Common Licensure Laws and Rules Violations and How to Avoid Them

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1 Common Licensure Laws and Rules Violations and How to Avoid Them May 8, 2018 Richard L. Savoie, P.E.

2 Bossier Homer Ruston Monroe LAPELS BOARD Coyle - LS Pike - E Phillips - I Hale E New Roads Baton Rouge Lafayette Vosburg-C Knotts-G Fontenot-LS Richard - PP Carroll G Gonzales Benoit I PE members are nominated by LES PLS members are nominated by LSPS Krouse - PP

3 ENFORCEMENT PROCEDURES

4 LAPELS Disciplinary Authority La R.S. Title 37: Sections 698(A) & 700(A) Gives the Board the power to take enforcement action against licensees and non-licensees.

5 LAPELS Disciplinary Authority Disciplinary Action 698(B) shall include but not be limited to reprimand, probation, suspension, revocation of license or certificate, refusal to renew license or certificate, or fine in an amount not to exceed $5,000 per violation.

6 LAPELS Disciplinary Authority Disciplinary Action 700(B) shall include but not be limited to a fine in an amount not to exceed $5,000 per violation.

7 RECENT CASES

8 Violations Aiding and Assisting 21 CPD Violations 4 Expired Practice 2 False Statement at Renewal 4 Firm Violations 4 Gross Negligence/Gross Incompetence 4 Plan Stamping 4 Practicing When Not Qualified 2 Sealing Violations 4 Unlicensed Practice 24 Use of "Engineer" or "Surveyor"

9 Consent Orders Received CASE# 1: Consent Order issued to an unlicensed firm for practicing and/or offering to practice engineering and using the words engineer, engineering or any modification or derivative thereof in a person s name or form of business or activity in Louisiana without proper licensure. Since September 2010 the respondent has admittedly provided and/or offered to provide engineering services on 14 projects and used the word engineering to describe its services in Louisiana. Respondent is in the process of becoming licensed in Louisiana as a professional engineering firm. {La. R.S. 37:681 and La. R.S. 37:700(A)(1), (7) and (9), to wit Rule 2301(B)}

10 CASE#1: Consent Orders Received Cont d. Committee members: Mr. Phillips, Mr. Knotts, Dr. Hale Terms of Consent Order Fine of $2,500 Costs of $ Cease and desist Publication on LAPELS website/in Journal with name Report to NCEES with name Sanction Received Disciplinary Guidelines Variance Committee Motion

11 Consent Orders Received CASE#1A:Consent Order issued to a professional engineer for (a) aiding or assisting another person in violating the laws and/or rules of the Board and (b) failing to seal, sign and place the date of execution on engineering documents that have been issued by the licensee to a client or any public or governmental entity as complete work. Since September 2010 the respondent s unlicensed firm has admittedly provided and/or offered to provide engineering services on 14 projects and used the word engineering to describe its services in Louisiana. The firm is now in the process of being licensed in Louisiana as a professional engineering firm. Respondent was an employee, the Director of Engineering and the managing member of the firm. On or about May 2013 the respondent prepared and issued to his client a set of foundation stabilization plans for a project in Louisiana which did not contain the respondent s Louisiana PE seal and signature or date of execution. {La. R.S. 37:698(A)(6), to wit Rule 2701(A)(4)(a)(i) and R.S. 37:698(A)(12)}

12 CASE#1A: Consent Orders Received Cont d. Committee members: Mr. Phillips, Mr. Knotts, Dr. Hale Terms of Consent Order Fine of $1,000 (Note: Firm Fine was $2500) Costs of $ Louisiana Laws & Rules Quiz 90% + Louisiana Professionalism & Ethics Quiz 90% + Ensure firm s cease and desist Publication on LAPELS website/in Journal with name Report to NCEES with name Sanction Received Disciplinary Guidelines Variance Guidelines recommend minimum $1,500 fine in addition to recommend fine for aiding & assisting Committee Motion

