Permit to Practice

The Corporate Licence

Jessica Vandenberghe, P.Eng., M.Sc.
Director of Compliance

AGENDA

APEGA

Professionalism

The Permit

The COO

The Responsible Member

The Professional Practice Management Plan

Professional Documents
Run time is approximately 35 minutes

APEGA

Mission Statement
We serve the public interest

by regulating the practices of engineering and geoscience

in Alberta,

by providing leadership for our professions, and,

by upholding our members in their professional practices.

APEGA (2)

The fundamental purpose of professional legislation

is to regulate professions in the public interest.
Principles and Policies Governing Professional
Legislation in Alberta - 1990

In many firms, APEGA members are the only

obligated professionals who must act as the
companys conscience in matters that affect the
public interest

Self-Governance

Self-governance is a privilege delegated to a

profession only when the public interest is
served by doing so, and when the advantages
clearly outweigh the disadvantages.
Principles and Policies Governing Professional
Legislation in Alberta 1990

Elected Council

Regulatory Committees staffed by volunteer

Professional Members

Government-appointed Public Members

Professionalism

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

Professionalism (2)
Characteristics of a Profession

advanced / specialized knowledge

intensive study and preparation

continued professional development

good judgement

high standards

leadership

ethical conduct

duty to protect the public interest

Arch of Professionalism

Professionalism (4)

Public Interest
How do you know what is in the public interest?
This is not always clear-cut:
1.

identify the stakeholders

2.

seek a variety of views and work to genuinely

understand them

Professionalism (5)
Public Interest many facets

Risk to safety (immediate, direct consequences)

Health effects (longer term or cumulative effects)

Environmental impacts and resource conservation (sustainable

development)

Socio-economic impacts

Public acceptability

Technical feasibility and operating reliability

Impact of related projects (e.g. pipelines or electricity generation plants)

Future project opportunities enabled or blocked

Corporate profitability (shareholders)

Professionalism (6)

Aids to Ethical Decision Making

Internal Moral Compass taught by family, school, church

Ethics Theories the philosophies

Code of Ethics peer developed code

Case Studies APEGA Learning Module

Decision Making Methodology

Peers

APEGA

Professionalism (7)

Links the right to practice with the responsibility for practice.

Maintains an ethical and professional approach to practice.

Continually upgrades practice standards to protect the public.

Continuously improves to cope with increasingly complex

demands.

The Permit to Practice

Definitions

Permit to Practice (the licence)

Issued to all partnerships, incorporated companies or joint ventures

practicing the professions in Alberta, including Individually
Incorporated Practitioners (IIPs)

Not issued to Sole Proprietors

Permit holder (the company)

Chief Operating Officer (overall responsibility)

Responsible Member (responsibility for professional

practice)

The Permit to Practice (2)

The Rationale

Corporations are separate legal entities

from the professionals working within
them

Regulates group practice

Provides a single point of contact for both

regulatory and non-regulatory issues

The Permit to Practice (3)

History

1968 - consultants only

1981 - expanded to included operating companies

early 1990s - explore how to add value by focusing

on quality management and addressing concerns of
Individually Incorporated Practitioners (IIPs)

The Permit to Practice (4)

Recent Changes

Mandatory Permit stamp no longer required

Change in fees structure

increased to 150% of Professional Member dues

first years dues included in registration fees

reduction for IIPs

Pro-active Practice Reviews

Professional Practice Guideline

Professional Practice Management Plan (PPMP)

Mandatory seminars

The Chief Operating Officer

Assumes overall responsibility and must:

sign permit application

jointly with RMs, maintain organization in which the practice of the

professions can be conducted in accordance with the Act &
Regulations

ensure all practicing Engineers, Geologists & Geophysicists are

licensed

ensure titles are assigned appropriately

ensure company standards at least meet the professions

standards

ensure permit number and member stamps are on all

professional documents

The Chief Operating Officer (2)

And must:

surrender stamp and certificate if there are no qualified

RMs

pay dues & submit Annual Report

submit changes to COO and RMs when available or

annually as per Annual Report

assure at least one RM for each profession

ensure the company has a PPMP and that it is being

followed

ensure a RM or COO attends Permit to Practice Seminar

at least once every 5 years

The Chief Operating Officer (3)

And should foster professionalism by:

establishing policies that align organizational needs with professional

responsibilities;

eliminating policies that bring professional responsibilities into conflict

with organizational needs;

encouraging professionals to volunteer with APEGA or other

professional groups;

supporting Continuing Professional Development;

displaying, jointly with RMs, a positive attitude to regulation and to the

role that APEGA plays;

providing support for RMs professional recommendations (see RMs).

The Responsible Member

Assumes responsibility for a specific, assigned area of
practice within the company and must:

jointly with the COO, maintain organization in which the practice of the
professions can be conducted in accordance with the Act & Regulations

ensure all practicing Engineers and Geoscientists are licensed

ensure titles are assigned appropriately

ensure company standards at least meet the professions standards

ensure permit number and member stamps are on all professional

documents

The Responsible Member (2)

And must:

ensure quality is managed by implementing the companys

Professional Practice Management Plan. He/she will:

provide responsible direction

personal supervision

but need not necessarily:

take personal responsibility for the technical content

advise COO and APEGA when responsibility is

relinquished

The Responsible Member (3)

The RM should foster professionalism by:

recommending that the company has an evaluation system and

development plan for all professionals (including contract
employees)

encouraging the employment of MITs

Supporting Continuing Professional Development

recommending that the company uses qualifications based

selection for awarding professional services contracts

recommending a peer review of the companys professional

practices

The Responsible Member (4)

The RM should model professionalism in the

workplace by supporting:

Council elections

APEGA surveys & ballots

Employee Professional Development

Summit Award nominations

Volunteering for APEGA

A positive attitude toward regulation and the role that APEGA

plays

The Responsible Member (5)

If you dont think you are in a position

to carry out these responsibilities,
then you should review your role as
a Responsible Member.

