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Overview
Facts Discussion
Provenance Draft

PASS 1: Contextual Framework Facts Section

Case 93: Withholding Information Useful to Client/Public Agency

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.
Linked
Engineer Role
C93
Text References:
"Engineer A is the owner of ABC Engineering in State P."
"Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Confidence: 0.9
Actor: Engineer A
Role Class: Engineer Role
Role Kind: professional
Employer: ABC Engineering
Additional Relationships: {'type': 'hadFormerClient', 'target': 'Client L', 'quote': 'Client L is a former client of Engineer A\n\nu2019s firm.'}
Case Involvement: Owner of ABC Engineering in State P whose firm formerly served Client L, and who learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
Firm ownership: owner of ABC Engineering in State P
[facts] "Engineer A is the owner of ABC Engineering in State P."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer A
  • attributes: {'firm_ownership': 'owner of ABC Engineering in State P'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A is the owner of ABC Engineering in State P.; Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
  • roleClass content: Engineer Role
  • roleKind content: professional
  • employer content: ABC Engineering
  • additionalRelationships content: {'type': 'hadFormerClient', 'target': 'Client L', 'quote': 'Client L is a former client of Engineer A\n\nu2019s firm.'}
  • caseInvolvement content: Owner of ABC Engineering in State P whose firm formerly served Client L, and who learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
  • confidence assessment: 0.9
Engineer X Retained Engineer
Consultant Engineer Role
Linked
Consultant Engineer Role
C93
Text References:
"Engineer X is the owner of XYZ Engineering in State Q."
"Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
Confidence: 0.9
Actor: Engineer X
Role Class: Consultant Engineer Role
Role Category: provider_client
Role Kind: professional
Employer: XYZ Engineering
Case Involvement: Owner of XYZ Engineering in State Q, retained to provide engineering services for Client L in State P for a project in State P, while his firm does not have a current certificate of authority to practice engineering in State P.
Firm ownership: owner of XYZ Engineering in State Q
Project location: retained for a project in State P while his firm is located in State Q
Hasclient: Client L
"Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
[facts] "Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Engineer X
  • attributes: {'firm_ownership': 'owner of XYZ Engineering in State Q', 'project_location': 'retained for a project in State P while his firm is located in State Q'}
  • relationships: {'type': 'hasClient', 'target': 'Client L', 'quote': 'Engineer X is retained to provide engineering services for Client L located in State P for a project in State P.'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer X is the owner of XYZ Engineering in State Q.; Engineer X is retained to provide engineering services for Client L located in State P for a project in State P.
  • roleClass content: Consultant Engineer Role
  • roleCategory content: provider_client
  • roleKind content: professional
  • employer content: XYZ Engineering
  • caseInvolvement content: Owner of XYZ Engineering in State Q, retained to provide engineering services for Client L in State P for a project in State P, while his firm does not have a current certificate of authority to practice engineering in State P.
  • confidence assessment: 0.9
Linked
Provider Role
C93
Text References:
"Engineer X is the owner of XYZ Engineering in State Q."
"Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Confidence: 0.85
Actor: XYZ Engineering
Role Class: Provider Role
Role Kind: professional
Additional Relationships: {'type': 'ownedBy', 'target': 'Engineer X', 'quote': 'Engineer X is the owner of XYZ Engineering in State Q.'}
Case Involvement: Engineering firm owned by Engineer X in State Q through which engineering services are provided for Client L's project in State P, and which does not have a current certificate of authority to practice engineering in State P.
Certificate of authority: does not have a current certificate of authority to practice engineering in State P
Location: firm located in State Q
[facts] "Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: XYZ Engineering
  • attributes: {'certificate_of_authority': 'does not have a current certificate of authority to practice engineering in State P', 'location': 'firm located in State Q'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer X is the owner of XYZ Engineering in State Q.; Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
  • roleClass content: Provider Role
  • roleKind content: professional
  • additionalRelationships content: {'type': 'ownedBy', 'target': 'Engineer X', 'quote': 'Engineer X is the owner of XYZ Engineering in State Q.'}
  • caseInvolvement content: Engineering firm owned by Engineer X in State Q through which engineering services are provided for Client L's project in State P, and which does not have a current certificate of authority to practice engineering in State P.
