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Overview
Facts Discussion
Provenance Draft

PASS 1: Contextual Framework Facts Section

Case 117: Selection of Firm—Promise of Future Engineering Work on a Public Project

R Roles
0
Classes
4
Individuals
S States
4
Classes
4
Individuals
Rs Resources
0
Classes
0
Individuals

Extracted Ontology Entities

12 RDF entities extracted organized by concept type

R Roles

Roles Classes
0
No new roles classes were identified in this section.
Roles Individuals
4
No new roles classes were discovered - the 4 individual(s) below reference existing classes from the ontology.
Engineer A Consultant Engineer
Consultant Engineer Role
Linked
Consultant Engineer Role
C117
Text References:
"Engineer A is a principal in a medium-sized engineering firm with expertise in mechanical and electrical engineering."
"Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades"
Confidence: 0.92
Actor: Engineer A
Role Class: Consultant Engineer Role
Role Category: provider_client
Role Kind: professional
Specialty: Mechanical and electrical engineering
Experience Level: Principal in a medium-sized engineering firm
Employer: Engineer A's engineering firm
Technical Background: Expertise in mechanical and electrical engineering
Additional Relationships:
  • {'type': 'assisted', 'target': 'City X', 'quote': 'to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades'}
  • {'type': 'promised future selection by', 'target': 'Engineer C', 'quote': 'Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X'}
Case Involvement: Engineer A's firm was retained on a speculative basis by Engineer B to assist City X in applying for a federal grant for wastewater treatment equipment upgrades. The application succeeded, and in recognition of this work Engineer C verbally promised to select Engineer A's firm on a future City X project.
Firm position: Principal
Engagement basis: Retained on a speculative basis
Hasclient: Engineer B
"Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant"
[facts] "Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the..."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer A
  • attributes: {'firm_position': 'Principal', 'engagement_basis': 'Retained on a speculative basis'}
  • relationships: {'type': 'hasClient', 'target': 'Engineer B', 'quote': 'Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A is a principal in a medium-sized engineering firm with expertise in mechanical and electrical engineering.; Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades
  • roleClass content: Consultant Engineer Role
  • roleCategory content: provider_client
  • roleKind content: professional
  • specialty content: Mechanical and electrical engineering
  • experienceLevel content: Principal in a medium-sized engineering firm
  • employer content: Engineer A's engineering firm
  • technicalBackground content: Expertise in mechanical and electrical engineering
  • additionalRelationships content: {'type': 'assisted', 'target': 'City X', 'quote': 'to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades'}; {'type': 'promised future selection by', 'target': 'Engineer C', 'quote': 'Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X'}
  • caseInvolvement content: Engineer A's firm was retained on a speculative basis by Engineer B to assist City X in applying for a federal grant for wastewater treatment equipment upgrades. The application succeeded, and in recognition of this work Engineer C verbally promised to select Engineer A's firm on a future City X project.
  • confidence assessment: 0.92
Engineer B Civil Design Engineer
Design Engineer Role
Linked
Design Engineer Role
C117
Text References:
"Engineer B, a local civil engineer"
"Engineer B is retained to design the waste water equipment upgrades"
Confidence: 0.9
Actor: Engineer B
Role Class: Design Engineer Role
Role Category: provider_client
Role Kind: professional
Specialty: Civil engineering
Technical Background: Local civil engineer
Additional Relationships: {'type': 'retained', 'target': 'Engineer A', 'quote': 'Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant'}
Case Involvement: Engineer B, a local civil engineer, retained Engineer A's firm on a speculative basis to assist City X in applying for a federal grant, and after the successful application was retained to design the wastewater equipment upgrades.
Hasclient: City X
"Engineer B is retained to design the waste water equipment upgrades"
[facts] "The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer B
  • relationships: {'type': 'hasClient', 'target': 'City X', 'quote': 'Engineer B is retained to design the waste water equipment upgrades'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer B, a local civil engineer; Engineer B is retained to design the waste water equipment upgrades
  • roleClass content: Design Engineer Role
  • roleCategory content: provider_client
  • roleKind content: professional
  • specialty content: Civil engineering
  • technicalBackground content: Local civil engineer
  • additionalRelationships content: {'type': 'retained', 'target': 'Engineer A', 'quote': 'Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant'}
  • caseInvolvement content: Engineer B, a local civil engineer, retained Engineer A's firm on a speculative basis to assist City X in applying for a federal grant, and after the successful application was retained to design the wastewater equipment upgrades.
  • confidence assessment: 0.9
Engineer C Chief City Engineer
Municipal Engineer Role
Linked
Municipal Engineer Role
C117
Text References:
"Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X"
Confidence: 0.88
Actor: Engineer C
Role Class: Municipal Engineer Role
Role Category: employer_relationship
Role Kind: professional
Employer: City X
Additional Relationships: {'type': 'verbally promised future selection to', 'target': 'Engineer A', 'quote': 'Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X'}
Case Involvement: As chief city engineer, Engineer C verbally promised to select Engineer A's firm on a future engineering project for City X in recognition of Engineer A's work in securing the grant.
Position: Chief city engineer
Employedby: City X
"Engineer C, the chief city engineer"
[facts] "In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer C
  • attributes: {'position': 'Chief city engineer'}
  • relationships: {'type': 'employedBy', 'target': 'City X', 'quote': 'Engineer C, the chief city engineer'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X
  • roleClass content: Municipal Engineer Role
  • roleCategory content: employer_relationship
  • roleKind content: professional
  • employer content: City X
  • additionalRelationships content: {'type': 'verbally promised future selection to', 'target': 'Engineer A', 'quote': 'Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X'}
  • caseInvolvement content: As chief city engineer, Engineer C verbally promised to select Engineer A's firm on a future engineering project for City X in recognition of Engineer A's work in securing the grant.
  • confidence assessment: 0.88
City X Client
Client Role
Linked
Client Role
C117
Text References:
"to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the city’s wastewater treatment facility"
"The application is successful, City X obtains the grant"
Confidence: 0.9
Actor: City X
Role Class: Client Role
Role Kind: participant
Additional Relationships: {'type': 'obtained federal grant', 'target': 'Federal grant program', 'quote': 'The application is successful, City X obtains the grant'}
Case Involvement: City X applied for and obtained a federal grant for wastewater treatment equipment upgrades to its wastewater treatment facility, with Engineer A's firm assisting the application and Engineer B retained to design the upgrades.
Facility: Owns the city's wastewater treatment facility
[facts] "Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the..."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: City X
  • attributes: {'facility': "Owns the city's wastewater treatment facility"}
Literal extractions (kept for synthesis)
  • textReferences content: to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the city’s wastewater treatment facility; The application is successful, City X obtains the grant
  • roleClass content: Client Role
  • roleKind content: participant
  • additionalRelationships content: {'type': 'obtained federal grant', 'target': 'Federal grant program', 'quote': 'The application is successful, City X obtains the grant'}
  • caseInvolvement content: City X applied for and obtained a federal grant for wastewater treatment equipment upgrades to its wastewater treatment facility, with Engineer A's firm assisting the application and Engineer B retained to design the upgrades.
  • confidence assessment: 0.9

