Dr. Vincent P. Drnevich, P.E. Professor Emeritus of Civil Engineering, Purdue University April 2014.

Professionalism and Ethics in the Practice of

Professional Engineering

Dr. Vincent P. Drnevich, P.E.Professor Emeritus of Civil Engineering, Purdue

University

April 2014

2

Disclaimer

April 2014 Drnevich on Professionalism and Ethics

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 State Board of Registration for Professional Engineers, the Indiana Department of Transportation, the Indiana Society of Professional Engineers, or Purdue University.

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

Angela Pearl for making arrangements for this program

April 2014 Drnevich on Professionalism and Ethics 3

Drnevich on Professionalism and Ethics

Handouts and Quiz

Each attendee should have: Four page (2 sheet) handout with notes

for this course One page ETHICS SHORT COURSE

QUIZ & EVALUATION form

You are encouraged to complete the Quiz as we progress through the course.

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Drnevich on Professionalism and Ethics 5

Overview

Why Ethics? Codes of Ethics Rules of Professional Conduct in

Indiana Statutes and Rules Making Value-laden Decisions Board of Ethical Review Ethical Health Fitness Order of the Engineer Summary Questions Evaluation & Quiz

April 2014


Changes from Previous Version Increased information for use of Rules of Practice

in Codes of Ethics

Expansion of Professional Obligations section

Reduced wordiness of Indiana Code and Rules

Sources for case histories and examples

Links to practice ethics quiz and answers

Order of the Engineer

April 2014


Expectations

By the end of this session you will:

Know about Codes of Ethics and the roles they play

Be aware of the Indiana Statutes and Rules associated with professional conduct in engineering practice

Know how to access them.

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?

Drnevich on Professionalism and EthicsApril 2014 8


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?



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?



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?


What should the answers be?

No to all questions!

How did the students do?



Student Responses

April 2014


Why Ethics?

It is a matter of ….

happiness/ contentment/ fulfillment

April 2014


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.

April 2014

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.


Ethical behavior

Contract among affected parties Unwritten understanding…

Agreed behavior among individuals Taught by our upbringing“Gentlemen’s Agreement”

Written Contract – defined focusProfessional Code of EthicsEstablished and administered by a profession

The LawFederal, state, and local Statutes and RulesAdministered and enforced by officials: fines

and penaltiesApril 2014


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)

April 2014

http://www.nspe.org/Ethics/CodeofEthics/index.html

Drnevich on Professionalism and Ethics 18April 2014


Reprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org.

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NSPE Code of Ethics http://www.nspe.org/Ethics/CodeofEthics/index.html


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.




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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 rulesReprinted by Permission of the National Society of Professional Engineers(NSPE) www.nspe.org.

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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.


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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.



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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.

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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

Sample Questions 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.

Answer is ?

False –

See NCEES Model Code of Ethics A.1. Licensees, in the performance of their services for clients, employers, and customers, shall be cognizant that their first and foremost responsibility is to the public welfare.


Indiana Law and thePractice of Engineering

Covered in Indiana Code IC 25-31, IC 25-1-11-5, and

Rules of the Board 864 IAC Rule 11


Indiana Law and thePractice of Engineering

Established by the Legislature – Indiana Code (IC 25-31) (http://www.in.gov/legislative/ic/code/title25/ar31/ )

Implemented by Rules established by the State Board of Registration for Professional Engineers – Administrative Code (864 IAC) (http://www.in.gov/legislative/iac/iac_title?iact=864)

IC 25-1-11-5 - Practitioner compliance with professional standards; findings meriting disciplinary sanctions; fraud or material deception (Applies to all professions in Indiana)

864 IAC Rule 11 – Professional Conduct (Applies to engineering practice by licensed engineers)

April 2014

http://www.in.gov/legislative/ic/code/title25/ar31/

http://www.in.gov/legislative/iac/iac_title?iact=864


IC 25-1-11-5 – Indiana law (applies to all professions in Indiana)

Professional Standards - A practitioner shall comply with the standards established by the board regulating a profession. A practitioner is subject to the exercise of the disciplinary sanctions under section 12 of this chapter if, after a hearing, the board finds that: (1) a practitioner has:

