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Engineering Ethics American Concrete Pipe Association Steve Hiner, P.E. – Rinker Materials February 25, 2016
Engineering Ethics
American Concrete Pipe Association Steve Hiner, P.E. – Rinker Materials
February 25, 2016
“Safety”
No Job Is To Important
Not To Be Done Safely
Safety Is No Accident
Safety Is A Team Effort
Be Smart-Think Safe The Safe Way Is The Right Way
The Safe Way Is The Best Way Work Place Safety – It’s No Accident
RCP – Pretty Strong Stuff
Flight From Houston to Las Vegas (9/20/12)
Agenda
• Understanding Ethics And How It Applies
To Engineering
• State P.E. Ethics Requirements
• Rules & Regulations Regarding Ethics
• Case Studies & Sanctions
www.pdhengineer.com
State PDH Requirements
• 9 States Do Not Require PDH Credits
• AZ, CA, CO, CT, HI, MA, RI, VT, WA +
DC
State Ethics Requirements
• 12 States Require An Ethics PDH Credit
• LA, MS, NM, NY, TX, WI, MD, DE, NJ,
MN, FL, IN
• DE: 3-6 PDH’s in Ethics every 2 years
• NM: 4 PDH’s in Ethics every 2 years
• AK, TN, KY, AL, NH, … Courses to be
technical, ethical or managerial in nature
PDH/CEU
• What is a PDH (Professional Development Hour)?
• 1 hour of instruction (50 minutes minimum
w/breaks)
• What is a CEU (Continuing Education Unit)?
• 10 hours of instruction
• According to Slang.org
• PDH = Pretty Darn Hot
What Counts As A PDH?
• It varies but….
• 1 college semester hour: 15
• 1 college quarter hour: 10
• 1 hour of preparation work: 1
• Self study: 5 max.
• Educational Outreach Activities: 3 max.
• For each patent issued: 15
• Serving as an elected or appointed official
Engineers & Public Opinion
Honesty & Ethics
Gallup Polls
• 1983 & 1991 only 45% rated Engineers
Very High/High
Engineers & Public Opinion
Honesty & Ethics Gallup Poll 2012
%Very High/High
• Nurses 85%
• Pharmacists 75%
• Doctors 70%
• Engineers 70%
• Bottom of the list: Lawyers 19%, HMO
Managers 12%, Members of Congress 10%,
Car Sales 8%
Ethics - Business
• The study of proper business policies and
practices regarding potentially controversial
issues, such as corporate governance,
insider trading, bribery, discrimination,
corporate social responsibility and fiduciary
responsibilities. Business ethics are often
guided by law, while other times provide a
basic framework that businesses may
choose to follow in order to gain public
acceptance.
Ethics - Legal
• A code of ethics is a set of principles of
conduct within an organization that guide
decision making and behavior. The purpose
of the code is to provide members and other
interested persons with guidelines for
making ethical choices in the conduct of
their work
Ethics - Engineering
• The study of moral issues and decisions
confronting individuals and organizations
involved in engineering and the study of
related questions about moral conduct,
character, ideals and relationships of people
and organizations involved in technological
development
Ethics & Engineering Education
• For Engineering Schools to maintain their
accreditation, engineering graduates must
demonstrate “ethical awareness”
• Varied approaches:
– Mandatory ethics classes
– Electives
– Include ethics discussions in standard courses
Ethics & Engineering Education
• Ethics concept receives broad degrees of
acceptance.
• Some think ethics courses are not entirely
appropriate to a technical degree.
• Some say: “I thought I was studying
technology and not the people issues.”
Ethics & Engineering Education
• Texas A&M (mandatory course)
• University of Virginia (mandatory course)
• Texas Tech (mandatory course)
• University of California – Berkeley
(mandatory course)
• Oregon State University (mandatory course)
– Masters Degree in Applied Ethics
Oregon State Univ.
• CBEE 320. PROFESSIONALISM AND
ENGINEERING ETHICS (3).
• Introduction to engineering ethics. Topics
include ethical theory, professional
engineering responsibility, codes of ethics,
ethical assessment, conflicts of interest, risk
and safety, loyalty and dissent, as well as
overarching professional concerns.
