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Overview
Facts Discussion
Provenance Draft

PASS 1: Contextual Framework Facts Section

Case 178: Former Employer Establishing A New Firm - Soliciting Former Clients After A Period Of Time Has Elapsed

R Roles
0
Classes
5
Individuals
S States
6
Classes
6
Individuals
Rs Resources
2
Classes
2
Individuals

Extracted Ontology Entities

21 RDF entities extracted organized by concept type

R Roles

Roles Classes
0
No new roles classes were identified in this section.
Roles Individuals
5
No new roles classes were discovered - the 5 individual(s) below reference existing classes from the ontology.
Clover City Client
Client Role
Linked
Client Role
C178
Text References:
"Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city."
"The city has paid ABC for this report."
"Recently, officials in Clover City suggested that Engineer A open his own engineering company in Clover City."
"The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank."
Confidence: 0.95
Actor: Clover City
Role Class: Client Role
Role Kind: participant
Additional Relationships: {'type': 'suggestedFirmFormationTo', 'target': 'Engineer A', 'quote': 'Recently, officials in Clover City suggested that Engineer A open his own engineering company in Clover City.'}
Case Involvement: Major client of ABC that paid for the water treatment plant expansion report, is impressed by Engineer A's initiative, and through its officials suggests Engineer A open his own firm in Clover City, indicating it would consider a retainer contract and a design contract for the elevated storage tank.
Entity type: Neighboring city, a municipal client
Future contract interest: Would consider a city retainer contract and a contract for the design of the elevated storage tank
[facts] "Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Clover City
  • attributes: {'entity_type': 'Neighboring city, a municipal client', 'future_contract_interest': 'Would consider a city retainer contract and a contract for the design of the elevated storage tank'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city.; The city has paid ABC for this report.; Recently, officials in Clover City suggested that Engineer A open his own engineering company in Clover City.; The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank.
  • roleClass content: Client Role
  • roleKind content: participant
  • additionalRelationships content: {'type': 'suggestedFirmFormationTo', 'target': 'Engineer A', 'quote': 'Recently, officials in Clover City suggested that Engineer A open his own engineering company in Clover City.'}
  • caseInvolvement content: Major client of ABC that paid for the water treatment plant expansion report, is impressed by Engineer A's initiative, and through its officials suggests Engineer A open his own firm in Clover City, indicating it would consider a retainer contract and a design contract for the elevated storage tank.
  • confidence assessment: 0.95
Linked
Engineer Role
C178
Text References:
"Engineer A currently works for ABC Engineering Company."
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
"The report included a part dealing with funding for an elevated storage tank."
Confidence: 0.95
Actor: Engineer A
Role Class: Engineer Role
Role Category: employer_relationship
Role Kind: professional
Employer: ABC Engineering Company
Technical Background: Water treatment plant expansion report preparation
Additional Relationships: {'type': 'hasWorkingRelationshipWith', 'target': 'Clover City', 'quote': 'Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city.'}
Case Involvement: As an employee of ABC, developed the funding report for Clover City's water treatment plant expansion, including elevated storage tank aspects that were outside the negotiated scope of work, impressing the city with his initiative.
Initiative: Included elevated storage tank funding aspects beyond the negotiated scope of work
Employedby: ABC Engineering Company
"Engineer A currently works for ABC Engineering Company."
[facts] "Engineer A currently works for ABC Engineering Company. ... As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer A
  • attributes: {'initiative': 'Included elevated storage tank funding aspects beyond the negotiated scope of work'}
  • relationships: {'type': 'employedBy', 'target': 'ABC Engineering Company', 'quote': 'Engineer A currently works for ABC Engineering Company.'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A currently works for ABC Engineering Company.; As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.; The report included a part dealing with funding for an elevated storage tank.
  • roleClass content: Engineer Role
  • roleCategory content: employer_relationship
  • roleKind content: professional
  • employer content: ABC Engineering Company
  • technicalBackground content: Water treatment plant expansion report preparation
  • additionalRelationships content: {'type': 'hasWorkingRelationshipWith', 'target': 'Clover City', 'quote': 'Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city.'}
  • caseInvolvement content: As an employee of ABC, developed the funding report for Clover City's water treatment plant expansion, including elevated storage tank aspects that were outside the negotiated scope of work, impressing the city with his initiative.
