Conflict of Interest - Part-Time Service as City Engineer
Case 103
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It is not unethical for an engineer retained by a community on a part-time basis as a city engineer to prepare plans and specifications for a project for the same community, but in so acting the engineer must be scrupulously careful that his advice is not influenced by his secondary interest as the engineer likely to be retained for the design of the project.
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We have previously noted that "although neither the Canons nor the Rules refer specifically to a 'conflict of interest,' it is axiomatic that a professional person may not take action or make decisions which would divide his loyalties or interests from those of his employer or client." (Case No. 60-5)
A somewhat similar situation was analyzed in Case No. 62-7. Here it was held that there would be a conflict of interest in a situation in which a consulting engineer was retained by a county commission to perform all engineering and advisory services for it, including review and approval of plans submitted by other engineers; and the same consultant was retained by a private company to perform engineering design for housing units as part of a project which involved negotiations with the same county commission. In reaching our conclusion that there was a conflict of interest, we said: "The consultant is in the position of passing engineering judgment on behalf of the Commission on work or contract arrangements which the engineer performed, or in which he participated. This would obviously involve the self-interest of the engineer and divide his loyalties. Even if the engineer acts with the best of intentions, he is put into the position of assessing his recommendations to two clients with possibly opposing interests."
The distinguishing fact in the instant case is that the engineer has only one client, and he is, therefore, not subject to the same pressures to temper his service to one client in order to satisfy the other. There is still left for decision, however, the practical question of the engineer passing on the adequacy of his own plans in his capacity as city engineer. There is no requirement in either the Canons or Rules that an engineer's plans for a client must be reviewed by an engineer employed or retained by the client. The client has such a right of review by its own engineer, but it may waive its right, as it has obviously done in this case. Under thes...
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A small community retains a professional engineer on a part-time basis to serve as city engineer. The professional engineer holding this position is engaged in full-time private practice and treats his part-time service to the community as service to a client. The duties for the city usually include advising the city council on engineering problems, offering recommendations on engineering project considerations and approving plans for engineering processes and works.
In addition to general advisory services to the city, the professional engineer may be retained by the city council for the preparation of plans and specifications for a city project. In such cases, he is compensated on a normal professional fee basis over and above his monthly retainer.
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Is a professional engineer retained by a city for general advisory services in violation of the Canons of Ethics by also preparing plans and specifications on projects for the city in which he participated and advised the city council?
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Canons of Ethics-Canon 15- "He will not accept compensation, financial or otherwise, from more than one interested party for the same service, or for services pertaining to the same work, without the consent of all interested parties."
Canon 27-"He will not use the advantages of a salaried position to compete unfairly with another engineer."
Rules of Professional Conduct Rule 13-"He will advise his client when he believes a project will not be successful."
Rule 17-"An engineer in private practice may be employed by more than one party when the interests and time schedules of the several parties do not conflict."
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Find Similar CasesD-tuple Component Breakdown
143
Total Entities9/9
Components Populated2/9
With EmbeddingsCombined Embedding
Roles
R
w=0.12
No Emb
Dual Capacity Advisory and Design Engineer
A licensed professional engineer serving a single municipal client in two simultaneous capacities: as a part-time...
County Commission Advisory and Review Engineer
A consulting engineer retained by a county commission to perform all engineering and advisory services including...
Engineer Dual Capacity City Advisory Design
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Consulting Engineer County Commission Conflict
A consulting engineer referenced from Case No. 62-7 who was retained by a county commission for all engineering and...
City Municipal Government Client
The small municipal government retaining the engineer in dual capacity as part-time city engineer and fee-based...
Municipal Government Client
A small municipal government that retains a private-practice professional engineer on a part-time basis under a...
Small Community Municipal Client
A small community whose city council retains a private-practice professional engineer part-time as city engineer...
Part-Time City Engineer Advisory Design
A professional engineer in full-time private practice retained part-time by a small community as city engineer under...
Part-Time Municipal Engineer
A licensed professional engineer engaged in full-time private practice who is retained part-time by a municipal...
9 entities
Principles
P
w=0.2
No Emb
Two-Client Conflict of Interest Prohibition
Principle establishing that an engineer who serves two clients with potentially opposing interests creates a...
