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Texas Board of Professional Engineers Professional Practice Update / Ethics Dave Daigle Director Compliance and Enforcement June 2017 http://engineers.texas.gov/outreachsurvey
Texas Board of Professional Engineers
Professional Practice Update / Ethics
Dave Daigle
Director Compliance and Enforcement
June 2017
http://engineers.texas.gov/outreachsurvey
AGENDA
•About the Board•Competence•Legislative Update•Decoupling•Board Initiatives
Website and Social Media
http://engineers.texas.gov
• Facebook: Texas Board of Professional Engineers
• Twitter: TBPE_Exec
• LinkedIn: Texas Board of Professional Engineers
• RSS Feed on our website: http://engineers.texas.gov
• YouTube: https://www.youtube.com/channel/UCm0YTnjR3StveBxWhCT4MiA
TBPE
Celebrating
80 Years of Engineering a Better
Texas
1937 - 2017
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
1937
TBPE HISTORY
First Texas PE
T. U. Taylor
BOARD – 1937TEXAS STATE BOARD OF REGISTRATION FOR
PROFESSIONAL ENGINEERS
W. W. Trout - Chairman
Carl Svensen - Vice Chair
F.E. Rightor - Secretary
George R. Brown
Ed. Connor
J.S. Hudnall
TBPE HISTORY
867 individuals registered on 1st roster published 02/12/1938
Over 125,000 Texas licenses granted since
TEXAS BOARD OF PROFESSIONAL
ENGINEERS
Nine Members - Appointed by Governor
• 6 Licensed Professional Engineers
• 3 Public Members
• Standard term is 6 years
TBPEDaniel O. Wong, PhD, PE Houston - Chairman
Sockalingam “Sam” Kannappan, PE Baytown - Vice Chair
Sina K. Nejad, D.Eng, PE, Peng Beaumont - Secretary
Edward Summers, PhD (public member) Austin - Treasurer
Lamberto “Bobby” Balli, PE San Antonio
Catherine Norwood, PE Midland
Elvira Reyna (public member) Denton County
Kyle Womack, PE Midland
Albert Cheng (public member) Houston
TBPE STAFF
31 Staff members, Austin
Lance Kinney, PhD, PE - Executive Director
David Howell, PE – Deputy Executive Director
Dave Daigle - Compliance & Enforcement
Rick Strong, PE - Licensing
Janet Sobieski - Operations
BOARD PRIMARY FUNCTIONS
Since 1937 -
– License Qualified Engineers
– Enforce Engineering Practice Act
Since 2005 -
– Requiring Continuing Education
Now
– Educate – PEs, Officials, Potential PEs, Public
COMPETENCE
Noun -
the ability to do something successfully or
efficiently.
“Everybody’s got a different circle of competence. The important thing is not how big the circle is. The important thing is staying inside the circle.”
— Warren Buffett
Engineering Competence
• Protection of Public Health, Safety, Welfare
• Texas does not license by discipline, but Professional Engineers must not practice outside of their competence.
– §137.59(a) Engineers shall practice only in their areas of competence.
• Competence gained by Education and Experience; Measured by FE and PE examinations
• Competence is an expectation of the public
Competence
Scenario
• Texas licensed PE designed a municipal parking structure.
• After construction, significant cracking and other performance issues were observed.
• The Board opened a staff initiated case based on news articles.
CompetenceScenario
• Staff investigators contacted the city to determine the extent of the failures and obtain design documents.
• Board records show that the engineer had listed structural engineering competence based on experience and exam.
• A TBPE Technical Expert was engaged to analyze the designs
– Design errors were noted, which, if not remedied would created an unsafe structure.
CompetenceScenario
• The city, contractors and engineering company worked together to remedy and resolve design issues and make the structure functional and safe.
• The PE involved no longer works for the firm.
• So… What should the TBPE do???
CompetencePotential Actions
A. Consider the matter resolved.
B. Pursue enforcement against the design engineer.
C. Pursue enforcement action against the firm.
D. Pursue enforcement actions against the engineer and firm for PSPA violations.
E. None of the above.
CompetencePotential Actions
B - Pursue enforcement against the design engineer.
• The design engineer is ultimately responsible.
• Competence and Protection of the Public are expectations regardless of legal action or ultimate remediation.
• No Firm violations or PSPA issues were noted.
CompetenceEnforcement Rules
Which rules do you think were violated?
• 137.55(b) - Engineers shall not perform any engineering function which, when measured by generally accepted engineering standards or procedures, is reasonably likely to result in the endangerment of lives, health, safety, property, or welfare of the public.
• Yes.
• The Board determined during its investigation that the engineer’s design was inadequate, which created a situation that could harm the public.
CompetenceEnforcement Rules
Which rules do you think were violated?
• 137.59(a) - Engineers shall practice only in their areas of competence
• No.
• Although the design was flawed, the engineer had, during the licensure process demonstrated minimum competence in structural engineering.
