Professional Practice Standard

y MAY 2022y

Professional Practice
Management Plan
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DOCUMENT HISTORY

Date Version Revision Description

October 5, 2021 0.3.3 Issued for membership information session

May 1, 2022 1.0 Initial issue for membership use

© Association of Professional Engineers and Geoscientists of Alberta, 2022

All rights reserved.

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CONTENTS

1.0 Overview....................................................................................................................................... 6
1.1 PURPOSE AND SCOPE............................................................................................................ 6
1.2 REFERENCES............................................................................................................................. 6
1.3 DEFINITIONS............................................................................................................................ 7
2.0 Professional and Ethical Obligations...................................................................... 10
2.1 PERMIT HOLDER OBLIGATIONS.......................................................................................... 10
2.2 RESPONSIBLE MEMBER OBLIGATIONS............................................................................. 12
2.3 LICENSED PROFESSIONAL OBLIGATIONS........................................................................ 12
2.4 APEGA'S AUTHORITY............................................................................................................ 13
2.5 ETHICAL OBLIGATIONS........................................................................................................ 13
3.0 Professional Practice Management Plan Administration......................... 13
3.1 PPMP SUBMISSION TO APEGA........................................................................................... 13
3.2 PPMP CHANGE MANAGEMENT......................................................................................... 13
3.2.1 Review Cycle..........................................................................................................................13
3.2.2 Communication of Change....................................................................................................14
3.3 DISCLOSING INFORMATION FROM PPMPS..................................................................... 14
4.0 PPMP Content Requirements........................................................................................ 14
4.1 PPMP PART 1: GENERAL INFORMATION........................................................................... 14
4.1.1 PPMP Declaration................................................................................................................. 14
4.1.2 Revision History.................................................................................................................... 15
4.1.3 Permit Holder Information.................................................................................................... 15
4.1.4 Objective of the PPMP.......................................................................................................... 15
4.1.5 Definitions, Acronyms, Abbreviations................................................................................. 15
4.1.6 Supporting Documents......................................................................................................... 15
4.1.7 PPMP Review Process........................................................................................................... 15
4.2 PPMP PART 2: ETHICAL PRACTICE....................................................................................... 16
4.2.1 Ethical Practice...................................................................................................................... 16
4.3 PPMP PART 3: PROFESSIONAL BUSINESS PRACTICE....................................................... 16
4.3.1 Quality Management........................................................................................................... 16
4.3.2 Project Execution.................................................................................................................. 16

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4.4 PPMP PART 4: AUTHENTICATION AND VALIDATION...................................................... 17

4.4.1 Authentication and Validation of Professional Work Products...........................................17
4.4.2 Stamps – Control and Security............................................................................................ 18
4.5 PPMP PART 5: RELYING ON THE WORK OF OTHERS AND OUTSOURCING................ 18
4.5.1 Relying on the Work of Others............................................................................................ 18
4.5.2 Outsourcing to Entities Licensed by APEGA....................................................................... 18
4.5.3 Outsourcing to Entities Not Licensed by APEGA................................................................ 18
4.6 PPMP PART 6: ORGANIZATION AND ROLES.................................................................... 19
4.6.1 Use of Title............................................................................................................................. 19
4.6.2 Organizational Structure..................................................................................................... 19
4.6.3 Roles...................................................................................................................................... 20
4.7 PPMP PART 7: MANAGEMENT OF PROFESSIONAL RESOURCES.................................. 20
4.7.1 Recruitment............................................................................................................................ 20
4.7.2 Continued Professional Development................................................................................. 20
4.7.3 Supervision............................................................................................................................ 20
4.8 PPMP PART 8: MANAGEMENT OF TECHNICAL RESOURCES.......................................... 21
4.8.1 Practice Reference Resources and Aids.............................................................................. 21
4.8.2 Information Technology....................................................................................................... 21
4.8.3 Equipment and Tools............................................................................................................. 21
4.9 PPMP PART 9: PROFESSIONAL SERVICES OUTPUT MANAGEMENT.............................22
4.9.1 Originals and Copies............................................................................................................ 22
4.9.2 Revision Control and Transmittals........................................................................................ 22
4.9.3 Retention................................................................................................................................ 22
4.9.4 Storage and Disposal........................................................................................................... 22

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Preface
An APEGA professional practice standard describes the level of performance required of licensed professionals. Part
8 of the General Regulation under Section 59 allows APEGA to publish standards that define the expectations and
professional obligations of APEGA permit holders and licensed professionals.

