In Class Cases & Verdicts

7/24/2019 In Class Cases & Verdicts

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Case 97-10

Payment of Referral Fee For Being Selected By Engineer

Code Citations: [II.2.c] [II.5.b] [III.5.b]

Case Citations: [86-1] [92-3]

Facts:

Engineer A is a licensed proessional engineer and o!ner o a corporation pro"idingengineering ser"ices #nder t$e la!s o t$e engineer%s state. &$e engineeringcorporation peror's b#ilding inspection ser"ices or a "ariet( o clients in t$e p#blic

and pri"ate sector. &$e ser"ices pro"ided b( t$e engineering corporation generall(incl#de t$e coordination o engineering ser"ices in"ol"ing 'ore t$an one engineeringspecialt(.

Engineer A is as)ed b( a client to coordinate '#ltidisciplinar( ser"ices to be pro"idedb( se"eral engineering ir's. Engineer A proposes to bill t$e client or t$ecoordination ser"ices and Engineer A !ill also c$arge eac$ o t$e engineering ir's a*reerral ee* or selecting t$e ir's on be$al o t$e client. Engineer A%s coordinationand reerral c$arges !ill be o#tlined in $is agree'ents !it$ t$e client and t$eengineering ir's. &$e agree'ents !ill also assign proessional liabilit( ins#rance

responsibilit( to t$e speciic engineering ir' pro"iding t$e ser"ices. Engineer A isnot pro"iding an( ser"ices directl( to t$e ot$er engineering ir's ot$er t$an t$eopport#nit( to peror' t$e ser"ices or t$e client #nder t$e coordination o EngineerA.

Question:

+as it et$ical or Engineer A to c$arge t$e ot$er engineering ir's a *reerral ee*#nder t$e circ#'stances described,

References:

Code II.2.cEngineers 'a( accept assign'ents and ass#'e responsibilit( or coordinationo an entire proect and sign and seal t$e engineering doc#'ents or t$e entire

proect pro"ided t$at eac$ tec$nical seg'ent is signed and sealed onl( b( t$e/#aliied engineers !$o prepared t$e seg'ent.


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Code II.5.bEngineers s$all not oer gi"e solicit or recei"e eit$er directl( or indirectl(an( contrib#tion to inl#ence t$e a!ard o a contract b( p#blic a#t$orit( or!$ic$ 'a( be reasonabl( constr#ed b( t$e p#blic as $a"ing t$e eect or intento inl#encing t$e a!arding o a contract. &$e( s$all not oer an( git or ot$er"al#able consideration in order to sec#re !or). &$e( s$all not pa( aco''ission percentage or bro)erage ee in order to sec#re !or) e0cept to a

bona ide e'plo(ee or bona ide establis$ed co''ercial or 'ar)eting agenciesretained b( t$e'.

Code III.5.bEngineers s$all not accept co''issions or allo!ances directl( or indirectl(ro' contractors or ot$er parties dealing !it$ clients or e'plo(ers o t$eEngineer in connection !it$ !or) or !$ic$ t$e Engineer is responsible.

Discussion:Engineers pro"ide a '#ltit#de o proessional ser"ices and in a "ariet( o !a(s. Inaddition to t$eir "ast tec$nical e0pertise proessional engineers are re/#entl( called#pon b( t$eir clients to oer proect 'anage'ent constr#ction 'anage'ent andot$er coordination and sc$ed#ling ser"ices as part o t$e design reno"ation and'aintenance o constr#cted acilities see Code II.2.c.. &$e ed#cation and e0perienceo engineers 'a)e t$e' #ni/#el( /#aliied to peror' t$ese and ot$er ser"ices or t$e

beneit o t$eir clients. o!e"er it is i'portant to disting#is$ t$e arrange'ents ort$e coordination o proessional and ot$er ser"ices or t$e beneit o a client and

arrange'ents 'ade bet!een t$e engineering ir' and t$e ir's selected to peror't$e ser"ices being coordinated b( t$e engineer.

&$e s#bect o a *reerral ee* $as been considered b( t$e 4oard on ot$er occasions. In4E Case o. 86-1 t$e 4oard considered t!o separate act#al sit#ations in"ol"ingt$e solicitation o !or) b( a b#siness consorti#' consisting o an engineering ir'arc$itect#ral ir' constr#ction ir' and inancial ir'. In one case to dera(consorti#' e0penses or pro'otion p#blicit( o"er$ead etc. eac$ ir' !as re/#iredto pa( to t$e consorti#' an entrance ee pl#s a percentage o inco'e deri"ed ro'

b#siness s#ccess#ll( generated ro' reerrals b( ot$er consorti#' 'e'bers. In t$e

ot$er case eac$ ir' !as re/#ired to pa( t$e entrance ee pl#s a reerral ee directl( tot$e consorti#' ir' 'e'ber !$ic$ *o#nd* t$e ne! b#siness client. In inding t$eirst arrange'ent to be proper b#t t$e second i'proper t$e 4oard noted t$at bot$consorti#'s !ere being or'ed pri'aril( or 'ar)eting p#rposes and represent ineect a *pooling* o indi"id#al ir' 'ar)eting capabilities and eorts t$ro#g$ an#'brella approac$. In t$is sense t$e consorti#' is /#ite si'ilar to t$e oint "ent#res!$ere one ir' learns o a potential proect and or's liaisons !it$ ot$er ir's $a"ing


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e0pertise co'ple'entar( to t$e ot$ers. 7ar)eting eorts are co'bined to sec#re t$eb#siness and ee arrange'ents are agreed to b( all oint "ent#re participants. &$e irstconsorti#' represented a relati"el( #ni/#e approac$ to 'ar)eting. &$e secondconsorti#' in"ol"ed a reerral ee a portion o !$ic$ !as e0c$anged bet!eenconsorti#' ir' 'e'bers !$ic$ constit#ted a pa('ent or "al#able consideration inorder to sec#re !or) pro$ibited b( Code II.5.b.

ater in 4E Case o. 92-3 Engineer A !$o peror'ed b#ilding inspectionser"ices !as contacted b( I Inc. a ir' t$at reerred co'panies to proessionalengineers t$at peror' b#ilding inspection ser"ices. I Inc. and si'ilar co'panies!ere in"ol"ed in assisting relocating e'plo(ees in t$e sale and p#rc$ase oresidences. &(picall( I Inc. 'ade contact !it$ t$e client too) an order or a oband passed t$e order on to t$e proessional engineer a"ailable in t$e geograp$ic area.Engineer A peror'ed t$e ser"ices prepared a report and s#b'itted t$e report to IInc. Engineer A in"oiced I Inc. or $is ser"ices at $al !$at $e !o#ld nor'all(c$arge to anot$er client or t$e sa'e ser"ices. I Inc. in"oiced t$e client or itsser"ices t!ice t$e a'o#nt t$at is c$arged b( Engineer A a act later learned b(Engineer A. I Inc. $ad no e0cl#si"e contract#al or b#siness relations$ip !it$Engineer A and I Inc. possessed no engineering e0pertise.

In deter'ining t$at it !as #net$ical or Engineer A to contin#e association !it$ t$ereerral ir' ater learning t$at I Inc. !as indicating a ee or Engineer A%s ser"icesto t$e I Inc. client t$at !as dierent ro' t$e ee c$arged b( Engineer A t$e 4oardnoted t$at t$e act t$at I Inc. t(picall( 'a)es contact !it$ t$e e'plo(er ta)es anorder or a ob and passes t$e order on to t$e proessional engineer a"ailable in t$egeograp$ic area s#ggests t$at I Inc. !as acting p#rel( as a bro)er #nder t$e actsand t$at Engineer A%s orbearance o $is #ll ee constit#tes pa('ent or "al#ableconsideration in order to sec#re !or) pro$ibited b( Code II.5.b.

In addition #nder t$e acts it !as clear t$at Engineer A peror'ed all necessar(ser"ices and prepared t$e report or t$e act#al client. I Inc. pro"ided no beneit tot$e client ot$er t$an si'pl( passing t$e proessional report prepared b( Engineer A tot$e client. I Inc. appeared to be acting p#rel( as a *go-bet!een* and did not appearto be adding an( "al#e to t$e ser"ices p#rc$ased b( clients e"en t$o#g$ s#c$ clientsare pa(ing a signiicant ee or t$e in"ol"e'ent o I Inc. &$e 4oard !as

partic#larl( dist#rbed b( Engineer A%s contin#ed association !it$ I Inc. aterlearning t$at I Inc. $ad indicated a ee or Engineer A%s ser"ices on t$e I Inc.in"oice to its client t$at !as dierent ro' t$e ee c$arged b( Engineer A. ;n t$e aceo it I%s practice 'isrepresented Engineer A%s act#al ee and !as #dged a decepti"e

practice.


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rning to t$e acts o t$is case !$ile t$ere are si'ilarities bet!een t$is case andCase os. 86-1and 92-3 t$ere also are so'e dierences.


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Eac$ opinion is intended as g#idance to indi"id#al practicing engineers st#dents andt$e p#blic. In regard to t$e /#estion o application o t$e =>E Code o Et$ics toengineering organiations e.g. corporations partners$ips sole-proprietors$ipsgo"ern'ent agencies #ni"ersit( engineering depart'ents etc. t$e speciic b#sinessor' or t(pe s$o#ld not negate nor detract ro' t$e conor'ance o indi"id#als to t$e

=>E Code. &$e =>E Code deals !it$ proessional ser"ices -- !$ic$ ser"ices '#stbe peror'ed b( real persons. eal persons in t#rn establis$ and i'ple'ent policies!it$in b#siness str#ct#res.

&$is ;pinion is or ed#cational p#rposes onl(. It 'a( be reprinted !it$o#t #rt$erper'ission pro"ided t$at t$is state'ent is incl#ded beore or ater t$e te0t o t$e caseand t$at appropriate attrib#tion is pro"ided to t$e ational =ociet( o >roessionalEngineers% 4oard o Et$ical e"ie!.

@isit t$e *Et$ics 4#tton* on =>E%s !ebsite !!!.nspe.org and learn $o! to obtain

co'plete "ol#'es t$at incl#de all =>E ;pinions or call 1-8DD-1F-D38.

[?isclai'er]

[7ain >age][Inde0 to eerence ?oc#'ents][Inde0 to All Cases]


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Case 97-11

Duty to Disclose Disciplinary Complaint to Client

Code Citations: [II.3.a] [II..a] [II.5.a] [III.3.a]

Case Citations: [83-1] [9D-]

Facts:

Engineer A is retained b( Client 4 to peror' design ser"ices and pro"ide a Critical>at$ 7et$od C>7 sc$ed#le or a 'an#act#ring acilit(. Engineer A prepares t$e

plans and speciications and t$e C>7 sc$ed#le.

?#ring t$e rendering o ser"ices to Client 4 on t$is proect t$e state board oproessional engineers contacts Engineer A regarding an et$ics co'plaint iled againstEngineer A b( Client C relating to ser"ices pro"ided on a proect or Client C t$at aresi'ilar to t$e ser"ices being peror'ed or Client 4. Client C alleges t$at Engineer Alac)ed t$e co'petence to peror' t$e ser"ices in /#estion. Engineer A does not

belie"e it is necessar( to noti( Client 4 o t$e pending co'plaint. ater t$ro#g$anot$er part( Client 4 learns o t$e et$ics co'plaint iled against Engineer A and tellsEngineer A t$at $e is #pset b( t$e allegations and t$at Engineer A s$o#ld $a"e bro#g$tt$e 'atter to Client 4%s attention.