S States

States Classes
4
changed
Active Client Engagement State
rdfs:subClassOf States
Linked
Active Client Engagement State
C117
Definition
Extracted from facts primary
A condition in which a professional holds a contract in force with a client, so the engagement duties under that contract currently apply, here Engineer B being retained to design the wastewater equipment upgrades for City X after the grant is obtained.
Inherited from ActiveClientEngagementState · note
A condition in which a professional firm holds one or more contracts in force with a client, so the engagement duties under those contracts currently apply and the firm stands in an ongoing service relationship with the client.
Properties
Text References:
"Engineer B is retained to design the waste water equipment upgrades."
Confidence: 0.85
State Category: regulatory
Persistence Type: inertial
Activation Conditions: A client retains the professional for defined services
Termination Conditions: The engagement is completed or terminated
Principle Transformation: With the design retention in force, the duties owed under that engagement currently apply to the retained professional.
[facts] "The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer B is retained to design the waste water equipment upgrades.
  • stateCategory content: regulatory
  • persistenceType content: inertial
  • principleTransformation content: With the design retention in force, the duties owed under that engagement currently apply to the retained professional.
  • confidence assessment: 0.85
Derived (reconstructable from the graph)
  • activationConditions: A client retains the professional for defined services
  • terminationConditions: The engagement is completed or terminated
changed
OutcomeContingentCompensationState
rdfs:subClassOf States
New C117
Definition
Extracted from facts primary
A resource condition in which a professional or firm is retained on a speculative basis, so that compensation for the services depends on the outcome of the engagement rather than being assured, here Engineer A's firm being retained on a speculative basis to assist in applying for a federal grant.
Properties
Text References:
"Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the..."
Confidence: 0.88
State Category: resource
Persistence Type: inertial
Activation Conditions: A firm is retained on a speculative basis so that its compensation depends on the outcome of the engagement
Termination Conditions: The contingency is resolved, for example the grant application succeeds or fails
Principle Transformation: Because the firm's compensation rides on the outcome, the arrangement ties the firm's financial interest to the success of the application, which bears on the independence of the services rendered.
[facts] "Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the..."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the city’s wastewater treatment facility.
  • stateCategory content: resource
  • persistenceType content: inertial
  • principleTransformation content: Because the firm's compensation rides on the outcome, the arrangement ties the firm's financial interest to the success of the application, which bears on the independence of the services rendered.
  • confidence assessment: 0.88
Derived (reconstructable from the graph)
  • activationConditions: A firm is retained on a speculative basis so that its compensation depends on the outcome of the engagement
  • terminationConditions: The contingency is resolved, for example the grant application succeeds or fails
changed
ConflictOfInterestState
rdfs:subClassOf States
New C117
Definition
Extracted from facts primary
A conflict-of-interest condition in which a public official has verbally promised to select a professional's firm for a future project in recognition of past services, so a commitment of future public work exists as a reward outside any completed selection process, here Engineer C, the chief city engineer, verbally promising to select Engineer A's firm on a future engineering project for City X in recognition of Engineer A's work in securing the grant.
Properties
Text References:
"In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X."
Confidence: 0.9
State Category: conflict_of_interest
Persistence Type: inertial
Activation Conditions: A public official verbally promises to select a firm for a future project in recognition of past services
Termination Conditions: The promise is withdrawn, fulfilled through a proper selection, or otherwise resolved
Principle Transformation: A standing promise of future public work as a reward places the official's selection commitment in tension with merit-based procurement, since the future award is committed in recognition of past favor rather than through an open selection.
[facts] "In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X.
  • stateCategory content: conflict_of_interest
  • persistenceType content: inertial
  • principleTransformation content: A standing promise of future public work as a reward places the official's selection commitment in tension with merit-based procurement, since the future award is committed in recognition of past favor rather than through an open selection.
  • confidence assessment: 0.9
Derived (reconstructable from the graph)
  • activationConditions: A public official verbally promises to select a firm for a future project in recognition of past services
  • terminationConditions: The promise is withdrawn, fulfilled through a proper selection, or otherwise resolved
changed
FundingAvailabilityState
rdfs:subClassOf States
Review
Contractual Arrangement State
C117
Definition
Extracted from facts primary
A resource condition in which a public body holds awarded grant funding for a defined project, so the funding arrangement is in force for the work it covers, here City X obtaining the federal grant for the wastewater treatment equipment upgrades.
Inherited from ContractualArrangementState · note
A condition in which a contractual or project arrangement is in force for the situation. Here the State DOT contracts directly with municipalities by means of grant agreements to fund improvements to municipal airports, so the projects the former firm would pursue are funded through agreements held by Engineer A's public employer.
Properties
Text References:
"The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Confidence: 0.8
State Category: resource
Persistence Type: inertial
Activation Conditions: A grant application succeeds and the public body obtains the funding
Termination Conditions: The funded project is completed or the grant is exhausted or rescinded
