1 welcome to the international right of way association’s course 103 ethics and the right of way...

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Welcome to the International Right of Way

Association’s

Course 103Ethics and the

Right of Way Profession

103-PT – Revision 2 - 05.22.06.INT

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IntroductionsWho we are…What we do…

Where we do it…

How long we’ve been doing it…

Our goals for the day...

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Objectives (1)

At the end of the day, you will be able to...

• Explain the rationale for the IRWA’sCode of Ethics

• Describe the interrelationship of the IRWA’s Code of Ethics, the Rules of ProfessionalConduct, and the Disciplinary Procedures

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Objectives (2)

at the end of the day, you will be able to...

• Discuss, in general terms, the IRWA’s Disciplinary Procedures

• Recognize inappropriate professional behavior and provide suggestions to resolve ethical conflicts

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Schedule

8:00 - 8:45 Introductions, Etc.

8:45 - 12:00 Professionalism, Ethics, and the Rules of Professional Conduct

1:00 - 4:00 Disciplinary Procedures

4:00 - 4:45 Post-Test

4:45 - 5:00 Summary

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Code of EthicsA code of rules and standards predicated

on truth, justice, and fair play

Rules of Professional Conduct (Ethical Rules)

Course 103

Disciplinary Procedures

Standards of Practice Course

104

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Professionalism

• What is the definition of a professional?

• What sets a profession apart from a non-profession?

• What makes a person a member of a profession?

• Why do people join professionalorganizations?

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Ethics (1)

• What are some examples of personal

ethics?

Are the values or moral principles governing a person or a group.

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Ethics (2)

• What are some examples of professional ethics?

• Why do ethics problems exist?

Are the values or moral principles governing a person or a group.

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Ethics (3)

Ethics translates into TRUST. IRWA’s Ethical Rules

• Enables us to police ourselves and to choose the “high ground”.

• Are different from other professional organizations as our members are multi-disciplined.

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General EthicalRules Comments

• General in nature – covers the Association’s disciplines. However, they specifically mention the Uniform Standards of Professional Appraisal Practice.

• Do not cover every conceivable instance.The Rules are somewhat repetitive and some provisions overlap with other provisions.

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Rules of Professional Conduct (Ethical Rules) (1)

• Ethical Rule No. 1: Conduct• Ethical Rule No. 2: Assist the Association• Ethical Rule No. 3: Advertising• Ethical Rule No. 4: Confidentiality• Ethical Rule No. 5: Fees• Ethical Rule No. 6: Professional relationships.

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Rules of Professional Conduct (Ethical Rules) (2)

• Ethical Rule No. 7: Handling funds

• Ethical Rule No. 8: Public office

• Ethical Rule No. 9: USPAP/CUSPAP

• Ethical Rule No. 10: Alliedorganizations and licensing agencies

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Ethical Rule No. 1Conduct (1)

Members of the Association pledge to conduct themselves in a manner that is not detrimental to the public, the Association, or the right of way profession, and comply with the Association’s Code of Ethics, Rules of Professional Conduct and Standards of Practice for the Right of Way Professional.

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Ethical Rule No. 1Conduct (2)

• Misleading or fraudulent behavior.

• Use of misleading information.

• Felony or misdemeanor that reflects adversely.

• False claims.

• Maliciously injure reputation of others.

• Seek statutory changes on behalf of the IRWA.

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Situations Ethical Rule No. 1: Conduct

PLEASE READ AND DISCUSS THEIMPLICATIONS OF SITUATION 1

A. What would you advise Bill Carlson to do?

B. Does Bill have a basis for an ethics complaint? If so, under which specific provision(s) of Ethical Rule 1?

C. Does it matter if the statements about Bill Carlson are true or not? How would you determine the truth?

D. What do you tell a prospective client aboutcompetitors?

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Situations Ethical Rule No. 1: Conduct (1)

PLEASE READ AND DISCUSS THE IMPLICATIONS OF SITUATION No. 2

A. What action would you take if the member had been indicted for murder?

B. What action would you take if the member had been convicted of income tax evasion?

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Situations Ethical Rule No. 1: Conduct (2)

PLEASE READ AND DISCUSS THE IMPLICATIONS OF SITUATION 2

C. What action would you take if the member had

been convicted of driving while intoxicated? First offense? Third offense? During which a second party was killed?

D. What action would you take if a member had been convicted of a felony/indictable offense? A misdemeanor/summary conviction?

