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Key Concepts in Engineering Ethics: Preserving Confidentiality,
Receiving and Providing Gifts and Other Valuable
Consideration and Emerging Areas
November 18, 2014
Arthur E. Schwartz, CAEDeputy Executive Director & General Counsel
National Society of Professional EngineersAlexandria, Virginia
Engineering Ethics
–Introduction of Engineering Ethics Webinar Panelists
–Review of Webinar Program
Engineering EthicsThis 60 minute webinar will focus on engineering ethics
cases involving the confidentiality of an engineering report, removing company files at the conclusion of employment, gifts to state department of transportation employees and
political contributions as part of a fundraising event.
PLEASE USE THE TEXTING FEATURE OF ASK QUESTIONS OR OFFER YOUR OPINIONS !!!
Engineering Ethics“Do all the good you can, by all the means you can, in all the ways you can, in all the places you can, atall the times you can, to all the people you can, aslong as ever you can…”
John Wesley
Engineering Ethics“Action indeed is the sole medium of
expression for ethics…”
Jane Addams
Engineering Ethics Black and White Areas – Easy
– Right vs. Wrong Gray Areas – Tougher
– Right vs. Right (e.g., Public Health and Safety vs. Confidentiality)
– Lesser of the Evils/Dilemma Other Factors
– Time/Money– Family– Career– Reputation
Engineering Ethics
Why Study Engineering Ethics? – To Understand the Standards Governing What is
Acceptable Behavior in the Practice of Engineering Why Practice Engineering Ethically?
– Personal Injury/Property Damage– Disciplinary Action– Impact on Reputation, Employer, Clients,
Profession– Possible Loss of Job, Business, etc.
Engineering Ethics
Professional Codes of Ethics– A code of professional ethics results when a field
organizes itself into a profession. The resulting code is central to advising those professionals how to conduct themselves, to judge their conduct and to understand the profession.
Engineering Ethics
Hierarchy of Ethical Obligations Primary: Ethical Obligations to the
Public Secondary: Ethical Obligations to
Employer or Client Tertiary: Ethical Obligations to Other
Professionals and Other Parties
Engineering Ethics
Three Basic Ethical Obligations – (1) Public, (2) Employer/Client and (3) Other Professionals...– Never Mutually Exclusive - Reciprocal– Not A “Zero Sum Game”– All Need To Be Considered At All Times– Should Be Complementary to Integrated With
One Another To The Fullest Extent Possible– Ethical Integration = Professional Integrity
Engineering Ethics
Seven Principles Impacting Each Obligation
1. Protecting The Public Health, Safety and Welfare2. Demonstrating Professional Competence3. Maintaining Objectivity/Truthfulness4. Addressing Conflict of Interest5. Preserving Confidentiality6. Receiving and Providing Valuable Consideration7. Emerging Areas/Emerging Challenges
Engineering Ethics
5. Preserving Confidentiality:- Sales and Marketing Practices- Business or Technical Affairs of
Employers/Clients- Proprietary Information/Files- Arranging for New Employment or Business
Opportunities- Consent
Engineering Ethics
6. Receiving and Providing Gifts and Other Valuable Consideration: - Accepting Consideration from Suppliers for Specifying
Product- Accepting Commissions/Allowances Directly from
Contractors- Gifts- Bribery- Political Contribution
Engineering Ethics
7. Emerging Areas/Emerging Challenges: - Technology and the Use of Internet and Electronic
Practice - Sustainable Design/Development & Environmental
Considerations- Alternative Project Delivery Such As Integrated
Project Delivery, Building Information Modeling and Design/Build
Engineering Ethics
Confidentiality of Engineering Report
Case No. 82-2
Engineering Ethics
Engineer A offers a homeowner inspection service, whereby he undertakes to perform an engineering inspection of residences by prospective purchasers.
Following the inspection, Engineer A renders a written report to the prospective purchaser.
Engineer A performed this service for a client (husband and wife) for a fee and prepared a one-page written report, concluding that the residence under consideration was in generally good condition requiring no major repairs, but noting several minor items needing attention.
Engineering Ethics Engineer A submitted his report to the client
showing that a carbon copy was sent to the real estate firm handling the sale of the residence.
The client objected that such action prejudiced their interests by lessening their bargaining position with the owners of the residence.
