Kaplan Fundamental of

Engineering Review Course

Ethics

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 FE Exam Information
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 Handbook at least four
times.
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 Obligation to Society
An engineer’s first obligation is always to society. This
obligation takes precedence over all others.
A registered engineer’s obligations to society are
summarized as follows:
• Be a guardian of the public safety.
• Submit truthful and complete reports, statements, and
testimonies.
• Don’t abuse credibility.
• Don’t be involved in fraud.
• Inform state board of possible ethics violations.
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 Obligation to Society
Example
A registered engineer is being interviewed for television on
a matter relating to his expertise that affects public safety.
The interviewer asks a question about the chances for a
cure for AIDS. The engineer should:
a. express his opinion honestly and completely
b. decline to comment
c. recount what he read in a magazine article on the
subject
d. suggest everyone get an AIDS test
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 Obligation to Society
The engineer’s credibility with the public should not be
abused. The public could attribute too much credibility to
the engineer’s opinion because of his perceived expertise.
Or the public might have less confidence in the engineer’s
expertise on the matter of public safety if they disagree with
his opinion on AIDS. Protecting his credibility on matters of
public safety is all the engineer should care about, so he
should decline to comment.
Therefore, b is correct.

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 Obligation to Employers and
Clients
Registered engineers’ obligations to employers or clients are secondary
to their obligation to society. Where there is a conflict, the interests of
society (especially regarding safety) take precedence.

Obligations to employers or clients are summarized as follows:

• Only accept assignments the engineer is qualified to complete.
• Don’t sign and seal plans or documents on something the engineer is not
competent in, or that were not prepared under the engineer’s direct
supervision.
• Coordinate projects that include segments in which they are not competent
only if a qualified registered engineer signs and seals plans and documents
for those segments of the project.
• Protect facts, data, and information belonging to the employer or client.

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 Obligation to Employers and
Clients
• Don’t accept anything of value for work from any other parties except
the employer or client, unless agreed to by all parties.
• Make prior disclosure of any actual or perceived conflicts of interest.
• Don’t contract with a government body if a member of the engineer’s
organization has influence on the government body’s contracting
decisions. Conversely, if the engineer is part of a government body
and can influence contracting decisions, the engineer should not
contract with any outside organization to which the engineer belongs.

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 Obligation to Employers and
Clients
Example
Under what circumstances can a registered engineer sign and seal
plans or documents the engineer did not prepare?
a. Registered engineers can coordinate projects that include
segments they are not competent in if a qualified registered
engineer signs and seals plans or documents for those segments
of the project.
b. Under no circumstances
c. If the plans or documents were prepared by someone under the
registered engineer’s direct supervision and the registered
engineer is an expert in the subject matter
d. When practicing in a state different than the one in which the
engineer is registered

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 Obligation to Employers and
Clients
Answer a is a true statement, but it has nothing to do with
the problem statement. Plans or documents prepared
under the direct supervision of a registered engineer where
the engineer is an expert, can be signed and sealed by the
engineer assuming the engineer has reviewed the plans or
documents.
Therefore, c is correct.

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 Obligation to Employers and
Clients
Example
You and your design group are competing for a
multidisciplinary concept project. Your firm is the lead group
in the design professional consortium formed to compete
for the project. Your consortium has been selected to be
the first to enter fee negotiations with the project owner.
During negotiations, the amount you have to cut from your
fee to be awarded the contract will require dropping one of
the consortium members whose staff has special
capabilities not found in the staff of the remaining
consortium members.

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 Obligation to Employers and
Clients
Is your consortium response in the negotiations ethical?
a. No, not if the owner is left with the impression that the
consortium is still fully qualified to perform all the required tasks
b. Yes, if your remaining consortium members hire a few new,
lower cost employees to do the special work originally intended
to be provided by the consortium member dropped
c. No, because an engineer may not accept a contract to
coordinate a project with other professional firms providing
capabilities and services not under the engineer’s direct control
d. Yes, if in accepting an assignment to coordinate a project, a
single person will sign and seal all the documents in the entire
consortium work

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 Obligation to Employers and
Clients
It is never ethical to accept a contract if you or the
organization for which you are negotiating cannot complete
the work. Answer a does not tell us if the scope of the
contract will be reduced so the consortium can complete
the work without the eliminated partner, or if the consortium
has some other way of completing the work without the
special skills of the eliminated partner; thus, we can’t really
say that answer a is correct, but it is the best option
provided.
Therefore, the answer is a.

