Texas Board of Professional Engineers Professional Practice Update / Ethics at USI’s Loss Prevention/Risk Management Seminar September 14, 2010

C. W. Clark, P.E. Director of Compliance & Enforcement [email protected] Texas Board of Professional Engineers 2010 - 2011

Agenda • • • •

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What’s New at the Board Rule Changes/Reminders Compliance & Enforcement Stats Enforcement Case Studies

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Board Organization & Responsibilities • 9 members appointed by the governor; 6 PEs, 3 public members – Approve rules – Approve issuance of licenses and firm registrations, and testing – Approve compliance actions – Provide direction and oversight to Board staff through the Executive Director

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Board Organization & Responsibilities Chairman July, 2008 G. Kemble Bennett, Ph.D., P.E. Vice Chancellor and Dean of Engineering, Texas A&M

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Agency Organization & Responsibilities • Executive Director: Lance Kinney, P.E. • • • • • 9/16/2010

Review and process all licensing applications Coordinate FE and PE Exams (~6400 / yr) Investigate all enforcement cases (~750 / yr) Administer Licenses for 53,000 PE’s Administer Registrations for 8,300 Firms Texas Board of Professional Engineers 2010 - 2011

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2009 Legislative session • HB 2649 passed – Exemptions of exemptions for windstorm certifications and slabs in high plasticity soil and required use of building code in rural areas – PEs don’t need other certifications

• SDSI extension - 2013

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2011 Legislative session • Starts January 2, 2011

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New Board Rules - June • Exam duration – 8 Hour exams

• Reference Statements – Electronic Submittal

• International Temporary License – Clarifying intent of 3 year limit

• Firm registration surrender 9/16/2010

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Proposed Board Rules August • Applications by Engineering Educators • Will post for comment Sept 17 in Texas Register

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Texas Engineering Practice Act • Exemptions – From licensure • What is “Public” • Public Works

– From Professional Fee – From Continuing Education

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Board Rules • Engineer’s Seal and Signature – What to Seal • Texas seal for Texas work

– Preliminary Documents – Electronic Seals and Signatures

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Architects • JAC and Sub-JAC Meetings • Building Design • Overlap of Professions • Conflicts in the Acts • TBPE-Engineers Can Design Buildings • Developing Processes to handle overlap cases

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Update on NCEES • Southern Zone elects Govind Nadkarni, P.E. (TX) as zone Vice President • Software Engineering PE exam • BS + 30 / MOE debate ongoing • Computer Based Testing Task Force • New 16 hr Structural PE Exam – April 2011 – Engineering Society Task Force

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Computer Based Testing • Computer Based Testing Task Force – Lance Kinney, P.E.

• Approved at National NCEES in August • Start with the FE and FS exams • Expected national implementation by 2013

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BS+30 History – Started with ASCE Position Statement 465 • Evaluated Body of Knowledge • Bachelors degree used to be 150 hours • Do engineers of the future need more education beyond a bachelors degree?

– 2008 Member Boards change start date to 2020

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More Board Updates • Video of Board Meetings on website • ECHO System – Online Transactions are FREE – Renewals (PE / Firm) – Personal Info Updates

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Reminders •

Continuing Education – – – – – –

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Random Audits Ongoing Keep Documentation for 3 years Be prepared to substantiate your 15 hours Activity Log is not enough Enforcement Cases (up to $2,500+) Over 65 is Not Exempt from CE

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Reminders •

Criminal Convictions – – –

All New Licensees PEs Required to Report within 30 days Board will Review Incidents • • • •

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Severity Recidivism Relevant to Engineering Other Factors Texas Board of Professional Engineers 2010 - 2011

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Reminders •

Areas of Competency – – – – –

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PE can only practice in areas where competent Branch listed on website Listing does not restrict practice Verify current listing Education / Exam / Experience

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Reminders •

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Professionalism –

Professional Engineer

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So - What is it?

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Professionalism – NSPE Example –

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Engineers shall: • Hold paramount the safety, health, and welfare of the public. • Perform services only in areas of their competence. • Issue public statements only in an objective and truthful manner. • Act for each employer or client as faithful agents or trustees. • Avoid deceptive acts. • Conduct themselves honorably, responsibly, ethically, and lawfully so as to enhance the honor, reputation, and usefulness of the profession. Texas Board of Professional Engineers 2010 - 2011

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Professionalism – ASME Example –

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Engineers uphold and advance the integrity, honor and dignity of the engineering profession by: • Using their knowledge and skill for the enhancement of human welfare; • Being honest and impartial, and serving with fidelity their clients (including their employers) and the public; and • Striving to increase the competence and prestige of the engineering profession.

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Professionalism – ASCE Example –

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Engineers uphold and advance the integrity, honor and dignity of the engineering profession by: • using their knowledge and skill for the enhancement of human welfare; • being honest and impartial and serving with fidelity the public, their employers and clients; • striving to increase the competence and prestige of the engineering profession; and • supporting the professional and technical societies of their disciplines.

