Part 1: Intro, I. Professionalism, and II. Ethics *OSPE and OSPE logo trademarks owned by, and use is authorized by The Ontario Society of Professional Engineers (“OSPE”). © 2020 by OSPE and ExPS. All Rights Reserved. No part of this publication may be reproduced, distributed, transmitted, or stored in a retrieval system in any form or by any means, including photocopying, recording, or other electronic or mechanical methods, without the prior written permission of OSPE or in accordance with the Copyright Act. Requests for written permission should be made to: lweissling@ospe.on.ca Run by APEGA (Association of Professional Engineers & Geoscientists of Alberta) Engineering + Geoscience Multiple Choice 110 Marked Questions & 10 Calibration Questions ▪ At least 10 of the marked questions are PEO-specific 3 Hours Long ▪ Therefore, 90 seconds per question 65% to pass ▪ (Though results are curved using a modified Angoff method) 2 I. II. III. IV. V. VI. Professionalism (7 – 10 Questions) Ethics (17 – 21 Questions) Professional Practice (27 – 32 Questions) Law for Professional Practice (23 – 28 Questions) Professional Law (7 – 10 Questions) Regulation of Members & Discipline Process (7 – 10 Questions) (Numbers may vary to make room for Ontario-specific questions) 3 NPPE Syllabus Ethics Textbook: ▪ Canadian Professional Engineering and Geoscience: Practice and Ethics, by Gordon Andrews, Patricia Shaw, and John McPhee Law Textbooks: ▪ Practical Law of Architecture, Engineering, and Geoscience, by Brian Samuels and Doug Sanders ▪ Law for Professional Engineers by Don Marston PEO Resources: ▪ Ontario Professional Engineers Act & Regulation 941 ▪ PEO Guidelines to Professional Practice 4 Definition and Interpretation of Professionalism and Professional Status 2. The Role and Responsibilities of Professionals in Society 3. Engineering and Geoscience Professions in Canada; Definitions and Scopes of Practice 4. The Value of Engineering and Geoscience Professions to Society 1. 5 The defining elements of a professional (the context is that of the selfregulating professions: engineers, geoscientists, doctors, lawyers, and such versus other occupations): ▪ Have advanced technical knowledge and skills that the public takes on trust ▪ Give service to the public and in the public interest ▪ Are bound by a distinct ethical code ▪ Belong to self-governing organizations that regulate the profession to maintain standards Right to self-regulate is earned Requires participation of members to fulfill self-regulating function ▪ Undergo long and intensive preparation 6 Require continued study and development Characteristics of a Profession: ▪ Specialized Knowledge & Skills at least a university degree required ▪ Renders a Public Service can perform services for the public good Services performed directly for members of the “public”, of public interest ▪ Bound by a distinct Ethical Code some set of rules specific to that profession for how its members should act in delivering service ▪ Long and intensive Preparation ▪ Require Continued Study and Development ▪ Hint: Requires a Licence by some government organization or self-regulating licencing body 7 Characteristics of a Profession: ▪ Specialized Knowledge & Skills B. Eng. or Equivalent teaches “Engineering Principles” ▪ Renders a Public Service Practice of Professional Engineering ▪ Bound by a distinct ethical code The Code of Ethics (Regulation 941 Section 77 for PEO) ▪ Long and intensive Preparation ▪ Require Continued Study and Development ▪ Requires a Licence P. Eng. Licence from PEO (or equivalent in other provinces) 8 From Section 1 of the Professional Engineers Act in Ontario: A1: “practice of professional engineering” means ▪ any act of planning, designing, composing, evaluating, advising, reporting, directing or supervising ▪ that requires the application of engineering principles ▪ and concerns the safeguarding of life, health, property, economic interests, the public welfare or the environment, ▪ or the managing of any such act. 9 Professional licencing is in provincial (or territorial) government jurisdiction These governments usually write Acts which allow the professions to self-regulate via provincial regulatory bodies ▪ AKA: “[Provincial] Regulators” “[Provincial] Associations” ▪ Not the same as: Engineering Societies Unions Technical Societies / Associations / Institutions 10 The regulators write Regulations that specify details of things the Acts reference 11 Engineers and Geoscientists British Columbia Association of Professional Engineers and Geoscientists of Alberta (APEGA) Engineers Geoscientists Manitoba Engineers and Geoscientists New Brunswick Association of Professional Engineers and Geoscientists of Saskatchewan (APEGS) Engineers Nova Scotia Engineers PEI Engineers Yukon Northwest Territories and Nunavut Association of Professional Engineers and Geoscientists (NAPEG) Ordre des ingénieurs du Québec (OIQ) *Govt Oversight Professional Engineers and Geoscientists of Newfoundland and Labrador (PEGNL) Professional Engineers Ontario (PEO) PEO Council ▪ Directs staff to administer the Act and Regulations ▪ Is responsible for making and approving changes to the Regulations ▪ Works with the Ontario Government on changes to the Act ▪ Appoints committees of peers to carry out discipline ▪ Is (mostly) selected from and by the engineers in Ontario that it administers 15-20 Council Members are PEO Members elected by PEO Members 5-7 Council Members are PEO Members appointed by the Lieutenant Governor 3-5 Council Members are not PEO members and are appointed by Lieutenant Governor 12 Principle Object (A3) ▪ Regulate the Practice of Professional Engineering and ▪ govern the ones who do it holders of Licences, Certificates of Authorization, Temporary Licences, Provisional Licences, and Limited Licences ▪ in accordance with the laws about it the Act, the Regulations, and the Bylaws ▪ in order to serve and protect the public interest. 