Permit to Practice The Corporate Licence

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Permit to Practice The Corporate Licence
Ross Plecash, M.Eng., P.EngDirector Corporate
Affairs Investigations
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AGENDA

• APEGGA
• Professionalism
• The Permit
• The COO
• The Responsible Member
• The Professional Practice Management Plan
• Professional Documents
• Run time is approximately 35 minutes

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APEGGA

• Mission Statement
• We serve the public interest
• by regulating the practices of engineering and
  geoscience in Alberta,
• by providing leadership for our professions, and,
  
• by upholding our members in their professional
  practices.

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APEGGA (2)

• The fundamental purpose of professional
  legislation is to regulate professions in the
  public interest.
• Principles and Policies Governing Professional
• Legislation in Alberta - 1990
• In many firms, APEGGA members are the only
  obligated professionals who must act as the
  companys conscience in matters that affect the
  public interest

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Self-Governance

• Self-governance is a privilege delegated to a
  profession only when the public interest is
  served by doing so, and when the advantages
  clearly outweigh the disadvantages.
• Principles and Policies Governing Professional
• Legislation in Alberta 1990
• Elected Council
• Regulatory Committees staffed by volunteer
  Professional Members
• Government-appointed Public Members

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Professionalism

• Definition of a Profession
• A calling requiring specialized knowledge and
  often long and intensive preparation including
  instruction in skills and methods as well as in
  the scientific, historical, or scholarly
  principles underlying such skills and methods,
  maintaining by force or organization or concerned
  opinion high standards of achievement and
  conduct, and committing its members to continued
  study and to a kind of work which has for its
  prime purpose the rendering of a public service.
• Websters Third New International Dictionary,
  Unabridged. Mirriam-Webster, Inc., 1993.

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Professionalism (2)

• Characteristics of a Profession
• advanced / specialized knowledge
• intensive study and preparation
• continued professional development
• good judgement
• high standards
• leadership
• ethical conduct
• duty to protect the public interest

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Arch of Professionalism
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Professionalism (4)

• Public Interest
• How do you know what is in the public interest?
• This is not always clear-cut
• identify the stakeholders
• seek a variety of views and work to genuinely
  understand them

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Professionalism (5)

• Public Interest many facets
• Risk to safety (immediate, direct consequences)
• Health effects (longer term or cumulative
  effects)
• Environmental impacts and resource conservation
  (sustainable development)
• Socio-economic impacts
• Public acceptability
• Technical feasibility and operating reliability
• Impact of related projects (e.g. pipelines or
  electricity generation plants)
• Future project opportunities enabled or blocked
• Corporate profitability (shareholders)

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Professionalism (6)

• Aids to Ethical Decision Making
• Internal Moral Compass taught by family,
  school, church
• Ethics Theories the philosophies
• Code of Ethics peer developed code
• Case Studies APEGGA Learning Module
• Decision Making Methodology
• Peers
• APEGGA

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Professionalism (7)

• Links the right to practice with the
  responsibility for practice.
• Maintains an ethical and professional approach to
  practice.
• Continually upgrades practice standards to
  protect the public.
• Continuously improves to cope with increasingly
  complex demands.

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The Permit to Practice

• Definitions
• Permit to Practice (the licence)
• Issued to all partnerships, incorporated
  companies or joint ventures practicing the
  professions in Alberta, including Individually
  Incorporated Practitioners (IIPs)
• Not issued to Sole Proprietors
• Permit holder (the company)
• Chief Operating Officer (overall responsibility)
• Responsible Member (responsibility for
  professional practice)

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The Permit to Practice (2)

• The Rationale
• Corporations are separate legal entities from the
  professionals working within them
• Regulates group practice
• Provides a single point of contact for both
  regulatory and non-regulatory issues

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The Permit to Practice (3)

• History
• 1968 - consultants only
• 1981 - expanded to included operating companies
• early 1990s - explore how to add value by
  focusing on quality management and addressing
  concerns of Individually Incorporated
  Practitioners (IIPs)

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The Permit to Practice (4)

