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Law, Ethics and Professional Practice
Unit 6
The Code of Ethics

Outcomes
 Unit outcomes 6.0:
C d f Ethi id t thi l d t Codes of Ethics as guides to ethical conduct.
 PEO's Code of Ethics.
 Professional misconduct Professional misconduct.
 Duty to report.
 Whistleblowing.g
 EGAD Methodology for solving ethical dilemmas.

Enforcement
E f t li d titi Enforcement: unlicensed practitioners.
 The Association is responsible for enforcing the
Act by prosecuting offenders who practiceAct by prosecuting offenders who practice
engineering or geoscience without a licence, or
falsely claim they are licensed are breaking the
llaw.

Disciplinep
 Discipline: licensed practitioners.
Th A i ti t t t th bli b The Association must protect the public by
responding to complaints about licensed
members.
 The following behaviour can be cause for
disciplinary actions:
P ofessional miscond ct ( np ofessional cond ct) Professional misconduct (unprofessional conduct).
 Incompetence.
 Negligence.
 Physical or mental incapacity.
 Conviction of a serious offence.
 Breach of the Code of Ethics. Breach of the Code of Ethics.

Professional Misconduct
P f i l i d t ( f i l Professional misconduct (or unprofessional
conduct) is the main type of complaint.
Th d fi iti i A t l The definitions in some Acts are very general,
and the regulations cannot define every
possible form of professional misconductpossible form of professional misconduct.
 The Code of Ethics may give more specific
guidance.

 Example: Alberta's Act.
( ) i d t i t l t th b t i t t f th (a) is detrimental to the best interests of the
public,
 (b) contravenes a code of ethics of the profession(b) contravenes a code of ethics of the profession
as established under the regulations,
 (c) harms or tends to harm the standing of the
f i llprofession generally,
 (d) displays a lack of knowledge of or lack of skill
or judgment in the practice of the profession, oror judgment in the practice of the profession, or
 (e) displays a lack of knowledge of or lack of skill
or judgment in the carrying out of any duty or
bli i d k i h i f hobligation undertaken in the practice of the
profession.

Incompetencep
 Incompetence is defined similarly in the Acts.
L k f k l d kill j d t th t Lack of knowledge, skill, or judgment that
demonstrates the member is unfit to carry out
duties as a professional.
 The practitioner must work within limits of
competence.
Th A t d th C d f Ethi i th The Act and the Code of Ethics require the
practitioner to judge his/her own area of
competence when advancing to new positions.p g p

Negligenceg g
 Negligence means carelessness or carrying out
work below accepted standard or lack ofwork below accepted standard or lack of
adequate thoroughness.
 Constitutes flagrant disregard for public welfare. Constitutes flagrant disregard for public welfare.
 Is a serious discipline complaint.
 May involve financial loss or failure to safeguard
life, health, or property.

Physical or Mental Incapacityy p y
Ph i l t l i it Physical or mental incapacity:
 Most Acts include a physical or mental condition
as a definition of incompetence provided theas a definition of incompetence, provided the
condition is of a nature and extent that in order to
protect the interest of public (or the practitioner),
th titi h ld t b ll d t tithe practitioner should not be allowed to practice.

Conviction of an Offence
 Conviction of an offence:
Th A t it di i li ti i t The Acts permit disciplinary actions against a
practitioner who is found guilty under other laws.
 Proof of conviction must be provided to theProof of conviction must be provided to the
Discipline Committee.
 The nature of the offence must affect the person's
it bilit t ti ( i ff l d dsuitability to practice (minor offences are excluded
– traffic violations, ordinance violations etc).
 Fraud or embezzlement convictions could be Fraud or embezzlement convictions could be
grounds for disciplinary action.

Breach of the Code of Ethics
Alb t N B i k N f dl d d Alberta, New Brunswick, Newfoundland and
Labrador, Nova Scotia:
A breach of the Code of Ethics is specifically A breach of the Code of Ethics is specifically
defined as equivalent to professional misconduct
or unprofessional conduct.
 The Code of Ethics is enforceable under the Act.

