Idaho Society of Professional
Engineers
June 11-12, 2009
Coeur d’Alene, ID
An Overview of the NSPE Code
of Ethics and how to use it
June 12, 2008
MODERATOR
Michael Hardy, P.E., F.NSPE
NSPE Vice-President
Overview of Today’s
Discussion
1. NSPE Code of Ethics
2. NSPE Board of Ethical Review
3. Case Studies
NSPE Code of Ethics
Preliminary Thoughts
Why even have a Code of Ethics?
• Engineering as a learned Profession
• Obligation to the highest standards of
honesty and integrity
• Health, safety and welfare of the public
• Obligation to each other as professional
engineers to meet these high standards
Evolution of the
NSPE Code of Ethics
How did we get to where we are today?
 An emphasis on ethics among engineers dates back to
the end of the 19th century.
 The first reference to a Society Code of Ethics is found in
the May 1935 issue of The American Engineer. It is not
clear whether NSPE's Board of Directors ever adopted or
acted upon the suggested Code of Ethics
Evolution of the
NSPE Code of Ethics
• In 1946, the Board approved the Canons of Ethics for
Engineers. (This document was developed by the
Engineers' Council for Professional Development, a
coordinating body of technical engineering societies).
• Since 1946, the Canons of Ethics has evolved into what
we now refer to as NSPE’s Code of Ethics for Engineers.
Four Sections of the
Code of Ethics for Engineers
• Preamble – Answers the question “Why have a
Code of Ethics?”
• Fundamental Canons – Describes the
“bedrock” principles or fundamental obligations
of Professional Engineers
How the Code of Ethics for
Engineers is structured
• Rules of Practice – Describes the
fundamental rules that govern the
professional practice of engineering
• Professional Obligations – Describes the
standards of professional conduct for
Professional Engineers
Preamble
Engineering is an important and learned profession. As
members of this profession, engineers are expected to
exhibit the highest standards of honesty and integrity.
Engineering has a direct and vital impact on the quality of
life for all people.
Accordingly, the services provided by engineers require
honesty, impartiality, 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.
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.
II. Rules of Practice
II.1 Engineers shall hold paramount the safety, health
and welfare of the public.
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Engineering judgment overruled under circumstances that
endanger life or property must be reported to their employer,
client and other authority as appropriate.
Only approve work that is in conformance with applicable
standards.
Engineers shall not reveal confidential information except as
required by law or Code.
Engineers shall not associate in fraudulent or dishonest
enterprise.
Engineers shall not aid unlawful practice of engineering
Engineers shall report violations of the Code.
II. Rules of Practice
II.2 Engineers shall perform services only in the area of
their competence.
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Only accept assignments you are qualified for.
Don’t stamp documents that you are not qualified to stamp.
Don’t stamp documents not prepared under your direction
and control.
Engineers can assume responsibility for coordination of an
entire project and sign and seal the documents, provided
that each technical segment is signed and sealed only by
the qualified engineers who prepared the segment.
II. Rules of Practice
II.3 Engineers shall issue public statements only in an
objective and truthful manner.
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Be objective and truthful (factual) in reports, statements and
testimony. Include all relevant information.
Engineers may express technical opinions that are founded
on knowledge of the facts.
Engineers shall make no statements, criticisms or
arguments on technical matters that are inspired or paid for
by interested parties, without first divulging the interest.
II. Rules of Practice
II.4 Engineers shall act for each employer or client as
faithful agents or trustees.
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Engineers shall disclose all known or potential conflicts of
interest.
Engineers shall not accept compensation from more than
one party for services on the same project.
Engineers shall not solicit or accept consideration from
outside agents in connection with the work for which they
are responsible.
Engineers in public service shall not participate in decisions
with respect to services solicited or provided by them in their
public or private practice.
Engineers shall not accept a contract from a governmental
body on which a principle or officer of their organization
serves as a member.
II. Rules of Practice
II.5 Engineers shall avoid deceptive acts.
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Engineers shall not falsify their qualifications or permit
misrepresentation of their or their associates’ qualifications.
Engineers shall not offer, give, solicit or receive any
contribution to influence the award of a contract by public
authority.
Engineers shall not offer gifts to secure work.
Engineers shall not pay a commission or brokerage fee to
secure work, except to a bona fide employee or established
commercial or marketing agencies retained by them.
III. Professional Obligations
III.1 Engineers shall be guided in all relations by the highest
standards of honesty and integrity.
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Engineers shall acknowledge their errors and not distort facts.
Engineers shall advise their employer and client if they feel a
project will not be successful.
Engineers shall not accept outside employment that is
detrimental to their regular work or interest.
