Peer Review - Confidentiality Agreements
Case 181
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If Engineer A determines 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 is for Engineer A to immediately discuss these issues with Engineer B in an effort to seek clarification and early resolution of this issue. If Engineer A and Engineer B are unable to resolve the issue, Engineer A must inform Engineer B that as a professional engineer, his only alternative is to notify and inform the proper authorities as indicated above.
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In recent years, various professions, including groups within the engineering profession, have successfully developed peer review programs. These voluntary programs have been immensely successful in creating a mechanism whereby professionals in a collegial atmosphere can work with one another in an effort to understand and improve professional practice. This can be accomplished by analyzing and evaluating the actions, decisions, and techniques of the professional and offering constructive and, at times, critical feedback. Peer review enhances professional practice.
One of the hallmarks of engineering peer review programs has been the fact that such programs are built on a foundation of confidentiality, whereby an individual agreeing to serve as a peer reviewer must sign a “confidentiality agreement” in which the peer reviewer agrees not to disclose information that is revealed to the peer reviewer about the firm being reviewed during the course of the peer review process. There are sound reasons for such an approach. Firms being peer reviewed should be encouraged to provide as much pertinent detailed information to the peer reviewer to allow the peer reviewer the opportunity to perform a thorough evaluation of the firm, and confidentiality helps to assure that the maximum amount of disclosure will occur. In addition, confidentiality helps build trust between the parties involved in the peer review process and promotes an atmosphere that will improve the likelihood that the peer review process will be mutually productive and ultimately successful.
While the merits of confidentiality are clear, the Board of Ethical Review is faced with a situation in the present case where Engineer A, the engineer performing the peer review, discovers that the work of the engineer being peer reviewed, Engineer B, may be in violation of state and local safety code requirements and could endanger public health and welfare. This ethical dilemma appears to involve two separate provisions ...
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Engineer A serves as a peer reviewer as part of an organized peer review program developed to assist engineers in improving their professional practice. When originally selected as a peer reviewer, Engineer A is asked to sign a “confidentiality agreement” whereby Engineer A agrees not to disclose confidential information involving peer-reviewed firms.
As part of a peer review visit, Engineer A visits Engineer B’s firm. Following a review of the technical documentation in connection with a series of recent design projects involving Engineer B’s firm, Engineer A discovers that Engineer B’s work may be in violation of state and local safety code requirements and could endanger public health, safety, and welfare.
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What are Engineer A’s ethical responsibilities under the circumstances?
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II.1.e. Engineers shall not aid or abet the unlawful practice of engineering by a person or firm. Subject Reference Unethical Practice by Others 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. Subject Reference Confidential Information
II.1.e. Engineers shall not aid or abet the unlawful practice of engineering by a person or firm. Subject Reference Unethical Practice by Others
II.1.e. Engineers shall not aid or abet the unlawful practice of engineering by a person or firm. Subject Reference Unethical Practice by Others
II.1.e.
II.1.e.
Engineers shall not aid or abet the unlawful practice of engineering by a person or firm. Subject Reference Unethical Practice by Others
Engineers shall not aid or abet the unlawful practice of engineering by a person or firm.
Engineers shall not aid or abet the unlawful practice of engineering by a person or firm.
Subject Reference Unethical Practice by Others
Subject Reference
Unethical Practice by Others
Unethical Practice by Others
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. Subject Reference Confidential Information
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. Subject Reference Confidential Information
III.4.
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. Subject Reference Confidential Information
Engineers shall not disclose, without consent, confidential informatio...
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39
Total Entities9/9
Components Populated9/9
With EmbeddingsCombined Embedding
Roles
R
w=0.12
384D
Public Affected by Safety Risk
The party whose health, safety, and welfare could be endangered by Engineer B's possible violation of state and...
Engineer A Peer Reviewer
Serves as a peer reviewer under an organized peer review program, signed a confidentiality agreement not to disclose...