• Recent Changes
• Mandatory Permit stamp no longer required
• Change in fees structure
• increased to 150 of Professional Member dues
• first years dues included in registration fees
• reduction for IIPs
• Pro-active Practice Reviews
• Professional Practice Guideline
• Professional Practice Management Plan (PPMP)
• Mandatory seminars

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The Chief Operating Officer

• Assumes overall responsibility and must
• sign permit application
• jointly with RMs, maintain organization in which
  the practice of the professions can be conducted
  in accordance with the Act Regulations
• ensure all practising Engineers, Geologists
  Geophysicists are licensed
• ensure titles are assigned appropriately
• ensure company standards at least meet the
  professions standards
• ensure permit number and member stamps are on all
  professional documents

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The Chief Operating Officer (2)

• And must
• surrender stamp and certificate if there are no
  qualified RMs
• pay dues submit Annual Report
• submit changes to COO and RMs when available or
  annually as per Annual Report
• assure at least one RM for each profession
• ensure the company has a PPMP and that it is
  being followed
• ensure a RM or COO attends Permit to Practice
  Seminar at least once every 5 years

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The Chief Operating Officer (3)

• And should foster professionalism by
• establishing policies that align organizational
  needs with professional responsibilities
• eliminating policies that bring professional
  responsibilities into conflict with
  organizational needs
• encouraging professionals to volunteer with
  APEGGA or other professional groups
• supporting Continuing Professional Development
• displaying, jointly with RMs, a positive attitude
  to regulation and to the role that APEGGA plays
• providing support for RMs professional
  recommendations (see RMs).

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The Responsible Member

• Assumes responsibility for a specific, assigned
  area of practice within the company and must
• jointly with the COO, maintain organization in
  which the practice of the professions can be
  conducted in accordance with the Act
  Regulations
• ensure all practising Engineers, Geologists
  Geophysicists are licensed
• ensure titles are assigned appropriately
• ensure company standards at least meet the
  professions standards
• ensure permit number and member stamps are on all
  professional documents

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The Responsible Member (2)

• And must
• ensure quality is managed by implementing the
  companys Professional Practice Management Plan.
  He/she will
• provide responsible direction
• personal supervision
• but need not necessarily
• take personal responsibility for the technical
  content
• advise COO and APEGGA when responsibility is
  relinquished

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The Responsible Member (3)

• The RM should foster professionalism by
• recommending that the company has an evaluation
  system and development plan for all professionals
  (including contract employees)
• encouraging the employment of MITs
• Supporting Continuing Professional Development
• recommending that the company uses qualifications
  based selection for awarding professional
  services contracts
• recommending a peer review of the companys
  professional practices

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The Responsible Member (4)

• The RM should model professionalism in the
  workplace by supporting
• Council elections
• APEGGA surveys ballots
• Employee Professional Development
• Summit Award nominations
• Volunteering for APEGGA
• A positive attitude toward regulation and the
  role that APEGGA plays

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The Responsible Member (5)

• If you dont think you are in a position to
  carry out these responsibilities, then you should
  review your role as a Responsible Member.

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Professional Organization

• How many Responsible Members are enough?
• See the Practice Standard for Authenticating
  Professional Documents - Appendix A-3

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Quality Management

• Involves
• Providing proper conditions
• Maintaining the appropriate level of competence
• Assuring effective management of technical
  quality
• Ensuring effective project management
• Maintaining appropriate records.

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Professional Practice Management Plan

• Required by the EGGP Act since April 2002
• Guideline approved by Council in September 2003
• Management, Organization and Responsibilities
• Ethical Standards
• Professional and Technical Resources
• Quality Control
• Professional Documents and Records

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Professional Practice Management Plan (2)

• Professional Practice Management Plan
• Management, Organization and Responsibilities
• Statement of policy on Professional Practice
  Management
• Identification of COO and Responsible Members and
  their authorities
• Organizational structure
• Lines of Technical Responsibility

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Professional Practice Management Plan (3)

• Professional Practice Management Plan
• Ethical Standards
• Acknowledges the Permit Holders obligation to
  provide a working environment that ensures
• Standards of professional conduct
• Standards of technical competence
• Support of professional employees in discharging
  their legal and ethical duties under the EGGP Act

