Common Violations of Ohio`s Registration Act and the Code of

Ethics for Engineers and Their
Support Staff
June 2016
John F. Greenhalge
Executive Director
State Board of Registration for Professional
Engineers and Surveyors
Board Facts- Licensees
• 28,609 individual PE and PS registrants
– 26,540 professional engineers
– 1,365 professional surveyors
– 704 duals (PE & PS)
• 3,007 licensed engineering & surveying firms
Board Mission
Protect safety, health and welfare of the public
1. Establishing minimum qualifications for entry into the
profession
2. Adoption of rules defining and delineating unlawful and
unethical conduct
3. Effective and accountable disciplinary process for those
individuals or entities that violate the laws and rules
Board Functions
• Evaluation of applications & credentials
– Exams, out-of-state applicants, engineering & surveying
firms
• Licensing
– Biennial renewals and reinstatements for individuals and
firms
• Continuing professional development
• Exam development & administration
• Law enforcement
Code of Ethics for Professional
Engineers and Surveyors
O.A.C. 4733-35
Know the Laws & Rules
Ohio Administrative Code 4733-35-01:
The engineer or surveyor, who holds a certificate of
registration from the state board of registration for
professional engineers and surveyors, is charged with having
knowledge of the existence of the reasonable rules and
regulations and shall be familiar with their several provisions
and to understand them.
Where to Find Information?
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Board website- www.peps.ohio.gov
Board newsletter
Board Facebook page
Twitter
Press releases
Technical and Professional associations
Responsibility to the Public
[OAC 4733-35-03]
Protect safety, health and welfare of the public in the
performance of your professional duties
What do you do if you discover, or
suspect, that an individual or firm
may have violated the Registration
Act?
Contacting the Board 4733-35-07
If the engineer or surveyor has knowledge or
reason to believe that another person or firm is
violating RC 4733 or the rules of professional
conduct, he or she shall present this information
to the Board in writing.
Responsibility to the Public (cont.)
Should the case arise where the safety, health and
welfare of the public is not protected, the engineer
or surveyor shall:
• Sever relationship with employer or client
• Refuse to accept responsibility for the design, report
or statement
• Contact the Board and other proper authorities
Who are the proper authorities?
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Supervisor/Manager
The Board
Government agencies/regulatory bodies
Public officials
Law enforcement
What to look for when reviewing plans :
• Engineering plans/survey plats sealed by a PE/PS with
active registration in Ohio
• The firm is registered with the Board and has active
Ohio COA
• PE is not sealing plans/work product in multiple
disciplines
• Work product is prepared within accepted standards
of practice/complies with minimum standards
• Corrections to plans/plats/work product handled by
PE/PS
Application Problems
and Fraud
Requirements for Registration
R.C. 4733.11
(B) The state board of registration for professional engineers and surveyors shall consider an applicant
to be qualified for registration as a professional surveyor if the applicant satisfies all of the requirements
listed in either division (B)(1) or (2) of this section as follows:
(1) (a) Graduation from an approved curriculum in surveying of four years or more;
(b) A specific record of four years or more of surveying office and field experience completed in addition
to, and not overlapping in time, any school work completed under division (B)(1)(a) of this section that
is of a character acceptable to the board, at least two years of which shall be after college graduation,
with at least two of the four years of work in the surveying of land boundaries under the direct
supervision of a professional surveyor, who may indicate in writing that the applicant is competent to be
placed in responsible charge of the work;
(c) Passing the prescribed examinations under divisions (A) and (C) of section 4733.13 of the Revised
Code.
Applications for Registration
What are we looking for on applications:
• Four years of progressive engineering/surveying experience.
• Experienced gained on a full-time basis under the direction of
a professional engineer or professional surveyor.
• Experienced gained at a firm licensed to practice, unless
exempt.
• Experience cannot be obtained in violation of the Registration
Act.
• The PE/PS signing the application is certifying to the
completeness and accuracy of the information provided on
the application.
Requirements for Registration
• R.C. 4733.11 (E) No person is eligible for
registration as a professional engineer, or
professional surveyor, who is not of good
character and reputation.
