JOHN RICHARD PAINE, P.ENG.
J.R. PAINE & ASSOCIATES LTD.
ROMAN STEFANIW, P.ENG.
Editor's Note: APEGGA Council requires that
The PEGG publish Discipline Committee decisions. Following
are the details of a committee decision of May 23, 2003, involving
On Aug. 7, 2001, the Discipline Committee received, from
the Investigative Committee, referrals and charges for a discipline
hearing concerning Mr. Paine, J.R. Paine & Associates
Ltd. and Mr. Stefaniw (the "members"). After obtaining
the availability of all necessary parties, a hearing date
of April 22, 23 and 24, 2002, was set.
On Jan. 25, 2002, the Discipline Committee issued formal
notices of hearing and served copies on the Members and on
the Investigative Committee (the "parties"). At
the same time, the Discipline Committee, according to its
standard process for disclosure of documents, requested that
the parties provide, to the panel and to each other, copies
of documents on which they intended to rely at the hearing.
On April 19, 2002, the members, through their counsel, applied
for an adjournment. After hearing representations from the
parties by way of a teleconference call, the panel granted
the adjournment for the personal reasons advanced by the members'
counsel. Subsequently, the hearing was rescheduled for July
2 and 3, 2002.
On June 28, 2002, the Investigative Committee advised that,
further to its discussions with the members and their counsel,
the committee did not intend to present its case at the hearing,
and consequently the hearing was adjourned.
On Aug. 12, 2002, the Investigative Committee proposed that
the matter be resolved by way of a stipulated order. Given
that the panel had already been struck and had issued procedural
rulings, both parties agreed that the matter would proceed
by way of a joint submission to be put before the panel. On
Jan. 8, 2003, the joint submission was received and put before
the panel on Jan. 15, 2003. The panel requested the parties'
positions on whether further oral representations were required.
Counsel Barry Massing, for the Investigative Committee, and
James Scott, for the members, indicated that they did not
wish to make any further representations.
AGREED STATEMENT OF FACTS
In their joint submission dated, Jan. 7, 2003, the parties
agreed as follows:
1. At all material times, Roman Stefaniw, P.Eng., and J.
Richard Paine, P.Eng., were professional engineers duly registered
in good standing with the Association of Professional Engineers,
Geologists and Geophysicists of Alberta (APEGGA). J.R. Paine
& Associates Ltd. was duly registered in good standing
as a permit holder.
2. From time to time employees of J.R. Paine were required
to conduct soil compaction tests for projects requiring trench
3. The procedures required and included the recording of
test results on site by field technicians and submitting them
for review and transcription into final report form.
4. There were changes and additions to the field test results
which were done without basis of fact and could not be supported
by field test findings.
5. Mr. Paine and Mr. Stefaniw signed, as professional engineers,
the compliance reports, relying upon data, some of which included
the data subsequently found to have been inaccurate.
6. Upon being notified that some compliance reports may have
been issued upon data subsequently found to have been inaccurate,
Mr. Paine, Mr. Stefaniw, and J.R. Paine commissioned an independent
audit of the procedures followed by J.R. Paine in order to:
- Determine the procedures followed by J.R. Paine in the
preparation of the reports required.
- Highlight procedure improvements, if any, that should
be implemented by J.R. Paine in the preparation of the above
The audit was completed and certain recommendations were
made. J.R. Paine, Mr. Stefaniw and Mr. Paine have advised
that the recommendations have been adopted and implemented.
7. Mr. Paine and Mr. Stefaniw accept professional responsibility
for signing and causing to be issued compliance reports, some
of which have been based in part on data not based on fact
and not supported by field test findings.
In their submission, the members and the Investigative Committee
also agreed that the conduct of Mr. Paine, Mr. Stefaniw and
J.R. Paine constitutes a violation of Rules of Conduct 1,
2 and 3 in that the compliance certificates were signed and
issued to the clients, some of which have subsequently been
based on data subsequently found to have been inaccurate,
thereby constituting unprofessional conduct and a violation
of the APEGGGA Code of Ethics.
Having considered the parties' submission, the panel orders
1. Mr. Paine, Mr. Stefaniw, and J.R. Paine & Associates
Ltd. shall be reprimanded.
2. Mr. Paine, Mr. Stefaniw, and J.R. Paine & Associates
Ltd. shall pay, to the Association, costs in the collective
amount of $5,000, and shall donate $5,000 to the APEGGA Education
3. Mr. Paine, Mr. Stefaniw, and J.R. Paine & Associates
Ltd. shall be the subject of not more than two random audits
within the next five years of their procedures and record
keeping, including data collection and preparation of their
reports. The Investigative Committee has sole discretion to
appoint the auditor. In its discretion, the Investigative
Committee may dispense with the second audit.
The audits shall be with respect to work done from 2002 or
subsequent thereto; shall consist of a minimum of five randomly
selected projects; and shall be paid for by the individual
members or permit holder as the case may be.
4. Should the auditor make any recommendations as a result
of the audits, the individual members and permit holder shall
implement those recommendations.
5. This decision shall be published in The PEGG.
The panel also suggests that in future cases coming before
the Discipline Committee, the parties also address the matter
of when certain payments are due. Typically, the panel would
like to see a payment due date and consequences that would
result if payment is not made. So, for instance, Order 2 might
have said that the various costs and payments referred to
would be "paid within 90 days of service of this decision,
failing which the permit and registrations of the members
will be suspended until the order is fulfilled" or some