Practice Standard for Relying on Work of

Others and Outsourcing

of Engineering and Geoscience

DRAFT V3.0
February 2020

The Association of Professional

Engineers and Geoscientists of Alberta

Please be advised this document is under review and is not a final version. The purpose of this
document is to inform and provide an opportunity to our members to consider the content. It is
our intention to inform our members of these proposed standards to engage in productive
dialogue and encourage professional feedback before finalizing and submitting the standard to
Council for approval.
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Table of Contents
1.0 OVERVIEW ....................................................................................................................................................... 6
1.1 PURPOSE ................................................................................................................................................................6
1.2 SCOPE ....................................................................................................................................................................7
1.3 DEFINITIONS ............................................................................................................................................................7
2.0 PROFESSIONAL RESPONSIBILITIES .................................................................................................................. 12
2.1 AUTHENTICATION OBLIGATIONS ................................................................................................................................12
2.2 ETHICAL OBLIGATIONS .............................................................................................................................................13
3.0 REQUIREMENTS FOR RELYING ON WORK OF OTHERS AND OUTSOURCING ................................................... 13
3.1 RELYING ON WORK OF OTHERS .................................................................................................................................13
3.1.1 Professional Work Products Prepared Under the Same Permit to Practice ...............................................13
3.1.2 Professional Work Products Prepared by Outsourced Entities...................................................................14
3.2 OUTSOURCING .......................................................................................................................................................14
3.2.1 Outsourcing to an APEGA Entity ................................................................................................................14
3.2.2 Outsourcing to a Non-APEGA Entity ..........................................................................................................15
3.2.3 Outsourcing for Specialized Professional Services to a Non-APEGA Entity ................................................16
4.0 OBLIGATIONS OF OUTSOURCING ENTITIES .................................................................................................... 16
5.0 REQUIREMENTS FOR AN OUTSOURCING PLAN .............................................................................................. 17
5.1 SCOPE OF THE WORK ..............................................................................................................................................17
5.2 DUE DILIGENCE IN SELECTING AN OUTSOURCED ENTITY .................................................................................................18
5.3 ASSIGNING COMPETENT LICENSED PROFESSIONALS AND RESPONSIBLE MEMBERS FOR AUTHENTICATION AND VALIDATION.........18
5.3.1 Due Diligence in Authentication and Validation of PWPs ..........................................................................18
5.3.2 Due Diligence in Procuring Specialized Professional Services ....................................................................19
5.4 COMMUNICATING ALL COMPLIANCE OBLIGATIONS .......................................................................................................19
5.5 ENSURING COMPLIANCE WITH QUALITY MANAGEMENT PROCESSES .................................................................................20
5.6 DETAILING THE MANAGEMENT OF CHANGE PROCESS ....................................................................................................20
5.7 IMPLEMENTING AN INTERFACE MANAGEMENT PROCESS ................................................................................................20
6.0 DIRECT SUPERVISION AND CONTROL ............................................................................................................. 20
6.1 ACTIVE INVOLVEMENT .............................................................................................................................................21
6.2 RESPONSIBILITY IN DECISION-MAKING ........................................................................................................................21
7.0 THOROUGH REVIEW ...................................................................................................................................... 21
7.1 ACCURACY AND VALIDITY OF THE WORK .....................................................................................................................22
7.2 ADHERENCE TO APPLICABLE REGULATORY REQUIREMENTS, STANDARDS, AND CODES..........................................................22
7.3 ADHERENCE TO QUALITY CONTROL AND ASSURANCE PROCESSES .....................................................................................23

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Document History

Date Version Revision Description

June 2018; V0.0 – V0.0 Draft for the SME Panel’s deliberations
V0.7.1
March 2019 V1.0 Draft for key stakeholders’ consultations and
review by the external SME Group