The differences between a professional practice standard, a practice guideline, and a practice bulletin are as follows.

• An APEGA professional practice standard sets the minimum standard of practice permit holders and licensed
professionals must meet. It is the standard against which a permit holder’s or licensed professional’s practice
and conduct will be assessed by APEGA’s statutory boards.

• A professional practice guideline provides professional practice advice and best practice recommendations
to help permit holders and licensed professionals meet their professional obligations. APEGA statutory
boards may assess a permit holder’s or licensed professional’s practice and conduct against practice
guidelines.

• A professional practice bulletin provides clarity and guidance on a specific subject related to professional
practice. Bulletins remain in force until a practice standard or guideline on the subject is developed, or until
the practice bulletin is repealed.

Practice standards, guidelines, and bulletins should be read in conjunction with the Engineering and Geoscience
Professions Act, the General Regulation, APEGA’s bylaws, and any other applicable legislation, codes, or standards.

Contributors
APEGA thanks the members who contributed to this practice standard for their time and commitment. At the time
this standard was completed, the contributors were as follows:

Mark Priddle, P.Geo. (Chair) John McDonald, P.Eng. Leslie Symon, P.Eng.
Jason Boulet, P.Eng. Kirsten Merle, P.Eng. Juliana Tang, P.Eng.
Anu Anuradha Ghosh, P.Eng. Amir Shami, P.Eng. Carla Wong, P.Eng.
Amir Hassan, P.Eng. Shreeram Sigdel, P.Eng.

Questions or suggestions concerning this document can be addressed to the:

Director, Professional Practice

APEGA
1500 Tower One, 10060 Jasper Avenue
Edmonton, Alberta T5J 4A2
[email protected]

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1.0 Overview
For the public to have confidence in the quality of the professional services provided, permit holders must have
a structured process in place for managing professional practice.

Section 48(1)(d) of the General Regulation requires all APEGA permit holders to follow a professional management
plan that is appropriate to their scope of professional practice, herein referred to as a Professional Practice
Management Plan (PPMP). All permit holders are required to have a current PPMP appropriate to their practice.

A PPMP is a documented description of corporate policies, procedures, and systems used to ensure organizations
and licensed professionals practising engineering, geoscience, or both maintain appropriate standards of
professional practice. It is a management and communication tool that helps permit holders effectively plan,
execute, and manage the quality control and assurance of their professional engineering or geoscience practice.
A PPMP must be active, current, accessible, known, and understood within the organization.

This practice standard replaces the following guideline:

• Professional Practice Management Plans v 1.4 (February 2013)

1.1 PURPOSE AND SCOPE

This practice standard details the minimum requirements that must exist in a PPMP. It also outlines the
professional and ethical obligations of permit holders and their senior officer, Responsible Members, and
licensed professionals related to creating and maintaining PPMPs and managing the practices of engineering
and geoscience.

1.2 REFERENCES
The following publications support this standard. Refer to the latest versions available at
apega.ca/practice-standards.

• The Engineering and Geoscience Professions Act, the General Regulation, and APEGA’s bylaws
• Authenticating Professional Work Products
• Continuing Professional Development
• Relying on the Work of Others and Outsourcing
• Guideline for Ethical Practice
• Guideline for Professional Practice
• Good Standing Policy

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1.3 DEFINITIONS
For the purposes of this standard, the below terms and definitions apply. These terms are italicized throughout
the text.

Authentication
Authenticating a professional work product means a licensed professional has completed, performed a
thorough review of, or directly supervised and controlled the engineering or geoscience work and accepts
professional responsibility for the engineering or geoscience involved. Authentication must be performed in
accordance with the practice standard Authenticating Professional Work Products.

Direct Supervision and Control

The high degree of guidance a licensed professional provides to one or more individuals. The licensed
professional accepts professional responsibility for engineering or geoscience tasks performed under their
guidance. Direct supervision and control includes directing, monitoring, and controlling the engineering and
geoscience work performed, including making all the decisions related to the practices of engineering and
geoscience.

Direct supervision and control requirements are detailed in the practice standard Relying on the Work of Others
and Outsourcing.

Discipline
A specific field of practice within a profession (e.g., electrical engineering, mechanical engineering,
geophysics, geochemistry).

Due Dilligence
The level of judgement, care, forethought, and determination a person reasonably uses to avoid harming
oneself, other people, property, or the environment.

Good Standing
Permit holders, licensed professionals, and members-in-training are considered in good standing with APEGA if
they meet the criteria set out in the Good Standing Policy.