CompetenceEnforcement Rules
Which rules do you think were violated?
• 137.63(b)(6) - The engineer shall practice of engineering in a careful and diligent manner.
• Yes.
Enforcement - Filing A Complaint
• Mail, email, phone, facsimile – all are acceptable for initial contact
– Anonymous complaints are accepted
• A complaint form or detailed letter/email is needed to cover all the bases
– Forms can be found Online
• Provide specific instances of violation
• Provide evidence to show probable cause
Board Actions
• Reprimands (Formal and Informal)
• Suspension (possible probation)
• Refuse to Renew
• Revocation
• $5,000 per violation per day
• Cease and Desist Orders
• Emergency Suspension
Additional Enforcement Options
• Ethics Courses
– National Institute for Engineering Ethics (Texas Tech)
• Technical Courses
• Restitution
• Practice limitations
• Civil or Criminal cases
– Assisting Jurisdictional Authorities
Enforcement
By law, all violations, except informal reprimands, must be published
– On TBPE website by Board Meeting Date
– Added to NCEES Enforcement Exchange (national database)
– Published in the newsletter which is mailed at least annually and quarterly E-newsletter emails
Preventing Complaints
• CLEAR:
– Communication (between all parties)
– Contract (expectations and responsibilities)
– Calculations and designs (be prepared to support)
• Keep your Documentation
Most importantly – know the law, and contact us if you have a question!
Enforcement
• Ethical Behavior
– 62,900 licensed PEs 83% Active(01/01/2017)
• ~600 Cases opened last year
– About 65% resolved with Voluntary Compliance
– Less than 10% Dismissed
Professionalismscenario - misleading
• You work for a multi-discipline engineering firm
• The firm has worked numerous large projects across Texas involving civil, mechanical, electrical and structural
Professionalismscenario - misleading
• Your former co-worker who worked in the civil area started a new sole practitioner firm.
• In his advertising, he mentions working for the previous firm and all of their big projects.
• He claims to be a full service engineering provider. Offers multi-discipline engineering.
Professionalismscenario - misleading
A. He can do it. He was part of those projects. As long as he has friends he can call for other disciplines, he can offer it.
B. He can say that he worked on the projects, but not imply that he and the new firm can do it all.
C. He shouldn’t refer to their work at all. It would be a conflict of interest.
D. He should only offer civil engineering work.
E. None of the above.
Professionalismscenario - misleading
A. He can do it. He was part of those projects. As long as he has friends he can call for other disciplines, he can offer it.
B. He can say that he worked on the projects, but not imply that he and the new firm can do it all.
C. He shouldn’t refer to their work at all. It would be a conflict of interest.
D. He should only offer civil engineering work.
Educate
PEs, Officials, Potential PEs, Public
• What is a P.E.? / What do they do?
• Public Perception
• The Value of Licensure
• How does the TBPE fit in?
Educate
• Engagement
• Outreach
– Presentations, webinars, publications
• Advisory Groups
– Working with customer groups directly
– Government, Academia, Industry, Future Engineers
Engagement –Professional and Technical Organizations
• Rule 137.63(a) – [Engineers] should attempt to enhance society’s awareness of engineers’ responsibilities to the public and encourage the communication of these principles of ethical conduct among engineers.
• Training and Continuing Education
• Engineering Policy
• Latest Technical Information
• Engineering Networking / Mentoring / References
Outreach Publications
Working with Government
• Government Advisory Group
– State agencies, Cities, Counties, School Districts
• TBPE Outreach
– Building Officials
– Texas Municipal League, etc.
• What we can do for them
– When PE is required on projects / public works
– Better understanding of State Laws
– The role of a Professional Engineer
Professional Services Procurement Act
(PSPA)
• Qualifications Based Selection (QBS) for engineering on public projects
• Responsibilities of Professional Engineers
• Responsibilities of Public Officials in RFQ / RFP process
PSPA - Question
Which of the following are under PSPA requirements?
A. Pavement aggregate lab testing.
B. Design of a national hamburger franchise.
C. Building design on a US Air Force Base in Texas.
D. Environmental Assessment for city development
E. None of the above
PSPA - Answers
A. Pavement aggregate lab testing– Maybe. Depends on if it is ONLY testing or includes engineering
recommendations.
B. Design of a national hamburger franchise. – No.
C. Building design on a US Air Force Base in Texas.– No. Engineering done on federal land is covered by different law
(Brooks Act)
D. Environmental Assessment for city development– Maybe. Depends on scope. Phase 1, Phase 2 or Phase 3.
Continuing Education
• 15 hours• Must include 1 hour of Ethics
• May include up to 5 hours of self-study
• May include up to 3 hours of Educational Outreach
• Random audits ongoing
• Keep documentation for 3 years
• Fines as high as $5,000; separate violations for claiming Continuing Ed without documentation or not responding to Board.
