Transcript Slide 1

Geoscience Professionalism
and Ethics (2)
University of Calgary Department of
Geoscience – March 24, 2009
Summary of Lecture 1

Professionals are no better than anyone else, just better
prepared

Professionals are supported by the twin pillars of ethical
behaviour and skilled, knowledgeable practice

APEGGA is its members: it is a self-governing entity and
enforces its own act, the Alberta Engineering, Geological and
Geophysical Professions Act

Geoscientists hold to the same code of ethics as Engineers, but
have a greater responsibility for the environment
7/18/2015
U of C Lecture #2
2
APEGGA’s Authority
- Review
The Engineering, Geological and Geophysical
Professions Act
•Privilege of self-governance
•Right to title
•Exclusive scope of practice
•Defines practice
•APEGGA’s role
•Governance
7/18/2015
U of C Lecture #2
3
Rock Solid Professionalism - Review
7/18/2015
U of C Lecture #2
4
Questions?
7/18/2015
U of C Lecture #2
5
The APEGGA Rules of Conduct
Professional engineers, geologists and geophysicists shall:
1.
In their areas of practice, hold paramount the health, safety and
welfare of the public, and have regard for the environment.
2.
Undertake only work that they are competent to perform by virtue
of their training and experience.
3.
Conduct themselves with integrity, honesty, fairness and
objectivity in their professional activities.
4.
Comply with applicable statutes, regulations and bylaws in their
professional practices.
5.
Uphold and enhance the honour, dignity and reputation of their
professions, and thus, the ability of the professions to serve the
public interest.
7/18/2015
U of C Lecture #2
6
APEGBC Short Form Code of Ethics
1.
Public interest
2.
Know your limits
3.
Don’t fake it
4.
Conflict of interest
5.
Respect your value
6.
Lifelong learning
7.
Do unto others…
8.
Stand your ground
9.
Be brave
10.
Spread the Word
7/18/2015
U of C Lecture #2
7
Professional Service
The Code defines five groups that professionals must serve:
1.
The public
2.
His or her practice (employer or clients)
3.
Others (peers, third parties and the professional association)
4.
The law
5.
The profession
7/18/2015
of C LectureMarch
#2 10,
U of AUGeoscience
2009
8
Questions?
7/18/2015
U of C Lecture #2
9
Case History #2
A geophysical consulting company, LMN Geophysical Inc., was awarded an assignment to design a drilling
program, interpret data, evaluate the potential of the field, and prepare a report for use by a client to raise
capital from the public. The company president, Cy Smick, P.Geoph., assumed both corporate and
professional responsibility for the professional practice of the company. He maintained custody of the
permit stamp and only he was authorized to affix and sign it before completed documents were issued.
The assignment came at a time when the company was extremely busy, Mr. Smick assigned Dee S.
Covery, P.Geoph., to direct and control the project. However, she was not able to devote as much attention
to the assignment as she believed was needed to provide an adequate level of professional direction.
When it was completed, Ms. Covery discussed the report with Mr. Smick. Although she believed that the
project staff had performed their respective duties responsibly and well, Ms. Covery expressed concern that
she had not been able to properly supervise the work. She explained that for this reason she had not
affixed her professional stamp to the final report. The president accepted this explanation and, without
further review, affixed and signed LMN's permit stamp to the report and mailed it to the client.
The report was accepted and used to develop a prospectus for distribution to potential investors. Several
years later, an error was discovered in the report, which had the effect of overstating the investment
potential by a factor of three.
The client sued LMN and named Smick and Covery in the lawsuit. One of the investors complained to
APEGGA.
U of C Lecture #2
7/18/2015
10
Case History #2: Discussion
Who should bear the major responsibility - LMN’s president or the
geophysicist?
7/18/2015

Mr. Smick - neglected to review Ms. Covery’s workload and
neglected to review report himself

Ms. Covery could have handled the situation better (should
have informed Mr. Smick that she would be unable to provide
suitable supervision)
U of C Lecture #2
11
Rule 3: Integrity, Honesty, Fairness and Objectivity
7/18/2015

