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1 PDH Ethics
Credit: 1 PDH
Course Fee: FREE
Course
The following cases have been obtained from different enforcement cases from the board of engineering. The names of the companies and individuals have been kept confidential. The purpose of the course is to remind the engineers what is ethical and what not to do.
Case: 1
It was alleged that Mr. John Doe prepared three sets of pond design plans in connection with a motel construction project that were not in compliance with the local codes; that he failed to sign and affix his seal to some of the plan sheets; and that the plans bore only the title block of a firm that did not have a Texas licensed professional engineer as full time employee.
It appeared that these actions were not in keeping with generally accepted engineering standards and procedures, indicated a lack of competency in detention pond design and aided and abetted the unlawful representation of the ability to offer engineering services to the public of Texas. The Board accepted an agreed Board Order signed by Mr. Doe for a three years probated suspension of his Texas Engineer license.
Case: 2
It was alleged that Mr. Smith in the capacity of an expert failed to personally verify the actual depth of piers that had been installed under the foundation of a residence; therefore it appeared that his statements in his draft expert witness report concerning the pier depths were misleading and his actions were not in keeping with generally accepted engineering standards and procedures.
The board accepted and agreed order signed by Mr. Smith and his attorney for a formal reprimand and assess him a $500.00 administrative penalty. Mr. Smith also agreed to submit a plan of action incorporating corrective measures implemented to prevent similar violations in the future.
Case: 3
It was alleged that Mr. Doe signed and sealed documents that were submitted to the Texas Natural Resources Conservation Commission (TNRCC) depicting proposed changes in ground storage tanks for a water distribution project which were not in compliance with TNRCC rules. The Board accepted and agreed Board order signed by John and his attorney for a Formal Reprimand.
Case: 4
The Florida Board of Professional Engineers accepted the volunteer surrender of Mr. Smith's Florida engineer license as a result of an investigation conducted by the Florida Board concerning allegations that smith violated Florida law in his capacity of as the structural engineer of record and threshold inspector for a construction in Florida.
Since the Florida Board viewed Smith's surrender of his Florida license as a disciplinary action and he was also currently licensed as a professional engineer in Texas, he was subject to disciplinary action by the Texas Board. The Board accepted a consent order signed by Mr. Smith and his attorney for a ten-year suspension of his Texas Engineer license; however, should he complete an engineering ethics course the suspension would be reduced to five years.
Case: 5
It was alleged that Mr. John Doe indicated on plans that the foundation design for a residence was based on upon Post-Tensioning Institute (PTI) recommendations; however, the geo technical report which formed the basis of his design was actually conducted 19 months prior to his design for a property several blocks away that he admitted that the foundation was under design; that his failure to provide calculations to support his design indicated that he may never have performed them; and that there may have been a conflict of interest regarding his role as a foundation designer and his owner ship of a concrete company. The Board accepted a Consent Order signed by Mr. Doe for a three-year suspension of his Texas engineer License with final 30 months to be fully probated contingent upon his payment of a $4000.00 administrative penalty and his submission of a plan of action incorporating corrective measures implemented to prevent similar violations in the future.
Case: 6
It was alleged that Jim provided professional engineering design services in connection with residential foundation design and exterior wall systems during a period when his Texas engineer license was expired. The Board accepted a Consent Order signed by Jim for a two-year probated suspension of his Texas engineer license contingent upon his payment of a $2000.00 administrative penalty.
Case: 7
It was alleged that Dr. Smith conducted an engineering inspection for his client in December 1998; but did not provide his client with his inspection report until February 2000. This Indicated that he was not acting as a faithful agent for his client and his actions were not in keeping with generally accepted engineering standards and procedures. The Board accepted a Consent Order signed by Dr. Smith for a formal reprimand.
