Professionalism and Ethics November 20 2019 Christopher P
Professionalism and Ethics November 20, 2019 Christopher P. Knotts, P. E. , F. ASCE www. lapels. com 1
LAPELS CPD Ethics Requirement § 3105. A. 1 1. Effective January 1, 2017, at least one PDH per calendar year shall be in professional ethics. Professional ethics concerns the standard of professional conduct and responsibility required of a professional engineer. www. lapels. com 2
• Brief Overview of Licensure, LAPELS and NCEES • Rules Review: • Disciplinary Procedures with Example Cases • Ethics • Review CPD Requirements Chapter 25 Professional Conduct Chapter 27 Use of Seals www. lapels. com 3
History of Licensure and LAPELS • California licenses Land Surveyors - 1891 • Wyoming Engineering Board created - 1907 • Louisiana Engineering Board created - 1908 • 11 Board Members: 9 PE (2 PPrac, 2 Gov, 2 Indus, 2 Educ and 1 Const) & 2 PLS § Louisiana Engineering Society nominates PE members § Louisiana Society of Professional Surveyors nominates PLS members LRS 37: 683 • A term shall be not less than 5 years or more than 6 years • No member who has served a full term shall be eligible for reappointment
2019 -20 LAPELS BOARD Alan D. Krouse Chairman P. E. Private Practice Appointed 2014 Term Expires 2020 Thomas R. Carroll, III Vice Chairman P. E. , P. L. S. Government Appointed 2015 Term Expires 2021 Jeffrey A. Pike Secretary P. E. Academics Appointed 2016 Term Expires 2022 Charles G. Coyle, III Treasurer P. L. S. Surveying Appointed 2016 Term Expires 2021 D. Scott Phillips Edgar P. Benoit P. E. , P. L. S. Industry Appointed 2014 Term Expires 2020 P. E. Industry Appointed 2018 Term Expires 2024 Christopher K. Richard Connie P. Betts P. E. Private Practice Appointed 2017 Term Expires 2023 P. E. Government Appointed 2019 Term Expires 2025 Chad C. Vosburg P. E. Construction Appointed 2017 Term Expires 2023 Wilfred J. Fontenot P. L. S. Surveying Appointed 2018 Term Expires 2024 Reginald L. Jeter P. E. Academics Appointed 2019 Term Expires 2025
LAPELS 11 Standing Committees 4 Ad Hoc Committees Executive Applications-PE Applications-EI Surveying CPD Education Enforcement Finance Firm Licensure Laws & Rules Nominations Industrial Licensure Engineer-Architect ESC Review Emeritus Member Complaint Review (CRC) Other Board Activities • Campus outreach visits • NCEES meetings and serve on NCEES committees
1920 Founded as the Council of State Boards of Engineering Examiners (CSBEE) on November 8, 1920. Wyoming Florida Iowa New York Louisiana Colorado Michigan Virginia Illinois Idaho Oregon South Dakota 1984 National PE exams used by licensing boards in all 50 states (Louisiana: FE 1965 / PE 1968) NCEES is currently comprised of 69 member boards (50 states and 4 US territories) www. lapels. com 7
Composition of Member Boards 28 16 13 11 1 Joint E/S Multi Surveying www. lapels. com Engineering Structural 8
NCEES PE Exams Transition to CBT • Chemical & Nuclear* - 2018 • Environmental & Petroleum* - 2019 • Mechanical, Industrial and Systems* & Fire Protection* - 2020 • Agricultural/Biological*, Electrical & Mining and Mineral Processing* - 2021 • Architectural*, Control Systems*, Metallurgical and Materials* & Naval Architecture and Marine * - 2022 • Civil - 2023 • Structural I and II – 2024 Why NCEES info? v LFFT* and LOFT Exams www. lapels. com 9
LAPELS Laws and Rules Laws Louisiana Revised Statutes Title 37. Professions and Occupations Chapter 8. Professional Engineering and Professional Land Surveying RS 37: 681 -704 Rules Louisiana Administrative Code Title 46. Professional and Occupational Standards Part LXI. Professional Engineers and Land Surveyors LAC 46: LXI: 101 -3301 “In order to safeguard life, health and property and to promote the public welfare, …” www. lapels. com 10
Board Rules 1. 7. 9. 11. 13. 15. 17. 19. 21. 23. 25. 27. 29. 31. 33. General Provisions Bylaws Requirements for Certification and Licensure of Individuals Curricula Examinations Experience Applications and Fees Disciplines of Engineering Certificates of Licensure and Certification of Individuals and Firms (Supervising Professionals) Professional Conduct Use of Seals Standards of Practice for Boundary Surveys Continuing Professional Development Disciplinary and Enforcement Proceedings 15 chapters - 38 pages www. lapels. com
Chapter 25 Professional Conduct § 2501. Scope; Knowledge; Definition of Licensee B. All licensees under the licensure law are charged with having knowledge of the existence of these rules of and shall be deemed to be familiar with their provisions and to understand them. D. A licensee possessing personal knowledge of a violation of the licensure law or the board rules found in this Chapter shall report such knowledge to the board in writing and shall cooperate with the board in furnishing information or assistance as it may require. www. lapels. com 12
