1. İNŞ 239 LAW AND ETHICS IN CIVIL ENGINEERING Lecture Notes -4
Dr. Serkan Kıvrak

2. Code of Ethics Most technical societies have written codes of ethics.
As professionals, engineers have a code of ethics.

3. Babylon’s Building Code (Hammurabi’s Code, BC 1795-1750)
SAMPLE CODES
Babylon’s Building Code
(Hammurabi’s Code, BC )
the most remarkable of the Hammurabi records is his code of laws, the earliest-known example of a ruler proclaiming publicly to his people an entire body of laws, arranged in orderly groups, so that all men might read and know what was required of them.

4. Hammurabi’s Code
229. If a builder build a house for someone, and does not construct it properly, and the house which he built fall in and kill its owner, then that builder shall be put to death.
230. If it kill the son of the owner the son of that builder shall be put to death.
231. If it kill a slave of the owner, then he shall pay slave for slave to the owner of the house.

5. Engineering codes of ethics
Guidelines and principles for evaluation of ethical conflicts
Not laws but often basis for laws
Developed for most engineering disciplines
Formally accepted by professional engineers

6. Big picture Codes of ethics are not a law
Ethical behavior is not always protected by law
Many companies realize that ethical behavior is essential for their long term prosperit

7. Professional Societies and Codes of Ethics
Provide a common agreed-upon standard for professional contact
Do not provide new ethical principles but incorporate a lot of what is found in common morality
Various Engineering Societies have their own code of ethics

8. Engineering Societies Codes of Ethics
Subject to interpretation by different individuals arriving at different conclusions for the same ethical dilemma
Very useful for students when applied to case studies where the students can determine what was/should have been the appropriate course of action
Are subject to revision periodically, reflecting new attitudes in the human condition

9. Codes of Ethics Commonly Hold
Engineers and technologists have a duty to hold the heath and safety of the public as a primary concern. Usually the first cannon of any code.
Other duties are summarized in order of importance with most important first e.g. Safety is more important than conflict of interest.

10. Limitations of Codes of Ethics
1. Codes are restricted to general and vague wording. They cannot be straightaway applied to all situations. It is impossible to foresee the full range of moral problems that can arise in a complex profession like engg.
2. It is easy for different clauses of codes to come into conflict with each other. Usually codes provide no guidance as to which clause should have priority in those cases, creating moral dilemmas.
3. They cannot serve as the final moral authority for professional conduct.
4. The current codes are by no means perfect but are definitely steps in the right direction.

11. Code of Ethics for Engineers
American Society of Civil Engineers (ASCE) Codes
National Society of Professional Engineers (NSPE) Codes
Japan Society of Civil Engineers
TMMOB (Türk Mühendis ve Mimar Odaları Birliği) Mesleki Davranış İlkeleri

12. ASCE Code of Ethics Fundamental Principles
Engineers uphold and advance the integrity, honor and dignity of the engineering profession by:
I. using their knowledge and skill for the enhancement of human welfare;
II. being honest and impartial, and serving with fidelity the public, their employers and clients;
III. striving to increase the competence and prestige of the engineering profession; and
IV. supporting the professional and technical societies of their disciplines.

13. ASCE Code of Ethics Fundamental Canons
Engineers shall hold paramount the safety, health and welfare of the public in the performance of their professional duties.
Engineers shall perform services only in the areas of their competence.
Engineers shall issue public statements only in an objective and truthful manner.
Engineers shall act in professional matters for each employer or client as faithful agents or trustees, and shall avoid conflicts of interest.

14. ASCE Code of Ethics Fundamental Canons
Engineers shall build professional reputation on the merit of their services and shall not compete unfairly with others.
Engineers shall act in such a manner as to uphold and enhance the honor, integrity and dignity of the profession.
Engineers shall continue their professional development throughout their careers and shall provide opportunities for the professional development of those engineers under their supervision.

15. Case Study Example Actions Affecting Human Life:
A leather manufacturer disposes of dangerous leather-cleaning chemicals in the river causing the city’s water to be contaminated with carcinogens. Eight children died by leukemia.