13 Consent Orders Received Case #2: Consent Order issued to a professional engineer for practicing and/or offering to practice land surveying without proper licensure. In 2012 the respondent prepared, signed, dated and issued to his client a property boundary survey plat for property located in Louisiana. The plat included the respondent s name, address and PE number {LA. R.S. 37:681 and 37:700(A)(1)}

14 Case #2 Committee members: Mr. X, Mr. Y, Mr. Z Fine of $1,500 Costs of $ Committee Motion Terms of Consent Order Louisiana Laws & Rules Quiz 90% + Cease and Desist Either (a) hire a LA PLS to prepare a proper survey plat, properly file the new plat into the public record and provide satisfactory evidence of accomplishment of these requirements to the Board within 60 days, or (b) provide to the Board within 60 days a certified copy of a proper survey plat which has already been filed into the public record Publication on LAPELS website/in Journal with name Report to NCEES with name Sanction Received Disciplinary Guidelines Variance Not in Guidelines

15 Consent Orders Received CASE #3: Consent Order issued to a professional engineering firm for practicing and/or offering to practice engineering with an expired license. The firm s license was in expired status from October 1, 2013 through August 6, Between October 1, 2013 and August 6, 2014, the firm admittedly offered to provide engineering services in Louisiana and provided engineering services on approximately 17 projects in Louisiana. The firm states that all engineering services provided by the firm in Louisiana during this period were performed by and/or under the responsible charge of professional engineers who were properly licensed by the Board. {La. R.S. 37:698(A)(9) and (16)}

16 CASE #3: Consent Orders Received Cont d. Committee members: Mr. Knotts, Mr. Huval, Mr. Carroll Fine of $500 Costs of $ Terms of Consent Order Past unpaid renewal fees of $120 Louisiana Laws & Rules Quiz 90% + by its Supervising Professional Publication on LAPELS website/in Journal with name Report to NCEES with name Sanction Received Disciplinary Guidelines Variance Motion Required

17 Consent Orders Received Case #4: Consent Order issued to a professional engineering firm for providing or offering to provide engineering services in Louisiana with a firm name which is not the exact firm name contained on the firm s certificate of licensure issued by the Board. Since at least 2007 the Respondent has admittedly provided and offered to provide engineering services in Louisiana under the incorrect firm name. {La. R.S. 37:698(A)(6), to wit Rule 2307}

18 Consent Orders Received Case #4 Committee members: Mr. X, Mr. Y, Mr. Z Terms of Consent Order Sanction Received Disciplinary Guidelines Variance Fine of $1,000 Costs of $ Cease and Desist Publication on LAPELS website/in Journal with name Report to NCEES with name Committee Motion

19 Consent Orders Received CASE#5: Consent Order issued to a professional engineer for (a) fraud, deceit, material misstatement or perjury, or the giving of false or forged evidence, in applying for a renewal license, (b) gross negligence and gross misconduct in the practice of engineering, (c) approving and sealing design documents which were not safe for public health, property and welfare, which were not complete and accurate, which were not in conformity with accepted engineering standards or practice and/or which did not conform to applicable laws and ordinances, (d) sealing, signing and issuing engineering documents not prepared by the licensee or under his responsible charge and (e) failing to comply with the Board s CPD requirements. In 2013, the respondent sealed, signed and issued sets of engineering design plans for two metal buildings in Louisiana. The plans, which were submitted to the Louisiana State Fire Marshal for review, contained numerous material deficiencies, including violations of the NFPA Code, ADA Guidelines and the IBC.

