2014.11.12 - .ethics in the professional practice of engineering
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Ethics in the Professional Practice of Engineering
Vincent P. Drnevich, P.E., Ph.D.
Professor Emeritus, Purdue University
SE University, November, 2014 www.LearnWithSEU.com
Disclaimer
Copyright 2014 Vincent P. Drnevich. No portion of this presentation may be used without the expressed written consent of Vincent P. Drnevich.
The speaker is expressing his own views and opinions on the matters being discussed and does not represent the official views of the Indiana State Board of Registration for Professional Engineers, the Indiana Society of Professional Engineers, Board of Ethical Review of the National Society of Professional Engineers or Purdue University.
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Acknowledgments My Mentors starting with my parents and teachers and enhanced
throughout my career by my colleagues and students
James L. Lammie, P.E., former President, CEO, and Board Chairman of Parsons Brinckerhoff
James F. Schmidt, Esq., Office of the Indiana Attorney General and advisor to the State Board of Registration of Professional Engineers
Brian Quinn, P.E. and Lisa Willard, P.E. of SE Solutions, LLC for making the arrangements for this presentation.
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Handouts and Exercise
Each attendee should have: Six page (3 sheet) handout with notes for this
course One page ETHICS EXERCISE
You are encouraged to complete the EXERCISE as we progress through the course.
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Overview Why Ethics? Codes of Ethics in Professions Professional Conduct in Statutes and
Rules Making Value-laden Decisions Board of Ethical Review Ethical Health Fitness Summary Questions
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Expectations
By the end of this session you will: Know about Codes of Ethics and the roles they play
Be aware of the Model Law and Rules associated with professional
conduct in engineering practice
Know how to access Codes of Ethics, Model Law, and Model Rules
Have a systematic process for solving ethical dilemmas
See the value of professional and technical organizations in the engineering profession
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Case 1 – State Inspector You are a young engineer employed by the State Transportation
Department. You have been placed in charge of inspecting a highway bridge project which is being built by a private contractor. Because of your education and extensive field engineering experience, you are able to suggest techniques and procedures that save the contractor both time and money. The work, however, is done strictly according to the plans and specifications.
It is quitting time on a hot summer Friday afternoon. The contractor comes to the site and offers a can of soda to each of his employees. He also offers you a can of soda.
a. May you accept the soda? 7
Case 1 – State Inspector
b. Assume he hands every worker a case of soda. It is ethical to accept a case of soda?
c. What if he hands every worker a can of beer? Accept?
d. What if he hands every worker a bottle of bourbon? Accept?
e. How about a case of bourbon? Accept?
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Case 1 – State Inspector
f. What if he hands every worker a pen with the company name on it? Accept?
g. What about a hat and jacket with the company name and logo on it? Accept?
h. What if the contractor buys you a new car because of the thousands of dollars you have saved him. Do you accept?
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Case 1 – State Inspector
i. You and the contractor meet at lunch to discuss the progress of the work. He offers to pay the bill. Can you ethically accept his offer?
j. You like to play golf. The contractor knows this but he himself does not play golf. A local charity golf tournament committee has persuaded the contractor to purchase several entrance tickets to the tournament. Since he does not play golf, he offers one of the tickets to you. Can you ethically accept his offer? 10
What should the answers be?
No to all questions!
How did the students do?
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Student Responses
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What do Codes of Ethics say?
NSPE Code of Ethics II. Rules of Practice
4. Engineers shall act for each employer or client as faithful agents or trustees. c. 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.
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What does the Law say?
NCEES Model Rules 240.15 Rules of Professional Conduct B. Licensee’s Obligation to Employer and Clients
5. Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties in connection with work for employers or clients.
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Poll Question #1
What type of policy does your company have regarding receiving gifts?
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Why Ethics?
It is a matter of …. happiness/ contentment/ fulfillment
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Ethics Aim of all ethical decision making - happiness/
contentment/ fulfillment1 Lowest stage - decision making focuses on the
individual;
Intermediate stages – decision making guided by Codes, Rules and the Law
Highest stage on all parties and over all time.
1 Jean Piaget and Lawrence Kohlberg as reported by : Veslind, P. A., and Ende, E., "Ethics in the Field," Civil Engineering Magazine, Vol. 55, No. 12, December, 1985, pp. 64-66.