Engineers shall not attempt to attract engineers from other
employers by false or misleading premises.
Engineers shall not promote their interests at the expense of the
dignity and integrity of the profession.
III. Professional Obligations
III.2 Engineers shall at all times strive to serve the public
interest.
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Engineers are encouraged to participate in civic affairs and
work for the advancement of the safety, health and well-being of
their community.
Engineers shall not complete, sign or seal plans and/or
specifications that are not in conformity with applicable
engineering standards.
Engineers are encouraged to extend public knowledge and
promote engineering and its achievements.
Engineers are encouraged to adhere to the principles of
sustainable development(1) in order to protect the environment
for future generations.
III. Professional Obligations
III.3 Engineers shall avoid all conduct or practice that
deceives the public.
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Engineers shall avoid the use of statements containing a
material misrepresentation of fact or omitting a material fact.
Consistent with the foregoing, engineers may advertise for
recruitment of personnel.
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.
III. Professional Obligations
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.
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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 a particular specialized knowledge.
Engineers shall not, without the consent of all interested parties,
participate 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.
III. Professional Obligations
III.5 Engineers shall not be influenced in their professional
duties by conflicting interests.
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Engineers shall not accept financial or other considerations,
including free engineering designs, from material or equipment
suppliers for specifying their product.
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 the work for
which the engineer is responsible.
III. Professional Obligations
III.6 Engineers shall not attempt to obtain employment or
advancement or professional engagement by
untruthfully criticizing other engineers, or by other
improper or questionable methods.
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Engineers shall not request, propose or accept a commission on
contingent basis under circumstances in which their judgment
may be compromised.
Engineers in salaried positions shall accept part-time
engineering work only to the extent consistent with the policies
of the employer and in accordance with ethical considerations.
Engineers shall not, without consent, use equipment, supplies,
laboratory or office facilities of an employer to carry on outside
private practice.
III. Professional Obligations
III.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.
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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.
Engineers in government, industrial, or educational employ are
entitled to review and evaluate the work or other engineers when
so required by their employment duties.
III. Professional Obligations
III.7 Engineers shall not…to the proper authority for action.
(continued from previous page)
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Engineers in sales or industrial employ are entitled to make
engineering comparisons of represented products with products
of other suppliers.
III. Professional Obligations
III.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.
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Engineers shall conform with state registration laws in the
practice of engineering.
Engineers shall not use association with a non-engineer, a
corporation or partnership as a “cloak” for unethical acts.
III. Professional Obligations
III.9 Engineers shall give credit for engineering work to
those to whom credit is due, and will recognize the
propriety interests of others.
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Engineers shall name the person or persons who may be
individually responsible for designs, inventions, writings, or other
accomplishments.
Engineers using designs supplied by a client recognize that the
designs remain the property of the client and may not be
duplicated by engineer for others without express permission.
Engineers, before undertaking work…that may justify copyrights
or patents, should enter into a positive agreement concerning
ownership.
III. Professional Obligations
III.9 Engineers shall give…propriety interests of others.
(continued from previous page)
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Engineer’s 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.
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.
Court Decisions
• The Code of Ethics cannot prohibit competitive bidding of
services, as such restrictions interfere with the legal
rights of engineers under antitrust laws.
• Engineers and firms may individually refuse to bid for
engineering services.
• Clients are not required to seek bids for engineering
services.
Corporate Responsibility?
In regard to the question of application of the Code to
corporations vis-à-vis real persons, business form or
type should not negate nor influence conformance of
individuals to the Code.
The Code deals with professional services, which
services must be performed by real persons. Real
persons in turn establish and implement policies within
business structures. The Code is clearly written to
apply to the Engineer, and it is incumbent on members
of NSPE to endeavor to live up to its provisions.
More Recent Changes
• In recent years, the NSPE Code of Ethics has been
translated into German, French and Spanish. These
translations are available on the NSPE website.
• NSPE Ethics Information can be found at:
http://www.nspe.org/Ethics/index.html
• Under the NSPE Bylaws, only the NSPE House of
Delegates may amend the Code.
NSPE Board of Ethical Review
• The engineering profession's emphasis on ethics dates
back to the end of the 19th century. In 1946, NSPE
released its Canons of Ethics for Engineers and Rules
of Professional Conduct.
• These documents evolved to the current NSPE Code of
Ethics for Engineers, adopted in 1964 and amended as
recently as 2007.
• While these statements of general principles served as a
guide, many engineers sought advise on how the Code
would apply to specific circumstances. These requests
ultimately led to the creation of the NSPE Board of
Ethical Review in 1954.
NSPE 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 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.
• Ethics cases rarely have easy answers, but the BER's
nearly 500 advisory opinions have helped bring clarity to
the ethical issues engineers face daily.