Ethics & Engineering Education
• Virginia Military Institute (VMI)
• Virginia Polytechnic Institute (VPI)
• University of Texas
• Wichita State
• Ohio State University
• University of South Carolina
• University of San Diego
• Purdue
Texas A&M
At Texas A&M University, evidence of this interest in
professional ethics culminated in the creation of a new course
in engineering ethics, as well as a National Science Foundation
project to develop material for introducing ethical issues into
required undergraduate engineering courses.
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Engineering Academic Honesty
College’s statement
Academic Honesty: The College of Engineering takes academic honesty and ethical behavior very seriously. Engineers are entrusted with the safety, health and well being of the public. Students found guilty of academic dishonesty will be punished to the full extent permitted by the rules and regulations of U. T. Arlington.
This is from the COE section of the Undergraduate Catalog. For a more detailed description of each violation reference the Student Code of Conduct Section 2-202 F
Virginia Military Institute
Code of Ethics
• Statement of Ethical Values
– Members of the VMI community are
committed to the highest ethical standards in
furtherance of our mission. Our policies and
procedures provide guidance for application of
the ethical values stated below in our daily life
and work as members of this community
(General Order Number 46 – 9/20/13)
Virginia Military Institute
Code of Ethics • Committed to:
– Honor
– Integrity
– Accountability
– Respect
Ethics: You Be The Judge
Obligation of Engineering Faculty (P.E.) Who
Becomes Aware of Cheating
• Prof. A (P.E.) is told by one of his student’s
that during an exam in Prof. B’s (P.E.)
class, he witnessed a student using a phone
to photograph a test question. The student
reported this to Prof. B. Prof. B spoke to the
student but no action appeared to be taken.
• What is Prof. A’s ethical obligation?
Ethics: You Be The Judge
Obligation of Engineering Faculty Who
Becomes Aware of Cheating
• Pro. A has an ethical obligation to approach
Prof. B to verify the allegations whether
appropriate actions were taken. If not,
follow the University’s due process
regarding such matters.
That Being Said, This Has
Nothing To Do With Ethics
• Texas Tech – Red Raiders
• UT – Longhorns
– Arlington
• Mavericks
– Brownsville
• Ocelots
– El Paso
• Miners
That Being Said, This Has
Nothing To Do With Ethics
– Rio Grande Valley
• Vaqueros
– San Antonio
• Roadrunners
– Tyler
• Patriots
That Being Said, This Has
Nothing To Do With Ethics
• Wichita State
– Shockers
• UVA
– Cavaliers
• Purdue
– Boilermakers
• University of San Diego
– Tritons
• What would happen if USC played OSU?
National Society of Professional
Engineers (NSPE)
National Society of Professional
Engineers (NSPE) • 1946 – Released Canons of Ethics for
Engineers & Rules of Professional Conduct
• Code of Ethics Adopted 1964
• Also have:
• Engineering Ethics (Definition)
• Engineer’s Creed
• Board of Ethical Review (BER)
Board of Ethical Review (BER)
• Created 1954
• Consists of 7 Licensed Members
• Appointed by NSPE President
Ethics - Engineering
Engineering ethics is (1) the study of moral issues
and decisions confronting individuals and
organizations involved in engineering and (2) the
study of related questions about moral conduct,
character, ideals and relationships of peoples and
organizations involved in technological development (Martin & Schinzinger (Ethics in Engineering)
NSPE Code of Ethics
for Engineers
• Preamble
• Fundamental Canons
• Rules of Practice
• Professional Obligations
NSPE Code of Ethics - Preamble
• Engineering is an important and learned 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.
NSPE Code of Ethics
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 honorable, responsibly, ethically, and lawfully so
as to enhance the honor, reputation, and usefulness of the profession.
NSPE Code of Ethics
Rules of Practice
• Expansion of the first 4 Fundamental
Canons
Do You Understand NSPE
Engineering Ethics?
• If Engineers’ judgment is overruled under
circumstances that endanger life or property,
they shall notify their employers or clients and
such other authority as may be appropriate.
• True
• II.1.a
Do You Understand NSPE
Engineering Ethics?