Divided Loyalty Axiomatic Prohibition
Fundamental principle establishing that it is axiomatic in professional ethics that a professional person may not...
Divided Loyalty Axiom Case 60-5 Reference
The Board invokes the axiomatic prohibition from Case No. 60-5 that a professional may not take action or make...
Single Client Distinguishing Fact Dual Capacity
The Board distinguishes the instant case from Case No. 62-7 on the ground that the engineer has only one client, and...
City Client Waiver Self-Review Right
The city client has waived its right to have the engineer's plans reviewed by a separate engineer retained by the...
Dual Capacity Not Divided Capacity City Engineer
The Board concludes that the engineer serving as both part-time city engineer and fee-based design engineer for the...
Salaried Employee Distinction Canon 27 Inapplicability
Canon 27 does not apply to the part-time city engineer because it refers to a salaried position, whereas the...
City Engineer Heightened Caution Advisory Duty
Rule 13 binds the engineer to avoid prejudicing advisory recommendations to the city on the project under...
City Engineer Objectivity Advisory Role
The engineer must render objective advisory recommendations to the city council on projects for which the engineer...
Public Welfare Paramount
Fundamental principle placing public safety and welfare above all other professional considerations, requiring...
Loyalty
Relational principle requiring engineers to serve employer and client interests faithfully, but only within the...
Objectivity
Principle requiring engineers to render professional opinions and evaluations based on objective technical...
Dual Capacity Without Divided Loyalty Permissibility Principle
Domain-specific principle establishing that an engineer may ethically occupy two simultaneous roles for the same...
Single-Client Dual-Role Self-Review Heightened Caution Obligation
Domain-specific principle establishing that when an engineer serves in both an advisory capacity and a design...
Small Municipality Competent Engineering Access as Public Interest Justification
Domain-specific principle establishing that the public interest in ensuring small municipalities have access to the...
City Engineer Objectivity Plan Approval
The part-time city engineer must approve plans and specifications for city projects based solely on technical merit,...
City Engineer Dual Capacity Permissibility
The part-time city engineer serves the small community in two simultaneous capacities -- as monthly-retainer...
City Engineer Self-Review Heightened Caution
The part-time city engineer bears a heightened obligation of caution and objectivity when approving plans and...
Small Community Engineering Access Justification
The small community's retention of a part-time engineer for both advisory and design services reflects the public...
City Engineer Client Relationship Structural Independence
The part-time city engineer treats the relationship with the small community as a consultant-to-client relationship...
City Council Waiver Independent Review
The city council's decision to retain the same engineer for both advisory and design services constitutes an...
Engineer-to-Client Versus Engineer-to-Employer Relationship Distinction as Conflict Determinant
Domain-specific principle establishing that the critical ethical determinant in dual-role municipal engineering...
Client Waiver of Independent Self-Review Right Permissibility Principle
Domain-specific principle establishing that a municipal or other public client has the legal and ethical right to...
City Engineer Public Welfare Advisory Role
The part-time city engineer's advisory and plan-approval functions serve the public welfare by ensuring that...
City Engineer Loyalty Dual Capacity
The part-time city engineer owes loyalty to the small community as a client, requiring that advisory recommendations...
25 entities
Obligations
O
w=0.15
No Emb
City Engineer Advisory Objectivity
The part-time city engineer is obligated to render all advisory recommendations to the city council on engineering...
City Engineer Compensation Transparency
The part-time city engineer is obligated to ensure that compensation received under the monthly retainer for general...
City Engineer Self-Review Caution
The part-time city engineer is obligated to exercise heightened caution and objectivity when approving plans and...
City Engineer Consulting Relationship Integrity
The part-time city engineer is obligated to maintain the structural integrity of the consultant-to-client...
City Engineer Public Interest Service
The part-time city engineer is obligated to ensure that the dual-role arrangement genuinely serves the public...
City Engineer Dual Capacity Loyalty
The part-time city engineer is obligated to maintain undivided loyalty to the small community across both the...
City Engineer Competence Advisory Design
The part-time city engineer is obligated to perform both advisory services and design services for the city only...