Case: 8
Jon Doe Industries:
It was alleged that the firms use of the words "engineering" and engineers in its advertisements and stationary, and it's listing under the heading of "Engineering-Professional" in a local telephone directory during a period of time when it did not have a Texas licensed professional engineer as a regular full time employee, were unlawful representations of the ability to offer and/or provide engineering services for the public of Texas. The Board accepted an Agreed Board Order signed by John Doe, the firm's president and the firm's attorney, assessing the firm a $2000.00 administrative penalty.
Case: 9
I was alleged that Bob affixed his seal to a Texas Department of Insurance (TDI) form, WPI-2, indicating that he performed the construction review and inspection of a residence and certifying that the structure was erected in compliance with the Southern Standard Building Code (SSBC) wind load requirements.
After TDI performed a subsequent inspection of the residence finding that the structure did not follow SSBS prescriptive construction requirements, Bob was asked to provide calculations to justify his certification. However, he failed to provide the requested information. It was also alleged that Bob did not become involved with the inspection process until after the residence have already been framed and sheathed on an existing foundation; therefore he could not have inspected the residence during its construction. The Board accepted and Agreed Board Order signed by Bob for a three-year suspension of his Texas engineer license with the last two years to be probated contingent upon his payment of a $1000.00 administrative penalty.
Case: 10
It was alleged that John signed and affixed his engineer seal to electrical and mechanical engineering plan sheets for an addition and changes to an existing office building that were prepared by the electrical and mechanical contractors and not by him or under his direct supervision. It was also alleged that the mechanical plans did not meet minimum ventilation rate requirements required to comply with the 1997 International Mechanical Code. The Board accepted an Agreed Board Order signed by John and his attorney for a one-year probated suspension of his Texas engineer license contingent upon his payment of a $1000.00 administrative penalty and submission of a written plan of corrective measures implemented to prevent similar violations in the future.
Case: 11
It was alleged that Mr. Doe altered boundary information on Survey plats for a subdivision that had been prepared by a license surveyor, affixed a copy of the surveyor's seal to the plats and submitted the plats to county officials for approval without knowledge of the surveyor. The Board accepted a Consent Order signed by Mr. Doe for a one-year probated suspension of his Texas engineer license contingent upon his payment of a $1000.00 administrative penalty.
Case: 12
It was alleged that after Smith's Texas engineer license had been suspended due to a previous enforcement action and prior to the suspension being lifted, he continued to represent himself as an engineer, displayed the word "engineering" in his business name on company signs and subdivision design plans representing his firm as an engineering business when there were no other professional engineers as full time employee and continued to practice engineering. It was also alleged that Smith failed to respond to repeated requests from the Board for his response addressing these allegations. As a result of a Formal Hearing before the State Office of Administrative Hearings, the Board accepted the Proposal for Decision from the Administrative Law Judge and issued Smith a Final Order suspending his Texas engineer license for one year.
Case: 13
It was alleged that after Bob's Texas engineer license had expired and became non-renewable, Bob practiced engineering and represented that he was a Texas licensed professional engineer by affixing his Texas engineer seal to a site drainage plan sheet for a Texas project. The Board accepted a Consent Order signed by Bob to cease and desist from practice of engineering in Texas, from any and all representations that he can offer and/or perform engineering services in Texas and from affixing his Texas engineer seal to any document issued in Texas until such time as he becomes duly licensed as a professional engineer in Texas. Bob was also ordered to pay a $2500.00 administrative penalty.
Case: 14
It was alleged John failed to sign, date and affix his Texas engineer seal on mechanical and plumbing plans for a dormitory development project prior to their release to the public, nor did he properly caveat the plans to identify himself as the responsible professional engineer, the reason for releasing them without being sealed and the limitations on their use. It was also alleged that John did not list his firm's title block on the plans, which created a misleading impression about the individual or entity responsible for the engineering information. The Board accepted a Consent order signed by John for a formal reprimand and assessed him a $1000.00 administrative penalty.
