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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Total Entities

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Components Populated

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Roles R
w=0.12 384D
Self-Serving Partial Analysis Engineer
A licensed professional engineering role in which an engineer provides an incomplete, selective, or partial...
Public Official Engineering Services Solicitor
A non-engineer public administrative official role that solicits engineering advisory services or analyses from...
Non-Engineer Public Infrastructure Client
A public agency client role held by a non-licensed administrative official who retains or solicits engineering...
Engineer A Project Delivery Method Advisor
Engineer A was asked by City B's City Administrator to recommend project delivery methods for a wastewater system...
City B Administrator Non-Engineer Public Infrastructure Client
City B's City Administrator solicited a recommendation from Engineer A on project delivery methods for an upcoming...
City B Municipal Infrastructure Client
City B is the public owner of the upcoming wastewater system improvements project, subject to funding agency...
Engineer A Self-Serving Partial Analysis Engineer
Provided a partial, incomplete comparative evaluation of project delivery methodologies to City Administrator,...
Project Delivery Method Advisor Engineer
A licensed professional engineering role in which an engineer provides advisory recommendations to a public or...
City Administrator Public Official Engineering Services Solicitor
Solicited engineering advisory services from Engineer A regarding project delivery methodologies, potentially...
9 entities
Principles P
w=0.2 384D
Professional Accountability Invoked Against Engineer A Failure to Disclose Incompleteness
Engineer A failed to take professional accountability for the incompleteness of the delivery method analysis by not...
Objectivity Violated By Engineer A Selective Memo
Engineer A failed to maintain objectivity by preparing an advisory memo that omitted two of the four...
Completeness Non-Selectivity Advisory Opinions Violated By Engineer A
Engineer A provided City B Administrator with an advisory memo that omitted Fixed-Price-Design-Build and...
Conflict Of Interest Disclosure Advisory Engagements Violated By Engineer A
Engineer A provided a project delivery method recommendation to City B without disclosing that Engineer A's firm...
Transparency Obligation Violated By Engineer A Advisory Memo
Engineer A's advisory memo lacked transparency in two respects: (1) it did not disclose that two of the four...
Completeness and Non-Selectivity Violated by Engineer A Partial Delivery Method Analysis
Engineer A provided City Administrator with a partial comparative evaluation of project delivery methodologies that...
Conflict of Interest Disclosure Violated by Engineer A Self-Serving Recommendation
Engineer A provided a project delivery method recommendation to City Administrator without disclosing that the...
Prohibition on Disguised Commercial Solicitation Violated by Engineer A Free Services Extension
Engineer A provided free engineering advisory services to City Administrator in the form of a partial delivery...
Professional Accountability Invoked Engineer A Partial Analysis
Engineer A bears professional accountability for the selective and incomplete advisory memo provided to City B,...
Public Welfare Paramount Invoked By Engineer A Advisory Role
Engineer A's advisory recommendation to a public agency on wastewater infrastructure project delivery methods...
Honesty In Professional Representations Violated By Engineer A Self-Promotional Memo
Engineer A's memo, by presenting only two of four approved delivery methods and accompanying the recommendation with...
Non-Self-Serving Advisory Obligation
Professional principle requiring engineers who provide advisory recommendations to clients to ensure that their...
Regulatory and Funding Constraint Completeness Violated by Engineer A Omission of Funding Agency Requirements
Engineer A's partial delivery method analysis failed to accurately represent the full landscape of funding agency...
Objectivity Principle Violated by Engineer A Self-Serving Recommendation
Engineer A failed to maintain objectivity in the delivery method recommendation by structuring the analysis to favor...
Prohibition on Disguised Commercial Solicitation Through Free Services
Professional principle prohibiting engineers from providing free or donated professional services as a mechanism to...
Honesty in Professional Representations Invoked Against Engineer A Selective Analysis
Engineer A's partial and selective delivery method analysis - presented without disclosure of its incompleteness or...
Regulatory Funding Constraint Completeness Violated By Engineer A
Engineer A's advisory memo failed to accurately represent the full regulatory landscape governing the project...
Completeness and Non-Selectivity in Professional Advisory Opinions
Professional principle requiring engineers who provide advisory recommendations to clients - particularly...
Conflict of Interest Disclosure in Advisory Engagements
Relational principle requiring engineers who provide advisory recommendations to clients - particularly...
Regulatory and Funding Constraint Completeness in Advisory Analysis
Domain-specific principle requiring engineers who provide advisory analyses of project delivery methods, procurement...