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Ethical behavior Contract among affected parties
Unwritten understanding… Agreed behavior among individuals Taught by our upbringing “Gentlemen’s Agreement”
Written Contract – defined focus Professional Code of Ethics Established and administered by a profession
The Law Federal, state, and local Statutes and Rules Administered and enforced by officials: fines and
penalties 18
Codes of Ethics Established by membership of professional societies
Standard Format (especially among engineering
organizations) Preamble Fundamental Canons Rules of Practice Professional Obligations
Example: National Society of Professional Engineers
(NSPE) (http://www.nspe.org/Ethics/CodeofEthics/index.html)
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NSPE Code of Ethics
I. Fundamental Canons
Engineers, in the fulfillment of their professional duties, shall:
1. Hold paramount the safety, health and welfare of the public.
2. Perform services only in areas of their competence.
3. Issue public statements only in an objective and truthful manner.
4. Act for each employer or client as faithful agents or trustees.
5. Avoid deceptive acts.
6. Conduct themselves honorably, responsibly, ethically, and lawfully so as to enhance the honor, reputation, and usefulness of the profession.
Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org. 20
NSPE Code of Ethics, Cont’d. II. Rules of Practice 1. Engineers shall hold paramount the safety, health, and
welfare of the public.
a. 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.
b. Engineers shall approve only those engineering documents that are in conformity with applicable standards.
c. 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.
Three more rules Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org. 21
NSPE Code of Ethics, Cont’d. II. Rules of Practice 2. Perform services only in areas of their competence.
a. Engineers shall undertake assignments only when qualified by education or experience in the specific technical fields involved.
b. 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.
c. 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.
Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org. 22
NSPE Code of Ethics, Cont’d.
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II. Rules of Practice
5. Engineers shall not be influenced in their professional duties by conflicting interests.
¨ a. Engineers shall not accept financial or other considerations, including free engineering designs, from material or equipment suppliers for specifying their product.
¨ b. 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.
Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org.
NSPE Code of Ethics, Cont’d. III. Professional Obligations 1. Engineers shall be guided in all their relations by the highest
standards of honesty and integrity. (five examples)
2. Engineers shall at all times strive to serve the public interest (four examples)
3. Engineers shall avoid all conduct or practice that deceives the public (three examples)
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. (two examples) Continued ….
Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org. 24
NSPE Code of Ethics, Cont’d. III. Professional Obligations 5. Engineers shall not be influenced in their professional duties by
conflicting interests. (two examples)
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 (three examples)
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 unethical or illegal practice shall present such information to the proper authority for action. (three examples)
Continued Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org. 25
NSPE Code of Ethics, Cont’d. III. Professional Obligations 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 (two examples)
9. Engineers shall give credit for engineering work to those to whom credit is due, and will recognize the proprietary interests of others (five examples)
Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org. 26
Practice Ethics Exam by NSPE
Twenty five true-false questions to hone your skills
Answers to check ethical sharpness
http://www.nspe.org/Ethics/EthicsResources/EthicsExam/exam_answers.html
http://www.nspe.org/Ethics/EthicsResources/EthicsExam/index.html
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Sample Question from NSPE Code of Ethics Exam
Engineers, in the fulfillment of their professional duties, must carefully consider the safety, health, and welfare of the public.
Poll Question #2
The answer is ? 28
Sample Question from NSPE Code of Ethics Exam Answer is ?
____________________
See NCEES Model Code of Ethics A.1. Licensees,
in the performance of their services for clients, employers, and customers, shall be cognizant that _________________________is to the public welfare.
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Ethics in Laws
States, Territories, and Countries have laws (aka statutes) on ethical behavior for professions Generally, the laws apply to all professions The laws define Boards for specific
professions Boards are empowered to make Rules
governing specific professions, including rules on ethics
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Ethics in Laws Laws provide: Procedures for determining violations of the
law and rules Usually involve Registration Board Formal hearings
Penalties for violations Restrictions or loss of license Fines Other actions
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Model Law and Model Rules http://ncees.org/about-ncees/publications/
Laws and Rules relating to the practice of engineering and surveying Generated by NCEES Based on input from Member Boards Updated at the annual meetings of NCEES
Discussion in this course will make use of the Model Law and Model Rules
State Laws and Rules usually differ from the Model Law and Model Rules
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150.10 Grounds for Disciplinary Action— Licensees and Interns A. The board shall have the power to suspend, revoke,
place on probation, fine, recover costs, and/or reprimand, or to refuse to issue, restore, or renew a license or intern certification to any licensee or intern that is found guilty of:
1. Any fraud or deceit in obtaining or attempting to obtain or renew a certificate of licensure
2. Any negligence, incompetence, or misconduct in the practice of engineering or surveying
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150.10 Grounds for Disciplinary Action— Licensees and Interns
3. Conviction of or entry of a plea of guilty or nolo contendere to any crime that is a felony, whether or not related to the practice of engineering; and conviction of or entry of a plea of guilty or nolo contendere to any crime, whether a felony, misdemeanor, or otherwise, an essential element of which is dishonesty or which is directly related to the practice of engineering
4. Failure to comply with any of the provisions of this Act or any of the rules or regulations of the board
5. Discipline (including voluntary surrender of a professional engineer’s license in order to avoid disciplinary action) by another jurisdiction, foreign country, or the United States government, if at least one of the grounds for discipline is the same or substantially equivalent to those contained in this Act 34
150.10 Grounds for Disciplinary Action— Licensees and Interns
6. Failure to provide information requested by the board as a result of a formal or informal complaint to the board which alleges a violation of this Act
7. Knowingly making false statements or signing false statements, certifications, or affidavits in connection with the practice of engineering or surveying
8. Aiding or assisting another person in violating any provision of this Act or the rules or regulations of the board
Plus six more grounds.