July 2019 V2.0 DRAFT for PSC, PRB, and PSTF review and
awareness

February 2020 V3.0 DRAFT for General consultation

V4.0 DRAFT for Council approval

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Preface
An APEGA professional practice standard describes the level of performance expected of APEGA
licensed professionals and permit holders. Although practice standards are not specifically
legislated, Part 8 (General) of the General Regulation under Sections 58 and 59 allows APEGA to
publish guides that define the expectations and professional obligations of APEGA permit
holders and licensed professionals. Licensed professionals must follow practice standards, which
establish acceptable practice. The differences between a professional practice standard, a
practice guideline, and a practice bulletin are as follows.
• A professional practice standard sets the minimum standard of practice permit holders
and licensed professionals must comply with in their professional practice. APEGA’s
statutory boards will assess a permit holder’s or licensed professional’s practice and
conduct against practice standards.
• A professional practice guideline advises permit holders and licensed professionals in
their professional practice and recommends best practices. APEGA statutory boards may
assess a permit holder’s or licensed professional’s practice and conduct against practice
guidelines.
A professional practice bulletin addresses a subject related to professional practice and remains
in force until a practice standard or a practice guideline on the subject is developed or until the
practice bulletin is rescinded by APEGA.

Contributors
APEGA thanks the following members for their time and commitment in developing this
practice standard:
David Clarke, P.Eng.
Les Harder, P.Eng.
Jennifer Kirby, P.Eng.
Ian MacKay, P.Eng.
Pal Mann, P.Eng.
Sheldon Schroeder, P.Eng.
Shreeram Sigdel, P.Eng.
James (Jim) Smith, P.Eng.
Donald Vokey, P.Eng.
Tony Yep, P.Eng.
Penny Colton, P.Geoph.
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Questions or suggestions concerning this document can be addressed to the:

Director of Professional Practice

APEGA
1500 Scotia One, 10060 Jasper Avenue
Edmonton, Alberta T5J 4A2

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1.0 OVERVIEW
Sections 3(2), 3(3), 6(2), and 6(3) of the Engineering and Geoscience Professions Act (the Act)
and sections 49 and 54 of the General Regulation require APEGA licensed professionals to
authenticate and accept professional responsibility only for professional work products (PWPs)
that were:
• prepared by the licensed professional themselves.
• prepared under the licensed professional’s supervision and control.
• prepared by others but thoroughly reviewed by the licensed professional.
In the practice of their professions, APEGA licensed professionals rely on professional services
and PWPs that have been prepared by others. Before they take professional responsibility for
these PWPs, the licensed professionals have obligations to exercise due diligence to ensure
reliability, validity, and technical accuracy of the PWPs.

The only mechanisms that the Act and General Regulation provide for the licensed professionals
to take professional responsibility are either through direct supervision and control during the
preparation of the PWPs or by thorough review of the PWPs.

These requirements apply regardless of whether the professional services are obtained
internally within a Permit to Practice or through outsourcing from an entity outside the Permit
to Practice.

1.1 Purpose
This professional practice standard helps APEGA licensed professionals comply with the
statutory requirements when relying on professional services provided by others. Specifically,
this standard details the requirements for providing supervision and control, and conducting a
thorough review. It specifies requirements for due diligence by licensed professionals and
permit holders when outsourcing professional services. It also helps the public understand the
obligations of APEGA licensed professionals and permit holders in authentication and validation
of PWPs imported into Alberta.

Licensed professionals must use due diligence and professional judgement to ensure their
professional practice conforms with the intent of this standard. Permit holders are expected to
document their processes and protocols for managing outsourced professional services in their
Professional Practice Management Plans (PPMP) to ensure that their outsourcing practice
complies with the intent of this standard.

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1.2 Scope
This practice standard specifies the professional obligations and due diligence requirements
when:

• APEGA licensed professionals rely on the professional services prepared by others.

• APEGA permit holders or licensed professionals outsource professional services to
others.

This standard combines and replaces three guidelines:

• Relying on Work Prepared by Others v1.1 (March 2013).
• Determining the Need for Professional Involvement in Outsourced Engineering v.1.1
(March 2013).
• Determining the Need for Professional Involvement in Outsourced Geoscience v.1.1
(March 2013).

The following APEGA documents support this standard:

• The Engineering and Geoscience Professions Act and General Regulation (April 2012).
• Practice Standard for Authenticating Professional Work Products (June 2019).
• Guideline for Ethical Practice v2.2 (February 2013).
• Guideline for Professional Practice v1.2 (January 2013).
• Guideline for Professional Practice Management Plans v 1.4 (February 2013).

