SAMS - Society of Accredited Marine Surveyors Certified Ethics and Professional Conduct Questions and Answers 1 — Questions and Answers
Question 1: A SAMS surveyor is hired for a pre-purchase survey. The seller's broker, who frequently recommends the surveyor for jobs, offers the surveyor a 'bonus' if the survey report is favorable and the sale is completed. What is the surveyor's most ethical course of action?
- Perform the survey and accept the bonus, as it is a common business practice.
- Disclose the bonus offer to the buyer and proceed with the survey.
- Politely decline the bonus but proceed with the survey to maintain the relationship with the broker.
- Immediately refuse the bonus, inform the client of the offer, and conduct the survey with complete objectivity. (Correct answer)
Correct answer: Immediately refuse the bonus, inform the client of the offer, and conduct the survey with complete objectivity.
Accepting any form of compensation contingent on the outcome of a survey or sale creates a severe conflict of interest. The SAMS Code of Ethics requires surveyors to maintain independence, integrity, and objectivity. The surveyor's primary duty is to the client. The only ethical action is to refuse the bonus, ensure the client is aware of the situation to maintain transparency, and then proceed with an unbiased and objective survey.
Question 2: A surveyor is commissioned to perform an insurance survey on a complex, foreign-built superyacht with systems (e.g., advanced hybrid propulsion) that are beyond their technical expertise. According to the SAMS Code of Ethics, what is the most appropriate action for the surveyor to take?
- Attempt the survey and use online resources to research the unfamiliar systems.
- Accept the assignment but note the areas of limited expertise as a disclaimer in the final report.
- Decline the assignment, citing a lack of the specific competence required to perform the survey professionally. (Correct answer)
- Accept the assignment and hire a specialist to inspect the complex systems, incorporating their findings into the final report without attribution.
Correct answer: Decline the assignment, citing a lack of the specific competence required to perform the survey professionally.
The SAMS Code of Ethics explicitly states that a surveyor shall "Accept only assignments that can be completed with competence and professionalism." Attempting a survey on a vessel with systems beyond one's expertise is unprofessional and unethical. While involving a specialist is a possibility, the primary and most ethical first step, if the core assignment is beyond one's competence, is to decline it. This upholds the integrity of the profession and protects the client.
Question 3: During a pre-purchase survey, a surveyor discovers a significant, well-hidden defect that the seller and broker were likely aware of but did not disclose. After delivering the confidential report to the buyer (the client), the surveyor is contacted by a different potential buyer for the same boat a month later. How should the surveyor respond?
- Share the previous survey report with the new potential buyer to save them time and money.
- Inform the new client about the specific defect found previously before accepting the new assignment.
- Advise the new client that a previous survey was conducted but that a new, independent survey must be performed, without revealing prior findings. (Correct answer)
- Refuse to survey the boat for a new client to avoid any conflicts.
Correct answer: Advise the new client that a previous survey was conducted but that a new, independent survey must be performed, without revealing prior findings.
A survey report is a confidential document belonging solely to the client who commissioned it. The surveyor has a strict ethical duty to "Respect the confidential nature of the marine surveying assignment." Sharing the report or its specific findings with another party is a breach of that confidentiality. The correct procedure is to inform the new prospective client that a new survey is required, treating it as a completely separate and confidential assignment.
Question 4: Which of the following advertising statements would be considered a violation of the SAMS Code of Ethics regarding professional conduct?
- "Certified SAMS-AMS®, specializing in pre-purchase surveys for recreational powerboats."
- "Voted #1 Marine Surveyor - Guaranteed to find every flaw or your money back!" (Correct answer)
- "Over 20 years of experience in marine surveying, following ABYC and USCG standards."
- "Offering thermal imaging and ultrasonic testing services for hull inspections."
Correct answer: "Voted #1 Marine Surveyor - Guaranteed to find every flaw or your money back!"
The SAMS Code of Ethics requires members to "Advertise only in a dignified manner avoiding misleading statements." The statement "Guaranteed to find every flaw" is an unrealistic and misleading claim that no surveyor can ethically make. A survey is a snapshot in time of accessible components. Such a guarantee creates false expectations and is unprofessional. The other options are factual statements about qualifications, experience, and services offered, which are acceptable.
Question 5: A surveyor is asked by a client to appraise a vessel at a value significantly higher than its fair market value to help the client secure a larger bank loan. What is the surveyor's ethical obligation?
- Agree to the client's request but add a disclaimer that the value is for financing purposes only.
- Appraise the vessel at a slightly inflated value as a compromise to help the client.
- Politely refuse the assignment, explaining that it would violate professional ethics.
- Perform the appraisal based on objective findings and professional judgment, regardless of the client's request. (Correct answer)
Correct answer: Perform the appraisal based on objective findings and professional judgment, regardless of the client's request.
A surveyor's core ethical duty is to maintain independence, integrity, and objectivity. The SAMS Code of Ethics requires a surveyor to "Endeavor to present facts and opinions without prejudice" and "Avoid suppressing, over-emphasizing or manipulating facts." Intentionally inflating a vessel's value is a fraudulent act. The only ethical choice is to conduct an objective appraisal based on the vessel's actual condition and fair market value. If the client insists on a fraudulent value, the surveyor must refuse the assignment.
Question 6: After completing a survey and submitting the report, a surveyor is offered a lucrative contract to perform the recommended repairs on the same vessel. According to the ethical standards of major marine surveying organizations, what should the surveyor do?
- Accept the repair work, as they are most familiar with the vessel's issues.
- Accept the work but provide the client with a significant discount on the repairs.
- Refuse to perform the repairs, as this would create a significant conflict of interest. (Correct answer)
- Disclose the conflict to the client and proceed with the repairs only with their written consent.
Correct answer: Refuse to perform the repairs, as this would create a significant conflict of interest.
Performing repairs on a vessel that one has surveyed is a classic and significant conflict of interest. It calls into question the objectivity of the initial survey findings, as a surveyor could potentially exaggerate defects to create more repair work. Major ethical codes for marine surveyors explicitly prohibit this practice to maintain the integrity and independence of the survey profession. The surveyor must decline the repair work.
SAMS - Society of Accredited Marine Surveyors Certified Ethics and Professional Conduct Questions and Answers 1
A SAMS surveyor is hired for a pre-purchase survey.
The seller's broker, who frequently recommends the surveyor for jobs, offers the surveyor a 'bonus' if the survey report is favorable and the sale is completed.
What is the surveyor's most ethical course of action?