13 Additional Objects (A4) ▪ Establish, maintain, and develop standards of Knowledge & Skill, Qualification & Practice, and Professional Ethics ▪ Promote public awareness of its role ▪ Comply with other government requirements 14 Licence ▪ Member; just called “Licence” by PEO; not discipline-specific Temporary Licence ▪ For visiting engineer from another province, famous engineer from elsewhere, or past P.Eng. to practice here on one project Provisional Licence ▪ To help internationally-trained engineers get a job Limited Licence ▪ For technologists or scientists to practice in a specific field only Certificate of Authorization (CofA) ▪ Business licence; needed to consult (i.e., offer engineering services “directly to the public”) 15 Licence Temporary Licence Provisional Licence Limited Licence Is a P.Eng.? Yes Yes No No Is a Member? Yes No No No Duration? Renewable indefinitely Up to 1 year 1 year with 1 Renewable renew allowed indefinitely Discipline Specific? No Yes No Yes Project Specific? No Yes No No Can Practice Alone? Yes Maybe No Yes Responsible for CofA? Yes Yes No Yes Number 85000+ ~180 ~18 ~1800 16 PEO Member or License Holder (P.Eng.) APEGA Professional Member or Professional Engineer (P.Eng.) Temporary Licence Holder (P.Eng.) NA Provisional Licence Holder NA Limited Engineering Licensee (L.E.L.) Professional Licensee (P.L.) Engineering Intern (E.I.T.) NA Certificate of Authorization Holder or Engineering Firm Member-in-Training or Engineer-inTraining (E.I.T.) Licensee Permit to Practice Holder or APEGA Permit Holder. -While PEO only considers “full” licence holders “members”, APEGA considers all individuals “members” and distinguishes “full” licence holders by calling them “professional members” -APEGA requires Professional Members to be Canadian Citizens or P.R.s; “Licensee” is the membership for people who aren’t but would otherwise qualify for Professional Membership 17 18 PEO is a provincial organization that controls the licensing of professional engineers and qualifies businesses to offer engineering services to the public PEO is bound by provincial legislation (Professional Engineers Act) to standardize and regulate the practice of engineering in Ontario PEO is about the protection of the public. 19 OSPE is the professional association that advocates on behalf of Ontario professional engineers. This advocacy includes liaising with the government and offering member services. It provides engineers with professional development opportunities. OSPE is about advocacy and promoting the economic and professional interests of engineers. OSPE is the voice of the engineering profession in Ontario OSPE advances the professional and economic interests of members by advocating with governments, offering valued member services, and providing opportunities for ongoing professional development PEO OSPE 20 Protection of the Public Advocacy / Support for Engineers Skilled and regulated practice Personal accountability and responsibility for own professional practice Accountable for the professional practice of those under their supervision Dependence on the confidence of stakeholders: employers, clients, authorities, public Justify and uphold trust from the stakeholders Protection of the public ▪ Definition of the public in different circumstances – general public, client, employer, fellow workers ▪ Definition of protection – physical safety, physical protection, physical failures, environmental protection, economic safety 21 What is the “public”? ▪ Different things in different contexts; ▪ Usually means everyone (equally; without regard for special status like “employer”, “client”, or “self”) ▪ Sometimes (e.g., when you’re considered “consulting” and PEO’s CofA is needed) means everyone except yourself and your employer. What is “public welfare”? ▪ General goodness for everyone ▪ What everyone is interested in ▪ What’s in society’s collective best interest in having / maintaining 22 Protecting & enhancing public welfare is the primary obligation of any engineer: ▪ R77.2.i, excerpt from Ontario’s Code of Ethics: “[A practitioner shall] regard the practitioner’s duty to public welfare as paramount” It’s also the main reason for licencing & regulation itself: ▪ A2, Principal Object of PEO: “The principal object of the Association is to regulate the practice of professional engineering and to govern its members, holders of certificates of authorization, holders of temporary licences, holders of provisional licences and holders of limited licences in accordance with this Act, the regulations and the by-laws in order that the public interest may be served and protected.” 23 Licences restrict unlicensed people from practicing except when supervised by a licence holder From section 12 of Ontario’s Professional Engineers Act (i.e., “A12”): Licensing requirement 12 (1) No person shall engage in the practice of professional engineering or hold himself, herself or itself out as engaging in the practice of professional engineering unless the person is the holder of a licence, a temporary licence, a provisional licence or a limited licence. R.S.O. 1990, c. P.28, s. 12 (1); 2001, c. 9, Sched. B, s. 11 (16). Certificate of authorization (2) No person shall offer to the public or engage in the business of providing to the public services that are within the practice of professional engineering except under and in accordance with a certificate of authorization. R.S.O. 1990, c. P.28, s. 12 (2). 24 Exceptions (3) Subsections (1) and (2) do not apply to prevent a person, (a) from doing an act that is within the practice of professional engineering in relation to machinery or equipment, other than equipment of a structural nature, for use in the facilities of the person’s employer in the production of products by the person’s employer; (b) from doing an act that is within the practice of professional engineering where a professional engineer or limited licence holder assumes responsibility for the services within the practice of professional engineering to which the act is related; (c) from designing or providing tools and dies; (d) from doing an act that is within the practice of professional engineering but that is exempt from the application of this Act when performed or provided by a member of a class of persons prescribed by the regulations for the purpose of the exemption, if the person is a member of the class; (e) from doing an act that is exempt by the regulations from the application of this Act; (f) from using the title “engineer” or an abbreviation of that title in a manner that is authorized or required by an Act or regulation. ... 25 Offences and penalties Offence, practice of professional engineering 40 (1) Every person who contravenes section 12 is guilty of an offence and on conviction is liable for the first offence to a fine of not more than $25,000 and for each subsequent offence to a fine of not more than $50,000. R.S.O. 1990, c. P.28, s. 40 (1). Offence, use of term “professional engineer”, etc. (2) Every person who is not a holder of a licence or a temporary licence and who, (a) uses the title “professional engineer” or “ingénieur” or an abbreviation or variation thereof as an occupational or business designation; (a.1) uses the title “engineer” or an abbreviation of that title in a manner that will lead to the belief that the person may engage in the practice of professional engineering; (b) uses a term, title or description that will lead to the belief that the person may engage in the practice of professional engineering; or (c) uses a seal that will lead to the belief that the person is a professional engineer, is guilty of an offence and on conviction is liable for the first offence to a fine of not more than $10,000 and for each subsequent offence to a fine of not more than $25,000. 