16. Case Study Example (con’t)
What should the owner of the plant do?
1. Say nothing about the problem. If challenged, claim that it is impossible to prove that the plant discharge caused the leukemia.
2. Work out a cleaning system that would rectify the problem.
3. Admit that he made the error, clean the discharge, clean all contaminated areas, have the Environmental Protection Agency (EPA) inspect the cleaned areas, and pay a settlement to the families of lost children.
4.Other?

17. Do Ethical Canons Apply?
Case Study Example (con’t)
Do Ethical Canons Apply?

18. Ethical Canons
Engineers shall hold paramount the safety, health and welfare of the public in the performance of their professional duties.

19. NSPE Code of Ethics Preamble
Engineering is an important and learned profession.
Engineers are expected to exhibit the highest standards of honesty and integrity.
The services provided by engineers require honesty, 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

20. NSPE Code of Ethics I. Fundamental Canons
Engineers, in the fulfillment of their professional duties, shall:
1. Hold paramount the safety 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 ethically, and lawfully so as to enhance the honor and usefulness of the profession.

21. NSPE Code of Ethics 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.
d. Engineers shall not permit the use of their name or associate in business ventures with any person or firm that they believe are engaged in dishonest enterprise.
e. Engineers shall not aid or abet the unlawful practice of engineering by a person or firm.
f. Engineers having knowledge of any alleged violation of this Code shall report thereon to appropriate professional bodies and cooperate with the proper authorities in furnishing such information or assistance as may be required.

22. NSPE Code of Ethics II. Rules of Practice
2. Engineers shall perform services only in the 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.

23. NSPE Code of Ethics II. Rules of Practice
3. Engineers shall issue public statements only in an objective and truthful manner.
a. Engineers shall be objective and truthful in professional reports, statements, or testimony. They shall include all relevant and pertinent information in such reports, statements, or testimony, which should bear the date indicating when it was current.
b. Engineers may express publicly technical opinions that are founded upon knowledge of the facts and competence in the subject matter.
c. Engineers shall issue no statements, criticisms, or arguments on technical matters that are inspired or paid for by interested parties, unless they have prefaced their comments by explicitly identifying the interested parties on whose behalf they are speaking, and by revealing the existence of any interest the engineers may have in the matters.

24. NSPE Code of Ethics II. Rules of Practice
4. Engineers shall act for each employer or client as faithful agents or trustees.
a. Engineers shall disclose all known or potential conflicts of interest that could influence or appear to influence their judgment or the quality of their services.
b. Engineers shall not accept compensation, financial or otherwise, from more than one party for services on the same project, unless the circumstances are fully disclosed and agreed to by all interested parties.
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.
d. Engineers in public service as members or employees of a governmental body or department shall not participate in decisions with respect to services solicited or provided by them or their organizations in private or public engineering practice.
e. Engineers shall not accept a contract from a governmental body on which a principal or officer of their organization serves as a member.

25. NSPE Code of Ethics II. Rules of Practice
5. Engineers shall avoid deceptive acts.
a. Engineers shall not falsify their qualifications or permit misrepresentation of their or their associates' qualifications. They shall not misrepresent or exaggerate their responsibility in or for the subject matter of prior assignments. Brochures or other presentations incident to the solicitation of employment shall not misrepresent pertinent facts concerning employers, employees, or past accomplishments.
b. Engineers shall not offer, solicit or receive, either directly or indirectly, any contribution to influence the award of a contract by public authority, or which may be reasonably construed by the public as having the effect of intent to influencing the awarding of a contract. They shall not offer any gift or other valuable consideration in order to secure work. They shall not pay a commission, percentage, or brokerage fee in order to secure work.

26. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
Engineers shall be guided in all their relations by the highest standards of honesty and integrity.
a. Engineers shall acknowledge their errors and shall not distort or
alter the facts.
b. Engineers shall advise their clients or employers when they believe
a project will not be successful.
c. Engineers shall not accept outside employment to the detriment of
their regular work or interest. Before accepting any outside
engineering employment, they will notify their employers.
d. Engineers shall not attempt to attract an engineer from another
employer by false or misleading pretenses.
e. Engineers shall not promote their own interest at the expense of the
dignity and integrity of the profession.

27. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
2. Engineers shall at all times strive to serve the public interest.
a. Engineers shall seek opportunities to participate in civic affairs;
career guidance for youths; and work for the advancement of the
safety, health, and well-being of their community.
b. Engineers shall not complete, sign, or seal plans and/or
specifications that are not in conformity with applicable engineering
standards. If the client or employer insists on such unprofessional
conduct, they shall notify the proper authorities and withdraw from
further service on the project.
c. Engineers shall endeavor to extend public knowledge and
appreciation of engineering and its achievements.
d. Engineers shall strive to adhere to the principles of sustainable
development in order to protect the environment for future
generations.

28. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
3. Engineers shall avoid all conduct or practice that deceives the public.
a. Engineers shall avoid the use of statements containing a material misrepresentation of fact or omitting a material fact.
b. Consistent with the foregoing, engineers may advertise for
recruitment of personnel.
c. Consistent with the foregoing, engineers may prepare articles for the lay or technical press, but such articles shall not imply credit to the author for work performed by others.

29. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
4. Engineers shall not disclose, without consent, confidential information concerning the business affairs or technical processes of any present or former employer on which they serve.
a. Engineers shall not, without the consent of all interested parties,
promote or arrange for new employment or practice in connection
with a specific project for which the engineer has gained particular
and specialized knowledge.
b. Engineers shall not, without the consent of all interested parties,
participate in or represent an adversary interest in connection with a
specific project or proceeding in which the engineer has gained
particular specialized knowledge on behalf of a former client or
employer.

30. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
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.

31. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
6. Engineers shall not attempt to obtain employment or advancement by untruthfully criticizing other engineers.
a. Engineers shall not request, propose, or accept a commission on a contingent basis under circumstances in which their judgment may be compromised.
b. Engineers in salaried positions shall accept part-time engineering work only to the extent consistent with policies of the employer and in accordance with ethical considerations.
c. Engineers shall not, without consent, use equipment, supplies, laboratory, or office facilities of an employer to carry on outside private practice.

32. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
7. Engineers shall not attempt to injure or falsely the professional reputation of other engineers. Engineers who believe others are guilty of unethical shall present such information to the proper authority for action.
a. Engineers in private practice shall not review the work of another engineer for the same client, except with the knowledge of such engineer, or unless the connection of such engineer with the work has been terminated.
b. Engineers in governmental, industrial, or educational employ are entitled to review and evaluate the work of other engineers when so required by their employment duties.
c. Engineers in sales or industrial employ are entitled to make
engineering comparisons of represented products with products of other suppliers.

33. III. Professional Obligations
NSPE Code of Ethics
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 Engineer's interests cannot otherwise be protected.
a. Engineers shall conform with state registration laws in the practice of engineering.
b. Engineers shall not use association with a nonengineer, a corporation, or partnership as a “cloak” for unethical acts.

34. III. Professional Obligations
NSPE Code of Ethics
III. Professional Obligations
9. Engineers shall give credit for engineering work to those to whom credit is due, and will recognize the proprietary interests of others.
a. Engineers shall, whenever possible, name the person or persons who may be individually responsible for designs, inventions, writings, or other accomplishments.
b. Engineers using designs supplied by a client recognize that the designs remain the property of the client and may not be duplicated by the engineer for others without express permission.
c. Engineers, before undertaking work for others in connection with which the engineer may make improvements, plans, designs, inventions, or other records that may justify copyrights or patents, should enter into a positive agreement regarding ownership.
d. Engineers’ designs, data, records, and notes referring exclusively to an employer’s work are the employer’s property. The employer should indemnify the engineer for use of the information for any purpose other than the original purpose.
e. 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.