20 Consent Orders Received Both sets of plans were prepared by unlicensed individuals who were not employed by the respondent. The respondent did not exercise responsible charge over the preparation of the plans by the unlicensed. The respondent has been designing buildings and/or building systems in Louisiana since at least In 2012, the respondent submitted to the Board his 2012 PE license renewal invoice, confirming that he had met the Board s CPD requirements for active status for the renewal period 10/1/10 through 9/30/12. In 2013, the Board audited the respondent s CPD records. The respondent failed to produce the appropriate documentation to prove that he had earned the required minimum of 8 PDHs in Life Safety Code, building codes and/or ADA Accessibility Guidelines for the renewal period of 10/1/10 through 9/30/12. {La. R.S. 37:698(A)(1),(2) and (6); Rules 2503(C) and (D), 2505(C), 2701(A)(3) and 3105(A)(2)}

21 CASE#5: Consent Orders Received Cont d. Committee members: Mr. Moore, Mr. Crosby, Mr. Phillips Terms of Consent Order PE license placed on probation for 3 years beginning January 1, 2017 Submit on a quarterly basis during probation a complete and detailed list of projects of which he provided engineering services during the preceding quarter Submit, within 5 days of request, all documents relating to any project on any of said quarterly lists of projects Pay-in-full any costs incurred by the Board in connection with reviewing said documents submitted by respondent Immediate suspension of PE license, if during probation period, respondent fails to comply with any portion of the Consent Order, with the suspension continuing until he complies Sanction Received Disciplinary Guidelines Variance Not in Guidelines Not in Guidelines Not in Guidelines Not in Guidelines

22 Case #6: Bad Apple A professional engineer (PE-XXXXX) and a professional land surveyor with an expired license (PLS- XXX), was subject to disciplinary action by the Board for (a) fraud, deceit, material misstatement or perjury, or the giving of any false or forged evidence, in applying for a renewal license with the Board, (b) gross negligence, gross incompetence and gross misconduct in the practice of engineering, (c) approving and sealing design documents which are not safe for public health, property and welfare, which are not complete and accurate, which are not in conformity with accepted engineering standards or practice, and/or which do not conform to applicable laws and ordinances, (d) sealing, signing or issuing engineering documents not prepared by the licensee or under his responsible charge, (e) performing services outside his area of competence and when not qualified by education or experience in the specific technical fields of engineering involved, (f) sealing or signing engineering documents dealing with subject matters in which he lacks competence, (g) falsifying or permitting the misrepresentation of his professional qualifications, (h) making exaggerated, misleading, deceptive or false statements or claims about professional qualifications, experience or performance in brochures, correspondence, listings, or other public communications, (i) failing to comply with the Board s CPD requirements, (j) using advertising or solicitation which is false or misleading and (k) practicing or offering to practice engineering when not qualified. PE-XXXXX has entered into a Consent Order with the Board, wherein he admitted to the referenced violations of the above laws/rules and agreed to permanently surrender his Louisiana professional engineer and professional land surveyor licenses; to no longer being permitted to practice engineering or land surveying in Louisiana; to return his Louisiana certificates of professional engineering and professional land surveying licensure and all professional engineering and land surveying seals to the Board; and to the publication of the Consent Order on the Board s website, the printing of a summary of this matter by name in this publication, and the reporting of this matter by name to NCEES.

23 Consent Orders Received CASE#7: Consent Order issued to an unlicensed firm for practicing and/or offering to practice engineering without proper licensure. Between January 2012 and July 2015 the respondent admittedly offered to provide engineering services in Louisiana and admittedly provided engineering services on 14 projects in Louisiana. Since at least 2011 respondent represented on its website that it offers complete turnkey design engineering, it provides custom engineered features and its team is comprised of engineers. Since at least 2011 respondent has maintained an office in Lafayette, LA. Respondent subsequently became licensed in Louisiana effective August 12, {La. R.S. 37:681 and La. R.S. 37:700(A)(1),(7) and (9), to wit Rule 2301(B)}

24 CASE#7: Consent Orders Received Cont d. Committee members: Mr. Phillips, Mr. Knotts, Dr. Hale Terms of Consent Order Fine of $1,500 Costs of $ Publication on LAPELS website/in Journal with name Report to NCEES with name Sanction Received Disciplinary Guidelines Variance Committee Motion

