Engineering Ethics
Q - Why Do You think this
Ethics Issue is a Concern?
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What are Meant by Ethical
People?
• Possible Responses to define an
ethical person:
1. One who has a set of values and lives by
them
2. One who has any set of values which are
shared by a group
3. One who lives by a set of values which
are universally accepted
1. One who has a set of values
and lives by them
• Q – what do we think of this?
1. One who has a set of values
and lives by them
• What if no one else agrees with you?
• Examples?
2. A shared set of Values
• What do we think of this?
2. A shared set of Values
• What if other groups have different
ideas?
• Examples?
2. A shared set of Values
• Some thoughts:
• Not everyone is a member of a group
(religion for example)
• How are the rules of the rest of the
community incorporated?
• Those that do not accept the rules may
feel they are being unfairly treated?
• Consider dictatorships…..
• Corrupt regimes, bribery?
3. One who lives by a set of
values which are universally
accepted
• What do we think of this?
3. One who lives by a set of
values which are universally
accepted
• How hard is it for everyone to agree with one
universal rule? (Kant)
• Are there potential conflicts (absolutism)?
• Ethical agreements or disagreements rely on
judgment, interpretation, experience, and
application of values to a given set of
circumstances
• One of the problems with ethics – there are
no “laws” because we do not know all sets of
circumstances
Q - Examples of Professions
without Ethics?
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Examples of Professions
without Ethics?
• Salesmen
• Politicians
• Lawyers
• MBAs
• NOTE – Lawyers actually
have to take an ethics class
in school and periodically
take ethics refreshers
Q - Examples of Professions
with Ethics?
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Examples of Professions
with Ethics?
• Doctors
• Scientists
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• The key is to have
engineers on this list,
not the other one!!
Where do ethics come from
and how do we determine
what is (and is not) ethical?
Let’s Do a little history Lesson
on Ethics and Philosophy
Some Definitions
• Laws - describe what will always
happen
• Theories – describe what we think
happens under a given set of conditions
– theories are testable and can be
replicated by others
• Hypothesis – describe what we think
happens, but we cannot verify it always
Why?
• Early philosophers in part tried to find
laws that explained behavior, just as
mathematicians found laws for other
things
• But mostly they created hypotheses!
Early thoughts…
• Up until say, 10,000 BC (or BCE), most
of the known world seems to have been
fairly tribal – small, related groups of
people fending off nature
• Q - What ethics would be respected
there?
Tribal “Ethics”
• Loyalty
• Service (doing your part correctly)
• Obedience to leader
• Not part of it: Greed, slacking, killing in the
tribe, non-conformity, damaging property of
tribe
• The risk – getting kicked out! Druids in Celtic
regimes imposed this penalty regularly
Civilizations we can trace..
• Early Civilizations with Laws by the
ruler:
– Egypt 4-5000 BC
– Babylon 3000 BC
– India 3000+ BC
– Druids 2000 BC
• Those believing in Atlantis will claim
theirs is older than 10,000 BC
As Civilizations grew….
• We get codes and laws written down:
– Decalogue (Hebrew 10 commandments)
– Code of Manus
– Hammurabi
• And prohibitions
– Cannibalism
– Incest
– Slavery
Civilization gave rise to Cities,
which meant…..
• Less clear who was responsible for any
given task, so ethics were designed to
help guide people on what was
expected, and laws existed to punish
those who did not perform their
responsibilities
• The outgrowth was “Conscience” which
goes directly to ethics
Q - But what are Ethics?
And Why?
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But what are Ethics?
And Why?
• Provide public with an idea of what they
can expect
• A series of principles to live by
• A theoretical study of behavior
With more free time, we
thought more….. “philosophy”
• And developed systems of ethics
• Philosopher outlined their idea of how
society should be….
• Why? They were unhappy with
something people were doing at the
time, or there was a time of crisis they
were trying to navigate through.
Philosophy
• Is the Study of consequences for
implementation of a set of behavioral
principles in the long term
• Ethics are the behavioral principles
Classical Ethics
• Platonism
• Doctrine of the Mean
• Hedonism
• Cynicism
• Stoicism
• Spinoza
• Kantian
• Christian
• Utilitarian
Platonism (from Plato)
• Evil is the result of lack of knowledge
• If you have knowledge, you can do no evil
• Therefore you should always study the nature
of life so you can gain knowledge, which
Plato says is similar to understanding
mathematics and requires a period of training
• Gifted people MUST pursue knowledge as
they are the future leaders
• If you can achieve knowledge you will live the
“good” life
Platonism
• Many people lack intellectual capacity for
knowledge (the “Stupid” or unenlightened)
• Therefore they are intrinsically bad and are
incapable of understanding the essence of
“good.” Ex they do not understand what
“Stealing” is so they cannot avoid doing
wrong
• The unenlightened therefore must follow the
directives of the Good so they will do “good”
as well.
• Plato’s book The Republic outlines his
ideas and concepts on the “ideal”
society.
Results of Platonism
• Goodness exists independently of of
mankind – waiting to be discovered by
those properly trained
• There is only one “good” life. All others
are “bad”
• Good life does not mean pleasure
• Absolutism results – “thou shalt not kill”
means you can never kill for any
reason, which some religions adopted
Plato believed that good moral
standards were superior to the
gods (in reviewing the Greek
pantheon, they were a pretty
violent lot so maybe he was
right), that right and wrong were
absolute and independent of
anyone’s opinion!
Q - So What do we think?
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So What do we think?
• Absolutes are not usually appropriate in
society (a problem)
• Moral and mathematical knowledge are
not the same kind of study (one is
testable, the other not)
• Is there really only one way to act or do
things?
Conclusions
• We reject many of the tenets of
Platonisms, but there are some ideas
that may be worth keeping.
Doctrine of the Mean
(Aristotle)
• Attempts to divine the true nature of
things by reason (deduction) and
speculation alone (no data)
• The “Good life” = happiness
• You must seek to understand what the
good life is (Platonism)
• You see Metaphysics, Platonism and
Stoicism in Aristotle’s views
Aristotle
• If the good life = happiness, the defining
happiness clarifies the good life
• Happiness is an activity of the soul in accord
with perfect virtue.
• Because it is an activity, you can’t be happy if
you are static – not doing something
• So happiness is engaging in activities in a
certain way, like eating, friendships, etc., but
how?
