SECTION
1 - INTRODUCTION
1.1
Professional Practice
Alberta's
Engineering, Geological and Geophysical Professions Act (the
EGGP Act) gives engineers, geologists and geophysicists the
privilege of self-governance. The Act empowers APEGGA to regulate
the practice of those professions. The privilege of self-governance
carries with it the obligation to ensure that members of the
professions maintain high standards of professional practice.
Accordingly, APEGGA members are expected to conduct themselves
in a manner that
a)
is in the best interests of the public,
b)
is in accord with the code of ethics established for the professions,
c)
maintains or improves the standing of the profession generally,
and
d)
demonstrates knowledge, skill and judgment in the practice
of their professions.
Self-governance
was granted to professional engineers, geologists and geophysicists
because it was deemed to be in the public interest to do so.
The driving consideration has always been public safety and
welfare.
The
Act does not distinguish between practice as a consultant or
practice through a company. It applies to all professional
practice.
Professional
engineers, geologists and geophysicists are accountable for
their profession generally, their own professional practice,
and for the practice of professionals under their supervision.
In addition to preserving ethical standards, professional members
and permit holders are responsible for ensuring that they,
and those under their supervision or control, have maintained
appropriate levels of competency.
Further
discussion of the professions and professionalism may be found
in the APEGGA publications "Concepts of Professionalism" and "the
Practice of the Professions of Geology and Geophysics" which
are available from the APEGGA offices in Edmonton and Calgary.
1.2
The Engineering, Geological and Geophysical Professions Act
The
engineering, geological and geophysical professions in Alberta
are governed by provincial legislation:
• The
Engineering, Geological and Geophysical Professions Act, 1985;
and
• Alberta
Regulation 244/81 and Amendments.
The
EGGP Act deals with:
• who
may practice the professions
• protection
and use of title
• custody
and application of member and permit-holder stamp or seal
• structure
of the Association
• making
Regulations of the Association
• establishing
By-Laws of the Association
• mandatory
Boards and Committees
• registration
of members and permit holders
• the
discipline and appeal process
• prohibitions
and penalties
The
definitions of the practice of engineering, geology and geophysics
are set out in Sections 1(m), (n) and (o) of the EGGP Act,
1985, and are included in the glossary.
SECTION
2 - ROLES AND RESPONSIBILITIES
2.1
The Role of APEGGA
APEGGA
is the administering body which governs the practice of the
professions of engineering, geology and geophysics in the Province
of Alberta.
APEGGA's
Council may make regulations and by-laws in accordance with
the Act, covering such areas as:
• categories
of membership, qualification, etc.
• technical
standards for the professions
• establishing
a code of ethics
• procedures
of discipline committee and practice review board
• registration
of permit holders
• use
of stamp or seal
• registration
of technologists
• enforcement
of the Act
• administrative
by-laws
The
EGGP Act requires APEGGA to establish a Discipline Committee
to investigate complaints about the conduct of a member or
permit holder. Disciplinary action may be taken for unskilled
practice or unprofessional conduct. The Discipline Committee
uses the following definitions:
Unskilled
practice of the professions is practice by an APEGGA
member which is deemed by the member's peers to be below
the standards of practice acceptable to the Association either
in technical competence, or in the overall performance of
the scope of services undertaken.
Unprofessional
conduct is conduct by an APEGGA member which is in violation
of the Code of Ethics, or which is otherwise inappropriate
for professionals, regardless of whether or not the conduct
arises within the member's professional practice.
2.2
The Responsibilities of APEGGA Members and Permit Holders
All
APEGGA members and permit holders are responsible and accountable
for practicing in a professional manner -- ethically, competently
and in compliance with the EGGP Act. Permit holders are further
obligated to provide an environment which ensures that appropriate
standards of professional conduct and technical competency
are maintained, and to support professional employees in discharging
their legal and ethical duties under the EGGP Act.
The
obligation of APEGGA members and permit holders to practice
in an ethical manner is defined in the APEGGA Code of Ethics.
The Code defines a standard of professional conduct expected
of engineers, geologists, geophysicists and permit holders.