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Professional Practice Management Plan (4)

• Professional Practice Management Plan
• Professional and Technical Resources
• Policies on hiring
• Inventory of expertise/competencies
• Methods of assessing and reviewing employees
  skills
• Reference materials
• Standard company forms
• Information Technology policy
• Appropriate computer hardware/software
• Necessary lab/testing equipment

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Professional Practice Management Plan (5)

• Professional Practice Management Plan
• Quality Control - Professional Business Practices
• Corporate Strategy
• Confidential material
• Dispute / conflict resolution
• Advertising and promotion
• Contract negotiation, including sample contracts
• Coordination and teamwork
• Loss Control and Risk Management
• Formal QA Plans (e.g. ISO 9001)

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Professional Practice Management Plan (5)

• Professional Practice Management Plan
• Quality Control Technical Work
• Due Diligence requirements
• Training
• Assumptions
• Independent checks

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Professional Practice Management Plan (5)

• Professional Practice Management Plan
• Quality Control Project Management
• Cost Estimates Expenditures
• Project Management Systems
• Changes / Progress Payments / Reviews
• Field Reviews

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Professional Practice Management Plan (6)

• Professional Practice Management Plan
• Professional Documents and Records
• Identifying which documents need control
• Preparing, reviewing, issuing, using, and
  revising documents and records
• Responsibility for authentication
• Managing and maintaining documents and records
• Ensuring compliance with applicable codes and
  standards
• Records of communication

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Professional Documents

• What constitutes a Professional Document?
• Practice Standard for Authenticating Professional
  Documents v2.0
• A professional document has two main
  characteristics
• It contains technical information
• It is complete for its intended purpose

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Professional Documents (2)

• Two marks are required for proper authentication
• APEGGA Members professional stamp
• Attests to the members involvement in the
  creation of the document
• Creation
• Supervision
• Thorough review
• APEGGA Permit Number
• Attests to the fact the work has gone through the
  QC process specified in the PPMP

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Liability and Responsibility

• The Courts role is to determine liability
• A properly written PPMP may help demonstrate due
  diligence in a civil law suit
• APEGGAs Role Professional Responsibility

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Recommended Reading

• For further details please refer to the
• Guideline for Professional Practice Management
  Plans
• and the
• Practice Standard for Authenticating Professional
  Documents
• Available as free downloads from
• APEGGAs website

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Next Steps

• As a minimum
• Ensure your company is using reserved titles
  appropriately
• Ensure your employees who are qualified are
  licensed
• Ensure your company is following the professional
  standards developed by APEGGA

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Next Steps (2)

• Ensure your Professional Practice Management
  Plan
• Is in place
• Is being followed
• Addresses communications and record keeping
• Ensure you are authenticating all of your
  professional documents

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Next Steps (3)

• Complete the Permit to Practice Seminar
  Declaration, available on the website, and submit
  it to APEGGA for credit
• While completing this electronic version of the
  seminar satisfies your statutory requirement for
  attendance, you are encouraged to attend a live
  seminar should your schedule permit.

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Final Thoughts

• As a COO and / or a Responsible Member, you are
  obligated to assist APEGGA in ensuring the
  practices of Engineering, Geology and Geophysics
  in your firm are conducted in accordance with the
  Act and Regulations

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Final Thoughts

• As a COO and / or a Responsible member, APEGGA
  is also asking you to take on a greater role in
  the promotion of professionalism within your
  firms.

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Final Thoughts

• Just as the APEGGA Council, Boards and
  Committees are an integral part of how the
  professions are managed, so too are the COOs and
  Responsible Members.

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Final Thoughts

• As Partners in the Professions, you play a key
  role in enabling APEGGA to regulate enhance, and
  provide leadership in the professions.

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Questions?
Please direct all your questions regarding the
Permit to Practice, your Professional
Responsibilities, and this seminar to Ross
Plecash, M.Eng., P.Eng. Director Corporate
Affairs Investigations APEGGA (780)
426-3990 [phone] rplecash _at_ apegga.org
download declaration here