City Engineer Safety Plan Approval
The part-time city engineer is obligated to hold paramount the safety, health, and welfare of the public when...
Self-Interest Advisory Prejudice Avoidance Obligation
Duty of a professional serving in an advisory capacity to avoid allowing a secondary commercial interest in...
Client Waiver Self-Review Permissibility Recognition Obligation
Duty of a professional and ethics adjudicators to recognize that a client has the right to waive independent review...
Two-Client Conflict Distinguishing Obligation
Duty of a professional and ethics adjudicators to correctly distinguish between dual-capacity arrangements involving...
City Engineer Self-Interest Advisory Prejudice Avoidance
The part-time city engineer is obligated to avoid prejudicing advisory recommendations to the city council on...
City Council Client Waiver Self-Review Right
Ethics adjudicators and the engineer are obligated to recognize that the city council has waived its right to...
Ethics Board Two-Client Conflict Distinguishing
Ethics adjudicators are obligated to distinguish the instant case from Case No. 62-7 on the ground that the engineer...
City Engineer Canon 27 Non-Applicability Recognition
Ethics adjudicators are obligated to recognize that Canon 27, which refers to a salaried position, does not apply to...
Public Interest Service Justification Obligation
Duty of a professional providing services under an arrangement that might otherwise raise ethical concerns to ensure...
Faithful Agent Dual Capacity Loyalty Obligation
Duty of a professional serving a single client in multiple simultaneous capacities to maintain undivided loyalty to...
Advisory Objectivity Obligation
Duty of a professional serving in an advisory capacity to render recommendations based solely on objective technical...
Dual Role Compensation Transparency Obligation
Duty of a professional serving a single client in both a general retainer advisory capacity and a fee-based project...
Self-Review Heightened Caution Obligation
Duty of a professional who serves in both an advisory or approval capacity and a design capacity for the same client...
Consulting Relationship Structural Integrity Obligation
Duty of a professional retained on a consulting basis by a client to maintain the structural integrity of the...
21 entities
States
S
w=0.1
No Emb
Engineer Supplemental Design Fee Engagement
Engineer under part-time retainer with city additionally engaged for specific design project compensated separately
Engineer Conflict of Interest Self-Review
Engineer's potential self-interest in securing design commission creating risk of bias in advisory recommendations...
Ethics Body Precedent Distinguishing Analysis
Ethics board analysis distinguishing current single-client dual-capacity case from Case No. 62-7 two-client conflict...
City Engineer Advisory Authority
Professional engineer holding official advisory position as city engineer
Single Client Dual Capacity Non-Divided Loyalty State
State in which a consulting engineer serves a single municipal or public client in two simultaneous capacities -- as...
Two-Client Self-Review Conflict Precedent Distinguishing State
State in which a professional ethics body or engineer must distinguish a current dual-capacity arrangement from a...
City Engineer Dual Role Engagement
Professional engineer serving as part-time city engineer while maintaining full-time private practice
City Engineer Dual Capacity Single Client
Engineer retained part-time as city engineer and simultaneously performing design work for the same city
City Engineer Supplemental Fee Engagement
Professional engineer retained for specific project plan preparation beyond general advisory retainer
City Engineer Single Client Dual Capacity
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City Engineer Client Relationship
Professional relationship between the engineer and the community treated as a client relationship
Engineer Dual Role Part-Time Public Private
Engineer simultaneously holding part-time city engineer retainer and full-time or separate private design practice...
12 entities
Resources
Rs
w=0.1
No Emb
BER Case 60-5 Conflict of Interest
Cited to establish the axiomatic principle that a professional may not take action or make decisions that divide...
BER Case 62-7 Dual Retention Conflict
Cited as analogous precedent involving a consulting engineer retained by a county commission for all engineering and...
NSPE Code of Ethics
Primary normative authority for evaluating whether a part-time city engineer may also prepare plans and...
City Engineer Dual Role Ethics Standard
Provides the professional standard against which the part-time city engineer's simultaneous advisory and design...
Municipal Engineer Dual Role Ethics Standard
Professional norms and ethical obligations governing the conditions under which a professional engineer or...