They also complained that Engineer A acted unethically in submitting a copy of the report to any others who had not been a party to the agreement for the inspection services.
Engineering Ethics
Question: Did Engineer A act unethically in submitting a copy of the home inspection report to the real estate firm representing the owners?
Engineering Ethics
Section II.1.c. - NSPE Code of Ethics:
"Engineers shall not reveal facts, data, or information obtained in a professional
capacity without the prior consent of the client or employer except as authorized or
required by law or this Code."
Engineering Ethics
Section II.4. –NSPE Code of Ethics:
"Engineers shall act in professional matters for each employer or client as faithful agents
or trustees."
Engineering Ethics
Conclusion:
Engineer A acted unethically in submitting a copy of the home inspection to the real estate
firm representing the owners.
Engineering Ethics
It would have been ethical for Engineer A to submit the report to the real estate firm handling the sale if the analysis indicated the house was in poor condition requiring major repairs.
Yes No Not Sure
Engineering Ethics
Employment – Employee/Employer Files
Case No. 06-9
Engineering Ethics
Engineer A, employed by ENJ Engineering, recently accepted a position as an engineer with RFP Engineers, a competitor of ENJ Engineering. Engineer A has files in his office including the following:
Client files, which include correspondence between Engineer A and various clients while employed by ENJ Engineering and project specific technical information;
Engineering Ethics
Technical information files, such as articles, publications, and external reports, that Engineer A has personally received and saved during the course of his employment with ENJ Engineering to assist him in providing technical and professional services for clients;
Personal files, which include personal correspondence received from past and present clients acknowledging and expressing appreciation for Engineer A’s work on various engineering projects and technical information obtained outside of his employment by ENJ Engineering.
Engineering Ethics
Questions:1. Would it be ethical for Engineer A to take the client
files with him when he terminates his employment with ENJ Engineering?
2. Would it be ethical for Engineer A to take the technical information files with him when he terminates his employment with ENJ Engineering?
3. Would it be ethical for Engineer A to take the personal files with him when he terminates his employment with ENJ Engineering?
Engineering Ethics
Section I.4. - NSPE Code of Ethics:
“Engineers, in the fulfillment of their professional duties, shall act for each
employer or client as faithful agents or trustees.”
Engineering Ethics
Section II.1.c. - NSPE Code of Ethics:
“Engineers shall not reveal facts, data, or information without the prior consent of the client or employer except as authorized or
required by law or this Code.”
Engineering Ethics
Section III.4. - NSPE Code of Ethics:
“Engineers shall not disclose, without consent, confidential information concerning the business affairs or technical processes of
any present or former client or employer, or public body on which they serve.”
Engineering Ethics
Section III.9.d. - NSPE Code of Ethics:
“Engineers’ designs, data, records, and notes referring exclusively to an employer’s
work are the employer’s property. The employer should indemnify the engineer for use of the information for any purpose other
than the original purpose.”
Engineering Ethics
Conclusion:1. It would not be ethical for Engineer A to take the client or
project specific files with him when he terminates his employment with ENJ Engineering.
2. It would not be ethical for Engineer A to take the corporate or technical information files that pertains to the employer’s business without the employer’s permission.
3. It would be ethical for Engineer A to take personal files, which include personal correspondence received from past and present clients acknowledging and expressing appreciation for Engineer A and ENJ Engineer’s work on various engineering projects, and technical information obtained outside of his employment by ENJ Engineering.
Engineering Ethics
It would be ethical for an engineer to take copies of client files and technical information files as long as they were not original files.
Agree Disagree Not Sure
Engineering Ethics
Gifts—State Department of Transportation Employees
Case No. 05-6
Engineering Ethics
Engineer A performs engineering services as an employee of the State Department of Transportation. Part of Engineer A’s responsibilities is to serve as liaison with the consulting engineers and contractors that perform design and construction work for SDOT.
