part 1: intro, i. professionalism, and ii. ethics...i. professionalism (7 –10 questions) ii....

Part 1: Intro, I. Professionalism, and II. Ethics

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to: [email protected]

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. Professionalism (7 – 10 Questions)

II. Ethics (17 – 21 Questions)

III. Professional Practice (27 – 32 Questions)

IV. Law for Professional Practice (23 – 28 Questions)

V. Professional Law (7 – 10 Questions)

VI. 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

https://www.apega.ca/apply/membership/exams/national-professional-practice-exam-nppe/syllabushttps://www.ontario.ca/laws/statute/90p28https://www.ontario.ca/laws/regulation/900941https://peo.on.ca/knowledge-centre/practice-advice-resources-and-guidelines/practice-guidelines

1. 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

5

The defining elements of a professional (the context is that of the self-

regulating 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

Require continued study and development

6

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

The regulators write Regulations that specify details of

things the Acts reference

10

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)

11

https://www.egbc.ca/http://www.apega.ca/http://www.apegm.mb.ca/https://www.apegnb.com/https://www.apegs.ca/Portal/Pages/Home-Pagehttps://engineersnovascotia.ca/http://www.engineerspei.com/http://www.apey.yk.ca/http://www.napeg.nt.ca/http://oiq.qc.ca/Pages/accueil.aspx?lang=enhttps://www.cbc.ca/news/canada/montreal/quebec-engineers-regulate-themselves-1.3667466http://www.pegnl.ca/http://www.peo.on.ca/

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

https://www.peo.on.ca/about-peo/councilhttps://www.peo.on.ca/about-peo/council/2019-2020-council

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

renew allowed

Renewable

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.)

Temporary Licence Holder (P.Eng.)

Provisional Licence Holder

Limited Engineering Licensee (L.E.L.)

Engineering Intern (E.I.T.)

NA

Certificate of Authorization Holder or

Engineering Firm

17

APEGA

Professional Member or Professional

Engineer (P.Eng.)

NA

NA

Professional Licensee (P.L.)

Member-in-Training or Engineer-in-

Training (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

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.

18

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.

19

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

20

PEO Protection of the

Public

OSPE 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.

27

Engineering Reserved Titles & Designations

Professional engineer (or P.Eng.)

Professional licensee (engineering)

(or P.L. (Eng.))

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

Examples of Engineering Titles & Designations

Jane Doe, P.Eng., Structural Engineer

Jane Doe, P.L. (Eng.), Civil Engineer

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

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 Geoscience Titles & Designations

John Smith, P.Geo., Wellsite Geologist

John Smith, P.Geo., Hydrogeochemist

https://www.apega.ca/enforcement/rightshttps://www.apega.ca/enforcement/rights

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

32

Your Name Here

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...

More info in topic III.8, and in the Guideline on the Use of

the Seal

33

https://peo.on.ca/sites/default/files/2019-07/Use%20of%20Professional%20Engineer's%20Seal.pdf

“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

The iron ring is part of the culture of engineering in English-

speaking 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).

35

36

What does the Iron Ring have to do with being

licensed as an engineer?

▪NOTHING!

www.ironring.caNote:

• 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!

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-to-

miss 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

https://www.dmu.edu/wp-content/uploads/MULTIPLE-CHOICE-TEST-TAKING-STRATEGIES.pdfhttps://www.dmu.edu/wp-content/uploads/MULTIPLE-CHOICE-TEST-TAKING-STRATEGIES.pdf

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. Yourself

b. Your boss & coworkers

c. Someone you’ve never met

d. All of the above

40

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

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

42

Who usually regulates the engineering professions?


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?


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. Yourself

b. Your employer

c. Your client

d. The environment

46

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

1. 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

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

https://www.youtube.com/watch?v=FOoffXFpAlU&list=PL8dPuuaLjXtNgK6MZucdYldNkMybYIHKR&t=0s

Level 1: Pre-Conventional1. Obedience and punishment orientation

2. Self-interest orientation

Level 2: Conventional3. Interpersonal accord and conformity

4. Authority and social-order maintaining orientation

Level 3: Post-Conventional5. Social contract orientation

6. Universal ethical principles

54

https://en.wikipedia.org/wiki/Lawrence_Kohlberg's_stages_of_moral_developmenthttps://en.wikipedia.org/wiki/Lawrence_Kohlberg's_stages_of_moral_development

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 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,

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.

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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.


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].

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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.


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.

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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)

Other Provinces have only a code of ethics which is more directly enforceable

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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.

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https://www.apega.ca/members/legal-obligationshttps://www.apega.ca/members/legal-obligations

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

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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

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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

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)

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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

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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

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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.

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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

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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

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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

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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.

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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.

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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 on-

site 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

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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

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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


authority

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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


authority

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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

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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

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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

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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

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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

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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

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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

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part 1: intro, i. professionalism, and ii. ethics...i. professionalism (7 –10 questions) ii....

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