Duty To Disclose Disciplinary Complaint To Client
Case 147
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It was ethical for Engineer A not to report to Client B the ethics complaint filed against Engineer A by Client C.
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The obligation of the engineer to be honest and truthful and to avoid acts that might be viewed as misleading and deceptive is clearly stated in various sections of the NSPE Code of Ethics (See NSPE Code Sections II.3.a., II.4.a, II.5.a. and III.3.a.). These include the obligations to be truthful in public statements, act as a faithful agent and trustee in dealings with clients, not falsify or misrepresent their professional qualifications, and avoid the use of statements containing a material misrepresentation of fact.
The Board has reviewed a number of factual situations over the years relating to the question of misleading clients through the misrepresentation of professional qualifications. For example, in Case No. 83-1, Engineer A worked for Engineer B. Engineer B notified Engineer A that Engineer B was going to terminate Engineer A because of lack of work. Engineer A continued to work for Engineer B for several additional months after the termination notice. During that period, Engineer B distributed a previously printed brochure listing Engineer A as one of Engineer B's key employees, and continued to use the previously printed brochure with Engineer A's name in it well after Engineer B did in fact terminate Engineer A.
The Board ruled that it was not unethical for Engineer B to distribute a previously printed brochure listing Engineer A as a key employee, providing Engineer B apprised the prospective client, during negotiation, of Engineer A's pending termination. The Board also ruled that it was unethical for Engineer B to distribute a brochure listing Engineer A as a key employee after Engineer A's actual termination. Interpreting the meaning of NSPE Code Section II.5.a, we noted that the words "pertinent facts" are those facts that have a clear and decisive relevance to a matter at hand. Another way to characterize pertinent facts is as those that are "relevant and highly significant." We determined whether (1) Engineer B in fact misrepresented "pertine...
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Engineer A is retained by Client B to perform design services and provide a Critical Path Method (CPM) schedule for a manufacturing facility. Engineer A prepares the plans and specifications and the CPM schedule.During the rendering of services to Client B on this project, the state board of professional engineers contacts Engineer A regarding an ethics complaint filed against Engineer A by Client C relating to services provided on a project for Client C that are similar to the services being performed for Client B. Client C alleges that Engineer A lacked the competence to perform the services in question. Engineer A does not believe it is necessary to notify Client B of the pending complaint. Later, through another party, Client B learns of the ethics complaint filed against Engineer A and tells Engineer A that he is upset by the allegations and that Engineer A should have brought the matter to Client B’s attention.
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Was it unethical for Engineer A to not report to Client B the ethics complaint filed against Engineer A by Client C?
Similar Cases
By discussion section embedding (cosine similarity)
Advertising - Misstating Credentials
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Case 131
Statements Made During Negotiations
76%
Case 134
Review of Other Engineer’s Work
71%
Case 20
D-tuple Component Breakdown
103
Total Entities9/9
Components Populated9/9
With EmbeddingsCombined Embedding
Roles
R
w=0.12
384D
Credential-Misrepresenting Firm Principal Engineer
A licensed professional engineer who owns or leads an engineering firm and distributes promotional materials (e.g.,...
Terminated Staff Engineer Subject to Credential Misuse
A licensed professional engineer who has been terminated or is departing from an engineering firm, whose name and...
Engineer B Credential-Misrepresenting Firm Principal
Distributed firm brochures listing Engineer A as a key employee both during the notice period and after Engineer A's...
Engineer A Terminated Staff Engineer Case 83-1
Received termination notice from Engineer B, continued working during notice period, and was subsequently listed as...
Engineer Z Credential-Misrepresenting Firm Principal Case 90-4
Continued to distribute brochures identifying Engineer X as an employee of Firm Y after Engineer X gave two weeks...
Engineer X Terminated Staff Engineer Case 90-4
One of few engineers in Firm Y with hydrology expertise; gave two weeks notice of intent to move to another firm,...
Client B Current Client of Ethics-Complained Engineer
Current client receiving engineering services from Engineer A while Engineer A is subject to a pending ethics...
Prospective Clients Relying on Firm Brochure
Prospective clients who read and relied upon engineering firm brochures listing personnel qualifications, reasonably...
Current Client of Ethics-Complained Engineer
A client stakeholder role borne by a party currently receiving engineering services from an engineer who is...
9 entities
Principles
P
w=0.2
384D
Pertinent Fact Dual-Element Test Applied to Engineer B Brochure Case 83-1
The Board applies the two-part test to Case 83-1: (1) Engineer A's name as 'key employee' constitutes a pertinent...
Comparative Precedent Distinguishing Obligation Applied Across Cases 83-1, 90-4, and Present Case
The Board systematically distinguishes the present case from Cases 83-1 and 90-4 by identifying the material factual...