25 Results from a Formal Hearing CASE#8: The Respondent A professional engineer (PE-XXXXX) and professional land surveyor (PLS-XXXX), was subject to disciplinary action by the Board for failing to avoid and properly disclose a known or potential conflict of interest in connection with the practice of engineering in Louisiana (which also constituted gross misconduct) in violation of La. R.S. 37:698(A)(2) and La. R.S. 37:698(A)(6), to wit LAC Title 46:LXI 2507(A) and (B). In 2012, the Respondent prepared for his client a site development plan and related rezoning application for an office park in Louisiana, and then billed and received payment from the client for those services. In 2013, the Respondent participated (as an appointed member of a local planning commission in Louisiana) in the consideration of the client s plan during the commission s public hearing, voted to approve the client s plan during the hearing, and failed to inform the other members of the commission, the public or his employer prior to or during the hearing that he had prepared the plan and rezoning application for the client. Following a formal hearing, the Board issued final findings of fact and conclusions of law and a final decision and order, wherein the Respondent was found to have committed the referenced violations of the above laws/rules and was assessed the following sanctions: fine of $1,000; administrative costs of $6,764.90; order to avoid all conflicts of interest in the practice of engineering and land surveying; and the publication of the Final Findings of Fact and Conclusions of Law and the Final Decision and Order on the Board s website and the printing of a summary of this matter by name in this publication.

26 Results from a Formal Hearing CASE#8A: The Firm A professional engineering firm (EF-XXXX) and professional land surveying firm (VF-XXX), was subject to disciplinary action by the Board for having an officer, employee and supervising professional who failed to avoid and properly disclose a known or potential conflict of interest in connection with the practice of engineering in Louisiana (which also constituted gross misconduct) in violation of La. R.S. 37:698(C), to wit La. R.S. 37:698(A)(2) and (6) and LAC Title 46:LXI 2507(A) and (B). In 2012, the firm and its officer, employee and supervising professional (Respondent, PE, PLS) prepared for their client a site development plan and related rezoning application for an office park in Louisiana, and then billed and received payment from the client for those services. In 2013, Respondent participated (as an appointed member of a local planning commission in Louisiana) in the consideration of the client s plan during the commission s public hearing, voted to approve the client s plan during the hearing, and failed to inform the other members of the commission, the public or the firm prior to or during the hearing that he had prepared the plan and rezoning application for the client. Following a formal hearing, the Board issued final findings of fact and conclusions of law and a final decision and order, wherein the firm was found to have committed the referenced violations of the above laws/rules and was assessed the following sanctions: fine of $1,000; administrative costs of $6,758.30; order to ensure that its employees and representatives avoid all conflicts of interest in the practice of engineering and land surveying; order to have each of its supervising professionals successfully complete the Board s online Louisiana Laws and Rules Quiz; order to have each of its supervising professionals successfully complete the Board s online Louisiana Professionalism and Ethics Quiz; and the publication of the Final Findings of Fact and Conclusions of Law and the Final Decision and Order on the Board s website and the printing of a summary of this matter by name in this publication.