• Engineers may not be required to follow the
provisions of state or federal law when such
actions could endanger or compromise their
employer or their client’s interests.
• False
• I.6 Engineers shall conduct themselves
honorably, responsibly, ethically, and
lawfully.
American Society of Civil Engineers
ASCE - Code of Ethics
• Fundamental Principles
– Engineers uphold and advance the integrity, honor
and dignity of the engineering profession by:
• Using their knowledge and skill to the enhancement of
human welfare and the environment
• Being honest and impartial and serving with fidelity the
public, their employers and clients
• Striving to increase the competence and prestige of the
engineering profession.
• Supporting the professional and technical societies of
their diciplines
ASCE - Code of Ethics
• Fundamental Canons
– Safety, health and welfare. Sustainable
development
– Areas of competence
– Statements shall be objective & truthful
– Act as faithful agents & avoid conflicts of interest
ASCE - Code of Ethics
• Fundamental Canons
– Reputation built on merit of services and shall not
compete unfairly
– Uphold & enhance the honor, integrity & dignity of
the profession. Zero tolerance for bribery, fraud &
corruption
– Continue professional development and provide
opportunities for development of those under their
supervision
THE STATE OF TEXAS
TEXAS ENGINEERING PRACTICE ACT
AND RULES CONCERNING
THE PRACTICE OF ENGINEERING
AND
PROFESSIONAL ENGINEERING LICENSURE
TEXAS BOARD OF PROFESSIONAL ENGINEERS
1917 IH 35 SOUTH
AUSTIN, TX 78741-3702
Email: [email protected]
Website: http://www.tbpe.state.tx.us
Rules effective June 13, 2013
Annoted Code of Maryland
Business Occupations and Professions
Title 14 Professional Engineers
Title 9 Department of Labor, Licensing, and
Regulation
Subtitle 23 Board for Professional Engineers
Department of
Labor, Licensing and Regulation
Title 46
Professional & Occupational Standards
Part LXI Professional Engineers & Land Surveyors
Title 37
Professions & Occupations
Chapter 8 Professional Engineering & Professional
Land Surveying
LAPELS Board Ethics Test
• If a client asks you to complete another
Licensee’s work, it is acceptable to:
1. Cut & paste the necessary information onto a new
document, sign & seal it, and issue it to your client.
2. Require the client to pay you in full prior to
completing the work.
3. Notify the other licensee in writing immediately
upon agreeing to complete the work.
4. Warn other licensees to avoid doing work for that
client
TBPE Ethics Test (25 Questions)
• Direct Supervision & Sealing of
Engineering Work
• Licensure
• Competitive Bidding, Political
Contributions, & Marketing
• Practice in Accordance with Accepted
Engineering Practices & Standards
TBPE Ethics Test
• Conflict of Interest
• Practicing Without a License
• Moral Courage
Ethical Behavior/Professionalism
• Most TBPE enforcement is related to ethics
rather than technical incompetence
LAPELS Seal & Signature
Signature and date place adjacent to or across the seal
• Title block, certification, seal, and signature
shall appear close together
• Professional Certification: “I hereby certify
that these documents were prepared or
approved by me and that I am a duly
licensed professional engineer under the
laws of the State of Maryland, License No.,
Expiration Date:”
One Texas P.E.:
• The seal appearing on this document was
authorized by (name & P.E. No.) on (date).
Alteration of a sealed document without
proper notification to the responsible
engineer is an offense under the Texas
Engineering Practice Act. (Lists office &
cell numbers & e-mail address)
THE STATE OF TEXAS
TEXAS ENGINEERING PRACTICE ACT
AND RULES CONCERNING
THE PRACTICE OF ENGINEERING
AND
PROFESSIONAL ENGINEERING LICENSURE
TEXAS BOARD OF PROFESSIONAL ENGINEERS
1917 IH 35 SOUTH
AUSTIN, TX 78741-3702
Email: [email protected]
Website: http://www.tbpe.state.tx.us
Rules effective June 13, 2013
Subchapter C:
Professional Conduct & Ethics
• 137.55 Engineers Shall Protect the Public
• 137.57 Engineers Shall be Objective and Truthful
• 137.59 Engineers Actions Shall be Competent
• 137.61 Engineers Shall Maintain Confidentiality
of Clients
• 137.61 Engineers Responsibility to the Profession
What If You Work In Another State?