Nicomachean Ethics
• Written by Aristotle
• It is an analytical philosophy of
deduction
• While Happiness = activity of the soul,
too much food is bad, too little is also.
Therefore, the correct or “good” amount
of food is the mean – hence “doctrine of
the mean.”
Nicomachean Ethics
• The mean is not defined because there are
variations between people of “goodness” and
therefore goodness may be relative (a major
deviation from Platonism)
• Therefore, act in accordance with the mean
• Do not praise or blame anyone if they do not
understand what they are doing because
some do not have the intellect to understand
it even if they are doing it
• Intellectual arrogance permeates Aristotle as
well as Plato
Result
• There are many “good” lives
• Praise only those consciously aware
they are doing “good”
• Do not praise those who are living the
good life, but are do not understand
they are doing so because they do not
have the intelligence to understand the
concept.
What is Needed
• Self discipline
• Knowledge
Q - So What do we think?
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So What do we think?
• To achieve happiness, people must act
moderately Must
• received sound training in good habits
when we are young to learn
temperance, responsibility and self
discipline
• Immoderate is not defined….(oops)
Conclusions
• Therefore we can only accept parts of
this philosophy, but there are some
ideas that may be worth keeping.
Hedonism
• Interpreted as a philosophy created out
of the despair over what was happening
in Greece
Hedonism
• Doctrine is that pleasure = good, which
is interpreted to mean the pursuit of
anything that creates pleasure is good
• Philosophy of Epicurus, but Epicurus
was not Caligula. Epicurus had limited
means, lived like a beggar in rags and
ate garbage – he believed in living
frugally, not to excess as generally
believed
Epicurus Thoughts
• From too much pleasure = pain
• Ex – stomach ache from eating too much
food or too rich food
• So Avoid things that can cause:
– Pain
– Fatigue
– Illness
– Stress
– Feeling bad
So What Does
Epicurus Not Want?
• Lots of food
• Rich food
• Alcohol
• Sex
• Work
• Relationships
• In other words, just about everything!
In Truth, Epicurus’ Definition
of hedonism = Ascetic
Not what we now think as
hedonism!
Q - What Do We Think?
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What Do We Think?
• Pleasure is good but it is not the only
thing that motivates people – regardless
of whether it is money, power, etc.
• If someone pursues something too far,
they may reject everything but what is
being pursued, which is negative
• Does not apply to scientific issues
Conclusions
• Epicurus’ philosophy takes on a far
different meaning today than it did
originally, and the tenets that we now
have must generally be rejected
Cynicism
• Conciliatory (Diogenes)
• All the fruits of civilization are worthless
– they are all artificial pleasures of the
senses (The Matrix)
• The world is basically evil, to live
properly you must withdraw from it
• Individual is important
Cynicism
• Early cynics lived ascetic lives, often
miserable without contact with others
• NOTE Cynic comes from the Greek
word Kunos (dog-like)
• Diogenes lived in a tub, ate garbage,
never bathed – YUCK!
• Anatole France’s Thais
Results
• Reject all other people (antisocial)
• Self centered
• Reject all external goods
• Incorporated in pietistic Christianity
(Godly = good)
Q - So What Do We Think?
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So What Do We Think?
• Depressing
• No value on anything or anyone
• Antisocial
Conclusions
• We reject most of the tenets of
Cynicism…
Stoicism
• Most influential ethical doctrine before
Christianity
• Zeno, 300 BC
• Philosophy consists of advice to people
in a crumbling world – learn to be
indifferent to external influences and
they will not affect you
• Good and evil depend on ones’ self
Tenets
• Indifference
• Predestination
• Hidden, Divine hand
• Virtuous behavior occurs when one
understands that all – is a part of a divine plan
that one is powerless to alter, so accept it
• Free yourself from desires
• Personal responsibility for good & evil
Results
• Indifference
• Withdrawal
Q - So What To We Think?
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So What To We Think?
• Conflict between predestination and
freedom of the will
• Indifference only works with negative
circumstances
• Depressing…
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Conclusions
• We reject most of the tenets of
Stoicism…
Spinoza
• 17th century – was Jewish but kicked
out of the community for heretical
beliefs.
• Hid out with the Christian movements of
the time and wrote On the Improvement
of the Understanding
Results
• Rigid determinism – all things come to
pass
• Metaphysical concepts of Descartes –
no one acts by chance alone
• Good vs bad is relative
• Some things are not inherently
worthwhile
Q - So What do We Think?
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So What do We Think?
• Does not resolve conflict between free
will and determinism
• We still don’t really know how to figure
out good and bad….
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Conclusions
• Happiness occurs when you understand
that there are limits to human powers
• Very complex set of circumstances
Kantian Ethics
• Immanuel Kant – Theory of Ethics
• Moral law requires people to be
rewarded proportionately to their virtue
• Since virtue does not mean happiness
in this life, you will receive your reward
in the afterlife (reminiscent of the
Druids)
Kantian Results
• Includes metaphysics
• The essence of morality is found in the
motive for which the act is done
– Acts from duty = moral
– Act from inclinations are not moral
• Moral action requires suppression of
inclinations
• Hence you must have a duty to perform
an act for it to be ethical behavior
Kantian Results
• Every action is judged in light of how it would
appear in an universal code of behavior
• Categorical Imperative – act only when action
should become a universal law (ties to later
concept of Universalism)
• Treat everyone with respect!!!
• Hypothetical Imperatives - action to achieve
something you desire – in a way, hedonism is
bad
Conclusions
• Morality depends on behavior, not some
form of undefined “duty”
• Morality is not a matter of taste or
preference, but is an objective measure
• Mistakes are not morals violations
• Kantian ethics is the most consistent
ethical system of the old ones
Q - What Do We Think?
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What Do We Think?
• No behavior may be universal (again
the “do not kill” argument)
• Consequences of actions are
introduced into ethics – but can they be
controlled? The real issue equates
ethics with motives not behavior
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Utilitarianism (18th Century)
• John Stuart Mill
• Jeremy Bentham
• Francis Hutcheson
Concept
• An action is ethical and right if it
produces the greatest number of happy
people – the “principle of utility”
• Hence results are what counts
• Belief that intellect and education made
the man
• Principles used for democratic
governments
Results
• All actions can be determined if they are
right or wrong when all of the benefits
and problems have been defined and
evaluated.