1.3 Definitions
For the purposes of this standard, the below terms and definitions apply. These terms are
italicized throughout the text.

APEGA or Regulator
The Association of Professional Engineers and Geoscientists of Alberta.

APEGA Entity
An APEGA licensed professional or an APEGA permit holder.

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APEGA Licensed Professional (Licensed Professional)

A professional engineer, professional geoscientist, professional licensee (engineering),
professional licensee (geoscience), licensee (engineering), licensee (geoscience) entitled by the
Act to practise engineering or geoscience in Alberta.

Authentication (Physical and Digital)

Authenticating a professional work product (PWP) means an APEGA licensed professional has
completed or reviewed the work and accepts professional responsibility for the engineering or
geoscience involved.
Authentication can be physical (for original, physical PWPs) or digital (for electronic or digital
PWPs).
Following the requirements of Section 54(3) of the General Regulation, authentication has
three distinct pieces, adapted to include technological advances:
• a physical ink impression or electronic image of the licensed professional’s stamp.
• the licensed professional’s handwritten signature (for physical authentication) or an
electronic image of the handwritten signature accompanied by the digital signature (for
digital authentication).
• the authentication date, handwritten or inserted electronically and digitally.

Direct Supervision and Control

The high degree of guidance a licensed professional provides to one or more subordinates. The
licensed professional accepts professional responsibility for engineering or geoscience tasks
performed by the licensed professional’s subordinates.
Direct supervision and control include:
• assessing subordinates’ experience levels, qualifications, and competencies when
delegating engineering or geoscience tasks.
• overseeing subordinates’ engineering or geoscience tasks.
• providing basic and general guidance on engineering or geoscience tasks.
• taking responsibility for engineering or geoscience decisions involving subordinates’
work.
• reviewing subordinates’ professional services outputs (see Professional Services Output).
Direct supervision and control requirements are detailed in Section 6.0.

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Discipline
A specific field of practice within a profession (e.g., electrical engineering, mechanical
engineering, geology, geophysics).

Due Diligence
The level of judgement, care, forethought, and determination a person reasonably uses to
avoid harming oneself, other people, property, or the environment.

Engineered Goods
Any goods designed, used, or produced using engineering services, falling into one of two
categories:
1. Commercially engineered goods or commercial off-the-shelf engineered goods
These are commercial goods for which there is public confidence of them being
designed by competent and qualified persons and manufactured in compliance with
recognized Canadian or international regulations, codes, or specifications. They are
certified by a recognized technical, regulatory, or legal body (e.g., CSA Group standards).
Commercially engineered goods are usually packaged with a complete user manual,
specifications, and assembly and safety instructions. If a commercially engineered good
is used in a way that deviates from the published specifications, it becomes a
customized engineered good.

2. Customized engineered goods

These are goods, designed by licensed engineers, for which no applicable Canadian or
international regulations, codes, or specifications govern the entire design or
manufacture of the product. The designer usually provides a user manual with
specifications, and safety and assembly instructions.

Integrity (of a Professional Work Product)

The ability to verify that a PWP’s information has not changed since authentication and that the
way it is stored provides the stability and longevity to protect, keep, and retrieve the PWP and
its authentication information.

Non-APEGA Entity
An individual or company not licensed by APEGA to practice engineering or geoscience in
Alberta. Non-APEGA entities are not permitted to practice independently within Alberta.

Outsourcing
Procuring professional services from an individual or entity not practicing under the outsourcing
entity’s Permit to Practice.

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Outsourcing Entity
The APEGA permit holder or licensed professional that is procuring outsourced professional
services. An outsourcing entity procures professional services from an outsourced entity.

Outsourced Entity
The APEGA licensed professional, permit holder, or non-APEGA entity that is providing
professional services and professional work products (PWPs) to an outsourcing entity. An
outsourced entity provides professional services to an outsourcing entity.

Outsourcing Plan
A plan for procuring outsourced professional services. Outsourcing plan requirements are
detailed in Section 5.0.

Permit Holder
A partnership, association, or corporation that holds a Permit to Practice as defined in Section
48(1)(d) of the General Regulation under the Act. The Association of Science and Engineering
Technology Professionals of Alberta (ASET) permit holders, as defined in Section 86(4) of the
Act, are not included.