Valence-Neutral Misleading Information Standard in Professional Disclosure
Professional virtue principle establishing that the ethical standard for evaluating whether an engineer's...
Honesty and Non-Deception Obligation Invoked as Baseline Framework
The Board grounds its entire analysis in the NSPE Code's multiple honesty and non-deception provisions -...
Faithful Agent Obligation Invoked in Complaint Non-Disclosure Analysis
The Board acknowledges that Engineer A's faithful agent and trustee obligation to Client B is a relevant ethical...
Allegation-Adjudication Distinction Applied to Complaint Non-Disclosure
The Board holds that Engineer A is not ethically compelled to automatically disclose to Client B the ethics...
Prudential Disclosure Recommendation to Engineer A Regarding Client B
The Board recommends - without imposing an ethical obligation - that Engineer A consider providing Client B with...
Brochure Personnel Currency Disclosure Obligation Applied to Case 83-1 Notice Period
The Board holds that Engineer B's distribution of the brochure listing Engineer A during the notice period was not...
Brochure Personnel Currency Obligation Distinguished in Case 90-4
The Board distinguishes Case 90-4 from Case 83-1 by finding that Engineer Z's continued listing of departing...
Valence-Neutral Standard Applied to Distinguish Present Case from Brochure Cases
The Board explicitly holds that the fact that the pending complaint would reflect negatively on Engineer A - unlike...
Pending Competence Complaint Disclosure Obligation Negated by Allegation Status
The Board holds that Engineer A does not have an automatic ethical obligation to disclose the pending ethics...
Departed Engineer Credential Misuse Correction Obligation Contextually Applied
The case analysis of Cases 83-1 and 90-4 implicitly addresses the departed engineer's position: Engineer A (Case...
Pertinent Fact Misrepresentation Intent-and-Purpose Dual-Element Test
Professional virtue principle establishing that a violation of the prohibition on misrepresenting pertinent facts in...
Brochure Personnel Currency Disclosure During Active Negotiation Obligation
Relational principle establishing that when an engineering firm distributes promotional materials listing a named...
14 entities
Obligations
O
w=0.15
384D
Engineer A Pending Complaint Limited Background Information Provision Client B
Engineer A should have considered providing Client B with limited, dispassionate, and non-prejudicial background...
Engineer A Faithful Agent Obligation Toward Client B Complaint Context
Engineer A's faithful agent and trustee obligation to Client B required transparency about material professional...
Engineer B Key Employee Brochure Listing Prospective Client Reliance Non-Misleading Case 83-1
Engineer B was obligated to ensure that the listing of Engineer A as a 'key employee' in firm brochures accurately...
Engineer B Truthful Non-Deceptive Advertising Brochure Distribution Case 83-1
Engineer B was obligated to ensure that all firm promotional brochures were truthful and non-deceptive, including by...
Engineer A Departed Engineer Firm Brochure Credential Misuse Correction Case 83-1
Upon receiving termination notice from Engineer B, Engineer A was obligated to take affirmative steps to ensure that...
Engineer X Departed Engineer Firm Brochure Credential Misuse Correction Case 90-4
Upon giving two weeks notice of departure from Firm Y, Engineer X was obligated to take affirmative steps to ensure...
Engineer A Pending Competence Complaint Disclosure Obligation to Client B
Engineer A faced a disclosure obligation analysis regarding the pending ethics complaint filed by Client C: the...
Engineer B Pertinent Fact Dual-Element Test Violation Case 83-1 Post-Termination
Engineer B was obligated to refrain from distributing brochures listing Engineer A as a key employee after Engineer...
Engineer B Post-Termination Notice Brochure Personnel Disclosure Case 83-1 Notice Period
During the period after Engineer A received termination notice but before actual departure, Engineer B was obligated...
Non-Key-Employee Departed Engineer Brochure Listing Contextual Permissibility Obligation
Obligation of an engineering firm to recognize that the ethical analysis of continued brochure listing of a departed...
Engineer B Post-Actual-Departure Brochure Listing Prohibition Case 83-1
Engineer B was absolutely obligated to cease distributing brochures listing Engineer A as a key employee after...
Engineer Z Non-Key-Employee Departed Engineer Brochure Listing Case 90-4
Engineer Z was obligated to assess whether Engineer X's departure materially altered Firm Y's overall qualification...
Pertinent Fact Dual-Element Misrepresentation Test Compliance Obligation
Duty of a professional engineer or engineering firm distributing promotional materials to ensure that any...
Post-Termination Notice Brochure Personnel Disclosure Obligation
Duty of an engineering firm principal who distributes promotional materials listing a named engineer as a key...
Post-Actual-Departure Brochure Personnel Listing Prohibition Obligation
Absolute duty of an engineering firm principal to cease distributing any promotional materials - including...