NSPE Code of Ethics Canons and Rules
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6 entities
Actions
A
w=0.1
384D
Dual Role Acceptance
Part-Time Retention Decision
Project Scope Expansion
Self-Interest Advisory Recommendation
Independent Review Waiver
5 entities
Events
E
w=0.08
384D
Scope Expansion Triggered
Conflict of Interest Recognized
Advisory Objectivity Compromised
Independent Oversight Absent
Dual Role Establishment
Retainer Relationship Formed
6 entities
Capabilities
Ca
w=0.07
No Emb
City Engineer Dual Capacity Loyalty
The engineer serving in dual advisory and design capacity for the city possesses the capability to exercise...
City Engineer Client Trustee Framing
The part-time city engineer possesses the capability to correctly frame the relationship with the municipality as a...
Dual Capacity Loyalty Maintenance
Capability to maintain undivided loyalty to a single client when serving that client in multiple simultaneous...
Public Interest Arrangement Justification
Capability to recognize when a professional service arrangement that might raise ethical concerns is nonetheless...
Consulting Relationship Framing Competence
Capability to correctly frame and maintain a professional engagement as a consulting or client-trustee relationship...
Plan Approval Technical Competence
Technical capability to review, evaluate, and approve engineering plans and specifications for public works and city...
Self-Review Bias Recognition
Capability to recognize the inherent bias risk that arises when a professional is required to review, evaluate, or...
City Engineer Retainer Fee Separation
The part-time city engineer possesses the capability to distinguish between services covered by the monthly retainer...
City Engineer Public Interest Recognition
The part-time city engineer possesses the capability to recognize that the dual advisory-and-design arrangement...
City Engineer Plan Approval Technical
The part-time city engineer possesses the technical capability to review and approve engineering plans and...
City Engineer Self Review Bias Awareness
The engineer serving in dual capacity possesses the capability to recognize the bias risk inherent in approving...
City Engineer Domain Competence Advisory Design
The part-time city engineer possesses professional domain expertise in engineering sufficient to advise the city...
City Engineer Single Client Conflict Recognition
The engineer serving the city in dual capacity possesses the capability to recognize that serving a single municipal...
City Municipal Client Independent Review Waiver
The small municipal government client possesses the capability to recognize its right to require independent...
City Engineer Consulting Relationship Framing
The part-time city engineer must correctly frame and maintain the engagement as a consulting relationship rather...
Single vs Multi-Client Conflict Distinction
Capability to correctly distinguish between dual-capacity arrangements involving a single client and those involving...
Canon Scope Applicability Assessment
Capability to correctly assess which specific canons, rules, or code provisions apply to a given professional...
Client Review Waiver Recognition
Capability to recognize that a client holds the right to require independent engineering review of the engineer's...
Dual Capacity Self-Interest Vigilance
Capability to recognize the structural temptation created by serving a single client in both advisory and design...
Loyalty Undividedness Recognition
Capability to recognize and articulate the distinction between a dual capacity arrangement and a divided loyalty...
Ethics Board Single vs Multi-Client Distinction
The ethics board demonstrated capability to distinguish the instant single-client dual-capacity case from the...
Ethics Board Canon Scope Assessment
The ethics board demonstrated capability to correctly assess which canons and rules apply to the part-time...
City Council Independent Review Waiver
The city council and ethics adjudicators demonstrated capability to recognize that the city council holds the right...
City Engineer Dual Capacity Self-Interest Vigilance
The part-time city engineer is required to possess and exercise the capability to recognize the structural...
Ethics Board Dual vs Divided Capacity Recognition
The ethics board demonstrated capability to articulate and apply the distinction between dual capacity and divided...
City Engineer Advisory Objectivity Maintenance
The part-time city engineer must maintain impartiality in all advisory recommendations to the city council, ensuring...
City Engineer Self-Review Bias Recognition
The part-time city engineer must recognize the inherent bias risk that arises when serving as city engineer...
City Engineer Dual Capacity Loyalty Maintenance
The part-time city engineer must maintain undivided loyalty to the single municipal client across both the advisory...
City Engineer Public Interest Arrangement Justification
The part-time city engineer and ethics adjudicators must recognize that the dual advisory and design arrangement...