It consists of a preamble, which provides brief statements
of ethical principles, and eleven enforceable Rules of Conduct.
The Rules of Conduct deal with the following matters:
• public
safety, human welfare and the environment
• competence
and knowledge
• signing
and sealing documents
• faithful
agent and trustee
• conflict
of interest
• confidentiality
of information
• overruling
professional judgment
• securing
assignments
• professional
advertising
• conduct
towards others
• reporting
unskilled practice and/or unprofessional conduct
The
APEGGA document "Guideline
For Ethical Practice V2.0" provides an amplification
and interpretation of the Code of Ethics, complete with illustrative
case studies.
SECTION
3 - QUALITY MANAGEMENT AND PROFESSIONAL PRACTICE
In
the context of professional practice by APEGGA permit holders,
quality management is concerned with the following:
• providing
conditions conducive to professional practice,
• maintaining
a level of technical competency which is commensurate with
the professional service being provided,
• providing
assurance that work is done competently and with due diligence,
• coordinating
the efforts of project teams, and
• ensuring
that appropriate and sufficient records are kept.
This
section deals with quality management issues which impact the
ability of professional organizations to practice professionally
and maintain appropriate quality standards. A professional
organization should give consideration to these issues in planning
for effective professional practice management.
The
term "professional organization" is used throughout
the following discussion, and means an individual practitioner
or permit holder undertaking the practice of engineering, geology
or geophysics. Consulting, service and operating companies
are included. References to the "client" include
clients who may be internal or external to the organization.
While
the information in this section addresses the concerns of professional
organizations, the principles discussed apply to all members
engaged in professional practice.
3.1
Management of a Professional Organization
The
management of a professional organization affects the ability
of the organization and its staff to meet its professional
obligations. Some of the key factors in effective management
of a professional organization are discussed below.
3.1.1
Purpose
The
Statement of Purpose or Mission Statement of the professional
organization defines corporate philosophy and long range objectives,
and establishes a sense of responsibility to employees, clients
and the public. This statement restricts the scope of practice
to areas of competence, and becomes the central focus for future
planning.
The
statement of purpose must have the support of, and be communicated
to, employees at all organizational levels.
3.1.2
Strategic Planning
A
professional organization should have a corporate strategy:
the pattern of objectives, purposes, goals, and major policies
stated so as to define the business of the professional organization,
and the kind of professional organization it is or is to be.
Strategic
planning provides support for the professional organization,
a strategy describing where it plans to be in the future --
targets, goals or objectives, and a plan of how it intends
to accomplish its goals.
The
formulation of strategy should balance both internal and external
factors:
• internally,
the strengths and weaknesses of the professional organization,
and the personal values of its key personnel, and
• externally,
the opportunities in the industrial environment, and the broader
societal expectations of the professional organization.
With
a strategic plan, overall strategy and purpose impact decision
making at all levels and in all functions. The plan must be
communicated with clarity so as to influence action throughout
the professional organization.
3.1.3
Organizational Structure
A
clearly defined organizational structure is essential for effective
communication and control.
Authority
for operational decisions within the professional organization,
and special alternative organizational arrangements established
for special projects, should be clearly established.
3.1.4
Facilities, Resources, and Equipment
The
professional organization must provide access to the appropriate
tools to do the work effectively.
The
work environment and technical support available have a direct
influence on efficiency and ability to offer quality services.
The quality of working conditions, facilities, equipment and
technical resources all contribute to the professionalism,
competence and trustworthiness of the firm.
The
professional organization is responsible for providing ready
access to current technical information. Procedures should
be implemented to ensure that design codes, regulations, and
other reference documents used by professionals are kept up
to date.
3.1.5
Loss Control and Risk Management
Loss
control is anything done to reduce personnel, material
or financial loss. It includes the prevention of exposure
to loss, the reduction of loss when loss-producing events
occur, and the mitigation or reduction of risk.
Effective
loss control requires a quality program which incorporates
organizational, operational and public relations considerations.
Support for the quality program must be evident in the way
the professional organization organizes, selects staff and
executes assignments. The professional organization should
have an effective loss control program.