 British Columbia, Manitoba, Nunavut,
Northwest Territories Prince Edward IslandNorthwest Territories, Prince Edward Island,
Quebec, Saskatchewan, and Yukon:
 The term "professional misconduct" or The term professional misconduct or
"unprofessional conduct" is defined in very general
terms and is understood to include the Code of
EthiEthics.
 The Code of Ethics is enforceable under the
respective Act.respective Act.

 Ontario:
Th C d f Ethi i ifi ll t f bl The Code of Ethics is specifically not enforceable
under the Act.
 A more detailed definition of professionalA more detailed definition of professional
misconduct is incorporated in the regulations.
 The Code of Ethics describes the ideal professional
d tconduct.
 The definition of professional misconduct identifies
the lower limits of acceptable behaviour.the lower limits of acceptable behaviour.

P f i l E i A t th C il i Professional Engineers Act: the Council is
responsible for making regulations:
Prescribing a code of ethics Prescribing a code of ethics.
 Defining professional misconduct for the purposes
of the Act.

 Section 72 of the Regulation - O. Reg. 941:
72. (1) In this section,
"harassment" means engaging in a course of vexatious comment orharassment 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,p e a c d c ea ,
(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 forhealth 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 publicbelieves 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 thein 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 theother document not actually prepared or checked by the
practitioner,

(f) failure of a practitioner to present clearly to the practitioner’s( ) a e a p ac e p e e c ea y e p ac e
employer the consequences to be expected from a deviation
proposed in work, if the professional engineering judgment of the
practitioner is overruled by non-technical 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,

(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
f h f h k hout 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( ) a e pp y d c e a eq e ed y a
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 engineeringp g g p p g g
except as provided for in the Act or the regulations,
(n) harassment.

The Code of Ethics
 Section 77 of the Regulation - O. Reg. 941:
77 The follo ing is the Code of Ethics of the Association77. 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 timespractitioner’s profession, and to the practitioner to act at all times
with,
i. fairness and loyalty to the practitioner’s associates, employers,
clients subordinates and employeesclients, 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.

The Code of Ethics
2. A practitioner shall,
i. regard the practitioner’s duty to public welfare as paramount,ega d e p ac e d y p c e a e a pa a ,
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 exaggeratedg g , gg
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, , p
professional engineering matters that are not founded on
adequate knowledge and honest conviction,
iv.endeavour to keep the practitioner’s licence, temporary licence,p p , p y ,
provisional licence, limited licence or certificate of authorization,
as the case may be, permanently displayed in the practitioner’s
place of business.

The Code of Ethics
3. A practitioner shall act in professional engineering matters for each3 p ac e a ac p e a e g ee g a e eac
employer as a faithful agent or trustee and shall regard as
confidential information obtained by the practitioner as to the
business affairs, technical methods or processes of an employer and
avoid or disclose a conflict of interest that might influence the
practitioner’s actions or judgment.
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.

The Code of Ethics
5. A practitioner who is an employee-engineer and is contracting in5 p ac e a e p yee e g ee a d c ac g
the practitioner’s own name to perform professional engineering
work for other than the practitioner’s employer, must 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 satisfy the practitioner
that the work will not conflict with the practitioner’s duty to the
’ l d f h ’ lpractitioner’s employer, and must inform the practitioner’s employer
of the work.
6. A practitioner must co-operate in working with other professionals
dengaged on a project.

The Code of Ethics
7. A practitioner shall,
i. act towards other practitioners with courtesy and good faith,ac a d e p ac e c e y a d g d a ,
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 thep p
other practitioner with the work has been terminated,
iii. not maliciously injure the reputation or business of another
practitioner,p ,
iv.not attempt to gain an advantage over other practitioners by
paying or accepting a commission in securing professional
engineering work, andg g ,
v. give proper credit for engineering work, uphold the principle of
adequate compensation for engineering work, provide
opportunity for professional development and advancement ofpp y p p
the practitioner’s associates and subordinates, and extend the
effectiveness of the profession through the interchange of
engineering information and experience.

The Code of Ethics
(8) A practitioner shall maintain the honour and integrity of the(8) p ac e a a a e a d eg y e
practitioner’s profession and without fear or favour expose before the
proper tribunals unprofessional, dishonest or unethical conduct by
any other practitioner.