  • confidence assessment: 0.85
Client L Client
Client Role
Linked
Client Role
C93
Text References:
"Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
"Engineer X is retained to provide engineering services for Client L located in State P for a project in State P. Client L is a former client of Engineer A’s firm."
Confidence: 0.95
Actor: Client L
Role Class: Client Role
Role Kind: participant
Additional Relationships: {'type': 'formerClientOf', 'target': 'Engineer A', 'quote': 'Client L is a former client of Engineer A\n\nu2019s firm.'}
Case Involvement: Client located in State P who retains Engineer X for a project in State P, and who is a former client of Engineer A's firm.
Location: located in State P
[facts] "Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
Field classification (triples vs literals)
Relations (structural triples)
  • actor: Client L
  • attributes: {'location': 'located in State P'}
Literal extractions (kept for synthesis)
  • textReferences content: Engineer X is retained to provide engineering services for Client L located in State P for a project in State P.; Engineer X is retained to provide engineering services for Client L located in State P for a project in State P. Client L is a former client of Engineer A’s firm.
  • roleClass content: Client Role
  • roleKind content: participant
  • additionalRelationships content: {'type': 'formerClientOf', 'target': 'Engineer A', 'quote': 'Client L is a former client of Engineer A\n\nu2019s firm.'}
  • caseInvolvement content: Client located in State P who retains Engineer X for a project in State P, and who is a former client of Engineer A's firm.
  • confidence assessment: 0.95

S States

States Classes
4
changed
Regulatory Violation State
rdfs:subClassOf States
Linked
Regulatory Violation State
C93
Definition
Extracted from facts primary
A condition in which a legal or regulatory requirement in force for professional practice is not satisfied, here a firm providing engineering services in a state without holding the current certificate of authority that state requires for the practice of engineering.
Inherited from RegulatoryViolationState · note
A condition in which a policy or requirement is in force for the situation, here City policies requiring new infrastructure projects to be developed with climate resiliency in mind.
Properties
Text References:
"XYZ Engineering does not have a current certificate of authority to practice engineering in State P"
Confidence: 0.95
State Category: regulatory
Persistence Type: inertial
Activation Conditions: A firm undertakes or is retained for engineering services in a state without holding a current certificate of authority to practice engineering there
Termination Conditions: The firm obtains a current certificate of authority in the state, or ceases providing engineering services there
Principle Transformation: The requirement to practice lawfully becomes concrete for the specific state whose certificate of authority the firm lacks.
[facts] "Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: XYZ Engineering does not have a current certificate of authority to practice engineering in State P
  • stateCategory content: regulatory
  • persistenceType content: inertial
  • principleTransformation content: The requirement to practice lawfully becomes concrete for the specific state whose certificate of authority the firm lacks.
  • confidence assessment: 0.95
Derived (reconstructable from the graph)
  • activationConditions: A firm undertakes or is retained for engineering services in a state without holding a current certificate of authority to practice engineering there
  • terminationConditions: The firm obtains a current certificate of authority in the state, or ceases providing engineering services there
changed
WhistleblowingState
rdfs:subClassOf States
Review
Violation Belief State
C93
Definition
Extracted from facts primary
An epistemic condition in which a professional comes to know or believe that another professional or firm is in violation of a licensure or regulatory requirement, here Engineer A learning that XYZ Engineering lacks a current certificate of authority to practice engineering in State P.
Inherited from ViolationBeliefState · note
An epistemic condition in which a professional believes, based on his own observation, that another professional has committed a serious violation of the rules of professional conduct, so his knowledge of the alleged misconduct is a sincere belief rather than an adjudicated fact.
Properties
Text References:
"Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Confidence: 0.92
State Category: epistemic
Persistence Type: inertial
Activation Conditions: The professional learns of facts indicating another firm's licensure or authority deficiency
Termination Conditions: The belief is resolved, for example the deficiency is corrected or the information proves false
Principle Transformation: Once the deficiency is known, the professional's general duty of lawful and honorable practice becomes a concrete question of what to do with the knowledge.