Q - What do we Think?
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What do we Think?
• “Right” may not be “good” because it
makes the most happy people – we can
all think of results that are not – a major
reason for the US Courts system is to
protect the few against actions of the
many
• You cannot know all impacts ahead of
time for all actions
Conclusions
• There are tenets here we can use as
engineers, but maybe not all of them
Class 3 - Modern Ethics
• Classical systems focus on two issues:
– What is the good life? and
– How should people behave?
• The result is to indicate how people
ought to act.
Modern Ethics
• More emphasis on moral theory instead
of good, bad, right and wrong
• Philosophy does not commit to any
specific advice for living
Major Work…
• Principia Ethica – G.E. Moore, 1903
• Classical systems are attempts to
deduce moral precepts for the
theological, metaphysical or scientific
premise, and as a result the results are
false since you cannot argue from one
logic type (science) to another
(descriptive judgment)
Modern Theories
• Moral Realism
– Subjectivistic
– Objectivistic
• Natural, Non-Natural
• Motivist
• Deontological
Moral Realism
• Primarily focused on the analysis of language
• Subjectivism – a statement is neither true or
false – its subjective (like you should never
lie) and indicate something about the
psychology of the person who utters them
(Hobbs & Kant)
• Objectivism - 2+2=4 (Platonism and
Utilitarianism are examples)
Naturalism, Non Naturalism &
Emotivism
• Naturalistic Theory – moral judgments are
both true and false, and can be reduced to
concepts of a natural science (typ.
psychology) (Hobbs, Utilitarianism)
• Non-Naturalistic is not Naturalistic (obviously)
(Platonism, Christianity)
• Emotivist – moral judgments are neither true
or false, but are expressed emotions – cannot
be verified by scientific processes.
Motivist, Consequence &
Deontological Theories
• Motivist – rightness or wrongness
depends on the motive from the act
(Kant)
• Consequence – rightness or wrongness
depends on the result of the action
(Utilitarianism, hedonism)
• Deontological – rightness or wrongness
depends on what kind of act it was
So What do we Think?
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So What do we Think?
• Subjectivism provides descriptions and
prescriptions, which are useful, but there is no
real dispute – so was the holocaust just a
different, but acceptable opinion? We would
reject this!
• Good and bad depend on feelings…
• Objectivism contends there is no dispute about
morals, but there is a sense of duty. But how
do we prove right or wrong?
Theory of Knowledge
• Descates (1640) – Meditations of First
Philosophy
• Skepticism – how do we know reality vs a
dream?
• Because so much of the old knowledge is
wrong, if there is any reason for doubt, or if
we cannot test it, the entire category or basis
should be treated as unreliable, esp the
senses which are undependable
Sources of Knowledge
• Socrates – we already know it, we just
need to realize it (Wiccans believe this
somewhat)
• Plato – soul knows it, but we need to
relearn it via senses of intelligence
(ideas)
Descartes’ Conclusions
• He looked at many areas of knowledge,
including the existence of a deity.
• What did he find?
Allegory of the cave…
*handout*
Decartes’ Conclusions
• To escape the cave, one needs to go
through a process to learn:
– Reason – realize lack of information
– Arithmetic – train for the abstract
– Geometry – universals
– Astronomy – understand abstract forms
– Harmonics – Abstract thoughts
– Dialectic – liberation from the shadows
Therefore Decartes believed
that we can find absolute
certain knowledge through
this process
So What do we Think?
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So What do we Think?
• In summary, it would appear that ALL of
the ethical through processes proffered
up have benefits and limitations – in
some cases very significant limitations,
that make all the tenets of any one
system insufficient to meet out needs
• So…
Let’s Think of Goals of an
Ethical System
• Obey Laws of the land
• Follow customs and ideals
• Follow good examples
• Strive for the welfare of society
• Follow reason and logic
• Listen to conscience
• Try for happiness in all this
So Which of these Ethical
systems are useful to
Engineers despite potential
problems?
What Do We Need?
• Objective and measurable standards of
activity
• Consistency in those standards
Assumptions
• Man & Universe exist and will continue to do so
• Do not sacrifice the present completely for the future
• We all have a purpose we must fulfill
• One purpose is to improve all of mankind
• No man can no all
• Life, property & freedom are inalienable rights (from
the Druids)
• Seek to use he least amount of material, energy, etc
to fulfill the purpose
• Most problems must be solve in the framework of the
existing social order
Suggestions…
• Utilitarianism – we can measure the
benefits and impacts, or predict many of
them
• Universal Law (Kant) – should everyone
act in this manner?
• Tie to Canons of Engineering p 62-70.
• Let’s look at and do some examples…
Coming to Solutions
• List all assumptions
• List alternatives (at least 3 is preferable and
“do nothing” may be one)
• Select at least one alternative for full analysis
(it does not need to be the one you would
choose)
• One system alone may not work, so do 2 an
see if they come up with the same answer -
try the Universalist solution first, the compare
with Utilitarian theory
• Note applicable canons
Common mistakes
• Assumptions are not absolute (should not
contain may, should, it, etc)
• Assumptions are inconsistent with each other
• Universal Laws need to be applied as such
• Confusion about assumptions, predictions etc
during analysis
• Omission of important assumptions or facts
• Conclusion inconsistent with analysis
Engineers in Society
• Indispensable human need
• Must exercise discretion & judgment
which is why people should have a
standard of conduct to rely on
• Understand how you actions will impact
society.
Engineering Ethic Questions
• Do engineers overemphasize
technological function?
• Do humans over-emphasize material
things while ignoring other dimensions
of human existence?
• Are engineers merely hired hands for
corporate interests or do they have an
obligations to serve the public? How do
engineers regard service to the public?
Thoughts…
• Engineers do harness technology to
achieve their goals and those of the
client but how is the sustainability of
resources considered?
• Engineers have an obligation to protect
the health, safety and welfare of the
public (codified)
Ethics and Skills
• Engineers will be involved in arbitration
of conflicts (contractors, owners, other
engineers) so a methodology for
fairness is needed (basis of ethics?)
• Engineers will evaluate alternatives and
make recommendations of one or ore
preferred methods to address a
problem. Again fairness is required….