Question:

+as it #net$ical or Engineer A to not report to Client 4 t$e et$ics co'plaint iledagainst Engineer A b( Client C,

References:

Code II.3.aEngineers s$all be obecti"e and tr#t$#l in proessional reports state'ents or

testi'on(. &$e( s$all incl#de all rele"ant and pertinent inor'ation in s#c$reports state'ents or testi'on( !$ic$ s$o#ld bear t$e date indicating !$en it!as c#rrent.

Code II..aEngineers s$all disclose all )no!n or potential conlicts o interest !$ic$ co#ldinl#ence or appear to inl#ence t$eir #dg'ent or t$e /#alit( o t$eir ser"ices.

Code II.5.a


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Engineers s$all not alsi( t$eir /#aliications or per'it 'isrepresentation ot$eir or t$eir associates% /#aliications. &$e( s$all not 'isrepresent ore0aggerate t$eir responsibilit( in or or t$e s#bect 'atter o prior assign'ents.4roc$#res or ot$er presentations incident to t$e solicitation o e'plo('ents$all not 'isrepresent pertinent acts concerning e'plo(ers e'plo(eesassociates oint "ent#rers or past acco'plis$'ents.

Code III.3.aEngineers s$all a"oid t$e #se o state'ents containing a 'aterial'isrepresentation o act or o'itting a 'aterial act.

Discussion:

&$e obligation o t$e engineer to be $onest and tr#t$#l and to a"oid acts t$at 'ig$t be"ie!ed as 'isleading and decepti"e is clearl( stated in "ario#s sections o t$e =>E

Code o Et$ics =ee Code II.3.a.Code II..a Code II.5.a. and Code III.3.a.. &$eseincl#de t$e obligations to be tr#t$#l in p#blic state'ents act as a ait$#l agent andtr#stee in dealings !it$ clients not alsi( or 'isrepresent t$eir proessional/#aliications and a"oid t$e #se o state'ents containing a 'aterial 'isrepresentationo act.

&$e 4oard $as re"ie!ed a n#'ber o act#al sit#ations o"er t$e (ears relating to t$e/#estion o 'isleading clients t$ro#g$ t$e 'isrepresentation o proessional/#aliications.


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4oard noted t$at it is not #n#s#al or an engineering ir' t$at see)s to pro'ote itselor b#siness reasons to incl#de in s#c$ a broc$#re a state'ent o t$e ir'%s e0perienceits $istor( and its /#aliications as !ell as t$e na'es and /#aliications o t$e'e'bers o t$e ir'. +e said t$at t$e na'es o t$e ir'%s 'e'bers are oten /#itesigniicant to t$e client selecting t$e ir'. &$e client 'a( be a'iliar !it$ anindi"id#al 'e'ber o t$e ir' as represented in t$e broc$#re. +e concl#ded t$at t$eincl#sion o t$e na'e o Engineer A in t$e ir'%s broc$#re constit#ted a'isrepresentation o *pertinent acts.*

In Case o. 83-1 a second point !e considered !as !$et$er it !as t$e *intent andp#rpose* o Engineer 4 to *en$ance t$e ir'%s /#aliications and !or)* b( incl#dingEngineer A%s na'e in t$e pro'otional broc$#re ater Engineer A let t$e ir'. &$eacts presented in t$e case de'onstrated t$at Engineer 4 acted !it$ *intent and

p#rpose* in distrib#ting t$e 'isleading broc$#re. Engineer 4 !as !ell a!are o t$ei'pending ter'ination o Engineer A as Engineer 4 !as t$e "er( person !$oter'inated Engineer A. Engineer 4 distrib#ted t$e broc$#re !$ile Engineer A !as stille'plo(ed b#t $ad been gi"en a notice o ter'ination. &$e 4oard noted t$at t$is co#ldeasil( 'islead potential clients into belie"ing t$at Engineer A noted as a )e(e'plo(ee !o#ld be a"ailable in t$e ir' or cons#ltation on #t#re proects.7oreo"er Engineer 4 distrib#ted t$e broc$#re ater Engineer A $ad let t$e ir'. &$e4oard concl#ded t$at t$is !o#ld be a clear 'isrepresentation o a pertinent act !it$t$e intent to en$ance t$e ir'%s /#aliications and as s#c$ constit#ted a "iolation ot$e =>E Code.

In Case o. 9D- Engineer G !as e'plo(ed b(


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to en$ance t$e ir'%s credentials b( i'pl(ing t$at t$e ir' $ad a $ig$er le"el oe0pertise t$an it act#all( $ad. In contrast t$e present case in"ol"es a sit#ation t$atco#ld relect negati"el( on Engineer A and $is ir'. o!e"er t$e 4oard does not

belie"e t$e nat#re o t$e inor'ation -- !$et$er positi"e or negati"e -- is at iss#e. &$eiss#e o greatest i'portance in eac$ o t$ese cases appears not to be !$et$er a client!o#ld be pleased or disappointed !it$ t$e inor'ation b#t !$et$er t$e inor'ationco''#nicated or in t$e present case not co''#nicated a'o#nts to an act t$at'isleads or decei"es t$e client.

&$e 4oard is o t$e opinion t$at !$ile an engineer clearl( $as an et$ical obligation toact as a ait$#l agent and tr#stee or t$e beneit o a client a"oid decepti"e acts beobecti"e and tr#t$#l a"oid conlicts etc. s#c$ obligations !o#ld not co'pel anengineer to a#to'aticall( disclose t$at a co'plaint $ad been iled against t$e engineer!it$ t$e state engineering licens#re board. A co'plaint is a 'ere allegation and doesnot a'o#nt to a inding o act or concl#sion o la!. o engineer s$o#ld be co'pelledto disclose potentiall( da'aging allegations abo#t $is proessional practice --allegations t$at co#ld be alse baseless and 'oti"ated b( so'e 'alicio#s intent.Instead Engineer A s$o#ld !eig$ all actors and depending #pon t$e nat#re andserio#sness o t$e c$arges ta)e pr#dent action !$ic$ 'ig$t incl#de pro"iding Client4 !it$ appropriate bac)gro#nd inor'ation.

;n t$is last point !$ile t$e 4oard is not s#ggesting t$at Engineer A $ad an et$icalobligation to report to Client 4 t$e et$ics co'plaint iled against $i' b( Client C t$e4oard belie"es Engineer A s$o#ld $a"e !eig$ed pro"iding Client 4 !it$ so'e li'ited

bac)gro#nd inor'ation in a dispassionate and nonpre#dicial 'atter or t$e beneit oall concerned. 4( doing so Engineer A !o#ld be pro"iding Client 4 !it$ earl( noticeo t$e pending 'atter so t$at Client 4 !ill be able to respond to co''ents or/#estions b( t$ird parties and !o#ld be de'onstrating to Client 4 t$at Engineer A isacting in a proessional and responsible 'anner and $as not$ing to $ide or earconcerning t$e co'plaint.

Conclusion:

It !as et$ical or Engineer A not to report to Client 4 t$e et$ics co'plaint iled

against Engineer A b( Client C.4;A? ;< E&ICA E@IE+

a'es . .E.B +illia' E. orris >.E.B >a#l E. >rit)er >.E.B ic$ard =i'berg>.E.B i''( . ='it$ >.E. >$.?.B C. Allen +ortle( >.E.B ?onald . iatte >.E.C$air'an


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;&E: &$e =>E 4oard o Et$ical e"ie! 4E considers et$ical cases in"ol"ingeit$er real or $(pot$etical 'atters s#b'itted to it ro' =>E 'e'bers ot$erengineers p#blic oicials and 'e'bers o t$e p#blic. &$e 4E re"ie!s eac$ case int$e conte0t o t$e =>E Code o Et$ics and earlier 4E opinions. &$e acts containedin eac$ case do not necessaril( represent all o t$e pertinent acts s#b'itted to orre"ie!ed b( t$e 4E.




@isit t$e *Et$ics 4#tton* on =>E%s !ebsite !!!.nspe.org and learn $o! to obtainco'plete "ol#'es t$at incl#de all =>E ;pinions or call 1-8DD-1F-D38.

[?isclai'er]



11/62

Case 97-12

Copyright - Duty to Report Violation of Copyright Licensing Agreement

Code Citations: [II.1.c] [II.1.e] [II.] [III.1D]


Facts:

Engineer A is e'plo(ed b( =>K Engineering an engineering ir' in pri"ate practicein"ol"ed in t$e design o bridges and ot$er str#ct#res. As part o its ser"ices =>KEngineering #ses a CA? sot!are design prod#ct #nder a licensing agree'ent !it$ a"endor. Alt$o#g$ #nder t$e ter's o t$e licensing agree'ent =>K Engineering is not

per'itted to #se t$e sot!are at 'ore t$an one !or)station !it$o#t pa(ing a $ig$erlicensing ee =>K Engineering ignores t$is restriction and #ses t$e sot!are at an#'ber o e'plo(ee !or)stations. Engineer A beco'es a!are o t$is practice andcalls a *$otline* p#blicied in a tec$nical p#blication and reports $is e'plo(er%sacti"ities.

Question:

+as it et$ical or Engineer A to report $is e'plo(er%s apparent "iolation o t$elicensing agree'ent on t$e *$otline* !it$o#t irst disc#ssing $is concerns !it$ $ise'plo(er,

References:

Code II.1.cEngineers s$all not re"eal acts data or inor'ation !it$o#t t$e prior consento t$e client or e'plo(er e0cept as a#t$oried or re/#ired b( la! or t$is Code.

Code II.1.eEngineers $a"ing )no!ledge o an( alleged "iolation o t$is Code s$all report

t$ereon to appropriate proessional bodies and !$en rele"ant also to p#blica#t$orities and cooperate !it$ t$e proper a#t$orities in #rnis$ing s#c$inor'ation or assistance as 'a( be re/#ired.

Code II.Engineers s$all act or eac$ e'plo(er or client as ait$#l agents or tr#stees.

Code III.1D


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Engineers s$all gi"e credit or engineering !or) to t$ose to !$o' credit is d#eand !ill recognie t$e proprietar( interests o ot$ers.

Discussion:

&$e acts and circ#'stances in"ol"ed in t$is case are probabl( 'ost analogo#s toearlier 4oard o Et$ical e"ie! cases dealing !it$ t$e iss#e o !$istleblo!ing.

;"er t$e (ears t$e 4oard $as considered t!o cases relating to t$e iss#e o!$istleblo!ing. &$e irst 4E Case o. 82-5 in"ol"ed t$e iss#e o !$et$er anengineer $ad an et$ical obligation or an et$ical rig$t to contin#e $is eorts to sec#rec$ange in t$e polic( o $is e'plo(er or to report $is concerns to t$e proper a#t$orit(.&$e case related to an engineer e'plo(ed b( a large ind#strial e'plo(er !$o aterobser"ing t$at certain s#bcontractor plan s#b'issions !ere inade/#ate notiied $ise'plo(er o t$e proble'. E Code pro"isions t$e 4oard noted t$at t$e acts

beore it did not relate to a danger to t$e p#blic $ealt$ and saet( b#t !ere pre'ised#pon a clai' o #nsatisactor( plans and t$e #n#stiied e0pendit#re o p#blic #nds.&$e 4oard concl#ded t$at in t$e t(pe o sit#ation presented in Case o. 82-5 t$eet$ical d#t( or rig$t o t$e engineer beco'es a 'atter o personal conscience. &$e4oard !as not !illing to 'a)e a blan)et state'ent t$at t$ere is an et$ical d#t( in t$ese

)inds o sit#ations or t$e engineer to contin#e $is ca'paign !it$in t$e co'pan( and'a)e t$e iss#e one or p#blic disc#ssion. =aid t$e 4oard *t$e =>E Code onl(re/#ires t$at t$e engineer !it$dra! ro' a proect and report to proper a#t$orities!$en t$e circ#'stances in"ol"e endanger'ent o t$e p#blic $ealt$ saet( and!elare.*

7ore recentl( in Case o. 88-6 !$ic$ in"ol"ed a cit( engineer !$o learned o!aste!ater ponds o"erlo!ing into a ri"er t$e 4oard in re"ie!ing t$e reasoning inCase o. 82-5 concl#ded t$at t$e acts in"ol"ed a danger *to t$e p#blic $ealt$ andsaet( - t$e conta'ination o a co''#nit( !ater s#ppl(.* ;n t$at basis t$e 4oard

tracing its rationale in Case o. 82-5 noted t$at !$ere an engineer deter'ines t$at acase 'a( in"ol"e a danger to t$e p#blic saet( t$e engineer $as not 'erel( an *et$icalrig$t* b#t $as an *et$ical obligation* to report t$e 'atter to t$e proper a#t$orities and!it$dra! ro' #rt$er ser"ice on t$e proect. I'portantl( t$e 4oard ac)no!ledgedt$at it is diic#lt to sa( e0actl( at !$at point t$e engineer s$o#ld $a"e reported $erconcerns to t$e appropriate a#t$orities. o!e"er it !as s#ggested t$at s#c$ reportingco#ld $a"e occ#rred !$en t$e engineer !as reasonabl( certain t$at no action !o#ld


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be ta)en concerning $er reco''endations and t$at in $er proessional #dg'ent aprobable danger to t$e p#blic $ealt$ and saet( e0isted.

