VI. Regulation and Discipline (8.5%)

6.1 Discipline Procedures, 6.2 Practice Review of Individuals, 6.3 Practice Review of Firms, 6.4 Continuing Professional Development

Unlicensed Practioners

Prosecuted in courts.

Each Act typically states that it is an offence for an unlicensed person to:

• practice professional engineering or professional geoscience

• use a term or title to give the belief that the person is licensed

• use a seal that leads to the belief that the person is licensed

Licensed Practitioners

Six causes for disciplinary action:

• Professional misconduct (unprofessional conduct)

• Incompetence

• Neligence

• Breach of the Code of Ethics

• Physical or mental incapacity

• Conviction of a serious offense

Professional Misconduct

Any matter or conduct if:

• It is harmful to the best interest of the public or members

• Tends to harm the standing of the profession

• Is a breach of the act or bylaws

• Is a failure to comply with an order of the investigation committee, the discipline committee, or the council

Professional Incompetence

Display of:

• A lack of knowledge, skill, or judgement;

• A disregard for the welfare of members of the public served by the profession;

  of a nature or to an extent that demonstrates that the member is unfit to continue in the practice of the profession.

Common when switching fields if you are not properly trained.

Stages of the Disciplinary Process

1. Gathering Evidence: Complaint is made.

2. Investigation Committee.

3. Discipline Hearing: Public. Prosecuted by the investigation committee. professional is entitled to legal counsel. Final judgement is made by the discipline committee.

Investigation Committee

Responsible for the investigation of allegations of professional misconduct or professional incompetence.

Their actions are listed in the photo. They can also suggest an alternative dispute resolution between the complainant and professional to settle (mediation, arbitration, etc.).

Investigation Process Trigger

A request from council to consider a complaint, or a written complaint.

Discipline Committee

Separate from the investigation committee.

Provides an inquiry and judgment capability to enable the association to meet its responsibilities under the discipline sections of the act.

Hears and determines formal complaints referred to it by the investigation committee.

Disciplinary Penalties

On a finding of professional incompetence or misconduct, the panel may issue an order:

• Expelling the member and striking their name from the register

• Suspending the member

• Suspending the member subject to conditions

• Reprimand/restriction/penalty

• A fine not exceeding $1500

• That the member pay costs of investigation and discipline hearing

• Require course/examination

Professional Development

Professionals are expected to engage in lifelong learning to ensure the protection of public health, safety, and welfare.

Professional Obligation:

• Stay informed

• Maintain competence

• Demonstrates knowledge, credibility and competence to the public

Requirements:

• Verifiable credits

• Other categories

• Ethics credits

• Scope of practice (must be within it)

• Maintain a detailed record

• Report to regulator

Practice Reviews

Some associations conduct practice reviews to ensure that continuing competency programs are effective. Each year, a small, random sample of members undergoes a practice review. Practice reviews are confidential and occur with the full knowledge and cooperation of the professional.

Recommended by Engineers Canada for ensuring competence & compliance with CPD programs.

Ethics in Foreign Consulting

Observe the rules of professional conduct that apply in that country and if there are no such rules, observe those established by your own code of ethics. This is not always possible, so use the golden mean and follow these factors if needed:

• Avoid exploitation

• Avoid paternalism/making decisions for others without consulting them

• Avoid bribery

• Respect human rights

• Respect cultural norms and laws

• Promote the country’s welfare

• Protect health and safety

• Protect the environment

• Promote the society’s legitimate institutions