Integrity (of a Professional Work Product)

The ability to verify that a professional work product’s (PWP’s) information has not changed since
authentication and that the way it is stored provides the stability and longevity to protect, keep, and retrieve the
PWP and its authentication information.

Licensed Professional
A professional engineer, professional geoscientist, professional licensee (engineering), professional licensee
(geoscience), licensee (engineering), or licensee (geoscience) entitled by the Engineering and Geoscience
Professions Act to practise engineering or geoscience in Alberta.

Operating Name
A name a permit holder uses (e.g., a trade name) that is different from its legal name but is listed with APEGA
under the same Permit to Practice and uses the same permit number.

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Output
See Professional Services Output

Outsourcing
Procuring professional services from an individual or entity not practising under the outsourcing entity’s Permit(s)
to Practice. This includes when a sole proprietor procures professional services.

Outsourcing Entity
The permit holder or licensed professional procuring outsourced professional services. An outsourcing entity
procures professional services from an outsourced entity.

Outsourcing Plan
A plan for procuring outsourced professional services. Outsourcing plan requirements are detailed in the
practice standard Relying on the Work of Others and Outsourcing.

Permit Holder
A partnership, or other association of persons, or a corporation that holds a Permit to Practice under the
Engineering and Geoscience Professions (EGP) Act. The Association of Science and Engineering Technology
Professionals of Alberta (ASET) permit holders, as defined in Section 86(4) of the EGP Act, are not included.

Permit to Practice
An APEGA licence given to permit holders to practise engineering or geoscience in Alberta.

Permit to Practice Number

The unique registration number provided to a permit holder licensed by APEGA to practise engineering,
geoscience, or both.

Person
An individual, corporation, company, association, firm, partnership, society, or other entity or organization.

Practice Review Board

A statutory board established under Section 15 of the Engineering and Geoscience Professions (EGP) Act.
Through its powers established in Section 16 of the EGP Act, the Practice Review Board provides regulatory
oversight to professional practice by developing and maintaining practice standards relating to the competent
practice of the professions, conducting practice reviews of licensed professionals and permit holders, and
administering the Continuing Professional Development Program (General Regulation Section 16(2)).

Professional Practice Management Plan

A permit holder’s written corporate policies, procedures, and systems describing the quality control and
assurance measures in place to ensure appropriate standards of professional practice are maintained as
described in Section 48(1)(d) of the General Regulation.

Professional Services
Services that involve the practice of engineering as defined in Section 1(q) of the Engineering and Geoscience
Professions (EGP) Act or the practice of geoscience as defined in Section 1(r) of the EGP Act. The products of
professional services are called outputs.

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Professional Services Output (or Output)

Any product resulting from a professional service. Outputs can be physical, electronic, or digital and can be
delivered through traditional methods, such as by mail or electronically through computers, tablets, personal
digital assistants, cell phones, voicemails, emails, teleconferencing, videoconferencing, or SMS (text). Not all
outputs require authentication and validation.

Professional Work Product

An output of a professional service that requires authentication and validation as described in the practice
standard Authenticating Professional Work Products. Defined in the General Regulation as “…plans,
specifications, reports, or documents of a professional nature,” a PWP is any output of professional services
with technical information relied upon by others, internally or externally, to make a decision or to take action.
A PWP can be physical (e.g., paper, plastic film), electronic (e.g., electronic document, image), or digital (e.g.,
software, modelling, simulation, or any other computer application that cannot be reproduced in a physical
or electronic format). See the authentication test in the practice standard Authenticating Professional Work
Products when assessing whether an output is a PWP.

Responsible Member
A licensed professional who is responsible to provide oversight of the practice of engineering or geoscience
by the permit holder and meets the specification in Part 7, Section 48(1)(c) of the General Regulation. A
Responsible Member must be qualified by education and experience in the profession of engineering or
geoscience in which the partnership corporation or other entity intends to engage, designated in writing by the
permit holder, and registered with APEGA as a Responsible Member.

The Responsible Member must have a sufficiently close relationship with the permit holder to undertake the
roles and responsibilities associated with acting as a Responsible Member. The role of Responsible Member
may not be delegated to other licensed professionals who are not Responsible Members.

A Responsible Member can be:

• a full-time, permanent employee of the permit holder

• a member of the permit holder
• a sole practitioner
• an individual providing professional services to the permit holder through a contractual arrangement or
as a part-time employee

The permit holder’s Responsible Members direct, supervise, and control all or part of a permit holder’s
professional practice in accordance with the permit holder’s Professional Practice Management Plan and all
relevant legislation, regulations, and codes.

