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Licensure and Professional Practice November 2016
Arthur E. Schwartz, CAE Deputy Executive Director & General Counsel National Society of Professional Engineers Alexandria, Virginia [email protected] Engineering Ethics
• “Among the universal ethical values are honesty, integrity, promise-keeping, fidelity, fairness, respect for others, responsible citizenship, pursuit of excellence and accountability.” Michael Josephson Engineering Ethics
• Black and White Areas – Easy Right vs. Wrong • Gray Areas – Tougher Right vs. Right 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
• “All products of technology present some potential dangers, and thus engineering is an inherently risky activity… Engineering should be viewed as an experimental process. It is not, of course, an experiment conducted solely in a laboratory under controlled conditions. Rather, it is an experiment on a social scale involving human subjects” Martin and Schinziger, Ethics in Engineering 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 Welfare 2. Demonstrating Professional Competence 3. Maintaining Objectivity/Truthfulness 4. Addressing Conflict of Interest 5. Preserving Confidentiality 6. Receiving and Providing Valuable Consideration 7. Emerging Areas/Emerging Challenges Engineering Ethics
• This session will focus on the obligations of a professional engineer relating to drawings, plans and specifications for an industrial facility, licensure and the engineer as the project lead, the duty to provide a recommendation based on objective and factual criteria and the engineer’s obligation to consider all feasible options. Engineering Ethics
Drawings, Plans, and Specifications for Industrial Processing Facility
Case No. 15-5 Engineering Ethics
Facts: • Engineer A is retained by Client X to oversee the design of an industrial processing facility, including its manufactured elements. • Engineer A prepares the drawings, plans, and specifications and, in doing so, incorporates manufactured equipment into the facility. • In preparing the drawings, plans, and specifications, Engineer A includes copies of the drawings, plans, and specifications provided by the manufacturer of the manufactured equipment with his own drawings, plans, and specifications. Engineer A gives full attribution to the manufacturer. Engineering Ethics
• Also included within Engineer A’s contract with Client X is the provision whereby Engineer A represents that he has reviewed the manufacturer’s drawings, plans, and specifications and in his professional opinion believes the equipment will perform as represented, but that Engineer A is not responsible for the performance of the manufactured equipment. Engineering Ethics
• Question: 1. Was it ethical for Engineer A to include copies of the drawings, plans, and specifications provided by the manufacturer of the manufactured equipment with his own drawings, plans, and specifications, giving full attribution to the manufacturer? 2. Was it ethical for Engineer A to include within his contract with Client X a provision whereby he represents that he has reviewed the manufacturer’s drawings, plans, and specifications and in his professional opinion believes the equipment will perform as represented, but that he is not responsible for the performance of the manufactured equipment? Engineering Ethics
• Section II.2.- Code of Ethics:
Engineers shall perform services only in the areas of their competence. Engineering Ethics
• Section III.8. - Code of Ethics:
Engineers shall accept personal responsibility for their professional activities, provided, however, that engineers may seek indemnification for services arising out of their practice for other than gross negligence, where the engineer’s interests cannot otherwise be protected. Engineering Ethics
• Section III.9.- Code of Ethics:
Engineers shall give credit for engineering work to those to whom credit is due, and will recognize the proprietary interests of others. Engineering Ethics
• Conclusion: 1. It was ethical for Engineer A to include copies of the drawings, plans, and specifications provided by the manufacturer of the manufactured equipment with his own drawings, plans, and specifications, giving full attribution to the manufacturer. 2. It was ethical for Engineer A to include within his contract with Client X a provision whereby he represents that he will exercise due diligence in his review of the manufacturer’s drawings, plans, and specifications and in his professional opinion believes the equipment will perform as represented, but that he is not responsible for the performance of the manufactured equipment. Engineering Ethics
• Polling Question: When specifying manufactured equipment on a project, professional engineers should be held responsible and potentially liable for their for their recommendations, but should not be held liable for any losses resulting from any failure caused by the manufactured equipment. 1. Yes 2. No 3. Not Sure Engineering Ethics
Licensure – Engineer Intern As Project Lead •
Case No. 15-6 Engineering Ethics
