Providing Incomplete, Self-Serving Advice

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It was unethical for Engineer A to leave out relevant and pertinent information from the analysis/ recommendation. Engineer A should have included evaluation of all available delivery methods rather than including only two, including one that A’s firm could provide. Engineer A could also have referred City Administrator to 3rd-party resources. It was ethical for Engineer A to recommend progressive design build is the best choice, as long as reasons are objective, described, valid, and compared against all available and appropriate delivery methods. Unfortunately, Engineer A did not provide objective support for the recommendation. Consequently, Engineer A’s conduct was unethical. It was not unethical to include marketing materials that display Engineer A’s firm’s qualifications.

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By their very words, the cited sections of the NSPE Code of Ethics provide appropriate guidance: “objective and truthful,” “include all relevant and pertinent information,” “not offer any gift or other valuable consideration in order to secure work.” BER Case 95-5 addressed integrity and completeness in preparing reports. The engineer in question rendered an opinion that, based upon test pile, the project’s installed piles did not meet the design safety factor. However, the engineer failed to include in the report that the initial log indicated that several of the piles were driven to essential refusal (intentional disregard of other information); that the test equipment had failed (selective use of information); that the test piles were not driven to the same depth as the installed piles, that a different installation technique was used, that following cure, the test hammer was dropped several times before the count began (all failure to investigate), or that the predicted increase in strength after cure was confirmed. (In that case, the engineer in question also engaged in misrepresentation and potential perjury, but that’s not at issue in the present case.) BER Case 99-8 was relatively analogous. Engineer A bid and won a design contract to provide a complete set of plans and specifications. However, Engineer A submitted plans that were lacking much of the design detail in both drawings and specifications. Not only did Engineer A acknowledge that fact, but even acknowledged that certain parts of the project were arguably unbuildable. Furthermore, Engineer A did not inform anyone as to the incompleteness at the time of submission. Engineer A had a clear obligation to provide a complete set of design drawings and specifications on the project in which Engineer A was engaged, and the incomplete submission was clearly unethical. (In that case, the engineer in question also expressed an intent to defraud, but that’s not at issue in the present case.) In the prese...

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Engineer A provides construction services in the community of City B and is a licensed professional engineer in State C where City B is located. City B is a large metropolitan area and all forms of contracting are available. Engineer A currently has no contractual relationship with City B. City B’s City Administrator asked Engineer A for a recommendation on project delivery methods for their upcoming wastewater system improvements project using a specific funding source. City Administrator is not a licensed professional engineer.Under the proposed funding source, there are four approved project delivery methods: Design-Bid-Build, Construction-Management-at-Risk, Fixed-Price-Design-Build, and Progressive-Design-Build. Additionally, if Construction Manager at Risk is selected by the owner, City B, the funding agency requires the Construction Manager at Risk firm and the Engineer of Record be two distinct entities.Engineer A is qualified to provide construction services under Progressive-Design-Build and Construction-Manager-at-Risk delivery methods Engineer A prepared a summary memo to City B Administrator and only identified Design-Bid-Build and Progressive-Design-Build as viable project delivery options.Engineer A recommended Progressive Design Build. Accompanying the recommendation, Engineer A provided a summary of the firm’s experience with Progressive-Design-Build projects and references from past projects

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Was it ethical for Engineer A to provide a recommendation on project delivery methods that only included two of the possible methods, without providing the complete analysis and the reasoning behind recommending the two selected methods over others? Was it ethical for Engineer A to recommend the method for which they could provide services? Was it ethical for Engineer A to include project summaries and references to encourage selection of their firm for the recommended method for project delivery?

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II.3. Engineers shall issue public statements only in an objective and truthful manner. Subject Reference Public Statements and Criticism 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. Subject Reference Misrepresentation/Omission of Facts Professional Reports, Statements, Testimony II.5.b. Engineers shall not offer, give, 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 or intent of 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, except to a bona fide employee or bona fide established commercial or marketing agencies retained by them. Subject Reference Political Contributions, Gifts, Commissions
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D-tuple Component Breakdown