Senior Officer
Holds signing authority to make decisions on behalf of the permit holder. The senior officer is named in the
Permit to Practice application and signs a declaration form to legally bind the permit holder to the Permit
to Practice agreement with APEGA. The senior officer is not required to be a licensed professional. APEGA
formerly referenced the senior officer as the company’s chief operating officer.

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Sole Practitioner
Within Alberta, an individual who practises as an incorporated entity. A sole practitioner must hold a Permit
to Practice.

Sole Proprietor
Within Alberta, an individual who is the sole owner of a business and makes no legal distinction between
themselves and their business (i.e., the business does not exist as a separate entity).

A licensed professional practising as a sole proprietor does not need a Permit to Practice since the sole
proprietor is not practising engineering or geoscience through a corporation, partnership, or association.

Technical Information
An all-encompassing term for any content or data derived from the practice of engineering or geoscience as
defined by the Engineering and Geoscience Professions Act. Technical information includes advice, analyses,
assessments, calculations, designs, evaluations, inputs (e.g., to planning or to modelling and simulation),
interpretations, notes, opinions, recommendations, and process descriptions.

Thorough Review
An evaluation of the outputs of professional services prepared by others to verify their reliability, validity, and
technical accuracy. Thorough review requirements are detailed in the practice standard Relying on the Work of
Others and Outsourcing.

Validation
Validating a professional work product (PWP) means a permit holder’s Responsible Member has reviewed
the PWP to ensure it meets the quality control and assurance measures described in the permit holder’s
Professional Practice Management Plan. Validation must be performed in accordance to the practice standard
Authenticating Professional Work Products.

2.0 Professional and Ethical Obligations

Permit holders and their licensed professionals must ensure their professional practice conforms with the
Engineering and Geoscience Professions (EGP) Act and the General Regulation, as well as APEGA’s bylaws,
practice standards, bulletins, and guidelines. Professional practices of engineering and geoscience must also
comply with all other applicable statutes, regulations, bylaws, standards, and codes.

2.1 PERMIT HOLDER OBLIGATIONS

A permit holder must assign a senior officer to be accountable for its compliance to APEGA’s Permit to
Practice requirements. A senior officer may delegate their responsibilities to another individual in writing
within the Permit to Practice. Such delegation of authority does not exempt the senior officer from obligations
or accountability relating to the Permit to Practice. The senior officer acknowledges that the permit holder is

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regulated by APEGA under the authority of the EGP Act and the General Regulation. APEGA recommends the
senior officer attend Permit to Practice seminars to help them meet their obligations.
The senior officer, on behalf of the permit holder, must:

• assign qualified and competent licensed professionals to act as Responsible Members

• assign a sufficient ratio of Responsible Members to licensed professionals, members-in-training, and

individuals contributing to the practices of engineering or geoscience. Refer to Section 4.6.2 of this
standard

• be accountable for the creation, revision, implementation, and continual improvement of the
Professional Practice Management Plan (PPMP), and ensure it is followed

• assign, direct, and support Responsible Members to create, revise, implement, and follow the PPMP

• provide written direction to the Responsible Members to validate engineering and geoscience
professional work products

• assign Responsible Members to be accountable for the quality control and assurance processes under
which licensed professionals practise engineering and geoscience

• ensure changes to the PPMP are communicated to all licensed professionals and keep evidence of this
communication

• ensure the professional services offered by the company are performed by competent licensed
professionals

• ensure the membership database listing the licensed professionals and members-in-training on the
Permit to Practice is up to date. At a minimum, this must be done at the time of permit renewal

• ensure adherence to relevant statutes, regulations, bylaws, standards, and codes

• respond to requests from APEGA within the timeline given (APEGA Bylaw 32.1)

The senior officer, on behalf of the permit holder, is accountable to notify APEGA if:

• their contact information changes

• they change who is assigned as a Responsible Member

• the permit holder is subject to a discipline decision from another provincial or territorial jurisdictional
body in Canada governing the practice of engineering or geoscience

• any change is made to the assignment of the senior officer

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2.2 RESPONSIBLE MEMBER OBLIGATIONS

In addition to their obligations as licensed professionals, Responsible Members must:

• complete at least one Permit to Practice seminar every five years

• create or revise the PPMP if assigned to do so by the senior officer

• ensure the PPMP is appropriate to the permit holder’s professional practice

• follow the PPMP and ensure licensed professionals and others who are contributing to the practices of
engineering and geoscience are trained on how to use it