+e belie"e t$ese t!o cases are instr#cti"e and rele"ant to t$e 'atter presentl( beoret$e 4oard or at least t!o signiicant reasons. racticesection speciicall( relating to t$e engineer%s para'o#nt obligation to protect t$e

p#blic $ealt$ and saet(.

=econd t$e circ#'stances in"ol"ed in bot$ 4E Case os. 82-5and 88-6appear toin"ol"e sit#ations !$ere t$e engineers $a"e at least 'ade an eort to e0$a#st allinternal 'ec$anis's beore conte'plating ta)ing action b( reporting t$e dangers to

t$e proper a#t$orities.

Jnder t$e acts in t$e present case t$e 4oard concl#des t$at t$e acts andcirc#'stance are not o a c$aracter t$at in"ol"e an( danger -- direct or indirect -- tot$e p#blic $ealt$ and saet(. Instead t$e acts and circ#'stances relate to 'atters o alegal nat#re and do not relate to engineering #dg'ent or e0pertise. Code II.places a

basic obligation on engineers to be ait$#l agents and tr#stees in proessional 'atters!it$ t$eir e'plo(ers. It is t$e 4oard%s opinion t$at Engineer A%s actions in reporting$is e'plo(er%s apparent "iolation !as directl( in conlict !it$ t$e =>E Code oEt$ics. +e are tro#bled t$at Engineer A did not consider ot$er less ad"ersarial ands#rreptitio#s alternati"es.


14/62

It !as not et$ical or Engineer A to report $is e'plo(er%s apparent "iolation o t$elicensing agree'ent on t$e *$otline* !it$o#t irst disc#ssing $is concerns !it$ $ise'plo(er.

4;A? ;< E&ICA E@IE+

a'es . .E.B +illia' E. orris >.E.B >a#l E. >rit)er >.E.B ic$ard =i'berg>.E.B i''( . ='it$ >.E. >$.?.B C. Allen +ortle( >.E.B ?onald . iatte >.E.C$air'an

;&E: &$e =>E 4oard o Et$ical e"ie! 4E considers et$ical cases in"ol"ingeit$er real or $(pot$etical 'atters s#b'itted to it ro' =>E 'e'bers ot$erengineers p#blic oicials and 'e'bers o t$e p#blic. &$e 4E re"ie!s eac$ case int$e conte0t o t$e =>E Code o Et$ics and earlier 4E opinions. &$e acts containedin eac$ case do not necessaril( represent all o t$e pertinent acts s#b'itted to or

re"ie!ed b( t$e 4E.





[?isclai'er]



15/62

Case 97-13

Duty o Report !nrelated "nformation #$ser%ed During Rendering of Ser%ices

Code Citations: [II.1.c] [II.3.a] [III.1.a] [III.2.b]

Case Citations: [89-F] [9F-5]

Facts:

A p#blic agenc( retains t$e ser"ices o @+G Arc$itects and Engineers to peror' a'aor sc$ed#led o"er$a#l o a bridge. @+G Arc$itects and Engineers retains t$eser"ices o Engineer A a ci"il engineer as its s#bcons#ltant to peror' bridgeinspection ser"ices on t$e bridge. Engineer A%s scope o !or) is solel( to identi( an(

pa"e'ent da'age on t$e bridge and report t$e da'age to @+G or #rt$er re"ie! andrepair.

&$ree 'ont$s prior to t$e beginning o t$e sc$ed#led o"er$a#l o t$e bridge !$iletra"eling across t$e bridge >olice ;icer 4 loses control o $is patrol car. &$e "e$iclecras$ed into t$e bridge !all. &$e !all ailed to restrain t$e "e$icle !$ic$ ell to t$eri"er belo! )illing >olice ;icer 4.

+$ile cond#cting t$e bridge inspection and alt$o#g$ not part o t$e scope o ser"icesor !$ic$ $e !as retained Engineer A notices an apparent pre-e0isting deecti"e

condition in t$e !all close to !$ere t$e accident in"ol"ing >olice ;icer 4 occ#rred.Engineer A s#r'ises t$at t$e deecti"e condition 'a( $a"e been a contrib#ting actorin t$e !all ail#re and notes t$is in $is engineering notes. Engineer A "erball( reportst$is inor'ation to $is client !$ic$ t$en "erball( reports t$e inor'ation to t$e p#blicagenc(. &$e p#blic agenc( contacts @+G Arc$itects and Engineers !$ic$ t$encontacts Engineer A and as)s Engineer A not to incl#de t$is additional inor'ation in$is inal report since it !as not part o $is scope o !or). Engineer A states t$at $e!ill retain t$e inor'ation ro' $is engineering notes b#t not incl#de it in t$e inalreport as re/#ested. Engineer A does not report t$is inor'ation to an( ot$er p#blicagenc( or a#t$orit(.

Question:

1. +as it et$ical or Engineer A to retain t$e inor'ation in $is engineering notes b#tnot incl#de it in t$e inal report as re/#ested,


16/62

2. +as it et$ical or Engineer A not to report t$is inor'ation to an( ot$er p#blicagenc( or a#t$orit(,

References:

Code II.1.cEngineers s$all not re"eal acts data or inor'ation !it$o#t t$e prior consento t$e client or e'plo(er e0cept as a#t$oried or re/#ired b( la! or t$is Code.

Code II.3.aEngineers s$all be obecti"e and tr#t$#l in proessional reports state'ents ortesti'on(. &$e( s$all incl#de all rele"ant and pertinent inor'ation in s#c$reports state'ents or testi'on( !$ic$ s$o#ld bear t$e date indicating !$en it!as c#rrent.

Code III.1.a

Engineers s$all ac)no!ledge t$eir errors and s$all not distort or alter t$e acts.Code III.2.bEngineers s$all not co'plete sign or seal plans andLor speciications t$at arenot in conor'it( !it$ applicable engineering standards. I t$e client ore'plo(er insists on s#c$ #nproessional cond#ct t$e( s$all noti( t$e propera#t$orities and !it$dra! ro' #rt$er ser"ice on t$e proect.

Discussion:

Engineers pla( a "ital role in societ( in pro"iding a $ig$er degree o ass#rance t$at t$e

prod#cts s(ste's acilities and str#ct#res #sed b( t$e p#blic are sae and eecti"e.Engineers are re/#entl( placed in sit#ations !$ere t$e( '#st balance t$e e0tent ot$eir obligations to t$eir e'plo(er or client !it$ t$eir obligations to protect t$e p#blic$ealt$ and saet(.

An e0a'ple o t$is basic et$ical dic$oto'( !as considered b( t$e =>E 4oard oEt$ical e"ie! in Case o. 89-F!$ic$ t$e 4oard also applied in Case o. 9F-5. Int$at case an engineer Engineer A !as retained to in"estigate t$e str#ct#ral integrit(o a 6D-(ear-old occ#pied apart'ent b#ilding !$ic$ $is client !as planning to sell.Jnder t$e ter's o t$e agree'ent !it$ t$e client t$e str#ct#ral report !ritten b(

Engineer A !as to re'ain conidential. In addition t$e client 'ade clear to EngineerA t$at t$e b#ilding !as being sold *as is* and t$at t$e client !as not planning to ta)ean( re'edial action to repair or reno"ate an( s(ste' !it$in t$e b#ilding prior to itssale. Engineer A peror'ed se"eral str#ct#ral tests on t$e b#ilding and deter'ined t$att$e b#ilding !as str#ct#rall( so#nd. o!e"er d#ring t$e co#rse o pro"iding ser"icest$e client conided in Engineer A and inor' $i' t$at t$e b#ilding containeddeiciencies in t$e electrical and 'ec$anical s(ste's !$ic$ "iolated applicable codes


17/62

and standards. +$ile Engineer A is not an electrical or 'ec$anical engineer $e doesrealie t$ose deiciencies co#ld ca#se in#r( to t$e occ#pants o t$e b#ilding and soinor's t$e client. =peciicall( in $is report Engineer A 'ade a brie 'ention o $iscon"ersation !it$ t$e client concerning t$e deicienciesB $o!e"er in "ie! o t$eter's o t$e agree'ent Engineer A did not report t$e saet( "iolations to an( t$ird

part(.

In deciding it !as #net$ical or Engineer A not to report t$e saet( "iolations to t$eappropriate p#blic a#t$orities t$e 4oard noted t$at t$e acts presented in t$e caseraised a conlict bet!een t!o basic et$ical obligations o an engineer: &$e obligationo t$e engineer to be ait$#l to t$e client and not to disclose conidential inor'ationconcerning t$e b#siness aairs o a client !it$o#t t$at client%s consent and t$eobligation o t$e engineer to $old para'o#nt t$e p#blic $ealt$ and saet(.

As noted in Case o. 89-F t$ere are "ario#s rationales or t$e nondisclos#re lang#age

contained in t$e =>E Code. Engineers in t$e peror'ance o t$eir proessionalser"ices act as *agents* or *tr#stees* to t$eir clients. &$e( are pri"( to a great deal oinor'ation and bac)gro#nd concerning t$e b#siness aairs o t$eir client. &$edisclos#re o conidential inor'ation co#ld be /#ite detri'ental to t$e interests ot$eir client and t$ereore engineers as *agents* or *tr#stees* are e0pected to 'aintaint$e conidential nat#re o t$e inor'ation re"ealed to t$e' in t$e co#rse o renderingt$eir proessional ser"ices.

rning to t$e acts in t$is case it is t$e 4oard%s position t$at t$e acts andcirc#'stances in Case o. 89-F !$ile so'e!$at si'ilar in nat#re are signiicantl(dierent t$an t$e acts in t$e present case.


18/62

Also in Case o. 89-F t$ere !as t$e possibilit( o a dangero#s condition de"elopingat so'e point in t$e #t#re !$ile in t$e present case loss o lie $ad alread( occ#rred.I'portantl( $o!e"er t$is circ#'stance needs to be contrasted !it$ t$e circ#'stancesin Case o. 89-F !$ere t$e client $ad essentiall( ad'itted serio#s code "iolations!$ile in t$e present case t$e possibilit( o a deect is 'erel( a 'atter o spec#lationand s#r'ise.