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PLEASE READ AND DISCUSS THEIMPLICATIONS OF SITUATION No. 3

A. What would you do?



A. Should Tom Jones file a complaint?

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A. What do you think is theproper action to take?

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A. What should you do?

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Ethical Rule No. 2Assist the Association (1)

Members pledge to assist the Association in carrying out its responsibilities to the public and users of professional right of way services by exchanging information and experience within the Association and with other associations and professional organizations.

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Ethical Rule No. 2Assist the Association (2)

• Contravene the Association By-Laws and Regulations.• Submit misleading or refuse to submit information to a committee.• Disclose confidential information.• Failure to provide records to clients.• Enter into contract that precludes compliance.• Plagiarism.

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Situations Ethical Rule No. 2: Assist the Association


A. Can Richard Hughes refuse toprovide the information?

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Situations Ethical Rule No. 2: Assist the Association (1)


A. Copies an article from Right of Way magazine, but does not attribute

it to the magazine.

B. Uses portions of the same articlewithout quoting it.

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C. Writes an article for Right of Way magazine based in large part on a similar article in

Cities magazine but does/does notattribute it to the author.

D. Writes an article based on an idea obtained from an article in Cities magazine.

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A. Are Ben Johnson’s actions ethical?

B. What if Ben is an attorney rather than an appraiser?

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Ethical Rule No. 3Advertising (1)

Members shall avoid advertising, solicitation or promoting which is misleading or otherwise reflects negatively on the Association or its Members.

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Ethical Rule No. 3Advertising (2)

• Misleading or deceptive advertising. • Refer to Association or designation in a misleading manner. • Use of logos, trademarks, etc. for non-Association use.

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Situations Ethical Rule No. 3: Advertising (1)


A. Is Kathleen’s advertising appropriate?

B. Do you think the advertising is intentionally misleading?

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Situations Ethical Rule No. 3: Advertising (2)


C. What does “Designated Right of Way Specialists” mean?

D. What do you think the State licensing agency would think of the advertising?

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Ethical Rule No. 4Confidentiality (1)

Members shall uphold the confidential nature of the Right of Way professional-client relationship.

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Ethical Rule No. 4Confidentiality (2)

• Unethical to disclose the analysis, opinions, or conclusions to anyone other than the client or those authorized by the client and third parties when legally required to do so.

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Situations Ethical Rule No. 4: Confidentiality (1)


A. Is there adequate evidence to file a complaint against Helen Painter for disclosing

privileged information.

B. What options are available for Helen Painterin view of the real estate agent’s actions?

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C. Did the real estate agent violatethe Rules of Professional

Conduct (Ethical Rules)?

If so, how?

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A. Sue the member.

B. Sue the highway department.

C. Assume that the environment group has filed a lawsuit against the highway department. Can the member now provide the requested information?

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D. Assume that the environment group hasfiled a lawsuit against the highway

department and the highwaydepartment’s attorney isdeposing the member.

Can the member now provide the requested information?

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A. Is there a professional-client relationship between John Greene and Gloria Roberts?

B. Whether or not there is a professional - client relationship, what do you think of John’s actions?

C. What is your agency's policy regarding disclosure such as this one?

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Situations Ethical Rule No. 4: Confidentiality

PLEASE READ AND DISCUSS THE IMPLICATIONS OF SITUATION 4

A. Turn the client in to the taxing agency?

B. Provide the information to some other governmental agency?

C. What other options does the negotiator have?

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Ethical Rule No. 5Fees (1)

A member shall not enter into an agreement for, charge, or collect an illegal or clearly excessive fee, nor shall an appraiser charge a fee based upon a percentage of the amount of his or her appraisal.

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Ethical Rule No. 5Fees (2)

• Fees are clearly excessive when, after review, a prudent person would conclude that the fee is in excess of a reasonable fee.

• Failure to refund a fee not earned.

• Furnish confidential information regarding fees, bids , etc. whenlegally required to do.

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Situations Ethical Rule No. 5: Fees (3)


A. What ethical problems do you face?

B. What ethical problems does the competitor’s employee face?

C. Do you have an any obligations to the competitor firm?

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Situations Ethical Rule No. 5: Fees (4)


A. What ethical considerations are raised by George Turner’s conduct?

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Ethical Rule No. 6Professional Relationships (1)

Members shall maintain a high professional relationship with his/her client or employer. The duty of a Member to serve the client or employer in a professional manner does not relieve the Member of the responsibility to treat with consideration all persons involved in or with the right of way profession and to avoid the infliction of needless harm.