Over the years, following completion of various successful projects, consulting engineering companies (including Engineer B’s company) and contractors have from time to time offered the following to Engineer A
Engineering Ethics
1. Free tickets to the engineering company’s box seats at a major league sporting event;
2. An invitation to a cocktail reception, celebrating the recently successful project with various other project participants;
3. An invitation to a dinner party hosted by the company to celebrate the recently successful project with various other project participants; and
4. An invitation to participate in a golf outing with company employees with various other project participants
Engineering Ethics
Question:
1. Would it be ethical for Engineer A to accept such gifts as described in 1, 2, 3, or 4?
2. Would it be ethical for Engineer B to offer such gifts described in 1, 2, 3, or 4?
Engineering Ethics
Section II.5.b. - NSPE Code of Ethics:Engineers shall not offer, give, solicit, or receive, either directly
or indirectly, any contribution to influence the award of a contract by public authority, or which may be reasonably construed by the public as having the effect of intent to
influencing the awarding of a contract. They shall not offer any gift or other valuable consideration in order to secure
work. They shall not pay a commission, percentage, or brokerage fee in order to secure work, except to a bona fide employee or bona fide established commercial or marketing
agencies retained by them.
Engineering Ethics
Conclusion:
1. It would be ethical for Engineer A to accept such gifts as described in 1, 2, 3, or 4.
2. It would be ethical for Engineer B to offer such gifts as described in 1, 2, 3, or 4.
Engineering Ethics
It would be ethical for Engineer A to accept a substantial gift from a state department of transportation employee who is a personal friend of Engineer A.
Agree Disagree Not Sure
Engineering Ethics
Political Contributions – Fundraising Barbeque
Case No. 06-12
Engineering Ethics
Engineers from a variety of engineering firms were invited to participate in a fundraising barbeque held by the deputy secretary of the State Department of Transportation for the governor’s re-election campaign.
Some of the engineers were designated as “sponsors” because they gave $250, $500, or $1,000 at the fundraiser.
Among the individuals invited were a number of engineers who work for engineering companies that do business with the State DOT.
Engineering Ethics
When questioned, the engineers indicated that their contributions would have no bearing on their firm’s selection to do business with the state.
At the time of the fundraiser, some of the firms were in the process of negotiating contracts with the State DOT.
The deputy secretary of the State DOT has no role in approving engineering contracts.
Engineering Ethics
Question:
Was it ethical for the engineers to participate in the fundraiser?
Engineering Ethics
Section II.5.b. - NSPE Code of Ethics:
“Engineers shall not offer, give, solicit, nor receive, either directly or indirectly, any contribution to influence the award
of a contract by public authority, or which may be reasonably construed by the public as having the effect or intent of influencing the awarding of a contract. They shall not offer any gift or other valuable consideration in order to secure work. They shall not pay a commission, percentage, or brokerage fee in order to secure work, except to a bona
fide employee or bona fide established commercial or marketing agencies retained by them.”
Engineering Ethics
Section III.6. - NSPE Code of Ethics:
Engineers shall not attempt to obtain employment or advancement or professional engagements by untruthfully criticizing other
engineers, or by other improper or questionable methods.
Engineering Ethics
Conclusion:
It was ethical for the engineers to participate in the fundraiser, given that (1) the contribution amounts were not excessive, (2) there was no
linkage between the contributions and the selection of the firms for state work, and (3)
the contributions are publicly disclosed.
Engineering Ethics
While it would not be unethical for the Engineers to participate in the fundraising barbeque as indicated, the facts and circumstance create the appearance of impropriety.
Agree Disagree Not Sure
Engineering Ethics
All of the following factors generally affect the ethical decision making process - family, employment, career, reputation.
It is important to practice ethically because failure to do so could place the engineer in awkward position with his employer or client.
Engineers should study engineering ethics because it is important for engineers to fully understand their obligations to the public in order more effectively serve their employers or clients interests.
Engineering Ethics
A professional code of ethics is a means of judging the conduct of individual engineers.
Engineers have an obligation to hold paramount the public health and safety which cannot be waived by written agreement between the parties.
Engineering ethics is never a “zero sum game” in which one ethical obligation must always yield to another ethical obligation.
Engineering Ethics
“There is no moral precept that does not have something inconvenient about it…”
Dennis Diderot
Engineering Ethics
“Science cannot resolve moral conflicts, but it can help to more accurately frame the debates
about those conflicts...”
Heinz Pagels
Engineering Ethics
“Neither fire nor wind, birth nor death can erase our good deeds…”
Buddha
Engineering Ethics
Questions & Answers
Arthur E. Schwartz, CAEDeputy Executive Director & General Counsel
National Society of Professional EngineersAlexandria, [email protected]