• 137.65 Action In Another Jurisdiction
– (a) The engineer shall not practice or offer to
practice engineering in any other jurisdiction in
violation of the laws regulating the practice of
professional engineering in that jurisdiction. A
finding by such jurisdiction of illegal practice
or offer to practice is misconduct and will
subject the engineer to disciplinary action in
Texas.
Enforcement Sanctions
• Reprimands (Formal and Informal)
• Suspension (Possible Probation)
• Refuse to Renew
• Revocation
• $5,000 per Violation per Day
• Cease and Desist Orders
• Emergency Suspension
TBPE
Classifications/Violations
• Administrative (4)
– Failure to respond to board communications
– Failure to report change of address or
employment or any criminal convictions
• Engineering Misconduct (5)
– Gross negligence
– Incompetence: includes performing work
outside area of expertise
– Felony conviction with incarceration
TBPE
Classifications/Violations
• Licensing (3)
– Fraud or deceit in obtaining a license
– Retaliation against a reference
• Improper Use of Seal (10)
– Failure to safeguard seal and/or electronic
signature
– Alter work of another
– Sealing work endangering the public
– Improper use of standards
TBPE
Classifications/Violations
• Ethics (24)
– Conflict of interest
– Failure to act as faithful agent to their
employers or clients
– Reveal confidence and private information
– Retaliation against a complaint
TBPE
Classifications/Violations
• Ethics (24)
– Failure to report violation of others
– Failure to prevent violation of laws, codes, or
ordinances
– Failure to engage in professional and business
activities in an honest and ethical manner
– Action in another jurisdiction
TBPE
Classifications/Violations
• Ethics (24)
– Attempt to injure the reputation of another
– Reveal confidences and private information
– Accept compensation from more than one party
for services on the same project
TBPE Disciplinary Actions
• From: A formal reprimand
• To: $3,000 for cost of the investigation and
prosecution of the case. Not to apply for
licensure in TX for 5 years and a $50,000
administrative penalty if the Eng. is found
to have violated rules of standards involving
health, welfare or safety of the public in any
state for 10 years
TBPE Sanctions
• Criminal records check revealed two
misdemeanor and one felony conviction
– His license was revoked
• Certified he completed 15 pdh credits. Selected
for a random audit and could only verify 2.5
hours
– 2 years probated suspension & $4,000 penalty
TBPE Sanctions
• Practiced engineering with an expired
license.
– 2 year probated suspension contingent on
payment of $4,420 penalty and completion of
Ethics course.
• Unlicensed individual used seal of another
P.E. & his company was not registered
w/Board.
– Cease & Desist Order plus $3,720 penalty.
TBPE Sanctions
• Engineer could not produce evidence of
submitted CE credits. Did not respond to
numerous TBPE request, failed to appear at
hearing.
– License was revoked
• Engineer used his employers equipment for
his own business
– One year probated suspension, $3,250 penalty
& completion of an ethics course
MD Disciplinary Actions
• MD license placed on probation for
duration of Kansas probation
• $3,000 fine for misrepresentation and using
the license of another
• $3,000 fine for using title of P.E. while
license was suspended
MD Board Rulings
• Engineers license expired but he did not
need a license to perform his duties for the
municipality. He continued to use P.E. in
his title
• Board Ruling?
• $3,000 fine
MD Board Ruling
• Engineer was never licensed by the State.
Used title of “Professional Engineer” in
communications and to obtain employment.
• Board ruling?
• $3,000 fine
• He also agreed to remove all reference to
P.E. & resign his position so no legal action
was taken
Ethics: You Be The Judge
(Who Gets The Prize?)
• Engineer works for a firm that pays his
expenses for a trade show. He wins a door
prize worth $5,000.
• Is it ethical to keep the door prize or should
he remit the prize to his employer?
Ethics: You Be The Judge
(Who Gets The Prize?)
• Engineer has ethical obligation to report the
prize. Ultimate decision is between the
engineer& employer.