  • confidence assessment: 0.95
Linked
Engineer Role
C178
Text References:
"Six months later, Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time."
"However, after a year has passed, Engineer A begins soliciting work from ABC’s clients, including Clover City."
"There was no “no-compete agreement” between Engineer A and ABC Engineering Company."
Confidence: 0.9
Actor: Engineer A
Role Class: Engineer Role
Role Kind: professional
Employer: Own firm in Clover City
Additional Relationships:
  • {'type': 'solicitsWorkFrom', 'target': 'Clover City', 'quote': 'However, after a year has passed, Engineer A begins soliciting work from ABC’s clients, including Clover City.'}
  • {'type': 'formerEmployerOf', 'target': 'ABC Engineering Company', 'quote': 'There was no “no-compete agreement” between Engineer A and ABC Engineering Company.'}
Case Involvement: Establishes his own engineering firm in Clover City, initially refrains from soliciting work from ABC's clients, then after a year begins soliciting work from ABC's clients including Clover City, with no no-compete agreement in place.
Firm founding: Established his own firm in Clover City six months after the city officials' suggestion
No compete agreement: There was no no-compete agreement between Engineer A and ABC Engineering Company
[facts] "Six months later, Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time. However, after a year has passed, ..."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer A
  • attributes: {'firm_founding': "Established his own firm in Clover City six months after the city officials' suggestion", 'no_compete_agreement': 'There was no no-compete agreement between Engineer A and ABC Engineering Company'}
Literal extractions (kept for synthesis)
  • textReferences content: Six months later, Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time.; However, after a year has passed, Engineer A begins soliciting work from ABC’s clients, including Clover City.; There was no “no-compete agreement” between Engineer A and ABC Engineering Company.
  • roleClass content: Engineer Role
  • roleKind content: professional
  • employer content: Own firm in Clover City
  • additionalRelationships content: {'type': 'solicitsWorkFrom', 'target': 'Clover City', 'quote': 'However, after a year has passed, Engineer A begins soliciting work from ABC’s clients, including Clover City.'}; {'type': 'formerEmployerOf', 'target': 'ABC Engineering Company', 'quote': 'There was no “no-compete agreement” between Engineer A and ABC Engineering Company.'}
  • caseInvolvement content: Establishes his own engineering firm in Clover City, initially refrains from soliciting work from ABC's clients, then after a year begins soliciting work from ABC's clients including Clover City, with no no-compete agreement in place.
  • confidence assessment: 0.9
Linked
Employer Role
C178
Text References:
"Engineer A currently works for ABC Engineering Company."
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
Confidence: 0.9
Actor: ABC Engineering Company
Role Class: Employer Role
Role Kind: participant
Case Involvement: Employs Engineer A while he develops the funding report for Clover City; later becomes his former employer when he establishes his own firm and begins soliciting ABC's clients.
[facts] "Engineer A currently works for ABC Engineering Company."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: ABC Engineering Company
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A currently works for ABC Engineering Company.; As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.
  • roleClass content: Employer Role
  • roleKind content: participant
  • caseInvolvement content: Employs Engineer A while he develops the funding report for Clover City; later becomes his former employer when he establishes his own firm and begins soliciting ABC's clients.
  • confidence assessment: 0.9
Linked
Provider Role
C178
Text References:
"ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant."
"The city has paid ABC for this report."
Confidence: 0.88
Actor: ABC Engineering Company
Role Class: Provider Role
Role Category: provider_client
Role Kind: professional
Case Involvement: Under contract with Clover City for preparation of the water treatment plant expansion report, for which the city has paid, although no contract exists for the design of the elevated storage tank.
Contract scope limit: No contract exists between the city and ABC for the design of the elevated storage tank
Hasclient: Clover City
"ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant."
[facts] "ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: ABC Engineering Company
  • attributes: {'contract_scope_limit': 'No contract exists between the city and ABC for the design of the elevated storage tank'}
  • relationships: {'type': 'hasClient', 'target': 'Clover City', 'quote': 'ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant.'}
Literal extractions (kept for synthesis)
  • textReferences content: ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant.; The city has paid ABC for this report.