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 Obligation to Other Registrants
A registered engineer’s obligation to other registrants is
less important than the obligation to society. Where there is
a conflict, the interests of society, especially those
regarding safety, take precedence.
A registered engineer’s obligations to other registrants are
summarized as follows:
• Don’t falsely represent one’s qualifications or the qualifications
of associates.
• Don’t solicit, accept, or give anything of value to secure work.
• Don’t give a political contribution to influence the award of a
contract by a public authority.
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 Obligation to Other Registrants
Don’t try to falsely damage the careers of other registrants.
There are specific circumstances where one can act
against another registrant’s career without it being a
violation of this obligation. These circumstances are
summarized as follows:
• When one registrant has reason to suspect something
another registrant has done, or will do, threatens the public
safety.
• When one registrant has reason to suspect another registrant
has violated, or will violate, their ethical code.
• When one registrant has reason to suspect another registrant
has committed, or will commit, fraud.
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 Obligation to Other Registrants
Example
A registered engineer has applied for a promotion at a firm the engineer
has been working at for several years. During an interview for the new
position, the engineer is asked to contrast her qualifications with other
registered engineers at the firm who have applied for the same
position. The engineer should:
a. withdraw her application for the position
b. give a full accounting of all the ways her ability and experience are
superior to those of the other applicants
c. demand to speak to the interviewer’s supervisor
d. decline to compare her qualifications but offer to describe them

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 Obligation to Other Registrants
It is not a violation of a registered engineer’s obligation to other
registrants to promote their own qualifications. However, one can’t help
but speak negatively about another registrant when comparing
qualifications in a circumstance like this. The engineer in this situation
can discuss her qualifications for the position, but cannot ethically
compare qualifications with other registrants applying for the position.
The other registrants can then discuss their qualifications, and the
employer can make the comparisons.

Therefore, d is correct.

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 Expert Witness
An expert witness has only one obligation:
• To give a complete and objective analysis of the facts
pertaining only to the engineer’s area of expertise
• Before and after a registered engineer testifies as an
expert witness, the engineer has the same obligations as
any other registered engineer.
• An expert witness is not a character witness or material
witness. Expert witnesses only have knowledge of
evidence in the case or data relevant to the case. They
can express their opinions, and are not limited to stating
the facts only.

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 Expert Witness
Example
A registered engineer is retained as an expert witness by one of
the parties in a civil case where the public safety is not involved.
In investigating the technical data in the case, the engineer
makes findings that are not favorable to the side of the party who
retained him. The engineer should:
a. inform the party who retained him of the findings.
b. inform the judge of the findings.
c. inform the opposing party of the findings.
d. say nothing about the findings until called to testify.

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 Expert Witness
In this case, the engineer has only an obligation to the
client until the engineer is called to the stand, so the
engineer should report the findings to the party who
retained the engineer and that party will decide whether or
not to call the engineer to testify.

Therefore, a is correct.

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 Consultants
Consultant:
• A registered engineer acting as a consultant must be
fully qualified as an expert in the subject matter.
Registered engineer:
• A registered engineer may be hired for a regular position
requiring expertise in some area where the engineer is
not an expert, as long as the employer knows this and
arrangements are made for the hired engineer to be
trained in those areas. This is not so, however, for a
consultant.

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 Consultants
Registered engineer (cont.):
• Consultants have the same obligations to clients that
registered engineers who are regular employees have to their
employers. They are obligated to protect data, processes, and
information belonging to the client and not share these with
other clients. There are exceptions, however.
• For example, if the consultant develops analysis techniques,
special skills, experience, etc., working for one client, the
consultant can use this when working for another client as
long as it doesn’t involve something deliverable under a
contract with the former client (e.g., a software algorithm).

