Ethics - Easy to Argue About - Hard to Follow #0003

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Article # 0003

Ethics - Easy to Argue About - Hard to Follow

John F. Busby

The high regard in which the engineering profession is held is based on the twin pillars of competence and ethics. Competence, a measure of our engineering knowledge and skills, can be determined through education and certification. Ethics, the rules forming the basis for expected conduct between people, is more nebulous. Why? Because they are tested only by application of ethical principles on real problems. Without sound ethics, business is virtually impossible.

Ethical rules may be generalized into simple principles, which, unfortunately, are more commonly observed in the breach than in the practice. This may be considered a lack of character. There are many reasons for this apparent lack of character. Some of us simply have none. Others pander the management to advance more rapidly and still more fall prey to the normal human pressures of work. The need to meet the needs of your family and your friends, ego gratification and all that other stuff that goes with being human..

Examples of simple generalizations that cover the ethical waterfront are:

The Golden Rule - "Therefore all things whatsoever ye would that men should do to you, do ye even so to them: for this is the law and the prophets." Matthew 7:12, King James Version.
The Code of Conduct the United States Military Academy, West Point New York. “I will not lie, cheat nor steal nor tolerate those who do”
A common paraphrase of the Hippocratic Oath - “First, to do no harm”

Even though these quotes are complete and correct they are not sufficiently specific enough to support an action by a licensing board or court defend you against litigation in which your right to practice your profession is challenged. The solution to this problem lies in the Canons of Ethics developed by major engineering associations. All of these codes are quite similar differing only in points unique to their branch of engineering. Because of this plethora of codes we have chosen to discuss the more general set promulgated by the National Society of Professional Engineers (NSPE).

NSPE Code of Ethics for Engineers

Preamble

Engineering is an important and learned profession. As members of this profession, engineers are expected to exhibit the highest standards of honesty and integrity. Engineering has a direct and vital impact on the quality of life for all people. Accordingly, the services provided by engineers require honesty, impartiality, fairness, and equity, and must be dedicated to the protection of the public health, safety, and welfare. Engineers must perform under a standard of professional behavior that requires adherence to the highest principles of ethical conduct.

I. Fundamental Canons

Engineers, in the fulfillment of their professional duties, shall:

Hold paramount the safety, health and welfare of the public.
Perform services only in areas of their competence.
Issue public statements only in an objective and truthful manner.
Act for each employer or client as faithful agents or trustees.
Avoid deceptive acts.
Conduct themselves honorably, responsibly, ethically, and lawfully so as to enhance the honor, reputation, and usefulness of the profession.

II. Rules of Practice

1. Engineers shall hold paramount the safety, health, and welfare of the public.

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.
Engineers shall approve only those engineering documents that are in conformity with applicable standards.
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.
Engineers shall not permit the use of their name or associate in business ventures with any person or firm that they believe are engaged in fraudulent or dishonest enterprise.
Engineers shall not aid or abet the unlawful practice of engineering by a person or firm.
Engineers having knowledge of any alleged violation of this Code shall 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.

2. Engineers shall perform services only in the areas of their competence.

Engineers shall undertake assignments only when qualified by education or experience in the specific technical fields involved.
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.
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.

3. Engineers shall issue public statements only in an objective and truthful manner.

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.
Engineers may express publicly technical opinions that are founded upon knowledge of the facts and competence in the subject matter.
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.

4. Engineers shall act for each employer or client as faithful agents or trustees.

Engineers shall disclose all known or potential conflicts of interest that could influence or appear to influence their judgment or the quality of their services.
Engineers shall not accept compensation, financial or otherwise, from more than one party for services on the same project, or for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to by all interested parties.
Engineers shall not solicit or accept financial or other valuable consideration, directly or indirectly, from outside agents in connection with the work for which they are responsible.
Engineers in public service as members, advisors, or employees of a governmental or quasi-governmental body or department shall not participate in decisions with respect to services solicited or provided by them or their organizations in private or public engineering practice.
Engineers shall not solicit or accept a contract from a governmental body on which a principal or officer of their organization serves as a member.