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Professionalism •

More than just Codes and Rules “Meticulous adherence to undeviating courtesy, honesty, and responsibility in one's dealings with customers and associates, plus a level of excellence that goes over and above the commercial considerations and legal requirements.”

http://www.businessdictionary.com

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Professionalism - TBPE •

Chapter 137 Subchapter C – Professional Conduct and Ethics • • • • • • •

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§137.53 - Engineer Standards of Compliance with Professional Services Procurement Act §137.55 - Engineers Shall Protect the Public §137.57 - Engineers Shall be Objective and Truthful §137.59 - Engineers’ Actions Shall Be Competent §137.61 - Engineers Shall Maintain Confidentiality of Clients §137.63 - Engineers’ Responsibility to the Profession §137.65 - Action in Another Jurisdiction

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C & E Statistics • FYs 2009-2010 –1614 Cases Opened • Public, Internal, Anonymous

–1641 Cases Closed • 1055 Voluntary Compliance (64%) • 94 Disciplinary Actions • 194 Dismissed / No Violation 9/16/2010

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C & E Statistics • Case Types • Cases against PE’s • Unlicensed Practice • Illegal Use of Title • Corporate Name • Firm Registration

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Engineering Ethics

Case Files 9/16/2010

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From the Case Files • Based on TBPE Enforcement Cases FY 2009 – FY 2010 • All in Newsletter / on Website –Reprimands, Suspensions, Revocations, and Administrative Penalties are listed there

• Focus on Ethical / Practice Issues 9/16/2010

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From the Case Files • Not So Good News: – Ethical Violations – Administrative Violations

• What This Means: – Revisit Ethical Obligations – Familiarity with Rules – Monitoring Practice 9/16/2010

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From the Case Files DFW Metroplex • Pedestrian Bridge Project • Out-of-State Licensed PE • Prepared Engineering plans & performed calculations for the bridge project • Not licensed in Texas • Only engineers licensed in Texas can offer or provide engineering for Texas projects. – Cease & Desist with an administrative penalty

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From the Case Files East Texas • Professional Engineer was convicted of a Class A Misdemeanor for false statements • Concerned work related to his engineering • PE Failed to report the conviction to the Board

Texas licensed professional engineers are required to report criminal convictions within 30 days. – Formal Reprimand and Engineering Ethics Course

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From the Case Files Dallas • Individual used “P.E.” and a PE number after his name in an email correspondence • Electrical engineering designs were included • Board records determined he was not a licensed P.E.

Unlicensed Practice of engineering in Texas is a violation subject to sanction. – Cease & Desist with an administrative penalty

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From the Case Files Austin • A signed Consent Order was Board approved • One of the stipulations was successful completion of an Engineering Ethics correspondence course • P.E. failed to complete the course in the allotted six month time period Failure to meet the requirements of a Board Order is a violation and subject to sanction. – Formal Reprimand with an administrative penalty

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From the Case Files Houston • Professional Engineer was found to be incarcerated

Texas Occupations Code, Section 53.021(b) and Board Rule 139.43(a) requires that individual’s license be revoked. – License was revoked

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From the Case Files Dallas • Engineering firm was contracted to perform testing and site observation of a retaining wall construction project • Responsible P.E. issued a document which stated that construction was performed in accordance with the design • Photos revealed that four reinforcing steel dowel bars were implemented vs. the eight specified by the design drawings

Board Rule requires P.E. to exercise care and diligence to prevent partners, associates, and employees from engaging in conduct that if done by the P.E. would be a violation. – Formal Reprimand with an administrative penalty

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From the Case Files Corpus Christi • PE sealed a signed a TDI WPI-2 for windstorm inspection certifying that a room addition met code. • Later found that the roof covering was not installed properly and resulted in leakage and damage to the interior. Also found that the window and the foundation was not code compliant • P.E.’s employee had visited once and relied on the contractor’s word that all was built properly P.E. must not give misleading certifications, must exercise reasonable care and diligence to ensure employees perform required inspections, and be a faithful agent to their client. – Probated Suspension, Administrative Penalty, and Ethics Course 9/16/2010

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From the Case Files Out of State Licensee • Building collapsed in Wisconsin • One death and $100M in damages • Investigation and Civil litigation revealed that the engineer’s calculations and design of building support system was deficient • Wisconsin Board Revoked P.E.’s licensee Texas P.E. licensed in another state is subject to sanction if the violation in that state would be a violation in Texas – P.E.’s license is inactive and Board refuses to renew 9/16/2010

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From the Case Files San Antonio • Professional Engineer issued subdivision plans to his client that were unsealed. • Plans were not marked preliminary indicating why they were being issued and lacked a limitation of their use. • Plans also contained numerous errors

Texas P.E.’s must execute due care and diligence in performance of their engineering business and follow Board Rules on sealing, signing and dating plans and identifying preliminary documents with proper caveats. – Probated Suspension, Administrative Penalty, and Ethics Course 9/16/2010

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Contact TBPE • • • • • •

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1917 IH-35 South Austin, TX 78741 Phone: 512-440-7723 FAX: 512-440-5715 Web: http://www.tbpe.state.tx.us email: [email protected] Texas Board of Professional Engineers 2010 - 2011

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