Ethics and Skills
• Engineers may be asked to design
things (weapons?) that are do not
always protect the public health that
must be rationalized
• There are often conflicts between
regulatory agencies, owners and use of
resources of environmental impacts that
must be resolved fairly to all parties.
• Q - So must engineers always do what
the client wants?
Why teach Ethics to
Engineers?
• Problems occur
• Individuals do not have infinite
knowledge so no one has all answers
• Every circumstance cannot be known
• Judgment is the province of much of
what engineers do ….. We must
balance the needs of society with the
desires of other parties that may conflict
with society
Engineering Functions
• Analysis
• Design
• Estimating
• Testing & Observation
• Training
• Operations & Maintenance
• Education
• Management
Let’s Look at How this is
Implemented in Florida…
(note FL is very similar to
other states)
Goals of Licensure in FL
• Review of Rules Affecting Licensing of
professional Engineers
• Understanding of rules affecting
engineering selection with public
agencies in Florida
• Understanding the rules on ethics and
public officials in Florida
Rules Applying to the
Engineering Profession in
Florida
• Chapter 471 – Engineering
• Chapter 61G-15
• Chapter 287.055 - CCNA
• Chapter 11.045, 106, 112, 20, 121, 189,
343, and 348 (Ethics & elected officials)
• Section 62-600 F.A.C.
Chapter 471 F.S. -
Engineering
• Intent: Protect the health and
welfare of the citizens of the State
• Regulates the engineering
profession with regard to:
– Qualifications
– Licensure
– Disciplinary matters
What is “Engineering?”
• “Any service or creative work that requires
engineering education, training and and
experience in the application of mathematical,
physical and engineering sciences in the
performance of consultation, investigation,
evaluation, planning, design of systems or
works, land use planning, supervision of
construction to determine compliance with
engineering drawings and specifications and
teaching engineering principals”
What is “Engineering?” (cont)
• Includes: “public and private sector work, in
connection with any utilities, structures,
machines, buildings, equipment, processes,
work systems, induction or consumer
products or equipment or a thermal,
pneumatic, hydraulic, electrical or mechanical
nature, insofar as they involve safeguarding
the public health, life or property…(note
welfare is missing)…and includes other
professional services necessary to complete
engineering services..”
Q - So what’s missing?
Roads? Bridges?
Pipelines? Permitting Studies?
Drainage Systems?
Treatment Facilities?
Back-up Power Generators?
Planning of Utility Systems?
Oversight of Construction of the
above?
What else?
Who Is Covered under this
Statute?
• “duly registered engineers,” who are the
only persons permitted to use the title
“registered” or “professional” engineer,
or any titles, designations, or
abbreviations that would tend to indicate
that a person is a registered
professional engineer (471.003)
The Privilege Permits
• People who are covered to:
– advertise that they provide engineering services
and
– use letterhead & cards using engineering
designations (which imply regulation under CH.
471 FS)
• In other words, if you use the designations,
the public may infer that you meet the
requirements for licensure and you are
competent to perform the work.
Q - Would these be Proper
References for People Not Covered
by the Statute?
• “PE” ( for “Productivity Expert” or
undefined) after a name
• Business cards advertising someone is
an “engineer”
• A title in a non-engineering company
that might include the term “engineer” if
it could be construed to indicate
someone had credentials
But there are people not
Required to Register under
Ch. 471 F.S.:
• Those making improvements to their own
property unless the practice involves:
– Public utilities
– Public health
– Public Safety
– Welfare or safety of employees
– In other words…. if you are the only one who will
ever go there, do whatever, but if not…
People Not Required to Register
under Ch. 471 F.S. (cont):
• State or municipal employees working on
projects valued at less than $10,000
• Employees of utilities regulated by the PSC,
Federal Energy Commission or FCC
• Contractor & their foremen doing work signed
and sealed by a PE
• Surveyors who may do incidental engineering
to complete a job
People Not Required to Register
under Ch. 471 F.S. (cont):
• Employees working under the supervision a
registered professional engineer in
corporations or municipal or site
governmental agencies
• Contractors licensed according to Ch 489 FS
doing design-build projects
• Full time employees of corporations who’s
design practice is limited to design or
fabrication or servicing of a product.
People Not Required to
Register under Ch. 471 FS:
• Electrical, Plumbing, AC or Mechanical
Contractors who’s practice includes design
and fabrication of such systems installed by
virtue of a license issued by CH 489 or CH
553 FS which has a system:
– value < $50,000
– < 250 fixture units
– < 15 ton AC system or serves under 100 people
And…
• Architects, or persons subordinate to an
architect, who may do incidental
engineering to complete a project
• The reverse is true also with regard to
engineers who do incidental
architectural work….
Q - So does that mean…
• Architects can do bridges?
• Design-build contractors do not need
registered engineers on large water
treatment plants?
• Public agencies do not need registered
engineers to do capital construction?
Who Oversees the day-to-day
Regulatory Activity?
• By Statute, the Florida Engineers
Management Corporation
• FEMC issues certificates via Dept of
Business and Professional Regulation
• Secretary of DBPR is the agency that
tracks the paperwork
• The Board of Professional Engineers is
like the Board of Directors
Board of Professional
• 11 members
Engineers
• Seven must be registered PEs
– 3 Civil Engineers
– 1 Electrical Engineer
– 1 Mechanical Engineer
– 1 an Engineering Educator
– 1 Industrial Engineer
– 1 Structural Engineer
– 1 Other engineer, but not Civil
• Two must be lay people who are not and can
never have been engineers or involved in
professions closely related to engineering
• Appointed by the Governor for 4 year terms
Board of Professional
Engineers (cont)
• Board Functions:
– Adopt Rules
– Approve Licensing of Applicants
– Set Fees $125 bi-yearly to renew
• $150 for new licenses by endorsement
• $125 for new licenses by test
• $25 for temporary individual licenses
($50 firms)
Florida Engineers
Management Corporation
• Created by CH 471.038 F.S.
