Texas Board of Professional Engineers Professional Practice Update / Ethics Valarie Olfers

1. Texas Board of Professional Engineers Professional Practice Update / Ethics Valarie Olfers Investigator August 19, 2014 Engineering for a better Texas

2. Agenda • Responsibility / Professionalism and Ethics • Laws/Rules/Scenarios • Legislative News • TBPE Initiatives Engineering for a better Texas

3. Visibility of Professional Engineering • What is a P.E.? / What do they do? • How does the TBPE fit in? • Public Perception • Communication about Professional Engineering Engineering for a better Texas

4. History of TBPE • Created by Texas Legislature (45R) in 1937 • New London School Explosion • 300 students and teachers killed • Result of improperly designed mechanical and electrical devices • Established a Board to regulate the practice of engineering through licensing and rules of practice Engineering for a better Texas

5. 1937 Engineering for a better Texas

6. Engineering for a better Texas

7. Protect the Public • Licensing Engineers • Enforcement of Engineering Practice Act • Requiring Continuing Education • Providing Public Outreach Engineering for a better Texas

8. Protect the Public • Licensing Engineers • Technical Competence • Professionalism, Ethics, Character • Understanding of Laws and Rules • Approximately 3,200 applications / year Engineering for a better Texas

9. Engineering Competence • Protection of Public Health, Safety, Welfare • Professional Engineers must not practice outside of their competence • Competence is determined by experience, education and examination • Competence is an expectation of the public Engineering for a better Texas

10. Protect the Public • Compliance and Enforcement • 750 cases per year • Technical and Ethical • External and Internal complaints • Licensed and Unlicensed individuals Engineering for a better Texas

11. Engineering Ethics • Ethical behavior / Professionalism • Not just what we do, but how we are expected to treat clients/employers/public/other engineers • Most TBPE enforcement is related to ethics rather than technical incompetence • Laws and Rules Engineering for a better Texas

12. Public Perception of Engineers Engineering for a better Texas

13. Public Perception of Engineers • Honesty (Gallup Poll Nov. 2012) • Nurses • Pharmacists • Doctors • Engineers • Dentists • Police Officers • College Professors • Clergy Engineering for a better Texas

14. Public Perception of Engineers Survey by McKinley Advisors Engineering for a better Texas

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16. Engineering for a better Texas

17. Public Perception - Action National Academy of Engineering (NAE) Report June, 2013 • Messaging For Engineering: From Research to Action • “Highlighting the importance that engineers play in shaping our society’s future is critical to making progress toward the goal of greater public understanding of engineering,” said NAE President Charles M. Vest. “This requires greater effort from engineering programs, professional societies, industry, and others in the engineering community who want to promote a more dynamic image of the profession.” Engineering for a better Texas

18. Law and Rules • Board is authorized by the Texas Engineering Practice Act • Other statutes also apply to engineering (PSPA, etc.) • Board interprets and implements the statute to create Rules • Texas Professional Engineers are expected to know both Engineering for a better Texas

19. Know the Law PEs are required to know the Act, Board Rules, applicable state laws and local codes. Windstorm, Architectural Barriers/ADA, etc. If you have any questions about interpretation of the Act or Rules, contact us. Keep an eye on our emails and newsletter to make sure you know about changes. Engineering for a better Texas

20. Filing A Complaint Online, email, phone, facsimile, mail – all are acceptable for initial contact A complaint form or detailed letter/email is needed to cover all the bases Provide specific instances of violation Provide evidence to show probable cause Engineering for a better Texas

21. Complaint Process • If a complaint is filed against a PE or an unlicensed person • A letter would be sent from the Board explaining the charge in detail • Written response required • Providing as much documentation as possible • The person should be open, honest and forthcoming. Engineering for a better Texas

22. Enforcement Sanctions Reprimands (Formal and Informal) Suspension (possible probation) Refuse to Renew Revocation $5,000 per violation per day Cease and Desist Orders Emergency Suspension Engineering for a better Texas

23. Violations are Published • By law, all violations, except informal reprimands, must be published • On website by Board Meeting Date • Added to NCEES Enforcement Exchange (national database) • Published in the paper newsletter which is mailed at least annually and quarterly E-newsletter emails Engineering for a better Texas

24. Preventing Complaints CLEAR: Communication (between all parties) Contract (expectations and responsibilities) Calculations (do excellent work) Most importantly – know the law, and call if you have a question Engineering for a better Texas

25. Policy Advisory Opinions • Provision Added to TEPA in 2003 • Allows Board to develop formal written interpretations of law and rules • Specific or hypothetical situations • Interpretations – ‘Gray Areas’ • Policy Advisory Opinion Committee • Technical Experts Engineering for a better Texas

26. Policy Advisory Opinions • 1001.601 On its own initiative or at the request of any interested person, the board shall prepare a written advisory opinion about: • (1) an interpretation of this chapter; or • (2) the application of this chapter to a person in regard to a specified existing or hypothetical factual situation. Engineering for a better Texas

27. Policy Advisory Opinions • Steps • Request Opinion (instructions and form online) • Committee Review to Accept • Can it be answered by current law / rules? • Yes - Staff Response • No – Committee Liaison Assigned • Research • Stakeholder Contact / Meeting • Committee Approves Final Version • Posted on Website / Texas Register Engineering for a better Texas

28. Policy Advisory Opinions Engineering for a better Texas

29. Policy Advisory Opinions • Two Recent Examples • Industrial Exemption – Licensure • Licensure requirements for ‘Internal’ Engineers vs ‘External’ Engineers • Consultants providing ‘engineers’ to ‘exempt’ industries • Primarily Oil & Gas, but includes Manufacturing • Construction Management • What parts of Construction Management are engineering? Engineering for a better Texas