The Code of Ethics
G l i i l f th C d f Ethi General principles of the Code of Ethics:
 Duty to Society.
 Duty to Employers Duty to Employers.
 Duty to Clients.
 Duty to Colleagues.
 Duty to Employees and Subordinates.
 Duty to the Profession.
Duty to Oneself Duty to Oneself.

The Code of Ethics
 Duty to society:
 Most important duty Most important duty.
 Duty to protect the safety, health, and welfare of
society whenever society is affected by their work.
 The professions receive the privilege of self-
regulation.
 Duty to employers: Duty to employers:
 Must act fairly and loyally to the employer.
 Must keep the employer's business confidential.
 Must disclose any conflict of interest.

The Code of Ethics
 Duty to clients:
 Same obligations to clients as an employee has to Same obligations to clients as an employee has to
the employer.
 Duty to colleagues:
 Must act with courtesy and good will toward
colleagues.
 The Codes of Ethics states specifically that fellow The Codes of Ethics states specifically that fellow
professionals must be informed whenever their
work is reviewed.
Duty to employees and subordinates: Duty to employees and subordinates:
 Must recognize the rights of others, especially if
they are employees or subordinates.

The Code of Ethics
 Duty to the profession:
 Must maintain the dignity and prestige of the Must maintain the dignity and prestige of the
profession.
 Must avoid scandalous, dishonourable, or
di f l d tdisgraceful conduct.
 Duty to oneself:
 Must ensure that the duties to others are balanced Must ensure that the duties to others are balanced
by the individual's own rights.
 Must insist on adequate payment, a satisfactory
work environmentwork environment.
 Strive for excellence and maintain competence in
the rapidly changing technical world.

Ethical Problem-Solving Strategyg gy
 Recognize problem exists and gather
information:
 Who is involved?
 What type of harm or damage has occurred?
Where when why and how has harm occurred? Where, when, why, and how has harm occurred?
 Define ethical problem.
 Generate alternative solutions (synthesis).( y )
 Evaluate alternative solutions (analysis):
 Legality.
Utilit i thi Utilitarian ethics.
 Duty-based ethics.
 Rights-based ethics.
 Virtue-based ethics.

D i i ki d ti i ti Decision making and optimization:
 Select the optimum.
Reconsider any deadlocks Reconsider any deadlocks.
 Resolve deadlocks.
 Fairness check Fairness check.
 Implement the solution.

EGAD t t EGAD strategy:
 E (Ethical Issues).
G (Generate) G (Generate).
 A (Analyze).
 D (Decide) D (Decide).

Case Study #1y
 ABC's chemical waste is stored in a
warehouse at an off site locationwarehouse at an off-site location.
 While inspecting the warehouse, you notice
several leaking drumsseveral leaking drums.
 You call Tom Treehorn, head of ABC's
Division of Chemical Waste Tom respondsDivision of Chemical Waste. Tom responds
"I'll be right over with a crew to bring the leaking
drums over here".drums over here .
 You point out that the law forbids returning
chemical waste to the "home" site.chemical waste to the home site.

Case Study #1y
 Tom replies
" k b d h f d h"I know, but I don't have any confidence in the
off-site folks handling this. We know how to
handle this best It might not be the letter of thehandle this best. It might not be the letter of the
law, but our handling it captures its spirit".
 You believe that Tom Treehorn is serious You believe that Tom Treehorn is serious
about preventing environmental problems –
especially those that might be caused byp y g y
ABC.

Case Study #1y
 Still, you know that the environmental
authorities will be upset if they find out aboutauthorities will be upset if they find out about
Tom's way of dealing with the problem; and if
anything goes wrong, ABC could get intoanything goes wrong, ABC could get into
serious legal difficulties. After all, you think,
ABC is not a waste disposal facility.
 Both you and Tom are Professional
Engineers.
 Using the EGAD methodology, analyze this
case and propose an ethically correct
h h ld b kiapproach you should be taking.