Permit to Practice
An APEGA licence given to permit holders to practise engineering or geoscience in Alberta.

Professional Practice Management Plan (PPMP)

A permit holder’s written corporate policies, procedures, and systems describing the quality
control and assurance measures in place to ensure appropriate standards of professional
practice are maintained. Maintaining an up-to-date PPMP is a legal obligation of holding a
permit to practice as described in Section 48(1)(d) of the General Regulation.

Professional Services
For APEGA’s purposes, professional services are provided by licensed professionals and permit
holders to clients, or by employees to an employer. The products of professional services are
called outputs. In this standard, there are two types of professional services:
• engineering services provided by a licensed engineering professional (as defined in
Section 1(q) of the Act).
• geoscience services provided by a licensed geoscience professional (as defined in
section 1(r) of the Act).

Professional Services Output (or Output)

A professional services output is any product created by a licensed professional or anyone
under the licensed professional’s direct supervision and control. For the purpose for this
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practice standard, outputs can be physical, electronic, or digital and can be delivered through
traditional methods, such as by mail, or electronically through computers, tablets, personal
digital assistants, cell phones, voicemails, emails, teleconferencing, videoconferencing, or SMS
(text). Not all outputs require authentication and validation.

Professional Work Product

A professional work product (PWP) is an output that requires authentication and validation.
Defined in the General Regulation as “…plans, specifications, reports, or documents of a
professional nature,” a PWP is any output of professional services with technical information
relied upon by others, internally or externally, to make a decision or to take action. A PWP can
be physical (e.g., paper, plastic film), electronic (e.g., electronic document, image), or digital
(e.g., software, modelling, simulation, or any other computer application that cannot be
reproduced in a physical or electronic format). See the authentication test in the APEGA
Practice Standard for Authenticating Professional Work Products when assessing whether an
output is a PWP.

Responsible Member
As specified in Part 7, Section 48(1)(c) of the General Regulation, a Responsible Member is an
APEGA licensed professional who is responsible for direct personal supervision of the practice of
engineering or geoscience by the permit holder. A Responsible Member must be qualified by
education and experience in the field of engineering or geoscience in which the partnership
corporation or other entity intends to engage, must be designated in writing by the permit
holder, and must be registered with APEGA as a Responsible Member.
The Responsible Member must have a sufficiently close relationship with the permit holder to
undertake the roles and responsibilities associated with acting as a Responsible Member.
A Responsible Member can be:
• a full-time, permanent employee of the permit holder;
• a member of the permit holder;
• a sole practitioner; or
• an individual providing professional services to the permit holder through a contractual
arrangement or as a part time employee.
The permit holder’s Responsible Members direct, supervise, and control all or part of a permit
holder’s professional practice in accordance with the permit holder’s Professional Practice
Management Plan (PPMP) and all relevant legislation, regulations, and codes.

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Thorough Review
A thorough review is an evaluation of the outputs of professional services prepared by others to
verify their reliability, validity, and technical accuracy. Thorough review requirements are
detailed in Section 7.0.

Validation (Physical and Digital)

Professional work product (PWP) validation means a permit holder’s Responsible Member has
reviewed the PWP to ensure it meets the quality control and assurance measures described in
the permit holder’s Professional Practice Management Plan.
Validation includes physical validation (for original, physical PWPs) and digital validation (for
electronic or digital PWPs).
Validation consists of:
• the permit holder’s name and Permit to Practice number;
• the Responsible Member’s handwritten signature (for physical validation) or an
electronic image of the Responsible Member’s handwritten signature with the
Responsible Member’s digital signature (for digital validation); and
• the date the Responsible Member validated the PWP, either handwritten or inserted
electronically or digitally.

2.0 PROFESSIONAL RESPONSIBILITIES

2.1 Authentication Obligations

Section 54 of the General Regulation requires licensed professionals to authenticate
professional work products (PWPs) that they have prepared directly, that were prepared under
their direct supervision and control, or that were prepared by others, but they have thoroughly
reviewed. The legislative obligation to authenticate overrules any contractual agreements
between a permit holder or licensed professional and a client or employer.

