FE Environmental Ethics and Professional Practice Refresher Notes

FE ENVIRONMENTAL
Ethics &
Professional PRACTICES
2020 Refresher notes
This copy is given to the following student as part of School of PE course. Not allowed to distribute to others.
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Patricia Balza (balzapatricia@gmail.com)
Ethics & Professional Practice
Ethics and Professional Practice

Review for
Fundamentals of Engineering Exam
Environmental Engineering and other

Engineering Disciplines
DR. RAGHAVA KOMMALAPATI, PHD, PE, BCEE, F. ASCE
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Topics Covered
 CBT Exam Specifications effective July 2020
 Please refer to page 472-494 of the NCEES Reference Handbook, v 10.0 for topics for each Discipline,
 Ethics is covered on pages 4-12 of the NCEES Reference Handbook, v 10.0
 Codes of Ethics
 Ethical and Legal Considerations
 NCEES Model Law and Model Rules
 Public Protection Issues (Licensure)
 Professional Liability*
 Intellectual Property*
 Societal Considerations & Life Cycle Analysis*
 Agreements and Contracts**Compliance with Codes, Standards and Regulations
 *Compliance with Codes, Standards and Regulations **
The topics included in this lecture covers most of the ethics and professional practice specifications for all disciplines.
* These topics are not included for all disciplines, ** this topic is for Environmental Engineering only 2
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Some Points
The ethics questions test students on reading
comprehension and elementary logic.
 Assumptions are necessary since exam problems may not give
complete information.
 Answers that require large leaps in logic are almost always
wrong.
 Answers that relate to professional societies are probably wrong.
 There will likely be nonsense answers that are irrelevant to the
problem statement, engineering, or ethics.
 Beware of true statements about ethics that are not germane to
the problem.
 Read the Ethics pages in the NCEES FE Reference Handbook,
which includes NCEES Model Law. Also refer to similar
information about Model Law and Rules from NCEES website 3
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Ethics
Some Important Points regarding Ethics
 Morals
 Beliefs about right and wrong (usually come from society/culture)
 Personal Ethics
 Individual beliefs that may or may not agree with the generally accepted
morals of culture and/or could be more restrictive
 Professional Ethics
 Formally adopted codes of behavior by professionals and their societies
 May be different for different professional societies but most of them have
many common points and these are voluntary
 State Board’s code of ethics are legal and must be adhered to
 NCEES Model Rules

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 Guidelines provided for states to consider but not required
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Ethics
 Profession Vs Occupation
 Characteristics of a Profession.
 Based on a large knowledge base requiring extensive training.
 Important to the well being of society.
 Self regulating (Control training and evaluation process that admits
new persons into the field.)
 Autonomy in the workplace (Utilize their independent judgment)
 Ethical standards.
 Required for Professionalism:

 Ethics
 Technical Expertise
 Codes of ethics - these standards form a contract between

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professionals and the public.
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Ethics
 Codes of Ethics have been adopted by state licensing boards,
professional engineering societies and other agencies and even
private industries
 NCEES Rules of Professional conduct are found in section 240 of

Model Rules (pages 4- 5)
 Please refer to Model Rules and Model Laws which are available
on NCEES website under Publications
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Ethics & Professional Practice Please refer to page 4 of the NCEES
Reference Handbook, v 10.0
Applying the Codes

Applying the codes in many situations is not controversial, but there
can be problems in applications. These problems occur in three
basic areas.
 Factual Issues.
 Facts versus factual issues
 Facts can be just as controversial as moral issues.
 Different factual assumptions can yield different moral conclusions.
 Conflict issues (Tradeoffs)
 Risk versus Benefit.
 Employers/Clients versus the public.
 Health/Safety versus Cost.
 Speed versus Quality.
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Applying the Codes

 Conceptual Issues
 "Valuable consideration”
 "Adequate" knowledge”
 “Welfare”
 “Truthful”
 "Relevant and pertinent information"
 "Conflict of Interest:
 When does something "appear" to influence professional judgment?
 When does something "directly or indirectly" influence professional
judgment?
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Ethics & Professional Practice Please refer to page 4/5 of the
NCEES Reference Handbook, v 10.0
Principal Ideas in Model Rules

 Principal Ideas in Model Rules
 To safeguard the health, safety, and welfare of the public and
to maintain integrity and high standards of skill and practice in
the engineering and surveying professions, the rules of
professional conduct provided here shall be binding upon
every licensee and on all firms authorized to offer or perform
engineering or surveying services in this jurisdiction.
 Obligations to Society/Public (Pages 4,5)
 Obligations to Employer and Clients (Page 5)
 Obligations to Other Licensees (Page 5)
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Obligation to the Public (Society)

1. First and Foremost responsibility is to safeguard the health, safety, nd welfare of
the public
2. Licensee shall approve and seal only those plans, surveys and other documents
that conform to accepted engineering and surveying standards and that
safeguard the health, safety, and welfare of public
3. Licensees shall notify their employer or client and such other authority as may be
appropriate" when their professional judgment is overruled when the health,
safety or welfare of the public is endangered.
4. Licensees shall the best of their knowledge, include all relevant and pertinent
information in an objective and truthful manner within all professional documents,
statements and testimony.
5. Licensees shall express a professional opinion publicly only when it is founded

upon an adequate knowledge of the facts, and a competent evaluation of the
subject matter.
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Obligation to Society
6. Licensees shall issue no statements, criticisms or arguments on engineering and
surveying matters that are inspired or paid for by interested parties, unless they
explicitly IDENTIFY the interested parties on whose behalf they are speaking
and reveal any interest they have.
7. Licensees shall not partner, practice or offer to practice with person or firm that
they know is engaged in fraudulent or dishonest business or professional
practices.
8. Licensees who have knowledge or reason to believe that any person or firm has
violated any rules or laws applying to the practice of engineering shall report to
the board, may report it to appropriate legal authorities, and shall cooperate with
the board and the authorities as requested.
9. Licensees shall not knowingly provide false or incomplete information regarding

an applicant in obtaining licensure.
10. Licensees shall comply with the licensing laws and rules governing their
professional practice in each of the jurisdictions in which they practice.
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Obligation to Employer and Clients