  • roleClass content: Provider Role
  • roleCategory content: provider_client
  • roleKind content: professional
  • caseInvolvement content: Under contract with Clover City for preparation of the water treatment plant expansion report, for which the city has paid, although no contract exists for the design of the elevated storage tank.
  • confidence assessment: 0.88

S States

States Classes
6
changed
Scope Limitation State
rdfs:subClassOf States
Review
Scope Limitation State
C178
Definition
Extracted from facts primary
A condition in which portions of a delivered work product lie outside the scope of work originally negotiated between the firm and the client, with no contract in force covering the additional work, here the elevated storage tank aspects of the report ABC prepared for Clover City.
Inherited from ScopeLimitationState · note
A condition in which a professional's engagement is contractually limited to a defined service, here Engineer A hired by the Homeowner only to design a retaining wall system to stabilize a rear yard, so the observed sprinkler defect lies outside the scope of the retained services.
Properties
Text References:
"Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and A..."
Confidence: 0.85
State Category: regulatory
Persistence Type: inertial
Activation Conditions: The scope of work is originally negotiated between the firm and the client without the additional work item
Termination Conditions: A contract covering the additional work is executed between the client and a firm
Principle Transformation: The contractual-fidelity ideal becomes concrete as the recognition that work on the elevated storage tank stands outside any contract between the city and ABC.
[facts] "Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and A..."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and ABC for the design of the elevated storage tank.
  • stateCategory content: regulatory
  • persistenceType content: inertial
  • principleTransformation content: The contractual-fidelity ideal becomes concrete as the recognition that work on the elevated storage tank stands outside any contract between the city and ABC.
  • confidence assessment: 0.85
Derived (reconstructable from the graph)
  • activationConditions: The scope of work is originally negotiated between the firm and the client without the additional work item
  • terminationConditions: A contract covering the additional work is executed between the client and a firm
changed
RegulatoryGapState
rdfs:subClassOf States
Review
Regulatory Gap State
C178
Definition
Extracted from facts primary
A condition in which no provision or contractual requirement is in force to govern an ethically significant practice question, here the absence of any no-compete agreement between Engineer A and ABC Engineering Company, so Engineer A's later solicitation of ABC's clients is not contractually restricted.
Inherited from RegulatoryGapState · note
A regulatory condition in which no provision, rule, or contractual requirement is in force to govern an ethically significant practice question, here the absence of revolving door provisions in the City's employment contracts for senior-level employees, so the movement of a senior public engineer to a private firm doing business with the City is not contractually restricted.
Properties
Text References:
"There was no “no-compete agreement” between Engineer A and ABC Engineering Company."
Confidence: 0.9
State Category: regulatory
Persistence Type: inertial
Activation Conditions: The employment relationship is formed without a no-compete agreement
Termination Conditions: A no-compete or similar restrictive agreement is executed between the parties
Principle Transformation: With no contractual restriction in force, the propriety of soliciting the former employer's clients turns on professional ethics rather than on contract.
[facts] "There was no “no-compete agreement” between Engineer A and ABC Engineering Company."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: There was no “no-compete agreement” between Engineer A and ABC Engineering Company.
  • stateCategory content: regulatory
  • persistenceType content: inertial
  • principleTransformation content: With no contractual restriction in force, the propriety of soliciting the former employer's clients turns on professional ethics rather than on contract.
  • confidence assessment: 0.9
Derived (reconstructable from the graph)
  • activationConditions: The employment relationship is formed without a no-compete agreement
  • terminationConditions: A no-compete or similar restrictive agreement is executed between the parties
changed
PriorClientInvolvementState
rdfs:subClassOf States
Linked
Prior Client Involvement State
C178
Definition
Extracted from facts primary
An epistemic condition in which an engineer, while employed by a firm, was involved with a client of that firm and built a working relationship with it, so the engineer carries that familiarity when later soliciting the client from a new firm, here Engineer A's relationship with Clover City built while developing the funding report as an ABC employee.
Inherited from PriorClientInvolvementState · note
An epistemic condition in which an engineer, while employed by a former firm, was involved with clients of that firm, so the engineer carries familiarity and working relationships with those clients acquired during the prior employment when later soliciting them from a new firm.
