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NSPE Code of Ethics Case Study (INCOMPLETE PLANS AND SPECIFICATIONS – ENGINEER, GOVERNMENT, AND CONTRACTOR RESPONSIBILITIES)

Facts: Engineer A responds to an RFP from a small local public agency to build a new dam to be financed in part by a federal grant. Engineer A’s firm’s impressive brochure and personal interview results in the award of a contract for the design, drawings, and specifications. The signed and sealed drawings and specifications are ultimately approved by Engineer B of the engineering staff of the federal agency funding the project, and the project is thereafter duly advertised for bids and a contract is awarded to the low bidder, Hi-Lo Construction. The local public agency does not have the in-house technical resources to review the drawings and specifications. At the pre-construction conference, it is pointed out by Engineer C, owner of Hi-Lo Construction, that much of the design detail is lacking in the drawings and specifications and that Hi-Lo Construction declares that certain parts of the project are “unbuildable” without major changes. Engineer A generally agrees with Hi-Lo’s characterization, but in his defense responds that he felt pressured to deliver the drawings and specifications on a specified date, but did not inform anyone as to their incompleteness. While much of the information was missing from the drawings and specifications, Engineer A was confident that sufficient federal funds (and not local funding) would cover any potential increased costs.

Questions:

1. Was it ethical for Engineer A to submit final drawings and specifications for review and approval that he knew were incomplete?

2. Was it ethical for Engineer B to approve a set of incomplete drawings on behalf of the Federal government for competitive bidding?

3. Was it ethical for Engineer C, owner of the Hi-Lo Construction firm, to submit a bid on a construction contract that he later characterized as “unbuildable” without major changes?

NSPE Code of Ethics Case Study (PROVIDING DESIGN TO CLIENT’S COMPETITOR)

Facts: Engineer A is hired by Developer X to perform design and construction-phase services for a subdivision for Developer X. Per the agreement with Developer X, Engineer A is paid 30% of his fee by Developer X. Engineer A submits the design drawings and plans to the county authorities and permits are issued for the benefit of Developer X. Developer X cannot get financing for the project, and Developer X tells Engineer A that Engineer A should not disclose the contents of the drawings and plans to any unauthorized third party. Developer Y, a client of Engineer A and also a business competitor of Developer X, is interested in the subdivision project. Developer Y has secured financing for the project and approaches Engineer A, requesting that he perform the design on the project and requests that Engineer A provide the design documents for Developer Y’s review. Since Engineer A was not paid his entire fee for his completed project design by Developer X, Engineer A agrees to provide the design drawings and plans to Developer Y and agrees to charge Developer Y only for the changes to the original subdivision design drawings and plans.

Questions:

1. Was it ethical for Engineer A to provide a copy of the design drawings and plans to Developer Y?

2. Was it ethical for Engineer A to charge Developer Y for the changes to the original subdivision design drawings and plans?

NSPE Code of Ethics Case Study (MISREPRESENTATION OF A BUSINESS RELATIONSHIP)

II.5.a. – Code of Ethics: 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, associates, joint venturers or past accomplishments. FACTS: Engineer A is starting out as a consulting engineer. Engineer A is the first to respond to a notice in the newsletter of a local chapter of an engineering society asking for volunteers to help organize a consultant’s referral network. Engineer B, a society officer, asks Engineer A to help organize the network as well as others who express interest. Some time later, Engineer B calls to ask Engineer A if Engineer A would look at an engineering problem. Engineer A goes to Engineer B’s office expecting to get the particulars of a referral, since some members of the developing network are in the habit of giving one another referrals. Engineer B then accompanies Engineer A to the potential client’s office, but because the referral process is new, Engineer A does not discuss arrangements with to Engineer B. In the middle of the client’s description of the engineering problem, the client asks about the contractual relationship. Engineer B replies that Engineer A will subcontract to Engineer B on the project.

QUESTIONS:

Question 1: Was it ethical for Engineer B to indicate that Engineer A will subcontract to Engineer B on the project?

Question 2: What were Engineer A’s ethical obligations under the circumstances?