1. Licensees shall undertake assignments only when qualified by education or
experience in the specific technical fields of engineering or surveying involved.
2. Licensees shall not affix their signatures or seals to any plans or documents
dealing with subject matter in which they lack competence, nor to any such plan
or document not prepared under their responsible charge.
3. Licensees may accept assignments and assume responsibility for coordination

of an entire project, if each technical segment is signed and sealed by the
licensee responsible for preparation of that technical segment.
4. Licensees shall not reveal facts, data, or information obtained in a professional

capacity without the prior consent of the client, employer or public body on which
they serve except as authorized or required by law or rules.
5. Licensees shall not solicit or accept gratuities, directly or indirectly, from

contractors, their agents, or other parties in connection with work for employers
or clients.
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Obligation to Employer and Clients

6. Licensees shall disclose to their employers or clients all known or potential
conflicts of interest or other circumstances which could influence or appear to
influence their judgment or the quality of their professional service or engagement.
7. Licensees shall not solicit or accept compensation, financial or otherwise, from

more than one party for services pertaining to the same project, unless the
circumstances are fully disclosed and agreed to in writing by all interested parties.
8. Licensees shall not solicit or accept a professional contract from a governmental

body on which a principal or officer of their organization serves as a member.
Conversely, licensees serving as members, advisors, or employees of a
government body or department, who are the principals or employees of a private
concern, shall not participate in decisions with respect to professional services
offered or provided by said concern to the governmental body which they serve.
9. Licensees shall not use confidential information received in the course of their
assignments as a means of making personal profit without the consent of the
party from whom the information was obtained
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Obligation to other Licensees

1. Licensees shall not falsify or permit misrepresentation of their, or their associates',
academic or professional qualifications. They shall not misrepresent or exaggerate
their degree of responsibility in prior assignments nor the complexity of said
assignments. Presentations incident to the solicitation of employment or business
shall not misrepresent pertinent facts concerning employers, employees,
associates, joint ventures, or past accomplishments.
2. Licensees shall not offer, give, solicit, or receive, either directly or indirectly, any
commission, or gift, or other valuable consideration in order to secure work, and
shall not make any political contribution with the intent to influence the award of a
contract by public authority.
3. Licensees shall not attempt to injure, maliciously or falsely, directly or indirectly, the
professional reputation, prospects, practice, or employment of other licensees, nor
indiscriminately criticize other licensees' work.
4. Licensees shall make a reasonable effort to inform another licensee whose work is
believed to contain a material discrepancy, error, or omission that may impact the
health, safety, or welfare of the public, unless such reporting is legally prohibited.
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Model Law: Definitions

 Engineer
 Engineer – The term "Engineer," within the intent of this Act, shall mean an
individual who is qualified to practice engineering by reason of engineering
education, training, and experience in the application of engineering
principles and the interpretation of engineering data.
 Professional Engineer – The term "Professional Engineer," as used in this
Act, shall mean an individual who has been duly licensed as a professional
engineer by the board. The board may designate a professional engineer,
based on education, experience, and examination, as being licensed in a
specific discipline or branch of engineering signifying the area in which the
engineer has demonstrated competence.
 Professional Engineer, — Retired The term "Professional Engineer, Retired,"
as used in this Act, shall mean an individual who has been duly licensed as a
professional engineer by the board and who chooses to relinquish or not to
renew a license and who applies to and is approved by the board to be
granted the use of the title "Professional Engineer, Retired."
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 Engineer
 Engineer Intern –The term "Engineer Intern," as used in this Act, shall mean an
individual who has been duly certified as an engineer intern by the board.
 Practice of Engineering The term "Practice of Engineering," as used in this Act, shall
mean any service or creative work requiring engineering education, training, and
experience in the application of engineering principles and the interpretation of
engineering data to engineering activities that potentially impact the health, safety, and
welfare of the public.
 The services may include, but not be limited to, providing planning, studies, designs,
design coordination, drawings, specifications, and other technical submissions;
teaching engineering design courses; performing surveying that is incidental to the
practice of engineering; and reviewing construction or other design products for the
purposes of monitoring compliance with drawings and specifications related to
engineered works.
 Surveying incidental to the practice of engineering excludes the surveying of real

property for the establishment of land boundaries, rights of way, easements, and the
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dependent or independent
This copy is givensurveys or resurveys
to the following student as part of School ofof
PE the
course.public land
Not allowed to survey
distribute to others. system.
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 An individual shall be construed to practice engineering, within
the meaning and intent of this Act, if he or she does any of the
following:
a. Practices any discipline of the profession of engineering or holds
himself or herself out as able and entitled to practice any
discipline of engineering
b. Represents himself or herself to be a professional engineer by
verbal claim, sign, advertisement, letterhead, or card or in any
other way
c. Through the use of some other title, implies that he or she is a
professional engineer or licensed under this Act
 See additional definitions page 6-7
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Public Protection
 Engineering registration or licensing in the US is done by State Boards
(each state may have different name)
 The Board (usually established by the state legislature) establishes
criteria to determine and certify that an engineer has achieved minimum
level of competence
 This process is intended to protect public

 Most engineers who work for companies that design and manufacture
products are exempt from licensing requirement (industrial exemption)
 You can not offer consulting services without a license
 Though Licensing process is similar in each of the 50 states, they have

their own licensing laws
 Engineers who wants to practice in more than one state should obtain
license from each state 18
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Licensure
 Eligibility for Licensure
 To be eligible for licensure as a professional engineer or

