Permit to Practice Seminar: Information for a Responsible Member 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 afterwards. * This presentation has been revised as of Summer 2016, and if you have taken this previously, content may look different, but the message is similar. * Presentation expectation: for Permit Holders and Responsible Members to know their legal responsibilities and to be able to create or review their Professional Practice Management Plan. + 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. + Reviewing this material will count as attending the Permit to Practice Seminar. 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 permits@apega.ca. + Questions, clarifications, or feedback on this slide deck can be sent to permits@apega.ca or by contacting the Permits department at 1-800-661-7020.Housekeeping 7 Sign-in sheet (*certificate) Fire alarm & evacuation Washroom location Reminders: + Cell phones + Session E-survey * Session Materials: https://www.apega.ca/members/permi seminars/ ae APEGA WHAT YOU NEED TO KNOW: + Fori 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 * EGP Act = Engineering and Geoscience Professions Act + HR =Human Resources ‘+ MITs = Members in Training + PPMP = Professional Practice Management Plan + RMs = Responsible MembersPurpose of APEGA and Company Permits Legal Requirements of Permit Holders Expectations of Responsible Members How to prepare and implement a Professional Practice Management Plan (PPMP) Authentication Standard Consequences of Disciplinary action WHAT YOU NEED TO KNOW: * Presentation expectation: for Permit Holders and Responsible Members to know ‘their legal responsibilities and to be able to create or review their Professional Practice Management Plan. * Clarification will also be given on only one APEGA standard, which is Authenticating Professional Documents. This is found on the apega.ca website under Publications and under Standards & Guidelines (https://www.apega.ca/about- apega/publications/standards-guidelines/).a What is APEGA’s main purpose for existing? WHAT YOU NEED TO THINK ABOUT: ‘+ What do you think APEGA does? + Why do you think this is important?WHAT YOU NEED TO KNOW: + APEG: + APEG: Mission Regulate the practices of engineering and geoscience to serve stalled Ethical Practice Conduct Pee the public interest in Alberta Came Ste Vision oo APEGA will earn the os confidence of the public and instill pride in its Members. /A is the Association of Professional Engineers and Geoscientists of Alberta. |A regulates the practices of engineering and geoscience within the province of Alberta. + The v The APE alues 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. [GA mission and vision changed on January 1, 2017, as per Councils approval.Canadian Engineering Regulators A + Provincialterritorial regulators for engineering and/or geoscience professions All issue individual licenses, not all regulate companies Not all regulate geoscience a APEGA WHAT YOU NEED TO KNOW: + APEGA is the provincial regulator for Alberta only. + Ifyour company has multiple offices, branches, subsidiaries in other provinces/territories, please be aware of the legislation for that region, as it does differ from region to region. + Asa note, in some of the provinces, the Permit to Practice is called a Certificate of ‘Authorization (C of A) instead. + Not all provinces/territories regulate geoscience. Some provinces/territories have combined regulation for geoscience and engineering and some have separate regulators.1. How does APEGA serve the public interest? 2. Whyis this important? WHAT YOU NEED TO THINK ABOUT: + The mission statement says APEGA “serves the public interest”, what do you think this means and why is it important?APEGA’s Legislated Mandate A + Entrance standards to the profession « Standards for competent and ethical behavior « Publically available Member and Permit Holder Directory + Discipline process based on peer review + Investigations, discipline, appeals + Title and Practice Compliance WHAT YOU NEED TO KNOW: + The Alberta Government has a piece of legislation called the Engineering and Geoscience Professions Act (EGP Act). This is available on the apega.ca website under Publications (https://www.apega.ca/about-apega/publications/engineering-and- geoscience-professions-act/). This legislation (or statute) outlines the mandate that APEGA fulfills. + The Government has delegated self-regulation to the engineering and geoscience professions as currently the public interest is served by doing so, and the advantages clearly outweigh the disadvantages (Principles & Policies Governing Professional Legislation in Alberta, 1990). + Typically for a self-regulating profession, this includes: + Setting and enforcing against entrance standards to the profession. + Setting and enforcing against standards for professionals to maintain their technical competency and ensuring ethical (professional) behavior, + Informing the public of who has passed the entrance standards by having a publically 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 companies that do not comply withtitle and practice.Privilege of Self-Regulation a ALBERTA PUBLIC INTEREST 1 The Engineering end Geoscience Professions Act pein ti Elected aes ' Counc Self Regulation Maintained by: a ¥ Public Confidence : C2018 RSS ¥ Professional Reputation ! oom ¥ Social License WHAT YOU NEED TO KNOW: + Self-regulation is a privilege. If self-regulation is no longer endorsed by the Alberta Government, the Alberta Government instead would regulate these professions. * The licenses and permits granted by APEGA give Professional Members and Permit Holder companies the right to practice and the right to use title. * APEGA members should, in their daily work and decisions, keep in mind public interest and safety, the environment, and the reputation of the professions. + As such, self-regulation is maintained through public confidence, professional reputation, and holding a social license. * Since it is a self-regulating profession, the membership (including members and permit holder companies) have a say into how APEGA regulates the professions. * APEGA Council drives the strategic direction and as members, you have an ability to take part in the annual election (every March with results at the April AGM). * Council appoints a CEO and Registrar, who operationalize the strategic plan to direct staff and volunteers. APEGA employs approximately 130 employees with offices in Edmonton and Calgary. + Asa self-regulating profession, there are approximately 1,500 members who volunteer annually to help with statutory obligations, for example on the Board of Examiners or the Discipline Committee.Quebec Construction Industry Corruption / Collusion/ Tax Fraud + *Kickbacks' to gov't officials in exchange for lucrative contracts + Free construction work, hidden Political donations + Negotiated contract amendments for additional payment + Violence/threat to ensure sole bidding + Sole contractat inflated prices Blind eye" to undeclared revenue for kick-backs; skipping tax audits (illegal activity) WHAT YOU NEED TO KNOW: + Arecent example, very relevant to APEGA, is the Quebec Engineering Regulator (Ordre des ingénieurs du Québec or O1Q) that lost their privilege of self regulation. + This was associated with unprofessional conduct in the Quebec Construction Industry: * 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 O1Q did not regulate engineering companies. 