2011 CAPF Professional Workshop Professional Sign-offs

Divider: Option 2 This may be used as a main section divider 1- Why Authentication/Validation 2- Annex 2 – RFP Validation 3- Approval Process 4- Compliance Assurance 5- 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)

Divider: Option 2 This may be used as a main section divider 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 m 3 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

Divider: Option 2 This may be used as a main section divider 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

 Validated  Review checklists ms/ForestManagement/RegulatedFo restryProfessionals.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

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

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