professional surveyor, an individual must meet all of the
following requirements:
1. Be of good character and reputation
2. Satisfy the education criteria
3. Satisfy the experience criteria
4. Pass the applicable examinations
5. Submit five references acceptable to the Board
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Licensure
1. Certification or Enrollment as an Engineer Intern
 The following shall be considered as minimum evidence that
the applicant is qualified for certification as an engineer
intern.
a. Graduating from an engineering program of 4 years or more
accredited by the Engineering Accreditation Commission of ABET
(EAC/ABET), graduating from an engineering master’s program
accredited by EAC/ABET, or meeting the requirements of the
NCEES Engineering Education Standard
b. Passing the NCEES Fundamentals of Engineering (FE)
examination
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Licensure
2. Licensure as a Professional Engineer
a. Initial Licensure as a Professional Engineer
An applicant who presents evidence of meeting the applicable
education, examination, and experience requirements as described
below shall be eligible for licensure as a professional engineer.
1.Education Requirements
An individual seeking licensure as a professional engineer shall possess one
or more of the following education qualifications:
a. A degree in engineering from an EAC/ABET accredited bachelor’s program
b. A degree in engineering from an institution that offers EAC/ABET accredited
master’s program
c. A bachelor’s, master’s or doctoral degree in engineering from a non
EAC/ABET-accredited program (this individual’s education must be shown to
meet the NCEES Engineering Education Standard.
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Licensure
2. Examination Requirements
An individual seeking licensure as a professional engineer shall take
and pass the NCEES Fundamentals of Engineering (FE) examination
and the NCEES Principles and Practice of Engineering (PE)
examination as described below.
a. The FE examination may be taken by a college senior or
graduate of an engineering program of 4 years or more
accredited by EAC/ABET, of a program that meets the
requirements of the NCEES Engineering Education Standard, or
of an engineering master’s program accredited by EAC/ABET.
b. The PE examination may be taken by an engineer intern.
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Licensure
3. Experience Requirements
An individual seeking licensure as a professional engineer shall present
evidence of a specific record of four year of progressive engineering
experience after a qualifying degree described above. This experience
should be of a grade and character that indicate to the board that the
applicant may be competent to practice engineering.
a. An individual with a master’s degree in engineering acceptable to the board: 3
years of experience after the qualifying bachelor’s degree as per a(1)(a) or
a(1)(c) above
b. An individual with an earned doctoral degree in engineering acceptable to the
board and who has passed the FE exam: 2 years of experience
c. An individual with an earned doctoral degree in engineering acceptable to the
board and who has elected not to take the FE exam: 4 years of experience
 A graduate degree that is used to satisfy education requirements cannot be applied for experience credit
toward licensure. To be eligible for experience credit, graduate degrees shall be relevant to the applicant’s
area of professional practice. Experience credit for a graduate degree cannot be earned concurrently with
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work experience credit. This copy is given to the following student as part of School of PE course. Not allowed to distribute to others.
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Licensure
2. Licensure as a Professional Engineer
b. Licensure BY Comity for Professional Engineer
The following shall be considered as minimum evidence satisfactory to the board
that the applicant is qualified for licensure by comity as a professional engineer:
1. An individual holding a certificate of licensure to engage in the practice of engineering
issued by a proper authority of any jurisdiction or any foreign country, based on
requirements that do not conflict with the provisions of this Act and possessing
credentials that are, in the judgment of the board, of a standard that provides proof of
minimal competency and is comparable to the applicable licensure act in effect in this
jurisdiction at the time such certificate was issued may, upon application, be licensed
without further examination except as required to examine the applicant’s knowledge
of statutes, rules, and other requirements unique to this jurisdiction; (Or)
2. An individual holding an active Council Record with NCEES, whose qualifications as
evidenced by the Council Record meet the requirements of this Act, may, upon
application, be licensed without further examination except as required to examine the
applicant’s knowledge of statutes, rules, and other requirements unique to this
jurisdiction
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Licensure
 Licensure by Comity for a Professional Engineer
 Having a license in one state does not permit you to practice in another
state (see additional info on Page 8)
 It is not too difficult to get a license in another state once you have a
license from one state
 All states use NCEES exams and thus if you take and PASS FE and
PE exams in one state, your certificate will be honored in other states
 However proper application, payment of fees and proof of license are
required and some times some additional or special requirements
imposed by a state
 Issuance of license based on another states licensing is called
reciprocity
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Licensure
 NCEES writes, publishes, distributes and scores the national FE
and PE exams
 All states currently use NCEES exams but each state adopts the
cut off passing scores recommended by NCEES
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Licensure
Grounds for Disciplinary Action Licensees and Interns
A. The board shall have the power to suspend, revoke, place on probation, fine,
recover costs, and/or reprimand, or to refuse to issue, restore, or renew a
license or intern certification to any licensee or intern that is found guilty of:
1. Any fraud or deceit in obtaining or attempting to obtain or renew a certificate
of licensure
2. Any negligence, incompetence, or misconduct in the practice of engineering
or surveying
3. Conviction of or entry of a plea of guilty or nolo contendere to any crime that
is a felony, whether or not related to the practice of engineering or surveying;
and conviction of or entry of a plea of guilty or nolo contendere to any crime,
whether a felony, misdemeanor, or otherwise, an essential element of which
is dishonesty or which is directly related to the practice of engineering or
surveying
4. Failure to comply with any of the provisions of this Act or any of the rules or
regulations ofThisthe board 27
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Licensure
Grounds for Disciplinary Action Licensees and Interns
5. Discipline (including voluntary surrender of a professional engineer’s or
professional surveyor’s license in order to avoid disciplinary action) by
another jurisdiction, foreign country, or the United States government, if at
least one of the grounds for discipline is the same or substantially
equivalent to those contained in this Act
6. See page 8 for more
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Licensure
Grounds for Disciplinary Action – Unlicensed Individuals
A. In addition to any other provisions of law, the board shall have the power to
fine and recover costs from any unlicensed individual who is found guilty of:
1. Engaging in the practice or offer to practice of engineering or surveying in this
jurisdiction without being licensed in accordance with the provisions of this Act
2. Using or employing the words " engineer“, "engineering“, "surveyor," "surveying,“
or any modification or derivative thereof in his or her name or form of business
activity except as licensed in this Act
3. Presenting or attempting to use the certificate of licensure or seal of a
professional engineer or professional surveyor
4. Engaging in any fraud or deceit in obtaining or attempting to obtain a certificate of
licensure or intern certification
5. See page 9 for more
B. A fine assessed under this section may not exceed xx dollars for each offense.
C. Each day of continued violation may constitute a separate offense. 29

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Licensure
 Please review Pages 7 -10 and be comfortable with the
material
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Professional Liability
Although it is not listed explicitly for all disciplines some aspects of
professional liability is needed for most disciplines
Raghava Kommalapati, PhD, PE, BCEE, F. ASCE
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 Breach of Contract
 When one of the parties fails to satisfy all of its obligations
under a contract
 It can be willful (walking off the job) or unintentional (providing
less than adequate quality work)
 A material breach is non-performance that results in the party
receiving something that is substantially less than what the
contract intended
 Only redress is through courts and force the breaching party
to provide specific performance
 Punitive damages are unavailable
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 Negligence
 Is an action willful or un-willful which is taken without “proper
care or consideration” for safety resulting in damages to
property or injury to persons
 Damages are recovered in a tort action
 Punitive damages are available
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 Tort
 Is a civil wrong committed by one person causing damage to
another person or property, emotional well-being or
reputation
 Civil lawsuit
 There must be injury or damage to seek action
 Tort law is concerned with compensation and rarely include
punitive and exemplary damages
 Strict liability in tort

