1. Foundations of Ethics ESI 4554

2. “Ethics" From the word ethos, Greek word for character.
Concerns concepts of the individual or group by which actions are judged “right” or “wrong”.

3. Engineering and Ethics
Definition:
Application of scientific principles through the use of models and technology.
Purpose:
Design new systems and improve existing ones for the benefit of the human race.
Ethics examines the moral significance of the creative ability.

4. The Development Stages of Moral
1. Pre-conventional level
2. Conventional level 
3. Post-conventional level

5. The Development Stages of Moral
1. Pre-conventional level
Most primitive.
Conduct judged by actions that directly benefit the person.
Motivation: desire to avoid punishment, power, self-gratification.
Natural to young children, may be significant in some adults.

6. The Development Stages of Moral
2. Conventional level.
Standard of morality is stated by one’s family, group, society.
ie.: We do what our parent’s say we should do.
Motivation is to please others, to fit in within a social group.
Self-interest is suppressed.
Morality is equal to legality.
Most people don’t go beyond this level.

7. The Development Stages of Moral
3. Post-conventional Level
Individual is autonomous, thinks for him/herself.
Does not accept customs or precepts without analysis.
Analysis is based on general principles.
Motivation: to act morally, above self-interest.
Moral integrity, self-respect and respect for
Others guides all his/her activities.

8. The Three Phases of Moral Inquiry
What do to when facing a moral dilemma…
1. Gather factual information.
2. Study and analyze information.
(based on concepts, principles and related problems)
3. Evaluate the issue in light of ethical norms and standards.

9. Ethics transcends the legal system.
They overlap when you believe the probability of “being caught” on a legal wrong is nearly zero.
Then, you are your own judge. Is
it ethical? Is
it legal? ?

10. Why Have a System of Ethics?
Gives engineer integrity and consistency in behavior in all matters: personal and professional.
This is the essence of professional peace.
Most important possession a person will ever have is a spotless reputation.
No amount of money, fame or knowledge is an adequate substitute.

11. Professionalism for Engineers
Professionalism is an individual state of mind.
It is a way of thinking, working, and living.
It is a way of adding something valuable to competence.

12. Professionalism for an engineer means:
Striving to improve his/her work until it becomes a model for those in his/her field, as a minimum using the most up-to-date techniques and procedures.
Proper credit for work done and ideas developed by subordinates.
Loyalty to his/her employer or client, always with concern for the public safety in construction, product design, plant operation, and all other phases of engineering.

13. Professionalism for an engineer means:
Leadership of less experienced colleagues and subordinates toward personal development and an enthusiasm for the profession.
Activity in technical societies in order to keep current in his/her field.
Participation in professional societies.
Registration.

14. CODE OF ETHICS FOR ENGINEERS SUMMARY (for thorough text, see Appendix)

15. Preamble
The engineer, to uphold and advance the honor and dignity of the engineering profession and in keeping with high standards of ethical conduct:
Will be honest and impartial, and will serve with devotion his/her employer, his/her clients, and the public;
Will strive to increase the competence and prestige of the engineering profession;
Will use his/her knowledge and skill for the advancement of human welfare.

16. Section 1: General Behavior Standards
Section 1: General Behavior Standards. The Engineer will be guided in all his/her professional relations by the highest standards of integrity
He/she will be realistic and honest in all estimates, reports, statements, and testimony.
He/she will admit and accept his/her own errors.

17. Section 1: General Behavior Standards.
He/she will advise his/her client or employer when he/she believes a project will not be successful.
He/she will not actively participate in strikes, picket lines, or other collective coercive action.

18. Section 2: Safety and Welfare of the Public
The Engineer will have proper regard for the safety, health, and welfare of the public in the performance of his/her professional duties.
If his/her engineering judgment is overruled by non-technical authority, he/she will clearly point out the consequences.

19. Section 3: Dignity of the Profession
The Engineer will avoid all conduct or practice likely to discredit or unfavorably reflect upon the dignity or honor of the profession.
The Engineer shall not advertise his/her professional services but may utilize the following means of identification:
Professional cards and listings in recognized and dignified publications
Signs on equipment, offices and at the site of projects
Brochures, business cards, letterheads and other factual representations
Listings in the classified section of telephone directories

20. Section 4: Safeguarding the profession.
The Engineer will endeavor to extend public knowledge and appreciation of engineering and its achievements and to protect the engineering profession from misrepresentation and misunderstanding.
He/she shall not issue statements, criticisms, or arguments on matters connected with public policy, which are inspired or paid for by private interests, unless he/she indicates on whose behalf he/she is making the statement.