[facts] "Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
  • stateCategory content: epistemic
  • persistenceType content: inertial
  • principleTransformation content: Once the deficiency is known, the professional's general duty of lawful and honorable practice becomes a concrete question of what to do with the knowledge.
  • confidence assessment: 0.92
Derived (reconstructable from the graph)
  • activationConditions: The professional learns of facts indicating another firm's licensure or authority deficiency
  • terminationConditions: The belief is resolved, for example the deficiency is corrected or the information proves false
changed
Active Client Engagement State
rdfs:subClassOf States
Linked
Active Client Engagement State
C93
Definition
Extracted from facts primary
A condition in which a professional or firm is retained and holds an engagement in force with a client, so engagement duties currently apply, here Engineer X retained to provide engineering services for Client L for a project in State P.
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 X is retained to provide engineering services for Client L located in State P for a project in State P."
Confidence: 0.9
State Category: regulatory
Persistence Type: inertial
Activation Conditions: The client retains the professional for defined services
Termination Conditions: The engagement is completed or terminated
Principle Transformation: The retention places the general duty of faithful professional service into a concrete client engagement.
[facts] "Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer X is retained to provide engineering services for Client L located in State P for a project in State P.
  • stateCategory content: regulatory
  • persistenceType content: inertial
  • principleTransformation content: The retention places the general duty of faithful professional service into a concrete client engagement.
  • confidence assessment: 0.9
Derived (reconstructable from the graph)
  • activationConditions: The client retains the professional for defined services
  • terminationConditions: The engagement is completed or terminated
changed
Engagement Termination State
rdfs:subClassOf States
Review
Engagement Termination State
C93
Definition
Extracted from facts primary
A temporal condition in which a professional relationship with a client has ended, so the client stands as a former client while the prior relationship remains ethically material, here Client L being a former client of Engineer A's firm.
Inherited from EngagementTerminationState · note
A temporal condition in which a professional's contract for services has been terminated by the client, with services performed fully paid, so the professional is in a post-engagement phase while knowledge acquired during the engagement remains held.
Properties
Text References:
"Client L is a former client of Engineer A’s firm."
Confidence: 0.85
State Category: temporal
Persistence Type: inertial
Activation Conditions: The client's engagement with the firm concludes
Termination Conditions: A new engagement between the parties is formed
Principle Transformation: The ended engagement makes the prior professional relationship a background condition bearing on how the professional's later actions toward the former client are evaluated.
[facts] "Client L is a former client of Engineer A’s firm."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Client L is a former client of Engineer A’s firm.
  • stateCategory content: temporal
  • persistenceType content: inertial
  • principleTransformation content: The ended engagement makes the prior professional relationship a background condition bearing on how the professional's later actions toward the former client are evaluated.
  • confidence assessment: 0.85
Derived (reconstructable from the graph)
  • activationConditions: The client's engagement with the firm concludes
  • terminationConditions: A new engagement between the parties is formed
States Individuals
4
changed
XYZ Missing State P Authority
Regulatory Violation State
Linked
Regulatory Violation State
C93
Text References:
"Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Confidence: 0.93
State Class: Regulatory Violation State
Subject: XYZ Engineering, owned by Engineer X, which does not have a current certificate of authority to practice engineering in State P
Active Period: While XYZ Engineering provides engineering services for the State P project without a current certificate of authority in State P
Triggering Event: Engineer X is retained to provide engineering services for Client L for a project in State P while XYZ Engineering lacks a current certificate of authority in State P
Terminated By: XYZ Engineering obtaining a current certificate of authority to practice engineering in State P, or ceasing to provide engineering services in State P
Affected Parties:
  • Client L
  • Engineer X
  • State P licensing authorities
  • Public of State P
Urgency Level: high
[facts] "Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
  • stateClass content: Regulatory Violation State
  • subject content: XYZ Engineering, owned by Engineer X, which does not have a current certificate of authority to practice engineering in State P
  • activePeriod content: While XYZ Engineering provides engineering services for the State P project without a current certificate of authority in State P
  • triggeringEvent content: Engineer X is retained to provide engineering services for Client L for a project in State P while XYZ Engineering lacks a current certificate of authority in State P
  • terminatedBy content: XYZ Engineering obtaining a current certificate of authority to practice engineering in State P, or ceasing to provide engineering services in State P
  • affectedParties content: Client L; Engineer X; State P licensing authorities; Public of State P
  • confidence assessment: 0.93
  • urgencyLevel assessment: high
changed
Engineer A Knowledge Of Deficiency
Violation Belief State
Review
Violation Belief State
C93
Text References:
"Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Confidence: 0.9
State Class: Violation Belief State
Subject: Engineer A, owner of ABC Engineering in State P, who has learned of XYZ Engineering's lack of a current certificate of authority in State P
Active Period: From the moment Engineer A learns of the missing certificate of authority onward
Triggering Event: Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P
Terminated By: Resolution of the matter, for example XYZ Engineering obtaining the certificate or the question being settled by the proper authority
Affected Parties:
  • Engineer A
  • Engineer X
  • Client L
Urgency Level: medium
[facts] "Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P.