It is on t$is last point t$at t$e 4oard belie"es t$is case '#st $inge. oo)ing at t$e actsand circ#'stances in t$eir totalit( t$e 4oard is con"inced t$at Engineer A actedreasonabl( #nder t$e circ#'stances b( properl( balancing t$e obligation o t$eengineer to be ait$#l to t$e client and not to disclose !$at 'ig$t be considered b(t$e client to be conidential inor'ation concerning t$e b#siness aairs o a client!it$o#t t$at client%s consent and t$e obligation o t$e engineer to $old para'o#nt t$e

p#blic $ealt$ and saet(.

&$e 4oard sa(s t$is beca#se t$ere is not$ing #nder t$e acts to indicate an(t$ing 'oret$an Engineer A%s general s#r'ise and spec#lation abo#t t$e ca#se o t$e str#ct#ralail#re o t$e !all. Engineer A%s obser"ation appears to be based #pon a "is#alinspection !it$o#t an(t$ing 'ore. &$ere is not$ing noted in t$e acts to indicate t$atEngineer A $ad e0pertise in str#ct#ral engineering. +$ile it 'a( be appropriate orEngineer A to note s#c$ inor'ation in $is ield notes to place t$is inor'ation in ainal report !o#ld not be responsible and co#ld #nnecessaril( inla'e t$e sit#ation.o!e"er #nder no circ#'stance !o#ld it be appropriate or Engineer A to alter $isield notes.

Also !$ile it 'ig$t be appropriate or Engineer A to "erball( report t$is inor'ationto Engineer A%s client and or t$e client to report t$is inor'ation to t$e p#blicagenc( it is clear t$at Engineer A !as retained to peror' a speciic tas) or !$ic$ $e!as pres#'abl( co'petent. Clearl( t$e pri'e cons#ltant !$ic$ $as o"erallresponsibilit( or t$e proect is in a ar better position t$an Engineer A to #nderstandt$e interrelations$ips bet!een "ario#s ele'ents o t$e proects incl#ding t$e $istor(o pre"io#s !or) peror'ed on t$e bridge prior cons#ltants contractors etc. in orderto 'a)e an inor'ed e"al#ation.

&$ereore t$e 4oard concl#des t$at Engineer A did t$e appropriate t$ing in co'ingor!ard to $is client !it$ t$e inor'ation and also b( doc#'enting t$e inor'ationor possible #t#re reerence as appropriate. Jnder t$e circ#'stances it !o#ld $a"e

been i'proper or Engineer A to incl#de reerence to t$e inor'ation in $is inalreport partic#larl( since it !o#ld $a"e been based #pon 'ere spec#lation and notcare#l testing or e"al#ation b( a co'petent indi"id#al or ir'. At t$e sa'e ti'e t$e4oard is o t$e opinion t$at Engineer A $as an obligation to ollo! t$ro#g$ to see t$atcorrect ollo!-#p action is ta)en b( t$e p#blic agenc(. ;nl( i t$e p#blic agenc( does


19/62

not ta)e correcti"e action s$o#ld Engineer A consider alternati"es. E Code o Et$ics toengineering organiations e.g. corporations partners$ips sole-proprietors$ipsgo"ern'ent agencies #ni"ersit( engineering depart'ents etc. t$e speciic b#sinessor' or t(pe s$o#ld not negate nor detract ro' t$e conor'ance o indi"id#als to t$e




20/62


[?isclai'er]



21/62

Case 98-1

Ser%ing as design engineer and general contractor

Code Citations: [III..a] [III.9.a]

Case Citations: [F6-9] [95-1]

Facts:

Engineer A a principal in a local cons#lting engineering ir' practicing as aproessional corporation !$o also is a principal o!ner in a constr#ction contractingir' prepared plans and speciications or t$e design and constr#ction o acon"entionalLnon-proprietar( roo str#ct#re or a '#nicipal !aste!ater treat'ent

acilit(. &$e scope o $is ser"ices !ere li'ited to t$is proect onl(. &$e '#nicipalit(engaged a second ir' Engineer 4 to ad'inister t$e bidding and constr#ction #singt$e plans and speciications prepared b( Engineer A. &$e proect !as ad"ertised or

p#blic bidding and bids !ere recei"ed and opened. ;ne o t$e bidders !as EngineerA%s constr#ction contractor ir'.

Question:

+as it et$ical or Engineer A to bid as t$e general contractor on a proect Engineer Adesigned,

References:

Code III..aEngineers s$all not !it$o#t t$e consent o all interested parties pro'ote orarrange or ne! e'plo('ent or practice in connection !it$ a speciic proector !$ic$ t$e Engineer $as gained partic#lar and specialied )no!ledge.

Code III.9.aEngineers s$all conor' !it$ state licens#re la!s in t$e practice o

engineering.

Discussion:

&$e 4oard $as $ad an opport#nit( to disc#ss t$e /#estion o conlicts o interest inconnection !it$ so-called *rn)e( >roced#res* on at least one ot$er occasion. In4E Case F6-9 Engineer ones !as retained b( a p#blic agenc( to de"elop tec$nical


22/62

g#idelines or an incinerator acilit( at a 'aor go"ern'ent installation.


23/62

engaged or design ser"ices onl( !as t$e act t$at t$e la!s o t$e #risdiction in !$ic$t$e !or) is being peror'ed precl#ded Engineer A ro' peror'ing t$e !or) #nder a*designLb#ild* arrange'ent and t$at Engineer A%s *li'ited engage'ent* eecti"el(

per'itted Engineer A to bid t$e !or) as t$e contractor t$ro#g$ a de acto designLb#ildarrange'ent =ee Code III.9.a.. I t$e p#rpose o t$is arrange'ent !as 'erel( toser"e as a s#bter#ge to allo! Engineer A t$e opport#nit( to e"ade a legal restrictionon designLb#ild and pro"ide Engineer A !it$ a co'petiti"e ad"antage t$e 4oard oEt$ical e"ie! !o#ld $a"e serio#s concerns abo#t t$is arrange'ent since it is cleart$at s#c$ an arrange'ent !o#ld #nder'ine proced#res at least arg#abl( intended ort$e protection o t$e p#blic.

;n t$e ot$er $and t$e 4oard !o#ld not be less concerned i t$e la!s o t$e#risdiction per'itted a designLb#ild contracting arrange'ent. +$ile designLb#ild $asbeco'e an accepted and establis$ed proect deli"er( s(ste' t$at identiies single-point responsibilit( or design and constr#ction ser"ices and 'ost o t$e et$icalobections to designLb#ild concerning t$e engineer%s obligation to t$e client $a"e beenclariied strict ad$erence to ederal state and local designLb#ild proced#res arecritical to ass#re t$e protection o t$e p#blic and t$e ad'inistration o air andreasonable practices or designers and contractors. In t$is concl#sion t$e 4oard!o#ld note t$at 'an( o t$e iss#es relating to conlicting lo(alties and independent

#dg'ent addressed in t$e =>E 4oard o Et$ical e"ie! decisions noted abo"e canbe addressed t$ro#g$ #ll disclos#re and t$e establis$'ent o clear lines oco''#nication and a#t$orit( bet!een and a'ong t$e parties in"ol"ed in t$edesignLb#ild process =ee 4E Case o. 95-1.

7oreo"er engaging t$e ser"ices o an separate engineer Engineer 4 to ad'inistert$e bidding and constr#ction p$ase !ill pres#'abl( establis$ a degree o obecti"it(and i'partialit( o"er t$e process and res#lt in a ongoing independent re"ie! o t$e

plans and speciications or t$e beneit o t$e client. aining t$e beneit o t$e designengineer%s t$oro#g$ )no!ledge and #nderstanding o t$e plans and speciications as

part o t$e constr#ction tea' is an option a client s$o#ld be able to consider.

Conclusion:

It is et$ical or Engineer A to bid as t$e general contractor on a proect Engineer Adesigned #nder t$e acts presented as long as t$e process ollo!ed !as not as#bter#ge to e"ade t$e re/#ire'ents o state and local proc#re'ent licens#re la!sand disclos#res or consent o all interested parties contained.

4;A? ;< E&ICA E@IE+


24/62

orr( &. 4annes >.E. a'es . .E. ?onald . iatte >.E. oe >a#l ones>.E. >a#l E. >rit)er >.E. ic$ard =i'berg >.E. C. Allen +ortle( >.E. C$air'an

;&E: &$e =>E 4oard o Et$ical e"ie! 4E considers et$ical cases in"ol"ingeit$er real or $(pot$etical 'atters s#b'itted to it ro' =>E 'e'bers ot$er

engineers p#blic oicials and 'e'bers o t$e p#blic. &$e 4E re"ie!s eac$ case int$e conte0t o t$e =>E Code o Et$ics and earlier 4E opinions. &$e acts containedin eac$ case do not necessaril( represent all o t$e pertinent acts s#b'itted to orre"ie!ed b( t$e 4E.



&$is opinion is or ed#cational p#rposes onl(. It 'a( be reprinted !it$o#t #rt$erper'ission pro"ided t$at t$is state'ent is incl#ded beore or ater t$e te0t o t$e caseand t$at appropriate attrib#tion is pro"ided to t$e ational =ociet( o >roessionalEngineers% 4oard o Et$ical e"ie!.

@isit t$e *Et$ics 4#tton* on =>E%s !ebsite !!!.nspe.org and learn $o! to obtain

co'plete "ol#'es t$at incl#de all =>E ;pinions or call 1-8DD-1F-D38.[?isclai'er]



25/62

Case 98-3

!se of CD-R#& for 'igh(ay Design

Code Citations: [II.2] [II.2.a] [II.2.b] [II.2.c] [III.2.b]

Case Citations: [F1-2] [F8-5] [9-8]

Facts:

Engineer A a c$e'ical engineer !it$ no acilities design and constr#ction e0periencerecei"es a solicitation in t$e 'ail !it$ t$e ollo!ing inor'ation:

*Engineers toda( cannot aord to pass #p a single ob t$at co'es b( - incl#ding

constr#ction proects t$at 'a( be ne! or #na'iliar.

o! - - t$an)s to a re"ol#tionar( ne! C?-;7 - speci(ing designing and costingo#t an( constr#ction proect is as eas( as pointing and clic)ing (o#r 'o#se - no 'atter(o#r design e0perience.


26/62

Engineers s$all not ai0 t$eir signat#res to an( plans or doc#'ents dealing!it$ s#bect 'atter in !$ic$ t$e( lac) co'petence nor to an( plan ordoc#'ent not prepared #nder t$eir direction and control.

Code II.2.cEngineers 'a( accept assign'ents and ass#'e responsibilit( or coordinationo an entire proect and sign and seal t$e engineering doc#'ents or t$e entire

proect pro"ided t$at eac$ tec$nical seg'ent is signed and sealed onl( b( t$e/#aliied engineers !$o prepared t$e seg'ent.

Code III.2.bEngineers s$all not co'plete sign or seal plans andLor speciications t$at arenot in conor'it( !it$ applicable engineering standards. I t$e client ore'plo(er insists on s#c$ #nproessional cond#ct t$e( s$all noti( t$e propera#t$orities and !it$dra! ro' #rt$er ser"ice on t$e proect.

Discussion:&$e iss#e o !$et$er an engineer possesses t$e appropriate le"el o co'petence to

peror' speciied ser"ices is one o 'ost basic proessional and et$ical iss#es acedb( practitioners =ee Code II.2.a.. =>E $as been s#pporti"e o t$e concept t$at a/#aliied indi"id#al engineer regardless o $is or $er partic#lar area o tec$nicaldiscipline s$o#ld be licensed as a *proessional engineer*. o!e"er t$is positions$o#ld not be #nderstood to s#ggest t$at all engineers are ree to practice !it$o#trestriction in an( and all areas !it$in t$e practice o engineering. Instead allengineers are i'plored to e0ercise care#l proessional #dg'ent and discretion and

practice solel( !it$in $is or $er areas o co'petenc(.;"er t$e (ears t$e 4oard o Et$ical e"ie! $as e0a'ined t$e iss#e o proessionalco'petenc( on n#'ero#s occasions #nder a "ariet( o act#al sit#ations.


