Professionals and obeying the law

APEGA Code of Ethics – Rule #4

4. Professional engineers and geoscientists shall comply with applicable statutes, regulations and bylaws in their professional practices.

This is a common rule of conduct for all types of professional associations. I cite the APEGA version of it simply because I am an APEGA member.

This is one of the code of ethics rules that causes some confusion. Not in that we as professionals should obey the law – every citizen should do so, regardless of whether they are a professional or not. The confusion arises from the last four words, “…in their professional practices.”

The acts which empower professional associations grant those associations some significant powers when it comes to the investigation of complaints against their members. But it also put some very reasonable limits on those powers. Professional associations can only really look at the violations of applicable statutes, regulations, and bylaws by a member if the violation took place in the course of the professional practice, unless the enabling statute allows for it. Reckless driving, for example, is not thought of as a part of the professional practice of engineering or geoscience, so a complaint against a member for driving recklessly, even if supported by a conviction in court, is not considered the basis for a charge of violating this rule. A conviction of insider trading, based on information gained while in the course of consulting to or being employed by a company, however, could be. The line can be blurry in some cases, but most of us can make the distinction between something we do in our professional practice and something we do in our personal lives.

Confusion can arise, however, when the violation of the law is such that a conviction can reflect poorly on the profession as a whole. Crimes against persons, when perpetrated by a professional, can sometimes result in complaints against members, particularly when the accused is identified in the media as a professional. Crimes against property generally don’t attract the same kind of complaints, unless the value of the crime is substantial. In these situations, where the violation of the law is outside of professional practice, the professional association looks at their equivalent of APEGA’s Rule of Conduct #5:

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.

Most commonly, a professional association will not act on simple allegations, or even on the formal laying of charges. The committees which work in the investigation and discipline processes are not experts in criminal law, and so wait for the courts to make their determinations before acting. As a result, some “criminal” events which might appear to be obvious violations are not acted upon immediately by the association. The criminal processes must be followed first, and only then can the professional regulatory process begin. This means that some regulatory actions take several years to come to a conclusion, causing frustration to those involved in, or even observing, the process. Further, many professional associations are limited when starting an investigation. Even when there is a criminal conviction and the case is well-publicized, the enabling statute often requires that a written complaint be received by the association before an investigation can commence. 

On many levels, one might think that professional ethics should not be that hard to understand, particularly when it comes to something as obvious as violating the law. If you take the time to look at the subject, however, I think you will find that there are many subtleties and nuances to consider. If you are interested in the subject, as I am, I would encourage you to get involved in your professional association. They are always looking for interested and thoughtful volunteers to fulfill their mandate of being self-regulating.

Please continue to practice with both the skill and ethics worthy of your role as a professional.