Case: 15
It was alleged that Jim, the company's president, designed seven swimming pools and affixed a copy of a Texas Professional engineer's seal and signature that he had obtained from another source to the plan sheets which were submitted to a city for permitting. Board records did not show that Jim was licensed as a professional engineer in Texas nor that his company had Texas professional engineer as a regular full-time employee. The Board accepted an Agreed Board Order signed by Jim to cease and desist from any and all representations that his company can offer and/or perform engineering services and from the actual performance of engineering services until such time as the company hires a Texas licensed professional engineer as a regular full time employee, and to immediately discontinue the use of the Texas professional engineer's seal and signature on any and all documents. Jim also agreed to hire a Texas professional engineer to perform after the fact engineering inspections and issue certification reports for the five swimming pools that were permitted and constructed. The company was also ordered to pay a $5000.00 administrative penalty.
Case 16
It was alleged that Billy prepared an engineering design plan for a swimming pool and affixed a seal to the plan sheet identified himself as a professional engineer. Board records did not show that Billy was ever licensed as a professional engineer in Texas. The Board accepted a consent Order signed by Billy to cease and desist from the actual practice of engineering, from any and all representations that he can offer or perform engineering services and from identifying himself as any type of engineer not authorized by law. Additionally he was ordered to immediately destroy the seal that identified him as a professional engineer. Billy was also ordered to pay a $3500.00 administrative penalty.
Case: 17
It was alleged that John represented himself as being a professional engineer in Texas by affixing his State of Michigan engineer seal to the title page and three schematic floor plan drawings in an engineering report that was prepared under the direct supervision of a Texas licensed professional engineer for a Texas client. Board records did not show that John has ever been licensed as a professional engineer in Texas. The Board accepted a Consent Order signed by John to cease and desist from any and all representations that he can offer or perform engineering services until such time has he becomes licensed as a professional engineer in Texas and to immediately discontinue the use of his Michigan engineer seal on any all documents issued in Texas. John was also ordered to pay a $1500.00 administrative penalty.
Case: 18
It was alleged that the New Mexico Board of registration for professional engineers and surveyors had revoked Smith's New Mexico engineer license on September 1, 1993; however, he signed, dated and affixed his Texas engineer seal to an engineering document for his Texas client for an engineering client in New Mexico. This would constitute the unlicensed practice of engineering in New Mexico. It was alleged that his document contained engineering calculations that were not performed by Smith nor were they performed under his direct supervision. The Board accepted and agreed Board Order Signed by John and his attorney for a five-year suspension of his Texas engineer license with the final four years to be probated contingent upon his payment of a $2500.00 administrative penalty.
Case 19
Calgary, Alberta Canada:
It was alleged that John represented himself as a professional engineer by using the designation "P.E." after his name on documents sent to Texas clients and indicated he was or had been licensed in as a professional engineer Texas on his resume. It was also alleged that John practiced engineering by performing calculations, making interpretations and issuing conclusions regarding the analysis of turbine generator performance. Board records did not show that John has ever been licensed as a professional engineer in Texas. The Board accepted a Consent Order signed by John to cease and desist from the practice of engineering, from any and all representations that he can offer or perform engineering services in Texas and from using designation "P.E." after his name on any document issued in Texas. John was also ordered to pay a $5000.00 administrative penalty.
Case: 20
It was alleged that Jim signed and affixed his Texas engineer seal on electrical design plans prepared by his employees who were not licensed professional engineers for an elementary school project that contained numerous errors and code violations and were not in conformance with the school district's standard practices. Based upon the numerous deficiencies, it appeared that Jim was not qualified by education or experience to perform electrical engineering himself or to review and take responsibility for the electrical engineering design work performed by his employees. The Board accepted a Consent order signed by Jim for a two-year probated suspension of his Texas engineer license contingent upon his payment of a $4000.00 administrative penalty and his submission of a written plan of corrective measures he will implement to prevent similar violations in the future. Jim also agreed that during the probation period and after the provisions of Consent Order are fulfilled, he would not practice electrical engineering or affix his seal to electrical engineering design plans until he passes the national council of Examiners for Engineering and Surveying principals and practice examination in electrical engineering.