Retainer Scope Delineation Competence
Capability to clearly distinguish between services covered under a general retainer arrangement and services...
Advisory Role Objectivity Maintenance
Capability to maintain impartiality and independence in advisory recommendations to a client body, ensuring that...
City Engineer Advisory Objectivity
The part-time city engineer possesses the capability to maintain objectivity in all advisory recommendations to the...
32 entities
Constraints
Cs
w=0.08
No Emb
Dual Capacity Advisory Bias Prohibition
Ethical constraint prohibiting a professional who serves a single client in both an advisory and a design capacity...
Retainer Design Fee Separation Constraint
Ethical and contractual constraint requiring that compensation paid to a professional under a general retainer for...
Single Client Dual Role Permissibility Constraint
Ethical constraint establishing the conditions under which a professional may serve a single client in two...
Public Safety Paramount Constraint
Inviolable ethical and regulatory constraint requiring that a professional engineer, in all advisory and design...
Conflict of Interest Disclosure Constraint
Ethical constraint requiring a professional to disclose to a client any financial interest, secondary engagement, or...
City Engineer Advisory Bias Prohibition
The part-time city engineer must not allow the prospect of receiving design commissions from the city council to...
City Engineer Retainer Design Fee Separation
Compensation received under the monthly retainer for general advisory services must be clearly and structurally...
City Engineer Single Client Dual Role Permissibility
The dual-capacity arrangement is ethically permissible only where the single municipal client has given informed...
Canon Non-Applicability Scope Constraint
Constraint establishing that a specific ethics canon or rule does not apply to a given professional arrangement...
Divided Loyalty Prohibition Constraint
Ethical constraint establishing that a professional may not take action or make decisions that divide loyalties or...
Self-Review Client Waiver Permissibility Constraint
Ethical constraint establishing that a client has the right to waive independent review of a professional's own work...
Dual Capacity Heightened Caution Constraint
Ethical constraint requiring that a professional serving in a dual capacity that creates a structural incentive for...
City Engineer Canon 15 Non-Bar Single Client
Canon 15 does not bar the part-time city engineer from also performing compensated design work for the same...
City Engineer Canon 27 Non-Applicability Retainer
Canon 27 does not apply to the part-time city engineer because Canon 27 refers to a salaried position and the...
City Engineer Rule 17 Non-Applicability Single Client
Rule 17 does not apply to the part-time city engineer's dual-capacity arrangement because Rule 17 deals only with...
City Engineer Rule 13 Advisory Prejudice Avoidance
Rule 13 is binding on the part-time city engineer and requires the engineer to avoid prejudicing advisory...
City Engineer Divided Loyalty Axiomatic Prohibition
It is axiomatic that the part-time city engineer may not take action or make decisions that divide loyalties or...
City Engineer Self-Review Client Waiver Permissibility
The municipal client has the right to waive independent review of the engineer's own plans, and having done so, the...
City Engineer Two-Client Conflict Distinguishing
The dual-capacity arrangement in the instant case must be distinguished from the two-client conflict in Case 62-7...
City Engineer Public Safety Paramount Advisory Design
The part-time city engineer must hold paramount the safety, health, and welfare of the public in all advisory...
City Engineer Dual Capacity Advisory Bias Prohibition
The part-time city engineer is prohibited from allowing the prospect of securing a design commission to prejudice or...
City Engineer Conflict of Interest Disclosure
The part-time city engineer must disclose to the city council the dual-capacity arrangement -- including both the...
City Engineer Non-Deception Dual Role
The part-time city engineer must not misrepresent or obscure the nature of the dual advisory and design arrangement...
City Engineer Scope of Practice Advisory Design
The part-time city engineer must perform both advisory services and design services only within the engineer's areas...
City Engineer Impartiality Design Commission
The part-time city engineer must ensure that advisory recommendations to the city council on engineering project...
City Engineer Dual Capacity Heightened Caution
The part-time city engineer must be doubly careful in studying and recommending approval of projects for which the...
City Engineer Public Safety Approval
The part-time city engineer must hold paramount the safety, health, and welfare of the public when approving plans...
27 entities
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