Faithful Agent Obligation Within Ethical Limits Invoked Engineer A City B
Engineer A was asked by City B's City Administrator to provide a recommendation on project delivery methods; the...
21 entities
Obligations O
w=0.15 384D
Ethical Conduct Obligation Engineer A Advisory Memo Selectivity
Engineer A was obligated to conduct themselves ethically in providing the advisory recommendation to City B,...
Regulatory Constraint Complete Representation in Advisory Obligation
Duty of a licensed professional engineer providing advisory analysis of project delivery methods or procurement...
Objective Complete Reporting Engineer A Advisory Memo City B
Engineer A was obligated to be objective and truthful in the advisory memo provided to City B's City Administrator,...
Self-Promotional Material Non-Commingling Engineer A Advisory Memo
Engineer A was obligated to refrain from commingling firm experience summaries and capability statements with the...
Self-Promotional Material Non-Commingling Engineer A Advisory Memo City B
Engineer A was obligated to refrain from including firm experience summaries and project references for...
Disclosure Obligation Engineer A Conflict of Interest City B
Engineer A was obligated to disclose to City B's City Administrator the conflict of interest arising from Engineer...
Free Services Non-Exploitation for Business Development Obligation
Duty of a licensed professional engineer who provides free or donated professional services - whether in response to...
Informal Advisory Referral Alternative Obligation
Duty of a licensed professional engineer who receives an informal solicitation for advisory services - particularly...
Objective and Complete Reporting Engineer A Partial Delivery Method Memo
Engineer A was obligated to be objective and truthful in the advisory memo provided to City B's City Administrator...
Complete Comparative Advisory Analysis Engineer A Four Methodologies
Engineer A was obligated, upon undertaking to provide an advisory recommendation on project delivery methods to City...
Regulatory Constraint Complete Representation Engineer A City B Funding Agency
Engineer A was obligated to accurately and completely represent all funding-agency regulatory constraints in the...
Regulatory Constraint Complete Representation Engineer A Funding Agency Requirements
Engineer A was obligated to accurately and completely represent to City B's City Administrator the full landscape of...
Complete Comparative Advisory Analysis Obligation
Duty of a licensed professional engineer who has been asked to provide an advisory recommendation on project...
Advisory Engagement Self-Interest Conflict Disclosure Obligation
Duty of a licensed professional engineer who has been asked to provide an advisory recommendation to a public agency...
Self-Promotional Material Non-Commingling with Objective Advisory Obligation
Duty of a licensed professional engineer who has been asked to provide an objective advisory recommendation to a...
Complete Comparative Advisory Analysis Engineer A City B Wastewater
Engineer A was obligated to present all four funding-agency-approved project delivery methods - Design-Bid-Build,...
Advisory Engagement Self-Interest Conflict Disclosure Engineer A City B
Engineer A was obligated to disclose to City B's City Administrator that Engineer A's firm was qualified to provide...
Faithful Agent Obligation Engineer A City B Advisory
Engineer A was obligated to act as a faithful agent and trustee for City B in providing the advisory recommendation...
Intentional Information Disregard Prohibition Obligation
Duty of a licensed professional engineer preparing a professional report, advisory memo, or technical analysis to...
Free Services Non-Exploitation Engineer A City B Advisory Memo
Engineer A was obligated to refrain from providing free advisory services to City B's City Administrator in a form...
Informal Advisory Referral Alternative Engineer A City Administrator
When City B's City Administrator informally solicited advisory input on project delivery methods, Engineer A had the...
21 entities
States S
w=0.1 384D
Engineer A Conflict of Interest in Delivery Method Recommendation
Engineer A's financial interest in Progressive-Design-Build conflicting with obligation to provide objective...
Engineer A Self-Serving Partial Methodology Recommendation
Engineer A's response to City Administrator's informal solicitation for delivery methodology analysis
Incomplete Options Presentation to City B
City B's decision-making context, in which the City Administrator received a recommendation memo presenting only two...
Engineer A Self-Interested Delivery Method Recommendation
Engineer A's recommendation to City B that omitted two of four approved delivery methods and recommended the method...
Engineer A No Contractual Relationship with City B
Absence of a formal contractual client relationship between Engineer A and City B at the time of the recommendation request
Regulatory Funding Source Delivery Method Constraints
The funding agency's constraints on approved delivery methods and the requirement that Construction Manager at Risk...
Informal Solicitation with Formal Service Obligation State
State in which a professional engineer receives an informal request for technical guidance or evaluation from a...