10Charbonneau Commission a LTerein coin Rene : Po NaN (cols Prensa cer Dee aaa IeMRutas Seirus tnt WHAT YOU NEED TO KNOW: + The government decided to appoint Justice France Charbonneau to look into these matters of corruption and collusion. = Over many years of work, through investigations and interviews, many unethical and unprofessional activities were uncovered. + Many people lost their jobs because of this, many companies’ reputations were impacted, and many people were found to have taken part. + There was also an impact to O1Q, who were interviewed as part of this. "Prowl goverment paces Quebec's oreo engineers unde trasteeship WHAT YOU NEED TO KNOW: + InJuly of 2016, the Quebec government placed OQ 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. + 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. WHAT YOU NEED TO THINK ABOUT: * How am |, as a Professional Member, ensuring that the engineering or geoscience professions maintain their privilege of self-regulation? 12story of APEGA a The Pet SEK UotAstats Sone APEGCALG Seem Permts for EGPAct aEeeN ‘APEGGA corauling Revie, ie or fore. Permtstorat Mie 1950 communes ase 1083, AseTbecomes | 1675 ‘socty ann 1986 ScienceRng ht vere PUP rect opens, assesio comersang 8, Regvaters eo WHAT YOU NEED TO KNOW: + It is important to know where the professions started and where we are headed. + 1920 is when self regulation of the engineering profession started . At this time there were 256 members. + Itis important to note that the Iron Ring started shortly after by a separate organization called the Corporation of the Seven Wardens. APEGA does not administer the ring to this day, although we support the premise. + In 1960, Geology and Geophysics became their own professions and you will note in 2012 these two disciplines were merged into a singular, inclusive Geoscience Profession. + ASET (the Association of Science and Engineering Technology Professionals of Alberta) became a society, not a regulator, in 1963 and it wasn’t until the 2009 Act change where ASET became part of the EGP Act. This gave ASET a regulatory role along with being an organization that offers certifications and association type services, + As for companies, permits were administered starting in 1968 for consulting firms only and the 1981 Act change became more encompassing to include the requirement that all companies performing engineering or geoscience needed a permit. + In 2003, the requirement for a Professional Practice Management Plan from PermitHolders was added to the Regulations. 13,APEGA today Al Over 76,000 members + 85,000 licensed Professional Members, + 12,000 Members in Training + 8,500 Other Categories Over 4,500 permit holders Permit holders are companies that offer engineering or geoscience services 10 geographic branches p. APEGA WHAT YOU NEED TO KNOW: + That brings us to today. APEGA has over 75,000 members, the majority in Alberta, but APEGA also sees quite a few who likely hold multiple licenses in several provinces and reside elsewhere. + The over 75,000 members are made up of over 55,000 licensed members, about 12,000 MITs, and about 8,500 other member category types. + There are just over 4,500 Permit Holder companies. * To help us better administer to the membership, APEGA has 10 geographic branches. ‘The largest of which is the Calgary branch, followed by Edmonton. There are only APEGA offices in Edmonton and Calgary. + Asa note, over half of all of Canada’s geoscientist population belong to APEGA with ‘the majority based in Calgary, AB. 14What purpose do permits serve? WHAT YOU NEED TO THINK ABOUT: + Permits were added in 1963, what purpose do permits serve? 15Permits to Practice Rationale a + Companies are separate legal entities from their professional employees + Accountability and responsibility of the company 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 WHAT YOU NEED TO KNOW: + APEGA as a regulator needs to ensure that the practice of engineering/geoscience is regulated. + Permits are a way to ensure companies 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 non- professionals, 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 a standard for technical and ethical competency. + There is an atmosphere that its Professional Members can satisfy APEGA’s legal expectations of them (e.g. Continuing Professional Development program) + Any regulations, standards, or codes that have an impact on the engineering, or geoscience work are abided by. 16APEGA’s Permit to Practice am + Required by any partnership, corporation, or other entity that practices engineering or geoscience in Alberta (internally or externally) + Gives the right to practice and use title + Alegally binding contract between APEGA and the company which is renewed annually a WHAT YOU NEED TO KNOW: + APEGA requires that any company that practices engineering or geoscience in Alberta needs to hold a Permit to Practice from APEGA. 17What is “Practice of Engineering?” 7 wv 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) thatis aimed at the discovery, development ‘r utlization of matter, materials or energy or in any other way designed for the use and ‘convenience of humans, and (8) 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 ta APEGA WHAT YOU NEED TO KNOW: * So, how does APEGA define “practice of engineering”? © Thisis legally defined in the EGP Act and is written here © Itisa broad definition, the crux of which is professional application of maths 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?What is “Practice of Engineering?” ‘Aeronautical Engineering Chemistry Nanotechnology ‘Aerospace Engineering Physics ‘Ocean and Naval Architectural Agricultural Engineering Science Olland Gas ‘Automotive Environmental Petroleum Bioresource Forest Petroleum Systems. Biosystems Geological Software Building Geomatics Software Systems Biomedical Industrial Space Chemical Industrial Systems Systems Design wil Integrated Water Resources Communications Manufacturing Computer Materials Computer Systems Mechanical Electrical Mechanical Systems Electronic Systems Mechatronics Minerals Mining WHAT YOU NEED TO KNOW: + 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. 19What is “Practice of Geoscience?” Reporting, advising, evaluating, interpreting, processing, geoscientiic surveying, exploring, classifying reserves or examining related to any activity (A) that relates tothe earth sciences or the envionment, (©) that is aimed at the discovery or development of ol, natural gas, coal, metalic of non-metallic minerals, precous stones, other natural resources or water or hats aimed atthe investigation of surface or subsurface concitons of the earth, and (©) thatrequires, in that reporting, advising, evaluating, interpreting, processing, geoscientiic surveying, exploring, classifying reserves or examining, the professional application of the principles of mathematics, chemistry, physics or biology through the application a atthe principles of geoscience APeGa WHAT YOU NEED TO KNOW: So, how does APEGA define “practice of geoscience”? This is legally defined in the EGP Act and is written here. Itis also a broad definition, the crux of which is professional application of maths 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? 