• Non-profit corporation
• Established to provide the following
services to the Board of Professional
Engineers by a contract within the
provisions of CH 455 F.S.:
– Investigative
– Administrative
– Prosecutorial
Florida Engineers
Management Corporation
• Deemed to be management corporation
acting as an instrument of the State and not
an agency of the State
• 7 member Board of Directors appointed by
the Board of Professional Engineers (but not
the same group as the 11 member Board of
Professional Engineers):
– 5 registered engineers
– 2 lay-people
Florida Engineers
Management Corporation (cont)
• Enters into a written contract with DBPR
which includes:
– By-laws
– Submission of annual budget
– Certification of compliance with Florida Statutes
and goals and purposes of the Board
– Employs by DBPR of a contract administrator to
supervise the functions of the FEMC
Florida Engineers
Management Corporation (cont)
• Maintains all records of the Board
of Professional Engineers
• Develops regulations
DBPR
• Oversees FEMC contract
• Maintains independent investigatory
powers
• Issues emergency suspension or
restriction orders and prosecutes all
unlicensed activities
General Licensure
Requirements
• Graduation from an approved engineering
curriculum of 4 years or more
• 4 years of active engineering experience
indicating the ability to be in responsible
charge or engineering a project
• Of good moral character
• Pass fundamentals (FE) and professional
practice (PE) tests
Which generally means….
• A State university system or ABET accredited
school (out-of-state)
• Working as an engineer for 4+ years
(although typically a Master’s degree counts
as one of these years for research)
• Good references!!!
• No convictions or unprofessional activities
• No prior violations of Ch 471
• Possible Board interview (rare)
PE and EI Tests
• 70% or better on both parts
• 6/10 or better on all 8 questions on the
PE test
• Retake the test 5 times, then required to
have 12 credit hours of college classes
Foreign Degrees
• Reviewed degree by degree
• Must include 16 hrs higher math, 16 hrs
basic science, 16 hours humanities and
social science and 48 hours of
engineering design
• Degree does not mean approval by
Board
Licensure is a privilege,
not a right!!!
The Board does not have to grant
licensure even if you pass the tests!
For Endorsement Licensure
• Meet the General Licensure Requirements
(including passing the FE and PE tests in
another state with similar requirements and
meeting the experience requirements)
• Hold a license in another State
• Submit 5 references
• Cannot be under investigation by other
state(s)
• NOTE: 48 states now permit endorsement or
comity licensure (CA and NY are exceptions,
and Alaska has a snow load test)
Waiver of the FE:
• Has held a PE license in another state for 15
years, with 20 continuous years of
professional level experience
• Has received a PhD at a university with an
ABET accredited undergraduate program
• Has a PhD and has taught undergraduates
for at least 3 years after receiving the PhD
Waiving the PE Exam
• Has held a PE license in another state
for 25 years, with 30 continuous years
of professional level experience
So let’s look at a couple of applicants
wanting to take the PE test:
• Jim Bob had a 2.0 GPA in Civil Engineering
from UF and spent the majority of his time in
school partying, working on his car, watching
sports and chasing women. He passed the
FE with a grade of 70. He’s worked for ABC
engineering for the last 4 years and his co-
workers say he does ok. He has never been
arrested or charged with unprofessional
activity. What is the probability he gets the
opportunity to take the PE test….
So let’s look at a couple of applicants
wanting to take the PE test:
• Dan had a 3.9 GPA from UCF and spent the
majority of his time in school studying so he
could go to grad school, which he did (also at
UCF in engineering). He passed the FE with
a grade of 98. He’s worked for ABC
engineering for the last 4 years and his co-
workers say he does great, except for the
unfortunate drug possession conviction on
south beach last year. Probability he gets an
opportunity to take the PE test….
So let’s look at a couple of
other applicants seeking
licensure….
• Amy graduated in her own state from X.
Tech in 1978, with a 4.0. However at
that time, XT was not accredited.
However, she passed the FE and PE
tests with no problem and has been
registered in her home state after
graduation since 1985. Probability she
gets a PE license…
So let’s look at a couple of
other applicants seeking
licensure….
• Monroe has been working as an
engineer for the last 45 years and finally
decided to close his practice and move
to sunny S. Florida. Monroe never went
to college but he learned a lot from old
friends at X&Y, Inc., an international
consulting firm and was able to secure a
PE license back in 1974 from his home
state. Probability he gets a license …
License Renewals
• Automatic after receiving fee for
renewal assuming there are no
disciplinary proceedings pending….
• Renewals occur every two years
• Must demonstrate continuing
professional competency with 4 hrs of
professional development each year.
• 4 hrs every two years is for Chapter 471
Florida Statutes & Rules Applying to the
Engineering Profession
Professional Development
Hours (PDH) Requirement
• Amendments to 471.017 F.S. (2000
Legislature)
• Requires 8 hrs of professional development
hours for each renewal period (2 years)
• 4 hours must be on Ch. 471 F.S. and rules
adopted pursuant to Ch 471 F.S. or related
thereto (this course meets this requirement)
• Repeat every 2 years
• NO CARRYOVER !!
PDHs (from 61G-15)
• 1 CEU = 10 PDH
• Published papers, articles or books = 10 PDHs
• Patents = 10 PDHs
• College course = 15 PDHs/credit hour
• Sitting through a Board of Professional Engineers
meeting satisfies the 4 hour requirement for Ch.
471 F.S.
• Approved seminars, certain professional
activities (not to exceed 2 PDHs)
• Some video classes as well, but requires an
examination be passed (70%)
• Active in Professional organization (max 2 PDHs)
Going to a Board Meeting
• Must sign in at the beginning
• Continuous attendance throughout the
meeting
• Must stay for the entire meeting
regardless how long it is
• But does not count if you have other
reasons to be there
Non-Qualifying
• Full-time faculty teaching classes
• Equipment shows
• Attendance at the same place two or more
times
• Enrollment without attendance
• Tours of buildings, projects, etc except under
specific conditions
• Employment as an engineer
• Personal, estate or financial planning training
• Self taught course
• Self improvement classes
Demonstration of PDHs
• Title of activity and description
• Date, location
• PDH hours
• Area of practice
• Records required to be kept for four years
• Must meet these objectives for renewal
Approved Providers
• Accredited higher education institutions
(universities)
• State or National professional organization
that promotes engineering
• Core Curriculum providers approved by the
American Building Commission under Section
553.841 FS
• Continuing education providers approved by
the Board
• But: Instructors must not be under
disciplinary proceedings!!
What if you don’t renew?
