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
Recommended
