Obligation to Former Employer and Former Client Following Acceptance of Position with State

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Engineer A clearly has an ongoing duty to honor his obligations both to his former employer and the private client. Engineer A should be assigned other duties by the state remain isolated from the State's water rights case involving Engineer A's former employer and its client—and the state should recognize and respect Engineer A's ethical obligations in this matter.

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Over the years, the NSPE Board of Ethical Review has considered a number of cases involving ethical concerns relating to an engineer’s involvement in adversarial proceedings. As the Board has noted on at least one previous occasion, one of the most common ethical issues that engineers face in their professional lives is conflicts of interest. At one point in the past, engineering codes of ethics, including the NSPE Code of Ethics for Engineers, specifically implored engineers to avoid all conflicts of interest. The basis for this position was that the engineer cannot serve two masters, and when faced with a conflict of interest, the engineer must in all cases take steps to remove him or herself from such conflicts. Among the concerns expressed by supporters of this position was that engineers, who were involved in conflict of interest situations, created a poor image for the engineering profession because the issue raised the appearance of impropriety. However, over time, the engineering profession came to the general conclusion that by the very nature of the engineer’s role in society, conflicts of interests were virtually an immutable fact of professional engineering practice and that it was generally impossible for the engineer to, in all cases, remove him or herself from such situations. As a result, codes were changed and engineers were implored to disclose all known or potential conflicts of interest to their employers or clients by promptly informing them of any business association, interest, or other circumstance that could influence or appear to influence their judgment or the quality of their services. In BER Case No. 98-4, the Board considered a situation involving Engineer A, who was retained by ABC Manufacturing for the purpose of reviewing documents to form an opinion in a patent litigation matter in an area of Engineer A’s expertise. Engineer A performed the requested services and was paid for her work by ABC Manufacturing. Several years later, Eng...

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Engineer A worked for a private engineering company in the field of water rights. The firm was hired by a client to complete a water-rights analysis in which Engineer A participated. Engineer A, along with one other employee at the firm, stamped the final document. These types of analyses quantify water and provide terms and conditions for future use that must be approved by the local courts. Typically, the court process takes years to complete and, in short, it includes the following steps: Application (proposal) Engineering to support application Objections from the public/other water users Rebuttal of objector’s comments Mediation or trialEngineer A worked on the project through step No. 2 and resigned from the firm to work for the State, who is an objector in this specific analysis (the State is typically an objector in most cases).Engineer A feels that he can and should support the work he performed and which was included in the stamped report, but he is concerned about the remaining steps in the court process. In his current employment, he has been isolated from the State’s case in the matter, and his current position does not include opposing this or other cases.

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What are Engineer A’s ethical obligations under the circumstances?
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D-tuple Component Breakdown

48

Total Entities

9/9

Components Populated

9/9

With Embeddings

Combined Embedding
Roles R
w=0.12 384D
Private Engineering Firm Employer
Employed Engineer A and the other stamping employee, and was hired by a client to complete the water-rights...
Engineer A Water Rights Engineer
Participated in the water-rights analysis for the firm's client, stamped the final document with one other employee,...
Engineer A State Employee
After resigning from the firm, works for the State, which is an objector in this specific analysis. He has been...
Second Stamping Engineer
Stamped the final water-rights analysis document along with Engineer A.
Client Water Rights Applicant
Hired the private engineering firm to complete a water-rights analysis whose terms and conditions must be approved...
State Objector
Is an objector in this specific water-rights analysis, as it typically is in most cases.
State Employer
Current employer of Engineer A, who has been isolated from the State's case in the matter and whose position does...
Local Courts Approving Authority
Must approve the terms and conditions for future water use produced by the water-rights analysis, through a court...
Public Water Users Objectors
May file objections to the water-rights application at step No. 3 of the court process.
NSPE Board of Ethical Review
Authors the discussion opinion in the present case, concluding that Engineer A has an ongoing duty to honor...
10 entities
Principles P
w=0.2 384D
Accountability for Stamped Water Rights Report
Engineer A, who stamped the final water-rights analysis with one other employee, feels that he can and should...
Confidentiality of Former Employer Information
Engineer A refraining from disclosing to the State, without consent, confidential information concerning the...
Loyalty to Former Employer and Client
Engineer A honoring his ongoing obligations to his former private firm employer and its client by refraining from...
Conflict Disclosure and Consent in State Case
Engineer A's dual role, as a former employee of the private firm who stamped the water rights analysis and now a...
Conflict Avoidance via Isolation from State Case
Engineer A has been isolated from the State's case in the matter, and his current position does not include opposing...
5 entities
Obligations O
w=0.15 384D
Engineer A Stamped Work Support Duty
Engineer A should support the work he performed and which was included in the water-rights report he stamped,...
Engineer A Former Employer Loyalty Duty
Engineer A must honor his ongoing obligations to his former private firm employer and its client in connection with...
Engineer A Consent Before Participation Duty
Engineer A must first obtain the permission and consent of his former private firm employer and the client before...
Engineer A Conflict Isolation Duty
Engineer A must remain isolated from the State's case in the water-rights matter in which he performed and stamped...
4 entities
States S
w=0.1 384D
Isolation From State Case
State Case Involvement Compromise Risk
Objector Employment Conflict Condition
Water Rights Analysis Knowledge
Stamped Final Report Condition
Pending Water Rights Court Process
Belief In Supporting Stamped Work
Missing Consent Of Former Parties
Confidential Prior Engagement Information
9 entities
Resources Rs
w=0.1 384D
Stamped Water Rights Analysis Report
water-rights analysis quantifying water and providing terms and conditions for future use
NSPE Code of Ethics
NSPE Code of Ethics (topic: conflicts of interest, confidentiality of client and employer information, and...
BER Case No. 98-4
BER Case No. 98-4 (topic: whether an engineer serving parties adverse to a former client in unrelated litigation...
3 entities
Actions A
w=0.1 384D
Water-Rights Report Stamping
Resignation and Employment Change
Case Isolation Assignment
Refraining from Involvement
4 entities
Events E
w=0.08 384D
Client Engagement
State Objection
Conflict of Interest Emergence
Ethics Code Revision
4 entities
Capabilities Ca
w=0.07 384D
Engineer A Conflict Recognition
Engineer A recognizes the ethically salient conflict posed by the remaining court-process steps now that he works...
Engineer A Water Rights Analysis
Engineer A participated in the water-rights analysis for the firm's client and worked on the project through the...
Engineer A Document Stamping
Engineer A exercised sealing authority by stamping the final water-rights analysis document, the act that grounds...
Second Stamping Engineer Document Stamping
The other firm employee also exercised sealing authority by stamping the final water-rights analysis document along...
Engineer A Work Support Accountability
Engineer A feels that he can and should support the work he performed and which was included in the stamped report,...
Engineer A Confidentiality Judgment
Engineer A exercises confidentiality judgment by refraining from becoming involved in the state's water rights case...
6 entities
Constraints Cs
w=0.08 384D
Engineer A State Case Isolation
Engineer A must not participate in or oppose the State's case in the water-rights matter in which he performed and...
Engineer A Confidential Information Disclosure Ban
Engineer A must not disclose, without consent, confidential information concerning the business affairs or technical...
Engineer A Adverse Interest Participation Ban
Engineer A must not, without the consent of all interested parties, participate in or represent the State's...
3 entities
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