Smith and Wells, Professional Ethics
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TWCA 2016 Mid-Year Conference
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Smith and Wells, Professional Ethics
- 2. ‘Tireless advocates for ethics in engineering’ Bob Nichols 1926 - 2015 Jim Nichols 1923 - 2016
- 3. WHAT IS ETHICS? Moral set of principles or values Governing principles Guiding philosophy Personal code of conduct Definitions on p. 1-2
- 4. ETHICS CODES ARE DYNAMIC Reevaluated when ethical dilemmas arise Must be applicable Change over the years: EarlyYears • Advertising • Competitive bidding • Self promotion Today • Signing and sealing work • Whistleblowing • Conflict of interests
- 5. RESOURCES For Advice: Arthur Schwartz, Legal Counsel National Society of Professional Engineers aschwatrz@nspe.org National Society of Professional Engineers TexasTech Murdough Center for Engineering Professionalism
- 6. LIKELY CAUSES OF UNETHICAL BEHAVIOR LEADING FACTORS: 1. business objectives and deadlines 2. desires to further one’s career 3. protect one’s livelihood By Arthur Schwartz http://cenews.com/article/4484/likely-causes-of-corporate-unethical-behavior
- 7. NSPE CODE OF ETHICS page 5
- 8. FUNDAMENTAL CANNON 1 Health Safety Welfare
- 9. FUNDAMENTAL CANNON 2 Competent service
- 10. FUNDAMENTAL CANNON 3 Factual in public statements
- 11. FUNDAMENTAL CANNON 4 Act as a faithful agent
- 13. FUNDAMENTAL CANNON 6 Enhance reputation of profession
- 14. HOUSE BILL 23 - RECENT CHANGES Disclosure required when working with local government officials Now includes Water Districts & River Authorities Must disclose any benefit (gift) in excess of $100 (meals and beverages not included)
- 15. HOUSE BILL 1295 A governmental entity or state agency may not enter into certain contracts with a business entity without a disclosure. Paperwork – paperwork – paperwork
- 16. PRACTICE CASE Ralph works for Early & Under firm. Ralph is working on a project for a private company, Company X. The fees on the project have exceeded the budget. Ralph’s supervisor at Early & Under, tells him to charge his future time on the project for Company X to the budget of CompanyY, which is well under budget. The services for Company X and CompanyY are not related, however neither Company X nor CompanyY are a governmental agency, so the budgets involved do not relate to any public funds. The additional charges will not cause Early & Under to exceed its budget with CompanyY. BER Case No. 14-6 (abbreviated)
- 17. PRACTICE CASE QUESTIONS: 1.Would it be ethical for Ralph to charge his time for Company X to the budget of CompanyY? 2. Was it ethical for Ralph’s supervisor to direct Ralph to charge his time for Company X to the budget of CompanyY? BER Case No. 14-6 (abbreviated)
- 18. PRACTICE CASE CONCLUSION: It would be UNETHICAL for Ralph to charge his time for Company X to the budget of CompanyY. It was UNETHICAL for Ralph’s supervisor to direct Ralph to charge his time for Company X to the budget of CompanyY. BER Case No. 14-6 (abbreviated)
- 20. CASE NO. 14-7 PAGE 7 Read facts: ANSWER QUESTIONS A’s Ethical Obligations B’s Ethical Obligations
- 21. CASE NO. 14-7 PAGE 18 Board of Ethical Review: A acted Ethically Recuse if Conflict of Interest B’s Ethical Obligation Develop Policy Guidance
- 22. CASE NO. 14-12 PAGE 11 Read facts: ANSWER QUESTIONS Was A Ethical? Was C Unethical to file complaint?
- 23. CASE NO. 14-12 PAGE 33 Board of Ethical Review: Not unethical for A Should have advised C Not unethical for C Should have included that advise was helpful
- 24. CASE NO. 14-5 PAGE 8 READ FACTS: ANSWER QUESTIONS Was It EthicalTo Make Changes
- 25. CASE NO. 14-5 PAGE 21 Board of Ethical Review: Unethical for B to make changes Professional Respect
- 26. PAGE 9 READ FACTS: ANSWER QUESTION What are A’s ethical obligations? BER CASE 14-8
- 27. CASE NO. 14-8 PAGE 25 Board of Ethical Review: Ongoing duty to honor obligations former employer and private client
- 28. CASE NO. 14-10 PAGE 10 READ FACTS: ANSWER QUESTIONS Ethical to call firm “PXL Engineering of State Z”? Ethical to use similar “statements of Firm Principles” on website?