20Practice of Geos: Geology Geophysics Geochemistry Hydrogeology WHAT YOU NEED TO KNO' * 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. aThe Permits Process me 1. Complete application with signed declarations (COO and RMs) submitted with payment 2, APEGA confirms completed application and understanding and approves or rejects Permit issued to be display Cong Hane WHAT YOU NEED TO KNOW: * What you are interested in though are Permits to Practice. This is quick overview of the permits process, just for your refresher. * A Permit to Practice application includes declarations from the Chief Operating Officer (COO) or equivalent senior management, responsible member declarations, and payment. + Depending on the relationship the responsible member has with the company, additional information may have been requested (e.g. contract RMs or RMs that are employed part-time or members that are RMs for multiple companies). + Once approved, a permit certificate is issued. + The permit certificate, like your license certificate, should be displayed prominently to indicate that the company has been given the RIGHT to practice and/or offer engineering/geoscience services. * Any permit certificate inquiries or changes to your permit file with APEGA can be sent to permits@apega.ca or done through the APEGA Company Self-Serve Centre found on the apega.ca website under Login (https://permits.apega.ca/Account/?ReturnUrl=%24). WHAT YOU NEED TO THINK ABOUT: ‘+ Where is my company’s Permit to Practice certificate and where is it displayed? 22Question Time a What are some of the legal requirements of Permit Holders? WHAT YOU NEED TO THINK ABOUT: = What does APEGA expect Permit Holder companies to do? 23Permit Holder Expectations a Legal Obligations Recommendations + Annual renewal of permit + Reporting + Acurrent, active, and accessible porapto discipline PPMP concerns * Designated and informed responsible members (RM) + Abide by all regulations, standards & codes APEGA has all current contact information Onus to respond WHAT YOU NEED TO KNOW: The above list is what APEGA legally expects from permit holder companies. Annual renewal information is sent to the COO APEGA has on file. PPMP stands for Professional Practice Management Plan. It is not a legal obligation that companies report compliance or but it is strongly recommended that this be a common practice. 24Permit Holder Timelines Al v PPMP and indicated systems in place by next permit renewal + Does not have to be submitted to APEGA unless. requested + Must be active, current and accessible v New RMs take the Permit to Practice Seminar within 6 months WHAT YOU NEED TO KNOW: + APPMP needs to be in place by the next permit renewal period. + 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. 25Abide by Regulations, Standards & Codes a7 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 WHAT YOU NEED TO KNOW: + One of the legal expecti standards, and codes. ‘+ 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 ns of the permit holder is to abide by all regulations, + 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. 26The Responsible Member 7 + APEGA Professional Member of active and good standing status who has authority within the company + EGP Act regulatory expert within the company + Gives responsible direction to Professional Members and the company Often writes, implements, and enforces the company's Professional Practice Management Plan (PPMP) WHAT YOU NEED TO KNOW: + An RM is someone of active and good standing with APEGA, which means they have paid their dues, their Continuing Professional Development (CPD) obligations have been met, they hold an active license and they do not have outstanding disciplinary orders against them. + 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 semi intended to give the RM enough information to act in this 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) and its associated systems. 27aciations of R 4. How to prepare and implement a Professional Practice Management Plan (PPMP) 28== Whatare your legal obligations as a Professional Member, as set out by APEGA? WHAT YOU NEED TO THINK ABOUT: * Since you are an RM and a Professional Member, what does APEGA legally expect of you? 29Legal Obligations + Maintain technical and ethical competence * Submission of CPD hours + Abide by all regulations, standards & codes + Give proper supervision + Annual renewal of license Current contact info nus to respond WHAT YOU NEED TO KNOW: + The above states the legal obligations for any profe: Professional Member Expectations A Recommendations + Involvement in the Professions + Election and AGM + Volunteering + Mentoring + Enhancing the reputation of the Professions + Reporting compliance or discipline concerns nal member. + For more information, visit the apega.ca website (httos://www.apega.ca/). 30Professional Practice Management Plan 7 + Awritten description of policies and systems related to Mm engineering and geoscience practice The company needs to ensure that the PPMP and indicated systems are implemented 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 + What fits your company £2 WHAT YOU NEED TO KNOW: * 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 regulates any practice of engineering and geoscience done on its behalf and how it ensures that that work meets a certain standard for quality. + The PPMP needs to fit the company, as such a smaller company that employs a singular Professional Member will not have complicated quality control systems nor necessarily a lot for policy around ethical behavior and instead rely on the Professional Member to regulate him/herself. The PPMP in this situation would be shorter than a larger company that employs 100s of Professional Members and would have detailed and rigorous document management systems, policies, ete. + The PPMP is intended to be live, current, and accessible within the company, especially to Professional Members. + Should APEGA request the PPMP, for example as part of a practice review or investigation, the company is typically given 30 days to produce it. 31ACTIVITY BREAK a 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? WHAT YOU NEED TO THINK ABOUT: + The PPMP documents the quality systems in place around engineering and geoscience work, what exactly does that mean and what does that include? 32Professional Practice Management Plan a What is in it? Organizational chart Ethical standards Professional and technical resources Quality control Professional documents and records WHAT YOU NEED TO KNOW: + 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-puidelines/) that gives more detail on creating a PPMP. This presentation gives the highlights. + The five major categories that are included are: * Organizational chart * Ethical standards * Professional and technical resources * Quality Control * Professional documents and recordsOrganizational Chart: Intent A + Clarify authorities, responsibilities, accountabilities between the RM and the Senior Management regarding PPMP development, implementation, and enforcement Identification of RMs ‘System for tracking who is practicing engineering and geoscience within the company + Method to confirm active and good standing with APEGA + Proper supervision of Members in Training System for tracking who is authenticating WHAT YOU NEED TO KNOW: + The intent of the organizational chart category is out WHAT YOU NEED TO THINK ABOUT: practicing with your company? Do you know who is supervising * Do you know who has stamps and are stamping documents?Organizational Chart: Examples wv Example statement of importance of PPMP that is. signed off annually by senior management