21. Section 5: Qualifications & Capabilities
The Engineer will express an opinion of an engineering subject only when founded on adequate knowledge and honest conviction.
The Engineer will insist on the use of facts in reference to an engineering project in a group discussion, public forum or publication of articles.

22. Section 6: Qualifications and Capabilities
The Engineer will undertake engineering assignments for which he/she will be responsible only when qualified by training or experience; and he/she will engage, or advise engaging, experts and specialists whenever the client's or employer's interests are best served by such service.

23. Section 7: Confidentiality
The Engineer will not disclose confidential information concerning the business affairs or technical processes of any present or former client or employer without his/her consent.

24. Section 8: Conflicts of Interest
The Engineer will endeavor to avoid a conflict of interest with his/her employer or client, but when unavoidable, the Engineer shall fully disclose the circumstances to his/her employer or client.
An engineer shall not solicit or accept an engineering contract from a governmental body on which a principal or officer of his/her organization serves as a member.

25. Section 9: Compensation and Wages
The Engineer will uphold the principle of appropriate and adequate compensation for those engaged in engineering work.
He/she will not undertake or agree to perform any engineering service on a free basis, except for civic, charitable, religious, or eleemosynary nonprofit organizations when the professional services are advisory in nature.

26. Section 9: Compensation and Wages
He/she will not undertake work at a fee or salary below the accepted standards of the profession in the area.
When hiring other engineers, he/she shall offer a salary according to the engineer's qualifications and the recognized standards in the particular geographical area.

27. Section 10: Compensation
The Engineer will not accept compensation, financial or otherwise, from more than one interested party for the same service, or for services pertaining to the same work, unless there is full disclosure to and consent of all interested parties.
He/she will not accept commissions or allowances, directly or indirectly, from contractors of other parties dealing with his/her clients or employer in connection with work for which he/she is responsible.

28. Section 11: Compensation
The Engineer will not accept compensation, financial or otherwise, from more than one interested party for the same service, or for services pertaining to the same work, unless there is full disclosure to and consent of all interested parties.
He/she will not accept commissions or allowances, directly or indirectly, from contractors of other parties dealing with his/her clients or employer in connection with work for which he/she is responsible.

29. Section 11: Competition
The Engineer will not compete unfairly with another engineer by attempting to obtain employment or advancement or professional engagements by competitive bidding, by taking advantage of a salaried position, by criticizing other engineers, or by other improper or questionable methods.
He/she will not offer to pay, either directly or indirectly, any commission, political contribution, or a gift, or other consideration in order to secure work, exclusive of securing salaried positions through employment agencies.

30. Section 11: Competition
While in a salaried position, he/she will accept part-time engineering work only at a salary or fee not less than that recognized as standard in the area.
An engineer will not use equipment, supplies, laboratory, or office facilities of his/her employer to carry on outside private practice without consent.

31. Section 12: Peer Relations
The Engineer will not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of another engineer, nor will he/she indiscriminately criticize another engineer's work in public. If he/she believes that another engineer is guilty of unethical or illegal practice, he/she shall present such information to the proper authority for action.
An Engineer in private practice will not review the work of another engineer for the same client, except with the knowledge of such engineer, or unless the connection of such engineer with the work has been terminated.

32. Section 13: Name Abuse
The Engineer will not associate with or allow the use of his/her name by an enterprise of questionable character, nor will he/she become professionally associated with engineers who do not conform to ethical practices, or with persons not legally qualified to render the professional services for which the association is intended.

33. Section 14: Credit
The Engineer will give credit for engineering work to who credit is due, and will recognize the proprietary interests of others.
Whenever possible, he/she will name the person or persons who may be individually responsible for designs, inventions, writings, or other accomplishments.
When an engineer uses designs supplied to him by a client, the designs remain the property of the client and should not be duplicated by the Engineer for others without express permission.

34. Section 14: Credit
Before undertaking work for others in connection with which he/she may make improvements, plans, designs, inventions, or other records which may justify copy-rights or patents, the Engineer should enter into a positive agreement regarding the ownership.
Designs, data, records, and notes made by an engineer and referring exclusively to his/her employer's work are his/her employer's property.

