail to geology manager

Draft drawing going to team

member for comment

Member in Training prepared

project report with

recommendations

Engineering contract to do

design work on newly approved

operations facility

Exploration report on expected

geological conditions for wellsite


• Knowing what to authenticate, when and how is important.

• Authenticating a document DOES NOT make it a legal document. It simply shows which Professional Member finalized the work, what work and when, along with which company is taking responsibility and to indicate that the work is in compliance with the company’s quality management systems.

• It is also important to know what NOT to authenticate:

• Work that you are not willing to accept responsibility for (e.g. if you were not involved in the as-built inspections, carefully consider whether you wish to sign-off on them, as you are accepting responsibility)

• Documents that are not final

• Documents that do not contain work of a professional nature

• Informative pieces, such as journal articles and conference papers

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Question Time

What about engineering or geoscience work

that was not prepared here, but will be used

here? Or vice versa?

Ref: APEGA, “Determining the Need for Professional Involvement in Outsourced Engineering”, V1.1 March 2013

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


• Many companies rely on work by 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 – i.e. it is work done by licensed professionals who are not working under your permit to practice number.

• [Note: “offshoring”, meaning he work is done outside Canada is a subset of outsourcing}

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Outsourced Work – Case 1

Produced in Alberta, destined

for anywhere else.

Authenticated by APEGA

member or not?

YES - Option

….practice

occurred within

Alberta – no

regulatory

jurisdiction or

local jurisdiction


• For 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.

• Yes – practice is occurring within Alberta.

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Outsourced Work – Case 2

Produced somewhere else to

be consumed within Alberta

Authenticated by APEGA

member or not?

YES• Relying on work by

others

• Needs to meet

Alberta’s codes,

regulations,

standards


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

• Does an APEGA member need to authenticate this work? NOTE: All professional work products and designs must be authenticated by a qualified APEGA professional including the quality assurance check by the Responsible Member.

• Yes – this is considered relying on work by others and there needs to be assurance that the work satisfies the relevant provincial legislation, regulations, standards, and codes.

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Summary of Outsourced Work

Case Location of Practice Final destination for

product

Authentication by

APEGA member

required?

1 Alberta Alberta Yes

2 Alberta Anywhere else Yes – unless registered

in other jurisdiction

3 Anywhere else Alberta Yes

Ref: APEGA, “Determining the Need for Professional Involvement in Outsourced Engineering”, V1.1 March 2013

APEGA, “Determining the Need for Professional Involvement in Outsourced Geoscience”, V1.1 March 2013

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


• This table summaries the cases outlined.

• For work not prepared in Alberta for use outside of Alberta, APEGA would not have a regulatory role, but advises that engineering or geoscience practice and work products must meet local regulation.

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How to Authenticate Documents

Company Name

XXX

Ref: APEGA, “Practice Standard for Authenticating Professional Documents”, V3.1 January 2013

• Authentication is the application of

stamp, signature, date, permit holder

number all in close proximity

• RM applies the permit holder

number (permit stamp optional)

• Permit number indicates work

complied with the PPMP

• Even if not authenticated, as

a Professional, you are

responsible and accountable


• This is an example of an authenticated document.

• If work comes into question, even if there is no stamp, as a Professional Member who did the engineering/geoscience work, you are still responsible and accountable. Similarly, the permit holder company is also responsible and accountable.

• For further information, review the APEGA Standard for Authenticating Professional Documents found on the apega.ca website under Publications and under Standards & Guidelines (https://www.apega.ca/about-apega/publications/standards-guidelines/).

• APEGA previously required a permit stamp, but currently expects at minimum the permit number to appear. The permit to practice stamp shown above was discontinued, but will soon be reintroduced; permitholders that retained the permit to practice stamp are permitted, and encouraged to use them. Details on ordering a permit to practice stamp will be published in 2019.

• There is a Legislative Review recommendation that the permit stamp issued by APEGA and signed by the Responsible Member be the minimum standard in the future.

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82

Slide 82

How to Authenticate Documents

▪ Multiple authentications on

same document OK▪ Same discipline

▪ Multiple disciplines

▪ Multiple permit holders

▪ Must be clear who is

responsible for what part of the

document

▪ Permit Holder number applied

by the RM after all member

stamps applied


• When there is a document requiring multiple stamps, clearly identify which parts are authenticated by whom and who is taking responsibility for what.