Valence-Neutral Misleading Omission Non-Disclosure Prohibition Obligation
Duty of a professional engineer to recognize that the ethical standard for evaluating whether a communication or...
Key Employee Brochure Listing Prospective Client Reliance Non-Misleading Obligation
Duty of an engineering firm to ensure that the listing of named individuals as 'key employees' in promotional...
Engineer A Valence-Neutral Misleading Omission Non-Disclosure Pending Complaint
Engineer A was obligated to apply the same honesty standard to the pending ethics complaint as would apply to any...
Engineer A Allegation Non-Equivalence Disclosure Calibration Client B
Engineer A was obligated to recognize that the pending ethics complaint filed by Client C constituted a mere...
Engineer A Pending Allegation Prudential Disclosure Weighing Client B
Engineer A was obligated to actively weigh all relevant factors - including the nature and seriousness of the...
20 entities
States
S
w=0.1
384D
Pending Complaint Voluntary Background Disclosure Opportunity State
State in which a professional who is not ethically compelled to disclose a pending (unresolved) complaint or...
Engineer B Post-Termination Brochure Distribution (Case 83-1)
Engineer B's continued use of promotional brochure listing Engineer A as a key employee after termination
Engineer B Pre-Termination Brochure Distribution with Pending Notice (Case 83-1)
Engineer B's distribution of brochure listing Engineer A as key employee during the notice period before actual termination
Engineer Z Post-Notice Brochure Distribution (Case 90-4)
Engineer Z's continued distribution of brochure listing Engineer X as an employee after Engineer X gave two weeks notice
Engineer A Pending Ethics Complaint While Serving Client B
Engineer A subject to a pending ethics complaint filed by Client C while actively serving Client B
Allegation vs. Adjudication Disclosure Threshold in Engineer A's Complaint
The ethical distinction between Engineer A's pending (unresolved) complaint and a hypothetical adjudicated finding,...
Privacy Right vs. Material Omission Tension in Engineer A's Complaint Disclosure
Engineer A's tension between the right not to disclose a potentially false and damaging allegation versus the duty...
Engineer A Voluntary Background Disclosure Opportunity to Client B
Engineer A's discretionary opportunity to provide Client B with limited background information about the pending...
Post-Termination Brochure Continued Use State
State in which a professional firm continues to distribute promotional materials listing a former employee as a...
Client Relationship Engineer A with Client B During Pending Complaint
Engineer A's active professional relationship with Client B, which creates the context for the disclosure obligation analysis
10 entities
Resources
Rs
w=0.1
384D
NSPE Code of Ethics - Sections II.3.a, II.4.a, II.5.a, III.3.a
Primary normative authority establishing obligations of honesty, truthfulness, faithful agency,...
BER Case No. 83-1
Precedent establishing that distributing a brochure listing a terminated engineer as a key employee after actual...
BER Case No. 90-4
Precedent establishing that continued representation of a departing engineer as a firm employee was not unethical...
Ethics Complaint Disclosure Standard - Client Notification
Normative standard applied to determine whether Engineer A had an ethical obligation to disclose a pending ethics...
Qualification Representation Standard - Firm Brochure Context
Standard governing honest representation of firm qualifications and personnel in promotional brochures; applied to...
5 entities
Actions
A
w=0.1
384D
Prepare Plans and CPM Schedule
Decide Against Disclosing Ethics Complaint
Continue Rendering Services Post-Complaint
Engineer B Distributes Brochure Pre-Termination
Engineer B Distributes Brochure Post-Termination
Engineer Z Continues Listing Departed Engineer X
Accept Client B Engagement
7 entities
Events
E
w=0.08
384D
Ethics Complaint Filed
Complaint Notice Received
Client B Learns of Complaint
Client B Expresses Displeasure
Engineer X Departs Firm Y
Engineer B's License Expires
6 entities
Capabilities
Ca
w=0.07
384D
BER Board Key-Employee vs Non-Key-Employee Distinction BER 83-1 vs 90-4
The BER demonstrated capability to distinguish between Engineer A's 'key employee' designation in BER 83-1 (material...
Engineer A Pending Ethics Complaint Faithful Agent Disclosure Weighing Toward Client B
Engineer A had the capability to weigh the faithful agent and trustee obligation toward Client B against the...
BER Multi-Precedent Brochure Personnel Misrepresentation Synthesis Capability
Capability of a licensed professional engineer or ethics reviewing body to retrieve, analyze, and synthesize...
Pending Complaint Limited Background Information Provision Capability
Capability of a licensed professional engineer who is the subject of a pending ethics complaint to recognize when -...