27/62

In 4E Case F1-2 a case in"ol"ing t$e bro)erage o engineering ser"ices b( t!oir's co'peting or go"ern'ent !or) and t$e /#estion o proessional co'petencet$e 4oard recognied *t$e propriet( and "al#e o t$e pri'e proessional or clientretaining t$e ser"ices o e0perts and specialists in t$e interests o t$e proect* andnoted t$at a pri'e proessional !ill be e0pected to retain or reco''end t$e retentiono e0perts and specialists in sit#ations in !$ic$ t$e pri'e proessional is peror'ings#bstantial ser"ices on t$e proect. i)e!ise 4E Case F8-5in"ol"ed an eort b( acons#lting ir' #nder consideration to peror' ser"ices to a p#blic #tilit( in !$ic$t$e ir' so#g$t to alter its /#aliications ollo!ing its inter"ie! !it$ t$e p#blic #tilit(in order to i'pro"e its position to sec#re t$e contract. &$e 4oard air'ed its decisionrendered in 4E Case F1-2t$at in t$e ield o cons#lting practice engineers $a"e anet$ical obligation to see) !or) onl( in areas !$ere t$e( possess ed#cational

bac)gro#nd and e0perience or to retain indi"id#als !$o possess t$e necessar(ed#cational bac)gro#nd and e0perience to peror' t$e !or).

It is clear t$at Engineer A a c$e'ical engineer $as no apparent s#bstanti"ebac)gro#nd or e0perience in t$e area o acilities design and constr#ction. A C?-;7 t$at per'its "irt#all( an(one to *speci( design and cost o#t* a proect clearl(is not an appropriate basis #pon !$ic$ an indi"id#al can obtain proessionalco'petenc( to peror' acilities design and constr#ction ser"ices. An indi"id#alsee)ing to obtain an acceptable le"el o co'petenc( in t$e basic ele'ents o acilitiesdesign and constr#ction e.g. ci"il str#ct#ral 'ec$anical electrical engineerings$o#ld see) and be able to de'onstrate appropriate engineering and related ed#cationand e0perience. el(ing on a *$o! to* C?-;7 appears to s$o! a general disregardor t$e #nda'ental role t$at proessional engineers pla( in protecting t$e p#blic$ealt$ and saet( and 'ini'ies t$e $ig$ le"el o )no!ledge and e0pertise necessar(to peror' t$ese critical responsibilities. >roessional engineering cannot be red#cedto an acti"it( !$ereb( practitioners rel( #pon co'p#ters and tec$nical inor'ationinstead o ti'e-tested proessional e0perience and engineering #dg'ent.

In a sense t$e direct 'ail prod#ct described #nder t$e acts is not #nli)e 'ail ordercertiications oered b( so called *diplo'a 'ills* !$ereb( indi"id#als *sel certi(*t$eir co'petenc( based #pon a per#nctor( re"ie! process t$at rarel( in"ol"esco'pre$ensi"e st#d( e0a'ination or practice. 4( ordering and #sing t$e C?-;7

Engineer A in a sense !as *sel-certi(ing* $is co'petenc( to peror' acilitiesdesign and constr#ction ser"ices !it$o#t obtaining t$e s#bstanti"e ed#catione0perience and /#aliications to peror' t$ose ser"ices in a co'petent and

proessional 'anner. &$e 4oard considers s#c$ acti"ities co'pletel( contrar( to t$ebasic et$ical principles establis$ed in t$e Code o Et$ics.

In closing t$e 4oard%s decision s$o#ld not be #nderstood as a !$olesale reection ot$e #se o co'p#ters C?-;7s and ot$er tec$nological ad"ances. at$er it is t$e


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4oard%s position t$at tec$nolog( $as an i'portant place in t$e practice o engineeringb#t it '#st ne"er be a replace'ent o a s#bstit#te or engineering #dg'ent.

Conclusion:

It !as not et$ical or Engineer A to oer acilities design and constr#ction ser"ices#nder t$e acts presented.

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29/62

Case 98-5

Pu$lic 'ealth and Safety -- Code Enforcement

Code Citations: [I.1] [II.1.b] [II.3.b] [III.1.b]

Case Citations: [65-12] [82-5] [88-6] [92-]

Facts:

Engineer A ser"es as a director o a b#ilding depart'ent in a 'aor cit(. Engineer A$as been concerned t$at as a res#lt o a series o b#dget c#tbac)s and 'ore rigid codeenorce'ent re/#ire'ents t$e cit( $as been #nable to pro"ide a s#icient n#'ber o/#aliied indi"id#als to peror' ade/#ate and ti'el( b#ilding inspections. Eac$ code

oicial 'e'ber o Engineer A%s sta is oten re/#ired to 'a)e as 'an( as 6D codeinspections per da(. Engineer A belie"es t$at t$ere is no !a( e"en t$e 'ostconscientio#s code oicial can 'a)e 6D ade/#ate '#c$ less t$oro#g$ inspections inone da( partic#larl( #nder t$e ne!er 'ore rigid code re/#ire'ents or t$e cit(. &$esene! code re/#ire'ents greatl( en$ance and protect t$e p#blic%s $ealt$ and saet(. &$ecode oicials are ca#g$t bet!een t$e responsibilit( to be t$oro#g$ in t$eir inspectionsand t$e cit(%s desire to $old do!n costs and generate re"en#e ro' inspection ees.Engineer A is re/#ired to sign o on all inal inspection reports.

Engineer A 'eets !it$ t$e c$air'an o t$e local cit( co#ncil to disc#ss $is concerns.

&$e c$air'an indicates t$at $e is /#ite s('pat$etic to Engineer A%s concerns and!o#ld be !illing to iss#e an order to per'it t$e $iring o additional code oicials ort$e b#ilding depart'ent. At t$e sa'e ti'e t$e c$air'an notes t$at t$e cit( is see)ingto enco#rage 'ore b#sinesses to relocate into t$e cit( in order to pro"ide 'ore obsand a strengt$ened ta0 base. In t$is connection t$e c$air'an see)s Engineer A%sconc#rrence on a cit( ordinance t$at !o#ld per'it certain speciied b#ildings #nderconstr#ction to be *grandat$ered* #nder t$e older e0isting enorce'ent re/#ire'entsand not t$e ne!er 'ore rigid re/#ire'ents no! in eect. Engineer A agrees to conc#r!it$ t$e c$air'an%s proposal and t$e c$air'an iss#es t$e order to per'it t$e $iring oadditional code oicials or t$e b#ilding depart'ent !$ic$ Engineer A belie"es t$e

cit( desperatel( needs.

Question:

+as it et$ical or Engineer A to agree to conc#r !it$ t$e c$air'an%s proposal #ndert$e acts,


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References:

Code I.1Engineers in t$e #lill'ent o t$eir proessional d#ties s$all $old para'o#nt

t$e saet( $ealt$ and !elare o t$e p#blic.Code II.1.bEngineers s$all appro"e onl( t$ose engineering doc#'ents !$ic$ are inconor'it( !it$ applicable standards.

Code II.3.bEngineers 'a( e0press p#blicl( tec$nical opinions t$at are o#nded #pon)no!ledge o t$e acts and co'petence in t$e s#bect 'atter.

Code III.1.bEngineers s$all ad"ise t$eir clients or e'plo(ers !$en t$e( belie"e a proect!ill not be s#ccess#l.

Discussion:

&$e d#t( to $old para'o#nt t$e p#blic $ealt$ saet( and !elare is a'ong t$e 'ostbasic and #nda'ental obligations to !$ic$ an engineer is re/#ired to ad$ere. +$ilein 'an( instances t$e obligation is oten clear and ob"io#s in ot$er instances t$ereco#ld be an obligation on t$e part o t$e engineer to balance co'peting or conc#rrentobligations or responsibilities to protect t$e p#blic $ealt$ and saet(. &$e acts o t$iscase are in 'an( !a(s a classic et$ical dile''a aced b( 'an( engineers in t$eir

proessional li"es. Engineers $a"e a #nda'ental obligation to $old para'o#nt t$e

saet( $ealt$ and !elare o t$e p#blic in t$e peror'ance o t$eir proessional d#ties=ee Code I.1. 7oreo"er t$e Code pro"ides g#idance to engineers !$o areconronted !it$ circ#'stances !$ere t$eir proessional rep#tations are at sta)e.=o'eti'es engineers are as)ed b( e'plo(ers or clients to sign o on doc#'entsabo#t !$ic$ t$e( 'a( $a"e reser"ations or concerns =ee Code II.1.b..

&$e 4oard $as addressed p#blic $ealt$ and saet( iss#es in t$e code and appro"alprocess on n#'ero#s occasions. In 4E Case 92-Engineer A an en"iron'entalengineer e'plo(ed b( t$e state en"iron'ental protection di"ision !as ordered todra! #p a constr#ction per'it or constr#ction o a po!er plant at a 'an#act#ring

acilit(. e !as told b( a s#perior to 'o"e e0peditio#sl( on t$e per'it and *a"oid an($ang-#ps* !it$ respect to tec$nical iss#es. Engineer A belie"ed t$e plans as drated!ere inade/#ate to 'eet t$e reg#lation re/#ire'ents and t$at o#tside scr#bbers tored#ce s#l#r dio0ide e'issions !ere necessar( and !it$o#t t$e' t$e iss#ance o t$e

per'it !o#ld "iolate certain air poll#tion standards as 'andated #nder t$e 199D CleanAir Act. is s#perior belie"ed t$at t$e plans !$ic$ in"ol"ed li'estone 'i0ed !it$coal in a l#idied boiler process t$at !o#ld re'o"e 9DM o t$e s#l#r dio0ide !ill


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'eet t$e reg#lator( re/#ire'ents. Engineer A contacted t$e state engineeringlicens#re board and !as inor'ed based #pon t$e li'ited inor'ation pro"ided to t$e

board t$at s#spension or re"ocation o $is engineering license !as a possibilit( i $eprepared a per'it t$at "iolated en"iron'ental reg#lations. Engineer A re#sed to iss#et$e per'it and s#b'itted $is indings to $is s#perior. &$e depart'ent a#t$oried t$eiss#ance o t$e per'it. &$e 4oard concl#ded t$at a it !o#ld not $a"e been et$icalor Engineer A to !it$dra! ro' #rt$er !or) in t$is case b it !o#ld not $a"e beenet$ical or Engineer A to iss#e t$e per'it and c it !o#ld be et$ical or Engineer A tore#se to iss#e t$e per'it. =peciicall( t$e 4oard deter'ined t$at it !o#ld not $a"e

been et$ical or Engineer A to !it$dra! ro' #rt$er !or) on t$e proect beca#seEngineer A $ad an obligation to stand b( $is position consistent !it$ $is obligation to

protect t$e p#blic $ealt$ saet( and !elare and re#se to iss#e t$e per'it. =aid t$e4oard *Engineers $a"e an essential role as tec$nicall(-/#aliied proessionals to %stic)to t$eir g#ns% and represent t$e p#blic interest #nder t$e circ#'stances !$ere t$e(

belie"e t$e p#blic $ealt$ and saet( is at sta)e.*

As earl( as 4E Case 65-12 t$e 4oard dealt !it$ a sit#ation in !$ic$ a gro#p oengineers belie"ed t$at a prod#ct !as #nsae. &$e 4oard t$en deter'ined t$at as longas t$e engineers $eld to t$at "ie! t$e( !ere et$icall( #stiied in re#sing to

participate in t$e processing or prod#ction o t$e prod#ct in /#estion. &$e 4oardrecognied t$at s#c$ action b( t$e engineers !o#ld li)el( lead to loss o e'plo('ent.