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 Consultants
Example
A professional engineer, originally licensed 30 years ago, is asked
to act as a consultant on a newly developed computerized control
system for a public transportation system. The engineer may accept
this project if:
a. the engineer is competent in the area of modern control systems
b. professional engineering license has not lapsed
c. original area of specialization was in transportation systems
d. the engineer has regularly attended annual meetings of a
professional engineering society

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 Consultants
By definition, if a consultant is a professional engineer, the
engineer’s license cannot have lapsed, so b is incorrect. All
that matters is that the professional engineer is competent.

Therefore, a is correct.

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 NCEES Model Law
• Recordholders who meet certain qualifications in education,
experience, and examinations will be granted the Model Law
designation. In many states, this will result in an expedited comity
licensure process.
• What is the Model Law?
• The NCEES Model Law is a governing document that outlines best
practices for the licensure of professional engineers and surveyors.
It guides NCEES member licensing boards as they develop laws
and rules regulating these professions in their state/territorial
jurisdictions. All amendments to the Model Law are determined by
majority vote of these member boards.
• The Model Law reflects best practices as determined by the NCEES
Member Boards. It is a model for state practice legislation.

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 NCEES Model Law
• Because the Model Law represents generally
agreed-upon standards, many licensing boards
will process your application for licensure more
quickly if you are a Model Law Engineer or
Model Law Surveyor.

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 Summary of Model Law
Requirements
• The Model Law requirements for professional engineers can be
summarized as follows (download the PDF for the specific wording):
• A bachelor’s degree in engineering from an engineering program
that is accredited by the Engineering Accreditation Commission
of ABET
• Four years of acceptable engineering work experience
• Acceptable results on the FE and PE exams
• A clean disciplinary record
• The requirements for professional surveyors also include a
combination of acceptable education, experience, and
examinations. They can be found in Section 130, Licensure.

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 NCEES Model Rules
The Model Rules provides licensure boards with guidelines for
engineering and surveying licensing laws and ethics.
A. Purpose
The purpose of adopting rules is to ensure the protection of the public by ensuring the
proper performance of the duties of the board and the regulation of its procedures,
meetings, records, examinations, and the conduct thereof.
B. Requirements for Adoption
The adopted rules of procedure may not be inconsistent with the constitution and
laws of this jurisdiction. They must be approved by appropriate legislative authority of
the jurisdiction. (Section 120.60 A, Board Powers, NCEES Model Law)
C. Authority of Rules
Rules adopted by the board shall be binding upon individuals licensed or recognized
under the licensure act and on non-licensees found by the board to be in violation of
provisions of the licensure act and shall be applicable to firms that hold or should be
holding a certificate of authorization. (Section 120.60 A, Board Powers, NCEES
Model Law)

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 Agreements and Contracts
Licensed engineers also enjoy more career options. As a
P.E., you would be able to perform certain tasks, such as
• Stamp and seal designs
• Bid for government contracts
• Be principal of a firm
• Perform consulting services
• Offer services to the public

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 Agreements and Contracts
• A professional services contract, or "agreement" as a
contract is often called, puts into writing the
understanding two parties have on how they will work
together on a project.
• The contract documents the framework for the
performance of the work, and defines the procedures if
disputes arise.
• A contract defines a relationship--sometimes between
parties that have an ongoing business relationship of
many years, and at other times for a newly formed
business relationship between relative strangers.

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 Agreements and Contracts
Licensed engineers also enjoy more career options. As a
P.E., you would be able to perform certain tasks, such as
• Stamp and seal designs
• Bid for government contracts
• Be principal of a firm
• Perform consulting services
• Offer services to the public

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 Agreements and Contracts
A professional engineer shall use a written contract when contracting to provide
professional engineering services to a client pursuant to this chapter. The
written contract shall be executed by the professional engineer and the
client, or his or her representative, prior to the professional engineer
commencing work, unless the client knowingly states in writing that work
may be commenced before the contract is executed. The written contract
shall include, but not be limited to, all of the following:
• A description of the services to be provided to the client by the professional
engineer.
• A description of any basis of compensation applicable to the contract, and
the method of payment agreed upon by the parties.
• The name, address, and license or certificate number of the professional
engineer, and the name and address of the client.
• A description of the procedure that the professional engineer and the client
will use to accommodate additional services.
• A description of the procedure to be used by any party to terminate the
contract.
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