Risk
management is a proactive approach focusing on losses
before they occur, and dealing with factors which can impose
injury to personnel or cause a material loss. It addresses
the facilities, procedures, practices, and organizational
strategies of the professional organization.
Risk
management in a professional organization requires the consideration
of many factors which may vary from one organization to another.
Some of the primary concerns of risk management are:
• assessing
the risk factors and potential liabilities associated with
decisions, changes in procedures, or new situations not covered
by established procedures,
• funding
the exposure to risk,
• establishing
a risk management program, and
• practicing
effective dispute resolution methods.
Risk
management, loss control through quality management, and dispute
resolution are discussed from a professional practice point
of view in the APEGGA guideline "Management of Risk
in Professional Practice".
3.1.6
Negotiating and Contracting Policies
The
business practices for negotiating and contracting professional
services must conform to the standards of conduct required
of APEGGA members and permit holders, and must also respect
and complement the duties and ethics of other professionals.
The
scope of assignment, the fee structure that reflects the services,
and the quality of the completed work, must all be established
with care.
The
process of negotiations and contractual agreements must reflect
public protection, satisfy client needs, and act in fairness
and good faith towards others.
Consultants
should avoid conflict of interest situations and must declare
any existence of potential conflict to the affected parties
for formal approval before continuing.
The
prime consultant is responsible for engaging appropriately
qualified sub-consultants to respond to client needs.
The
roles between client and consultant should be clearly defined
with respect to planning, financing, management and coordination
of a project.
3.1.7
Human Resource Management
Professional
staff are key contributors to the performance of a professional
organization. Human resource management practices should be
fair and equitable to encourage high levels of employee motivation
and performance.
A
professional organization will benefit from having and demonstrating
a commitment to the individual professional's career development.
Such a commitment fosters employee motivation and morale, and
so contributes to performance and productivity.
The
primary responsibility for career development lies with the
individual professional. Where the professional is employed
by a firm which is large enough to allow for substantial advancement
or capability development, it will be in the interest of both
the firm and the individual to do joint planning for career
development. Such plans would consider additional training
requirements, new and challenging project assignments and provision
of adequate leadership and mentoring.
The
advancement of qualified staff to positions of greater responsibility
demonstrates commitment to employee career development. Promotion
from within should be encouraged, with exceptions made where
the needs of the organization in experience, skill or knowledge
cannot be met by current staff.
An
effective performance management program is also a strong factor
in maintaining employee motivation. Such a program should monitor
performance against expectations in a fair, equitable and systematic
manner. Feedback should be provided on a regular basis. Objective
and open discussion of strengths and weaknesses, particularly
with respect to technical competence, should be encouraged.
3.2
Professional Competence
A
professional organization requires an effective program to
ensure continuing competence of its professional staff. Such
a program should go beyond technical knowledge and project
execution skills; it should recognize and encourage characteristics
such as integrity, ethics and reliability that are associated
with professional responsibility.
3.2.1
Selection of Staff
Registration
is required for all engineers, geologists and geophysicists
engaging in the practice of their respective professions. The
professional organization must make professional registration
a condition of employment for those who will carry out professional
assignments on behalf of the firm.
Professional
competence should be the primary factor in selection of personnel
for professional assignments. In addition, personnel selected
for professional assignments should be fully qualified professionals
with an established reputation for integrity, reliability and
ethical practice.
Both
the professional organization and its professional employees
should ensure that any concerns about the individual professional's
ability to handle an assignment are brought forward and resolved
expeditiously. Where appropriate, employees should be encouraged
to seek specialized advice from other staff in the professional
organization or, if necessary, from outside the organization.
Professionals-in-training
should be recruited only for positions in which sufficient
supervision and support are available to enable these employees
to become qualified professionals.
3.2.2
Professional Development
A
professional organization must ensure that each professional
staff member maintains technical competence in all areas in
which professional services are offered. Staff members should
be encouraged to participate in appropriate education and training
programs, such as:
• Formal
training sessions conducted by the organization or by recognized
outside organizations.
