Law & Ethics in Engineering & Geoscience

• The presentation covers law & ethics in engineering & geoscience from the University of British Columbia Okanagan Campus, Faculty of Applied Science, School of Engineering.
• Presentation date: February 12, 2025

Introduction

• Ramin Seifi P.Eng., FEC, MCIP, RPP, R.I., the Director of Professional Practice, Standards and Development at Engineers and Geoscientists BC
• Ramin Seifi's background includes experience in Iran, the UK, and Canada.

Engineers and Geoscientists BC (EGBC) Overview

• The evolution of professional regulation in Canada and BC spans approximately 150 years
• Regulation falls under provincial jurisdiction
• Regulation ensures public protection and instills confidence
• Consistency and accountability are key aspects of regulation
• Regulation involves applying standards, including ethics

EGBC: Background & History

• 1920: Bridge collapse in Quebec and the creation of APEBC through the Engineering Profession Act
• 1988: Closkey Commission recommended firm regulation after the Station Square Roof Collapse
• 1990: Geoscience was added as a regulated practice by APEGBC
• 1996: Engineers and Geosciences Act
• 1998: Barrett Commission and the "Leaky Condo" Crisis
• 2014: Mount Polly Dam Collapse
• 2017: Haddock Professional Reliance Review
• 2021: The Professional Governance Act (PGA) established a regulatory mandate

Professional Governance Act (PGA)

• Introduced in 2019 and effected in 2021
• Umbrella legislation covers professions
• There is an Independent Office of Superintendent
• Sets standards for ethical principles, duties, responsibilities, and governance structures

Regulatory Oversight

• Regulatory oversight structure includes the PGA, Regulations, and Bylaws
• Professional practice of engineering and geoscience is the base level of this structure

EGBC Mandate

• EGBC regulates professional engineering and geoscience practices is done in the public interest in BC
• EGBC regulates the right to title and right to practice
• There are over 43,000 individual registrants
• There are over 4,000 firm registrants

What We Regulate

• Practice regulation enforces "Reserved Practice" related to engineering or geoscience disciplines
• For Geoscience, practice involves discovering/developing resources or investigating geological conditions
• Practice requires registrant experience/knowledge impacting public safety, health, welfare, or environmental protection
• Title regulation includes expressly reserved titles and implying provisions
• Expressly Reserved Titles: P.Eng, P.Geo., P.L.Eng., P.L.Geo., EIT, GIT
• Implying Provision: language that implies status as a registrant, association with EGBC, or authorization to practice engineering or geoscience in BC

Common Misconceptions

• Misconceptions exist around title use (e.g., "Professional")
• Concerns include former registrants/applicants, degrees, registration in other jurisdictions
• Misconceptions regarding practice are location, unstamped work, internal work, and preliminary work

EGBC Organizational Structure

• Has a Board that includes 9 members, inclusive of the Chair and Vice Chair, with 6 registrants and 3 non-registrant government appointees
• The Board oversees management, meets mandates, setting policies, budget, and performance monitoring
• Maintained public accountability through the Ministry of Post-Secondary Education and Future Skills

Statutory Committees (Volunteers)

• Nominations Committee (CGS)
• Investigations Committee (LEC)
• Discipline Committee (LEC)
• Credentials Committee (REG)
• Audits and Practice Review Committee (PPSD)

Non-Statutory Sub-Committees (Board Members)

• Human Resources
• Finance, Risk and Audit
• Governance

Advisory Groups

• Professional Practice
• Climate Change & Sustainability
• Natural Resources and Hazards
• Built Environment
• High Technology
• Manufacturing & Equipment

EGBC Stakeholders

• EGBC Staff
• Volunteers
• Registrants
• Government & Other Regulatory Agencies

Path to Registration

• Academic requirements
• Work experience requirements
• Professional Practice Online Seminar
• National Professional Practice Examination (NPPE) – Law & Ethics
• English Language Competence
• Good Character
• Progression: EIT to P.Eng/P.Geo

