5/22/2012 Ethics for Design Ethics for Design Professionals - - PDF document

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5 22 2012
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5/22/2012 Ethics for Design Ethics for Design Professionals - - PDF document

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5/22/2012 Ethics for Design Ethics for Design Professionals Presented by: Mark Schultz, Esquire Henderson, Franklin, Starnes & Holt, PA Hall & Company Design Professional Webinar May 22, 2012 Sources of Ethics for Design

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5/22/2012 1

Ethics for Design

Presented by: Mark Schultz, Esquire Henderson, Franklin, Starnes & Holt, PA

Ethics for Design Professionals

Hall & Company Design Professional Webinar • May 22, 2012

  • Legally Binding:

– State Statutes

Sources of Ethics for Design Professionals

– State Administrative Codes – Local Codes and Regulations

  • Non-Binding:

– Design Professional Organizations:

Sources of Ethics for Design Professionals (cont’d)

– The American Institute of Architects – American Society of Civil Engineers – National Society of Professional Engineers – State/Local Chapters of Architecture and Engineering Societies

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  • Effect on Licensure

– Administrative Complaints

Value of Ethics in Design Professional Practice

  • Effect on Lawsuits

– Civil Lawsuits for Breach of Contract and/or Negligence

  • Effect on Insurance
  • Legal Authorities:

– State Statutes State Administrative Code

Steps in Evaluating an Ethical Question or Issue

– State Administrative Code – Decisions/Rulings/Opinions from State Board

  • f Architecture or Engineering
  • Non-Legal Sources:

– Decisions/Ethical Review Opinions from Design Professional Associations

  • State Statutes: set forth a board for

engineers and one for architects, provide penalties and rules of conduct State Law and Administrative Codes on Ethics p

  • Administrative Codes: contain the rules of

professional conduct promulgated by the

  • boards. Typically more detailed than the

Statutes with respect to conduct and punishments

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  • California
  • Texas

States with Most Licensed Architects and Engineers

  • Illinois
  • Colorado
  • Washington
  • Chapter 3 contains Architects Practice Act
  • Section 5510.1 requires the California

A hit t B d t l t California Statutes Architects Board to promulgate performance standards for the practice of architecture

  • Chapter 7 Professional Engineers

contains the Professional Engineers Act California Statutes (cont’d)

  • Section 6716(a) requires the Board of

Engineers, Land Surveyors and Geologists to promulgate rules and regulations of professional conduct

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  • Texas Statutes Chapter 1051 governs the

regulation of Architects Texas Statutes

  • Section 1051.202 requires the Texas

Board of Architectural Examiners to adopt rules regulating the practice of architects, landscape architects and interior design

  • Texas Statutes Chapter 1001, entitled The

Texas Engineering Practice Act, governs i Texas Statutes (cont’d) engineers

  • Section 1001.202 allows the Texas Board
  • f Professional Engineers to promulgate

any rule or bylaw to regulate the practice

  • f engineering
  • 225 Illinois Code of Statutes 305 is the

Architecture Practice Act of 1989 which governs the regulation of architects Illinois Statutes governs the regulation of architects

  • 225ILCS 305/Section 8(1)(g) authorizes

the Department of Financial and Professional Regulation to formulate and publish rules necessary or appropriate to carrying out the provisions of this Act

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  • 225 ILCS 325 is the Engineering Practice Act
  • f 1989 which governs the regulation of

engineers

Illinois Statutes (cont’d)

engineers

  • 225 ILCS 325/Section 5 (f) authorizes the

Department of Financial Services and Professional Regulation to promulgate rules required for the administration of this Act, including rules of professional conduct.

  • 225 ILCS 340 is the Structural Engineering

Practice Act of 1989 which governs the regulation of Structural Engineers Illinois Statutes (cont’d) regulation of Structural Engineers

  • 225 ILCS 340/Section 6(1)(5) authorizes

the Department of Financial and Professional Regulation to formulate rules necessary to carry out the provision of this Act

  • Colorado Statutes Sections 12-25-107,

108, 208, 307 and 309 govern engineers d hi Colorado Statutes and architects

  • Authorizes the Board of Licensure for

Architects, Professional Engineers, and Professional Land Surveyors to regulate architects and engineers

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  • The Revised Code of Washington,

18.235.130 provides for the regulation of hi i h f i l Washington Statutes architects with respect to unprofessional conduct.