(A) engaged in or knowingly cooperated in fraud or material deception in order to obtain a license to practice, including cheating on a licensing examination;

(B) engaged in fraud or material deception in the course of professional services or activities;

(C) advertised services or goods in a false or misleading manner; or

(D) been convicted of a crime or assessed a civil penalty involving fraudulent billing practices;

April 2014



Professional Standards, Cont’d.(2) a practitioner has been convicted of a

crime that: (A)has a direct bearing on the practitioner's ability to

continue to practice competently; or(B)is harmful to the public;

(3) a practitioner has knowingly violated a state statute or rule or federal statute or regulation regulating the profession for which the practitioner is licensed; April 2014



Professional Standards, Cont’d.(4) a practitioner has continued to practice although the

practitioner has become unfit to practice due to: (A) professional incompetence, including undertaking

professional activities that the practitioner is not qualified by training or experience to undertake;

(B) failure to keep abreast of current professional theory or practice;

(C) physical or mental disability; or (D) addiction to, abuse of, or severe dependency on alcohol or

other drugs that endanger the public by impairing a practitioner's ability to practice safely;

Six more items in this section. See handout

April 2014


Rules of the Board

Rules of the Board - refers to the rules generated by the State Board of Registration of Professional Engineers and applies to the practice of all engineering disciplines

• Draft Rules created by Board, staff, and counsel to the Board

• Public Hearing with opportunity for input

• Approval by the Office of the Attorney General

• Approval by the Office of Management and Budget

• Governor’s Office has opportunity to veto

April 2014


Rule 11 – Professional Conduct

Establishes requirements concerning ethical, economic, and legal principles and unprofessional conduct in the practice of engineering.

Requires agreement to abide by act and rules

[Person] is knowledgeable of the Act and Rules of the board

Understanding that the practice of engineering is a privilege

Primary obligation to protect the safety, health, and welfare of the public

Continued …April 2014


Rule 11 – Professional Conduct(Rules of the Board - applies to the practice of

engineering)

Perform engineering assignments only when qualified by education and experience in the specific technical field

The engineer shall not affix the engineer's signature and/or seal to any engineering plan or document dealing with subject matter in which the engineer lacks competence

The engineer shall be completely objective and truthful in all professional reports, statements, or testimony.

April 2014


Rule 11 – Professional Conduct, Cont’d.

Conflicts of interest An engineer must avoid conflicts of interest with employer

or employer’s clients

When unavoidable, disclose the circumstances to the engineer's employer or client

Disclosure of conflict of interest must be made to an employer

Compensation from more than one party for same project

April 2014

(Also, using the designs, specifications, etc. from a previous project on another project – big issue with computer automated design, drafting, and word processing. )



Conflicts of interest, Cont’d. The engineer shall not solicit or accept gratuities,

directly or indirectly, from contractors, their agents, or other parties dealing with the engineer's client or employer in connection with work for which the engineer is responsible.

April 2014

Do you know your agency’s or company’s policy on offeringor receiving gifts and services?

Accepting/Giving Gifts, Meals, etc.

Find out policy when you start work with a company or agency

Keep in mind that as a professional, you are an agent for the owner, state, contractor, company, etc.

The appearance of impropriety can cause the same damage as doing it.

There is no such thing as a “free lunch”




Conflicts of interest, Cont’d.

The engineer shall not solicit or accept financial or other valuable considerations from material or equipment suppliers for specifying their products.

When in public service as a member, advisor, or employee of a governmental body or department, the engineer shall not participate in considerations or actions with respect to services provided by the engineer or the engineer's organizations in private engineering practices.

The engineer shall not solicit or accept an engineering contract from a governmental body on which a principal, officer, or employee of the engineer's organization serves as a member.

April 2014

Wired Projects



Payment of consideration to secure work prohibited; exception The engineer shall not offer to pay, either directly or indirectly, any

commission, political contribution, gift, or other consideration in order to secure work, exclusive of securing a salaried position through employment agencies.