Chapter 25 Professional Conduct § 2503. Licensees C. Licensees shall approve and seal only those design documents which are safe for public health, property and welfare. 1. Licensees shall comply fully with Chapter 27 (Use of Seals). 2. Except as permitted by § 2701. A. 3. b. ii (a), licensees shall not seal the work of or take the professional responsibility for any documents not performed by the license or under the licensee’s responsible charge. 3. Licensees may not accept the responsibility for, nor review, revise, sign, or seal drawings when such plans are begun by persons not properly licensed and qualified; or do any other act to enable others to evade the requirements of the licensure law. www. lapels. com 13
Chapter 25 Professional Conduct § 2503. Licensees D. Licensees shall submit to a client only that work prepared by the licensee or an employee under the licensee’s responsible charge; however, licensees, as a third party, may complete, correct, revise, or add to the work of another licensee or other related design professional, if allowed by Louisiana statute, when engaged to do so by the client, provided: 1. the client furnishes all work submitted to him by the previous licensee or related design professional; 2. the previous licensees or related design professionals are notified in writing by the licensee of the engagement referred to herein immediately upon acceptance of the engagement; and 3. all work completed, corrected, revised or added shall contain a notation describing the work done by the licensee now in responsible charge, shall have his/her seal, signature and date of execution affixed. 14 www. lapels. com
Chapter 25 Professional Conduct § 2505. Services A. Licensees shall perform services only in the area of their competence. D. Licensees may accept an assignment outside of their areas of competence to the extent that their services are restricted to phases of the work in which they are qualified, and to the extent they are satisfied that all other phases of work are performed or supervised by licensed, qualified associates, consultants, or employees, in which case they may then seal, sign and date the documents for the total project. www. lapels. com 15
Chapter 25 Professional Conduct § 2507. Conflicts of Interest A. Licensees shall further act in professional matters for each employer or client as faithful agents or trustees and shall avoid conflicts of interest. B. Licensees shall disclose all known or potential conflicts of interest to their employers or clients by promptly informing them of any business association, interest or other circumstances which could influence their professional judgment or the quality of their professional services. www. lapels. com 16
Chapter 25 Professional Conduct § 2507. Conflicts of Interest D. Licensees shall not solicit or accept, directly or indirectly, benefits of any substantial nature or significant gratuity, from any supplier of materials or equipment, or from contractors, their agents, employees or from any other party in connection with any project on which the licensee is performing or has contracted to perform engineering or land surveying services. E. When in public service as a member, advisor or employee of a governmental body or agency, or under contract to provide consultation or recommendations to a governmental body or agency, licensees shall not participate in considerations or actions with respect to professional services provided by them or their organization to that governmental body or agency. www. lapels. com 17
Chapter 27 Use of Seals § 2701. Signature and Seal A. 2 Seal Design and Signature Requirements c. Seals of two sizes are acceptable: i. 1 -5/8 inch seal commonly used in pocket seals ii. 2 inch seal commonly used in desk seals d. Rubber seals of the same design and size may be used. e. Computer generated seals of the same design and size may be used f. A seal must always be accompanied by the licensee’s signature and date. The signature and date must be placed adjacent to or across the seal. www. lapels. com 18