• be accountable, on behalf of the permit holder, for the quality control and assurance processes under
which licensed professionals practise engineering and geoscience

• ensure all engineering and geoscience work performed on behalf of the permit holder is authenticated
and validated in accordance with APEGA practice standards and bulletins

• be accountable, on behalf of the permit holder, to ensure that all engineering and geoscience work
associated with the organization abides by all applicable statutes, regulations, bylaws, and standards,
which include those that APEGA enforces

• respond to requests from APEGA within the timeline given (APEGA Bylaw 32.1)

• notify the senior officer if they can no longer carry out the duties of a Responsible Member

• notify APEGA if they are no longer acting as a Responsible Member for the permit holder

2.3 LICENSED PROFESSIONAL OBLIGATIONS

Licensed professionals must:

• understand and follow the PPMP under which they are practising

• monitor and report any non-conformance with this standard to the permit holder’s Responsible
Member(s)

• maintain good-standing status and keep the permit holder’s senior officer informed of their registration
and good-standing status

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2.4 APEGA’S AUTHORITY

APEGA’s mandate is to protect the public. Under the authority of the Practice Review Board, which is a statutory
board legislated under the EGP Act [Section 16(1)(b)], APEGA is authorized to conduct practice reviews of
permit holders and licensed professionals. Practice reviews ensure the practices of engineering and geoscience
are carried out in accordance with the EGP Act and the General Regulation; APEGA’s practice standards,
bulletins, and guidelines; and the permit holder’s PPMP.

2.5 ETHICAL OBLIGATIONS

Permit holders and licensed professionals must comply with the Code of Ethics and its five Rules of Conduct as
defined in the General Regulation.
Permit holders and licensed professionals must advise APEGA of any entity or individual failing to meet the
obligations of the EGP Act, the General Regulation, or any APEGA practice standard if attempts to resolve
issues directly with permit holders and licensed professionals involved do not lead to the required compliance.
This is consistent with self-regulation.

3.0 Professional Practice Management Plan Administration

3.1 PPMP SUBMISSION TO APEGA
If requested by APEGA, permit holders must submit their Professional Practice Management Plan (PPMP) in its
entirety, along with its supporting documents, within the stated deadline in the request (APEGA Bylaw 32.1).

3.2 PPMP CHANGE MANAGEMENT

3.2.1 Review Cycle
An up-to-date PPMP is essential to effectively manage a professional practice. Permit holders must review their
PPMP at least annually to verify its continued suitability and effectiveness. These reviews clarify organizational
structure and roles, examine areas of concern, ensure references are current and accessible, and confirm
quality control and assurance processes are adequate.
When permit holders implement substantive changes to their provided scope of services or organizational
structure, they must review and update their PPMP as soon as practicable.
After the review is complete, the required declaration statement is signed as described in Section 4.1.1.
Permit holders must retain previous versions of their PPMPs as aligned with the retention policies defined in
Section 4.9.3 of this standard.

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3.2.2 Communication of Change

When updating their PPMP, permit holders must inform all impacted licensed professionals and contributors
to their professional practice of any changes as soon as practicable. Senior officers, on behalf of the permit
holders, must keep evidence of the communication of change sent (such as an email or record of attendance
for training).

3.3 DISCLOSING INFORMATION FROM PPMPS

When procuring professional services from other permit holders, due diligence requires ensuring professional
work products are created using adequate and acceptable quality control and assurance processes. For
this reason and as part of self-regulation, APEGA recommends that permit holders provide their PPMP when
requested by other permit holders, licensed professionals, or the public. This elevates the quality of practice
in the professions and enables other permit holders and the public to have confidence in a permit holder’s
professional practice outputs.

4.0 PPMP Content Requirements

This section describes Professional Practice Management Plan (PPMP) content requirements. Permit holders must
include these components when developing their PPMP. If a permit holder determines a particular requirement
is not applicable to its practice, the permit holder must include the section requirement with a statement that
explains why it is not applicable.

PPMPs must be clearly written and describe the processes designed to support the permit holder’s professional
practice. PPMPs may vary considerably in complexity, degree of detail, and specific content depending on
the size of the permit holder and the nature and scope of professional practice. They do not need to duplicate
existing documentation and may refer to supporting or more detailed documentation.

The PPMP must include a table of contents.