In 4E Case 82-5 !$ere an engineer e'plo(ed b( a large deense ind#str( ir'doc#'ented and reported to $is e'plo(er e0cessi"e costs and ti'e dela(s b( s#b-contractors t$e 4oard r#led t$at t$e engineer did not $a"e an et$ical obligation tocontin#e $is eorts to sec#re a c$ange in t$e polic( ater $is e'plo(er reected $isreports or to report $is concerns to proper a#t$orit( b#t $as an et$ical rig$t to do soas a 'atter o personal conscience. &$e 4oard noted t$at t$e case did not in"ol"e adanger to t$e p#blic $ealt$ or saet( b#t related to a clai' o #nsatisactor( plans andt$e #n#stiied e0pendit#re o p#blic #nds. &$e 4oard indicated t$at it co#ld dis'isst$e case on t$e narro! gro#nd t$at t$e Code does not appl( to a clai' not in"ol"ing

p#blic $ealt$ and saet( b#t t$at !as too narro! a reading o t$e et$ical d#ties oengineers engaged in s#c$ acti"ities. &$e 4oard also stated t$at i an engineer eelsstrongl( t$at an e'plo(er%s co#rse o cond#ct is i'proper !$en related to p#blic

concerns and i t$e engineer eels co'pelled to blo! t$e !$istle to e0pose acts as $esees t$e' $e 'a( !ell $a"e to pa( t$e price o loss o e'plo('ent. In t$is t(pe osit#ation t$e 4oard elt t$at t$e et$ical d#t( or rig$t o t$e engineer beco'es a 'attero personal conscience b#t t$e 4oard !as #n!illing to 'a)e a blan)et state'ent t$att$ere is an et$ical d#t( in t$ese )inds o sit#ations or t$e engineer to contin#e t$eca'paign !it$in t$e co'pan( and 'a)e t$e iss#e one or p#blic disc#ssion.


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7ore recentl( in 4E Case 88-6 an engineer !as e'plo(ed as t$e cit(engineerLdirector o p#blic !or)s !it$ responsibilit( or disposal plants and beds andreported to a cit( ad'inistrator. Ater 1 noticing proble's !it$ o"erlo! capacit(!$ic$ are re/#ired to be reported to t$e state !ater poll#tion control a#t$orities 2disc#ssing t$e proble' pri"atel( !it$ 'e'bers o t$e cit( co#ncil 3 being !arned

b( t$e cit( ad'inistrator to report t$e proble' onl( to $i' disc#ssing t$e proble'again inor'all( !it$ t$e cit( co#ncil and 5 being relie"ed b( t$e cit( ad'inistratoro responsibilit( or t$e disposal plants and beds t$e engineer contin#ed to !or) int$e capacit( as cit( engineerLdirector o p#blic !or)s. In r#ling t$at t$e engineer ailedto #lill $er et$ical obligations b( inor'ing t$e cit( ad'inistrator and certain'e'bers o t$e cit( co#ncil o $er concern t$e 4oard o#nd t$at t$e engineer !asa!are o a pattern o ongoing disregard or t$e la! b( $er i''ediate s#per"isor as!ell as b( 'e'bers o t$e cit( co#ncil. Ater se"eral atte'pts to 'odi( t$e "ie!s o$er s#periors t$e engineer )ne! or s$o#ld $a"e )no!n t$at *proper a#t$orities* !erenot t$e cit( oicials b#t 'ore probabl( state oicials. &$e 4oard co#ld not ind itcredible t$at a cit( engineerLdirector o p#blic !or)s or a 'edi#'-sied to!n !o#ldnot be a!are o t$is basic obligation. &$e 4oard said t$at t$e engineer%s inaction

per'itted a serio#s "iolation o t$e la! to contin#e and 'ade t$e engineer an*accessor(* to t$e actions o t$e cit( ad'inistrator and ot$ers.

rning to t$e acts o t$e present case Engineer A is aced !it$ a predica'ent !it$ a"ariet( o options and alternati"es.


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or e'plo(ers !$en t$e( belie"e a proect !ill not be s#ccess#l. In t$is case EngineerA s$o#ld 'a)e it plain and clear to t$e c$air'an t$at *rig$ting a !rong !it$ anot$er!rong* does gra"e da'age to t$e p#blic $ealt$ and saet( =ee Code III.1.b..Engineer A s$o#ld insist t$at t$e p#blic !ill be serio#sl( da'aged in eit$er case andt$at i t$e integrit( o t$e b#ilding code enorce'ent process is #nder'ined or s$ort-ter' gain t$e cit( its citiens and its b#sinesses !ill be $ar'ed in t$e long ter'.

Conclusion:

It !as not et$ical or Engineer A to agree to conc#r !it$ t$e c$air'an%s proposal#nder t$e acts. Additionall( it !as not et$ical or Engineer A to sign inade/#ateinspection reports. =ee =ection II.1.b..

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[?isclai'er]



35/62

Case 94-11

Conflict of "nterest - Disclosure ) Participation as *o%ernment #fficial on +or,

Related to Former Firm

Code Citations: [8a] [8] [II.] [II..a] [II..d] [III.3] [III.5] [>rea'ble]


Facts:

Engineer A is a principal in a cons#lting engineering ir'. e is appointed b( t$ego"ernor o a state to ser"e as secretar( o co''erce and resigns ro' t$eengineering ir'. +$ile Engineer A !as a principal in t$e engineering ir' t$e ir'

$ad peror'ed !or) or a 'aor de"eloper t$at is planning to b#ild a 'aor proect int$e state. As secretar( o co''erce t$e go"ernor $as as)ed Engineer A to spear$eadt$e state%s ca'paign to bring t$e 'aor de"elop'ent proect to t$e state. &$e proect$as been t$e s#bect o contro"ers( d#e to its potential en"iron'ental i'pact and t$eeect it co#ld $a"e on $istoric areas o t$e state.

Alt$o#g$ Engineer A resigned ro' t$e engineering ir' $e 'aintained a N25DDDDretire'ent #nd ad'inistered b( t$e engineering ir' !$ic$ incl#des an ins#bstantiala'o#nt o stoc) in t$e cons#lting ir'. &$e ir' $as recentl( indicated t$at it 'ig$t beinterested in p#rs#ing additional engineering !or) or t$e de"eloper t$at !o#ld be

part o t$e 'aor de"elop'ent proect. Engineer A $as also indicated to 'e'bers ot$e 'edia t$at #pon t$e concl#sion o $is ser"ices as secretar( o co''erce t$ere is agen#ine possibilit( t$at $e !o#ld ret#rn to $is cons#lting engineering ir'. EngineerA $as #ll( disclosed all pertinent inor'ation to t$e state.

Questions:

1. +as it et$ical or Engineer A to 'aintain a retire'ent #nd ad'inistered b( $isor'er engineering ir' !$ile ser"ing as secretar( o co''erce #nder t$e actsdescribed,

2. +as it et$ical or Engineer A as secretar( o co''erce to participate inconsideration o iss#es relating to t$e 'aor de"elop'ent proect,

References:

Code >rea'ble


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Engineering is an i'portant and learned proession. &$e 'e'bers o t$eproession recognie t$at t$eir !or) $as a direct and "ital i'pact on t$e /#alit(o lie or all people. Accordingl( t$e ser"ices pro"ided b( engineers re/#ire$onest( i'partialit( airness and e/#it( and '#st be dedicated to t$e

protection o t$e p#blic $ealt$ saet( and !elare. In t$e practice o t$eirproession engineers '#st peror' #nder a standard o proessional be$a"ior!$ic$ re/#ires ad$erence to t$e $ig$est principles o et$ical cond#ct on be$alo t$e p#blic clients e'plo(ers and t$e proession.

Code II.Engineers s$all act in proessional 'atters or eac$ e'plo(er or client asait$#l agents or tr#stees.

Code II..aEngineers s$all disclose all )no!n or potential conlicts o interest to t$eire'plo(ers or clients b( pro'ptl( inor'ing t$e' o an( b#siness associationinterest or ot$er circ#'stances !$ic$ co#ld inl#ence or appear to inl#encet$eir #dge'ent or t$e /#alit( o t$eir ser"ices.

Code II..dEngineers in p#blic ser"ice as 'e'bers ad"isors or e'plo(ees o ago"ern'ental or /#asi-go"ern'ental bod( or depart'ent s$all not participatein decisions !it$ respect to proessional ser"ices solicited or pro"ided b( t$e'or t$eir organiations in pri"ate or p#blic engineering practice.

Code III.3Engineers s$all a"oid all cond#ct or practice !$ic$ is li)el( to discredit t$e

proession or decei"e t$e p#blic.

Code III.5Engineers s$all not be inl#enced in t$eir proessional d#ties b( conlictinginterests.

Discussion:

;"er t$e (ears t$e 4oard $as considered a n#'ber o cases relating to t$e conlict ointerests t$at co#ld arise in connection !it$ t$e acti"ities in !$ic$ t$e engineer 'a(

be in"ol"ed and t$e i'pact t$at s#c$ acti"ities co#ld appear to $a"e on t$e personalecono'ic interests o t$e engineer. As t$e 4oard $as noted on n#'ero#s occasions

t$e basic et$ical d#t( o t$e engineer in areas o conlict o interest is to inor' t$eclient o t$ose b#siness connections or interests t$at 'a( inl#ence t$e #dg'ent and/#alit( o t$e engineering ser"ices. &$ose decisions $a"e been consistent !it$ t$e

pro"isions o Code II..a. o t$e =>E Code o Et$ics.

As !e noted in 4E Case 85-6 !$ile t$at pro"ision o t$e Code $as been interpreted'an( ti'es o"er t$e (ears it is as are all Code pro"isions s#bect to constant


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e0a'ination and reinterpretation.


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It is clear ro' a reading o 4E Case 69-13t$at t$e 4oard oc#sed its attention ont$e irst cla#se o Code 8stating t$at *&$e engineer !ill endea"or to a"oid a conlicto interest !it$ $is e'plo(er or client.* Jndo#btedl( t$e 4oard reasoned t$at t$is !ast$e basic obligation o t$e engineer in t$is conte0t and t$at an( /#aliication o t$atobligation !o#ld dil#te t$e essential 'eaning and intent o t$at obligation. &$ereoret$e 4oard did not c$oose to rel( #pon t$e re'aining pro"isions contained in Code8and Code 8ain reac$ing its decision. Instead t$e 4oard deter'ined t$at #nder t$eacts it !o#ld not be s#icient or t$e engineer to 'a)e #ll disclos#re o $is personalinterest to t$e client in order to properl( address t$e potential conlict-o-interest/#estion.

ater in 4E Case 85-6 an engineer !as retained b( t$e state to peror' certaineasibilit( st#dies relating to a possible $ig$!a( sp#r. &$e state !as considering t$e

possibilit( o constr#cting t$e $ig$!a( sp#r t$ro#g$ an area t$at !as adacent to aresidential co''#nit( in !$ic$ t$e engineer%s residence !as located. Ater learning ot$e proposed location or t$e sp#r t$e engineer disclosed to t$e state t$e act t$at $isresidential propert( 'a( be aected b( t$e ne! sp#r and #ll( disclosed t$e potentialconlict !it$ t$e state. &$e state did not obect to t$e engineer peror'ing t$e !or).&$e engineer proceeded !it$ $is easibilit( st#d( and #lti'atel( reco''ended t$att$e sp#r be constr#cted. &$e $ig$!a( sp#r !as constr#cted.