The authentication requirement is applicable whether professional services are performed

within the Permit to Practice of a permit holder or outsourced to others outside of their Permit
to Practice. APEGA’s Practice Standard for Authenticating Professional Work Products describes
the requirements and processes for authentication and validation of PWPs.

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By authenticating a PWP, the licensed professional accepts professional responsibility for it.
Authentication also implies the PWP was completed according to APEGA’s Code of Ethics and
Rules of Conduct.

2.2 Ethical Obligations

It is the professional obligations of licensed professionals and permit holders to ensure that
their professional practice conforms with the intent of the Act and General Regulation, bylaws,
and APEGA standards and bulletins. In addition, they have obligations to comply with all other
applicable statutes, regulations, bylaws, standards and codes in their practice of the
professions.
The conduct of APEGA licensed professionals and permit holders must always comply with
APEGA’s Code of Ethics and Rules of Conduct. Detailed descriptions of the five Rules of Conduct
and their applicability can be found in APEGA’s Guideline for Ethical Practice.
As an obligation of self-regulation, APEGA licensed professionals and permit holders must advise
APEGA of any entities or individuals who fail to meet the obligations of any APEGA standard.

3.0 REQUIREMENTS FOR RELYING ON WORK OF OTHERS AND

OUTSOURCING

3.1 Relying on Work of Others

3.1.1 Professional Work Products Prepared Under the Same Permit to Practice
• APEGA Licensed professionals can rely on authenticated and validated professional work
products (PWPs) produced by other licensed professionals under the same Permit to
Practice without any additional requirements to prove due diligence.
• When APEGA licensed professionals rely on PWPs prepared by others who do not hold
APEGA licenses but work under the same Permit to Practice, the licensed professionals
who are taking professional responsibility for the PWPs must either provide direct
supervision and control during the preparation of the PWPs as specified in Section 6.0,
or conduct a thorough review of the PWPs as specified in Section 7.0.

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3.1.2 Professional Work Products Prepared by Outsourced Entities

All PWPs produced by outsourced entities must be authenticated and validated by APEGA
licensed professionals as per APEGA’s Practice Standard for Authenticating Professional Work
Products.

• When outsourcing professional services to an APEGA entity, the outsourcing entity can
rely on authenticated and validated PWPs produced by the APEGA entity. However, they
must exercise and document due diligence as described in Section 3.2.1 of this standard.
• When outsourcing professional services to a non-APEGA entity, the outsourcing entity
must develop and execute an outsourcing plan for each professional service to be able
to rely on the PWPs produced by the non-APEGA entity. The outsourcing plan shows
documented due diligence while procuring professional services from the non-APEGA
entity. The outsourcing plan requirement is described in Section 3.2.2.

3.2 Outsourcing
All outsourcing falls under one of the following two scenarios:
1. outsourcing to an APEGA entity.
2. outsourcing to a non-APEGA entity.

3.2.1 Outsourcing to an APEGA Entity

An outsourcing entity that outsources professional services to an APEGA entity must document
their due diligence to ensure that the professional services rendered will meet or exceed the
professional practice quality control and assurance process specified in the outsourcing entity’s
Professional Practice Management Plan (PPMP).

The due diligence must include:

I. The process for selecting an outsourced entity, including:

• the outsourced entity’s competency to provide professional services of the required
standard and quality in the defined scope of practice.
• the outsourced entity’s previous experience in delivering similar professional
services.
• the outsourced entity’s professional and ethical reputation.
• the outsourced entity’s quality control processes, including authentication and
validation, procurement, management, and quality control of any subsequent
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outsourcing or subcontracting related to the defined scope of outsourced work. All

this information can be verified by reviewing the outsourced entity’s PPMP.
II. Communication of all compliance obligations: the outsourcing entity must
communicate and ensure that the outsourced entity fully understands all compliance
obligations, including:
• relevant statutes, regulations, bylaws, standards, and codes, and
• project specific requirements, such as necessary regulatory approvals or permits.
III. Compliance with quality management processes: the outsourcing entity must ensure
that the outsourced entity meets or exceeds the quality control and assurance process
defined in the outsourcing entity’s PPMP.
IV. The management of change process: the outsourcing entity must document a process
for managing design changes to ensure technical changes made to previously
authenticated PWPs are authenticated and validated by APEGA licensed professionals
and Responsible Members, respectively. This is particularly important during the field
implementation of the PWPs.