• Well, you reapply and need 12 PDH
hours for every year the license
lapsed…..
Temporary Licenses
• Florida grants them for a period not to
exceed 12 months.
• Applicants must meet general licensure
requirements or endorsement
requirements except no references
required
• Limited to one project only
• Applicants must pay the fee
The caveat to all Licensure…
• CH 471.015 (4) states that the Board may not
issue any person a license if that person has
an existing license that is under investigation
in another state for an act that would
constitute a violation under the Florida rules,
until that proceeding is complete and any
disciplinary actions are taken. So even if the
complaint is unjustified, they cannot issue you
a license!
Corporations
• If you practice engineering as a
corporation, partnership or fictitious
name, a certificate of authorization is
required - Ch. 471.023 – Business
license
So… about Corporations
and Partnerships?
• Certificates of Authorization are required for
all corporations, partnerships, etc. offering
services to the general public.
• Certificates of Authorization are required for
all persons offering services to the general
public if they use a fictitious name
• Renewal required every 2 years
• But… documents must be signed, sealed and
dated by the engineer who prepared of
approved them
Corporations and Partnerships
• Practicing through a corporation does not
relieve you of personal liability for negligence,
misconduct or wrongful acts.
• All partners are jointly and severally liable in
partnerships for negligence, misconduct or
wrongful acts.
• Officers may be liable for negligence,
misconduct or wrongful acts committed by
them or those under their supervision
• Liability may be limited to full value of the
property
Building Code Inspections
• PE can perform building code inspection w/o
certification by Building Code Administrator’s
Board
• Note if you submit to a Bldg Dept, you need
to take the Building class!!
• Conditions
– Must be requested by local or state agency
– Can’t review own, or own firm’s plans
– Complaints processed by Board of Professional
Engineers, subject to Ch 471 F.S.
Chapter 61G-15
Class 6 - Difference in Laws
• Ch. 471 F.S. is licensing law
• Chapter 61G-15 is the implementation
rule for engineering profession; 61G-15
is much more extensive – 53 pages
61G 15-18
• Requires Board members to attend the
meetings or be removed
• Sets definitions for the rule
• Model rules for Board operation
Definitions
• Public Record - Any document filed with
federal, state, local or other governmental
entity except in anticipation of litigation
• Engineering Documents – designs, plans,
specifications, drawings, prints, reports or
similar instruments in connection with
engineering work as issued by a PE or under
a PE’s supervision
Prime Professional
• Florida PE who is engaged to plan,
design, coordinate, permit, or observe
construction on a project
• Responsible to retain and coordinate
services of professionals needed to
complete project
• May be Engineer of Record
Engineer of Record
• Florida PE in responsible charge for signing,
dating, sealing and issuing engineering
documents for any service or creative work
• Do only work when fully competent – use
Delegated Engineers for the other parts
• Communication with Delegated Engineer
must be in writing
• Do not S/D/S any work that a Delegated
Engineer does
Delegated Engineer
• Florida PE who undertakes specialty
work (structures, geo-technical, etc) on
a portion of the project, as delegated by
the Engineer of Record
For Structures
• Engineer of Record likely to be
structural engineer, but may be
delegated engineer
• Responsible for preparation of
documents and framing concept for
project
• Limited to structural aspects!!
Engineer of Record
• Expectations of Delegated Engineer:
– Work is done by a PE
– Conforms with written instructions and
standards of practice
– Conforms with the intent of Engineer of
Record
• Engineer of Record must confirm these
criteria are met
Delegated Engineer
Responsibilities
• Comply with Engineer of Record’s written
instructions and submit same for review
• Include project identification and criteria used
as basis of design, including calculations,
drawings and design assumptions
• Contact Engineer of Record to advise of any
conflicts with written instruction and resolution
of same
Successor Engineer
• Adopts or picks up work of another engineer
• Must be able to show he has recreated the work
to verify its adequacy before S/D/S including:
– Calculations
– Site visits
– Project research
• Must notify original PE, successor or assign by
certified letter on intent to use or reuse work
• Plans do not have to be re-drawn!!
Responsible Charge
• Degree of control required to maintain
control over documents.
• Derived via authority over other
participants
• Makes engineering decisions
• Judges work of others
Responsible Charge -
Making Engineering Decisions:
• Selection of alternatives to be investigated
• Selection of design codes, standards and
methods
• Selection of Materials
• Selection of methods/techniques of testing
materials or completed works
• Control over Operating and maintenance
procedures
Responsible Charge
• Assumed to be PE who S/D/S documents
• Must be able to answer questions relevant to
engineering decisions in sufficient detail to
leave little doubt of involvement in the project
(61G-15-18.011)
• If not, DO NOT S/D/S documents!!!
• Do not S/D/S mylar, vellum, linen, sepia –
anything that can be modified after the fact
– If you do you must send a S/S/D statement
acknowledging you did and advising you are not
responsible for any changes made after submittal.
Government Employees
• Government PE must act under Responsible
Charge rule whenever they do engineering
work, as defined in Ch. 471.005 (6) F.S.
• If equivalent to those of consultants,
documents require the same S/D/S as
consulting reports, under responsible charge
of a PE
• “Municipal, “City or “County Engineers” must
be PEs (61G15-26.001 (2))
Government Employees
• Non-Professional Govt. employees may
NOT over-ride, reject, modify, or
approve engineering documents
prepared by a PE unless such actions
are concurred by the PE in responsible
charge of the project or employee and
the PE takes full responsibility for such
actions. WOW!!!!
Responsible Charge is Not..
• Control of the Company
• Mean a position in a corporate hierarchy
• Refer to financial liability
Seals
As of January 1, 2002!!!
• All seals must be 1-7/8 inches in
diameter or larger Impression only, no
stamps (new digital seals are also ok)
• Must say Professional Engineer, most
older seals say registered engineer –
most older seals do not
What is Required for Sealing?
• Impression
seal
• Signature
• Date
What Must be Sealed
• Final Drawings
• Final specs
• Final plans
• Final reports
• Final documents filed for public record
Signing, Dating and Sealing
• Documents must be signed, sealed and
dated (S/D/S) – Seal must emboss
• Sign/Seal/Date means document is
authentic
• Failure to do any may be grounds for
discipline
• If you are unsure, DO NOT SIGN OR
SEAL!!!
