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 Professionals • Legally Binding: – State Statutes – State Administrative Codes – Local Codes and Regulations Sources of Ethics for Design Professionals (cont’d) • Non-Binding: – Design Professional Organizations: – The American Institute of Architects – American Society of Civil Engineers – National Society of Professional Engineers – State/Local Chapters of Architecture and Engineering Societies 1
5/22/2012 Value of Ethics in Design Professional Practice • Effect on Licensure – Administrative Complaints • Effect on Lawsuits – Civil Lawsuits for Breach of Contract and/or Negligence • Effect on Insurance Steps in Evaluating an Ethical Question or Issue • Legal Authorities: – State Statutes – State Administrative Code State Administrative Code – Decisions/Rulings/Opinions from State Board of Architecture or Engineering • Non-Legal Sources: – Decisions/Ethical Review Opinions from Design Professional Associations State Law and Administrative Codes on Ethics • State Statutes: set forth a board for engineers and one for architects, provide penalties and rules of conduct 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 2
5/22/2012 States with Most Licensed Architects and Engineers • California • Texas • Illinois • Colorado • Washington California Statutes • Chapter 3 contains Architects Practice Act • Section 5510.1 requires the California A Architects Board to promulgate hit t B d t l t performance standards for the practice of architecture California Statutes (cont’d) • Chapter 7 Professional Engineers contains the Professional Engineers Act • Section 6716(a) requires the Board of Engineers, Land Surveyors and Geologists to promulgate rules and regulations of professional conduct 3
5/22/2012 Texas Statutes • Texas Statutes Chapter 1051 governs the regulation of Architects • 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 (cont’d) • Texas Statutes Chapter 1001, entitled The Texas Engineering Practice Act, governs engineers i • Section 1001.202 allows the Texas Board of Professional Engineers to promulgate any rule or bylaw to regulate the practice of engineering Illinois Statutes • 225 Illinois Code of Statutes 305 is the Architecture Practice Act of 1989 which governs the regulation of architects 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 4
5/22/2012 Illinois Statutes (cont’d) • 225 ILCS 325 is the Engineering Practice Act of 1989 which governs the regulation of engineers 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. Illinois Statutes (cont’d) • 225 ILCS 340 is the Structural Engineering Practice Act of 1989 which governs the regulation of Structural Engineers 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 • Colorado Statutes Sections 12-25-107, 108, 208, 307 and 309 govern engineers and architects d hi • Authorizes the Board of Licensure for Architects, Professional Engineers, and Professional Land Surveyors to regulate architects and engineers 5
5/22/2012 Washington Statutes • The Revised Code of Washington, 18.235.130 provides for the regulation of architects with respect to unprofessional hi i h f i l conduct. Washington Statutes (cont’d) • The Revised Code of Washington, 18.43.110 provides the Board of R Registration for Professional Engineers i i f P f i l E i and Land Surveyors with the power to discipline Engineers and Land Surveyors for violations of statutory and administrative codes of conduct California Administrative Code 16 CCR § 16 CCR § 160 Rules of Professional Conduct for Architects – competence – willful misconduct – conflict of interest – full disclosure – informed consent 6
5/22/2012 California Administrative Code (cont’d) 16 CCR § 475 Code of Professional Conduct - Professional Engineering – compliance with laws applicable to a project – conflict of interest – representations – document submittal Texas Administrative Code • Rules § 1.41 - § 1.152 govern professional conduct for architects: – professional misconduct – competence – recklessness – dishonest practice – conflicts of interest – responsibility to the architectural profession – malicious injury to professional reputation Texas Administrative Code (cont’d) • Rules § 137.37 – § 137.71 govern compliance and professionalism for engineers: engineers: – sealing misconduct – protecting the public – objectivity and truthfulness – competence – responsibility to the profession 7
5/22/2012 Colorado Administrative Code • Code of Regulations, Sections 3.0, 5.0 and 7.0 provide the rules of professional practice of architects and engineers: practice of architects and engineers: – ethical conduct – responsibility for seal – safe work product – caliber of association Colorado Administrative Code (cont’d) • Code of Regulations, Sections 3.0, 5.0 and 7.0 (cont’d) – compliance with applicable laws, regulations and codes – cooperation with board investigation Illinois Administrative Code • Section 1150.90 of the Illinois Administrative Code governs the standards of professional conduct for d d f f i l d f architects: – competence – conflict of interest – professional conduct 8
5/22/2012 Illinois Administrative Code (cont’d) • Section 1380.300 governs the standards of professional conduct for engineers in the areas of: the areas of: – professional responsibility – competence – professional integrity – conflict of interest – employment solicitation Washington Administrative Code • 196-27A-020 provides cannons and guidelines for professional conduct and practice to both Architects and Engineers: i b h A hi d E i – obligation to the public regarding honesty, fairness, safety of work product, competency, truthfulness in advertising and objectivity Washington Administrative Code 196-27A-020 (cont’d) – obligation to employer and clients regarding due care, clarity of scope of work, sealing of documents 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 9
5/22/2012 Washington Administrative Code • 196-27A-030 contains additional acts of misconduct for engineers: – aiding and abetting the unlicensed practice of g g p engineering – practicing with an expired, suspended, retired or revoked license – failing to correct documents or drawings with a known substantive error – modifying another's work without notifying Washington Administrative Code 196-27A-030 (cont’d) – using confidential information to make a profit – accepting or proposing a commission on a contingent basis under circumstances that 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 Ethical Areas of Concern – competence – conflicts of interest/fee issues – responsible control/signing & sealing – safety – advertising – responding to board during licensure complaints/investigations – expert opinion or opinions about other engineer's or architect's work 10
5/22/2012 Outline of an Administrative Complaint • Complaint Form • Board investigation for Probable Cause • Board Panel determination of Probable B d P l d i i f P b bl Cause – either dismissal or matter continues • Administrative Complaint from State Attorney General Outline of an Administrative Complaint (cont’d) • Administrative Law Hearing on disputed facts • Hearing before State Board of Engineers • Hearing before State Board of Engineers or Architects for determination of innocence or guilt* – *Appeal administrative punishment in State Court, if applicable Outline of an Administrative Complaint (cont’d) • If guilty of an infraction punishment – letter of reprimand, fine, suspension, revocation or termination revocation or termination • Compliance with punishment – Show attendance at continuing education classes 11
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