Principle Transformation: With federal grant funds in force for the upgrades, the engagements that follow are carried out under a publicly funded arrangement.
[facts] "The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades.
  • stateCategory content: resource
  • persistenceType content: inertial
  • principleTransformation content: With federal grant funds in force for the upgrades, the engagements that follow are carried out under a publicly funded arrangement.
  • confidence assessment: 0.8
Derived (reconstructable from the graph)
  • activationConditions: A grant application succeeds and the public body obtains the funding
  • terminationConditions: The funded project is completed or the grant is exhausted or rescinded
States Individuals
4
changed
Verbal Promise of Future Selection
ConflictOfInterestState
New C117
Text References:
"In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X."
Confidence: 0.92
State Class: Promised Future Engagement State
Subject: Engineer C, the chief city engineer, whose verbal promise commits a future City X project to Engineer A's firm
Active Period: From the verbal promise onward, with no resolution stated in the facts
Triggering Event: Engineer C verbally promises to select Engineer A's firm on a future engineering project in recognition of Engineer A's work in securing the grant
Terminated By: Not stated in the case facts
Affected Parties:
  • Engineer A
  • Engineer C
  • City X
Urgency Level: medium
[facts] "In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: In recognition of Engineer A’s work in securing the grant, Engineer C, the chief city engineer, verbally promises to select Engineer A’s firm on a future engineering project for City X.
  • stateClass content: Promised Future Engagement State
  • subject content: Engineer C, the chief city engineer, whose verbal promise commits a future City X project to Engineer A's firm
  • activePeriod content: From the verbal promise onward, with no resolution stated in the facts
  • triggeringEvent content: Engineer C verbally promises to select Engineer A's firm on a future engineering project in recognition of Engineer A's work in securing the grant
  • terminatedBy content: Not stated in the case facts
  • affectedParties content: Engineer A; Engineer C; City X
  • confidence assessment: 0.92
  • urgencyLevel assessment: medium
changed
Engineer B Design Retention
Active Client Engagement State
Linked
Active Client Engagement State
C117
Text References:
"Engineer B is retained to design the waste water equipment upgrades."
Confidence: 0.85
State Class: Active Client Engagement State
Subject: Engineer B, retained to design the wastewater equipment upgrades for City X
Active Period: From the retention for the design work onward
Triggering Event: Engineer B is retained to design the wastewater equipment upgrades after City X obtains the grant
Terminated By: Not stated in the case facts
Affected Parties:
  • Engineer B
  • City X
Urgency Level: low
[facts] "The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer B is retained to design the waste water equipment upgrades.
  • stateClass content: Active Client Engagement State
  • subject content: Engineer B, retained to design the wastewater equipment upgrades for City X
  • activePeriod content: From the retention for the design work onward
  • triggeringEvent content: Engineer B is retained to design the wastewater equipment upgrades after City X obtains the grant
  • terminatedBy content: Not stated in the case facts
  • affectedParties content: Engineer B; City X
  • confidence assessment: 0.85
  • urgencyLevel assessment: low
changed
Speculative Grant Assistance Retention
OutcomeContingentCompensationState
New C117
Text References:
"Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the..."
Confidence: 0.88
State Class: Contingent Compensation State
Subject: Engineer A's firm, retained on a speculative basis by Engineer B
Active Period: From the speculative retention until the grant application is resolved
Triggering Event: Engineer B retains Engineer A's firm on a speculative basis to assist City X in applying for the federal grant
Terminated By: The application is successful and City X obtains the grant, resolving the contingency
Affected Parties:
  • Engineer A
  • Engineer B
  • City X
Urgency Level: low
[facts] "Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the..."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A’s firm is retained on a speculative basis by Engineer B, a local civil engineer, to assist City X in applying for a federal grant for certain wastewater treatment equipment upgrades for the city’s wastewater treatment facility.
  • stateClass content: Contingent Compensation State
  • subject content: Engineer A's firm, retained on a speculative basis by Engineer B
  • activePeriod content: From the speculative retention until the grant application is resolved
  • triggeringEvent content: Engineer B retains Engineer A's firm on a speculative basis to assist City X in applying for the federal grant
  • terminatedBy content: The application is successful and City X obtains the grant, resolving the contingency
  • affectedParties content: Engineer A; Engineer B; City X
  • confidence assessment: 0.88
  • urgencyLevel assessment: low
changed
City X Federal Grant Obtained
Contractual Arrangement State
Review
Contractual Arrangement State
C117
Text References:
"The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Confidence: 0.8
State Class: Grant Funding State
Subject: City X, holding the federal grant for the wastewater treatment equipment upgrades
Active Period: From the grant award through the funded upgrade work
Triggering Event: The grant application is successful and City X obtains the grant
Terminated By: Not stated in the case facts
Affected Parties:
  • City X
  • Engineer B
  • Engineer A
Urgency Level: low
[facts] "The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: The application is successful, City X obtains the grant, and Engineer B is retained to design the waste water equipment upgrades.
  • stateClass content: Grant Funding State
  • subject content: City X, holding the federal grant for the wastewater treatment equipment upgrades
  • activePeriod content: From the grant award through the funded upgrade work
  • triggeringEvent content: The grant application is successful and City X obtains the grant
  • terminatedBy content: Not stated in the case facts
  • affectedParties content: City X; Engineer B; Engineer A
  • confidence assessment: 0.8
  • urgencyLevel assessment: low