35. Section 15: Cooperation
The Engineer will cooperate in extending the effectiveness of the profession by interchanging information and experience with other engineers and students, and will endeavor to provide opportunity for the professional development and advancement of engineers under his/her supervision.
He/she will encourage his/her engineering employees' efforts to improve their education.
He/she will encourage engineering employees to attend and present papers at professional and technical society meetings.

36. Section 15: Cooperation
He/she will urge his/her engineering employees to become registered at the earliest possible date.
He/she will assign professional engineer duties of a nature to utilize his/her full training and experience, insofar as possible, and delegate lesser functions to sub-professionals or to technicians.

37. Guidelines for Success As an Engineer

38. Guidelines for Success
1. Self-esteem.
We all need a “pat on the back” every now and then.
We earn them by our capabilities and actions.
2. Anticipate change.
Be adaptive to changes, but only after proper analysis.
3. Exercise regularly.
Exercise retards aging: “we don’t wear out, we rust out”.
4. Take advantage of compound interest.
Use the magic of compound interest over long periods of time to your advantage.
Financial security boosts our self-esteem.

39. Guidelines for Success
5. Be ethical.
6. Reward others for their help.
Usually your direct subordinates, even your spouse.
A hand-written note is very appropriate for someone who has been especially helpful.
7. Avoid emotional power struggles.
8. Strive to give criticism with humility.

40. Guidelines for Success
9. Use models to analyze problems.
10. Speak with care.
Avoid using curse words at any time: they reduce your power of conviction and authority.
11. Use self-discipline.
It is developed with the “little by little” technique.
Start today!

41. OBLIGATION OF AN ENGINEER
I am an Engineer. In my profession I take deep pride. To it I owe solemn obligations. Since the Stone Age, human progress has been spurred by the engineering genius. Engineers have made usable Nature's vast resources of material and energy for Mankind's benefit. Engineers have vitalized and turned to practical use the principles of science and the means of technology. Were it not for this heritage of accumulated experience, my efforts would be feeble.

42. OBLIGATION OF AN ENGINEER
As an Engineer, I pledge to practice integrity and fair dealing, tolerance and respect, and to uphold devotion to the standards and the dignity of my profession, conscious always that my skill carries with it the obligation to serve humanity by making the best use of Earth's precious wealth.

43. OBLIGATION OF AN ENGINEER
As an Engineer, in humility and with the need for Divine Guidance, I shall participate in none but honest enterprises. When needed, my skill and knowledge shall be given without reservation for the public good. In the performance of duty and in fidelity to my profession, I shall give the utmost..

44. APPENDIX CODE OF ETHICS FOR ENGINEERS

45. Preamble:
The engineer, to uphold and advance the honor and dignity of the engineering profession and in keeping with high standards of ethical conduct:
Will be honest and impartial, and will serve with devotion his/her employer, his/her clients, and the public;
Will strive to increase the competence and prestige of the engineering profession;
Will use his/her knowledge and skill for the advancement of human welfare.

46. Section 1 The Engineer will be guided in all his/her professional relations by the highest standards of integrity, and will act in professional matters for each client or employer as a faithful agent or trustee.
He/she will be realistic and honest in all estimates, reports, statements, and testimony.
He/she will admit and accept his/her own errors when proven obviously wrong and refrain from distorting or altering the facts in an attempt to justify his/her decision.

47. Section 1
He/she will advise his/her client or employer when he/she believes a project will not be successful.
He/she will not accept outside employment to the detriment of his/her regular work or interest, or without the consent of his/her employer.
He/she will not attempt to attract an engineer from another employer by unfair methods.
He/she will not actively participate in strikes, picket lines, or other collective coercive action.

48. Section 2 The Engineer will have proper regard for the safety, health, and welfare of the public in the performance of his/her professional duties. If his/her engineering judgment is overruled by non-technical authority, he/she will clearly point out the consequences. He/she will notify the proper authority of any observed conditions, which endanger public safety and health.

49. Section 2
He/she will regard his/her duty to the public welfare as paramount.
He/she shall seek opportunities to be of constructive service in civic affairs and work for the advancement of the safety, health and well being of his/her community.
He/she will not complete, sign, or seal plans and/or specifications that are not of a design safe to the public health and welfare and in conformity with accepted engineering standards. If the client or employer insists on such unprofessional conduct, he/she shall notify the proper authorities and withdraw from further service on the project.