111

Total Entities

9/9

Components Populated

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Roles R
w=0.12 384D
Engineer A Delivery Advisor Incomplete
Engineer A provided a partial, comparative engineering evaluation of project delivery methodologies with no full...
City Administrator Non-Engineer Client
City Administrator solicited engineering advice from Engineer A on project delivery methods, acting as the...
City Administrator Non-Engineer
The City Administrator of City B, who is not a licensed professional engineer, solicited Engineer A's recommendation...
Engineer A Delivery Advisor
Engineer A was asked to advise City B on project delivery methods for a wastewater system improvements project,...
City B Municipal Client
City B is the municipal owner commissioning wastewater system improvements and seeking professional engineering...
Municipal Client
A government or municipal entity that commissions professional engineering or construction services for public...
Construction Services Engineer
A licensed professional engineering role in which the practitioner is qualified to deliver construction-phase...
Project Delivery Advisor
A professional engineering role in which the practitioner provides advisory recommendations to a client on the...
Non-Engineer Administrator
A municipal or organizational administrator who lacks professional engineering licensure and relies on licensed...
Engineer A Construction Services
Engineer A is a licensed professional engineer qualified to provide construction services under...
10 entities
Principles P
w=0.2 384D
Engineer A Honesty Incomplete Memo
Engineer A's summary memo presented an incomplete picture of the available delivery methods, creating a false...
Engineer A Advisory Role Integrity Breach
Engineer A's advisory role required independence from personal interest, but Engineer A allowed the prospect of...
Conflict of Interest Disclosure Principle
Professional principle requiring engineers to disclose personal or financial interests that may bias their...
Complete Options Analysis Principle
Professional principle requiring engineers who advise clients on selection among multiple available options to...
Advisory Role Integrity Principle
Professional principle requiring engineers who serve in a purely advisory capacity to maintain the independence and...
Engineer A Conflict of Interest Disclosure
Engineer A recommended Progressive Design Build, the delivery method under which Engineer A is qualified to provide...
Engineer A Complete Options Analysis
Engineer A omitted two of the four funding-agency-approved delivery methods, Fixed-Price-Design-Build and...
Engineer A Advisory Role Integrity
Engineer A was engaged in a purely advisory capacity with no existing contractual relationship with City B, but used...
Engineer A Objectivity Advisory
Engineer A's advisory recommendation to City B was not objective because it excluded two of four approved delivery...
Engineer A Professional Competence Advisory
Engineer A was qualified to evaluate and provide services under Progressive-Design-Build and...
Engineer A Transparency Advisory Memo
Engineer A did not disclose to City B the basis for excluding two of the four approved delivery methods from the...
Report Completeness Principle
Professional integrity principle requiring engineers to include all relevant and pertinent information in reports,...
Gratuitous Services Prohibition Principle
Professional principle prohibiting engineers from offering free or donated professional services as a means of...
Engineer A Report Completeness Violation
Engineer A provided a partial comparative evaluation of project delivery methodologies that omitted full analysis of...
Engineer A Gratuitous Services Extension
Engineer A provided a free advisory memo recommending Progressive-Design-Build, a delivery method under which...
Engineer A Objectivity Failure Advisory
Engineer A failed to provide an objective analysis of project delivery methodologies by recommending the option most...
Engineer A Truthfulness Obligation
Engineer A's obligation to be truthful required that the advisory memo accurately represent the state of analysis,...
Engineer A Complete Options Analysis Duty
Engineer A was required to provide a complete analysis of all four project delivery methodologies with their...
Engineer A Conflict of Interest Non-Disclosure
Engineer A recommended Progressive-Design-Build without disclosing that Engineer A was qualified to provide...
19 entities
Obligations O
w=0.15 384D
Engineer A Funding Constraint Disclosure
Engineer A was obligated to disclose to City B Administrator all constraints imposed by the specific funding source...
Engineer A Fiduciary Advisory Duty
Engineer A was obligated to act as a faithful agent of City B's interests when providing advisory services, placing...
Engineer A Gratuitous Services Advisory
Engineer A was obligated to refrain from providing free advisory engineering services to City B as a vehicle to...
Complete Options Advisory Obligation
Duty of an engineer advising a client on selection among multiple available options to present all materially...
Advisory Conflict Disclosure Obligation
Duty of an engineer serving in a purely advisory capacity to disclose to the client any personal, financial, or...