If multiple outsourced entities are involved in a larger project, the outsourcing entity must also
document and follow an overall interface management process to ensure integrated systems
meet applicable requirements and specifications.
V. The interface management process must include:
• Definitions of the responsibilities of each outsourced entity involved in the project.
• a process for communication of change protocols to manage changes in each
outsourced entity’s scope of work that may affect another outsourced entity’s work.
• a process for integrating the PWPs to the extent required by a specific project. The
outsourcing entity must manage the process.

3.2.2 Outsourcing to a Non-APEGA Entity

Outsourcing entities who acquire professional services from a non-APEGA entity must develop
an outsourcing plan for each outsourced professional service as specified in Section 5.0.
In all cases, outsourcing entities must ensure that all resulting PWPs are authenticated by
APEGA licensed professionals and validated by Responsible Members under a Permit to Practice
or licence according to the APEGA Practice Standard for Authenticating Professional Work
Products.

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3.2.3 Outsourcing for Specialized Professional Services to a Non-APEGA Entity

An outsourcing entity may have to obtain specialized professional services, which may include
customized engineered goods or proprietary technologies, from a non-APEGA entity without
having the in-house expertise to authenticate and validate the PWPs. Regardless, the
outsourcing entity must ensure that APEGA licensed professionals have authenticated and taken
professional responsibility for such PWPs and Responsible Members have validated the PWPs.
See Section 5.0 for further guidance on this requirement.

4.0 OBLIGATIONS OF OUTSOURCING ENTITIES

Outsourcing entities must understand that licensed professionals are ethically and
professionally accountable for their actions under the Act and General Regulation. APEGA’s
Code of Ethics and Rules of Conduct are also applicable to permit holders.

APEGA Practice Standard for Authenticating Professional Work Products outlines the obligations
outsourcing entities have when authenticating and validating PWPs. Additionally, for all
outsourced professional services, outsourcing entities must:
I. exercise and document due diligence to ensure the professional services rendered by
APEGA entities meet or exceed quality standards defined in outsourcing entity’s
Professional Practice Management Plan (PPMP), as specified in Section 3.2.1.
II. prepare and execute an outsourcing plan for each professional service rendered by a
non-APEGA entity, as described in Section 5.0 of this standard.
III. establish and foster a healthy professional practice environment that allows licensed
professionals to fulfill their professional obligations. This includes:
• providing licensed professionals enough time and resources to provide direct
supervision and control or conduct a thorough review before authenticating a PWP.
• ensuring licensed professionals are not pressured to authenticate PWPs they
consider to be unfit for the intended purpose.
• ensuring Responsible Members take necessary steps to mitigate concerns raised by
licensed professionals about their ability to authenticate PWPs.
IV. designate experienced and competent licensed professionals and Responsible Members
to oversee the preparation and execution of the outsourcing plan when professional
services are being outsourced to non-APEGA entities.
V. ensure the designated Responsible Members or licensed professionals fully understand
the requirements of this standard, and all applicable statutes, regulations, bylaws,
standards, and codes.
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VI. ensure the designated Responsible Members or licensed professionals follow the
requirements outlined in the permit holder’s outsourcing plan and the PPMP for all
outsourced professional services.

5.0 REQUIREMENTS FOR AN OUTSOURCING PLAN

When an APEGA entity outsources professional services to a non-APEGA entity, it must develop
an outsourcing plan for each professional service. The documented plan must address the
following:

1. Scope of the work.

2. Due Diligence in Selecting an Outsourced Entity.
3. Assigning Competent Licensed Professionals and Responsible Members for
Authentication and Validation.
4. Communicating All Compliance Obligations.
5. Ensuring Compliance with Quality Management Processes.
6. Detailing the Management of Change Process.
7. Implementing an Interface Management Process.