 Injured party wins if the injury can be proven
 Not necessary to prove negligence or breach
 Example is defect in product
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 Design Liability
 Design professionals are generally consultants who provide a
service
 Professionals are expected to meet a standard of care and
skill that can be measured by comparison with conduct of
other professionals
 Are not held to be guarantors of their work in the strict of
sense of liability
 Manufacturing liability
 Law is much stricter, and perfection is expected of product
manufacturers
 Held to a standard of strict liability for all phases of design
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and manufacturing of a product being marketed to public
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Damages
 Injured party can sue for damages as well as for specific
performance
 Different types of damages
 General or compensatory damages (makeup for the injury)
 Special damages (direct financial loss)
 Nominal damages (when injury is so slight as to be
inconsequential)
 Liquidated damages (amounts specified in contracts for
nonperformance)
 Punitive or exemplary damages (tort and fraud cases) to punish
and make an example of defendant
 Consequential damages provide compensation for indirect
losses incurred
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Insurance
 Most design firms carry errors and omissions
insurance to protect them from claims due to their
mistakes
 Protect against inadvertent mistakes only not against
willful, knowing or conscious efforts to defraud
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Agreements and Contracts

Although it is not listed explicitly for all disciplines some aspects of
agreements and contracts is needed for most disciplines
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 A contract is a legally binding agreement or promise to exchange goods
or services
 Not all agreements are legally binding, i.e. , enforceable
 Some may be oral, and some are written
 Not necessary to contain legal terms
 All agreements must satisfy 3 requirements to be legally binding

 Must be a clear , specific and definite offer
 Some form of conditional future consideration (compensation or
 payment)
 Must be an acceptance of the offer
 Other conditions that the agreement must meet to be enforceable

include
 Must be voluntary
 All parties areThislegally competent
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 Purpose must be legal www.schoolofpe.com

 Agreements can be a simple letter of agreements on a letterhead
for small projects and may be formal legal documents for major
projects
 A typical purchase order (PO) with terms and conditions can
serve as an agreement
 Some of the features of a contract or an agreement are
 Introduction, preamble with purpose
 Names and addresses of parties
 Signature date and effective date of agreement
 Duties and obligations of both parties
 Deadlines and required service dates
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 Some of the features of a contract or an agreement are
 Fee and fee schedule and payment terms
 Agreement end date
 Standard boiler plate clauses
 Signatures
 Declaration of authority
 Supporting documents if needed
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Agent/Agency
 Decision making authority and right of action can be transferred
from one party (the owner or principal) to another person (agent)
 The engineer may be appointed as owner for some transactions
 Agents are limited in what they can do by the scope of the agency
agreement
 Agent acts on behalf of the principal
 Principal is liable for acts of the agent and is bound by the contracts
made in the principal’s name by agent
 Agents are required to execute their work with care, skill and
diligence
 Agents have fiduciary responsibility and must be honest and loyal
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Boilerplate clauses
 Many of the contracts may contain “boilerplate clauses “
 Theses clauses have specific wordings that should not normally be
changed
 Some examples
 Delays and inadequate performance due to war, strikes and acts of god
and nature are forgiven
 Contract document is the complete agreement superseding all prior
verbal and written agreements
 Contract can be modified or canceled only in writing
 Any lawsuits related to the contract must be filed in the county and state
in which the contract is signed
 Time is of the essence
 The subject headings are for convenience only and do not control the
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meaning of This
the paragraphs
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Subcontracts
 Subcontracts are not required to be included in the agreement but
may be added when a party to the contract engages a third party
 Assignment clause is used in the contract to indicate whether
responsibilities can be subcontracted
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Construction contract
 Owner owns the land, assumes financial risk and ends up with the
completed project
 Developer contracts with the architect and/or engineer for the design and
with the contractor for the construction of the project.
 In some cases owner and developer are the same
 Architect designs the project per the established codes and guidelines
and may use engineers. Depending on the contract engineer may work
for the architect or vice versa or they both may work for the developer
 Once plans are approved, developer hires a general contractor for
construction of the project
 General contractor (prime contractor) may hire different subcontractors
for different tasks (electrical, mechanical plumbing.. etc. ).
Subcontractors can work directly with the developer
 Construction is usually managed by an agent appointed by owner and is
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called construction manager
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Design contracts
 Standard contracts/agreement forms are developed by professional
organizations for design professionals
 Standard contract between
 Engineer and client
 Engineer and architect
 Engineer and contractor
 Owner and construction manager
 These standard contracts are complete and the meaning of many of the
terms and clauses is well established not only by the professionals and
clients but also by the courts
 Main sources of standardized agreements are
 Engineers Joint Contract Documents committee (EJCDC)
 American Institute of Architects (AIA)
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Consulting Fee Structure

 Compensation for consulting engineering services can be
 Lump sum
 Unit price
 Cost plus fixed fee
 Per diem fee
 Salary plus
 Retainer
 Incentive
 Percentage of construction cost
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Mechanic’s Lien
 Subcontractors and other service providers have the right to file a
mechanic’s lien(also known as construction lien, supplier’s lien,
laborer/s lien, etc..) against the property
 Lien establishes supplier or contractor's security in the interest in
the property
 Owner can not sell or transfer the title to the property until lien is
removed
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Discharge of a contract
 A contract is normally discharged when all parties have satisfied
their obligations
 Contract can be terminated for other reasons also such as
 Mutual agreement of all parties to the contract
 Impossibility of performance (such as death )
 Illegality of contract
 Material breach by one or more parties
 Fraud
 Failure (loss or destruction)of consideration (fire or other disaster)
 Actions of court
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Competitive Bidding
 Prior to 1971 there used to be prohibition on competitive bidding
 US supreme court in 1971 judgement against NSPE forbids a prohibition
against competitive bidding
 Most codes of ethics in the past considered competitive bidding

detrimental to public welfare (possibility of lower quality design)
 Clients are not required to seek competitive bids for design services
 Engineers and design firms may refuse to bid competitively on
engineering services
 Federal. State and local statutes governing the procedures for

procurement of design services are not affected (even those that prohibit
competitive bidding)
 Any prohibitions in Individual state engineering registration laws remain
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Societal Considerations
Not included for all disciplines
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Societal Considerations
 "Creating a sustainable world that provides a safe, secure, healthy life for all
peoples is a priority of the US engineering community. Engineers must deliver
solutions that are technically viable, [economically] feasible, and environmentally
and socially sustainable.“
 Sustainable approaches during planning, design, and construction or manufacture

will carry forward throughout a project’s or product’s operation and maintenance
to end-of-life. Sustainable principles include consideration of
 Safety
 Public health
 Quality of life
 Resource allocation
 Non-renewable resources
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Life Cycle Analysis