26 If you are not licensed, you can't use reserved titles or designations in job titles, on resumes, or on social media because the public may believe that you have the right to practise engineering or geoscience. This can endanger public safety. Engineering Reserved Titles & Designations Professional engineer (or P.Eng.) Professional licensee (engineering) (or P.L. (Eng.)) Geoscience Reserved Titles & Designations Professional geoscientist (or P.Geo.) Professional geologist (or P.Geol.) Professional geophysicist (or P.Geoph.) Professional licensee (geoscience) (or P.L. (Geo.)) any title or abbreviation that implies you are licensed with APEGA any title or abbreviation that implies you are licensed with APEGA The word engineer combined with any name, title, description, letter, symbol, or abbreviation that implies you are licensed with APEGA The word geoscientist, geologist, or geophysicist combined with any name, title, description, letter, symbol, or abbreviation that implies you are licensed with APEGA Examples of Engineering Titles & Designations Jane Doe, P.Eng., Structural Engineer Jane Doe, P.L. (Eng.), Civil Engineer Examples of Geoscience Titles & Designations John Smith, P.Geo., Wellsite Geologist John Smith, P.Geo., Hydrogeochemist 27 Exception to Reserved Titles APEGA's Compliance Department decides if a title is being used improperly and if the public would believe that the person can practise engineering or geoscience. For example, if a person working in a bakery uses the job title cupcake engineer, it is unlikely that someone would believe that a cupcake engineer is allowed to practise engineering. Therefore, this title doesn't endanger public safety. 28 Member-in-Training and Student Titles & Designations As a member-in-training, you are not fully licensed but have the right to represent yourself as an engineer or geoscientist if you clarify it with "in training." As a student, you are not fully licensed, which means you must represent yourself in that context. Examples of Engineering Titles for Non-Professional Members ▪ Jane Doe, E.I.T., Civil Engineer-in-Training ▪ Jane Doe, Engineer-in-Training ▪ John Smith, Civil Engineering Undergraduate Student Alternative Titles for Non-Members If you are not licensed to practise engineering or geoscience but work in that industry, here are some alternatives: ▪ Jane Doe, Wellsite Consultant ▪ John Smith, Environmental Scientist ▪ Jane Doe, Construction Manager 29 Corporate Titles & Designations Companies without a Permit to Practice from APEGA are not allowed to practise engineering or geoscience, nor can they use reserved titles. In addition, companies without a permit are not allowed to be incorporated or registered with the words: ▪ engineering ▪ geology ▪ geophysics ▪ geoscience ▪ any variations of those words that would give the public the impression that the company can provide engineering or geoscience services Corporate Title Use Examples ▪ John Doe Consulting Services designs, manufactures, installs, and tests pressure-vessel equipment. Although the company name does not include a reserved title, it is doing engineering work. Therefore, it must have a Permit to Practice from APEGA to legally provide engineering services. ▪ Jane Doe Consulting Services sells pressure vessels. This is not providing an engineering service. Therefore, the company does not need a Permit to Practice. ▪ John Doe Hydrogeological Consulting provides geoscience services but does not have a Permit to Practice. This company must either stop providing this service and change its name or get a permit from APEGA. 30 This topic is considered at a high level. What is considered is: who, what, when, source of authority, reason for, etc. Detailed processes and requirements are considered in other syllabus sections. Provincial and territorial associations ▪ authority to license and self-regulate the professions ▪ authority to discipline and enforce ▪ jurisdiction and independence between associations Right to title and exclusive scope of practice Definition of engineering – "advising, evaluating, designing …. matter, materials, …math, chemistry, physics …" Definition of geosciences – "advising, evaluating, interpreting …. earth sciences … discovery development …math, chemistry, physics …" Professional seals Engineers Canada and Geoscientists Canada – association of associations – non-regulatory – create standards and guidelines – accreditation roles Brief histories The iron and earth rings 31 Your Name Here 32 Engineers have a seal that they place on completed engineering work that is issued to the public R53: Every holder of a licence [etc.] who provides to the public a service that is within the practice of professional engineering shall sign, date and affix the holder’s seal to every final drawing, specification, plan, report or other document prepared or checked by the holder as part of the service before it is issued. It’s professional misconduct to seal something you didn’t actually prepare or check: R72.2.e: [Professional misconduct means] signing or sealing a final drawing, specification, plan, report or other document not actually prepared or checked by the practitioner... 33 More info in topic III.8, and in the Guideline on the Use of the Seal “Association of Associations” – includes all provincial engineering regulators as members 10 Core Purposes (as established by its members, the provincial & territorial regulators) 1. Accrediting undergraduate engineering programs. 2. Facilitating and fostering working relationships between and among the regulators. 3. Providing services and tools that enable the assessment of engineering qualifications, foster excellence in engineering practice and regulation, and facilitate mobility of practitioners within Canada. 4. Offering national programs. 5. Advocating to the federal government. 6. Actively monitoring, researching, and advising on changes and advances that impact the Canadian regulatory environment and the engineering profession. 7. Managing risks and opportunities associated with mobility of work and practitioners internationally. 8. Fostering recognition of the value and contribution of the profession to society and sparking interest in the next generation of professionals. 9. Promoting diversity and inclusivity in the profession that reflects Canadian society. 