The engineer shall seek professional employment on the basis of qualification and competence in the proper accomplishment of similar work.

The engineer shall not falsify or permit misrepresentation of the engineer's or the engineer's associates' academic or professional qualifications.

Use of name in fraudulent or dishonest venture

April 2014


Reporting violations

IC 25-1-7 Investigation and Prosecution of Complaints Concerning Regulated Occupations

Sec. 2. The office of the attorney general, under the conditions specified in this chapter, may receive, investigate, and prosecute complaints concerning regulated occupations.

Sec. 4. All complaints must be written and signed by the complainant and initially filed with the director. Except for employees of the attorney general's office acting in their official capacity, a complaint may be filed by any person, including members of any of the boards listed in section 1 of this chapter.

http://www.indianaconsumer.com/filecomplaint.asp

April 2014

http://www.indianaconsumer.com/filecomplaint.asp


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?

Ethical thinking - "organized, reasoned analysis of value-laden problems.”

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Making value-laden decisions Generated by the CE394 class on October 29, 1998

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 (IC 25-1-11-5 and 864 IAC Rule

11) 7. Does it feel right? (NY Times rule. What does your

gut tell you? The Golden Rule.) 8. Ask someone else 9. Choose what to do 10. Act on it 11. Learn from experience

April 2014


Board of Ethical Review

The Board of Ethical Review is a panel of engineering ethics experts that has served as the profession's 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.

http://www.nspe.org/resources/pdfs/Ethics/EthicsReferenceGuide.pdf

April 2014

http://www.nspe.org/Ethics/BoardofEthicalReview/bermembers.html





Board of Ethical Review Home Page

April 2014

Reprinted by Permission of the National Society of Professional

Engineers(NSPE) www.nspe.org.

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BER Step 1 – List Facts



Case No. 06-1 - Conflict of Interest: Participation in Seminar and Reward Program for Specifying Systems Facts: Engineer A receives the following solicitation from a company: EFG Building Supply Company would like to invite you to participate in a new program tailored for engineers of septic/drainage systems. To qualify for this plan, attend the complimentary EFG Building Supply Company Seminar on Septic/Drainage Systems. If you are convinced of the value of our system, simply note on system plans that EFG carries septic and drainage products.

For the EFG Building Supply Company Reward Program, your customer makes discounted purchases of EFG septic pipe on your EFG cash account (this is strictly a pay as you go basis). Every month you will receive a rewards certificate. This certificate is based on a percentage of monthly sales. Priority cash coupons may be redeemed at EFG and the East Westville Resort and Country Club.

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BER Step 1 – Describe the Problem



Questions:

1. Would it be ethical for Engineer A to attend the complimentary EFG Building Supply Company Seminar on Septic/Drainage Systems? 2. Would it be ethical for Engineer A to participate in the EFG Building Supply Company Reward Program?

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BER Step 2 – Compare to Others Sections in Code of Ethics



References: Section II.4.c. - NSPE Code of Ethics: Engineers shall not solicit nor accept financial or other valuable consideration, directly or indirectly, from outside agents in connection with the work for which they are responsible. Section III.5. - NSPE Code of Ethics: Engineers shall not be influenced in their professional duties by conflicting interests. Section III.5.a. - NSPE Code of Ethics: Engineers shall not accept financial or other considerations, including free engineering designs, from material or equipment suppliers for specifying their product. Section III.5.b. - NSPE Code of Ethics: 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. Section III.9.e. - NSPE Code of Ethics: Engineers shall continue their professional development throughout their careers and should keep current in their specialty fields by engaging in professional practice, participating in continuing education courses, reading in the technical literature, and attending professional meetings and seminars.

