Behind the Blue Pages…
PEO’s Disciplinary Powers
and Procedures
Bruce G. Matthews, P.Eng.
Manager, Complaints & Discipline
Regulatory Compliance
OVERVIEW
• Legislative / Regulatory Context
• Enforcement versus Discipline
• The Complaints & Discipline Process
– Complaints and the Complaints Committee
– Discipline Hearings
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Professional Misconduct
Incompetence
Penalties
Questions
Context
• Engineering is a Regulated Profession
– Professional Engineers Act, R.S.O. 1990, c. P-28
– Regulation 941, R.R.O. 1990
• PEO’s Mandate (Section 2(3) of the Act)
– To regulate the practice of professional engineering and to
govern our licence holders and Certificate of Authorization
holders in order that the public interest may be served and
protected.
Defined Scope of Practice
• Practice of Professional Engineering (Section 1 of the Act)
– Any act of designing, composing, evaluating, advising,
reporting, directing or supervising wherein the safeguarding
of life, health, property or the public welfare is concerned
and that requires the application of engineering principles,
but does not include practising as a natural scientist.
Exclusive Right to Practice
• Section 12 of the Act
– (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.
– (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.
– (3) – (7) Various exceptions…
Exclusive Right to Title
• Section 40(2) of the Act
• If you are unlicensed and you…
– use the title “professional engineer” or an abbreviation or
variation thereof as an occupational or business
designation…
– use the title “engineer” or an abbreviation of that title in a
manner that will lead to the belief… or…
– use any term, title or description that will lead to the belief…
• …you are guilty of an offence punishable by fine.
Enforcement versus Discipline
• Enforcement
– Action taken against unlicensed individuals or firms for illegal
practice or misuse of title
– PEO first seeks voluntary compliance
– Can be prosecuted in the courts
• Discipline
– Action taken against licence or C of A holders due to
professional misconduct or incompetence
– Prosecuted within PEO (Discipline Hearing)
The Complaints & Discipline Process
• Complaints
– Initiated by members of the public, other P.Eng.’s or media
reports
– Investigated by staff in an objective manner
– Expert opinions obtained if required
• Complaints Committee (see Section 24 of the Act)
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Send to the Discipline Committee (in whole or in part)
Send to discipline via the Stipulated Order process
Dismiss the complaint
Issue letter of advice and / or request an interview
The Discipline Hearing
• Very Similar to a Trial in the Courts
– Adversarial relationship between PEO (the prosecutor) and
the member (the defendant)
– Panel of five Discipline Committee members are the judges
– Court reporter / witness box
– Rules of evidence and rules of civil procedure apply (e.g.,
hearsay evidence)
– Testimony under oath / examination and cross-examination
– Documents filed as exhibits
– Generally open to the public (a schedule is published)
The Discipline Hearing – con’t
• Order of Events
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Introduction / disclaimer by Chair of Discipline Panel
Filing of Notice of Hearing
Opening statements (PEO & defence)
PEO presents its case (i.e., witnesses & exhibits)
Defence presents its case
Argument and submissions
Discipline Panel deliberates and renders decision
PEO & defence submissions with respect to penalty
Discipline Panel deliberates and issues penalty order
The Discipline Hearing – con’t
• Burden of Proof is on PEO
– standard of proof is “balance of probabilities” (civil standard)
not “beyond reasonable doubt” (criminal standard)
– where allegations / implications are serious, proof must be
clear and convincing, based on cogent evidence
– Discipline Panel can only consider the evidence that has
been presented
– finding is guilty / not guilty of professional misconduct and/or
incompetence
The Discipline Hearing – con’t
• Plea Bargains
– PEO seeks to minimize the length and cost of a discipline
hearing by seeking:
• Agreement on facts
• Admission of guilt
• Agreement on penalty terms
– PEO looks favourably at cooperative, contrite defendants
and will agree to lesser penalty terms than would otherwise
be sought at the end of a contested hearing
– Public interest is always the paramount consideration
– Vast majority of PEO’s discipline cases involve plea bargains
Professional Misconduct
• Section 28(2) of the Act
• A practitioner is guilty of professional misconduct if:
– (a) the practitioner has been found guilty of an offence that is
relevant to their suitability to practice
– (b) the practitioner is guilty of professional misconduct as
defined in the Regulations
Professional Misconduct – con’t
• Section 72 of Regulation 941
• Clearly defines actions and conduct that constitute
professional misconduct and includes:
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Negligence
Failure to act to correct or report a dangerous situation
Failure to comply with applicable codes, standards, etc.
Sealing a final document without having actually prepared or
checked it
Undertaking work outside your experience and training
Failure to disclose a conflict of interest
Permitting or assisting illegal practice
Harassment
Professional Misconduct – con’t
• Section 72 of Regulation 941 – con’t
– excludes acts that are solely a breach of the Code of Ethics
(see Section 72(2)(g))
– nonetheless, there is some overlap with the Code of Ethics
– Section 72(2)(j) is a “catch-all” relating to relevant conduct
that would be regarded by the profession as disgraceful,
dishonourable or unprofessional
Incompetence
• Section 28(3) of the Act
– Serious lack of knowledge, skill or judgment, or disregard for
the public welfare to an extent that demonstrates the person
is unfit to carry out the responsibilities of a professional
engineer
– Physical or mental condition or disorder
Penalties
• Section 28(4) of the Act gives the Discipline Panel certain
powers if a guilty finding has been made
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revoke or suspend a licence or C of A
impose terms, conditions or limitations on a licence or C of A
assign exams or a course of study
reprimand, admonish or counsel the licence holder
impose fines / award costs
order publication in summary or in detail, with or without
names (appears in the Gazette, aka the Blue Pages)
Statistics
• # of Complaint Files Opened Each Year
– between 80 and 100
• # of Complaints Considered by the Complaints Committee
– between 30 and 35
• # of Complaints Referred to the Discipline Committee
– approx. 15
Questions?
• For more information contact Professional Engineers
Ontario at:
– 416-224-1100 or 1-800-339-3716
– www.peo.on.ca