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Ethical Rule No. 6Professional Relationships

• Conceal that which is required by law to be revealed.

• Perjured testimony or false witness.

• Creation of false evidence.

• Assist client in illegal or fraudulent conduct.

• Engage in other illegal conduct contrary to a Disciplinary Rule

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Situations Ethical Rule No. 6: Professional Relationships


A. Has previously talked to XYZ Development Co. about future employment opportunities.

B. Has been promised a position at XYZ Development Co.

C. Has accepted a job offer from XYZ Development Co. but hasn’t told the state/provincial highway department yet.

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A. She is stubborn.

B. She has a substance abuse problem.

C. She needs the money.

D. What options does she have?

E. Is she engaged in unethical conduct?

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Situations Ethical Rule No. 6: Professional Relationships (1)


A. Carl Westcott asks his attorney to keep silent about the first appraisal.

B. Carl Westcott asks his attorney to destroy the first appraisal.

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Situations Ethical Rule No. 6: Professional Relationships (2)


C. If Cindy Burgess were the department’s chief appraiser rather than the department’s attorney, would your opinion change?

D. Do you see any other concerns?

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A. Are your competitor’s actions unethical? If yes, what should you do?

B. What is your opinion, if you are in a state requiring that contract agents have a real

estate license and only one of the job applicants holds a real estate license?

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Ethical Rule No. 7Handling Funds (1)

Members shall take all reasonable steps to safeguard and account for a client’s and employer’s funds. Any funds of clients or employers held by a Member in trust for said client or employer shall not be commingled with Member’s funds.

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Ethical Rule No. 7Handling Funds (2)

Member must:

• Promptly notify client of receipt of funds, etc.

• Identify & label and put in safe place.

• Maintain complete records.

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Situations Ethical Rule No. 7: Handling Funds (1)


A. Deposit the check into his trust account with the intent of writing a check payable to the railway company on Monday.

B. Deposit the check into his personal account with the intent of writing a check payable to the railway company on Monday.

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Situations Ethical Rule No. 7: Handling Funds (2)


C. Deposit the check into his personal account with the intent of writing a check payable to the railway company on Monday. (This he fails to do until after returning from a two-week vacation.)

D. What would you have done if the purchaser paid the deposit in cash?

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Ethical Rule No. 8Public Office (1)

All members who are employees or agents of a public entity or who hold elected or appointed public offices shall strive to foster and maintain the highest level of public confidence in his or her position.

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Ethical Rule No. 8Public Office (2)

• Use public position to attempt or obtain a special advantage not in the public’s interest.

• Offer or accept anything of value for purpose of influencing action.

• Use of public office for personal gain.

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Situations Ethical Rule No. 8: Public office (1)


A. Susan takes the Director of Public Works tolunch to impress him and to talk business.

B. Susan takes the Director and his wifeto a very expensive restaurant also toimpress him and to talk business.

C. Susan takes the Director to lunch at a fastfood restaurant to discuss business.

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Situations Ethical Rule No. 8: Public office (2)


D. Does your answer change if Susan and The Director are good friends?

E. If Susan doesn’t talk business?

F. If Susan gives the Director ball gametickets for one game? Season tickets?

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Situations Ethical Rule No. 8: Public Officers (3)


A. The brother-in-law is highly competent, licensed and is more qualified than other local appraisers.

B. The brother-in-law is an incompetent idiot.

C. The brother-in-law is Mayor Mullen’s business partner.

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Situations Ethical Rule No. 8: Public Officers (4)


A. Must Debbie Young file a complaint?

B. What if Debbie really can’t prove anything?

C. What if Debbie and James are close friends? What if Debbie and James are bitter enemies?

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Ethical Rule No. 9USPAP/CUSPAP (1)

When performing appraisal services a Member shall comply with all standards of practice for the jurisdiction in which the appraiser is performing services.

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Ethical Rule No. 9USPAP/CUSPAP (2)

Unethical not to comply with USPAP.

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Ethical Rule No. 10 Allied Organizations and

Licensing Agencies (1)

Members shall uphold and abide by any and all codes of ethics, standards of practice, or other rules or regulations governing personal and professional conduct (collectively, “Codes of Conduct”), of allied associations, organizations, or licensing agencies to which he or she is a member or licensee.

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Ethical Rule No. 10 Allied Organizations and

Licensing Agencies (2)

• Must uphold and abide by rules

of all organizations.

• Must report all violations to the Association.