Certifying Experience on Registration
Applications
• R.C. 4733.12 (A) Applications for registration as a
professional engineer or professional surveyor shall be on
forms prescribed and furnished by the state board of
registration for professional engineers and surveyors, shall
contain statements made under oath setting forth the
applicant’s education and a detailed summary of the
applicant’s engineering or surveying experience as
appropriate, and shall contain not less than five references, of
whom three or more shall be professional engineers or
professional surveyors having personal knowledge of the
applicant’s engineering or surveying experience. The
application shall be accompanied by a nonrefundable
application fee, which shall be established by the board at an
amount adequate to cover the costs of processing the
application.
Certifying Experience on Registration
Applications
R.C. 4733.20
(A) Pursuant to this section, the state board of registration for
professional engineers and surveyors may fine, revoke, suspend,
refuse to renew, or limit the registration, or reprimand, place on
probation, deny an applicant the opportunity to sit for an
examination or to have an examination scored, or impose any
combination of these disciplinary measures on any applicant or
registrant, or revoke the certificate of authorization of any holder
found to be or to have been engaged in any one or more of the
following acts or practices:
(1) Any fraud or deceit in obtaining registration or a certificate of
authorization;
Certifying Experience on Registration
Applications
OAC 4733-35-01:
• The engineer or surveyor, who holds a certificate of registration
from the Ohio state board of registration for professional engineers
and surveyors, is charged with having knowledge of the existence of
the reasonable rules and regulations hereinafter provided for his or
her professional conduct as an engineer or surveyor, and also shall
be deemed to be familiar with their several provisions and to
understand them. Such knowledge shall encompass the
understanding that the practice of engineering, or of surveying, is a
privilege, as opposed to a right, and the registrant shall be
forthright and candid in statements or written responses to the
board or its representatives on matters pertaining to professional
conduct.
Certifying Experience on Registration
Applications
OAC 4733-35-09:
• Each registrant or licensee shall cooperate with the
board in its investigation of complaints or possible
violations of Chapter 4733. of the Revised Code. This
cooperation shall include responding timely to
written communications from the board, providing
information or documents requested within thirty
days of the date on which the communication was
mailed, and appearing before the board or its
designee upon request.
Certifying Experience on Registration
Applications
R.C. 2921.13 Falsification
(3) The statement is made with purpose to mislead a
public official in performing the public official's official
function.
(5) The statement is made with purpose to secure the
issuance by a governmental agency of a license, permit,
authorization, certificate, registration, release, or
provider agreement.
APPLICATION 1
• Surveying experience reported on June 2015 PS
exam application:
Dates
4/2006 to 2/2013
Total months
82 months
Percent Surveying
Total Surveying
30%
24.6 months
Total Surveying Experience Claimed 24.6 months
• Surveying experience based on December 2010 PE
exam application information:
Dates
4/2006 to 12/2009
1/2010 to 2/2013
Total months
44
38
Percent Surveying
5%
30%
Total Surveying Experience Claimed
Total Surveying
2.2 months
11.4 months
13.6 months
• Surveying experience based on supplement
provided by supervisor on December 2015:
Dates
4/2006 to 12/2009
1/2010 to 2/2013
Total months
44
38
Percent Surveying
5%
20%
Total Surveying Experience Claimed
Total Surveying
2.2 months
7.6 months
9.8 months
• Went from 24.6 months of surveying
experience to 9.8 months.
APPLICATION 2
RESULTS
• Surveying experience listed on Idaho PE exam application
dated Oct 2007:
0
• Surveying experience claimed on Ohio PS exam
application dated November 2015:
18 months @ 85% = 15.3 months
21 months @ 15% = 3.15 months
23 months @ 40% = 9.2 months
Total surveying experience credit = 27.65 months
Engineering & Surveying Firms
Certificates of Authorization
• Any firm offering or providing engineering or
surveying services in Ohio must obtain a C of A
• Any firm using the term engineer, engineering,
surveyor or surveying or any modification of these
terms in the company name must obtain a C of A
Certificates of Authorization (cont.)
• The Board recently was advised by legal counsel that
the term firm, as used in R.C. 4733.16 includes sole
proprietorships in Ohio.
• Result- All sole proprietorships are required to obtain
a certificate of authorization to practice engineering
and/or surveying in Ohio.
Certificates of Authorization (cont.)
• Must designate one or more full-time partners,
managers, members, officers or directors as being
responsible for and in responsible charge of
engineering and surveying activities and decisions
• Important- Responsible charge means being in
control of, accountable for and either in direct or
indirect supervision of the engineering and/or
surveying activities of the business enterprise.