10. Protecting any word(s), mark, design, slogan, or logo, or any literary, or other work, as the case may be, pertaining to the engineering profession or to its objects. Does not have jurisdiction to regulate the profession directly: that power lies with the provincial governments who have assigned it to the provincial associations. 34 35 The iron ring is part of the culture of engineering in Englishspeaking Canada. The purpose of the iron ring and the iron ring ceremony is to have engineers obligate themselves to the ethical standards and diligent practice standards of the engineering profession. The ring and ceremony are arranged by an organization that has nothing to do with any professional engineering association. The organization that takes care of the ring and ceremony is called the Corporation of the Seven Wardens. Wearing the iron ring does not give legal qualifications or licensure as an engineer, nor is it required for licensed engineers (though it is culturally significant). What does the Iron Ring have to do with being licensed as an engineer? ▪NOTHING! www.ironring.ca Note: • Geoscientists can opt to obligate to the “Earth Ring” which carries a similar meaning • Internationally-trained engineers can still obtain their rings once they’ve met the academic requirements! 36 Economic benefits of work and projects Technology application Technology research and development Infrastructure development Energy research, development, production and generation Products research and development Manufacturing and processing Resource research and development Limits and sustainability 37 The NPPE has fairly straightforward questions mixed with very tricky questions ▪ Multiple answers will often seem correct ▪ There will often be a lot to read, abstract definitions to keep track of, and important easy-tomiss details If more than one answer seems right: ▪ Check if one is only right under a very specific set of circumstances, and you’d need to make a lot of assumptions (which aren’t justified) ▪ Imagine what each answer means and go with your feeling Clue words ▪ very rarely will the right answer be a strong statement “always, never, will, etc.”; it’s a lot easier for a weak statement to be correct “typically, often, usually, can” Predictions ▪ after you read the question, predict the answer first then look for it; if it’s there, you’ve got it. Answer the question that’s actually being asked ▪ correct statements that don’t answer the question (or don’t answer it best given all of its details) are wrong. ▪ You can pick one that seems right and use it as a benchmark, comparing later ones and replacing the benchmark if you find a better one. Go with reasonableness ▪ There’s going to be new questions and questions that you don’t know; don’t panic or leave it blank: go for what seems reasonable and move on 38 Who’s responsible for creating laws governing the engineering profession in Canada? a. The federal government b. The provincial/territorial governments c. The municipal governments d. All government levels 39 An engineer’s duty to protect public welfare could mean protecting the interests of: a. b. c. d. 40 Yourself Your boss & coworkers Someone you’ve never met All of the above Who selects most members of PEO council? a. The Queen’s representative’s representative b. The members of PEO c. The provincial government d. The current PEO council determines the next council 41 42 The following 6 questions are representative of the NPPE (though a bit on the easier side, on average). To practice, try to do them in 6*90 s = 540 s = 9 minutes Who usually regulates the engineering professions? a. The federal government b. The provincial/territorial government c. They regulate themselves d. No one 43 Which of the following actions is not part of PEO’s purpose? a. Working with the government to ensure that legislation is in the best interests of members of the profession b. Developing standards for validating programs for use by software engineers c. Disciplining engineers in Ontario that practice negligently d. Issuing fines when non-licence holders call themselves engineers 44 Who is responsible for laws regulating engineering professions? a. The federal government b. The provincial/territorial government c. They regulate themselves d. Engineers Canada 45 Who of the following’s interest is most associated with an engineer’s obligation to protect the public welfare? a. b. c. d. 46 Yourself Your employer Your client The environment Ultimately, PEO issues engineering licences to: a. Stop non-engineers from practicing engineering b. Keep the prestige of the engineering profession as high as possible c. Serve and protect the public welfare d. Help distinguish the most talented practitioners e. Maximize its revenue 47 Which of the following actions best exemplify an engineer’s duty to the public welfare? a. Reporting an employer’s violation of environmental law to the government b. Developing a medical procedure that saves countless lives c. Using an engineer’s seal whenever appropriate d. Ensuring that fellow practitioners at their office are not contravening the professional engineer’s act 48 The Role of Ethics in Society; Cultures and Customs 2. Ethical Theories and Principles 3. Codes of Ethics of Professional Engineers and Geoscientists in Canada 4. Common Ethical Issues and Dilemmas; Making Ethical Decisions 1. 49 Ethics - the study of right and wrong (morality) Moral principles are developed by societies and groups Laws of a society flow from its moral principles 50 “Legal” means what’s allowed; what will not have consequences for you doing it “Ethical” means what’s morally right; what you should do regardless of consequences 51 Recognition that there are different and contrasting ethical theories/perspectives that can result in different outcomes each considered correct within the given theory. Ethics applied to professional issues from the perspectives of the classical and modern theories The ethical perspectives/theories that form the basis in establishing the Code of Ethics for the professions and that guide disciplinary actions. Ethical Perspectives/Theories – Classical (Exam candidates are not required to know these theories by rote but rather should recognize the principles of the different theories in application.) ▪ Greater good/maximum benefit - utilitarianism ▪ Duty ▪ Human rights ▪ Virtue 52 Divine Command Theory ▪ Morality is declared from a higher power Utilitarianism (Mill) ▪ Do what creates the greatest good for the greatest number of people Duty Ethics (Kant) ▪ Do only things that would always be considered good in any context Human Rights ▪ Uphold the principle of