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BER Step 2 – Compare to Others

Previous Cases in the BER None in this particular case



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BER Step 3

Detailed discussion of Code provisions, previous cases, and facts in this case



Discussion:

The issue of conflicts of interest is among the most fundamental ethical situations faced by engineers. In the course of their professional practice, engineers face situations involving conflict of interests on an ongoing basis. Each situation must be evaluated based upon the individual and specific facts in the case as there is no one-size-fits-all rule that can be applied to conflict of interest situations. Some situations involve obvious answers while others are more complicated and require careful analysis and examination. While sometimes the appropriate response is disclosure of all of the facts and circumstances to all parties, in other cases, disclosure is insufficient and other courses of action are necessary. In other situations, the engineer must avoid the conflict entirely or else run afoul of basic ethical principles. Continued……


BER Step 4

Based on Codes of Ethics, other cases, and facts in this case, provides a conclusion

April 2014


Conclusions: 1. It would be ethical for Engineer A to attend the complimentary

EFG Building Supply Company Seminar on Septic/Drainage Systems.

2. It would not be ethical for Engineer A to participate in the EFG Building Supply Company Reward Program.


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 _____________????

April 2014


Ethical Health Fitness

Balance of physical, emotional, social, intellectual, economic, and spiritual health

Take time to “sharpen the saw” (Covey) through reflection, study, Cont. Ed., 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)

April 2014


Order of the Engineer http://www.order-of-the-engineer.org/

April 2014

The Order of the Engineer was initiated in the United States to foster a spirit of pride and responsibility in the engineering profession, to bridge the gap between training and experience, and to present to the public a visible

symbol identifying the engineer.

Member identified by the wearing of a stainless steel ring on the small finger

of the working hand.

Ceremony at ISPE Annual Convention in June and at Purdue in April and December

Reprinted with permission of the Order of the Engineer


Summary

Ethical behavior benefits everyone Ethical behavior may be:

Unwritten agreements Codes established by professional societies Statutes and Rules

Upon renewal of PE license, the person Acknowledges familiarity with the Law and

Rules Agrees to abide by them

Engineers must be aware of agency and company policies concerning gifts

April 2014


Summary, Cont’d.

Codes of Ethics are essential for professionals Professional/technical societies and

professional licensing laws and rules determine the ethical practice of engineering

Use a systematic approach for resolving value-laden problems (Use the process developed in CE 394)

Board of Ethical Review gives examples of many ethic problems

Stay Ethically fit

April 2014


Ethics References

Indiana State Board of Registration for Professional Engineers http://www.in.gov/pla/files/SBRPE_2012_Compilation.pdf http://www.in.gov/pla/3359.htm

The National Institute for Engineering Ethics (NIEE) http://www.niee.org/

The National Society of Professional Engineers http://www.nspe.org/ethics/ http://www.nspe.org/Ethics/EthicsResources/BER/index.html

Indiana Society of Professional Engineers

http://www.indspe.org/newsletter.html

The American Society of Civil Engineers http://www.asce.org/Content.aspx?id=15290

April 2014

http://www.in.gov/pla/files/SBRPE_2012_Compilation.pdf

http://www.in.gov/pla/files/SBRPE_2012_Compilation.pdf

http://www.in.gov/pla/3359.htm

http://www.niee.org/

http://www.nspe.org/ethics/

http://www.nspe.org/ethics/

http://www.nspe.org/Ethics/EthicsResources/BER/index.html

http://www.nspe.org/Ethics/EthicsResources/BER/index.html

http://www.indspe.org/newsletter.html

http://www.asce.org/Content.aspx?id=15290

Comments and Questions???


Completion of Quiz/Evaluations

All participants are to complete the one-page evaluation that was handed out at the start of this presentation The upper part of the evaluation is a QUIZ to test what

you have learned from this course. You must complete this part of the Evaluation

The lower part of this evaluation is your evaluation of this course and is optional

Pass the completed Quiz/Evaluation sheets to the aisle for collection by the attendants or hand to the attendants as you leave the room

Quizzes will be graded and will indicate successful completion of this courseApril 2014 58

It was nice to be with you today!

Vince Drnevich

E-mail: [email protected]

(765) 494-5029

This completes the “Ethics and Professionalism"

course!

mailto:[email protected]

Dr. Vincent P. Drnevich, P.E. Professor Emeritus of Civil Engineering, Purdue University April 2014.

Documents

Transcript of Dr. Vincent P. Drnevich, P.E. Professor Emeritus of Civil Engineering, Purdue University April 2014.