2011 CAPF Professional Workshop Professional Sign-offs

2011 CAPF Professional Workshop

Professional Sign-offs

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1- Why Authentication/Validation 2- Annex 2 – RFP Validation 3- Approval Process4- Compliance Assurance5- Authentication Policy

Professional Sign-offs

Why Authentication/Validation?

Professional Work Forestry Professional Code of Ethics Standards of Practice Professional integrity

Authentication / Validation

Authentication Policy

Validation (Annex 2)

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Annex 2 - RFP Validation

Definition RFP

Regulated Forestry Professional

Regulated member

College of Alberta Professional Foresters

College of Alberta Professional Forest Technologists

RPF or RPFT only

RFP Role

RFPs must submit work (Annex 2)– Work done by RFP or others

Exemption – Companies harvesting less than 30,000 m3 annually from public land

Validating Work– Sign, professional title (RPF, RPFT),

registration number– Stamping (professional seal) and signing

Why RFP Validation?

Assurance that work is– completed by qualified professionals– prepared with due diligence– Accurate (done by RFP or others)

Complete and accurate “auditable” records are kept

Due Diligence

Desired outcome achieved

Negative consequence minimized

Completeness

Conclusions

Procedures followed

(e.g. SOP, checklists)

Records kept (and retrievable)

Complete and Accurate

Free of errors or omissions

Submitted on time

Prompt notification and correction

Readily understood

Complete documentation

Responsibility and Accountability

Industry and Government RFPs– meet standards– work they oversee, complete and

submit Government RFPs

– complete accurate and timely reviews– direction or corrective action

Accountability is not transferred

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Approval Process

Two Approval Processes

- Appraisal

- Acceptance

Appraisal

Work with Significant potential risk

SRD due diligence

Communication is critical

Validated work is accurate

Appraisal

Verify completeness

Verify accuracy

Review checklists

Review risk items (e.g. past performance)

Communication is critical

Appraisal

Validated and Complete Appropriate explanation Recommend approval

Validated and Incomplete Appropriate explanation Recommend approval

Appraisal

Validated and Incomplete Without appropriate explanation Without explanation Do not accept

Not validated Do not accept

Reviewing RFP

Prepare and File Report Factors chosen to evaluate Results of assessment on accuracy Outcome of appraisal Recommendations/decision

rationale Reviewer names, dates Validation

FMP Appraisal

FMP Appraisal

Validated Review checklists

http://srd.alberta.ca/ManagingPrograms/ForestManagement/RegulatedForestryProfessionals.aspx

Compare FMP against Standards– Appraisal checklists

FMP Appraisal

Standards / adjusted standards met (e.g ToR, Approval Letters)

Stakeholder input

Consultation Records– Public– Aboriginal

FMP Appraisal

Reviewing RFPs Appraisals validated and filed.

Recommendations to FMB Executive Director

FMP Approval

Approval by FMB Executive Director Approval Decision

– Validated– Available to Public

Two Approval Processes

- Appraisal

- Acceptance

Annual Operating Plan

Appraisal– General Development Plan– Compartment Assessments

Acceptance– Final Harvest Plan– Road Plan and Fire Control Plan– Reforestation Program

Acceptance

Work with limited potential effect

Validated/Checklists – Complete– Appropriate explanation– Accept

Approved in 5 days

Field Inspections

Compliance Assurance

Industry Self-Reporting

SRD Inspections

FOMP Internal Audits

Industry Self-Reporting

See Directive 2006 – 04 Timber and

Reforestation Operations Monitoring (i.e.

status of active timber operations by

disposition)

Monthly reporting form – must be

validated

Forest Operations Monitoring Program

FOMP is ISO 9001:2008 Registered– Quality Management System

Management-improvement focused– Pro-active communications

Based on plan-do-check-act cycle

FOMP Inspections

Inspections conducted by SRD Staff– Validate Inspections– FOMP Course– CAPF or CAPFT member

Number of inspections is risk based – Based on enforcement history and past

performance– Harvest level– Validation

2009-2010 FOMP Report

Top Operational Issues

Utilization Standards

Forest Protection – debris disposal

Watercourse protection

FOMP Audits

Internal  "audits" Audit 20% of total inspections by

inspector

Implications – induced error

Address non-compliance

Validation (Annex 2)

Reliance on Professional Integrity -Forest Management Process

Government and Industry RFPs

Authentication Policy

CAPF Authentication Policy

Effective August 1, 2010 Demonstrate to:

– Public– Government– Other professional association

Work completed/reviewed by RFPs– Bound by Code of Ethics– Advanced Education

CAPF Authentication

Period of Education Monitoring and Enforcement Public /Private Land

Thank you!

Contact Information Email: Vicky.Bosse@gov.ab.ca

Tel: (780) 427-4707