Ethics in Engineering & the New Alabama Ethics Law by Jim Meads, P.E., President/CEO Sain Associates

Ethics in Engineering
and the New Alabama Ethics Law
Jim Meads, P.E.
President/CEO, Sain Associates, Inc.

Professional Development Session
ALSITE 2011 Annual Meeting

Leadership Development Program

Character

Your personal credibility / reputation is based
on:
Competence and character
Trust you inspire
Right behavior and results
Follow through on promises

Ethics in Engineering & the New Alabama Ethics Law

Character Quotes

 “When the character of a man is not known,
look at his friends.”
 “Character is revealed through action.” (Aristotle)

 “Leadership is a potent combination of strategy
and character. But if you must be without one,
be without the strategy.” (General Norman
Schwarzkopf)


What are some of the most common
character flaws that employees observe in
their leaders?


What are some of the most common GOOD
character traits that employees observe in
their leaders?


Ethics

A principle of right or good conduct; rules or
standards governing the conduct of members of
a profession.
“Doing the right thing at the right time.”
An individual issue


Ethical Priorities
1. Public interest – the public health, safety and welfare
will come first;
2. Client’s interest – the client will be preferred over the
professional’s own interest and those of others;
3. Profession’s interest – the profession will be put before
the person;
4. Personal interests – only when the first three interests
have all been satisfied will the professional consider his
or her own interest or welfare.


Ethical Tests
Is it right? Most of us know the difference between
right and wrong, but when push comes to shove, how
does this decision make you feel about yourself? Are
you proud of yourself for making this decision? Would
you like others to know you made the decision you did?
Is it balanced? Is it fair to all parties concerned, both
in the short-term as well as the long-term? Is this a win-
win situation for those directly as well as indirectly
involved?
Is it legal? In other words, will you be violating any
criminal laws, civil laws or company policies by engaging
in this activity?


Ethical Tests (continued)
• Harm test: Do the benefits outweigh the harms, short term and
long term?
• Reversibility test: Would I think this choice were good if I traded
places?
• Colleague test: What would professional colleagues say?
• Legality test: Would this choice violate a law or a policy of my
employer?
• Publicity test: How would this choice look on the front page of a
newspaper?
• Common practice test: What if everyone behaved in this way?
• Wise relative test: What would my wise old aunt or uncle do?


Have you read the Alabama Code of
Ethics for P.E.s and Surveyors?


Alabama PE & LS Board
Cannon of Ethics

Code of Alabama, 1975
§ 34-11
Administrative Code, Rules and Regulations
330-X-14 Professional Conduct

(Last Amended – January 2011)


Filing a Complaint

• Go to the BELS Website home page

• It must be in writing and signed


Good Ideas (Questions)
Before Filing a Complaint
• Did Bobby break a law or the Code of Ethics?
– Or does it just look shady?
– Or did he just make me mad?
• Exactly what did Bobby do? (which Cannon?)
• Is this a criminal or civil court issue?
• Watch your words. If you are not sure, use
qualifying words like “appears to be . . .”


of
r ds ns
R eco Actio
d
B oar


Enforcement Activity
2009-10 Complaints & Investigations (as of 7/19/10)

Complaints Received: 34 Investigations Closed: 73

Professional Engineer (15) Formal Disciplinary Action (36)
Competency (4) Consent Order (25)
Unethical Conduct (11) Hearing Order (11)

Professional Land Surveyor (5) Informal Disciplinary Action (10)
Competency (2) Letter of Caution (9)
Unethical Conduct (3) Letter of Reprimand (1)

Examination Applicant (2) No Action Taken (27)
Un-licensed Engineering (11)
Un-licensed Surveying (1)


Enforcement Activity
FY 2009-10 Informal Enforcement Action
Investigation closed informally with letter of caution or reprimand
• PLS survey created a property line dispute between land owners
leading to civil litigation and filing of 3 complaints.
• PE initially failed to respond to the Board after being notified of
random audit of continuing professional competency.
• PE requested license be changed to inactive after selection for
random audit of continuing professional competency.
• PE disciplined by another state in which he had a PE license.
• PE disciplined by another state in which he had a PLS license.
• Unlicensed individual included “PE” in correspondence relative to a
project in Alabama.