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150.20 Disciplinary Action Procedures— Licensees and Interns A. Any person or entity, including the board or board staff,
may file a complaint alleging a violation of any provision of this Act or any of the rules or regulations of the board against any licensee or against any intern.
B. A complaint shall be in writing and state specifically the facts on which the complaint is based.
C. All complaints shall be reviewed by the board or an investigative committee designated by the board. After review, the board or the investigative committee shall determine or recommend, as appropriate, if charges are warranted.
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150.20 Disciplinary Action Procedures— Licensees and Interns D. All charges, unless dismissed by the board as
unfounded, trivial, or unless settled informally, shall be heard by the board. ….. At any hearing, the accused individual shall have the right to appear in person or by counsel, or both, to cross-examine witnesses in their defense and to produce evidence and witnesses in their defense.
E. If after such hearing a majority of the board votes in favor of sustaining the charges, the board shall reprimand, fine in an amount not to exceed……
Plus four other items. 37
150.30 Disciplinary Action Procedures—Unlicensed Individuals In addition to any other provisions of law, the board shall
have the power to fine and recover costs from any unlicensed individual who is found guilty of: 1. Engaging in the practice or offer to practice of
engineering in this jurisdiction without being licensed in accordance with the provisions of this Act
2. Using or employing the words “engineer,” “engineering,” or any modification or derivative thereof in his or her name or form of business activity except as licensed in this Act
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150.30 Disciplinary Action Procedures—Unlicensed Individuals 3. Engaging in any fraud or deceit in obtaining or
attempting to obtain a certificate of licensure or intern certification
4. Impersonating any professional engineer 5. Presenting or attempting to use the certificate of
licensure or seal of a professional engineer 6. Using or attempting to use an expired, suspended,
revoked, inactive, retired, or non-existent certificate of licensure
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Rules of the Board
Developed by the Board by process established in the statutes
Focus on details of a given profession Use of engineer’s stamp Continuing engineering education Ethical issues in engineering
Procedures for resolving cases
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Summary on Ethics in Statutes and Rules
Similar in most respects to Codes of Ethics
Differ among States and Territories Engineers must be knowledgeable about
statutes and rules in states where they practice
Agree to abide by statutes and rules
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Heads-up on a confusing issue
Laws and Rules can differ significantly from one state to another For example, some states require that the
“engineering firm” be registered or licensed in that state in addition to the engineers working on projects in that state.
Fines and penalties for non compliance are not trivial.
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Recognizing Ethical Problems
We have an ethical problem when we: Have “that feeling in the pit of our
stomach” Start rationalizing about a decision Use the phrases
“everyone does it” “it’s not that important” “that could hurt his/her feelings” ______________????
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Systematic Approach to Ethics How do you solve ethical problems?
Answer: Ethical thinking is an "organized,
reasoned analysis of value-laden problems.”
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Making value-laden decisions 1. Realize that we have a problem 2. Define the problem (Who - stakeholders, What, When,
Where, Why, Evidence) 3. Options available - Possible solutions 4. Weigh the consequences (Pros. vs. Cons.) 5. Compare to others - Code of Ethics 6. Compare to the law 7. Does it feel right? (The Golden Rule. NY Times rule.
