es 4498g lecture 5 - 2010

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ES 4498G

Engineering Ethics,

Sustainable Development andthe Law

February 1, 2010

TheThe UniversityUniversity of of WesternWestern

OntarioOntario

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Last Class

TheThe UniversityUniversity of of Western OntarioWestern Ontario

• Professional and ethical issues for engineers in

management

• Introduction to the issues• Adherence to the Act

• Hiring and dismissal

• e!ie"ing "or# and e!aluating com$etence

• %iscrimination in engineering em$loyment• &anaging intellectual $ro$erty

• %iscussion of case studies

• Andre"s Cha$ter 1'

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%iscussion (uestion '


• )ho o"ns and uses $iratedsoft"are or music*

• If so, "ould you do so in a businessen!ironment*

• )hat are the ethical issues

in!ol!ed*

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+odays Class


• -thical issues for engineers in $ri!ate

$ractice and consulting $ositions

• Introduction to issues

• Case studies . Andre"s Cha$ter 1/

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-ngineers in Pri!ate Practice and Consulting


• ffering engineering ser!ices directly to the$ublic

• +y$ically ta#es the role of ad!isor to a client• Consulting acti!ities

• -ngineering ad!ice

• -$ert testimony

• Feasibility studies

• %etailed or s$eciali3ed designs

• Pro4ect management

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-ngineers in Pri!ate Practice and Consulting


• Certificate of uthori!ation re5uired in ntario• 6 years $ost7graduate e$erience

• Liability insurance, or notification to e!ery client

• Can be held by a com$any, but an engineer must be designatedas the P8 -ng8 "ho assumes res$onsibility for, and su$er!ises,the firm9s $rofessional engineering ser!ices8

• In ntario, title Consulting Engineer re5uires•

Certificate of Authori3ation• 6 years $ost7licensure e$erience :in addition to / years $re7licensure;

•

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+he Client7Consultant elationshi$


• ften a three7"ay relationshi$ in!ol!ingsu$er!ision of a $ro4ect on the o"ners

behalf • Client :o"ner; . Contractor :designer>builder; . Consultant :engineer;

• ?$ectrum of relationshi$s :%8@ ohnson;

• Inde$endent &odel• Balanced &odel

• Agent &odel

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Ad!ertising


• egulations made under the Act

• Professional and dignified

• Factual and does not eaggerate

• %oes not directly or indirectly critici3e another

engineer or em$loyer

• &ust not use seal in ad!ertising

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Ad!ertising


• P- @uideline to Professional Practice Ad!ertising may be considered ina$$ro$riate if it• claims a greater degree or etent of res$onsibility for a s$ecified

$ro4ect or $ro4ects than is the fact• fails to gi!e a$$ro$riate indications of coo$eration by associated

firm or indi!iduals in!ol!ed in s$ecified $ro4ects• im$lies, by "ord or $icture, engineering res$onsibility for

$ro$rietary $roduct or e5ui$ment design• denigrates or belittles another $rofessionals $ro4ects, firms or

indi!iduals• eaggerates claims as to the $erformance of the $ro4ect or • illustrates $ortions of the $ro4ect for "hich the ad!ertiser has no

res$onsibility, "ithout a$$ro$riate disclaimer, thus im$lying greaterres$onsibility than is factual8

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Com$etence


• Com$etence is gained through education ande$erience . it is the asset that clients are $aying for

• %isci$linary action may occur for $racticing outside yourcom$etence

• Can ta#e on $ro4ects outside your com$etence,$ro!ided . Can become com$etent through study or research "ithin a

reasonable $eriod of time :does not delay $ro4ect; . Can hire an e$erienced consultant "ithout delaying the $ro4ect

• Dno", maintain and e$and your com$etence

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Ese of the -ngineers ?eal


• Issued to e!ery member u$on

licensure

• An in#ed, rubber stam$

•

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elying on )or# of thers


• ften must rely on "or# $re$ared by others,es$ecially in larger $ro4ects

• &ust a$$ly due diligence . ecessity . A$$licability

. Credibility

. (uality of documentation

. Corroboration

. Limitations

. Age

. Integrity

• By sealing a document that includes informationfrom others, you assume $rofessionalres$onsibility for it

