Codes of ethics I
Engineering is considered to be a profession rather than an occupation like other recognized learned professions such as law, medicine, and theology because of several distinguishing characteristics, which include special knowledge, special privileges, and special responsibilities.
Professions are based on a large knowledge base requiring extensive training. Professional skills are important to the well-being of society. Professions are self-regulating, in that they control the training and evaluation processes that admit new persons to the field. Professionals have autonomy in the workplace; they are expected to utilize their independent judgment in carrying out their professional responsibilities. Finally, professions are regulated by ethical standards.
The expertise possessed by engineers is vitally important to public welfare. In order to serve the public effectively, engineers must maintain a high level of technical competence. However, a high level of technical expertise without adherence to ethical guidelines is as much a threat to public welfare as is professional incompetence. Therefore, engineers must also be guided by ethical principles.
In this section, we will explore the foundations of engineering ethics, examine various codes of professional conduct, and discuss their application to real-world situations.
Foundations of ethical guidance
What are ethics?
Relative to the practice of engineering, ethics are best defined as rules of conduct recognized in respect to a particular class of human actions or governing a particular group, culture, and so on.
Ethics are distinct from:
- Laws: Legal requirements enacted by government
- Personal values: Individual beliefs about right and wrong
- Cultural differences: Variations in customs and practices across societies
While ethics may overlap with these concepts, professional ethics specifically refers to the established standards of conduct for a particular profession.
The need for ethical guidelines
It is generally conceded that an individual acting on his or her own cannot be counted on to always act in a proper and moral manner. Various forms of ethical guidance (e.g., creeds, rules, statutes, canons, and codes) all attempt to provide the framework needed for an engineer to do “the correct thing.”
Untrained members of society are at the mercy of the professionals they employ, whether those professionals are doctors, lawyers, or engineers. Even a cab driver can take advantage of a new tourist who doesn’t know the shortest route between two points. In many cases, the unsuspecting public needs protection from unscrupulous professionals, engineers included, who might otherwise act in their own interest rather than in the interest of those they serve.
Types of ethical guidance
Creed: A creed is a statement or oath, often religious in nature, taken or assented to by an individual in ceremonies. For example, the Engineers’ Creed adopted by the National Society of Professional Engineers (NSPE) states:
Purpose of codes of ethics
General purpose
Many different sets of codes of ethics (also called canons of ethics or rules of professional conduct) have been produced by various engineering societies, registration boards, and other organizations. The purpose of these ethical guidelines is to guide the conduct and decision making of engineers.
Most codes are primarily educational in nature. Nevertheless, from time to time they have been used by professional societies and regulatory agencies as the basis for disciplinary actions against engineers who violate their provisions.
Fundamental requirements
Fundamental to all ethical codes is the requirement that engineers render faithful, honest, professional service. In providing such service, engineers must represent the interests of their employers or clients and, at the same time, protect public health, safety, and welfare.
Legal vs. ethical distinctions
There is an important distinction between what is legal and what is ethical. Many legal actions can be violations of codes of ethical or professional behavior. For example, an engineer’s contract with a client may give the engineer the right to assign the engineer’s responsibilities to another party, but doing so without informing the client would be unethical even though it is legally permitted.
Categories of ethical guidelines
Ethical guidelines can be categorized on the basis of who is affected by the engineer’s actions:
- The client
- Vendors and suppliers
- Other engineers
- The public at large
Some authorities also include ethical guidelines for dealing with employees of an engineer. However, these guidelines are no different for an engineering employer than they are for any other employer. Ethics is not a unique issue when it comes to employee relations.
Example code: ASCE Canons of Ethics
The code of ethics of the American Society of Civil Engineers (ASCE) contains the following seven canons, which illustrate the breadth of ethical considerations facing engineers:
NCEES Model Rules of Professional Conduct
Introduction to model rules
The ethical principles governing the engineering profession are embodied in codes of ethics adopted by state boards of registration, professional engineering societies, and even some private industries. A prominent example is the NCEES Rules of Professional Conduct, found in Section 240 of the Model Rules.