Why Ethics?
• Protection to the public
• Standards of practice
• Honesty/Integrity – sleep well at night

What is Ethics?
• The gray area
• What we do when no one is looking
• A way to get in big trouble if we do not
understand and follow the concepts


Professional Ethics
• Most states have ethical requirements specified in
their law or code
– Licensure Law
– General State Law
• Alabama Licensees attest that they will abide by the
Code of Ethics
• Ethics violations can result in reprimand, censure,
fining, or even the loss of license
• There is a national registry of infractions which can
be accessed by all jurisdictions


Nobody likes small print.
Let’s just summarize it.


REMEMBER

The following slides offer a condensed version of a
carefully written document, with legal implications.
Many phrases were omitted to fit this presentation
into the time available for this session.

READ IT YOURSELF!


Alabama PE & LS Board, Cannon of Ethics
OUTLINE of § 330-X-14, Professional Conduct

• 14.01 Preamble
• 14.02 Conflict of Interest (Cannon I)
• 14.03 Qualified - Ed or Experience (Cannon II)
• 14.04 Confidences of Clients/Employers (Cannon III)
• 14.05 Practice (Cannon IV)
• 14.06 Ethics (Cannon V)
• 14.07 Responsibility for Conduct
• 14.08 Conviction


Case Study – Preamble (1)

The Preamble to the Alabama Code of Ethics says
“In order to meet the intent of the Code…, to
safeguard the __________ of the public...”

Which ones below are not a correct answer(s)?

Life, Health, Property, Economic Prosperity,
Welfare, None of the Above


Case Study – Preamble (2)

The Preamble indicates… “to establish and
maintain a high standard of ________ … in the
professions of engineering and land surveying.”

Which of the following is not a correct answer(s)?

Leadership, Integrity, Skills, Practice,
None of the above


14.01 Preamble

(1) …safeguard the life, health, property, and
welfare of public… establish and maintain a
high standard of integrity, skills, and
practice… binding on each person holding
PE, PLS, interns, holders of CAs…
(2) …persons licenses or certified… must know
Rules of Prof Conduct … must understand
them… practice of engineering or land
surveying is a privilege…


Canon I - Conflict of Interest

• Shall avoid conflicts of interest with the client or
employer; if unavoidable immediately tell client/
employer of any business association, interest,
or circumstances which might influence
professional judgments, decisions or practices
• Shall not solicit or accept any gratuity or
material benefit of value


Canon I - Conflict of Interest
(continued)

• Shall not solicit or accept engineering or land
surveying contract from a governmental body if
firm’s Principal or Officer serves as a member or
employee
• In public service, shall not participate in
considerations on services offered or provided
by licensee and licensee’s associates


Canon II - Qualifications
• Shall practice in only fields in which qualified
by education or experience
• Shall not seal or sign any document dealing
with subject matter in which the licensee is
not qualified to form a dependable judgment
• As expert witness… shall be completely
objective and truthful… based on knowledge
of facts…


Canon III
Client and Employer Confidences
• Shall not reveal a confidence or private
information regarding licensee’s client or
employer, current or former
• Shall not use confidences to the disadvantage
of client or employer
• Shall not use confidences of client for the
advantage of a third person


Canon III (continued)
Client and Employer Confidences

May disclose private info…
• With consent
• Required by law
• To prove legal relationship with client
• To defend self
• If probable danger to public


Canon IV - Practice
• …not offer, promise or pay… political contribution,
commission, gift, etc … as inducement to receive
work…
• Shall not do self laudatory advertising
• Shall not make or publish…statement of his
qualifications which is misleading
• Shall not supplant another licensee in an ongoing
project
• Shall report all violations of the Code of Ethics to the
Board


Canon IV – Practice (continued)
• Shall not participate in fee determination
procedures - bidding
• Shall perform work in accordance with approved
standards of practice
• …completely objective and truthful, include all
relevant/pertinent info in reports, statements, etc.
• Issue no statements or criticisms on public policy
which are inspired or paid for by an interested
party, unless prefaced by comments explicitly
identifying self and the relationship


