1. 2011 CAPF Professional Workshop Professional Sign-offs

2. 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

3. Why Authentication/Validation?  Professional Work  Forestry Professional  Code of Ethics  Standards of Practice  Professional integrity

4. Authentication / Validation  Authentication Policy  Validation (Annex 2)

5. Divider: Option 2 This may be used as a main section divider Annex 2 - RFP Validation

6. Definition RFP Regulated Forestry Professional  Regulated member  College of Alberta Professional Foresters  College of Alberta Professional Forest Technologists  RPF or RPFT only

7. 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

8. 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

9. Due Diligence  Desired outcome achieved  Negative consequence minimized  Completeness  Conclusions  Procedures followed (e.g. SOP, checklists)  Records kept (and retrievable)

10. Complete and Accurate  Free of errors or omissions  Submitted on time  Prompt notification and correction  Readily understood  Complete documentation

11. 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

12. Divider: Option 2 This may be used as a main section divider Approval Process

13. Two Approval Processes - Appraisal - Acceptance

14. Appraisal  Work with Significant potential risk  SRD due diligence  Communication is critical  Validated work is accurate

15. Appraisal  Verify completeness  Verify accuracy  Review checklists  Review risk items (e.g. past performance)  Communication is critical

16. Appraisal Validated and Complete  Appropriate explanation  Recommend approval Validated and Incomplete  Appropriate explanation  Recommend approval

17. Appraisal Validated and Incomplete  Without appropriate explanation  Without explanation  Do not accept Not validated  Do not accept

18. 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

19. FMP Appraisal

20.  Validated  Review checklists http://srd.alberta.ca/ManagingProgra ms/ForestManagement/RegulatedFo restryProfessionals.aspx  Compare FMP against Standards –Appraisal checklists

21. FMP Appraisal  Standards / adjusted standards met (e.g ToR, Approval Letters)  Stakeholder input  Consultation Records –Public –Aboriginal

22. FMP Appraisal  Reviewing RFPs Appraisals validated and filed.  Recommendations to FMB Executive Director

23. FMP Approval  Approval by FMB Executive Director  Approval Decision –Validated –Available to Public

24. Two Approval Processes - Appraisal - Acceptance

25. Annual Operating Plan  Appraisal –General Development Plan –Compartment Assessments  Acceptance –Final Harvest Plan –Road Plan and Fire Control Plan –Reforestation Program

26. Acceptance  Work with limited potential effect  Validated/Checklists –Complete –Appropriate explanation –Accept  Approved in 5 days  Field Inspections

27. Compliance Assurance  Industry Self-Reporting  SRD Inspections  FOMP Internal Audits

28. 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

29. 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

30. 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

31. 2009-2010 FOMP Report Top Operational Issues  Utilization Standards  Forest Protection – debris disposal  Watercourse protection

32. FOMP Audits  Internal "audits"  Audit 20% of total inspections by inspector  Implications – induced error  Address non-compliance

33. Validation (Annex 2)  Reliance on Professional Integrity - Forest Management Process  Government and Industry RFPs

34. Authentication Policy

35. 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

36. CAPF Authentication  Period of Education  Monitoring and Enforcement  Public /Private Land

37. Thank you! Contact Information Email: Vicky.Bosse@gov.ab.ca Tel: (780) 427-4707