Key Concepts in Engineering Ethics:

Protecting the Public Health and

Safety & Demonstrating Professional
Competence
September 18, 2014

Arthur E. Schwartz, CAE

Deputy Executive Director & General Counsel
National Society of Professional Engineers
Alexandria, Virginia
aschwartz@nspe.org
 Engineering Ethics

 “Among the universal ethical values are

honesty, integrity, promise-keeping, fidelity,
fairness, respect for others, responsible
citizenship, pursuit of excellence and
accountability.”
– Michael Josephson
 Engineering Ethics
 Black and White Areas – Easy
– Right vs. Wrong
 Gray Areas – Tougher
– Right vs. Right
– Lesser of the Evils/Dilemma
 Other Factors
– Time/Money
– Family
– Career
– Reputation
 Engineering Ethics
 Why Study Engineering Ethics?
– To Understand the Standards Governing What is
Acceptable Behavior in the Practice of Engineering
 Why Practice Engineering Ethically?
– Personal Injury/Property Damage
– Disciplinary Action
– Impact on Reputation, Employer, Clients,
Profession
– Possible Loss of Job, Business, etc.
 Engineering Ethics
 “All products of technology present some
potential dangers, and thus engineering is an
inherently risky activity…Engineering should be
viewed as an experimental process. It is not, of
course, an experiment conducted solely in a
laboratory under controlled conditions. Rather,
it is an experiment on a social scale involving
human subjects”
– Martin and Schinziger, Ethics in Engineering
 Engineering Ethics

 Professional Codes of Ethics

– A code of professional ethics results when a field
organizes itself into a profession. The resulting
code is central to advising those professionals
how to conduct themselves, to judge their
conduct and to understand the profession.
 Engineering Ethics

 Hierarchy of Ethical Obligations

 Primary: Ethical Obligations to the
Public
 Secondary: Ethical Obligations to
Employer or Client
 Tertiary: Ethical Obligations to Other
Professionals and Other Parties
 Engineering Ethics

 Three Basic Ethical Obligations – (1) Public,

(2) Employer/Client and (3) Other
Professionals...
– Never Mutually Exclusive - Reciprocal
– Not A “Zero Sum Game”
– All Need To Be Considered At All Times
– Should Be Complementary to Integrated With
One Another To The Fullest Extent Possible
– Ethical Integration = Professional Integrity
 Engineering Ethics

 Seven Principles Impacting Each

Obligation
1. Protecting The Public Health, Safety and Welfare
2. Demonstrating Professional Competence
3. Maintaining Objectivity/Truthfulness
4. Addressing Conflict of Interest
5. Preserving Confidentiality
6. Receiving and Providing Valuable Consideration
7. Emerging Areas/Emerging Challenges
 Engineering Ethics

1. Protecting The Public Health, Safety and Welfare

- Conformance with Applicable Standards
- Approval/Signing and Sealing of Engineering
Drawings
- Responsible Charge/Responsible Control
- Judgment Overruled
- Awareness of Safety Violations
- Awareness of Illegal Practice
 Engineering Ethics

2. Demonstrating Professional Competence

- Education, Experience, Qualifications
- Acceptance of Assignment
- Signing and Sealing of Work
- Coordination of Work
- Scope of Practice
 Engineering Ethics

 This session will focus on the obligations of a

professional engineer who learns of a
significant bridge safety issue that may not be
adequately addressed, obligation of a
professional engineer to follow the most
current technical standards and a professional
engineer’s obligation to take action in
connection with a company’s use of a
potentially hazardous material.
 Engineering Ethics

PUBLIC WELFARE – BRIDGE

STRUCTURE

Case No. 00-5

 Engineering Ethics

 Facts: Engineer A was an engineer with a

local government. Engineer A learned about
a critical situation involving a bridge 280 feet
long, 30 feet above the stream. This bridge
was a concrete deck on wood piles built in
the 1950's by the state. It was part of the
secondary roadway system given to the
counties many years ago.
 Engineering Ethics

 In June 2000, Engineer A received a

telephone call from the bridge inspector
stating this bridge needed to be closed due to
the large number of rotten piling. Engineer A
had barricades and signs erected within the
hour on a Friday afternoon. Residents in the
area were required to take a 10-mile detour.
 Engineering Ethics

 On the following Monday, the barricades

were in the river and the “Bridge Closed”
sign was in the trees by the roadway. More
permanent barricades and signs were
installed. The press published photos of some
of the piles that did not reach the ground and
the myriad of patch work over the years.
 Engineering Ethics