30. Policy Advisory Opinions • Information • All Policy Advisories at: • http://engineers.texas.gov/policy.htm • How to submit PAO Request / Forms at: • http://engineers.texas.gov/Policy_Advisory.htm Engineering for a better Texas

31. Scenarios • Continuing Education • PE designation • Sealing Rules • Professional Services Procurement Act • Engineering work review Engineering for a better Texas

32. Continuing Ed • You have been licensed for years and have recently changed jobs from consulting to working for a private company. • Your new coworkers are not licensed and practice under the Industrial Exemption. • You just turned 65 within the last year. • You want to maintain your license and keep it in Active status. Engineering for a better Texas

33. What should a Texas PE do? • Since you work for a company covered by the Industrial Exemption, you are exempt. • You are exempt because you are over 65. • You qualify for a reduced number of hours per year. • None of the above. Engineering for a better Texas

34. And the best answer is? • D – If you have an Active license in Texas the Continuing Education requirement applies. • Working for a company under the Industrial Exemption does not exempt you from Continuing Education requirements • Being over 65 does not exempt you from Continuing Education requirements Engineering for a better Texas

35. ContinuingEducation 15 hours – includes no more than 5 hours of self-study and must include one hour of ethics Random audits ongoing Keep documentation for 3 years PE is responsible; separate violations for claiming Continuing Ed without documentation TBPE does not have Approved Providers and does not pre-approve courses. Engineering for a better Texas

36. PE Designation You have a colleague that is a licensed PE in the state in Minnesota. He recently retired to Texas, but want to start a small consulting firm. He’s not sure if there’s a market yet, but wants to test the waters before investing too much. Engineering for a better Texas

37. What should a PE do? • Since he is a licensed PE in another state, no authorization from the TBPE is required for this situation. • He should obtain a Provisional License from the TBPE until he develops the business. • He should apply for a Texas PE license from the TBPE. • He should apply for a Texas Firm Registration from the TBPE. Engineering for a better Texas

38. Best Answers C and D A Texas PE license is required to practice engineering in Texas. A Texas Firm registration is required to offer engineering services in Texas. Texas does not issue Provisional licenses. Engineering for a better Texas

39. Seals Your lead engineer on a project has been overseeing all aspects of the design and construction. He has a severe health issue is keeping him from the job for an extended time at the same time that there is a deadline for plan submission. Engineering for a better Texas

40. What should a Texas PE do? • Ask an employee under his supervision to copy his seal and digital signature from the shared drive and use them. • Have the documents sent with his seal and assure the authority that he’ll come in to sign them later. • Mark the plans as “preliminary” • Negotiate a new deadline • Sign and seal the plans yourself before the deadline. Engineering for a better Texas

41. Best Answers C or D – Mark as preliminary or renegotiate the deadline 137.33(d): License holders shall take reasonable steps to ensure the security of their physical or electronic seals and electronic signatures; 137.33(e): Preliminary documents are not sealed. 137.33(f): Sealed documents require a signature. Only the licensee may use his or her seal. 137.33(a): A PE can only sign and seal their own work or work under direct supervision. Engineering for a better Texas

42. A Twist What happens if the PE never returns to work? Another PE can sign and seal the work if the PE performs sufficient calculations to verify the accuracy of the engineering work and make it his own work. Engineering for a better Texas

43. PSPA The City of Anywhere, TX, has a need for a new wastewater treatment plant. The city put out a Request for Proposal (RFP) requiring a list of qualifications of the firm and employees, a list of past projects, estimate on hours to design the system, and a schedule of hourly fees for categories of service including engineering design. Engineering for a better Texas

44. What should a Texas PE do? • Provide an accurate cost estimate using your best engineering judgment. • Provide a packet of costs and estimates from similar privately funded projects that you worked on. • Provide information regarding qualifications, but no cost information. • Provide general information about what you charge for this type of work, but not specific to this project. • Remind the requestor of PSPA requirements. Engineering for a better Texas

45. Best Answer C and E The Professional Services Procurement Act (PSPA), Chapter 2254 of the Texas Gov’t Code does not allow a government entity to request information that may assist in determining costs, such as a schedule of fees. Section 137.53 of the Board Rules requires a PE to comply with PSPA and not submit pricing info. Engineering for a better Texas

46. Review • You are a licensed Professional Engineer hired by a foundation repair company to perform some forensic reviews and make recommendations for repairs on 5 private dwellings. • Local officials require a PE seal on the plans. • The reviewing authority does not have PEs on staff. • You know that a seal is not required by TBPE Board rules. Engineering for a better Texas

47. What should a Texas PE do? • Submit the plans without a seal. • The authority cannot require a seal since they have no PE to review the work. • Since you are not required to seal the documents by Board rule, a cursory review is sufficient. • Perform the work and seal the plans for submission. • Notify the Board that the reviewing authority is practicing engineering without a license. Engineering for a better Texas

48. Best Answer • D • A local government has the authority to place requirements on work done in the jurisdiction beyond that specifically authorized under the Act • A non-PE may review an engineer’s work for code compliance. • An engineer’s seal represents quality. All sealed documents are correct to the engineer’s knowledge. Engineering for a better Texas

49. A Twist Upon review, the authority approved your plan and the client started the work. During the construction, the contractor contacts you to inform you that your sealed, approved documents contain errors. What is your responsibility? Fix it! Approval by the reviewing authority does not absolve a PE of his or her ethical responsibilities. Engineering for a better Texas

50. Legislative News Engineering for a better Texas