  • The Revised Code of Washington,

18.43.110 provides the Board of R i i f P f i l E i Washington Statutes (cont’d) Registration for Professional Engineers and Land Surveyors with the power to discipline Engineers and Land Surveyors for violations of statutory and administrative codes of conduct 16 CCR §16 CCR § 160 Rules of Professional Conduct for Architects California Administrative Code

– competence – willful misconduct – conflict of interest – full disclosure – informed consent

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16 CCR § 475 Code of Professional Conduct - Professional Engineering California Administrative Code (cont’d)

– compliance with laws applicable to a project – conflict of interest – representations – document submittal

  • Rules §1.41 - §1.152 govern professional

conduct for architects:

– professional misconduct

Texas Administrative Code

– competence – recklessness – dishonest practice – conflicts of interest – responsibility to the architectural profession – malicious injury to professional reputation

  • Rules §137.37 – §137.71 govern

compliance and professionalism for engineers: Texas Administrative Code (cont’d) engineers:

– sealing misconduct – protecting the public – objectivity and truthfulness – competence – responsibility to the profession

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  • Code of Regulations, Sections 3.0, 5.0

and 7.0 provide the rules of professional practice of architects and engineers: Colorado Administrative Code practice of architects and engineers:

– ethical conduct – responsibility for seal – safe work product – caliber of association

  • Code of Regulations, Sections 3.0, 5.0

and 7.0 (cont’d) Colorado Administrative Code (cont’d)

– compliance with applicable laws, regulations and codes – cooperation with board investigation

  • Section 1150.90 of the Illinois

Administrative Code governs the d d f f i l d f Illinois Administrative Code standards of professional conduct for architects:

– competence – conflict of interest – professional conduct

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  • Section 1380.300 governs the standards
  • f professional conduct for engineers in

the areas of: Illinois Administrative Code (cont’d) the areas of:

– professional responsibility – competence – professional integrity – conflict of interest – employment solicitation

  • 196-27A-020 provides cannons and

guidelines for professional conduct and i b h A hi d E i Washington Administrative Code practice to both Architects and Engineers:

– obligation to the public regarding honesty, fairness, safety of work product, competency, truthfulness in advertising and objectivity

– obligation to employer and clients regarding due care, clarity of scope of work, sealing of documents

Washington Administrative Code 196-27A-020 (cont’d)

documents – obligation to other registrants regarding responding to questions and stating on whose behalf a critique of another registrant's work is coming – obligation to the board to cooperate and appear before the board and notify of any violations

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  • 196-27A-030 contains additional acts of

misconduct for engineers:

– aiding and abetting the unlicensed practice of

Washington Administrative Code

g g p engineering – practicing with an expired, suspended, retired

  • r revoked license

– failing to correct documents or drawings with a known substantive error – modifying another's work without notifying – using confidential information to make a profit – accepting or proposing a commission on a contingent basis under circumstances that

Washington Administrative Code 196-27A-030 (cont’d)

contingent basis under circumstances that would compromise the engineer's integrity – willfully making false statements – willfully suborning perjury – any statement or act to harass or intimidate someone providing the board with information

– competence – conflicts of interest/fee issues – responsible control/signing & sealing

Ethical Areas of Concern

– safety – advertising – responding to board during licensure complaints/investigations – expert opinion or opinions about other engineer's

  • r architect's work
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  • Complaint Form
  • Board investigation for Probable Cause

B d P l d i i f P b bl Outline of an Administrative Complaint

  • Board Panel determination of Probable

Cause

– either dismissal or matter continues

  • Administrative Complaint from State

Attorney General

  • Administrative Law Hearing on disputed

facts

  • Hearing before State Board of Engineers

Outline of an Administrative Complaint (cont’d)

  • Hearing before State Board of Engineers
  • r Architects for determination of

innocence or guilt*

– *Appeal administrative punishment in State Court, if applicable

  • If guilty of an infraction punishment

– letter of reprimand, fine, suspension, revocation or termination

Outline of an Administrative Complaint (cont’d)

revocation or termination

  • Compliance with punishment

– Show attendance at continuing education classes

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  • 1. Attend local state seminars on ethics
  • 2. Ask local attorney specializing in design

professional cases for opinions

Tips for Better Ethical Compliance

professional cases for opinions

  • 3. Check with State Board for decisions or

rulings on similar matters

  • 4. Check with insurance broker if any

questions

  • 5. Check with Professional Organizations for

ethical opinions

  • Legally Binding:

– State Statues – State Administrative Codes

Sources of Information to Consult for Better Ethical Compliance

– Decisions by State Licensing Boards (Architects/Engineers/Landscape Architects/Structural Engineers) (Published board decisions, administrative complaints, rulings) – Local attorney consultation

  • Non-Binding:

– Decisions/Ethical Reviews by Design

Sources of Information to Consult for Better Ethical Compliance

Professional Associations – Consultation with insurance broker/agent

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  • 1. Better Practice
  • 2. Minimizing Administrative Complaints or

Value of Ethics in Practice Investigations on Licensure

  • 3. Minimizing Lawsuits

– expert role and risk of being an expert

  • 4. Lowering Insurance Costs

Thank you for your time and attention Questions? Mark Schultz, Esquire mark.schultz@henlaw.com 239.344.1168 www.henlaw.com

Email requests for certificates of completion to kbernal@hallandcompany.com