50. Section 3 The Engineer will avoid all conduct or practice likely to discredit or unfavorably reflect upon the dignity or honor of the profession.
The Engineer shall not advertise his/her professional services but may utilize the following means of identification:
Professional cards and listings in recognized and dignified publications
Signs on equipment, offices and at the site of projects
Brochures, business cards, letterheads and other factual representations
Listings in the classified section of telephone directories

51. Section 3
The Engineer may advertise for recruitment of personnel in appropriate publications or by special distribution.
The Engineer may extend permission for his/her name to be used in commercial advertisements, such as may be published by manufacturers, contractors, material suppliers, etc., only by means of a modest dignified notation acknowledging his/her participation and the scope thereof in the project or product described. Such permission shall not include public endorsement of proprietary products.
The Engineer will not allow him/herself to be listed for employment using exaggerated statements of his/her qualifications.

52. Section 4 The Engineer will endeavor to extend public knowledge and appreciation of engineering and its achievements and to protect the engineering profession from misrepresentation and misunderstanding.
He/she shall not issue statements, criticisms, or arguments on matters connected with public policy, which are inspired or paid for by private interests, unless he/she indicates on whose behalf he/she is making the statement.

53. Section 5 The Engineer will express an opinion of an engineering subject only when founded on adequate knowledge and honest conviction.
The Engineer will insist on the use of facts in reference to an engineering project in a group discussion, public forum or publication of articles.

54. Section 6 The Engineer will undertake engineering assignments for which he/she will be responsible only when qualified by training or experience; and he/she will engage, or advise engaging, experts and specialists whenever the client's or employer's interests are best served by such service.

55. Section 7 The Engineer will not disclose confidential information concerning the business affairs or technical processes of any present or former client or employer without his/her consent.
While in the employ of others, he/she will not enter promotional efforts or negotiations for work or make arrangements for other employment as a principal or to practice in connection with a specific project for which he/she has gained particular and specialized knowledge without the consent of all interested parties.

56. Section 8 The Engineer will endeavor to avoid a conflict of interest with his/her employer or client, but when unavoidable, the Engineer shall fully disclose the circumstances to his/her employer or client.

57. Section 8. Conflict of Interest
The Engineer will inform his/her client or employer of any business connections, interests, or circumstances which may be deemed as influencing his/her judgment or the quality of his/her services to his/her client or employer.
When in public service as a member, advisor, or employee of a governmental body or department, an engineer shall not participate in considerations or actions with respect to services provided by him or his/her organization in private engineering practice.
An engineer shall not solicit or accept an engineering contract from a governmental body on which a principal or officer of his/her organization serves as a member.

58. Section 9 The Engineer will uphold the principle of appropriate and adequate compensation for those engaged in engineering work.
He/she will not undertake or agree to perform any engineering service on a free basis, except for civic, charitable, religious, or eleemosynary nonprofit organizations when the professional services are advisory in nature.

59. Section 9 Compensation
He/she will not undertake work at a fee or salary below the accepted standards of the profession in the area.
He/she will not accept remuneration from either an employee or employment agency for giving employment.
When hiring other engineers, he/she shall offer a salary according to the engineer's qualifications and the recognized standards in the particular geographical area.
If, in sales employ, he/she will not offer, or give engineering consultation, or designs, or advice other than specifically applying to the equipment being sold.

60. Section 10 The Engineer will not accept compensation, financial or otherwise, from more than one interested party for the same service, or for services pertaining to the same work, unless there is full disclosure to and consent of all interested parties.
He/she will not accept financial or other considerations, including free engineering designs, from material or equipment suppliers for specifying their product.
He/she will not accept commissions or allowances, directly or indirectly, from contractors of other parties dealing with his/her clients or employer in connection with work for which he/she is responsible.

61. Section 11 The Engineer will not compete unfairly with another engineer by attempting to obtain employment or advancement or professional engagements by competitive bidding, by taking advantage of a salaried position, by criticizing other engineers, or by other improper or questionable methods.

62. Section 11. Competition
The Engineer will not attempt to supplant another engineer in a particular employment after becoming aware that definite steps have been taken toward the other's employment.
He/she will not offer to pay, either directly or indirectly, any commission, political contribution, or a gift, or other consideration in order to secure work, exclusive of securing salaried positions through employment agencies.