Solution to Case Study #1y
 E – Ethical Issues:
It i i t th l t l k i h i l It is against the law to move a leak in chemical
waste offsite. If Tom removes the waste he is in
violation of the law.
 If you let Tom remove the waste and return it to
the home location, it could contaminate both sites
and the travel route as welland the travel route, as well.
 You and he would both be contravening CoE:
 1(ii): fidelity to public needs.( ) y p
 2(i): duty to public welfare.
 1(iii) and 8: honour and integrity.

You and he may both be found guilty of You and he may both be found guilty of
professional misconduct:
 (c): endanger safety/welfare of the public.
 (d): failure to comply with statues.
 (a): negligence.
 (j): disgraceful, dishonourable conduct.(j): disgraceful, dishonourable conduct.

 G – Generate Alternatives:
1 D thi t id th dil i1. Do nothing to avoid the dilemma – meaning,
allow Tom to remove the waste and not tell
anyone.
2. You could approach Tom and try to reason with
him. Perhaps he could come down and supervise
the off site clean up crewthe off-site clean-up crew.
3. Immediately telephone the your boss and report
the situation.
4. Immediately telephone the Occupational Heath
and Safety board (or a representative within the
company) and report the leakcompany) and report the leak.
5. Call the PEO and report Tom.

 A – Analyze Alternatives:
1 Alt ti 1 i t bl it i l t th1. Alternative 1 is unacceptable as it violates the
Code of Ethics and constitutes professional
misconduct for both you and Tom.
2. Alternative 2 is a good first step to convince Tom
to leave the waste and to follow appropriate
procedures for its clean upprocedures for its clean-up.
3. Alternative 3 is also a good choice if alternative 2
doesn't work. Perhaps together you can solve thep g y
problem with ABC's management.

4 Alternative 4 is a good last choice if the above4. Alternative 4 is a good last choice, if the above
alternatives do not resolve the situation
satisfactorily and ABC (Tom) refuses to budge. If
this choice is implemented you are also obligated
to call PEO and report Tom for his violations
according to the Duty to Report.a o d g o u y o po
5. Alternative 5 is an option after you made a
decision.

 D – Decision:
D tt t t h T ' i d b t i Do attempt to change Tom's mind about moving
the waste.
 If you cannot you need to take all steps necessaryIf you cannot you need to take all steps necessary
in order to prevent him from doing so.
 Start with a call to your boss and a hopefully a
ti f i di i ith th t fsatisfying discussion with the management of
ABC.
 If not, you need to proceed to calling the If not, you need to proceed to calling the
Occupational Health and Safety Board and the
PEO.

Case Study #2y
 Scott Bennett is the engineer (member of
PEO) assigned to deal with vendors whoPEO) assigned to deal with vendors who
supply needed parts to the Upscale Company.
 Larry Newman sales representative from one Larry Newman, sales representative from one
of Upscale's regular vendors, plays in the
same golf league as Scott.sa e go eague as Scott
 One evening they go off in the same
foursome. Sometime during the round Scottg
mentions that he is really looking forward to
vacationing in Florida next month.

Case Study #2y
L hi l d i Fl id Larry says his uncle owns a condo in Florida
that he rents out during the months he and
his family are up northhis family are up north.
 Larry offers to see if the condo is available
next month – assuring Scott that the rentalnext month assuring Scott that the rental
cost would be quite moderate.

Case Study #2y
 Later on, Larry tells Scott he can rent his
uncle's condo for $100 a week:uncle s condo for $100 a week:
"My uncle gets nervous when he rents to total
strangers He likes to have reliable people stay instrangers. He likes to have reliable people stay in
his condo; the condo is paid for, and my uncle
isn't interested in making money on it – he justg y j
wants a little help meeting basic operating
expenses and the taxes."

Case Study #2y
 Scott accepts the offer and begins making
plans for his vacationplans for his vacation.
 Just before leaving, an Upscale vice president
sends out a new policy statement that sayssends out a new policy statement that says,
among other things:
"Accepting incentives from vendors is strictlyAccepting incentives from vendors is strictly
prohibited"
 Using the EGAD methodology, analyze this Using the EGAD methodology, analyze this
case and propose an ethically correct
approach Scott should have taken.

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