Chapter 27 Use of Seals § 2701. Signature and Seal A. 3. b. ii. Responsible Charge (cont’d) ii. No licensee shall affix his/her seal or signature to reports, plats, sketches, working drawings, specifications, design calculations, or other engineering or land surveying documents developed by others not under his/her responsible charge and not subject to the authority of that licensee, except: a. In the case of an individual licensee checking the work of and taking professional responsibility for an out of state individual licensee, the Louisiana licensee shall completely check and have responsible charge of the design. Such shall include possession of the sealed, signed and dated reproducible drawings, with design calculations indicating all changes. www. lapels. com 19
Chapter 27 Use of Seals Per § 2701. A. 4, there are only three kinds of professional work: Completed Preliminary Exempt www. lapels. com 20
Chapter 27 Use of Seals § 2701(4). a Completed Work i. The licensee shall affix his/her seal, sign his/her name and place the date of execution on all engineering documents that have been issued by the licensee to a client or any public or governmental agency as completed work. ii. Similar language as above for land surveying documents. www. lapels. com 21
Chapter 27 Use of Seals § 2701(4). b Preliminary Work i. All preliminary documents, shall be marked in large bold letters, with one or more of the following statements: a. b. c. d. Preliminary – Not For Construction Preliminary – For Permit Purposes Only Preliminary – For Review Only Preliminary – Not For Recordation, Conveyances or Sales ii. Preliminary documents are not required to have the licensee’s seal, signature and date affixed, but must bear the name and license number of the licensee, and the name of the licensee’s firm, if applicable. www. lapels. com 22
Disciplinary Procedures www. lapels. com 23
How are Violations Discovered? v Information can be provided to the Board by Formal, sworn affidavit (form at www. lapels. com) Anonymously Other means (in person, telephone, email, etc. ) v Discovered in-house During investigations Internet research Reviewing documents www. lapels. com 24
Complaint Review Committee v CRC (§ 707. 10) shall be comprised of not less than three Board members appointed by enforcement staff on a case by case basis. Appointment is based on: » area of practice/expertise » geographic location If Evidence of a Violation is Discovered v CRC will offer an informal resolution via Consent Order
Consent Order v If Respondent signs the Consent Order, it is presented for approval at the next regular Board Meeting. v Consent order must be ratified by Board majority. v Once ratification is complete and all sanctions are received the case is closed. v Case Summary is printed in the Louisiana Engineer & Surveyor Journal per LRS 37: 698(K) www. lapels. com
Informal Conference (Optional at the request of the respondent) v Respondent may bring others (attorney, witnesses, etc. ) v LAPELS will have CRC members, Enforcement Personnel, Staff Attorney and Executive Director present v End result may be: Agreement on terms of Consent Order Change in charges/fines Dismissal of case Additional violations No resolution –» CRC votes on whether or not to Prefer Charges www. lapels. com 27
201 X-XX Consent Order issued to an unlicensed individual for (a) practicing and/or offering to practice engineering and using the words “engineer”, “engineering” or any modification or derivative thereof in a person’s name or form of business or activity without proper licensure, (b) using or attempting to use a seal which is deceptively similar to the seals authorized by the Board for use by its licensees, (c) falsely claiming that a person is licensed by the Board, and (d) failing to provide, within thirty days of receipt of notice of certified mail, information or documents requested by the Board relating to any alleged violations of the Board’s laws. La. R. S. 37: 681 and La. R. S. 37: 700(A)(1), (6), (7), (8) and (11) www. lapels. com 28
201 X-XX • In September 2015 Respondent (a) obtained a fraudulent Louisiana professional engineer seal in his name, (b) affixed it to, signed (as the engineer of record) and dated a set of documents for sewage treatment facility in Louisiana, and (c) submitted those documents for review to LDH. • Since at least March 2016 Respondent has represented on his Linked. In page that he is an “engineer” specializing in “mechanical or industrial engineering. ” • Respondent failed to respond to two certified mail letters from the Board in 2016 advising him of this matter and requesting that he provide to the Board certain information and documents related to this matter. www. lapels. com 29
201 X-XX: Summary • Committee members: Mr. A, Mr. B, Mr. C Terms of Consent Order Sanction Received Fine of $5, 000 Cost of $1, 212. 61 Cease and Desist Publication on LAPELS’ website and Journal with name Report to NCEES with name Committee Motion 30