Engineer Pile Report Selective Omission
Engineer's report on installed pile safety factor
Engineer A Incomplete Design Submission
Engineer A's submission of incomplete plans and specifications
Engineer A Incomplete Options Presentation to City Administrator
Engineer A's partial presentation of four delivery methodologies to City Administrator
Engineer A Free Services as Inducement
Engineer A's provision of free partial engineering evaluation as implicit inducement to secure work
Engineer A Qualified for Subset of Delivery Methods
Engineer A's competence status - qualified to provide construction services under Progressive-Design-Build and...
Self-Interested Delivery Method Recommendation State
State in which a professional engineer, asked by a client to provide an objective recommendation among multiple...
Selective Information Omission in Professional Report State
State in which a professional engineer has prepared and submitted a report or evaluation that intentionally or...
Incomplete Options Presentation State
State in which a professional engineer, tasked with advising a client on a set of formally approved or available...
15 entities
Resources Rs
w=0.1 384D
Conflict of Interest Disclosure Standard in Recommendation Contexts
Professional norms and ethical obligations governing an engineer's duty to fully disclose all viable options and...
Qualification Representation Standard - Engineer A's Experience Disclosure
Governs the ethical permissibility of Engineer A appending firm experience summaries and project references for...
BER Case 99-8
Cited as relatively analogous precedent involving submission of incomplete design plans and specifications without...
Project Delivery Method Framework
A structured framework defining and governing the approved methods by which engineering and construction projects...
NSPE Code of Ethics - Fundamental Canons and Rules of Practice
Primary normative authority governing Engineer A's obligation to provide complete, unbiased professional advice to...
Professional Report Integrity Standard - Completeness and Non-Omission Obligation
Governs Engineer A's obligation to present all four funding-approved delivery methods in the recommendation memo...
NSPE Code of Ethics - Objectivity and Truthfulness Provisions
Cited directly as providing guidance on objectivity, truthfulness, inclusion of all relevant and pertinent...
BER Case 95-5
Cited as precedent for integrity and completeness in preparing engineering reports, and for the ethical obligation...
Funding Agency Approved Project Delivery Methods Specification
Establishes the four approved delivery methods available to City B - Design-Bid-Build,...
Construction Manager at Risk Distinct Entity Requirement
Establishes a regulatory constraint that, if CM-at-Risk is selected, the CM-at-Risk firm and Engineer of Record must...
10 entities
Actions A
w=0.1 384D
Self-Serving Delivery Method Recommendation
Appending Firm Experience and References
Failure to Correct or Disclose Omissions
Informal Solicitation of Private Firm
Decision to Respond with Formal Memo
Omission of Two Delivery Methods
6 entities
Events E
w=0.08 384D
Ethics Violation Finding Issued
Wastewater Project Funding Approval
Engineer A Qualification Gap Exists
Incomplete Memo Received by Client
Free Services Rendered to Public Client
Client Decision Vulnerability Created
6 entities
Capabilities Ca
w=0.07 384D
City B Administrator Non-Engineer Client Informed Decision Making
City B's City Administrator, as a non-engineer public official, lacked the domain-specific technical capability to...
Engineer A Project Delivery Method Comparative Analysis
Engineer A possessed the technical knowledge to identify and analyze all four funding-agency-approved project...
Engineer A Informed Decision Making Facilitation City B
Engineer A failed to structure and present the advisory analysis in a manner that facilitated a genuinely informed...
City Administrator Non-Engineer Advisory Vulnerability
City B's City Administrator, as a non-engineer public official, lacked the technical capability to independently...
Engineer A Advisory Self-Interest Conflict Identification and Disclosure
Engineer A possessed the capability to recognize that the firm's qualification to provide services under...
Engineer A Objective Advisory Report Integrity
Engineer A failed to maintain the integrity and objectivity of the advisory memo by including firm experience...
Engineer A Trustee Advisory Role Faithful Execution
Engineer A failed to correctly execute the trustee advisory role when asked by City B's City Administrator for an...
Engineer A Conflict of Interest Recognition and Recusal City B Advisory
Engineer A failed to recognize or act on the conflict of interest created by the firm's commercial qualification to...
Engineer A Material Omission Recognition Advisory Memo
Engineer A failed to recognize that omitting two of four funding-agency-approved project delivery methods from the...
Engineer A Free Service Business Development Boundary Deficit
Engineer A lacked or failed to exercise the capability to recognize that providing a free partial advisory memo...
Engineer A Advisory Self-Interest Conflict Identification Deficit
Engineer A failed to recognize and disclose that Engineer A's firm's qualification to provide services under...
Engineer A Objective Advisory Report Integrity Deficit
Engineer A failed to maintain the integrity and objectivity of the advisory communication by commingling firm...