• Informal
on-the-job training under the guidance of qualified personnel.
• Encouragement
of informal information sharing between employees through workshops
and networks.
Regardless
of the degree of educational support provided by the firm,
individual professionals are obligated to maintain their own
technical competence in all areas in which they practice as
professionals. In addition to informal and formal training
programs, professionals should actively participate in appropriate
professional and technical societies.
3.2.3
Training in Current Codes and Standards
A
professional organization must ensure that all professional
staff are trained in the use of current design codes, quality
standards, applicable regulations, and other relevant documents
and techniques. Individual professionals have a complementary
obligation to ensure that they, and those under their supervision,
maintain appropriate levels of training and awareness of these
codes and standards.
3.2.4
Communication and Teamwork Skills
Well-developed
communication skills are key to maintaining effective communications
with all stakeholders. Improvement in proficiency should be
encouraged by the firm and actively pursued by the individual.
Teamwork
among professionals is becoming increasingly important. Well-developed
team building and interpersonal skills are important to efficiency
and effectiveness. Where appropriate, training in the principles
and techniques of working in team situations should be obtained.
3.3
Management of Technical Quality
Effective
management of technical quality should be a primary goal of
all professional organizations and associations. As a minimum
standard, professional organizations should establish practices
that ensure the following:
• technical
work is carried out competently and in accord with applicable
codes and standards,
• appropriate
independent checks of concepts, processes and procedures are
carried out,
• qualified
personnel conduct field reviews of projects during construction,
and
• complete
design and review files are retained in safekeeping until the
liability period expires (currently lifetime for professional
members under the Alberta Limitations Act).
3.3.1
Design Standards
A
professional organization will frequently find that certain
aspects of its professional practice can be handled more effectively
if some basic standards and specifications are defined and
followed. The organization must ensure that:
• its
standards and specifications comply with all applicable codes,
regulations and external standards,
• standards
are kept current,
• changes
to standards are fully evaluated prior to acceptance,
• standards
are well-documented and easily accessible,
• the
use of the standards is clearly understood, and
• new
employees are provided with appropriate training.
3.3.2
Quality Control Procedures
Effective
procedures should be in place to ensure that an appropriate
standard of technical quality is maintained. In any situation
which can impact public protection, the professional organization
should provide for independent confirmation of computations,
reports, drawings and design specifications, and ensure appropriate
documentation of the results. This confirmation may come from
within the organization, but it is preferable that there be
no direct involvement with the project being checked. Individual
practitioners will also, at times, need outside verification
of critical work.
The
formal quality assurance process may involve:
• confirming
concepts, technical calculations, analyses, drawings and report
drafts for conformance to the firm's standards and to skilled
practice,
• confirming
that applicable codes, deed restrictions and jurisdictional
constraints have been adhered to, and
• independent
review of final deliverables and key intermediate documents,
complete with back-checking to make sure that requested corrections
have been completed.
Change
control procedures should be established to ensure that changes
to previously approved documents are fully reviewed for compliance
with technical and design standards, and that any impact caused
by these changes on other documentation is recognized and taken
into account.
3.3.3
Use of Computers
The
practices of professionals in engineering, geology and geophysics
have become increasingly dependent on computers. Professionals
must be mindful of the difficulties that can exist and exercise
due diligence.
Computer
software development is based upon many assumptions, judgments
and interpretations that can lead to subtle limitations in
computed results. The professional organization and its professional
employees are responsible for verifying that the results obtained
from computer software are accurate and acceptable. Where appropriate,
new software releases should be verified against a standard
and certified for general use.
All
computer programs, and especially those generated internally,
should be documented thoroughly as to assumptions, methods
of operation and limitations. Appropriate file back-up procedures
should be implemented. The firm should also ensure that all
computer users are appropriately trained and have developed
sufficient skill to use the equipment and software effectively.
3.3.4
Quality During Construction
It
is important, where possible, that professional organizations
and individual professionals continue to be involved in their
projects in the construction phase. Change orders and modifications
to contracts must be properly documented, distributed and kept
current.