Professional Organization

How many Responsible Members

are enough?
See the Practice Standard for
Authenticating Professional
Documents - Appendix A-1

Quality Management
Involves:

Providing proper conditions

Maintaining the appropriate level of competence

Assuring effective management of technical

quality

Ensuring effective project management

Maintaining appropriate records.

Professional Practice Management Plan

Required by the EGGP Act since April 2002

Guideline approved by Council in September 2003

1.

Management, Organization and Responsibilities

2.

Ethical Standards

3.

Professional and Technical Resources

4.

Quality Control

5.

Professional Documents and Records

Professional Practice Management Plan (2)

Professional Practice Management Plan

Management, Organization and Responsibilities

Statement of policy on Professional Practice

Management

Identification of COO and Responsible Members

and their authorities

Organizational structure

Lines of Technical Responsibility

Professional Practice Management Plan (3)

Professional Practice Management Plan

Ethical Standards
Acknowledges the Permit Holders obligation to
provide a working environment that ensures:

Standards of professional conduct

Standards of technical competence

Support of professional employees in discharging

their legal and ethical duties under the EGGP Act

Professional Practice Management Plan (4)

Professional Practice Management Plan
Professional and Technical Resources

Policies on hiring

Inventory of expertise/competencies

Methods of assessing and reviewing employees skills

Reference materials

Standard company forms

Information Technology policy

Appropriate computer hardware/software

Necessary lab/testing equipment

Professional Practice Management Plan (5)

Professional Practice Management Plan

Quality Control - Professional Business Practices

Corporate Strategy

Confidential material

Dispute / conflict resolution

Advertising and promotion

Contract negotiation, including sample contracts

Coordination and teamwork

Loss Control and Risk Management

Formal QA Plans (e.g. ISO 9001)

Professional Practice Management Plan (5)

Professional Practice Management Plan

Quality Control Technical Work

Due Diligence requirements

Training

Assumptions

Independent checks

Professional Practice Management Plan (5)

Professional Practice Management Plan

Quality Control Project Management

Cost Estimates & Expenditures

Project Management Systems

Changes / Progress Payments / Reviews

Field Reviews

Professional Practice Management Plan (6)

Professional Practice Management Plan
Professional Documents and Records

Identifying which documents need control

Preparing, reviewing, issuing, using, and revising documents

and records

Responsibility for authentication

Managing and maintaining documents and records

Ensuring compliance with applicable codes and standards

Records of communication

Professional Documents
What constitutes a Professional Document?

Practice Standard for Authenticating

Professional Documents v2.0

A professional document has two main

characteristics:
1. It

contains technical information

2. It

is complete for its intended purpose

Professional Documents (2)

Two marks are required for proper authentication

APEGA Members professional stamp

Attests to the members involvement in the creation of the document:

Creation

Supervision

Thorough review

APEGA Permit Number

Attests to the fact the work has gone through the QC process
specified in the PPMP

Liability and Responsibility

The Courts role is to determine liability

A properly written PPMP may help

demonstrate due diligence in a civil law suit

APEGAs Role Professional Responsibility

Recommended Reading

For further details please refer to the

Guideline for Professional Practice Management Plans
and the
Practice Standard for Authenticating Professional
Documents
Available as free downloads from
APEGAs website (www.apega.ca)

Next Steps

As a minimum:

Ensure your company is using reserved titles

appropriately

Ensure your employees who are qualified are

licensed

Ensure your company is following the

professional standards developed by APEGA

Next Steps (2)

Ensure your Professional Practice

Management Plan:

Is in place

Is being followed

Addresses communications and record keeping

Ensure you are authenticating all of your

professional documents

Next Steps (3)

Complete the Permit to Practice Seminar

Declaration, available on the website, and
submit it to APEGA for credit

While completing this electronic version of the

seminar satisfies your statutory requirement
for attendance, you are encouraged to attend
a live seminar should your schedule permit.

Final Thoughts

As a COO and / or a Responsible

Member, you are obligated to assist
APEGA in ensuring the practices of
Engineering and Geoscience in your
firm are conducted in accordance with
the Act and Regulations.

Final Thoughts

As a COO and / or a Responsible

member, APEGA is also asking you to
take on a greater role in the promotion
of professionalism within your firms.

Final Thoughts

Just as the APEGA Council, Boards and

Committees are an integral part of how
the professions are managed, so too are
the COOs and Responsible Members.

Final Thoughts

As Partners in the Professions, you play a key

role in enabling APEGA to regulate enhance,
and provide leadership in the professions.

Questions?

Please direct all your questions regarding

the Permit to Practice, your Professional
Responsibilities, and this seminar to
Jessica Vandenberghe, P.Eng., M.Sc.
Director of Compliance
APEGA
(780)426-3990 or 1(800)661-7020
jvandenberghe@apega.ca
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