Properties
Text References:
"Engineer A has a very good working relationship with a major client, Clover City"
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
Confidence: 0.9
State Category: epistemic
Persistence Type: inertial
Activation Conditions: The engineer works with the firm's client during employment with the firm
Termination Conditions: The familiarity and relationships become stale or the client relationship ends
Principle Transformation: The fair-dealing ideal becomes concrete in how the engineer may use client familiarity acquired during prior employment when later soliciting that client.
[facts] "Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A has a very good working relationship with a major client, Clover City; As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.
  • stateCategory content: epistemic
  • persistenceType content: inertial
  • principleTransformation content: The fair-dealing ideal becomes concrete in how the engineer may use client familiarity acquired during prior employment when later soliciting that client.
  • confidence assessment: 0.9
Derived (reconstructable from the graph)
  • activationConditions: The engineer works with the firm's client during employment with the firm
  • terminationConditions: The familiarity and relationships become stale or the client relationship ends
changed
EngagementUncertaintyState
rdfs:subClassOf States
Review
Engagement Uncertainty State
C178
Definition
Extracted from facts primary
A regulatory condition in which a client has taken no definite steps toward retaining an engineer, with contracts under consideration but no selection or negotiation having taken place, here Clover City indicating it would consider a city retainer contract and a contract for the design of the elevated storage tank if Engineer A opened his own firm.
Inherited from EngagementUncertaintyState · note
A regulatory condition in which a client has taken no definite steps toward retaining an engineer, with projects under discussion but no specific selection or negotiation having taken place, so no commitment or expectation of award exists and the prohibition against supplanting another engineer does not come into play.
Properties
Text References:
"The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank."
Confidence: 0.85
State Category: regulatory
Persistence Type: inertial
Activation Conditions: The client indicates it would consider retaining the engineer without taking definite steps
Termination Conditions: The client makes a specific selection or negotiates and awards a contract
Principle Transformation: With no commitment or expectation of award, the prospect of future contracts remains a consideration rather than an entitlement for the engineer.
[facts] "The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank.
  • stateCategory content: regulatory
  • persistenceType content: inertial
  • principleTransformation content: With no commitment or expectation of award, the prospect of future contracts remains a consideration rather than an entitlement for the engineer.
  • confidence assessment: 0.85
Derived (reconstructable from the graph)
  • activationConditions: The client indicates it would consider retaining the engineer without taking definite steps
  • terminationConditions: The client makes a specific selection or negotiates and awards a contract
changed
CoolingOffPeriodState
rdfs:subClassOf States
Review
Cooling Off Period State
C178
Definition
Extracted from facts primary
A temporal condition in which a professional departing a firm voluntarily abstains from soliciting the former firm's clients for a period of time after establishing a new practice, here Engineer A establishing his own firm in Clover City without soliciting work from ABC's clients, including Clover City, for a period of time.
Inherited from CoolingOffPeriodState · note
A temporal condition in which a professional transitioning from public to private employment voluntarily abstains from participation in procurement matters before the former public employer, or before any agency for which that employer is or was the approving authority, for an agreed embargo period, often one year, to ameliorate conflicts of interest too complex or prohibitive to set aside. In this case, the Board notes Engineer D could, as appropriate and prudent, voluntarily abstain for an agreed period of say one year after leaving the public job.
Properties
Text References:
"Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time."
Confidence: 0.8
State Category: temporal
Persistence Type: inertial
Activation Conditions: The professional establishes the new practice and voluntarily abstains from soliciting the former firm's clients
Termination Conditions: The abstention period ends and the professional begins soliciting the former firm's clients
Principle Transformation: The loyalty owed to the former employer takes concrete form as a self-imposed window during which the former firm's clients are not solicited.
[facts] "Six months later, Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time.
  • stateCategory content: temporal
  • persistenceType content: inertial
  • principleTransformation content: The loyalty owed to the former employer takes concrete form as a self-imposed window during which the former firm's clients are not solicited.
  • confidence assessment: 0.8
Derived (reconstructable from the graph)
  • activationConditions: The professional establishes the new practice and voluntarily abstains from soliciting the former firm's clients
  • terminationConditions: The abstention period ends and the professional begins soliciting the former firm's clients
changed
ClientFavorableImpressionState
rdfs:subClassOf States
New C178
Definition
Extracted from facts primary
An epistemic condition of a client in which the client holds a favorable view of an individual engineer's initiative and work, here Clover City being impressed by Engineer A's initiative on the water treatment plant report, a regard that prompts the city's suggestion that he open his own firm.