Clear
lines of responsibility and authority must be established for
field personnel. Construction phase communications must conform
to contractual obligations and responsibilities.
Procedures
should be established for accepting, reviewing, approving and
returning shop drawings. Reviews by junior or inexperienced
personnel should be monitored by senior professionals.
3.3.5
Communication and Records
Accurate
and well-documented records of communications are important
to any professional organization. Miscommunication can be costly,
and in the worst case, can place lives at risk. The professional
organization should establish procedures for handling and documenting
communications.
Accurate
and complete records should be kept for all projects until
the professional liability period expires. These records would
include documentation of the methodology used in performing
professional work, drawings, design calculations, shop drawings,
reports and other communication documents.
3.4
Project Management and Execution
Most
activities conducted by a professional organization require
some project management. Successful project management involves
the establishment of systems which clearly define the organizational
structure, lines of communication, project scope and quality
management system, combined with provision of appropriate professional
expertise. Key components in the management of a project include:
• definition
of the assignment or project
• development
of work plan, budget and schedules
• organization
of the project team
• implementation
of the assignment
• project
close-out
3.4.1
Project Planning
For
each project, a plan should be developed to confirm project
objectives and concepts, cost limitations, functional description,
site data, code restrictions, time restrictions, project team
composition and coordination of technical disciplines.
Each
project should establish a project organization which identifies
personnel, lines of communication, and lines of authority.
Each technical discipline should be led by a professional member
with appropriate backup. All team members should clearly understand
their roles and responsibilities for the project.
Project
work plans should be documented in a form that can be used
for tracking project progress and determining the impact of
changes. A system should be in place to document and confirm
all changes to schedule, cost and project scope.
3.4.2
Quality Control Procedures
Effective
project management requires the establishment of quality standards
and the processes to be used to ensure compliance. This should
include identification of critical stages at which reviews
and sign-offs are required and the follow-up to ensure that
the reviews are undertaken.
Effective
quality assurance and control processes are particularly important
in constructed projects. The American Society of Civil Engineers
has published a guide entitled "Quality in the Constructed
Project" which is an excellent reference document.
Chapter 19 deals specifically with quality assurance and quality
control considerations.
Some
clients may require that their design standards be used. A
senior professional should review the proposed design standards
and ensure that they conform with good professional practice.
3.4.3
Project Communications and Records
The
project plan should emphasize the importance of accurate and
well-documented communication. Regular meetings should be held.
Procedures should be developed for recording all communications,
including identifying when verbal communications will be confirmed
in writing.
A
document control and file management system should be in place
to ensure that documentation is kept up to date, and to facilitate
retrieval of project information. Procedures should ensure
that only current documents, drawing and specifications are
being used or issued. A policy should be in place which sets
out file backup and archival requirements.
3.4.4
Cost Estimation and Control
The
project plan should identify a target cost or budget. The ability
to estimate and track costs is essential to effective project
management. Procedures for preparing cost estimates and tracking
expenditure commitments should be established.
3.4.5
Preparing Tender and Contract Documents
Standard
policies and procedures should be established for preparing
tender and contract documents.
A
system for control of tender documents and handling addenda
during tendering should be included. Project management staff
should be trained in presiding at tender openings, evaluating
tenders and recommending contract awards.
Standard
company contract forms and general conditions of contract should
be subject to professional and legal reviews on a regular basis.
Personnel should understand the organization's role and responsibilities
within the context of these documents.
3.4.6
Construction Management and Review
Professional
organizations involved in project management are encouraged
to include construction observation in their scope of work.
The objective is to ensure effective communication of the design
to the construction contractor.
Communication
procedures should be established for the construction period.
Systems should be in place for handling change requests, change
orders, progress payment processing, shop drawing reviews and
other documentation.
Project
managers should review field reports promptly and follow-up
as required. Field personnel should be given clear lines of
responsibility, authority and reporting expectations.
Disputes
should be acted on immediately. Dispute resolution is discussed
in the APEGGA guideline "Management of Risk in Professional
Practice".