In anal(ing t$e case t$e 4oard noted t$at since t$e earlier decision o 4E Case 69-13 t$e Code o Et$ics $ad been altered and t$e p$rase *engineer !ill endea"or toa"oid a conlict o interest !it$ $is e'plo(er or client* !as no longer contained in t$eapplicable Code pro"ision. &$e 4oard !ent on to note t$at t$e reason or t$at deletion!as certainl( not o#t o a lac) o desire !it$in t$e engineering proession or anet$ical proscription relating to conlicts o interest. &r#l( et$ical dile''as relating toconlicts o interest are so'e o t$e 'ost signiicant iss#es acing t$e engineering

proession. e"ert$eless t$e pro"ision in t$e Code relating to conlicts o interest !asa'ended and t$ose c$anges i'pact #pon t$e 'anner in !$ic$ t$e 4oard regards 4ECase 69-13as !ell as t$e 'anner in !$ic$ t$e 4oard interprets t$e Code. It is e"identt$at $ad Code II.and Code II..a. been in eect at t$e ti'e t$e 4oard decided 4ECase 69-13t$e 4oard 'a( !ell $a"e reac$ed a dierent res#lt.

As !e noted in 4E Case 85-6 it is not o#r role to spec#late #pon t$e intent o t$issigniicant c$ange in t$e =>E Code o Et$ics since 4E Case 69-13!as rendered$o!e"er !e do t$in) t$at so'e e0pression b( t$is 4oard in t$at regard !o#ld assistreaders in #nderstanding t$e basis or t$e c$ange. In no sense s$o#ld t$is c$ange beinterpreted in an( !a( to s#ggest a retreat b( t$is 4oard or t$e Code o Et$ics ro' adeep concern or dile''as relating to conlicts o interest. at$er it is o#r "ie! t$att$e 'odiications in t$e Code relect recognition o t$e act t$at conlicts o intereste'erge in a '#ltit#de o degrees and circ#'stances and t$at a blan)et #n/#aliied


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e0pression pro$ibiting engineers to a"oid all acti"ities t$at raise t$e s$ado! o aconlict o interest is not a !or)able approac$.

It is oten a /#estion o degree as to !$at does and does not constit#te a signiicantconlict o interest. ;b"io#s and signiicant conlicts o interest are easil( identiiable

and s$o#ld al!a(s be a"oided. &$ese diic#lt '#ltiaceted sit#ations re/#iredisc#ssion and consideration as t$e( are co'ple0 and so'eti'es irreconcilable. Acode s$o#ld address and pro"ide g#idance or t$ese )inds o conlicts o interest. +e

belie"e t$e ne! Code pro"isions so#g$t to establis$ t$e et$ical obligation to engage indialog#e !it$ a client or e'plo(er on t$e diic#lt /#estions relating to conlicts ointerest. +e t$in) t$at it !as or t$is reason t$at t$e Code pro"isions !ere altered.

rning to t$e acts o t$e instant case !e decline to adopt t$e reasoning o t$e 4oardin 4E Case 85-6and are o t$e "ie! t$at t$e et$ical obligations contained in CodeII..a. do not re/#ire t$e engineer to *a"oid* an( and all sit#ations t$at 'a( or 'a(

not raise t$e specter o a conlict o interest. =#c$ an interpretation o t$e Code lea"esengineers !it$ a real #nderstanding o t$e et$ical iss#es and clear g#idance as to $o!to deal !it$ t$e proble'. &$e basic p#rpose o a code o et$ics is to pro"ide t$eengineering proession !it$ a better a!areness and #nderstanding o et$ical iss#est$at i'pact #pon t$e p#blic. ;nl( t$ro#g$ interacting !it$ t$e p#blic and clients !illengineers be able to co'pre$end t$e tr#e di'ensions o et$ical iss#es.

Jnli)e 4E Case 85-6 !e are o t$e "ie! t$at t$e engineer%s disclos#re o t$e actsand circ#'stance o $is relations$ip !it$ $is engineering ir' constit#ted a disclos#reo t$e possible conlict o interest b#t did not co'e !it$in t$e et$ical g#idelines o t$eCode and !as not a proper co#rse to ta)e in dealing !it$ t$e or appearance oconlict. +e are !illing to state as !e did in 4E Case 69-13t$at t$e engineer canonl( a"oid s#c$ a conlict eit$er b( *disposing o $is land and $oldings prior to#nderta)ing t$e co''ission or b( declining to peror' t$e ser"ices i it is not easibleor desirable or $i' to dispose o $is land at t$e partic#lar ti'e* in t$is case a'ini'#' a'o#nt o stoc) in $is or'er e'plo(er%s ir'. =#c$ an approac$ co#ld notconstit#te an #nair and #nreasonable inancial $ards$ip to t$e engineer and !o#ld notgo be(ond t$e re/#ire'ents o t$e Code o Et$ics.


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.E. obert .ic$ols >.E. +illia' E. orris >.E. i''( . ='it$ >.E. +illia' A. Co0 r. >.E.C$air'an

ote: &$e 4oard o Et$ical e"ie! operates on an *ad $oc* ed#cational basis anddoes not engage in resol"ing disp#tes o act bet!een parties in act#al cases. &$at#nction is let to t$e state societ( i 'e'bers are in"ol"ed in #dging !$et$er a'e'ber $as "iolated t$e Code o Et$ics. 4eing solel( ed#cational t$e #nction o t$e4oard is to ta)e t$e s#b'ission o *acts* as t$e basis or anal(sis and opinion !it$o#tatte'pting to obtain reb#ttal or co''ent ro' ot$er parties. ;n t$at basis t$e readero t$e opinions s$o#ld al!a(s recognie t$at t$e 4oard o Et$ical e"ie! is not anad#dicator( bod( and #nless indicated ot$er!ise its opinions are not binding #pont$e ational =ociet( o >roessional Engineers an( state engineering societ( or an(indi"id#al. Instead t$e opinions represent t$e opinions o licensed engineers as to t$ereasonable standards o practice !it$in t$e engineering proession. 4oard o Et$icale"ie! opinions are intended to pro"ide g#idance in act#al cases onl( to t$e e0tent ot$e *acts* stated in t$e case. Cases 'a( be reprod#ced or ed#cational p#rposes aslong as t$e 'aterial reprod#ced pro"ides appropriate attrib#tion to =>E and t$e4oard o Et$ical e"ie!.

[?isclai'er]



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Case 94-6

Signing ) Sealing Another Engineers Plan

Code Citations: [1a] [1] [III.1] [III.1D] [III.1D.a] [III.3] [III.6] [III.F] [>rea'ble]

Case Citations: [6-F] [83-3]

Facts:

Engineer A is retained b( Client G to prepare plans and speciications in connection!it$ a co''ercial acilit( to be constr#cted. Engineer A prepares t$e plans andspeciications or Client G and deli"ers t$e' to Client G !$o s#b'its t$e' to t$e

p#blic b#ilding a#t$orit( or appro"al. Client G ails to pa( Engineer A or t$e !or)

peror'ed. &$ereater Client G sells t$e land #pon !$ic$ t$e co''ercial acilit( is tobe constr#cted to >#rc$aser H. >#rc$aser H obtains a cop( o t$e plans and dra!ingsro' t$e p#blic b#ilding a#t$orit( and t$en as)s Engineer 4 to re"ie! re-seal andres#b'it t$e plans and dra!ings prepared b( Engineer A or re"ie! and appro"al b(t$e p#blic b#ilding a#t$orit(. Engineer 4 is a!are t$at Engineer A !as ne"er paid or$is ser"ices b#t agrees to re"ie! re-seal and res#b'it t$e plans and dra!ings

prepared b( Engineer A or re"ie! and appro"al b( t$e p#blic b#ilding a#t$orit(.

Question:

+as it et$ical or Engineer 4 to agree to re"ie! re-seal and res#b'it t$e plans anddra!ings prepared b( Engineer A or re"ie! and appro"al b( t$e p#blic b#ildinga#t$orit(,

References:

Code >rea'bleEngineering is an i'portant and learned proession. &$e 'e'bers o t$e

proession recognie t$at t$eir !or) $as a direct and "ital i'pact on t$e /#alit(

o lie or all people. Accordingl( t$e ser"ices pro"ided b( engineers re/#ire$onest( i'partialit( airness and e/#it( and '#st be dedicated to t$eprotection o t$e p#blic $ealt$ saet( and !elare. In t$e practice o t$eirproession engineers '#st peror' #nder a standard o proessional be$a"ior!$ic$ re/#ires ad$erence to t$e $ig$est principles o et$ical cond#ct on be$alo t$e p#blic clients e'plo(ers and t$e proession.

Code III.1


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Engineers s$all be g#ided in all t$eir proessional relations b( t$e $ig$eststandards o integrit(.

Code III.3Engineers s$all a"oid all cond#ct or practice !$ic$ is li)el( to discredit t$e

proession or decei"e t$e p#blic.Code III.6

Engineers s$all #p$old t$e principle o appropriate and ade/#ate co'pensationor t$ose engaged in engineering !or).

Code III.FEngineers s$all not atte'pt to obtain e'plo('ent or ad"ance'ent or

proessional engage'ents b( #ntr#t$#ll( criticiing ot$er engineers or b(ot$er i'proper or /#estionable 'et$ods.

Code III.1DEngineers s$all gi"e credit or engineering !or) to t$ose to !$o' credit is d#eand !ill recognie t$e proprietar( interests o ot$ers.

Discussion:

&$is case presents a series o acts so'e o !$ic$ 'a( be addressed b( t$e 4oardot$ers t$at 'a( not. It appears ro' t$e acts t$at certain !rongdoings !ereco''itted b( a non-engineer. o!e"er t$e 4oard o Et$ical e"ie! does not re"ie!t$e cond#ct o non-engineers !it$ respect to t$e Code o Et$ics. As !e $a"e noted int$e past non-engineers are not co"ered b( t$e Code and t$ereore it !o#ld be a'eaningless act or t$is 4oard to re"ie! t$e cond#ct o Client G or >#rc$aser H in t$e

acts presented abo"e. Instead it is t$e d#t( o t$e 4oard to oc#s #pon t$e actions oEngineer 4.

In 4E Case 6-F t$e 4oard interpreted Code III.1D.a. t$en Code 1and Code1a to 'ean t$at indi"id#al acco'plis$'ents and t$e ass#'ption o responsibilit(

b( indi"id#al engineers s$o#ld be recognied b( ot$er engineers. *&$is principle*said t$e 4oard *is not onl( air and in t$e best interests o t$e proession b#t it alsorecognies t$at t$e proessional engineer '#st ass#'e personal responsibilit( ordecisions and actions.* Alt$o#g$ t$e acts o t$at case !ere so'e!$at dierent ro't$ose in t$e case at $and 4E Case 6-Frelects t$e "ie! t$at eac$ indi"id#al

engineer $as an et$ical obligation to recognie and gi"e credit to t$e creati"e prod#ctso ot$er engineers. At a bare 'ini'#' t$at et$ical obligation incl#des sec#ring t$econsent o t$at engineer indicating on an( reprod#ction o t$at creation t$e identit( ot$e engineer and in so'e cases pro"iding t$e engineer !it$ re'#neration or $is !or)depending #pon t$e s#rro#nding circ#'stances. Eac$ case '#st be decided #pon itsindi"id#al acts as no t!o cases are ali)e. o!e"er certain basic obligations e0istt$at '#st be recognied in all cases.