• Must provide all non-confidential

information discipline or revocation.

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Situations Ethical Rule No. 10:

Allied Organizations and Licensing Agencies (1)


A. Must John Hathaway file a complaint against Mindy Porter?

B. What if John believes that the disbarment was motivated and that Mindy was “railroaded”?

C. What if Mindy was given a verbal reprimand only?

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Situations Ethical Rule No. 10:

Allied Organizations and Licensing Agencies (2)


D. What if Mindy was accused of commingling funds and surrendered her license to practice law rather than face disbarment?

E. What if John Hathaway knows that Mindy Porter has since been reinstated?

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Pop Quiz

“Words, once spoken, can never be taken back.”

“It is easy to harm others with acasual comment or remark, but it is almost

impossible to right the wrong of such harm.”

“There is no such thing as idle talk.”

What are some of the impacts of:

A. Rumors

B. Character Assassinations

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Basic Presumptions

1. A member is always presumed innocent.

2. The burden of proof always rests with the Association.

3. A member charged, has no duty to testify in his or her behalf.

4. All matters are strictly confidential.

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Potential Disciplinary Actions (1)

A reprimand is a serious written warning.

A suspension is a temporary revocation of membership.

An expulsion is a complete membership termination.

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Potential Disciplinary Actions (2)

Disciplinary Action

Type Length In Record Published AdditionalActions

Reprimand Serious written warning

___ Yes No If necessary, to be determined by investigating committee, Ethics

Chair, or Appeal Board

Suspension Temporary revocation

Up to 2 years Yes Yes Lose SR/WA designation and/or certification(s); lose candidacy status

Expulsion Termination Permanent Yes Yes Lose SR/WA designation and/or certification(s); lose candidacy status

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The Complaint 1. Written and may be anonymous

OR

2. Notice of conviction (felony/indictable offense or misdemeanor/summary conviction) that adversely reflects on the member’s character, trustfulness, morality, or reputation

OR

3. Notice of censure, suspension, or expulsion from any other professional organization or

licensing or regulatory agency

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Flow Chart of Disciplinary Procedures

Written complaint to be submitted to Ethics Chair,

not Chapter President.

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PLEASE READ AND DISCUSS THEIMPLICATIONS OF STATEMENT 1

A. Which Ethical Rule(s) did John Cook violate?

B. What action should be taken against John Cook?

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PLEASE READ AND DISCUSS THE IMPLICATIONS OF STATEMENT 2

A. Which Ethical Rule(s) did Don Wagner and/or Jack Burton possibly violate?

B. What action should be taken against Don Wagner and/or Jack Burton?

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Disciplinary Procedures PLEASE READ AND DISCUSS THEIMPLICATIONS OF STATEMENT 3

A. If the Statement and Suggested Facts are true, what action(s) would you recommend?

B. If the Statement and Suggested Facts are false, what action(s) would you recommend?

C. What ethics violations might an Investigating Committee find?

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A. Which Ethical Rule(s), if any, did John Miller violate?

B. What action should be taken against John Miller?

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Disciplinary Procedures PLEASE READ AND DISCUSS THE

IMPLICATIONS OF STATEMENT 5

A. Is there an ethics concern if Chuck received permission from his client, Donna Murphy before providing the report to Mary?

B. Is there an ethics concern if Chuck has not received permission from his client, DonnaMurphy before providing the report to Mary?

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PLEASE READ AND DISCUSS THEIMPLICATIONS OF STATEMENT 6

A. Is there an ethics problem regardless of whether Sam has 2 years, or 25 years experience and whether it is “local custom” or not?

B. What action, if any, should be taken against Sam?

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A. Would you opinion of the proposed fee change if:

1. The appraisal was ordered on a nine-month time line.

2. The appraisal was ordered with a short time line.

3. Sheila has a history of “price gouging.”

4. The appraisal is for property owned by a bank in which Sheila has a major stock interest.

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Objectives (1)

Right now, you should be able to...

• Explain the rationale for the IRWA’s Code of Ethics

• Describe the interrelationship of the IRWA’s Code of Ethics, the Rules of Professional Conduct, and the Disciplinary Procedures

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Objectives (2)

At the end of the day, you will be able to...

• Discuss, in general terms, the IRWA’s Disciplinary Procedures

• Recognize inappropriate professional behavior and provide suggestions to resolve ethical conflicts

83

Thank you

103-PT – Revision 2 – 05.22.06.INT

1 welcome to the international right of way association’s course 103 ethics and the right of way...

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