3.4.7
Project Close-Out
Complete
documentation of original design, change orders, project history
and as-builts are essential. Standard policies and procedures
should therefore be established for closing out projects. These
procedures should include archiving requirements, close-out
communications, sign-off requirements and final project evaluation.
3.5
The Professional Practice Management Plan
Development
and implementation of a Professional Practice Management Plan
(PPMP), is an effective way to address quality management issues.
A PPMP is a written description of corporate policies, procedures
and systems used to ensure that appropriate standards of Professional
Practice are maintained. As a minimum, a PPMP would address
the following:
• Ethical
Standards - ensuring that the professional practice of the
organization is carried out in accordance with the Code of
Ethics
• Professional
Responsibility - ensuring that the work is carried out by appropriately
qualified professionals. This would include items such as establishing
clear lines of professional responsibility, assignment of appropriately
skilled staff and continuing competence of professionals.
• Quality
Assurance - ensuring that appropriate technical standards are
maintained. This would include items appropriate and applicable
to the specific professional practice of the organization.
Items which might be addressed include definition of project
scope and objectives, conceptual review of designs, use of
codes and standards, checking of designs, calculations, drawings
and reports, management of design changes, and field and shop
reviews during construction.
• Records
Management and Document Control - ensuring that appropriate
and sufficient records are kept and available.
• Communication
and Control - Policies that ensure that the PPMP is understood
and followed throughout the organization.
A
PPMP would vary considerably in complexity, degree of detail
and specific content depending on the size and nature of the
professional organization. Consulting and operating companies
will have very different needs. The PPMP would address the
specific needs of the organization, and would be as simple
or complex as the individual organization requires.
A
PPMP need not duplicate existing documentation. Supporting
and/or more detailed documentation may be incorporated by reference,
and need not be rewritten or summarized for inclusion in the
PPMP.
SECTION
4 - PEER REVIEW
4.1
Purpose of Peer Review
Peer
review is a technique used by organizations and individuals
to assess performance and identify potential improvements.
In the context of this guideline, peer review is an important
technique that can be used to improve standards of professional
practice within professional organizations. APEGGA does not
plan to make peer review a mandatory process.
4.2
Characteristics of Peer Reviews
The
peer review process is best defined by the following outline
of distinguishing characteristics:
• A
peer review is conducted by peers. A peer is generally defined
as a person, or group with a similar level of technical or
managerial expertise to that of the party being reviewed.
• Peers
are independent of the subject of the review.
• A
peer review is a special effort, not a routine process.
• A
peer review has a specified purpose, scope, format, and duration.
• Peer
review includes a commissioning, a beginning, a report, an
end, and decommissioning.
• A
peer review is paid for by the commissioning authority who
benefits from the review.
• A
peer review addresses the organization as opposed to the individuals
making up the organization.
• A
peer review is intended to produce results.
Peer
review can be conducted as an internal procedure utilizing
staff from other parts of the corporation. Beyond these internal
reviews, however, occasional external reviews are encouraged.
4.3
Key Elements of a Peer Review
The
following is a summary of the key elements of a peer review
that are relevant to professional organizations in reviewing
professional practice.
a)
Commissioning Authority -
The
commissioning authority for the peer review will normally be
the professional organization wishing to be reviewed.
b)
Breadth of Practice Reviewed -
Professional
organizations are encouraged to conduct peer reviews on the
portions of the organization involved in professional practice.
Peer review can also be extended to cover other aspects of
the organization's business.
c)
Standards for Comparison -
The
APEGGA Code of Ethics , the guidelines outlined in this and
other APEGGA guidelines, and other well-recognized industry
standards are intended to represent the standards for comparison.
d)
Selection and Qualifications of Peer Review Team -
Selection
of the peer review team is normally the responsibility of the
subject professional organization. Peer reviewers should be
trained and registered, where appropriate, with the peer review
program that they are working under. It is preferable that
peer reviewers be APEGGA members, and familiar with requirements
of the professions in Alberta. If reviewers come from other
jurisdictions, they should be qualified professional engineers,
geologists or geophysicists.