granting everyone at least a set of universal fundamental human rights Virtue Ethics (Socrates) ▪ A virtue is a trait that makes you a good person, so act in a way that maximizes your virtues andyou’ll naturally do the right thing Contractarianism (Gautier) ▪ Right and wrong arises naturally from agreements we’ve made with each-other based on elevated means-end reasoning Optional Further Information: Crash Course Philosophy 53 Level 1: Pre-Conventional 1. Obedience and punishment orientation 2. Self-interest orientation Level 2: Conventional 3. Interpersonal accord and conformity 4. Authority and social-order maintaining orientation Level 3: Post-Conventional 5. Social contract orientation 6. Universal ethical principles 54 Source and legal authority of the codes of ethics ▪ derived from the acts ▪ status Understanding of the core tenets: ▪ Protect the health, safety and welfare of the public ▪ Have regard for the public ▪ Practice only in areas of competence ▪ Conduct themselves with integrity, honesty, fairness and objectivity in their professional activities ▪ Compliance with applicable statutes, regulations and bylaws ▪ Uphold and enhance the honour, dignity, and reputation of their professions ▪ Avoid conflicts of interest ▪ Maintain competence of self and of subordinates ▪ Present the possible consequences of ignoring professional judgments ▪ Report illegal or unethical professional decisions or practices ▪ Promote the equitable treatment of all individuals Use of the codes of ethics in regulating the professions Recognition that minor differences exist between associations 55 Professional misconduct — definition R72. (1) In this section, “harassment” means engaging in a course of vexatious comment or conduct that is known or ought reasonably to be known as unwelcome and that might reasonably be regarded as interfering in a professional engineering relationship; “negligence” means an act or an omission in the carrying out of the work of a practitioner that constitutes a failure to maintain the standards that a reasonable and prudent practitioner would maintain in the circumstances. (2) For the purposes of the Act and this Regulation, “professional misconduct” means, (a) negligence, (b) failure to make reasonable provision for the safeguarding of life, health or property of a person who may be affected by the work for which the practitioner is responsible, (c) failure to act to correct or report a situation that the practitioner believes may endanger the safety or the welfare of the public, (d) failure to make responsible provision for complying with applicable statutes, regulations, standards, codes, by-laws and rules in connection with work being undertaken by or under the responsibility of the practitioner, (e) signing or sealing a final drawing, specification, plan, report or other document not actually prepared or checked by the practitioner, (f) failure of a practitioner to present clearly to the practitioner’s employer the consequences to be expected from a deviation proposed in work, if the professional engineering judgment of the practitioner is overruled by nontechnical authority in cases where the practitioner is responsible for the technical adequacy of professional engineering work, (g) breach of the Act or regulations, other than an action that is solely a breach of the code of ethics, (h) undertaking work the practitioner is not competent to perform by virtue of the practitioner’s training and experience, 56 “failure to disclose an interest that might be prejudicial to the professional judgment of the practitioner in rendering service” (i) failure to make prompt, voluntary and complete disclosure of an interest, direct or indirect, that might in any way be, or be construed as, prejudicial to the professional judgment of the practitioner in rendering service to the public, to an employer or to a client, and in particular, without limiting the generality of the foregoing, carrying out any of the following acts without making such a prior disclosure: 1. Accepting compensation in any form for a particular service from more than one party. 2. Submitting a tender or acting as a contractor in respect of work upon which the practitioner may be performing as a professional engineer. 3. Participating in the supply of material or equipment to be used by the employer or client of the practitioner. 4. Contracting in the practitioner’s own right to perform professional engineering services for other than the practitioner’s employer. 5. Expressing opinions or making statements concerning matters within the practice of professional engineering of public interest where the opinions or statements are inspired or paid for by other interests, (j) conduct or an act relevant to the practice of professional engineering that, having regard to all the circumstances, would reasonably be regarded by the engineering profession as disgraceful, dishonourable or unprofessional, (k) failure by a practitioner to abide by the terms, conditions or limitations of the practitioner’s licence, provisional licence, limited licence, temporary licence or certificate, (l) failure to supply documents or information requested by an investigator acting under section 33 of the Act, (m) permitting, counselling or assisting a person who is not a practitioner to engage in the practice of professional engineering except as provided for in the Act or the regulations, (n) harassment. 57 77. The following is the Code of Ethics of the Association: 1. It is the duty of a practitioner to the public, to the practitioner’s employer, to the practitioner’s clients, to other members of the practitioner’s profession, and to the practitioner to act at all times with, i. fairness and loyalty to the practitioner’s associates, employer, clients, subordinates and employees, ii. fidelity to public needs, iii.devotion to high ideals of personal honour and professional integrity, iv. knowledge of developments in the area of professional engineering relevant to any services that are undertaken, and v. competence in the performance of any professional engineering services that are undertaken. 2. A practitioner shall, i. regard the practitioner’s duty to public welfare as paramount, ii. endeavour at all times to enhance the public regard for the practitioner’s profession by extending the public knowledge thereof and discouraging untrue, unfair or exaggerated statements with respect to professional engineering, iii.not express publicly, or while the practitioner is serving as a witness before a court, commission or other tribunal, opinions on professional engineering matters that are not founded on adequate knowledge and honest conviction, iv. endeavour to keep the practitioner’s licence, temporary licence, provisional licence, limited licence or certificate of authorization, as the case may be, permanently displayed in the practitioner’s place of business. 