- 29. CASE NO. 14-10 PAGE 30 Board of Ethical Review: Unethical to call firm “PXL Engineering of State Z” Unethical. Legal issues may arise!
Hinweis der Redaktion
- Distinguished 67-year career as an environmental engineer and executive at Freese and Nichols President, National Society of Professional Engineers President, Texas Water Pollution Control Federation (now WEAT) As President, oversaw substantial changes to NSPE Code of Ethics Chairman, NSPE Board for Ethical Review President, National Institute for Engineering Ethics ASCE Professional Practice Ethics and Leadership Award, 2008
- Concepts change over the years (technology, sustainability) Codes must be applicable to the engineers profession and daily life As ethical dilemmas arise, codes are reevaluated Codes, however, are not complete, above criticism or there are no questions as to how the codes apply to a particular situation. They are merely starting point for discussion of most issues in engineering ethics. We are going to discuss what the codes say about a topic and when appropriate suggest where the codes may be inconsistent, unclear or in a need of modification In the early years there was an emphasis on advertising and competitive bidding, self-promotion, collective bargaining, and supplanting. But as a result of changes in the law, especially antitrust laws and commercial-free speech laws, the emphasis shifted to professional competence issues, such as the signing and sealing of work, whistleblowing, conflicts of interest, and the engineer's obligation to protect the public health and safety.
- "Laws and regulations are, and will remain, the most influential external drivers of corporate ethics, but legislation is no substitute for the presence of leaders who support and model ethical behavior," according to Edward T. Reilly, president and CEO of the AMA.
- Promote health, safety, and welfare of public Key words: believe, alleged
- Perform services only where competent Signing and sealing plans
- Objective and truthful in public statements Social media/online
- Act as faithful agents Conflict of interest
- Avoid deceptive acts Gratuities, falsifying qualifications
- Enhance reputation of profession
- In 2015, the Texas Legislature adopted House Bill 1295, which states that a governmental entity or state agency may not enter into certain contracts with a business entity (FNI, for example) unless the business entity submits a disclosure of interested parties to the governmental entity or state agency at the time the business entity submits the signed contract to the governmental entity or state agency. The FNI contracts group has developed a process we began using on January 1, 2016.
- NSPE Code of Ethics References: Section II.4. Section III.4.a Section III.1.c Section III.6.b Section III.3.a It was ethical for Engineer A to function in both capacities. However, Engineer A may need to recuse him/herself from decisions or choose to resign. Lack of policy guidance is a concern. There may also be additional regulatory or legal obligations.
- Conclusion: Engineer A (Tom) is concerned about the possible unethical action by Engineer B (Steve) and Engineer A’s association with that action. Engineer A has an ethical obligation to attempt to determine if there is a basis for his concern by seeking clarification of Engineer B’s intentions. If Engineer A is not convinced that Engineer B is operating his business in an ethical and legal manner, he should disassociate himself from Company X, i.e., resign, in order to remove his name from possible unethical and illegal actions by Engineer B. Further, he may consider bringing his concerns to the state licensing board. References: Section I.6. - NSPE Code of Ethics: Engineers, in the fulfillment of their professional duties, shall conduct themselves honorably, responsibly, ethically, and lawfully so as to enhance the honor, reputation, and usefulness of the profession Section II.1.d. - NSPE Code of Ethics: Engineers shall not permit the use of their name or associate in business ventures with any person or firm that they believe is engaged in fraudulent or dishonest enterprise. Section III.7. - NSPE 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.
- Question: What are Engineer A’s ethical obligations under the circumstances? NSPE Code of Ethics References: Section II.4 Section III.4 Section II.4.a Section III.4.b Conclusion: Engineer A has an ongoing duty to honor obligations to both his/her former employer and the private client…
- NSPE Code of Ethics References: Section II.3 Section III.3.a. Section II.3.a. Section III.9.a. Conclusion: Not ethical
- NSPE Code of Ethics References: Section I.5 Section II.4.a Section III.1.e Section III.9.e Section I.6 Section II.5.a Section III.9 Conclusion: It was unethical for Engineer A to call his firm “PXL Engineering of State Z. In view of the use of the PXL identify, it was unethical. Some legal issues may also arise.
- Section I.5 Section II.4.a Section III.1.e Section III.9.e Section I.6 Section II.5.a Section III.9 Conclusion: It was unethical for Engineer A to call his firm “PXL Engineering of State Z. In view of the use of the PXL identify, it was unethical. Some legal issues may also arise.