4.1 PPMP PART 1: GENERAL INFORMATION

4.1.1 PPMP Declaration
The PPMP must contain a declaration that is signed and dated annually by the senior officer and at least one
Responsible Member. This certifies that an internal review of the PPMP has been conducted and that the senior
officer, on behalf of the permit holder, has approved and accepted responsibility for its content.
If a Permit to Practice includes both engineering and geoscience, at least one Responsible Member licensed in
each profession must sign the declaration.

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4.1.2 Revision History

The PPMP must include:

• the date of each revision

• a numbered revision history

• a summary of the most recent update (or reaffirmation if no updates were required)

4.1.3 Permit Holder Information

The PPMP must contain permit holder information, including its:

• legal and operating name(s)

• contact information

• permit number

• area of practice, which identifies the disciplines and types of work the permit holder engages in

4.1.4 Objective of the PPMP

The PPMP must include an objective specific to the permit holder’s practice to guide the practice of engineering,
geoscience, or both and provide awareness to licensed professionals of the permit holder’s commitment to
responsible and ethical practice.

4.1.5 Definitions, Acronyms, Abbreviations

All terms, acronyms, and abbreviations used in the PPMP must be defined.

4.1.6 Supporting Documents

The PPMP must reference key internal and external documented systems, policies, and procedures used to
create and support the PPMP, including applicable APEGA practice standards, guidelines, and bulletins.

The permit holder is responsible to ensure that all supporting material is current and accessible.

4.1.7 PPMP Review Process

The PPMP must include or reference a process specific to how PPMP annual reviews are conducted
and documented.

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4.2 PPMP PART 2: ETHICAL PRACTICE

4.2.1 Ethical Practice
The PPMP must include or reference policies or procedures that ensure ethical practice in the professions. The
permit holder’s code of ethics must be consistent with the Rules of Conduct in the Code of Ethics as defined in
the General Regulation, which is used by APEGA when investigating a complaint.
Permit holders must ensure the culture they create allows licensed professionals and others to freely and safely
bring forward concerns about the practices of engineering and geoscience, particularly related to Rules of
Conduct. Refer to APEGA’s guideline Ethical Practice for more information.

4.3 PPMP PART 3: PROFESSIONAL BUSINESS PRACTICE

4.3.1 Quality Management
Quality management includes quality control and quality assurance. The PPMP must include or reference
policies, systems, procedures, or processes to maintain an adequate level of quality related to the professional
engineering and geoscience work produced or delivered. These processes help ensure the professional work is
performed competently, safely, and with required due diligence.
The quality control and assurance processes must describe or reference how the permit holder will:

• minimize errors and omissions in technical work

• manage errors once discovered

• perform appropriate, independent checks and documentation of concepts, calculations, models,

processes, and procedures, such as peer reviews to verify accuracy of work

• ensure adherence to applicable regulations, codes, standards, and other relevant specifications

• ensure the risks and impacts of professional work performed are understood and acceptable

4.3.2 Project Execution

PPMPs must include or reference policies or procedures on how permit holders execute engineering- or
geoscience-related projects.

For engineering and geoscience projects that deliver professional services or have deliverables that require
authentication and validation, permit holders, with support from their Responsible Members and licensed
professionals, must ensure:

• the scope of professional work is defined and documented, including assumptions and limitations of work

• appropriate communication plans exist detailing when, what, and how information is communicated to
stakeholders throughout the project, especially related to the expectations regarding professional services

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• all professional service output deliverables requiring authentication and validation are identified throughout
the project. Refer to the authentication test described in the practice standard Authenticating Professional
Work Products to determine what professional services outputs require authentication and validation

• appropriate and adequate policies and procedures for change orders and change management are
in place and agreed upon to ensure impacts to professional services and PWPs are considered and
authenticated and validated, if required

• appropriate resources are in place to carry out the professional responsibilities for the project, such as
field construction and inspections, field reviews, field supervision, and commissioning and start-up plans

• appropriate risk assessments related to the practices of engineering and geoscience are completed
and documented

4.4 PPMP PART 4: AUTHENTICATION AND VALIDATION

Permit holders must document authentication and validation processes which must comply with APEGA’s
practice standard Authenticating Professional Work Products. The PPMP must reference or include
documentation outlined in the following sections.