Rs Resources

No new resources were extracted for this section.

The extraction did not find any resources to add. This typically means the case text doesn't contain relevant resources for this section, or extraction hasn't been run yet.

Pass 1: Contextual Framework - Facts
Review extracted entities, then continue to the next step
Continue to Discussion Review
Case texts: National Society of Professional Engineers, Board of Ethical Review.

NOTE: The NSPE Board of Ethical Review considers ethical cases involving either real or hypothetical matters submitted to it from NSPE members, other engineers, public officials, and members of the public. The BER reviews each case in the context of the NSPE Code of Ethics and earlier BER opinions. The facts contained in each case do not necessarily represent all of the pertinent facts submitted to or reviewed by the BER and shall not be considered a direct evaluation of any real matter that may have been submitted.

Each opinion is intended as guidance to individual practicing engineers, students, and the public. In regard to the question of application of the NSPE Code of Ethics to engineering organizations (e.g., corporations, partnerships, sole proprietorships, government agencies, and university engineering departments), the specific business form or type should not negate nor detract from the conformance of individuals to the Code. The NSPE Code deals with professional services, which must be performed by real persons. Real persons in turn establish and implement policies within business structures.

This opinion is for educational purposes only and is not legal advice. It may be reprinted without further permission, provided that this statement is included before or after the text of the case and appropriate attribution is provided to the National Society of Professional Engineers' Board of Ethical Review.

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