3. A practitioner shall, i) act in professional engineering matters for the practitioner’s employer as a faithful agent or trustee and ii) shall regard as confidential information obtained by the practitioner as to the business affairs, technical methods or processes of an employer and iii) avoid or disclose a conflict of interest that might influence the practitioner’s actions or judgment [to your employer]. 58 4. A practitioner must disclose immediately to the practitioner’s client any interest, direct or indirect, that might be construed as prejudicial in any way to the professional judgment of the practitioner in rendering service to the client. 5. A practitioner who is an employee-engineer and is contracting in the practitioner’s own name to perform professional engineering work for other than the practitioner’s employer, must i) provide the practitioner’s client with a written statement of the nature of the practitioner’s status as an employee and the attendant limitations on the practitioner’s services to the client, must ii) satisfy the practitioner that the work will not conflict with the practitioner’s duty to the practitioner’s employer, and must iii) inform the practitioner’s employer of the work. 6. A practitioner must co-operate in working with other professionals engaged on a project. 7. A practitioner shall, i. act towards other practitioners with courtesy and good faith, ii. not accept an engagement to review the work of another practitioner for the same employer except with the knowledge of the other practitioner or except where the connection of the other practitioner with the work has been terminated, iii.not maliciously injure the reputation or business of another practitioner, iv. not attempt to gain an advantage over other practitioners by paying or accepting a commission in securing professional engineering work, and v. A) give proper credit for engineering work, B) uphold the principle of adequate compensation for engineering work, C) provide opportunity for professional development and advancement of the practitioner’s associates and subordinates, and D) extend the effectiveness of the profession through the interchange of engineering information and experience. 8. A practitioner shall maintain the honour and integrity of the practitioner’s profession and without fear or favour expose before the proper tribunals unprofessional, dishonest or unethical conduct by any other practitioner. 59 Ontario is unique here: we have two documents, ▪ one that’s directly enforceable (the Definition of Professional Misconduct) and ▪ another that’s more of a set of guidelines (the Code of Ethics) 60 Other Provinces have only a code of ethics which is more directly enforceable Professional engineers and geoscientists shall recognize that professional ethics is founded upon integrity, competence, dignity and devotion to service. This concept shall guide their conduct at all times. 1. Professional engineers and geoscientists shall, in their areas of practice, hold paramount the health, safety and welfare of the public and have regard for the environment. 2. Professional engineers and geoscientists shall undertake only work that they are competent to perform by virtue of their training and experience. 3. Professional engineers and geoscientists shall conduct themselves with integrity, honesty, fairness and objectivity in their professional activities. 4. Professional engineers and geoscientists shall comply with applicable statutes, regulations and bylaws in their professional practices. 5. Professional engineers and geoscientists shall uphold and enhance the honour, dignity and reputation of their professions and thus the ability of the professions to serve the public interest. 61 If you’ve committed professional misconduct you experience a penalty imposed by the association’s discipline committee. Process overview (Ontario) ▪ Written complaint about a licensed practitioner submitted to PEO ▪ Complaints committee (made up of Members) investigates the complaint If they feel you’re innocent they dismiss it. Otherwise they pass it to the discipline committee. ▪ Discipline committee (made up of Members) Holds a hearing (like a trial where they’re the judges) to determine whether you’re guilty If they feel you’re guilty, they can impose a penalty Possible discipline penalties: Revoke licence Suspend licence for up to 24 months Fine of up to $5000 etc. → What does and doesn’t count as “professional misconduct” by the definition is ultimately decided by your fellow association members 62 63 Issues and cases concerning ethical dilemmas looked at through the lens of the code of ethics and other approaches to seek solutions ▪ Conflict of interest from the perspective of ethical dilemmas, solutions, and decisions ▪ Conflicts between technical authority and management authority ▪ Duty to report / whistle blowing as an ethical dilemma ▪ Loyalty to the employer ▪ Limiting practice to areas of competence ▪ Plagiarism and copyright infringement ▪ Professional responsibility vs employment issues ▪ Professional competence ▪ Reviewing work of others ▪ Confidentiality ▪ Foreign assignments Interest = Motivation ▪ I want to make a lot of money Conflict of interest = when your motivations interfere with each other ▪ I want to do a good job on this government environmental assessment project ▪ I want to spend as much time as possible watching Netflix Secret conflict of interest ▪ I want to do a good job on this government environmental assessment project ▪ If I write the assessment in a way that makes the coal mining company look good they’ll give me a $5 M bonus Secret conflicts of interest are the problem. The solution is to disclose them to clients before starting the job. ▪ Required by Codes of Ethics & Definitions of Professional Misconduct 64 In some extremely compromised situations, or when you’re making the decision rather than recommending to others, disclosing isn’t enough and you must fully avoid the CoI (by taking yourself off of the project) Unless it’s publicly available (i.e., on their website), assume all information you learn about your employer or client while working for them is confidential It’s unethical to disclose confidential information to others This is overruled if public safety is at risk by keeping the information secret ▪ When time allows, it’s better to work with the company to correct the problem or disclose it to the government Note the distinction between Conflict of Interest & Confidential Information: ▪ Conflict of Interest: keeping it secret is the problem ▪ Confidential Information: keeping it secret is the solution 65 When working in other countries, you need to be careful to follow the laws of that country and Canadian laws & ethical principles Be aware that normal behaviour doesn’t mean it’s ethical, or even legal You can still lose your licence in Ontario for actions taken outside of Canada 66 Engineering licensing isn’t discipline-specific ▪ (It is for the temporary licence and limited licence, but not the licence) Like with expert witness work, you must stick to where you’re actually an expert ▪ PEO R941 s72.2.h [“professional misconduct” means] undertaking work the practitioner is not competent to perform by virtue of the practitioner’s training and experience, ▪ APEGA CoE s2: Professional engineers and geoscientists shall undertake only work that they are competent to perform by virtue of their training and experience. 