and the RMs és fase Company recognizes that the practice of engineering and geoscience s regulated within Alberta and that aan APEGA Permit Hoar, ensure tha these practices wl be appropriately managedto mest | a high standard and all legislated regulation, SIGNED 8y: SENIOR AANANGEMIENT, Ovector of 8C Company DATED: August 7, 2015 SIGNED BY: Responsible Member #1, cngineering Manager DATED: August, 2015 | hb APEGA WHAT YOU NEED TO KNOW: This is an example of what APEGA has seen in permit holder PPMPs. The statement of importance is to ensure that senior management understands that the professions are regulated and anyone practicing within the company needs to abide by these regulations. Senior management needs to understand that the company should provide an atmosphere and organizational structure that allows the technical competency, ethical, and professional standards to be met. 35Organizational Chart: Examples 7 Including an engineering and geoscience specific organizational chart (TE ort responce Monser b WHAT YOU NEED TO KNOW: + As an RM, you should know who are practicing Professional Members within the company, including Members in Training. + If the company employs technologists, RMs should understand the relationship between technologists and engineers, similarly the relationship between APEGA and ASET (there is a slide that addresses this later on in this presentation). ‘+ APEGA has seen situations were where employees have let their license lapse and were practicing without a license yet stamping and issuing drawings. The client found out about this and the company had to re-issue a number of drawings at their ‘own expense and to the detriment of their company reputation. This emphasizes the need to ensuring all your practicing employees are of active status and good standing with APEGA. + The organizational chart may also note who is a Responsible Member within the company and lines of supervision for those who are not fully licensed, such as Members in Training, 36Organizational Chart: Examples + System for tracking who is practicing engineering and geoscience within the company a + Bios of all engineering staff WHAT YOU NEED TO KNOW: + Some companies keep a list that includes designation, area of practice, renewal date, registered name (as it may differ from their commonly used name), and whether they have a stamp/seal. + For larger companies often a list is easier to maintain then a graphic organizational chart. WHAT YOU NEED TO THINK ABOUT: + Do you know what name your practicing members are registered under with APEGA? 37How Many RMs are Enough? om = Recommendation: + One per geographical region + One for each profession (engineering, geoscience) at minimum + 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 WHAT YOU NEED TO KNOW: The main responsibility of an RM is to help regulate the group practice within the company by ensuring the atmosphere and organizational structures are in place to allow this — a company must ensure there are enough RMs on hand to sufficiently do this. How many Responsible Members are enough? + Typically one per each geographic region is recommended + One RM for each profession practiced by the firm (profession = engineering and geoscience, NOT one per discipline) + APEGA recommends a ratio of 1:10 for RMs to P.Members/MITs + Ifdivisions/subsidiaries come into play and COO/RM cannot oversee practice suitably, then more RMs or additional Permits/PPMPs are needed 38What about Technologists? I ~‘Aiberta Government 1 + One Act "1 Separate Regulators retin ar Pee Engonatng ant S Seloeogulation for Professions Act Professional Technologists Engineering & Geoscience rt Fight to Tile [Members _ WHAT YOU NEED TO KNO! + As mentioned in the history slide, ASET was written into the EGP Act in 2009 and although APEGA share’s a piece of legislation with them, 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 fully licensed member type at ASET is the PTech. + PlTechs are jointly regulated by APEGA and ASET through a number of joint boards, which have both APEGA and ASET members on them. 39Ethical Standards: Intent a + An environment where Professional Members can maintain their ethical competency + At minimum, the Code of Ethics + Reporting unprofessional conduct to APEGA WHAT YOU NEED TO KNOW: + An ethical standard 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 if they take precedent and meet the minimum ethical standard. WHAT YOU NEED TO THINK ABOUT: + Doall engineers within the company know the Code of Ethics and their legal obligations to adhere to it? How do they show this? How can you prove your professionals and the company are practicing engineering ethically? 40APEGA Code of Ethics A founded upon integrity, competence, dignity and devotion to service through 5 rules of conduct Pea eed hold paramount the health, safety and welfare of the ‘public and have regard for the environment cocina tie pucks Ineerest \work that they are competent to perform by virtue of Staying within your scope of their training and experience. practice; skilful practice ‘conduct themselves with integrity, honesty, faimess ‘and objectivity in their professional activites, Eee behaviour Professional conduct! APEGA WHAT YOU NEED TO KNOW: + 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 pul and stakeholder interest, including that of the environment. The second rule of conduct speaks to staying within your scope of practice. + The third rule of conduct speaks directly about ethical behaviour. nMAPEGA Code of Ethics wv founded upon integrity, competence, dignity and devotion to service through 5 rules of conduct pene [4 comply with applieable statutes, regulations and Legal practice, compliance bylaws in their professional practices. with regulation Importance? ‘uphold and enhance the honour, dignty and Peanene] niet riueetine Holding public confidence be APEGA WHAT YOU NEED TO KNOW: + 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 should ensure all your Professional Members know and understand the APEGA Code of Ethics and that this is incorporated into the company ethical practices. + Should APEGA investigate a complaint against a member or permit holder, they will be weighed and measured against the Code of Ethics. 42== How can your company ensure ethical behavior of its staff and contractors? WHAT YOU NEED TO THINK ABOUT: ‘+ Knowing what has happened in Quebec regarding unethical industry practice and unprofessional company practices, how can a company ensure ethical behavior of its staff and contractors? 43Ethical Standards: Examples A + Annual training: + Respect in the Workplace + Whistleblower systems for complaints + Support for ethical Professional Development + Review Company's or APEGA's code of ethics + Company values and vision that encompass APEGA's Code of Ethics & APEGA WHAT YOU NEED TO KNOW: * This slide shows some examples from Permit Holders PPMPs.Ethical Standards: Examples a + Professional business behavior * Gifting from vendors + Transparent bidding process * Conflict of Interest * Confidentiality + Corrective action for ethical misconduct WHAT YOU NEED TO KNOW: * This slide shows some examples from Permit Holders PPMPs.Unprofessional Conduct Case Studies om \\ 1. Anindividual and his company providing engineering services to two competing clients on the same project. 