Properties
Text References:
"Clover City is impressed by Engineer A’s initiative on this project."
Confidence: 0.72
State Category: epistemic
Persistence Type: inertial
Activation Conditions: The engineer's initiative on the project impresses the client
Termination Conditions: The client's regard for the engineer changes
Principle Transformation: The client's favorable regard is the concrete circumstance that gives the engineer the prospect of future engagements from the client.
[facts] "Clover City is impressed by Engineer A’s initiative on this project."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Clover City is impressed by Engineer A’s initiative on this project.
  • stateCategory content: epistemic
  • persistenceType content: inertial
  • principleTransformation content: The client's favorable regard is the concrete circumstance that gives the engineer the prospect of future engagements from the client.
  • confidence assessment: 0.72
Derived (reconstructable from the graph)
  • activationConditions: The engineer's initiative on the project impresses the client
  • terminationConditions: The client's regard for the engineer changes
States Individuals
6
changed
Engineer A Clover City Familiarity
Prior Client Involvement State
Linked
Prior Client Involvement State
C178
Text References:
"Engineer A has a very good working relationship with a major client, Clover City"
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
Confidence: 0.9
State Class: Prior Client Involvement State
Subject: Engineer A
Active Period: From Engineer A's work with Clover City as an ABC employee, continuing through his later establishment of his own firm and solicitation of the city
Triggering Event: Engineer A develops the funding report for Clover City as an employee of ABC and builds a very good working relationship with the city
Terminated By: Not terminated in the case facts
Affected Parties:
  • Engineer A
  • ABC Engineering Company
  • Clover City
Urgency Level: medium
[facts] "Engineer A has a very good working relationship with a major client, Clover City, which is a neighboring city."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A has a very good working relationship with a major client, Clover City; As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.
  • stateClass content: Prior Client Involvement State
  • subject content: Engineer A
  • activePeriod content: From Engineer A's work with Clover City as an ABC employee, continuing through his later establishment of his own firm and solicitation of the city
  • triggeringEvent content: Engineer A develops the funding report for Clover City as an employee of ABC and builds a very good working relationship with the city
  • terminatedBy content: Not terminated in the case facts
  • affectedParties content: Engineer A; ABC Engineering Company; Clover City
  • confidence assessment: 0.9
  • urgencyLevel assessment: medium
changed
Tank Work Outside ABC Scope
Scope Limitation State
Review
Scope Limitation State
C178
Text References:
"Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and A..."
Confidence: 0.88
State Class: Scope Limitation State
Subject: The elevated storage tank aspects of the report prepared by ABC for Clover City
Active Period: From the negotiation of the original scope of work through the delivery and payment of the report, with no tank design contract yet in existence
Triggering Event: ABC and Clover City negotiate a scope of work for the water treatment plant expansion report that does not include the elevated storage tank
Terminated By: Execution of a contract between Clover City and a firm for the design of the elevated storage tank
Affected Parties:
  • ABC Engineering Company
  • Clover City
  • Engineer A
Urgency Level: low
[facts] "Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and A..."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and ABC for the design of the elevated storage tank.
  • stateClass content: Scope Limitation State
  • subject content: The elevated storage tank aspects of the report prepared by ABC for Clover City
  • activePeriod content: From the negotiation of the original scope of work through the delivery and payment of the report, with no tank design contract yet in existence
  • triggeringEvent content: ABC and Clover City negotiate a scope of work for the water treatment plant expansion report that does not include the elevated storage tank
  • terminatedBy content: Execution of a contract between Clover City and a firm for the design of the elevated storage tank
  • affectedParties content: ABC Engineering Company; Clover City; Engineer A
  • confidence assessment: 0.88
  • urgencyLevel assessment: low
changed
No Compete Agreement Absence
Regulatory Gap State
Review
Regulatory Gap State
C178
Text References:
"There was no “no-compete agreement” between Engineer A and ABC Engineering Company."