67 The code of ethics a. is a strong set of guidelines but ultimately not enforceable b. is enforceable by the regulating body c. is flexible enough that any action could be ethical or not ethical, depending on your perspective d. should not be placed above your duty to other members of your profession 68 Engineers can best serve their duty to the public welfare by a. Always diligently following their employer’s instructions b. Always acting with professional integrity and personal accountability c. Always maintaining their professional standing d. Always reporting infractions 69 If your employer asks you to review the work of another practitioner, you should a. Not agree to this work unless the other practitioner is OK with it b. Agree if the other practitioner is aware of and OK with your review c. Only agree if public safety urgently depends on it d. Agree as long as the work is on a project you’re not working on so you can review it independently 70 In the course of working on a project, a civil engineer ends up doing a particular engineering design normally done by a mechanical engineer. Although this particular civil engineer has sufficient training and experience to be able to do a job as well as a reasonably prudent mechanical engineer, no mechanical engineer checked over the design. The civil engineer: a. Has acted appropriately. b. Should have had a mechanical engineer sign off on it, but has not been unethical. c. Has been unethical, but likely not committed professional misconduct. d. Has likely committed professional misconduct. 71 An engineer working in another country learns that it’s customary to offer bribes to public officials to guarantee competitive bidding in the tendering process. This engineer: a. Should work with their company to offer a bribe because it is a necessary price of doing business. b. Should offer the bribe independently and secretly because then the company has plausible deniability if things go wrong. c. Should not offer a bribe because it could make their company look bad even if they do it independently. d. Should not offer a bribe because it is likely illegal even in the foreign country. 72 An independently contracted engineer is conducting soils tests for their client on a piece of land the client is interested in acquiring from an owner. During this work the engineer discovers a large and previously unknown deposit of gold lies on the land. The engineer should: a. Disclose this information to their client. b. Disclose this information to the owner. c. Disclose this information to both their client and the owner. d. Disclose this information to no one, purchase the land themselves, mine the gold, and donate all profits to fighting extreme poverty. 73 Sr. Engineer Alpha is just finishing up work and preparing to start the weekend when Jr. Engineer Beta calls her up worried about the design certification they just released. Beta has realized that the uncertainty specified on the form was not accurate enough; the measurement Beta took was actually correct to within 3 significant figures rather than the 2 specified in the report. Beta is consequently worried that this does not fully represent all of the information their firm determined and so the report should be corrected. Alpha realizes that the particular part of the report that Beta is concerned with will have no effect if reported with fewer significant figures than the measurement was taken with, as the measurement was very far within tolerance. Further, Alpha reasons, to send a correction to the report over something so trivial would cause significant public cost and would not be in the best interests of anyone. But Alpha also believes that Beta will not be able to let go of this concern, and to be dismissive about the concern would just make Beta more frustrated and damage their ability to do good detailed engineering work in the future. So, considering all of the consequences, Alpha tells Beta “You’re absolutely right – I’ll correct the report immediately! Thank you for the catch, and have a great weekend!” Beta relaxes and has a good weekend and Alpha never sends the correction. Alpha’s ethical reasoning in this situation is most aligned with: a. Human Rights Ethics b. Virtue Ethics c. Duty Ethics d. Utilitarian Ethics 74 You are an engineer who works for a gas turbine company and are onsite to ensure that the turbine is installed correctly for your client. During this work you see that the client’s construction workers (who are explicitly the responsibility of another engineer) are not using appropriate PPE in performing their work. Initially, you should: a. Discuss your concerns with the other engineer b. Discuss your concerns with your employer c. Discuss your concerns with your professional association d. Report this infraction to the client and the appropriate government authority 75 The following 12 questions are more representative of the NPPE; for practice, take 16 minutes to do this set of questions. ▪ For further practice, try to consider why each option is correct or incorrect, and whether there would be a change to the question that would change your answer 76 You are an engineer who works for a gas turbine company and are onsite to ensure that the turbine is installed correctly for your client. During this work you see that the client’s construction workers (who are explicitly the responsibility of another engineer) are not using appropriate PPE in performing their work. You tell the other engineer about your concerns and he dismisses them as ridiculous impediments to progress. You aren’t completely sure whether you’ve understood the safety requirements correctly. Initially you should: a. Do nothing because it’s ultimately