Engineer A Trustee Advisory Role Faithful Execution Deficit
Engineer A failed to execute the trustee advisory role faithfully by subordinating firm self-interest to City B's...
Engineer A Precedent-Based Report Completeness Standard Application Deficit
Engineer A failed to apply the professional report completeness standard established by BER Cases 95-5 and 99-8 -...
Selective Information Omission Recognition Capability
Capability to recognize when a professional report, advisory memo, or technical analysis omits material information...
Free Service Business Development Boundary Capability
Capability to recognize when providing free or donated professional advisory services - whether in response to an...
Precedent-Based Report Completeness Standard Application Capability
Capability to identify, retrieve, and apply BER case precedents - specifically BER Cases 95-5 and 99-8 -...
Engineer A Selective Information Omission Recognition Deficit
Engineer A lacked or failed to exercise the capability to recognize that providing only a partial comparative...
Engineer A Funding Agency Regulatory Constraint Knowledge
Engineer A possessed knowledge of the funding agency's regulatory constraints - including the four approved delivery...
Objective Advisory Report Integrity Capability
Capability to maintain the integrity and objectivity of a professional advisory report or recommendation by...
Project Delivery Method Comparative Analysis Capability
Capability to identify, analyze, and comparatively evaluate all available project delivery methods - including...
Advisory Self-Interest Conflict Identification and Disclosure Capability
Capability to recognize when an engineer's own firm stands to benefit commercially from a recommendation being made...
Funding Agency Regulatory Constraint Knowledge Capability
Capability to identify, understand, and accurately represent all regulatory constraints imposed by a specific...
Trustee Advisory Role Faithful Execution Capability
Capability to correctly identify when an engineering engagement requires the engineer to act as a faithful trustee...
24 entities
Constraints Cs
w=0.08 384D
Selective Delivery Method Presentation Engineer A City B Advisory Memo
Engineer A was prohibited from presenting only Design-Bid-Build and Progressive-Design-Build to City B's City...
Self-Promotional Material Non-Commingling Engineer A Advisory Memo City B
Engineer A was prohibited from appending firm experience summaries and project references for...
Conflict of Interest Disclosure Engineer A City B Delivery Method Advisory
Engineer A was constrained by the conflict of interest arising from Engineer A's firm's qualification and...
Scope of Practice Delivery Method Advisory Competence Boundary Engineer A
Engineer A's scope of practice in providing the advisory recommendation was bounded by the obligation to present...
Regulatory Constraint Accurate Representation Engineer A Funding Agency Requirements City B
Engineer A was required to accurately and completely represent to City B's City Administrator all funding agency...
Free Services as Contract Inducement Engineer A City B Advisory
Engineer A was prohibited from providing a free, uncompensated advisory analysis of project delivery methods to City...
Referral Alternative Ethical Pathway Engineer A City Administrator Informal Solicitation
When City B's City Administrator informally solicited advisory input on project delivery methods, Engineer A was...
Intentional Information Disregard Prohibition Constraint
Ethical and professional constraint prohibiting a licensed professional engineer from intentionally disregarding,...
Self-Serving Partial Analysis Prohibition Constraint
Ethical and professional constraint prohibiting a licensed professional engineer who undertakes to provide an...
Incomplete Plans Submission Engineer A BER 99-8
Engineer A was prohibited from submitting plans and specifications that were incomplete - including unbuildable...
Regulatory Constraint Accurate Representation in Advisory Constraint
Ethical and professional constraint requiring that a licensed professional engineer providing advisory analysis of...
Self-Interest Conflict Disclosure Engineer A City B Delivery Method Recommendation
Engineer A was constrained from providing an advisory recommendation on project delivery methods to City B without...
Free Services as Contract Inducement Prohibition Constraint
Ethical and regulatory constraint prohibiting a licensed professional engineer from providing free or uncompensated...
Selective Delivery Method Presentation Prohibition Constraint
Ethical and professional constraint prohibiting a licensed professional engineer who has been asked to provide an...
Regulatory Constraint Omission Engineer A CM-at-Risk Entity Separation City B
Engineer A was constrained from omitting from the advisory memo the funding agency's requirement that, if...
Non-Deception Objective Advisory Engineer A City B Delivery Method Memo
Engineer A was prohibited from presenting a selectively incomplete advisory memo to City B's City Administrator -...
Informal Solicitation Formal Ethics Applicability Engineer A City B
Engineer A was constrained by the full scope of the NSPE Code of Ethics in preparing and submitting the advisory...
17 entities
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