1. Joel Adams jadams@uwo.ca ES 498G: Engineering Ethics, Sustainable Development and the Law Engineering Science 498G © J. Adams 2003-2004 6.0 Private Practice, Misconduct and Discipline February 9, 2004

2. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.1 Key Topics 1.Professionalism, Ethics, the Code, Enforcement Professionalism, Ethical Theory, the Code Engineers in Industry, Management, Private Practice Negligence, Misconduct, Incompetence, Enforcement 2.The Legal System, Torts, and Contracts The Canadian Legal System, Business Organization Tort Law: Standard of Care, Liability, Product Safety Contract Law: 3.Risk Management, Engineers and the Environment Ethics and Management of Risk Environmental Ethics and PEO Guidelines Sustainable Development

3. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.2 Last Class 1.Research Sources 2.Problems of Engineers in Management (cont.) Case Studies from Andrews, Ch. 8 3.Problems of Engineers in Private Practice Introduction to the Issues Case Studies from Andrews, Ch. 9 Assignment Nothing New (Discussed Position Paper)

4. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.3 Today’s Class 1.Problems of Engineers in Private Practice Case Studies from Andrews, Ch. 9 (cont.) 2.Misconduct & Disciplinary Powers and Process Andrews, Ch. 14 “Blue Pages” in Course Notes Assignment Position Paper due this Friday (Feb. 13)! Case Study handed out (discussed next week) THURS 1:00PM – Iron Ring Information in 1059

5. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.4 Remember… Design Approach to Cases 1.Recognize the Need or Problem 2.Gather Information and Define the Problem 3.Generate Alternative Solutions (Synthesis) 4.Evaluate Alternatives (Analysis) 5.Decision Making and Optimization 6.Implementation Also, Answer these Questions Is this a Code of Ethics issue? What part? Do engineers accept greater responsibility than others?

6. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.5 Case Studies: Problems in Private Practice Six Four More Case Studies (Andrews, Ch. 9) 1.Approval of Engineering Plans by Town Council 2.Advertising Products and Engineering Services 3.Contingency Fee Arrangements 4.Adherence to Plans and Control of Sealed Drawings 5.Fee Reduction for Similar Work 6.Alleged Collusion in Fee Setting

7. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.6 Case 9.1: Approval of Plans by Town Council Question In voting to approve the project, has Beck acted unethically? Comments on the Recommended Solution Does it matter that “everybody knows”? What does the Act have to say about this? Does he have to excuse himself?

8. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.7 Case 9.2: Advertising Products and Services Question Would it be unethical for Firenze to appear in the television commercial and make a statement endorsing the recreational vehicle? Comments on the Recommended Solution Can Engineers ever appear in commercials? Do they? What if an Engineer wasn’t selling an actual product? Do commercials really compromise the profession? What about testimonials for other companies?

9. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.8 Case 9.3: Contingency Fee Arrangements Question Would it be ethical to offer your services on contingency in case A (paid a % of the legal settlement) or case B (% of energy savings)? Comments on the Recommended Solution How are these cases different? What does the Code say? What about the Professional Misconduct section?

10. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.9 Case 9.4: Adherence to & Control of Sealed Plans Question What should the engineer do? Comments on the Recommended Solution How would you stop the contractor from proceeding? Would you charge for the additional work?

11. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.10 Case 9.5: Fee Reduction for Similar Work Question Would it be ethical for Johnson to reduce her fees as suggested? Would it be good business practice? Comments on the Recommended Solution Do ethics always line up with sound business practice?

12. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.11 Case 9.6: Alleged Collusion in Fee Setting Question Is it unethical for the three consulting firms to agree on the fee reduction to be allowed for the assistance? Comments on the Recommended Solution Was this necessarily a mistake by the corporation?

13. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.12 Misconduct Prosecution for Unlawful Practice What can’t you do if you don’t have a P.Eng? How are these people prosecuted? Professional Misconduct Main sources of complaints Misconduct includes unethical actions Ontario act includes specific actionable list Incompetence Inability to perform engineering at required standards Includes performing outside of expertise or mental incapacity Negligence Carelessness, usually, an act of omission Conviction of an Offence Usually something that would have ethical bearing

14. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.13 Disciplinary Procedures Stage 1: Gathering Information (PEO staff) Notification Preliminary investigation Complaint is signed and sent to complainant for rebuttal Stage 2: Evaluation of the Complaint (Complaints Committee) May refer to Discipline Committee May not refer Send letter to Engineering without referring Take other appropriate actions or obtain more information Stage 3: Formal Hearing (Discipline Committee) If referred, written notice, date is set, and disclosure meeting Hearing follows court procedure, with court reporter and option of legal counsel, committee includes 5 members, written opinion Appeals through civil courts

15. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.14 Disciplinary Powers Revoke licences Suspend licences (usually up to two years) Impose restrictions Reprimand, admonishment, counselling Publishing of case (with or without names) Pay costs of hearing and investigation Names of revoked or suspended names published Force examinations Impose fines (up to $5,000 in Ontario) Some actions may also have other legal consequences, more on Tort law later…

16. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.15 Disciplinary Case “John C. Follows, P.Eng and Andrews & Campbell Associates Inc.” “A Member” “Nican Project Management Inc.” “Richard L. Berghammer” What are the facts of the case? What are the relevant issues? What are the relevant parts of the Act? What did the committee decide? Do you agree with the decision and penalty?

17. Engineers in Private Practice, Misconduct & Discipline Engineering Science 498G © J. Adams 2003-2004 6.16 Next Class: Monday Feb 16, 2004 Topics Introduction to the Canadian Legal System Business Organization Introduction to Tort Law Readings Marston, Ch. 1, 2, (3), 4 (up to page 45 “Strict Liability”) Assignments Start working on Case Study (due March. 26 th )