Brochure Distribution Intent-and-Purpose Evidence Assessment Capability
Capability of a licensed professional engineer or ethics reviewer to assess whether the distribution of a...
BER Board Pertinent Fact Dual-Element Test Application BER 83-1
The BER demonstrated capability to apply the two-part conjunctive test under NSPE Code II.5.a - assessing both (1)...
BER Board Valence-Neutral Deception Assessment Current Case
The BER demonstrated capability to apply a valence-neutral deception standard, explicitly holding that whether...
Engineer Z Firm Principal Post-Departure Personnel Listing Correction BER 90-4
Engineer Z, as principal of Firm Y, had the capability to assess whether continued listing of Engineer X after...
Engineer B Notice-Period Brochure Distribution Disclosure Obligation BER 83-1
Engineer B had the capability to maintain accurate and current firm brochures during the notice period by apprising...
Pertinent Fact Dual-Element Misrepresentation Test Application Capability
Capability of a licensed professional engineer or ethics reviewer to correctly apply the two-part test for...
Key-Employee vs Non-Key-Employee Brochure Listing Materiality Distinction Capability
Capability of a licensed professional engineer, firm principal, or ethics reviewer to distinguish between (a) the...
Valence-Neutral Deception Assessment Capability
Capability of a licensed professional engineer or ethics reviewer to recognize that the ethical standard for...
BER Board Multi-Precedent Brochure Synthesis Current Case
The BER demonstrated capability to synthesize BER Cases 83-1 and 90-4 - identifying their shared normative framework...
Engineer A Pending Complaint Limited Background Information Provision Toward Client B
Engineer A had the capability - and the BER indicated should have exercised it - to provide Client B with limited,...
Engineer B Intent-and-Purpose Evidence Assessment BER 83-1
The BER demonstrated capability to assess Engineer B's intent-and-purpose in distributing the misleading brochure,...
Engineer A Allegation vs Adjudication Distinction Application Pending Complaint
Engineer A had the capability to recognize that the pending ethics complaint filed by Client C constituted a mere...
Engineer A Pending Competence Complaint Materiality-to-Current-Services Assessment
Engineer A had the capability to assess whether the subject matter of the pending ethics complaint filed by Client C...
Engineer B Post-Departure Firm Brochure Personnel Listing Correction Initiation BER 83-1
Both Engineer A (as the departing engineer) and Engineer B (as the firm principal) had the capability to initiate...
18 entities
Constraints
Cs
w=0.08
384D
Pertinent Fact Dual-Element Test Engineer B Brochure Case 83-1
Engineer B was constrained from distributing brochures listing Engineer A as a key employee after termination...
Post-Departure Key Employee Brochure Prohibition Engineer B Case 83-1
Engineer B was absolutely prohibited from distributing brochures listing Engineer A as a key employee after Engineer...
Notice-Period Brochure Appraisal Constraint Engineer B Case 83-1
During the period after Engineer A received termination notice but before actual departure, Engineer B was...
Post-Departure Key Employee Brochure Distribution Prohibition Constraint
Ethical constraint establishing an absolute prohibition on the distribution of promotional materials listing a named...
Information Valence Non-Determinative Deception Standard Constraint
Ethical constraint establishing that the standard for evaluating whether a communication or omission constitutes a...
Notice-Period Brochure Personnel Prospective Client Appraisal Constraint
Ethical constraint establishing that during the period after an engineer has received or given notice of termination...
Pertinent Fact Dual-Element Misrepresentation Prohibition Constraint
Ethical constraint establishing that a violation of the prohibition against misrepresentation of professional...
Allegation vs. Adjudication Disclosure Distinction Engineer A Complaint Case 97-11
Engineer A was constrained to distinguish between the pending, unadjudicated ethics complaint (a mere allegation)...
Privacy Right Material Omission Boundary Engineer A Pending Complaint Case 97-11
Engineer A's right not to disclose the potentially damaging and unproven ethics complaint was bounded by the...
Prudential Background Information Provision Pending Complaint Constraint
Ethical constraint establishing that even where a professional engineer is not ethically compelled to disclose a...
Non-Key-Employee Brochure Listing Permissibility Engineer Z Case 90-4
Engineer Z was not constrained from continuing to list Engineer X in firm brochures after Engineer X gave two weeks...
Information Valence Non-Determinative Deception Standard Engineer A Case 97-11
Engineer A was constrained to apply the same deception standard to the pending ethics complaint - which reflected...
Non-Compelled Pending Allegation Disclosure Engineer A Client B Case 97-11
Engineer A was not automatically compelled to disclose to Client B the pending ethics complaint filed by Client C,...
Prudential Background Information Provision Engineer A Client B Case 97-11
Although not ethically compelled to fully disclose the pending complaint, Engineer A was constrained to actively...
14 entities
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