5.1 Scope of the Work

The outsourcing plan must clearly define the scope of the professional service that is to be
outsourced to non-APEGA entities. The plan must include:
I. a description of the required professional service, including all technical and functional
requirements.
II. a description of the project work scope boundaries, including whether the outsourced
entity is permitted any subsequent outsourcing.
III. a list of the professional work products (PWPs) that will be completed by the outsourced
entity.
IV. a list of the documents or parts of work that the outsourced entity is to rely on, including
those provided by the outsourcing entity such as preliminary engineering work prepared
by others.
Although the scope of work may already be specified in a procurement contract, a separate
outsourcing plan is required to address the management and control of quality standards of
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specific professional services to be completed by a non-APEGA entity outside of the Permit to

Practice.

5.2 Due Diligence in Selecting an Outsourced Entity

Outsourcing entities procuring professional services from non-APEGA entities must exercise and
document their due diligence in selecting an outsourced entity. The selection process must
include the outsourced entity’s:
I. competency to provide professional services of the required standard and quality in the
defined scope of work.
II. previous experience in delivering similar professional services.
III. professional and ethical reputation.
IV. quality control and assurance processes for performing engineering or geoscience work.
V. knowledge of Alberta and Canadian statutes and regulations, APEGA standards, and all
other applicable statutes, regulations, bylaws, standards, and codes.
VI. plan for the procurement, management, and quality control of any further outsourcing
or subcontracting of professional services related to the defined scope of outsourced
work.

5.3 Assigning Competent Licensed Professionals and Responsible

Members for Authentication and Validation

5.3.1 Due Diligence in Authentication and Validation of PWPs

The outsourcing entity must assign licensed professionals and Responsible Members to oversee
the outsourced professional services and ensure proper authentication and validation of PWPs
imported into Alberta.

The assigned licensed professionals must be experienced and competent in engineering or

geoscience within the scope of the professional services being outsourced. They must be aware
of the factors affecting the project such as relevant design criteria, design constraints, Canadian
climatic conditions, analysis methods and options, selection of materials and systems, field
operating conditions, environmental and regulatory considerations, project commitments, and
all applicable statutes, regulations, bylaws, standards, and codes.

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5.3.2 Due Diligence in Procuring Specialized Professional Services

When an outsourcing entity does not have the in-house expertise to take professional
responsibly for the PWPs produced by a non-APEGA outsourced entity, the outsourcing entity is
still responsible for providing adequate due diligence to ensure that APEGA licensed
professionals are authenticating and validating the PWPs. The due diligence must show how the
outsourcing entity is relying on the work prepared by the outsourced entity and what measures
were put in place to ensure that safety of the public, infrastructure, assets, and environment
are not put at risk due to the use of the PWPs in Alberta.

The outsourcing entities can demonstrate such due diligence by using one of the following
approaches:
I. providing training to licensed professionals working for the outsourcing entity to enable
them to authenticate the PWPs.
II. having the outsourced entity obtain a Permit to Practice from APEGA so that it can
deliver authenticated and validated PWPs.
III. Outsourcing the authentication and validation of PWPs to another APEGA entity who
has appropriate expertise, and can take professional responsibility for the PWPs.
IV. Utilizing a service from a recognized subject matter expert anywhere in the world, who
may not be a licensed professional, but is recognized in the specific scope of practice in
engineering or geoscience. With the help from the subject matter expert, a licensed
professional can then conduct a thorough review to verify the reliability, validity, and
technical accuracy of the PWPs, and take professional responsibility. Documentation of
this due diligence must be kept.

5.4 Communicating All Compliance Obligations

The outsourcing entity must ensure the outsourced entity understands and meets all
compliance obligations, including:
• all applicable statutes, regulations, bylaws, standards, and codes.
• environmental, regulatory, and permitting requirements.
• local design conditions and constraints.

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5.5 Ensuring Compliance with Quality Management Processes

The outsourcing entity must document the due diligence undertaken to ensure that PWPs or
services procured from non-APEGA entities meet or exceed the quality management standards
specified in the outsourcing entity’s Professional Practice Management Plan (PPMP).

5.6 Detailing the Management of Change Process

A process for managing design changes that affect the PWPs produced by the outsourced entity,
which is a non-APEGA entity, must be outlined. This ensures that APEGA licensed professionals
are appropriately taking professional responsibility of any design changes made to previously
authenticated PWPs. This is particularly important during the field implementation of the
PWPs.