4.4.1 Authentication and Validation of Professional Work Products

The PPMP must include or reference the nature of the permit holder’s PWPs, including their format (physical,
electronic, or digital). This list must include the types of PWPs normally created and used internally by the permit
holder and may contain internal practice references and aids, as described in Section 4.8.1. The PPMP must
also include or reference outputs from professional services that are not usually considered PWPs and are
therefore not authenticated.
The PPMP must include or reference policies or procedures on:
• the authentication and validation process used by the permit holder, including how the permit holder
will authenticate and validate digital PWPs (such as code, software, or modelling and simulation)

• the method used for authentication and validation (physical, digital, or combination)

• how revisions to previously authenticated PWPs are managed, including subsequent authentication and
validation

• authentication and validation during continuous operation for design revisions, change orders, and
field or operational changes

• authentication and validation of single-discipline PWPs and multi-discipline PWPs

• authentication and validation of PWPs destined for use outside of Alberta

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4.4.2 Stamps – Control and Security

Electronic and physical stamps are the property of APEGA. Physical stamps must be returned upon request.
Permit holders and licensed professionals are responsible to keep their stamps secure.
The PPMP must include or reference policies or procedures on:

• control and security over professional and Permit to Practice stamps (physical and electronic)

• written delegations of stamp application to others, if not performed by the licensed professional or
Responsible Member

4.5 PPMP PART 5: RELYING ON THE WORK OF OTHERS AND OUTSOURCING

Permit holders must ensure compliance with APEGA’s practice standard Relying on the Work of Others and
Outsourcing. The PPMP must reference or include documentation outlined in the following sections.

4.5.1 Relying on the Work of Others

The PPMP must include or reference policies or procedures describing how licensed professionals take
professional responsibility for PWPs created by others who are not licensed by APEGA, as described in the
practice standard Relying on the Work of Others and Outsourcing.

4.5.2 Outsourcing to Entities Licensed by APEGA

The PPMP must include or reference the outsourcing process used when outsourcing professional services to
another APEGA permit holder or licensed professional.
Permit holders must document and follow an outsourcing process, as defined in the practice standard Relying
on the Work of Others and Outsourcing.

4.5.3 Outsourcing to Entities Not Licensed by APEGA

When permit holders procure professional services from entities not licensed by APEGA, they have additional
due diligence requirements. An outsourcing plan must be created to comply with the practice standard Relying
on the Work of Others and Outsourcing.
The PPMP must include or reference the process used to create the outsourcing plan.

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4.6 PPMP PART 6: ORGANIZATION AND ROLES

The permit holder must define clear lines of professional responsibility as outlined in the following sections.

4.6.1 Use of Title

Reserved titles must only be used by licensed professionals permitted to practise engineering or geoscience
in Alberta.
Part 1, sections 3 and 6 of the Engineering and Geoscience Professions (EGP) Act specify that only licensed
professionals are permitted to use:
• reserved titles, including professional engineer, professional geoscientist, and any abbreviation of
those titles

• the word “engineer” or “geoscientist” in combination with any other name, title, description, letter,
symbol, or abbreviation that implies an individual, corporation, partnership, or other entity is a
professional engineer or professional geoscientist

The PPMP must include or reference policies or procedures on how reserved titles used by the permit holder and
its employees are managed to ensure the use of title complies with the EGP Act.
Members-in-training may use the word “engineer” or “geoscientist” in their title, provided it is followed by the
phrase “in training.”

4.6.2 Organizational Structure

All individuals contributing to the practices of engineering and geoscience as defined in the EGP Act Sections
1(q) and 1(r) must be included in the organizational structure. This includes individuals who are not licensed
by APEGA, such as technologists, members-in-training, or anyone else contributing to the practices. These
individuals must be supervised as described in Section 4.7.3 of this standard.
The organizational structure may be presented in an organizational chart, list, or database.
The PPMP must include or reference an organizational structure that identifies:
• performance supervision, technical supervision, and Responsible Member oversight

• the final decision-making authority used for engineering and geoscience work

• temporary or student positions and their supervision

• appropriate professional oversight through the ratio of Responsible Members to licensed professionals,
members-in-training, and other individuals contributing to the practices of engineering and geoscience,
with reasonable representation in each area of practice and business unit. APEGA recommends a ratio
of one Responsible Member to 10 licensed professionals, members-in-training, and other individuals
contributing to the practice of engineering or geoscience

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4.6.3 Roles
The PPMP must include or reference the following information (either in the organizational structure itself
or separately, such as in an organizational chart, list, database, or project-specific list) for each individual
contributing to the practices of engineering and geoscience:
• name

• APEGA ID number, if applicable

• position (job or work) title (refer to Section 4.6.1 of this standard)

• professional designation, if applicable

• area of practice (such as discipline)

• practising status, if applicable

• performance supervisor, technical supervisor, and Responsible Member

• Responsible Member status and the date they last attended a Permit to Practice seminar, if applicable

4.7 PPMP PART 7: MANAGEMENT OF PROFESSIONAL RESOURCES

The PPMP must include information to ensure the individuals performing professional work for a permit holder have
the necessary qualifications to effectively accomplish their work. It must describe the permit holder’s policies and
processes supporting the management of professional resources identified in the following sections.