Canon V – Ethics
Largest of the Canons
• Do not violate any provision of Alabama Code
dealing with engineering or land surveying, or
the Board’s Administrative Code
• Do not plan… to evade Code or Admin
Regulations
• …exercise care to prevent partners... from
violating…Code or Regulations
• Do not engage in illegal conduct… involving
dishonesty

Canon V – Ethics (continued)

• Do not discredit the profession of engineering
or land surveying.
• You are responsible for protection of your seal,
signature, and identification
• Can’t practice where not licensed
• Must notify the board office of change of
address/employment within 30 days


Canon V - Ethics (continued)
• Shall not permit professional identification (seal,
etc.) to be used by an unauthorized individual
• Shall not aid or abet any unlicensed person to
practice engineering/surveying
• Shall not place their seal on a document unless
its prepared under the licensee’s direct control
and supervision


Questions to Ask Before . . .
• Did Bobby reveal confidential information?
• Did Bobby lower his price to compete for work?
• Did Bobby offer things to induce the county official to
give him work?
• Did Bobby solicit a gratuity?
• Did Bobby accept goods and services?
• Did Bobby bid (or fail to bid) on engineering work?
• Was Bobby an officer on a government board?


Case Studies
• (02-2) Signing and Sealing of Work --- Making
Changes
• (06-12) Political Contributions – Fundraising
BBQ
• (07-1) Conflict of Interest State Engineer –
Village Road


Individual’s Responsibilities
• Know your licensing law
– Stay current
– If local procedures conflict, state law rules
• Keep current
• If not qualified to do it – you are not qualified to
supervise non-licensees
• Do not offer until you are licensed


Recommendations
• Answer correspondence from the board
• Have written contracts that include scope of
services
• Communicate with peers and competitors
• Maintain records of continuing education
• Protect your seal and electronic signatures
• Remember. . . what happens in Alabama does
not necessarily stay in Alabama


2010 Amendments
to the Alabama Ethics Law

• Special Session
• December 8-16, 2010
• SB 14
• Effective March 16, 2011


‘Unclear’ New Law Frustrates
Alabama Ethics Commission
Thursday, February 3, 2011
Birmingham News

“Members of the Alabama Ethics Commission said
Wednesday that portions of the state’s new
ethics law are vague and confusing.”


Code of Alabama, 1975

Code of Ethics Sections
36-25-1 through 36-25-30

Definitions:
• Public Employee
• Public Official
• Thing of Value


New Definitions
• Economic Development Function
• Educational Function
• Principal Redefined
• Widely Attended Event


Code of Ethics – Section 7
• Old law
“No person shall offer or give to a public official or
public employee or a member of the household
of a public employee (or public official) and none
of the aforementioned shall solicit or receive a
thing of value for the purpose of influencing
official action.”

→Requires offer or solicitation


Removed and Replaced by
Section 36-25-7(a)

“. . . shall solicit or receive anything for the purpose
of influencing official action regardless of whether
or not the thing solicited or received is a thing of
value”


Section 36-25-1(33)(b)

Eighteen (18) Exceptions - As long as no particular
course of action is required as a condition to the
receipt thereof.
(see handout)


Ethics Commission
Advisory Opinion No. 2011-01
“Public officials/public employees may not
participate in strictly social events (unless they pay
for their participation just as the general public
would) such as golf tournaments, unless the event
is part of an educational function, widely attended
event or economic development function, etc., and
is not and cannot reasonably be perceived as a
subterfuge for a purely social recreational or
entertainment function.”



Company employees who regularly are involved in
sales do not have to register as lobbyists before
making sales calls to a state agency.



“During the course of a project, a member of the
Alabama Road Builders Association may
provide a meal for ALDOT personnel to discuss
problems or issues that have arisen during a
specific project . . . , as this would be a work
session under the Alabama Ethics Law.


Resources
• www.bels.alabama.gov
• www.niee.org National Institute for Engineering
Ethics
• www.asce.org
• www.ite.org
• www.ncees.org Contains links to all state licensing
boards
• www.murdough.ttu.edu Murdough Center for
Engineering Professionalism, Texas Tech University
• www.ethics.alabama.gov

Ethics in Engineering & the New Alabama Ethics Law by Jim Meads, P.E., President/CEO Sain Associates

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