• The permit holder number should be applied after all other stamps, signatures, and dates are on the document.

Stamps, Certificates and Digital Signatures

▪ Stamps and certificates are issued by

APEGA and remain the property of

APEGA

▪ Must be under the control of the

member and returned upon

cancellation

▪ Need to be aware of potential for:▪ Identity theft

▪ Misuse of stamp

▪ Stamp forgery

…ensure that your stamp is secure!

Policy or process must be in place.


• Any stamps or certificates issued by APEGA remain the property of APEGA.

• These must be under control of the member or company at all times and are to be returned to APEGA for destruction and tracking upon license or permit cancellation.

• If your stamp becomes lost or stolen, please report this to APEGA by contacting [email protected].

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Stamps, Certificates and Digital Signatures

▪ Use of digital signatures is

optional

▪ Only APEGA approved digital

signature providers are

acceptable

▪ Based on robust cryptographic

processes

▪ Allows an airtight, secure and

non-dismissible link between

professional member and the

documentVisit notarius.com


• Within the existing practice stand for authentication, use of digital signatures is optional, but encouraged. The new standard addresses mandatory use of digital signatures for digital authentication.

• In regards to digital signatures, certificate authority providers that provide encryption certificates to facilitate digital signatures must demonstrate they meet APEGA’s certificate authority requirements. These requirements are available through the Professional Practice department.

• The only approved provider at this time is Notarius.

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7.0 Professional Document Management

▪ Policy, process or procedures for document

management of professional work products:

▪ Numbering of documents and revision numbers

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

▪ Retention (how long)

▪ Transmission

▪ Disposal

▪ Access to files (paper or electronic)


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

• The intent of this section is to address the controls that your company has in place for development and handling of 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 both paper and electronic documents.

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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 Professional Member 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 utilized the stolen image to authenticate many other products for use in Alberta.

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Summary of Authentication

▪ PPMP must address the professional member(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 & multiple permit

holders

▪ PPMP must address digital or electronic 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 this


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Review Quiz

Document Why?

To ensure that the Permit Holder regulates their

professional with a quality control process to

meet AEPGA Standards etc.

PPMP should be reviewed yearly by the RM(s) and

updated. Members trained annually with signoff

General/administrative, ethics, organization,

professional and technical resources, quality

control, authentication, document management

The RM(s) is responsible for preparing and

communicating changes to all professionals

The Permit Holder is accountable. However, the RM

as part of implementing the PPMP should ensure

that proper titling is used > right people – right - job

The RM(s) should ensure that a proper organization

chart is in place with lines of technical responsibility

Who should prepare and communicate

changes to the PPMP?

How often should the PPMP be

Reviewed and professionals trained?

What are the “seven” components

In the PPMP?

If the Permit Holder is calling employees

An Eng./Geo. who are not licenses, who

Is accountable?

Who should know who is capable of

Practicing Eng./Geo. within the

company?

What is the purpose of permits?


• Knowing what to authenticate, when and how is important.

• Authenticating a document DOES NOT make it a legal document. It simply shows which Professional Member finalized the work, what work and when, along with which company is taking responsibility and to indicate that the work is in compliance with the company’s quality management systems.

• It is also important to know what NOT to authenticate:

• Work that you are not willing to accept responsibility for (e.g. if you were not involved in the as-built inspections, carefully consider whether you wish to sign-off on them, as you are accepting responsibility)

• Documents that are not final

• Documents that do not contain work of a professional nature

• Informative pieces, such as journal articles and conference papers

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Now What Do I With the PPMP?

• Ensure it is active,

accessible, and

current especially to

Professional Members

• Optional to submit

PPMP to APEGA but

recommended

• Have regular training,

annual signoff and

enforce against it


• Three key things you need to take away today on what you should do with the PPMP.

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Seminar Outline

1. Purpose of APEGA


Holders






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

unskilled practice 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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▪ Ensures only qualified, competent, and ethical

individuals practice engineering and geoscience

…and that there are consequences to unskilled practice and

unprofessional conduct.

▪ Processes are APEGA volunteer-based to ensure

peer to peer judgement for:

▪ Investigations, Discipline, Appeals, and Professional

Practice Reviews

APEGA Discipline & Enforcement


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

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

• This ensures that any practice 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: Investigative Committee, Discipline Committee, Appeal Board, Enforcement Review Committee and Practice Review Board.