Ethics: You Be The Judge
(Engineering Judgment Overruled)
• Eng. A works for the DOT and is a project
manager on Contr. Q’s job. Contr. Q submits
change order for work already done. Eng. A
feels this was due to faulty workmanship. He
will not sign the change order. Contr. Q
contacts Eng. A’s supervisor. He directs Eng.
A to sign off on the change order.
Ethics: You Be The Judge
(Engineering Judgment Overruled)
• Would it be ethical for Eng. A to sign off on
the change order?
• No, it would be unethical. If pressured, Eng.
A would have an obligation to bring this to
the attention of appropriate authorities in the
State or as appropriate.
Ethics: You Be The Judge
(Confidentiality – Client Subpoena)
• Eng. A works for Client X. All work is
completed. Several months later, Eng. A is
contacted and subpoenaed by a Grand Jury
regarding criminal investigation into Client X.
Eng. A complies with the Grand Jury but is
never called to testify and receives no further
information from the Grand Jury.
Ethics: You Be The Judge
(Confidentiality – Client Subpoena)
• Does Eng. A have an ethical obligation to
inform Client X regarding his submission of
documents filed with the Grand Jury?
• No. This is a criminal matter, advising Client
X could compromise the investigation and
expose Eng. A to prosecution. Eng. A should
consulate legal counsel.
Ethics: You Be The Judge
(Seal At No Extra Charge?)
• Eng. provides pre-engineered manufactured
systems. In promotional literature he puts the
following statement: “Professionally
Engineered/PE-stamped design at no extra
charge”
Ethics: You Be The Judge
(Seal At No Extra Charge?)
• Is it ethical to include that statement in the
company’s advertisement?
• Yes, provided his action’s are consistent with
applicable state professional engineering
laws.
Ethics You Be The Judge
(Employment Verification)
• Eng. A leaves ABC Engineering after 12
years. At his new job he seeks licensure in
another state and asks ABC Engineering for
a reference and employment verification.
Ethics You Be The Judge
(Employment Verification)
• ABC Engineering refuses based on:
– 2 week notice not given even though
termination letter said he would.
– Only notice given was 10 minutes prior to
leaving on his last day.
– Said he would follow up on several items and
did not.
– Should have courtesy to call and make the
request for a recommendation
Ethics You Be The Judge
(Employment Verification)
• Were the actions of Eng. A and ABC
Engineering ethical?
• Unethical of Eng. A
• Unethical for ABC Engineering to not
provide the requested information
Ethics You Be The Judge
(Ethical Obligations of the Military • Eng. A is a P.E. in private practice who is
mobilized as a reserve officer. Duties will
be as a design eng. and is expected to use
his civilian P.E. skills. Eng. A is subject to
the Uniform Code of Military Justice which
exempts him from civil liability. Eng. A
feels his professional and ethical obligations
still apply.
Ethics You Be The Judge
(Ethical Obligations of the Military • Does Eng. A still have ethical obligations
under the NSPE Code of Ethics as a
member of the U.S. Military?
• As a practical matter, UCMJ controls
Ethics You Be The Judge
(Gifts & Marketing)
• Eng. firm has Continuing Education Dept.
whose main purpose is in-house training. As
a service to the Eng. Community, the Ethics
Course is offered to those outside of the
firm. The purpose is not business
development but it could result in a business
contact. No follow-up calls are made. $25
fee charged to cover costs. Not intended to
make a profit.
Ethics You Be The Judge
(Gifts & Marketing)
• Is it ethical to offer this course as set forth
above?
• Is it ethical to offer the course w/o charging
the fee?
• Board ruled yes on both counts
NSPE Ethics Review Board
• Started reviewing ethics cases in 1958
• Were the issues the same back then?
NSPE Ethics Case No. 58-1
• Basic plans for foreign hydroelectric plant
were prepared by agency of U.S. govt.
• Foreign govt. invited engineering firms to
submit proposals to finish the design.
• At or about the time negotiations with
foreign govt. were concluded, the govt.
engineers resigned and entered into a
contract w/foreign govt.
Ethics You Be The Judge
• Ethical implications?
• The men have violated the spirit of the
Canons and Rules but the evidence does not
prove them to be in violation of specific
paragraph as now worded.