5. Engineers shall avoid deceptive acts.

Engineers shall not falsify their qualifications or permit misrepresentation of their or their associates’ qualifications. They shall not misrepresent or exaggerate their responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, associates, joint ventures, or past accomplishments.
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.

III. Professional Obligations

1. Engineers shall be guided in all their relations by the highest standards of honesty and integrity.

Engineers shall acknowledge their errors and shall not distort or alter the facts.
Engineers shall advise their clients or employers when they believe a project will not be successful.
Engineers shall not accept outside employment to the detriment of their regular work or interest. Before accepting any outside engineering employment they will notify their employers.
Engineers shall not attempt to attract an engineer from another employer by false or misleading pretenses.
Engineers shall not promote their own interest at the expense of the dignity and integrity of the profession.

2. Engineers shall at all times strive to serve the public interest.

Engineers shall seek opportunities to participate in civic affairs; career guidance for youths; and work for the advancement of the safety, health, and well-being of their community.
Engineers shall not complete, sign, or seal plans and/or specifications that are not in conformity with applicable engineering standards. If the client or employer insists on such unprofessional conduct, they shall notify the proper authorities and withdraw from further service on the project.
Engineers shall endeavor to extend public knowledge and appreciation of engineering and its achievements.

3. Engineers shall avoid all conduct or practice that deceives the public.

Engineers shall avoid the use of statements containing a material misrepresentation of fact or omitting a material fact.
Consistent with the foregoing, engineers may advertise for recruitment of personnel.
Consistent with the foregoing, engineers may prepare articles for the lay or technical press, but such articles shall not imply credit to the author for work performed by others.

4. 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.

Engineers shall not, without the consent of all interested parties, promote or arrange for new employment or practice in connection with a specific project for which the engineer has gained particular and specialized knowledge.
Engineers shall not, without the consent of all interested parties, participate in or represent an adversary interest in connection with a specific project or proceeding in which the engineer has gained particular specialized knowledge on behalf of a former client or employer.

5. Engineers shall not be influenced in their professional duties by conflicting interests.

Engineers shall not accept financial or other considerations, including free engineering designs, from material or equipment suppliers for specifying their product.
Engineers shall not accept commissions or allowances, directly or indirectly, from contractors or other parties dealing with clients or employers of the engineer in connection with work for which the engineer is responsible.

6. Engineers shall not attempt to obtain employment or advancement or professional engagements by untruthfully criticizing other engineers, or by other improper or questionable methods.

Engineers shall not request, propose, or accept a commission on a contingent basis under circumstances in which their judgment may be compromised.
Engineers in salaried positions shall accept part-time engineering work only to the extent consistent with policies of the employer and in accordance with ethical considerations.
Engineers shall not, without consent, use equipment, supplies, laboratory, or office facilities of an employer to carry on outside private practice.

7. Engineers shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of other engineers. Engineers who believe others are guilty of un-ethical or illegal practice shall present such information to the proper authority for action.

Engineers in private practice shall not review the work of another engineer for the same client, except with the knowledge of such engineer, or unless the connection of such engineer with the work has been terminated.
Engineers in governmental, industrial, or educational employ are entitled to review and evaluate the work of other engineers when so required by their employment duties.
Engineers in sales or industrial employ are entitled to make engineering comparisons of represented products with products of other suppliers.

8. 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.

Engineers shall conform with state registration laws in the practice of engineering.
Engineers shall not use association with a non-engineer, a corporation, or partnership as a "cloak" for un-ethical acts.

9. Engineers shall give credit for engineering work to those to whom credit is due, and will recognize the proprietary interests of others.