Work Experience (P.Eng./P.Geo)

• Must demonstrate a minimum of 4 years of satisfactory work experience
• Must meet Canadian environment requirements
• Must demonstrate competence with experience in present-day practices
• Must demonstrate core competencies with a focus on safe practice

Professional Practice Requirements & Standards

• Professional practice requirements encompass maintaining competence, following the code of ethics, and adhering to QM guidelines and advisories

Professional Practice, Standards and Development

• Regulating the practice requires a 3-pillar approach: quality management, continuing education, and codes/ethics

Quality Management

• Guidelines application
• Appropriate seal use
• Document retention
• Direct supervision
• Independent review

Continuing Education

• Mandatory for individuals.
• Firms create policies for employees in relation to it
• 60-hour, 3-year revolving program

Codes & Ethics

• Compliance to EGBC Code of Ethics
• Firms have policies that align with the Code of Ethics

Maintain Competence

• Continuing Education & Reporting is mandatory
• This includes Ethical & Regulatory Learning, CE Plan
• A total of 60 hours revolving over 3 years

Quality Management Requirements

• Practice Guidelines & Advisories
• Includes direct supervision of delegated work, document retention, check your work, field reviews, authentication, and independent reviews

Guidelines & Advisories

• Guidelines are on Climate Change & Sustainability, and Building Enclosure Engineering
• Also, Energy Modelling, Quality Management, and Use of AI
• Advisory Groups exist for Built Environment, Climate Change & Sustainability, and High Tech.

Advisory Groups also exist for

• Manufacturing & Equipment
• Natural Resources & Hazards

Audits and Practice Reviews

• These apply to individual professionals and firms:
• Audits a compliance check and risk informed random selection
• Practice Reviews are a "Mini investigation" involving reasonable issue belief and being remedial focused

Quality Management Requirements

• Compliance Audit Programs for Individual and Firm Registrants is pursuant to the PGA and EGBC Bylaws
• PGA allows EGBC establish audits, and EGBC conducts audits based on principles of Fairness, Confidentiality and Transparency
• Risk-based criteria inform the random selection of individual registrants
• Board sets 1% for individual registrants compliance audit (~250) and 10% for firms (~450)
• APRC approves registrant selection criteria and registrant base

Professional Practice, Standards and Development:

• Quality Management Spectrum of Intervention:
• Registrant Firm interventions include initial/subsequent compliance, practice review, and discipline
• Individual Registrant interventions include audit exemption for sole practioners, practice review, and discipline

Professional Practice, Standards and Development

• Severity of Audit Findings:
• Interventions escalate from opportunities for improvements to Major Nonconformance
• Observations of note - no breach of requirements observed
• Breach of requirements observed - non-systemic and low-risk
• Systemic issue or unacceptable risk to public safety or the environment

Following the Code of Ethics

• Comprises of a 13-point list of requirements
• Founded on public safety & Environmental Protection.
• Centered around Integrity, Honesty and Trustworthiness.

Law and Ethics

• Laws – a system of rules regulating individual actions enforced by social or governmental institutions
• Ethics – principles helping individuals decide between right and wrong
• Ethics is variable based on setting, community, or culture, and is different from values.

Code of Ethics

• Ethical engineering/geoscience practices are important to maintain public safety and environmental health
• Ethics prevent harm to people/environment
• The Code is mandatory and based on EGBC Bylaws
• The Code is based on principles of integrity, truth & honesty, as well as valuable resources.