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Chec#ing %ocuments


• ?im$le chec#ing !s8 a$$ro!ing

• If you "ill be sealing the "or#, you mustchec# details carefully

• ?ealing documents $re$ared byunlicensed $eo$le may be seen as

!iolating the Act

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Pre$aration and A$$ro!al


• If one engineer $re$ares and anothera$$ro!es, include both stam$s

• If not $ossible, a$$ro!ing engineer shouldseal

• If dra"ings co!er multi$le disci$lines, onea$$ro!ing seal and 5ualified seals fromeach of the design engineers

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?ealing of %ocuments


• Preliminary documents, dra"ings, etc8should not be sealed . should be mar#ed

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• -ngineer res$onsible for $ro4ect as a"hole and should seal ma4or re$orts,

s$ecifications and dra"ings• Indi!idual dra"ings in bound re$orts need

not be sealed, $ro!ided re$ort is sealed

• &ust control seal and dra"ings bearing it . seal $rints "hen released forfabrication>construction, #ee$ masterdocuments unsealed

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•

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• P- $olicy on matters related to electronicdocuments is $ro!ided in the @uideline for the

Ese of a Professional -ngineers ?eal8 ?ee the

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Confidentiality


• Cannot disclose confidential informationof client "ithout $ermission

• &ay ha!e to refuse "or# "here a conflictof interest may arise failure to do thismay !iolate confidentiality agreement andCode of -thics

• In en!ironmental $ro4ects, may ha!e to

!iolate confidentiality to $rotect $ublic .P- guideline recommends inclusion of aclause in confidentiality agreementco!ering this situation

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Conflict of Interest


• &ore common for engineers in $ri!ate$ractice

• Can be related to confidentiality, financialinterests or as sim$le as reduced"or#load

• Actual . Potential 7 Percei!ed

• &ust ma#e full disclosure to client or ris#com$laint of $rofessional misconduct

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e!ie"ing )or#


• &ay be a sensiti!e situation• P- @uideline recommends notification

of the original engineer, e!en "henrelationshi$ "ith client has beenterminated

• Changes should be discussed "ithoriginal engineer, acce$tance of mutually7

agreed u$on changes does not relie!e theoriginal design engineer of res$onsibility

• Client may re5uest submission ofcalculations . amounts to a re!ie"

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Bidding for -ngineering ?er!ices


• (uality7Based ?election :(B?; recommended . ?e$arates the $rocess of selecting the best75ualified

engineer>firm from the $rocess of fee negotiation

. -ndorsed by FI%IC and AC-C

• Com$etiti!e bidding not illegal or unethical, butmay result in lo"er !alue for the client

• ecommended P- $ublications

– Adding Value to Engineering Projects through Qualification-Based Selection

– Guideline for the Selection of a Professional Engineer

– Schedule of Fees For Engineering Services

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+he 5ualification7based selection system $ro!ides the best!alue7for7money in $rofessional engineering ser!ices8 Itin!ol!es the selection of an engineering consultant using the

follo"ing 5ualitati!e criteria . technical com$etence

. e$erience on similar $ro4ects

. $ro!en $erformance

. a!ailability of dedicated $ersonnel for the duration of the $ro4ect

. ability to $erform "ithin time constraints . location and>or local #no"ledge, "here this is of im$ortance to

the $ro4ect

. $rofessional inde$endence and integrity

. managerial ability8From P- @uideline for the ?election of a Professional -ngineer

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• Dic#bac#s, o$en or secretcommissions or considerations etc8are unethical :and li#ely illegal;

• ?u$$lanting . inter!ening in theclient7engineer relationshi$ of a

colleague and con!incing the clientto fire the original engineer and hirethe intruding engineer8

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egligence and Liability


• +"o main sources of liability breach of contract andnegligence

• Protection may be obtained through incor$oration :for

breach of contract; and liability insurance :for negligence;

• ot $ossible to a!oid disci$linary action for negligence,incom$etence or $rofessional misconduct

• “By incorporating their practice, indiidual engineers can protect personal assets against an action for da!ages for "reach of

contract# After incorporation, it is the co!pany that is thecontracting party and not the indiidual# As for protection fro!lia"ility for negligence, there is nothing aaila"le to engineersother than careful, thorough engineering and insurance#$