What does your gut tell you?) 8. Ask someone else 9. Choose what to do 10. Act on it 11. Learn from experience 45
Board of Ethical Review http://www.nspe.org/resources/ethics/board-ethical-review
The Board of Ethical Review is a panel of engineering ethics experts that serves the profession as a guide through ethical dilemmas. The board consists of seven licensed members who
are appointed by the NSPE president. The purpose of the BER is to render impartial
opinions pertaining to the interpretation of the NSPE Code of Ethics, develop materials, and conduct studies relating to ethics of the engineering profession.
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Board of Ethical Review http://www.nspe.org/sites/default/files/BER%20Case%20No%2013-9-FINAL.pdf
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Case No. 13-9 Confidentiality – Becoming Aware of Technical Information Important to Public Health and Safety Facts: Engineer A performs an investigation of a recent structural failure in connection with services provided to Attorney B for Client C. Engineer A signs a confidentiality agreement by which Engineer A is prohibited from disclosing any of the conclusions reached in connection with the cause of the structural failure without the consent of Client C. Early during the litigation process, Attorney B negotiates a settlement agreement for Client C. As part of the settlement agreement, Attorney B and Client C agree that all investigative reports, including the work performed by Engineer A, will be sealed and remain strictly confidential forever. Engineer A believes that his investigation has identified a significant technical issue that, if communicated more broadly in the technical literature, could prevent future structural failures. Question: What are Engineer A’s obligations under the circumstances?
BER Case 13-9, Step 1 References – NSPE Code of Ethics II. 1. Engineers shall hold paramount the safety, health, and
welfare of the public.
II. 1. a. 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.
III. 2. a. Engineers shall at all times strive to serve the public interest … and work for the advancement of the safety, health, and well-being of their community.
III. 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.
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BER Case 13-9, Step 2 References - Previous BER Cases
76-4 Public Welfare—Knowledge of Information Damaging to Client’s Interest http://www.nspe.org/sites/default/files/BER%20Case%20No%2013-4-FINAL.pdf
07-3 Public Health and Safety – Warranty Inspections http://www.nspe.org/sites/default/files/resources/pdfs/Ethics/EthicsResources/EthicsCaseSearch/2007/BER%2007-3-FINAL.pdf
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BER Case 13-9, Step 3 Discussion (abridged) – Conflicts between fundamental provisions of the NSPE Code of
Ethics for Engineers are common. Among such conflicts include situations involving the public interest and the protection of the public health and safety matched against ethical duties of confidentiality to clients. Both values are vital to engineering ethics and professionalism and need to be maintained in order to protect the integrity of the engineering profession.
The Board also noted that, although the facts of this case do not clearly indicate whether or not the technical issue that was discovered during his investigation was of such urgency or hazard that it compromises Engineer A’s obligation to hold paramount the safety, health, and welfare of the public (Section II.1 of the Code).
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BER Case 13-9, Step 4 Conclusions Engineer A should explain to Attorney B and Client C his ethical
obligations as a professional engineer to work for the advancement of the safety, health, and welfare of the public and explore an alternative path to identifying the technical issue, including developing a paper or article that explains his technical issues without revealing specific and identifiable facts and circumstances that would compromise the settlement agreement involving Client C.
However, if Client C refuses to allow Engineer A to disseminate this information, and Engineer A is convinced that the matter rises to the level of an imminent or urgent threat to public safety, health, or welfare, Engineer A should notify such other authorities as may be appropriate to safeguard the public.
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Ethical Decisions are Tough!
Not always “black” or “white”, but most often shades of “gray”
Personal loyalties/feelings involved No-win situations Job or livelihood at stake Conflicting guidelines _____________????
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Ethical Health Fitness Balance of physical, emotional, social,
intellectual, and spiritual health
Take time to “sharpen the saw” (Covey) through reflection, study, etc.
Discuss issues with other professionals
Consistency of behavior in small things as well as big
“As you are in your play, you are in your work” (Lewis Drnjevich, Vince’s grandfather)
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Summary Ethical behavior benefits everyone Ethical behavior may be:
Unwritten agreements Codes established by professional societies Statutes and Rules
Codes of Ethics are essential for professionals Professional/technical societies and professional
licensing laws and rules determine the ethical practice of engineering
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Summary, Cont’d.
Engineers need to be aware of agency and company policies concerning gifts
Use a systematic approach for resolving value-laden problems
Board of Ethical Review gives examples of many ethic problems
Stay Ethically fit
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CHALLENGE QUESTION:
Which part of the standard format for Codes of Ethics is the answer to this session’s Challenge Question?
A. Preamble B. Fundamental Canons C. Rules of Practice D. Professional Obligations
Please circle the answer that is announced so that you can use the information to complete your quiz (NY) for PDH.