35. EXAMPLE
(Case No )
Engineer A is the owner of ABC Engineering in State P. Engineer X is the owner of XYZ Engineering in State Q. Engineer X is retained to provide engineering services for Client L located in State P for a project in State P. Client L is a former client of Engineer A’s firm. Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.

36. What are Engineer A’s ethical obligations under these facts?
EXAMPLE
(Case No )
Question:
What are Engineer A’s ethical obligations under these facts?

37. References: (Case No. 09-10)
EXAMPLE
(Case No )
References:
Section I.4. - NSPE Code of Ethics: Engineers, in the fulfillment of their professional duties, shall act for each employer or client as faithful agents or trustees.
Section II.1.f. - NSPE 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.
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.
Section III.8.a. - NSPE Code of Ethics: Engineers shall conform with state registration laws in the practice of engineering.

38. EXAMPLE
(Case No )
While engineering is a profession, the practice of engineering, as with all professional pursuits, is also a business. As a business pursuit, engineers compete with one another for clients in order to maximize individual and firm profits.

39. EXAMPLE
(Case No )
The Board decided that if Review Engineer A determined that Engineer B’s work is, or may be, in violation of state and local safety requirements and endangers public health, safety, and welfare, the appropriate action would be for Review Engineer A to immediately discuss these issues with Engineer B in an effort to seek clarification and early resolution of the issues.

40. EXAMPLE
(Case No )
When an engineer becomes aware of a violation of the state engineering licensure law, the engineer’s first ethical obligation may be to refrain from jumping to conclusions. Instead, a more prudent approach—both from an ethical and a collegial perspective—would be to communicate with the potentially offending engineer to obtain clarification regarding the matter in question.

41. EXAMPLE
(Case No )
Part of the discussion between Engineer A and Engineer X would presumably include an explanation by Engineer A of the reasons for the certificate of authority requirement and that the failure by Engineer X to obtain the certificate of authority would impair Engineer X and his firm in their efforts to seek redress in the courts of State P, and might result in XYZ’s inability to enforce its contracts and obtain payment for engineering services. Assuming Engineer X is a reasonable and prudent individual, we believe Engineer A’s counsel to Engineer X would be all that would be necessary to convince Engineer X to take all appropriate steps to obtain the certificate of authority.

42. Conclusion (Case No )
Engineer A should communicate with Engineer X to obtain clarification regarding the matter in question. If Engineer A is not sufficiently satisfied with Engineer X’s explanation, Engineer A may be required to report this matter to the state engineering licensure board.

43. EXAMPLE
(Case No. 10-2)
Engineer A works as an employee for QRS Engineering on a full time basis. Engineer A also has his own separate engineering practice in which he performs services that are also performed by QRS Engineering. Engineer A's work, including all client contacts, is done completely on his own time (evenings and weekends), using his own equipment and materials. Engineer A does not attempt to lure existing QRS Engineering clients to his engineering practice. The QRS Engineering Employee Handbook has no specific policy that addresses performing outside work, and Engineer A does not advise the firm of his outside practice.

44. EXAMPLE
(Case No. 10-2)
Question:
Would it be ethical for Engineer A to continue to perform engineering services in his own engineering practice in the manner indicated?

45. EXAMPLE
(Case No. 10-2)
References:
Section I.5. - NSPE Code of Ethics: Engineers, in the fulfillment of their professional duties, shall avoid deceptive acts.
Section II.4.a. - NSPE Code of Ethics: Engineers shall disclose all known or potential conflicts of interest that could influence or appear to influence their judgment or the quality of their services.
Section III.1.c. - NSPE Code of Ethics: Engineers shall not accept outside employment to the detriment of their regular work or interest. Before accepting any outside engineering employment, they will notify their employers.

46. EXAMPLE
(Case No. 10-2)
The ethical issues involved in engineers performing services outside of regular employment has been an ongoing question for many years. There is a strong possibility that as a result of outside work, potential and actual conflicts could arise between the interests of the employer and the interests of the individual employed engineer, as well as ethical issues.