Engineers shall, whenever possible, name the person or persons who may be individually responsible for designs, inventions, writings, or other accomplishments.
Engineers using designs supplied by a client recognize that the designs remain the property of the client and may not be duplicated by the engineer for others without express permission.
Engineers, before undertaking work for others in connection with which the engineer may make improvements, plans, designs, inventions, or other records that may justify copyrights or patents, should enter into a positive agreement regarding ownership.
Engineers’ designs, data, records, and notes referring exclusively to an employer’s work are the employer's property. The employer should indemnity the engineer for use of the information for any purpose other than the original purpose.
Engineers shall continue their professional development throughout their careers and should keep current in their specialty fields by engaging in professional practice, participating in continuing education courses, reading in the technical literature, and attending professional meetings and seminars.

Examples:

These examples of ethical advice based on discussion with the renowned ethicist, Auntie Em as told to John F. Busby. All are referenced to the NSPE Code of Ethics and are based on actual cases decided by the Board of Ethical Review (BER) of the NSPE.

Auntie Em:

I have a possible ethical conflict. I'm really embarrassed but, I made a mistake in the design of a public building leaving it vulnerable to winds of high, but not unusual velocities in this area. I have informed the city architect, the city engineer, and my client of the problem, given them a comprehensive plans for remediation and emergency evacuation and recommended that they inform the public.

The city engineer agrees that protection of public safety is worth the disclosure. The other two do not agree. Meetings are getting hostile. I usually love my job but I'm becoming really uncomfortable. What should I do.

Needs Help in Abilene

Dear Abilene:

You have done very well so far but, you're right, you do need help. We have the usual conflict between ethical rules. Rules II.4 and III.4 say that we have to keep confidential the activities of your client: Rules I.1 tells us that health and safety of the client is the primary rule; and rules I.1.c, and II.1.a, II.1.c and II.1.f, tell us that if there is a serious code violation we are obligated to blow the whistle. I think you and the city engineer have a good deal to be proud of in your demonstrated integrity. Keep up the good work. Two notes of warning: 1) The other people also think they are right and have egos and other concerns. As far as you can, keep your discussions calm, quite, constructive, and non pejorative. Treat them all with respect. The idea in this very important debate is to win. 2). Keep detailed notes.

Good Luck

Auntie Em

Dear Auntie Em:

I am an engineer on leave from NoName engineering to update my training. The University, in an attempt to expand its influence, has applied for and made the short list for a government research grant in solar engineering. Since solar systems are my area of expertise they have invited me to consult with them helping to strengthen their RFP. If their bid is successful they want me to evaluate the proposals. My employer has given his permission for my participation and will not be submitting a proposal.

I see no ethical problems with the work but you are the expert.

Trying to Be Good in Seattle

Dear Trying:

Good work. The first question is, is it ethical to work on a project for the school while a student in that same department..

By II.2.a - You should take only assignments you are qualified for. As a experienced professional engineer, you pass this test.

You have met the conflict of interest rule, II.4.a, by discussing the project and obtaining the approval of your company.

Your faculty supervisor acted ethically when he asked for your help. Rule III.11 mandates that the supervisor be interested in the professional development of those under their supervision and by rule III.2 are obligated to spread engineering information.

One area of concern is the possibility of learning trade secrets and engineering practices of your competitors as you review the proposals but you can avoid this by not ruling on proposals that fall within the interest of your company.

On this basis I see no ethical problems. Enjoy the work.

Auntie Em

Dear Auntie Em:

What a glorious week. My struggling young company was approached today by a company that needs our expertise to strengthen its bid on a federal contract. Of course its not a sure thing. We will form a joint venture. My company will revise the RFP, according to our expertise, and then participate in the engineering. Now for the surprise. Another engineering firm wants use to enter a joint venture on exactly the same problem.

Can I ethically do this same piece of work for two clients.

Lucky Engineer

Dear Lucky:

Its a little hard to believe but...I see no problem. You are not selling the same service twice because the two firm will no doubt have different engineering plans.

It is unlikely that you will have an opportunity to cross-pollinate the projects because the two engineering firms will no doubt have different approaches to the overall problem.

Since no work will be done on the contract until after the award, you will have only one client when you begin your engineering duties.