2. Sharing of confidential information gained through employment with a competitor of his client. SEES Spm re ac Cont rine 2 $0 a 20 WHAT YOU NEED TO KNOW: + 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.Professional & Technical Resources: Intent + Hiring licensed people to do engineering and geoscience work + employees or contractors and scope of practice Proper supervision for Members in Training + Includes review of work Correct use of title Provide an environment where Professional Members can maintain their technical competency Right tools for the right job WHAT YOU NEED TO KNOW: + The intent of the Professional & Technical Resources are to ensure the company has the right people and right tools to do their engineering or geoscience work. + Also included in this is correct titling of job positions, supervision of members in training, and ensuring that there is an atmosphere for Professional Members to meet their legal obligations.Correct Title Use Oa NISTen Ty Perens Grrr Professional Member, Independent, full scope of Foreign Licensee practice within a discipline Professional Licensee Independent, LIMITED scope of practice within a discipline Member in Training, Supervised, full scope of Fulllrights to title, as long Provisional Licenst practice within a discipline as clarified ‘Anyone else No right to independent practice Fullrights to title Fullrights to title No righttto title WHAT YOU NEED TO KNOW: + Often larger companies have HR departments who do the hiring. Again itis important that you as an RM understand the reserved title aspect and ensure proper titling within the company is done. + This slide lists the APEGA member types that can legally use reserved title. * The first two rows show three different 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 itis clarified. For example Operations Engineer in Training or Operations Engineer, EIT is suitable. + Anyone else has no right to practice nor to title. 48Correct Title Use tA 1. Professional Engineer (P.Eng.) or other title abbreviation; Professional Geoscientist (P.Geo.); Professional Geologist, (P.Geol.); Professional Geophysicist (P.Geoph.); or other title abbreviation; “engineer”, “geoscientist’, “geologist, or “geophysicist’ in combination with any other name, litle, description, letter, symbol or abbreviation ., THAT implies APEGA permit holder or license status WHAT YOU NEED TO KNO' * This slide lists what are 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 typically is used to indicate licensure, specialized educational degree, etc. + Itis 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 al to practice engineering/geoscience. Compliance takes titles into context, judging whether a public person would expect an ability to practice. + For example, APEGA received a complaint about a lady calling herself the “Mortgage Engineer”. Upon calling her and reviewing her publically 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. + Adesignation example where APEGA takes action would be the UK offered chartered engineer certification. Typically people would indicate this by including. “CEng.” 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 is an indication of being able to practice engineering. * Ifyou require clarity or wish to report a title infraction, please contact the APEGA Compliance department at compliance@apega.ca or 1-800-661-7020. 49Correct Title Use eee) Cree ‘Technologist that does lab ‘work, does not hold APEGA. license Geology graduate student ‘that is doing sampling work that holds G IT. APEGA membership Environmental Engineer that oversees engineering department, holds engineenng license Engineenng student that does field inspections WHAT YOU NEED TO KNOW: Pry Jane Doe, Chemical Engineer Joe Smith, G.LT. Geologist Jane Doe, PEng Engineering Manai Joe Smith Field Engineer le gives a few titling examples. ered CORRECT CORRECT + 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, \spectors, 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. 50WHAT YOU NEED TO KNOW: Correct Title Use a 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 to compliance@apega.ca a ‘The regulation around title use within company names varies slightly from that of individual titling. If you require clarity or wish to report a title infraction, please contact the APEGA Compliance department at compliance@apega.ca or 1-800-661-7020. 51Professional & Tech Examples Regular HR training on titling, licensing, how scope of practice relates to work activities Listing of scope of practice and integration with performance review + Submission of CPD documentation as part of annual performance review Corporate library with technical handbooks, technical subscriptions, shared professional development material Listing of all engineering and geoscience software or outline of IT systems and maintenance schedule fy ie APEGA WHAT YOU NEED TO KNOW: + As RM, you need to ensure that the company hire and title people in compliance with the EGP Act requirements. When engineering or geoscience is being done, a qualified and licensed person must complete this. + The APEGA compliance department will investigate any job postings found that advertise the practice of engineering or geoscience and don’t specifically ask for someone who is registered or eligible to be registered with APEGA. Similarly if the job posting is for a title that utilizes reserved title, but does not ask for someone who is registered, APEGA compliance will also investigate. ‘+ 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. WHAT YOU NEED TO THINK ABOUT: * Are your contractors that practice engineering or geoscience registered with APEGA? Are you ensuring that your MITs are properly supervised? 52Quality Control: Intent a7 + 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 WHAT YOU NEED TO KNOW: + This section of the PPMP considers how a company will assure that the engineering work done meets a certain consistent quality. WHAT YOU NEED TO THINK ABOUT: ‘+ What is your company doing to ensure that all engineering work considers the public interest and environment? + How can you prove a MITs work has been supervised? an indi + How can you prove that certain work is wit! jual’s scope of practice?Quality Control: Examples om + MITs are supervised and system how to check/sign-off on_ their work k + Allengigeo contractors are | checked for licenses and ia permits + All outsourced engineering is signed off by APEGA Professional Members Policy on intellectual property, confidentiality Policy on conflict of interest WHAT YOU NEED TO KNOW: + When it comes to quality control, consideration also has to be given to protection of documents and intellectual property. WHAT YOU NEED TO THINK ABOUT: + Are your engineering stamps/seals under adequate control? How are you preventing identity theft, improper authentication and tampering?Quality Control: Examples v ! + Listing of applicable codes and standards + Reference intemal safety, risk assessment, change “2 management procedures 2 % + Outline of gated project management process WHAT YOU NEED TO KNOW: * Quality control may also extend to considerations around assessment of risk and how projects are managed. 55Unskilled Practice Case Studies a7 1. Design, manufacture and supply of safety ladders in which P. Mem did not meet industry standards or OH&S. Construction of a tall wall in a residential home did not meet the Building code as well as thorough review was not adequate. 1 cae sept 200 PEO ate ASEOOA Deen Conan Cats 100-5, ne 32010 a 3 BESLRcente Rie Eanes tttiae Cae oo Ore APEGA WHAT YOU NEED TO KNOW: 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. 