NSPE Board of Ethical Review
Since 1954, the BER and its work has evolved with the
profession.
In the early years there was an emphasis on issues
related to advertising and competitive bidding, selfpromotion, collective bargaining, and supplanting.
NSPE Board of Ethical Review
But as a result of changes in the law, especially antitrust
laws and commercial-free speech laws, the emphasis
shifted to professional competence issues, such as the
signing and sealing of work, whistle blowing, conflicts of
interest, and the engineer's obligation to protect the
public health and safety.
NSPE Board of Ethical Review
Besides producing advisory opinions on ethics cases, the
seven-member BER is involved in many other
engineering ethics activities. It participated in the
development of the ethics video Gilbane Gold and
Incident At Morales, which show dilemmas of engineers
caught between doing what he feels is right and
remaining loyal to his company.
It also established a Code of Ethics Exam on the NSPE
Web site and began the "You Be the Judge" column in
Engineering Times in 1987.
NSPE Board of Ethical Review
The BER, which meets twice a year to discuss ethics
issues and decide cases, also administers the annual
Milton F. Lunch Ethics Contest. The contest gives
members an opportunity to test their ethics knowledge by
applying it to a fictional scenario.
Other BER projects include the development of the NSPE
Ethics Reference Guide, a series of monthly online ethics
webinars and the translation to Japanese of the most
recent three volumes of BER cases.
NSPE Board of Ethical Review
NSPE's Board of Ethical Review recently
celebrated its 50 years of service to the
profession, and it continues to be a place
where engineers openly discuss tough
questions and provide guidance to others.
BER Case 04-5
Obligations of Engineer Relating to
Environmental Concerns
Facts:
• A company previously cited for environmental
law violations seeks a variance from the state
because the cost to comply is too high.
BER Case 04-5
Facts cont’d:
• Engineer A reviews the variance and makes a
preliminary recommendation that the state
environmental department decline to issue the
variance, and he informs the agency head, who
is not an engineer, of this matter.
BER Case 04-5
Facts cont’d:
• Engineer A is over-ruled and is told to issue the
variance.
• It is Engineer A’s responsibility to testify at the
state pollution control board hearing describing
the technical grounds for approving the request.
BER Case 04-5
What are Engineer A’s
obligations under these
circumstances?
Reference
NSPE Code of Ethics
Section I.1.
Engineers shall hold paramount the safety,
health and welfare of the public.
Reference
NSPE Code of Ethics
Section 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.
Reference
NSPE Code of Ethics
Section II.3.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.
BER Case 04-5
Conclusion:
Engineer A has an obligation to provide a
recommendation to superiors based upon the
available technical data and Engineer A’s best
professional judgment. If the superiors reject the
recommendation, it would be unethical for
Engineer A to testify in favor of the variance.
BER Case 04-5
Do you agree?
BER Case 07-11
Obligation of Engineer Relating to PreExisting Non-Conforming Work
Facts:
• Client X had the property built without obtaining
the necessary plumbing, electrical, structural,
and mechanical permits and code approvals.
BER Case 07-11
Facts cont’d:
• The structure is used for the storage of materials
and equipment but is usually not intended for
human habitation or use, other than for delivery
and servicing.
• Engineer A is retained by Client X to prepare
drawings and plans for a structure on Client X’s
property.
BER Case 07-11
Facts cont’d:
• During the course of Engineer A performing
services for Client X, Client X mentions to
Engineer A that there is an existing structure on
the property that required permits and approvals
to be constructed.
BER Case 07-11
What is Engineer A’s ethical
obligation under the
circumstances?
BER Case 07-11
Section II.1.
Engineers shall hold paramount the safety,
health, and welfare of the public.
BER Case 07-11
Section II.1.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.
BER Case 07-11
Section II.1.e.
Engineers shall not aid or abet the unlawful
practice of engineering by a person or firm.
BER Case 07-11
Section II.1.f.
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.
BER Case 07-11
Conclusion:
Engineer A would have an obligation to discuss
with Client X the fact that code exists to protect
the public health and safety as well as the overall
integrity of the building and its contents and that
Client X has an obligation to comply. Engineer A
should encourage Client X to bring the storage
facility into code compliance.
BER Case 07-11
Do you agree?
What if the client refuses to bring the
building into conformance with code?
Discussion
• Summary
•Q&A
• Conclusions
NSPE Resources
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BER Cases (available on the web)
Gilbane Gold (video presentation)
Incident at Morales (video presentation)
Milton F. Lunch Ethics Contest
Board of Ethical Review (meets 2x / year)
Art Schwartz, NSPE General Counsel
aschwartz@nspe.org