Confidence: 0.9
State Class: Regulatory Gap State
Subject: The employment relationship between Engineer A and ABC Engineering Company
Active Period: Throughout Engineer A's employment with ABC and after his departure, since no such agreement was ever made
Triggering Event: Engineer A's employment with ABC is formed without any no-compete agreement
Terminated By: Not terminated in the case facts
Affected Parties:
  • Engineer A
  • ABC Engineering Company
Urgency Level: low
[facts] "There was no “no-compete agreement” between Engineer A and ABC Engineering Company."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: There was no “no-compete agreement” between Engineer A and ABC Engineering Company.
  • stateClass content: Regulatory Gap State
  • subject content: The employment relationship between Engineer A and ABC Engineering Company
  • activePeriod content: Throughout Engineer A's employment with ABC and after his departure, since no such agreement was ever made
  • triggeringEvent content: Engineer A's employment with ABC is formed without any no-compete agreement
  • terminatedBy content: Not terminated in the case facts
  • affectedParties content: Engineer A; ABC Engineering Company
  • confidence assessment: 0.9
  • urgencyLevel assessment: low
changed
Clover City Contracts Under Consideration
Engagement Uncertainty State
Review
Engagement Uncertainty State
C178
Text References:
"The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank."
Confidence: 0.85
State Class: Engagement Uncertainty State
Subject: Clover City's prospective retention of Engineer A
Active Period: From the city officials' suggestion, while no retainer contract or tank design contract has been awarded
Triggering Event: Officials in Clover City suggest that Engineer A open his own engineering company and indicate the city would consider a retainer contract and a tank design contract
Terminated By: Award or negotiation of a specific contract between Clover City and Engineer A, which has not occurred in the case facts
Affected Parties:
  • Engineer A
  • Clover City
  • ABC Engineering Company
Urgency Level: medium
[facts] "Recently, officials in Clover City suggested that Engineer A open his own engineering company in Clover City. The city indicates that it would consider a city retainer contract and also a contract for..."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: The city indicates that it would consider a city retainer contract and also a contract for the design of the elevated storage tank.
  • stateClass content: Engagement Uncertainty State
  • subject content: Clover City's prospective retention of Engineer A
  • activePeriod content: From the city officials' suggestion, while no retainer contract or tank design contract has been awarded
  • triggeringEvent content: Officials in Clover City suggest that Engineer A open his own engineering company and indicate the city would consider a retainer contract and a tank design contract
  • terminatedBy content: Award or negotiation of a specific contract between Clover City and Engineer A, which has not occurred in the case facts
  • affectedParties content: Engineer A; Clover City; ABC Engineering Company
  • confidence assessment: 0.85
  • urgencyLevel assessment: medium
changed
Review
Cooling Off Period State
C178
Text References:
"Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time."
"However, after a year has passed, Engineer A begins soliciting work from ABC’s clients, including Clover City."
Confidence: 0.85
State Class: Cooling Off Period State
Subject: Engineer A
Active Period: From the establishment of Engineer A's own firm in Clover City until a year has passed
Triggering Event: Engineer A establishes his own firm in Clover City without soliciting work from ABC's clients for a period of time
Terminated By: After a year has passed, Engineer A begins soliciting work from ABC's clients, including Clover City
Affected Parties:
  • Engineer A
  • ABC Engineering Company
  • Clover City
Urgency Level: medium
[facts] "Six months later, Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time. However, after a year has passed, ..."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A decides to establish his own firm in Clover City without soliciting work from ABC’s clients, including Clover City for a period of time.; However, after a year has passed, Engineer A begins soliciting work from ABC’s clients, including Clover City.
  • stateClass content: Cooling Off Period State
  • subject content: Engineer A
  • activePeriod content: From the establishment of Engineer A's own firm in Clover City until a year has passed
  • triggeringEvent content: Engineer A establishes his own firm in Clover City without soliciting work from ABC's clients for a period of time
  • terminatedBy content: After a year has passed, Engineer A begins soliciting work from ABC's clients, including Clover City
  • affectedParties content: Engineer A; ABC Engineering Company; Clover City
  • confidence assessment: 0.85
  • urgencyLevel assessment: medium
changed
Clover City Impressed With Engineer A
ClientFavorableImpressionState
New C178
Text References:
"Clover City is impressed by Engineer A’s initiative on this project."