56= Development and handling of professional documents + Systems for + Proper authentication + Document management and retention WHAT YOU NEED TO KNO' + The next section of the PPMP is in regards to professional documents and records. This will address the controls that your company has in place for development and handling of these documents. 57Professional Documents & Record: Examples + Encrypted password protection for native files + Locked storage and additional security for intellectual property (IP), confidential information + Document retention policy: life of project, alignment with Limitations Act (10 yrs since incident + 2 extra yrs for filing) Contracts that address IP & document ownership Systems that protect stamps + System that addresses how the PH number is applied to documents 7 Aeron WHAT YOU NEED TO KNOW: + Here are a few examples around professional documents and records.NETWORKING BREAK Te WHAT YOU NEED TO KNO' * At this point you should have a good understanding of what goes into a Professional Practice Management Plan and should be able to write one. * If your company already has a PPMP, review it and ensure it covers all the components mentioned within this presentation. 59QUIZ TIME Cro ‘What is the purpose of permits? |What are the 5 components in the lppme? ]When should you have the PPMP in place? ‘Shouldthe RM know who is practicing eng/geo within the ‘company? Who is responsible for wnting the PPMP? permit holder company is. calling employees eng/geo who don't have a license, who is Jaccountable? WHAT YOU NEED TO THINK ABOUT: 3) Ensure eng/geo work on behalf of the company is. regulated to certain quality to meet APEGA stds. (Organizational chart, ethical standards, professional and technical resources, quality control, professional documents and records By next permit renewal date oes ‘Yes, part of organizational chart of the PPMP. Often times, the Responsible Member wth endorsement by Senior Management The permit holder is accountable. The RM, as part of implementing the PPMP should ensure HR are ting property and hiring the right people for the rightjob + Ifyou are not able to answer the above questions correctly and require clarity, please contact APEGA. 60What do | do with the PPMP? a Ensure it is active, accessible, and current, especially to Professional Members + Record revision history, changes, ete. + Sign off by RMs and mgmt + Have regular training and enforce against it + Optional: submit to APEGA Zo APEGA WHAT YOU NEED TO KNO' It is expected that the PPMP be an active, accessible, and current document. All Professional Members within the Permit Holder company should know its, contents, especially the Responsible Members. The PPMP should be reviewed regularly. Should APEGA request the PPMP, it will have to be produced typically within 30 days. It can be submitted to APEGA to keep on the Permit Holder file, but t APEGA does not have PPMP templates nor examples of a PPMP at this time, but are considering this for future regulatory Professional Development. is optional. ‘At times, a company can find a similar company that is willing to review or share their PPMP for the intent of sharing proven practices. 61Standards, Guidelines & Bulletins 7 WHAT YOU NEED TO KNOW: + One of the RM expectations is to be knowledgeable on the EGP Act and APEGA’s standards. * APEGA's standards, guidelines, and bulletins can be found on the apega.ca website under Publications and under Standards & Guidelines (hittps://www.apega.ca/about- apega/publications/standards-guidelines/). + The only APEGA standard that will be reviewed as part of this information session is the Authenticating Professional Documents. If any of the other pertain to your company, please review and ask for clarity of the APEGA Professional Practice department. 625. Document Authentication quences of Disciplinary 63Why do engineers need to authenticate documents (i.e. stamp or seal)? WHAT YOU NEED TO THINK ABOUT: + Professional Members are legally expected to authenticate professional documents —why? + Are you and your company currently authenticating the right professional documents? Are they being authenticated in the proper manner? 64+ 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 Company's quality management systems, as outlined by the PPMP, were applied to the engigeo work Authentication is a legal requirement WHAT YOU NEED TO KNO' + Authentication is a legal requirement. + Its intent is to ensure that a technically and ethically competent person completed the work. + Italso protects the Professional Member in that it shows when the work was transferred out of the Professional Member's responsibility. + The Permit Holder number application shows the company’s responsibility as well attests to the work being aligned with the company’s quality management systems, as outlined in the PPMP. 65What Needs to be Authenticated’ am Document contains technical information? + e.9. plan, drawing, detail drawing, map, geological cross- Seciton, geophysical cross-section, specification, report or other relevani document 2. Document complete for its intended purpose? 3. Document to be relied upon by others? bp “A APEGA WHAT YOU NEED TO KNOW: * How do you figure out what needs to be authenticated? + APEGA recommends a three part test, of which all aspects need to be satisfied: 1, Does the document contain technical information? What is being determined here is whether engineering or geoscience, as per the legal definition, has taken place in relation to the document. 2, Isthe document complete for its intended purpose? Authentication only applies to final professional documents, so draft documents do not need to be stamped. Ifa 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 its the above two requirements, it will need to be authenticated * [fall three are true, the document needs to be authenticated. * For clarification, contact the APEGA’s Profe: nal Practice department.How to Authenticate Documents Stamp/seal, signature, date, permit holder number all in close proximity RM applies the permit holder number Permit number indicates company QC was used Can still see the printed name on stamp Permit stamp optional Even ifno stamp, as a Professional, you are responsible and accountable 7 > CA WHAT YOU NEED TO KNOW: * 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 issued permit stamps up until around 2012, in which APEGA’s requirement was that the permit number appear only, rather than an APEGA issued permit stamp with a Responsible Member signature. APEGA at this time stopped issuing permit stamps. + Ifa company choses to continue using the permit stamp and/or requiring an RM. signature, this is perfectly acceptable. + 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. 