201 X-XX Consent Order issued to a licensed engineer for fraud, deceit, or material misstatement or perjury or the giving of any false or forged evidence in applying for a renewal license. • In October 2013 the Illinois Board took disciplinary action against Respondent for failing to timely report disciplinary action taken by the Florida Board for failing to timely respond to an administrative complaint. • In October 2014 Respondent indicated on his PE renewal invoice that he had not been subject to disciplinary action by the licensing authority of another jurisdiction since his last renewal. La. R. S. 37: 698(A)(1) 31
#201 X-XX: Summary Committee Members: Mr. A, Mr. B, Mr. C Terms of Consent Order Fine of $1, 000 Costs of $159. 42 Laws and Rules Quiz 90%+ Professionalism & Ethics Quiz 90%+ Sanction Received Guidelines Variance Publication: LAPELS’ website and Journal with name Report to NCEES with name Committee Motion 32
What are Ethics? v Ethics are the standards of human behavior that individuals or corporations have developed to make moral judgments. v Ethical principles may vary over time and between countries or cultures which could cause conflicts. v Ethical principles developed as people reflected on intentions and consequences of their actions. www. lapels. com 33
What does it Mean to be Ethical? § Upholding personal or corporate standards of conduct § Determining right and wrong behavior § Striving to be moral www. lapels. com 34
Four Bs of Ethical Behavior BE VIRTUES Fundamental qualities that define your character Internal Quality - Character - Low Variability BELIEVE MORALS Personal Sense of Right and Wrong Internal Quality - Personal Belief - Low Variability www. lapels. com 35
Four Bs of Ethical Behavior BEHAVE ETHICS Rules of conduct recognized by a particular group External Quality - Societal Motivation - Medium Variability BESTOW VALUES What we hold dear in a given situation Internal & External Qualities - Personal & Societal Motivation Higher Variability www. lapels. com 36
ASCE 7 Canons of Ethics for Engineers 1. Engineers shall hold paramount the safety, health, and welfare of the public and shall strive to comply with the principles of sustainable development in the performance of their professional duties. 2. Engineers shall perform services only in areas of their competence. 3. Engineers shall issue public statements only in an objective and truthful manner. 4. Engineers shall act in professional matters for each employer or client as faithful agents or trustees, and shall avoid conflicts of interest. 5. Engineers shall build their professional reputation on the merit of their services and shall not compete unfairly with others. 6. Engineers shall act in such a manner as to uphold and enhance the honor, integrity, and dignity of the engineering profession and shall act with zero tolerance for bribery, fraud, and corruption. 7. Engineers shall continue their professional development throughout their careers, and shall provide opportunities for the professional development of those engineers under their supervision. www. lapels. com 37
Questions I Ask Myself for Ethical Decisions 1. Is it safe and legal? 2. Could the decision become habit forming? 3. Would this action stand the test of public review? 4. Would I want my Mom to know what I did? www. lapels. com 38
Continuing Professional Development § 3105. Requirements A. Effective January 1, 2017 professional engineer licensees are required to obtain 15 PDHs per calendar year in engineering related activities. Professional engineer licensees may not obtain more than 8 PDHs within a single calendar day. (PLS – 8 PDH § 3105. B and PE/PLS – 15 PDH) C. Maintaining records to be used to support PDHs claimed is the responsibility of the licensee. These records must be maintained for at least three consecutive biennial licensure renewal periods. www. lapels. com 39
CPD Requirements 2017 and 2018 were CPD transition years When you renew your license will not change! 2019 Renewals If audited you will need to show: 15 hours for calendar year 2017 and; 15 hours for calendar year 2018 2020 Renewals If audited you will need to show: 15 hours for calendar year 2018 and; 15 hours for calendar year 2019 § 3105. D. 1 Excess PDHs – a maximum of seven (7) hours may be carried FORWARD per year into the subsequent calendar year. www. lapels. com 40
Thank You 9643 Brookline Avenue - Suite 121 Baton Rouge, LA 70809 225 -925 -6291 www. lapels. com 41
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