 Life-cycle analysis (cradle to grave) involves assessing the potential
environmental consequences associated with a project or product from design
and development through utilization and disposal. Engineers must employ
concern for environmental health and public safety by addressing such things as:
 Landscape aesthetics
 Protection of ecosystems
 Resource conservation
 Air and water pollution
 Atmospheric emissions
 Collection and processing of waste
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Intellectual Property
Not included for all disciplines
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 Intellectual property is the creative product of the intellect and
normally includes inventions, symbols, literary works, patents,
and designs.
 A number of options are available to individuals who wish to
protect their intellectual property from being claimed or misused
by others. There are four products that are commonly used to
offer varying degrees of protection to intellectual property owners:
patents, trademarks, copyrights, and trade secrets
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 Patents
A patent for an invention is the grant of a property right to the inventor, issued by the
United States Patent and Trademark Office. Generally, the term of a new patent is
20 years from the date on which the application for the patent was filed in the United
States or, in special cases, from the date an earlier related application was filed,
subject to the payment of maintenance fees. U.S. patent grants are effective only
within the United States, U.S. territories, and U.S. possessions.
 There are three types of patents:

1. Utility patents may be granted to anyone who invents or discovers any new and useful
process, machine, article of manufacture, or composition of matter, or any new and
useful improvement thereof;
2. Design patents may be granted to anyone who invents a new, original, and ornamental
design for an article of manufacture; and
3. Plant patents may be granted to anyone who invents or discovers and asexually
reproduces any distinct and new variety of plant
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 Trademarks
 A trademark is a word, name, symbol, or device that is used in trade
with goods to indicate the source of the goods and to distinguish them
from the goods of others. Trademark rights may be used to prevent
others from using a confusingly similar mark, but not to prevent others
from making the same goods or from selling the same goods or services
under a clearly different mark.
 Copyrights
 A copyright is a form of protection provided to the authors of "original
works of authorship" including literary, dramatic, musical, artistic, and
certain other intellectual works, both published and unpublished. The
1976 Copyright Act generally gives the owner of copyright the exclusive
right to reproduce the copyrighted work, to prepare derivative works, to
distribute copies or phonorecords of the copyrighted work, to perform
the copyrighted work publicly, or to display the copyrighted work publicly. 57
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 Trade Secrets
 A trade secret applies to a formula, pattern, compilation, program, device,
method, technique, or process. To meet the most common definition of a
trade secret, it must be used in business and give an opportunity to obtain an
economic advantage over competitors who do not know or use it. Trade
secrets offer little protection without a written agreement between the
involved parties.
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Compliance with Codes, Standards

and Regulations
This section is only for FE Environmental Engineering
Raghava Kommalapati , PhD, PE, BCEE, F. ASCE
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Environmental Regulations
 There are many regulations at the federal,. State and
local level that regulate the environmental issues in
this country. The laws are intended to protect the
human health and the environment. EPA is charged
with administering all or a part of each.
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Clean Air Act

 The Clean Air Act (CAA) is the comprehensive federal law that regulates air emissions from stationary and
mobile sources. Among other things, this law authorizes EPA to establish National Ambient Air Quality
Standards (NAAQS) to protect public health and public welfare and to regulate emissions of hazardous air
pollutants.
 One of the goals of the Act was to set and achieve NAAQS in every state by 1975 in order to address the
public health and welfare risks posed by certain widespread air pollutants. The setting of these pollutant
standards was coupled with directing the states to develop state implementation plans (SIPs), applicable to
appropriate industrial sources in the state, in order to achieve these standards. The Act was amended in 1977
and 1990 primarily to set new goals (dates) for achieving attainment of NAAQS since many areas of the
country had failed to meet the deadlines.
 Section 112 of the Clean Air Act addresses emissions of hazardous air pollutants. Prior to 1990, CAA
established a risk-based program under which only a few standards were developed. The 1990 Clean Air Act
Amendments revised Section 112 to first require issuance of technology-based standards for major sources
and certain area sources. "Major sources" are defined as a stationary source or group of stationary sources
that emit or have the potential to emit 10 tons per year or more of a hazardous air pollutant or 25 tons per
year or more of a combination of hazardous air pollutants. An "area source" is any stationary source that is
not a major source.
 For major sources, Section 112 requires that EPA establish emission standards that require the maximum
degree of reduction in emissions of hazardous air pollutants. These emission standards are commonly
referred to as "maximum achievable control technology" or "MACT" standards. Eight years after the
technology-based MACT standards are issued for a source category, EPA is required to review those
standards to determine whether any residual risk exists for that source category and, if necessary, revise the
standards to address such risk.
History of the Act
EPA History: Clean Air Act of 1970/1977 EPA History: Clean Air Act Amendments of 1990
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Clean Air Act

 The NAAQS was made to protect public health and the environment.
 The Prevention of Significant Deterioration (PSD) regulations were made for areas that
already meet the NAAQS and it prevents deterioration in air quality above the baseline
level.
 The 1990 amendment addressed problems such as ground-level ozone, visibility, air
toxics, stratospheric ozone depletion, and acid rain.
 Some common air pollutants regulated by the EPA include lead (Pb), volatile organic
compounds (VOC), ozone (O3), and carbon monoxide (CO).
 The CAA has helped to:
 cut ground-level ozone by more than 25 percent since 1980, reduce mercury emissions by 45
percent since 1980, reduce sulfur dioxide by 71 percent and nitrogen dioxide by 46 percent since
1980. These are the main pollutants that cause acid rain.
 reduce lead content in gasoline cutting lead pollution by 92 percent since 1980.
 The CAA forces industries to adopt new solutions to reduce pollution from power plants.
This development of new solutions creates more jobs, strengthening the economy.
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Clean Air Act
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Clean Water Act