Continuing Education
Exemptions - must be claimed when you renew
• 1st renewal after passing the PE exam for licensure
• Active duty military deployment
• Disability
• Inactive status
• Being over 65 is not an exemption for Continuing Ed
Continuing Education
• New NCEES system for Continuing Professional Competence (CPC) tracking and reporting• No fee to register and create an account
• Upload documentation
• Report as needed for different Boards
– http://ncees.org/cpc/
Continuing Education
Continuing Education
Continuing Education
Licensing
Did you know???
• Only about 20% of US engineers are licensed.
Bureau of Labor Statistics (2015)
• 144,000 engineers in Texas– Civil – 25,400
– Petroleum - 18,000
– Industrial – 14,500
Conflict of Interestscenario
• You are a Texas PE and project manager for a large firm.
• You get a contract for an addition at a local church building.
• When it is time to select a contractor, you prepare a Request for Proposal (RFP).
Conflict of Interestscenario
• Your Brother-in-Law, who is also a Texas PE, runs one of the best construction contracting businesses in the county and wants to get this contract.
Conflict of Interestscenario
A. Go ahead without any additional actions.
B. Notify the client verbally of the potential conflict.
C. Notify all parties in writing of the potential conflict.
D. Tell your brother in law not the bid on the project.
E. None of the above.
Conflict of InterestAnswer
C - Notify all parties in writing of the potential conflict.
137.57(d) – client must acknowledge the potential conflict in writing.
• Can you proceed with the RFP?
Yes.
• Can your brother-in-law do the work?
Yes. If properly selected.
Sealingscenario
• You are a Texas PE that is lead on a project overseeing all aspects of the design and construction.
• There is a deadline for preliminary plan submission.
• The city requires an engineering seal on all plans submitted for review.
Sealingscenario
True or False?
The City is in violation of Board Rules by asking for a seal on a preliminary document.
False – A city or local government can ask for more than the minimum requirements in the Act and Rules.
Sealingscenario
True or False?
You are in violation of Board Rules if you put a seal on a preliminary document.
False – Board Rule 137.33(e) requires that preliminary documents be marked as such. They do not prohibit the use of the seal.
Sealingscenario
• After the project is complete, the city requires an official, final digital copy of the plans without a seal.
• Can they do that?
• No. As stated previously, a city can add requirements, but cannot reduce Board requirements.
SealsWhich of These is Correct?
A B
C D
Best answers?
• A or B
• 137.33(f) License holders shall affix their seal and original signature or electronic seal and signature with the date on the final version of their engineering work before such work is released from their control.
• (1) The signature and date shall not obscure the engineer's name or license number in the seal.
• Firm name and number are required on sealed documents, but do not have to be part of the seal itself.
Policy Advisory Opinions
• Provision Added to TEPA in 2003
• Allows Board to develop formal written
interpretations of law and rules for specific or hypothetical ‘Gray Areas’
• Over 30 interpretations for a variety of subjects
– http://engineers.texas.gov/policy.htm
• How to submit PAO Request / Forms at:
– http://engineers.texas.gov/Policy_Advisory.htm
Legislative News
and
Rulemaking
Legislation 84th Session (2015)
• Session ended June 1, 2015
• Bills affecting engineering or the Engineering Practice Act were tracked on the TBPE website.
– Professional Fee repeal
– Windstorm Roster repeal
– PE Indemnification related to state contracts
– Applications from engineers with Military Service
– Unmanned Aerial Vehicles used for engineering
– Structural Engineering (filed but not passed)
– SDSI changes (filed but not passed)
Legislation 85th Session (2017)
• Bill filing began November 14, 2016
• Session started January 10, 2017
• Last filing date March 10, 2017
• Regular session adjournment May 29, 2017
• TBPE tracks filing and activity
• Will post any bills affecting the engineering community on its website.
Recent Rules - Decoupling
Adopted February - Effective May, 2016
– Allows PE exam to be taken while experience is being obtained. Must be a Texas EIT.
– Increased flexibility for applicants
– Does not reduce licensing requirements.
– October 2016 PE Exam is the first affected
• Almost 3000 registered, over 1,600 EITs
• NCEES expanded Texas sites
Decoupling
NCEES
• Decoupling
• More states, expanded exam sites
• NCEES Records Changes
• CPC activity tracking system
• CBT – Computer Based Testing
• Fundamentals of Engineering exam 2014
• 6 Hour Exam / year-round starting in 2016
• PE exams to be converted starting in 2018
Engagement - Webinars
• PE Ethics
– March, June, September, December
– Sign up online
• FE Exam / Why become a PE? (Students)
• How to Apply (EITs)
Engagement
Outreach
• Quarterly Webinars
• Includes K-12 / E-Week
Fiscal Year Attendees Presentations
2013 11,559 177
2014 14,866 155
2015 19,751 150
2016 19,429 138
1917 S Interstate 35, Austin, TX 78741Phone: 512-440-3087
http://engineers.texas.gov/outreachsurvey
Thank You