 Within a few days, a detailed inspection

report prepared by a consulting engineering
firm, signed and sealed, indicated seven
pilings required replacement. Within three
weeks, Engineer A had obtained
authorization for the bridge to be replaced.
Several departments in the state and federal
transportation departments needed to
complete their reviews and tasks before the
funds could be used.
 Engineering Ethics

 A rally was held, and a petition with

approximately 200 signatures asking that the
bridge be reopened to limited traffic was
presented to the County Commission.
Engineer A explained the extent of the
damages and the efforts under way to replace
the bridge. The County Commission decided
not to reopen the bridge.
 Engineering Ethics

 Preliminary site investigation studies were

begun. Environmental, geological, right-of-
way, and other studies were also performed.
A decision was made to use a design build
contract to avoid a lengthy scour analysis for
the pile design.
 Engineering Ethics

 A non-engineer public works director

decided to have a retired bridge inspector,
who was not an engineer, examine the bridge,
and a decision was made to install two crutch
piles under the bridge and to open the bridge
with a 5-ton limit. No follow-up inspection
was undertaken.
 Engineering Ethics

 Engineer A observes that traffic is flowing

and the movement of the bridge is
frightening. Log trucks and tankers cross it
on a regular basis. School buses go around it.
 Engineering Ethics

 Question: What is Engineer A’s ethical

obligation under these circumstances?
 Engineering Ethics

 Section II.1.- Code of Ethics:

Engineers shall hold paramount the safety,
health and welfare of the public.
 Engineering Ethics

 Section II.1.a. - Code of Ethics:

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.
 Engineering Ethics

 Section II.1.f.-Code of Ethics:

Engineers having knowledge of any alleged
violation of this Code shall report thereon to
appropriate professional bodies and, when
relevant, also to public authorities, and
cooperate with the proper authorities in
furnishing such information or assistance as
may be required.
 Engineering Ethics

 Section III.8.a. - Code of Ethics:

Engineers shall conform with state registration

laws in the practice of engineering.
 Engineering Ethics
 Conclusion: Engineer A should take immediate steps to go
to Engineer A’s supervisor to press for strict enforcement of
the five-ton limit, and if this is ineffective, contact state
and/or federal transportation/highway officials, the state
engineering licensure board the director of public works,
county commissioners, state officials, and such other
authorities as appropriate. Engineer A should also work
with the consulting engineering firm to determine if the two
crutch pile with five-ton limit design solution would be
effective and report this information to his supervisor. In
addition, Engineer A should determine whether a basis exists
for reporting the activities of the retired bridge inspector to
the state board as the unlicensed practice of engineering.
 Engineering Ethics

 Polling Question:
– Under no circumstances would it have been
ethical for Engineer A to go directly to the media
to report his personal and professional concerns
regarding the potential collapse of the bridge.
– 1. Yes
– 2. No
– 3. Not Sure
 Engineering Ethics

PROFESSIONAL COMPETENCE IN
CURRENT STRUCTURAL DESIGN

Case No. 02-5

 Engineering Ethics
 Facts: Engineer A is involved in the design of the
structural system on a building project in an area of
the country that experiences severe weather
conditions. Engineer A, who has experience with
structural designs in this area of the country, designs
the structural system based upon what Engineer A
believes constitutes sound structural engineering
principles. Although Engineer A has knowledge
and experience in structural design, new and
improved design methods have recently been
developed to address the severe weather conditions
in the location in which Engineer A practices.
 Engineering Ethics

 These new and improved severe weather

design standards have been published in the
most recent technical literature. While
Engineer A generally attempts to stay current
on changing structural design trends,
Engineer A was not familiar with this recent
technical literature.
 Engineering Ethics

 Engineer A completes his design which is

later incorporated in the plans and
specifications for the building and the
building is built. Within one year following
construction, severe weather conditions cause
significant structural damage to the building.
It is determined that had Engineer A followed
the severe weather design parameters, the
structural failure would not have occurred.
 Engineering Ethics

 Question: Was it ethical for Engineer A to

fail to follow the most recent design
parameters for structural design in severe
weather areas published in the most recent
technical literature?
 Engineering Ethics

 Section II.1. - Code of Ethics:

Engineers shall hold paramount the safety,

health, and welfare of the public.
 Engineering Ethics

 Section II.1.b. - Code of Ethics:

Engineers shall approve only those engineering

documents that are in conformity with
applicable standards.
 Engineering Ethics

 Section II.2. - Code of Ethics:

Engineers shall perform services only in the

areas of their competence.
 Engineering Ethics

 Section II.2.a. - Code of Ethics:

Engineers shall undertake assignments only

when qualified by education or experience in
the specific technical fields involved.
 Engineering Ethics

 Section III.8. - Code of Ethics:

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 Engineer's interests cannot
otherwise be protected.
 Engineering Ethics

 Conclusion: It was not unethical for

Engineer A to fail to follow the most recent
design parameters for structural design in
severe weather areas published in the most
recent technical literature.
 Engineering Ethics

 Polling Question
– Engineers should have the authority to determine
whether to follow established codes and
standards in the design of facilities even when
those codes and standards impact the public
health and safety.
– 1. Yes
– 2. No
– 3. Not Sure
 Engineering Ethics

 USE OF ALLEGED HAZARDOUS

MATERIAL IN A PROCESSING
FACILITY

Case No. 99-11

 Engineering Ethics

 Facts: Engineer A is a graduate engineer in

a company’s manufacturing facility that uses
toxic chemicals in its processing operations.
Engineer A’s job has nothing to do with the
use and control of these materials.
 Engineering Ethics
 A chemical called "Mega X" is used at the site.
Recent stories in the news have reported alleged
immediate and long-term human genetic hazards
from inhalation of or other contact with Mega X.
The news items are based on findings from
laboratory experiments, which were done on mice,
by a graduate student at a well-respected
university’s physiology department. Other
scientists have neither confirmed nor refuted the
experimental findings. Federal and local
governments have not made official
pronouncements on the subject.
 Engineering Ethics

 Several colleagues outside of the company

have approached Engineer A on the subject
and ask Engineer A to "do something" to
eliminate the use of Mega X at the processing
facility. Engineer A mentions this concern to
her manager who tells Engineer A, "Don't
worry, we have an Industrial Safety
Specialist who handles that."
 Engineering Ethics

 Two months elapse and Mega X is still used

in the factory. The controversy in the press
continues, but since there is no further
scientific evidence pro or con in the matter,
the issues remain unresolved. The use of the
chemical in the processing facility has
increased and now more workers are exposed
daily to the substance than was the case two
months ago.
 Engineering Ethics

 Question: Does Engineer A have an

obligation to take further action under the
facts and circumstances?
 Engineering Ethics

 Section II.1.- Code of Ethics:

Engineers shall hold paramount the safety,

health and welfare of the public.
 Engineering Ethics

 Section II.1.a. - Code of Ethics:

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.
 Engineering Ethics

 Conclusion: Engineer A has no obligation to

take further action under the facts and
circumstances.
 Engineering Ethics

 While engineers have an ethical obligation to

hold paramount the public health and safety,
it their judgment is overruled by a
management superior, the engineer must
yield to the decision and not pursue the
matter further.
– 1. Agree
– 2. Disagree
– 3. Not Sure
 Engineering Ethics

Review of Key Issues

 Engineering Ethics
 It is important to study engineering ethics because it is
critical to understand the standards governing what is
acceptable behavior in the practice of engineering.
 It is important to practice engineering ethically because if
you do not, the following could occur - personal injury,
property damage, disciplinary action, impact on the
reputation or the employer, clients, profession and possible
loss of job or business.
 Engineers having knowledge of any alleged violation of this
Code should report thereon to appropriate professional
bodies and, when relevant, also to public authorities, and
cooperate with the proper authorities in furnishing such
information or assistance as may be required.
 Engineering Ethics

 Engineers should 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 Engineer's interests cannot
otherwise be protected. – True
 Engineers should undertake assignments when
qualified by education or experience in the specific
technical fields involved.
 Engineering Ethics

 Among the universal ethical values are honesty,

integrity, promise-keeping, fidelity, fairness, respect
for others, responsible citizenship, pursuit of
excellence and accountability.
 Black and white areas –right vs. wrong issues are
easiest to resolve.
 Other factors such as time, money, family, career,
reputation affect ethical decision-making.
 Engineering Ethics

 Discussion

 Questions and Answers

 Engineering Ethics

 “The reputation of a thousand years may be

determined by the conduct of one hour”
– Japanese proverb
Engineering Ethics

Questions & Answers

Arthur E. Schwartz, CAE

Deputy Executive Director & General Counsel
National Society of Professional Engineers
Alexandria, Virginia
aschwartz@nspe.org