Advisory Role Objectivity Obligation
Duty of an engineer engaged in a purely advisory capacity to provide objective, unbiased analysis and...
Funding Constraint Disclosure Obligation
Duty of an engineer advising a client on project delivery or procurement options under a specific funding source to...
Engineer A Complete Options Advisory
Engineer A was obligated to present all four funding-agency-approved project delivery methods to City B in the...
Engineer A Advisory Conflict Disclosure
Engineer A was obligated to disclose to City B Administrator that Engineer A is qualified to provide construction...
Engineer A Advisory Role Objectivity
Engineer A was obligated to provide City B with an objective, unbiased analysis of all available project delivery...
Report Completeness Obligation
Duty of an engineer preparing a professional report, analysis, or advisory memo to include all relevant and...
Gratuitous Services Solicitation Prohibition Obligation
Duty of an engineer to refrain from offering free or donated professional services as a means of securing subsequent...
Self-Serving Advisory Avoidance Obligation
Duty of an engineer providing advisory services to refrain from structuring the advisory product in a manner that...
Engineer A Report Completeness Advisory Memo
Engineer A was obligated to include all four funding-agency-approved project delivery methodologies with their...
Engineer A Self-Serving Advisory Recommendation
Engineer A was obligated to structure the advisory memo to serve City B's interests by objectively analyzing all...
15 entities
States S
w=0.1 384D
Engineer A Free Services Extension
Engineer A's provision of free engineering services to City Administrator as a means of securing future work
Engineer A Conflict of Interest Undisclosed
Engineer A's personal business interest in the recommended project delivery method conflicting with the duty to...
Engineer A Self-Interested Recommendation
Engineer A's recommendation of Progressive-Design-Build, a method under which Engineer A is qualified to provide services
Selective Option Disclosure State
State in which a professional presents only a subset of available or approved options to a client, omitting...
Self-Interested Recommendation State
State in which a professional makes a recommendation to a client that favors an option under which the professional...
Engineer A No Contract With City B
Engineer A's relationship with City B
Engineer A Qualified Delivery Methods
Engineer A's competence relative to available project delivery methods
Engineer A Outside Design-Bid-Build Scope
Engineer A's qualification status relative to Design-Bid-Build and Fixed-Price-Design-Build delivery methods
Engineer A Selective Option Disclosure
Engineer A's memo to City B Administrator omitting two of four approved delivery methods
City Administrator Non-Engineer Advisory Context
City Administrator's lack of professional engineering licensure and resulting reliance on Engineer A's advice
City B Regulatory Funding Constraints
City B's obligation to select a project delivery method from the four approved under the specific funding source
Incomplete Professional Report State
State in which a professional has produced or submitted a report or analysis that omits material information,...
Partial Analysis Disclosure State
State in which a professional provides an analysis or evaluation that is incomplete in scope, omitting...
Engineer A Partial Methodology Analysis
Engineer A's response to City Administrator's solicitation for analysis of water/wastewater methodologies
14 entities
Resources Rs
w=0.1 384D
Project Delivery Method Guidance Resource
Official documentation or regulatory guidance specifying approved project delivery methods available under a...
Engineer Qualification and Experience Resource
Documentation of a professional engineer's or firm's qualifications, past project experience, and client references...
Engineer A Progressive Design Build Experience Summary
Submitted by Engineer A alongside the delivery method recommendation to City B, documenting the firm's...
3 entities
Actions A
w=0.1 384D
Informal Guidance Request
Advisory Memo Preparation
Selective Scope Omission
Biased Method Recommendation
Self-Promotional Credential Inclusion
5 entities
Events E
w=0.08 384D
Advisory Engagement Initiated
Funding Approval Established
Delivery Options Narrowed
Conflict of Interest Created
Free Services Rendered
BER Ethical Finding
6 entities
Capabilities Ca
w=0.07 384D
Engineer A Options Completeness
Engineer A had the capability to identify all four funding-agency-approved project delivery methods and to present...
Referral Resource Identification Capability
Capability to identify and direct clients to appropriate external resources, such as publicly available analyses,...
Report Completeness Integrity Capability
Capability to recognize when a professional report, memo, or advisory product omits material information,...
Engineer A Non-Engineer Client Communication
Engineer A had the capability to recognize that the City Administrator lacked engineering licensure and therefore...
Engineer A Conflict of Interest Advisory
Engineer A was required to recognize that being qualified and positioned to provide paid construction services under...
Non-Engineer Client Communication Capability