Case: 21
It was alleged that Billy signed his name and affixed his Texas Architectural seal to structural, mechanical, electrical and plumbing design plans for renovation of a commercial building. Based upon the size of the building, the structural, mechanical, electrical and plumbing designs were required by law to have been performed by a licensed professional engineer; therefore Billy's preparation of these design plans constituted the unlawful practice of engineering. The Board accepted a consent order signed by Billy and his attorney agreeing that Billy will not practice engineering outside the exemption listed in the Engineering practice Act and will refrain from making any and all representations that he can offer and/or perform engineering services until such time as he hires a Texas licensed professional engineer as a regular full time employee or until such time as he becomes a Texas licensed professional engineer. Billy also agreed to pay a $1000.00 administrative penalty.
Case: 22
It was alleged that Smith, who was not licensed as a professional engineer in Texas, signed an engineering report on behalf of the Company that he was working for and submitted to the company client. Board record did not show that Smith was licensed as a professional engineer in Texas nor did the report identify any of the company's Texas licensed professional engineers as being responsible for the engineering information contained in the report. Therefore it appeared Smith unlawfully practiced engineering through his preparation of the report and unlawfully represented his ability to offer and/or perform engineering services. The Board accepted a Consent order signed by the company's vice president of operations, also the company to cease and desist from allowing the company employees who are not licensed as professional engineers in Texas to sign and issue engineering reports or from any representation that its unlicensed employees have the ability to offer and/or perform engineering services for the public of Texas until such time as those employees become dully licensed as professional engineers in Texas. The company also agreed to pay a $2000.00 administrative penalty.
Case: 23
It was alleged that XYZ advertised itself as an architectural/engineering firm with over 20 years of engineering experience and submitted an invoice to a customer claiming to have provided engineering services and charging for an "Engineer" and an "Engineer seal." Board records did not show that Jim, the president of the company was licensed as a professional engineer in Texas nor that XYZ had a fulltime employee who was licensed as a professional engineer in Texas. Therefore the advertising and invoice represented an unlawful offer and/or attempt to practice engineering. The Board accepted a Consent Order signed by Jim to cease and desist from any and all representations that he or XYZ can offer and /or perform engineering services, to delete any references of engineering from his advertising and to end any current or future contractual obligations to perform engineering services until such time as he hires a Texas licensed professional engineer as a regular full-time employee. Jim also agreed to pay a $750 administrative penalty.
Case: 24
John-David-Bill, Inc.
It was alleged that site grading and drainage plans for two projects were submitted to the city of Brownsville, one set bearing John's signature and architect seal and the other bearing David's signature and architectural seal. The size and scope of the respective projects required that Texas licensed professional engineers prepare the grading and the drainage design plans. Board records did not show any of the three were licensed as professional engineers in Texas nor that their company had any regular full time employee who was licensed as professional engineers in Texas. Therefore it appears these individuals unlawfully performed engineering services and their respective plans were an unlawful representation of their company ability to offer and /or perform engineering services.
The Board accepted a Consent order signed by the president of the company to cease and desist from practice of engineering and from any and all representations that the company can offer of performing engineering services until the such time as the firm hires a full time employee who is licensed as a professional engineer in Texas. The company also agreed to pay a $2000.00 administrative penalty.
Case: 25
It was alleged that a subdivision plat prepared by John did not contain information in English and Spanish such as his certification of compliance and cost estimated regarding sewer and water service facilities. It was also alleged that eight lots were sold prior to the subdivision being legally plotted. These actions were contrary to state and local government codes, regulations, rules or ordinance. The Board accepted an Agreed Board Order signed by John and his attorney for a one-year probated suspension of his Texas engineer contingent upon his payment of a $1500.00 administrative penalty.
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