47. EXAMPLE
(Case No. 10-2)
The facts that all client contacts are performed completely on Engineer A's own time (evenings and weekends), using Engineer A's equipment and materials; that Engineer A does not attempt to lure existing QRS Engineering clients to his engineering practice; and that the QRS Engineering Employee Handbook contains no specific policy that addresses performing outside work do not establish a basis to justify Engineer A’s failure to advise QRS Engineering of his outside practice. It is clear that in the present case, Engineer A’s obligation was to clearly and unambiguously advise QRS Engineering of his outside activities.

48. Conclusion (Case No. 10-2)
It would be unethical for Engineer A to continue to perform engineering services in his own engineering practice in the manner indicated without clearly and unambiguously advising his full-time employer QRS Engineering.

49. EXAMPLE
(Case No. 10-3)
Engineer A works for UVW Engineering. As part of Engineer A’s activities and employment responsibilities on behalf of UVW Engineering, he attends various conferences and trade shows. While attending a recent conference and trade show at UVW Engineering’s expense, Engineer A won a door prize worth $5,000.

50. EXAMPLE
(Case No. 10-3)
Question:
Would it be ethical for Engineer A to keep the door prize or is he required to remit the prize to UVW Engineering?

51. References:
Section II.4.c. - NSPE Code of Ethics: 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.
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.

52. EXAMPLE
(Case No. 10-3)
The present case did not involve a gift from vendor by which a conflict of interest could easily arise. Also, based upon the facts, the gift was not directed at Engineer A, but instead was a door prize apparently based solely upon chance and not any direct attempt to influence Engineer A or UVW Engineering. Having said that, the Board is also of the opinion that in view of the fact that Engineer A attended the educational event at the expense of UVW Engineering, Engineer A, as a representative of his employer, had an ethical obligation to, at a minimum, report and disclose the door prize to UVW Engineering.

53. Conclusion (Case No. 10-3)
Engineer A has an ethical obligation to, at a minimum, report the substantial door prize to UVW Engineering since Engineer A attended the educational event at the expense of UVW Engineering. The ultimate decision as to the best method of addressing this matter is solely between Engineer A and UVW Engineering.

54. EXAMPLE
(Case No )
Engineer A observes what he believes is a serious violation of the state board’s rules of
professional conduct by Engineer B. Engineer A is not a competitor of Engineer B and does not know Engineer B personally. Thereafter, Engineer A submits an anonymous complaint to the state engineering licensure board identifying Engineer B and the circumstances surrounding the alleged violation of the state board’s rules of professional conduct.

55. EXAMPLE
(Case No )
Question:
Was it ethical for Engineer A to submit an anonymous letter to the state engineering licensure board?

56. References:
Section II.1. - Code of Ethics: Engineers shall hold paramount the safety, health, and welfare of the public.
Section II.1.e. - Code of Ethics: Engineers shall not aid or abet the unlawful practice of engineering by a person or firm.
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.
Section II.3. - Code of Ethics: Engineers shall issue public statements only in an objective and truthful manner.

57. References:
Section III.7. - 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.
Section III.8.a. - Code of Ethics: Engineers shall conform with state registration laws in the practice of engineering.

58. EXAMPLE
(Case No )
The duty of engineers to come forward with information on ethical violations by other engineers is a basic ethical obligation. Engineering, like other profession, is a self-policing profession whereby licensed professional engineers have a fundamental obligation to report instances of unprofessional conduct to the appropriate public authorities.

59. EXAMPLE
(Case No )
In the present case, Engineer A clearly had a fundamental ethical obligation to cooperate with the state board as required by the plain language in the NSPE Code. The basic question in this case is whether an anonymous complaint is appropriate under the facts. On the other hand, there are reasons why raising the issue via a signed letter vs. anonymously would be appropriate. Arguably, Engineer B should have some idea of who made the charge against him in order to understand the context in which the charges are being made.

60. Conclusion (Case No )
It was ethical for Engineer A to submit an anonymous letter to the state engineering licensure board as long as the state engineering licensure board has a procedure for accepting anonymous complaints.