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
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.

Copyright 2014 Vincent P. Drnevich. No portion of this presentation may be used without the
expressed written consent of Vincent P. Drnevich.

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.

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.
4

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
5

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

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?

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?
8

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?

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?
11

Student Responses

12

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.

13

What does the Law say?

NCEES Model Rules
240.15 Rules of Professional Conduct
B. Licensees 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.

14

Poll Question #1
What type of policy does your company
have regarding receiving gifts?

15

Why Ethics?

It is a matter of .
happiness/ contentment/ fulfillment

16

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.

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.
17

Ethical behavior
Contract among affected parties
Unwritten understanding

Agreed behavior among individuals

Taught by our upbringing

Gentlemens 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
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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)

19

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, Contd.

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, Contd.

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, Contd.

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.

23

NSPE Code of Ethics, Contd.

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, Contd.

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, Contd.

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 engineers 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
http://www.nspe.org/Ethics/EthicsResources/EthicsExam/index.html

Answers to check ethical sharpness

http://www.nspe.org/Ethics/EthicsResources/EthicsExam/exam_answers.html

27

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.
29

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
30

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

31

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
32

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

33

150.10 Grounds for Disciplinary

Action Licensees and Interns
3.

4.
5.

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
Failure to comply with any of the provisions of this Act or any of
the rules or regulations of the board
Discipline (including voluntary surrender of a professional
engineers 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.

7.

8.

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
Knowingly making false statements or signing false statements,
certifications, or affidavits in connection with the practice of
engineering or surveying
Aiding or assisting another person in violating any provision of
this Act or the rules or regulations of the board

Plus six more grounds.

35

150.20 Disciplinary Action

Procedures Licensees and Interns
A.

B.

C.

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.
A complaint shall be in writing and state specifically the
facts on which the complaint is based.
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.
36

150.20 Disciplinary Action

Procedures Licensees and Interns
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.
D.

37

150.30 Disciplinary Action

ProceduresUnlicensed 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
38

150.30 Disciplinary Action

ProceduresUnlicensed 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
39

Rules of the Board

Developed by the Board by process
established in the statutes
Focus on details of a given profession

Use

of engineers stamp
Continuing engineering education
Ethical issues in engineering

Procedures for resolving cases

40

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

41

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.
42

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
its not that important
that could hurt his/her feelings
______________????

43

Systematic Approach to Ethics

How do you solve ethical problems?

Answer: Ethical thinking is an "organized,

reasoned analysis of value-laden problems.

44

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.
46

Board of Ethical Review

http://www.nspe.org/sites/default/files/BER%20Case%20No%2013-9-FINAL.pdf

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 As obligations under the circumstances?
47

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 wellbeing 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.
48

BER Case 13-9, Step 2

References - Previous BER Cases

76-4

Public WelfareKnowledge of Information

Damaging to Clients Interest
http://www.nspe.org/sites/default/files/BER%20Case%20No%20

13-4-FINAL.pdf

07-3

Public Health and Safety Warranty Inspections

http://www.nspe.org/sites/default/files/resources/pdfs/Ethics/Ethi
csResources/EthicsCaseSearch/2007/BER%2007-3-FINAL.pdf
49

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 As obligation to hold paramount the
safety, health, and welfare of the public (Section II.1 of the Code).

50

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.
51

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
_____________????

52

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, Vinces
grandfather)
53

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

54

Summary, Contd.

Engineers need to be aware of agency and

company policies concerning gifts
Use a systematic approach for resolving valueladen problems
Board of Ethical Review gives examples of many
ethic problems
Stay Ethically fit

55

It was nice to be with you today!

Vince Drnevich
E-mail: drnevich@purdue.edu
(765) 494-5029

CHALLENGE QUESTION:
Which part of the standard format for Codes of Ethics
is the answer to this sessions Challenge Question?
A.
B.
C.
D.

Preamble
Fundamental Canons
Rules of Practice
Professional Obligations

Please circle the answer that is announced so that you can use the
information to complete your quiz (NY) for PDH.