The one thing you need to do is to insure that each of your clients is aware of the work you are doing for the other one. If they feel there is a conflict of interest, you can drop that client. Otherwise you are good to go.

Auntie Em

Auntie Em:

I recently let my employment with another engineering firm. My latest project was completed except for administrative review when I left. Now they are asking that I return to sign and seal the documents. My problem is that I was not totally happy while I was with them and I do not wish to return. I have asked them for remuneration and am afraid that they will pay.

What do you think.

Fred

Dear Fred:

I understand full well your attitude but it is foolish and unworthy of a professional engineer.

The applicable rules are:

I.4. - Code of Ethics: Engineers, in the fulfillment of their professional duties, shall act for each employer or client as faithful agents or trustees

III.4. - 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. Under this section you are responsible for the work you do. You were responsible for this work. You are still responsible even though you have left the company.

III.7. - Code of Ethics: Engineers shall not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of other engineers. Engineers who believe others are guilty of unethical or illegal practice shall present such information to the proper authority for action. If you somehow avoid signing and sealing the plans than some other engineer has to be assigned to the study, review your plans and assure himself that all is wee. That he is willing and able to vouch for your work. This takes time and money from your former employer and hinders the ongoing work of the selected engineer.

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. This rule allows you some indemnification for your work. Act like a man and cover only your legitimate out-of -pocket expenses.

Good Luck

Auntie Em.

Bibliography:

Online Ethics Center for Engineering & Science. Case Western Reserve University. Professional Ethics in Engineering Practice: Discussion Cases, Mar. 24, 2005, Mar. 24, 2005, http://nspe.org/ethics/eh1-code.asp

Online Ethics Center for Engineering & Science. Case Western Reserve University. Professional Ethics in Engineering: Discussion Cases, Nov. 8. 2003, Mar 24, 2005, http://www.onlineethics.org/cases/nspe/index.

About the Author: John Busby, PhD Physical Chemistry 1975, Texas Tech University, is a free lance writer living in Abilene, Texas

Article # 0003 TEST QUESTIONS:

1. As members of this profession, engineers are expected to exhibit the highest standards of ...

honesty and integrity.
accuracy and precision.
purity.
All of the above

2. Which of the following is NOT an example of simple generalizations that cover the ethical waterfront.

“I will not lie, cheat nor steal nor tolerate those who do.”
“First, to do no harm.”
"He who has the gold makes the rules."
None of the above.

3. Engineers, in the fulfillment of their professional duties, shall ...

Hold paramount the safety, health and welfare of the public.
Perform services only in areas of their competence.
Act for each employer or client as faithful agents or trustees.
All of the above

4. 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.
seek other employment and remove any reference to the job from their resume.
picket the jobsite.
All of the above

5. Engineers shall undertake assignments only ...

if they can make a reasonable profit.
within a State or District in which they are licensed.
when qualified by education or experience in the specific technical fields involved.
All of the above

6. In fulfilling their Professional Obligations, Engineers shall ...

be guided in all their relations by the highest standards of honesty and integrity.
at all times strive to serve the public interest.
avoid all conduct or practice that deceives the public.
All of the above

7. Engineers shall not disclose ______ any present or former client or employer, or public body on which they serve.

their salary from
any conflicts of interest between their current project or assignment and
confidential information concerning the business affairs or technical processes of
All of the above

8. Engineers who believe others are guilty of un-ethical or illegal practice shall ...

confront them so as to correct their future actions.
present such information to the proper authority for action.
advise the others clients and offer to review any ongoing projects.
All of the above

9. The high regard in which the engineering profession is held is based on the twin pillars of ...

public review and competence.
skill and licensure.
competence and ethics.
fair and ethical treatment for all.

10. In order to give credit for engineering work to those to whom credit is due, the Engineer shall ...

name the person or persons who may be individually responsible for designs, inventions, writings, or other accomplishments.
recognize that the designs supplied by a client remain the property of the client
recognize that designs, data, records, and notes referring exclusively to an employer’s work are the employer's property.
All of the above

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