Engineer B Design Engineer
Principal of the peer-reviewed firm whose technical documentation for recent design projects is reviewed by Engineer...
Board of Ethical Review Adjudicator
Weighs the competing confidentiality and public-safety provisions of the NSPE Code (Section III.4. and Section...
Proper Authorities
The authorities with whom Engineer A may cooperate, furnishing such information or assistance as may be required, if...
5 entities
Principles
P
w=0.2
384D
Public Safety Paramount in Peer Review
The Board holds that if Engineer A determines there is an imminent risk of harm such as loss of life or serious risk...
Code Conformance Regardless of Business Form
The Board's note that the Code is written to apply to the Engineer as a real person and that business form or type...
Confidentiality in Peer Review
Engineer A's signed confidentiality agreement, made when selected as a peer reviewer, promising not to disclose...
Public Welfare in Peer Review
Engineer A's discovery during the peer review visit that Engineer B's work may violate state and local safety code...
4 entities
Obligations
O
w=0.15
384D
Engineer A Public Safety Duty
Engineer A must hold paramount the safety, health, and welfare of the public, a duty engaged by the discovery that...
Engineer A Authority Cooperation Duty
Engineer A, having knowledge of any alleged violation of the Code of Ethics, has an obligation to cooperate with the...
Engineer A Peer Notification Duty
If Engineer A determines there is an imminent risk of harm to the public health and safety, such as loss of life or...
Engineer A Confidentiality Duty
Engineer A must protect and keep confidential the information involving peer-reviewed firms obtained through the...
Engineer A Escalation Warning Duty
If Engineer A and Engineer B are unable to resolve the issue, Engineer A must inform Engineer B that, as a...
5 entities
States
S
w=0.1
384D
Confidentiality Versus Cooperation Dilemma
Code Applicability Despite Business Form
Peer Review Confidentiality Bound
Discovered Possible Code Violation
Potential Public Endangerment From Design Work
5 entities
Resources
Rs
w=0.1
384D
NSPE Code of Ethics
NSPE Code of Ethics (topic: confidentiality of client information and cooperation with proper authorities in matters...
BER Case 76-4
BER Case 76-4 (topic: an engineer gaining knowledge of information damaging to a client's interest which involved...
2 entities
Actions
A
w=0.1
384D
Risk Assessment
Authority Cooperation
Confidentiality Agreement Signing
Peer Review Conduct
Design Work Execution
Collegial Issue Discussion
6 entities
Events
E
w=0.08
384D
Peer Reviewer Selection
Safety Violation Discovery
Corrective Action Failure
3 entities
Capabilities
Ca
w=0.07
384D
Engineer A Peer Review Assessment
Engineer A exercises this competence in reviewing the technical documentation of recent design projects at Engineer...
Engineer A Violation Recognition
Engineer A perceives that Engineer B's work may violate safety codes and could endanger public health, safety, and...
Engineer A Safety Code Assessment
Engineer A identifies the state and local safety code requirements governing the reviewed work and assesses that...
Engineer A Confidentiality Judgment
Engineer A's signed confidentiality agreement covering information involving peer-reviewed firms presupposes the...
Engineer A Imminent Risk Assessment
Engineer A must determine whether Engineer B's possible safety code violations pose an imminent risk of harm to the...
Engineer A Response Threshold Judgment
Engineer A must exercise appropriate judgment and discretion depending upon all of the facts and circumstances to...
Engineer A Peer Resolution Engagement
The Board holds that a more appropriate action would be for Engineer A to expeditiously discuss the possible safety...
7 entities
Constraints
Cs
w=0.08
384D
Engineer A Peer Review Confidentiality
Engineer A must not disclose confidential information involving peer-reviewed firms obtained through the organized...
Engineer B Safety Code Compliance
Engineer B must not produce design work that violates state and local safety code requirements and could endanger...
2 entities
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