Certificates of Authorization (cont.)
• Important- Full-time is defined as working
more than 30 hours per week or working
substantially all the engineering or surveying
hours for the firm
COA Audits
• Audit of firm’s records to verify compliance with COA
requirements
• Types of records: payroll records including
timesheets, state, local and federal taxes, social
security tax, Medicare tax, state unemployment,
workers compensation, healthcare coverage
• Interview of current and former employees
Sealing Engineering &
Surveying Work Product
Improper Conduct
(OAC 4733-35-07)
A. The engineer or surveyor shall not sign and seal professional
work product for which he or she does not have personal
professional knowledge and direct supervisory control and
responsibility. The engineer or surveyor shall not sign work
unless it was prepared under his or her supervision and
direction. The engineer or surveyor shall be involved in the
project and must be closely involved in the preparation of
the work product.
Plan-stamping
• Demonstrated when a professional engineer or
professional surveyor places his or her registration
seal on any drawings, designs, plats, descriptions
and/or specifications that he or she did not author or
for which he or she did not have personal
professional knowledge and direct supervisory
control and responsibility.
Personal Professional Knowledge
• Professional engineer or professional surveyor has been
personally retained by an owner, registered design
professional or a design/build contractor
• Personally aware of a project’s scope, needs, parameters,
limitations and special requirements
• Professional engineer or surveyor contracts with the owner
for all professional services to be rendered and then
subcontracts out services such as drafting as needed
Direct Supervisory Control & Responsibility
• Work product prepared under the professional’s
supervision and direction
• The professional is the author of the plans or work
product
• Closely involved in the project from its inception to
its completion
Seals R.C. 4733.14
ORC 4733.14 Protection and Use of Seal
• All engineering and surveying work product must be
signed, sealed and dated
• Work product- includes plans, specifications, plats,
reports and all other work issued by the registrant
• Registrant is responsible for safeguarding their
personal seal
• Cannot use seal if expired, suspended or revoked
OAC 4733-23-01 Registrant’s Seal
• By affixing their seal to any document, the registrant certifies
to the accuracy and completeness of the information
contained in the sealed document and assumes full
responsibility.
• Computer generated seals and electronic signatures shall
have an electronic authentication process attached to or
associated with the electronic document.
• The electronic signature must be unique to the person using
it.
Modifying Drawings
• There are several instances where a professional engineer or
surveyor may be asked to take over the design of a project
because the initial professional engineer is no longer available
due to death, retirement, disability, contract termination, etc.
• When a professional engineer or surveyor is asked to take
over the design of a project or provide certifications or
reviews, the professional should carefully evaluate the project
to determine if the matters are within the professional’s
competence, training, or education.
Incomplete Plans
• The successor professional engineer or surveyor may not seal
the work product prepared by the original registrant
• Regard the incomplete plans as preliminary work and take all
the necessary steps to ensure the work product was prepared
under his or her responsible charge
• Takes full responsibility of the project by performing all
professional services to include developing a complete design
file with work or design criteria, calculations, code research,
and any necessary and appropriate changes to the work
Incomplete Plans
• Successor professional engineer or surveyor must sign, date,
and seal all original work product
• The professional engineer or surveyor is assumed to have
personal professional knowledge and direct supervisory
control and responsibility for the preparation of the
professional work
• The burden is on the successor professional engineer or
surveyor to show compliance
Complete Plans
• The successor professional engineer or surveyor may prepare
and seal addenda sheets if revisions are necessary
• All work performed by the successor professional engineer or
surveyor must be clearly identified.
• In cases where a professional engineer or surveyor may be
asked to certify as-built plans that were not prepared under
the professional’s direct supervisory control and
responsibility, the professional may not seal the work product
in a manner that would lead someone to believe that he or
she prepared the work product.
Complete Plans
• The professional engineer or surveyor must
include addenda or a specific written
statement adjacent to the seal that accurately
reflects the scope of work provided
• All new work must be clearly identified.
Contact Information:
State Board of Registration for Professional
Engineers and Surveyors
John F. Greenhalge
Executive Director
John.greenhalge@pes.ohio.gov
614-466-3651
www.peps.ohio.gov