Code of Ethics points

• Safety and protection of public and environment
• Practice only in fields when competent
• Regard for common law and standards established by EGBC or government
• Maintain competence and provide qualifications
• Distinguish between facts, assumptions and opinions
• Avoid conflicts of interest
• Duty to report
• Consequences to professional judgement
• Identify registrants involved with professional work
• Due diligence in documentation
• Fairness, courtesy and good faith

Investigation and Discipline

• Process starts with a complaint -> investigation committee -> investigation -> optional recommendations and resolution
• Next discipline committee -> hearing -> charges proven -> publication
• The audit and practice review committee may request remedial action to practice limits

Files Opened 5-Year Trend

• 2018: 67
• 2019: 85
• 2020: 64
• 2021: 62
• 2022: 104
• 2023: 106
• 2024: 99

File Classifications Fiscal 2024

• Conduct Matters (not professional competency): 34%
• Structural: 17%
• Geotechnical: 15%

File Classifications Fiscal 2024 also includes

• Equipment inspection: 5%
• Fire Suppression System: 5%
• Contravention of Discipline Conditions: 4%
• Electrical Engineering: 4%
• Dam Rehabilitation: 3%
• HVAC/Plumbing/Mechanical: 3%
• Improper use of Seal: 3%
• Sewerage/Storm Water: 3%
• Mining: 1%
• Civil: 1%
• Environmental: 1%
• Contractual dispute: 1%

Duty to Report

• Duty to Report mandated
• Duty to report registrant if reasonable and probable grounds exist that registrant may pose a risk
• S.58 duty considers if those activities relate health or safety of the public or a group of people
• Principle 9 Reasonable and probable grounds relate to significant environmental harm

Duty to Report Requirements

• Reports handled through complaint and investigation process
• No anonymous reports
• Rare straightforward circumstances
• Relationships impacted
• Reprisals banned
• Resolve prior to reporting
• Discipline possible for failure to report

Conducting Risk Assessment

• Professional of Record is responsible for conducting a risk assessment to determine if review is required
• Professional of Record is also responsible for recording the rationale for either outcome, as well as addressing concerns

Independent Review

• Independent Review of High-Risk Work & All Structural Work
• Required for ALL Structural Engineering Work.
• It must be done before releasing documentation
• The review should include technical spot-checks of components.
• An independent reviewer is needed, as incorporated since January 1, 2024 per BCBC changes.

Structural: Common Issues

• Not complying with BCBC, Design vs as-built variations, QM issues, and Communications issues
• Practicing out of scope and Client and cost pressures

Geotechnical: Common Issues

• Retaining walls
• Field reviews
• Inadequate or deficient designs
• Lack of supervision
• Not qualified, not complying with standards
• QM issues

Conduct Issues

• Falsifying registration, seal, education or experience
• Criminal convictions
• Inappropriate communication
• Non compliance

CASE STUDY – Danbrook One

• Deficient structural design, seismic loading systems
• Public disclosures and evacuations
• Complex with technical experts involved, 3 separate registrants

CASE STUDY – Mount Polley

• Open pit copper/gold mine breached
• Large complex tailings dam
• 25 billion litres contaminated

CASE STUDY - Verma (2022)

• Registration cancelled, restriction from reinstatement for 18 months, $1,500 in costs
• Fraudulent Registration

CASE STUDY – Wollin (2023)

• Harassing behaviour
• Suspension for a period of two months or complete workplace sensitivity training

CASE STUDY - Chrysanthous (2018)

• Chemical engineer with experience in oil / gas industry
• Registration cancelled, $50,000 in costs
• Wrote technical analysis, emitted threats

CASE STUDY - Notable Files

• David Hilderman - Misuse of "Engineer" title, Injunction obtained
• Roy van Ryswyk – contempt of court, required to pay a $5000

Indictable Offences

• By-law allows EGBC when a registrant/licensee has been found guilty of an indictable (serious) offence to take action
• Can skip investigation process and go directly to discipline: annual reporting required

Presentation on law and ethics in engineering and geoscience by Ramin Seifi from Engineers and Geoscientists BC (EGBC). It covers the evolution, importance, and key aspects of professional regulation in Canada and BC, emphasizing public protection, consistency, accountability, and ethical standards.