Facts: • Engineer A, employed by Firm X, is a licensed professional engineer with a B.S. and an M.S. in civil engineering. • Engineer A has recently been assigned to a project for which the project lead, Engineer B, is an Engineer Intern. • Engineer B has an M.S. in civil engineering, but Engineer B’s undergraduate degree is not in engineering and so Engineer B must wait a few more years before taking the PPE Examination in order to gain engineering licensure. • Engineer A is concerned that his work as a professional engineer is being scrutinized by a person who has not yet attained engineering licensure. • Engineering Ethics
• Questions:
Would it be ethical for Engineer A, a licensed professional engineer, to work on an assignment for which the project lead is an Engineer Intern? Engineering Ethics
• Section II.1. - Code of Ethics:
Engineers shall hold paramount the safety, health, and welfare of the public. Engineering Ethics
• Section II.1.a. - Code of Ethics:
If engineers’ judgment is overruled under circumstances that endanger life or property, they shall notify their employer or client and such other authority as may be appropriate. Engineering Ethics
• Section II.1.e. - Code of Ethics:
Engineers shall not aid or abet the unlawful practice of engineering by a person or firm. Engineering Ethics
• Section II.2.a. - Code of Ethics:
Engineers shall undertake assignments only when qualified by education or experience in the specific technical fields involved. Engineering Ethics
• Section II.2.b. - Code of Ethics:
Engineers shall not affix their signatures to any plans or documents dealing with subject matter in which they lack competence, nor to any plan or document not prepared under their direction and control. Engineering Ethics
• Section III.2.c. - Code of Ethics:
Engineers may accept assignments and assume responsibility for coordination of an entire project and sign and seal the engineering documents for the entire project, provided that each technical segment is signed and sealed only by the qualified engineers who prepared the segment. Engineering Ethics
• Conclusions: 1. It would not be unethical for Engineer A, a licensed professional engineer, to work on an assignment for which the project lead is an Engineer Intern. However, if Engineer A is required to sign and seal any engineering drawings, plans, specifications, reports, etc., he will need to exercise the requisite “responsible charge”—direct control/personal supervision—over the engineering design work and be satisfied that the engineering work contained therein meets applicable engineering standards before he can sign and seal the work. In addition, Engineer A must also review the state engineering licensing laws and regulations to determine these requirements and, if necessary, discuss these issues with his immediate supervisor or other managers as appropriate. Engineering Ethics
• Polling Question Based on my experience, I believe that Engineer Interns can perform many tasks normally performed by a licensed professional engineer?
1. Yes 2. No 3. Not Sure Engineering Ethics
Duty to Provide Recommendation Based on Objective and Factual Information
Case No. 15-9 Engineering Ethics
Facts: • Engineer A is retained by a state agency to design a facility for the state agency. • Engineer A prepares the drawings, plans, and specifications and later the project is publically announced for contractor bid by the state agency. Engineering Ethics
• Following receipt of contractor bids, the state agency requests Engineer A’s review of a bid submitted by Contractor X as well as Engineer A’s opinion of Contractor X, based on Engineer A’s experience with Contractor X. • Based upon the facts known to Engineer A, Engineer A’s specifications, and Engineer A’s previous experience with Contractor X, Engineer A indicates to state agency that Contractor X should not be selected for the construction of the facility. Contractor X believes Engineer A’s actions are unethical. Engineering Ethics
• Question: Was it unethical for Engineer A to indicate to the state agency that Contractor X should not be selected for the construction of the facility? Engineering Ethics
• Section II.1. - Code of Ethics:
Engineers shall hold paramount the safety, health, and welfare of the public. Engineering Ethics
• Section II.3. - Code of Ethics:
Engineers shall issue public statements only in an objective and truthful manner. Engineering Ethics
• Section II.3.a. - Code of Ethics:
Engineers shall be objective and truthful in professional reports, statements, or testimony. They shall include all relevant and pertinent information in such reports, statements, or testimony, which should bear the date indicating when it was current. Engineering Ethics
• Section II.3.b. - Code of Ethics:
Engineers may express publicly technical opinions that are founded upon knowledge of the facts and competence in the subject matter. Engineering Ethics
• Section II.3.c. - Code of Ethics:
Engineers shall issue no statements, criticisms, or arguments on technical matters that are inspired or paid for by interested parties, unless they have prefaced their comments by explicitly identifying the interested parties on whose behalf they are speaking, and by revealing the existence of any interest the engineers may have in the matters. Engineering Ethics