Clean Water Act (CWA) (original title: Federal Water Pollution Control Amendments of
1972)
 The Clean Water Act (CWA) establishes the basic structure for regulating discharges of
pollutants into the waters of the United States and regulating quality standards for surface
waters. The basis of the CWA was enacted in 1948 and was called the Federal Water
Pollution Control Act, but the Act was significantly reorganized and expanded in 1972. "Clean
Water Act" became the Act's common name with amendments in 1972.
 Under the CWA, EPA has implemented pollution control programs such as setting wastewater
standards for industry. We have also set water quality standards for all contaminants in
surface waters.
 The CWA made it unlawful to discharge any pollutant from a point source into navigable
waters, unless a permit was obtained. EPA's National Pollutant Discharge Elimination System
(NPDES) permit program controls discharges. Point sources are discrete conveyances such
as pipes or man-made ditches. Individual homes that are connected to a municipal system,
use a septic system, or do not have a surface discharge do not need an NPDES permit;
however, industrial, municipal, and other facilities must obtain permits if their discharges go
directly to surface waters.
History of this Act
History of the Clean Water Act 64
EPA History: Clean Water This Act:
copy is documents
given to the followingand
studentother resources
as part of School of PE course. Not allowed to distribute to others.
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Clean Water Act

 Created to stop industrial and municipal sources from discharging untreated
wastewater.
 The federal government spends billions of dollars financing sewage
treatment facilities.
 Businesses must apply for federal permits to discharge pollutants into
waterways.
 Significantly reduced the amount of pollution that enters the waterways from
industrial, municipal or point source discharges.
 The EPA also emphasized wetlands protection under this act.
 The National Pollutant Discharge Elimination System (NPDES) permit
program regulates chemicals into surface waters.
 NPDES Permits are required from industrial and municipal facilities if their discharges
go directly to surface waters.
 Permits are not required for individual homes that use a septic system or don’t have a
surface discharge.
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Safe Drinking Water Act

 The Safe Drinking Water Act (SDWA) was established to protect the quality of
drinking water in the U.S. This law focuses on all waters actually or potentially
designed for drinking use, whether from above ground or underground sources.
 The Act authorizes EPA to establish minimum standards to protect tap water and
requires all owners or operators of public water systems to comply with these
primary (health related) standards. The 1996 amendments to SDWA require that
EPA consider a detailed risk and cost assessment, and best available peer
reviewed science, when developing these standards. State governments, which
can be approved to implement these rules for EPA, also encourage attainment of
secondary standards (nuisance related). Under the Act, EPA also establishes
minimum standards for state programs to protect underground sources of drinking
water from endangerment by underground injection of fluids.
History of this Act
EPA History: Safe Drinking Water Act
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 Protects public health by regulating the nation’s public drinking
water supply.
 Does not regulate private wells that serve less than 25 people.
 There are many threats to drinking water:
 improperly disposed of chemicals
 animal wastes
 Pesticides
 human threats
 wastes injected underground
 naturally-occurring substances
 The focus of the SWDA moved from treatment and focused on
aspects such as source water protection, operator training and
funding for water system improvements after the 1996
amendments.
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 Other Aspects of SDWA
 Consumer Confidence Reports
- Annual reports must be prepared and distributed by all community water systems.
- Including information on detected contaminants, possible health effects and the water’s
source.
 Cost-Benefit Analysis
- Cost-benefit analysis must be conducted by the EPA for every new standard
 Drinking Water State Revolving Fund
- The fund was created so states can use it to help water systems make infrastructure or
management improvements.
 Microbial Contaminants and Disinfection Byproducts
- EPA is required to strengthen protection for microbial contaminants.
 Operator Certification
- Water system operators must be certified.
 Public Information & Consultation
- EPA distributes public information materials and holds public meetings.
 Small Water Systems
- Given special consideration and resources under SDWA
 Source Water Assessment Programs
- Every state is required to assess its sources of drinking water for potential sources of
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RCRA
Resource Conservation and Recovery Act
 The Resource Conservation and Recovery Act (RCRA) gives EPA the authority to
control hazardous waste from the "cradle to grave." This includes the generation,
transportation, treatment, storage, and disposal of hazardous waste. RCRA also set
forth a framework for the management of non-hazardous solid wastes. The 1984
amendments to RCRA enabled EPA to address environmental problems that could
result from underground tanks storing petroleum and other hazardous substances.
 HSWA the Federal Hazardous and Solid Waste Amendments are the 1984
amendments to RCRA that focused on waste minimization and phasing out land
disposal of hazardous waste as well as corrective action for releases. Some of the
other mandates of this law include increased enforcement authority for EPA, more
stringent hazardous waste management standards, and a comprehensive
underground storage tank program.
History of this Act
EPA History: RCRA

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RCRA
 The RCRA gives EPA the authority to control hazardous and non-hazardous solid waste.
 This includes generation, transportation, treatment, storage and disposal of hazardous waste.
 Subtitle D of the Act refers to non-hazardous solid waste requirements
- Bans open dumping of waste
- Sets minimum federal criteria for the operation of municipal waste and industrial waste
landfills.
 Subtitle C focuses on hazardous solid waste.
- EPA may authorize states to implement key provisions of hazardous waste requirements
 Creating a comprehensive system and federal infrastructure to manage hazardous waste
 Restoring 18 million acres of contaminated lands through the RCRA Corrective Action
program.
 Creating framework for states to implement effective municipal solid waste and non-
hazardous secondary material management programs.
 Formulating partnerships and award programs to get companies to modify their manufacturing
processes to generate less waste and reuse safely.
 Increasing the municipal solid waste recycling/composting rate from less than seven percent
to about 35.2 percent as of 2017.
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Hazardous and Solid Waste Amendments (HSWA)
 HSWA is the 1984 amendments to RCRA
 It focused on waste minimization and phasing out land disposal of hazardous waste.
 Also, the HSWA includes enforcement authority for EPA, more strict hazardous waste
management standards and a comprehensive underground storage tank.
 Restrictions were placed on landfill locations. They cannot be placed near airports, in a
wetland, in a floodplain or on an earthquake fault.
 Municipal solid waste landfills require a bottom liner and leachate collection system.
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CERCLA
Comprehensive Environmental Response, Compensation and Liability Act
(CERCLA, or Superfund)
 The Comprehensive Environmental Response, Compensation, and Liability Act otherwise known as
CERCLA or Superfund provides a Federal "Superfund" to clean up uncontrolled or abandoned
hazardous waste sites as well as accidents, spills, and other emergency releases of pollutants and
contaminants into the environment. Through CERCLA, EPA was given power to seek out those
parties responsible for any release and assure their cooperation in the cleanup.
 EPA cleans up orphan sites when potentially responsible parties cannot be identified or located, or
when they fail to act. Through various enforcement tools, EPA obtains private party cleanup through
orders, consent decrees, and other small party settlements. EPA also recovers costs from financially
viable individuals and companies once a response action has been completed.
 EPA is authorized to implement the Act in all 50 states and U.S. territories. Superfund site
identification, monitoring, and response activities in states are coordinated through the state
environmental protection or waste management agencies.
 The Superfund Amendments and Reauthorization Act (SARA) of 1986 reauthorized CERCLA to
continue cleanup activities around the country. Several site-specific amendments, definitions
clarifications, and technical requirements were added to the legislation, including additional
enforcement authorities. Also, Title III of SARA authorized the Emergency Planning and Community
Right to Know Act (EPCRA)
History of this Act
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CERCLA
 Also known as a Superfund.
 Enacted by Congress on December 11, 1980.
 Its purpose is to identify sites where hazardous materials threaten the