As part of his or her responsibility to the public, an engineer is responsible for knowing and abiding by the applicable code of ethics.
Structure of Model Rules
The principles amplified in these sections are important guides to appropriate behavior of professional engineers.
Challenges in applying codes
Application of the code in many situations is not controversial. However, there may be situations in which applying the code raises more difficult issues:
Conceptual Issues: There may be circumstances in which terminology in the code is not clearly defined, or in which two sections of the code may be in conflict. For example, what constitutes “valuable consideration” or “adequate” knowledge may be interpreted differently by qualified professionals.
Factual Issues: Many decisions regarding engineering design may be based upon interpretation of disputed or incomplete information.
Trade-offs: Competing issues of risk vs. benefit, or safety vs. economics, may require judgments that are not fully addressed simply by application of the code.
Important principle: No code can give immediate and mechanical answers to all ethical and professional problems that an engineer may face. Creative problem solving is often called for in ethics, just as it is in other areas of engineering.
Obligations to employers and clients
Competence and Qualification
Licensees shall undertake assignments only when qualified by education or experience in the specific technical fields of engineering or surveying involved. This ensures that clients receive competent service and that public safety is not compromised by engineers working outside their areas of expertise.
Signature and seal requirements
Licensees shall not affix their signatures or seals to any plans or documents dealing with subject matter in which they lack competence, nor to any such plan or document not prepared under their responsible charge.
Project Coordination Exception: Licensees may accept assignments and assume responsibility for coordination of an entire project if each technical segment is signed and sealed by the licensee responsible for preparation of that technical segment.
Confidentiality
Licensees shall not reveal facts, data, or information obtained in a professional capacity without the prior consent of the client, employer, or public body on which they serve except as authorized or required by law or rules.
Additionally, licensees shall not use confidential information received in the course of their assignments as a means of making personal profit without the consent of the party from whom the information was obtained.
Conflicts of Interest
Gratuities: Licensees shall not solicit or accept gratuities, directly or indirectly, from contractors, their agents, or other parties in connection with work for employers or clients.
Disclosure: Licensees shall disclose to their employers or clients all known or potential conflicts of interest or other circumstances that could influence or appear to influence their judgment or the quality of their professional service or engagement.
Multiple Compensation: Licensees shall not accept compensation, financial or otherwise, from more than one party for services pertaining to the same project, unless the circumstances are fully disclosed and agreed to in writing by all interested parties.
Government service restrictions
Licensees shall not solicit or accept a professional contract from a governmental body on which a principal or officer of their organization serves as a member.
Conversely, licensees serving as members, advisors, or employees of a government body or department, who are the principals or employees of a private concern, shall not participate in decisions with respect to professional services offered or provided by said concern to the governmental body that they serve.
Plan stamping
Plan stamping refers to the illegal action of signing off on a project that the engineer did not design or check.
- It is legal to stamp plans that you personally designed and/or checked
- It is illegal to stamp plans that you didn’t personally design or check, regardless of whether you got paid
- It is legal to work as a “plan checker” consultant and stamp plans you have thoroughly reviewed
Obligations to other licensees
Honest representation
Licensees shall not falsify or permit misrepresentation of their, or their associates’, academic or professional qualifications. They shall not misrepresent or exaggerate their degree of responsibility in prior assignments nor the complexity of said assignments.
Presentations incidental to the solicitation of employment or business shall not misrepresent pertinent facts concerning employers, employees, associates, joint ventures, or past accomplishments.
Prohibition on improper inducements
Licensees shall not offer, give, solicit, or receive, either directly or indirectly, any commission, or gift, or other valuable consideration in order to secure work, and shall not make any political contribution with the intent to influence the award of a contract by public authority.
Professional courtesy
Licensees shall not injure or attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice, or employment of other licensees, nor indiscriminately criticize other licensees’ work.
Duty to inform
Licensees shall make a reasonable effort to inform another licensee whose work is believed to contain a material discrepancy, error, or omission that may impact the health, safety, or welfare of the public, unless such reporting is legally prohibited.