  • stateClass content: Violation Belief State
  • subject content: Engineer A, owner of ABC Engineering in State P, who has learned of XYZ Engineering's lack of a current certificate of authority in State P
  • activePeriod content: From the moment Engineer A learns of the missing certificate of authority onward
  • triggeringEvent content: Engineer A learns that XYZ Engineering does not have a current certificate of authority to practice engineering in State P
  • terminatedBy content: Resolution of the matter, for example XYZ Engineering obtaining the certificate or the question being settled by the proper authority
  • affectedParties content: Engineer A; Engineer X; Client L
  • confidence assessment: 0.9
  • urgencyLevel assessment: medium
changed
XYZ Retention By Client L
Active Client Engagement State
Linked
Active Client Engagement State
C93
Text References:
"Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
Confidence: 0.9
State Class: Active Client Engagement State
Subject: Engineer X and XYZ Engineering, retained to provide engineering services for Client L for a project in State P
Active Period: For the duration of the retention for the State P project
Triggering Event: Client L retains Engineer X to provide engineering services for a project in State P
Terminated By: Completion or termination of the engagement for the State P project
Affected Parties:
  • Client L
  • Engineer X
Urgency Level: low
[facts] "Engineer X is retained to provide engineering services for Client L located in State P for a project in State P."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Engineer X is retained to provide engineering services for Client L located in State P for a project in State P.
  • stateClass content: Active Client Engagement State
  • subject content: Engineer X and XYZ Engineering, retained to provide engineering services for Client L for a project in State P
  • activePeriod content: For the duration of the retention for the State P project
  • triggeringEvent content: Client L retains Engineer X to provide engineering services for a project in State P
  • terminatedBy content: Completion or termination of the engagement for the State P project
  • affectedParties content: Client L; Engineer X
  • confidence assessment: 0.9
  • urgencyLevel assessment: low
changed
Client L Former Client Status
Engagement Termination State
Review
Engagement Termination State
C93
Text References:
"Client L is a former client of Engineer A’s firm."
Confidence: 0.85
State Class: Engagement Termination State
Subject: The professional relationship between Engineer A's firm, ABC Engineering, and Client L, which has ended so that Client L is a former client
Active Period: From the end of the prior engagement between ABC Engineering and Client L through the events of this case
Triggering Event: The conclusion of ABC Engineering's prior engagement with Client L
Terminated By: Any new engagement between ABC Engineering and Client L
Affected Parties:
  • Engineer A
  • Client L
Urgency Level: low
[facts] "Client L is a former client of Engineer A’s firm."
Field classification (triples vs literals)
Literal extractions (kept for synthesis)
  • textReferences content: Client L is a former client of Engineer A’s firm.
  • stateClass content: Engagement Termination State
  • subject content: The professional relationship between Engineer A's firm, ABC Engineering, and Client L, which has ended so that Client L is a former client
  • activePeriod content: From the end of the prior engagement between ABC Engineering and Client L through the events of this case
  • triggeringEvent content: The conclusion of ABC Engineering's prior engagement with Client L
  • terminatedBy content: Any new engagement between ABC Engineering and Client L
  • affectedParties content: Engineer A; Client L
  • confidence assessment: 0.85
  • 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.

© Licensed under the GNU GPL v3