4.7.1 Recruitment
The PPMP must include or reference policies or procedures to ensure only qualified and competent individuals are
selected, and the job postings and descriptions use reserved titles appropriately (Section 4.6.1 of this standard).

4.7.2 Continuing Professional Development

The PPMP must include or reference the permit holder’s process to ensure continued competence of the licensed
professionals the permit holder employs.
All licensed professionals must adhere to the mandatory minimum requirements in APEGA’s practice standard
Continuing Professional Development.

4.7.3 Supervision
The PPMP must include or reference policies or procedures to ensure members-in-training and other individuals
who are not licensed by APEGA but who are contributing to the permit holder’s practices of engineering and
geoscience are supervised and trained appropriately.

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Since members-in-training and other individuals not licensed with APEGA cannot practise independently (EGP
Act Sections 3(1) and 5(1)), the PPMP must include or reference policies or procedures to ensure their work is
supervised and controlled by licensed professionals.

4.8 PPMP PART 8: MANAGEMENT OF TECHNICAL RESOURCES

Professional work must be carried out with appropriate technical resources that are maintained and available to
licensed professionals. The PPMP must describe the available technical resources as follows.

4.8.1 Practice Reference Resources and Aids

The PPMP must include or reference policies or procedures that describe the process used to ensure licensed
professionals have access to current reference resources or materials required to deliver professional services.
At a minimum, these include applicable:

• statutes, regulations, bylaws, standards, and codes

• technical journals

• data sheets

• permit holder codes of practice

• internal standards and guidelines

• manuals (such as equipment and operating manuals)

• internally relied upon resources (such as calculators and programs) that may themselves be professional
work products (PWPs) used to create PWPs or to perform professional services

4.8.2 Information Technology

The PPMP must include or reference an information technology policy appropriate to its practice to mitigate
risk associated with information security. Ensuring the confidentiality and integrity of information related to the
practices of engineering and geoscience is important to maintain contractual, legal, regulatory, and statutory
requirements, and to meet APEGA’s Code of Ethics.

4.8.3 Equipment and Tools

The PPMP must include or reference policies or procedures that describe the processes used to ensure the
equipment, instruments, hardware, software, firmware, or tools used in providing professional services are
certified, operated, maintained, and calibrated properly.
Calibration must be completed in accordance with specifications to ensure the integrity of the system’s outputs. If
applicable, the PPMP must include or reference how licensed professionals access and use:

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• equipment operating procedures (or standard operating procedures) or a catalogue of

operating procedures

• maintenance plans or procedures

• methods of and schedules for certification and calibration

4.9 PPMP PART 9: PROFESSIONAL SERVICES OUTPUT MANAGEMENT

The PPMP must address appropriate controls for managing professional services outputs and associated
documentation as well as the related responsibilities and authorities of the senior officer, Responsible Members,
licensed professionals, and staff.

4.9.1 Originals and Copies

The PPMP must include or reference policies or procedures on how original PWPs, and copies of them, are marked
and controlled as outlined in the practice standard Authenticating Professional Work Products.

4.9.2 Revision Control and Transmittals

The PPMP must include or reference policies or procedures for revision control and transmittals of professional
services outputs.

4.9.3 Retention
The PPMP must include or reference policies or procedures on how permit holders will manage retention of
professional services outputs and must be kept for as long as the professional services outputs it references are in
service, or the lifetime of the work if relevant. Permit holders must consider applicable regulations, standards, and
codes, and the lifespan of PWPs as outlined in the practice standard Authenticating Professional Work Products.
The PPMP must also describe if and how copies of PWPs will be provided to employees or contractors in the case
of a claim made against them.

4.9.4 Storage and Disposal

The PPMP must include or reference policies or procedures on how permit holders manage safely storing and
disposing of professional services outputs, including:
• storage format (hard copy, electronic, digital)

• storage security (including access, ownership, and protection from loss, damage, and deterioration)

• retrieval

• disposal

The permit holder must ensure compliance with applicable regulations, standards, and codes.

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