67How to Authenticate Documents m + Multiple authentications on singular documents is OK + Clear who is responsible for what + Permit Holder number applied after all member stamps applied WHAT YOU NEED TO KNOW: * 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.Outsourced Work A Provisions of EGP Act & Regulations do not apply outside Alberta But need to consider: Protection of the Public 2 Permit Holder Responsibilities 2 Engineers and Geoscientists Obligations 2 Code of Ethics Relying on work by others is to be authenticated by APEGA Professional Member Ft AEEGA “Damnnrg e Needte Prien cman Cteoured Erion” VC Hey 200 ‘eA, Gadi Felgen Wot Paguety One VS Nas 2078 WHAT YOU NEED TO KNOW: *+ Often companies will outsource or off-shore their engineering/geoscience work outside the province, and then bring the product of that work into the province for engineering/geoscience consumption. * APEGA requires that an APEGA Professional Member authenticate work of this nature, as it qualifies under Relying on Work Prepared by Others. This is available on the apega.ca website under Publications and under Standards & Guidelines (https://www.apega.ca/about-apega/publications/standards-guidelines/). * The intent of this requirement is to ensure that the engineering/geoscience work satisfies Alberta's and APEGA’s regulation, standards, and codes, as well takes into account Alberta's public interest. * For questions or cl department. ication, please contact the APEGA Professional Practice 69horough Review”? wv + Review depth depends on fee 3 competency of the source 2.)) (D. lent i Ensure validity and reliability of the work and risk to the public Document what and when (e.g. your notes, items re-calculated and why, e-mail stating you have completed the review) By stamping, you accept professional responsibility for the document notwithstanding its source WHAT YOU NEED TO KNOW: 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?) 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. Within the Legislative Review, there is a recommendation that professional liability insurance be mandatorily held by Professional Members. 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/), 70What Needs to be Authenticated? Penn tina iia ‘All engineers involved. Possible mutt- Ree discipinary ‘Stamping does not make something a legal document ‘As-buill drawing for construction jy.v.¢ I"P.Mem, involved in fled inspection, then. project Yes. E-mail to geology manager NO Does not contain technical information Engineering contract No Technical magazine article NO Does not contain technical information Draft drawing going to team ey member for comment ‘Member in Training prepared project report with recommendations Its not final for its intended purpose you are supervising, after a thorough review, you are to take responsibilty Outsourced engineering to be used in, ‘Alberta must be stamped by APEGA P.Mem. Equipment designed in China but to be used in your AB facility WHAT YOU NEED TO KNOW: + Knowing what to stamp, when and how is important. * Stamping a document DOES NOT make it a legal document. It simply shows which Professional Member finalized the work, which 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 stamp: * 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 nOther Situations Requiring Authentication A + Required by other legislation that clearly states a stamp by a Professional Member is needed + Examples: building code permits WHAT YOU NEED TO KNOW: + There are other pieces of legislation, for example parts of the Building Code during the permit process, require a Professional Member stamp. + Ifthe legislation explicitly states that a Professional Member's stamp is to appear, then this is acceptable. * If the legislation simply states that a Professional Member signature appear, the stamp should not be included 72stmmasenorserronm |4 Acquired through APEGA Types available: + Electronic version + Rubber + Pre-inked stamps + Seal With completed form and payment, allow for 4 weeks delivery Rush orders available within 4 to 8 days (additional fee) fA deta WHAT YOU NEED TO KNOW: * Ifyou do not have an APEGA stamp, you can order one through APEGA. ‘+ APEGA works with the Royal Rubber Stamp Company, who issues authorized stamps after APEGA verifies that the individual is eligible. + The stamp form can be found on the website under Members & Permit Holders under Orders & Replacements (hittps://www.apega.ca/members/replacements/). Questions and inquiries can be sent to stamps @apega.ca or by calling the APEGA Calgary Office at 1-888-262-3688. 73Regulation around Stamps & Seals a v Name on stamp: + Fulllegal last name and either full first or middie name or both + Initials accepted only if above conditions are met s + Name should match what is on file with APEGA v Stamps come in 1.75" or 1.50" sizes, seals only in 1.75" sizes v Through Royal Rubber Stamp & Sign Company v Scanned imprint of stamp is acceptable WHAT YOU NEED TO KNOW: ‘PEGA has the above listed regulation around stamps. For more information around authentication and acceptable use of stamps, review the Authenticating Professional Documents Practice Standard found on the apega.ca website under Publications and under Standards & Guidelines (https://vww.apega.ca/about-apega/publications/standards-guidelines/). 74Regulation around Stamps & Seals A + Stamps and seals (and license and permit certificates) are the property of APEGA Must return upon cancellation ‘Stamps and seals under the control of the member always + Need to be aware of potential for: + Identity theft + Misuse of stamp + Stamp forgery -~onsure that your stamp and sealie securely ox APEGA WHAT YOU NEED TO KNO\ + APEGA has the additional above listed regulation around stamps. + Itis vital that as a member, you are in control of your stamp, know when itis used and how that this abides by APEGA’s standard for Authenticating Professional Documents. oT includes control of stamped documents. * APEGA Example: A Professional Member used her stamp properly. The document she stamped went into the public domain, where someone in India decided to take an image of her stamp and signature. That person then utilized that to authorize documents. * Document control is vital. 75Digital Signatures A + APEGA allows digital | signatures from approved | providers only + Based on robust cryptographic processes + Allows an airtight, secure © and non dismissible link between professional member and the document (ynotarius Notarius is only approved id provider ae APEGA WHAT YOU NEED TO KNOW: + In regards to digital signatures, APEGA allows use only from approved providers. + The current approved provider is Notarius. 76Submit completed application with payment to Notarius Install ConsignO software APEGA verifies identity to activate (YW notarius Visit notarius.com WHAT YOU NEED TO KNO\ + Ifyou are interested in obtaining a digital signature, contact Notarius (htto://www.notarius.com/professionals/apega.dot) and follow their process. During their process, they will contact APEGA to verify the user. 76. Consequences of Disciplinary action & bein 78Question Time a Why is it important to report unethical behavior and unskilled practice to APEGA? WHAT YOU NEED TO THINK ABOUT: * What happens should a piece of engineering or geoscience work come into legal question? if a safety concern happens? if the public interest is harmed? * Why is it important to report unethical or unprofessional conduct to APEGA? 79APEGA Discipline & Enforcement a + Ensures only qualified, competent, and ethical individuals practice engineering and geoscience and that there are consequencesto unskilled practice and unprofessional conduct. + Processes are APEGA volunteer-based to ensure peer to peer judgement for: + Investigations, Discipline, Appeals, and Professional Practice Reviews, WHAT YOU NEED TO KNOW: + 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. + IFAPEGA becomes aware of any unskilled practice or unprofessional conduct, the ipline & 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 80APEGA Discipline & Enforcement Al Two types of Complaints 1. Member and Permit Holders 2. Non-Members and Non-Permit Holders Compliance Investigations, Discipline & Appeals WHAT YOU NEED TO KNOW: + APEGA receives two types of complaints: 1. Allegations of unskilled practice or unprofessional (unethical) conduct against Professional Members or permit holder companies. ns of non-members and non-permit holder companies either n, 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. 