Signing/Dating/Sealing
• S/D/S only those documents that
conform to acceptable standards and
codes, and safeguard the life, health,
property and welfare of the public
• Drafts or preliminary plans should NOT
be S/D/S
• Stamp other documents “Draft,” “Not for
Construction,” and/or “For Review Only”
• Permit copies should be noted as such
Signing/Dating/Sealing
• S/D/S required for permit, construction and
bidding purposes
• S/D/S required for public records
• Documents must provide project information
and limitations
• S/D/S by person in Responsible Charge only
(by section of plans or report)
• Documents must include title block with
name, address, license number of Engineer
or firm (or government agency)
• Cover sheets must be S/D/S by those in
Responsible Charge
Signing/Dating/Sealing
• Procedures for filing electronic
signatures and sealing in 61G15-23.003
• Website info at:
ftp://ftp.isi.edu/in-notes/rfc1738.txt
What Must NOT be sealed
• Work done by others not under your direct
supervision
• Work done under your supervision but not
reviewed by you
• Work done that is outside your profession or
specialty
• Anything you don’t think is FINAL!!!!
• Anything you have not done due diligence on
Q – In doing your due
diligence….
• CH 471.027 F.S. gives engineers statutory
permission to go on to, over and upon lands
of others when necessary, to make
engineering surveys and in doing so to carry
with them their agents and employees
necessary for that purpose? The Statutes
strictly note that entry for this purpose is not
trespass and not liable for arrest or civil
action – but don’t damage the property!!
So let’s ask a series of
Questions….
Q – Can you knowingly:
• Practice engineering without
registration?
• Use the title “registered” or “professional
engineer” if you are not one?
• Use the suffix P.E. after your name if
unregistered?
• Employ unlicensed people to practice
engineering without a supervising PE?
Q – Can you knowingly (cont):
• Give false or forged evidence to the
Board of a member thereof?
• Conceal information relative to
violations of CH 471?
• Seal drawings the day after your
registration expired?
All of these practices are
specifically prohibited by the
statutes!!
(CH 471.031 FS, and the key is
the word “knowingly”)
All of these items constitute
criminal misdemeanor and
are punishable by Statute:
775.082
775.083
How About another series
of Questions about
actions…..
How About….
• Using a seal that says “registered” vs.
“professional” engineer?
• Not conveying information of violations
to the Board or FEMC?
• Advertising services fraudulently?
• Violating CH 455 FS
• Using your license for services even if it
is revoked or suspended?
And How About….
• Sealing work you did not do?
• Sealing work not done under your
responsible supervision, direction or
control?
• Having your license revoked in another
state?
• Filing a false report required by law?
• Pleading guilty to a crime involving the
practice of engineering
The answer to all of these
questions is…..
NO!!!
These actions constitute
grounds for disciplinary action
by the Board of Professional
Engineers
And there are many options that
can be used….
Disciplinary Actions
• Denial of License Application
• Suspension of License
• Revocation of License
• Reprimand
• Probation for a period of time
• Restriction of practice area
• Fines up to $1000 for each count
($5000 for building code violations)
Then There is…
• Negligence
• Incompetence
• Misconduct
What about….
• Negligence?
• Negligence is defined as the failure to
exercise due care in the performance of
the work…..OR
• Something which an ordinarily prudent
person would foresee as a risk of harm
to others if not corrected
Negligence can constitute
grounds for disciplinary
action by the Board of
Professional Engineers, but
not criminal prosecution
What about…
• Incompetence?
• Incompetence is defined as a
lack of ability to perform a
function OR
• A lack of qualification to perform
a function
Incompetence can
constitute grounds for
disciplinary action by the
Board of Professional
Engineers, but not criminal
prosecution
What about …
• Misconduct?
• Defined as a transgression of
some established rule of action
where no discretion is left
• What this is is any violation of
CH 471, or any other statutes,
rule, ordinance, etc….
Misconduct can constitute
grounds for disciplinary
action by the Board of
Professional Engineers,
including criminal
prosecution
Moral:
• Exercise due care when designing,
inspecting or preparing engineering
documents and providing counsel
• Do not practice outside the areas of
your true expertise even if you are
asked to (or learn more)
• Follow the rules!!
So Let’s Look at a Series of
Examples…..
(Note, unless otherwise noted,
these are real cases…)
Example 1
• Robert H has a PE license in Florida
and Montana. He is having his license
acted upon by the licensing agency in
the State of Montana. What potential
issues does Robert have with his
Florida License? What could happen?
What Did Happen
• Fined him $1000, payable within 30
days, suspended license until fine is
paid if beyond 30 days, for having
action on license in another state
Example 2
• John P is a civil engineer by training.
Another engineer brought to the Board’s
attention that John had signed, dated
and sealed plans for an electrical
system at a facility. What potential
issues does John have with his Florida
License? What could happen?
What Did Happen
• Fined $3000 – violation of prohibition against
negligence, incompetence and misconduct
• Required to take course on professionalism
and ethics
• Could not practice electrical engineering until
he passed electrical engineering exam
• Plans had to be reviewed by a registered
electrical engineer chosen from two or more
names John submitted to the Board
Example 3
• Bill M is a civil engineer by training and
mostly does subdivision work. He filed
several documents to be recorded in the
Public Records. The Clerk of Courts
notified the Board that Bill had not
properly signed, sealed and dated the
documents… What potential issues
does Bill have with his Florida License?
What could happen?
What Did Happen
• Fined him $1000, payable within 30
days, suspended license until fine is
paid if beyond 30 days for failure to
properly sign, seal and date public
records
• Required to take course on
professionalism and ethics
Example 4
• Collins is a civil engineer by training.
His client asked him to prepare a
treatment facility “just like the guy down
the road.” Collins obtained the plans,
copied them and signed, sealed and
dated them. What potential issues does
Collins have with his Florida License?
What could happen?
What Did Happen
• License placed on probation for a year.
• Terms of probation were determined
later upon appearance before the Board
by Collins at a later date (where he was
fined and had to take a course on
professionalism and ethics)
Example 5
• Richard has a degree in civil
engineering, and a license. His
company is XYZ Engineering under
which he and his partners offer
engineering services. Richard is the
only PE. What potential issues does
Richard have with his Florida License?
What could happen?