63. Section 11. Competition
He/she shall not solicit or submit engineering proposals on the basis of competitive bidding. Competitive bidding for professional engineering services is defined as the formal or informal submission, or receipt, of verbal or written estimates of cost or proposals in terms of dollars, man days of work required, percentage of construction cost, or any other measure of compensation whereby the prospective client may compare engineering services on a price basis prior to the time that one engineer, or one engineering organization, has been selected for negotiations. The disclosure of recommended fee schedules prepared by various engineering societies is not considered to constitute competitive bidding. An engineer requested to submit a fee proposal or bid prior to the selection of an engineer or firm subject to the negotiation of a satisfactory contract, shall attempt to have the procedure changed to conform to ethical practices but if not successful he/she shall withdraw from consideration for the proposed work. These principles shall be applied by the Engineer in obtaining the services of other professionals.

64. Section 11. Competition
An Engineer shall not request, propose, or accept a professional commission on a contingent basis under circumstances in which his/her professional judgment may be compromised, or when a contingency provision is used as a device for promoting or securing a professional commission.
While in a salaried position, he/she will accept part-time engineering work only at a salary or fee not less than that recognized as standard in the area.
An engineer will not use equipment, supplies, laboratory, or office facilities of his/her employer to carry on outside private practice without consent.

65. Section 12 The Engineer will not attempt to injure, maliciously or falsely, directly or indirectly, the professional reputation, prospects, practice or employment of another engineer, nor will he/she indiscriminately criticize another engineer's work in public. If he/she believes that another engineer is guilty of unethical or illegal practice, he/she shall present such information to the proper authority for action.

66. Section 12. Peer Relations
An Engineer in private practice will not review the work of another engineer for the same client, except with the knowledge of such engineer, or unless the connection of such engineer with the work has been terminated.
An Engineer in governmental, industrial or educational employ is entitled to review and evaluate the work of other engineers when so required by his/her employment duties.
An Engineer in sales or industrial employ is entitled to make engineering comparisons of his/her products with products by other suppliers.

67. Section 13 The Engineer will not associate with or allow the use of his/her name by an enterprise of questionable character, nor will he/she become professionally associated with engineers who do not conform to ethical practices, or with persons not legally qualified to render the professional services for which the association is intended.

68. Section 13. Name Abuse
He/she will conform with registration laws in his/her practice of engineering.
He/she will not use association with a non-engineer, a corporation, or partnership, as a "cloak" for unethical acts, but must accept personal responsibility for his/her professional acts.

69. Section 14 The Engineer will give credit for engineering work to who credit is due, and will recognize the proprietary interests of others.
Whenever possible, he/she will name the person or persons who may be individually responsible for designs, inventions, writings, or other accomplishments.
When an engineer uses designs supplied to him by a client, the designs remain the property of the client and should not be duplicated by the Engineer for others without express permission.

70. Section 14 Credit
Before undertaking work for others in connection with which he/she may make improvements, plans, designs, inventions, or other records which may justify copy-rights or patents, the Engineer should enter into a positive agreement regarding the ownership.
Designs, data, records, and notes made by an engineer and referring exclusively to his/her employer's work are his/her employer's property.

71. Section 15 The Engineer will cooperate in extending the effectiveness of the profession by interchanging information and experience with other engineers and students, and will endeavor to provide opportunity for the professional development and advancement of engineers under his/her supervision.
He/she will encourage his/her engineering employees' efforts to improve their education.
He/she will encourage engineering employees to attend and present papers at professional and technical society meetings.

72. Section 15 Cooperation
He/she will urge his/her engineering employees to become registered at the earliest possible date.
He/she will assign professional engineer duties of a nature to utilize his/her full training and experience, insofar as possible, and delegate lesser functions to sub-professionals or to technicians.
He/she will provide a prospective engineering employee with complete information on working conditions and his/her proposed status of employment, and after employment will keep him informed of any changes in them.

73. Section 15 Cooperation
The Engineer will cooperate in extending the effectiveness of the profession by interchanging information and experience with other engineers and students, and will endeavor to provide opportunity for the professional development and advancement of engineers under his/her supervision.
He/she will encourage his/her engineering employees' efforts to improve their education.
He/she will encourage engineering employees to attend and present papers at professional and technical society meetings.