:P- @uideline to Professional Practice;

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Consulting Codes of -thics


• Association of Consulting -ngineersof Canada :AC-C; and theInternational Federation ofConsulting -ngineers :FI%IC;

• ?imilar considerations to P- Code

• Focus on duty to clients and otherconsultants

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Position Pa$er


Due "ebruar# 8 b# 4pm

•$ardcop# to Loc%er &'4( outside )*99• Electronicall# to turnitin+com through

ebC-

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Case ?tudies


OntarioOntario

• -thical Problems in Pri!ate Practice

. 1/81 . Conflict of Interest

. 1/82 . Consulting

. 1/8' . Contingency Fee Arrangements

. 1/8/ . Adherence to Plans

. 1/86 . Fee eduction for ?imilar )or#

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-thical Problems in Pri!ate Practice


OntarioOntario

-ngineering %esign a$$roach to ethical cases18 ecogni3e the eed or Problem

28 @ather Information and %efine the Problem

'8 @enerate Alternati!e ?olutions :?ynthesis;/8 -!aluate Alternati!es :Analysis;

68 %ecision &a#ing and $timi3ation

G8 Im$lementation

Also, consider if the $roblem is an issue $ertinent to

the Code of -thics :and if so, "hich $art; and"hether engineers must acce$t greaterres$onsibility than others

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Case 1/81 . Conflict of Interest


• In !oting to a$$ro!e this $ro4ect, has Bec# actedunethically*

• Comments on suggested solution . ?hould engineers be $oliticians*

. %oes it matter that

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Case 1/82 . Consulting


• %iscuss -$silons actions, as "ell as those of ABC and J8

. )or#$lace safety

. %esign safety

. A$$ro$riateness of $ayments

. %ismissal

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Case 1/8' . Contingency Fees


• )ould it be ethical to offer your ser!ices on acontingency basis to either of these clients, "iththe understanding that you "ould be $aid a

$ercentage of the legal settlement :Client A; or a$ercentage of the !alue of the energy sa!ings:Client B;*

• Comments on the recommended solution . Ho" do these t"o cases differ*

. Is there guidance in the Code or the definition of$rofessional misconduct*

. )hat ty$e of fee structure is a$$ro$riate for engineers*

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Case 1/8/ . Adherence to Plans


• )hat should the engineer do*

• Comments on recommended solution . Is the choice of ho" to $roceed clear*

. Ho" can you sto$ the contractor*

. ?hould you charge for the additional "or# of re!ie"ingthe changes*

. Ho" could the situation be a!oided*

. )hat are the issues relating to control of the originaldra"ings*

. e!ie" the case history $resented in Cha$ter K

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Case 1/86 . Fee eduction for ?imilar )or#


• )ould it be ethical for ohnson to reduce herfees as suggested* )ould it be good business$ractice*

• Comments on recommended solution . %oes ohnson ha!e a duty to the $rofession to charge

reasonable fees*

. )hat if the clients refused to $ay*

. )here should the line be dra"n bet"een goodbusiness and good ethics*

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Case 8G . Alleged Collusion in Fee ?etting


OntarioOntario

• Is it unethical for the three consulting firms to

agree on the fee reduction to be allo"ed for the

assistance*• Comments on recommended solution

. %o you thin# the cor$oration misunderstood the

guidelines for the selection $rocedure*

. Are there ad!antages to com$etiti!e bidding*

. )hat do you thin# the best "ay to hire an engineer

"ould be*

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%iscussion (uestion


• &anufacturing com$any establishingne" $lant in de!elo$ing country

• &anufacturing line $rohibited inCanada because it creates toic "aste

• La"s in de!elo$ing country do not

$rohibit the line• )hat are the ethical issues in!ol!ed*

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et Class


.n'Class -ES-

+hen Conference )ee#, then

-opics . Introduction to la" for engineers

. +he Canadian legal system, business organi3ations,tort liability

/eadings . &arston, Cha$ters 1, 2, /

. Andre"s, Cha$ter 6

es 4498g lecture 5 - 2010

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