27 CASE#9: The Respondent A licensed engineer (PE XXXX) and land surveyor (PLS XXXX), was subject to disciplinary action by the Board for (a) committing gross negligence or gross incompetence in the practice of engineering in Louisiana in violation of La. R.S. 37:698(A)(2); (b) approving and sealing design documents which are not safe for public health, property, and welfare, which are not complete and accurate, which are not in conformity with accepted engineering standards or practice, or which do not conform to applicable laws and ordinances in violation of La. R.S. 37:698(A)(6), to wit LAC Title 46:LXI 2503(C), (c) a licensee s seal not being accompanied by the licensee s signature and date or the signature and date not being placed adjacent to or across the seal in violation of La. R.S. 37:698(A)(6), to wit LAC Title 46:LXI 2701(A)(2)(f), and (d) a licensee not sealing, signing and placing the date of execution on all engineering documents that have been issued by the licensee to a client or any public or governmental agency as completed work in violation of La. R.S. 37:698(A)(6), to wit LAC Title 46:LXI 2701(A)(4)(a)(i). In 2009 Mr. PE/PLS prepared, sealed, signed and submitted to the Louisiana State Fire Marshal engineering drawings which contained a number of material deficiencies, and in Mr. PE/PLS prepared, sealed, signed and submitted to a local government engineering drawings which were not signed by him on each page and which used an outdated building code. Mr. PE/PLS has entered into a Consent Order with the Board, wherein he admitted to the violations of the above laws and rules and agreed to surrender his Louisiana professional engineer license; to cease and desist the practicing of and/or offering to practice engineering in Louisiana on and after the surrender; to return his Louisiana certificate of professional engineering licensure and professional engineering seal to the Board; and to the publication of the Consent Order on the Board s website, the printing of a summary of this matter by name in this publication, and the reporting of this matter by name to NCEES.

28 CASE#10: The Respondent A licensed engineer (PE XXXX), was subject to disciplinary action by the Board for demonstrating a lack of good character and reputation in violation of La. R.S. 37:698(A)(6), to wit La. R.S. 37:693(C). In 2009 PE-XXXX was arrested for a physical and verbal altercation with his wife and was initially charged with domestic abuse battery, false imprisonment, and disturbing the peace with language. In 2010 PE-XXXX pled guilty to and was convicted of the misdemeanor of false imprisonment under the laws of the State of Louisiana. PE-XXXX had previously been arrested and charged with domestic abuse battery arising out of physical and verbal altercations with his girlfriend in 2002 and with his wife in PE-XXXX has entered into a Consent Order with the Board, wherein he admitted to the violations of the above laws/rules and agreed to pay a fine of $500; to pay administrative costs of $676.83; to his Louisiana professional engineer license being placed on probation for a period of one year; to the automatic and immediate revocation of his Louisiana professional engineer license if he is convicted of any crime during the probation period; to submit to the Board at the end of the probation period a notarized affidavit stating whether he had any criminal arrests, charges and/or convictions during the probation period (along with the details of any such arrests, charges and/or convictions); to successfully complete the Board s online Louisiana Laws and Rules Quiz; to successfully complete the Board s online Louisiana Professionalism and Ethics Quiz; and to the publication of the Consent Order on the Board s website, the printing of a summary of this matter by name in this publication, and the reporting of this matter by name to NCEES.

29 Question for Dual Licensees A Site Plan for the construction of a new building has boundary information shown on the plan (bearings and distances). Which seal (PE or PLS) should the licensee affix on the plan sheet?

30 SUPERVISING PROFESSIONALS

31 Section 2305 What are the responsibilities of the firm s designated supervising professional?

32 Section 2305 A. renew the firm s license and notify the board of any change in the firm s supervising professionals

33 Section 2305 B. institute and adhere to firm policies that are in accordance with the laws and rules of the board

34 Section 2305 C. ensure that all professional services provided by the firm are performed by or under the responsible charge of a licensed professional

35 Do -Responsible Charge- -Professional of Record- -Supervising Professional- Mean the same thing?

36 The answer is NO

37 How many supervising professionals does my firm need? At least one

38 Who should be a supervising professional? - Owner(s) or officer(s) of the firm (who are licensed) - Decision maker(s) - One for each location -MAYBE

39 FINAL THOUGHTS A potential Supervising Professional should be aware of the responsibilities in relation to the firm s actions and license. It is typical for a case to also be opened against the supervising professional when the firm has violated the laws or rules.

40 Thank You! 9643 Brookline Avenue - Suite 121 Baton Rouge, LA