Acting fairly

Expressing opinions in public

Maintaining confidentiality

Conflict of interest

Having recommendations
overruled
U of C Lecture #2
12
Case History #3
Aurest Corporation has been advised by a pollution-control agency that it has 60 days to
apply for a permit to discharge manufacturing wastes into an adjacent lake. The agency
has also advised Aurest of the minimum standard that must be met.
In an effort to convince the agency that the lake will still meet established environmental
standards after receiving the manufacturing wastes, the corporation employs Rick Titude,
P.Eng., to perform consulting engineering services and submit a detailed report.
After completion of his studies, but before completion of any written report, Rick concludes
that the discharge from the plant will lower the quality of the lake below established
standards. He further concludes that corrective action will be very costly. Rick orally
advises Aurest Corporation of his findings. Subsequently, the corporation terminates
Rick’s contract with full payment for his services performed and instructs him not to render
a written report to the corporation.
Thereafter, Rick learns that the authority has called a public hearing and that Aurest has
presented information to support its view that the present discharge meets minimum
standards.
7/18/2015
U of C Lecture #2
13
Case History #3: Discussion

Does Rick have an ethical obligation to report his
findings?



Should first consider obligations to the public
How should he go about reporting these findings?

Should have rendered a written report

Should find a way to see that his findings are considered at the
hearing
Does he have any obligations to notify Aurest?
7/18/2015

Should contact to clarify whether his findings have been included
or not

Explain that he has a professional obligation to advise the
regulatory agency
U of C Lecture #2
14
Rule 4: Statutes, Regulations and Bylaws

Due Diligence

Being aware of the law


Federal, provincial and municipal

Engineering, Geological and
Geophysical Professions Act and
its regulations

Responsible environmental
management
Making clients and employers aware of
the law
7/18/2015
U of C Lecture #2
15
Case History #4: Due Diligence
1.
Go to URL
http://www.unglobalcompact.org/docs/issues_doc/7.7/ca
se_stories/BAC_2B.4.pdf
2.
Review Case Study A: Beta Energy
3.
Should Statoil proceed with the acquisition?
7/18/2015
U of C Lecture #2
16
Rule 5: Honour, Dignity and Reputation

Advertising and presentations

Conduct toward other professionals

Reviewing work of other professionals

Supervising members-in-training

Personal behaviour and conduct

Discrimination and human rights
7/18/2015
U of C Lecture #2
17
Activity 5.1 – Advertising Professional Services
Situation:
Your group (all members) has decided to form a forensic geology
consulting firm. Your firm will hold a Permit to Practice.
Assignment:

Design an internet advertisement intended to attract new
clients

Present a radio spot advertisement (one minute post evening
newscast)

Do a television advertisement (30 second prime time spot)
7/18/2015
U of C Lecture #2
18
Activity 5.2 – Conduct toward other professionals
Situation:

Bre-X Gold Scandal
Assignment:

List the practice issues raised in the About.com Geology
description of the case history
7/18/2015
U of C Lecture #2
19
Activity 5.3 – Reviewing work
by other Professionals
Situation:

Your client wants a review of the Red Mountain, Yukon
property (http://www.intlgold.com/i/pdf/Yukon-2006-MahtinReport-Mar-08.pdf)
Assignment:

How do you approach the project?

Are you, an Alberta P.Geo., qualified to work in the Yukon?

Advise your client on due diligence issues
7/18/2015
U of C Lecture #2
20
5.4 Supervising G-i-Ts
Situation:

You are Chief Geoscientist for a $25,000,000 oil company
and have hired three new Geoscience graduates.
Assignment:

Design and report on a training program that will meet the
needs of the APEGGA Member-in-Training program
7/18/2015
U of C Lecture #2
21
Assignment 5.5 – Personal behaviour and conduct
Situation:

You have been hired by a brokerage firm to advise on natural
resources issues. You are accused of conflict of interest.
Assignment:

Read, discuss and report on “The Case of Due Diligence”
published by the Markkula Center for Applied Ethics.
7/18/2015
U of C Lecture #2
22
Assignment 5.6 – Discrimination and human rights
Situation:

See “Minutes of the Meeting of the Board for Geologists and
Geophysicists”
Assignment:

Review the Board minutes, discuss the scenario and report
on your opinion with respect to the Board’s decision

If this situation had occurred in Alberta, what would be the
outcome?
7/18/2015
U of C Lecture #2
23
Questions?
7/18/2015
U of C Lecture #2
24
7/18/2015
U of C Lecture #2
25