environment through leakage or spillage and to identify the responsible party.
 CERCLA authorizes Superfund cleanup responses in two ways: short-term

removal and long-term environmental remediation.
 It ensures that removal actions are taken while enforcing against potentially
responsible parties.
 It also promotes strong accountability, community involvement and long-term

protectiveness.
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Superfund Amendments and Reauthorization Act (SARA)
 This act was passed on October 17, 1986 and It is the amendments to CERCLA
 Provides residents with the resources needed to clean up hazardous waste sites.
 SARA increased the Superfund trust fund by 8.5 billion
 It also reinforced the importance of:

 human health
 community involvement
 cooperation with state and local laws and authorities
 permanent solutions to assess the degree of risk to human and environmental health.
 SARA Title III Also known as the Emergency Planning and Community Right-to-
Know Act (EPCRA)
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EPCRA
Emergency Planning & Community Right-to-Know Act
 Authorized by Title III of the Superfund Amendments and Reauthorization Act (SARA),
the Emergency Planning & Community Right to Know Act (EPCRA) was enacted by
Congress as the national legislation on community safety. This law is designed to help
local communities protect public health, safety, and the environment from chemical
hazards.
 To implement EPCRA, Congress requires each state to appoint a State Emergency
Response Commission (SERC). The SERCs are required to divide their states into
Emergency Planning Districts and to name a Local Emergency Planning Committee
(LEPC) for each district.
 Broad representation by fire fighters, health officials, government and media
representatives, community groups, industrial facilities, and emergency managers
ensures that all necessary elements of the planning process are represented.
History of this Act
EPA History: Superfund: Including information about EPCRA
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NEPA
National Environmental Policy Act
 The National Environmental Policy Act (NEPA) was one of the first laws ever
written that establishes the broad national framework for protecting our
environment. NEPA's basic policy is to assure that all branches of government
give proper consideration to the environment prior to undertaking any major
federal action that significantly affects the environment.
 NEPA requirements are invoked when airports, buildings, military complexes,

highways, parkland purchases, and other federal activities are proposed.
Environmental Assessments (EAs) and Environmental Impact Statements (EISs),
which are assessments of the likelihood of impacts from alternative courses of
action, are required from all Federal agencies and are the most visible NEPA
requirements.
History of this Act

EPA History: NEPA
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NEPA
 Signed into law on January 1, 1970
 To assure that all branches of government consider the environment prior to
undertaking any major federal action that significantly affects the environment.
 NEPA’s actions include:
 making decisions on permit applications
 adopting federal land management actions
 constructing highways and other publicly-owned facilities
 Title I has a Declaration of National Environmental Policy.

 This requires the government to create conditions for humans and animals to live
harmoniously.
 Title I requires federal agencies to consider the environment into their planning and decision-
making. This is done through a systematic interdisciplinary approach.
 This includes preparing detailed statements such as Environmental Impact Statements (EIS)
and Environmental Assessments (EA)
 Title II established the President’s Council on Environmental Quality (CEQ). The CEQ
has duties which include:
 Ensuring that federal agencies meet their obligations under NEPA
 Overseeing federal agency implementation of the EIA process.
 Issuing regulations and other guidance to federal agencies.
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Pollution Prevention Act

 The Pollution Prevention Act focused industry, government, and public attention on
reducing the amount of pollution through cost effective changes in production, operation,
and raw materials use. Opportunities for source reduction are often not realized because
of existing regulations, and the industrial resources required for compliance, focus on
treatment and disposal.
 Source reduction is fundamentally different and more desirable than waste management
or pollution control. Source reduction refers to practices that reduce hazardous substances
from being released into the environment prior to recycling, treatment or disposal. The
term includes equipment or technology modifications, process or procedure modifications,
reformulation or redesign of products, substitution of raw materials, and improvements in
housekeeping, maintenance, training, or inventory control.
 Pollution prevention includes practices that increase efficiency in the use of energy, water,
or other natural resources, and protect our resource base through conservation.
History of this Act

EPA History: Pollution Prevention Act
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Occupational Safety and Health (OSHA)

 The fundamental law governing worker protection is the federal Occupational Safety
and Health Act (OSHA) enacted in 1970 and requires employers to provide a
workplace that is free from hazards and to comply with the safety and health
standards
 OSHA is created to ensure safe and healthful working conditions for working men
and women by setting and enforcing standards and by providing training, outreach,
education and assistance.
 Employees must comply with the safety and health standards of the Act that apply to
their own conduct
 The federal regulatory agency responsible for administering the Occupational Safety
and Health Act is the Occupational Safety and Health Administration (OSHA)
 OSHA sets standards, investigates violations of the standards, performs inspections

of plants and facilities, investigates complaints, and takes enforcement action against
violators
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Occupational Safety and Health (OSHA)

 The OSH Act covers most private sector and some public sector employers and
workers through the United States Department of Labor.
 Those who are not covered by the OSHAct are:

 Self employed
 Immediate family members of farm employers
 Workers who are protected by another Federal agency
 OSHA provides workers with the right to:

 Receive information and training about hazards and methods to prevent harm.
 Observe testing that is done to find hazards in the workplace.
 Review records of work-related injuries and illnesses
 Get Copies of medical records
 Request OSHA to inspect workplaces.
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Toxic Substances Control Act

 The Toxic Substances Control Act of 1976 provides EPA with authority to require
reporting, record keeping and testing requirements, and restrictions relating to
chemical substances and/or mixtures. Certain substances are generally excluded
from TSCA, including, among others, food, drugs, cosmetics and pesticides.
 TSCA addresses the production, importation, use, and disposal of specific

chemicals including polychlorinated biphenyls (PCBs), asbestos , radon and lead
based paint.
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 The Toxic Substances Control Act of 1976 provides EPA with authority to require
reporting, record keeping and testing requirements, and restrictions relating to
chemical substances and/or mixtures. Certain substances are generally excluded
from TSCA, including, among others, food, drugs, cosmetics and pesticides.
 TSCA addresses the production, importation, use, and disposal of specific

chemicals including polychlorinated biphenyls (PCBs), asbestos , radon and lead
based paint.
 The TSCA was amended by the Frank R. Lautenberg Chemical Safety for the 21st
Century Act.
 The EPA evaluates potential risks from new and existing chemicals.
 Existing chemicals are evaluated in a three-stage process:

- Prioritization
- Risk Evaluation
- Risk management
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 Prioritization
 This is a risk-based screening process to categorize chemical substances into the High
Priority Substances for risk evaluation or Low Priority Substances where risk evaluation
is not necessary.
- To prioritize chemicals, the EPA gives certain criteria such as hazard, persistence and
bioaccumulation.
 Risk Evaluation
 High-Priority Substances move immediately to the risk evaluation phase.
 The chemical is assessed to determine if it poses a risk to health or the environment.
 The risk evaluation process includes a scope document, hazard and exposure
assessments and a risk determination.
 Risk Management
 The implementation of regulatory restrictions on the manufacture, processing,
distribution or use.
 Risk management options include labeling. Recordkeeping or a ban of the chemical.
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 The Pollution Prevention Act focused industry, government, and public attention on
reducing the amount of pollution through cost effective changes in production, operation,
and raw materials use. Opportunities for source reduction are often not realized because
of existing regulations, and the industrial resources required for compliance, focus on
treatment and disposal.
 Source reduction is fundamentally different and more desirable than waste management
or pollution control. Source reduction refers to practices that reduce hazardous substances
from being released into the environment prior to recycling, treatment or disposal. The
term includes equipment or technology modifications, process or procedure modifications,
reformulation or redesign of products, substitution of raw materials, and improvements in
housekeeping, maintenance, training, or inventory control.
 Pollution prevention includes practices that increase efficiency in the use of energy, water,
or other natural resources, and protect our resource base through conservation.
History of this Act

EPA History: Pollution Prevention Act
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Other Regulations
Other Environmental Regulations
 Atomic Energy Act (AEA)
 Chemical Safety Information, Site Security and Fuels Regulatory Relief Act
 Endangered Species Act (ESA)
 Energy Independence and Security Act (EISA)
 Energy Policy Act
 Federal Food, Drug, and Cosmetic Act (FFDCA)
 Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
 Marine Protection, Research, and Sanctuaries Act (MPRSA, or the Ocean Dumping
Act)
 National Technology Transfer and Advancement Act (NTTAA)
 Noise Control Act
 Nuclear Waste Policy Act (NWPA)
 Oil Pollution Act (OPA)
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 Shore Protection Act
This(SPA)
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FE Environmental Ethics and Professional Practice Refresher Notes

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FE ENVIRONMENTAL

2020 Refresher notes

Ethics and Professional Practice

Environmental Engineering and other

 Ethics is covered on pages 4-12 of the NCEES Reference Handbook, v 10.0

 Public Protection Issues (Licensure)

 Societal Considerations & Life Cycle Analysis*

 Agreements and Contracts**Compliance with Codes, Standards and Regulations

 *Compliance with Codes, Standards and Regulations **

 NCEES Model Rules

 Required for Professionalism:

 Codes of ethics - these standards form a contract between

 NCEES Rules of Professional conduct are found in section 240 of

Applying the Codes

Applying the Codes

Principal Ideas in Model Rules

Obligation to the Public (Society)

5. Licensees shall express a professional opinion publicly only when it is founded

9. Licensees shall not knowingly provide false or incomplete information regarding

Obligation to Employer and Clients

3. Licensees may accept assignments and assume responsibility for coordination

4. Licensees shall not reveal facts, data, or information obtained in a professional

5. Licensees shall not solicit or accept gratuities, directly or indirectly, from

Obligation to Employer and Clients

7. Licensees shall not solicit or accept compensation, financial or otherwise, from

8. Licensees shall not solicit or accept a professional contract from a governmental

Obligation to other Licensees

Model Law: Definitions

Model Law: Definitions

 Surveying incidental to the practice of engineering excludes the surveying of real

Model Law: Definitions

 See additional definitions page 6-7

 This process is intended to protect public

 Though Licensing process is similar in each of the 50 states, they have

 To be eligible for licensure as a professional engineer or

C. Each day of continued violation may constitute a separate offense. 29

Raghava Kommalapati, PhD, PE, BCEE, F. ASCE

 Strict liability in tort

Patricia Balza (balzapatricia@gmail.com)

Agreements and Contracts

Raghava Kommalapati, PhD, PE, BCEE, F. ASCE

Agreements and Contracts

 All agreements must satisfy 3 requirements to be legally binding

 Other conditions that the agreement must meet to be enforceable

Patricia Balza (balzapatricia@gmail.com)

Agreements and Contracts

Agreements and Contracts

Consulting Fee Structure

 Most codes of ethics in the past considered competitive bidding

 Federal. State and local statutes governing the procedures for

Raghava Kommalapati, PhD, PE, BCEE, F. ASCE

 Sustainable approaches during planning, design, and construction or manufacture

Life Cycle Analysis

Raghava Kommalapati, PhD, PE, BCEE, F. ASCE

 There are three types of patents:

Compliance with Codes, Standards

This section is only for FE Environmental Engineering

Raghava Kommalapati , PhD, PE, BCEE, F. ASCE

Clean Air Act

Clean Air Act

Clean Air Act

Clean Water Act

Clean Water Act

Safe Drinking Water Act