5.7 Implementing an Interface Management Process

Where multiple outsourced entities are engaged in a project, an interface management process
must be in place to mitigate the risk of errors. The following must be specified:
I. responsibilities of the outsourcing entity.
II. responsibilities of each outsourced entity.
III. protocols to manage changes in scope of work of each outsourced entity that may affect
another outsourced entity’s work.
IV. the procedure for integrating multiple PWPs as required.
The outsourcing entity must manage the process to ensure the integrated system meets all
applicable requirements and specifications.

6.0 DIRECT SUPERVISION AND CONTROL

When relying on professional services provided by others and taking professional responsibility
for professional work products (PWPs), the APEGA licensed professionals who supervise and
control such work must be fully aware of the work, and be directly and actively involved in the
preparation of the PWPs.
To comply with the intent of the Act and General Regulation, a licensed professional must use
due diligence in providing direct supervision and control to ensure:
1. active involvement.
2. responsibility in decision-making.

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Documented evidence of these elements must be kept.

6.1 Active Involvement

The licensed professional must demonstrate active involvement through ongoing interaction
and input to the professional engineering or geoscience work conducted by others. This means:
I. directing, monitoring, and controlling the work activities of others. While direction may
be satisfied by active involvement in the initial stages or concept development,
monitoring and controlling implies an awareness of the activities and work throughout
the lifespan of the work.
II. establishing scope of work, duties, responsibilities, and authorities of the subordinates,
and defining limitations with respect to acting alone.
III. maintaining regular and ongoing communication with subordinates.
IV. identifying and rectifying any gaps in competencies of subordinates.
V. completing periodic documented reviews of work done by others to ensure that the
resulting PWPs meet the desired quality standard requirements.

6.2 Responsibility in Decision-Making

The licensed professionals are responsible for all technical engineering or geoscience decisions
related to the work. Before making decisions, they must:
I. document and review relevant issues.
II. direct technical changes as required.
III. be available to answer questions, and review and approve decisions made by
subordinates.

7.0 THOROUGH REVIEW

Before taking professional responsibility for a Professional Work Product (PWP) prepared by
others, an APEGA licensed professional must conduct and document a thorough review. To
comply with the intent of the Act and General Regulation, a licensed professional must use due
diligence in conducting a thorough review to ensure:
1. Accuracy and validity of the work.
2. Adherence to applicable regulatory requirements, standards, and codes.
3. Adherence to quality control and assurance processes.

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7.1 Accuracy and Validity of the Work

The accuracy and validity of the PWPs must be confirmed by reviewing:
I. the scope of the work, including work done by any other entities involved.
II. the design basis and design conditions, including necessary risk assessments and
mitigation strategies.
III. all assumptions, limitations, and expressed caveats.
IV. all applicable design and supporting calculations.
V. the appropriate materials, methods of construction, and assembly or modular details, as
applicable.
VI. the integrity and validity of the multiple work products incorporated into an integrated
design or used in the professional service or PWP, including work done by
subcontractors.
VII. the software tools used in the PWP’s preparation, if applicable.
VIII. the inter-disciplinary reviews to ensure that the work prepared by any one discipline
meets the input requirements for another discipline.
IX. the suitability of the work for its intended purpose and local environmental conditions,
including constructability and operational checks to confirm that the PWPs can be used
as intended and will perform under expected conditions.
X. health, safety, and environmental reviews to ensure that the PWPs will be safe in
operation and will not have an adverse impact on people, assets, infrastructure, and
environment.

7.2 Adherence to Applicable Regulatory Requirements, Standards, and

Codes
A thorough review must ensure compliance with applicable regulatory requirements, standards,
and codes. At a minimum, this includes:
• the Act and General Regulation, and APEGA practice standards.
• all other applicable statutes, regulations, bylaws, standards, and codes.
• contractual provisions to meet project specific regulatory approvals or permit
requirements.

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7.3 Adherence to Quality Control and Assurance Processes

Quality control and assurance must be completed by verifying at least the following:
• that PWPs meet or exceed the standards for quality control and assurance processes
defined in the outsourcing entity’s Professional Practice Management Plan (PPMP).
• the clarity, readability, consistency, and completeness of the deliverables.

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