• Section II.4. - Code of Ethics:
Engineers shall act for each employer or client as faithful agents or trustees. Engineering Ethics
• Section III.1. - Code of Ethics:
Engineers shall be guided in all their relations by the highest standards of honesty and integrity. Engineering Ethics
• Section III.1.b. - Code of Ethics:
Engineers shall advise their clients or employers when they believe a project will not be successful. Engineering Ethics
• Section III.2. - Code of Ethics:
Engineers shall at all times strive to serve the public interest. Engineering Ethics
• Conclusion: It was not unethical for Engineer A to indicate to the state agency that Contractor X should not be selected for the construction of the facility, provided Engineer A’s comments are completely factual, dispassionate, and objective. Engineering Ethics
. Polling Question: In my opinion, based on the facts in the previous case, professional engineers have an obligation to advise public clients regarding the ability of bidding contractors to perform on a project, despite potential liability concerns. 1. Agree 2. Disagree 3. Not Sure Engineering Ethics
Obligation to Consider Feasible Options
Case No. 15-12 Engineering Ethics
Facts: • Engineer A is a professional engineer with JKL Engineering. JKL Engineering has a contract with the state to specify the route for a road connecting two towns. • Engineer A determines that the shortest workable route would save approximately 30 minutes from what would otherwise be a two-hour trip. However, in order to build the shortest route, the state would be required to address the impact to a historic family farmhouse that has existed for over 100 years on the land required for the route. Engineering Ethics
• Engineer A visits the farmhouse’s owner, who indicates that the family has no interest in selling the farmhouse to the state or to anyone else. • Engineer A is aware that the option exists for the state to exercise eminent domain and condemn the farmhouse and allow the state to proceed with the design and construction of the new route between the two towns. Engineering Ethics
• Question:
What are Engineer A’s ethical obligations under these circumstances? Engineering Ethics
• Section II.1. - Code of Ethics:
Engineers shall hold paramount the safety, health, and welfare of the public. Engineering Ethics
• Section II.3. - Code of Ethics:
Engineers shall issue public statements only in an objective and truthful manner. Engineering Ethics
• Section II.4. - Code of Ethics:
Engineers shall act for each employer or client as faithful agents or trustees. Engineering Ethics
• Section III.2. - Code of Ethics:
Engineers shall at all times strive to serve the public interest. Engineering Ethics
• Section III.2.a. - Code of Ethics:
Engineers are encouraged to participate in civic affairs; career guidance for youths; and work for the advancement of the safety, health, and well-being of their community. Engineering Ethics
• Conclusion:
Engineer A has an obligation to advise the state on all feasible and reasonable solutions in an attempt to reach an amicable resolution of this matter, consistent with the interests of the public, including physically moving the historic farmhouse to another appropriate site owned by the family or another party. Engineering Ethics
. Polling Question In my opinion, based on the facts in the previous case, if specifically requested, Engineer A should make a recommendation based upon what provides the greatest public good as opposed to the individual rights of a private property owners. 1. Agree 2. Disagree 3. Not Sure Engineering Ethics
Review of Key Issues Engineering Ethics
• It is important to study engineering ethics because it is critical to understand the standards governing what is acceptable behavior in the practice of engineering. • It is important to practice engineering ethically because if you do not, the following could occur - personal injury, property damage, disciplinary action, impact on the reputation or the employer, clients, profession and possible loss of job or business. • Engineers having knowledge of any alleged violation of this Code should report thereon to appropriate professional bodies and, when relevant, also to public authorities, and cooperate with the proper authorities in furnishing such information or assistance as may be required. Engineering Ethics
• Among the universal ethical values are honesty, integrity, promise-keeping, fidelity, fairness, respect for others, responsible citizenship, pursuit of excellence and accountability. • Black and white areas – right vs. wrong issues are easiest to resolve. • Other factors such as time, money, family, career, reputation affect ethical decision-making. Key Concepts in Engineering Ethics:
Licensure and Professional Practice
Thank You!
Arthur E. Schwartz, CAE Deputy Executive Director & General Counsel National Society of Professional Engineers Alexandria, Virginia [email protected] Key Concepts in Engineering Ethics:
Licensure and Professional Practice
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Licensure and Professional Practice
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