• All of the statutory committees are comprised of Professional Members and supported by staff and legal counsel.

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Compliance

2. Non-Members and Non-Permit Holders

APEGA Discipline & Enforcement

APEGA

members

& Permit

Holders

Two types of Complaints

1. Member and Permit Holders

Investigations,

Discipline &

Appeals


• APEGA receives two types of complaints:

1. Allegations of unskilled practice or unprofessional (unethical) conduct against Professional Members or permit holder companies.

2. Allegations of non-members and non-permit holder companies either utilizing title or designation, holding out as able to practice engineering or geoscience, or practicing engineering or geoscience.

• The first type of complaint goes through APEGA’s Investigations, Discipline & Appeals processes, while the second type, since jurisdiction is different, goes through APEGA’s compliance process and the Alberta Court system.

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Compliance Process

Deals with complaints regarding

non-members and non-permit holders:

1. Practice without a

license

2. Title and designation use

3. Holding out to have the

ability to do engineering

or geoscience work

Submit to [email protected]


• For the second type of complaint, these can be accepted anonymously or not.

• Any complaint submissions should be accompanied by any evidence the individual has and can be submitted to [email protected] to follow-up on.

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Investigation & Discipline Process

Party admits to conductParty does not admit to

conduct

Recommended

Discipline Order (RDO)Formal Hearing

DC decision*

Sanctions OrderedDiscipline

Written Complaint Investigations

No evidenceIC decision Dismissed*

Evidence supporting allegations

Referral to Discipline

Evidence gathering

* Indicates

right to appeal

decision

IC = Investigative Cmte

DC = Discipline Cmte

HANDOUT


• For the first type of complaint (unskilled practice or unprofessional conduct of members or permit holders), these cannot be accepted anonymously. They must be written.

• APEGA’s investigation 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 conduct, in which case they can work with Investigations and Discipline to agree to set of orders or sanctions.

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

• You can find a list of recent discipline decisions on the apega.ca website at:

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

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▪ All written complaints are investigated

▪ Allegations of unskilled practice or unprofessional conduct

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; or

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

out of any duty or obligation.

Member and Permit Holder Complaints


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

• When there is an allegation of unskilled practice 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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APEGA Case Study: P. Geo & Penn West

Both called to Court to give evidence regarding the

calculation of the drainage area of a natural gas well (factor

in determining natural gas royalties)

▪ P.Geo not experienced in this area, yet acted as expert witness

▪ Penn West gave a joint statement with P.Geo

Ref: APEGA Winter 2014 PEG Magazine, “APEGA Discipline Committee Decision Case No: 13-011-FH”, May 15, 2014


• The above is a Discipline case study of a decision made in 2014, which was published in the APEGA Winter 2014 PEG magazine.

• Penn West was one of the largest conventional oil and natural gas producers in Canada. Based in Calgary, AB, Penn West operated a significant portfolio of opportunities with a dominant position in light oil in Canada on a land base encompassing approximately five million acres.

• The P.Geo was an employee of Penn West at the time.

• Both were called to court to give evidence regarding a calculation of the drainage area of a natural gas well. The P.Geo. was not skilled in this area, yet acted as an expert witness and Penn West gave a joint statement with the P.Geo.


• Is this unskilled practice? Is there unprofessional conduct?

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APEGA Case Study: P. Geo & Penn West

▪ P. Geo charged with unskilled practice and

unprofessional conduct

▪ $2,500 fine; write NPPE, $14,689.92 for 50% of legal costs, and

decision published

▪ Penn West charged with unprofessional conduct and

unable to produce the PPMP upon request

▪ $10,000 fine; $14,689.92 for 50% of legal costs, and decision

published

Ref: APEGA Winter 2014 PEG Magazine, “APEGA Discipline Committee Decision Case No: 13-011-FH”, May 15, 2014

HANDOUT


• The outcome was that the P.Geo. was charged with both unskilled practice and unprofessional conduct.

• The company was also held accountable. Penn West was unable to produce their PPMP upon request and was charged with unprofessional conduct.

• As an RM, it is important to have the PPMP active, current, and accessible. If APEGA requests it, for example if there is an investigation or practice review, typically 30 days are given to produce it.

• For this case, Penn West was given the maximum fine of $10,000. It is important to note that one of the Legislative Review recommendations is to increase the maximum fine significantly.