Confidence: 0.75
State Class: Client Favorable Impression State
Subject: Clover City
Active Period: From the delivery of the funding report onward, continuing when city officials suggest Engineer A open his own firm
Triggering Event: Engineer A's initiative in developing the report, including the elevated storage tank funding part, impresses Clover City
Terminated By: Not terminated in the case facts
Affected Parties:
  • Clover City
  • Engineer A
  • ABC Engineering Company
Urgency Level: low
[facts] "Clover City is impressed by Engineer A’s initiative on this project. The city has paid ABC for this report."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Clover City is impressed by Engineer A’s initiative on this project.
  • stateClass content: Client Favorable Impression State
  • subject content: Clover City
  • activePeriod content: From the delivery of the funding report onward, continuing when city officials suggest Engineer A open his own firm
  • triggeringEvent content: Engineer A's initiative in developing the report, including the elevated storage tank funding part, impresses Clover City
  • terminatedBy content: Not terminated in the case facts
  • affectedParties content: Clover City; Engineer A; ABC Engineering Company
  • confidence assessment: 0.75
  • urgencyLevel assessment: low

Rs Resources

Resources Classes
2
changed
Legal Resource
rdfs:subClassOf Resources
Review
Legal Resource
C178
Definition
Extracted from facts primary
Legal instruments governing professional engagements, here the service contract between ABC Engineering Company and Clover City that establishes the negotiated scope of work for the report.
Inherited from LegalResource · note
Laws, regulations, and statutes governing professional practice that establish legal boundaries and compliance requirements for professional activities.
Properties
Text References:
"no contract exists between the city and ABC for the design of the elevated storage tank"
"ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant."
"Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and A..."
Confidence: 0.7
Resource Category: legal_resource
[facts] "no contract exists between the city and ABC for the design of the elevated storage tank"
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: no contract exists between the city and ABC for the design of the elevated storage tank; ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant.; Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City and no contract exists between the city and ABC for the design of the elevated storage tank.
  • resourceCategory content: legal_resource
  • confidence assessment: 0.7
changed
Reference Material
rdfs:subClassOf Resources
Linked
Reference Material
C178
Definition
Extracted from facts primary
Handbooks, manuals, reports, and other documentation supporting professional practice with technical and procedural knowledge. In this case, the funding report on the water treatment plant expansion that Engineer A prepared and Clover City relied on.
Inherited from ReferenceMaterial · note
Handbooks, manuals, guides, and other documentation supporting professional practice with technical and procedural knowledge.
Properties
Text References:
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
"ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant."
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
Confidence: 0.8
Resource Category: reference_material
[facts] "As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.; ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant.; As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.
  • resourceCategory content: reference_material
  • confidence assessment: 0.8
Resources Individuals
2
Linked
Reference Material
C178
Text References:
"As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion."
"The report included a part dealing with funding for an elevated storage tank."
"The city has paid ABC for this report."
Confidence: 0.85
Resource Class: Reference Material
Topic: funding for the expansion of the Clover City water treatment plant, including an elevated storage tank
Used By: Clover City
[facts] "As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion. The report included a part dealing with funding for an elevated stora..."
Field classification (triples vs literals)
Relations (structural triples)
  • usedBy: Clover City
Literal extractions (kept for synthesis)
  • textReferences content: As an employee of ABC, Engineer A developed the report by which the city will get funding for the water treatment plant expansion.; The report included a part dealing with funding for an elevated storage tank.; The city has paid ABC for this report.
  • resourceClass content: Reference Material
  • topic content: funding for the expansion of the Clover City water treatment plant, including an elevated storage tank
  • confidence assessment: 0.85
Review
Legal Resource
C178
Text References:
"Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City"
"ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant."
"Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City"
Confidence: 0.7
Resource Class: Legal Resource
Topic: scope of work for preparation of the water treatment plant expansion report
Used By: ABC Engineering Company
[facts] "Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City"
Field classification (triples vs literals)
Relations (structural triples)
  • usedBy: ABC Engineering Company
Literal extractions (kept for synthesis)
  • textReferences content: Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City; ABC is currently under contract with Clover City for the preparation of a report on an expansion of the city’s water treatment plant.; Those aspects of the report that dealt with the elevated storage tank were not part of the scope of work originally negotiated between ABC and Clover City
  • resourceClass content: Legal Resource
  • topic content: scope of work for preparation of the water treatment plant expansion report
  • confidence assessment: 0.7
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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