81Compliance Process 7 Deals with complaints regarding non-members and non-permit holders: 1. Practice without a license Title and designation use 3. Holding out to have the ability to do engineering | or geoscience work Submit to compliance@apega.ca WHAT YOU NEED TO KNOW: + 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 compliance@apega.ca to follow-up on. 82Investigation & Discipline Process ve investigations; Evidence gathering ' o> Eo t WF Evidence supporting ategations _¥ a * indicates right to appeal decision Recommended ; Discipline Order (RDO) rounel Hest Ly v3 IC = Investgetve Cmte Discipline Cmte WHAT YOU NEED TO KNOW: * 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. + Ifthere is no evidence, the complai is dismissed. This dismissal can be appealed. + Ifthere 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 83/www. yega.ca/enforcement/disci 83Member and Permit Holder Complaints A + 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 earrying out of any duty or obligation WHAT YOU NEED TO KNOW: APEGA investigates all written complaints. 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. 84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 Pet APEGAWnr 204 2G gsr. “APEGR Dacre Commies Des Cae TSOHEFHE Uy 0 WHAT YOU NEED TO KNOW: + 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. WHAT YOU NEED TO THINK ABOUT: * Isthis unskilled practice? Is there unprofessional conduct? 85Geo & Penn West wv 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 Pet APEGA e214 FES pre APEGALHeConmtee ecsen Cate No 2ONLEM: May 6 204 WHAT YOU NEED TO KNO' * 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 thei 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. 86Types of Discipline Sanctions om a) Reprimand ») Suspension for time period ©) Suspension until proof of competency ¢) Limitation to scope of practice e) Practice conditions: Practice under supervision, ii, No sole practice, ii, Periodic inspections or Regular Reporting to APEGA; WHAT YOU NEED TO KNOW: + The above is a list of possible discipline orders, which can be given singularly or in combination with others.f) Proof of technical competency (exams, etc.) 9) Suspension until proof that disability or addiction has been overcome h) Counselling or appropriate assistance i) Waive, reduce or pay a fee for services that were not rendered or were improperly rendered i) License Cancellation k) Any other appropriate order Multiple sanctions may be assigned WHAT YOU NEED TO KNO' + The above is a list of possible discipline orders, which can be given singularly or in combination with others. 88ae There is a right to appeal for: * Registration applications that are rejected + Investigation cases that are dismissed * Discipline decisions that have been rendered WHAT YOU NEED TO KNOW: + As mentioned earlier, there is a right to appeal the list of decisions on the slide. 89Professional Practice Reviews a Regular Professional practice reviews of members and permit holders + To ensure compliance with the EGP Act + To ensure understanding of legal requirements and APEGA expectations WHAT YOU NEED TO KNOW: + 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.Reflection Moment A Share with a partner: 1. Three things you have learned today 2. Three items that you will do related to your company's PPMP. _ WHAT YOU NEED TO THINK ABOUT: ‘+ What are your key learnings from this information session ~ as a Professional Member, as a representative of the permit holder company, as a Responsible Member? + What changes will you make to your permit holder's PPMP as a result of this? 1Quiz Time po Wie company na compl z Sasa Pen JAPECA agate. cocumentwit_ sional Practce Management la be asked for? Who is responsible for putting the permit ‘number on final professional documents Responsible Member produced by the company? |Who is held accountable when a permit The permit holder shouldhave an APEGA holder company outsources its design work Member sign-off on all outsourced design /and that design work is constructed and work i itis consumed within Alberta. The Used by the permit holder and it fails? permit holder is held accountable. MAPEGA regulation changes, who is, responsibie to implement these changes Responsible Member ‘within a permit holder company? be APEGA WHAT YOU NEED TO THINK ABOUT: * Ifyou are not able to answer the above questions correctly and require clarity, please contact APEGA. 92Key Messages wv + 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 WHAT YOU NEED TO KNOW: As the responsible member for a permit holder company, you are key in the group regulation within 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. 93Recommended changes to the Act, regulations, and by-laws Member and permit holder input is required Act to the GOA this year with approval in 2018 to 2019 timeframe WHAT YOU NEED TO KNOW: + APEGA is undergoing a Legislative Review. Visit the apega.ca website under Legislative Review (http://www.apegalegislativereview.ca/), + The regulation, standards, and codes will change as a result of this. Be informed about the recommendations and the potential impacts to permit holder companies and Professional members and provide your input. 94er Find and review your company’s PPMP Ensure correct title use Ensure correct authentication Ensure all Professional Members are informed about the Code of Ethics Ensure all RMs understand APEGA's expectations ¥ Share the information you learned today Be knowledgeable about the Legislative Review WHAT YOU NEED TO KNOW: + The above is a list of next steps. 95Contact Information a Jessica Vandenberghe, P.Eng.,M.Sc Director of Enforcement and Permits 1-800-661-7020 extension 2819 jessica vandenberghe@apega.ca Christina Borys Permits Coordinator 1-800-661-7020 extension 2815 permits@apega.ca Edmonton Head Office: 1-800-661-7020 or 780-426-3990 email@apega ca or visit www apega.ca B APEGA Baevows YouTube Channel WHAT YOU NEED TO KNOW: ‘+ APEGA is available if you have any questions or require clarification. + Asa 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 (httos://www.apega.ca/assets/PDFs/permit-seminar-declaration.pdf) and submit to permits@apega.ca, * Questions, clarifications, or feedback on this slide deck can be sent to permits@apega.ca or by contacting the Permits department at 1-800-661-7020, 96a CBC News, “Quebec doesn't trust engineers to regulate themselves”, July 8, 2016 + Engineers Canada, “Accredited engineering programs by institution’, 2014 PEGA, °Guideline for Professional Practice Management Plans’, V1.3, Sept 2006. + APEGA February 2013 PEG Magazine, “APEGA Discipline Committee Order Case No: 12-013-S0", February 28, 2013, + APEGA September 2011 PEG Magazine, “APEGA Discipline Committee Order Case No: 11-006-SO", May 27, 2011 97APEGA, “Continuing Professional Development Program April 2014 APEGA September 2010 PEG Magazine, "APEGGA Discipline Committee Order", Case No. 10-002-S0, 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 98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