Resolution
• Fined $1000. The corporate
requirements indicate that where a
corporation offers engineering services,
the corporation must obtain a certificate
of authorization.
Now Perhaps some more
complicated Examples…
(based on truth, but may be
embellished…)
Example 6
• Joe is a professional engineer in Florida. He
designs a complicated pipeline system and
determines that lined ductile iron pipe is the
only appropriate material to use to protect the
health and welfare of the public. His
extensive analysis determines that PVC,
HDPE and pre-stressed concrete (PSC) are
not appropriate for the conditions. Joe’s boss
is a PE, but loves the guy who sells PSC pipe
and changes the spec to PSC to help him out.
What potential issues do Joe or his boss have
with their Florida Licenses? What could
happen?
Likely Result
• Joe:
– Joe must report the change to his
employer and the responsible public
authority, a difficult position for Joe
• Joe’s boss
– Fined (negligence, maybe misconduct)
– Required to take course on
professionalism and ethics
– Possible probation or license suspension
Example 7
• Pam and Ted work in the same firm and were
once really close, maybe even dated.
However, both now feel the other has used
them to enhance their own careers. Both
hold degrees in civil engineering, Ted in
environmental and Pam in structural. Pam
sees that Ted has signed, sealed and dated
some plans for a small treatment project that
include some structural column work for a
building. Pam files a complaint as a
registered engineer that Ted is working
outside his area of expertise. Are there likely
consequences to either party for this
incident?
Likely Result
• Ted:
– Pretty irritated, at having to defend himself,
but unless the structural work was a major
component of the project and was a
complicated exercise, likely nothing
(preferably he had someone under him
either do the work or check it.
• Pam
– Fined (false testimony)
– Required to take course on
professionalism and ethics
Example 8…
• Steve is the VP of a multi-state engineering
firm. He has BS in Civil engineering with 20
years experience (much of it in project
management and client relations). He is one
of two people with a Florida PE license in the
firm. The firm designs a major WWTP
expansion in Florida. His firm divides the
work into five areas in the regional office he
supervises: structural, electrical, process,
mechanical and architectural. The structural
design chief is not licensed, nor is the
electrical section chief. When the project is to
be bid and permitted, Steve signs all the
plans.
What Problems do you see…
•
•
•
•
•
•
What Problems do you
see…For starters….
• Steve is sealing work that is not within his
expertise (electrical for sure and likely
structural – incompetence, negligence)
• Steve is sealing work that is done by people
not under his direct supervision, although
they are under the umbrella of his control
• Do we really think Steve reviewed the plans?
(Misconduct)
• Unlicensed people did much of the work
(misconduct)
What if a major structural
component fails…. Then
what….
???????
Class So who needs 6 -
Civil/Env/Arch Engineering
Services?
•
•
•
•
So who needs Civil/Env/Arch
Engineering Services?
• State Governments
• Local Governments (Cities, Counties &
special districts/authorities)
• Utilities
• Schools
• Developers
Many of your clients will be
Governments if you are in the
private sector
How should services be
acquired?
•
•
•
•
•
Selection Criteria Stated
in FL Law
• Ability of Professional Personnel
• Past Performance
• Location
• Willingness to meet time and budget
requirements
• Recent/current/projected workloads
• Use of minorities
• Other published and reasonable criteria
Acquiring Services - Public
• CCNA applies to public agency solicitations
for engineering services or design-build
services
• Applied via total compensation to be earned
• Requires public announcement
• Requires firms be certified as competent prior
to submittal
• Requires administrative procedures be
created by the entity
• Requires selection based on
QUALFICATIONS!!
Selection
• Advertise
• Defendable/useful/published criteria
• Equitable distribution of work is an intent of
the law so if two firms are equally qualified,
the firm with the least work is the one who is
awarded the work
• Negotiation with highest ranked firm
• Move to second firm only if negotiations with
top ranked firm have ended (can’t go back)
Competitive Negotiation
• The entity negotiates a contract with the most
qualified firm for compensation that is fair,
competitive and reasonable. A detailed
analysis of the cost of the services is required
, considering the scope and complexity of the
work.
• For large projects, a Truth-in-Negotiation
certificate to indicate that wage rates and unit
costs are accurate is REQUIRED!!
Contingent Fees
• ARE PROHIBITED!!
• What are they? They are “finders’s fees” or
fees paid to persons who are not bona fide
employees of the firm for soliciting and/or
helping to secure work, said fee paid
contingent upon award of the contract.
• The term “fee” include gifts, commissions or
other considerations. Can be construed to be
gifts to elected officials or promises to help
campaigns if awarded a contract
• This happens and is a criminal action which
must be reported.
NSPE Ethics
• NSPE publishes and updates a Code of
Ethics for Engineers which covers many
areas
• Maintains a list of opinions about ethics
violations
• Maintains a list of cases brought against
engineers by NSPE, many of these are
incorporated into State and local
regulations
NSPE Ethics Fundamentals
• Safety, health and welfare of public is
paramount
• Provide service only in your area of
competence
• Be objective and truthful
• Avoid deceptive acts
• Act as faithful agent for client
• Always act honorably, responsibly, lawfully
and ethically to enhance the profession
Specific Issues
• Notify the client or other authority when
judgment is over-ruled
• Approve plans and specs when prepared by
you or under your supervision and in
conformity with applicable standards
• Sign and seal only those areas you are
competent to seal, have appropriate others
sign and seal the other parts
• Maintain client confidence
• Report violations of the Code and cooperate
with information during investigations
Specific Issues
• Express opinions based on the facts, in an
objective manner
• Avoid statements or criticisms paid for by
interested parties unless identifying the party
you are speaking for (just like lawyers)
• Disclose all potential conflicts of interest to
clients
• Do not accept compensation from more than
one party for the same work
• Provide no gifts or contribution that may be
reasonably construed as trying to influence
award of projects
Specific Issues
• No contingent fees
• Take responsibility for errors
• Do not alter or distort facts
• Advise clients when projects are less
than successful
• Maintain the public interest,first, not
your own
• Improve public perception of engineers
Specific Issues
• Review the plans of another engineer
only when the other engineer is advised
you are doing so
• Public sector engineers are entitled to
review work of other engineers
Homework
• Download the test from the Florida
Licensing Board. Answer and justify
your responses (40 multiple guess)