e)
Extent of Organization To Be Reviewed -
Many
professional organizations have several offices. The peer review
should achieve broad coverage. If all offices cannot be reviewed,
a sampling of each type and size of office should be included
in the review in order for the organization to appreciate the
unique problems associated with each.
f)
Reports and Records -
The
findings should be reported in confidence to the commissioning
authority, and a record maintained for future follow up. Some
existing programs are based on the provision of a verbal report
by the reviewers therefore a record of the report may be a
responsibility of the commissioning authority.
g)
Follow up Action -
The
success of the peer review is entirely dependent on the follow
up action taken by the subject professional organization. The
first step should be a prioritization of issues requiring follow-up
and the development of a plan to address them. Action plans
should be communicated to staff as appropriate.
h)
Frequency of Review -
Reviews
should be undertaken at intervals appropriate to the organization,
preferably not exceeding five years. This will allow the organization
some measure of the success of its follow up action from previous
reviews, and will maintain an awareness of areas where improvements
can be achieved.
4.4
Summary of Available Programs
The
following is a summary and description of available peer review
programs. Appendix B includes contact addresses and phone numbers
for each of these programs.
4.4.1
Professional Associations
a) Association
of Consulting Engineers of Canada
The
ACEC has established a Peer Review Program which is recommended
for use on a voluntary basis by its members. The program
involves an in-depth review of a consulting firm's company
objectives, policies and procedures and then examines its
compliance with these policies and procedures. The Association
does not have any other direct involvement in the process.
The Program is an extension of the American Consulting Engineers
Council Program.
b) American
Consulting Engineers Council
The
Council established a Peer Review Program in the mid 1980's.
The program is completely voluntary. The areas covered by
the program include:
• Overall
Management
• Development
and Maintenance of Technical Competence
• Project
Management and Execution
• Human
Resources Management
• Financial
Management
• Business
Development
The
program is documented in a detailed manual entitled "Peer
Review Practices and Procedures of Design Firms".
The program has rapidly expanded in use by the Council and
its member firms as well as affiliated professional engineering
organizations in the United States. There are currently several
hundred trained reviewers in the U.S.
c) The
American Society of Foundation Engineers
The
American Society of Foundation Engineers, the Association
of Engineering Firms Practicing in the Geosciences, has developed
a peer review program with the stated purpose of improving
quality of practice and service to the profession. It is
a voluntary program, and covers the following areas:
• Business
Management
• Facilities
and Technical Resources
• Human
Resources Management
• Professional
Development
• Project
Management
• Financial
Management
• Marketing
Practices
d) American
Society of Civil Engineers
The
ASCE has developed a Peer Review Program for Public Agencies.
The objective of the program is to help public sector engineering
and/or construction agencies improve the management and quality
of their services and thus better protect the public. Administration
of the program is similar to the ACEC and ASFE programs.
The program covers the following areas:
• Organizational
Management
• Project
Management
• Emergency
Management Procedures
• Technical
Practice and Procedures
• Human
Resource Management
• Financial
Management
• Public
Relations Practices
4.4.2
Standards Associations
There
are many standards associations which have established effective
quality management programs, as opposed to true peer review
programs. Some of the programs available outside of the U.S.
are summarized below.
a) British
Standards Institute
The
British Standards Institute has a third party certification
program for Quality Assurance Systems. This certification
can be applied for by engineering organizations such as consulting
engineering firms, manufacturers, etc. Many clients in the
U.K. require that firms contracting services to them have
this certification.
b) Canadian
Standards Association
The
CSA sets out audit and quality assurance standards for evaluating
engineering systems in the context of a peer review program.
The
Quality Management Institute is a not-for-profit division
of CSA that undertakes certified quality management audits
for companies on request and provides training in auditing
quality systems. QMI carries out the audits in accordance
with the requirements of CSA Standard Q395.
CSA
Quality Assurance Standards have been directed towards product
manufacturing organizations as opposed to engineering design
organizations. Emphasis is placed on technical competence
and very little attention is given to the business practices
of the organization.
c) International
Standards Organization
ISO
Standard 9000 sets out standards for quality assurance under
a multi-level system. It is very similar in scope to CSA
Quality Assurance Standards and is widely used as a basis
for quality management certification.