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Right to Appeal

There is a right to appeal for:

▪ Registration applications that are rejected

▪ Investigation cases that are dismissed

▪ Discipline decisions that have been rendered


• The disciplinary process needs to be fair and reasonable and as such, an appeal process is available for the above listed decisions.

98

Key Messages

▪ You are RESPONSIBLE for helping your company regulate

the practice of engineering/geoscience

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

enforced Professional Practice Management Plan (PPMP)

and the related systems/policies in place

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

EGP Act


• As the Responsible Member for a permit holder / company, you are a key individual in the regulation of the company.

• You are responsible for helping your company comply with relevant regulation, standards, and codes to engineering and geoscience practice.

• After reviewing this material, you should be able to write or update the company’s Professional Practice Management Plan (PPMP), ensuring it is up to date, accessible and enforced.

• If you require clarity, contact APEGA.

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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 practice is maintained

▪ To ensure that ethical practice is maintained


• APEGA also conducts professional practice reviews, where the Practice Review Board will select members and permit holders to review their practices with them.

• The Practice Review Board is looking to ensure that members and permit holders are in compliance with and understand APEGA’s regulations, standards, and codes, as well as that members and permit holders are maintaining an acceptable technical and ethical competency.

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NEXT STEPS

✓ Find and review your company’s PPMP

✓ Ensure correct titles are being used in the company

✓ Ensure all members are informed about the Code of

Ethics

✓ Ensure all RM’s in company understand and abide by

APEGA’s expectations

✓ Share the information you learned today

✓ Ensure authentication is done correctly

✓ Ensure that you meet with the COO and share your

learnings from today


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APEGA Contact Information

Dale Ozdoba, P.Eng..

Professional Practice Advisor

1500 Scotia One, 10060 Jasper Avenue NW

Edmonton, Alberta , T5J 4A2

Office # 587-489-1648 Email: [email protected]

Permits Coordinator

Permits @apega.ca

Edmonton Head Office

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

[email protected] or visit www.apega.ca

HANDOUT


• APEGA is available if you have any questions or require clarification.

• As a reminder, the Permit to Practice Seminar is mandatory for Responsible Members and must be reviewed within 6 months of receiving a new Permit to Practice for a company and then at minimum every 5 years afterwards.

• THANK YOU FOR READING ALL SLIDE CONTENT, AS WELL AS NOTES.

• To ensure your member file is updated with your review, please fill in the Permit to Practice Online Seminar Declaration found on the apega.ca website under Members & Permit Holders under Permit to Practice Seminars (https://www.apega.ca/assets/PDFs/permit-seminar-declaration.pdf) and submit to [email protected].

• Questions, clarifications, or feedback on this slide deck can be sent to [email protected] or by contacting the Professional Practice department at 1-800-661-7020.

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References

▪ CBC News, “Quebec doesn’t trust engineers to regulate

themselves”, July 8, 2016

▪ Engineers Canada, “Accredited engineering programs by

institution”, 2014

▪ APEGA, “Guideline for Professional Practice Management

Plans”, V1.3, Sept 2006.

▪ APEGA February 2013 PEG Magazine, “APEGA Discipline

Committee Order Case No: 12-013-SO”, February 28, 2013

▪ APEGA September 2011 PEG Magazine, “APEGA Discipline

Committee Order Case No: 11-006-SO”, May 27, 2011

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References

▪ APEGA, “Continuing Professional Development Program”,

April 2014

▪ APEGA September 2010 PEG Magazine, “APEGGA

Discipline Committee Order”, Case No. 10-002-SO, June 30,

2010

▪ APEGA December 2012 PEG Magazine, “APEGA Discipline

Committee Order, Case No. 12-005-SO”, October 4, 2012

▪ APEGA, “Practice Standard for Authenticating Professional

Documents”, V3.1, January 2013

▪ APEGA, “Determining the Need for Professional Involvement

in Outsourced Engineering”, V1.0, May 2009

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References

▪ APEGA, “Determining the Need for Professional Involvement

in Outsourced Geoscience”, V1.0, May 2009

▪ APEGA, “Guideline for Relying on Work Prepared by Others”,

V1.1, March 2013

▪ APEGA Winter 2014 PEG Magazine, “APEGA Discipline

Committee Decision Case No: 13-001-FH”, May 15, 2015

▪ Engineering and Geoscience Professions Act

▪ General Regulation and the Code of Ethics

▪ APEGA Legislative Review

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