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=i'ilarl( 4E Case 83-3in"ol"ed Engineer 4 !$o s#b'itted a proposal to a co#nt(co#ncil ollo!ing an inter"ie! concerning a proect. &$e proposal incl#ded tec$nicalinor'ation and data t$at t$e co#ncil re/#ested as a basis or t$e selection. ='it$ asta 'e'ber o t$e co#ncil 'ade Engineer 4%s proposal a"ailable to Engineer A.Engineer A #sed Engineer 4%s proposal !it$o#t Engineer 4%s consent in de"elopinganot$er proposal !$ic$ !as s#bse/#entl( s#b'itted to t$e co#ncil. &$e e0tent to!$ic$ Engineer A #sed Engineer 4%s inor'ation and data !as in disp#te bet!een t$e

parties. In deter'ining t$at it !as #net$ical or Engineer A to #se Engineer 4%sproposal !it$o#t Engineer 4%s consent in order or Engineer A to de"elop a proposal!$ic$ Engineer A s#bse/#entl( s#b'itted to t$e co#ncil t$e 4oard indicated t$at at a

bare 'ini'#' et$ical obligation incl#des sec#ring t$e consent o t$at engineerindicating on an( reprod#ction o t$at creation t$e identit( o t$e engineer responsibleor t$e !or) peror'ed.

In t$e present case Engineer 4 agreed to re"ie! re-seal and res#b'it t$e plans anddra!ings prepared b( Engineer A or re"ie! and appro"al b( t$e p#blic b#ildinga#t$orit( )no!ing t$at Engineer A $ad not been paid eit$er b( Client G or >#rc$aserH or t$e ser"ice rendered. &$e plans and dra!ings incl#ded tec$nical inor'ation anddata t$at !as not prepared b( Engineer 4. &$ere does not appear to be an( /#estion ordisp#te as to t$e e0tent to !$ic$ Engineer 4 #sed Engineer A%s inor'ation.

o!e"er t$e act t$at Engineer 4 #sed t$e inor'ation in t$e 'anner t$at $e dids#ggests a "iolation o Code III.1D.a. o t$e Code o Et$ics. Alt$o#g$ it 'a( bearg#ed t$at t$e Code pro"ision is 'eant to address t$ose sit#ations !$ere as#per"ising engineer ails to gi"e credit to an e'plo(ee responsible or a partic#lardesign and not #nder t$e acts o t$e present case !e are con"inced t$at t$e Code'a( properl( be read to i'pl( #se and t$#s proscribe t$e cond#ct o Engineer 4.Engineer 4 $ad an obligation to 1 see) and obtain Engineer A%s consent beore #singt$e plans as a basis or one%s o!n ser"icesB 2 i granted consent identi( Engineer 4in all cases o #se o Engineer A%s !or)B and 3 negotiate and pa( Engineer A *airand reasonable* co'pensation or #sing t$e !or). 4( ailing to #lill an( o t$oseobligations Engineer 4 clearl( "iolated Code III.1Dand Code III.1D.a..

rea'ble incl#de*...ser"ices pro"ided b( engineers re/#ire... airness and e/#it(...* ;ne '#st /#estions!$et$er t$e #se b( Engineer 4 o Engineer ABs !or) prod#ct #nder t$e statedcirc#'stances can be dee'ed eit$er air or e/#itable.

Code III.1states t$at Engineers s$all be g#ided ... b( t$e $ig$est standards ointegrit(. Integrit( incl#des *so#ndness o 'oral principles as ir' ad$erence to acode o 'oral "al#es 4lac)%s and +ebster e! Collegiate. Can being a)no!ledgeable part( to s#c$ an #nair #se o anot$er%s !or) be 'orall( acceptable,


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Code III.3states t$at *Engineers s$all a"oid all cond#ct or practice t$at is li)el( todiscredit t$e proession...* Engineer 4%s part in s#c$ an #nsa"or( b#siness cannot $elp

b#t relect 'ost #na"orabl( #pon t$e proession.

Code III.6states t$at Engineers s$all #p$old t$e principle o appropriate and ade/#ate

co'pensation or t$ose engaged in engineering !or). Engineer 4%s rate $eree0e'pliies t$e antit$esis o t$is principle.

&$e actions o Engineer 4 s#ggest cond#ct #nbeco'ing o a proessional engineer.+$en oered t$e contents o Engineer A%s !or) b( >#rc$aser H Engineer 4 $ad anet$ical obligation to re#se to accept t$e plans. Instead Engineer 4 accepted and also#sed t$e 'aterial. 4eca#se o t$e decision to act#all( #se t$e plans !e '#st #rt$erconcl#de t$at Engineer 4 "iolated Code III.Fb( co'peting #nairl( !it$ Engineer A

b( atte'pting to *obtain ad"ance'ent b( i'proper or /#estionable 'et$ods.*Alt$o#g$ t$at Code pro"ision is broad and lea"es a good deal o roo' or

interpretation !e are con"inced t$at t$e #se o t$e plans constit#ted #nairco'petition b( i'proper and /#estionable 'et$ods. +$et$er t$ere !o#ld $a"e been a"iolation o Code III.F$ad Engineer 4 not #sed Engineer A%s plans b#t 'erel(re"ie!ed it beore de"eloping a set o plans is a spec#lati"e point. o!e"er t$is4oard is being as)ed to deter'ine !$et$er a "iolation occ#rred as a res#lt o Engineer4%s #se o Engineer A%s plans. +e t$in) t$at Engineer 4%s #se #nder t$e present actsconstit#tes #nair co'petition b( i'proper and /#estionable 'et$ods and $ence a"iolation o Code III.F.

Conclusion:It !as #net$ical or Engineer 4 to agree to re"ie! re-seal and res#b'it t$e plans anddra!ings prepared b( Engineer A or re"ie! and appro"al b( t$e p#blic b#ildinga#t$orit(.

4;A? ;< E&ICA E@IE+

a'es . .E. ?onald . iatte >.E. +illia' +. 7iddleton >.E. obert .ic$ols >.E. +illia' E. orris >.E. i''( . ='it$ >.E. +illia' A. Co0 r. >.E.C$air'an

ote: &$e 4oard o Et$ical e"ie! operates on an *ad $oc* ed#cational basis anddoes not engage in resol"ing disp#tes o act bet!een parties in act#al cases. &$at#nction is let to t$e state societ( i 'e'bers are in"ol"ed in #dging !$et$er a'e'ber $as "iolated t$e Code o Et$ics. 4eing solel( ed#cational t$e #nction o t$e4oard is to ta)e t$e s#b'ission o *acts* as t$e basis or anal(sis and opinion !it$o#tatte'pting to obtain reb#ttal or co''ent ro' ot$er parties. ;n t$at basis t$e reader


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o t$e opinions s$o#ld al!a(s recognie t$at t$e 4oard o Et$ical e"ie! is not anad#dicator( bod( and #nless indicated ot$er!ise its opinions are not binding #pont$e ational =ociet( o >roessional Engineers an( state engineering societ( or an(indi"id#al. Instead t$e opinions represent t$e opinions o licensed engineers as to t$ereasonable standards o practice !it$in t$e engineering proession. 4oard o Et$icale"ie! opinions are intended to pro"ide g#idance in act#al cases onl( to t$e e0tent ot$e *acts* stated in t$e case. Cases 'a( be reprod#ced or ed#cational p#rposes aslong as t$e 'aterial reprod#ced pro"ides appropriate attrib#tion to =>E and t$e4oard o Et$ical e"ie!.[?isclai'er]


Case 94-1


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Conflict of "nterest - Engineer Retained $y State

Code Citations: [II.1.c] [II.3.a] [II.] [II..b]

Case Citations: [59-3] [6D-5] [62-F] [63-5] [F6-3] [82-6] [85-]

Facts:

Engineer A is retained b( a de"eloper in t$e earl( stages o a proect to peror' siteand engineering st#dies in connection !it$ a 'aor de"elop'ent proect. aterEngineer A is selected b( t$e state%s depart'ent o transportation to o"ersee n#'ero#ss#bcons#ltants in t$e preli'inar( design !or) or t$e proposed !idening o eig$t'iles o an interstate $ig$!a( and proposed constr#ction o a ne! interc$ange toser"e t$e 'aor de"elop'ent proect. &$at !or) !o#ld be incorporated into t$eederal en"iron'ental i'pact state'ent anal(ing t$e road proect%s eect on traicand air /#alit(. Engineer A oiciall( inor's t$e state depart'ent o transportation o$is earlier !or) or t$e de"eloper.

Question:

+as it #net$ical or Engineer A to accept t$e contract !it$ t$e state%s depart'ent otransportation,

References:

Code II.1.cEngineers s$all not re"eal acts data or inor'ation obtained in a proessionalcapacit( !it$o#t t$e prior consent o t$e client or e'plo(er e0cept asa#t$oried or re/#ired b( la! or t$is Code.

Code II.3.aEngineers s$all be obecti"e and tr#t$#l in proessional reports state'ents ortesti'on(. &$e( s$all incl#de all rele"ant and pertinent inor'ation in s#c$reports state'ents or testi'on(.

Code II.

Engineers s$all act in proessional 'atters or eac$ e'plo(er or client asait$#l agents or tr#stees.

Code II..bEngineers s$all not accept co'pensation inancial or ot$er!ise ro' 'oret$an one part( or ser"ices on t$e sa'e proect or or ser"ices pertaining to t$esa'e proect #nless t$e circ#'stances are #ll( disclosed to and agreed to b(all interested parties.


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Discussion:

&$e iss#e o conlict o interests is one o t$e 'ost pre"alent et$ical concerns acingengineering practitioners. ;"er t$e (ears t$e 4oard o Et$ical e"ie! $as considered

n#'ero#s cases dealing !it$ t$e '#ltiaceted iss#es in"ol"ed in sit#ations !$ereengineers are aced !it$ conlicts in"ol"ing clients e'plo(ees or ot$er engineers. Atone ti'e t$e =>E Code o Et$ics or Engineers speciicall( pro$ibited engineersro' beco'ing in"ol"ed in cases or sit#ations !$ere a conlict o interest !as present.&$is !as based #pon t$e "ie! t$at proessional engineers '#st at all ti'es be abo"ereproac$ and a"oid an( sit#ation t$at co#ld be percei"ed as co'pro'ising t$eir

proessional #dg'ent and integrit( as independent proessionals. As classic e0a'pleo t$e 4oard%s "ie! earl( 4E Cases e.g 59-3 6D-5 62-F 63-5 !$ere t$e 4oardstrictl( "ie!ed t$e obligation o engineers to a"oid conlicts o interest.

;"er ti'e t$e Code o Et$ics and t$e 4oard o Et$ical e"ie! $a"e 'oderated to t$epoint o recogniing t$at certain t(pes o conlicts o interest are diic#lt i noti'possible to a"oid and t$at t$e 'ore realistic approac$ or indi"id#al engineers aced!it$ t$is t(pe o et$ical conlict is to #ll( disclose t$e nat#re and e0tent o t$econlict to t$e appropriate parties in"ol"ed or i'pacted b( t$e conlict. &$is is based#pon t$e "ie! t$at t$e parties t$at are 'ost aected b( t$e conlict and !$o $a"e t$e'ost at sta)e e.g. clients e'plo(ers ot$er engineering ir's etc. are in t$e best

position to deter'ine !$et$er t$eir interests !ill be co'pro'ised b( t$e conlict.+$ile so'eti'es percei"ed conlicts o interest are resol"ed b( t$e parties as a res#lto #ll disclos#re in ot$er instances t$e conlicts are deeper and re/#ire t$e engineer

to disassociate ro' a speciic proect.In recent (ears t$e 4oard $as considered t$e iss#e o conlict o interests in "ario#sconte0ts. In 4E Case F6-3 an engineer principal #nder retainer or 'an( (ears !it$a co#nt( or ser"ices on a !ater proect !as t$en retained b( a de"eloper !it$ t$eappro"al o co#nt( oicials. &$e de"eloper iled a petition !it$ t$e co#nt( oning

board to reone a s#bstantial area o t$e co#nt( or co''ercial p#rposes.

&$e co#nt( depart'ent o p#blic !or)s iled se"eral engineering reports ad"erse tot$e oning

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