Glossary
Member
A
member of APEGGA is an individual who holds a certificate of
registration and is authorized to engage in the practice of
engineering, geology or geophysics under the EGGP Act.
Permit
holder
A
permit holder is a partnership or other association of persons
or a corporation that holds a permit to engage in the practice
of engineering, geology or geophysics under the EGGP Act.
Practice
of Engineering
In
the EGGP Act "practice of engineering" means
(i)
reporting on, advising on, evaluating, designing, preparing
plans and specifications for, or directing the construction,
technical inspection, maintenance or operation of any structure,
work or process
(A)
that is aimed at the discovery, development or utilization
of matter, materials or energy or in any way designed for
the use and convenience of man, and
(B)
that requires in the reporting, advising, evaluating, designing,
preparation or direction the professional application of
the principles of mathematics, chemistry, physics or any
related applied subject, or
(ii)
teaching engineering at a university
Practice
of Geology
In
the EGGP Act "practice of geology" means
(i)
reporting, advising, evaluating, interpreting, geological surveying,
sampling or examining related to any activity
(A)
that is aimed at the discovery or development of oil, natural
gas, coal, metallic or non-metallic minerals, precious stones,
other natural resources or water or that is aimed at the
investigation of geological conditions, and
(B)
that requires in that reporting, advising, evaluating, interpreting,
geological surveying, sampling or examining, the professional
application of the principles of the geological sciences,
or
(ii)
teaching geology at a university
Practice
of Geophysics
In
the EGGP Act "practice of geophysics" means
(i)
reporting on, advising on, acquiring, processing, evaluating
or interpreting geophysical data, or geophysical surveying
that relates to any activity
(A)
that is aimed at the discovery or development of oil, natural
gas, coal, metallic or non-metallic minerals or precious
stones or other natural resources or water or that is aimed
at the investigation of subsurface conditions in the earth,
and
(B)
that requires in that reporting, advising, evaluating, interpreting,
or geophysical surveying, the professional application of
the principles of the geophysical sciences, or
(ii)
teaching geophysics at a university
Profession
A
profession is a learned calling characterized by specialized
skills, distinctive functions and a high degree of responsibility
inherent in its practice. It requires the application of mature
seasoned judgment to situations where many alternative actions
are possible and where many persons can be significantly affected
by the ultimate decisions taken.
Professional
Organization
As
used in this document the term "professional organization" means
an individual practitioner or permit holder undertaking the
practice of engineering, geology and/or geophysics as set forth
in the EGGP act. Consulting, service and operating companies
are included.
Responsible
Member
A
responsible member under the permit to practice is a professional
member or licensee of APEGGA, and a full-time employee or member
of the permit holder's organization, who accepts responsibility
for ensuring that appropriate standards of professional practice
are maintained within the organization.
Unskilled
Practice
Unskilled
practice of the professions is practice by an APEGGA member
which is deemed by the member's peers to be below the standards
of practice acceptable to the Association either in technical
competence, or in the overall performance of the scope of services
undertaken.
Unprofessional
Conduct
Unprofessional
conduct is conduct by an APEGGA member which is in violation
of the Code of Ethics, or which is otherwise inappropriate
for professionals, regardless of whether or not the conduct
arises within the member's professional practice.
Appendix
A
Appendix
B
PEER
REVIEW PROGRAMS
Certain
organizations which conduct peer review programs are identified
in section 4.4. Contact addresses for these organizations follow.
Association
of Consulting Engineers of Canada
130 Albert St., Suite 616
Ottawa, Ontario Canada
K1P 5G4
American
Consulting Engineers Council
1015 15 Street N.W.
Washington D.C. U.S.A.
20005
American
Society of Foundation Engineers;
The Association of Engineering Firms Practicing in the Geosciences
8811 Colesville Road, Suite G106
Silver Springs, Maryland U.S.A.
20910
American
Society of Civil Engineers
345 East 47 Stree
New York, New York U.S.A.
10017 - 23982