Capability to communicate technical engineering analysis and recommendations to a non-engineer client in a manner...
Conflict of Interest Recognition Capability
Capability to identify when a personal, financial, or competitive interest in the outcome of a professional...
Options Completeness Assessment Capability
Capability to identify and present all materially relevant options available to a client under applicable...
Funding Constraint Analysis Capability
Capability to identify, interpret, and communicate constraints imposed by a specific funding source on available...
Advisory Objectivity Maintenance Capability
Capability to provide professional advisory recommendations that are free from bias introduced by personal,...
Engineer A Conflict Recognition
Engineer A had the capability to recognize that being qualified to provide construction services under...
Engineer A Funding Constraint Analysis
Engineer A had the capability to identify and communicate the constraints imposed by the specific funding source on...
Engineer A Advisory Objectivity
Engineer A had the capability to structure the delivery method analysis objectively, separating the advisory role...
Engineer A Fiduciary Advisory Judgment
Engineer A had the capability to recognize that the fiduciary duty to act as a faithful agent of City B's interests...
Gratuitous Services Conflict Recognition Capability
Capability to recognize when providing free or donated professional services to a prospective client creates an...
Engineer A Referral Resource Advisory
Engineer A had the capability to identify and refer City Administrator to publicly available or subscription...
Engineer A Report Completeness Memo
Engineer A was required to possess the capability to recognize that omitting three of four approved project delivery...
Engineer A Options Completeness Advisory
Engineer A was required to identify and present all four funding-agency-approved project delivery methodologies with...
Engineer A Gratuitous Services Conflict
Engineer A was required to recognize that providing a free advisory memo to City Administrator, in a context where...
Engineer A Advisory Objectivity Memo
Engineer A was required to structure the advisory memo so that the analysis and recommendation reflected City B's...
20 entities
Constraints Cs
w=0.08 384D
Engineer A Advisory Scope Completeness
Engineer A was constrained to present all four funding-agency-approved project delivery methodologies with their...
Engineer A Self-Promotion Advisory
Engineer A was prohibited from using the advisory engagement with City Administrator as a vehicle to promote...
Engineer A Conflict of Interest Advisory
Engineer A was required to avoid acting in a manner where a personal business interest in securing future work under...
Engineer A Report Integrity Advisory Memo
Engineer A was constrained to provide an objective and truthful advisory memo that included all relevant and...
Advisory Scope Completeness Constraint
Ethical constraint requiring that an engineer providing advisory services to a client present all materially...
Regulatory Option Constraint
Constraint arising when a specific funding source or regulatory authority limits the set of permissible project...
Self-Promotion Advisory Constraint
Ethical constraint prohibiting an engineer who is providing advisory services from using the advisory engagement as...
Competence Scope Advisory Constraint
Competence constraint limiting an engineer providing advisory services to presenting and evaluating only those...
Engineer A Advisory Completeness
Engineer A was prohibited from presenting only a subset of the four funding-agency-approved delivery methods in the...
Engineer A Funding Option Accuracy
Engineer A was required to accurately represent to City B Administrator all four project delivery methods approved...
Engineer A Self-Promotion in Advisory
Engineer A was prohibited from submitting a firm qualifications summary and project references alongside an advisory...
Engineer A Competence Scope Advisory
Engineer A's uneven competence across the four approved delivery methods constrained the objectivity of the advisory...
Engineer A Free Services Conflict
Engineer A was prohibited from providing free engineering advisory services to City B Administrator as a means of...
Engineer A CM-at-Risk Exclusion Disclosure
Engineer A was required to disclose to City B Administrator the funding agency's requirement that under...
Referral Alternative Constraint
Ethical constraint establishing that when a professional cannot or should not provide a complete advisory service...
Free Services Solicitation Constraint
Ethical constraint prohibiting an engineer from extending free or donated professional services to a prospective...
Report Integrity Constraint
Ethical and professional constraint requiring that an engineer's report, analysis, or advisory product be objective...
Engineer A Referral Alternative Advisory
When Engineer A could not provide a complete, unbiased analysis of all four delivery methodologies without incurring...
Engineer A Free Services Gift Prohibition
Engineer A was prohibited from providing free engineering advisory services to City B as a means of positioning for...
19 entities
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