their responsibility b. Get a second opinion of a third party practitioner c. Report that engineer to your professional association d. Report this infraction to the client and the appropriate government authority 77 You are an engineer who works for a gas turbine company and are onsite to ensure that the turbine is installed correctly for your client. During this work you see that the client’s construction workers (who are explicitly the responsibility of another engineer) are not using appropriate PPE in performing their work. You tell the other engineer about your concerns and he dismisses them as ridiculous impediments to progress. You are confident that you’ve understood the safety requirements completely. Initially you should: a. Do nothing because it’s ultimately their responsibility b. Get a second opinion of a third party practitioner c. Report that engineer to your professional association d. Report this infraction to the client and the appropriate government authority 78 A company calls itself an engineering firm even though it does not have a permit from its provincial engineering regulator. This company is guilty of: a. A criminal offence b. Negligence c. Professional misconduct d. Breaking the law 79 If you find yourself in a conflict of interest situation during the course of your engineering work, you should: a. Keep it a secret b. Stop working on that project c. Disclose your situation to all relevant parties d. Disclose your situation to the appropriate person at your provincial association 80 Your employer is knowingly adding a known carcinogen to its products contrary to legal limits and keeping it secret from the government. Your manager tells you they known what they’re doing and to just ignore it. It would be professional misconduct to: a. Explain the problem to higher management b. Report the company to the government c. Follow your manager’s advice d. Fix the problem technically by redesigning the process and replacing the ingredient 81 The primary purpose of your association’s code of ethics is a. To serve as a guide to maximizing your service to your employer b. To set standards of conduct of the professional c. To determine whether a professional is guilty of negligence d. To aid in understanding the value of a meaningful professional life 82 You’ve just become employed as the chief engineer of a paper mill near a remote village in Northern Ontario. The town depends on the mill operating because the mill directly or indirectly employs everyone in the town. After starting your work you discover that the mill has been discharging a hazardous substance into a local river contrary to legal limits, and that the government authorities are unaware of the discharge. After you report the situation to your manager, she informs you that the mill is only barely profitable and that the company’s head office would close the mill rather than spend the money necessary to upgrade it to meet the environmental standards. The best course of action is to: a. Stop the discharge immediately b. Communicate with the town council to determine what town prefers to do under the circumstances c. Ask the government for permission to keep the mill operating as-is until an economic alternative can be found d. Keep quiet and continue as-is so that the townspeople keep their jobs 83 Consider the following actions: A: discussing with a coworker B: discussing with management C: discussing with higher management D: correcting the situation E: reporting to the government F: discussing with a colleague outside the company G: reporting to the client H: reporting to the public via social media As an engineer, you’ve just discovered that your employer is secretly selling nuclear material to a hostile foreign power. The best escalation procedure to follow in this situation (i.e., escalating only if the previous step failed to resolve the situation) is a. D, A, B, C, then E b. A, B, C, then E c. E d. H 84 Consider the following actions: A: discussing with a coworker B: discussing with management C: discussing with higher management D: correcting the situation E: reporting to the government F: discussing with a colleague outside the company G: reporting to the client H: reporting to the public via social media As an engineer, you’ve heard from a co-worker over some beers that the control system for a mass transit system (which is the co-worker’s department but not yours) is being rushed, with inadequate testing to ensure safety. The best escalation procedure to follow in this situation (i.e., escalating only if the previous step failed to resolve the situation) is a. A, B, C, then E b. A, F, B, C, then G c. A, D, B, C, then E d. F, B, C, then G 85 Chiefly, a professional association is about: a. Making sure unlicensed people are stopped from practicing to protect the public b. Binding its practitioners to a distinctive code of ethics and high standard of personal honour and professional integrity in their relationship with employers, clients, the public, and fellow practitioners c. Ensuring adequate standards are met by people seeking licensure d. Providing professional development opportunities to members to help them enhance their career prospects 86 You work full time for a company that designs telecom equipment, and also complement your income by working part time on evenings and weekends consulting with telecom companies on how to solve their problems. Sometimes in the course of your part time consulting work you recommend equipment manufactured by your full-time employer. In Ontario, this work a. Does not require any special certification beyond having a licence b. May or may not require a C of A depending on whether someone at the firms you consult for takes responsibility for your engineering work there c. Requires that you hold a Certificate of Authorization (C of A) beyond just a regular engineering licence d. Requires that you have both a C of A and that you carry professional liability insurance 87 You work full time for a company that designs telecom equipment, and also complement your income by working part time on evenings and weekends consulting with telecom companies on how to solve their problems. Sometimes in the course of your part time consulting work you recommend equipment manufactured by your full-time employer. This work for the client a. Is ethical as long as the technical work is done diligently and with reasonable prudence, in line with the best interests of the client b. Is unethical if your situation is not disclosed to the client c. Is unethical if your situation is not disclosed to both the employer and the client d. Is unethical regardless of your further actions or explanations 88